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SHUMATE & CO., INC. v. NATIONAL ASS'N OF SEC. DEAL., INC.

Nos. 74-1426, 74-1427.

509 F.2d 147 (1975)

SHUMATE & COMPANY, INC., et al., Plaintiffs-Appellants, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., et al., Defendants-Appellees. SHUMATE & COMPANY, INC., et al., Plaintiffs-Appellants, v. AMERICAN STOCK EXCHANGE, et al., Defendants-Appellees.

United States Court of Appeals, Fifth Circuit.

Rehearing Denied March 31, 1975.

Attorney(s) appearing for the Case

B. Thomas McElroy, Dallas, Tex., for plaintiffs-appellants.

Morris Harrell, Lyman G. Hughes, Dallas, Tex., Robert A. Bicks, New York City, for Nat. Ass'n of Securities Dealers.

William E. Jackson, New York City, Fletcher Yarbrough, Dallas, Tex., for N. Y. Stock Exchange.

Briscoe R. Smith, New York City, W. Randolph Elliott, William H. Tinsley, Dallas, Tex., for American Stock Exchange.

Robert B. Fiske, Jr., Forsythe, Mc-Govern & Pearson, Davis, Polk & Wardwell, New York City, of counsel for defendants-appellees.

Before TUTTLE, RONEY and GEE, Circuit Judges.

RONEY, Circuit Judge:

Gaston A. Shumate and his solely owned company Shumate & Company, Inc. (Shumate) filed two suits alleging violations of the Sherman Act on the part of the National Association of Security Dealers (NASD) and Shearson, Hammill & Company, Inc., in one suit, and the New York Stock Exchange (NYSE), American Stock Exchange (AMEX) and various named individual defendants in the other. Shumate alleged that all the defendants were parties to two...

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