MEMORANDUM OPINION
BRIAN BARNETT DUFF, District Judge.
On September 17, 1986, plaintiff Bernard J. Kayne ("Plaintiff") filed a five-count complaint against the securities firm PaineWebber, Incorporated ("PaineWebber") and one of its employees, Thomas W. Forsberg. Counts I and II alleged violations of § 10(b) of the Securities and Exchange Act of 1934 ("Section 10(b)"), 15 U.S.C. § 78j(b), and Securities and Exchange Commission
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