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GAMBELLA v. GUARDIAN INVESTOR SERVICES CORP.

No. 98 Civ. 3328(JES).

75 F.Supp.2d 297 (1999)

George GAMBELLA, Plaintiff, v. GUARDIAN INVESTOR SERVICES CORP. and John McQueen Defendants.

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

December 10, 1999.

Attorney(s) appearing for the Case

Lax & Noll, New York City, Jerome Noll, of counsel, for Plaintiff.

Joshua L. Dratel, P.C., New York City, Joshua Dratel, of counsel, for Defendant Guardian Investor Services Corp.

Traub Eglin Lierberman Straus, Hawthorne, NY, Lisa L. Shrewsberry, of counsel, for Defendant John McQueen.

MEMORANDUM OPINION AND ORDER

SPRIZZO, District Judge.

Plaintiff George Gambella ("Gambella") alleges that defendants Guardian Investors Services Corporation ("Guardian") and John McQueen ("McQueen") violated § 10(b) of the Securities and Exchange Act of 1934, 15 U.S.C. § 78j(b) ("Section 10(b)"), and Rule 10b-5 promulgated thereunder by the Securities and Exchange Commission ("SEC") 17 C.F.R. § 240.10b-5 ("Rule 10b-5"). Plaintiff also brings...

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