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Legal Opinion

Santos-Buch v. Financial Industry Regulatory Authority, Inc.

District Court, S.D. New York

Decided July 8, 2014No. 14-cv-651 (SAS)PublishedCited by 7 opinions

1Opinion of the Court

OPINION AND ORDER

SHIRA A. SCHEINDLIN, District Judge:

I. INTRODUCTION

Alan Santos-Buch brings this action for breach of contract and invasion of privacy against the Financial Industry Regulatory Authority (“FINRA”).1 Santos-Buch seeks (1) a declaratory judgment to prohibit notice of a 1997 FINRA disciplinary action as a WebFile, (2) removal of the 1997 notice of disciplinary action from FINRA’s BrokerCheck database, (3) a judgment permanently enjoining FINRA from disclosing Santos-Buch’s disciplinary action in responses to inquiries it receives on its BrokerCheck database, (4) damages for…

2Cases cited21 opinions

  1. Natalia Makarova v. United StatesCourt of Appeals for the Second Circuit · 2000
  2. Blum v. YaretskySupreme Court of the United States · 1982
  3. McKart v. United StatesSupreme Court of the United States · 1969
  4. Brentwood Academy v. Tennessee Secondary School Athletic Assn.Supreme Court of the United States · 2001
  5. McCarthy v. MadiganSupreme Court of the United States · 1992

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3Cited by7 opinions

  1. Flowers v. Fin. Indus. Regulatory Auth., Inc., California Court of Appeal, 5th District2017
  2. Disame v. KanthariaDistrict Court, S.D. New York · 2023
  3. Flowers v. Financial Industry Regulatory Authority, Inc.California Court of Appeal · 2017
  4. Mohlman v. Financial Industry Regulatory AuthorityDistrict Court, S.D. Ohio · 2020
  5. Tanjutco v. NYLife Securities LLCDistrict Court, S.D. New York · 2023

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