David Luger

David Luger

Katten Muchin Rosenman LLP

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Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy

A DC Circuit Court of Appeals challenge to a recent Financial Industry Regulatory Authority (FINRA) enforcement action brings into question whether FINRA should be held accountable to constitutional restrictions on state...more

7/17/2023  /  Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Lucia v SEC , NFA , Office of Administrative Law Judges (OALJ) , SCOTUS , Securities and Exchange Commission (SEC) , Self-Regulatory Organizations , SRO
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