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KATZ v. PERSHING, LLC

Civil Action No. 10-12227-RGS.

806 F.Supp.2d 452 (2011)

Brenda KATZ, on behalf of herself and all others similarly situated v. PERSHING, LLC.

United States District Court, D. Massachusetts.

August 23, 2011.

Attorney(s) appearing for the Case

Stephen J. Calvacca, Susan L. Moran, Law Offices of Calvacca Moran, West Falmouth, MA, for Brenda Katz.

Jason D. Gerstein, Margaret A. Dale, Pro Hac Vice, Stephen L. Ratner, Proskauer Rose LLP, New York, NY, L. Scott Harshbarger, Proskauer Rose, LLP, Boston, MA, for Pershing, LLC.

MEMORANDUM AND ORDER ON DEFENDANT'S MOTION TO DISMISS

STEARNS, District Judge.

BACKGROUND

Plaintiff Brenda Katz owns an account at National Planning Corporation (NPC), an "introducing firm" for which defendant Pershing, LLC (Pershing), provides brokerage clearing services executed on a proprietary software platform called NetExchange Pro. The platform allows brokerage firms and customers (currently over 5,000,000 in number) to access account information...

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