Eccleston Law Offices is currently filing claims on behalf of former Merrill Lynch, Pierce, Fenner & Smith, Incorporated financial advisors who forfeited deferred compensation benefits under the Merrill Lynch Financial Advisor Capital Accumulation Award Plan or other deferred compensation plans as a result of their resignation from the firm. Time is of the essence. Please contact us at 312-332-0000.
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Recent Professional Articles
- Securities Regulators Issue Risk Alert For Brokerage Firms to Conduct Effective Branch Office Supervisions
- Navigating the Uncertain Waters of Securities Arbitration in Order to Effectively Represent Your Client
- New Publication Defines The "Fiduciary Ethos" For Financial Advisers Acting As Fiduciaries
- Investors And Their Advisers Must Beware Of Garden Leave Provisions That Interfere With Servicing Accounts
- Broker Protocol Revisited; An "Industry Standard" For Employment Transitions
Recent Podcasts
- Regulator's Action Against LPL Financial Underscores Risks of Investing in Non-Traded REITs
- Understanding the Basic Risks Associated with Oil and Gas Drilling Investments
- Guidelines to Improve Disclosure of Risk Benefit Both Financial Advisers and Their Clients
- SEC's Complaint Against Life Partners Underscores Senior Protection Issues With Life Settlements
- Navigating the Uncertain Waters of Securities Arbitration in Order to Effectively Represent Your Client
Recent Webinars
- Key Guidance On Hedge Fund Investing
- Protecting Yourself In Bull And Bear Markets: What Investors, Their Accountants and Advisors Should Know About Investment Product Suitability and Investment Abuse
- The Court's Rejection of the Broker-Dealer Exemption Rule (The So-Called "Merrill-Lynch" Rule)
- The Top 10 Current Compliance Issues For Investment Advisers
- Avoiding Traps In Your Transition: Negotiating Your Bonus Arrangement And Employment Terms When Moving To A New Brokerage Firm
- COPYRIGHT NOTICEJames J. Eccleston and Eccleston Law Offices, P.C. retain the copyright to the original material published on this site. Copyright 2007-2011.
JAMES J. ECCLESTON
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FinancialCounsel.com
FinancialCounsel.com, hosted by James J. Eccleston, is a companion website to this blog, along with EcclestonLaw.com. It contains complementary 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.
Disclaimer
- James J. Eccleston of Eccleston Law Offices, P.C., the author of this blog and associated podcasts, provides this material as a public resource for informational purposes only. The information contained within is material of general interest and is not intended as, nor constitutes legal advice or investment advice and its use does not create or constitute a lawyer-client relationship. Always consult an attorney and/or investment adviser when building and protecting your wealth. You can only retain an attorney by entering into a formal fee agreement by signing an engagement letter. While we believe the content on this site to be accurate, we cannot make that guarantee and no one should act or rely on any information without first seeking professional legal counsel. We invite you to contact us at 312.332.0000 for more information.
![Regulator's Action Against LPL Financial Underscores Risks of Investing in Non-Traded REITs](<a href="http://financialcounsel.typepad.com/financialcounsel/files/Podcasts-2013/Regulator%27sActionAgainstLPLFinancialUnderscoresRisksofInvestinginNonTradedREITs.mp3"><img src="http:financialcounsel.typepad.com/listenbutton.gif"><p></p>){kind=link}
![Understanding the Basic Risks Associated with Oil and Gas Drilling Investments](<a href="http://financialcounsel.typepad.com/financialcounsel/files/Podcasts-2013/UnderstandingTheBasicRisksAssociatedWithOilandGasDrillingInvestments.mp3"><img src="http://financialcounsel.typepad.com/listenbutton.gif"><p></p>){kind=link}