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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


Click here to read more publications by and about James J. Eccleston.
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Tale of the Tape
The Math of Recovery in Retirement Portfolios
The Key to a Comfortable Retirement
Employees Warned Of Early Retirement Investment Pitches That Promise Too Much
Life Settlements: Tax, Accounting, and Securities Law Issues
Beware of the Exchange of Life Insurance Policies and Annuity Products
Life Settlements: Risk Management Guidance for Professional Advisors and Fiduciaries
Variable Life Illustrations and the Problem of Stock Volatility
Annuities: Whattup
Why You Should Avoid Investor-Initiated Life Insurance
The Secret to Retire in Style
Trust-Owned Life Insurance: Risk Management Guidance for Professional Advisors
Conducting a Successful Fee Review
The Grant Thornton and Plan Sponsor Advisors Retirement Plan Survey
Retirement Planning: Your Largest Liability in the Making
Investment Selection and Monitoring: A Practical Approach To Best Practices
Time Value of Fluctuations
Trust-Owned Life Insurance: Risk Management Guidance for Fiduciaries
Life Insurance: The Missing Fiduciary Standards of Full Disclosure
Company Stock in 401(k) Plans Concerns Securities Regulator
Retirement Withdrawals: What Rate Is Safe When Time Is Short and Uncertain?
A Matter of Luck
Caution Flags
Inherited Stocks Raise Issues for Couple Nearing Retirement Age
The Pros and Cons of Equity Indexed Annuities
A More Perfect Mix
The Perfect Mix
Withdrawing from Your IRA: A Guide to the Basic Distribution Rules
A Model Retirement
IRA and Pension Distributions: IRS Makes Bold Move in Simplification
Early Plan Distributions: How To Avoid the 10% Penalty
Lump-Sum Distributions From Employer Retirement Plans
Disguised Tax Avoidance Is Still Tax Avoidance
Social Security Benefits At Age 65: Take Them or Delay Them?
Be Alert For IRA Troubles
Be Alert For IRA Troubles: Part II
Retirement Plans That Care For Your Needs And Shelter You From The Tax Man










   
 
 
 
 



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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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