Updated Saturday, March 28, 2015 as of 12:04 PM 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

When Supervising Advisors Goes Beyond Your Firm

Buy the Book: When to Purchase Your Client List

Churning Reverses Course: When Your Clients Pay More for Fewer Trades

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

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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

Advisors on the Move: Merrill Loses Billion-Dollar Advisor, Lures Teams With $800M
The March Issue is now online!


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