Lawsuits

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.

The SEC says Marguerite Cassandra Toroian waited to allocate stock purchases to herself, her family or clients once she knew if the purchases were winners or losers.

Joseph Orazio DeGregorio convinced his victims to invest in promissory notes and companies that never even existed.

A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.

The grandsons lost a bid to force Beverley Schottenstein to negotiate a FINRA award in her favor.

After two stints as a rep for Charles Schwab, Russell Joseph Mutter started a Ponzi scheme that ran for nearly a decade in his home county.

The firm that helped dozens of practices go independent is using the tactic most often deployed by its previous main rivals.

Rapidly growing multifamily office Cresset and similar firms have been adding advisors in droves even as wealth managers take them to court.

Officials said when he could no longer keep his investment fraud running, Scott Nicholson admitted to his clients that their money was gone and their investment was worthless.

R. David Yost and his soon-to-be-former son-in-law are slugging it out in court over allegations of tax evasion.

Jeffrey Santulan and his company, Safeguard Metals, are facing enforcement actions by the SEC, the Commodity Futures Trading Commission and 27 state securities regulators.