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BARROWCLOUGH v. KIDDER, PEABODY & CO., INC.

No. 83-5777.

752 F.2d 923 (1985)

William R. BARROWCLOUGH, Judith A. Barrowclough, Bryson J. Barrowclough and Gerie W. Barrowclough, Appellants, v. KIDDER, PEABODY & CO., INC., Kidder, Peabody & Co., Incorporated Deferred Compensation Plan, Larry Brand, Mark F. Dalton, John Moran, Robert A. Krantz, Jr., Peter R. Catalano, Jr., Andrew J. Nopper, Bruce Adam, John Does A through Z, being certain unknown unnamed individuals consisting of the members of the Deferred Compensation Committee of the Kidder, Peabody & Co., Incorporated Deferred Compensation Plan, the Board of Directors and Management Committee of Kidder, Peabody & Co., Incorporated.

United States Court of Appeals, Third Circuit.

Decided January 18, 1985.

Attorney(s) appearing for the Case

Charles A. Strenk (Argued), Clemente, Neiheisel, Strenk & Kiernan, Morristown, N.J., for appellants.

Brian F. McDonough (Argued), Matthew Farley, Shanley & Fisher, P.C., Newark, N.J., for appellees.

Before SLOVITER, and BECKER, Circuit Judges, and FULLAM, District Judge.

OPINION OF THE COURT

SLOVITER, Circuit Judge.

The issues before us on this appeal concern (1) the scope and extent of Congress' exemption from ERISA of unfunded deferred compensation plans that exist primarily for the benefit of select managerial and highly compensated employees and (2) the interrelationship of ERISA with the arbitration requirements of the New York and American Stock Exchanges. Some of the issues raised are before an appellate court for...

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