Alan J. Foxman

The SEC found that auditing or testing would likely have revealed deficiencies in controls that allowed an employee access to client information at the wirehouse, says leading compliance expert Alan Foxman.

Careful steps need to be taken so FINRA won't consider it an outside business activity, says compliance expert Alan Foxman.

A broker discovers that FINRA has changed the comment period from 15 days to three, a leading compliance expert says.

An advisor involved in firm's arbitration hopes a customer will agree to a deletion of the record of complaint from their CRD report. But that may violate FINRA rules. Here's how.

A manager of an errant broker finds himself the target of regulators and asks our compliance columnist: What could I have done differently?

FINRA won’t release details of an interview with a client who filed a complaint against an advisor who claimed the concerns were vague, according to attorney Alan Foxman.

It may seem harmless, a client suggests about a plan to sell back an advisor's foreclosed property. Bad idea, says attorney Alan Foxman.

Attorney Alan Foxman answers readers most pressing regulatory and compliance questions, including from one advisor who ran into troubles after being given authorization by a client to make trades on their behalf.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including one advisor who's making a move and wondering what data can information can go with him.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including where the buck stops when a sales assistant makes a cybersecurity mistake.