Cases 1 - 10 of 43
Eugene Kim v. FINRA
as 23-7136
Plaintiff / Appellant:
Eugene H. Kim
Defendant / Appellee:
Financial Industry Regulatory Authority, Inc.
Intervenor / Appellee:
United States of America
KIM v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
as 1:2023cv02420
Plaintiff:
EUGENE H. KIM
Defendant:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Amicus Curiae:
SECURITIES EXCHANGES, NATIONAL FUTURES ASSOCIATION, CME GROUP INC. and others
Intervenor:
UNITED STATES OF AMERICA
Cause Of Action: 28 U.S.C. § 1331 Fed. Question
Richard Hofman v. Fidelity Brokerage Services LLC, et al
as 23-55494
Plaintiff / Appellant:
RICHARD ALAN HOFMAN and RICHARD HOFMAN
Defendant / Appellee:
FIDELITY BROKERAGE SERVICES LLC, Previously sued as Fidelity Investment Financial Services Corporation Erroneously Sued As Fidelity Investment Financial Services Corporation, FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., DEPOSITORY TRUST AND CLEARING CORPORATION and others
Fife v. Financial Industry Regulatory
as 22-750
Plaintiff / Appellant:
John M. Fife
Defendant / Appellee:
Financial Industry Regulatory Authority, Inc.
Park v. E-Trade Financial Corporate Services, Inc. et al
as 2:2023cv00069
Plaintiff:
Jae Hyun Park
Defendant:
E-Trade Financial Corporate Services, Inc., E-Trade Securities, LLC and Financial Industry Regulatory Authority, Inc.
Cause Of Action: 15 U.S.C. § 77 Securities Fraud
Richard Hofman v. Fidelity Brokerage Services LLC et al
as 2:2023cv00881
Plaintiff:
Richard Alan Hofman and Richard Hofman
Defendant:
Fidelity Brokerage Services LLC, Financial Industry Regulatory Authority, Inc., Depository Trust & Clearing Corporation and others
Cause Of Action: 28 U.S.C. § 1446 Notice of Removal
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
NYPPEX, LLC et al v. Financial Industry Regulatory Authority, Inc.
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
Gallagher v. Financial Industry Regulatory Authority, Inc.
as 9:2021cv81394
Plaintiff:
Heslin Gallagher
Defendant:
Financial Industry Regulatory Authority, Inc.
Cause Of Action: 15 U.S.C. § 0078
Fife v. Financial Industry Regulatory Authority, Inc.
as 1:2020cv10716
Defendant:
Financial Industry Regulatory Authority, Inc.
Plaintiff:
John M. Fife
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