IN RE KINGATE MANAGEMENT LTD. LITIGATION

Docket No. 11-1397-cv.

784 F.3d 128 (2015)

In re KINGATE MANAGEMENT LIMITED LITIGATION Criterium Capital Funds B.V., BBF Trust, Wall Street Securities, S.A., Banca Arner S.A., Alvaro Castillo, on behalf of themselves and all others similarly situated, Eithan Ephrati, Andbanc, Silvana Worldwide Corporation, BG Valores, S.A., Jaques Lamac, Nitkey Holdings Corporation, Plaintiff-Appellants, Lucien Geldzahler, Plaintiff-Consolidated Defendant-Appellant, v. Tremont (Bermuda) Limited, Graham H. Cook, John E. Epps, Sandra Manzke, FIM Advisers LLP, Charles Sebah, Keith R. Bish, Christopher Wetherhill, Michael G. Tannenbaum, Tremont Group Holdings, Incorporated, Pricewaterhousecoopers LLP, Defendant-Appellees, Kingate Management Limited, FIM (USA) Incorporated, Citi Hedge Fund Services Ltd., Defendant-Consolidated Defendant-Appellees, Pricewaterhousecoopers Bermuda, Carlo Grosso, FIM Limited, Federico M. Ceretti, Consolidated Defendant-Appellees, Bernard L. Madoff, Phillip A. Evans, Margaret Every, Shazieh Salahuddin, Johann Wong, Preston M. Davis, Bank of Bermuda Limited, Defendants, Pricewaterhousecoopers, Andorra Banc Agricol Reig S.A., on behalf of itself and on behalf of all others similarly situated, Consolidated Defendants.

United States Court of Appeals, Second Circuit.

Decided April 23, 2015.


Attorney(s) appearing for the Case

David A. Barrett ( S. Douglas Bunch,   Steven J. Toll,   Lisa M. Mezzetti,   Daniel S. Sommers,   Joshua S. Devore, Cohen Milstein Sellers & Toll PLLC, New York, N.Y.; David Boies, Boies, Schiller & Flexner LLP, Armonk, N.Y.; Stuart H. Singer,   Carl E. Goldfarb,   James Grippando, Boies, Schiller & Flexner LLP, Ft. Lauderdale, FL, on the brief), Boies, Schiller & Flexner LLP, New York, N.Y., for Plaintiff-Appellants.

Seth M. Schwartz, Skadden, Arps, Slate, Meagher & Flom LLP, New York, N.Y., for Defendant-Appellees Tremont (Bermuda) Limited and Tremont Group Holdings, Inc.

Howard J. Rubin ( Bruce M. Ginsberg, on the brief), Davis & Gilbert LLP, New York, N.Y., for Defendant-Appellees Graham H. Cook, John E. Epps, and Charles D. Sebah.

Carmine D. Boccuzzi ( David Y. Livshiz, on the brief) Cleary Gottlieb Steen & Hamilton LLP, New York, N.Y., for Defendant-Appellee Citi Hedge Fund Services, Ltd.

Sanford M. Litvack ( Dennis H. Tracey, III,   Lisa J. Fried, on the brief), Hogan Lovells U.S. LLP, New York, N.Y., for Defendant-Appellee Pricewaterhouse-Coopers Bermuda.

Jodi A. Kleinick ( Barry G. Sher,   Mor Wetzler, on the brief), Paul Hastings LLP, New York, N.Y., for Defendant-Appellees FIM Advisers LLP, FIM Limited, FIM (USA), Inc., Carlo Grosso, and Federico H. Ceretti.

John Han,   Jonathan D. Cogan,   Carrie A. Tendler, Kobre & Kim LLP, New York, N.Y., for Defendant-Appellee Sandra Manzke.

Peter R. Chaffetz,   Charles J. Scibetta,   Erin E. Valentine, Chaffetz Lindsey LLP, New York, N.Y., for Defendant-Appellees Kingate Management Limited and Christopher Wetherhill.

Laura Grossfield Birger, Cooley LLP, New York, N.Y., for Defendant-Appellee Michael Tannenbaum.

Michael S. Flynn,   Michael P. Carroll,   James H.R. Windels, Davis Polk & Wardwell LLP, New York, N.Y., for Defendant-Appellee PricewaterhouseCoopers LLP.

Before: KATZMANN, Chief Judge, LEVAL and HALL, Circuit Judges.


In this appeal, we confront a number of textual ambiguities as to the scope of the Securities Litigation Uniform Standards Act of 1998 ("SLUSA"), Pub.L. No. 105-353, § 101, 112 Stat. 3227 (1998), which bars the maintenance of certain state-law-based class actions alleging falsity1 in connection...

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