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In Focus #53: 3/19/07


Recent Cases of Customer Abuse by Brokerage Firm Branch Managers Underscore Need for Effective Compliance Function


Fiduciary Focus: Non-Profits Get Their Day (Part 3)


Tale of the Tape


Lessons of the Smith Estate


Annuities: The Good, the Bad and the Ugly


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2007


In Focus #53: March 19, 2007
In Focus #52: February 19, 2007
In Focus #51: January 1, 2007

2006


In Focus #50: October 23, 2006
In Focus #49: September 4, 2006
In Focus #48: June 19, 2006
In Focus #47: April 24, 2006
In Focus #46: March 21, 2006
In Focus #45: February 6, 2006
In Focus #44: January 9, 2006

2005


In Focus #43: November 15, 2005
In Focus #42: November 2, 2005
In Focus #41: September 19, 2005
In Focus #40: August 15, 2005
In Focus #39: August 1, 2005
In Focus #38: June 27, 2005
In Focus #37: May 2, 2005
In Focus #36: April 4, 2005
In Focus #35: February 28, 2005
In Focus #34: January 17, 2005

2004


In Focus #33: December 13, 2004
In Focus #32: November 18, 2004
In Focus #31: October 25, 2004
In Focus #30: August 16, 2004
In Focus #29: May 3, 2004
In Focus #28: April 26, 2004
In Focus #27: March 2, 2004
In Focus #26: January 9, 2004

2003


In Focus #25: December 12, 2003
In Focus #24: October 10, 2003
In Focus #23: August 15, 2003
In Focus #22: April 25, 2003
In Focus #21: March 21, 2003
In Focus #20: February 21, 2003
In Focus #19: January 17, 2003

2002


In Focus #18: December 13, 2002
In Focus #17: November 14, 2002
In Focus #16: November 1, 2002
In Focus #15: September 30, 2002
In Focus #14: September 14, 2002
In Focus #13: August 1, 2002
In Focus #12: July 22, 2002
In Focus #11: June 27, 2002
In Focus #10: May 31, 2002
In Focus #9: May 22, 2002
In Focus #8: May 7, 2002
In Focus #7: April 22, 2002
In Focus #6: April 19, 2002
In Focus #5: March 25, 2002
In Focus #4: March 14, 2002
In Focus #3: February 21, 2002
In Focus #2: February 13, 2002
In Focus #1: January 31, 2002


   
 
 
 
 



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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm Shaheen, Novoselsky, Staat, Filipowski & Eccleston P.C.(www.snsfe-law.com). This Web site contains material of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice. Always consult an attorney and/or investment advisor when building and protecting your wealth.

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