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RAYMOND JAMES FINANCIAL SERVICES, INC. v. CARY

No. 12-1053.

709 F.3d 382 (2013)

RAYMOND JAMES FINANCIAL SERVICES, INCORPORATED, Plaintiff-Appellee, v. Peter CARY; Dayna Smith; Robert Barkin; Christine Spolar, Defendants-Appellants, and Financial Industry Regulatory Authority, Defendant. Public Investors Arbitration Bar Association, Amicus Supporting Appellants.

United States Court of Appeals, Fourth Circuit.

Decided: March 8, 2013.

Attorney(s) appearing for the Case

ARGUED: John Stringer Chapman , Chapman & Associates, LLC, Cleveland, Ohio, for Appellants. Stephen Grey Cochran , Roeder & Cochran, PLLC, McLean, Virginia, for Appellee. ON BRIEF: Alin L. Rosca , John S. Chapman & Associates, LLC, Cleveland, Ohio; J. Casey Forrester , ECONOMOU, FORRESTER & RAY, Alexandria, Virginia, for Appellants. Braden W. Sparks , Braden W. Sparks, PC, Dallas, Texas; Lisa A. Catalano , Director, St. John's University School of Law, Securities Arbitration Clinic, Jamaica, New York; Gina-Marie Scarpa , St. John's University School of Law, Securities Arbitration Clinic, Queens, New York, for Amicus Supporting Appellants.

Affirmed by published opinion. Judge WILKINSON wrote the opinion, in which Judge KEENAN and Judge WYNN joined.

OPINION

WILKINSON, Circuit Judge:

Appellants are individual investors seeking to arbitrate claims against appellee Raymond James Financial Services ("RJFS") that arose when the investors purchased allegedly fraudulent securities directly from Inofin, Inc. ("Inofin"). As a member of the Financial Industry Regulatory Authority ("FINRA"), RJFS has agreed to arbitrate any dispute with a "customer" that "arises in connection with the business activities" of the...

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