Roberts et al v. UBS AG et al
UBS clients sue the bank, alleging that they never "had any intention of evading" their U.S. federal tax obligations, but that UBS and other defendants failed to send them proper instructions and documents for tax filing purposes, "wrongfully took control" of their accounts, "arbitrarily fr[oze] assets," "siphoned money from Plaintiffs as 'compensation' for providing false information" that they weren't being investigated by the U.S. Department of Justice, and that the banks and individual defendants violated Swiss law.
| Nadia Roberts, Sean Roberts, Bernhard Gubser, Heidi Gubser, Anton Ginzburg, Arthur Joel Eisenberg, Jeffrey Chernick and SIMBA |
| UBS AG, Michel Guignard, Martin Liechti, Raoul Weil, Christian Bovay, Gilbert Benz, Roger Hartmann, Phillip Bigger, Juergen Hirsch, Kenny Pang, Hans Thomann, Marcel Beeler, Gerard Hofmann, Charles Falk, Claude Ullman, Bjorn Mulli, Gian Gisler, Daniel Perron, Beda Singenberger, Sinco Truland AG, Hansruedi Schumacher, Matthias Rickenbach, Rickenbach & Partner, Gilbert Zellweger, The Bank of N.T. Butterfield & Son Limited, Wegelin & Co., Delta Investment Partner AG, NZB Neue Zurcher Bank and Zurcher Kantonalbank |
| 1:2012cv00724 |
| May 3, 2012 |
| U.S. District Court for the Eastern District of California |
| Fresno Office |
| Kern |
| Lawrence J. O'Neill |
| Sheila K. Oberto |
| Racketeer Influenced and Corrupt Organizations |
| 18 U.S.C. § 1962 |
| Plaintiff |
Docket Report
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Filing 63
ORDER REASSIGNING CASE, signed by District Judge Lawrence J. O'Neill on 12/4/2013. New Case Number: 1:12-cv-00724-SKO. (Fahrney, E)
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Filing 62
SCHEDULING ORDER (Fed. R. Civ. P 16) signed by Magistrate Judge Sheila K. Oberto on 12/4/2013. (Initial Disclosures: January 10, 2014, Non Expert Discovery: July 18, 2014, Expert Disclosure: August 22, 2014, Suppl. Expert Disclosures: September 5, 2014, Expert Discovery: October 17, 2014, Mid Discovery Status Report to be filed by April 21, 2014, Mid Discovery Status Conference set for May 6, 2014, at 09:30 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto, Non-Dispositive motions to be filed by November 17, 2014 and heard by December 17, 2014, Dispositive motions to be filed by November 17, 2014 and heard by January 7, 2015, Settlement Conference set for September 16, 2014, at 10:30 AM in Courtroom 9 (SAB) before Magistrate Judge Stanley A. Boone, Pretrial Conference set for February 11, 2015, at 02:00 PM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto, and Jury Trial (5 Days) set for March 17, 2015, at 08:30 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto.) (Gaumnitz, R)
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| Filing 61 CONSENT to JURISDICTION of US MAGISTRATE JUDGE by Nadia Roberts. (King, William) |
| Filing 60 CONSENT to JURISDICTION of US MAGISTRATE JUDGE by UBS AG. (Kitchens, Dean) |
| Filing 59 MINUTES (Text Only) for proceedings held before Magistrate Judge Sheila K. Oberto: TELEPHONIC SCHEDULING CONFERENCE held on 11/26/2013, in chambers and off the record. The Court to issue written order. Plaintiffs' Counsel William King, telephonically present. Defendant's Counsel Dean Kitchens, telephonically present. Court Reporter/CD Number: In Chambers. (Timken, A) |
| Filing 58 JOINT SCHEDULING REPORT by Nadia Roberts. (King, William) |
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Filing 57
MINUTE ORDER: ***TEXT ENTRY ONLY*** On November 19, 2013, the parties filed a joint scheduling report. (Doc. 56.) However, the joint scheduling report proposes two schedules, one comprised of Plaintiffs' preferences and one of Defendants' preferences. The parties are ordered to meet and confer to formulate one joint schedule. A revised joint scheduling report shall be filed no later than 12:00 noon on November 21, 2013. Minute order signed by Magistrate Judge Sheila K. Oberto on 11/20/2013. (Timken, A)
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| Filing 56 JOINT SCHEDULING REPORT by UBS AG. (Kitchens, Dean) |
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Filing 55
MINUTE ORDER: ***TEXT ENTRY ONLY*** (TIME CHANGE ONLY) The Scheduling Conference set for 11/26/2013, at 9:45 WILL BE HEARD AT 10:45 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto. Minute order signed by Magistrate Judge Sheila K. Oberto on 10/31/2013. (Timken, A)
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Filing 54
ORDER signed by District Judge Lawrence J. O'Neill on 10/25/2013 dismissing wihout prejudice Defendants, Hansruedi Schumacher and Matthias Rickenbacher for failure to file proofs of service. (Lundstrom, T)
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Filing 53
ORDER REQUIRING Plaintiffs to file proofs of service or notices of dismissal for defendants Schumacher and Rickenbacher. ORDER SETTING Scheduling Conference for 11/26/2013. Within ten (10) days of the date of this order, Plaintiffs shall file Proofs of Service or Notices of Dismissal for Defendants Schumacher and Rickenbach. A Scheduling Conference is set for 11/26/2013, at 09:45 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto. Order signed by Magistrate Judge Sheila K. Oberto on 10/2/2013. (Timken, A)
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Filing 52
ORDER to DISMISS Certain Defendants, signed by District Judge Lawrence J. O'Neill on 8/5/13: This Court DISMISSES without prejudice from this action, Defendants Michel Gunignard, Martin Liechti, Raoul Weil, Christian Bovay, Beda Singenberger, Sinco Truland AG, Rickenbach & Partner, Gilbert Zellweger, The Bank of N.T. Butterfield & Son Limited, Wegelin & Co., Delta Investment Partner AG, NZB Neue Zurcher Bank, and Zurcher Kantonalbank; The Clerk is DIRECTED not to close this action.(Hellings, J)
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| Filing 51 REQUEST for Dismissals by Nadia Roberts. (King, William) |
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Filing 50
ORDER Discharging 48 Order to Show Cause, ORDER Requiring Plaintiffs to File Notices of Dismissal For Non-Viable Defendants, & ORDER Requiring Plaintiffs to File Proofs of Service or Notices of Dismissal For Defendants Schumacher and Rickenbacher, signed by Magistrate Judge Sheila K. Oberto on 7/3/2013. (IT IS HEREBY ORDERED that: 1. The Court's May 28, 2013, Order to Show Cause is DISCHARGED; and 2. Within thirty (30) days of the date of this order, Plaintiffs shall: a. File Notices of Dismissal of the non-viable Defendants; and b. File Proofs of Service or Notices of Dismissal for Defendants Schumacher and Rickenbach.)(Gaumnitz, R)
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| Filing 49 MEMORANDUM by Nadia Roberts. (Attachments: # 1 Declaration Declaration of William J King in Support of Memorandum of Points and Authorities re OSC Re Dismissal)(King, William) |
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Filing 48
ORDER to SHOW CAUSE why Plaintiffs' case should not be recommended for dismissal for failure to prepare a joint scheduling report and failure to pursue service of defendants. The Scheduling Conference set for May 30, 2013, is VACATED; and by no later than June 4, 2013, Plaintiffs shall SHOW CAUSE as to why their case should not be recommended for dismissal for: failure to meet and confer with UBS and prepare a Joint Scheduling Report; and failure to pursue service of all named Defendants. Plaintiffs shall provide a status of service regarding all named Defendants. Order signed by Magistrate Judge Sheila K. Oberto on 5/28/2013. (Timken, A)
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| Filing 47 SCHEDULING REPORT by UBS AG. (Kitchens, Dean) |
| Filing 46 ANSWER to 33 Amended Complaint by UBS AG.(Kitchens, Dean) |
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Filing 45
ORDER ON DEFENDANT UBS AG'S F.R.Civ.P. 12 MOTION TO DISMISS 38 signed by District Judge Lawrence J. O'Neill on April 11, 2013. Motion Hearing currently set for 4/17/2013 is VACATED. (Munoz, I)
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| Filing 44 REPLY by UBS AG re 38 MOTION to DISMISS. (Kitchens, Dean) |
| Filing 43 OPPOSITION by Nadia Roberts to 38 MOTION to DISMISS. (Attachments: # 1 Declaration Dec of William King in Support of Plaintiffs Opposition to UBS's Motion to Dismiss SAC)(King, William) |
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Filing 42
MINUTE ORDER: ***TEXT ENTRY ONLY*** Defendant UBS having filed a Motion to Dismiss 38 , the Scheduling Conference currently set for 3/19/2013, is CONTINUED to 5/30/2013, at 09:15 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto. The parties' joint scheduling report shall be filed by no later than 5/23/2013. Minute order signed by Magistrate Judge Sheila K. Oberto on 3/15/2013. (Timken, A)
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| Filing 41 SUPPLEMENT by Nadia Roberts re 37 Scheduling Report. (King, William) |
| Filing 40 REQUEST for JUDICIAL NOTICE by UBS AG in re 38 Motion to Dismiss. (Attachments: # 1 Exhibit A through X, # 2 Exhibit Y through DD)(Kitchens, Dean) |
| Filing 39 DECLARATION of Dean J. Kitchens in SUPPORT OF 38 MOTION to DISMISS. (Kitchens, Dean) |
| Filing 38 MOTION to DISMISS by UBS AG. Motion Hearing set for 4/17/2013 at 08:30 AM in Courtroom 4 (LJO) before District Judge Lawrence J. O'Neill. (Kitchens, Dean) |
| Filing 37 JOINT SCHEDULING REPORT by Nadia Roberts. (King, William) |
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Filing 36
MINUTE ORDER: ***TEXT ENTRY ONLY*** To supplement the parties' joint scheduling report, no later than March 14, 2013, Plaintiff shall file a statement regarding the status of service of process on each of the Defendants named in the Second Amended Complaint. Only one executed proof of service has been filed on the docket (Doc. 31). Minute order signed by Magistrate Judge Sheila K. Oberto on 3/12/2013. (Timken, A)
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Filing 35
ORDER re Dismissal With Prejudice of Plaintiff's 4th Claim for Relief, signed by District Judge Lawrence J. O'Neill on 3/4/2013. (Marrujo, C)
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| Filing 34 STIPULATION and PROPOSED ORDER for Dismissal of Plts' 4th Claim for Relief in Second Amended Complaint by Nadia Roberts. (Attachments: # 1 Proposed Order)(King, William) |
| Filing 33 SECOND AMENDED COMPLAINT against All Defendants by Nadia Roberts.(King, William) |
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Filing 32
ORDER ON DEFENDANT UBS AG'S F.R.Civ.P 12 MOTION TO DISMISS 26 signed by District Judge Lawrence J. O'Neill on January 30, 2013. (Munoz, I)
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| Filing 31 WAIVER of SERVICE RETURNED EXECUTED: Nadia Roberts Waiver sent on 12/13/2012, answer due 2/11/2013. (King, William) |
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Filing 30
ORDER TO VACATE HEARING signed by District Judge Lawrence J. O'Neill on January 29, 2013. (Munoz, I)
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Filing 29
MINUTE ORDER: ***TEXT ENTRY ONLY*** A Motion to Dismiss 26 having been filed by UBS AG, and currently pending before the Court, the Scheduling Conference currently set for 2/5/2013, is CONTINUED to 3/19/2013, at 9:30 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto. The Court notes that Plaintiffs have not filed proof of service of the complaint. On or before 2/1/2013, Plaintiffs shall file proof of service or a status report indicating whether Plaintiff intends to continue to prosecute this case as to defendants who no proof of service has been filed. Minute order signed by Magistrate Judge Sheila K. Oberto on 1/18/2013. (Timken, A)
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| Filing 28 DECLARATION of Dean J. Kitchens in SUPPORT OF 26 MOTION to DISMISS. (Attachments: # 1 Exhibit 1)(Kitchens, Dean) |
| Filing 27 REQUEST for JUDICIAL NOTICE by UBS AG in re 26 Motion to Dismiss. (Attachments: # 1 Exhibit A through X, # 2 Exhibit Y through DD)(Kitchens, Dean) |
| Filing 26 MOTION to DISMISS by UBS AG. Motion Hearing set for 2/11/2013 at 08:30 AM in Courtroom 4 (LJO) before District Judge Lawrence J. O'Neill. (Kitchens, Dean) |
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Filing 25
ORDER TO VACATE HEARING AND TO TERM MOTION 18 signed by District Judge Lawrence J. O'Neill on December 13, 2012. (Munoz, I)
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| Filing 24 FIRST AMENDED COMPLAINT against All Plaintiffs by Nadia Roberts.(King, William) |
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Filing 23
ORDER to SHOW CAUSE WHY ACTION SHOULD NOT BE DISMISSED, signed by District Judge Lawrence J. O'Neill on 12/11/2012. This Court ORDERS plaintiffs, no later than December 13, 2012, to file and serve papers to show good cause why this Court should not dismiss this action. This Court will discharge this order to show cause if plaintiffs, no later than December 13, 2012, file a first amended complaint. (Arellano, S.)
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Filing 22
MINUTE ORDER: ***TEXT ENTRY ONLY*** In light of the pending 18 Motion to Dismiss, the Scheduling Conference currently set for 11/29/2012, is CONTINUED to 2/5/2013 at 10:00 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto; signed by Magistrate Judge Sheila K. Oberto on 11/26/2012. The parties Joint Scheduling Conference Statement is required and must be electronically filed 7 days prior to the hearing, and shall also be emailed in WordPerfect or Word format to SKOorders@caed.uscourts.gov.(Gaumnitz, R)
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| Filing 21 SCHEDULING REPORT by UBS AG. (Kitchens, Dean) |
| Filing 20 STATEMENT of Corporate Disclosure by Defendant UBS AG re 18 MOTION to DISMISS. (Kitchens, Dean) |
| Filing 19 REQUEST for JUDICIAL NOTICE by UBS AG in re 18 Motion to Dismiss. (Attachments: # 1 Exhibit A through X, # 2 Exhibit Y through DD)(Kitchens, Dean) |
| Filing 18 MOTION to DISMISS by UBS AG. Motion Hearing set for 12/20/2012 at 08:30 AM in Courtroom 4 (LJO) before District Judge Lawrence J. O'Neill. (Kitchens, Dean) |
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Filing 17
MINUTE ORDER: ***TEXT ENTRY ONLY*** The parties having filed 16 , a Notice of Decision by Judicial Panel on Multidistrict Litigation, stating that the transfer has been DENIED, the Scheduling Conference set for 11/29/2012, will remain as set. The parties shall file their joint scheduling report by no later than 11/21/2012. The parties shall refer to the new case documents in document 10 for instructions regarding the completion of the joint scheduling statement. Minute Order signed by Magistrate Judge Sheila K. Oberto on 10/31/2012. (Timken, A)
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| Filing 16 NOTICE of Decision By Judicial Panel on Multidistrict Litigation by UBS AG. (Kitchens, Dean) |
| Filing 15 STIPULATION re Amended Complaint, Time to Respond, and Waiver of Service by UBS AG. Attorney Eber, Lauren Allyn added. (Eber, Lauren) |
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Filing 14
MINUTE ORDER: ***TEXT ENTRY ONLY*** In light of Defendant UBS AG's motion pending before the United States Judicial Panel on Multidistrict Litigation to transfer related cases for consolidation pursuant to 28 U.S.C. 1407, the Scheduling Conference currently set for 8/28/2012, is CONTINUED to 11/29/2012, at 09:30 AM in Courtroom 7 (SKO) before Magistrate Judge Sheila K. Oberto; signed by Magistrate Judge Sheila K. Oberto on 8/17/2012. (Timken, A)
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Filing 13
ORDER to Dismiss and Close, signed by District Judge Lawrence J. O'Neill on 6/8/2012. This Court DISMISSES Defendant Charles Falk Only. (Marrujo, C)
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| Filing 12 REQUEST for Dismissal of Defendant Charles Falk by Nadia Roberts. (Attachments: # 1 Proposed Order). (King, William) |
| Filing 11 NOTICE of Filing with Judicial Panel on Multidistrict Litigation by UBS AG. Attorney Kitchens, Dean J. added. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Kitchens, Dean) |
| Filing 2 COMPLAINT against All Plaintiffs by Nadia Roberts. Attorney King, William J. added.(King, William) |
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