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ASCH v. PHILIPS, APPEL & WALDEN, INC.

No. 662, Dockets 87-7009, 87-7067.

867 F.2d 776 (1989)

Harold ASCH, Appellant, v. PHILIPS, APPEL & WALDEN, INC., and Merrill Lynch, Pierce, Fenner & Smith, Inc., Appellees.

United States Court of Appeals, Second Circuit.

Decided February 9, 1989.

Attorney(s) appearing for the Case

Harold Asch, pro se.

Virginia A. LoPreto, New York City (Cohn & Blau, Frederick H. Cohn, on the brief), for appellant Asch.

Stanley Godofsky, New York City (Rogers & Wells, Joseph A. Post, Robert A. Giacovas, on the brief), for appellee Merrill Lynch.

Before OAKES, Chief Judge, and LUMBARD and FEINBERG, Circuit Judges.

PER CURIAM:

This appeal arises from a securities fraud dispute. Judge Peter K. Leisure provided a complete account of the factual background in Baum v. Phillips, Appel & Walden, Inc., 648 F.Supp. 1518, 1521-23 (S.D.N.Y.1986). We refer the reader to Judge Leisure's opinion and will simply summarize the facts for the purposes of this appeal.

A group of investors sued Philips, Appel & Walden (a brokerage firm...

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