JACOBI v. BACHE & CO., INC.

No. 377, Docket 74-2001.

520 F.2d 1231 (1975)

L. John JACOBI and Robert Gambera, Individually, on behalf of the members of the American Association of Securities Representatives, and on behalf of all other securities representatives similarly situated, Plaintiffs-Appellants, v. BACHE & CO., INC., et al., Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided August 5, 1975.

Certiorari Denied January 12, 1976.


Attorney(s) appearing for the Case

Charles Sovel, New York City (Abraham E. Freedman, New York City, of counsel), for plaintiffs-appellants.

Marvin Schwartz, and William E. Jackson, New York City, for defendants-appellees; Sullivan & Cromwell, James H. Carter, Jr., and Richard J. Urowsky, New York City, of counsel, for defendants-appellees Bache & Co., Inc., Kidder, Peabody & Co., Inc., Dean Witter & Co., Inc., Smith, Barney & Co., Inc., and Dominick International Corp.; Seward & Kissel, Anthony R. Mansfield, and Kenneth J. Kelly, New York City, of counsel, for defendant-appellee Rauscher Pierce Securities Corp.; Simpson, Thacher & Bartlett and Lindsay A. Lovejoy, Jr., New York City, of counsel, for defendants-appellees Lehman Bros. and Tucker Anthony & R. L. Day; Milbank, Tweed, Hadley & McCloy, Russell E. Brooks, and Mark L. Davidson, New York City, of counsel, for defendant-appellee New York Stock Exchange, Inc.; Winthrop, Stimson, Putnam & Roberts, Stephen A. Wiener, and Theodore M. Weitz, New York City, of counsel, for defendants-appellees Bear, Stearns & Co. and R. W. Pressprich & Co., Inc.; Gifford, Woody, Carter & Hays, L. Mifflin Hays, and Louis R. Proyect, New York City, of counsel, for defendant-appellee Harris, Upham & Co.; E. Michael Growney, Jr., New York City, of counsel, for defendant-appellee Spencer Trask & Co., Inc.; Shearman & Sterling, Lansing R. Palmer, and George J. Wade, New York City, of counsel, for defendant-appellee W. E. Hutton; Hall, McNicol, Marett & Hamilton and William C. Bieluch, Jr., New York City, of counsel, for defendant-appellee Thomson & McKinnon Auchincloss Inc.; Breed Abbott & Morgan and Joseph P. Dailey, New York City, of counsel, for defendant-appellee Walston & Co., Inc.; Nathan Leventon, New York City, of counsel, for defendant-appellee Steiner, Rouse & Co., Inc.; Moses & Singer and Joseph L. Fishman, New York City, of counsel, for defendant-appellee L. F. Rothschild & Co.; Spear & Hill, Eliot H. Lumbard, and Lawrence M. Grosberg, New York City, of counsel, for defendant-appellee Reynolds & Co.; Bressler, Meislin, Tauber & Lipsitz and Steven H. Lipsitz, New York City, of counsel, for defendant-appellee Pressman Frolich & Frost, Inc.; Beekman & Bogue and Milton Weiss, New York City, of counsel, for defendants-appellees Hornblower & Weeks-Hemphill Noyes, and Paine, Webber, Jackson & Curtis; Brown, Wood, Fuller, Caldwell & Ivey, Roger J. Hawke, and Thomas J. Mullaney, New York City, of counsel, for defendant-appellee Goodbody & Co.; Cahill, Gordon & Reindel, David R. Hyde, and George Wailand, New York City, of counsel, for defendant-appellee Loeb, Rhoades & Co.; Fried, Frank, Harris, Shriver & Jacobson and Leslie A. Blau, New York City, of counsel, for defendant-appellee Halle & Stieglitz, Inc.; Finley, Kumble, Heine, Underberg & Grutman and Herbert F. Roth, New York City, of counsel, for defendant-appellee Newburger, Loeb & Co.; Guggenheimer & Untermyer and Marvin E. Pollock, New York City, of counsel, for defendant-appellee Oppenheimer & Co.

Before FRIENDLY, TIMBERS and GURFEIN, Circuit Judges.


Certiorari Denied January 12, 1976. See 96 S.Ct. 784.

FRIENDLY, Circuit Judge:

This appeal is from a judgment of the District Court for the Southern District of New York, 377 F.Supp. 86 (1974), which dismissed a treble damage class action under the antitrust laws, 15 U.S.C. §§ 1 and 15, against the New York Stock Exchange (NYSE) and twenty-seven member brokerage firms (member firms). It raises questions upon...

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