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.

The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.

Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.

Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.

North Carolina stood accused of taking in $7.2 million from 13 victims over course of decade.

Joseph DeGregorio promised a 13% return on promissory notes that never existed.

Investors argues in suit that Jamie Dimon and other executives risked the bank's reputation in their dealings with the disgraced financier.

The financial services firm continues to go before FINRA arbitration panels to defend itself against claims over ex-broker's actions.

Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.

Goldman Sachs Group is in talks to settle a high-profile lawsuit alleging gender pay disparity, ahead of going to trial next month, according to people with knowledge of the matter.

The top Massachusetts securities regulator contends a broker's misdeeds could have been prevented if internal compliance officers had only tried.

His lawsuit is the first to follow the U.S. Supreme Court's decision in another case questioning the regulator's "at-home" advantage with internal proceedings.

Randall Kiefner's arrest on 21 counts comes amid an ongoing fight over payments from a previous FINRA arbitration award