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CHRISTIAN, KLEIN, & COGBURN v. NAT. ASS'N OF SEC. DEALERS, INC.

No. 97 CV 484(SS).

970 F.Supp. 276 (1997)

CHRISTIAN, KLEIN, & COGBURN, Petitioner, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., Respondent.

United States District Court, S.D. New York.

July 8, 1997.

Attorney(s) appearing for the Case

Simon S. Kogan, Christian, Klein & Cogburn, New York City, for Petitioner.

F. Joseph Warin, Gibson, Dunn & Crutcher LLP, New York City, for Respondent; John J. Flood, Associate General Counsel, National Association of Securities Dealers, Inc., Washington, DC, of counsel.

OPINION AND ORDER

SOTOMAYOR, District Judge.

Respondent, National Association of Securities Dealers ("NASD"), a self-regulatory organization ("SRO") registered with the Securities and Exchange Commission ("SEC"), moves this Court for an order denying petitioner's application for pre-complaint discovery and dismissing the proceeding. Petitioner Christian, Klein & Cogburn ("Christian"), a NASD member firm engaged in securities trading through the...

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