Alan J. Foxman

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.

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

Our legal expert explains the ramifications of serving elderly clients.

Our legal expert discusses what happens when clients don't follow orders.

Our legal expert explains the ins and outs of setting up a backup plan to service an advisor's clients if he or she is unable to do so.

Our legal expert explains why a book discussing an advisor's investment experience is a no-no.