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February 15, 2025

SMITH v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

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

Coverage

  1. April 24, 2025

    FINRA Says 5th Amendment Doesn't Apply In Adviser's Case

    The Financial Industry Regulatory Authority has urged a Washington, D.C., federal court to toss a financial adviser's Fifth Amendment challenge against the self-regulating watchdog of brokers, arguing it is not subject to constitutional requirements when carrying out its self-regulatory responsibilities.

1 other articles on this case. View all »

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