Lawsuits

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.

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.