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Monday, March 04, 2024 6:54:56 PM
Alpine Securities Corp. v. Financial Industry Regulatory Authority
Seems obvious, I know, but a Reuters reporter shouldn't be that sloppy.
Also may want to look at Lucia v. Security & Exchange Commission (SC, 2018) for the background rulings on administrative law judges (ALJ)
While a DC. Circuit ruling should be out by June - likely in Alpine's favor - I'm almost certain the SC will pick the case up on FINRA (ie. Solicitor General) appeal. In short, we should get an answer by June 2025. Certainly not relevant to the matter at hand, but will be interesting to watch.
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