Lawsuits

In the latest clash after Morgan Stanley's exit from the Broker Protocol, the firm notched a win as the case heads to FINRA arbitration.

The advisor claimed the bank placed a slanderous statement in his form U5, preventing him from finding a new job.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

In a concession to the advisor, he can still respond to client emails and calls, even though he may not initiate contact.

The firm previously accused its former employee of using company stationery to continue to pass herself off as an Ameriprise advisor.

Even those who don’t work for Morgan Stanley could find themselves in a Catch-22.

"This bill is a giant wet kiss to Wall Street,” Senator Elizabeth Warren says.

The bank is embroiled in consumer spats over unwanted car insurance, mortgage lending and overdraft fees.

Stockholders had alleged “false and misleading” financial statements.

The firm, which has faced racial discrimination allegations, is trying an alternative approach suggested by a professor at Harvard.

The advisor used the money on cars and gambling in the latest Ponzi-like scheme, investigators say.

The defendants profited more than $3 million by trading before and after mergers and acquisitions were announced, according to U.S. prosecutors.

Attorneys are preparing written objections to the settlement, which they may file in the next 15 to 30 days.

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

While her performance at the bank has been exemplary, she was denied opportunities that directly affected her pay, the advisor claims.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

A judge issued a ruling after intensely scrutinizing advisors' emails and text messages to clients.

The Swiss wirehouse hit the founding partners of an $8 billion firm with a lawsuit.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

The magnate's fallen empire included RCS Capital, the onetime parent of Cetera Financial Group.