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MATTER OF BACHE & CO. INC.

49 A.D.2d 816 (1975)

In the Matter of the Arbitration between Bache & Co. Incorporated, Respondent, and HS Equities, Inc., Appellant

Appellate Division of the Supreme Court of the State of New York, First Department.

October 2, 1975

The acts complained of can be construed to fall within the proscription of either section 9 or subdivision (b) of section 10 of the Securities Exchange Act (US Code, tit 15, §§ 78i, 78j) (see Fischman v Raytheon Mfg. Co., 188 F.2d 783; Klein v Spear, Leeds & Kellogg, 306 F.Supp. 743). Although the Statute of Limitations has expired with respect to section 9, since the remedies...

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