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AYRES v. MERRILL LYNCH, PIERCE, FENNER & SMITH

No. 75-2007.

538 F.2d 532 (1976)

Percy D. AYRES, Appellant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

United States Court of Appeals, Third Circuit.

Decided June 28, 1976.

Attorney(s) appearing for the Case

David L. Grove, Philadelphia, Pa., for appellant; Frank S. Deming, Montgomery, McCracken, Walker & Rhoads, Philadelphia, Pa., of counsel.

C. Clark Hodgson, Jr., Stradley, Ronon, Stevens & Young, Philadelphia, Pa. and Roger J. Hawke, Brown, Wood, Ivey, Mitchell & Petty, New York City, for appellee.

Harvey L. Pitt, Gen. Counsel, Paul Gonson, Associate Gen. Counsel, Frederic T. Spindel, Asst. Gen. Counsel, Martin S. Berglas, Atty., S. E. C., Washington, D. C., amicus curiae.

Before VAN DUSEN and WEIS, Circuit Judges, and STERN, District Judge.

OPINION OF THE COURT

VAN DUSEN, Circuit Judge.

This is an appeal from a district court judgment entered July 7, 1975, confirming a decision rendered by arbitrators of the New York Stock Exchange ("NYSE"). The principal question involves the applicability and validity of an Exchange arbitration rule in the context of a dispute arising under § 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder.1

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