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The onetime CFP pleaded guilty to violating his parole after previously avoiding prison time through a plea deal in 2018.May 26
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Production companies claim fraudsters bilked them out of $3.5 million under the bank's watch.May 21
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Lawsuit claims woman advisor was denied revenue opportunities and administrative support amid an alleged climate of harassment and discrimination.April 30
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XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.April 23
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The wealth manager claimed bank management knew a customer had a history of sexual harassment, but allowed him to continue doing business at the branch anyway.February 14
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The arbitrators based their ruling “on the defamatory nature of the information.”January 22
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The IBD fired Nathan Oeming the day after his arrest near a high school by an undercover special investigations unit.January 16
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“This didn’t seem like a very fair process,” says the ex-advisor, who was ordered to pay the firm $206,000 for breach of promissory note.January 8
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A former rep has drawn at least 30 claims after pleading guilty to fraud, while clients of another ex-LPL advisor are seeking damages five years after his initial arrest.December 10
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When an unusual recruiting deal between Credit Suisse and Wells Fargo went awry, years of broker frustration, severe attrition and litigation followed. Also at stake: Up to $245 million in back pay.
