Stephens & Co. Duffield v. Robertson - Significance, Legislative History, Through The Looking Glass, The Controversy Continues, Further Readings
Robertson Stephens & Co.
That Form U-4 is unconstitutional and therefore cannot be enforced.
Chief Lawyer for Appellant
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)
San Francisco, California
Date of Decision
8 May 1998
Form U-4 is unenforceable.
- 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).
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