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SHELDON v. VERMONTY

No. 00-3337.

269 F.3d 1202 (2001)

Dave SHELDON, Plaintiff-Appellant, v. Jay VERMONTY; Carmen Vermonty; Power Phone, Inc., including all directors and officers; Noah Steinberg; Gershon Tannenbaum; Dr. Enrique R. Carrion; TMC Agroworld, Inc., including all directors and officers; Montecristi Group, including all directors and officers; Manhattan Transfer Registrar Company, including all directors and officers; Hector Cruz; Jack Savage, individually and as director and officer and all directors and officers individually, aka J. Wesley Savage; Princeton Research, Defendants, and Charles Schwab & Co., Inc.; Olde Discount Corporation; Principal Financial, Defendants-Appellees.

United States Court of Appeals, Tenth Circuit.

October 31, 2001.

Attorney(s) appearing for the Case

Darren K. Kearns of Overland Park, KS, for Plaintiff-Appellant.

Norman E. Siegel and Amy E. Bauman of Stueve Helder Siegel LLP, Kansas City, MO, for Defendants-Appellees Charles Schwab & Co., Inc. and Olde Discount Corporation.

Miriam G. Bahcall and Tanya Biller of Ungaretti & Harris, Chicago, IL, for Defendant-Appellee Principal Financial.

Before EBEL, KELLY, and LUCERO, Circuit Judges.

LUCERO, Circuit Judge.

Plaintiff Dave Sheldon ("Sheldon") appeals the district court's order confirming an arbitration award in favor of defendants Charles Schwab & Co., Inc. ("Schwab"), Olde Discount Corporation ("Olde Discount"), and Principal Financial ("Principal"), (collectively, the "broker-dealers"), and the district court's judgment dismissing his claims against defendants. Resolution of the case requires us to resolve a matter of first impression at the...

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