A three-judge panel of the U.S. Court of Appeals for the Second Circuit on Wednesday considered the limits of the Financial Industry Regulatory Authority’s jurisdiction over a man who claims that, as a customer of a broker-dealer, he should not have been disciplined by FINRA.
Gusrae Kaplan Nusbaum managing partner Martin Kaplan, who represents the plaintiff John Fife, urged the panel to reverse the district court’s dismissal of Fife’s complaint.
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