Finra, the brokerage industry’s self-regulatory organization, is facing a lawsuit arguing that its in-house enforcement and arbitration system is unconstitutional.
The complaint, which was filed July 10, follows a U.S. Supreme Court decision that dramatically curtailed the Securities and Exchange Commission’s internal judicial system, and adds to the legal challenges facing Finra, which is a nongovernmental entity overseen by the SEC.
The...
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