Alan J. Foxman

Getting kicked out of the industry doesn't mean an end to payments from the sale of a book of clients. Plus, knowing whether FINRA's suitability rule applies to foreign clients.

FINRA's latest cybersecurity guidelines offer a good starting point for protecting your business. Plus, the compliance don'ts of advertising IRA rollovers.

Troubles never go away when it comes to disclosures made to FINRA. Plus, an advisor did his securities research for a client event, and still got flagged by compliance.

Failing to arbitrate disputes that arise out of an advisor’s employment activities can result in costly penalties.

Every day you delay is a day you are intentionally failing to comply with the rules.

The liabilities your broker-dealer faces when supervisors oversee wealth managers both inside and outside your practice.

When does it make sense to buy your list of clients? Attorney Alan Foxman explains.

The “reverse churning” comes in when the client is in a wrap program, despite being a low-volume trader.

Mention bankruptcy on a Form U4 and there's no erasing it, even if you settle your debts.

After an advisor was terminated by his firm, the tussle over the departure contract had just begun.

FINRA takes more than a year to follow up an advisor's written testimony.

Even minor run-ins with the law can haunt you if you don't report them properly.

If the relationship is confidential, disclosing even public information about clients is a no-no.

Legal expert Alan J. Foxman offers advisors advice on how to navigate the compliance issues when a divorce threatens to leave a stain on a broker's record.

Under FINRA rules, plaintiffs may be able to demand a trial.

Readers asked if a branch manager is allowed to telecommute. Alan J. Foxman has the answer.

An arbitrator wants client records. What should you do?

Can broker-dealers legally force reps to purchase E&O insurance?

Do you know when a customer complaint is reportable?

Is a youthful indiscretion with a fake ID reportable on your U4?