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STANDARD INV. CHARTERED, INC. v. NASD

Docket No. 10-945-cv.

637 F.3d 112 (2011)

STANDARD INVESTMENT CHARTERED, INC., On behalf of itself and all others similarly situated, Plaintiff-Appellant, v. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INCORPORATED, aka NASD, NYSE Group, Inc., Mary L. Schapiro, Richard F. Brueckner, Babara Z. Sweeney, Financial Industry Regulatory Authority, Incorporated, T. Grant Callery, Todd Diganci And Howard M. Schloss, Defendant-Appellees.

United States Court of Appeals, Second Circuit.

Decided: February 22, 2011.

Attorney(s) appearing for the Case

Jonathan W. Cuneo , Matthew Miller , William H. Anderson , Cuneo Gilbert & LaDuca, Washington, DC, Richard D. Greenfield , Greenfield & Goodman, New York, NY, for Plaintiff-Appellant.

Douglas R. Cox , F. Joseph Warin , Scott P. Martin , Gibson, Dunn & Crutcher LLP, Washington, DC, Srinivas M. Raju , Richards, Layton & Finger, P.A., Wilmington, DE, John J. Flood , Financial Industry Regulatory Authority, Inc., Washington, DC, for Defendant-Appellees Financial Industry Regulatory Authority, Inc. f/k/a National Association of Securities Dealers, Inc., Mary L. Schapiro, Richard F. Brueckner, Barbara Z. Sweeney, T. Grant Callery, Todd Diganci and Howard M. Schloss.

Douglas Henkin , Milbank, Tweed, Hadley & McCloy LLP, New York, NY, for Defendant-Appellee NYSE Group, Inc.

Before: POOLER and HALL, Circuit Judges, COGAN, District Judge.

PER CURIAM:

Appeal from an order of the United States District Court for the Southern District of New York (Rakoff, J.) granting Defendant-Appellees' Rule 12(b)(6) motion to dismiss. This case arises out of the consolidation of the National Association of Securities Dealers, Inc. ("NASD") with the regulatory arm of the New York Stock Exchange ("NYSE"), which resulted in the formation of the Financial Industry Regulatory Authority ("FINRA"). The district court...

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