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SMITH BARNEY v. SACHAROW

91 N.Y.2d 39 (1997)

689 N.E.2d 884

666 N.Y.S.2d 990

In the Matter of Smith Barney Shearson Inc. et al., Appellants, v. Jeffrey S. Sacharow et al., Respondents. In the Matter of Smith Barney, Inc., Appellant, v. Vivian Hause, as Trustee, et al., Under the Hause Revocable Trust Dated May 31, 1990, et al., Respondents.

Court of Appeals of the State of New York.

Decided December 4, 1997.

Attorney(s) appearing for the Case

Brobeck, Phleger & Harrison, L. L. P., New York City (Lawrence E. Fenster and Francis S. Chlapowski of counsel), Susan E. Harkins and William Hohauser for appellants in the first and second above-entitled proceedings.

Zuckerman, Spaeder, Goldstein, Taylor & Kolker, L. L. P., New York City (Christopher M. Wilson and Edward J. M. Little of counsel), for respondents in the first above-entitled proceeding.

Deutsch & Lipner, Garden City (Seth E. Lipner of counsel), for respondents in the second above-entitled proceeding.

Chief Judge KAYE and Judges TITONE, SMITH, LEVINE, CIPARICK and WESLEY concur.

BELLACOSA, J.

These two issue-related proceedings concern arbitrability of disputes arising out of respective securities transactions executed by petitioner Smith Barney on behalf of two of its customer investors. Section 15 of the NASD Code of Arbitration Procedure provides that claims of over six years' duration are ineligible for arbitration. In this common procedural setting, that provision evokes two questions...

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