Legal Opinion
Alan v. Superior Court
California Court of Appeal
Decided August 14, 2003No. B164153PublishedCited by 15 opinions
1Opinion of the Court
Opinion
MALLANO, J.
The heir of a deceased investor filed this civil action against the investor’s brokers, alleging mismanagement of the investor’s accounts. The investment agreements signed by the investor required that all controversies be decided by arbitration before one of the securities industry self-regulatory organizations (SRO’s). But all of the SRO’s refuse to conduct arbitrations in California because they do not want to comply with the ethical standards for arbitrators recently promulgated by the California Judicial Council. The SRO’s take the position that the standards are…
2Cases cited22 opinions
- Mitsubishi Motors Corp. v. Soler Chrysler-Plymouth, Inc.Supreme Court of the United States · 1985
- Engalla v. Permanente Medical Group, Inc.California Supreme Court · 1997
- Broughton v. Cigna HealthplansCalifornia Supreme Court · 1999
- In Re Salomon Inc. Shareholders' Derivative LitigationCourt of Appeals for the Second Circuit · 1995
- Victoria v. Superior CourtCalifornia Supreme Court · 1985
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3Cited by15 opinions
- Martinez v. Master Protection Corp.California Court of Appeal · 2004
- Greenspan v. LADT, LLCCalifornia Court of Appeal · 2010
- SWAB FINANCIAL v. E Trade SecuritiesCalifornia Court of Appeal · 2007
- Zamora v. LehmanCalifornia Court of Appeal · 2010
- Valentine Capital Asset Management, Inc. v. AgahiCalifornia Court of Appeal · 2009
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