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VAN ALEN v. DOMINICK & DOMINICK, INC.

Nos. 1321, 1322, Dockets 77-7103, 77-7115.

560 F.2d 547 (1977)

Candace VAN ALEN, Plaintiff-Appellant-Cross-Appellee, v. DOMINICK & DOMINICK, INC., and Paul deGive, Defendants-Appellees-Cross-Appellants.

United States Court of Appeals, Second Circuit.

Decided August 15, 1977.

Attorney(s) appearing for the Case

Charles Norman Shaffer, Rockville, Md. (Jerome Kamerman, Philip A. Greenberg, David S. Zeidman, New York City, Shaffer & Davis, Rockville, Md., of counsel), for plaintiff-appellant-cross-appellee.

Jeffrey A. Barist, New York City (Vincent R. FitzPatrick, Jr., Benjamin S. Bilus, White & Case, New York City, of counsel), for defendants-appellees-cross-appellants.

Before SMITH and OAKES, Circuit Judges, and BRYAN, District Judge.

OAKES, Circuit Judge:

"Churning" by a securities broker consists of causing excessive turnover in a customer's account for the purpose of increasing the broker's commissions.1 Appellant's basic claim below was that her broker engaged in churning during the bear market of 1969-70, causing her trading losses of just under $600,000. Her complaint alleged violations of Securities and Exchange Commission Rule 10b-5 and of New York Stock Exchange...

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