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Lawsuits
Advisors test new strategy to duck arbitration losses. Will it work?
The dispute pits four advisors against big Wall Street names: Wells Fargo, Morgan Stanley, Raymond James and Merrill Lynch.
Morgan Stanley hits back in $1.2M FINRA arbitration award
The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.
Advisor sues LPL for defamation in 2016 election trading investigation
The No. 1 IBD cleared him of any wrongdoing then said he still faced the probe after leaving the firm months later, according to the lawsuit.
Point72 gender discrimination case sent to arbitration
The firm allegedly hired and promoted fewer women than men and paid them less than their male counterparts.
Wells Fargo sues $300M breakaway team over client data issues
A client's alleged complaint sparked a dispute between the wirehouse and its former advisors.
Drug memoir writer and Morgan Stanley tangle in court
Craig Schmell says the firm terminated him because of alcohol and drug addiction issues he had 30 years ago.
Another longshot bid to save DoL fiduciary rule
With the federal government standing down, attorneys general from California, New York and Oregon make a late appeal to save the rule.
From sealed transcripts, the inside saga of LPL Financial's largest termination ever
Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.
Ameriprise advisor is 'bad-mouthing' our brokers, JPMorgan claims in lawsuit
The advisor, a former employee, has been soliciting more than two dozen clients at the bank, JPMorgan says.
Edward Jones accused of pushing clients into fee-based accounts
Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."
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