Broker loses bid to block “unfair” FINRA virtual hearing

Law360 (Sep 7, 2021, 7:06 p.m. EDT) – A Utah federal judge on Tuesday denied an attempt by a broker-dealer led by a frequent regulator critic to prevent the remainder of a financial regulator disciplinary hearing against him via Zoom video conference further.

US District Judge David Barlow failed to reach most of the regulator’s arguments as to why Alpine Securities Corp.’s lawsuit was dismissed.

The judge found that he was not competent to even negotiate the dispute. There is a detailed legal regulation …

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