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MLex

February 03, 2014

Santos-Buch v. Financial Industry Regulatory Authority

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Case Number:

1:14-cv-00651

Court:

New York Southern

Nature of Suit:

Securities/Commodities

Judge:

Shira A. Scheindlin

Companies

Sectors & Industries:

View recent docket activity

Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. 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.

1 other articles on this case. View all »

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