Law and legal issues

The then 61-year-old employee says she got written warnings for infractions while younger colleagues went undisciplined.

Allegations rose amid multiple multimillion-dollar donations while the company’s CEO sits on MIT’s board.

Critics reject the notion that disclosure alone is sufficient for reigning in conflicts — but the charges against Commonwealth have put BDs on notice.

Prosecutors said Robert Shapiro used investor money for his $6.7 million home and $3.1 million for chartering planes and for personal travel.

The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.

A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.

FinApps has filed a lawsuit that claims the data aggregator swiped its proprietary software, according to its lawyer Marc Kasowitz.

An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.

This is how the firm tried to make sure no one knew.

The bank will pay $1.25 million for alleged supervisory failures.

AR Capital, Schorsch and former CFO Brian Block allegedly raked in millions through inflating fees in REIT mergers.

After a booking error by an advisor, a client barely avoided being taxed on $500,000 and dodged more than $200,000 in taxes and penalties.

The wirehouse’s latest litigation suggests other everyday activities of defectors could come under scrutiny.

Summit Brokerage Services wasn’t feeding the notifications into the transactions blotter while its ownership went into flux, according to the regulator.

Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.

An ex-client accused the firm of misconduct, including disbursing funds to her former spouse from a restricted account without her knowledge or authorization.

The penalties come three months after Merrill Lynch settled similar charges.

Truliant Federal Credit Union claims that the BB&T-SunTrust post-merger brand represents trademark infringement and unfair competition.

The firm agreed to “remove language that formed the basis of the alleged misrepresentations."

Listening to a customer service call produced a big surprise. It also showed how firms can take one position to fight complaints in private, but another in public.