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
10/11/2023
/ Adjudicatory Process ,
Administrative Agencies ,
Administrative Authority ,
Administrative Law Judge (ALJ) ,
Broker-Dealer ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
FINRA Hearing Panel ,
Injunctions ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Self-Regulatory Organizations
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