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BAFFA v. DONALDSON, LUFKIN & JENRETTE SECURITIES

No. 99-7607.

222 F.3d 52 (2000)

Robert BAFFA, On Behalf of Himself and All Others Similarly Situated, Plaintiff-Appellant, Mary J. Dorflinger, Individually and On Behalf of All Others Similarly Situated, and Brett Baffa, Individually and On Behalf of All Others Similarly Situated, Plaintiffs-Intervenors-Appellants, v. DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION, EOS Partners, L.P., General Electric Capital Corp., Andrew A. Levison, Steven M. Friedman, Douglas R. Korn, Jules A. Borshadel, and John K. Henry, Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided: August 25, 2000

Attorney(s) appearing for the Case

I. Stephen Rabin, Rabin & Peckel, LLP (Jacqueline Sailer, on the brief), New York, N.Y., for Appellants.

Stephen A. Radin, Weil, Gotshal & Manges, LLP (Thomas J. Hall, Brian A. Miller, Chadbourne & Parker LLP; William E. Wurtz, Benjamin S. Kaminetzky, Davis Polk & Wardwell; Andrew Liebhafsky, Weil, Gotshal & Manges LLP, of counsel), New York, N.Y., for Defendants-Appellees.

Before: CABRANES, and POOLER, Circuit Judges and CARMAN, Judge.

POOLER, Circuit Judge:

Robert Baffa ("Baffa"), Brett Baffa ("Brett"), and Mary J. Dorflinger ("Dorflinger") appeal from orders of the United States District Court for the Southern District of New York (Constance Baker Motley, Judge) imposing sanctions on Baffa; denying Baffa's motion for class certification; and denying Brett's and Dorflinger's motion to intervene as class representatives. Appellants also appeal from the order of the district court dismissing the...

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