Law and legal issues

A female Citigroup Inc. equities managing director sued the bank, alleging that she endured "horrifying" sexual assault and harassment by superiors

Kenneth A. Welsh stands accused of taking money out of his clients' brokerage accounts to buy gold and other precious metals and pay down credit card debt.

The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.

The new rules may slow the deletion of valuable public records, but FINRA should take the issue out of arbitration altogether.

A pair of advisors caught up in long-standing recruiting litigation will lose money from an earlier FINRA award in order to pay penalties to their former employer.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.

A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

Avantax's parent had sued two firms owned by its future buyer and one of its major branches prior to the agreement to go private in a billion-dollar acquisition.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

The Wall Street giant is seeking to enforce contract clauses meant to keep former employees from working for rival firms or reaching out to clients for six months.

Mandating the use of pricey arbitrators for retail investor complaints makes no sense — other than to make the process prohibitively expensive, argue two investor advocates.

Industry recruiters say offers of shares in advisory firms are hard to value.

FINRA booted Scott Reed from the industry after he went outside his firm to raise money for a software and web development firm.

The Wall Street giant's private bank contends it had advised the plaintiffs against concentrating their money in risky investments.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.

Regulators accused the investment technology firm of not disclosing fees that ate into clients' interest payments.

The firm stood accused of not having policies to ensure clients' money was invested in keeping with environmental, social and governance goals.