Lawsuits

The wirehouse files for a restraining order in wake of move to Dynasty.

The duo led a seven-person team in Chicago serving 50 wealthy clients, according to the bank.

A FINRA arbitration panel dismissed the firm's claims but charged the broker more than $11,000.

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.

The new recruit joins after the regional firm paid $150 million to settle a lawsuit brought by an SEC receiver.

The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.

The wirehouse has already paid $415 million in fines and disgorged profits in a settlement.

The Obama-era regulation may survive even Trump's sweeping regulatory rollback, some experts say.

The decision landed just hours after the Department of Labor asked for the decision to be postponed while it complies with a Trump order to review the regulation.

The move is additional fallout from the president's memo to the Department of Labor to review the regulation and possibly rescind it.

Meanwhile, a prominent Republican congressman called on President Trump to delay the regulation's implementation.

The “Pirates of the Caribbean” and “Edward Scissorhands" star accuses his onetime planners of fraud and negligence in a $25 million lawsuit. The former advisors have countersued.

The firm is preparing for the fiduciary rule and contesting a lawsuit alleging that Raymond James allowed a $350 million fraud to be perpetuated.

"There is an added sense of urgency now," says Barbara Roper, director of investor protection at the Consumer Federation of America.

Their attorney said he would instead file claims in arbitration.

Black employees at the firm say lucrative client accounts were often steered toward financial advisers who weren’t black.

"I lose years of my life. They can settle, write a check and move on," says an adviser whose book of business dropped by $40 million after he alleges he was wrongfully terminated.

Will Chief District Judge Barbara Lynn be the first to rule against the regulation? Opponents of a case in Texas federal court have high hopes.

The legal setback for the rule's foes still leaves three ongoing court challenges, as well as an uncertain future after Trump takes office.

While a federal court allowed the organization to file a brief saying it upheld fiduciary values, it should not be providing expert opinions, writes the founder of a fiduciary consulting firm.