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Regulatory Authority Supreme Court of the United States Financial Industry Regulatory Authority (FINRA)

Carlton Fields

U.S. Supreme Court Denies Alpine’s Petition Challenging Constitutionality of FINRA Enforcement Proceedings

Carlton Fields on

On June 2, 2025, the U.S. Supreme Court denied a petition for writ of certiorari filed by Alpine Securities Corp. in Alpine Securities Corp. v. Financial Industry Regulatory Authority. In doing so, the Supreme Court declined...more

Frantz Ward LLP

First Attempt to Use the Supreme Court's Jarkesy Decision to Limit the Ability of FINRA to Assess Monetary Sanctions in...

Frantz Ward LLP on

In our post at the end of June of this year we analyzed the Supreme Court’s decision in SEC v Jarkesy, which held that the right to trial by jury in an Article III Court contained in the Seventh Amendment to the Constitution...more

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