Litigation

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

Saving for Retirement

Class-Action Suit Over Allstate 401(k) Plan Can Go Forward

By Ginger Szala
Barred Broker With 37 Client Complaints Hit With SEC Fraud Charges

September 27, 2021

Barred Broker With 37 Client Complaints Hit With SEC Fraud Charges
Ex-OppenheimerFunds Analyst Charged With $8.5M Insider Trading Scheme  

September 24, 2021

Ex-OppenheimerFunds Analyst Charged With $8.5M Insider Trading Scheme  
Ex-Broker Gets 35 Years in Prison for $25M Scam Targeting Seniors

September 24, 2021

Ex-Broker Gets 35 Years in Prison for $25M Scam Targeting Seniors
Barred Advisor Charged With Bilking Veterans' Nonprofit

September 21, 2021

Barred Advisor Charged With Bilking Veterans' Nonprofit
Madoff Scheme Victims Get New $568M Distribution

September 20, 2021

Madoff Scheme Victims Get New $568M Distribution
Schwab Faces Class-Action Suit Over Cash Sweeps

September 14, 2021

Schwab Faces Class-Action Suit Over Cash Sweeps
Barred Broker Admits Orchestrating $100M Ponzi Scheme

September 13, 2021

Barred Broker Admits Orchestrating $100M Ponzi Scheme