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On Wall Street June 1, 2011 Alan J. Foxman	Arbitration Station Advisor Q&As: Promissory notes... Do tax liens need to be reported on Form ADV?
On Wall Street January 1, 2012 Alan J. Foxman	The Disclosure Dilemma When and what needs to be disclosed on the U4?
On Wall Street June 1, 2012 Alan J. Foxman	Keeping Client Secrets I have a husband and wife who are both clients of mine. Recently, the wife inherited some money and doesn't want her husband to know what she's doing with it.
On Wall Street December 1, 2012 Alan J. Foxman	Sales Assistant Activities Limited by Finra Rules Our legal expert explains what your assistant can and cannot do with trade processing.
Investment Advisor March 1, 2011 Thomas D. Giachetti	Get Form ADV Right New requirements and changing deadlines could make filing Form ADV a tricky business.
On Wall Street November 1, 2010 Alan J. Foxman	Crime Versus Punishment Members of the financial services industry write in for advice and have their legal questions answered.
Registered Rep. December 1, 2004	The Promise Keepers Is arbitration the answer to this broker's woe?... Should a former employer pay defense costs for broker being sued while employed with that firm?...
On Wall Street November 1, 2008 Alan J Foxman	Caught in the Middle In an arbitration lawsuit one advisor was named as respondent, one wasn't -- and now both have problems to deal with.
Registered Rep. February 1, 2005 Pam Black	Why More Reps Are Getting Their Kicks on Route 66 What's driving top reps to Series 66 RIA designation is not regulatory rules. It's changes in the wirehouse environment that, newly minted RIAs say, made it harder for them to do their own thing.
On Wall Street February 1, 2010 Alan J. Foxman	Advisor Sued When Market Is to Blame Legal experts answer questions from advisors who are being sued by clients who have lost money in the financial turmoil.
On Wall Street August 1, 2011 Alan J. Foxman	When Advertising Is Advertising Marketing a book to existing and prospective clients is considered advertising... Report your employment history as of the date you're filing for registration...
On Wall Street September 1, 2011 Alan J. Foxman	To Share Or Not to Share (Revenue) I'm preparing to merge my small brokerage firm with a registered investment adviser. Do we have to wait for FINRA approval before we can close the transaction?
On Wall Street September 1, 2010 Alan J. Foxman	Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more...
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
On Wall Street May 1, 2011 Alan J. Foxman	New York Or Bust Readers ask about licensing requirements, one-person operations, and moving to a new firm.
Financial Advisor October 2010 Andrew Gluck	Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs?
Investment Advisor June 2006 Kathleen M. McBride	Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.
Financial Planning September 1, 2009 Stacy Schultz	Staying Alive As the economic environment has pinned many financial advisors against a wall, for some, bankruptcy is their best chance at salvaging their business.
Investment Advisor August 2008 Thomas D. Giachetti	The Three Troubling Themes How to combat compliance misunderstanding and misdirection.
Registered Rep. October 1, 2004	When the Loan Comes Due I switched firms three years ago, joining a wirehouse offering a seven-year forgivable loan as upfront payment. Since hiring on at the new firm, my production has nosedived. If I am fired, can my firm legally ask for the balance of the forgivable loan back?
On Wall Street October 1, 2011 Alan J. Foxman	Preparing for Backup Advisor Q&As: Solo practitioners backup each other?... Upcoming requirements mean mid-size advisors must register with states?... Disclosing old misdemeanors?... more...
Registered Rep. May 9, 2011 Gleeson & Britton	New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer.
Financial Planning October 1, 2011 Jennifer Woods Burke	The Risk of Hide and Seek Advisors are often guiding clients through financial nightmares rather than living their own. But a FINRA enforcement action this year demonstrates how easily your career can slip away if you don't properly disclose financial troubles.
On Wall Street February 1, 2011 Alan J. Foxman	Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns.
ifeminists August 11, 2004 Wendy McElroy	Seeking Criminal Justice in Civil Court Feminist groups advocate civil proceedings for sexual abuse because "victims" will win more often and with less evidence.
Financial Advisor July 2008	Frontline News News of interest to the financial community: CFP Board's New Conduct Standards... SEC Examining More RIAs... Advisors Await Word On New Privacy Regulations... First Western Buys Fourth RIA Firm, Doubles Size...etc.
On Wall Street September 1, 2011 Nick Georgis	Taking The Hybrid Road As more advisors transition to independence these days, a growing number of them are choosing to adopt a hybrid business model that lets them conduct both commission-based brokerage business and fee-based advisory business. For many advisors, the hybrid road may offer the best of both worlds.
Registered Rep. June 1, 2006 Bill Singer	Working Conflict When considering taking an outside job, registered reps must adhere to NASD rule 3030, Outside Business Activities of an Associated Person. Here's a recap of the guidelines.
Registered Rep. June 29, 2010 Halah Touryalai	The New Sheriffs In Town The SEC examines about 9 percent of the 11,000 or so advisory firms under its jurisdiction annually. All of that is about to change with a little help from regulators at the state level.
Commercial Investment Real Estate Mar/Apr 2015 Mary Stark-Hood	Real Estate Asset Protection Ownership of real estate has many benefits from an investment and tax standpoint. There is downside risk, however, since the value of real estate holdings may be significant and can be used to cover damages awarded in a lawsuit.
On Wall Street October 1, 2009 Alan J. Foxman	Crossing the Line in Your Relationships with Clients Q&A: What privileges can a firm give a client?... Can a financial advisor borrow money from a bank that is a client?... Arbitration claims about promissory note... Must I tell my employer annuities I've sold through a third-party vendor?...
On Wall Street January 1, 2013 Alan J. Foxman	Holding On to a Series 7 Securities License After Leaving a Broker-Dealer Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.
Registered Rep. March 1, 2008	Client Complaints: To Report Or Not To Report When a registered rep should report client complaints.
Commercial Investment Real Estate Nov/Dec 2008 Christopher J. Truitt	The Partnership Puzzle LLCs may provide the missing piece in real estate tax structures.
Job Journal June 26, 2005	No Small Feat If you are thinking about starting your own business, here are some questions you should ask yourself, a look at possible business structures, and some useful websites.
Registered Rep. June 16, 2008	Rival Firm Settles With RIA Database RIA Database, a financial services software firm, announced today the end of a yearlong legal battle with the company's chief rival, Discovery Database.
Investment Advisor September 2008 Mike Patton	B/D or RIA? The Case for the Registered Investment Advisor After considering the different options, one advisor explains why he opted for the registered independent advisor model.
Financial Planning May 1, 2008 Rick Cortese	New Form ADV 2 On March 3, 2008, the SEC proposed amendments to Form ADV Part 2.
On Wall Street October 1, 2012 Alan J. Foxman	Brokering the Commission Split Our legal analyst explores commission sharing and FINRA disclosure rules.
Registered Rep. November 1, 2002 Jonathan Arfa	Breaking Up Is Hard to Do Brokers partner up for a variety of reasons. Some kind of contract is needed when a partnership between members of a team of brokers is formed, whether it be between a senior broker and junior colleagues or just between two seasoned brokers. Brokers should consider this contract seriously.
Financial Advisor January 2006 Raymond Fazzi	Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs.
On Wall Street April 1, 2011 Alan J. Foxman	The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...
Financial Advisor February 2010 Gary C. Bubb	Seeking Status Employees seeking a membership interest in an LLC might find themselves in tax limbo.
Registered Rep. February 7, 2012 Diana Britton	Are Regulations Killing the Hybrid Financial Advisor? Some advisors say new compliance and regulatory burdens under Dodd-Frank are making the hybrid model untenable.
Financial Planning June 1, 2005 Harold Evensky	The New 'F' Word A new group would irrefutably link the concept of "fiduciary" to financial advice.
On Wall Street August 1, 2013 Alan J. Foxman	Legal Expert Discusses Commission Contracts Our legal expert discusses how to make sure you re getting your due in commissions.
Registered Rep. December 1, 2006 Anne Field	The Metamorphosis If you are ready to go out on your own as a registered investment advisor, you're likely to encounter a host of tricky problems and stumbling blocks. Here's a look at five of those problems and what you can do about them.
Financial Planning October 1, 2006 Marshall Eckblad	Advisor Pulse The registered investment advisor market continues to add assets at a hefty rate.
Investment Advisor May 2009 James J. Green	Pershing Service for RIAs at B/Ds Pershing LLC introduces a new service for its affiliated broker/dealer firms called RIA Complete.
Registered Rep. March 6, 2014 Diana Britton	Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel.