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Santos-Buch v. Financial Industry Regulatory Authority
Case Number:
1:14-cv-00651
Court:
Nature of Suit:
Judge:
Companies
Sectors & Industries:
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July 09, 2014
FINRA Escapes Privacy Suit By Disciplined Former Broker
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.
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March 05, 2014
FINRA Fires Back At Disciplined Broker's Privacy Claims
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.