Litigation

Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.

The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.

A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”

A federal judge ruled that the ex-Barclays advisor had been unfairly forced into FINRA arbitration, where a panel had ruled against him.

A new rule addresses double jeopardy, but doesn’t apply in older cases.

A planner's lawsuit claims the bank improperly funneled $3 billion into its own target-date funds.

Planners and brokers alike must revisit their policies and procedures, caution legal and compliance experts. Here’s where to start.