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The U S Securities Industry
Steagall and the Demise of
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11th Cir 2d Cir 9th Cir A. G. Edwards activities aff'd award breach of fiduciary broker-dealer cert CFTC churning claim clearing broker clients commissions common law Corp court held customer's account dealer Dean Witter Dean Witter Reynolds decision defendant's denied disclose E. F. Hutton employee excessive trading Exchange federal securities laws fees Fenner & Smith fiduciary duty fiduciary relationship firm's fraud fraudulent investment adviser investor LEXIS liability Litig manipulative material fact Merrill Lynch misrepresentation mutual funds NASD nondiscretionary account NYSE omission options Paine Webber 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