Legal Opinion
Fed. Sec. L. Rep. P 93,244 Axelrod & Co. v. Kordich, Victor & Neufeld
Court of Appeals for the Second Circuit
Decided October 18, 1971No. 44, Docket 71-1369PublishedCited by 50 opinions
1Opinion of the Court
TIMBERS, Circuit Judge:
This appeal presents a perplexing question of first impression in this Court involving interrelated provisions and policies of the Securities Act of 1933 and the Securities Exchange Act of 1934. Specifically, can a nonmember firm successfully invoke the compulsory arbitration rules of an exchange over the opposition of a member firm?
Axelrod & Co., a member firm of the New York Stock Exchange (NYSE), appeals from an order of the District Court for the Southern District of New York, Thomas F. Croake, District Judge, granting the motion of Kordich, Victor & Neufeld (KVN),…
2Cases cited9 opinions
- Wilko v. SwanSupreme Court of the United States · 1953
- Silver v. New York Stock ExchangeSupreme Court of the United States · 1963
- Globus v. Law Research Service, Inc.Court of Appeals for the Second Circuit · 1969
- Colonial Realty Corporation v. Bache & Co.Court of Appeals for the Second Circuit · 1966
- Mary B. Moran v. Paine, Webber, Jackson & CurtisCourt of Appeals for the Third Circuit · 1968
4 more not listed; retrieve them via the Exa API.
3Cited by50 opinions
- Shearson/American Express Inc. v. McMahonSupreme Court of the United States · 1987
- Fed. Sec. L. Rep. P 98,654 William L. Gunter and Camille S. Gunter v. Theodore M. HutchesonCourt of Appeals for the Eleventh Circuit · 1982
- Dale S. COENEN, Plaintiff-Appellant, v. R. W. PRESSPRICH & CO., Inc., Defendant-Appellee, and Stirling Homex Corporation, DefendantCourt of Appeals for the Second Circuit · 1972
- Fed. Sec. L. Rep. P 93,679 in the Matter of the Arbitration Between Herbert Sobel, and Hertz, Warner & Co.Court of Appeals for the Second Circuit · 1972
- Pirelli Armstrong Tire Corp. v. LaBranche & Co.District Court, S.D. New York · 2004
45 more not listed; retrieve them via the Exa API.