Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Trouble in Margaritaville: 7 Reasons Estate Plans Go Awry
By John ManganaroThe legal fight over Jimmy Buffett’s $275 million estate offers lessons for all of us.
June 12, 2025
New York Tax Preparer Charged in $50M Fraud SchemeMiles Burton Marshall, arrested Monday, allegedly stole from nearly 1,000 investors in a decades-long scam.
June 12, 2025
Ex-Schwab Financial Consultant Claims Age DiscriminationThe investment consultant also alleges he was forced to resign and given a negative mark on his Form U5.
June 07, 2025
Supreme Court Gives DOGE Access to Social Security DataThe disputed data includes Social Security numbers, tax and earnings records, and bank and credit card information.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.
June 05, 2025
FINRA Panel Awards $1M to Advisor Over UBS TerminationUBS said it will consider its options after the split arbitration decision.
June 05, 2025
FINRA Panel Orders Advisor to Pay Ameriprise $383KAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
June 04, 2025
Vanguard, Investors to Resume Talks in Target-Date Selloff CaseA judge rejected a $40 million settlement, given an SEC agreement offering plaintiffs a better deal.