Justin Senior

Justin Senior

Shumaker, Loop & Kendrick, LLP

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Client Alert: FINRA’s Enforcement Arm Under Fire

Recent case developments in Alpine Sec. Corp. v. FINRA before the D.C. Circuit cast further uncertainty on the future of the Financial Industry Regulatory Authority (FINRA)’s enforcement arm....more

1/22/2025  /  Appeals , Broker-Dealer , Constitutional Challenges , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Judicial Authority , Preliminary Injunctions , Regulatory Authority , Securities and Exchange Commission (SEC) , Securities Regulation
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