Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Sen. Warren Lists 29 Life, Health and Annuity Sales Incentives
By Allison BellShe doesn't like the incentives, but you might.
September 23, 2024
Yes, Your Small-Business Clients Still Must File FinCEN ReportsDespite a court ruling, the Corporate Transparency Act remains in effect for most businesses, with penalties for noncompliance.
September 23, 2024
JPMorgan Sued Over 'Shockingly' Low Interest on Client CashThe case follows several other proposed class actions over brokerages' cash sweep programs.
September 23, 2024
DOL Appeals Two Rulings Halting Fiduciary RuleTwo federal court decisions temporarily stopped the rule from taking effect.
September 17, 2024
Cases Mount Against Advisor Accused of Stealing Millions From His AuntSeveral clients have filed summonses indicating they initiated civil cases against Scott J. Mason.
September 17, 2024
Ex-BofA Banker's Murder Trial Postponed to MarchA key detective in the case became unavailable due to pregnancy complications, prosecutors told the court.
September 16, 2024
Glenmede Sues Longtime Portfolio Manager Over Surprise ResignationGlenmede Trust alleges Michael Gallagher breached agreements by trying to lure clients to follow him.
September 13, 2024
Ex-Banker Charged With BofA Exec's Murder Faces Trial MondayAnthony Duwayne Turner is charged with killing BofA-Merrill executive Michelle Avan in August 2021.