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ROACH v. WOLTMANN

No. CV 94-5828-WMB.

879 F.Supp. 1039 (1994)

Gene L. ROACH, Plaintiff, v. Lani M. Sen WOLTMANN, Esq., Defendant.

United States District Court, C.D. California.

November 23, 1994.

Attorney(s) appearing for the Case

Gene L. Roach, pro se.

George M. Garvey, Elizabeth Abrams Sellung, Munger Tolles & Olson, Los Angeles, CA, for defendant.

ORDER

WM. MATTHEW BYRNE, Jr., Chief Judge.

I. BACKGROUND

This case arises out of a National Association of Securities Dealers ("NASD") disciplinary action. On November 7, 1990, the NASD filed a complaint against plaintiff Gene Roach ("plaintiff"), then a member of the NASD, and his firm, Wilshire Discount Securities, Inc., for securities fraud based on conduct by plaintiff in 1989 and 1990. Defendant Lani Woltmann ("defendant") acted as prosecutor...

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