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BERNING v. A.G. EDWARDS & SONS, INC.

No. 91-3318.

990 F.2d 272 (1993)

Robert F. BERNING and Evelyn C. Berning, Plaintiffs-Appellants, and UNITED STATES of America, Intervenor, v. A.G. EDWARDS & SONS, INC., and John R. Stuhrenberg, Defendants-Appellees.

United States Court of Appeals, Seventh Circuit.

Decided March 25, 1993.

Attorney(s) appearing for the Case

Rosemarie J. Guadnolo, Horvath, Lieber & Quilici, Chicago, IL (argued), for plaintiffs-appellants.

Kent Lawrence, Charles J. Risch (argued), Randall B. Gold, Lawrence, Kamin, Saunders & Uhlenhop, Chicago, IL, for defendants-appellees.

Barbara C. Biddle, Scott R. McIntosh (argued), Dept. of Justice, Civ. Div., Appellate Section, Washington, DC, for intervenor.

Paul Gonson, Jacob H. Stillman, James R. Doty, Leslie E. Smith, Kelly Rowe, S.E.C., Office of Gen. Counsel, Washington, DC, for amicus curiae, S.E.C.

Before CUMMINGS, Circuit Judge, PELL, Senior Circuit Judge, and KAUFMAN, Senior District Judge.

FRANK A. KAUFMAN, Senior District Judge.

This is a private federal securities suit brought by Robert and Evelyn Berning ("the Bernings") against A.G. Edwards & Sons, Inc., and John R. Stuhrenberg (collectively "the brokers") in the United States District Court for the Northern District of Illinois. The Bernings' action, presenting claims arising under Section 10(b) of the Securities Exchange Act of 1934 ("1934 Act"), 15 U.S.C. § 78j(b), and Rule 10(b)-5,...

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