Litigation

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

Ex-Securities America CEO Sues Osaic

April 21, 2025

Ex-Securities America CEO Sues Osaic
7 Legal Issues That May Come Up When Annuity Owners Die

April 18, 2025

7 Legal Issues That May Come Up When Annuity Owners Die
Schwab-TD Ameritrade Antitrust Case Settled, Notification Process Underway

April 18, 2025

Schwab-TD Ameritrade Antitrust Case Settled, Notification Process Underway
How Opening a Morgan Stanley Account Led to a Fraud Arrest

April 17, 2025

How Opening a Morgan Stanley Account Led to a Fraud Arrest
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others

April 16, 2025

SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow

April 08, 2025

Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow
9th Circuit Rules for Foresters in California Life Policy Lapse Case

April 04, 2025

9th Circuit Rules for Foresters in California Life Policy Lapse Case