Lawsuits

Mario Rivero pleaded guilty in February to swindling five clients out of more than $600,000.

Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

James Tuminello argues in court documents that he only reached out to clients he formed with relationships before joining the large wirehouse.

Missouri requires brokers who recommend investing on environmental, governance or social principles to sign statements saying they "are not solely focused on maximizing" returns.

Popular online brokerage has paid $175 million to resolve recent actions by federal and state regulators.

The regulator's court victory wraps up years of litigation against a financial planner accused of defrauding at least nine clients of more than $1 million.

The plaintiffs plan to argue the current system deprives them of their right to a jury trial in cases involving securities allegations.

The principals at Legend Venture Partners stand accused of making millions by offering shares in pre-IPO companies without disclosing markups to investors.

The bank will pay $290 million over allegations that it didn't do enough to stop disgraced financier.

The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.