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LAUB v. FAESSEL

No. 97 Civ. 1851(RO).

981 F.Supp. 870 (1997)

Kenneth D. LAUB, Plaintiff, v. John L. FAESSEL and WorldCo, L.L.C., Defendants.

United States District Court, S.D. New York.

November 21, 1997.

Attorney(s) appearing for the Case

Dreier & Baritz, L.L.P., New York City, Mark S. Dreier, for Plaintiff.

Fulbright & Jaworski, L.L.P., New York City, Glen Banks, Douglas Gray, for Defendant.

OPINION AND ORDER

OWEN, District Judge.

The complaint alleges that, in 1993, defendant John L. Faessel introduced himself to plaintiff Kenneth D. Laub as a "duly registered investment advisor, specializing in advising high net worth individuals" regarding the stock market. In particular, Faessel represented that he had "extensive training and expertise as a technical analyst and chartist" and that he was regularly and successfully providing advice...

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