Legal Opinion
Fed. Sec. L. Rep. P 94,425 Biruta Dzenits v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and James A. Billington
Court of Appeals for the Tenth Circuit
Decided March 6, 1974No. 73-1465PublishedCited by 74 opinions
1Opinion of the Court
WILLIAM E. DOYLE, Circuit Judge.
This is an action which arises under § 17(a) of the Securities Act of 1933 and § 10(b) of the Securities Act of 1934, together with Rule 10b-5 issued by the Securities and Exchange Commission. The complaint also contains a claim under the Commodity Exchange Act of 1936 and Rule 405 of the New York Stock Exchange. The basic allegations are that the defendant Merrill Lynch, Pierce, Fenner & Smith, Inc., together with James A. Billington, one of its agents, was guilty of so-called “churning” the account of plaintiff, whereby she suffered damages in the amount of…
2Cases cited9 opinions
- Bertha Hecht, and v. Harris, Upham & Co., a Partnership, Harris, Upham & Co., Inc., a Corporation, AndCourt of Appeals for the Ninth Circuit · 1970
- Donald W. Buttrey, Trustee in Bankruptcy for Dobich Securities Corporation v. Merrill Lynch, Pierce, Fenner & Smith, Inc.Court of Appeals for the Seventh Circuit · 1969
- DeHaas v. Empire Petroleum CompanyDistrict Court, D. Colorado · 1968
- Stevens v. Abbott, Proctor & PaineDistrict Court, E.D. Virginia · 1968
- Clara Goldenberg, Formerly Clara Littman v. Bache and Company, Bache and Company v. Clara Goldenberg, Formerly Clara LittmanCourt of Appeals for the Fifth Circuit · 1959
4 more not listed; retrieve them via the Exa API.
3Cited by74 opinions
- Herman & MacLean v. HuddlestonSupreme Court of the United States · 1983
- Aldrich v. McCulloch Properties, Inc.Court of Appeals for the Tenth Circuit · 1980
- Maughan v. SW Servicing, Inc.Court of Appeals for the Tenth Circuit · 1985
- A. Ernest Fitzgerald v. Robert C. Seamans, Jr.Court of Appeals for the D.C. Circuit · 1977
- Merrill v. Abbott (In Re Independent Clearing House Co.)United States Bankruptcy Court, D. Utah · 1984
69 more not listed; retrieve them via the Exa API.