NASDAQ OMX GROUP, INC. v. UBS SECURITIES, LLC

Docket No. 13-2657-cv.

770 F.3d 1010 (2014)

The NASDAQ OMX GROUP, INC. and the Nasdaq Stock Market LLC, Plaintiffs-Appellees, v. UBS SECURITIES, LLC, Defendant-Appellant.

United States Court of Appeals, Second Circuit.

Decided: October 31, 2014.


Attorney(s) appearing for the Case

Stephen J. Kastenberg ( Paul Lantieri, III , William A. Slaughter , on the brief), Ballard Spahr LLP, Philadelphia, PA, for Plaintiffs-Appellees.

Charles E. Davidow ( Leslie Gordon Fagen , Daniel J. Toal , Paul, Weiss, Rifkind, Wharton & Garrison LLP, New York, NY, on the brief), Paul, Weiss, Rifkind, Wharton & Garrison LLP, Washington, D.C., for Defendant-Appellant.

Before: LEVAL, STRAUB, and RAGGI, Circuit Judges.


REENA RAGGI, Circuit Judge:

On May 18, 2012, plaintiffs, the NASDAQ OMX Group, Inc. and the NASDAQ Stock Market LLC (collectively "NASDAQ"), conducted the initial public offering ("IPO") for Facebook, Inc. The IPO was one of the largest in history, with 421 million shares of Facebook common stock offered at $38 per share, for a total value of over $16 billion. In conducting the offering, NASDAQ encountered and addressed...

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