Cases 11 - 20 of 97
DOHERTY et al v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. et al
as 2:2023mc00088
Plaintiff:
GUDRYN K. DOHERTY, FAUN DOHERTY and EDWARD E. QUAM
Defendant:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. and RICHARD BERRY
Cause Of Action: 28 U.S.C. § 1332 Diversity-Injunctive & Declaratory Relief
Spicer v. Seidt et al
as 3:2022cv00180
Plaintiff:
Bryon Keith Spicer
Defendant:
Andrea Seidt, Spicer Wealth Management, Financial Industry Regulatory Authority, Inc. and others
Cause Of Action: 09 U.S.C. § 1 U.S. Arbitration Act
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
Heslin Gallagher v. Financial Industry Regulatory Authority, Inc.
as 21-13605
Plaintiff / Appellant:
HESLIN GALLAGHER
Defendant / Appellee:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Palazzo v. Financial Industry Regulatory Authority, Inc. et al
as 1:2021cv03253
Plaintiff:
Anthony Francis Palazzo
Defendant:
Financial Industry Regulatory Authority, Inc., Berkeley Capital Partners LLC and Brad Raffensperger
Cause Of Action: 09 U.S.C. § 09
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
Dick v. Financial Industry Regulatory Authority, Inc.
as 3:2021cv00522
Plaintiff:
Steven Lee Dick
Defendant:
Financial Industry Regulatory Authority, Inc.
Cause Of Action: 09 U.S.C. § 0009
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.
as 1:2020cv10716
Defendant:
Financial Industry Regulatory Authority, Inc.
Plaintiff:
John M. Fife
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
