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IN RE AMERICAN EXP. FINANCIAL ADVISORS SECURITIES

Docket No. 10-3399.

672 F.3d 113 (2011)

In re AMERICAN EXPRESS FINANCIAL ADVISORS SECURITIES LITIGATION. Carol M. Anderson, Leonard D. Caldwell, Donald G. Dobbs, Kathie Kerr, Susan M. Rangeley, Patrick J. Wollmering, Naresh Chand, on behalf of himself and all others similarly situated, John B. Perkins, Elizabeth Flenner, Gale D. Caldwell, Richard T. Allen, individually and on behalf of all others similarly situated, Plaintiffs, American Express Company, American Express Financial Corporation, American Express Financial Advisors, Inc., James M. Cracchiolo, Defendants, Ameriprise Financial Services, Inc., Defendant-Appellee, v. John Beland, Elaine Beland, Class Members-Appellants.

United States Court of Appeals, Second Circuit.

Decided: November 3, 2011.

Attorney(s) appearing for the Case

David A. Genelly , Vanasco Genelly & Miller ( James E. Judge , of counsel), Chicago, IL, for Appellants.

David W. Bowker , Wilmer Cutler Pickering Hale and Dorr LLP ( Sue-Yun Ahn , of counsel), Washington, D.C., for Appellee.

Before: POOLER, SACK, and LYNCH, Circuit Judges.

SACK, Circuit Judge:

This appeal requires us to address several unsettled issues concerning the effect of a class-action settlement on an individual class member's preexisting right to arbitrate certain claims. The appellants, John and Elaine Beland (the "Belands"), brought various claims before Financial Industry Regulatory Authority ("FINRA") arbitrators against Ameriprise Financial Services, Inc. ("Ameriprise"), a financial-services company, for, inter alia...

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