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BOKF, NA v. ESTES

No. 18-15369.

923 F.3d 558 (2019)

BOKF, NA, Plaintiff-Counter-Defendant-Appellant, v. Robert ESTES; Karen Niles; Jerry Carpenter; Shirley Carvey; James Carpenter, as Co-Trustee of the Carpenter Family Rev Trust UAD1/19/14; Becky Lynn Carpenter, as Co-Trustee of the Carpenter Family Rev Trust UAD 1/19/14, Defendants-Counter-Claimants-Appellees.

United States Court of Appeals, Ninth Circuit.

Filed May 2, 2019.

Attorney(s) appearing for the Case

Frederic Dorwart , (argued), Jared M. Burden , Paul DeMuro , and Frederic Dorwart , Lawyers PLLC, Tulsa, Oklahoma; Spencer H. Gunnerson , Kemp Jones & Coulthard LLP, Las Vegas, Nevada; Benjamin W. Snyder , and Gregory G. Garre , Latham & Watkins LLP, Washington, D.C.; for Plaintiff-Appellant.

Thomas C. Bradley , (argued), Sinai Schroeder Mooney Boetsch Bradley & Pace, Reno, Nevada, for Defendants-Appellees.

Jonathan K. Youngwood , Simpson Thacher & Bartlett LLP, New York, New York; Michael D. Kibler , Simpson Thacher & Bartlett LLP, Los Angeles, California; for Amicus Curiae American Bankers Association.

Before: Marsha S. Berzon and Michelle T. Friedland, Circuit Judges, and Daniel R. Dominguez, District Judge.

OPINION

Our question is whether every entity that engages in "municipal securities dealer activities" is a "municipal securities dealer" for purposes of determining whether it is subject to compelled arbitration before the Financial Industry Regulatory Authority ("FINRA"). We think not, so we reverse the district...

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