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SEWELL v. MERRILL LYNCH, PIERCE, FENNER & SMITH

No. 95-4354.

94 F.3d 1514 (1996)

Robert C. SEWELL, Sr., Plaintiff-Appellant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., Nora A. Barnes, Defendants-Appellees.

United States Court of Appeals, Eleventh Circuit.

September 13, 1996.

Attorney(s) appearing for the Case

Randall W. Henley, West Palm Beach, FL, for Appellant.

Marcy J. Levine, Bennett Falk, Morgan & Lewis, Miami, FL, for Appellees.

Before COX and BARKETT, Circuit Judges, and BRIGHT, Senior Circuit Judge.

BRIGHT, Circuit Judge:

In late 1993, Robert Clayton Sewell, Sr., submitted claims for arbitration to the National Association of Securities Dealers, Inc. (NASD) against his financial broker Merrill Lynch, Pierce, Fenner & Smith, Inc. (Merrill Lynch) and its agent Nora A. Barnes (Barnes). These claims included fraud and mismanagement of his account by the brokerage company. Merrill Lynch never responded in any way or submitted its defenses to arbitration, but instead...

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