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MATTER OF DUNSEITH

83 A.D.2d 917 (1981)

In the Matter of the Arbitration between James J. Dunseith et al., Appellants, and Paul L. Travia, Jr., et al., Respondents

Appellate Division of the Supreme Court of the State of New York, First Department.

September 3, 1981

Respondents, Travia and Kautz, seek to commence an arbitration proceeding pursuant to the Code of Arbitration Procedure of the National Association of Securities Dealers (NASD) to resolve various claims relating to the organization and ownership of the corporate petitioner, Shields Asset Management, Inc. (Shields Asset). Shields Asset is engaged in the business of investment advising and is not a dealer or trader in securities. In fact, this corporation is not and has never...

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