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MORRIS v. WACHOVIA SECURITIES, INC.

Nos. 05-1217, 05-1281.

448 F.3d 268 (2006)

Patrick V. MORRIS, Individually and on behalf of all others similarly situated, Plaintiff-Appellee, v. WACHOVIA SECURITIES, INCORPORATED, Defendant-Appellant. Patrick V. Morris, Individually and on behalf of all others similarly situated, Plaintiff-Appellant, v. Wachovia Securities, Incorporated, Defendant-Appellee.

United States Court of Appeals, Fourth Circuit.

Decided May 17, 2006.

Attorney(s) appearing for the Case

ARGUED: James Alwin Murphy, Leclair Ryan, P.C., Richmond, Virginia, for Appellant/Cross-Appellee Wachovia Securities, Incorporated. Arthur Raphael Miller, Harvard Law School, Cambridge, Massachusetts, for Appellee/Cross-Appellant Patrick V. Morris, Individually and on behalf of all others similarly situated. ON BRIEF: Cameron S. Matheson, Leclair Ryan, P.C., Richmond, Virginia, for Appellant/Cross-Appellee. Mark J. Krudys, Richmond, Virginia; Peter G.A. Safirstein, Milberg, Weiss, Bershad & Schulman, L.L.P., New York, New York, for Appellee/Cross-Appellant.

Before MICHAEL, SHEDD, and DUNCAN, Circuit Judges.

Affirmed in part, vacated in part, and remanded with instructions by published opinion. Judge MICHAEL wrote the opinion, in which Judge SHEDD and Judge DUNCAN joined.

MICHAEL, Circuit Judge.

An individual investor's securities fraud claims against a brokerage firm were rejected when the district court granted the firm a summary judgment and dismissal. The firm then invoked a provision of the Private Securities Litigation Reform Act of 1995 (Act or Reform Act...

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