He is a member of the American Arbitration Association National Roster of Neutrals, a FINRA Public Arbitrator, and a member of the State of California’s Public Works Construction Arbitration ...

to stall the FINRA proceeding pending the firm's challenge to FINRA's private enforcement structure. Alpine, which was represented by the conservative boutique Cooper & Kirk, had argued that it ...

Finra ramped up the number of disciplinary actions it dished out in 2024, but the total fines dropped by more than a third, according to an analysis from the Eversheds Sutherland law firm.