Court of Appeals for the Fifth Circuit August 27, 1987, 86-4370 (Dr. Sampat Shivangi and Dr. Udaya S. Shivangi, Cross-Appellees v. Dean Witter Reynolds, Inc., Thomas Aitken and James Y. Palmer, Cross-Appellants)

PATRICK E. HIGGINBOTHAM, Circuit Judge:

Dr. and Mrs. Sampat S. Shivangi sued Dean Witter Reynolds, Inc., under SEC Rule 10b-5 for failing to disclose that Dean Witter’s account executives receive higher compensation for principal trades of over-the-counter stocks in which Dean Witter is a market maker than for other sales.