Law and legal issues

The case involves allegations of improper use of the 83-year-old investment bank’s trademark and name.

The 4,300-advisor network is investing in insurance distribution after benefiting from rising interest rates and record client assets.

It’s the second big loss for Credit Suisse, which is fending off dozens of claims from former brokers claiming their compensation was withheld.

To sway a federal judge, both sides have tried to bolster their arguments by pointing to Facebook, joint production agreements, news articles and more.

Investigators say the barred rep diverted more than $1.8 million of her clients’ money for personal use, including on vacations and houses.

FINRA says the firm did not disclose necessary client issues or hacking attempts.

The ruling bolsters firm’s bid to push employees into private arbitration system. The advisor intends to appeal.

The developing spat pits two RIA titans and former business partners against one another.

A lawsuit filed by an ex-client was granted class action status after the firm failed to keep the dispute out of court.

Researchers from top business schools studied arbitrator selection, as shown in nearly 9,000 cases filed by clients over a 27-year span.

For advisors that make a claim of misconduct the deck appears stacked in favor of the employers.

Clients have filed hundreds of similar claims against UBS since 2013, with aggregate damages of $2.6 billion.

While it may be unnerving, a notice of an examination doesn’t necessarily mean defeat.

A petition to vacate the award was denied by a federal judge.

A Florida court will hear a client’s claim that the firm charges processing fees that had ranged as high as 10 times more than the stated purpose: transaction and clearing costs.

The relationship disintegrated because of a dispute about where to best place client trades.

Advisor Brian Chilton’s $844,000 arbitration award could herald more losses for the firm.

It’s at least the fifth time this year that the bank is suing a former advisor for allegedly violating a non-solicitation agreement.

Earlier this year, Jason Kirkland was recognized for his “many contributions” to the firm.

Can FINRA suspend the advisor’s license?