Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Barred Advisor Charged With $3.3M Fraud Against LPL, Fidelity and TD Ameritrade
By Dinah Wisenberg BrinA federal grand jury returned an 11-count indictment against Andrew Komarow.
March 03, 2026
Double Murder Trial for Former LPL RIA Employee Set for AprilRamy Fahim, formerly of Pence Wealth Management, is charged with killing two men, including a co-worker.
March 03, 2026
Sales of Much-Debated Life Product Rise 12%The total number of individual life policies sold climbed 9%, LIMRA says.
March 02, 2026
Firm Acquired by Mariner Alleges Fraud, Breach of ContractIn a lawsuit, James Hyre says Mariner broke promises of significant compensation and support after buying his Ohio firm.
February 27, 2026
Deutsche Bank's Epstein Files Throw Family Offices Into the OpenA fifth of the world's 500 richest people now have a family office, helping oversee fortunes totaling over $5 trillion.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 24, 2026
SEC Closes LPL Cash Sweep ProbeThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.
February 23, 2026
Massachusetts Advisor, Firm to Pay $150,000 in Annuity Switching CaseJeffrey Cutter and his firm failed to disclose significant upfront commissions and other conflicts of interest, a jury found.