District Court, D. Connecticut March 4, 2005, 3:03 CV 850(JBA), 3:04 CV 166(JBA) (Lawrence v. Richman Group Capital Corp.)

Rulings on Defendant’s Motion to Dismiss [Doc. #104]; Plaintiff’s Motion to Add Defendants [Doc. # 100]; and Defendants’ Motion to Strike [Doc. # 102]

ARTERTON, District Judge.

Plaintiff John R. Lawrence (“Lawrence”) is licensed as a Series 7 General Securities Registered Representative with the National Association of Securities Dealers, Inc. (“NASD”).