Cases 1 - 10 of 18
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
Plaintiff v. Defendant
as 1:2021cv08390
Plaintiff:
Plaintiff v. Defendant
Defendant:
Plaintiff v. Defendant
AltaCorp. Capital Inc. v. Financial Industry Regulatory Authority, Inc. et al
as 1:2020cv05221
Defendant:
Financial Industry Regulatory Authority, Inc., FINRA Regulation, Inc. and John C.T. Cloghesy
Plaintiff:
AltaCorp. Capital Inc.
Capital One Financial Corporation et al v. Hummer et al
as 1:2019cv11582
Defendant:
Jan Hummer, FINRA Regulation, Inc. and Financial Industry Regulatory Authority, Inc.
Plaintiff:
Capital One Investing, LLC and Capital One Financial Corporation
Cause Of Action: 28 U.S.C. § 1332
Downey v. United States of America
as 19-2968
Defendant / Appellee:
Asoka Woehrmann, DWS Trust Company, William P. Barr, DOJ - Attorney General, President Robert W. Cook, FINRA - Financial Industry Regulatory Authority and others
Plaintiff / Appellant:
Mark Downey
Harris v. Metlife Securities Inc. et al
as 1:2018cv06412
Respondent:
Metlife Securities Inc., FINRA - Financial Regulatory Authority, MSI Financial Services, Inc. and others
Petitioner:
Eric Harris
Cause Of Action: 9 U.S.C. § 9
Deutsch v. Fidelity Brokerage Services LL
as 18-1896
Petitioner - Appellant:
Peter E. Deutsch and William J. Deutsch
Respondent - Appellee:
Fidelity Brokerage Services LLC and National Financial Services LLC
Defendant:
Financial Industry Regulatory Authority, Inc., ("FINRA")
Fidelity Brokerage Services LL v. Deutsch
as 18-1774
Petitioner - Appellee:
Fidelity Brokerage Services LLC and National Financial Services LLC
Respondent - Appellant:
Peter E. Deutsch and William J. Deutsch
Defendant:
Financial Industry Regulatory Authority, Inc., (FINRA)
Spire Securities, LLC v. Finra Dispute Resolution et al
as 1:2016cv09507
Plaintiff:
Spire Securities, LLC
Defendant:
Finra Dispute Resolution, Richard Berry, Sandra Parker and others
Cause Of Action: 09 U.S.C. § 1
Pfeffer v. FINRA's Arbitration Panel et al
as 7:2016cv08321
Plaintiff:
Alba T. Pfeffer
Defendant:
FINRA's Arbitration Panel , Wells Fargo Advisors, LLC and Andre Mirkine
Cause Of Action: 09 U.S.C. § 0010
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