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The Plaintiffs Perspective
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10th Cir 2d Cir 9th Cir Act and Rule administrative proceedings admitting or denying ALI-ABA antifraud provisions Bankers Trust Bear Stearns broker broker-dealer brokerage firm BT Securities cause of action cert CFTC Chapnick churning civil penalty claim clients Commission alleged Commission filed company's complaint alleges compliance conduct consented controlling person Corp Corporation court held customer's dealer Dean Witter Reynolds defendants directors disclose disclosure disgorgement DM Swaps E.F. Hutton employees Exchange Act expert failed federal securities laws Fenner & Smith fraud fraudulent funds Gibson insider trading investment adviser investment company investors issue jury liability merger Merrill Lynch million municipal securities NASD offer offeror Paine Webber PaineWebber permanent injunction Pierce plaintiff prejudgment interest procedures purchase respondeat superior Revlon risk section 10(b shareholders Shearson statements stockholders supervise supervisory Supp takeover unsuitable video tape voir dire white knight