| 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 |
Whether the Federal Arbitration Act (FAA) contradicts the Investment Advisers Act (IAA) when fraud is inside an investment contract, and whether inves… |
| 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 |
Whether large financial services employers should be able to use FINRA Form U5 as a blacklisting tool against former employees who raised discriminati… |
| 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 |
Was it error to compel FINRA arbitration of this tax dispute? |
| 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 |
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 |
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 |
Whether FINRA, an ostensibly private corporation invested with vast powers to regulate the securities industry, is absolutely immune from any claims a… |