FIERO v. FINANCIAL INDUSTRY REGULATORY AUTHORITY

Docket Nos. 09-1556-cv(L), 09-1863-cv(XAP).

660 F.3d 569 (2011)

John J. FIERO and Fiero Brothers, Inc., Plaintiffs-Counter-Defendants-Appellants-Cross-Appellees, v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., Defendant-Counterclaimant-Appellee-Cross-Appellant.

United States Court of Appeals, Second Circuit.

Decided: October 5, 2011.


Attorney(s) appearing for the Case

Brian D. Graifman , Gusrae, Kaplan, Bruno & Nusbaum, PLLC, New York, N.Y., for Plaintiffs-Counter-Defendants-Appellants-Cross-Appellees.

Terri L. Reicher , Financial Industry Regulatory Authority, Inc., Washington, D.C., for Defendant-Counterclaimant-Appellee-Cross-Appellant.

Before: JACOBS, Chief Judge, WINTER, and JOHN M. WALKER, JR., Circuit Judges.


WINTER, Circuit Judge:

John J. Fiero ("Fiero") and Fiero Brothers, Inc. ("Fiero Brothers") (together, "Fieros") appeal from Judge Marrero's dismissal of their complaint, which sought a declaratory judgment that, inter alia, the Financial Industry Regulatory Authority, Inc. ("FINRA") lacks the authority to bring court actions to collect disciplinary fines it has imposed. We hold that FINRA lacks such authority. We therefore reverse the dismissal of the complaint...

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