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RUIZ v. CHARLES SCHWAB & CO., INC.

No. 88 Civ. 1747.

736 F.Supp. 461 (1990)

Julia M. RUIZ, Plaintiff, v. CHARLES SCHWAB & CO., INC. and Jeff Peskin, Defendants.

United States District Court, S.D. New York.

January 2, 1990.

Attorney(s) appearing for the Case

Lunney & Crocco, New York City (Charles A. Crocco and Andrew P. Saulitis, of counsel), for plaintiff Julia M. Ruiz.

Daniel J. Brooks, New York City, for defendant Charles Schwab & Co., Inc.

Siller, Wilk, Mencher & Simkin, New York City (Allen Reiter, of counsel), for defendant Jeff Peskin.

MEMORANDUM & ORDER

OWEN, District Judge:

Plaintiff Julia Ruiz seeks recovery from defendants Charles Schwab & Co., Inc. ("Schwab") and Jeff Peskin for alleged fraud and violations of section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b). Defendants now move for summary judgment.

Ruiz opened an account with Schwab in 1986. Shortly thereafter, while in Schwab's offices, Ruiz asked a Schwab registered representative,...

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