HAVE YOU BEEN WRONGED BY YOUR FINANCIAL ADVISER?
Recent Investor Articles
- Investor Angst, Regulatory Probes And Litigation Intensify Over Auction Rate Securities
- Securities Regulator Issues Warning Regarding Reverse Mortgages
- RAND Report Confirms Investor Confusion Regarding Roles And Responsibilities Of Brokers Versus Advisers
- Securities Regulator Issues Tips To Protect Financial Information
- Auction Rate Securities Present A "Hotel California" Nightmare For Investors
Recent Professional Articles
- Securities Regulator Highlights Examination Priorities To Protect Investors
- SEC Reveals Information To Help Financial Services Firms Survive A Compliance Examination
- SEC Reveals "Top 10" Compliance Issues For Investment Advisers
- Securities Regulators Reveal Widespread Compliance Deficiencies On The Part Of Investment Advisers
- Securities Regulator Provides Guidance Regarding The Review And Supervision Of Electronic Communications
Recent Podcasts
- Securities Regulator Highlights Examination Priorities To Protect Investors
- SEC Proposes To Broaden Investor Protection For Those Being Sold Equity Indexed Annuities
- SEC, FBI and SNSFE Step Up Investigations Relating To Subprime-Mortgage Crisis
- SNSFE Investigates Evergreen Ultra Short Opportunities Fund
- UBS Schemed To Defraud Unsuspecting Investors So As To Unload Its Auction-Rate Securities Inventory, According To Complaint Filed By Massachusetts Securities Regulator
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
- The Evolution Of Fiduciary Liability For Investment Losses: ERISA Plans, Non-Profits, and Institutions
- Buying Or Selling An Investment Advisory Firm - A Lawyer's Perspective
- Implementing Effective E-Mail And Document Retention Policies And Procedures
- Recovering Your Losses From Misguided Real Estate Investments And Recognizing Red Flags Before You Invest
Archives
JAMES J. ECCLESTON
FinancialCounsel.com
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.
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
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 our clients a full spectrum of legal services, from start-up to succession planning. Visit us at snsfe-law.com or call 312.621.4400 for more information.
Disclaimer
- Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. and James J. Eccleston, the author of this blog and associated podcasts, provide this material as a public resource for informational purposes only. The information contained within each is material of general interest and is not intended as, nor constitutes legal advice or investment advice. Use of either 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 312.621.4400 for more information.
Copyright 2008
- James J. Eccleston and Shaheen, Novoselsky, Staat, Filipowski & Eccleston, P.C. retain the copyright to the original material published on this site. Copyright 2007-2008.
