Law and legal issues

Randall Kiefner's arrest on 21 counts comes amid an ongoing fight over payments from a previous FINRA arbitration award

In letters to the FTC, financial planners contend that noncompetition and nonsolicitation provisions can leave them 'handcuffed' to bad firms.

The founder of a firm that reportedly worked with 13 of the past 15 Super Bowl halftime performers says the transaction undercut the monetization of his company.

Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.

A securities expert says the Ponzi-like plot allegedly carried out by a former Deutsche Bank investment banker is a sign that regulators need to provide crypto clarity.

Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.

The firm could be roasted on the coals of its own publicly shared goals for increased hiring and support for diverse advisors, as well as its internal data that allegedly tracks related metrics.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

Wealth managers are increasingly pledging to address diversity, equity and inclusion in their businesses.

The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.

The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.

The case comes as employment suits related to mental health disabilities are expected to increase coming out of the pandemic.

In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.

An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.

Bank seeks to hold former private banking chief liable should sex-trafficking allegations prove true.

Judges question how a spot market for crypto asset would differ from already approved futures market.

Two brokers who left Charles Schwab to join the rival firm thought they were safe to bring their client books with them. FINRA says they were wrong.

With billions of dollars on the table, both buyers and sellers want deals to close quickly and transitions for clients to be implemented smoothly. But success is not always guaranteed.