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ROSKIND v. MORGAN STANLEY DEAN WITTER & CO.

No. A087546.

95 Cal.Rptr.2d 258 (2000)

80 Cal.App.4th 345

James ROSKIND, Plaintiff and Appellant, v. MORGAN STANLEY DEAN WITTER & CO., Defendant and Respondent.

Court of Appeals of California, First District, Division Five.

As Modified on Denial of Rehearing May 26, 2000.

Review Denied August 16, 2000.

Attorney(s) appearing for the Case

Berman, DeValerio, Pease & Tabacco, Joseph J. Tabacco, Jr., Nicole Lavallee, San Francisco, Jennifer S. Abrams, Susan G. Kupfer, for Appellant.

Gibson, Dunn & Crutcher, Jonathan C. Dickey, Palo Alto, Gail E. Lees, Los Angeles, Steven S. Kimball, San Francisco, Steven Buchholz, Palo Alto, for Respondent.

STEVENS, J.

Does federal law preempt a state law cause of action brought under California's unfair competition law (UCL), Business and Professions Code section 17200 et seq.,1 where a brokerage firm is alleged to have violated its duty to its customers, by not executing their orders for stock sales in a fair and timely manner, and by instead "trading ahead" for its own benefit before processing those sales for its customers? We conclude...

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