Updated Wednesday, June 19, 2013 as of 2:04 AM ET
Alan J. Foxman

Recent Stories From This Author

When It's Okay to Share Clients

May 1, 2013
Our legal expert discusses things to consider before making a referral to a nonaffiliated third party.

Debunking Arbitration Rules

April 1, 2013
Our legal expert discusses whether brokerage firms have to report arbitration actions against them.

Giving Proper Thanks for a Referral

March 1, 2013
How to walk the fine line between expressing gratitude for a referral and divulging a new client.

Proposed FINRA Procedures May Let Brokers Expunge Records

February 1, 2013
Advisors may be able to erase mark against them from disputes in which they were not directly named.

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

January 1, 2013
Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.

Sales Assistant Activities Limited by Finra Rules

December 1, 2012
Our legal expert explains what your assistant can and cannot do with trade processing.

Record-Keeping After Client Accounts Transfer

November 1, 2012
How long must a broker-dealer keep records of accounts that have left the firm?

Brokering the Commission Split

October 1, 2012
Our legal analyst explores commission sharing and FINRA disclosure rules.

Looking at Illinois Court's Ruling on Non-Compete Clause

September 1, 2012
Our legal analyst explores one state's new rules on employment agreements.

FINRA's New Suitability Rule

August 1, 2012
How brokerage firms can prepare for the implementation of FINRA's new requirements.

Defining Full Disclosure

July 1, 2012
When do you have to be forthcoming about a civil action coupled with a bankruptcy?

Keeping Client Secrets

June 1, 2012
What do you do when spouses who are both clients have very different interests?

All Tied Up

May 1, 2012
State regulators may frown on discounting fees, if you are tying them to activity level.

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 to do so.
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