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Stephens & Co. Duffield v. Robertson

Significance, Legislative History, Through The Looking Glass, The Controversy Continues, Further Readings


Tonyja Duffield


Robertson Stephens & Co.

Appellant's Claim

That Form U-4 is unconstitutional and therefore cannot be enforced.

Chief Lawyer for Appellant

Michael Rubin

Chief Lawyer for Appellee

Daniel F. Bookin


William C. Canby, Jr., Stephen Reinhardt (writing for the court), Jane A. Restani (Court of International Trade Judge)

Justices Dissenting



San Francisco, California

Date of Decision

8 May 1998


Form U-4 is unenforceable.

Related Cases

  • Alexander v. Gardner-Denver Co., 415 U.S. 36 (1974).
  • Swenson v. Management Recruiters Int'l, Inc., 858 F.2d 1304 (1988).
  • Gilmer v. Interstate/Johnson Lane Corp., 500 U.S. 20 (1991).
  • Wright v. Universal Maritime Service Corp., 121 F.3d 702 (1997).
  • Seus v. John Nuveen & Co., No. 97-1498 (1998).

Additional topics

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