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CALIFORNIA FINA GROUP, INC. v. HERRIN

No. 03-10939.

379 F.3d 311 (2004)

CALIFORNIA FINA GROUP, INC., d.b.a. Finacorp Securities, Inc., Plaintiff-Appellant, v. Robert L. HERRIN, Josie M. Herrin, Erma C. Kusian, Richard J. White, Mamie M. White, Gary L. Carpenter, Russell J. Frey, Bettie E. Frey, Walter A. Grams, Nancy Boston, Executrix of the Estate of Bessie Grams, Jose C. Tamez, Rose A. Milligan, and Mary P. Albert, Defendants-Appellees.

United States Court of Appeals, Fifth Circuit.

July 27, 2004.

Attorney(s) appearing for the Case

William Joseph Boyce, William D. Wood, Jeffrey D. Palmer (argued), Fulbright & Jaworski, Houston, TX, Walter A. Herring, Fulbright & Jaworski, Dallas, TX, for Plaintiff-Appellant.

Joel A. Goodman (argued), Goodman & Nekvasil, Clearwater, FL, for Defendants-Appellees.

Before DeMOSS, STEWART and PRADO, Circuit Judges.

DeMOSS, Circuit Judge:

Defendants-Appellees Robert L. Herrin, et al. ("Appellees"), are a group of investors that purchased various investments from a former independent registered representative for Plaintiff-Appellant California Fina Group, Inc., d.b.a. Finacorp Securities, Inc. ("Fina Group"). Appellees filed a claim with the National Association of Securities Dealers, Inc. ("NASD"), seeking to arbitrate their dispute with Fina Group. Fina Group filed a...

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