Alan J. Foxman
Managing DirectorAlan J. Foxman is a managing director at Foreside Financial Group.
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Our legal analyst explores commission sharing and FINRA disclosure rules.
October 1 -
Our legal analyst explores one state's new rules on employment agreements.
September 1 -
How brokerage firms can prepare for the implementation of FINRA's new requirements.
August 1 -
When do you have to be forthcoming about a civil action coupled with a bankruptcy?
July 1 -
What do you do when spouses who are both clients have very different interests?
June 1 -
State regulators may frown on discounting fees, if you are tying them to activity level.
May 1 -
Our legal expert marks an anniversary.
April 1 -
Our legal expert discusses a new calculation by the SEC.
March 1 -
Our legal expert explains what discretion you have with the account of a client who passes away.
February 1 -
Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.
January 4 -
Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.
January 1 -
Our legal expert explains the ramifications of serving elderly clients.
December 1 -
Our legal expert discusses what happens when clients don't follow orders.
November 1 -
Our legal expert explains the ins and outs of setting up a backup plan to service an advisor's clients if he or she is unable to do so.
October 1 -
Our legal expert explains why a book discussing an advisor's investment experience is a no-no.
August 1 -
Our legal expert answers questions on company-issued tablet devices.
July 1 -
Our legal expert answers your questions about paying back loans.
June 1 -
Our legal expert answers your questions about interstate licensing.
May 1 -
Our legal expert answers your questions about providing disclosure of potential conflicts of interest.
April 1 -
Our legal expert answers your questions about clients who brag about their other accounts.
March 1