Lawsuits

Government watchdogs propose more oversight amid collapse of crypto and falling markets.

The two Black financial advisors dropped their case, but constant litigation in the industry spotlights questions over firms' pledges to change.

The eight defendants in the federal investigation stand accused of making more than $100 million from manipulating stocks on social media.

The billionaire investor claims Jenica Paulson knew all along about trusts she alleges he used to conceal assets.

The justices' decision in SEC v. Cochran could ultimately reduce the power of administrative law judges over advisors and broker-dealers.

In a twist, recent class actions blame 401(k) advisors for not putting investors' money into higher cost, better performing investments.

It's virtually unheard of for financial services companies to go after their own lawyers, who wield immense power over their secrets. One expert calls it "playing with fire."

Sexual assaults, lurid propositions and a sex tape pack the latest filings in a class action against Goldman Sachs. But it's a boss's comment about his assistant's engagement ring two decades ago and a woman who complained an executive checked her out that have set off an especially bitter dispute in the case.

A dual Romanian-U.S. citizen has been fighting an IRS contention that he owes $2.7 million for failing to submit FBAR forms.

A Georgia appeals court threw out a bombshell ruling against Wells Fargo that said the Wall Street bank "committed fraud" with an arbitration panel.

Joshua David Nicholas adds federal charges to a long list of fines, citations and ejections from the industry.

An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.

A former executive with the firm claims it and other defendants Schwab, TD and Fidelity are engaging in a conspiracy and violating investor protections.

Gwen Campbell, who dropped a prior lawsuit against the Wall Street bank over client poaching, opened a new legal front.

Shawn E. Good has been an advisor for more than 30 years. He is now barred from the industry by FINRA.

Vania May Bell has admitted to helping her father run a scheme that started in the late 1990s and ended in 2018.

David Hu apologized to the firm’s investors and clients, as well as his wife and two children, before being sentenced.

Senior brokers delegated to make compensation decisions systematically favor white men, according to a new lawsuit.

Affluent investors who have maxed out their retirement plan contributions hold target date funds in taxable brokerage accounts.

The latest legal fight between the firms over departing brokers raises questions about the effectiveness of the Broker Protocol.