Legal Opinion
Flowers v. Fin. Indus. Regulatory Auth., Inc.
California Court of Appeal, 5th District
Decided October 20, 2017No. D071392PublishedCited by 2 opinions
1Opinion of the CourtBenke, J.
*949In the period between 2000 and 2001, plaintiff and appellant Troy Flowers's application for a securities sales license was rejected by Ohio state officials because they found that he was "not of 'good business repute.' " In addition, Flowers was subjected to discipline by securities regulators with respect to his violation of securities laws and regulations and his failure to cooperate in a securities investigation. A publicly accessible record of this disciplinary history is maintained by defendant and respondent, the Financial Industry Regulatory Authority, Inc. (FINRA).
Flowers filed a…
2Cases cited11 opinions
- Blank v. KirwanCalifornia Supreme Court · 1985
- Abelleira v. District Court of AppealCalifornia Supreme Court · 1941
- Philip Barbara v. New York Stock Exchange, Inc.Court of Appeals for the Second Circuit · 1996
- Morton v. Superior CourtCalifornia Court of Appeal · 1970
- Yamaha Motor Corp. v. Superior CourtCalifornia Court of Appeal · 1986
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3Cited by2 opinions
- Arges v. LPL Financial CA4/1California Court of Appeal · 2020
- ZF Micro Solutions, Inc. v. TAT Capital Partners, Ltd.California Court of Appeal · 2022