Lawsuits

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.

Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.

The doubts raised over the broker-dealer self-regulator's authority come amid a general questioning of the federal government's oversight powers.

A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.

The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.

A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.

Kenneth A. Welsh stands accused of taking money out of his clients' brokerage accounts to buy gold and other precious metals and pay down credit card debt.

The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.

A pair of advisors caught up in long-standing recruiting litigation will lose money from an earlier FINRA award in order to pay penalties to their former employer.

NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.

Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.

A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.

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.