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DESIDERIO v. NATIONAL ASS'N OF SECURITIES DEALERS

No. 97 Civ. 0312(PKL).

2 F.Supp.2d 516 (1998)

Susan A. DESIDERIO, Plaintiff, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. and Securities and Exchange Commission, Defendants.

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

April 22, 1998.

Attorney(s) appearing for the Case

Lewis, Greenwald, Clifton & Lewis, P.C., New York City (Everett E. Lewis, Shirley Fingerhood, David W. Greenwald, of counsel), for Plaintiff.

National Association of Securities Dealers, Inc., Washington, DC (Terri L. Reicher, John J. Flood, of counsel), for Defendant NASD.

Securities and Exchange Commission, Washington, DC (Richard M. Humes, James A. Brigagliano, Melinda Hardy, of counsel), for Defendant SEC.

OPINION AND ORDER

LEISURE, District Judge.

Plaintiff Susan Desiderio claims that a provision in Form U-4, Uniform Application for Securities Industry Registration or Transfer ("Form U-4"), that requires arbitration of disputes between securities brokers and their firms violates her constitutional and statutory rights under U.S. CONST. amend. III, V, and VII; U.S. CONST. art. III; Title 42, United States Code ("U.S.C."), §§ 2000a, et seq...

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