No. 22-924

John M. Fife v. Financial Industry Regulatory Authority, Inc.

Lower Court: Second Circuit
Docketed: 2023-03-22
Status: Denied
Type: Paid
Response Waived
Tags: administrative-law declaratory-judgment due-process exchange-act federal-jurisdiction finra-discipline securities-exchange-act securities-law standing subject-matter-jurisdiction
Key Terms:
AdministrativeLaw Arbitration ERISA DueProcess Securities Privacy JusticiabilityDoctri
Latest Conference: 2023-05-11
Question Presented (AI Summary)

Whether Congress impliedly stripped federal district courts of their 'exclusive jurisdiction' to determine whether FINRA violates the Exchange Act when it purports to exercise its disciplinary jurisdiction beyond the bounds set by Congress

Question Presented (OCR Extract)

question presented is: Whether Congress impliedly stripped federal district courts of their “exclusive jurisdiction” to determine whether FINRA violates the Exchange Act when it purports to exercise its disciplinary jurisdiction beyond the bounds set by Congress.

Docket Entries

2023-05-15
Petition DENIED.
2023-04-19
DISTRIBUTED for Conference of 5/11/2023.
2023-03-21
Waiver of right of respondent Financial Industry Regulatory Authority, Inc. to respond filed.
Main DocumentMain Document
2023-03-20
Petition for a writ of certiorari filed. (Response due April 21, 2023)
PetitionCertificate of Word CountProof of ServicePetitionCertificate of Word CountProof of Service

Attorneys

Financial Industry Regulatory Authority, Inc.
John P. Mitchell — Faegre Drinker Biddle & Reath, LLP, Respondent
John P. Mitchell — Faegre Drinker Biddle & Reath, LLP, Respondent
John M. Fife
Martin H. Kaplan — Gusrae Kaplan Nusbaum PLLC, Petitioner
Martin H. Kaplan — Gusrae Kaplan Nusbaum PLLC, Petitioner