Alan J. Foxman

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.

How to walk the fine line between expressing gratitude for a referral and divulging a new client.

Advisors may be able to erase mark against them from disputes in which they were not directly named.

Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.

Our legal expert explains what your assistant can and cannot do with trade processing.

How long must a broker-dealer keep records of accounts that have left the firm?

Our legal analyst explores commission sharing and FINRA disclosure rules.

Our legal analyst explores one state's new rules on employment agreements.

How brokerage firms can prepare for the implementation of FINRA's new requirements.

When do you have to be forthcoming about a civil action coupled with a bankruptcy?

What do you do when spouses who are both clients have very different interests?

State regulators may frown on discounting fees, if you are tying them to activity level.

Our legal expert marks an anniversary.

Our legal expert discusses a new calculation by the SEC.

Our legal expert explains what discretion you have with the account of a client who passes away.

Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.