News & Analysis as of

FINRA Hearing Panel

Carlton Fields

Against All Odds Alpine Wins Important Injunction Against FINRA

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On July 5, 2023, the D.C. Circuit Court of Appeals issued an injunction that raises a challenge to FINRA’s authority to use FINRA-appointed hearing officers to conduct enforcement proceedings. The injunction enables Alpine...more

A&O Shearman

DC Circuit Enjoins FINRA Disciplinary Proceeding, Questions Constitutionality of Hearing Officers

A&O Shearman on

On July 5, the United States Court of Appeals for the D.C. Circuit granted an emergency injunction blocking the Financial Industry Regulatory Authority (“FINRA”) from halting the securities business of Alpine Securities...more

Carlton Fields

D.C. Circuit Deals Shocking Blow to FINRA Enforcement

Carlton Fields on

On July 5, 2023, the D.C. Circuit Court of Appeals enjoined FINRA from expelling Alpine Securities Corp. through an expedited disciplinary proceeding following an emergency motion for an injunction pending appeal. The...more

Bressler, Amery & Ross, P.C.

Virtual Arbitrations Before FINRA: An Update and a Look Forward

As we approach year three of the COVID-19 pandemic, FINRA Dispute Resolution’s arbitration hearings are being heard both in-person and via Zoom. Originally published in American Bar Association’s Alternative Dispute...more

Burr & Forman

FINRA-DR Extends Postponement of In-Person Hearings

Burr & Forman on

On March 27, securities regulator FINRA extended its previous postponement of in-person hearings from May 1 through May 31.  FINRA also will offer virtual hearing options (including Zoom) by agreement or panel order....more

Carlton Fields

Fifth Circuit Affirms Confirmation of Arbitration Ruling in Favor of Ameriprise Financial

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The Fifth Circuit affirmed the confirmation of an arbitration ruling in favor of Ameriprise Financial Services Inc. In 2015, Ameriprise sought a temporary restraining order against Jeremy Walker, a former employee of an...more

UB Greensfelder LLP

Contrary To What FINRA Believes, Rule 8210 Is Not A Search Warrant

UB Greensfelder LLP on

I have been waiting for a while to write about this issue, since it arose in an Enforcement case I handled for a client, and I wanted the matter to run its full course at FINRA before I started throwing stones. Sadly, there...more

Bass, Berry & Sims PLC

Chris Lazarini Comments on Court's Remand for Clarification of Arbitration Award

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a court took the unusual step of remanding a case to the arbitration panel to explain the rationale behind its award. The Court made the decision because...more

Dorsey & Whitney LLP

SEC Brings Another Insider Trading Case Tied To Golf

Dorsey & Whitney LLP on

Golf is becoming a recurring theme in insider trading cases. Last month the SEC brought an insider trading action against a group of golf friends. That action, detailed here, was supported by a series of e-mails among the...more

Hinshaw & Culbertson LLP

FINRA Panel Rules on Charles Schwab's Challenge to FINRA Rules Prohibiting Class Action Waiver Clauses

In October 2011, Charles Schwab ("Schwab") began inserting into its customer Account Agreements a class action waiver clause....more

Eversheds Sutherland (US) LLP

Stepping Into the Ring Against the SEC and FINRA: Sometimes It Pays to Duke It Out Against the Regulators

Originally published in Thomson Reuters - Securities Regulation Law Journal - Winter 2012. Faced with the possibility of litigating against the Securities and Exchange Commission (SEC) or the Financial Industry...more

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