Lawsuits

The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.

A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.

FinApps has filed a lawsuit that claims the data aggregator swiped its proprietary software, according to its lawyer Marc Kasowitz.

AR Capital, Schorsch and former CFO Brian Block allegedly raked in millions through inflating fees in REIT mergers.

The wirehouse’s latest litigation suggests other everyday activities of defectors could come under scrutiny.

Truliant Federal Credit Union claims that the BB&T-SunTrust post-merger brand represents trademark infringement and unfair competition.

The firm agreed to “remove language that formed the basis of the alleged misrepresentations."

Recent lawsuits highlight the unpredictable nature of litigation in a post-Broker Protocol world.

It was accused of pushing nearly 250,000 unaware customers into delinquency.

Activist investors have taken large stakes in at least 100 of the products so far this year.

The firm calls the lawsuit's claims "baseless."

Is there a lesson for other advisors considering a career change?

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

The advisors joined a former colleague at Steward Partners, an independent firm affiliated with Raymond James.

One tipster will get $37 million, the third-biggest ever for the agency's whistleblower program.

The case could bring unwelcome scrutiny of Wall Street's compensation and employment practices.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

Morgan Stanley was dragged into the family spat as father and children fought a tug-of-war over two accounts held at the firm.

A financial advisor at another firm says he was promised a lower mortgage rate at Bank of America if he deposited money into his Merrill Edge account.

The megabank was ordered to pay billions over a tax-evasion case.