Mr. Foxman received his BA in Criminal Justice from the University of Florida in 1984 and received his Juris Doctorate degree in May 1988 from Nova Southeastern University School of Law. Mr. Foxman has been a member of the Florida Bar since October 7, 1988. Mr. Foxman is a past Chairman of the Government and Regulatory Committee of the National Association of Investment Professionals (NAIP) and writes a monthly column for “On Wall Street Magazine” entitled “Compliance”. From April 1989 through June 1997 Mr. Foxman was employed as a staff attorney with the National Association of Securities Dealers, Inc. (“NASD” n/k/a The Financial Industry Regulatory Authority or “FINRA”) in their Office of Dispute Resolution. During his tenure with the NASD, Mr. Foxman administered in excess of 1,500 arbitration cases with an active caseload averaging in excess of 200 cases. He participated in the NASD’s Process Redesign Team subsequent to the Ruder Commission Task Force Report, established an Internship Program with local law schools, and conducted numerous Arbitrator Training Seminars. Mr. Foxman was the owner of The Law Office of Alan Foxman, P.A. from October 1998 to April 2006 when he became a partner in the law firm of Finkelstein, Feil & Foxman, LLP. Mr. Foxman is currently in private practice in Boca Raton, Florida concentrating in securities law and works as a senior consultant for National Compliance Services providing compliance support for registered investment advisers. Mr. Foxman is also employed by the Law Offices of Rita G. Dew, Esq., PA. Concentrating on contracts, shareholder agreements, operating agreements, mergers and other transactional work.
The Law Offices of Rita G. Dew PA
355 NE 5th Ave.
Delray Beach, FL, 33483
|FL||Member in Good Standing||1988||06/01/2022|
|Attorney||The Law Offices of Rita G. Dew, PA||2011 - Present|
|Senior Consultant||National Compliance Services, Inc.||2010 - Present|
|Owner||The Law Office of Alan Foxman||2010 - 2011|
|Associate||Fred Chikovsky & Associates, LLC||2008 - 2010|
|Associate||Lavalle Brown Ronan & Mullins||2007 - 2008|
|Partner||Finkelstein Feil & Foxman||2006 - 2007|
|Owner||The Law Office of Alan Foxman PA||1998 - 2006|
|Staff Attorney||National Association of Securities Dealers, Inc.||1989 - 1997|
|RIABiz||In the duel of FINRA vs. state courts, one comes out on top for most advisors||2011|
|On Wall Street||Monthly Compliance column||N/A|
|Nova Southeastern University - Shepard Broad Law Center||JD - Juris Doctor||1988|
|University of Florida||BA - Bachelor of Arts||1984|
|2014 Social Media Strategies & Regulatory Updates Workshop||2014 SEC Examination Priorities||2014|
Posted by anonymous
July 18, 2009
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