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HELLER v. ROTHSCHILD

No. 85 Civ. 5925 (CSH).

631 F.Supp. 1422 (1986)

Charles W. HELLER, Plaintiff, v. L.F. ROTHSCHILD, Unterberg, Towbin and Lawrence F. Rice, Defendants.

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

April 3, 1986.

Attorney(s) appearing for the Case

David Jaroslawicz, New York City, for plaintiff.

Gaston, Snow, Beekman & Bogue, New York City, for defendants; Martin P. Unger, Andrew Levchuk, of counsel.

HAIGHT, District Judge:

In this case, plaintiff Charles W. Heller alleges the churning of his investment account, in violation of the federal securities laws prohibiting fraud. The individual defendant Lawrence F. Rice, is the broker with whom plaintiff dealt. Rice was employed by the brokerage firm of L.F. Rothschild, Unterberg, Towbin ("Rothschild"), the latter's asserted liability being that of a "control person" over Rice. Securities Exchange Act of 1934, 15 U...

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