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TD AMERITRADE, INC. v. MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Civil Action No. 3603-CC.

953 A.2d 726 (2008)

TD AMERITRADE, INC., Plaintiff, v. McLAUGHLIN, PIVEN, VOGEL SECURITIES, INC., Steven D. Ircha, and William J. Pickert, Defendants.

Court of Chancery of Delaware.

Decided: July 24, 2008.

Attorney(s) appearing for the Case

Arthur L. Dent and Scott B. Czerwonka, of Potter Anderson & Corroon LLP, Wilmington, Delaware; of Counsel: Theodore R. Snyder, of Krebsbach & Snyder, P.C., New York, New York, Attorneys for TD Ameritrade, Inc.

Aimee M. Czachorowski, of Duane Morris LLP, Wilmington, Delaware; OF COUNSEL: Loren Schechter and John Dellaportas, of Duane Morris LLP, New York, New York; David E. Robbins, of Kaufmann, Feiner, Yamin, Gildin & Robbins, LLP, New York, New York, Attorneys for McLaughlin, Piven, Vogel Securities, Inc. and Steven D. Ircha.

Stephen A. Hampton, of Grady & Hampton, LLC, Wilmington, Delaware, Attorney for William J. Pickert.

OPINION

CHANDLER, Chancellor.

I. BACKGROUND

William J. Pickert is ninety-six years old, nearly blind, extremely hard of hearing, and confined to a wheelchair. Starting in 1987, Pickert held an investment account with MPV Securities. At different times, various brokers handled his account, and in 1993 it was assigned to Steven D. Ircha. Shortly thereafter, a junior associate of Ircha, Vikram Manhas, took over Pickert's account. Manhas remained...

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