Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Ex-Citi Exec Sues Firm, Alleging 'Long History of Hostility Toward Women'
By Dinah Wisenberg BrinJulia Carreon says she was debased when Citi wealth head Andy Sieg refused to deny innuendo about their relationship.
January 23, 2026
In Trump v. Dimon, Years of Strain Culminate in $5B SuitTrump says Dimon personally locked him out of the U.S. financial industry after he left the White House in 2021.
January 22, 2026
Trump Sues JPMorgan for $5B Over Debanking ClaimsBeyond closing accounts, the bank placed the president and family members on a wealth management "blacklist," the complaint says.
January 22, 2026
Ex-Goldman Banker Who Pleaded Guilty for $4.5M Fraud Seeks PardonTim Leissner is seeking a presidential pardon before he surrenders to a federal prison.
January 22, 2026
Georgia Advisor Pleads Guilty in $380M Ponzi SchemeTodd Burkhalter "perpetrated what is likely the largest Ponzi scheme in Georgia history," a U.S. attorney said.
January 21, 2026
Lawsuit Says United Planners, Advisor Steered Retirees to High-Risk InvestmentsThe complaint, seeking class-action status, alleges securities fraud and RICO violations.
January 21, 2026
Osaic Forerunner Wins Major FINRA Case Tied to Ex-BrokerThe case involved tens of millions in damage claims that Triad Advisors failed to adequately supervise James Walesa.
January 16, 2026
Advisor From Florida's The Villages Charged With Stalking Ex-WifeArthur West, known in the retirement community for holding annuity seminars, sent threatening texts, police records show.