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4th Circ. Says FINRA Challenge Must Go To SEC First

Law360, New York (December 20, 2016, 5:54 PM EST) -- The Fourth Circuit on Tuesday found microcap broker-dealer Scottsdale Capital Advisors Corp. can’t challenge the Financial Industry Regulatory Authority’s power in federal court, because Congress gave exclusive review of FINRA rules...
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Subscribers Only

Case Number

Subscribers Only

Court

Appellate - 4th Circuit

Nature of Suit

3850 Securities, Commodities, Exchange

Date Filed

May 3, 2016

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