Law and legal issues

The former tech entrepreneur, "Razzlekhan" rapper and accused cryptocurrency thief Heather Morgan has a new job.

JPMorgan Chase is claiming the founder of Frank, a college financial-planning site the bank acquired in 2021, defrauded it by vastly inflating the number of customers the company had.

FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.

The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.

Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.

In a decision that left out the details of alleged discrimination and tensions within the firm, a FINRA arbitration panel granted the broker's expungement request.

Christopher Parris also pleaded guilty to fraudulently trying to sell COVID masks to the U.S. government and private businesses.

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

The two Black financial advisors dropped their case, but constant litigation in the industry spotlights questions over firms' pledges to change.

40 critical regulations, court decisions, laws, IRS proposals and other major changes to the tax landscape from the past 12 months.

The eight defendants in the federal investigation stand accused of making more than $100 million from manipulating stocks on social media.

A retired dentist won a huge FINRA arbitration award after accusing his best friend and longtime broker of trading in tech stocks without his consent.

Publicly traded companies exposed to the "crypto winter" and the collapse of FTX or other digital-asset companies might have to disclose those details to investors under new guidance from the Securities and Exchange Commission.

The billionaire investor claims Jenica Paulson knew all along about trusts she alleges he used to conceal assets.

FINRA accused FSC, Royal Alliance, SagePoint and Woodbury of "negligently omitting material facts" about an alternative asset manager, FINRA said.

The former CEO of Sanctuary's predecessor firm, financial advisor Mark W. Damer, won a major arbitration award related to his 2019 termination.

The megabank's traditional brokerage unit has already paid a FINRA arbitration award and five settlements totaling $47.4 million.

Crypto boosters are quick to caution jittery investors that other, better-regulated industries have not been immune to scandals.

For several years after the breakdown of a deal to sell a practice for $3.6 million, the parties have been accusing each other of violating the terms.

Moves by cryptocurrency exchanges to reassure markets about their stability are having little effect on jittery users, who keep pulling funds from the venues.