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MORGAN KEEGAN & CO., INC. v. SILVERMAN

No. 12-1208.

706 F.3d 562 (2013)

MORGAN KEEGAN & COMPANY, INC., Plaintiff-Appellee, v. Louise SILVERMAN; Louise Silverman Trust; Max Silverman, Defendants-Appellants.

United States Court of Appeals, Fourth Circuit.

Decided: February 4, 2013.

Attorney(s) appearing for the Case

ARGUED: Adam J. Gana , Napoli Bern Ripka Shkolnik LLP, New York, New York, for Appellants. George C. Freeman, III , Barrasso, Usdin, Kupperman, Freeman & Sarver, LLC, New Orleans, Louisiana, for Appellee. ON BRIEF: Thomas C. Costello , Costello Law Group, Baltimore, Maryland, for Appellants. Priscilla A. Donovan , Donovan and Rainie LLC, Baltimore, Maryland; Larry E. Mobley , David N. Luder , Barrasso, Usdin, Kupperman, Freeman & Sarver, LLC, New Orleans, Louisiana, for Appellee.

Affirmed by published opinion. Judge KEENAN wrote the opinion, in which Judge NIEMEYER and Judge DIAZ joined.

OPINION

BARBARA MILANO KEENAN, Circuit Judge:

In this case, we consider whether the district court erred in holding that Morgan Keegan & Company, Inc. (Morgan Keegan), a member of the Financial Industry Regulatory Authority (FINRA), is not subject to FINRA arbitration proceedings initiated by Louise Silverman, Max Silverman, and the Louise Silverman Trust (collectively, the defendants). In their FINRA...

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