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DALE v. PRUDENTIAL-BACHE SECURITIES INC.

No. CV 88-3520.

719 F.Supp. 1164 (1989)

Margaret DALE, Plaintiff, v. PRUDENTIAL-BACHE SECURITIES INC. and James B. Flanagan, Defendants.

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

August 25, 1989.

Attorney(s) appearing for the Case

Keiffer & Hahn by Michael C. Devine, New York City, for plaintiff.

Miller & Wrubel by Joel M. Miller, New York City, for defendants.

MEMORANDUM AND ORDER

WEXLER, District Judge.

Plaintiff Margaret Dale ("Dale") commenced this action against Prudential-Bache Securities Inc. ("Prudential-Bache") and James B. Flanagan, a Prudential-Bache account executive, ("Flanagan") alleging various Federal Securities and common law violations. Specifically, plaintiff alleges violations of: (1) Section 17(a) of The Securities Act of 1933, 15 U.S.C. § 77q(a) ("Section 17(a)"); (2) Section 10(b) of...

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