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MATTER OF SMITH BARNEY, INC. v. HAUSE

238 A.D.2d 104 (1997)

655 N.Y.S.2d 489

In the Matter of Smith Barney, Inc., Respondent, v. Vivian Hause et al., Appellants

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

April 1, 1997

This proceeding arises out of certain investments made by respondents in 1986 and 1987. According to respondents, an employee of petitioner recommended that respondents invest a substantial portion of their assets in a single, highly speculative, limited partnership. After suffering considerable losses, respondents sought to arbitrate claims of unsuitability and misrepresentation in the sale of the security. Following an initial...

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