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ROMANO v. MERRILL LYNCH, PIERCE, FENNER & SMITH

No. 87-3069.

834 F.2d 523 (1987)

Joseph A. ROMANO, Plaintiff-Appellant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, et al., Defendants-Appellees.

United States Court of Appeals, Fifth Circuit.

December 29, 1987.

Attorney(s) appearing for the Case

Stephen J. Caire, Covington, La., for plaintiff-appellant.

Robin Rosenbluth, Whitney Adams, Marshall F. Hanbury, Washington, D.C., for Amicus-Commodity Futures Trading Com'n.

William R. Forrester, Jr., Dirk van Ausdall, Lemle, Kelleher, Kohlmeyer, Hunley, Moss & Frilot, New Orleans, La., for defendants-appellees.

Before RANDALL and DAVIS, Circuit Judges and FELDMAN, District Judge.

FELDMAN, District Judge:

This appeal is taken from the district court's dismissal of various securities and commodities violations claims and denial of class certification. We affirm the district court.

I. BACKGROUND

Joseph A. Romano brought this action on behalf of himself and other "involuntary" Merrill Lynch Ready Assets Trust customers alleging violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 of the Securities...

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