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Alpine Securities Corporation v. Financial Industry Regulatory Authority
Case Number:
2:20-cv-00794
Court:
Nature of Suit:
Judge:
Firms
Companies
Sectors & Industries:
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September 07, 2021
Broker Loses Bid To Block 'Unfair' Virtual FINRA Hearing
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.
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November 18, 2020
FINRA Slams Broker's Bid To Block Virtual Hearing
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."
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November 10, 2020
Broker Sues FINRA To Block 'Unfair' Virtual Hearing Via Zoom
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.