United States Ninth Circuit

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Northstar Financial Advisors, Inc. v. Schwab Investments, 16-15303

Affirmed the dismissal of an investment adviser's proposed class action alleging that an investment firm operated a bond market fund in a manner that violated state law. The defendants argued that all of the plaintiff's claims were precluded by the Securities Litigation Uniform Standards Act. The Ninth Circuit agreed, but held that the district court should have dismissed the plaintiff's claims without prejudice.

Appellate Information

  • Decided
  • Published 2018/09/14


  • O’Malley


  • United States Ninth Circuit


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