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BRAWER v. OPTIONS CLEARING CORP.

No. 102, Docket 86-7416.

807 F.2d 297 (1986)

Leonard BRAWER, Plaintiff-Appellant, v. The OPTIONS CLEARING CORPORATION and American Stock Exchange, Inc., Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided December 11, 1986.

Attorney(s) appearing for the Case

A. Arnold Gershon, P.C., New York City, for plaintiff-appellant.

Roger Pascal, Chicago, Ill. (Burton R. Rissman, Joseph H. Nesler, Schiff Hardin & Waite, Chicago, Ill.; M. William Munno, Seward & Kissel, New York City, of counsel), for defendant-appellee The Options Clearing Corp.

Lord, Day & Lord, New York City (Eugene F. Bannigan, Gordon L. Nash, Laurie E. Foster, Monica A. Derham, of counsel), for defendant-appellee The American Stock Exchange, Inc.

Richard A. Kirby, Asst. Gen. Counsel, S.E.C., Washington, D.C. (Paul Gonson, Solicitor, Daniel L. Goelzer, Gen. Counsel, Jacob H. Stillman, Associate Gen. Counsel, Leslie E. Smith and Katharine Gresham, Attorneys, S.E.C., Washington, D.C., of counsel), as amicus curiae.

Before LUMBARD, CARDAMONE, and PIERCE, Circuit Judges.

LUMBARD, Circuit Judge:

Leonard Brawer appeals from a judgment dismissing his complaint against defendants The Options Clearing Corporation (OCC) and American Stock Exchange, Inc. (AMEX) entered in the Southern District by Judge Louis L. Stanton on April 29, 1986. Brawer's complaint alleges that OCC and AMEX violated §§ 6(b), 17A(b)(3), and 19(g)(1) of the Securities Exchange Act of 1934, as amended (the Act), 15 U.S.C. §§ 78f(b), 78q-1(b)(3),...

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