Cases 51 - 60 of 136
Fifield v. MML Investors Services, LLC et al
as 2:2018cv11301
Plaintiff:
Kevin Clayton Fifield
Defendant:
MML Investors Services, LLC, LPL Financial LLC and Financial Industry Regulatory Authority, Inc.
Global Ebusiness Services, Inc, et al v. FINRA
as 18-15716
Plaintiff - Appellant:
GLOBAL EBUSINESS SERVICES, INC. and SYED NAZIM ALI
Defendant - Appellee:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
First Capital Real Estate Investments, L.L.C. v. SDDCO Brokerage Advisors, LLC et al
as 1:2018cv02013
Petitioner:
First Capital Real Estate Investments, L.L.C.
Respondent:
SDDCO Brokerage Advisors, LLC and Financial Industry Regulatory Authority, Inc.
Cause Of Action: 09 U.S.C. § 12
Fifield v. Securities America, Inc. et al
as 2:2018cv10150
Movant:
Kevin Clayton Fifield
Respondent:
Securities America, Inc. and Financial Industry Regulatory Authority, Inc.
Cause Of Action: 9 U.S.C. § 9
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
Guthrie v. Financial Industry Regulatory Authority, Inc. et al
as 1:2017cv01296
Plaintiff:
Sharon Guthrie
Defendant:
Financial Industry Regulatory Authority, Inc., Prudential Insurance Company of America and Financial Industry Regulatory Authority, Inc. Long Term Disability Insurance Plan #507
Cause Of Action: 28 U.S.C. § 1332
Global Ebusiness Services, Inc. et al v. Financial Industry Regulatory Authority, Inc.
as 5:2017cv06095
Plaintiff:
Global Ebusiness Services, Inc. and Syed Nazim Ali
Defendant:
Financial Industry Regulatory Authority, Inc.
Cause Of Action: 28 U.S.C. § 1331
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
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