Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-caed-2_04-cv-00196/USCOURTS-caed-2_04-cv-00196-3/pdf.json

Nature of Suit Code: 440
Nature of Suit: Other Civil Rights
Cause of Action: 28:1331 Fed. Question

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UNITED STATES DISTRICT COURT

EASTERN DISTRICT OF CALIFORNIA

GEORGE P. SALEMO,

Plaintiff,

v.

E*TRADE SECURITIES, LLC,

 Defendant.

CIV. S-04-0196 MCE PAN PS

ORDER

-o0oOn May 9, 2005, the Honorable Morrison C. England, Jr.,

granted defendant’s motion to compel arbitration and stayed these

proceedings pending completion of arbitration. On August 24,

plaintiff filed a “Motion for Appointment of Arbitrator” pursuant

to 9 U.S.C. § 5 on the ground plaintiff “has since the order been

undergoing various medical procedures and was not available to

file this motion.”

9 U.S.C. § 5 provides that the appointment of an

arbitrator shall be made pursuant to the procedure set forth in

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19 U.S.C. § 5 provides:

If in the agreement provision be made for a method of naming or

appointing an arbitrator or arbitrators or an umpire, such method

shall be followed; but if no method be provided therein, or if a

method be provided and any party thereto shall fail to avail

himself of such method, or if for any other reason there shall be

a lapse in the naming of an arbitrator or arbitrators or umpire,

or in filling a vacancy, then upon the application of either party

to the controversy the court shall designate and appoint an

arbitrator or arbitrators or umpire, as the case may require, who

shall act under the said agreement with the same force and effect

as if he or they had been specifically named therein; and unless

otherwise provided in the agreement the arbitration shall be by a

single arbitrator.

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the parties’ arbitration agreement or, if not so provided, by the

court’s designation upon application of either party.1

On September 9, defendant filed and served upon plaintiff

an opposition including the Code of Arbitration Procedure for the

National Association of Securities Dealers, Inc. (“NASD”), the

procedures applicable to the dispute between these parties. See

E*TRADE Customer Agreement (p. 7, ¶ 31B (“arbitration shall be

conducted in accordance with the rules then in effect of the

National Association of Securities Dealers, Inc.”); Findings and

Recommendations filed April 5, 2005, at pp. 2-3, 6. NASD Rule

10308 provides for the selection of an arbitrator, and Rule 10314

(or Rule 10302 if plaintiff reduces his claim to $25,000 or less)

sets forth the procedures for initiating arbitration and

obtaining appointment of an arbitrator. Defendant has also

provided the address and telephone number of NASD Dispute

Resolution, Inc., if plaintiff requires further information.

Inasmuch as appointment of an arbitrator is provided by

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the parties’ agreement to abide by NASD rules and plaintiff has

yet to initiate any proceedings pursuant to those rules,

plaintiff’s motion before this court is at best premature and

therefore denied.

So ordered.

Dated: November 9, 2005. 

 /s/ Peter A. Nowinski 

 PETER A. NOWINSKI

 Magistrate Judge

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