Litigation

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

Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid Prison

February 12, 2024

Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid Prison
IRA Lawsuit Shows Why Advisors Must Watch for Elder Financial Abuse

February 08, 2024

IRA Lawsuit Shows Why Advisors Must Watch for Elder Financial Abuse
Arraignment Set for LPL Network Firm Employee Charged With Double Murder

February 08, 2024

Arraignment Set for LPL Network Firm Employee Charged With Double Murder
'Annuity King' Gets 15-Year Sentence, Files Appeal

February 06, 2024

'Annuity King' Gets 15-Year Sentence, Files Appeal
SS&C Seeks $889M in Appeal of BNY Data-Misuse Case

February 05, 2024

SS&C Seeks $889M in Appeal of BNY Data-Misuse Case
Raymond James to Pay Fine in Oregon Over High Commissions

February 01, 2024

Raymond James to Pay Fine in Oregon Over High Commissions
Judge Approves $6.3M Forfeiture for 'Annuity King'

February 01, 2024

Judge Approves $6.3M Forfeiture for 'Annuity King'