Legal Opinion
Shafnacker v. Raymond James & Associates, Inc.
Massachusetts Supreme Judicial Court
Decided August 14, 1997PublishedCited by 27 opinions
1Opinion of the CourtLynch, J.
Pursuant to arbitration clauses contained in her contracts with the defendants, the plaintiff, Ann H. Shafnacker, filed for arbitration with the National Association of Securities Dealers (NASD) against her securities brokers, Raymond James & Associates, Inc. (RJA), and Investment Management & Research, Inc. (IM&R); their representatives, Claude Lochet and Peter Bucchieri (advisors); and an investment firm with which the advisors were associated, Bucchieri & Lochet, Inc. She recovered in part, but NASD concluded that, pursuant to NASD arbitration rules, it lacked jurisdiction over the…
2Cases cited39 opinions
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- Riley v. PresnellMassachusetts Supreme Judicial Court · 1991
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