Justin Senior

Justin Senior

Shumaker, Loop & Kendrick, LLP

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Client Alert: FINRA Issues Administrative Order and Decision Regarding Alpine Sanctions

On March 25, 2025, the Financial Industry Regulatory Authority (FINRA) issued a 100-page Administrative Order and Decision confirming and modifying its sanctions of Alpine Securities Corporation, which include expulsion from...more

5/30/2025  /  Administrative Proceedings , Appeals , Broker-Dealer , Constitutional Challenges , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Preliminary Injunctions , SCOTUS , Securities and Exchange Commission (SEC) , Securities Regulation

Client Alert: FINRA’s Enforcement Arm Under Fire

Recent case developments in Alpine Sec. Corp. v. FINRA before the D.C. Circuit cast further uncertainty on the future of the Financial Industry Regulatory Authority (FINRA)’s enforcement arm....more

1/22/2025  /  Appeals , Broker-Dealer , Constitutional Challenges , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Judicial Authority , Preliminary Injunctions , Regulatory Authority , Securities and Exchange Commission (SEC) , Securities Regulation
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