Cases 11 - 20 of 136
SCAP 9, LLC v. Financial Industry Regulatory Authority, Inc.
as 23-15627
Plaintiff / Appellant:
SCAP 9, LLC
Defendant / Appellee:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Park v. E-Trade Financial Corporate Services, Inc. et al
as 2:2023cv00069
Plaintiff:
Jae Hyun Park
Defendant:
E-Trade Financial Corporate Services, Inc., E-Trade Securities, LLC and Financial Industry Regulatory Authority, Inc.
Cause Of Action: 15 U.S.C. § 77 Securities Fraud
Richard Hofman v. Fidelity Brokerage Services LLC et al
as 2:2023cv00881
Plaintiff:
Richard Alan Hofman and Richard Hofman
Defendant:
Fidelity Brokerage Services LLC, Financial Industry Regulatory Authority, Inc., Depository Trust & Clearing Corporation and others
Cause Of Action: 28 U.S.C. § 1446 Notice of Removal
DOHERTY et al v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. et al
as 2:2023mc00088
Plaintiff:
GUDRYN K. DOHERTY, FAUN DOHERTY and EDWARD E. QUAM
Defendant:
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. and RICHARD BERRY
Cause Of Action: 28 U.S.C. § 1332 Diversity-Injunctive & Declaratory Relief
Scottsdale Capital Advisors Corporation et al
as 8:2022cv02347
Plaintiff:
Scottsdale Capital Advisors Corporation and Alpine Securities Corporation
Defendant:
Financial Industry Regulatory Authority, Inc.
Intervenor Defendant:
United States of America
Cause Of Action: 28 U.S.C. § 2201 Constitutionality of State Statute(s)
SCAP 9, LLC v. Financial Industry Regulatory Authority, Inc.
as 3:2022cv00380
Plaintiff:
SCAP 9, LLC
Defendant:
Financial Industry Regulatory Authority, Inc.
Cause Of Action: 28 U.S.C. § 1441 Petition for Removal- Property Damage
Spicer v. Seidt et al
as 3:2022cv00180
Plaintiff:
Bryon Keith Spicer
Defendant:
Andrea Seidt, Spicer Wealth Management, Financial Industry Regulatory Authority, Inc. and others
Cause Of Action: 09 U.S.C. § 1 U.S. Arbitration Act
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
Fife v. Financial Industry Regulatory
as 22-750
Plaintiff / Appellant:
John M. Fife
Defendant / Appellee:
Financial Industry Regulatory Authority, Inc.
NYPPEX, LLC et al v. Financial Industry Regulatory Authority, Inc.
as 7:2022cv01528
Plaintiff:
NYPPEX, LLC, Michael Schunk and Laurence Allen
Defendant:
Financial Industry Regulatory Authority, Inc.
Cause Of Action: 28 U.S.C. § 1441 nr Notice of Removal
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