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LANZA v. FINANCIAL INDUSTRY REGULATORY AUTHORITY

Nos. 18-2057, 18-2181.

953 F.3d 159 (2020)

Giovanni LANZA and Mariantonia Lanza, Plaintiffs, Appellants, v. FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA), Defendant, Appellee.

United States Court of Appeals, First Circuit.

March 24, 2020.

Attorney(s) appearing for the Case

Robert D. Loventhal on brief for appellants.

Ian D. Roffman , Melanie L. Todman , Nutter, McClennen & Fish LLP, Boston, MA, and Terri L. Reicher , Office of General Counsel, on brief for appellee.

Before Lynch, Selya, and Barron, Circuit Judges.

Entering their golden years, Giovanni and Mariantonia Lanza, a married couple, found themselves involved in a dispute with their quondam stockbroker over the handling of their brokerage accounts. After submission of the dispute to the Financial Industry Regulatory Authority (FINRA) for arbitration, a panel of arbitrators summarily...

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