Litigation
Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.
What 'The Wolf of Wall Street' Left Out
By Jane Wollman RusoffFBI files and interviews tell a different story about a disgraced broker in the 1990s, says Bloomberg's Jason Leopold, producer of a new docuseries.
July 27, 2026
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How a Windfall Can Become a 'Family Destroyer'David Siegel's client won a $2.6 million settlement after taking fen-phen. Doctors gave her five years to live.
July 24, 2026
The Hollow Supreme Court Disgorgement Victory: SEC RoundupThe Supreme Court ruling letting the SEC pursue disgorgement without proving investor harm may be largely symbolic.
July 15, 2026
Ex-Ameriprise Rep Wins $200K, Expungement in Defamation CaseBrooke Pilant claimed defamation, intentional misrepresentation and tortious interference. A FINRA arb panel agreed.
July 09, 2026
Former Northern Trust VP at Center of $35M Elder Fraud Suit Pleads Not GuiltyChristopher Walters, accused by Elizabeth Madden (pictured) of raiding a $20 million legacy trust, now faces criminal charges.
July 07, 2026
Edelman Appeals After Court Tosses Poaching ClaimThe wealth management firm contends that Mariner Wealth Advisors misappropriated trade secrets. A Kansas judge disagreed.
June 26, 2026
Judge Scraps United Capital's Poaching Case Against OsaicThe court allowed United Capital the opportunity to amend and refile the complaint.
June 25, 2026
Two Sales Agents Settle With SEC in Alleged $56M Ponzi SchemeOne raised millions through a purported family office, while the other promoted fraudulent notes on his radio show, the SEC says.