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PATENAUDE v. EQUITABLE LIFE ASSURANCE

No. 00-56913.

290 F.3d 1020 (2002)

Raymond PATENAUDE, on behalf of himself and the general public, Plaintiff-Appellant, v. The EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES; AXA Advisors, LLC; Equitable Distributors, Inc., Defendants-Appellees.

United States Court of Appeals, Ninth Circuit.

Filed May 14, 2002.

Attorney(s) appearing for the Case

Michael C. Spencer, Milberg Weiss Bershad Hynes & Lerach LLP, New York, NY, for the plaintiff-appellant.

Charles C. Platt, LeBoeuf, Lamb, Greene & MacRae, LLP, New York, NY, for the defendants-appellees.

Before: THOMAS, RAWLINSON, Circuit Judges and ARMSTRONG, District Judge.

THOMAS, Circuit Judge.

This appeal presents the question of whether tax-deferred variable annuities are covered securities under the Securities Litigation Uniform Standards Act of 1998 ("SLUSA"), Pub.L. No. 105-353, 112 Stat. 3227 (codified in scattered sections of 15 U.S.C.). We conclude that they are, and affirm the judgment of the district court.

I

Raymond Patenaude sought advice concerning the creation of a retirement plan for his new business...

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