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Amicus Briefs

UBS v. West Virginia University Hospitals, et al.

Summary

SIFMA submitted an Amicus “Friend of the Court” Brief.

Court:

U.S. Court of Appeals
(Second Circuit)

Amicus Brief Issue:

Whether an ARS issuer is a “customer” of a brokerage firm, as that term is used in FINRA Rule 12200, such that the ARS issuer can compel the firm to arbitrate a dispute between the parties in the FINRA arbitration forum.

Counsel of Record:

Sullivan & Cromwell LLP

Robert J. Giuffra, Jr.
Brent J. McIntosh

Other Amici on SIFMA’s Brief: 

None
 

PDF

Date

1

March

2011

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