Alan J. Foxman

Recent Stories From This Author

A Future Full of Challenges
April 1, 2012 Our legal expert marks an anniversary.

Regulators Redefine Assets
March 1, 2012 Our legal expert discusses a new calculation by the SEC.

Death of A Client
February 1, 2012 Our legal expert explains what discretion you have with the account of a client who passes away.

The Disclosure Dilemma
January 1, 2012 Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.

When Clients Make Questionable Decisions
December 1, 2011 Our legal expert explains the ramifications of serving elderly clients.

The Uncooperative Client
November 1, 2011 Our legal expert discusses what happens when clients don't follow orders.

Preparing for Backup
October 1, 2011 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...

When Advertising Is Advertising
August 1, 2011 Our legal expert explains why a book discussing an advisor's investment experience is a no-no.

The Perception Of Privacy
July 1, 2011 Our legal expert answers questions on company-issued tablet devices.

Arbitration Station
June 1, 2011 Our legal expert answers your questions about paying back loans.