Legal Opinion
Desiderio v. National Ass'n of Securities Dealers, Inc.
District Court, S.D. New York
Decided April 22, 1998No. 97 Civ. 0312(PKL)PublishedCited by 11 opinions
1Opinion of the Court
OPINION AND ORDER
LEISURE, District Judge.
Plaintiff Susan Desiderio claims that a provision in Form U-4, Uniform Application for Securities Industry Registration or Transfer (“Form U-4”), that requires arbitration of disputes between securities brokers and their firms violates her constitutional and statutory rights under U.S. CONST, amend. III, V, and VII; U.S. CONST, art. III; Title 42, United States Code (“U.S.C.”), §§ 2000a, et seq. (“Title VIP); and 2 U.S.C. §§ 601, et seq. Plaintiff seeks a declaratory judgment against defendant National Association of Securities Dealers, Inc., (“NASD”);…
2Cases cited26 opinions
- Federal Deposit Insurance v. MeyerSupreme Court of the United States · 1994
- Gilmer v. Interstate/Johnson Lane Corp.Supreme Court of the United States · 1991
- Lehman v. NakshianSupreme Court of the United States · 1981
- United States v. DalmSupreme Court of the United States · 1990
- Soriano v. United StatesSupreme Court of the United States · 1957
21 more not listed; retrieve them via the Exa API.
3Cited by11 opinions
- Susan M. ROSENBERG, Plaintiff, Appellee, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. and John Wyllys, Defendants, AppellantsCourt of Appeals for the First Circuit · 1999
- Martens v. Smith Barney, Inc.District Court, S.D. New York · 1998
- Mm&s Financial, Inc. v. National Association of Securities Dealers, Inc. Nasd Dispute Resolution, Inc.Court of Appeals for the Eighth Circuit · 2004
- Arakawa v. Japan Network GroupDistrict Court, S.D. New York · 1999
- Cariveau v. HalfertyCalifornia Court of Appeal · 2000
6 more not listed; retrieve them via the Exa API.