... The circular also indicated that the fund would invest principally in equity securities, but by
December, 2001, all of the fund's trades were in options. ... In the present case, the plaintiff claims
that the Securities Act of 1933 as amended, 15 USC § 77a et seq. ...
... The plaintiff, a Connecticut resident, retained the defendant to represent him in a securities
fee claim initiated by Fiserv Correspondent Services, Inc. ... The National Association of Securities
Dealers scheduled the hearing to commence on May 20, 2002. ...
... The plaintiff, a Connecticut resident, retained the defendant to represent him in a securities
fee claim initiated by Fiserv Correspondent Services, Inc. ... The National Association of Securities
Dealers scheduled the hearing to commence on May 20, 2002. ...