Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
Carson Group Ex-CMO's Bias Suit On Hold After Allegations She Altered Evidence
By Dinah Wisenberg BrinMost proceedings are halted pending a ruling on the firm's request that the case be dismissed.
October 30, 2025
NASCAR Champ Kyle Busch Sues Pacific Life Over $8.6M Losses Tied to IUL PolicyThe driver and his wife contend they paid over $10 million in premiums based on misleading sales pitches.
October 29, 2025
Ex-Morgan Stanley Advisors Sue DOL in Deferred Comp Case"The government isn’t supposed to take a side on an issue like this," a lawyer for the advisors says.
October 29, 2025
Citi's Probe of Sieg's Conduct Didn't Include Women Who Complained: ReportThe investigation focused on bullying and unfair treatment allegations against wealth head Andy Sieg.
October 27, 2025
Suit Accuses First Trust of Aiding $89M Fraud Targeting RetireesThe scheme involved "extraordinarily risky" structured notes tied to Zoom, Tesla, Netflix and Amazon stocks, the filing contends.
October 27, 2025
Primerica Accuses Osaic of Raiding Branch Office in $50M LawsuitSix reps who had worked with 96% of the office's AUM left en masse for Osaic, the suit states.
October 20, 2025
Carson Sues Ex-Advisor for Alleged Client PoachingAn advisor who left Sweet Financial Partners, which the group acquired, is soliciting Sweet clients, according to a lawsuit.
October 17, 2025
Credit Union Hits LPL, Osaic With Client-Poaching SuitThe BDs orchestrated a scheme to steal information for 683 clients, the lawsuit alleges.