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VAN ALEN v. DOMINICK & DOMINICK, INC.

No. 71 Civ. 5438.

441 F.Supp. 389 (1976)

Candace VAN ALEN, Plaintiff, v. DOMINICK & DOMINICK, INC. and Paul deGive, Defendants.

United States District Court, S. D. New York.

December 22, 1976.

Attorney(s) appearing for the Case

Charles Norman Shaffer, Shaffer, McKeever & Fitzpatrick, Rockville, Md., Jerome Kamerman, Kamerman & Kamerman, New York City, for plaintiff.

Jeffrey A. Barist, Vincent R. Fitzpatrick, Jr., Benjamin S. Bilus, White & Case, New York City, for defendants.

OPINION AND ORDER

PIERCE, District Judge.

This is an action brought by plaintiff Candace Van Alen against her broker of seventeen years, Paul deGive, and deGive's employer, Dominick & Dominick, Incorporated ("Dominick"). The third amended complaint charges defendants with violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder, violations of the rules of the New York Stock Exchange ("NYSE") and common...

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