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U.S. TRUST CO., N.A. v. RICH

No. COA10-253.

712 S.E.2d 233 (2011)

UNITED STATES TRUST COMPANY, N.A., Plaintiff, v. John R. RICH, D. Kenneth Dimock, Glenda R. Burkett, Anthony P. Monforton, Martha Jo Brooks, William W. Watson, Virginia B. Saslow, Sandra G. Boes, Suzanne C. Wilcox, Kim M. Van Zee, and Kimberly Lemons, Defendants.

Court of Appeals of North Carolina.

April 19, 2011.

Attorney(s) appearing for the Case

McGuireWoods, LLP, by Irving M. Brenner , John G. McDonald , Makila Sands Scruggs , and Monica E. Webb , Charlotte, for plaintiff-appellee.

James, McElroy & Diehl, P.A., by Preston O. Odom, III and John R. Buric , Charlotte, for defendants-appellants.

STEELMAN, Judge.

The trial court did not abuse its discretion in denying defendants' motion for re-hearing upon remand from the Court of Appeals. Where plaintiff does not qualify as an "associated person" under FINRA code of Arbitration Procedure for Industry Disputes or FINRA By-Laws and plaintiff was not a third-party beneficiary of defendants' Form U-4s, the trial court did not err in denying defendants' motion to stay...

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