Merrill Lynch, Pierce, Fenner & Smith Inc. v. Cantone Research Inc., A-2680-10T1; Appellate Division; opinion by St. John, J.S.C., temporarily assigned; decided and approved for publication June 27, 2012. Before Judges Cuff, Waugh and St. John. On appeal from the Law Division, Morris County, L-2646-10 and L-3131-10. [Sat below: Judge Dumont.] DDS No. 03-2-6780 [22 pp.]
Merrill Lynch is a securities broker-dealer registered with the Financial Industry Regulatory Authority Inc. (FINRA). Andrew Katchen is registered with FINRA as an associated person of Merrill. Defendants Cantone Research Inc., PNC Investments Inc., and J.J.B. Hilliard, W.L. Lyons, L.L.C., are securities broker-dealers also registered with FINRA. The individual defendants are registered with FINRA as associated persons of Cantone.
