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MATTER OF MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED v. MING CHAN

38 A.D.3d 355 (2007)

832 N.Y.S.2d 182

In the Matter of MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, et al., Respondents, v. KUANG MING CHAN, Appellant.

Appellate Division of the Supreme Court of the State of New York, First Department.

Decided March 20, 2007.

In 1995, respondent Kuang Ming Chan, an experienced accountant, rolled over his 401 (k) investment account into an IRA with petitioners. As a result of respondent's own trading in various stocks, he lost money. He then blamed petitioners for, inter alia, failing to advise him on stock purchasing, or to stop him from trading on his own. The NASD arbitration panel found that the trades in question were unsolicited, undertaken by respondent...

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