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ROLF v. BLYTH EASTMAN DILLON & CO., INC.

No. 73 Civ. 2967.

424 F.Supp. 1021 (1977)

David E. ROLF, Plaintiff, v. BLYTH EASTMAN DILLON & CO., INC., et al., Defendants.

United States District Court, S. D. New York.

January 17, 1977.

Attorney(s) appearing for the Case

Sidney B. Silverman, Silverman & Harnes, New York City, for plaintiff.

Thomas W. Kelly, Richard W. Lyon, Breed, Abbott & Morgan, New York City, for defendants Blyth Eastman Dillon Co. and Michael Stott.

Barry A. Tessler, New York City, for defendant Akiyoshi Yamada.

PIERCE, District Judge.

OPINION AND ORDER

This securities action brought by plaintiff David E. Rolf presents important questions concerning the duties and responsibilities of a broker dealer and its registered representative under circumstances in which their customer is being defrauded by his investment adviser. Unlike the usual case brought under the federal securities laws, here it is clear that fraud and breach of fiduciary duty are present. The key...

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