Legal Opinion
Regina (Rega) Jablon v. Dean Witter & Co., and Sydney Turner
Court of Appeals for the Ninth Circuit
Decided February 29, 1980No. 77-2214PublishedCited by 429 opinions
1Opinion of the Court
EUGENE A. WRIGHT, Circuit Judge:
This is an appeal from an order of dismissal. Appellant Jablon alleges Dean Witter violated New York Stock Exchange (NYSE) Rule 405 (the “know your customer” rule) 1 and Article III, Section 2 of the National Association of Securities Dealers (NASD) Rules of Fair Practice (the “suitability” rule) 2 in its handling of her margin account. She also charges a violation of Securities and Exchange Commission Rule 10b-5, 17 C.F.R. § 240.10b-5 (1975). The district court dismissed the complaint, ruling (1) there is no implied private cause of action under NYSE Rule 405…
2Cases cited13 opinions
- Conley v. GibsonSupreme Court of the United States · 1957
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Poller v. Columbia Broadcasting System, Inc.Supreme Court of the United States · 1962
- Touche Ross & Co. v. RedingtonSupreme Court of the United States · 1979
- Transamerica Mortgage Advisors, Inc. v. LewisSupreme Court of the United States · 1979
8 more not listed; retrieve them via the Exa API.
3Cited by429 opinions
- Hernandez v. City of El MonteCourt of Appeals for the Ninth Circuit · 1998
- Cervantes v. Countrywide Home Loans, Inc.Court of Appeals for the Ninth Circuit · 2011
- Robert S. Robertson v. Dean Witter Reynolds, Inc.Court of Appeals for the Ninth Circuit · 1984
- Malpiede v. TownsonSupreme Court of Delaware · 2001
- Tworivers v. LewisCourt of Appeals for the Ninth Circuit · 1999
424 more not listed; retrieve them via the Exa API.