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NORTH v. SMARSH, INC.

Civil Action No. 15-494 (RMC).

160 F.Supp.3d 63 (2015)

Thaddeus J. NORTH, et al., Plaintiffs, v. SMARSH, INC., et al., Defendants.

United States District Court, District of Columbia.

Signed December 4, 2015.

Attorney(s) appearing for the Case

Constance Jeanne Miller, McLean, VA, Plaintiffs.

Luis R. Mejia, James O. Bickford Perkins Coie LLP, Washington, DC, for Defendants.

OPINION

Thaddeus J. North and Mark P. Pompeo (Plaintiffs) were securities brokers who were the subject of enforcement actions by the Financial Industry Regulatory Authority (FINRA). Pursuant to the Securities Exchange Act of 1934, 15 U.S.C. § 78a et seq. (Exchange Act), FINRA...

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