Litigation

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.

At least one rule enshrined by President Biden's administration appears safe under President Trump's team. Here's how a 2019 law changed taxpayer disputes.

Rodney Halvorson says he agreed to join Morgan Stanley only if he could take two wealthy Mexican clients with him. But his transfers were blocked amid heightened money-laundering scrutiny.

Regulators have handed down more than $3 billion in penalties over employees' alleged failures to record business-related messages sent on services like WhatsApp.

Regulators accused the online brokerage of failing to accurately report trades, comply with short selling rules and maintain proper books and records, among other things.

Two brokers had sought an unspecified amount that they argued they were owed from when they worked at the Wall Street giant before departing for rival firms.

Lawsuits before the Supreme Court and in lower federal courts across the country could further reduce enforcement powers at the IRS and the SEC this year.

The firm says a summer intern who was turned down for a full-time position sent harassing messages that led it to close its Atlanta office for two days in January.