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GALARNEAU v. MERRILL LYNCH, PIERCE, FENNER & SMITH

No. 06-2410.

504 F.3d 189 (2007)

Deborah GALARNEAU, Plaintiff, Appellee, v. MERRILL LYNCH, PIERCE, FENNER & SMITH INC., Defendant, Appellant.

United States Court of Appeals, First Circuit.

Decided October 12, 2007.

Attorney(s) appearing for the Case

Evan M. Tager, with whom Andrew Tauber, Mayer, Brown, Rowe & Maw LLP, James R. Erwin, Pierce Atwood LLP, and Eugene Volokh, UCLA School of Law, were on brief, for appellant.

Rufus E. Brown, with whom Brown & Burke, Michael A. Nelson, and Jensen Baird Gardner & Henry, were on brief, for appellee.

Before TORRUELLA, Circuit Judge, NEWMAN, Circuit Judge, and LYNCH, Circuit Judge.

TORRUELLA, Circuit Judge.

On January 6, 2004, Deborah Galarneau ("Galarneau") was fired from her job as a stockbroker at Merrill Lynch, Pierce, Fenner & Smith Inc. ("Merrill Lynch"). In a form submitted to the National Association of Securities Dealers ("NASD"), Merrill explained that "Ms. Galarneau was terminated after the firm concluded that she had (I) engaged in inappropriate bond trading in one client's account and (II) utilized time and price discretion...

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