Alan J. Foxman

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?