Financial Industry Regulatory Authority, Inc. Litigation, Intellectual Property, Attorneys, SEC Filings, and Other Public Records

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Date Filed	Venue	Case Number	Title	Party Type

8/25/2023	Superior Court of California, County of Santa Clara	23CV421639	William Perera v. Financial Industry Regulatory Authority, I...	Defendant

8/17/2021	Florida Southern District Court	0:21-cv-61719-KMM	George v. Griffin et al	Defendant

3/18/2021	Superior Court of California, County of Los Angeles	21STCV10568	Gary Liska v. Financial Industry Regulatory Authority, Inc.	Defendant

1/15/2021	Superior Court of California, County of Los Angeles	21STCV01789	Christopher Simmons v. Financial Industry Regulatory Authori...	Defendant

3/6/2018	New York Southern District Court	1:18-cv-02013	FIRST CAPITAL REAL ESTATE INVESTMENTS, LLC v. SDDCO Brokerag...	Defendant

7/31/2017	New York Southern District Court	1:17-cv-05778	Fidelity Brokerage Services LLC et al v. Deutsch et al	Nominal Defendant

7/6/2017	USPTO Trademark Trial and Appeal Board	87311550-EXT	Financial Industry Regulatory Authority, Inc. v. Sussex Bank	Potential Opposer

5/19/2017	Texas Western District Court	1:17-cv-00486	Balabon v. Cook et al	Defendant

3/22/2017	Delaware District Court	1:17-cv-00311	B.E. Capital Management Fund LP v. Financial Industry Regula...	Defendant

11/4/2016	New York Southern District Court	1:16-cv-08600	Coleman v. Dangreen LLC et al	Respondent

9/30/2016	Pennsylvania Eastern District Court	2:16-cv-05198	GALANTE v. FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.	Defendant

8/10/2016	Superior Court of California, County of San Francisco	CPF 16 515208	Brent Curtis Wolf v. Financial Industry Regulatory Authority...	Respondent

5/11/2016	Superior Court of California, County of San Francisco	CPF 16 515015	Christopher Coghlan v. Wells Fargo Advisors, LLC et al	Respondent

4/26/2016	Illinois Northern District Court	1:16-cv-04664	Webb et al v. Financial Industry Regulatory Authority, Inc.	Defendant

2/17/2016	Superior Court of California, County of San Francisco	CPF 16 514777	Brent Curtis Wolf v. Financial Industry Regulatory Authority...	Respondent

6/10/2015	Superior Court of California, County of San Francisco	CPF 15 514337	Randall Larry Krensin v. Wells Fargo Advisors, LLC et al	Respondent

3/25/2015	Superior Court of California, County of San Francisco	CPF 15 514209	Andrew Charles Gall v. Ubs Financial Services Inc. et al	Respondent

11/10/2014	Arizona District Court	2:14-cv-02490	Hurry et al v. Financial Industry Regulatory Authority Incor...	Defendant

7/7/2014	USPTO Trademark Trial and Appeal Board	91217235-OPP	Financial Industry Regulatory Authority, Inc. v. Voice Proct...	Plaintiff

2/11/2014	Florida Southern District Court	9:14-cv-80218	Wile v. Financial Industry Regulatory Authority, Inc.	Defendant

2/6/2014	USPTO Trademark Trial and Appeal Board	85924667-EXT	Financial Industry Regulatory Authority, Inc. v. Voice Proct...	Potential Opposer

10/30/2013	Superior Court of California, County of San Francisco	CPF 13 513301	Anna Guyer v. Wells Fargo Advisors, LLC et al	Respondent

9/3/2013	California Central District Court	2:13-cv-06436	John Doe v. Financial Industry Regulatory Authority Inc et a...	Defendant

7/24/2013	Hawaii District Court	1:13-cv-00367	Lyndon v. Securities and Exchange Commission	Defendant

4/5/2013	Nevada District Court	3:13-cv-00170-RCJ-WGC	Bancorp International Group et al v. Financial Industry Regu...	Defendant

10/11/2012	Superior Court of California, County of San Francisco	CPF 12 512563	In Re: Kurt Pham	Respondent

8/28/2012	California Central District Court	8:12-cv-01385	Financial Industry Regulatory Authority Inc v. Training Cons...	Plaintiff

5/30/2012	USPTO Trademark Trial and Appeal Board	91205376-OPP	Financial Industry Regulatory Authority, Inc. v. Proctoru, I...	Plaintiff

4/24/2012	USPTO Trademark Trial and Appeal Board	85218467-EXT	Otc Publications Limited v. Financial Industry Regulatory Au...	Defendant

3/23/2012	Superior Court of California, County of San Francisco	CPF 12 512073	In Re: Fuad Hafiz Mansour	Respondent

2/28/2012	USPTO Trademark Trial and Appeal Board	85345247-EXT	Financial Industry Regulatory Authority, Inc. v. Proctoru, I...	Potential Opposer

2/1/2012	California Northern District Court	3:12-cv-00518	Charles Schwab & Co., Inc. v. Financial Industry Regulatory ...	Defendant

12/27/2011	Superior Court of California, County of San Francisco	CGC 11 516895	Nelia Virtusio v. Financial Industry Regulatory Authority In...	Defendant

12/8/2011	USPTO Trademark Trial and Appeal Board	91202899-OPP	Financial Industry Regulatory Authority, Inc. v. Kryterion I...	Plaintiff

8/11/2011	Illinois Northern District Court	1:11-cv-05499	Robb et al v. Neuberger Berman, LLC et al	Cross-Defendant

7/20/2011	USPTO Trademark Trial and Appeal Board	85122099-EXT	Financial Industry Regulatory Authority, Inc. v. Charles Vis...	Potential Opposer

7/13/2011	USPTO Trademark Trial and Appeal Board	91200689-OPP	Financial Industry Regulatory Authority, Inc. v. Christianst...	Plaintiff

7/6/2011	Texas Northern District Court	3:11-cv-01491	Butowsky v. Financial Industry Regulatory Authority, Inc.	Defendant

5/27/2011	New York Southern District Court	1:11-cv-03634	Xu et al v. Financial Industry Regulatory Authority, Inc.	Defendant

4/22/2011	California Northern District Court	3:11-cv-01986	Lickiss v. Financial Industry Regulatory Authority, Inc.,	Defendant

4/12/2011	USPTO Trademark Trial and Appeal Board	77902451-EXT	Financial Industry Regulatory Authority, Inc. v. Christianst...	Potential Opposer

2/24/2011	California Central District Court	2:11-cv-01659	Sadat v. Financial Industry Regulatory Authority, Inc. et al	Defendant

1/11/2011	California Northern District Court	3:11-cv-00137	Securities And Exchange Commission v. Daifotis et al	Miscellaneous Party

12/13/2010	Maryland District Court	8:10-cv-03471	WESTPARK CAPITAL, INC. v. Financial Industry Regulatory Auth...	Defendant

9/9/2009	District Of Columbia District Court	1:09-cv-01715	AMERIVET SECURITIES, INC. v. FINANCIAL INDUSTRY REGULATORY A...	Defendant

11/26/2008	Virginia Eastern Bankruptcy Court	3:08-bk-35994	LandAmerica Financial Group, Inc.	Plaintiff

8/20/2008	New York Southern District Court	1:08-cv-07407-JSR	Triumph Global Securities, Ltd v. Umann Fund Management, LLC...	Respondent

5/5/2008	USPTO Trademark Trial and Appeal Board	91183903-OPP	Rotary International v. Financial Industry Regulatory Author...	Defendant

3/27/2008	Maryland District Court	8:08-cv-00782	Rousseaux v. Financial Industry Regulatory Authority, Inc.	Defendant

2/8/2008	New York Southern District Court	1:08-cv-01298-VM	Fiero et al v. Financial Industry Regulatory Authority, Inc.	Defendant