Litigation

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

Supreme Court Gives DOGE Access to Social Security Data

June 07, 2025

Supreme Court Gives DOGE Access to Social Security Data
SEC Says Advisor Defrauded Clients on Fees

June 06, 2025

SEC Says Advisor Defrauded Clients on Fees
FINRA Panel Awards $1M to Advisor Over UBS Termination

June 05, 2025

FINRA Panel Awards $1M to Advisor Over UBS Termination
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