Legal Opinion
Scottsdale Capital Advisors Corporation v. Financial Industry Regulatory Authority
District Court, District of Columbia
Decided July 16, 2019No. Civil Action No. 2018-2973Published
1Opinion of the Court
UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA SCOTTSDALE CAPITAL ADVISORS CORPORATION, Plaintiff, Case No. 18-cv-2973 (CRC) v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, Defendant. MEMORANDUM OPINION Jack Dempsey once observed that “the best defense is a good offense.” In boxing, perhaps, but not always in litigation. This case proves the point. For the past decade, Arizona-based securities brokerage Scottsdale Capital Advisors has been in the cross-hairs of its regulator, the Financial Industry Regulatory Authority (“FINRA”). FINRA has fined, sanctioned, and censured Scottsdale and…
2Cases cited18 opinions
- Kokkonen v. Guardian Life Insurance Co. of AmericaSupreme Court of the United States · 1994
- Valley Forge Christian College v. Americans United for Separation of Church and State, Inc.Supreme Court of the United States · 1982
- Brown v. General Services AdministrationSupreme Court of the United States · 1976
- Jerome Stevens Pharmaceuticals, Inc. v. Food & Drug AdministrationCourt of Appeals for the D.C. Circuit · 2005
- American Nat. Ins. Co. v. FDICCourt of Appeals for the D.C. Circuit · 2011
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