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February 15, 2025

SMITH v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. April 03, 2025

    FINRA Member Can't Avoid Testifying In Fraud Investigation

    A District of Columbia federal judge has refused to immediately block the Financial Industry Regulatory Authority from requiring a New York financial adviser to testify in an investigation into alleged fraud, ruling there is "no likelihood of irreparable harm here."

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