Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
MarketCounsel Denies Ties to Jim Pavia After Social Media Posts
By ThinkAdvisor StaffTrump supporters are targeting the compliance firm over Pavia’s inflammatory comments after Charlie Kirk was shot.
September 12, 2025
Ex-Two Sigma Quant Charged With Fraud by Federal ProsecutorsThe researcher allegedly manipulated investment models so they seemed to be generating higher returns than they were.
September 09, 2025
Judge Tentatively OKs $25M Vanguard Target-Date Selloff SettlementA previously rejected $40 million settlement would have paid less to affected investors.
September 09, 2025
SEC Sued Over Accredited Investor RuleA health care startup executive says she was blocked from investing in a venture capital fund.
August 29, 2025
SEC Bars Advisor Over Cherry-Picking SchemeBurleson disproportionately allocated profitable option trades to his personal account and unprofitable ones to his clients’ accounts.
August 29, 2025
Top Annuity Seller Wins Cybersquatting CaseThe other organization using a similar trademarked name runs a mobile crypto mining app.
August 28, 2025
Client Sues Advisor, MassMutual Over Premium-Financed Life StrategyThe plaintiff says the advisor should have used a 1035 exchange to get him a better deal.
August 27, 2025
Woman Sentenced to Nearly 19 Years for Scamming California InvestorsAlma Perez promised investors guaranteed, no-risk returns, said the state's attorney general.