Lockhart v. BAM Trading Services Inc. et al
| Jeffrey Lockhart |
| BAM Trading Services Inc. and Brian Shroder |
| Michiel Nuveen |
| 3:2022cv03461 |
| June 13, 2022 |
| US District Court for the Northern District of California |
| Jacqueline Scott Corley |
| Securities/Commodities |
| Plaintiff |
Docket Report
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| Filing 36 AMENDED COMPLAINT against BAM Trading Services Inc., Brian Shroder. Filed byMichiel Nuveen. (Normand, Edward) (Filed on 10/19/2022) |
Filing 35
ORDER by Judge Jacqueline Scott Corley granting as modified #28 Motion to Appoint Lead Plaintiff and Lead Counsel. (ahm, COURT STAFF) (Filed on 9/19/2022)
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| Filing 34 NOTICE of Change In Counsel by Tibor L. Nagy On Behalf Of Dontzin Nagy & Fleissig LLP (Nagy, Tibor) (Filed on 9/6/2022) |
| Filing 33 NOTICE OF WITHDRAWAL OF KYLE W. ROCHE AS COUNSEL by Jeffrey Lockhart, Michiel Nuveen (Roche, Kyle) (Filed on 9/1/2022) Modified on 9/1/2022 (jml, COURT STAFF). |
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Filing 32
ORDER by Judge Jacqueline Scott Corley granting #30 Stipulation to Continue Case Management Conference. Case Management Statement due by 11/23/2022. Initial Case Management Conference reset for 12/1/2022 at 1:30 p.m. by Zoom videoconference. Webinar Access: All counsel, members of the public, and media may access the webinar information at #https://www.cand.uscourts.gov/jsc Court Appearances: Advanced notice is required of counsel or parties who wish to be identified by the court as making an appearance or will be participating in the argument at the hearing. A list of names must be sent to the CRD at jsccrd@cand.uscourts.gov no later than 12:00 p.m. on 11/30/2022.General Order 58. Persons granted access to court proceedings held by telephone or videoconference are reminded that photographing, recording, and rebroadcasting of court proceedings, including screenshots or other visual copying of a hearing, is absolutely prohibited.Zoom Guidance and Setup: #https://www.cand.uscourts.gov/zoom/ (ahm, COURT STAFF) (Filed on 8/24/2022) Modified on 8/24/2022 (ahm, COURT STAFF).
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| #Electronic filing error. Incorrect event used. [err101] The correct event is Statement of Non-Opposition. The correct event can be found at: Civil Events > Motions and Related Filings > Other Supporting Documents > Statement of Non-Opposition. Corrected by Clerk's Office. No further action is necessary. Re: #31 Notice (Other), filed by Michiel Nuveen (jml, COURT STAFF) (Filed on 8/23/2022) |
| Filing 31 Statement of Non-Opposition TO MICHIEL NUVEEN'S MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF HIS SELECTION OF ROCHE FREEDMAN LLP AND DONTZIN NAGY & FLEISSIG LLP AS CO-LEAD COUNSEL by Michiel Nuveen re #28 MOTION to Appoint Lead Plaintiff and Lead Counsel (Roche, Kyle) (Filed on 8/23/2022) Modified on 8/24/2022 (jml, COURT STAFF). |
| Filing 30 STIPULATION WITH PROPOSED ORDER re #8 Initial Case Management Scheduling Order with ADR Deadlines, #7 Initial Case Management Scheduling Order with ADR Deadlines, filed by BAM Trading Services Inc., Brian Shroder and Jeffrey Lockhart. (Gleason, Michael) (Filed on 8/23/2022) Modified on 8/24/2022 (jml, COURT STAFF). |
| Filing 29 NOTICE of Appearance by Michael James Gleason for Defendant Brian Shroder (Gleason, Michael) (Filed on 8/23/2022) |
| Filing 28 MOTION to Appoint Lead Plaintiff and Lead Counsel filed by Michiel Nuveen. Motion Hearing set for 9/29/2022 09:00 AM in San Francisco, Courtroom 08, 19th Floor before Judge Jacqueline Scott Corley. Responses due by 8/30/2022. Replies due by 9/6/2022. (Attachments: #1 Proposed Order, #2 Declaration of Kyle W. Roche, #3 Exhibit A - Certification, #4 Exhibit B - Loss Chart, #5 Exhibit C - Declaration of M. Nuveen, #6 Exhibit D - Firm resume of Roche Freedman LLP, #7 Exhibit E - Firm resume of Dontzin Nagy & Fleissig LLP, #8 Certification - K. Roche, #9 Certification - E. Normand, #10 Certification - J. Delich, #11 Certification - A. Potter, #12 Certification - I. Ngo, #13 Certification - T. Nagy, #14 Certification - G. Wolfe, #15 Certification - W. LaGrange, #16 Certification - D. Martinez-Krippner)(Roche, Kyle) (Filed on 8/16/2022) |
| Filing 27 NOTICE OF PUBLICATION OF NOTICE OF PENDENCY OF ACTION by Jeffrey Lockhart (Attachments: #1 Exhibit A)(Roche, Kyle) (Filed on 8/8/2022) Modified on 8/8/2022 (jml, COURT STAFF). |
| Filing 26 CLERK'S NOTICE CONTINUING CASE MANAGEMENT CONFERENCE. Due to the Court's unavailability, the case management conference set for September 15, 2022 is continued to September 16, 2022 at 2:00 p.m. by Zoom videoconference. Joint case management conference is due by September 9, 2022. Webinar Access: All counsel, members of the public, and media may access the webinar information at #https://www.cand.usco urts.gov/jsc Court Appearances: Advanced notice is required of counsel or parties who wish to be identified by the court as making an appearance or will be participating in the argument at the hearing. A list of names must be sent to the CRD at jsccrd@cand.uscourts.gov no later than noon on September 15, 2022.General Order 58. Persons granted access to court proceedings held by telephone or videoconference are reminded that photographing, recording, and rebroadcasting of court proceedings, including screenshots or other visual copying of a hearing, is absolutely prohibited.Zoom Guidance and Setup: #https://www.cand.uscourt s.gov/zoom/. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ahm, COURT STAFF) (Filed on 7/28/2022) |
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Filing 25
ORDER by Judge Jacqueline Scott Corley granting #22 Motion for Pro Hac Vice as to Gregory Wolfe. (ahm, COURT STAFF) (Filed on 7/15/2022)
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Filing 24
ORDER by Judge Jacqueline Scott Corley granting #21 Motion for Pro Hac Vice as to Tibor Nagy. (ahm, COURT STAFF) (Filed on 7/15/2022)
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Filing 23
ORDER by Judge Jacqueline Scott Corley granting #20 Motion for Pro Hac Vice as to William LaGrange. (ahm, COURT STAFF) (Filed on 7/15/2022)
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| Filing 22 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17354989.) filed by Jeffrey Lockhart. (Attachments: #1 Exhibit)(Wolfe, Gregory) (Filed on 7/15/2022) |
| Filing 21 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17353564.) filed by Jeffrey Lockhart. (Attachments: #1 Exhibit)(Nagy, Tibor) (Filed on 7/15/2022) |
| Filing 20 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17349042.) filed by Jeffrey Lockhart. (Attachments: #1 Exhibit Certificate of Good Standing)(LaGrange, William) (Filed on 7/14/2022) |
| Filing 19 Certificate of Interested Entities by BAM Trading Services Inc. identifying Corporate Parent BAM Management US Holdings, Inc. for BAM Trading Services Inc.. (Gleason, Michael) (Filed on 7/1/2022) |
| #Electronic filing error. Incorrect Event Used: The correct event is found under Civil Events > Other Filings > Notices > Certificate of Interested Entities, Corporate Dis closure Statement, or Rule 7.1 Disclosures. Additionally the filer did not add all interested parties when prompted. Re-file this document in its entirety and when prompted, enter all affiliates or corporate parents. Re: #18 Statement filed by BAM Trading Services Inc. (cjl, COURT STAFF) (Filed on 6/30/2022) |
| Filing 18 Statement CORPORATE DISCLOSURE STATEMENT AND CERTIFICATION OF INTERESTED ENTITIES OR PERSONS by BAM Trading Services Inc.. (Gleason, Michael) (Filed on 6/29/2022) |
| Filing 17 STIPULATION RE EXTENSION OF TIME FOR DEFENDANTS BAM TRADING SERVICES INC. AND BRIAN SHRODERS TO RESPOND TO THE COMPLAINT PURSUANT TO LOCAL RULE 6-1(A) filed by BAM Trading Services Inc., Jeffrey Lockhart, Brian Shroder. (Gleason, Michael) (Filed on 6/29/2022) Modified on 6/30/2022 (cjl, COURT STAFF). |
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Filing 16
ORDER by Judge Jacqueline Scott Corley granting #15 Motion for Pro Hac Vice as to Alex Potter. (ahm, COURT STAFF) (Filed on 6/28/2022)
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| Filing 15 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17301374.) filed by Jeffrey Lockhart. (Attachments: #1 Certificate of Good Standing)(Potter, Alex) (Filed on 6/28/2022) |
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Filing 14
ORDER by Judge Jacqueline Scott Corley granting #11 Motion for Pro Hac Vice as to Joseph Delich. (ahm, COURT STAFF) (Filed on 6/28/2022)
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Filing 13
ORDER by Judge Jacqueline Scott Corley granting #10 Motion for Pro Hac Vice as to Edward Normand. (ahm, COURT STAFF) (Filed on 6/28/2022)
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Filing 12
ORDER by Judge Jacqueline Scott Corley granting #9 Motion for Pro Hac Vice as to Kyle Roche. (ahm, COURT STAFF) (Filed on 6/28/2022)
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| Filing 11 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17300323.) filed by Jeffrey Lockhart. (Attachments: #1 Certificate of Good Standing)(Delich, Joseph) (Filed on 6/27/2022) |
| Filing 10 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17300280.) filed by Jeffrey Lockhart. (Attachments: #1 Certificate of Good Standing)(Normand, Edward) (Filed on 6/27/2022) |
| Filing 9 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 317, receipt number ACANDC-17300226.) filed by Jeffrey Lockhart. (Attachments: #1 Certificate of Good Standing)(Roche, Kyle) (Filed on 6/27/2022) |
| Filing 8 AMENDED Initial Case Management Scheduling Order with ADR Deadlines: Notice: The assigned judge participates in the Cameras in the Courtroom Pilot Project. See General Order No. 65 and http://cand.uscourts.gov/cameras. Case Management Statement due by 9/8/2022. Initial Case Management Conference set for 9/15/2022 01:30 PM in San Francisco, Courtroom 08, 19th Floor. (Attachments: #1 Notice of Eligibility for Video Recording)(jml, COURT STAFF) (Filed on 6/17/2022) |
| Filing 7 Initial Case Management Scheduling Order with ADR Deadlines: Notice: The assigned judge participates in the Cameras in the Courtroom Pilot Project. See General Order No. 65 and http://cand.uscourts.gov/cameras. Case Management Statement due by 9/8/2022. Initial Case Management Conference set for 9/15/2022 01:30 PM in San Francisco, Courtroom E, 15th Floor. (Attachments: #1 Notice of Eligibility for Video Recording)(cjl, COURT STAFF) (Filed on 6/16/2022) |
| Filing 6 Summons Issued as to BAM Trading Services Inc., Brian Shroder. (cjl, COURT STAFF) (Filed on 6/16/2022) |
| Filing 5 Proposed Summons. (Ngo, Ivy) (Filed on 6/15/2022) |
| #Electronic filing error. Incorrect event used. [err101] The correct event is Proposed Summons. The summons should NOT be filed as an attachment to the Complaint. The correct event can be found at Civil Events > Other Filings > Other Documents > Proposed Summons. Please re-file the SUMMONS ONLY in its entirety. Re:[1-2] Summons filed by Jeffrey Lockhart (jml, COURT STAFF) (Filed on 6/15/2022) |
| Filing 4 Case assigned to Judge Jacqueline Scott Corley. Counsel for plaintiff or the removing party is responsible for serving the Complaint or Notice of Removal, Summons and the assigned judge's standing orders and all other new case documents upon the opposing parties. For information, visit E-Filing A New Civil Case at http://cand.uscourts.gov/ecf/caseopening.Standing orders can be downloaded from the court's web page at www.cand.uscourts.gov/judges. Upon receipt, the summons will be issued and returned electronically. A scheduling order will be sent by Notice of Electronic Filing (NEF) within two business days. (jml, COURT STAFF) (Filed on 6/14/2022) |
| Filing 3 Civil Cover Sheet by Jeffrey Lockhart (Amended). (Ngo, Ivy) (Filed on 6/14/2022) |
| Filing 2 Civil Cover Sheet by Jeffrey Lockhart . (Ngo, Ivy) (Filed on 6/14/2022) |
| Filing 1 COMPLAINT against All Defendants ( Filing fee $ 402, receipt number ACANDC-17256652.). Filed byJeffrey Lockhart. (Attachments: #1 Civil Cover Sheet Civil Cover Sheet, #2 Summons Summons)(Ngo, Ivy) (Filed on 6/13/2022) |
| The address listed for Counsel in ECF differs from that of the Civil Cover sheet. Please e-file an Amended Civil Cover Sheet only. Event is located at: Other Filings > Other Documents > Civil Cover Sheet #Electronic filing error. Re: #1 Complaint filed by Jeffrey Lockhart (jrs, COURT STAFF) (Filed on 6/13/2022) |
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