FINRA
5 cases — ← All topics
| Case | Title | Lower Court | Docketed | Status | Flags | Tags | Question Presented |
|---|---|---|---|---|---|---|---|
| 21-1316 | In Re Darru Hsu | 2022-04-01 | Denied | agency-authority chevron-deference class-action constitutional-rights federal-arbitration-act finra finra-arbitration fraud investment-advisers-act judicial-review | Federal Arbitration Act (FAA) contradicts Investment Advisers Act (IAA) when fraud is inside an investment contract. All investors therefor are entitl… | ||
| 20-275 | Barrington Boyd v. Teachers Insurance and Annuity Association of America, et al. | Fourth Circuit | 2020-09-02 | Denied | Response Waived | blacklisting civil-rights due-process employment-discrimination expungement financial-services FINRA finra-form-u5 regulatory-action title-vii | Is it a matter of national interest and importance that large financial services employers should not be able to skate around discrimination laws, EEO… |
| 20-114 | Michael Edward Bufkin v. Scottrade, Inc., et al. | Eleventh Circuit | 2020-08-04 | Denied | administrative-law arbitration-dispute civil-procedure compelled-arbitration due-process finra foia-request judicial-procedure standing statutory-interpretation tax tax-controversy | 1. Was it error to compel FINRA arbitration of this "tax" dispute? 2. Was it error to refer anything to the un-consented-to magistrate? 3. Was it ab… | |
| 19-1015 | Jeremy J. Walker v. Ameriprise Financial Services, Incorporated | Fifth Circuit | 2020-02-14 | Denied | Response Waived | 9-usc-10 arbitration-agreement arbitrator-powers federal-arbitration-act finra finra-code industry-code industry-dispute judicial-review mandatory-arbitration nasd securities-regulation | 1. Does the FINRA Industry Code supply the terms of the arbitration agreement governing a mandatory arbitration between a member (such as Ameriprise) … |
| 19-643 | John Hurry, et al. v. Financial Industry Regulatory Authority, Inc., et al. | Ninth Circuit | 2019-11-19 | Denied | Response RequestedResponse WaivedRelisted (2) | civil-rights constitutional-law due-process finra immunity law-enforcement-powers private-corporation regulatory-authority securities-industry securities-regulation state-action state-actor tort-immunity | 1. Whether FINRA, an ostensibly private corporation invested with vast powers to regulate the securities industry, is absolutely immune from any claim… |