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BERGER v. MERRILL LYNCH, PIERCE, FENNER & SMITH

No. 79 Civ. 5653(MEL).

505 F.Supp. 192 (1981)

Stephen BERGER, Plaintiff, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. and Robert S. Corwin, Defendants.

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

January 21, 1981.

Attorney(s) appearing for the Case

Butler, Fitzgerald & Potter, New York City, for plaintiff; Stuart L. Potter, Stephen F. Bailly, New York City, of counsel.

William T. Marshall, Jr., New York City, for defendants.

LASKER, District Judge.

Stephen Berger alleges inter alia that Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Merrill Lynch") and Robert S. Corwin, a securities salesman for Merrill Lynch, violated the Securities and Exchange Act of 1934, 15 U.S.C. § 78b, and Rule 10b-5, 17 C.F.R. § 240.10b-5, by failing to inform him that he did not own the underlying stock for four options purchased for his account, i. e. that he was engaged in "naked...

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