Alan J. Foxman

At this stage it's not an actual data breach, but it could become one.

There are red flags that may be pointing to elder fraud in a client account.

FINRA Rule 3210 typically requires permission for brokerage accounts.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

It may seem like your interests are aligned but there could be conflicts.

Not knowing a FINRA rule can’t save an advisor from statutory disqualification.

Even the best clients in the most appropriate investments can panic when they’re watching their hard-earned savings shrink on a daily basis.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

A niece thought her aunt’s caretaker was stealing. How much can an advisor do?

Be careful when giving gifts over $100 in value.

FINRA has warned of phony calls and emails from impersonators.

When two agencies are probing your firm, it doesn’t hurt to ask that they coordinate their efforts.

Can FINRA suspend the advisor’s license?

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

How to report a transaction that should have been disclosed to regulators long ago, but wasn’t.

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

When do promotional materials rise to the level of an official “recommendation” and thereby require additional disclosures by brokers?

Can an RIA take the first bite of the apple when it comes to a dually registered rep’s brokerage commissions?

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.