Law and legal issues

The case could bring unwelcome scrutiny of Wall Street's compensation and employment practices.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

Morgan Stanley was dragged into the family spat as father and children fought a tug-of-war over two accounts held at the firm.

It may seem like your interests are aligned but there could be conflicts.

“The more ties you cut, the better — auditors like to see a moving van and an itemized list of what was moved,” one lawyer says.

The advisor and his alleged co-conspirators made $5 million in illicit profits off misappropriated information, according to prosecutors.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

Forty-seven investors, some over the age of 63, were among the victims.

A financial advisor at another firm says he was promised a lower mortgage rate at Bank of America if he deposited money into his Merrill Edge account.

The bank was ordered to pay more than $5 billion over a tax-evasion case in France.

The megabank was ordered to pay billions over a tax-evasion case.

Is the advisor suing his current employer — by accident?

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

The bank pledges to handle customer complaints better and reexamine its lending practices.

Even the best clients in the most appropriate investments can panic when they’re watching their hard-earned savings shrink on a daily basis.

The No. 1 IBD requested that other variable writers “contractually reaffirm their commitments to protecting trails,” an executive says.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

Non-public corporate earnings reports were among the stolen information, the regulator claims.