Litigation

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

Fidelity's Poaching Complaint Against Former Advisor and UBS Is Dismissed

July 20, 2022

Fidelity's Poaching Complaint Against Former Advisor and UBS Is Dismissed
JPMorgan Sues Former Advisor for Allegedly Poaching Clients

July 19, 2022

JPMorgan Sues Former Advisor for Allegedly Poaching Clients
Ex-Broker Charged With Murdering BofA Exec Wins Right to See Police Files

July 14, 2022

Ex-Broker Charged With Murdering BofA Exec Wins Right to See Police Files
Barred Broker Sentenced to Prison for $12M Ponzi Scheme

July 12, 2022

Barred Broker Sentenced to Prison for $12M Ponzi Scheme
Barred Broker Who Did Merrill Stint Indicted in $100M Crypto Scam

July 06, 2022

Barred Broker Who Did Merrill Stint Indicted in $100M Crypto Scam
Morgan Stanley Fires 90-Year-Old Broker Arrested for Shooting Business Partner

July 05, 2022

Morgan Stanley Fires 90-Year-Old Broker Arrested for Shooting Business Partner
Ex-Broker Pleads Guilty to Bilking More Than 100 Investors

July 01, 2022

Ex-Broker Pleads Guilty to Bilking More Than 100 Investors