Justin Senior

Shumaker, Loop & Kendrick, LLP

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Latest Posts › Securities Regulation

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Client Alert: The Supreme Court Declines to Address Challenges to FINRA Enforcement Proceedings, and FINRA Proposes Rules to Avoid...

On June 2, 2025, the Supreme Court denied the petition for writ of certiorari filed by Alpine Securities Corporation in Alpine Securities Corp. v. Financial Industry Regulatory Authority. Interestingly, on the same day, the...more

6/10/2025 / Administrative Procedure Act , Appeals , Constitutional Challenges , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Judicial Authority , Proposed Rules , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Regulation

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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