Lawsuits

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.

Is the advisor suing his current employer — by accident?

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

Even the best clients in the most appropriate investments can panic when they’re watching their hard-earned savings shrink on a daily basis.

The No. 1 IBD requested that other variable writers “contractually reaffirm their commitments to protecting trails,” an executive says.

Non-public corporate earnings reports were among the stolen information, the regulator claims.

The broker-dealer filed a motion requesting that Jason Kirkland’s lawyer not be allowed to represent him in court.

There are no “alternative facts” in the law, just truth, opinion and lies. Two you can’t sue for. And the third? Well, brokerages are very careful with their words.

Jason Kirkland, a former Baird employee, has sued the firm for allegedly withholding his compensation.

A months-long court fight ended when a judge granted the wirehouse’s request to restrict the advisors’ ability to contact clients.

One of the first RIA aggregators is at the center of a bitter legal dispute.

The payout, to 27,000 victims worldwide, is the third distribution from the $4 billion fund, according to the Justice Department.

The firm alleges the advisors violated a non-solicitation contract, which they have denied doing.