Lawsuits

The asset manager’s culture is allegedly one in which women's careers are destined to stall and portfolio-manager ranks are reserved for white men, the lawsuit claims.

A court ruling may also potentially help dozens of other advisors in their efforts to claim what they say is millions in deferred compensation they are due.

A lawsuit will turn on whether UBS can demonstrate that Alexandra Van Meurs violated contract agreements when she and her team jumped to Morgan Stanley.

A former engineer claims he was “routinely harassed and discriminated against” by the custodian and its management.

Earlier this year, FINRA arbitrators granted the former advisor’s expungement request, but still sided with the firm on its demands for repayment of two promissory notes.

Michael Kitces, co-founder of XY Planning Network, says the group is mulling its options after a federal court struck down the organization’s lawsuit against the SEC rule.

Asset manager Blueprint Capital Advisors claims they stole confidential business information and discriminated against the Black-owned firm.

Marylin Booker accuses the company of failing to support Black advisors and criticizes its use of mandatory arbitration to settle employee disputes.

A federal court decision that could be subject to appeal secured Social Security benefits for certain same-sex marriages that hadn't previously been eligible.

Firms founded by Jason Wenk allegedly failed to oversee a former advisor accused of investing clients in unregistered securities.

Production companies claim fraudsters bilked them out of $3.5 million under the bank's watch.

The lost assets represent a big hit to the firm’s operations in the small Missouri town where the advisor was based, ex-employer claims.

Lawsuit claims woman advisor was denied revenue opportunities and administrative support amid an alleged climate of harassment and discrimination.

Standard General accused Tusk Strategies of “blanketing the media with false and misleading proxy materials” on behalf of a “secret client.”

XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.

Stipulated agreements by BDs and advisors looking to fast-track the arbitration process are becoming increasingly common.

A client's lawsuit claims the snafu caused users of its app “to miss out on some of the highest single-day market gains in recorded history.”

The client, Moises Cosio, is a filmmaker and the scion of a Mexican banking and real estate fortune.

Five years of alleged promises, checks that never arrived, and a mysterious employee named “Tryg Nederloe” add up to a bizarre saga with wide ramifications.

The major custodian lost its second arbitration case — with even more filings likely — over the services it provided to a brokerage later proved to be engaged in massive fraud.