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OPERATING LOCAL 649 ANNUITY v. SMITH BARNEY FUND

Docket No. 07-5125-cv.

595 F.3d 86 (2010)

OPERATING LOCAL 649 ANNUITY TRUST FUND, Plaintiff-Appellant, Katherine E. Shropshire, Harold Levine, Seymour Ratner, Jeffrey Weber, individually and on behalf of all others similarly situated, Sara Brinn, Consolidated-Plaintiffs, Jeanne Chilton, individually and on behalf of all others similarly situated, Plaintiff, v. SMITH BARNEY FUND MANAGEMENT LLC, Citigroup Global Markets, Inc., Lewis Daidone, Thomas Jones, Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided: February 16, 2010.

Attorney(s) appearing for the Case

Joseph R. Seidman, Jr. for Bernstein Liebhard & Lifshitz, LLP, New York, NY, Richard Acocelli, for Weiss & Yourman, New York, NY., for Appellants.

Christopher Meade, for Wilmer Cutler Pickering Hale and Door, LLP, New York, NY, Michael O. Ware, for Mayer Brown LLP, George I. Terrell, Alex Bourelly, Robert K. Kry, for Baker Botts, LLP, Houston, TX, for Appellees.

Before: B.D. PARKER, Circuit Judge, and HAIGHT, District Judge.

B.D. PARKER, JR., Circuit Judge:

Plaintiff-appellant Operating Local 649 Annuity Trust Fund ("Local 649") appeals from a judgment of the United States District Court for the Southern District of New York (Pauley, J.) dismissing claims alleging securities fraud in violation of § 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and breaches of fiduciary duty in violation of § 36(b) of the Investment Company Act of 1940.

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