Alan J. Foxman
Managing DirectorAlan J. Foxman is a managing director at Foreside Financial Group.
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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 -
Our legal expert answers your questions.
February 1 -
Brokers must keep addresses and other pertinent information updated with the CRD. Doing otherwise can lead to trouble.
January 1