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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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In Focus

June 27, 2002

orldcom, Martha Stewart, Salomon Smith Barney and Jack Grumman, Merrill Lynch and Henry Blodget, to name a few. Is there an end in sight to the now continuous news that is rocking the confidence and trust that so many investors have placed in our securities markets?

As jolting as the news to date has been, one has the feeling that there is more to come. Fasten your seatbelts.


— James J. Eccleston
FinancialCounsel.com




   
 
 
 
 



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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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