Legal Opinion
Van Alen v. Dominick & Dominick, Inc.
District Court, S.D. New York
Decided December 22, 1976No. 71 Civ. 5438PublishedCited by 30 opinions
1Opinion of the Court
OPINION AND ORDER
PIERCE, District Judge.
This is an action brought by plaintiff Candace Van Alen against her broker of seventeen years, Paul deGive, and deGive’s employer, Dominick & Dominick, Incorporated (“Dominick”). The third amended complaint charges defendants with violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder, violations of the rules of the New York Stock Exchange (“NYSE”) and common-law fraud in the handling of plaintiff’s discretionary account at Dominick during the period February 1969 through April 1970, as well as in the…
2Cases cited20 opinions
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Geders v. United StatesSupreme Court of the United States · 1976
- Channel Master Corp. v. Aluminium Limited Sales, Inc.New York Court of Appeals · 1958
- Fed. Sec. L. Rep. P 93,959 Frank Lanza, Jr. v. Drexel & Co., Theodore J. Kircher and Christie F. VitoloCourt of Appeals for the Second Circuit · 1973
- Bertha Hecht, and v. Harris, Upham & Co., a Partnership, Harris, Upham & Co., Inc., a Corporation, AndCourt of Appeals for the Ninth Circuit · 1970
15 more not listed; retrieve them via the Exa API.
3Cited by30 opinions
- Richard D. BENNETT and Carole A. Bennett, Plaintiffs-Appellants, v. UNITED STATES TRUST COMPANY OF NEW YORK, Defendant-AppelleeCourt of Appeals for the Second Circuit · 1985
- Shiv B. Katara, as Administrator of Manisha Sportswear, Inc. Defined Pension Trust v. D.E. Jones Commodities, Inc., and Alpha O. NickelberryCourt of Appeals for the Second Circuit · 1987
- Putnam Resources v. Ronald M. Pateman, Ronald M. Pateman v. Frenkel & Company, Inc.Court of Appeals for the First Circuit · 1992
- Fund of Funds, Ltd. v. Arthur Andersen & Co.District Court, S.D. New York · 1982
- First Federal Savings & Loan Ass'n v. Oppenheim, Appel, Dixon & Co.District Court, S.D. New York · 1986
25 more not listed; retrieve them via the Exa API.