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The U.S. Chamber of Commerce and other business groups contend the Federal Trade Commission has exceeded its authority in nullifying contracts that prohibit employees from switching jobs to competitors.
April 24 -
Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.
April 23 -
The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.
April 23 -
An expungement lawyer contends firms have an incentive to tar the reputation of departing brokers in an attempt to retain assets under management.
April 11 -
The high court heard arguments in a case about a commonly used succession planning tool for closely held businesses that may affect advisors' clients.
April 5 -
Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.
April 4 -
The giant insurer fired three financial advisors based on false claims about their specialty insurance consulting business, according to their attorney.
April 4 -
A magistrate judge finds the clients' family failed to put forward 'legally sound' claims that JPMorgan breached any duties by putting an elderly couple into risky securities tied to oil and gas.
April 4 -
The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.
April 2 -
Over the past decade, the equities division at the megabank saw harassment allegations pile up, as well as alleged instances of in-office cocaine use, among other complaints.
March 25