United States Eighth Circuit

Under the NASD Code, a "customer" must receive investment or brokerage services from an NASD member and not just banking and financial advice.

Appellate Information

• Decided 08/30/2001
• Published 08/30/2001

Judges

• BEAM, Circuit Judge., Before MURPHY, HEANEY, and BEAM, Circuit Judges.

Court

• United States Eighth Circuit

Counsel

• For Appellant:
  
• Terrence J. Fleming, argued, Minneapolis, MN (Ansis V. Viksnins and Sandra S. Smalley, Minneapolis, MN, on the brief), for appellant.


• For Appellees:
  
• Carl David Flower, argued, Minneapolis, MN (David J.F. Gross and Karen E. Wilson, Minneapolis, MN, on the brief), for appellee.