July 09, 2014
A New York federal judge on Tuesday dismissed a former broker's suit alleging that the Financial Industry Regulatory Authority violated his privacy by continuing to disseminate information about a 1997 disciplinary settlement, finding that the broker has not exhausted his administrative remedies.
March 05, 2014
The Financial Industry Regulatory Authority on Tuesday shot back at claims that it violated a former broker's privacy by continuing to disseminate information about a 1997 disciplinary settlement, asserting that it has "absolute immunity" from claims related to its regulatory acts.