Cases filed in the Second Circuit Courts
Cases 1 - 10 of 41
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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.
NYPPEX, LLC et al v. Financial Industry Regulatory Authority, Inc. We have downloadable decisions or orders for this case
as 7:2022cv01528
Plaintiff: NYPPEX, LLC, Michael Schunk and Laurence Allen
Defendant: Financial Industry Regulatory Authority, Inc.
Cause Of Action: 28 U.S.C. § 1441 nr Notice of Removal
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
Fife v. Financial Industry Regulatory Authority, Inc. We have downloadable decisions or orders for this case
as 1:2020cv10716
Defendant: Financial Industry Regulatory Authority, Inc.
Plaintiff: John M. Fife
Loftus v. Financial Industry Regulatory Authority We have downloadable decisions or orders for this case
as 1:2020cv07290
Plaintiff: Robert Loftus
Defendant: Financial Industry Regulatory Authority
AltaCorp. Capital Inc. v. Financial Industry Regulatory Authority, Inc. et al We have downloadable decisions or orders for this case
as 1:2020cv05221
Defendant: Financial Industry Regulatory Authority, Inc., FINRA Regulation, Inc. and John C.T. Cloghesy
Plaintiff: AltaCorp. Capital Inc.
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
Capital One Financial Corporation et al v. Hummer et al We have downloadable decisions or orders for this case
as 1:2019cv11582
Defendant: Jan Hummer, FINRA Regulation, Inc. and Financial Industry Regulatory Authority, Inc.
Plaintiff: Capital One Investing, LLC and Capital One Financial Corporation
Cause Of Action: 28 U.S.C. § 1332
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

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