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BERTHEL FISHER & CO. FINANCIAL SERVICES v. LARMON

No. 11-2877.

695 F.3d 749 (2012)

BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.; Thomas J. Berthel; Ronald O. Brendengen; Shelley Rae Davenport; Frederick P. Fisher; Richard M. Murphy; Leslie D. Smith; Daniel P. Wegmann; and Thomas R. Biesheuvel, Plaintiffs-Appellees v. Craig LARMON; Geneva OSWX XXII, LLC, a Delaware limited liability corporation; Earl Holasek; OSWX XXXVI, LLC, a Delaware limited liability corporation; Geneva FTCX I, LLC, a Delaware limited liability corporation; Geneva BCCX XVIII, LLC, a Delaware limited liability corporation; Karen Lane; Geneva OSWX IX, LLC, a Delaware limited liability company; Declaration of Trust of Karen Lane dated April 24, 1996; Jack Hoopes; Lorna Hoopes; Geneva OSWX XIX, LLC, a Delaware limited liability company; Patrick Jordan; Geneva OSWX XXVII, LLC, a Delaware limited liability company; and Patrick J. Jordan Trust dated April 6, 1990, Defendants-Appellants.

United States Court of Appeals, Eighth Circuit.

Filed: October 1, 2012.

Attorney(s) appearing for the Case

Daniel John Supalla , argued, Frank A. Taylor , Margaret Adamczyk Goetze and Amie Penny Sayler , on the brief, Minneapolis, MN, for appellant.

Stephen John Holtman , argued, Cedar Rapids, IA, Paul Daniel Gamez , Cedar Rapids, IA, Vincent D. Louwagie , Courtland Collinson Merill , Minneapolis, MN, on the brief, for appellee.

Before MURPHY, MELLOY, and COLLOTON, Circuit Judges.

MELLOY, Circuit Judge.

This case comes to us on appeal from the district court's1 grant of the plaintiffs' motion for a preliminary injunction and denial of the defendants' motion to compel arbitration. Because we hold that the district court correctly concluded that the defendants are not the plaintiffs' "customers" under the Financial Industry Regulatory Authority's (FINRA) Code of Arbitration...

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