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SHAHI v. ASCEND FINANCIAL SERVICES, INC.

No. 05-055.

898 A.2d 116 (2006)

2006 VT 29

Kaveh S. SHAHI and Leslie R. Shahi v. ASCEND FINANCIAL SERVICES, INC. and Securian Financial Services.

Supreme Court of Vermont.

April 14, 2006.

Attorney(s) appearing for the Case

Kaveh S. Shahi of Cleary Shahi & Aicher, P.C., Rutland, for Plaintiffs-Appellants.

Alan P. Biederman and L. Maxwell Taylor of Kenlan, Schwiebert & Facey, P.C., Rutland, for Defendants-Appellees.

Present: DOOLEY, JOHNSON, SKOGLUND and BURGESS, JJ., and ALLEN, C.J. (Ret.), Specially Assigned.

¶ 1. JOHNSON, J.

Plaintiffs Kaveh S. Shahi and Leslie R. Shahi appeal a decision of the superior court refusing to modify or vacate an arbitration award received under an arbitration process administered by the National Association of Securities Dealers (NASD). Defendants Ascend Financial Services, Inc., and its successor-in-interest, Securian Financial Services, Inc., are securities brokers who sold plaintiffs certain mutual funds. Plaintiffs argue that the...

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