Legal Opinion
Fed. Sec. L. Rep. P 99,521 Gerald R. Swirsky v. National Association of Securities Dealers
Court of Appeals for the First Circuit
Decided August 28, 1997No. 97-1038PublishedCited by 19 opinions
1Opinion of the Court
LYNCH, Circuit Judge.
This case presents an issue of first impression for this circuit concerning whether the doctrine of exhaustion of administrative remedies applies in certain actions against the National Association of Securities Dealers (“NASD”). We hold that it does, in agreement with the other circuits which have faced this issue. We therefore affirm the district court’s dismissal of the actions because Mr. Swirsky failed to follow the proper review process in litigating this dispute.
I. Background
Gerald R. Swirsky worked for Prudential Securities Inc. as a broker until November of 1992.…
2Cases cited15 opinions
- McKart v. United StatesSupreme Court of the United States · 1969
- McCarthy v. MadiganSupreme Court of the United States · 1992
- Myers v. Bethlehem Shipbuilding Corp.Supreme Court of the United States · 1938
- Darby v. CisnerosSupreme Court of the United States · 1993
- United States v. National Association of Securities Dealers, Inc.Supreme Court of the United States · 1975
10 more not listed; retrieve them via the Exa API.
3Cited by19 opinions
- James Bastek v. Federal Crop Insurance CorporationCourt of Appeals for the Second Circuit · 1998
- Anversa v. Partners Healthcare System, Inc.Court of Appeals for the First Circuit · 2016
- Mayo v. Dean Witter Reynolds, Inc.District Court, N.D. California · 2003
- Medici v. Lifespan Corp.District Court, D. Massachusetts · 2017
- North v. Smarsh, Inc.District Court, District of Columbia · 2015
14 more not listed; retrieve them via the Exa API.