Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Schwab Accuses RIA of Using Trade Secrets to Divert Over $85M in Assets
By Dinah Wisenberg BrinA former Schwab consultant improperly contacted clients for his new employer, according to a lawsuit.
December 10, 2025
Brokers at the Movies: 10 Hollywood Takes on Wall StreetMovies depicting financial professionals typically don’t focus on thoughtful advisors looking out for clients’ best interests.
December 09, 2025
Brokers at the Movies: 10 Hollywood Takes on Wall StreetMovies depicting financial professionals typically don’t focus on thoughtful advisors looking out for clients’ best interests.
December 08, 2025
Fund Manager's Driver Posing as Advisor Lost $1M for Investors: SECThe defendant was a driver for a registered investment advisor that managed a hedge fund.
December 01, 2025
Trump Commutes Sentence of GPB Capital FounderDavid Gentile faced seven years for a fraud scheme that risked more than $1 billion of investor funds.
November 26, 2025
10 of the Worst Financial Scams of the Past CenturyWhile Charles Ponzi’s own scheme is a bit too old to qualify, his name figured into many more recent frauds.
November 25, 2025
NASCAR Champ Kyle Busch's Pacific Life Lawsuit Moves to Federal CourtThe race car driver and his wife allege $8.6 million in losses tied to IUL policies.
November 24, 2025
Advisor Pleads Guilty to Conning Venezuelans, Others in $94M SchemeAndrew Hamilton Jacobus could face 20 years in federal prison, the Justice Department says.