Legal Opinion
North v. Smarsh, Inc.
District Court, District of Columbia
Decided December 4, 2015No. Civil Action No. 2015-0494PublishedCited by 15 opinions
1Opinion of the Court
OPINION
ROSEMARY M. COLLYER, United States District Judge
Thaddeus J. North and Mark P. Pompeo (Plaintiffs) were securities brokers who were the subject of enforcement actions by the Financial Industry Regulatory Authority (FINRA). Pursuant to the Securities Exchange Act of 1934, 15 U.S.C. § 78a et seq. (Exchange Act), FINRA initiated disciplinary actions against Plaintiffs for alleged improprieties and noncompliance with securities laws and regulations. In pursuing these actions, FINRA asked Smarsh, Inc. — the email vendor for Plaintiffs’ former firms — to produce copies of internal and…
2Cases cited70 opinions
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3Cited by15 opinions
- Saunders v. MillsDistrict Court, District of Columbia · 2016
- North v. Smarsh, Inc.Court of Appeals for the D.C. Circuit · 2017
- United States v. WeyDistrict Court, S.D. New York · 2017
- Abram v. United StatesDistrict Court, District of Columbia · 2023
- Brian Keith HardwickUnited States Bankruptcy Court, E.D. Texas · 2023
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