INVESTOR
"Selling Away"; A Primer for Investors and Their Attorneys
Securities Regulator Issues Warnings Regarding Equity-Indexed Annuities
A Primer on Alternative Investments and Managed Futures in Particular
Variable Annuity Sub-Accounts; A Black Hole Dangerous to Investors
Regulator Issues Caution Regarding New Products
State Securities Regulators Unveil "Top 10 Threats to Investors"
Company Stock in 401(k) Plans Concerns Securities Regulator
Tech Stock Investors Soon May Recover Losses From Research Analyst Settlement
NASD's 2004: Investor Protection Efforts Worth Noting
PROFESSIONAL
Investment Planning for Fiduciaries: An Overview of the Laws That Have Governed Private Trusts
Prudent Practices for Investment Fiduciaries
New Rule Requires Special Care for Fee Based Brokerage Accounts
The "Sophisticated" Investor Defense to Suitability Claims; More Frequently Raised Than Proven
Recent Bankruptcy Law Developments Should Interest Advisers
NASD Disciplinary Actions; It May Pay to Fight
Brokerage Firms Attempt to Clarify the Confusing Roles and Responsibilities of Their Brokers
Frequently Asked Questions Regarding Forms U-4 and U-5
Reps and Crystal Balls; Knowing the Anticipated Cash Flow Needs of Retirement Plans
FinancialCounsel.com, hosted by James J. Eccleston, is the companion website to this blog. It contains complimentary material of general interest to investors and financial services professionals. Investors will find material on securities arbitration to recover investment losses; industry and financial markets intelligence; and strategies for estate planning. Professionals have access to material on broker/adviser registration, regulation, compliance and disciplinary proceedings; industry and financial markets intelligence; strategies for estate planning; and broker/adviser employment litigation and injunctions, including defamation and non-competition/solicitation issues. 
James J. Eccleston heads the securities group at Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C., a business law firm dedicated to closely-held business owners, senior executives and high net worth individuals. With three core practice groups - securities, general litigation, and corporate / transactional - and many subspecialties, SNSFE provides clients a full spectrum of legal services, from start-up to succession planning. Visit snsfe-law.com or call 312.621.4400 for more information. 