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RIVERS v. ROSENTHAL & CO.

No. 79-1313.

634 F.2d 774 (1980)

John RIVERS and Tom Lamb (Dan P. Rivers, as Executor of the Will of John Rivers, substituted in place and stead of John Rivers, Deceased), Plaintiffs-Appellees, v. ROSENTHAL & COMPANY, Defendant-Appellant.

United States Court of Appeals, Fifth Circuit.

December 16, 1980.

Attorney(s) appearing for the Case

Sidney O. Smith, Jr., James S. Stokes, IV, Peter Q. Bassett, Atlanta, Ga., Wyck A. Knox, Jr., Augusta, Ga., Louis Clinton Burr, Chicago, Ill., for defendant-appellant.

Robert E. Goodfriend, Dallas, Tex., for Drexel, Burnham Lambert, Inc., amicus curiae.

Albert H. Dallas, Thomson, Ga., Jerry L. Sims, Atlanta, Ga., for plaintiffs-appellees.

Mark D. Young, Atty., Commodity Futures Trading Com'n, Washington, D.C., amicus curiae.

Before KRAVITCH, HENDERSON and REAVLEY, Circuit Judges.

REAVLEY, Circuit Judge:

This appeal presents a single legal question: whether there exists an implied private right of action under the Commodity Exchange Act ("CEA"), 7 U.S.C. §§ 1-24, as revised in 1974, to redress commodity futures customers for damages sustained from their brokers' violations of the antifraud provisions and broker registration requirements of that Act, 7 U.S.C. §§ 6b,1 6k,2

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