Law and legal issues

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.

The duo led a seven-person team in Chicago serving 50 wealthy clients, according to the bank.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.

C.L. King & Associates argued it did not break any FINRA rules.

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.