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Stephens & Co. Duffield v. Robertson

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

Appellant

Tonyja Duffield

Appellee

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

Judges

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

Justices Dissenting

None

Place

San Francisco, California

Date of Decision

8 May 1998

Decision

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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