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BAUM v. PHILLIPS, APPEL & WALDEN, INC.

No. 81 Civ. 5912 (PKL).

648 F.Supp. 1518 (1986)

Manfred BAUM, Ruth Baum, Richard Beck Ira Brown, Joel David and Joann David, Andrew Hadjandreas and Helen Hadjandreas, Abe Klein and Rena Klein, Herbert Lowenthal, and Helen Scire, Plaintiffs, and Judith and Roger Hurcomb and Larry J. Kornhaber, Plaintiffs-Intervenors, v. PHILLIPS, APPEL & WALDEN, INC., Harold Asch, and Merrill Lynch, Pierce Fenner & Smith, Inc., Defendants.

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

December 8, 1986.

Attorney(s) appearing for the Case

Joseph M. Weitzman, New York City, for plaintiffs Baums, Beck, Brown, Davids, Hadjandreases, Kleins and Lowenthal.

Edward J. Swan, New York City, for plaintiff Scire.

Marc E. Grossman, White Plains, N.Y., for plaintiffs-intervenors Hurcombs and Kornhaber.

Hartley T. Bernstein, New York City, for defendant-cross-claimant Asch.

Bressler, Director & Rothenberg, New York City, for defendant Philips, Appel & Walden, Inc.; Robert F. Brantl, Bernard Bressler, Brian F. Amery, of counsel.

Rogers & Wells, New York City, for defendant Merrill Lynch, Pierce, Fenner & Smith, Inc.; Stanley Godofsky, James N. Benedict, of counsel.

LEISURE, District Judge:

This action arises under § 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act"), 15 U.S.C. § 78j(b) (1983 & Supp.1986), and Rules 10b-5 and 10b-16 promulgated thereunder, 17 C.F.R. § 240-10b-5 and 10b-16 (1986); New York Stock Exchange Rule 431; §§ 7, 15, 9(a)(2) and 20(a) of the Exchange Act, 15 U.S.C. §§ 78g, 78o, 78i(a)(2) and 78t(a) (1983...

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