Law and legal issues

There are risks to this approach, however.

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

A new rule addresses double jeopardy, but doesn’t apply in older cases.

The broker slashed her payment by pressing for funds she said the firm promised but never paid.

Stocks and Puerto Rican bonds are the focus of many cases among clients, advisers and firms.

The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.

The wirehouse has already paid $415 million in fines and disgorged profits in a settlement.

The transactions cost the client $575,000 in fees and lost dividend payments, according to FINRA.

An adviser at the firm squandered the aging clients' retirement money on oil and gas investments and Puerto Rico bonds, their lawyer said.

The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.

The Obama-era regulation may survive even Trump's sweeping regulatory rollback, some experts say.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

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.

The move is additional fallout from the president's memo to the Department of Labor to review the regulation and possibly rescind it.

The former planner says she was wrongfully terminated and that she did not agree to settle with the wirehouse.

Meanwhile, a prominent Republican congressman called on President Trump to delay the regulation's implementation.

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.

The firm is preparing for the fiduciary rule and contesting a lawsuit alleging that Raymond James allowed a $350 million fraud to be perpetuated.

One barred broker borrowed funds from clients without approval, according to FINRA.

A recent court case demonstrates how the criminal liability has dramatically increased, even in the absence of a monetary benefit for the tipper.