BALLEN v. PRUDENTIAL BACHE SECURITIES, INC.

No. 93-2083.

23 F.3d 335 (1994)

Samuel B. BALLEN, Plaintiff-Appellant, v. PRUDENTIAL BACHE SECURITIES, INC.; Prudential Bache Properties, Inc., Defendants-Appellees.

United States Court of Appeals, Tenth Circuit.

Rehearing Denied May 31, 1994.


Attorney(s) appearing for the Case

R.A. Dean Carlton (James C. Compton of Singer, Smith & Williams, P.A., Albuquerque, NM, with him on the briefs) of The Carlton Firm, P.C., Dallas, TX, for plaintiff-appellant.

James O. Browning (Jane B. Wishner with him on the brief) of Browning & Peifer, P.A., Albuquerque, NM, for defendants-appellees.

Before WHITE, Associate Justice (Ret.), TACHA and BRORBY, Circuit Judges.


BRORBY, Circuit Judge.

Mr. Samuel B. Ballen sued Prudential Bache Securities, Inc. and Prudential Bache Properties, Inc. ("Prudential") alleging damages arising from Prudential's violation of the Racketeer Influenced and Corrupt Organizations Act ("RICO"), 18 U.S.C. § 1961 et seq., as well as the underlying predicate acts of state and federal securities fraud, mail and wire fraud, state "RICO" violations, commercial bribery, and breach of fiduciary relations...

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