Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Female Supervisor Sexually Harassed JPMorgan Chase VP, Lawsuit Claims
By Melanie WaddellMarvin Holston is suing the bank, alleging that a market director created a hostile work environment.
October 29, 2025
Citi's Probe of Sieg's Conduct Didn't Include Women Who Complained: ReportThe investigation focused on bullying and unfair treatment allegations against wealth head Andy Sieg.
October 27, 2025
Suit Accuses First Trust of Aiding $89M Fraud Targeting RetireesThe scheme involved "extraordinarily risky" structured notes tied to Zoom, Tesla, Netflix and Amazon stocks, the filing contends.
October 27, 2025
Primerica Accuses Osaic of Raiding Branch Office in $50M LawsuitSix reps who had worked with 96% of the office's AUM left en masse for Osaic, the suit states.
October 20, 2025
Carson Sues Ex-Advisor for Alleged Client PoachingAn advisor who left Sweet Financial Partners, which the group acquired, is soliciting Sweet clients, according to a lawsuit.
October 17, 2025
Credit Union Hits LPL, Osaic With Client-Poaching SuitThe BDs orchestrated a scheme to steal information for 683 clients, the lawsuit alleges.
October 15, 2025
New York Life Faces Life Cost-of-Insurance Suit Tied to Tax Law ChangeThe policy owner says the issuer should share the benefits from having a lower income tax rate.
October 13, 2025
86-Year-Old Says Merrill, UBS, TD Failed to Stop FraudThe firms ignored a series of unusually large withdrawals, according to a lawsuit.