Cases 41 - 50 of 97
Fifield v. LPL Financial LLC et al
as 2:2018cv10151
Movant:
Kevin Clayton Fifield
Respondent:
LPL Financial LLC, Financial Industry Regulatory Authority, Inc. and MML Investors Services, LLC
Cause Of Action: 9 U.S.C. § 9
Blum v. Wells Fargo Advisors LLC. et al
as 9:2017cv81116
Plaintiff:
Russell S. Blum
Defendant:
Wells Fargo Advisors LLC. and Financial Industry Regulatory Authority, Inc.
Cause Of Action: 09 U.S.C. § 0001
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
Balabon v. Cook et al
as 1:2017cv00486
Plaintiff:
Sam Balabon
Defendant:
Robert Cook, Financial Industry Regulatory Authority, Inc., Richard Ketchum and others
Cause Of Action: 15 U.S.C. § 78 m(a) Securities Exchange Act
Scottsdale Capital Advisors v. Financial Industry Regulatory
as 16-1497
Plaintiff / Appellant:
SCOTTSDALE CAPITAL ADVISORS CORPORATION, JOHN J. HURRY, TIMOTHY B. DIBLASI and others
Defendant / Appellee:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Amicus Curiae:
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Scottsdale Capital Advisors Corporation et al v. Financial Industry Regulatory Authority, Inc.
as 8:2016cv00860
Defendant:
Financial Industry Regulatory Authority, Inc.
Plaintiff:
Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. DiBlasi and others
Amicus Curiae:
Securities and Exchange Commission
Cause Of Action: 15 U.S.C. § 78
B.E. Capital Management Fund LP v. Financial Industry Regulatory Authority, Inc. et al
as 1:2017cv00311
Plaintiff:
B.E. Capital Management Fund LP
Defendant:
Financial Industry Regulatory Authority, Inc. and Depository Trust Company
Cause Of Action: 28 U.S.C. § 2201
Hadden v. UBS Financial Services Inc. et al
as 3:2017cv00053
Petitioner:
Harry M. Hadden, III
Respondent:
UBS Financial Services Inc. and Financial Industry Regulatory Authority, Inc.
Cause Of Action: 9 U.S.C. § 9
Coleman v. Dangreen LLC et al
as 1:2016cv08600
Petitioner:
Paul J. Coleman
Respondent:
Dangreen LLC, Danwash LLC and Financial Industry Regulatory Authority, Inc.
Cause Of Action: 9 U.S.C. § 9
The Georgia Republican Party, et al v. Securities and Exchange Commis, et al
as 16-16623
Petitioner:
THE GEORGIA REPUBLICAN PARTY, NEW YORK REPUBLICAN STATE COMMITTEE and TENNESSEE REPUBLICAN PARTY
Respondent:
SECURITIES AND EXCHANGE COMMISSION and FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
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