Litigation

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

Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year Sentence

October 12, 2022

Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year Sentence
Ex-Edward Jones Broker Who Scammed Clients Permanently Blocked From Securities Business

October 10, 2022

Ex-Edward Jones Broker Who Scammed Clients Permanently Blocked From Securities Business
Ex-Broker Found Guilty of Fraud Related to Murder of Client

October 07, 2022

Ex-Broker Found Guilty of Fraud Related to Murder of Client
In Wall Street's Biggest Gender Suit, Goldman Fought to Keep 2 Prominent Names Secret

October 06, 2022

In Wall Street's Biggest Gender Suit, Goldman Fought to Keep 2 Prominent Names Secret
SEC Smites Pastor of Fake Church Over Ponzi Scheme

September 30, 2022

SEC Smites Pastor of Fake Church Over Ponzi Scheme
Madoff Victims to Get $372M in New Payments

September 28, 2022

Madoff Victims to Get $372M in New Payments
New DOL Fiduciary Rule Faces Another Delay

September 27, 2022

New DOL Fiduciary Rule Faces Another Delay