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The government seeks to suspend pending litigation surrounding the fiduciary rule, to allow the Labor Department to decide how to proceed under the new administration.
New York-based advisor Francis Smith wants a temporary restraining order to stop FINRA from allegedly requiring on-the-record testimony without the protection of the Fifth Amendment.
James Arthur McDonald was arrested in June 2024 after more than two years on the run from law enforcement. The Justice Department accused him of defrauding clients of at least $2.7 million.
Edelman moved to add Prime Capital as a defendant in three ongoing lawsuits this week, arguing the firm helped departing advisors steal proprietary information and break non-solicitation vows.
Ameriprise sued the IBD and several former employees last week, claiming the reps who left solicited clients and took confidential information, violating the Protocol for Broker Recruiting.
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