Litigation

The once-discraced firm has benefited from the recent strong rallly in cryptocurrencies.

Arbitration panels and courts have already shown openness to arguments that deferred compensation is protected under federal retirement law.

Sixteen advisors argue the megabank owes them more than $270 million over false promises they were made when being recruited.

The banking giant has already settled two other similar disputes with regulators.

Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.

The U.S. Chamber of Commerce and other business groups contend the Federal Trade Commission has exceeded its authority in nullifying contracts that prohibit employees from switching jobs to competitors.

Caz Craffy admitted to taking nearly $10 million entrusted to him by Gold Star families and using it for excessive trades through outside brokerage firms.

The Wall Street regulator stands accused of a "gross abuse" of power in its investigation into the digital assets firm DEBT Box.

Having hit most of the big Wall Street firms with hefty fines for misusing WhatsApp and similar services, regulators are now turning their attention to independent advisors.

A magistrate judge finds the clients' family failed to put forward 'legally sound' claims that JPMorgan breached any duties by putting an elderly couple into risky securities tied to oil and gas.

The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.

Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

The legal action also alleges Mark Lamkin's former associates conspired behind his back to prevent him from leaving with his clients.

The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.

Coverage providers have come to expect that some clients will find fault with their advisors during down markets, whether the blame is warranted or not.

A lawyer says the industry has been on notice at least since the "Boom Boom Room" scandal of the 1980s that hostile workplaces won't be tolerated.

Industry lawyers say the case shows that "half disclosures" of brokers' conflicts of interest won't be enough for regulators.

Christopher Armstrong and Randall Kiefner question an arbitration ruling finding they owe Charles Schwab nearly $3 million.

With so many compliance systems on the market, regulators are likely to look askance at firms that don't embrace them.

The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.