Law and legal issues

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.

The broker-dealer filed a motion requesting that Jason Kirkland’s lawyer not be allowed to represent him in court.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

Jason Kirkland, a former Baird employee, has sued the firm for allegedly withholding his compensation.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

A months-long court fight ended when a judge granted the wirehouse’s request to restrict the advisors’ ability to contact clients.

Wall Street’s main regulator has made ADR sales a focus of its enforcement efforts.

The alleged supervisory lapses occurred over a five-year period, according to the regulator.

One of the first RIA aggregators is at the center of a bitter legal dispute.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors