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 at Bloomberg Law. She specializes in topics related to the SEC, lawsuits, cryptocurrency, markets, and IPOs, providing insightful analysis and coverage of the evolving legal landscape in these areas. Her work has been featured in Bloomberg Law, where she contributes to the understanding of complex legal issues impacting the financial sector.