Law and legal issues

Sexual assaults, lurid propositions and a sex tape pack the latest filings in a class action against Goldman Sachs. But it's a boss's comment about his assistant's engagement ring two decades ago and a woman who complained an executive checked her out that have set off an especially bitter dispute in the case.

A dual Romanian-U.S. citizen has been fighting an IRS contention that he owes $2.7 million for failing to submit FBAR forms.

The contracts can shield one spouse from another's debt and spell out what happens when one party earns more than the other.

A billionaire from post-Soviet Georgia and the giant Swiss bank are duking it out in Singapore over the failure of a trust company owned the financial institution to catch shady transactions.

The wirehouse fabricated the terms of its recruiting bonus loan and client churning allegations against Anil Bhandari, he said in his first interview on the case.

IFS Securities once had about 150 financial advisors and 20,000 clients. Now it's seeking millions it owes third-party firms three years after it shut down.

Why industry veterans Christopher J. Asher, Jason D. Cooke and Vincent J. Camarda, charged in separate cases. will go by "defendant" and not "CFP."

Reformers and supporters of the existing system are already lining up on either side of the fight as the regulator follows up on its pledges to pursue changes.

Securities arbitration experts say the Investor Justice Act would represent the SEC's first recurring grants for free counsel that's sorely missing.

A Georgia appeals court threw out a bombshell ruling against Wells Fargo that said the Wall Street bank "committed fraud" with an arbitration panel.

Two Securities America brokers and their firm must pay the large award after a case that leaves many unanswered questions.

A Mexican-American couple who sought safety and diversification north of the border say they found fraud, negligent supervision and concealment.

A look at the biggest regulations, legislation and court cases in the field from the first half of the year.

Joshua David Nicholas adds federal charges to a long list of fines, citations and ejections from the industry.

The case offers the latest confusing signal about an industry that forces discrimination cases into arbitration and fights them to the bitter end.

An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.

A panel of FINRA arbitrators unanimously ordered the award against the megabank based on Erin Ann Daly’s claims of gender-based discrimination.

Federal prosecutors in Manhattan are investigating the bank over allegations that it conducted so-called fake interviews with nonwhite and female job applicants, The New York Times reported Thursday.

The firm dragged three advisors through a lengthy arbitration case, only to lose and get saddled with all of the hearing costs.

A former executive with the firm claims it and other defendants Schwab, TD and Fidelity are engaging in a conspiracy and violating investor protections.