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?

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.

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

In addition to being fired, advisors could also face suspension and fines — all from the carelessness of not carefully reading one simple question.

How often should CCOs pay a visit to branch offices?

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

When your client is a foreign national, it pays to find out if the same regulations apply.