Updated Tuesday, September 30, 2014 as of 6:04 AM ET

Alan J. Foxman is an attorney with the law offices of Rita G. Dew, P.A., and a senior consultant with National Compliance Services in Delray Beach, Fla. He can be reached at alanfoxman@bellsouth.net.

Recent Stories From This Author

Disclosing on Your U4: No Turning Back

Changing Employment Contracts: Negotiate, Accept or Walk Away

FINRA and the Long Wait

Coming Clean About Minor Run-Ins With the Law

When Public Information Is Private

Compliance: Broker Dissatisfaction and Divorce Can Cause Severe Legal Headaches

Sexual Harassment Suits: Arbitration Is Not a Given

Should Branch Managers Be Allowed to Telecommute?

Arbitrators Can Subpoena Client Records

Can Your Firm Force You To Buy Its Products?

Our Legal Expert Defines Client Complaints

Legal Expert Discusses Form U4 and Youthful Indiscretions

Legal Expert Discusses Commission Contracts

Rebuilding Your Career After FINRA Sanctions

When Settling a Suit Makes Sense

When It's Okay to Share Clients

Debunking Arbitration Rules

Giving Proper Thanks for a Referral

Proposed FINRA Procedures May Let Brokers Expunge Records

Holding On to a Series 7 Securities License After Leaving a Broker-Dealer

The August Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

October 7, 2014 |

October 9, 2014 |

October 21, 2014 |

October 27, 2014 | The Mandarin Oriental, Boston

November 4, 2014 |

Already a subscriber? Log in here