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Eileen Cure is seeking roughly $95 million in damages claiming defamation and loss of income.

The SEC had accused Shawn Good for spending money on luxury cars, credit card bills and more.

Adam Thomas Marquardt allegedly deposited money into client accounts to cover investment losses without Wells Fargo’s knowledge.

LPL Financial, along with Financial Resources Group Investment Services, faced accusations of concealing the actions of a registered representative who engaged in unauthorized trading in clients’ accounts.

In the latest case, the claimants sought between $1 million and $5 million in compensatory damages and unspecified punitive damages.

It's the latest action in the SEC's long-running campaign to crack down on disclosure and best-execution failures involving 12b-1 fees.

The industry’s self-regulator has teamed up with the senior citizens advocacy group to change perceptions of financial fraud involving older Americans.

The regulator alleges that UBS didn’t give its advisors access to data on the risks associated with the complex investment strategy.

Client assets in the firm’s wealth and investment management business remained flat year-over-year.

A Financial Industry Regulatory Authority arbitration panel has ruled in favor for investors who were seeking well over $7.5 million.