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NORTHSTAR FINANCIAL ADVISORS v. SCHWAB INVESTMENTS

No. 09-16347.

615 F.3d 1106 (2010)

NORTHSTAR FINANCIAL ADVISORS, INC., Plaintiff-Appellee, v. SCHWAB INVESTMENTS; Charles Schwab Investment Management, Inc., Defendants-Appellants.

United States Court of Appeals, Ninth Circuit.

Filed August 12, 2010.

Attorney(s) appearing for the Case

Marc J. Gross, Roseland, NJ, for plaintiff-appellee Northstar Financial Advisors, Inc.

Darryl P. Rains, Palo Alto, CA, for defendants-appellants Schwab Investments, et al.

Before: MARY M. SCHROEDER and N. RANDY SMITH, Circuit Judges, and JAMES MAXWELL MOODY, District Judge.

SCHROEDER, Circuit Judge:

The issue we must decide in this appeal is whether there is a private cause of action to enforce the provisions of § 13(a) of the Investment Company Act of 1940("ICA" or "1940 Act"), 15 U.S.C. § 80a-13(a). That section generally requires an investment company to obtain shareholder approval before deviating from the investment policies contained in the company's registration statement filed with the Securities and Exchange Commission...

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