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KING v. DOUGLASS

Civil Action No. H-96-1033.

973 F.Supp. 707 (1996)

Kevin KING and David L. Massarano, on behalf of themselves and all others similarly situated, Plaintiffs, v. Sam P. DOUGLASS, Nolan Lehmann, Gregory J. Flanagan, Robert L. Knauss, John W. Storms, Francis D. Tuggle, Edward E. Williams, Gary R. Petersen, Equus Capital Management Corp., and Equus II, Inc., Defendants. Kevin KING and David L. Massarano, Plaintiffs, v. EQUUS CAPITAL MANAGEMENT CORP., Defendant and Equus II, Inc., Nominal Defendant.

United States District Court, S.D. Texas.

December 23, 1996.

Attorney(s) appearing for the Case

Evan B. Glick, Houston, TX, Jeffrey M. Haber, John Halebian, Wechsler Harwood Halebian and Feffer, New York City, for plaintiffs.

Craig Smyser, Jr., Christina A. Bryan, Smyser Kaplan & Veselka, Houston, TX, for defendants.

ORDER

HARMON, District Judge.

Pending before the Court in the above referenced class action and derivative complaint, brought pursuant to Sections 36(a) and 36(b) of the Investment Company Act of 1940 ("ICA"), 15 U.S.C. § 80a-35(a) and (b) (1976) and alleging violations of the ICA and common-law breach of fiduciary duties to a closed-end fund's shareholders and ultra vires acts, illegally conducted without the required approval vote of...

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