Litigation

The discount brokerage says the advisor’s primary duties after his notice of resignation were to “make himself available” to help transition his clients to other brokers.

The document further complicates an ongoing lawsuit that has already led to lost revenues at the leading turn-key asset management platform.

Claims and counterclaims fly as arbitration panel orders an advisor to repay $1.66 million in promissory notes, but that's not the last word in this nearly five-year long dispute.

John VanEngelenhoven, who had worked at Schwab for 14 years, custodies with rival TD Ameritrade at the new firm.

One of the clients who filed the claim is still trying to withdraw money from non-traded investments he says were never explained to him.

Advisor Andy Saeger reportedly reached out to two clients via email and a LinkedIn message.

The then 61-year-old employee says she got written warnings for infractions while younger colleagues went undisciplined.

The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.

An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.

AR Capital, Schorsch and former CFO Brian Block allegedly raked in millions through inflating fees in REIT mergers.

The wirehouse’s latest litigation suggests other everyday activities of defectors could come under scrutiny.

An ex-client accused the firm of misconduct, including disbursing funds to her former spouse from a restricted account without her knowledge or authorization.

The firm agreed to “remove language that formed the basis of the alleged misrepresentations."

Recent lawsuits highlight the unpredictable nature of litigation in a post-Broker Protocol world.

Is there a lesson for other advisors considering a career change?

Frederick McDonald Jr. is accused of failing to disclose key risk factors regarding the complex world of the cannabis manufacturing industry.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

The advisors joined a former colleague at Steward Partners, an independent firm affiliated with Raymond James.

The case could bring unwelcome scrutiny of Wall Street's compensation and employment practices.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.