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Legal Opinion

Dahl v. Charles Schwab & Co., Inc.

Supreme Court of Minnesota

Decided April 19, 1996No. C1-94-1040PublishedCited by 36 opinions

1Opinion of the Court

OPINION

GARDEBRING, Justice.

This case calls upon us to decide if federal regulation of the national securities market preempts the application of Minnesota common and statutory law to certain securities sales in Minnesota.

Respondents are Minnesota citizens who utilized appellant Charles Schwab & Co. as their broker for the buying and selling of securities. Schwab charges a commission to its customers for its services, but also, as is common within the securities industry, Schwab receives payments from wholesale securities dealers for the routing of buy and sell orders like those of…

2Cases cited13 opinions

  1. Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
  2. Hines v. DavidowitzSupreme Court of the United States · 1941
  3. Rice v. Santa Fe Elevator Corp.Supreme Court of the United States · 1947
  4. Cipollone v. Liggett Group, Inc.Supreme Court of the United States · 1992
  5. Florida Lime & Avocado Growers, Inc. v. PaulSupreme Court of the United States · 1963

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3Cited by36 opinions

  1. Diamond Multimedia Systems, Inc. v. Superior CourtCalifornia Supreme Court · 1999
  2. Guice v. Charles Schwab & Co.New York Court of Appeals · 1996
  3. Nasdaq Omx Phlx, Inc. v. Pennmont SecuritiesSuperior Court of Pennsylvania · 2012
  4. Nanopierce Technologies, Inc. v. Depository Trust & Clearing Corp.Nevada Supreme Court · 2007
  5. Flynn v. American Home Products Corp.Court of Appeals of Minnesota · 2001

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