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GRANDON v. MERRILL LYNCH & CO., INC.

Docket No. 97-9027.

147 F.3d 184 (1998)

Dr. Stanley C. GRANDON, all others similarly situated and Michael Cafferty, as Trustee for the Grandon Family Irrevocable Trust, on behalf of themselves and all others similarly situated, Plaintiffs-Appellants, v. MERRILL LYNCH & CO., INC. and Merrill, Lynch, Pierce Fenner & Smith, Inc., Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided June 19, 1998.

Attorney(s) appearing for the Case

Christopher Lovell, Lovell & Stewart, LLP, New York City, and Jonathan Kord Lagemann, New York City, for Plaintiffs-Appellants.

A. Robert Pietrzak, Andrew W. Stern and Cathleen M. Tiernan, Brown & Wood LLP, New York City, for Defendants-Appellees.

Before: WALKER, McLAUGHLIN, Circuit Judges, and SWEET, District Judge.

McLAUGHLIN, Circuit Judge.

BACKGROUND

This is a class action for securities fraud against Merrill Lynch, Pierce, Fenner & Smith, Inc., a registered broker-dealer with offices throughout the United States, and its New York-based parent company, Merrill Lynch and Co., Inc. (collectively, "Merrill Lynch"). Dr. Stanley Grandon and Michael Cafferty, trustee for the Grandon Family Irrevocable Trust (collectively,...

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