Litigation

Get the latest news and insights on litigation affecting financial advisors and the broader financial services industry.

The Ex-Girlfriend and the 401(k): A Cautionary Estate Planning Tale

May 09, 2024

The Ex-Girlfriend and the 401(k): A Cautionary Estate Planning Tale
Fidelity Sales Practices Violated Reg BI, Advisor Says in Whistleblower Suit

May 08, 2024

Fidelity Sales Practices Violated Reg BI, Advisor Says in Whistleblower Suit
Trustee Says Schwab Is Hoarding His Father's Money: Lawsuit

May 07, 2024

Trustee Says Schwab Is Hoarding His Father's Money: Lawsuit
New DOL Fiduciary Rule Hit With First Lawsuit

May 02, 2024

New DOL Fiduciary Rule Hit With First Lawsuit
Former Merrill Advisor Sues Over Unvested Commissions

May 01, 2024

Former Merrill Advisor Sues Over Unvested Commissions
Lawsuit Cuts Equitable's $1.3B Gain on a Universal Life Price Hike

May 01, 2024

Lawsuit Cuts Equitable's $1.3B Gain on a Universal Life Price Hike
New Arraignment Set for LPL Network Firm Worker Charged in Double Slaying

April 30, 2024

New Arraignment Set for LPL Network Firm Worker Charged in Double Slaying