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SHAPIRO v. MERRILL LYNCH, PIERCE, FENNER & SMITH INC.

No. 70 Civ. 3653.

353 F.Supp. 264 (1972)

Maurice SHAPIRO et al., Plaintiffs, v. MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, et al., Defendants.

United States District Court, S. D. New York.

December 26, 1972.

Attorney(s) appearing for the Case

Wolf, Popper, Ross, Wolf & Jones, New York City, for plaintiffs; Howard L. Jacobs, New York City, of counsel.

Brown, Wood, Fuller, Caldwell & Ivey, New York City, for defendant Merrill Lynch and the individual defendants.

Shearman & Sterling, New York City, for defendants Investors Management Co., Inc., City Associates and Fairfield Partners.

Coudert Brothers, New York City, for defendants J. M. Hartwell & Co., J. M. Hartwell & Co., Inc., Hartwell and Associates, and Park Westlake Associates.

Milbank, Tweed, Hadley & McCloy, New York City, for defendant Van Strum & Towne, Inc..

Seward & Kissel, New York City, for defendants A. W. Jones & Co., and A. W. Jones Associates.

Debevoise, Plimpton, Lyon & Gates, New York City, for defendants Burden Investors Services, Inc. and William A. M. Burden & Co.

Oliver C. Biddle, Philadelphia, Pa., for defendant Madison Fund, Inc.; Baker, Nelson, Williams & Mitchell, New York City, of counsel.

OPINION

TENNEY, District Judge.

This is a civil action for money damages arising out of defendants' alleged violations of §§ 10(b) and 15(c) (1) of the Securities Exchange Act of 1934, 15 U.S.C. §§ 78j(b), 78o(c)(1) (1970), Rules 10b-5 and 15c1-2 promulgated thereunder by the Securities and Exchange Commission, and § 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q (1970). Plaintiffs have moved this court, pursuant...

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