Lawsuits

Avantax's parent had sued two firms owned by its future buyer and one of its major branches prior to the agreement to go private in a billion-dollar acquisition.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

The Wall Street giant is seeking to enforce contract clauses meant to keep former employees from working for rival firms or reaching out to clients for six months.

Industry recruiters say offers of shares in advisory firms are hard to value.

The Wall Street giant's private bank contends it had advised the plaintiffs against concentrating their money in risky investments.

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.

Matthew Motil stands accused of raising more than $11 million by misleading investors about mortgage-backed promissory notes.

Genevieve Sisco alleges that men in the same role as her earned tens of thousands of dollars more in salary.

For at least seven years, the company has sought to recoup more than $5.4 million in taxes using an exemption the agency argues does not apply.

Regulators allege the CPA provided an air of legitimacy to John J. Woods' scam that defrauded 400 clients in 20 states.