California Court of Appeal

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Flowers v. Financial Industry Regulatory Authority, 071392

In a securities law action, seeking the expungement of plaintiff's public disciplinary record maintained by plaintiff, the trial court's grant of defendant's demurrer is affirmed where plaintiff failed to pursue the process for challenging FINRA's publication of his disciplinary history under federal securities laws and regulations, and cannot now seek relief through a civil action.

Appellate Information

  • Decided
  • Published 2017/11/02




  • California Court of Appeal