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The bank was seeking to overturn some $400,000 in attorney fees awarded to four advisors as part of a $2 million case.September 17
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The advisor sold securities out of one account to buy a Camaro ZL1 — then resold the car to the same victim, the regulator alleges.August 31
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It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.August 20
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The advisor is asking a judge to reconsider the order, saying he wasn’t given a chance to defend himself against accusations of violating a non-solicitation agreement.August 11
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The St. Louis-based firm claims its rival “instructs incoming recruits to compile client information from their former firm” as a matter of course.August 4
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Current and former clients claim personal information, including Social Security and passport numbers, have been exposed due to negligence.August 3
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The asset manager’s culture is allegedly one in which women's careers are destined to stall and portfolio-manager ranks are reserved for white men, the lawsuit claims.July 28
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A court ruling may also potentially help dozens of other advisors in their efforts to claim what they say is millions in deferred compensation they are due.July 21
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A lawsuit will turn on whether UBS can demonstrate that Alexandra Van Meurs violated contract agreements when she and her team jumped to Morgan Stanley.July 20
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A former engineer claims he was “routinely harassed and discriminated against” by the custodian and its management.July 16
