July 23, 2025
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.
April 24, 2025
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.
April 03, 2025
A District of Columbia federal judge has refused to immediately block the Financial Industry Regulatory Authority from requiring a New York financial adviser to testify in an investigation into alleged fraud, ruling there is "no likelihood of irreparable harm here."