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FLEMING v. CHARLES SCHWAB CORP.

No. 16-15179, No. 16-15189.

878 F.3d 1146 (2017)

Francis X FLEMING, Jr., Plaintiff-Appellant, v. The CHARLES SCHWAB CORPORATION; Charles Schwab & Co., Inc.; Walter W. Bettinger II; UBS Securities LLC, Defendants-Appellees. Louis Lim, Individually and on Behalf of all others Similarly Situated, Plaintiff-Appellant, v. Charles Schwab & Co., Inc., Defendant-Appellee.

United States Court of Appeals, Ninth Circuit.

Filed December 29, 2017.

Attorney(s) appearing for the Case

Andrew Love (argued) and Susan K. Alexander , Robbins Geller Rudman & Dowd LLP, San Francisco, California; Juan Carlos Sanchez , Ashley M. Price , Benny C. Goodman III , and Andrew J. Brown , Robbins Geller Rudman & Dowd LLP, San Diego, California; Gerald L. Rutledge and Alfred G. Yates Jr. , Law Office of Alfred G. Yates Jr. P.C., Pittsburgh, Pennsylvania; for Plaintiff-Appellant Francis X Fleming Jr.

Leslie E. Hurst (argued), Paula R. Brown , Thomas J. O'Reardon II , and Timothy G. Blood , Blood Hurst & O'Reardon LLP, San Diego, California; Leonid Kandinov , Ashley R. Rifkin , Kevin A. Seely , and Brian J. Robbins , Robbins Arroyo LLP, San Diego, California; David J. Harris Jr. , William R. Restis , and Jeffrey R. Krinks , Finkelstein & Krinsk LLP, San Diego, California; for Plaintiff-Appellant Louis Lim.

David C. Bohan (argued), Patrick M. Smith , Peter G. Wilson , and Allison M. Freedman , Katten Muchin Rosenman LLP, Chicago, Illinois, for Defendant-Appellee UBS Securities LLC.

Gilbert R. Serota (argued) and Erica M. Connolly , Arnold & Porter LLP, San Francisco, California; Lowell Haky and Mai Klaassen , Charles Schwab & Co. Inc., San Francisco, California; for Defendants-Appellees The Charles Schwab Corp., Charles Schwab & Co. Inc., and Walter W. Bettinger II.

Before: Sandra S. Ikuta and Andrew D. Hurwitz, Circuit Judges, and Donald W. Molloy, District Judge.

OPINION

The issue for decision is whether the Securities Litigation Uniform Standards Act ("SLUSA"), Pub L. 105-353, 112 Stat. 3227, deprived the district court of subject matter jurisdiction over complaints alleging a breach by a securities dealer of the "duty of best...

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