Cases 1 - 10 of 158
Ransom v. Gozola et al
as 2:2024cv00543
Petitioner:
Terrence Scott Ransom
Respondent:
Richard W Gozola and Financial Industry Regulatory Authority
Cause Of Action: 27 U.S.C. § 185 Enforcement of Arbitration Award
Lubovich et al v. Financial Industry Regulatory Authority, Inc.
as 9:2023cv81580
Plaintiff:
Jandra Stephen Lubovich and Aaron Chaim Lupuloff
Defendant:
Financial Industry Regulatory Authority, Inc.
Cause Of Action: 09 U.S.C. § 0009 Motion to confirm arbitration award
Frank Black v. Financial Industry Regulatory Authority
as 23-2297
Petitioner:
FRANK HARMON BLACK and SOUTHEAST INVESTMENTS, N.C., INC.
Respondent:
FINANCIAL INDUSTRY REGULATORY AUTHORITY and SECURITIES & EXCHANGE COMMISSION
MESNER v. FMR LLC et al
as 2:2023cv00404
Plaintiff:
ANDREW S MESNER
Defendant:
FMR LLC, FIDELITY BROKERAGE SERVICES LLC and FINANCIAL INDUSTRY REGULATORY AUTHORITY INC
Cause Of Action: 18 U.S.C. § 1961 Racketeering (RICO) Act
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
ALLY INVEST SECURITIES LLC v. TIN TRUNG TRAN et al
as 1:2023cv12327
Plaintiff:
ALLY INVEST SECURITIES LLC
Defendant:
TIN TRUNG TRAN and The Financial Industry Regulatory Authority
Cause Of Action: 28 U.S.C. § 1332 Diversity-Other Contract
Lubovich et al v. Byrnes, as Trustee of the Yife Tien Irrevocable Dynasty Trust et al
as 1:2023cv23813
Petitioner:
Jandra Stephen Lubovich, Jon Cary Cooper, Aaron Chaim Lupuloff and others
Respondent:
John Byrnes, as Trustee of the Yife Tien Irrevocable Dynasty Trust, Lucy Chua, as Trustee of the Yife Tien Irrevocable Dynasty Trust, Rocky Vista University, LLC and others
Cause Of Action: 09 U.S.C. § 0009 Motion to confirm arbitration award
Schrader v. CreativeOne Wealth et al
as 2:2023mc00214
Respondent:
CreativeOne Wealth, Financial Industry Regulatory Authority, Inc. and The Kansas Securities Commissioner
Petitioner:
Timothy Schrader
Cause Of Action: 09 U.S.C. § 1 U.S. Arbitration Act
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
UBS Financial Services, Inc. v. Financial Industry Regulatory Authority
as 9:2023cv81126
Plaintiff:
UBS Financial Services, Inc.
Defendant:
Financial Industry Regulatory Authority
Cause Of Action: 09 U.S.C. § 0009 Motion to confirm arbitration award
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