Legal Opinion
Mm&s Financial, Inc. v. National Association of Securities Dealers, Inc. Nasd Dispute Resolution, Inc.
Court of Appeals for the Eighth Circuit
Decided April 14, 2004No. 03-1404PublishedCited by 36 opinions
1Opinion of the Court
RILEY, Circuit Judge.
After MM&S Financial, Inc. (MM&S) purchased certain assets of Miller & Schroeder Financial, Inc. (Miller), former Miller customers brought securities arbitration proceedings against MM&S. MM&S brought suit against the National Association of Securities Dealers, Inc. (NASD) and NASD Dispute Resolution, Inc. (the NASD defendants) to prohibit the arbitration proceedings. The district court 1 dismissed MM&S’s complaint. We affirm.
I. BACKGROUND
NASD is a non-profit, self-regulatory organization registered with the Securities and Exchange Commission as a national securities…
2Cases cited13 opinions
- Cannon v. University of ChicagoSupreme Court of the United States · 1979
- Touche Ross & Co. v. RedingtonSupreme Court of the United States · 1979
- Stone Motor Company v. General Motors CorporationCourt of Appeals for the Eighth Circuit · 2002
- Wheat, First Securities, Inc. v. GreenCourt of Appeals for the Eleventh Circuit · 1993
- Fed. Sec. L. Rep. P 90,318, 98 Cal. Daily Op. Serv. 8274, 98 Daily Journal D.A.R. 11,493 Sparta Surgical Corporation v. National Association of Securities Dealers, Inc. Nasdaq Stock Market, Inc.Court of Appeals for the Ninth Circuit · 1998
8 more not listed; retrieve them via the Exa API.
3Cited by36 opinions
- Noble Systems Corp. v. Alorica Central, LLCCourt of Appeals for the Eighth Circuit · 2008
- Alvin L. Phipps v. Guaranty Natl. BankCourt of Appeals for the Eighth Circuit · 2005
- Nasdaq Omx Phlx, Inc. v. Pennmont SecuritiesSuperior Court of Pennsylvania · 2012
- In Re Aurora Dairy Corp. Organic Milk MarketingCourt of Appeals for the Eighth Circuit · 2010
- David Knieriem, as Personal Representative of the Estate of Troy Siade, Deceased v. Group Health Plan, Inc. Bernard MansheimCourt of Appeals for the Eighth Circuit · 2006
31 more not listed; retrieve them via the Exa API.