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LAMPKIN v. UBS FINANCIAL SERVICES, INC.

No. 17-20608.

925 F.3d 727 (2019)

Kevin LAMPKIN; Stephen Miller, individually and on behalf of all others similarly situated; Joe Brown; Frank Gittess; Terry Nelson; Dianne Swiber; Robert Ferrell, Plaintiffs-Appellants v. UBS FINANCIAL SERVICES, INCORPORATED, formerly known as UBS PaineWebber, Incorporated; UBS Securities, L.L.C., formerly known as UBS Warburg, L.L.C., Defendants-Appellees.

United States Court of Appeals, Fifth Circuit.

FILED May 24, 2019.

Attorney(s) appearing for the Case

Andy Tindel , Andy Tindel, Attorney & Counselor at Law, P.C., Tyler, TX, David Augustus , Dawn Renee Meade , Bonnie Spencer , Spencer Law Firm, Houston, TX, for Plaintiffs-Appellants.

Robert J. Giuffra, Jr., Esq. , William Henry Wagener, Esq. , Sullivan & Cromwell, L.L.P., New York, NY, Charles Rodney Acker , Ellen Bush Sessions , Norton Rose Fulbright US, L.L.P., Dallas, TX, Brendan Peter Cullen , Sullivan & Cromwell, L.L.P., Palo Alto, CA, for Defendants-Appellees.

Before HIGGINBOTHAM, SMITH, and GRAVES, Circuit Judges.

This is another appeal arising out of the collapse of Enron. Plaintiffs are individual retail-brokerage customers of Paine-Webber who purchased Enron securities and Enron employees who acquired employee stock options. Plaintiffs brought this action against subsidiaries of UBS, alleging violations of the securities...

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