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SIEGEL v. TUCKER, ANTHONY & R.L. DAY, INC.

No. 86 Civ. 5008 (SWK).

658 F.Supp. 550 (1987)

Dani SIEGEL, Plaintiff, v. TUCKER, ANTHONY & R.L. DAY, INC. and Lee Balter, Defendants.

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

April 2, 1987.

Attorney(s) appearing for the Case

Carro, Spanbock, Fass, Geller, Kaster & Cuiffo, New York City by Kenneth A. Lapatine Vincent Lipari, for plaintiff.

Shanley & Fisher, P.C., New York City by Matthew Farley, Brian McDonough, Robert G. Brehme, for defendants.

MEMORANDUM OPINION AND ORDER

KRAM, District Judge.

This action arises out of a brokerage account plaintiff Dani Siegel ("Siegel") opened in 1981 with defendant Tucker, Anthony & R.L. Day, Inc. ("Tucker Anthony"), a brokerage firm, and defendant Lee Balter ("Balter"), one of its registered account representatives. This action is brought under Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange...

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