Alan J. Foxman

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?

Our legal expert discusses how to make sure you're getting your due in commissions.

Our legal expert discusses how to deal with FINRA investigation.

Our legal expert discusses when settling an arbitration case saves time and money.

Our legal expert discusses things to consider before making a referral to a nonaffiliated third party.

Our legal expert discusses whether brokerage firms have to report arbitration actions against them.