No. 23-5086

Betsy Sachs v. Financial Industry Regulatory Authority

Lower Court: First Circuit
Docketed: 2023-07-12
Status: Denied
Type: IFP
Response WaivedRelisted (2)IFP
Tags: administrative-law civil-rights constitutional-constraints due-process executive-power finra-immunity non-delegation-doctrine private-delegation quasi-governmental quasi-governmental-entity securities-regulation
Key Terms:
Arbitration Antitrust DueProcess FourthAmendment FifthAmendment Securities JusticiabilityDoctri
Latest Conference: 2023-11-09 (distributed 2 times)
Question Presented (AI Summary)

Does FINRA have immunity?

Question Presented (from Petition)

No question identified. : Gmail’WRIT OF CERTIORARI 1/28/23, 10:18 PM 4 ih Gmail Betsy Sachs WRIT OF CERTIORARI Betsy Sachs Sat, Jan 28, 2023 at 10:16 PM Draft No. ; IN THE SUPREME COURT OF THE UNITED STATES Betsy Sachs, Petitioner vs : Finra, Respondent ON PETITION FOR A WRIT OF CERTIORARI TO FIRST CIRCUIT COURT OF APPEALS PETITION FOR WRIT OF CERTIORARI Betsy Sachs PO Box 124 Rockville, Rl, 02873 (401) 714-5169 QUESTIONS 1. DOES FINRA HAVE IMMUNITY? 2. DOES THE REGULATION OF US SECURITIES PROFESSIONALS REMAIN A PRIVATE ENTERPRISE FREE FROM THE CONSTITUTIONAL CONSTRAINTS ON PUBLIC ACTORS? Page 1 of 26 Gmail*WRIT OF CERTIORARI 1/28/23, 10:18 PM 3. SHOULD FINRA BE REQUIRED TO DEMONSTRATE EXCEPTIONALLY CLEAR DELEGATION OF AUTHORITY FROM CONGRESS WHEN IT SEEKS TO ADDRESS PROBLEMS IN WAYS THAT HAVE MAJOR ECONOMIC OR POLITICAL SIGNIFICANCE? 4. IS FINRA A QUASI GOVERNMENTAL ENTITY WITH PRIVATE/PUBLIC DISTINCTION? 5. SHOULD SCOTUS VOID SOME CRITICAL SRO RULE? 6. WILL SCOTUS EXTEND ITS EMERGING DOCTRINES TO INVALIDATE FINRA? 7. THE CENTRAL QUESTION BECOMES WHETHER FINRA IS EXERCISING EXECUTIVE POWER WITHIN THE MEANING OF THE CONSTITUTION OR WHETHER IT IS A TRULY PRIVATE SELFREGULATORY ORGANIZATION. 8. SHOULD SCOTUS TAKE RENEWED INTEREST IN ITS PRIVATE NON DELEGATION DOCTRINE? 9. WHAT IS JUSTICE?

Docket Entries

2023-11-13
Rehearing DENIED.
2023-10-24
DISTRIBUTED for Conference of 11/9/2023.
2023-10-16
2023-10-02
Petition DENIED.
2023-08-10
DISTRIBUTED for Conference of 9/26/2023.
2023-08-08
Waiver of right of respondent Financial Industry Regulatory Authority to respond filed.
2023-02-01
Petition for a writ of certiorari and motion for leave to proceed in forma pauperis filed. (Response due August 11, 2023)

Attorneys

Betsy Sachs
Betsy Sachs — Petitioner
Betsy Sachs — Petitioner
Financial Industry Regulatory Authority
Robert Clark CorrenteWhelan, Corrente & Flanders LLP, Respondent
Robert Clark CorrenteWhelan, Corrente & Flanders LLP, Respondent