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BATES v. SHEARSON LEHMAN BROS., INC.

No. 94-1300.

42 F.3d 79 (1994)

Dorothy BATES, through her Guardian, Barbara MURPHY, Plaintiff Appellant, v. SHEARSON LEHMAN BROTHERS, INC., Defendant-Appellee.

United States Court of Appeals, First Circuit.

Decided December 16, 1994.

Attorney(s) appearing for the Case

Quentin Anthony, with whom Sheffield & Harvey, Newport, RI, was on brief, for appellant.

David A. Wollin, with whom Paul V. Curcio, Christopher C. Whitney, and Adler Pollock & Sheehan Inc., Providence, RI, were on brief, for appellee.

Before TORRUELLA, Chief Judge, CAMPBELL, Senior Circuit Judge, and STAHL, Circuit Judge.

TORRUELLA, Chief Judge.

Dorothy Bates, through her guardian Barbara Murphy ("Bates"), brought an action against Shearson Lehman Brothers, Inc. ("Shearson"). Bates claimed that Shearson was liable for the acts of its alleged agent, Carl P. Nykaza, a broker at Shearson, who diverted approximately $70,000 of Bates' funds, for his own personal account. A trial commenced, and at the conclusion of Bates' case, Shearson moved for...

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