United States Second Circuit

Customers of a securities seller's "associated person" may compel the security seller into arbitration under NASD Rule 10301(a), even if they are not customers of the seller.

Appellate Information

• Argued 02/20/2001
• Decided 06/18/2001
• Published 06/18/2001

Judges

• Before MESKILL, PARKER and KATZMANN, Circuit Judges.

Court

• United States Second Circuit

Counsel

• For Appellant:
  
• Daniel Hurteau, Albany, N.Y. (Carolyn G. Nussbaum, Nixon Peabody, Albany, NY, Katherine C. Lake, Fowler, White, Gillen, Boggs, Villareal and Banker, Tampa, FL, of counsel), for Appellants.


• For Appellees:
  
• Kalju Nekvasil, Clearwater, FL (Goodman & Nekvasil, Clearwater, FL, of counsel), for Appellees.