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KEHR v. SMITH BARNEY, HARRIS UPHAM & CO., INC.

No. 83-5930.

736 F.2d 1283 (1984)

Pearl KEHR, Plaintiff/Appellee, v. SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED; Glenn Nordskog; and Jim Martin, Defendants/Appellants.

United States Court of Appeals, Ninth Circuit.

Decided June 25, 1984.

As Amended July 5, 1984.

Attorney(s) appearing for the Case

Michael J. Abbott, Jones, Bell, Simpson & Abbott, Los Angeles, Cal., for defendants/appellants.

Jose Y. Lauchengco, Los Angeles, Cal., for plaintiff/appellee.

Before ELY, SCHROEDER and NELSON, Circuit Judges.

NELSON, Circuit Judge:

A jury found Smith Barney, Harris Upham & Co., Inc. and two of its employees ("Smith Barney") liable to Pearl Kehr under section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 for improperly involving her in sophisticated options transactions, the riskiness of which she was unable to understand. On appeal, Smith Barney contends that the district court improperly 1) denied its motion for a new trial based on the misconduct of...

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