Alan J. Foxman

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.

Advisors who should self-report a violation — but don’t — could face enforcement actions.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

It’s not easy, but advisors who believe they were wronged can request their records be expunged, an expert says.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

It’s a common practice but a dangerous one.

Even those who don’t work for Morgan Stanley could find themselves in a Catch-22.

New FINRA guidelines lay out the consequences.

How to stay out of trouble if a customer praises your investing prowess on your site.

Regulations can take a long time to reverse.