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SPIELMAN v. MERRILL LYNCH, PIERCE, FENNER & SMITH

Docket No. 01-9189.

332 F.3d 116 (2003)

Michael SPIELMAN, on behalf of himself and all other similarly situated persons, Plaintiff-Appellee, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INCORPORATED, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided: June 13, 2003.

Attorney(s) appearing for the Case

Edward J. Yodowitz, Skadden, Arps, Slate, Meagher, & Flom, LLP, New York, N.Y. (Jay B. Kasner, Andrew W. Reiss, on the brief), for Defendant-Appellant Merrill Lynch, Pierce, Fenner & Smith, Incorporated.

John Peter Zavez, Adkins, Kelston & Zavez, P.C., Boston, MA (John M. Dillon, Stephen P. Moore, Caruso & Dillon, PC, Mamaroneck, NY; Jody E. Anderman, LeBlanc & Waddell, LLC, Baton Rouge, LA; Glen DeValerio, Berman DeValerio & Pease LLP, Boston, MA; on brief), for Plaintiff-Appellee Michael Spielman.

Before: NEWMAN, F.I. PARKER, Circuit Judges, and UNDERHILL, District Judge.

Judge JON O. NEWMAN joins the opinion and concurs in a separate opinion.

F.I. PARKER, Circuit Judge.

Defendant-appellant Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") appeals from the order of the United States District Court for the Southern District of New York (Denise Cote, Judge) entered on October 9, 2001, remanding claims brought by plaintiff-appellee Michael Spielman ("Spielman") in New York state court. Spielman, on behalf...

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