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RING v. AXA FINANCIAL, INC.

Docket No. 05-0616-cv.

483 F.3d 95 (2007)

Shirley J. RING, on behalf of herself and others similarly situated, Plaintiff-Appellant, v. AXA FINANCIAL, INC., and The Equitable Life Assurance Society of the United States, Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided: April 6, 2007.

Attorney(s) appearing for the Case

Joshua N. Rose, Rose & Rose, P.C. (Terri N. Marcus, on the brief), Washington, DC, for Plaintiff-Appellant.

John F. Cambria, Alston & Bird LLP, New York, NY, for Defendants-Appellees.

Before JACOBS, Chief Judge, STRAUB and POOLER, Circuit Judges.

POOLER, Circuit Judge.

The Securities Litigation Uniform Standards Act of 1998 ("SLUSA"), Pub.L. No. 105-353, 112 Stat. 3227 (1998) (codified as amended in part at 15 U.S.C. §§ 77p & 78bb(f)) precludes the maintenance — in state or federal court — of class actions alleging state law violations but premised on deception "in connection with the purchase or sale of a covered security." See 15 U.S.C. § 77p(b). We are now asked to decide...

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