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Lawsuits
Ex-SII Investments broker swindled $1.8M from friends and clients: FBI
The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.
Using fake persona, advisor defrauds pro athlete and his wife of $1.2M: SEC
The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.
Ex-advisor ordered to pay $2M after defrauding athletes, SEC says
Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.
In UBS-RIA spat, a warning for advisors switching firms
A judge issued a ruling after intensely scrutinizing advisors' emails and text messages to clients.
Judge tosses restraining order against UBS breakaways
The Swiss wirehouse hit the founding partners of an $8 billion firm with a lawsuit.
Wells Fargo under regulatory scrutiny after huge client data breach
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.
Former Nicholas Schorsch firm CFO found guilty of accounting fraud
The magnate's fallen empire included RCS Capital, the onetime parent of Cetera Financial Group.
$8B breakaway UBS team hit with lawsuit
The wirehouse files for a restraining order in wake of move to Dynasty.
In fight over clients, Goldman Sachs sues 2 advisers who left for RIA
The duo led a seven-person team in Chicago serving 50 wealthy clients, according to the bank.
FINRA to 'terribly harmed' investors: No recovery pool
The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.
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