A Financial Industry Regulatory Authority enforcement action against a securities broker should be halted because the private regulator’s procedures and structure are unconstitutional, the broker alleges, echoing two previous lawsuits.
Martina Barash is a Legal Editor for Bloomberg Law. With a focus on legal matters, Martina covers a wide range of topics including securities litigation, corporate settlements, investor lawsuits, and regulatory challenges. Her articles provide insights and analysis on the latest developments in the legal field, particularly in relation to financial regulations and enforcement actions.