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IN THE MATTER OF JOHNSON

104034/07

2008 NY Slip Op 28372

IN THE MATTER OF the Arbitration Between ELIZABETH JOHNSON, individually and as Trustee for the CASABURI FAMILY TRUST and as POA for BETTY CASABURI, Respondent, and SUMMIT EQUITIES, INC. and PETER O'NEILL, Petitioners; NASD, INC. as Relief, Defendant. IN THE MATTER OF the Arbitration of Certain Controversies Between UBS FINANCIAL SERVICES, INC. and KAREN A. KURRASCH, Petitioner, and MARSHAL D. GIBSON and NASD DISPUTE RESOLUTION, Respondents.

Supreme Court of the State of New York, New York County.

Decided October 2, 2008.

Attorney(s) appearing for the Case

Andrew W. Sidman, Esquire, Bressler, Amery & Ross, P.C., New York, New York, Attorney for Petitioners in UBS.

William A. Despo, Esquire, LeClair Ryan, Newark, NJ, Attorney for Petitioners in Johnson.

R. Verle Johnson, Esquire, Assistant Attorney General, State of New York office of the Attorney General, Intervener for Respondent New York, New York, Attorney for Third-Party Intervener in both UBS and Johnson.

Terri Reicher, Esquire, Associate General Counsel, NASD Dispute Resolution, Washington, DC, Attorney for Respondent FINRA in both UBS & Johnson.

MARCY L. KAHN, J.

These two proceedings to confirm separate and unrelated arbitration awards present novel issues regarding judicial review and the sufficiency of the arbitral record to conduct that review via a new regulatory scheme under Rule 2130 ("Rule 2130" or "the Rule") of the Conduct Rules adopted by the National Association of Securities Dealers, Inc. ("NASD")1 governing the expungement of customer dispute information from NASD...

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