Cases 11 - 20 of 236
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
Susan Seltzer v. FINRA
as 23-7126
Plaintiff / Appellant:
Susan Seltzer
Defendant / Appellee:
Financial Industry Regulatory Authority
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
LEBENTAL v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
as 1:2023cv03119
Plaintiff:
SIDNEY LEBENTAL
Defendant:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Intervenor:
UNITED STATES OF AMERICA
Cause Of Action: 28 U.S.C. § 2201 Constitutionality of State Statute(s)
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
Roza Tawil v. Financial Industry Regulatory Authority
as 23-12763
Plaintiff / Appellant:
ROZA TAWIL
Defendant / Appellee:
FINANCIAL INDUSTRY REGULATORY AUTHORITY
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
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
Alpine Securities Corporation, et al v. Financial Industry Regulatory Authority, Inc.
as 23-5129
Plaintiff / Appellant:
Alpine Securities Corporation
Plaintiff / Appellee:
Scottsdale Capital Advisors Corporation
Defendant / Appellee:
Financial Industry Regulatory Authority, Inc. and Financial Industry Regulatory Authority
Intervenor Defendant / Appellee:
United States of America
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