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KAUFMAN v. MERRILL LYNCH, PIERCE, FENNER & SMITH

Civ. No. B-76-227.

464 F.Supp. 528 (1978)

Lilian L. KAUFMAN, Howard K. Kaufman, Curtis C. Kaufman, Patricia Hitchcock, Individually and as beneficiary of the Jennings' Trust, Emily Jennings Hollman, Individually, and as beneficiary of the Jennings' Trust, Rev. Elward D. Hollman, Joseph N. Keyser, Esther S. Keyser, and Jean E. Smith, Sarah Hollman Geils, Marion Hitchcock Clark and Patricia Archer Hollman, Contingent Beneficiaries of the Jennings' Trust, Plaintiffs, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., a corporation, James Goff, Edith C. Alter, and David E. Alter, Jr., Defendants. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., Defendant and Counter-Plaintiff, v. Lilian L. KAUFMAN, Howard K. Kaufman, Curtis C. Kaufman, Patricia Hitchcock, Individually and as beneficiary of the Jennings' Trust, Emily Jennings Hollman, Individually, and as beneficiary of the Jennings' Trust, Rev. Elward D. Hollman, Joseph N. Keyser, Esther S. Keyser, and Jean E. Smith, Plaintiffs and Counter-Defendants.

United States District Court, D. Maryland.

December 22, 1978.

Attorney(s) appearing for the Case

Allin P. Baxter and Jones & Baxter, Washington, D. C., Robert Anthony Jacques, Rockville, Md., for plaintiffs.

E. Michael Bradley and Brown, Wood, Ivey, Mitchell & Petty, New York City, Ronald D. Jacobs and Belli, Weil & Jacobs, Rockville, Md., for Merrill Lynch & James Goff.

Edith C. Alter and David E. Alter, Jr., pro se.

MEMORANDUM AND ORDER

BLAIR, District Judge.

This is an action by twelve plaintiffs alleging various securities violations as well as several common law claims. The defendants are Edith Alter, an investment adviser; David Alter, her husband; Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"); and James Goff, an employee of Merrill Lynch.

Pending before the court are a motion by David Alter for summary judgment, a motion by Merrill Lynch...

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