United States Tenth Circuit

In a case arising from a dispute with Merrill Lynch which plaintiff arbitrated, dismissal of plaintiff's motion to vacate an arbitration panel's judgment and a decision that the arbitration panel was protected by arbitral immunity are affirmed over meritless claims that: 1) his motion was timely because he served it at the earliest possible date he could have known that grounds to vacate existed; and 2) arbitral immunity did not apply because the arbitration panel committed misconduct outside of its judicial function.

Appellate Information

• Decided 02/20/2007
• Published 02/21/2007

Judges

• SILER, Circuit Judge., Before BRISCOE, SILER, and McCONNELL, Circuit Judges.

Court

• United States Tenth Circuit

Counsel

• For Appellant:
  
• Paul H. Schwartz, Cooley Godward LLP, Broomfield, CO, for Plaintiff-Appellant.


• For Appellees:
  
• Thomas P. Howell (Bruce W. Day, Bill P. Guest, Tara A. LaClair with him on brief) Day, Edwards, Propester & Christensen, P.C., Oklahoma City, OK, for Defendant-Appellee Merrill Lynch, Pierce Fenner & Smith., Terri L. Reicher, National Association of Securities Dealers, Inc., Washington D.C., for Defendant-Appellee National Association of Securities Dealers.