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DRISCOLL v. SMITH BARNEY, HARRIS, UPHAM & CO.

Nos. 85-5921, 85-3816 and 86-3009.

815 F.2d 655 (1987)

Richard D. DRISCOLL, Plaintiff-Appellant, v. SMITH BARNEY, HARRIS, UPHAM & CO., Richard Shalla, Defendants-Appellees. Edward J. ADRIAN, Ruth C. Adrian, Plaintiffs-Appellants, v. SMITH BARNEY, HARRIS, UPHAM & CO., INC., a Delaware corporation, Morton L. Annis, Jr., Albert Roberts, III, Defendants-Appellees.

United States Court of Appeals, Eleventh Circuit.

April 28, 1987.

Attorney(s) appearing for the Case

Russell L. Forkey, Layne Verebay, Ft. Lauderdale, Fla., for plaintiff-appellant in No. 85-5921.

Robert B. Goldman, Ruden, Barnett, McClosky, Schuster & Russell, P.A., Bennett Falk, Keith Olin, Miami, Fla., for defendants-appellees in No. 85-5921.

Kirk M. Gibbons, John B. Gibbons, Tampa, Fla., for plaintiff-appellants in Nos. 85-3816 and 86-3009.

Kathy M. Klock, Miami, Fla., for Annis.

O'Bannon M. Cook, Ruden, Barnett, McClosky, Bennett Falk, Robert B. Goldman, Tallahassee, Fla., Keith Olin, Miami, Fla., for Smith Barney, Inc. and Roberts.

Before VANCE and ANDERSON, Circuit Judges, and ARONOVITZ, District Judge.

VANCE, Circuit Judge:

These separate suits arise out of the alleged mismanagement of securities accounts by Smith Barney, Harris, Upham & Co. (Smith Barney) and its employees. Richard Driscoll asserts claims against Smith Barney and Richard Shalla for violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 (the 1934 Act) and for breach of fiduciary duty under Florida law. Edward and Ruth Adrian also allege violations of Section 10(b)...

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