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Litigation
Advisors test new strategy to duck arbitration losses. Will it work?
The dispute pits four advisors against big Wall Street names: Wells Fargo, Morgan Stanley, Raymond James and Merrill Lynch.
$5M Ponzi scheme advisor gets 11 years after tearful apologies to victims
The barred onetime Questar Capital and Woodbury Financial rep had pleaded guilty to the scam, which he says stemmed from a gambling addiction.
Morgan Stanley hits back in $1.2M FINRA arbitration award
The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.
$8M fraud paid for massages, cigars, plane tickets: Feds
At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.
Ex-OfficeMax CEO wins $8.7M FINRA award from Wells Fargo
The dispute centered on the firm’s handling of Puerto Rican municipal bonds.
Advisor sues LPL for defamation in 2016 election trading investigation
The No. 1 IBD cleared him of any wrongdoing then said he still faced the probe after leaving the firm months later, according to the lawsuit.
The fugitive who was a Securities America advisor
Scott Wolas assumed other people’s names to pose as a real estate agent, bartender, retired paleontologist and a registered rep, investigators say.
Advisor, founder of 'Smart Money Academy' charged with $4.7M fraud
DaRayl Davis spent client funds on a luxury mansion, theater tickets and car rentals, federal prosecutors say.
Former NFL star wins $1M FINRA award from Woodbury Financial
Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.
Securities America failed to spot red flags of ex-advisor’s scam, clients say
A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.
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