Legal Opinion
Fed. Sec. L. Rep. P 96,619 Edward D. Jones & Company and Gary Aleff v. Duane Sorrells, Mildred Sorrells and Curt Sorrells
Court of Appeals for the Seventh Circuit
Decided March 23, 1992No. 90-3202PublishedCited by 69 opinions
1Opinion of the Court
COFFEY, Circuit Judge.
This is an appeal of a district court order vacating in part a National Association of Securities Dealers, Inc. (“NASD”) arbitration award. Because we agree with the district court’s determination that Section 15 of the NASD Code of Arbitration Procedure makes the relevant claims ineligible for NASD arbitration, we affirm.
FACTUAL BACKGROUND
The essential facts are undisputed. Edward D. Jones & Co. (“Jones”) is a St. Louis-based brokerage firm. Gary Aleff (“Aleff”) is a stockbroker formerly employed by Jones. Duane and Mildred Sor-rells are former customers of Jones’; Curt…
2Cases cited6 opinions
- At&T Technologies, Inc. v. Communications WorkersSupreme Court of the United States · 1986
- PAINEWEBBER INCORPORATED v. Willard S. HARTMANN, Leona R. Hartmann, AppellantsCourt of Appeals for the Third Circuit · 1990
- Dominic Niro v. Fearn International, Inc., and Beer, Soft Drink, Water, Etc., Local Union 744, I.B.T.Court of Appeals for the Seventh Circuit · 1987
- Painewebber Incorporated v. Franklin Farnam, Robert Farnam, John Farnam and Edward JacksCourt of Appeals for the Seventh Circuit · 1989
- Fed. Sec. L. Rep. P 94,560 Frieda Miller v. Prudential Bache Securities, Inc., and Samuel KaplanCourt of Appeals for the Fourth Circuit · 1989
1 more not listed; retrieve them via the Exa API.
3Cited by69 opinions
- Painewebber Incorporated v. Mohamad S. Elahi, Kokab Moarefi Elahi and Maryam ElahiCourt of Appeals for the First Circuit · 1996
- Merrill Lynch, Pierce, Fenner & Smith, Inc. And Patrick Palella v. Peter H. Lauer and Therese A. LauerCourt of Appeals for the Seventh Circuit · 1995
- Painewebber Incorporated v. H. William HofmannCourt of Appeals for the Third Circuit · 1993
- Fed. Sec. L. Rep. P 90,173, 21 Employee Benefits Cas. 2803 Kevin Miller v. Dr. Charles W. FlumeCourt of Appeals for the Seventh Circuit · 1998
- Fsc Securities Corporation Marlis Gilbert Integrated Financial Services and Richard E. Connolly, Jr. v. Judy Freel Mirle Freel, Jr.Court of Appeals for the Eighth Circuit · 1994
64 more not listed; retrieve them via the Exa API.