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CARROLL v. HILLIARD

No. 49A04-9910-CV-468.

738 N.E.2d 1069 (2000)

Charles W. CARROLL and Patrick D. Carroll, Co-Personal Representatives of the Estate of Gertrude E. Carroll, Deceased, Appellants-Plaintiffs, v. J.J.B. HILLIARD, W.L. LYONS, INC. and R. Dale Cassiday, Appellees-Defendants.

Court of Appeals of Indiana.

November 22, 2000.

Attorney(s) appearing for the Case

Donald J. Tribbett, Scott L. Starr, Starr Austen Tribbett & Meyers, Logansport, Indiana, Attorneys for Appellants.

Robert P. Johnstone, Stanley C. Fickle, Barnes & Thornburg, Indianapolis, Indiana, Attorneys for Appellees.

OPINION

FRIEDLANDER, Judge

On February 2, 1990, Gertrude E. Carroll filed a two-count complaint alleging common-law fraud and a violation Ind. Code Ann. § 23-2 et seq., the Indiana Securities Act (the Securities Act), against J.J.B. Hilliard, W.L. Lyons, Inc. (Hilliard Lyons), a stock brokerage firm, and R. Dale Cassiday, who was employed as a broker by Hilliard Lyons. A second, three-count...

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