Rubin v. MF Global, Ltd. et al Featured Case
Plaintiff: Michael Rubin
Defendant: MF Global, Ltd., Man Group PLC, Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp and Edward L. Goldberg
Case Number: 1:2008cv02233
Filed: March 6, 2008
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: Kings
Presiding Judge: Victor Marrero
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. § 77 Securities Fraud
Jury Demanded By: Plaintiff
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Docket Report

This docket was last retrieved on November 22, 2011. A more recent docket listing may be available from PACER.

Date Filed Document Text
November 18, 2011 Opinion or Order Filing 200 FINAL ORDER AND JUDGMENT as to all Settling Defendants. (Signed by Judge Victor Marrero on 11/18/2011) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(jnm)
November 18, 2011 Opinion or Order Filing 199 ORDER APPROVING PLAN OF ALLOCATION OF NET SETTLEMENT FUND: granting 191 Motion for Settlement. This Order incorporates by reference the definitions in the Stipulation of Settlement, and all terms used herein shall have the same meanings as set forth in the Stipulation of Settlement. (Signed by Judge Victor Marrero on 11/18/2011) (djc)
November 18, 2011 Opinion or Order Filing 198 ORDER ORDER GRANTING PLAINTIFFS' COUNSEL'S PETITION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF EXPENSES AND LEAD PLAINTIFFS' PETITION FOR REIMBURSEMENT OF EXPENSES: granting 193 Motion for Attorney Fees as set forth herein. Plaintiffs' Counsel are awarded 18% of the Settlement Fund as attorneys' fees in this Litigation, together with interest at the same rate earned by the Settlement Fund, from the date of the establishment of the fund to the date of payment. 2. The award of attorneys' fees shall be allocated among Plaintiffs' Counsel in a fashion which, in the opinion and sole discretion of Co-Lead Counsel, fairly compensates Plaintiffs' Counsel for their respective contributions to the prosecution of the Litigation. 3. The expenses of Plaintiffs' Counsel shall be reimbursed out of the Settlement Fund in the amount of $287,741.79. 4. The expenses of Lead Plaintiffs shall be reimbursed out of the Settlement Fund in the amount of $4,786.86 to IPERS; $5,300 to PABF; $5,412.54 to Central States; and $5,000 to State-Boston. (Signed by Judge Victor Marrero on 11/18/2011) (djc)
November 17, 2011 Filing 197 DECLARATION of Michelle M. LaCount in Support re: 191 MOTION for Settlement Lead Plaintiffs' Notice of Motion and Motion for Final Approval of Proposed Class Action Settlement and Plan of Allocation.. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Bunch, Stephen)
November 17, 2011 Filing 196 NOTICE of Lead Plaintiffs' Supplemental Submission Regarding Reimbursement of Expenses. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Bunch, Stephen)
October 21, 2011 Filing 195 DECLARATION of Daniel E. Bacine and Carol V. Gilden in Support re: 191 MOTION for Settlement Lead Plaintiffs' Notice of Motion and Motion for Final Approval of Proposed Class Action Settlement and Plan of Allocation., 193 MOTION for Attorney Fees Lead Plaintiffs' Notice of Motion and Plaintiffs' Counsel's Petition for an Award of Attorneys' Fees and Reimbursement of Expenses and Lead Plaintiffs' Petition for Reimbursement of Expenses.. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Bunch, Stephen)
October 21, 2011 Filing 194 MEMORANDUM OF LAW in Support re: 193 MOTION for Attorney Fees Lead Plaintiffs' Notice of Motion and Plaintiffs' Counsel's Petition for an Award of Attorneys' Fees and Reimbursement of Expenses and Lead Plaintiffs' Petition for Reimbursement of Expenses.. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Bunch, Stephen)
October 21, 2011 Filing 193 MOTION for Attorney Fees Lead Plaintiffs' Notice of Motion and Plaintiffs' Counsel's Petition for an Award of Attorneys' Fees and Reimbursement of Expenses and Lead Plaintiffs' Petition for Reimbursement of Expenses. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System.(Bunch, Stephen)
October 21, 2011 Filing 192 MEMORANDUM OF LAW in Support re: 191 MOTION for Settlement Lead Plaintiffs' Notice of Motion and Motion for Final Approval of Proposed Class Action Settlement and Plan of Allocation.. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Bunch, Stephen)
October 21, 2011 Filing 191 MOTION for Settlement Lead Plaintiffs' Notice of Motion and Motion for Final Approval of Proposed Class Action Settlement and Plan of Allocation. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System.(Bunch, Stephen)
August 15, 2011 Opinion or Order Filing 190 PRELIMINARY APPROVAL ORDER PROVIDING FOR NOTICE AND HEARING IN CONNECTION WITH PROPOSED CLASS ACTION SETTLEMENT: The Court has reviewed the Stipulation and preliminarily finds the Settlement set forth therein to be fair, reasonable and adequate, subject to further consideration at the Settlement Hearing described herein. (Settlement Conference set for 11/18/2011 at 01:30 PM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 8/12/2011) (ft)
August 11, 2011 Filing 189 CERTIFICATE OF SERVICE of Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Class for Purposes of Settlement, (III) Approval of Notice to the Class, (IV) Scheduling of a Final Approval Hearing, Supporting Memorandum of Law and Declaration served on Defendants on 8/11/2011. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Rosen, Mark)
August 11, 2011 Filing 188 DECLARATION of Mark R. Rosen in Support re: 186 MOTION for Settlement Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Class for Purposes of Settlement, (III) Approval of Notice to the Class, (IV) Scheduling of a Final Approval Hearing. MOTION for Settlement Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Class for Purposes of Settlement, (III) Approval of Notice to the Class, (IV) Scheduling of a Final Approval Hearing.. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Attachments: # 1 Exhibit Stipulation and Agreement of Settlement, # 2 Exhibit Barrack, Rodos & Bacine Resume, # 3 Exhibit Cohen Milstein Sellers & Toll Resume)(Rosen, Mark)
August 11, 2011 Filing 187 MEMORANDUM OF LAW in Support re: 186 MOTION for Settlement Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Class for Purposes of Settlement, (III) Approval of Notice to the Class, (IV) Scheduling of a Final Approval Hearing. MOTION for Settlement Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Class for Purposes of Settlement, (III) Approval of Notice to the Class, (IV) Scheduling of a Final Approval Hearing.. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System. (Rosen, Mark)
August 11, 2011 Filing 186 MOTION for Settlement Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Class for Purposes of Settlement, (III) Approval of Notice to the Class, (IV) Scheduling of a Final Approval Hearing. Document filed by Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System.(Rosen, Mark)
June 28, 2011 Filing 185 NOTICE OF CHANGE OF ADDRESS by Marshall Howard Fishman on behalf of Amy S. Butte. New Address: Freshfields Bruckhaus Deringer US LLP, 601 Lexington Avenue, New York, New York, USA 10022, 212-284-4000. (Fishman, Marshall)
April 1, 2011 Opinion or Order Filing 184 CONFIDENTIALITY STIPULATION AND ORDER GOVERNING CONFIRMATORY DISCOVERY MATERIALS...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Victor Marrero on 3/31/2011) (jfe)
January 19, 2011 Filing 183 ENDORSED LETTER addressed to Judge Victor Marrero from Carol V. Giden dated 1/14/2011 re: We write to advise the Court that, with the assistance of former federal judge Layn Memorandum of Understanding to settle this action. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. (Signed by Judge Victor Marrero on 1/18/2011) (jpo)
November 10, 2010 Filing 182 ENDORSED LETTER addressed to Judge Victor Marrero from Carol V. Gilden dated 11/9/2010 re: The parties request that the Court suspend the deadline for filing any responsive pleading so that the parties may concentrate their efforts on exploring settlement of this matter. ENDORSEMENT: Request GRANTED. The time for defendants to respond to the amended complaint herein is extended and further proceedings in connection with this action are stayed pending the parties mediation efforts described above. So Ordered. (Signed by Judge Victor Marrero on 11/10/10) (jfe)
November 10, 2010 Case Stayed (jfe)
November 5, 2010 Filing 181 FIRST AMENDED CONSOLIDATED CLASS ACTION COMPLAINT amending 84 Amended Complaint against ABN AMRO Rothschild LLC, BMO Capital Markets Corp., Banc of America Securities LLC, Christopher Bates, Blaylock & Co., Inc., Amy S. Butte, CL King & Associates, Inc., Alison J. Carnwath, Caylon Securities ( USA) Inc., Chatsworth Securities LLC, Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Kevin R. Davis, Deutsche Bank Securities Inc., Dowling & Partners Securities, LLC, ETrade Securities LLC, Fortis Securities LLC, Edward L. Goldberg, Goldman Sachs & Co., Guzman & Co., HSBC Securities (USA) Inc., ING Financial Markets, LLC, J.P. Morgan Securities Inc., Jefferies & Co., Inc., Keefe, Bruyette & Woods, Inc., Lazard Capital Markets LLC, M.R. Beal & Co., MF Global, Ltd., Man Group PLC, Merrill Lynch, Mizuho Securities USA Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Pierce Fenner & Smith, Inc., Piper Jaffray & Co., RBC Markets Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Inc., SMH Capital Inc., Samuel A. Ramirez & CO., Inc., Sandler O'Neill & Partners, L.P., Christopher J. Smith, Henri J. Steenkamp, Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, William Blair & Co., LLC, Man Group UK Ltd. with JURY DEMAND.Document filed by Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Iowa Public Employees' Retirement System. Related document: 84 Amended Complaint filed by Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago. (Received in the night deposit box on 11/5/10 at 5:10pm)(mro)
November 5, 2010 SUMMONS ISSUED as to ABN AMRO Rothschild LLC, BMO Capital Markets Corp., Banc of America Securities LLC, Christopher Bates, Blaylock & Co., Inc., Amy S. Butte, CL King & Associates, Inc., Alison J. Carnwath, Caylon Securities ( USA) Inc., Chatsworth Securities LLC, Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Kevin R. Davis, Deutsche Bank Securities Inc., Dowling & Partners Securities, LLC, ETrade Securities LLC, Fortis Securities LLC, Edward L. Goldberg, Goldman Sachs & Co., Guzman & Co., HSBC Securities (USA) Inc., ING Financial Markets, LLC, J.P. Morgan Securities Inc., Jefferies & Co., Inc., Keefe, Bruyette & Woods, Inc., Lazard Capital Markets LLC, M.R. Beal & Co., MF Global, Ltd., Man Group PLC, Merrill Lynch, Mizuho Securities USA Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Pierce Fenner & Smith, Inc., Piper Jaffray & Co., RBC Markets Corp., Raymond James & Associates, Inc., Robert W. Baird & Co. Inc., SMH Capital Inc., Samuel A. Ramirez & CO., Inc., Sandler O'Neill & Partners, L.P., Christopher J. Smith, Henri J. Steenkamp, Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, William Blair & Co., LLC, Man Group UK Ltd. with JURY DEMAND.Document filed by Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Iowa Public Employees' Retirement System. Related document: 84 Amended Complaint filed by Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago. (mro)
November 1, 2010 Filing 180 NOTICE OF CHANGE OF ADDRESS by William J. Ban on behalf of Michael Rubin. New Address: Barrack, Rodos & Bacine, 425 Park Avenue, Suite 3100, New York, New York, USA 10022, (212) 688-0782. (Ban, William)
October 13, 2010 Filing 179 MANDATE of USCA (Certified Copy) as to 174 Notice of Appeal, filed by Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, MF Global Institutional Investors Group, Policement's Annuity & Benefit Fund of Chicago USCA Case Number 09-3919. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED in part, VACATED IN PART and the case is REMANDED for further proceedings consistent with this opinion. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 10/13/2010. (nd)
October 13, 2010 Transmission of USCA Mandate/Order to the District Judge re: 179 USCA Mandate,,. (nd)
October 12, 2010 Filing 178 NOTICE OF APPEARANCE by Stephen Douglas Bunch on behalf of Central States, Southeast, Southwest Areas Pension Fund, Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, State-Boston Retirement System (Bunch, Stephen)
September 27, 2010 Opinion or Order Filing 177 ENDORSED LETTER addressed to Judge Victor Marrero from Mark R. Rosen dated 9/17/2010 re: We are counsel for the plaintiffs in the above-referenced action and write in response to September 16, 2010 letter from David B. Anders, Esquire on behalf of all defendants. We disagree with defendants characterization of the Court of Appeals decision. The Second Circuits decision effective endorsed the heart of plaintiffs allegations concerning defendants statements about MF Globals risk management system. First, the Court of Appeals expressly ruled that portions of plaintiffs complaint were not subject to dismissal under the bespecks caution doctrine. ENDORSEMENT: Request GRANTED. Upon issuance of the Circuit Court's Mandate in the appeal of this action, plaintiff shall have leave to file an amended complaint consistent with the Court of Appeals' decision affirming in part and vacating in part this Court judgment on defendant's motion to dismiss the original complaint. SO ORDERED. (Signed by Judge Victor Marrero on 9/27/2010) (jmi)
September 17, 2010 Filing 176 ENDORSED LETTER addressed to Judge Victor Marrero from David B. Anders dated 9/16/2010 re: request that once the mandate is issued and the case is returned to this Court, the Court set a schedule for briefing renewed motions to dismiss. ENDORSEMENT: The parties are directed to confer after the mandate is issued in this matter and to develop a proposed briefing schedule for submission to the Court within 10 days of the mandate's issuance. (Signed by Judge Victor Marrero on 9/17/2010) (jar)
September 14, 2010 Filing 175 TRUE COPY ORDER of USCA as to 174 Notice of Appeal, filed by Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, MF Global Institutional Investors Group, Policement's Annuity & Benefit Fund of Chicago USCA Case Number 09-3919-cv. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED in part, VACATED IN PART and the case is REMANDED for further proceedings consistent with this opinion. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 09/14/2010. (nd)
September 18, 2009 Filing 174 NOTICE OF APPEAL from 158 Order on Motion to Dismiss,,, 173 Order on Motion for Leave to File Document, 159 Clerk's Judgment,,,,. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, MF Global Institutional Investors Group. Filing fee $ 455.00, receipt number E 700308. (nd)
September 18, 2009 Transmission of Notice of Appeal to the District Judge re: 174 Notice of Appeal,. (nd)
September 18, 2009 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 174 Notice of Appeal,. (nd)
September 18, 2009 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 156 Endorsed Letter,,, 95 Rule 7.1 Corporate Disclosure Statement filed by CL King & Associates, Inc., 50 Endorsed Letter, 87 Notice (Other) filed by Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, 106 Rule 7.1 Corporate Disclosure Statement filed by J.P. Morgan Securities Inc., 90 Rule 7.1 Corporate Disclosure Statement filed by Blaylock & Co., Inc., 112 Rule 7.1 Corporate Disclosure Statement filed by M.R. Beal & Co., 52 Notice of Appearance, filed by Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, 8 Notice of Appearance, filed by Christopher J. Smith, Edward L. Goldberg, Alison J. Carnwath, Kevin R. Davis, Amy S. Butte, Christopher Bates, MF Global, Ltd., Henri J. Steenkamp, 168 Memorandum of Law in Opposition to Motion filed by Man Group plc, Man Group PLC, 114 Rule 7.1 Corporate Disclosure Statement filed by Oppenheimer & CO. Inc., 97 Rule 7.1 Corporate Disclosure Statement filed by Deutsche Bank Securities Inc., 141 Memorandum of Law in Opposition to Motion, filed by Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, Iowa Public Employees' Retirement System, 104 Rule 7.1 Corporate Disclosure Statement filed by ING Financial Markets, LLC, 31 Declaration in Support of Motion,, filed by Jose Betancourt, 139 Certificate of Service Other, filed by Man Group plc, Man Group PLC, 121 Rule 7.1 Corporate Disclosure Statement filed by SMH Capital Inc., 24 Memorandum of Law in Support of Motion, filed by Jose Betancourt, 115 Rule 7.1 Corporate Disclosure Statement filed by Piper Jaffray & Co., 84 Amended Complaint,,,,,,, filed by Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, Iowa Public Employees' Retirement System, 43 Memorandum of Law in Support of Motion, filed by Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, Iowa Public Employees' Retirement System, 15 Endorsed Letter,, 4 Stipulation and Order, Set Deadlines/Hearings,,,,,, 53 Notice of Appearance, filed by Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, Iowa Public Employees' Retirement System, 59 MOTION for Carol V. Gilden to Appear Pro Hac Vice. filed by Michael Rubin, 20 MOTION to Appoint Detroit General Retirement System to serve as lead plaintiff(s). MOTION to Approve Lead Plaintiff's Selection of Lead Counsel. filed by Detroit General Retirement System, 132 Declaration in Support of Motion, filed by Christopher J. Smith, Edward L. Goldberg, Alison J. Carnwath, Kevin R. Davis, Amy S. Butte, Christopher Bates, MF Global, Ltd., Henri J. Steenkamp, 170 Joinder,,,, filed by BMO Capital Markets Corp., Oppenheimer & CO. Inc., Deutsche Bank Securities Inc., Raymond James & Associates, Inc., Blaylock & Co., Inc., Mizuho Securities USA Inc., SMH Capital Inc., Piper Jaffray & Co., HSBC Securities (USA) Inc., Goldman Sachs & Co., Citigroup Global Markets Inc., Stifel, Nicolaus & Co., Inc., M.R. Beal & Co., Fortis Securities LLC, Jefferies & Co., Inc., Samuel A. Ramirez & CO., Inc., Chatsworth Securities LLC, UBS Securities LLC, Morgan Stanley & Co. Inc., Dowling & Partners Securities, LLC, Muriel Siebert & Co., Inc., J.P. Morgan Securities Inc., Keefe, Bruyette & Woods, Inc., E*Trade Securities LLC, RBC Markets Corp., Guzman & Co., Sandler O'Neill & Partners, L.P., Caylon Securities ( USA) Inc., The Williams Capital Group, L.P., Lazard Capital Markets LLC, Credit Suisse Securities (USA) LLC, Sun Trust Capital Markets, Inc., Wachovia Capital Markets, LLC, Robert W. Baird & Co. Inc., ABN AMRO Rothschild LLC, Wells Fargo Securities, LLC, William Blair & Co., LLC, Banc of America Securities LLC, CL King & Associates, Inc., ING Financial Markets, LLC, Utendahl Capital Partners, L.P., Merrill Lynch, 135 Joinder,,,, filed by BMO Capital Markets Corp., Oppenheimer & CO. Inc., Deutsche Bank Securities Inc., Raymond James & Associates, Inc., Blaylock & Co., Inc., Mizuho Securities USA Inc., SMH Capital Inc., Piper Jaffray & Co., HSBC Securities (USA) Inc., Citigroup Global Markets Inc., Goldman Sachs & Co., M.R. Beal & Co., Fortis Securities LLC, Jefferies & Co., Inc., Samuel A. Ramirez & CO., Inc., Chatsworth Securities LLC, UBS Securities LLC, Morgan Stanley & Co. Inc., Dowling & Partners Securities, LLC, Muriel Siebert & Co., Inc., J.P. Morgan Securities Inc., E*Trade Securities LLC, Keefe, Bruyette & Woods, Inc., RBC Markets Corp., Caylon Securities ( USA) Inc., Sandler O'Neill & Partners, L.P., The Williams Capital Group, L.P., Lazard Capital Markets LLC, Credit Suisse Securities (USA) LLC, Sun Trust Capital Markets, Inc., Wachovia Capital Markets, LLC, Pierce Fenner & Smith, Inc., Robert W. Baird & Co. Inc., ABN AMRO Rothschild LLC, William Blair & Co., LLC, Wells Fargo Securities, LLC, Banc of America Securities LLC, CL King & Associates, Inc., ING Financial Markets, LLC, Utendahl Capital Partners, L.P., Merrill Lynch, 158 Order on Motion to Dismiss,,, 157 Rule 7.1 Corporate Disclosure Statement filed by Morgan Stanley & Co. Inc., 155 Certificate of Service Other,,,,,,,,, filed by Man Group PLC, Man Group plc, 1 Complaint, filed by Michael Rubin, 111 Rule 7.1 Corporate Disclosure Statement filed by Morgan Stanley & Co. Inc., 162 Declaration in Support of Motion, filed by State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, 83 Amended Complaint,, filed by State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, 102 Rule 7.1 Corporate Disclosure Statement filed by Guzman & Co., 149 Notice of Appearance,,,, filed by BMO Capital Markets Corp., Oppenheimer & CO. Inc., Deutsche Bank Securities Inc., Raymond James & Associates, Inc., Blaylock & Co., Inc., Mizuho Securities USA Inc., SMH Capital Inc., Piper Jaffray & Co., HSBC Securities (USA) Inc., Citigroup Global Markets Inc., Goldman Sachs & Co., Stifel, Nicolaus & Co., Inc., M.R. Beal & Co., Fortis Securities LLC, Jefferies & Co., Inc., Samuel A. Ramirez & CO., Inc., Chatsworth Securities LLC, UBS Securities LLC, Morgan Stanley & Co. Inc., Dowling & Partners Securities, LLC, Muriel Siebert & Co., Inc., J.P. Morgan Securities Inc., E*Trade Securities LLC, Keefe, Bruyette & Woods, Inc., RBC Markets Corp., Guzman & Co., Caylon Securities ( USA) Inc., Sandler O'Neill & Partners, L.P., The Williams Capital Group, L.P., Lazard Capital Markets LLC, Credit Suisse Securities (USA) LLC, Sun Trust Capital Markets, Inc., Wachovia Capital Markets, LLC, Robert W. Baird & Co. Inc., ABN AMRO Rothschild LLC, William Blair & Co., LLC, Wells Fargo Securities, LLC, Banc of America Securities LLC, CL King & Associates, Inc., ING Financial Markets, LLC, Utendahl Capital Partners, L.P., Merrill Lynch, 54 Order on Motion to Appoint Lead Plaintiff(s), 14 Notice of Appearance filed by Amy S. Butte, 6 Endorsed Letter,, 163 Memo Endorsement, Set Deadlines/Hearings,, 36 Memorandum of Law in Support of Motion filed by Massachusetts Laborers' Pension Fund, 94 Rule 7.1 Corporate Disclosure Statement, filed by Citigroup Global Markets Inc., 66 Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Approve, Order on Motion to Appoint Lead Plaintiff(s), 101 Rule 7.1 Corporate Disclosure Statement filed by Goldman Sachs & Co., 138 Memorandum of Law in Support of Motion filed by Man Group PLC, Man Group plc, 154 Reply Memorandum of Law in Support of Motion, filed by Man Group PLC, Man Group plc, 152 Certificate of Service Other,, filed by Christopher Bates, Amy S. Butte, Henri J. Steenkamp, Alison J. Carnwath, Christopher J. Smith, Edward L. Goldberg, Kevin R. Davis, MF Global, Ltd., 79 Endorsed Letter,, 23 Affidavit in Support of Motion, filed by Detroit General Retirement System, 7 Notice of Appearance, filed by Christopher Bates, Amy S. Butte, Henri J. Steenkamp, Alison J. Carnwath, Christopher J. Smith, Edward L. Goldberg, Kevin R. Davis, MF Global, Ltd., 129 Rule 7.1 Corporate Disclosure Statement filed by William Blair & Co., LLC, 45 Certificate of Service Other, filed by State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago, Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, 109 Rule 7.1 Corporate Disclosure Statement filed by Merrill Lynch, 56 Endorsed Letter, Set Motion and R&R Deadlines/Hearings,,,,,,,,,,,,,, 171 Certificate of Service Other,,,, filed by BMO Capital Markets Corp., Oppenheimer & CO. Inc., Deutsche Bank Securities Inc., Raymond James & Associates, Inc., Blaylock & Co., Inc., Mizuho Securities USA Inc., SMH Capital Inc., Piper Jaffray & Co., HSBC Securities (USA) Inc., Citigroup Global Markets Inc., Goldman Sachs & Co., Stifel, Nicolaus & Co., Inc., M.R. Beal & Co., Fortis Securities LLC, Jefferies & Co., Inc., Samuel A. Ramirez & CO., Inc., Chatsworth Securities LLC, UBS Securities LLC, Morgan Stanley & Co. Inc., Dowling & Partners Securities, LLC, Muriel Siebert & Co., Inc., J.P. Morgan Securities Inc., E*Trade Securities LLC, Keefe, Bruyette & Woods, Inc., RBC Markets Corp., Guzman & Co., Caylon Securities ( USA) Inc., Sandler O'Neill & Partners, L.P., The Williams Capital Group, L.P., Lazard Capital Markets LLC, Credit Suisse Securities (USA) LLC, Sun Trust Capital Markets, Inc., Wachovia Capital Markets, LLC, Robert W. Baird & Co. Inc., ABN AMRO Rothschild LLC, William Blair & Co., LLC, Wells Fargo Securities, LLC, Banc of America Securities LLC, CL King & Associates, Inc., ING Financial Markets, LLC, Utendahl Capi
September 11, 2009 Opinion or Order Filing 173 ORDER...denying 160 Motion for Leave to File Document (Signed by Judge Victor Marrero on 9/11/09) (cd)
August 18, 2009 Filing 172 REPLY MEMORANDUM OF LAW in Support re: 160 MOTION for Leave to File First Amended Consolidated Class Action Complaint.. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
August 17, 2009 Filing 171 CERTIFICATE OF SERVICE of Joinder on 8/17/2009. Document filed by Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc.. (Hakki, Adam)
August 17, 2009 Filing 170 JOINDER to join re: 167 Memorandum of Law in Opposition to Motion,. Document filed by Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc..(Hakki, Adam)
August 17, 2009 Filing 169 AFFIDAVIT OF SERVICE of Opposition of Man Group plc to Plaintiffs' Motion for Leave to File Amended Complaint served on Opposing Counsel on 8/17/09. Service was accepted by via ECF. Document filed by Man Group PLC. (Barrett, David)
August 17, 2009 Filing 168 MEMORANDUM OF LAW in Opposition re: 160 MOTION for Leave to File First Amended Consolidated Class Action Complaint.. Document filed by Man Group PLC. (Barrett, David)
August 17, 2009 Filing 167 MEMORANDUM OF LAW in Opposition re: 160 MOTION for Leave to File First Amended Consolidated Class Action Complaint.. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. (Anders, David)
August 10, 2009 Opinion or Order Filing 166 ORDER: that Lead Plaintiffs' time to file a Notice of Appeal is hereby extended by thirty (30) days after the prescribed time provided in Rule 4 (a) (1) (A) of the Federal Rules of Appellate Procedure or ten (10) days after the date when this Order is entered, whichever is later, pursuant to Rule 4 (a) (5) (C) of the Federal Rules of Appellate Procedure. SO ORDERED. (Signed by Judge Victor Marrero on 8/10/2009) (tve)
August 6, 2009 Filing 165 MEMORANDUM OF LAW in Support re: 164 MOTION to Vacate 159 Clerk's Judgment,,,, or in the Alternative, to Extend the Time to File a Notice of Appeal Pending Resolution of Plaintiffs' Motion for Leave to File First Amended Consolidated Complaint. MOTION to Vacate 159 Clerk's Judgment,,,, or in the Alternative, to Extend the Time to File a Notice of Appeal Pending Resolution of Plaintiffs' Motion for Leave to File First Amended Consolidated Complaint.. Document filed by MF Global Institutional Investors Group. (Ban, William)
August 6, 2009 Filing 164 MOTION to Vacate 159 Clerk's Judgment,,,, or in the Alternative, to Extend the Time to File a Notice of Appeal Pending Resolution of Plaintiffs' Motion for Leave to File First Amended Consolidated Complaint. Document filed by MF Global Institutional Investors Group.(Ban, William)
August 6, 2009 Filing 163 MEMO ENDORSEMENT on NOTICE OF MOTION. ENDORSEMENT: Defendants are directed to respond by 8/17/2009 to the request of plaintiff herein for leave to file a First Amended Complaint in the form proposed. (Signed by Judge Victor Marrero on 8/6/2009) (jpo) Modified on 8/24/2009 (jpo).
August 5, 2009 Filing 162 DECLARATION of William J. Ban in Support re: 160 MOTION for Leave to File First Amended Consolidated Class Action Complaint.. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Attachments: # 1 Exhibit 1 - First Amended Consolidated Class Action Complaint)(Ban, William)
August 5, 2009 Filing 161 MEMORANDUM OF LAW in Support re: 160 MOTION for Leave to File First Amended Consolidated Class Action Complaint.. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
August 5, 2009 Filing 160 MOTION for Leave to File First Amended Consolidated Class Action Complaint. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System.(Ban, William)
July 23, 2009 Filing 159 CLERK'S JUDGMENT That for the reasons stated in the Court's Decision and Order dated July 16, 2009, the motion to dismiss of MF Global, the Individual Defendants, and the Underwriter Defendants is granted in its entirety, and the motion to dismiss of the Man Group is granted in its entirety; plaintiffs Iowa Public Employees Retirement System, Policemens Annuity & Benefit Fund of Chicago; Central States, Southeast, Southwest Areas Pension Fund; and State-Boston Retirement System (collectively, "Plaintiffs") may submit a request for leave to amend their complaint within 20 days of the Decision and Order dated July 16, 2009 and such a request must make a plausible showing that repleading will not be futile; accordingly, any pending motions are withdrawn and the case is closed. (Signed by J. Michael McMahon, clerk on 7/23/09) (Attachments: # 1 notice of right to appeal)Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(ml)
July 16, 2009 Transmission to Judgments and Orders Clerk. Transmitted re: 158 Order on Motion to Dismiss, to the Judgments and Orders Clerk. (cd)
July 16, 2009 Opinion or Order Filing 158 DECISION AND ORDER granting 130 Motion to Dismiss; granting 137 Motion to Dismiss. Plaintiffs may submit a response a request for leave to amend their complaint within 20 days of the date of this Order. Such a request must make a plausible showing that repleading will not be futile. The Clerk of the Court is directed to withdraw any pending motions and to close this case.. (Signed by Judge Victor Marrero on 7/16/09) (cd)
June 11, 2009 Filing 157 AMENDED RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Morgan Stanley as Corporate Parent. Document filed by Morgan Stanley & Co. Inc..(Hakki, Adam)
April 20, 2009 Filing 156 ENDORSED LETTER addressed to Judge Victor Marrero from Carol V. Gilden dated 4/17/09 re: Lead Counsel for Lead Plaintiff write pursuant to Your Honor's protocol for Individual Practices with respect to the Defendants' pending motions to dismiss Lead Plaintiffs' Consolidated Class Action Complaint. Lead Plaintiffs respectfully request that the Court conduct a pre-motion conference with respect to this request. Lead Plaintiffs will make themselves available for an in person or telephone conference at the Court's convenience. ENDORSEMENT: Request DENIED. No additional motion practice is warranted. The Court can review the MF Global defendants' reading at the JPMorgan Chase referred to herein without need for further submissions from the parties. (Signed by Judge Victor Marrero on 4/20/09) (tro)
April 13, 2009 Filing 155 CERTIFICATE OF SERVICE of Reply Memorandum of Man Group plc in Support of Motion to Dismiss served on All Counsel on 4/13/2009. Service was made by via electronic filing. Document filed by Man Group PLC. Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Barrett, David)
April 13, 2009 Filing 154 REPLY MEMORANDUM OF LAW in Support re: (137 in 1:08-cv-02233-VM) MOTION to Dismiss The Complaint.. Document filed by Man Group PLC. Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Barrett, David)
April 13, 2009 Filing 153 CERTIFICATE OF SERVICE of JOINDER served on Plaintiff on 4/13/09. Document filed by Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., Lehman Brothers Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc.. (Hakki, Adam)
April 13, 2009 Filing 152 CERTIFICATE OF SERVICE of REPLY MEMORANDUM OF LAW served on Elizabeth Ann Berney,Lynda J. Grant,Carol V. Gilden,S. Douglas Bunch,Steven Jeffrey Toll,Jonathan Gardner,A. Arnold Gershon,William J. Ban,Regina M. CalcaterraMark R. Rosen,Elizabeth Ann Berney,Lynda J. Grant,Carol V. Gilden,S. Douglas Bunch,Steven Jeffrey Toll,Jonathan Gardner on April 13, 2009. Service was made by Mail. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. (Anders, David)
April 13, 2009 Filing 151 JOINDER to join re: 150 Reply Memorandum of Law in Support of Motion, to Dismiss the Complaint. Document filed by Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., Lehman Brothers Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc..(Hakki, Adam)
April 13, 2009 Filing 150 REPLY MEMORANDUM OF LAW in Support re: 130 MOTION to Dismiss The Complaint.. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. Amy S. Butte. (Anders, David) Modified on 4/14/2009 (pl).
March 17, 2009 Filing 149 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc. (Hakki, Adam)
March 17, 2009 Filing 148 NOTICE OF APPEARANCE by Stuart Jay Baskin on behalf of Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc. (Baskin, Stuart)
March 17, 2009 Filing 147 NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Pierce Fenner & Smith, Inc., Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc. (Washer, Herbert)
March 13, 2009 Filing 146 CERTIFICATE OF SERVICE of DECLARATION OF WILLIAM J. BAN served on DEFENDANTS on 3/13/2009. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
March 13, 2009 Filing 145 DECLARATION of WILLIAM J. BAN in Opposition re: 130 MOTION to Dismiss The Complaint., 137 MOTION to Dismiss The Complaint.. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Attachments: # 1 Exhibit 1 (PART ONE), # 2 Exhibit 1 (PART TWO), # 3 Exhibit 2 (PART ONE), # 4 Exhibit 2 (PART TWO), # 5 Exhibit 3, # 6 Exhibit 4, # 7 Exhibit 5, # 8 Exhibit 6, # 9 Exhibit 7)(Ban, William)
March 13, 2009 Filing 144 CERTIFICATE OF SERVICE of MEMORANDUM OF LAW IN OPPOSITION TO MAN GROUP PLC'S MOTION TO DISMISS served on DEFENDANTS on 3/13/2009. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
March 13, 2009 Filing 143 MEMORANDUM OF LAW in Opposition re: 137 MOTION to Dismiss The Complaint.. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
March 13, 2009 Filing 142 CERTIFICATE OF SERVICE of MEMORANDUM OF LAW IN OPPOSITION TO MF GLOBAL DEFENDANTS' MOTION TO DISMISS served on DEFENDANTS on 3/13/2009. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
March 13, 2009 Filing 141 MEMORANDUM OF LAW in Opposition re: 130 MOTION to Dismiss The Complaint.. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
January 14, 2009 Filing 140 AMENDED RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Man Group PLC.(Barrett, David)
January 12, 2009 Filing 139 CERTIFICATE OF SERVICE of Corporate Disclosure Statement of Man Group plc Pursuant to Federal Rule of Civil Procedure 7.1, Notice of Motion, Memorandum of Law of Man Group plc in Support of Motion to Dismiss served on All Parties Registered to the Courts CM/ECF System on 1/12/09. Document filed by Man Group PLC. (Barrett, David)
January 12, 2009 Filing 138 MEMORANDUM OF LAW in Support re: 137 MOTION to Dismiss The Complaint.. Document filed by Man Group PLC. (Barrett, David)
January 12, 2009 Filing 137 MOTION to Dismiss The Complaint. Document filed by Man Group PLC.(Barrett, David)
January 12, 2009 Filing 136 CERTIFICATE OF SERVICE. Document filed by Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Pierce Fenner & Smith, Inc., Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc.. (Hakki, Adam)
January 12, 2009 Filing 135 JOINDER to join re: 130 MOTION to Dismiss The Complaint.. Document filed by Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Pierce Fenner & Smith, Inc., Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., UBS Securities LLC, Goldman Sachs & Co., Morgan Stanley & Co. Inc..(Hakki, Adam)
January 12, 2009 Filing 134 CERTIFICATE OF SERVICE of Notice of Motion, Declaration (and exhibits hereto) and Memorandum of Law served on A. Arnold Gershon,Mark R. Rosen,Elizabeth Ann Berney,Carol V. Gilden,S. Douglas Bunch,Jonathan Gardner on 12th day of January, 2009,. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. (Anders, David)
January 12, 2009 Filing 133 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. no Corporate Parent. Document filed by Man Group PLC.(Barrett, David)
January 12, 2009 Filing 132 DECLARATION of David B Anders in Support re: 130 MOTION to Dismiss The Complaint.. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. (Attachments: # 1 Exhibit A, # 2 Exhibit B-1, # 3 Exhibit B-2, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E)(Anders, David)
January 12, 2009 Filing 131 MEMORANDUM OF LAW in Support re: 130 MOTION to Dismiss The Complaint.. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. (Anders, David)
January 12, 2009 Filing 130 MOTION to Dismiss The Complaint. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp.(Anders, David)
January 12, 2009 Filing 129 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying WBC Holdings, L.P. as Corporate Parent. Document filed by William Blair & Co., LLC.(Hakki, Adam)
January 12, 2009 Filing 128 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Wells Fargo & Company as Corporate Parent. Document filed by Wells Fargo Securities, LLC.(Hakki, Adam)
January 12, 2009 Filing 127 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Wells Fargo & Company as Corporate Parent. Document filed by Wachovia Capital Markets, LLC.(Hakki, Adam)
January 12, 2009 Filing 126 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Utendahl Capital Partners, L.P..(Hakki, Adam)
January 12, 2009 Filing 125 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying UBS AG as Corporate Parent. Document filed by UBS Securities LLC.(Hakki, Adam)
January 12, 2009 Filing 124 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying The Williams Capital Group, Inc. as Corporate Parent. Document filed by The Williams Capital Group, L.P..(Hakki, Adam)
January 12, 2009 Filing 123 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Sun Trust Banks, Inc. as Corporate Parent. Document filed by Sun Trust Capital Markets, Inc..(Hakki, Adam)
January 12, 2009 Filing 122 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Stifel Financial Corp. as Corporate Parent. Document filed by Stifel, Nicolaus & Co., Inc..(Hakki, Adam)
January 12, 2009 Filing 121 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Sanders Morris Harris Group, Inc. as Corporate Parent. Document filed by SMH Capital Inc..(Hakki, Adam)
January 12, 2009 Filing 120 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Sandler O'Neill & Partners Corp. as Corporate Parent. Document filed by Sandler O'Neill & Partners, L.P..(Hakki, Adam)
January 12, 2009 Filing 119 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying SAR Holdings, Inc. as Corporate Parent. Document filed by Samuel A. Ramirez & CO., Inc..(Hakki, Adam)
January 12, 2009 Filing 118 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Robert W. Baird & Co. Inc..(Hakki, Adam)
January 12, 2009 Filing 117 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Royal Bank of Canada as Corporate Parent. Document filed by RBC Markets Corp..(Hakki, Adam)
January 12, 2009 Filing 116 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Raymond James Financial, Inc. as Corporate Parent. Document filed by Raymond James & Associates, Inc..(Hakki, Adam)
January 12, 2009 Filing 115 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Piper Jaffray Companies as Corporate Parent. Document filed by Piper Jaffray & Co..(Hakki, Adam)
January 12, 2009 Filing 114 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Oppenheimer Holdings, Inc. as Corporate Parent. Document filed by Oppenheimer & CO. Inc..(Hakki, Adam)
January 12, 2009 Filing 113 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Siebert Financial Corp. as Corporate Parent. Document filed by Muriel Siebert & Co., Inc..(Hakki, Adam)
January 12, 2009 Filing 112 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying MRB Securities Corporation as Corporate Parent. Document filed by M.R. Beal & Co..(Hakki, Adam)
January 12, 2009 Filing 111 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Morgan Stanley as Corporate Parent. Document filed by Morgan Stanley & Co. Inc..(Hakki, Adam)
January 12, 2009 Filing 110 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Mizuho Financial Group, Inc. as Corporate Parent. Document filed by Mizuho Securities USA Inc..(Hakki, Adam)
January 12, 2009 Filing 109 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Bank of America Corporation as Corporate Parent. Document filed by Merrill Lynch.(Hakki, Adam)
January 12, 2009 Filing 108 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying LFCM Holdings LLC. as Corporate Parent. Document filed by Lazard Capital Markets LLC.(Hakki, Adam)
January 12, 2009 Filing 107 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying KBW, Inc. as Corporate Parent. Document filed by Keefe, Bruyette & Woods, Inc..(Hakki, Adam)
January 12, 2009 Filing 106 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying JP Morgan Chase & Co. as Corporate Parent. Document filed by J.P. Morgan Securities Inc..(Hakki, Adam)
January 12, 2009 Filing 105 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Jefferies Group, Inc. as Corporate Parent. Document filed by Jefferies & Co., Inc..(Hakki, Adam)
January 12, 2009 Filing 104 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying ING Groep N.V. as Corporate Parent. Document filed by ING Financial Markets, LLC.(Hakki, Adam)
January 12, 2009 Filing 103 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying HSBC Holdings plc. as Corporate Parent. Document filed by HSBC Securities (USA) Inc..(Hakki, Adam)
January 12, 2009 Filing 102 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Guzman & Co..(Hakki, Adam)
January 12, 2009 Filing 101 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying The Goldman Sachs Group, Inc. as Corporate Parent. Document filed by Goldman Sachs & Co..(Hakki, Adam)
January 12, 2009 Filing 100 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Fortis Bank S.A./N.V. as Corporate Parent. Document filed by Fortis Securities LLC.(Hakki, Adam)
January 12, 2009 Filing 99 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying E*Trade Financial Corp. as Corporate Parent. Document filed by E*Trade Securities LLC.(Hakki, Adam)
January 12, 2009 Filing 98 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Dowling & Partners Holding, LLC. as Corporate Parent. Document filed by Dowling & Partners Securities, LLC.(Hakki, Adam)
January 12, 2009 Filing 97 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Deutsche Bank AG, Taunus Corporation as Corporate Parent. Document filed by Deutsche Bank Securities Inc..(Hakki, Adam) Modified on 1/14/2009 (tro).
January 12, 2009 Filing 96 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Credit Suisse (USA), Inc., Credit Suisse Holdings (USA), Inc., Credit Suisse Group AG Guernsey Branch, Credit Suisse Group AG as Corporate Parent. Document filed by Credit Suisse Securities (USA) LLC.(Hakki, Adam) Modified on 1/14/2009 (tro).
January 12, 2009 Filing 95 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by CL King & Associates, Inc..(Hakki, Adam)
January 12, 2009 Filing 94 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Citigroup, Inc., Citigroup Financial Products, Inc., Citigroup Global Market Holdings, Inc. as Corporate Parent. Document filed by Citigroup Global Markets Inc.(Hakki, Adam) Modified on 1/14/2009 (tro).
January 12, 2009 Filing 93 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Chatsworth Securities LLC.(Hakki, Adam)
January 12, 2009 Filing 92 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying, Caylon, Credit Agricole S.A. as Corporate Parent. Document filed by Caylon Securities ( USA) Inc.(Hakki, Adam) Modified on 1/14/2009 (tro).
January 12, 2009 Filing 91 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Harris Financial Corp, Bank of Montreal as Corporate Parent. Document filed by BMO Capital Markets Corp..(Hakki, Adam) Modified on 1/14/2009 (tro).
January 12, 2009 Filing 90 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Blaylock & Co., Inc..(Hakki, Adam)
January 12, 2009 Filing 89 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Bank of America Corporation as Corporate Parent. Document filed by Banc of America Securities LLC.(Hakki, Adam)
January 12, 2009 Filing 88 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Rothschild Inc. as Corporate Parent. Document filed by ABN AMRO Rothschild LLC.(Hakki, Adam)
November 25, 2008 Filing 87 NOTICE of Notice of Firm Name Change. Document filed by Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Grant, Lynda)
November 13, 2008 Filing 86 ENDORSED LETTER addressed to Judge Victor Marrero from Adam S. Hakki dated 11/12/08 re: Counsel write to inform the Court that on 9/19/08, the Securities Investor Protection Corporation filed a Complaint and Application seeking a protective decree as to Lehman Brothers Inc. under the Securities Protection Act of 1970 in the U.S.D.C. for the S.D.N.Y. Herewith is a copy of the SIPC's Complaint and Application. Consequently, pursuant to section 362(a) of the Bankruptcy Code, an automatic stay went into effect on the Commencement Date, prohibiting the continuation of this proceeding as against Lehman. Accordingly, the above-captioned action insofar as it asserts claims against Lehman is automatically stayed. All actions taken in violation of the automatic stay are void. ENDORSEMENT: Request GRANTED. Further proceedings against defendant Lehman Brothers in this action are stayed pending the resolution of Rubin's bankruptcy action as described above. (Signed by Judge Victor Marrero on 11/13/08) (tro) Modified on 11/18/2008 (tro).
November 5, 2008 Opinion or Order Filing 85 STIPULATION AND ORDER TO EXTEND SCHEDULE FOR RESPONDING TO CONSOLIDATED AMENDED COMPLAINT; Defendants shall answer, move to dismiss, or otherwise respond to Lead Plaintiff's Consolidated Amended Complaint on or before January 12,2009. Lead Plaintiff shall file their opposition to any motion to dismiss within sixty (60) days after any motion to dismiss is filed. Defendants shall file their reply in further support of any motion to dismiss within thirty (30) days after Lead Plaintiff's opposition is filed.The parties jointly request that the Court entertain oral argument on any motion to dismiss at a date convenient to the Court after completion of all briefing. So ordered and approved. (Signed by Judge Victor Marrero on 11/5/2008) (tve)
September 12, 2008 Filing 84 CORRECTED CONSOLIDATED CLASS ACTION COMPLAINT amending 83 Amended Complaint,, against Edward L. Goldberg, MF Global, Ltd., Man Group PLC, Deutsche Bank Securities Inc., ABN AMRO Rothschild LLC, Banc of America Securities LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Keefe, Bruyette & Woods, Inc., Sandler O'Neill & Partners, L.P., Wachovia Capital Markets, LLC, Blaylock & Co., Inc., Caylon Securities ( USA) Inc., Chatsworth Securities LLC, CL King & Associates, Inc., Dowling & Partners Securities, LLC, E*Trade Securities LLC, Fortis Securities LLC, Guzman & Co., ING Financial Markets, LLC, Jefferies & Co., Inc., Lazard Capital Markets LLC, M.R. Beal & Co., Mizuho Securities USA Inc., Muriel Siebert & Co., Inc., Oppenheimer & CO. Inc., Piper Jaffray & Co., Raymond James & Associates, Inc., RBC Markets Corp., Robert W. Baird & Co. Inc., Samuel A. Ramirez & CO., Inc., SMH Capital Inc., Stifel, Nicolaus & Co., Inc., Sun Trust Capital Markets, Inc., The Williams Capital Group, L.P., Merrill Lynch, Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, William Blair & Co., LLC, Pierce Fenner & Smith, Inc., Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., Lehman Brothers Inc., UBS Securities LLC, Kevin R. Davis, Goldman Sachs & Co., Morgan Stanley & Co. Inc., Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp.Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. Related document: 83 Amended Complaint,, filed by Iowa Public Employees' Retirement System, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System, Policement's Annuity & Benefit Fund of Chicago.(dle)
September 12, 2008 Filing 83 CONSOLIDATED CLASS ACTION COMPLAINT amending 1 Complaint, against Edward L. Goldberg, MF Global, Ltd., Man Group PLC, Merrill Lynch, Pierce Fenner & Smith, Inc., Credit Suisse Securities (USA) LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., Lehman Brothers Inc., UBS Securities LLC, Kevin R. Davis, Goldman Sachs & Co., Morgan Stanley & Co. Inc., Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp.Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. Related document: 1 Complaint, filed by Michael Rubin.(dle)
September 12, 2008 Filing 82 NOTICE OF APPEARANCE by Marilyn C. Kunstler on behalf of Man Group PLC (Kunstler, Marilyn)
September 12, 2008 Filing 81 NOTICE OF APPEARANCE by David A. Barrett on behalf of Man Group PLC (Barrett, David)
August 26, 2008 Opinion or Order Filing 80 STIPULATION AND ORDER: The Underwriter Defendants waive service of the Matassa Complaint and summons, without waiver of any arguments or defenses, including defenses related to personal jurisdiction, except as to service of process. Pursuant to the Court's July 4, 2008 Order, the consolidated complaint will upon filing, supersede the Matassa Complaint, and this no answer, pleading or motion response to the Matassa Complaint is required. (Signed by Judge Victor Marrero on 8/25/08) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02895-VM(tro)
August 25, 2008 Filing 79 ENDORSED LETTER addressed to Judge Victor Marrero from Carol V. Gilden dated 8/11/2008 re: Counsel writes to request a pre-motion conference in advance of moving for an extension of the 120 day period to serve the Summons and Complaint against certain defendant's. ENDORSEMENT: Request GRANTED. The time for plaintiff's to serve defendant's with the summons and complaint in this action is extended for a period of 30 days from the date of its consent expiration. So Ordered. (Signed by Judge Victor Marrero on 8/25/2008) (jfe)
August 25, 2008 Opinion or Order Filing 78 STIPULATION AND ORDER: it is hereby stipulated and agreed that the Underwriter Defendant's waive service of the Matassa Complaint and summons, without waiver of any agreement or defenses, including defenses related to personal jurisdiction, except as to service process. Pursuant to the Court's July 15, 2008 Order, the consolidated complaint will, upon filing, supersede the Matassa Complaint, and thus no answer, pleading or motion in response to the Matassa Complaint is required. Except as expressly provided herein, nothing set forth in this Stipulation shall be deemed to constitute a waiver of any claim, defense, or right. (Signed by Judge Victor Marrero on 8/24/2008) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02895-VM(jfe)
August 21, 2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Mark R. Rosen to E-MAIL Document No. 77 Stipulation and Order to judgments@nysd.uscourts.gov. This document is not filed via ECF. (db)
August 21, 2008 Filing 77 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION to Serve Stipulation and Proposed Order. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System.(Rosen, Mark) Modified on 8/22/2008 (db).
July 24, 2008 Filing 76 TRANSCRIPT of proceedings held on 6/20/08 before Judge Victor Marrero. (ama)
July 21, 2008 Filing 75 NOTICE OF APPEARANCE by Jonathan Gardner on behalf of State-Boston Retirement System (Gardner, Jonathan)
July 14, 2008 Opinion or Order Filing 74 JOINT STIPULATION AND ORDER REGARDING SCHEDULING: It is hereby stipulated and agreed that lead plaintiff's shall file their consolidated complaint within 60 days of entry of the Joint Stipulation and Order. Defendant's shall answer, move to dismiss, or otherwise respond to Lead Plaintiff's consolidated complaint within 60 days after Lead Plaintiff's file their consolidated complaint. Lead Plaintiff's shall file their opposition to any motion to dismiss within 30 days after any motion to dismiss is filed. Defendant's shall file their reply in further support of any motion to dismiss within 15 days after Lead Plaintiff's opposition is filed. Nothing herein shall be deemed to constitute a waiver of, and defendant's do not waive and expressly preserve, all arguments and defenses in this consolidated action, including defenses related to personal jurisdiction or with respect to class action status. The parties jointly request that the Court entertain oral argument on any motion to dismiss at a date convenient to the Court after the completion of all briefing. (Signed by Judge Victor Marrero on 7/11/2008) (jfe)
June 23, 2008 Opinion or Order Filing 73 ORDER: that the motion (Docket No. 42) by movants Iowa Public Employees' Retirement System; Policemen's Annuity & Benefit Fund of Chicago; Central States, Southeast, Southwest Areas Pension Fund; and State-Boston Retirement System for appointment to serve as lead plaintiffs is GRANTED. The law firms of Barrack, Rodos & Bacine and Cohen, Milstein, Hausfeld & Toll, P.L.L.C. are approved to serve as co-lead counsel. The motions of all other movants seeking appointment to serve as lead plaintiffs, insofar as not previously withdrawn, are DENIED. (Signed by Judge Victor Marrero on 6/23/08) (tro)
June 20, 2008 Minute Entry for proceedings held before Judge Victor Marrero: Pretrial Conference held on 6/20/2008. (cd)
June 20, 2008 Opinion or Order Filing 72 ORDER granting 71 Motion for Mark R. Rosen to Appear Pro Hac Vice for plaintiff. (Signed by Judge Victor Marrero on 6/20/08) (cd)
June 20, 2008 Transmission to Attorney Admissions Clerk. Transmitted re: 72 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd)
June 18, 2008 CASHIERS OFFICE REMARK on 71 Motion to Appear Pro Hac Vice, in the amount of $25.00, paid on 06/17/2008, Receipt Number 654358. (jd)
June 17, 2008 Filing 71 MOTION for Mark R. Rosen to Appear Pro Hac Vice. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System.(dle)
June 6, 2008 Filing 70 DECLARATION of S. Douglas Bunch in Support re: 42 MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s).. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Grant, Lynda)
June 6, 2008 Filing 69 REPLY MEMORANDUM OF LAW in Support re: 42 MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s).. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Grant, Lynda)
June 6, 2008 Filing 68 REPLY MEMORANDUM OF LAW in Support re: 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s)., 26 MOTION to Appoint Counsel.. Document filed by Michael Rubin. (Weiss, Joseph)
June 2, 2008 Filing 67 NOTICE OF CONFERENCE: Status Conference set for 6/20/2008 at 03:00 PM in Courtroom 20B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (Signed by Judge Victor Marrero on 6/2/08) (js)
May 29, 2008 Opinion or Order Filing 66 MEMO ENDORSEMENT on Notice of Withdrawal of: 20 MOTION to Appoint Detroit General Retirement System to serve as lead plaintiff(s)., MOTION to Approve Lead Plaintiff's Selection of Lead Counsel. ENDORSEMENT: SO ORDERED. (Signed by Judge Victor Marrero on 5/29/2008) (jfe)
May 29, 2008 Filing 65 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - NOTICE of Withdrawal of Motion for Lead Plaintiff re: (9 in 1:08-cv-02895-VM, 31 in 1:08-cv-02233-VM, 16 in 1:08-cv-02802-VM, 8 in 1:08-cv-02867-VM, 9 in 1:08-cv-03359-VM) Declaration in Support of Motion,, (4 in 1:08-cv-02867-VM, 12 in 1:08-cv-02802-VM, 5 in 1:08-cv-02895-VM, 22 in 1:08-cv-02233-VM, 5 in 1:08-cv-03359-VM) MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s). MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s)., (24 in 1:08-cv-02233-VM, 5 in 1:08-cv-02867-VM, 6 in 1:08-cv-02895-VM, 6 in 1:08-cv-03359-VM, 13 in 1:08-cv-02802-VM) Memorandum of Law in Support of Motion, (7 in 1:08-cv-02867-VM, 7 in 1:08-cv-02867-VM, 7 in 1:08-cv-02867-VM, 7 in 1:08-cv-02867-VM, 7 in 1:08-cv-02867-VM, 15 in 1:08-cv-02802-VM, 15 in 1:08-cv-02802-VM, 15 in 1:08-cv-02802-VM, 15 in 1:08-cv-02802-VM, 15 in 1:08-cv-02802-VM, 30 in 1:08-cv-02233-VM, 30 in 1:08-cv-02233-VM, 30 in 1:08-cv-02233-VM, 30 in 1:08-cv-02233-VM, 30 in 1:08-cv-02233-VM, 8 in 1:08-cv-02895-VM, 8 in 1:08-cv-02895-VM, 8 in 1:08-cv-02895-VM, 8 in 1:08-cv-02895-VM, 8 in 1:08-cv-02895-VM, 8 in 1:08-cv-03359-VM, 8 in 1:08-cv-03359-VM, 8 in 1:08-cv-03359-VM, 8 in 1:08-cv-03359-VM, 8 in 1:08-cv-03359-VM) Certificate of Service Other,,,,,,,,,. Document filed by Jose Betancourt. Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Smith, Evan) Modified on 5/29/2008 (db).
May 29, 2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Evan J Smith to E-MAIL Document No. 65 NOTICE of Withdrawal of Application for Appointment of Lead Plaintiff and Approval of Selection of Lead Counsel to orders_and_judgments@nysd.uscourts.gov. This document is not filed via ECF. (db)
May 29, 2008 CASHIERS OFFICE REMARK on 60 Order on Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 5/22/08, Receipt Number 652164. (Quintero, Marcos)
May 27, 2008 Filing 64 DECLARATION of Joseph H. Weiss in Support re: 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s)., 26 MOTION to Appoint Counsel.. Document filed by Michael Rubin. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G-1, # 8 Exhibit G-2, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J, # 12 Exhibit K, # 13 Exhibit L, # 14 Exhibit M, # 15 Exhibit N, # 16 Exhibit O)(Weiss, Joseph)
May 27, 2008 Filing 63 MEMORANDUM OF LAW in Support re: 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s)., 26 MOTION to Appoint Counsel.. Document filed by Michael Rubin. (Weiss, Joseph)
May 27, 2008 Filing 62 CERTIFICATE OF SERVICE of Memorandum of Law In Opposition to Motion for Appointment as Lead on May 27, 2008. Service was made by MAIL. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
May 27, 2008 Filing 61 MEMORANDUM OF LAW in Opposition re: 35 MOTION to Appoint Massachusetts Laborers' Pension Fund to serve as lead plaintiff(s)., 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s)., 26 MOTION to Appoint Counsel., 20 MOTION to Appoint Detroit General Retirement System to serve as lead plaintiff(s). MOTION to Approve Lead Plaintiff's Selection of Lead Counsel., 39 MOTION to Appoint Building Trades United Pension Trust Fund to serve as lead plaintiff(s) and Approval of Lead Plaintiff's Selection of Lead Counsel., 22 MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s) and to approve Lead and Liaison Counsel. MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s) and to approve Lead and Liaison Counsel.. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Ban, William)
May 23, 2008 Opinion or Order Filing 60 ORDER granting 59 Motion for Carol V. Gilden to Appear Pro Hac Vice for plaintiff. (Signed by Judge Victor Marrero on 5/23/08) (db)
May 23, 2008 Transmission to Attorney Admissions Clerk. Transmitted re: 60 Order on Motion to Appear Pro Hac Vice to the Attorney Admissions Clerk for updating of Attorney Information. (db)
May 22, 2008 Filing 59 MOTION for Carol V. Gilden to Appear Pro Hac Vice. Document filed by Michael Rubin.(dle)
May 21, 2008 ***DELETED DOCUMENT. Deleted document number 58 Notice of Voluntary Dismissal. The document was incorrectly filed in this case. (tve)
May 21, 2008 Filing 57 NOTICE of The Sheet Metal Workers Pension Plan of Northern California Withdrawing Motion for Appointment as Lead Plaintiff re: 46 MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel. MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel.. Document filed by The Sheet Metal Workers Pension Plan of Northern California. (Finkel, Robert)
May 19, 2008 Filing 56 ENDORSED LETTER addressed to Judge Victor Marrero from Joseph Weiss dated 5/16/08 re: Request that with respect to movants motions for lead plaintiff status, opposition papers shall be filed on or before 5/27/08 and that reply papers shall be filed on or before 6/6/08. ENDORSEMENT: Request granted. The briefing schedule with reagrd to the motion to appoint lead plaintiff herein is extended so that the response is due 5/27/08 and reply 6/6/08., Set Deadlines/Hearing as to 39 MOTION to Appoint Building Trades United Pension Trust Fund to serve as lead plaintiff(s) and Approval of Lead Plaintiff's Selection of Lead Counsel., 35 MOTION to Appoint Massachusetts Laborers' Pension Fund to serve as lead plaintiff(s)., 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s)., 20 MOTION to Appoint Detroit General Retirement System to serve as lead plaintiff(s). MOTION to Approve Lead Plaintiff's Selection of Lead Counsel., 46 MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel. MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel., 42 MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s)., 22 MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s) and to approve Lead and Liaison Counsel. MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s) and to approve Lead and Liaison Counsel. ( Responses due by 5/27/2008. Replies due by 6/6/2008.) (Signed by Judge Victor Marrero on 5/16/08) (cd)
May 19, 2008 Filing 55 ENDORSED LETTER addressed to Judge Victor Marrero from Joseph H. Weiss dated 5/16/2008 re: In accordance with Your Honor's direction, in a conference call today, counsel for competing movants for lead plaintiff in the captioned litigation agreed, subject to the Court's approval, that opposition papers shall be filed on or before May 27, 2008 and that the reply papers shall be filed on or before June 6, 2008. ENDORSEMENT: Request GRANTED. The briefing schedule with regard to the motion to appoint lead plaintiff herein is extended as set forth herein: response 5/27/2008: reply 6/6/2008. (Signed by Judge Victor Marrero on 5/16/2008) (jfe)
May 14, 2008 Filing 54 MEMO ENDORSED withdrawing 32 Motion to Appoint of Ira Zeidman and Roslyn Fabian for Appointment as Lead Plaintiff, so ordered. (Signed by Judge Victor Marrero on 5/14/08) (cd)
May 12, 2008 Filing 53 NOTICE OF APPEARANCE by William J. Ban on behalf of Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System (Ban, William)
May 12, 2008 Filing 52 NOTICE OF APPEARANCE by Regina Marie Calcaterra on behalf of Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System (Calcaterra, Regina)
May 12, 2008 Filing 51 NOTICE OF APPEARANCE by A. Arnold Gershon on behalf of Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System (Gershon, A.)
May 12, 2008 Filing 50 ENDORSED LETTER addressed to Judge Victor Marrero from Abigail Romeo dated 5/9/08 re: Request by plaintiffs' to move for appointment as lead plaintiff. ENDORSEMENT: Request GRANTED. The prospective plaintiffs referred to above may proceed to move for appointment as lead plaintiff herein without the necessity of a pre-motion conference. (Signed by Judge Victor Marrero on 5/9/08) (cd)
May 12, 2008 Filing 49 AMENDED MEMORANDUM OF LAW in Support re: 42 MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). (With corrected page numbers). (Kui, Gloria)
May 12, 2008 Filing 48 DECLARATION of Robert C. Finkel in Support re: 46 MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel. MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel.. Document filed by The Sheet Metal Workers Pension Plan of Northern California. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3, # 4 Exhibit Exhibit4, # 5 Exhibit Exhibit 5)(Finkel, Robert)
May 12, 2008 Filing 47 MEMORANDUM OF LAW in Support re: 46 MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel. MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel.. Document filed by The Sheet Metal Workers Pension Plan of Northern California. (Finkel, Robert)
May 12, 2008 Filing 46 MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s) and to Approve Lead Plaintiff's Selection of Lead Counsel. Document filed by The Sheet Metal Workers Pension Plan of Northern California.(Finkel, Robert)
May 12, 2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Robert Finkel to RE-FILE Document 19 MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s). MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s). MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s). ERROR(S): Supporting documents must be filed individually. Event codes for Memorandum of Law in Support and Declaration in Support found under Replies, Oppositions, Supporting Documents. (jar)
May 9, 2008 Filing 45 CERTIFICATE OF SERVICE of Motion for Appointment for Lead Plaintiff and Counsel on 5/9/2008. Service was made by MAIL. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Kui, Gloria)
May 9, 2008 Filing 44 DECLARATION of Mark R. Rosen in Support re: 42 MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s).. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, Henri J. Steenkamp. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G Part 1 of 3, # 8 Exhibit G Part 2 of 3, # 9 Exhibit G Part 3 of 3)(Kui, Gloria)
May 9, 2008 Filing 43 MEMORANDUM OF LAW in Support re: 42 MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s).. Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System. (Kui, Gloria)
May 9, 2008 Filing 42 MOTION to Appoint THE MF GLOBAL INSTITUTIONAL INVESTOR GROUP to serve as lead plaintiff(s). Document filed by Iowa Public Employees' Retirement System, Policement's Annuity & Benefit Fund of Chicago, Central States, Southeast, Southwest Areas Pension Fund, State-Boston Retirement System.(Kui, Gloria)
May 9, 2008 Filing 41 AFFIDAVIT of David A. Rosenfeld in Support re: 39 MOTION to Appoint Building Trades United Pension Trust Fund to serve as lead plaintiff(s) and Approval of Lead Plaintiff's Selection of Lead Counsel.. Document filed by Building Trades United Pension Trust Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Rosenfeld, David)
May 9, 2008 Filing 40 MEMORANDUM OF LAW in Support re: 39 MOTION to Appoint Building Trades United Pension Trust Fund to serve as lead plaintiff(s) and Approval of Lead Plaintiff's Selection of Lead Counsel.. Document filed by Building Trades United Pension Trust Fund. (Rosenfeld, David)
May 9, 2008 Filing 39 MOTION to Appoint Building Trades United Pension Trust Fund to serve as lead plaintiff(s) and Approval of Lead Plaintiff's Selection of Lead Counsel. Document filed by Building Trades United Pension Trust Fund.(Rosenfeld, David)
May 9, 2008 Filing 38 CERTIFICATE OF SERVICE. Document filed by Massachusetts Laborers' Pension Fund. (Silk, Gerald)
May 9, 2008 Filing 37 DECLARATION of Jeffrey C. Block in Support re: 35 MOTION to Appoint Massachusetts Laborers' Pension Fund to serve as lead plaintiff(s).. Document filed by Massachusetts Laborers' Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Silk, Gerald)
May 9, 2008 Filing 36 MEMORANDUM OF LAW in Support re: 35 MOTION to Appoint Massachusetts Laborers' Pension Fund to serve as lead plaintiff(s).. Document filed by Massachusetts Laborers' Pension Fund. (Silk, Gerald)
May 9, 2008 Filing 35 MOTION to Appoint Massachusetts Laborers' Pension Fund to serve as lead plaintiff(s). Document filed by Massachusetts Laborers' Pension Fund.(Silk, Gerald)
May 9, 2008 Filing 34 DECLARATION of Kim E. Miller in Support re: 32 MOTION to Appoint Ira Zeidman & Roslyn Fabian to serve as lead plaintiff(s) appoint Lead Counsel and consolidate any future related cases. MOTION to Appoint Ira Zeidman & Roslyn Fabian to serve as lead plaintiff(s) appoint Lead Counsel and consolidate any future related cases.. Document filed by Ira Zeidman & Roslyn Fabian. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Miller, Kim)
May 9, 2008 Filing 33 MEMORANDUM OF LAW in Support re: 32 MOTION to Appoint Ira Zeidman & Roslyn Fabian to serve as lead plaintiff(s) appoint Lead Counsel and consolidate any future related cases. MOTION to Appoint Ira Zeidman & Roslyn Fabian to serve as lead plaintiff(s) appoint Lead Counsel and consolidate any future related cases.. Document filed by Ira Zeidman & Roslyn Fabian. (Miller, Kim)
May 9, 2008 Filing 32 MOTION to Appoint Ira Zeidman & Roslyn Fabian to serve as lead plaintiff(s) appoint Lead Counsel and consolidate any future related cases. Document filed by Ira Zeidman & Roslyn Fabian. (Attachments: # 1 Text of Proposed Order)(Miller, Kim)
May 9, 2008 Filing 31 DECLARATION of Evan J. Smith, Esquire in Support re: (4 in 1:08-cv-02867-VM, 12 in 1:08-cv-02802-VM, 5 in 1:08-cv-02895-VM, 22 in 1:08-cv-02233-VM, 5 in 1:08-cv-03359-VM) MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s). MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s).. Document filed by Jose Betancourt. (Attachments: # 1 Exhibits A-D, # 2 Exhibit E, # 3 Exhibit F)Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Smith, Evan)
May 9, 2008 Filing 30 CERTIFICATE OF SERVICE of Motion to Appoint Lead Plaintiff and Lead and Liaison Counsel and All Supporting Documents served on All Counsel of Record on May 9, 2008. Service was made by ECF and MAIL. Document filed by Jose Betancourt. Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Smith, Evan)
May 9, 2008 Filing 29 DECLARATION of Joseph H. Weiss in Support re: 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s)., 26 MOTION to Appoint Counsel.. Document filed by Michael Rubin. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Weiss, Joseph)
May 9, 2008 Filing 28 MEMORANDUM OF LAW in Support re: 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s)., 26 MOTION to Appoint Counsel.. Document filed by Michael Rubin. (Weiss, Joseph)
May 9, 2008 Filing 27 FILING ERROR - DUPLICATE DOCKET ENTRY - DECLARATION of Evan J. Smith, Esquire in Support (See document no. 31)re: (4 in 1:08-cv-02867-VM, 12 in 1:08-cv-02802-VM, 5 in 1:08-cv-02895-VM, 22 in 1:08-cv-02233-VM, 5 in 1:08-cv-03359-VM) MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s). MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s).. Document filed by Amy S. Butte. (Attachments: # 1 Exhibits A-D, # 2 Exhibit E, # 3 Exhibit F)Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Smith, Evan) Modified on 5/12/2008 (jar).
May 9, 2008 Filing 26 MOTION to Appoint Counsel. Document filed by Michael Rubin.(Weiss, Joseph)
May 9, 2008 Filing 25 MOTION to Appoint South Shore Investment Group, CRL Management LLC, Kal Koplin, Michael Rubin to serve as lead plaintiff(s). Document filed by Michael Rubin.(Weiss, Joseph)
May 9, 2008 Filing 24 MEMORANDUM OF LAW in Support re: (4 in 1:08-cv-02867-VM, 12 in 1:08-cv-02802-VM, 5 in 1:08-cv-02895-VM, 22 in 1:08-cv-02233-VM, 5 in 1:08-cv-03359-VM) MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s). MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s). and Approve Lead and Liaison Counsel. Document filed by Jose Betancourt. Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Smith, Evan)
May 9, 2008 Filing 23 AFFIDAVIT of Ira M. Press in Support re: 20 MOTION to Appoint Detroit General Retirement System to serve as lead plaintiff(s). MOTION to Approve Lead Plaintiff's Selection of Lead Counsel.. Document filed by Detroit General Retirement System. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Press, Ira)
May 9, 2008 Filing 22 MOTION to Appoint Jose Betancourt to serve as lead plaintiff(s) and to approve Lead and Liaison Counsel. Document filed by Jose Betancourt. (Attachments: # 1 Proposed Order)Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02867-VM, 1:08-cv-02895-VM, 1:08-cv-03359-VM(Smith, Evan)
May 9, 2008 Filing 21 MEMORANDUM OF LAW in Support re: 20 MOTION to Appoint Detroit General Retirement System to serve as lead plaintiff(s). MOTION to Approve Lead Plaintiff's Selection of Lead Counsel.. Document filed by Detroit General Retirement System. (Press, Ira)
May 9, 2008 Filing 20 MOTION to Appoint Detroit General Retirement System to serve as lead plaintiff(s)., MOTION to Approve Lead Plaintiff's Selection of Lead Counsel. Document filed by Detroit General Retirement System.(Press, Ira)
May 9, 2008 Filing 19 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Appoint The Sheet Metal Workers Pension Plan of Northern California to serve as lead plaintiff(s). Document filed by The Sheet Metal Workers Pension Plan of Northern California. Return Date set for 6/4/2008 at 10:00 AM. (Attachments: # 1 Exhibit Memorandum of Law in Support of Motion of the Sheet Metal Workers Pension Plan of Northern California for Appointment as Lead Plaintiff and for Approval of its Selection of Lead Counsel, # 2 Exhibit Declaration of Robert C. Finkel in Support of Motion of the Sheet Metal Workers Pension Plan of Northern California)(Finkel, Robert) Modified on 5/12/2008 (jar).
May 7, 2008 Filing 18 ENDORSED LETTER addressed to Judge Victor Marrero from Ramzi Abadou dated 5/7/08 re: certain investors requests leave from complying with this practice so that we may file our motion on 5/9/08. ENDORSEMENT: Request Granted. The prospective plaintiffs referred to within may proceed to... for appointment as lead plaintiffs herein by 5/9/08 without the necessity of a conference. (Signed by Judge Victor Marrero on 5/7/08) (pl)
May 7, 2008 Set/Reset Scheduling Order Deadlines: Motions due by 5/9/2008. (pl)
May 5, 2008 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Status Conference held on 5/5/2008. The Court clarified the deadline for moving lead plaintiff and lead counsel status for May 9, 2008. No formal pre-motion conference will be necessary. After May 9, 2008, the parties moving for lead plaintiff status are to agree upon a brief schedule and submit it to the court for its approval. (jmi)
April 15, 2008 Opinion or Order Filing 17 ORDER: It is hereby ordered that the Clerk of the Court is directed to consolidate the two cases captioned herein for all purposes. All filings in connection with the consolidated action be docketed against the remaining lower number, 08-cv-2233. The Clerk of the Court shall close the referenced higher numbered numbered case, 08cv3359, as a separate action and remove it from the Court's docket. (Signed by Judge Victor Marrero on 4/15/2008) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-03359-UA(jpo)
April 9, 2008 Opinion or Order Filing 16 ORDER: that the Clerk of Court is directed to consolidate the two cases captioned above for all purposes. All filings in connection with the consolidated action be docketed against the remaining lower number case, 08 Civ. 2233. The Clerk of Court close the referenced higher numbered case, 08 Civ., as a separate action and remove it from the Court's docket. (Signed by Judge Victor Marrero on 4/9/08) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02867-UA(tro)
April 8, 2008 Filing 14 NOTICE OF APPEARANCE by Brendan M. Schulman on behalf of Amy S. Butte (Schulman, Brendan)
April 8, 2008 Filing 13 NOTICE OF APPEARANCE by Marshall Howard Fishman on behalf of Amy S. Butte (Fishman, Marshall)
April 7, 2008 Filing 12 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. no Corporate Parent. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp.Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(Anders, David)
April 7, 2008 Filing 11 CERTIFICATE OF SERVICE. Document filed by Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(Shin, Won)
April 7, 2008 Filing 10 NOTICE OF APPEARANCE by Won S. Shin on behalf of Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(Shin, Won)
April 7, 2008 Filing 9 NOTICE OF APPEARANCE by Elaine Patricia Golin on behalf of Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(Golin, Elaine)
April 7, 2008 Filing 8 NOTICE OF APPEARANCE by David B. Anders on behalf of Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(Anders, David)
April 7, 2008 Filing 7 NOTICE OF APPEARANCE by Bernard W. Nussbaum on behalf of Edward L. Goldberg, MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(Nussbaum, Bernard)
April 7, 2008 Opinion or Order Filing 5 ORDER that the Clerk of Court is directed to consolidate the two cases (08-2233 and 08-2895) for all purposes; all filings in connection with the consolidated action be docketed against the remaining lower number case, 08-2233; and that the Clerk of the Court close the referenced higher numbered case, 08-2895, as a separate action and remove it from the Court's docket. (Signed by Judge Victor Marrero on 4/7/08) (cd)
April 2, 2008 Filing 15 ENDORSED LETTER addressed to Judge Victor Marrero from Joseph H. Weiss dated 3/31/08 re: This letter is to advise the Court that because of an objection and request to be heard raise by defendant in that case, Judge Lynch has temporarily stayed his Order so that the parties can be heard. ENDORSEMENT: Request DENIED. Even if defendants do not object, there are plaintiffs in related cases filed in this District, of which the Court is aware of at least three others, who would have an interest in the proposed Order. This request is premature until all potential cases arising from the same events are filed. For these reasons Judge Lynch's Order is under reconsideration. (Signed by Judge Victor Marrero on 4/2/08) (tro)
April 2, 2008 Filing 6 ENDORSED LETTER addressed to Judge Victor Marrero from Joseph Weiss dated 3/31/08 re: Request for an order concerning notice to investors made reference to a similar order granted by Judge Lynch. ENDORSEMENT: Request DENIED. Even if defendants do not object, there are plaintiffs in related cases filed in this District, of which the Court is aware of at least three other, who would have an interest in the proposed Order. This request is premature until all potential cases arising from the same events are filed. For these reasons Judge Lynch's Order is under reconsideration. (Signed by Judge Victor Marrero on 4/2/08) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM, 1:08-cv-02895-VM(cd)
April 2, 2008 Opinion or Order Filing 4 STIPULATION AND ORDER ADJOURNING THE TIME FOR THE MF GLOBAL DEFENDANTS TO ANSWER, MOVE TO DISMISS OR OTHERWISE RESPOND TO THE COMPLAINT: It is hereby stipulated and agreed by and between the undersigned counsel that Plaintiff shall have 60 days after the entry of an order appointing lead plaintiff and approving lead counsel pursuant to 15 U.S.C. 77z-1(a)(3) to file an amended and/or consolidated complaint and that time defendants MF Global, Ltd., Kevin Davis, Amy S. Buttle, Christopher J. Smith, Alison J. Carnwath, Christopher Bates, Edward L. Goldberg, and Henri J. Steenkamp to answer, move to dismiss or otherwise respond to the Complaint shall be extended 60 days after the filing of such amended Complaint. Plaintiff will have 60 days after the MF Global Defendants will have 45 days thereafter to file any reply. So Ordered (Signed by Judge Victor Marrero on 4/2/08) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(js)
March 31, 2008 Opinion or Order Filing 3 ORDER: The Clerk of the Court is directed to consolidate 08cv2233(VM) as LEAD case with 08cv2802(VM) as MEMBER case for all purposes. That all filings in connection with the consolidated action be docketed in the lower numbered case (LEAD case 08cv2233). That the Clerk of Court close the higher case number (Member case 08cv2802), as a seperate action and remove it from the Court's docket. (Signed by Judge Victor Marrero on 3/31/08) Filed In Associated Cases: 1:08-cv-02233-VM, 1:08-cv-02802-VM(db)
March 26, 2008 Opinion or Order Filing 2 STIPULATION AND ORDER ADJOURNING THE TIME FOR THE MF GLOBAL DEFENDANTS TO ANSWER, MOVE TO DISMISS OR OTHERWISE RESPOND TO THE COMPLAINT: MF Global, Ltd., Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Cates, Henri J. Steenkamp, and Edward L. Goldberg (the MF Global defendants) to answer, move to dismiss or otherwise respond to the Complaint shall be extended to 60 days after the filing of such amended complaint. Plaintiff will have 60 days after the MF Global defendants file any motion to dismiss to file any response, and the MF Global defendants will have 45 days thereafter to file any reply. (Signed by Judge Victor Marrero on 3/26/08) (tro)
March 6, 2008 Filing 1 COMPLAINT against Edward L. Goldberg, MF Global, Ltd., Man Group PLC, Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. (Filing Fee $ 350.00, Receipt Number 643965)Document filed by Michael Rubin.(jeh)
March 6, 2008 SUMMONS ISSUED as to Edward L. Goldberg, MF Global, Ltd., Man Group PLC, Kevin R. Davis, Amy S. Butte, Alison J. Carnwath, Christopher J. Smith, Christopher Bates, Henri J. Steenkamp. (jeh)
March 6, 2008 Case Designated ECF. (jeh)
March 6, 2008 Magistrate Judge Ronald L. Ellis is so designated. (jeh)

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Search for this case: Rubin v. MF Global, Ltd. et al
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Plaintiff: Michael Rubin
Represented By: Joseph Harry Weiss
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Defendant: MF Global, Ltd.
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Defendant: Man Group PLC
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Defendant: Kevin R. Davis
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Defendant: Amy S. Butte
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Defendant: Alison J. Carnwath
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Defendant: Christopher J. Smith
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Defendant: Christopher Bates
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Defendant: Henri J. Steenkamp
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Defendant: Edward L. Goldberg
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