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BALLAY v. LEGG MASON WOOD WALKER, INC.

No. 89-1042.

878 F.2d 729 (1989)

BALLAY, Stephen J., Bandosz, Albert J., Beebee, Susan, Beebee, Peter C., Behmer, L. Nelson, Behmer, Robert L., Bell, Elizabeth W., Broccolini, Agnes M., Burke, Jr., John J., Zappitelli, Sophie Chelyk and John A., Deal, Richard A., Deal, Jr., William W., Dudugjian, Carl, as Trustee, Espinoza (Schimmel), Bobbi S., Flamm, George G. Flansburg, Frank M., Gallagher, David G., and Jacqueline, Goldman, Arthur S., Gould, Herbert E., Hoover, Robert A., Jacobs, Richard W., Merriken, Charles J. and Phylliss A., Munger, Edith L., Persons, Jr., Oren M., Resnick, Albert, Richter, Ronald and Lynn, Robinson, Edmund H., Smedley, L., as Trustee, Smith, Allen and Christine, Uhrman, Gary H., Weyforth, Philip A., Williamson, Dennis, Zappitelli, Michael J. and Anna O., Zook, Dunwoody for Zook, Melissa D., and Zook, II, William H.D. and Zook, Susanne C. v. LEGG MASON WOOD WALKER, INC., Appellant.

United States Court of Appeals, Third Circuit.

Decided June 29, 1989.

Attorney(s) appearing for the Case

C. Clark Hodgson, Jr., John J. Murphy, III (argued), Stradley, Ronon, Stevens & Young, Philadelphia, Pa., for appellant.

William A. Destefano, Christopher D. Warren (argued), Destefano & Guernsey, Stephen M. Feldman, Philadelphia, Pa., for appellees.

Before BECKER, STAPLETON and ROSENN, Circuit Judges.

OPINION OF THE COURT

ROSENN, Circuit Judge.

This appeal presents a question of considerable current interest in the marketplace, whether a federal court may refuse to compel final and binding arbitration of a security customer's claims under the Securities Act of 1933 where the customer and the broker have entered into an agreement providing that disputes arising "under the federal securities laws" need not be arbitrated but could be litigated in the courts...

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