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PAINEWEBBER INC. v. HOFMANN

No. 92-1294.

984 F.2d 1372 (1993)

PAINEWEBBER INCORPORATED, Appellant, v. H. William HOFMANN, Appellee.

United States Court of Appeals, Third Circuit.

Decided February 3, 1993.

Attorney(s) appearing for the Case

Elizabeth H. Fay (argued), Morgan, Lewis & Bockius, Philadelphia, PA, John M. Linsenmeyer, Morgan, Lewis & Bockius, New York City, for appellant.

J. Grant McCabe, (argued), Michael Slotznick, Rawle & Henderson, Philadelphia, PA, for appellee.

Before: BECKER, HUTCHINSON, and ALITO, Circuit Judges.

BECKER, Circuit Judge.

This action was instituted by PaineWebber Incorporated to stay and enjoin the arbitration of a customer's claims of fraud and mismanagement before the National Association of Securities Dealers, Inc. ("NASD"). Based on the incorporation of § 15 of the NASD Code of Arbitration Procedure ("NASD Code") into the arbitration clause of the "Client's Agreement," PaineWebber seeks declaratory and injunctive relief barring the arbitration of any...

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