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Enforcement

DC Circ. Ruling Could Mean FINRA Hearings Are On Thin Ice

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In a Law360 article originally published July 25, 2023, Andrew J. Ceresney, Stephan J. Schlegelmilch and Megan McGuiggan discuss the recent United States Court of Appeals for the District of Columbia Circuit order preliminarily enjoining FINRA from proceeding in an enforcement action against Alpine Securities, a FINRA member firm. The article, “DC Circ. Ruling Could Mean FINRA Hearings Are On Thin Ice,” is available here.

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Author

Andrew J. Ceresney is a partner in the New York office and Co-Chair of the Litigation Department. He can be reached at aceresney@debevoise.com.

Author

Stephan Schlegelmilch is a litigation counsel based in the firm’s Washington, D.C. office and a member of the firm’s White Collar & Regulatory Defense Group. He can be reached at sjschlegelmilch@debevoise.com.

Author

Megan McGuiggan is an associate in the Litigation Department.

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