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ETTINGER v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

No. 87-1045.

835 F.2d 1031 (1987)

Jean ETTINGER, on behalf of herself and all others similarly situated, Appellant, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

United States Court of Appeals, Third Circuit.

Decided December 23, 1987.

Attorney(s) appearing for the Case

David H. Weinstein (argued), Katharine M. Ryan, Kohn, Savett, Klein & Graf, David C. Harrison, Philadelphia, Pa., for appellant.

Roger J. Hawke (argued), Brown & Wood, New York City, C. Clark Hodgson, Jr., Stradley, Ronon, Stevens & Young, Philadelphia, Pa., for appellee.

Daniel Goelzer, Gen. Counsel, Jacob H. Stillman, Associate Gen. Counsel, Richard A. Kirby (argued), Asst. Gen. Counsel, Batya Roth, Atty., Paul Gonson, Sol., Securities and Exchange Com'n, Washington, D.C., for amicus curiae Securities and Exchange Com'n.

Roberta S. Karmel, Robert S. Getman, Kelley Drye & Warren, William J. Fitzpatrick, Gerard J. Quinn, Securities Industry Ass'n, New York City, for amicus curiae Securities Industry Ass'n.

Before SEITZ, GREENBERG, and HUNTER, Circuit Judges.

OPINION OF THE COURT

SEITZ, Circuit Judge.

Appellant Jean Ettinger appeals from the order of the district court granting appellee Merrill Lynch, Pierce, Fenner & Smith, Inc.'s ("Merrill Lynch") motion for summary judgment and denying her motion for class certification. We have jurisdiction pursuant to 28 U.S.C. § 1291 (1982).

I.

In May and June 1984, Ettinger purchased from Merrill Lynch several zero-coupon bonds, which Merrill...

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