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Black et al v. Financial Industry Regulatory Authority et al
Case Number:
3:23-cv-00709
Court:
Nature of Suit:
Judge:
Firms
Companies
Government Agencies
Sectors & Industries:
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February 07, 2025
Ex-Broker Seeks Court Win In Bid To Dismantle FINRA
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.
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October 30, 2023
Ex-Stockbroker Seeks To Gut Private Financial Regulator
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.