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WC CAPITAL MANAGEMENT, LLC v. UBS SECURITIES, LLC

Docket No. 11-122-cv.

711 F.3d 322 (2013)

WC CAPITAL MANAGEMENT, LLC, Plaintiff-Appellant, Willow Creek Capital Partners, L.P., a Delaware Limited Partnership, Willow Creek Short Biased 30/130 Fund, L.P., a Delaware Limited Partnership, Plaintiffs-Counter-Defendants-Appellants, v. UBS SECURITIES, LLC, a Delaware limited liability company, UBS AG, a Swiss company, Defendants-Counter-Claimants-Appellees.

United States Court of Appeals, Second Circuit.

Decided: April 1, 2013.

Attorney(s) appearing for the Case

George Donaldson ( Anthony J. Harwood , New York, NY, on the brief), Law Offices of George Donaldson, Berkeley, CA, for Plaintiff-Appellant WC Capital Management, LLC, and Plaintiffs-Counter-Defendants-Appellants Willow Creek Capital Partners, L.P., and Willow Creek Short Biased 30/130 Fund, L.P.

David C. Bohan , Katten Muchin Rosenman LLP, Chicago, IL, for Defendants-Counter-Claimants-Appellees UBS Securities, LLC and UBS AG.

Before: LIVINGSTON, LOHIER, Circuit Judges, and RAKOFF, District Judge.

LOHIER, Circuit Judge:

We are asked to determine whether a broker's disclosures to its customers regarding margin maintenance requirements for margin accounts complied with Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") and Rule 10b-16, 17 C.F.R. § 240.10b-16, promulgated thereunder. WC Capital Management, LLC ("WC"), Willow Creek Capital Partners, L.P. ("WCCP"), and Willow Creek Short Biased 30/130 Fund, L.P. ("WCSB") (collectively...

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