1. Home
  2. Browse Decisions
  3. Misc.3d
  4. 22 Misc.3d
  5. 22 Misc.3d 631 (2008)
 

MATTER OF JOHNSON (SUMMIT)

22 Misc.3d 631 (2008)

864 N.Y.S.2d 873

In the Matter of the Arbitration between ELIZABETH JOHNSON, Individually and as Trustee for the CASABURI FAMILY TRUST and as Power of Attorney for BETTY CASABURI, Respondent, and SUMMIT EQUITIES, INC., et al., Petitioners. NASD, INC., Relief Defendant. In the Matter of the Arbitration between UBS FINANCIAL SERVICES, INC., et al., Petitioners, and MARSHAL D. GIBSON et al., Respondents.

Supreme Court of the State of New York, New York County.

October 2, 2008.

Attorney(s) appearing for the Case

Bressler, Amery & Ross, P.C., New York City (Andrew W. Sidman of counsel), for UBS Financial Services, Inc. and another, petitioners. LeClairRyan, Newark, New Jersey (William A. Despo of counsel), for Summit Equities, Inc. and another, petitioners. Terri Reicher, Washington, D.C., for NASD Dispute Resolution, respondent, and NASD, Inc., relief defendant. Andrew M. Cuomo, Attorney General, New York City (R. Verle Johnson of counsel), intervenor pro se.

OPINION OF THE COURT

MARCY L. KAHN, J.

These two proceedings to confirm separate and unrelated arbitration awards present novel issues regarding judicial review and the sufficiency of the arbitral record to conduct that review via a new regulatory scheme under Rule 2130 (Rule 2130 or the Rule) of the Conduct Rules adopted by the National Association of Securities Dealers, Inc. (NASD)1 governing the expungement of customer dispute...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases