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FALK v. DEMPSEY-TEGELER & CO., INC.

No. 71-1421.

472 F.2d 142 (1972)

Arne H. FALK, Individually and as a representative of all persons similarly situated, Plaintiff-Appellant, v. DEMPSEY-TEGELER & CO., INC, a corporation, et al., Defendants-Appellees.

United States Court of Appeals, Ninth Circuit.

December 27, 1972.

Attorney(s) appearing for the Case

Demanes & Sanders, Burlingame, Cal., for plaintiff-appellant.

Frederic H. Sturdy, Robert E. Cooper, John J. Swenson, John R. Lucas, Jr., of Gibson, Dunn & Crutcher, MacDonald, Halstead & Laybourne, Los Angeles, Cal., Colin Peters, Palo Alto, Cal., Don F. Tyler, of Walker, Wright, Tyler & Ward, Los Angeles, Cal., for defendants-appellees.

Before DUNIWAY and TRASK, Circuit Judges, and BURNS, District Judge.

BURNS, District Judge.

Appellant brought this action against the brokerage firm, as well as some of its directors, officers and employees. He claims he suffered losses of $14,125 in the collapse of the price of a speculative over-the-counter stock purchased through the firm. Appellant alleges, inter alia, securities fraud in violation of Section 10(b) of the Securities and Exchange Act of 1934, 15 U.S.C. § 78j(b), and of Securities and Exchange Commission...

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