| 22-215 |
Heslin Gallagher v. Financial Industry Regulatory Authority, Inc. |
Eleventh Circuit |
2022-09-09 |
Denied |
Response Waived |
7th-amendment absolute-immunity civil-procedure civil-rights due-process jury-trial quasi-governmental-immunity securities-exchange-commission self-regulatory-organization seventh-amendment standing |
1. Whether clarification is needed to resolve the conflicts among the various circuits when a Self-Regulatory Organization registered with the Securit… |
| 21-891 |
Benjamin Wey, et al. v. NASDAQ, Inc., et al. |
New York |
2021-12-15 |
Denied |
Response Waived |
absolute-immunity commercial-interests false-reporting federal-law-enforcement nasdaq-conduct non-existent-rule regulatory-function regulatory-functions securities-rule self-regulatory-organization self-regulatory-organizations |
Under federal common law, Nasdaq and other self regulatory organizations (SRO's) enjoy absolute immunity from suit when exercising their regulatory fu… |
| 19-830 |
Effex Capital, LLC, et al. v. National Futures Association, et al. |
Seventh Circuit |
2020-01-03 |
Denied |
Response Waived |
commodities-exchange-act federal-agency federal-preemption implied-conflict-preemption implied-preemption national-futures-association obstacle-preemption regulatory-obstacle self-regulatory-organization state-law-tort state-law-tort-claims |
1. Whether the Seventh Circuit wrongly expanded
the doctrine of implied conflict preemption by
holding that an obstacle could form the basis of pree… |
| 19-132 |
Lawrence I. Fejokwu v. Commodity Futures Trading Commission |
Third Circuit |
2019-07-26 |
Denied |
Response WaivedRelisted (2) |
administrative-law agency-deference agency-delegation civil-rights due-process regulatory-enforcement regulatory-investigation self-regulatory-organization strict-liability willfulness |
1. Willfulness & Good-faith: This Court held in Taggart, that "willfulness " requires "no fair ground of doubt " and in both Safeco and McLaughlin, th… |