In the News

Their Uber Driver Crashed. A Pizza Order Unraveled Their Injury Lawsuit. - October 4, 2024

Bankers Hit With Millions in Breakup Fees for Ditching New Jobs - April 17, 2024

Private Equity Bigwig Wins $3.2M From UBS After Losses - November 1, 2023

Pressure on First Republic Mounts as Advisors Jump Ship - April 28, 2023

FTC Proposes Banning Noncompete Agreements. What It Means for Advisors. - January 6, 2023

Despite a $5.2M YES arb loss, its biggest yet, UBS may keep fighting - September 26, 2022

FINRA Orders UBS To Pay $5M In Biggest Award Yet For Options Strategy Losses - September 21, 2022

Retired Couple Wins $5.2 Million Award From UBS Over YES Strategy - September 19, 2022

US Bank Funds Avoid $25M Bond Fraud Suit with Settlement - September 17, 2020

US Bank Must Face $25M Bond Fraud Claims At Trial - June 11, 2020

Advisors win $2.5M deferred comp case against Credit Suisse - September 9, 2019

Ex-Credit Suisse Trio Wins $3 Million in Deferred Comp Arbitration - September 9, 2019

FINRA arbitrators award more than $3 million to three former Credit Suisse brokers - September 6, 2019

When New Investor-Protection Rules Come Up Short, States Step In - September 6, 2019

Ex-Morgan Stanley advisor sent thank you cards to clients. Now he's in legal trouble - July 11, 2019

Advisors bolt, Morgan Stanley sues. Is this the 'new normal'? - June 13, 2019

Morgan claims $280M advisors violated non-solicit. Judge doesn’t buy it. - March 28, 2019

Regulator Seeks Information About Goldman Sachs Ethics Complaint - October 23, 2018

Morgan’s protocol exit was ‘bait-and-switch,’ $660M team says in lawsuit - September 25, 2018

Big Brokers Rebuild After Compliance Flaps at Goldman, Morgan Stanley - September 24, 2018

Advisors test new strategy to duck arbitration losses. Will it work? - August 7, 2018

Is UBS following Morgan Stanley in post-protocol litigation? - March 6, 2018

How Morgan Stanley’s ex-broker lawsuits could backfire - February 27, 2018

In bitter dispute, Credit Suisse fights class-action suit by former brokers - February 13, 2018

A safe post-protocol landing? Advisor quits UBS for Raymond James - February 2, 2018

Client complaints: 'I’ve seen things get bad' - December 29, 2017

Broker Sued by Morgan Stanley: I Found My Clients by Myself - December 13, 2017

Merrill Lynch Says It Will Remain in Broker Recruiting Pact - December 4, 2017

Broker Protocol FAQ: Who's out, who's next and what advisors may lose - November 30, 2017

WSJ Wealth Adviser Briefing: UBS’s Broker Protocol Exit, Adviser Voice on ‘Gray Divorces’ - November 28, 2017

Morgan Stanley exits Broker Protocol — will others follow? - October 30, 2017

Morgan Stanley to Pull Out of Recruiting Pact with Rival Firms - October 30, 2017

Pension Funds Sue US Bank For $25M Tribal Bond Fraud Loss - August 23, 2017

In UBS-RIA Spat, a Warning for Advisors Switching Firms - August 3, 2017

FINRA’s 2017 Priorities: Monitoring High-Risk Brokers and Protecting Seniors - January 4, 2017

Ex-RIA owner loses $13M arbitration to broker-dealer C.L. King - December 6, 2016

Did the Fiduciary Rule Just Kill Huge Recruiting Bonuses? - October 27, 2016

Arbitration Panel Turns the Tables on Merrill Lynch - October 11, 2016

Advisers' arbitration rights reaffirmed in comp spat with Credit Suisse - September 12, 2016

Did FINRA just open the floodgates to millions in claims against Credit Suisse? - July 22, 2016

Client’s estate wins $10M arbitration against clearing firm C.L. King - June 10, 2016

Securities Firm Ordered to Pay $10 Million for Investor Losses - June 9, 2016

Eaton Vance Sues Advisors Who Jumped to Morgan Stanley - March 31, 2016

What's in the Pipeline? - March 2016

Finra Begins a Review of Brokerage Firm Culture - February 23, 2016

The second coming of Steven Cohen - January 11, 2016

In Insider Trading Settlement, Steven Cohen Will Be Free to Manage Outside Money in 2 Years - January 8, 2016

Finra to Examine Brokerage Firm Culture - January 5, 2016

Credit Suisse Claims UBS Raided Staff - December 21, 2015

UBS Recruiting Ignites Raiding Claim, Spoils Credit Suisse-Wells Fargo Deal - December 17, 2015

Clients Accuse $1.2B Ex-Merrill Advisor of Unauthorized Trades, Overcharging - April 8, 2015

COMPLY-Clearing firms fear Wall Street regulator's data proposal - March 18, 2014

A Much Criticized Pocket of the Rockaways, Built to Survive a Storm - November 19, 2012

Ex-Wells Fargo broker scores partial win in legal dispute - August 29, 2012

Goldman, Still Playing in Bayou's Mud - August 18, 2012

Goldman to Sell Unit to State Street for $550 Million - July 17, 2012

Jefferies scores in $178 mln auction-rate battle - July 9, 2012

Court Rejects Goldman's Appeal of $20.6M Arbitration Award - July 5, 2012

Goldman Dealt Setback in Bayou Case - July 5, 2012

Court Upholds Big Award Against Goldman - July 5, 2012

Goldman Sachs loses appeal of $20.6 mln Bayou award - July 4, 2012

Schulte Roth Loses Bid to Wipe Out $20.6 Million Goldman Arbitration Award - July 3, 2012

Goldman Loses Appeal of Bayou Creditors' Arbitration Win - July 3, 2012

SAC's Cohen Said to Be Deposed in SEC Trading Probe - June 21, 2012

Goldman Continues To Fight $20.6M Bayou Award In U.S. Appeals Court - March 12, 2012

Marketplace - February 29, 2012

Goldman Cuts Broker Ties Amid Scrutiny Of Customer Interaction - December 22, 2011

Citigroup's Mathur Said to Depart With Hybrid Traders as Pandit Cuts Jobs - December 9, 2011

Too Big For Their Britches? - December 1, 2011

Citigroup Saudi Deal Haunts Pandit - November 30, 2011

Goldman Battles Bayou Decision - October 15, 2011

Goldman Sachs Asks Court to Throw Out $20.5 Million Bayou Creditors’ Award - October 15, 2011

Citigroup Aims to Stop Arbitration From Proceeding - October 7, 2011

Citigroup Sues to Block Arbitration of Saudi Investors? Claim - October 6, 2011

Special Report: A fame-seeking Philly trader's rap falls flat - May 12, 2011

FINRA: Citi to Pay Investors $6.4M - February 9, 2011

Intelisano: For Madoff Victims Two Years Later, It'll Never Be the Same - December 9, 2010

Goldman’s $20 Million Consequence - November 30, 2010
Source:NY Times Dealbook

Probe leads investors to wonder: Is game rigged? - November 24, 2010

Goldman loses bid to toss record Bayou award - November 9, 2010

Judge Rakoff Confirms $20.6 Million Arbitration Award Against Goldman Sachs - November 9, 2010

Judge Upholds Award Against Goldman - November 8, 2010
Source:NY Times Dealbook

Goldman Fighting Bayou $20M+ Arbitration Award - October 22, 2010

In Clearing Bayou, Quagmire for Goldman - October 21, 2010
Source:NY Times Dealbook

Plaintiffs’ Bar Unhappy With Tip Process - October 14, 2010
Source:NY Times Dealbook

Vision Capital scored big with its Harvard ties - Sepember 24, 2010

Creditors Want Award Against Goldman Upheld - September 8, 2010

Trade Group Seeks to Have Bayou Award Thrown Out - August 6, 2010

Goldman Sues to Vacate $20.6 Million Bayou Award - July 24, 2010

Goldman Must Pay Some Bayou Losses - June 26, 2010

Goldman Told to Pay Bayou Fund Creditors - June 26, 2010

Goldman to pay $21m to settle claims over Bayou collapse - June 26, 2010

Paulson & Co. May Face Investor Lawsuits on Goldman Sachs CDO, Lawyers Say - April 16, 2010

Featured Alumnus - Spring, 2010

Investor in defunct Bear fund wins $3.4 mln award - February 9, 2010

Galleon Wiretaps Rattle Hedge Funds as Insider Trading Targeted - October 26, 2009

Broker aided Madoff, US says - June 23, 2009

Madoff Scandal Casts Light on Investment Advisers - April 07, 2009

Stanford: Signs That Should Have Worried Investors - February 18, 2009

Madoff: Layers and Layers of Players - January 15, 2009

Bernard Madoff faces potential 150 years in prison after lawyer confirms he is likely to plead guilty - January 11, 2009

Madoff Investors Paid Fees to Funds for Profits That Vanished - January 09, 2009

Analysts: Firm Sent Clients 'Dated' Info - December 17, 2009

Rajaratnam’s Former Colleagues Cooperate, Plead Guilty in Case - November 6, 2009

Westridge Got $21.3 Million From School Weeks Ago - February 02, 2009

Antisemites feast on Madoff misery - December 18, 2008

Madoff in house arrest and SEC under fire - December 17, 2008

Former investors could still be targeted - December 16, 2008

A Palm Beach Enclave, Stunned by an Inside Job - December 14, 2008

Legal experts see wide fallout from Madoff case - December 12, 2008

Defrauded Fund Investors Sue Goldman - July 18, 2008

Bayou's Israel Was Cheated in Scam, Investigator Says - July 15, 2008

Agents search for NY swindler who faked suicide - June 20, 2008

Probe deepens in missing U.S. hedge fund manager - June 13, 2008

Search widens for missing ex-hedge fund manager - June 11, 2008

Search for hedge-fund crook despite suicide note - June 10, 2008

Smaller Law Firms Catch a Break in Market Crisis - April 17, 2008

Bayou Co-Founder Gets 4 1/4 Year Sentence for Fraud - December 22, 2008

The Bankruptcy Development That Has Wall St. Worried - February 23, 2007

Bear Stearns likely to face hedge fund lawsuits - June 28, 2007

Bear Stearns hedge fund investor files claim - August 02, 2007

U.S. Stock-Index Futures Decline; Countrywide, Goldman Retreat - August 15, 2007

Goldman Fund Cuts Fees to Woo Investors After Loss - August 15, 2007

Sentinel Sold to Citadel Too Cheaply, Customers Say - August 17, 2007

Citadel Wades Into Credit Crisis With E*Trade Deal - November 29, 2007

Probe of Insider Trading at Bear Stearns - December 17, 2007

Hedge Funds Withdraw SEC Registrations After Ruling - September 22, 2006

Feds Get Break In Suicide Fugitive Case - July 20, 2006

Cops: Hedge Fund Swindler No Suicide - July 16, 2006

Mets Owner Sued In Bayou Collapse - July 13, 2006

Bayou Investors Seek to Recover More Than $100 Mln - September 30, 2005

Bayou and the Bush Cousin - September 20, 2005

Lawyers look for Bayou liability - September 6, 2005

Big Account In Arizona May Hold Bayou Cash - August 31, 2005

Bayou Fund, Founder Face Lawsuits Over $4.5 Mln in Unpaid - August 31, 2005

Money seized from Bayou Management hedge funds - August 30, 2005

Letter admits years of fraud at Bayou, police say - August 29, 2005

A Hedge Fund Falls Off the Face of the Earth - August 28, 2005

Birthday Suit - Ex-Hennessee Exec Claims Pregnancy Led To Firing Birthday Suite - March 24, 2005