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JABLON v. DEAN WITTER & CO.

No. 77-2214.

614 F.2d 677 (1980)

Regina (Rega) JABLON, Plaintiff-Appellant, v. DEAN WITTER & CO., and Sydney Turner, Defendants-Appellees.

United States Court of Appeals, Ninth Circuit.

February 29, 1980.

Attorney(s) appearing for the Case

Marshall A. Rutter, Collins, Gregory & Rutter, Los Angeles, Cal., for plaintiff-appellant.

Michael J. Abbott, Stephens, Jones, La Fever & Smith, Los Angeles, Cal., for defendants-appellees.

Before WRIGHT, HUG and SKOPIL, Circuit Judges.

EUGENE A. WRIGHT, Circuit Judge:

This is an appeal from an order of dismissal. Appellant Jablon alleges Dean Witter violated New York Stock Exchange (NYSE) Rule 405 (the "know your customer" rule)1 and Article III, Section 2 of the National Association of Securities Dealers (NASD) Rules of Fair Practice (the "suitability" rule)2 in its handling of her margin account. She also charges a violation of Securities...

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