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TJART v. SMITH BARNEY, INC.

No. 46857-0-I.

28 P.3d 823 (2001)

107 Wash.App. 885

Arlene E. TJART, Appellant, v. SMITH BARNEY, INC. a foreign corporation; Thomas O'Neal and Jane Doe O'Neal, husband and wife and marital community composed thereof; Randy Shipley and Ila Shipley, husband and wife and the marital community composed thereof; Deberah A. Fox and William Fox, wife and husband and the marital community thereof, Respondents.

Court of Appeals of Washington, Division 1.

August 13, 2001.

Attorney(s) appearing for the Case

John Mele, Ryan Swanson & Cleveland, Seattle, for Appellant.

Eric Lansverk, Hillis Clark Martin & Petterson, Seattle, for Respondents.

WEBSTER, J.

Every firm in the securities industry requires its agents to register with a self-regulatory organization (SRO), such as the New York Stock Exchange or the National Association of Securities Dealers, and be bound by the rules promulgated for the SRO members. This is accomplished by having applicants sign a "Uniform Application for Securities Industry Registration or Transfer," commonly called a "U-4." This form...

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