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

No. 73-1465.

494 F.2d 168 (1974)

Biruta DZENITS, Plaintiff-Appellant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., and James A. Billington, Defendants-Appellees.

United States Court of Appeals, Tenth Circuit.

Decided March 6, 1974.

Attorney(s) appearing for the Case

R. Robert Huff, of Huff & Huff, Inc., Tulsa, Okl. (James R. Eagleton, Tulsa, Okl., on the brief), for plaintiff-appellant.

John S. Athens, Tulsa, Okl. (Russell H. Harbaugh, Jr., Tulsa, Okl., on the brief), for defendants-appellees.

Before BREITENSTEIN, McWILLIAMS and DOYLE, Circuit Judges.

WILLIAM E. DOYLE, Circuit Judge.

This is an action which arises under § 17(a) of the Securities Act of 1933 and § 10(b) of the Securities Act of 1934, together with Rule 10b-5 issued by the Securities and Exchange Commission. The complaint also contains a claim under the Commodity Exchange Act of 1936 and Rule 405 of the New York Stock Exchange. The basic allegations are that the defendant Merrill Lynch, Pierce, Fenner & Smith, Inc., together with James...

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