Credit Suisse First Boston Corporation, a Massachusetts Corporation v. Michael Scott Grunwald, a California Resident
Court of Appeals for the First Circuit
1Opinion of the Court
PAEZ, Circuit Judge:
In this appeal we decide whether California’s recently-adopted ethics standards for neutral arbitrators apply to arbitra-tions conducted in California by the National Association of Securities Dealers (“NASD”). We conclude that the California legislature intended the new ethics standards to apply to NASD-appointed neutral arbitrators. We hold, however, that the Securities and Exchange Act of 1934 (“Exchange Act”), as amended, preempts application of California’s ethics standards to NASD arbitrations. In so holding, we further conclude that NASD rules approved by the…
Also in this document: Concurring in the judgment.
2Cases cited39 opinions
- Powell v. McCormackSupreme Court of the United States · 1969
- Hines v. DavidowitzSupreme Court of the United States · 1941
- Cipollone v. Liggett Group, Inc.Supreme Court of the United States · 1992
- Medtronic, Inc. v. LohrSupreme Court of the United States · 1996
- Shearson/American Express Inc. v. McMahonSupreme Court of the United States · 1987
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