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MANUFACTURERS HANOVER TRUST CO. v. SMITH BARNEY, HARRIS UPHAM & CO.

No. 90 Civ. 4274 (WCC).

770 F.Supp. 176 (1991)

MANUFACTURERS HANOVER TRUST COMPANY, Plaintiff, v. SMITH BARNEY, HARRIS UPHAM & CO. INCORPORATED, Tucker Anthony & R.L. Day, Inc., Randolph T. Caden, Grace Marie Caden, Thomas F. Brancato, individually and doing business as Mackey Investment Fund, and Robert Serio, Defendants.

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

July 22, 1991.

Attorney(s) appearing for the Case

Robert M. Rosenblith, New York City (Robin J. Arzt, of counsel), for plaintiff Manufacturers Hanover Trust Co.

Hugh McGovern, Legal Dept., Smith Barney, Harris Upham & Co., Inc., New York City, for defendants Smith Barney and Robert Serio.

Lloyd S. Clareman, New York City, for defendant Tucker Anthony.

Lecci, Wolin & Wolin, Hicksville, N.Y., for defendants, Randolph T. Caden, Grace Marie Caden.

Thomas F. Brancato, pro se.

OPINION AND ORDER

WILLIAM C. CONNER, District Judge.

Manufacturers Hanover Trust Company ("MHT"), a stock transfer agent for various publicly traded issuers, seeks to recover under Section 10(b) of the Exchange Act, 15 U.S.C. § 78j(b), Rule 10b-5 of the Securities Exchange Commission, 17 C.F.R. § 240.10b-5, and a variety of common law theories, losses it sustained as a result of the defalcations of the assistant manager of its stock transfer department...

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