United States Ninth Circuit

California's Ethics Standards for neutral arbitrators do not apply to National Association of Securities Dealers arbitrations since the Ethics Standards are preempted by the Securities and Exchange Act of 1934.

Appellate Information

• Argued 12/02/2003
• Decided 03/01/2005
• Published 03/01/2005

Judges

• PAEZ, Circuit Judge:, Before:  LEAVY, PAEZ, and BERZON, Circuit Judges.

Court

• United States Ninth Circuit

Counsel

• For Appellant:
  
• Michael Blumenfeld, Los Angeles, CA, argued the case for the appellant, and Todd M. Lander, Los Angeles, CA, assisted on the briefs., Mark A. Perry, Washington, DC, argued the case for amicus curiae NASD Dispute Resolution, Inc., and Douglas W. Henkin, New York, NY, for amicus curiae New York Stock Exchange, Inc., assisted on the joint brief of NASD and NYSE in support of affirmance., Mitchell C. Tilner and David S. Ettinger, Encino, CA, submitted an amicus curiae brief on behalf of the Judicial Council of California.


• For Appellees:
  
• Michael D. Early, San Francisco, CA, argued the case for the appellee, and Dena L. Narbaitz, San Francisco, CA, and Suzy C. Douglass, San Francisco, CA, assisted on the briefs., Eric Summergrad, Washington, DC, Deputy Solicitor for the SEC, submitted the Statement of the Securities and Exchange Commission, amicus curiae, in Support of the Position of the plaintiff-appellee.