Legal Opinion
Heller v. Rothschild
District Court, S.D. New York
Decided April 3, 1986No. 85 Civ. 5925 (CSH)PublishedCited by 12 opinions
1Opinion of the Court
HAIGHT, District Judge:
In this case, plaintiff Charles W. Heller alleges the churning of his investment account, in violation of the federal securities laws prohibiting fraud. The individual defendant Lawrence F. Rice, is the broker with whom plaintiff dealt. Rice was employed by the brokerage firm of L.F. Rothschild, Unterberg, Towbin (“Rothschild”), the latter’s asserted liability being that of a “control person” over Rice. Securities Exchange Act of 1934, 15 U.S.C. § 78t. The complaint alleges that plaintiff maintained a brokerage account with Rothschild from October 1984 through May-1985.
D…
2Cases cited10 opinions
- Blue Chip Stamps v. Manor Drug StoresSupreme Court of the United States · 1975
- Fed. Sec. L. Rep. P 98,697 John P. Decker v. Massey-Ferguson, LimitedCourt of Appeals for the Second Circuit · 1982
- Fed. Sec. L. Rep. P 93,590 David Segal v. Lawrence Gordon, and Coburn Corporation of AmericaCourt of Appeals for the Second Circuit · 1972
- Armstrong v. McAlpinCourt of Appeals for the Second Circuit · 1983
- Newburger, Loeb & Co. v. GrossCourt of Appeals for the Second Circuit · 1977
5 more not listed; retrieve them via the Exa API.
3Cited by12 opinions
- Craighead v. E.F. Hutton & Co.Court of Appeals for the Sixth Circuit · 1990
- Craighead v. Hutton & Company, Inc.Court of Appeals for the Sixth Circuit · 1990
- Cruse v. Equitable Securities of New York, Inc.District Court, S.D. New York · 1987
- Goodman v. Shearson Lehman Bros., Inc.District Court, S.D. New York · 1988
- Sheldon Co. Profit Sharing Plan and Trust v. SmithDistrict Court, W.D. Michigan · 1993
7 more not listed; retrieve them via the Exa API.