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Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit
''Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit'', 547 U.S. 71 (2006), was a case decided by the Supreme Court of the United States involving the extent to which state law securities fraud class action claims were preempted by the Securities Litigation Uniform Standards Act of 1998 (SLUSA). The Court unanimously〔The decision was unanimous as to all eight Justices participating; Justice Samuel Alito was confirmed to the Court thirteen days after it heard argument in the case, and so did not participate.〕 ruled that SLUSA barred state law "holder" claims, which are based on losses caused when a shareholder retains stock due to fraud instead of selling it, even though federal securities laws only provided a private cause of action to those suffering losses caused by the purchase or sale of stock. The Court's decision resolved a split among the circuits and closed a significant loophole in the coverage of SLUSA, which it based on the broad language used in the Act and the policies behind it.
==Facts==
In 2002, the investment banking firm Merrill Lynch became the target of an investigation by the Attorney General of New York, based on the suspicion that the firm's loyalty to its investment banking clients had caused it to render biased investment advice. Though Merrill Lynch settled that dispute, the investigation spurred a number of private securities fraud class action lawsuits, including one filed by Shadi Dabit, a former Merrill Lynch stockbroker, in the U.S. District Court for the Western District of Oklahoma.
抄文引用元・出典: フリー百科事典『 ウィキペディア（Wikipedia）』
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