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ABSOLUTE ACTIVIST VALUE MASTER FUND LTD. v. FICETO

Docket No. 11-0221-cv.

677 F.3d 60 (2012)

ABSOLUTE ACTIVIST VALUE MASTER FUND LIMITED, Absolute East West Fund Limited, Absolute East West Master Fund Limited, Absolute European Catalyst Fund Limited, Absolute Germany Fund Limited, Absolute India Fund Limited, Absolute Octane Fund Limited, Absolute Octane Master Fund Limited, Absolute Return Europe Fund Limited, Plaintiffs-Appellants, v. Todd M. FICETO, Individually and as a Guardian for Natalia C. Ficeto and Hunter M. Ficeto, Hunter World Markets, Inc., Florian Homm, Colin Heatherington, Craig Heatherington, CIC Global Capital Ltd., Sean Ewing, Ullrich Angersbach, John Does, 1 to 3, Jane Does, 1 to 3, Doe, Entities 1 to 3, Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided: March 1, 2012.

Amended: April 13, 2012.

Attorney(s) appearing for the Case

Linda Imes ( David Spears , Christopher W. Dysard , Michelle Skinner , on the brief), Spears & Imes LLP, New York, N.Y., for Plaintiffs-Appellants.

Thomas V. Reichert , Bird, Marella, Boxer, Wolpert, Nessim, Drooks & Lincenberg, P.C., Los Angeles, Cal., for Defendants-Appellees Colin Heatherington, Todd M. Ficeto, Hunter World Markets, Inc.

Robert D. Owen ( Peter Ligh , on the brief), Sutherland Asbill & Brennan LLP, New York, N.Y., for Defendant-Appellee Ullrich Angersbach.

Robert J. Anello ( Judith L. Mogul , Eli J. Mark , on the brief), Morvillo, Abramowitz, Grand, Iason, Anello & Bohrer, P.C., New York, N.Y., for Defendant-Appellee Sean Ewing.

Gregory J. Wallance ( Angela R. Vicari , on the brief), Kaye Scholer LLP, New York. N.Y., for Defendant-Appellee Craig Heatherington.

Before: NEWMAN, WINTER, and KATZMANN, Circuit Judges.

KATZMANN, Circuit Judge:

This case requires us to determine whether foreign funds' purchases and sales of securities issued by U.S. companies brokered through a U.S. broker-dealer constitute "domestic transactions" pursuant to Morrison v. National Australia Bank Ltd., ___ U.S. ___, 130 S.Ct. 2869, 177 L.Ed.2d 535 (2010) ("Morrison"), which held that § 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act...

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