Wildman
Wildman v. Pacific Coast Independent Brokerage, Inc.
Opinion
Lead Opinion
MEMORANDUM *
John and Catherine Wildman appeal the district court’s confirmation of an arbitration award issued by a panel of arbitrators of the National Association of Securities Dealers (“NASD”) in favor of Pacific Coast Independent Brokerage, Inc. (“Pacific Coast”) and Davies Wu. The NASD arbitration panel dismissed all of the Wild-mans’ claims against Pacific Coast and Mr. Wu for violations of the Securities Exchange Act of 1934, civil RICO, and California state law violations. These claims arose from the opening of securities accounts by the Wildmans with Pacific Coast between 1993 and 1995. In addition, the NASD panel found that the Wildmans were hable to Pacific Coast for money due on trades ordered by the Wildmans. The Wildmans seek to vacate the award on the grounds that the district court erred when it assigned the matter to arbitration, and when it confirmed the arbitration award. Our jurisdiction rests on 18 U.S.C. § 1291 , and we review de novo the district court’s decision to compel arbitration. Chiron Corp. v. Ortho Diagnostic Sys., Inc., 207 F.3d 1126, 1130 (9th Cir.2000). We affirm.