Alan J. Foxman

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.

An advisor questions a witness’s qualifications.

When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.

Are the measures you're taking enough? Compliance expert Alan J. Foxman explains.

Regulation SP lays out the guidelines. In addition, just how many texts does a firm need to save?

Learn which occasions mandate disclosure. Also, is political activity allowable at the office?

A new rule addresses double jeopardy, but doesn’t apply in older cases.

A planner tells compliance expert Alan J. Foxman that he's concerned a court-appointed guardian is not acting in an aging client's best interests.

A broker leaving a job didn't think the training he got from his former employer was sufficient. His old firm disagrees and wants the costs reimbursed.

Advisers may want to entertain a settlement offer from the regulator, even when planners disagree with allegations made against them, says our compliance expert.

Plus, why matching clients with brokers of their race, religion or ethnicity might not meet the legal threshold for affinity fraud.