What people are saying - Write a review
We haven't found any reviews in the usual places.
The U S Securities Industry
Steagall and the Demise of
22 other sections not shown
Other editions - View all
11th Cir 2d Cir 9th Cir A. G. Edwards activities aff'd award breach of fiduciary broker-dealer cause of action cert CFTC churning claim clearing broker clients commissions common law Corp court held customer's account dealer Dean Witter decision defendant's denied disclose disclosure E. F. Hutton employee excessive trading Exchange federal securities laws fees Fenner & Smith fiduciary duty fiduciary relationship firm's fraudulent investment adviser investor LEXIS liability manipulative material fact Merrill Lynch misrepresentation mutual funds NASD nondiscretionary account NYSE omission options pari delicto percent Pierce plaintiff Prudential Bache punitive damages purchase reasonable recommendations registered representative Regulation respondeat superior right of action scienter Section 10(b Securities and Exch securities industry sell Shearson sophistication statute of limitations Supp Supreme Court tion transactions Transfer Binder turnover rate unauthorized trading unsuitable violation Wall St