Cases 1 - 10 of 42
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
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
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
Donnahue George v. Ken Griffin, et al
as 21-14208
Plaintiff / Appellant:
DONNAHUE GEORGE
Defendant / Appellee:
KEN GRIFFIN, CITADEL SECURITIES MARKET MAKER, CITADEL CONNECT DARK POOL and others
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.
Cary Peterson v. Foster Garvey P.C., et al
as 20-5058
Defendant / Appellee:
Steven V. Finnen, A U.S. citizen residing in Micronesia, William Jaynes, Owner of K-Press, Seton Hall University, "SHU", a non-governmental organization located in New Jersey and others
Plaintiff / Appellant:
Cary Lee Peterson
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
MORRO v. SEC FINRA INTERNATIONAL INVEST
as 1:2019cv02366
Plaintiff:
REGINA MORRO
Defendant:
SEC FINRA INTERNATIONAL INVEST
Cause Of Action: 28 U.S.C. § 1331
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