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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. July 23, 2025

    Adviser Drops FINRA 5th Amendment Challenge

    A financial adviser has dropped his Fifth Amendment challenge against the Financial Industry Regulatory Authority, following the regulator's arguments that it is not subject to constitutional requirements when carrying out its self-regulatory responsibilities.

2 other articles on this case. View all »

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