UBS v. West Virginia University Hospitals, et al.
Published on:
March 1, 2011
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