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NEWCOME v. ESREY

No. 87-1603.

862 F.2d 1099 (1988)

Vaughan S. NEWCOME, Plaintiff-Appellant, v. A. Jack ESREY; Shearson Lehman Brothers, Inc., Defendants-Appellees.

United States Court of Appeals, Fourth Circuit.

Decided December 16, 1988.

Attorney(s) appearing for the Case

Thomas Bullene Throckmorton (George W.R. Glass; Scully, Throckmorton & Glass, on brief) for plaintiff-appellant.

Arthur L. Smith (Peper, Martin, Jensen, Maichel and Hetlage, on brief) for defendants-appellees.

Before WINTER, Chief Judge, and RUSSELL, WIDENER, HALL, PHILLIPS, MURNAGHAN, SPROUSE, ERVIN, CHAPMAN, WILKINSON and WILKINS, Circuit Judges.

SPROUSE, Circuit Judge:

Vaughan S. Newcome appeals the district court's dismissal of her securities fraud action against A. Jack Esrey and Shearson Lehman Brothers, Inc. (the brokers). Newcome based her federal claims on section 17(a) of the Securities Act of 1933, 15 U.S.C. § 77q(a), as well as section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), and the corresponding Securities Exchange Commission regulation, rule 10b-5, 17 C.F.R....

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