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PEARCE v. E.F. HUTTON GROUP, INC.

No. 86-5281.

828 F.2d 826 (1987)

John M. PEARCE v. E.F. HUTTON GROUP, INC., Appellant.

United States Court of Appeals, District of Columbia Circuit.

Decided September 11, 1987.

Attorney(s) appearing for the Case

John J. Walsh, with whom Mark C. Ellenberg and Harvey M. Spear, New York City, were on brief, for appellant.

Stephen G. Milliken, with whom John P. Coale, Washington, D.C., was on brief, for appellee.

William J. Fitzpatrick, New York City, was on brief, for amicus curiae, The Securities Industry Ass'n urging the reversal of the District Court's decision.

Before BORK and D.H. GINSBURG, Circuit Judges and OBERDORFER, United States District Judge for the District of Columbia.

Opinion for the Court filed by Circuit Judge D.H. GINSBURG.

Concurring opinion filed by United States District Judge OBERDORFER.

D.H. GINSBURG, Circuit Judge:

The appellant in this diversity case, the E.F. Hutton Group, Inc. (Hutton Group) is a holding company of which E.F. Hutton and Company, Inc. (Hutton Company), a securities broker, is a wholly owned subsidiary. Appellee John M. Pearce has at all relevant times been a registered representative...

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