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Stocks and Puerto Rican bonds are the focus of many cases among clients, advisers and firms.
March 10
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The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.
March 10
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The wirehouse has already paid $415 million in fines and disgorged profits in a settlement.
March 6
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The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.
March 1
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An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.
February 16
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The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.
February 10
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The Obama-era regulation may survive even Trump's sweeping regulatory rollback, some experts say.
February 9
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Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."
February 9
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The decision landed just hours after the Department of Labor asked for the decision to be postponed while it complies with a Trump order to review the regulation.
February 8
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The move is additional fallout from the president's memo to the Department of Labor to review the regulation and possibly rescind it.
February 8 -
The former planner says she was wrongfully terminated and that she did not agree to settle with the wirehouse.
February 8
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Meanwhile, a prominent Republican congressman called on President Trump to delay the regulation's implementation.
February 2
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The “Pirates of the Caribbean” and “Edward Scissorhands" star accuses his onetime planners of fraud and negligence in a $25 million lawsuit. The former advisors have countersued.
February 1
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The firm is preparing for the fiduciary rule and contesting a lawsuit alleging that Raymond James allowed a $350 million fraud to be perpetuated.
January 26
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One barred broker borrowed funds from clients without approval, according to FINRA.
January 25 -
A recent court case demonstrates how the criminal liability has dramatically increased, even in the absence of a monetary benefit for the tipper.
January 20
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"There is an added sense of urgency now," says Barbara Roper, director of investor protection at the Consumer Federation of America.
January 19
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Their attorney said he would instead file claims in arbitration.
January 18
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Morgan Stanley, a previous employer, won $243,000 in an earlier arbitration case.
January 18 -
The spat between the firms started when the regional BD recruited a group of advisers who collectively oversaw about $1.1 billion in client assets.
January 17
