Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Citi's Probe of Sieg's Conduct Didn't Include Women Who Complained: Report
By Dinah Wisenberg BrinThe investigation focused on bullying and unfair treatment allegations against wealth head Andy Sieg.
October 20, 2025
Carson Sues Ex-Advisor for Alleged Client PoachingAn advisor who left Sweet Financial Partners, which the group acquired, is soliciting Sweet clients, according to a lawsuit.
October 17, 2025
Credit Union Hits LPL, Osaic With Client-Poaching SuitThe BDs orchestrated a scheme to steal information for 683 clients, the lawsuit alleges.
October 15, 2025
New York Life Faces Life Cost-of-Insurance Suit Tied to Tax Law ChangeThe policy owner says the issuer should share the benefits from having a lower income tax rate.
October 13, 2025
86-Year-Old Says Merrill, UBS, TD Failed to Stop FraudThe firms ignored a series of unusually large withdrawals, according to a lawsuit.
October 13, 2025
Ex-BofA Banker Gets Life Sentence for Exec's MurderAnthony Duwayne Turner was convicted in August of murdering his former girlfriend, BofA exec Michelle Avan.
October 08, 2025
3 Men Sentenced for Killing Advisor and Wife Kidnapped From Yacht: ReportsThey were reportedly fugitives before boarding the couple's catamaran and throwing them overboard in the Caribbean.
October 06, 2025
Ex-Broker Pleads Guilty to $2.7M Investment Scam, $4.7M Pandemic Loan FraudJared Dean Eakes used investor funds for his own benefit, including for options trading in a personal account.