Legal Opinion
Credit Suisse First Boston Corp. v. Pitofsky
Appellate Division of the Supreme Court of the State of New York
Decided November 25, 2003PublishedCited by 3 opinions
1Opinion of the Court
OPINION OF THE COURT
Williams, J.
The principal issue on this appeal, and a matter of first impression in this Department, is whether an arbitration provision in the employment agreements between a securities broker-dealer and its employees, the latter who are “registered representatives” of, inter alia, the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE) by virtue of their prior execution of the Uniform Application for Securities Industry Registration or Transfer (Form U-4), supersedes the arbitration provision contained in Form U-4.
Appellants were…
2Cases cited4 opinions
- O'DONNELL v. First Investors Corp.District Court, S.D. New York · 1995
- Harriman Group, Inc. v. NapolitanoAppellate Division of the Supreme Court of the State of New York · 1995
- Hamilton v. Cantor Fitzgerald SecuritiesAppellate Division of the Supreme Court of the State of New York · 1999
- Harrison v. Salomon Bros.New York Supreme Court · 1992
3Cited by3 opinions
- Credit Suisse First Boston Corp. v. PitofskyNew York Court of Appeals · 2005
- Credit Suisse First Boston, LLC v. GrovesDistrict Court, S.D. New York · 2004
- Credit Suisse First Boston, LLC. v. PadillaDistrict Court, S.D. New York · 2004