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SMITH v. DUFF AND PHELPS, INC.

No. 89-7324.

891 F.2d 1567 (1990)

Vera SMITH, as Executrix of the Estate of Robert J. Smith, Deceased, Plaintiff-Appellee, v. DUFF AND PHELPS, INC., a corporation, and Claire V. Hansen, Defendants-Appellants.

United States Court of Appeals, Eleventh Circuit.

January 16, 1990.

Attorney(s) appearing for the Case

Lord, Bissell & Brook, Edward C. Fitzpatrick, Chicago, Ill., Copeland, Franco, Screws & Gill, Richard H. Gill, Montgomery, Ala., for defendants-appellants.

Griffin Sikes, Jr., Montgomery, Ala., for plaintiff-appellee.

Before JOHNSON and EDMONDSON, Circuit Judges, and PECKHAM, Senior District Judge.

JOHNSON, Circuit Judge:

This is an interlocutory appeal certified by the district court under 28 U.S.C.A. § 1292(b) to resolve two questions arising under section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C.A. § 78j(b) (hereinafter "section 10(b)") and Rule 10b-5 accompanying section 10(b), 17 C.F.R. § 240.10b-5 (hereinafter "Rule 10b-5"). The district court action for securities fraud under these statutes and under Alabama law has been stayed...

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