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PHILLIPS v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Civ. No. 4-81-394.

623 F.Supp. 493 (1985)

Louis L. PHILLIPS, and L.L. Phillips Charities, Inc., Plaintiffs, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., and Ben M. Sirianni, Defendants.

United States District Court, D. Minnesota, Fourth Division.

December 9, 1985.

Attorney(s) appearing for the Case

Ted S. Meikle, Fredrikson & Byron, Terence M. Fruth, Fruth & Anthony, Minneapolis, for plaintiffs.

James B. Vessey, Dorsey & Whitney, Minneapolis, for defendants.

MEMORANDUM OPINION AND ORDER

DIANA E. MURPHY, District Judge.

Plaintiffs Louis L. Phillips and L.L. Phillips Charities brought this action against defendants Merrill Lynch, Pierce, Fenner & Smith and Ben Sirianni alleging violation of federal and state securities laws, breach of contract and fiduciary duty, and negligence. After this court granted defendants' motion to compel arbitration of state law claims, a National Association of Securities Dealers...

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