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Tag Archives: Judge Allyson K. Duncan

Court Could Not Hear FINRA Disciplinary Challenge (access required)

A district court did not err in dismissing for lack of subject matter jurisdiction plaintiff financial advisors’ challenge to an ongoing disciplinary proceeding before the Financial Industry Regulatory Authority Inc., for selling unregistered securities in violation of the Securities Act ...

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Court Upholds SEC Administrative Enforcement (access required)

A district court did not err in dismiss­ing on jurisdictional grounds plaintiff financial services firm’s challenge to the constitutionality of an administrative enforcement proceeding the Securities and Exchange Commission brought against her; the 4th Circuit joins the 2nd, 7th, 11th ...

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