| 24-904 |
Alpine Securities Corporation v. Financial Industry Regulatory Authority, et al. |
District of Columbia |
2025-02-24 |
Denied |
administrative-law constitutional-structure finra-enforcement non-delegation-doctrine prosecutorial-discretion securities-regulation |
Whether an enforcement proceeding by a constitutionally illegitimate actor constitutes irreparable injury and whether FINRA's structure violates const… |
| 24A808 |
Alpine Securities Corporation v. Financial Industry Regulatory Authority, et al. |
District of Columbia |
2025-02-20 |
Presumed Complete |
None |
|
| 24A786 |
Alpine Securities Corporation v. Financial Industry Regulatory Authority, et al. |
District of Columbia |
2025-02-14 |
Presumed Complete |
None |
|
| 23-7159 |
Thomas Joseph Buck v. Janice J. Compton |
Sixth Circuit |
2024-04-08 |
Denied |
circuit-court circuit-court-rulings civil-rights constitutional-rights due-process false-statements judicial-review legal-remedy standing |
What is the Supreme Court's duty when a Circuit Court introduces false statements into the facts of a case? |
| 23-5086 |
Betsy Sachs v. Financial Industry Regulatory Authority |
First Circuit |
2023-07-12 |
Denied |
administrative-law civil-rights constitutional-constraints due-process executive-power finra-immunity non-delegation-doctrine private-delegation quasi-governmental quasi-governmental-entity securities-regulation |
Does FINRA have immunity? |
| 22-924 |
John M. Fife v. Financial Industry Regulatory Authority, Inc. |
Second Circuit |
2023-03-22 |
Denied |
administrative-law declaratory-judgment due-process exchange-act federal-jurisdiction finra-discipline securities-exchange-act securities-law standing subject-matter-jurisdiction |
Whether Congress impliedly stripped federal district courts of their 'exclusive jurisdiction' to determine whether FINRA violates the Exchange Act whe… |
| 22-215 |
Heslin Gallagher v. Financial Industry Regulatory Authority, Inc. |
Eleventh Circuit |
2022-09-09 |
Denied |
7th-amendment absolute-immunity civil-procedure civil-rights due-process jury-trial quasi-governmental-immunity securities-exchange-commission self-regulatory-organization seventh-amendment standing |
Whether clarification is needed to resolve the conflicts among the various circuits when a Self-Regulatory Organization registered with the Securities… |
| 20-275 |
Barrington Boyd v. Teachers Insurance and Annuity Association of America, et al. |
Fourth Circuit |
2020-09-02 |
Denied |
blacklisting civil-rights due-process employment-discrimination expungement financial-services FINRA finra-form-u5 regulatory-action title-vii |
Whether large financial services employers should be able to use FINRA Form U5 as a blacklisting tool against former employees who raised discriminati… |
| 19-1015 |
Jeremy J. Walker v. Ameriprise Financial Services, Incorporated |
Fifth Circuit |
2020-02-14 |
Denied |
9-usc-10 arbitration-agreement arbitrator-powers federal-arbitration-act finra finra-code industry-code industry-dispute judicial-review mandatory-arbitration nasd securities-regulation |
Does the FINRA Industry Code supply the terms of the arbitration agreement governing a mandatory arbitration between a member and associated person? |
| 19-643 |
John Hurry, et al. v. Financial Industry Regulatory Authority, Inc., et al. |
Ninth Circuit |
2019-11-19 |
Denied |
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 |
Whether FINRA, an ostensibly private corporation invested with vast powers to regulate the securities industry, is absolutely immune from any claims a… |
| 18-8752 |
Kulwant Singh Sandhu v. United States |
Ninth Circuit |
2019-04-10 |
Denied |
administrative-law circuit-split criminal-law criminal-speech first-amendment free-speech harassment public-policy statutory-interpretation telecommunications telephone-harassment |
Does 47 U.S.C. subsection 223(a)(1)(D) prohibit only the harassment caused by repeatedly ringing a telephone or does it also prohibit repeated verbal … |
| 18-7925 |
Syed Nazim Ali v. Financial Industry Regulatory Authority, Inc. |
Ninth Circuit |
2019-02-12 |
Denied |
arbitration arbitration-immunity civil-rights corporate-representation due-process fair-hearing finra-arbitration immunity legal-standing pro-se-representation small-business small-corporation sole-owner |
Whether FINRA Arbitration process violated the Petitioner's rights of due process of law by failing to be fair and using the arbitration immunity to s… |