Cases 1 - 10 of 13
United States Securities and E v. McGinn, Smith & Company, Incor
as 22-746
Plaintiff / Appellee:
United States Securities and Exchange Commission
Defendant:
McGinn, Smith & Company, Incorporated, McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corporation and others
Intervenor:
United States Attorney's Office of the Northern District of New York
Defendant / Appellant:
David L. Smith
Fife v. Financial Industry Regulatory
as 22-750
Plaintiff / Appellant:
John M. Fife
Defendant / Appellee:
Financial Industry Regulatory Authority, Inc.
United States Securities and E v. Lek Securities Corporation
as 21-453
Defendant:
Lek Securities Corporation and Samuel Lek
3Rd Party Defendant:
Financial Industry Regulatory Authority, Inc.
Defendant / Appellant:
Nathan Fayyer, Vali Management Partners, DBA Avalon Fa LTD." and Sergey Pustelnik, AKA Serge Pustelnik
Plaintiff / Appellee:
United States Securities and Exchange Commission
Securities and Exchange Commis v. Lek Securities Corporation
as 20-1854
Defendant:
Lek Securities Corporation and Samuel Lek
3Rd Party Defendant:
Financial Industry Regulatory Authority, Inc.
Defendant / Appellant:
Nathan Fayyer, Vali Management Partners, DBA Avalon Fa LTD." and Sergey Pustelnik, AKA Serge Pustelnik
Plaintiff / Appellee:
United States Securities and Exchange Commission
Downey v. United States of America
as 19-2968
Defendant / Appellee:
Asoka Woehrmann, DWS Trust Company, William P. Barr, DOJ - Attorney General, President Robert W. Cook, FINRA - Financial Industry Regulatory Authority and others
Plaintiff / Appellant:
Mark Downey
First Capital Real Estate Inve v. SDDCO Brokerage Advisors, LLC
as 19-670
Respondent / Appellee:
SDDCO Brokerage Advisors, LLC
Respondent:
Financial Industry Regulatory Authority, Inc.
Petitioner / Appellant:
First Capital Real Estate Investments, LLC, a California limited liability company
Deutsch v. Fidelity Brokerage Services LL
as 18-1896
Petitioner - Appellant:
Peter E. Deutsch and William J. Deutsch
Respondent - Appellee:
Fidelity Brokerage Services LLC and National Financial Services LLC
Defendant:
Financial Industry Regulatory Authority, Inc., ("FINRA")
Fidelity Brokerage Services LL v. Deutsch
as 18-1774
Petitioner - Appellee:
Fidelity Brokerage Services LLC and National Financial Services LLC
Respondent - Appellant:
Peter E. Deutsch and William J. Deutsch
Defendant:
Financial Industry Regulatory Authority, Inc., (FINRA)
Pfeffer v. FINRA's Arbitration Panel
as 17-1819
Plaintiff - Appellant:
Alba T. Pfeffer
Defendant - Appellee:
Wells Fargo Advisors, LLC, One Wells Fargo Center 301 South College Street Charlotte, NC 28202 and Andre Mirkine, One Wells Fargo Center 301 South College Street Charlotte, NC 28202
Defendant:
Financial Industry Regulatory Authority, Inc., Arbitration Panel,One Liberty Plaza, 165 Broadway, 27th Floor, New York, NY 10006
Santos-Buch v. Financial Industry Regulatory
as 14-2767
Plaintiff - Appellant:
Alan Santos-Buch
Defendant - Appellee:
Financial Industry Regulatory Authority, Inc.
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