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BORTHWICK v. FIRST GEORGETOWN SECURITIES, INC.

No. 312, Docket 89-7548.

892 F.2d 178 (1989)

William H. BORTHWICK and Frances N. Borthwick, Plaintiffs-Appellees, v. FIRST GEORGETOWN SECURITIES, INC. and Darrell Brookstein, Defendants-Appellants.

United States Court of Appeals, Second Circuit.

Decided December 14, 1989.

Attorney(s) appearing for the Case

Thomas C. Henry, St. Michaels, Md. (Roberts & Henry, St. Michaels, Md., of counsel), for defendants-appellants.

Howard M. Rosenfield, Bristol, Conn., for plaintiffs-appellees.

Before LUMBARD, MESKILL and WINTER, Circuit Judges.

MESKILL, Circuit Judge:

Appellant First Georgetown Securities, Inc. (First Georgetown), a District of Columbia corporation, is a discount securities broker. From September 2, 1982 through September 25, 1985, First Georgetown placed orders for the purchase of various penny stocks on behalf of appellees (the Borthwicks). However, neither First Georgetown nor appellant Brookstein, an officer and director of First Georgetown, was registered as a securities broker as required...

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