Legal Opinion
Financial Industry Regulatory Authority, Inc. v. Fiero
New York Court of Appeals
Decided February 7, 2008PublishedCited by 36 opinions
1Opinion of the Court
OPINION OF THE COURT
Read, J.
In the early 1990s, John J. Fiero registered with the National Association of Securities Dealers, Inc. (NASD) (now called the Financial Industry Regulatory Authority, Inc. or FINRA), a self-regulatory organization (SRO), as a securities representative. Relatedly, Fiero Brothers—a broker-dealer firm owned by Fiero, the company’s president and sole employee—became a member of NASD. * SROs are quasi-governmental entities with a duty under the Securities Exchange Act of 1934, as amended, “to promulgate and enforce rules governing the conduct of [their] members”…
2Cases cited4 opinions
- Fry v. Village of TarrytownNew York Court of Appeals · 1997
- Philip Barbara v. New York Stock Exchange, Inc.Court of Appeals for the Second Circuit · 1996
- American Distilling Co. v. BrownNew York Court of Appeals · 1945
- United States Securities and Exchange Commission v. Glen T. VittorCourt of Appeals for the Eleventh Circuit · 2003
3Cited by36 opinions
- In Re H&R Block Financial Advisors, Inc., Texas Court of Appeals, 14th District (Houston)2008
- Nasdaq Omx Phlx, Inc. v. Pennmont SecuritiesSuperior Court of Pennsylvania · 2012
- People v. CorreaNew York Court of Appeals · 2010
- Ryan v. Kellogg Partners Institutional ServicesNew York Court of Appeals · 2012
- Pritchard v. CurtisAppellate Division of the Supreme Court of the State of New York · 2012
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