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New Compliance Rules
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1987 Transfer Binder 2d Cir 9th Cir accompanying text account executive action under section administrative Advisers Act agreements to arbitrate alleged amended arbitration agreement award Bear Stearns Bieree branch manager broker brokerage firm C.D. Cal cause of action churning civil RICO collateral estoppel Commission Commission's conduct controlling person Current Binder customer's Dean Hitter defendant denied district court Drexel Burnham Lambert duty eert employee Federal Arbitration Act federal securities laws Fenner Q Smith fiduciary Footnote Continued foreign securities authority fraud insider trading investment adviser investor issue liability litigation llth Cir lner lst Cir McMahon Merrill Lynch N.D. Ill NASD options penalty plaintiff procedures proposed provision punitive damages pursuant Q Cor racketeering activity recommendation registered representative sanctions Second Circuit section l0(b Securities Act Securities Exchange Act Shearson Smith Barney statute statutory substantially equivalent supervise supervisory Supp transactions United unsuitable violation