March 25, 2026
A North Carolina federal judge has thrown out a lawsuit challenging the constitutionality of the Financial Industry Regulatory Authority's in-house disciplinary process, saying the case belongs before the Fourth Circuit.
February 07, 2025
A former stockbroker who is fighting a lifetime industry ban has urged a North Carolina federal judge to grant him a win in his suit attempting to unravel the power of the Financial Industry Regulatory Authority, saying the organization is unconstitutionally structured because it deprives him of his right to a jury trial and due process, among other things.
October 30, 2023
A defrocked stockbroker wants to unravel the power of a private financial regulator following an industry lifetime ban that he says was unconstitutionally imposed by an illegal organization.