Litigation

Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.

Social Security

Supreme Court Gives DOGE Access to Social Security Data

By Greg Stohr and Zoe Tillman
FINRA Panel Orders Advisor to Pay Ameriprise $383K

June 05, 2025

FINRA Panel Orders Advisor to Pay Ameriprise $383K
Vanguard, Investors to Resume Talks in Target-Date Selloff Case

June 04, 2025

Vanguard, Investors to Resume Talks in Target-Date Selloff Case
Ameriprise Fights LPL Advisors' Request to Block Device Search

June 02, 2025

Ameriprise Fights LPL Advisors' Request to Block Device Search
Supreme Court Rebuffs Challenge to FINRA's Authority

June 02, 2025

Supreme Court Rebuffs Challenge to FINRA's Authority
Two Client Couples Sue Advisor Over Risky Strategies

May 28, 2025

Two Client Couples Sue Advisor Over Risky Strategies
Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC Says

May 28, 2025

Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC Says
UBS Client Can’t Sue Bank Over Broker’s Alleged Affair With Wife

May 27, 2025

UBS Client Can’t Sue Bank Over Broker’s Alleged Affair With Wife