Results for "lawsuits"

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Former chief executive sues First Allied

June 14, 2009

Keith Gregg, former president and chief executive of First Allied Securities Inc. of San Diego, is suing the firm, claiming that he was forced out after complaining about improper practices at the company. Officials at the firm deny the charges...

Smith Barney charges broker breached a contract

May 31, 2009

Smith Barney is not letting at least one of its brokers break away without a fight. The Citigroup Inc.-owned brokerage behemoth has hit a former adviser with litigation claiming that he improperly pursued clients and used confidential information...

Ex-Smith Barney adviser hit with lawsuit, restraining order

May 26, 2009

Smith Barney has hit a former adviser with a lawsuit, an arbitration claim and a restraining order, claiming that the rep improperly pursued clients and used confidential information after he resigned from the brokerage arm of New York-based...

'Stranded' ARS investors sue for a share of pie

May 24, 2009

Investors and financial advisers who are stuck holding auction rate securities bought from “downstream” broker-dealers have begun to step up their legal claims against the major firms that marketed the investments as safe. A new class of these...

Ex-Janus manager sues for $3.8M in wages and compensation

May 1, 2009

A Denver district court is slated to hear the case Monday of a former employee of Janus Capital Management Group Inc. who charged the firm with breach of contract. The complaint, filed against the Denver-based firm’s subsidiary Janus Management...

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