No. 98-9641.

216 F.3d 300 (2000)

Carol NOVAK, Robert Nieman, Joseph Desena, on behalf of themselves and all others similarly situated, Plaintiffs-Appellants, v. Sally Frame KASAKS, Paul E. Francis, Joseph R. Gromek, AnnTaylor Stores Corporation and AnnTaylor, Inc., Defendants-Appellees, Merrill Lynch & Company, Merrill Lynch, Pierce, Fenner & Smith Inc., Merrill Lynch Capital Partners, Inc., ML IBK Positions, Inc., Merchant Banking L.P. No. III, Kecalp, Inc., Gerald S. Armstrong, James J. Burke, Jr., Defendants.

United States Court of Appeals, Second Circuit.

Decided June 21, 2000.

Attorney(s) appearing for the Case

Keith M. Fleischman (Joshua H. Vinik, Salvatore J. Graziano, on the brief), Milberg Weiss Bershad Hynes & Lerach LLP, New York, NY, for Plaintiffs-Appellants.

Robert E. Zimet (Susan Saltzstein, Tom M. Fini, Joseph N. Sacca, on the brief), Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY, for Defendants-Appellees.

Harvey J. Goldschmid, General Counsel (Jacob H. Stillman, Solicitor, Eric Summergrad, Deputy Solicitor, Luis de la Torre, Attorney, on the brief), Securities and Exchange Commission, Washington, DC, for Amicus Curiae.

Before: WALKER, LEVAL, and POOLER, Circuit Judges.

JOHN M. WALKER, Jr., Circuit Judge:

In 1996, plaintiffs-appellants filed this securities fraud class action, alleging violations of sections 10(b) and 20(a) of the Securities Exchange Act ("the 1934 Act") and Rule 10b-5 promulgated thereunder. In two opinions issued in 1998, the district court dismissed both the original complaint and the plaintiffs' amended complaint pursuant to Fed.R.Civ.P. 12(b)(6) and 15 U.S.C. § 78u-4(b)(3)(A) for failure to plead with sufficient...

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