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SHEARSON HAYDEN STONE, INC. v. SCRIVENER

No. 433, Docket 81-7592.

671 F.2d 680 (1982)

SHEARSON HAYDEN STONE, INC., Plaintiff, v. Susan SCRIVENER, Defendant and Third-Party Plaintiff-Appellee, v. LOEB RHOADES HORNBLOWER & COMPANY, Third-Party Defendant, Dean Witter Reynolds Inc., Third-Party Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided January 4, 1982.

Attorney(s) appearing for the Case

J. Robert Lunney, New York City (David L. Dephtereos, Lunney & Crocco, New York City, of counsel), for third-party defendant-appellant.

Charles B. Cummings, New York City (Baker & McKenzie, New York City, of counsel), for defendant and third-party plaintiff-appellee.

Before WATERMAN, OAKES and MESKILL, Circuit Judges.

MESKILL, Circuit Judge:

We are asked to determine in this case of first impression whether the failure of a brokerage firm to open a commodities account is a transaction subject to the arbitration regulations of the Commodities Futures Trading Commission (CFTC), 17 C.F.R. § 180.1 et seq. (1981). The district court held that it is. Shearson Hayden Stone, Inc. v. Scrivener, No. 79-4658 (S.D.N.Y. July 24, 1981). We disagree. We believe that the CFTC...

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