Lawsuits

The firm allegedly hired and promoted fewer women than men and paid them less than their male counterparts.

The decision, involving advisors who jumped to Morgan Stanley from an RIA, holds that those who agree to give their employers advance notice before quitting aren’t absolved of that duty by the terms of the protocol.

The lawsuit follows a complaint by the SEC alleging that five men and three companies defrauded more than 600 investors.

Brian McIntyre said the regulator mostly sought to terminate older workers in a September wave of firings after FINRA lost a regulatory contract with the New York Stock Exchange in 2016.

The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.

One JPMorgan client thought it was “odd and weird” that the advisor called during the Memorial Day holiday, on behalf of Merrill Lynch.

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.

A client's alleged complaint sparked a dispute between the wirehouse and its former advisors.

Ex-employee charges that African-Americans are denied opportunities at the brokerage giant in a climate of institutional discrimination.

Craig Schmell says the firm terminated him because of alcohol and drug addiction issues he had 30 years ago.

With the federal government standing down, attorneys general from California, New York and Oregon make a late appeal to save the rule.

Kwame Brown has played for teams such as the Los Angeles Lakers and Washington Wizards.

The firm says former employee John Lockette agreed to have disputes heard in a private forum when he did not take advantage of an opt-out provision.

A company’s refusal to hire a candidate because their work authorization papers will ultimately expire “may constitute illegal discrimination,” according to the Department of Homeland Security.

Former CEO Mark Casady disclosed in arbitration testimony what led to the firing that resulted in a $30 million claim against the firm.

The advisor, a former employee, has been soliciting more than two dozen clients at the bank, JPMorgan says.

“Chase promised so many things and they didn’t keep those promises,” the juror said of the firm.

Investors brought a class-action suit against brokerage alleging a "scheme to churn revenue from essentially dead assets."

The firm is asking a judge to dismiss a class action suit and force a former broker into arbitration, instead.

Barry Snyder’s complaint depicts him as a victim of federal investigators and the bank, with both sides threatening to turn on him.