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FARLEY v. BAIRD, PATRICK & CO., INC.

No. 90 Civ. 2168 (MBM).

750 F.Supp. 1209 (1990)

Dick FARLEY, on behalf of himself and all others similarly situated, Plaintiff, v. BAIRD, PATRICK & CO., INC., Stuart Patrick, Ray Dirks and Paul Morris, Defendants.

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

November 19, 1990.

Attorney(s) appearing for the Case

Richard G. Sablosky, New York City, for plaintiff.

Martin I. Kaminsky, Pollack & Kaminsky, New York City, for defendants.

OPINION AND ORDER

MUKASEY, District Judge.

Plaintiff has sued defendants under Rule 10b-5, 17 C.F.R. § 240.10b-5, § 12(2) of the Securities Act of 1933, 15 U.S.C. § 77l, RICO, 18 U.S.C. § 1962, and state law based on alleged overcharges for commissions on his purchases of over-the-counter stock. Defendants have moved to dismiss, raising a host of issues including the statute of limitations, the reach of § 12(2), failure to...

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