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PETERSON v. SHEARSON/AMERICAN EXP., INC.

No. 85-2158.

849 F.2d 464 (1988)

Norman E. PETERSON, Plaintiff-Appellee, v. SHEARSON/AMERICAN EXPRESS, INC., Defendant-Appellant.

United States Court of Appeals, Tenth Circuit.

June 9, 1988.

Attorney(s) appearing for the Case

Stuart N. Bennett, Roath & Brega, P.C., Denver, Colo., for plaintiff-appellee.

Douglas J. Gilbert (Stephen M. Duncan and Thomas D. Birge, with him, on the brief), Hopper, Kanouff, Smith, Peryam, Terry and Duncan, Denver, Colo., for defendant-appellant.

Before McKAY and BALDOCK, Circuit Judges, and SAFFELS, District Judge.

BALDOCK, Circuit Judge.

Plaintiff-appellee Norman C. Peterson (Peterson) commenced this action in April 1983. His complaint alleged that a broker employed by defendant-appellant Shearson/American Express, Inc. (Shearson) was responsible for losses incurred by Peterson arising from trading in stock options. The complaint stated six claims for relief: one federal claim based on § 10(b) of the Securities Exchange Act of 1934 (1934 Exchange Act), 15 U.S.C. §...

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