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LUKEZIC v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. et al
Case Number:
1:25-cv-00623
Court:
Nature of Suit:
Judge:
Firms
Companies
Government Agencies
Sectors & Industries:
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September 12, 2025
Broker Wants DC Circ. View Of FINRA Constitutionality Claim
A broker-dealer representative has asked the D.C. Circuit to review a lower court's refusal to block an enforcement action against him from the Financial Industry Regulatory Authority despite his claims that the pending in-house hearing is unconstitutional under the U.S. Supreme Court's Jarkesy decision.
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March 11, 2025
DC Judge Won't Block FINRA Action Against Broker
A D.C. federal judge has declined to block a Financial Industry Regulatory Authority enforcement action against a broker-dealer representative, despite his claims that the pending in-house hearing is unconstitutional under the U.S. Supreme Court's recent Jarkesy decision.