Click here to contact us
About Us News Alerts Articles SNSFE News Calendar Contact Search
Register FreeOpinion

FC Professional
World Wide Web


2004-2008 Alerts


2008 Alerts
2007 Alerts
2006 Alerts
2005 Alerts
2004 Alerts
2003 Alerts
2002 Alerts


2007 Alerts
2006 Alerts
2005 Alerts
2004 Alerts
2003 Alerts
2002 Alerts
2001 Alerts
2000 Alerts
1999 Alerts
1998 Alerts
1997 Alerts


2006 Alerts
2004 Alerts
2000 Alerts


2003 Alerts
2002 Alerts
2001 Alerts
2000 Alerts

Back to Alerts


2007



November

Brokerage Firms Adapt to New, Investment Adviser Duty, Reality


August

Midsize Brokerage Firms Offer Creative Packages to Transitioning Advisers
Former Merrill Lynch Broker Recovers Damages and Is Awarded U-5 Expungement of Defamatory Language
NASD Arbitration Panel Slams FSC Securities For Failing To Supervise and Prevent Selling Away Fraud By Broker


July

Independent B-Ds Increase Up-Front Transition Money Paid to Reps


June

Another Court Uses Protocol For Broker Recruiting To Defeat TRO Litigation Against Transitioning Advisers' ACAT Efforts


April

SIFMA Wants SEC To Appeal "Merrill Rule" Decision Despite Investor Confusion and Desires






   
 
 
 
 



About Us | News | Alerts | Articles | SNSFE News | Calendar | Contact | Search
Register | Free Opinion

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.

All content Copyright © 2008 Advocate Capital Management, Inc. except where noted. All rights reserved.

20 North Wacker Drive, Suite 2900, Chicago, Illinois 60606
Telephone: 312-621-4400   |   Fax: 312-621-0268