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ROLAND v. GREEN

Nos. 11-10932, 11-11031 and 11-11048.

675 F.3d 503 (2012)

James ROLAND; Michael J. Giambrone; Thomas E. Bowden, Individually and on Behalf of Thomas E. Bowden S.E.P. I.R.A.; T.E. Bowden, Sr., Ret. Trust; G. Kendall Forbes, Individually and on Behalf of G. Kendall Forbes I.R.A.; et al., Plaintiffs-Appellants, v. Jason GREEN; Charles Jantzi; Tiffany Angelle; James Fontenot; Thomas Newland; Grady Layfield; Hank Mills; John Schwab; Russ Newton; Jim Weller; SEI Investments Company; Certain Underwriters at Lloyds London, in Syndicates 2987, 1866, 1084, 1274, 4000 & 1183; et al., Defendants-Appellees. Leah Farr; et al., Plaintiffs-Appellants, v. Jason Green; Dirk Harris; Timothy E. Parsons; Charles Jantzi; Tiffany Angelle; Grady Layfield; Hank Mills; John Schwab; Russ Newton; Jim Weller; SEI Investments Company; Certain Underwriters at Lloyds London, in Syndicates 2987, 1866, 1084, 1274, 4000 & 1183; et al., Defendants-Appellees. Samuel Troice; Horacio Mendez; Annalisa Mendez; Punga Punga Financial, Limited, individually and on behalf of a class of all others similarly situated, Plaintiffs-Appellants, v. Proskauer Rose, L.L.P.; Thomas V. Sjoblom; P. Mauricio Alvarado; Chadbourne and Parke, L.L.P., Defendants-Appellees. Samuel Troice; Martha Diaz; Paula Gilly-Flores; Punga Punga Financial, Limited, Individually and on behalf of a class of all others similarly situated; Promotora Villa Marino, CA; Daniel Gomez Ferreiro; Manuel Canabal, Plaintiffs-Appellants, v. Willis of Colorado Incorporated; Willis Group Holdings Limited; Amy S. Baranoucky; Robert S. Winter; Bowen, Miclette & Britt, Incorporated; Willis Limited, Defendants-Appellees.

United States Court of Appeals, Fifth Circuit.

March 19, 2012.

Attorney(s) appearing for the Case

Phillip W. Preis (argued), Crystal Di-Benedetto Burkhalter , Charles Malcolm Gordon, Jr. , Caroline Preis Graham , Preis Gordon, A.P.L.C., Baton Rouge, LA, Edward Frazer Valdespino , Judith R. Blakeway , Andrew L. Kerr , Strasburger, Price , Oppenheimer, Blend, Edward C. Snyder, Castillo Snyder, P.C., San Antonio, TX, Douglas J. Buncher , Neligan Foley, L.L.P., Peter Michael Jung (argued), David Norman Kitner, Strasburger & Price, L.L.P., Dallas, TX, for Plaintiffs-Appellants.

Donna Garbarino Schwab , Kyle Christian Marionneaux , Heather S. Duplantis , Marshall M. Redmon , Phelps Dunbar, L.L.P., Baton Rouge, LA, Gordon Cooney, Jr. , Managing Sr. Counsel (argued), Morgan, Lewis & Bockius, L.L.P., Philadelphia, PA, Allyson Newton Ho , Morgan, Lewis & Bockius, L.L.P., Neil N. Burger , Bruce William Collins , Carrington, Coleman, Sloman & Blumenthal, L.L.P., William Bryan Mateja , Fish & Richardson, P.C., William D. Sims, Jr. , Vinson & Elkins, L.L.P., Margaret Michelle Hartmann , Yvette Ostolaza , Weil, Gotshal & Manges, L.L.P., Bradley Wayne Foster , Matthew Griffith Nielsen , Andrews Kurth, L.L.P., Dallas, TX, James Paul Rouhandeh (argued), Rajesh Sebastian James , Daniel Jacob Schwartz , Davis, Polk & Wardwell, L.L.P., Daniel Jacob Beller , Daniel J. Leffell , William B. Michael , Paul, Weiss, Rifkind, Wharton & Garrison, L.L.P., Jonathan D. Polkes (argued), Weil, Gotshal & Manges, L.L.P., New York City, Mindy Lynn Caplan , McKenna, Long & Aldridge, L.L.P., Washington, DC, David Keith Isaak , David Benjamin Gerger , Gerger & Clarke, Harry Max Reasoner, Vinson & Elkins, L.L.P., Mark Daniel Manela , Mayer Brown, L.L.P., Paul Kenneth Nesbitt , Kelly, Sutter & Kendrick, P.C., Houston, TX, David Philip Whittlesey , Trial Atty., Andrews Kurth, L.L.P., Austin, TX, for Defendants-Appellees.

John J. Little , Little, Pedersen, Frankhauser, L.L.P., Dallas, TX, for John J. Little and Official Stanford Investors Committee, Amici Curiae.

Ben L. Krage , Krage & Janvey, L.L.P., Dallas, TX, for Ralph S. Janvey, Amicus Curiae.

Royal B. Lea , III, Bingham & Lea, P.C., San Antonio, TX, for Public Investors Arbitration Bar Ass'n, Amicus Curiae.

Edward C. Snyder , Castillo Snyder, P.C., San Antonio, TX, for Certain Members of Congress, Amicus Curiae.

Before REAVLEY, DAVIS and PRADO, Circuit Judges.

PRADO, Circuit Judge:

This consolidated appeal arises out of an alleged multi-billion dollar Ponzi scheme perpetrated by R. Allen Stanford through his various corporate entities. These three cases deal with the scope of the preclusion provision of the Securities Litigation Uniform Standards Act ("SLUSA"). That provision states: "No covered class action based upon the statutory or common law of any State or subdivision thereof may be maintained in any State or Federal...

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