Legal Opinion
Smith Barney, Incorporated v. Roger Sarver Concetta Sarver
Court of Appeals for the Sixth Circuit
Decided February 28, 1997No. 95-2285PublishedCited by 36 opinions
1Opinion of the Court
WELLFORD, Circuit Judge.
Roger and Concetta Sarver filed a claim for arbitration against Smith Barney, Inc. (“Smith Barney”) on September 24, 1994, alleging that the securities firm Shearson Lehman Hutton (“Shearson”), predecessor of Smith Barney, 1 violated various securities acts, rules of the National Association of Securities Dealers (“NASD”), and its fiduciary duly under state common law.
The underlying dispute between the parties arose out of a purchase of $116,000 worth of TWA unsecured senior notes for the Sar-vers’ account on September 14, 1988. TWA eventually suffered severe financial…
2Cases cited17 opinions
- United Steelworkers v. Warrior & Gulf Navigation Co.Supreme Court of the United States · 1960
- First Options of Chicago, Inc. v. KaplanSupreme Court of the United States · 1995
- At&T Technologies, Inc. v. Communications WorkersSupreme Court of the United States · 1986
- Insurance Corp. of Ireland v. Compagnie Des Bauxites De GuineeSupreme Court of the United States · 1982
- Volt Info. Sciences, Inc. v. Bd. of Trustees of Leland Stanford Jr. U.Supreme Court of the United States · 1989
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3Cited by36 opinions
- Vaden v. Discover BankSupreme Court of the United States · 2009
- Smith Barney Shearson Inc. v. SacharowNew York Court of Appeals · 1997
- Harley Blanton v. Domino's Pizza Franchising LLCCourt of Appeals for the Sixth Circuit · 2020
- Blue Cross of California v. Anesthesia Care Associates Medical Group, Inc.,defendant-Appellee. Blue Cross of California v. Anesthesiology Consultants of Contra Costa County Medical Group, Inc., Blue Cross of California v. Kern Bone and Joint Specialists, Incorporated, Blue Cross of California v. Beaver Medical Clinic, Inc.Court of Appeals for the Ninth Circuit · 1999
- Ajamian v. Cantorco2e. L.P.California Court of Appeal · 2012
31 more not listed; retrieve them via the Exa API.