September 07, 2021
A Utah federal judge on Tuesday dismissed an attempt by a broker-dealer run by a frequent regulatory critic to prevent the remainder of a Financial Industry Regulatory Authority disciplinary hearing against it from proceeding via Zoom videoconferencing.
November 18, 2020
The Financial Industry Regulatory Authority on Tuesday cast as misguided a broker-dealer's attempt to put on hold a disciplinary hearing process it faces and had earlier called "unfair."
November 10, 2020
A broker-dealer owned by a frequent critic of the Financial Industry Regulatory Authority sued the regulator Tuesday, seeking to block an order requiring the remainder of a disciplinary hearing against it from proceeding via Zoom videoconferencing.