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FRANKS v. CAVANAUGH

No. 88 CIV. 2121 (SWK).

711 F.Supp. 1186 (1989)

Donald FRANKS, Plaintiff, v. Thomas CAVANAUGH, Philips Appel & Walden, Inc., and F.N. Wolf & Co., Inc., Defendants.

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

April 24, 1989.

Attorney(s) appearing for the Case

Golenbock, Eiseman, Assor, Bell & Perlmutter, New York City by Jeffrey T. Golenbock, for Donald Franks.

Berlack, Israels & Liberman, New York City by Martin S. Siegal, for Thomas Cavanaugh.

J. Jerome Olitt, New York City, for Philips Appel & Walden, Inc.

Bachner, Tally, Polevoy, Misher & Brinberg, New York City by H. Richard Penn, for F.N. Wolf & Co., Inc.

MEMORANDUM OPINION AND ORDER

KRAM, District Judge.

This action arises out of section 10(b) of the Securities and Exchange Act of 1934 (the "1934 Act"), as amended 15 U.S.C. § 78j(b), sections 12 and 5 of the Securities Act of 1933 (the "1933 Act"), as amended, 15 U.S.C. § 77l and § 77e, and common law principles of fraud, breach of fiduciary duty and negligence. Plaintiff Donald Franks ("Franks") claims generally that Thomas Cavanaugh...

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