MEMORANDUM AND ORDER
STEVENS, District Judge.
Plaintiff John Peele sues defendants Kidder, Peabody & Company and its employee-stockbroker, Richard C. Jensen, Jr., in five counts claiming various state and federal securities law violations and fraud. Counts I, III, and IV of plaintiff's complaint allege violations of sections 10(b) and 15(c) of the Securities Exchange Act of 1934 (hereinafter "the 1934 Act"), 15 U.S.C. § 78a et seq. Count...
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