Lawsuits

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

The founder of a firm that reportedly worked with 13 of the past 15 Super Bowl halftime performers says the transaction undercut the monetization of his company.

Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

Wealth managers are increasingly pledging to address diversity, equity and inclusion in their businesses.

The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.

The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.

In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.

Bank seeks to hold former private banking chief liable should sex-trafficking allegations prove true.

Two brokers who left Charles Schwab to join the rival firm thought they were safe to bring their client books with them. FINRA says they were wrong.

The previously unreported case reflects shifting dynamics in the channel as the largest tax-focused wealth management firm hits one of its closest rivals with litigation.

Despite its brokers' alleged Regulation Best Interest violations, Laidlaw & Company's latest brush with regulators was handled under FINRA's old suitability standard.