Alan J. Foxman

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.