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MM&S FINANCIAL v. NATIONAL ASS'N OF SECURITIES

No. 03-1404.

364 F.3d 908 (2004)

MM&S FINANCIAL, INC., Appellant, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.; NASD Dispute Resolution, Inc., Appellees.

United States Court of Appeals, Eighth Circuit.

Filed: April 14, 2004.

Attorney(s) appearing for the Case

John S. Jagiela, argued, Minneapolis, MN, for appellant.

Terri L. Reicher, argued, Washington, D.C. (John M. Baker and Nancy E. Brasel, Minneapolis, MN, on the brief), for appellee.

Before RILEY, LAY, and HEANEY, Circuit Judges.

RILEY, Circuit Judge.

After MM&S Financial, Inc. (MM&S) purchased certain assets of Miller & Schroeder Financial, Inc. (Miller), former Miller customers brought securities arbitration proceedings against MM&S. MM&S brought suit against the National Association of Securities Dealers, Inc. (NASD) and NASD Dispute Resolution, Inc. (the NASD defendants) to prohibit the arbitration proceedings. The district

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