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CHABOT v. NATIONAL SECURITIES AND RESEARCH CORPORATION

Nos. 26844, 26845.

290 F.2d 657 (1961)

Aleen CHABOT, Plaintiff-Appellant, v. NATIONAL SECURITIES AND RESEARCH CORPORATION and Empire Trust Company, Defendants-Appellees. Seymour SCHWARTZ, Plaintiff-Appellant, v. NATIONAL SECURITIES AND RESEARCH CORPORATION and Empire Trust Company, Defendants-Appellees.

United States Court of Appeals Second Circuit.

Decided April 26, 1961.

Attorney(s) appearing for the Case

Pomerantz, Levy & Haudek, New York City (William E. Haudek, Abraham L. Pomerantz and Rosenfeld & Silverman, New York City, of counsel), for plaintiffs-appellants.

Donovan, Leisure, Newton & Irvine, New York City (Roy W. McDonald, Robert V. Dunn, New York City, of counsel), for appellee Empire Trust Company.

Before MOORE, FRIENDLY and SMITH, Circuit Judges.

FRIENDLY, Circuit Judge.

Plaintiffs in these similar actions are investors in two series of mutual funds provided for in a trust agreement between National Securities and Research Corporation and Empire Trust Company, as Trustee. The gravamen of the complaints is that the fees payable and paid to Empire Trust Company as trustee and to National Securities and Research Corporation as investment advisor and principal underwriter and distributor have been excessive in...

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