Legal Opinion
Judith Goldman v. Citigroup Global Markets Inc
Court of Appeals for the Third Circuit
Decided August 22, 2016No. 15-2345PublishedCited by 83 opinions
1Opinion of the Court
OPINION OF THE COURT
JORDAN, Circuit Judge.
Judith and Kenneth Goldman filed a motion in the United States District Court for the Eastern District of Pennsylvania to vacate an adverse arbitration award. The underlying arbitration, before a panel operating under the auspices of the Financial Industry Regulatory Authority (“FIN-RA”), concerned the Goldmans’ allegations that financial advisor Barry Guariglia and Citigroup Global Markets Inc. had violated federal securities law in their management of the Goldmans’ brokerage accounts. The District Court dismissed the case for lack of subject-matter…
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