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DAHL v. CHARLES SCHWAB & CO., INC.

No. C1-94-1040.

545 N.W.2d 918 (1996)

Kirk DAHL, et al., on behalf of themselves and all others similarly situated, Respondents, v. CHARLES SCHWAB & CO., INC., Petitioner, Appellants.

Supreme Court of Minnesota.

April 19, 1996.

Attorney(s) appearing for the Case

Steve Gaskins, Jeannine L. Lee, Minneapolis, Norman J. Barry, Jr., Barrie L. Brejcha, Chicago, IL, for Appellants.

Gavin S. Wilkinson, Mark Reinhardt, St. Paul, Karl L. Cambronne, Jeffrey D. Bores, Minneapolis, Charles H. Johnson, New Brighton, Garrett D. Blanchfield, Jr., St. Paul, for Respondents.

Robert L. Schell, Jr., Jeffrey D. Hedlund, R. Christopher Sur, Minneapolis, Stuart J. Kaswell, Senior Vice President & Gen. Counsel, Securities Industry Ass'n, Inc., Washington, DC, Amicus Curiae.

Heard, considered and decided by the court en banc.

OPINION

GARDEBRING, Justice.

This case calls upon us to decide if federal regulation of the national securities market preempts the application of Minnesota common and statutory law to certain securities sales in Minnesota.

Respondents are Minnesota citizens who utilized appellant Charles Schwab & Co. as their broker for the buying and selling of securities. Schwab charges a commission to its customers for its services, but also, as is common...

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