SLUSA Does Not Dispatch Mutual Fund Misrepresentation Class Action, Third Circuit Says: Taksir v. The Vanguard Group
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By David C. Franceski, Jr.

*In order to be “in connection with” the purchase or sale of a covered security under SLUSA,

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The Seventh Circuit Has Its Say on SLUSA: Holtz v. JPMorgan Chase Bank N.A.
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By James L. Komie

Where facts are alleged that include a misrepresentation or omission of material fact in connection with the purchase or sale of a security,

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Zola Accuses Brokerage of Less Than Best Execution; Court Makes a Federal Case of It: Zola v. TD Ameritrade, Inc.
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By William D. Nelson

*In determining whether SLUSA applies, a court looks at the substance of the allegations, based on a fair reading of them.

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Stalled SLUSA Stab Is Stifled: Northstar Financial Advisors, Inc. vs. Schwab Investments
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Under FRCP 12(g)(2), a SLUSA preclusion defense may be deemed waived or abandoned, for purposes of pre-answer proceedings, if it is first omitted in a motion to dismiss and,

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Federal Court Remands Securities Act Claim to State Court Despite SLUSA: Cervantes, In Re: Cervantes v. Dickerson
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By Paul J. Dubow

A securities class action that only alleges a violation of the Securities Act of 1933 cannot be removed to federal court,

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