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MATTER OF R.C. LAYNE CONSTR., INC. (STRATTON)

228 A.D.2d 45 (1996)

651 N.Y.S.2d 973

In the Matter of the Arbitration between R.C. Layne Construction, Inc., Appellant, and Stratton Oakmont, Inc., et al., Respondents

Appellate Division of the Supreme Court of the State of New York, First Department.

December 24, 1996

Attorney(s) appearing for the Case

Leonard F. Lesser of counsel (Schneck Weltman Hashmall & Mischel, L. L. P., attorneys), for appellant.

Fredda L. Plesser of counsel (Martin P. Unger and Norman B. Arnoff on the brief; Tenzer Greenblatt L. L. P., and Capuder & Arnoff, P. C., attorneys), for respondents.

ELLERIN, J. P., RUBIN, KUPFERMAN and WILLIAMS, JJ., concur.

MAZZARELLI, J.

In July 1992 petitioner R.C. Layne Construction, Inc., a construction company based in Elko, Nevada, opened a brokerage account with respondent Stratton Oakmont, Inc. (Stratton), a New York-based brokerage firm and member of the National Association of Securities Dealers, Inc. (NASD). Respondent Jordan Shamah is an employee of Stratton who, from August 1992 through January 1993, managed petitioner...

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