STANDARD INVESTMENT CHARTERED, INC., on behalf of itself and all others similarly situated, Plaintiff-Appellant,
v.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., a/k/a Nasd, Nyse Group, Inc., Mary L. Schapiro, Richard F. Brueckner and Barbara Z. Sweeney, Defendants-Appellees.
United States Court of Appeals, Second Circuit.https://leagle.com/images/logo.png
Heard: January 26, 2009.
Decided: March 18, 2009.
Attorney(s) appearing for the Case
Jonathan W. Cuneo, Wash., D.C. (William H. Anderson, Charles Tiefer, R. Brent Walton, Matthew Wiener, Cuneo Gilbert & Laduca, LLP, Wash., D.C.; Richard D. Greenfield, Greenfield & Goodman, LLC, Easton, MD, on the brief), for Plaintiff-Appellant.
Douglas R. Cox, Wash., D.C. (F. Joseph Warin, Jennifer H. Rearden, Howard S. Hogan, Gibson, Dunn & Crutcher LLP, Wash., D.C.; John J. Flood, Financial Industry Regulatory Authority, Inc., Wash., D.C.; Srinivas M. Raju, Seth Barrett Tillman, Richards, Layton & Finger, P.A., Wilmington, DE, on the brief), for Defendants-Appellees Nat'l Ass'n of Securities Dealers, Schapiro, Brueckner and Sweeney.
Douglas W. Henkin, New York, N.Y. (Manuel Yanez, Milbank, Tweed, Hadley & McCloy, LLP, on the brief), for Defendant-Appellee NYSE Group, Inc.
Before: NEWMAN, SOTOMAYOR, and WESLEY Circuit Judges.
United States Court of Appeals, Second Circuit.
JON O. NEWMAN, Circuit Judge.
This appeal arises out of the consolidation of the member regulation operations of the National Association of Securities Dealers ("NASD") and the New York Stock Exchange Group, Inc. ("NYSE").1 The appeal presents the unusual situation of a case, dismissed for lack of exhaustion of administrative remedies, in which the appellant, Standard Investment Chartered, Inc. ("Standard") contends that the required exhaustion...
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