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DEAN WITTER REYNOLDS, INC. v. McCOY

Nos. 92-5542, 92-5849.

995 F.2d 649 (1993)

DEAN WITTER REYNOLDS, INC., Plaintiff-Appellant, v. M.C. McCOY, et al., Defendants-Appellees.

United States Court of Appeals, Sixth Circuit.

Decided June 14, 1993.

Attorney(s) appearing for the Case

Hugh J. Moore, Jr. (argued and briefed), John W. Murrey, III, Monica L. Wilson (briefed), Witt, Gaither & Whitaker, Chattanooga, TN, George D. Sullivan, New York City, for plaintiff-appellant.

Michael A. Meyer, Sidwell & Barrett, Franklin, TN (argued and briefed), for defendants-appellees.

Before: KENNEDY and BATCHELDER, Circuit Judges; and ENGEL, Senior Circuit Judge.

PER CURIAM.

In 1989, Mr. McCoy and several other persons filed claims against Dean Witter Reynolds, Inc. before the National Association of Securities Dealers ("NASD") Board of Arbitration alleging breach of fiduciary duty, fraud, and the like. These plaintiffs alleged that a Dean Witter broker, Jeffrey Hayden, bilked them out of substantial amounts of money by investing their retirement savings in risky investments to reap excessive fees and commissions all the while...

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