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PFANNENSTIEL v. MERRILL LYNCH, PIERCE, FENNER & SMITH

No. 04-1274.

477 F.3d 1155 (2007)

Robert PFANNENSTIEL, Plaintiff-Appellant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH; National Association of Securities Dealers, Inc., Defendants-Appellees.

United States Court of Appeals, Tenth Circuit.

February 20, 2007.

Attorney(s) appearing for the Case

Paul H. Schwartz, Cooley Godward LLP, Broomfield, CO, for Plaintiff-Appellant.

Thomas P. Howell (Bruce W. Day, Bill P. Guest, Tara A. LaClair with him on brief) Day, Edwards, Propester & Christensen, P.C., Oklahoma City, OK, for Defendant-Appellee Merrill Lynch, Pierce Fenner & Smith.

Terri L. Reicher, National Association of Securities Dealers, Inc., Washington D.C., for Defendant-Appellee National Association of Securities Dealers.

Before BRISCOE, SILER, and McCONNELL, Circuit Judges.

SILER, Circuit Judge.

Robert Pfannenstiel (Pfannenstiel) appeals the district court's dismissal of his motion to vacate the judgment of an arbitration panel and the district court's decision that the arbitration panel was protected by arbitral immunity. Pfannenstiel contends that his motion was timely because he served it at the earliest possible date he could have known that grounds to vacate existed and that arbitral immunity does not apply because the arbitration...

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