Litigation

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

Morgan Stanley to Pay $60M Over Data Breaches

January 04, 2022

Morgan Stanley to Pay $60M Over Data Breaches
Ex-OppenheimerFunds Analyst Pleads Guilty to Securities Fraud

December 21, 2021

Ex-OppenheimerFunds Analyst Pleads Guilty to Securities Fraud
Wedbush to Pay More Than $1.2M Over Unregistered Microcap Securities Sales

December 16, 2021

Wedbush to Pay More Than $1.2M Over Unregistered Microcap Securities Sales
Ex-Ameriprise Rep Who Defrauded Retirees Gets 14 Years in Prison

December 15, 2021

Ex-Ameriprise Rep Who Defrauded Retirees Gets 14 Years in Prison
Ex-Broker Charged With Murdering Client May Also Face FINRA Sanctions

December 13, 2021

Ex-Broker Charged With Murdering Client May Also Face FINRA Sanctions
7 Worst Bogus Advisors in America: 2021

December 13, 2021

7 Worst Bogus Advisors in America: 2021
Ex-LPL Rep Sentenced to 2½ Years in Prison for Stealing From Retired Client

December 10, 2021

Ex-LPL Rep Sentenced to 2½ Years in Prison for Stealing From Retired Client