Click here to contact us
Home About Us Contact Us Register Free Opinion Articles Webinars

FC Professional
World Wide Web

Back to Alerts


2009



February

SNSFE is Pleased to Announce That James J. Eccleston Is Named an Illinois Super Lawyer for 2009
SNSFE Attorney Ron Amato Presents a Free Online Seminar on Financial Advisor Liability


2008



June

ALI-ABA Course: Partnerships, LLCs, and LLPs, Uniform Acts, Taxation, Drafting, Securities, and Bankruptcy


May

Eccleston Presents Webinar On Best Practices On Hedge Fund Investing


April

SNSFE Webinar: Key Guidance On Hedge Fund Investing
SNSFE Wins Jury Trial for Defendants in Investment Fraud Case


January

SNSFE Attorney James J. Eccleston Named To The 2008 Illinois Super Lawyers List



2007



October

SNSFE Webinar: Moyen Presents Webinar On The Top 10 Current Compliance Issues For Investment Advisers


August

SNSFE Webinar: The Top 10 Current Compliance Issues for Investment Advisers

SNSFE Special Alert: Illinois-Based Sentinel Management Group Freezes $1.5 Billion Fun Amid Global Liquidity Crisis

SNSFE Webinar: The Court’s Rejection of the Broker-Dealer Exemption Rule


June

SNSFE Webinar: The Court’s Rejection of the Broker-Dealer Exemption Rule


February

SNSFE Webinar: Avoiding Traps In Your Transition: Negotiating Your Bonus Arrangement and Employment Terms When Moving To A New Brokerage Firm

SNSFE Wins Arbitration Award For Financial Advisor Against Wachovia Securities For Wrongful Termination And Defamatory U-5 Filing


January

SNSFE Webinar: The Evolution of Fiduciary Liability for Investment Losses: ERISA Plans, Non-Profits and Institutions


2006



December

Amato Presents Webinar On Investment Product Suitability And Investment Abuse

November

SNSFE Webinar: Protecting Yourself in Bull and Bear Markets

October

SNSFE Webinar: Succession Planning for Business Owners

September

SNSFE Webinar: Has Your Estate Plan Kept Up with Changes in the Law?

August

James Eccleston Interviewed By Vestment Advisors
SNSFE Alert: A.G. Edwards Loses Argument That Brokers Not Entitled To Overtime Pay

July

SNSFE Webinar: Gershon Presents Webinar On Compliance
Compliance Survivor: Simplifying Complex Regulatory Concerns

June

Leading Lawyers Network Recognizes Seven SNSFE Attorneys

May

SNSFE Webinar: Becoming the Trustee of a Family Trust
Seminar, "Conducting Due Diligence 2006", to Be Held June 5, 2006 in New York City

April

Securities Attorneys Present Webinar For Investment Advisers On Investment Product Suitability
SNSFE Partner James Eccleston To Participate In NAPFA 2006 National Conference
SNSFE Webinar: What Every Investment Adviser Should Know About Investment Product Suitability
Salomon Smith Barney Investors Must Take Action By April 21st

February

SNSFE Webinar: Recovering Your Losses From Misguided Real Estate Investments and Recognizing Red Flags Before You Invest
Upcoming SNSFE Webinar: Recovering Your Losses From Misguided Real Estate Investments and Recognizing Red Flags Before You Invest

January

SNSFE Attorneys Named To 2006 Illinois Super Lawyers List


2005



November

Investors Capital Sued Relating to Unsuitable Sales of Equity-Indexed Annuities

August

SNSFE Client Wins $300,000 from Prudential in NASD Securities Arbitration


2004



Special Invitation: Chicago Seminar to Discuss Best Practices for Investment Advisers and Accountants









Sponsored by James J. Eccleston. 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 adviser when building and protecting your wealth.

All content Copyright © 2010 Advocate Compliance Partners, Inc. except where noted. All rights reserved.

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