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AXELROD & CO. v. KORDICH, VICTOR & NEUFELD

No. 44, Docket 71-1369.

451 F.2d 838 (1971)

AXELROD & CO., Plaintiff-Appellant, v. KORDICH, VICTOR & NEUFELD, Defendant-Appellee.

United States Court of Appeals, Second Circuit.

Decided October 18, 1971.

Attorney(s) appearing for the Case

Frank R. Greenberg, New York City (Baar, Bennett & Fullen and Robert E. Smith, New York City, on the brief), for plaintiff-appellant.

Evan L. Gordon, New York City (Delson & Gordon, New York City, on the brief), for defendant-appellee.

Before FRIENDLY, Chief Judge, MULLIGAN and TIMBERS, Circuit Judges.

TIMBERS, Circuit Judge:

This appeal presents a perplexing question of first impression in this Court involving interrelated provisions and policies of the Securities Act of 1933 and the Securities Exchange Act of 1934. Specifically, can a nonmember firm successfully invoke the compulsory arbitration rules of an exchange over the opposition of a member firm?

Axelrod & Co., a member firm of the New York Stock Exchange (NYSE), appeals from an order of the...

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