Litigation

Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.

Barred Broker Sentenced to 5 Years in Prison Over $7M Ponzi Scheme

August 11, 2022

Barred Broker Sentenced to 5 Years in Prison Over $7M Ponzi Scheme
Morgan Stanley Sued by Ex-Broker Over Arb Award

August 10, 2022

Morgan Stanley Sued by Ex-Broker Over Arb Award
90-Year-Old Ex-Morgan Stanley Broker Who Shot Business Partner Dies

August 09, 2022

90-Year-Old Ex-Morgan Stanley Broker Who Shot Business Partner Dies
Wells Fargo Wins Appeal in FINRA Arb Case

August 09, 2022

Wells Fargo Wins Appeal in FINRA Arb Case
Ex-Rep Booted Over Claims of Racism Sues LPL for $95M

August 05, 2022

Ex-Rep Booted Over Claims of Racism Sues LPL for $95M
Ex-Advisor Sentenced to Almost 22 Years in Prison Over Fake-Annuity Scam

August 03, 2022

Ex-Advisor Sentenced to Almost 22 Years in Prison Over Fake-Annuity Scam
Citigroup, Genworth Face Lawsuits Over BlackRock TDFs in Their 401(k)s

August 02, 2022

Citigroup, Genworth Face Lawsuits Over BlackRock TDFs in Their 401(k)s