Cases 1 - 10 of 18
Flynn v. NASD et al
as 3:2016cv00714
Plaintiff:
John J. Flynn
Defendant:
National Association of Securities Dealers and Finra Financial Regulatory Association
Cause Of Action: 18 U.S.C. § 1961
Grigsby & Associates, Inc. et al v. M Securities Investment, Inc. et al
as 4:2016mc80090
Plaintiff:
Grigsby & Associates, Inc. and Calvin B. Grigsby
Defendant:
M Securities Investment, Inc. , Hoawrd Gary & Company , Howard V. Gary and others
Xu v. Financial Industry Regulatory
as 11-3073
Plaintiff - Appellant:
Youwei P. Xu, Cathy Huang, Individually and Perpetual Securities, Incorporated
Defendant - Appellee:
Financial Industry Regulatory Authority Incorporated, Successor to and formerly known as "National Association of Securities Dealer, Incorporated." also known as "NASD" also known as FINRA
Lowrey et al v. Citigroup Global Markets, Inc et al
as 3:2010cv01823
Plaintiff:
Melissa Lowrey and Guy Heartfield
Defendant:
Citigroup Global Markets, Inc , National Association of Securities Dealers, Inc. and FINRA Regulation, Inc.
Cause Of Action: 15 U.S.C. § 78
Fiero et al v. National Association of Securities Dealers, Inc.
as 1:2007cv07679
Plaintiff:
John J. Fiero and Fiero Brothers, Inc.
Defendant:
National Association of Securities Dealers, Inc.
Cause Of Action: 15 U.S.C. § 78 m(a) Securities Exchange Act
Jimenez v. National Association of Securities Dealers et al
as 3:2007cv03360
Plaintiff:
Regina Jimenez
Defendant:
National Association of Securities Dealers, Lawrence Ian Prozan and Multi-Financial Securities Corp.
Cause Of Action: 09 U.S.C. § 0010 Petition to Vacate Arbitration Award
KARSNER v. PADGETT et al
as 1:2007cv00966
Plaintiff:
JOSEPH R. KARSNER, IV
Defendant:
JAMES H. PADGETT and NATIONAL ASSOCIATION OF SECURITIES DEALERS
Cause Of Action: 9 U.S.C. § 9 Motion to Confirm Arbitration Loan
KARSNER v. HINKS et al
as 1:2007cv00965
Petitioner:
JOSEPH R. KARSNER, IV
Respondent:
JOANN HINKS and NATIONAL ASSOCIATION OF SECURITIES DEALERS
Cause Of Action: 9 U.S.C. § 9 Motion to Confirm Arbitration Loan
Stavish v. Director of Enforcement- National Association of Securities Dealers
as 2:2007cv00474
Plaintiff:
Blair F. Stavish, Jr.
Defendant:
Director of Enforcement- National Association of Securities Dealers
Cause Of Action: No cause code entered
KARSNER v. PATTEE et al
as 1:2007cv00920
Petitioner:
JOSEPH R. KARSNER, IV
Respondent:
ANTHONY PATTEE and NATIONAL ASSOCIATION OF SECURITIES DEALERS
Cause Of Action: 9 U.S.C. § 9 Motion to Confirm Arbitration Loan
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