Legal Opinion
Fed. Sec. L. Rep. P 99,414 John E. Thompson v. Smith Barney, Harris Upham & Co., Incorporated
Court of Appeals for the Eleventh Circuit
Decided July 18, 1983No. 82-8247PublishedCited by 50 opinions
1Opinion of the Court
FAY, Circuit Judge:
The appellant filed suit against Smith Barney, Harris Upham & Co., Inc. alleging that the brokerage firm and its employee, Bruce Brookshire, failed to disclose to him risks inherent in options trading. He further alleged that Smith Barney churned his account in violation of sec. 10(b) of the sec. 78j(b), Rule 10b-5, 17 C.F.R. sec. 240.-10b-5, and state common law. The district court granted Smith Barney’s motion to dismiss the appellant’s churning claim at the close of the appellant’s case. After a full trial on the other counts, the district court found for Smith Barney…
2Cases cited10 opinions
- Larry Bonner v. City of Prichard, AlabamaCourt of Appeals for the Eleventh Circuit · 1981
- United States v. United States Gypsum Co.Supreme Court of the United States · 1948
- Fed. Sec. L. Rep. P 96,048 Milton E. Dupuy v. Clarence O. Dupuy, Jr.Court of Appeals for the Fifth Circuit · 1977
- Fed. Sec. L. Rep. P 97,872 Lila A. Miley v. Oppenheimer & Company, Inc., Anthony L. Geller and John W. HamiltonCourt of Appeals for the Fifth Circuit · 1981
- Helen C. Carras and Bill G. Carras, Co-Executors of the Estate of Gus N. Carras, Deceased v. James S. Burns, Jr.Court of Appeals for the Fourth Circuit · 1975
5 more not listed; retrieve them via the Exa API.
3Cited by50 opinions
- In Re Catanella and EF Hutton and Co.District Court, E.D. Pennsylvania · 1984
- Angelastro v. Prudential-Bache Securities, Inc.Court of Appeals for the Third Circuit · 1985
- Frota v. Prudential-Bache Securities, Inc.District Court, S.D. New York · 1986
- Securities & Exchange Commission v. Morgan Keegan & Co.Court of Appeals for the Eleventh Circuit · 2012
- Gochnauer v. A.G. Edwards & Sons, Inc.Court of Appeals for the Eleventh Circuit · 1987
45 more not listed; retrieve them via the Exa API.