Legal Opinion
Christian, Klein, & Cogburn v. National Ass'n of Securities Dealers, Inc.
District Court, S.D. New York
Decided July 8, 1997No. 97 CV 484(SS)PublishedCited by 8 opinions
1Opinion of the Court
OPINION AND ORDER
SOTOMAYOR, District Judge.
Respondent, National Association of Securities Dealers (“NASD”), a self-regulatory organization (“SRO”) registered with the Securities and Exchange Commission (“SEC”), moves this Court for an order denying petitioner’s application for pre-complaint discovery and dismissing the proceeding. Petitioner Christian, Klein & Cogburn (“Christian”), a NASD member firm engaged in securities trading through the NASD’s Small Order Execution System (“SOES”), cross-moves to remand this action to the Supreme Court of the State of New York.
At a hearing held before…
2Cases cited7 opinions
- Universal Motors Group of Companies v. WilkersonDistrict Court, S.D. New York · 1987
- Figueroa v. KimDistrict Court, S.D. New York · 1993
- Flood v. CELIN JEWELRY, INC.District Court, S.D. New York · 1991
- Jones Chemicals, Inc. v. Distribution Architects Int'l, Inc.District Court, W.D. New York · 1992
- HMB Acquisition Corp. v. CohenDistrict Court, S.D. New York · 1992
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3Cited by8 opinions
- Teamsters Local 404 Health Servs. & Ins. Plan v. King Pharm., Inc.Court of Appeals for the Second Circuit · 2018
- In Re TexasDistrict Court, E.D. Texas · 2000
- Bryan v. America West AirlinesDistrict Court, E.D. New York · 2005
- Dublin Worldwide Productions (USA), Inc. v. Jam Theatricals, Ltd.District Court, S.D. New York · 2001
- Johnson v. County of SuffolkDistrict Court, E.D. New York · 2017
3 more not listed; retrieve them via the Exa API.