Case Citation
Legal Case Name

MERIT MANAGEMENT GROUP v. FTI CONSULTING Case Brief

Supreme Court of United States2018
138 S.Ct. 883 583 U.S. 366 Bankruptcy Law Corporations Securities Regulation

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Case Brief Summary & Legal Analysis

General Brief
4 min read

tl;dr: A bankruptcy trustee sought to claw back a payment to a shareholder from a leveraged buyout. The Supreme Court held that the Bankruptcy Code’s securities safe harbor does not protect the payment just because a bank was used as an intermediary to facilitate the transfer.

Legal Significance: The decision significantly narrowed the § 546(e) securities safe harbor, clarifying that the exception applies only when the specific transfer the trustee seeks to avoid is itself made to or by a covered financial institution, not when one merely acts as a conduit.

MERIT MANAGEMENT GROUP v. FTI CONSULTING Law School Study Guide

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Case Facts & Court Holding

Key Facts & Case Background

Valley View, LP, acquired Bedford Downs Management Corporation’s stock for $55 million in a leveraged buyout (LBO). The transaction was financed by Credit Suisse and facilitated by Citizens Bank of Pennsylvania, which acted as an escrow agent. Citizens Bank disbursed the funds from escrow to Bedford Downs’ shareholders, including petitioner Merit Management Group, which received approximately $16.5 million. In exchange, Valley View received the Bedford Downs stock. Subsequently, Valley View and its parent company filed for Chapter 11 bankruptcy. The litigation trustee, FTI Consulting, Inc., sued Merit to avoid the $16.5 million payment as a constructively fraudulent transfer under 11 U.S.C. § 548(a)(1)(B), alleging that Valley View was insolvent at the time of the transaction and had overpaid for the stock. Merit moved for judgment on the pleadings, arguing that the transfer was shielded from avoidance by the § 546(e) securities safe harbor because financial institutions (Credit Suisse and Citizens Bank) were involved as intermediaries in the payment process.

Court Holding & Legal Precedent

Issue: Does the securities safe harbor in 11 U.S.C. § 546(e), which protects certain transfers “made by or to” a financial institution, apply to a transfer that is merely routed through a financial institution acting as a conduit, or is its application limited to the overarching transfer that the trustee seeks to avoid?

The Court held that the § 546(e) safe harbor does not shield Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non p

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Legal Issue

Does the securities safe harbor in 11 U.S.C. § 546(e), which protects certain transfers “made by or to” a financial institution, apply to a transfer that is merely routed through a financial institution acting as a conduit, or is its application limited to the overarching transfer that the trustee seeks to avoid?

Conclusion

This decision significantly curtails the "conduit" defense in fraudulent transfer litigation, exposing Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in vol

Legal Rule

The § 546(e) securities safe harbor applies only to the specific transfer Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehend

Legal Analysis

The Court's analysis, delivered by Justice Sotomayor, rested on a textual interpretation Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt mollit anim id est laborum. Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt mollit anim id est laborum. Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt moll

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Flash Summary

  • The § 546(e) securities safe harbor protects the specific transfer a
Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat null

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