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SHIVANGI v. DEAN WITTER REYNOLDS, INC.

No. 86-4370.

825 F.2d 885 (1987)

Dr. Sampat SHIVANGI and Dr. Udaya S. Shivangi, Plaintiffs-Appellants Cross-Appellees, v. DEAN WITTER REYNOLDS, INC., Thomas Aitken and James Y. Palmer, Defendants-Appellees Cross-Appellants.

United States Court of Appeals, Fifth Circuit.

August 27, 1987.

Attorney(s) appearing for the Case

Satterfield & Allred, Michael Farrell, Gene D. Berry, Jackson, Miss., for plaintiffs-appellants cross-appellees.

William J. Fitzpatrick, New York City, for amicus curiae.

Thomas, Price, Alston, Jones & Davis, Kenneth A. Rutherford, Janice Holley Parsons, Jackson, Miss., for defendants-appellees cross-appellants.

Before WISDOM, HIGGINBOTHAM and DAVIS, Circuit Judges.

PATRICK E. HIGGINBOTHAM, Circuit Judge:

Dr. and Mrs. Sampat S. Shivangi sued Dean Witter Reynolds, Inc., under SEC Rule 10b-5 for failing to disclose that Dean Witter's account executives receive higher compensation for principal trades of over-the-counter stocks in which Dean Witter is a market maker than for other sales. The district court denied the Shivangis' request during discovery for Rule 11 sanctions against Dean Witter, declined to certify the suit as a...

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