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SMITH BARNEY, INC. v. SARVER

No. 95-2285.

108 F.3d 92 (1997)

SMITH BARNEY, INCORPORATED, Plaintiff-Appellee, v. Roger SARVER; Concetta Sarver, Defendants-Appellants.

United States Court of Appeals, Sixth Circuit.

Decided February 28, 1997.

Attorney(s) appearing for the Case

Thomas R. Cox (briefed), Clarence L. Pozza, Jr., Miller, Canfield, Paddock & Stone, Detroit, MI, for plaintiff-appellee.

Walter L. Baumgardner (briefed), Musilli, Baumgardner, Wagner & Parnell, St. Clair Shores, MI, for Roger Sarver and Concetta Sarver.

Before: MARTIN, Chief Judge; WELLFORD and MOORE, Circuit Judges.

WELLFORD, Circuit Judge.

Roger and Concetta Sarver filed a claim for arbitration against Smith Barney, Inc. ("Smith Barney") on September 24, 1994, alleging that the securities firm Shearson Lehman Hutton ("Shearson"), predecessor of Smith Barney,1 violated various securities acts, rules of the National Association of Securities Dealers ("NASD"), and its fiduciary duty under state common law.

The underlying dispute between the...

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