Law and legal issues

The IBD aims to be a 17,000-strong firm, but not every advisor will want to join up, experts warn.

An advisor questions a witness’s qualifications.

While her performance at the bank has been exemplary, she was denied opportunities that directly affected her pay, the advisor claims.

The mishandling of the two former employees’ complaints, detailed in documents and by former OSHA officials, raises questions about the government’s treatment of whistleblowers throughout the financial services industry.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

A judge issued a ruling after intensely scrutinizing advisors' emails and text messages to clients.

The Swiss wirehouse hit the founding partners of an $8 billion firm with a lawsuit.

The rep claimed the firm misled him when they recruited him from PNC Bank.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

When and how are former employers allowed to file? Attorney and compliance expert Alan J. Foxman explains.

The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.

The magnate's fallen empire included RCS Capital, the onetime parent of Cetera Financial Group.

The firm has collected more than $1.1 million in arbitration cases so far this year.

The wirehouse files for a restraining order in wake of move to Dynasty.

The cases stem from the investment advice given by a now barred broker, who is accused of soliciting funds for a Miami Beach nightclub he owned.

The broker breached two promissory notes, which had outstanding balances of $544,000 and $345,000, according to a FINRA arbitration ruling.

They seek a refund and damages after they said the firm directed them to its Thinkorswim website, according to a FINRA arbitration filing.

He concealed 300 transactions over two years while raking in millions of dollars, investigators say.

A FINRA arbitration panel ordered the broker to give back the bulk of his $675,000 signing bonus to SunTrust.