Justices Urged To Hear Case Targeting FINRA Enforcement
By Jessica Corso ( October 19, 2026, 9:48 PM EDT) -- The U.S. Supreme Court has been asked to hear a case challenging the ability of the Financial Industry Regulatory Authority to impose fines through an in-house disciplinary procedure with a broker who was penalized by the regulator, telling the justices that it was "futile" to first bring his constitutional arguments before the U.S. Securities and Exchange Commission....
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