[Download] "Jablon V. Witter" by Ninth Circuit United States Court of Appeals " eBook PDF Kindle ePub Free
eBook details
- Title: Jablon V. Witter
- Author : Ninth Circuit United States Court of Appeals
- Release Date : January 29, 1980
- Genre: Law,Books,Professional & Technical,
- Pages : * pages
- Size : 55 KB
Description
This is an appeal from an order of dismissal. Appellant Jablon alleges Dean Witter violated New York Stock Exchange (NYSE) Rule 405 (the "know your customer" rule)*fn1 and Article III, Section 2 of the National Association of Securities Dealers (NASD) Rules of Fair Practice (the "suitability" rule)*fn2 in its handling of her margin account. She also charges a violation of Securities and Exchange Commission Rule 10b-5, 17 C.F.R. § 240.10b-5 (1975). The district court dismissed the complaint, ruling (1) there is no implied private cause of action under NYSE Rule 405 or the NASD suitability rule, and (2) the Rule 10b-5 claim was barred by the statute of limitations. We affirm.
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