Case Citation
Legal Case Name

Merit Management Group, LP v. FTI Consulting, Inc. Case Brief

Supreme Court of the United States2018Docket #6316563
200 L. Ed. 2d 183 138 S. Ct. 883 2018 U.S. LEXIS 1514

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Case Brief Summary & Legal Analysis

General Brief
3 min read

tl;dr: The Supreme Court held that the Bankruptcy Code’s §546(e) safe harbor, which protects certain securities-related transfers from avoidance by a trustee, applies only to the overarching transfer the trustee seeks to avoid, not to component parts involving financial institution intermediaries if the ultimate transferor and transferee are not covered entities.

Legal Significance: This case clarifies that the §546(e) safe harbor does not shield transfers from avoidance merely because financial institutions acted as conduits; the end-to-end transfer itself must meet the safe harbor’s criteria.

Merit Management Group, LP v. FTI Consulting, Inc. Law School Study Guide

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Case Facts & Court Holding

Key Facts & Case Background

Valley View Downs, LP, agreed to purchase Bedford Downs Management Corp.’s stock for $55 million if Valley View obtained a harness-racing license. After securing the license, Valley View arranged for Credit Suisse (a financial institution) to wire $55 million to Citizens Bank of Pennsylvania (another financial institution acting as escrow agent). Bedford Downs shareholders, including petitioner Merit Management Group, LP, deposited their stock into escrow. Citizens Bank disbursed the funds to the shareholders, with Merit receiving $16.5 million. Valley View later filed for Chapter 11 bankruptcy. FTI Consulting, Inc., as trustee, sought to avoid the $16.5 million transfer to Merit as constructively fraudulent under 11 U.S.C. §548(a)(1)(B). Merit argued the transfer was protected by the §546(e) safe harbor because financial institutions (Credit Suisse and Citizens Bank) were involved in making the payment. The District Court agreed with Merit, but the Seventh Circuit reversed, holding §546(e) did not protect transfers where financial institutions were mere conduits.

Court Holding & Legal Precedent

Issue: Does the Bankruptcy Code’s §546(e) safe harbor, which prevents a trustee from avoiding certain transfers made ‘by or to (or for the benefit of)’ a financial institution, protect a transfer where the debtor and initial transferee are not financial institutions, but the funds passed through financial institutions acting as intermediaries?

The §546(e) safe harbor does not protect the transfer from Valley View 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 no

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Legal Issue

Does the Bankruptcy Code’s §546(e) safe harbor, which prevents a trustee from avoiding certain transfers made ‘by or to (or for the benefit of)’ a financial institution, protect a transfer where the debtor and initial transferee are not financial institutions, but the funds passed through financial institutions acting as intermediaries?

Conclusion

This decision significantly narrows the application of the §546(e) safe harbor in 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 consequa

Legal Rule

For purposes of the §546(e) securities safe harbor, the only relevant 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 reprehenderit

Legal Analysis

The Court's analysis centered on the plain language and statutory context of 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 mollit anim id est laborum. Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tem

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Flash Summary

  • The § 546(e) securities safe harbor protects only the specific “overarching”
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

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