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NEWMAN v. SHEARSON, HAMMILL & CO., INCORPORATED

Civ. A. No. SA74CA135.

383 F.Supp. 265 (1974)

John E. NEWMAN v. SHEARSON, HAMMILL & CO., INCORPORATED.

United States District Court, W. D. Texas, San Antonio Division.

October 24, 1974.

Attorney(s) appearing for the Case

J. Burleson Smith, San Antonio, Tex., Stephen R. Steinberg, New York City, for plaintiff.

George H. Spencer, San Antonio, Tex., Russel H. Beatie, Jr., New York City, for defendant.

MEMORANDUM OPINION

SPEARS, Chief Judge.

Plaintiff, an individual who has never been a member or allied member of the New York Stock Exchange ("NYSE"), brought this action against defendant, a registered broker-dealer member of NYSE alleging numerous violations of the registration and antifraud provisions of the Securities Act of 1933, 15 U.S.C. § 77a et seq. (the "1933 Act"), the Securities Exchange Act of 1934, 15 U.S.C. § 78a et seq. (the "Exchange...

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