Cases 1 - 10 of 78
Zahringer v. Financial Industry Regulatory Authority
as 1:2024cv21135
Petitioner:
Mr. James Zahringer
Respondent:
Financial Industry Regulatory Authority (FINRA)
Cause Of Action: 09 U.S.C. § 0009 Motion to confirm arbitration award
Affholter v. Citigroup Global Markets Inc et al
as 1:2023cv12302
Plaintiff:
A. Matthew, J. Affholter and A. P. Matthew
Defendant:
Citigroup Global Markets Inc, Citadel Securities LLC,, FTX and others
Cause Of Action: 15 U.S.C. § 1 Antitrust Litigation
FINRA Pension/401(k) Plan Committee v. Lightning et al
as 1:2023cv02336
Plaintiff:
FINRA Pension/401(k) Plan Committee
Defendant:
Napoleon Roosevelt Lightning, Tyrene Huff, Lenora Frazier and others
Cause Of Action: 29 U.S.C. § 1132 E.R.I.S.A.-Employee Benefits
Clark Brothers, Inc. v. Colorado Division of Securities, The
as 1:2023cv02166
Plaintiff:
Clark Brothers, Inc. and Jason Ray Clark
Defendant:
Colorado Division of Securities, The, Colorado Attorney General, FINRA and others
Cause Of Action: 42 U.S.C. § 1983 Civil Rights Act
Clark v. Colorado Division of Securities, The
as 1:2023cv02170
Plaintiff:
Jason Ray Clark
Defendant:
Colorado Division of Securities, The, Colorado Attorney General, FINRA and others
Cause Of Action: 42 U.S.C. § 1983 Civil Rights Act
Turner et al v. Lumio Home Services, LLC Lumio HX et al
as 4:2023cv03701
Plaintiff:
Terrance Turner and Matthew Battaglini
Defendant:
Lumio Home Services, LLC Lumio HX, Good Leap, USSOCOM and others
Cause Of Action: 28 U.S.C. § 1331 Fed. Question
Hensley v. TD Ameritrade Inc et al
as 3:2023cv05159
Defendant:
Financial Industry Regulatory Authority, TD Ameritrade Inc, Waterhouse Securities Inc and others
Plaintiff:
Alain Hensley
Cause Of Action: 15 U.S.C. § 77 Securities Fraud
Stone v. FINRA et al
as 4:2022cv00789
Plaintiff:
Gregory Douglas Stone
Defendant:
FINRA and Robert W. Cook
Cause Of Action: 28 U.S.C. § 1331 Fed. Question
United States Securities and E v. McGinn, Smith & Company, Incor
as 22-746
Plaintiff / Appellee:
United States Securities and Exchange Commission
Defendant:
McGinn, Smith & Company, Incorporated, McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corporation and others
Intervenor:
United States Attorney's Office of the Northern District of New York
Defendant / Appellant:
David L. Smith
Andrew Wilkinson v. FINRA
as 22-1090
Plaintiff / Appellant:
ANDREW ELLIOTT WILKINSON
Defendant / Appellee:
FINRA and PLACE AND HANLEY, LCC
Defendant:
WELLS FARGO CLEARING SERVICES, LLC, ANGIE OSTENDARP, MIKE QUIMBY and others
Respondent:
RANDALL CHARLES PLACE
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