Orange County Employees' Retirement System et al v. Carlson et al

Justia Dockets & Filings Ninth Circuit California Northern District Orange County Employees' Retirement System et al v. Carlson et al

Orange County Employees' Retirement System et al v. Carlson et al

Plaintiff:	Orange County Employees' Retirement System, Louisiana Sheriffs' Pension and Relief Fund, Government of Guam Retirement Fund and Southeastern Pennsylvania Transporation Authority
Defendant:	Peter M. Carlson, Ross E. Jeffries, Jr., David M. Julian, G. Kennedy Thompson, Mark C. Treanor, Thomas J. Wurtz, Donald K. Truslow, John D. Baker, II, Robert J. Brown, Peter C. Browning, John T. Casteen, III, Jerome A. Gitt, William H. Goodwin, Jr., Mary Ellen C. Herringer, Robert A. Ingram, Donald M. James, Mackey J. McDonald, Joseph Neubauer, Timothy D. Proctor, Ernest S. Rady, Van L. Richey, Ruth G. Shaw, Lanty L. Smith, John C. Whitaker, Jr., Dona Davis Young, Wachovia Corporation, Wachovia Capital Markets, LLC, Wachovia Securities, LLC, Wachovia Capital Trust IV, Wachovia Capital Trust IX, Wachovia Capital Trust X, Wachovia Bank, N.A., Wells Fargo & Company, ABN AMRO Incorporated, A.G. Edwards & Sons, Inc, Bank of America Corporation, Banc of America Securities LLC, Barclays Capital Inc, BB&T Capital Markets, B.C. Ziegler and Company, Bear, Stearns & CO., INC., BNP Paribas Securities Corp., Cabrera Capital Markets, LLC, Castleoak Securities, L.P., Charles Schwab & Co., Inc, C.L. King & Associates, Inc, Citigroup Global Markets, Inc., Comerica Securities Inc., Countrywide Securities Corporation, Credit Suisse Securities (USA) LLC, D.A. Davidson & Co, Davenport & Company LLC, Deutsche Bank Securities Inc., E*Trade Securities LLC, Ferris, Baker Watts, Incorporated, Fidelity Capital Markets Services, Fifth Third Securities, Inc, Fixed Income Securities, L.P., FTN Financial Securities Corp, Goldman, Sachs & Co., Greenwich Capital Markets, Inc., Guzman & Company, Howe Barnes Hoefer & Arnett, Inc, H&R Block Financial Advisors, Inc., HSBC Securities (USA) Inc, Jackson Securities, LLC, Janney Montgomery Scott LLC, J.B. Hanauer & Co, Jefferies & Company, Inc., J.J.B. Hilliard, W. L. Lyons, Inc, J.P. Morgan Chase, J.P. Morgan Securities Inc., JVB Financial Group, LLC, Keefe, Bruyette & Woods, Inc, Keybanc Capital Markets, Loop Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mesirow Financial Inc, Morgan Keegan & Company, Inc, Morgan Stanley & CO., Incorporated, M.R. Beal & Company, Muriel Siebert & Co., Inc, Natcity Investments, Inc, Oppenheimer & Co. Inc.,, Pershing LLC, Piper Jaffray & Co, Popular Securities, Inc, RBC Capital Markets Corporation, RBC Dain Rauscher Inc, Samuel A. Ramirez & Company, Inc, Raymond James & Associates, Inc., Robert W. Baird & Co, Ross, Sinclair & Associates, LLC, Ryan Beck & Co., Inc, Sandler O'Neill & Partners, L.P., Sterne, Agee & Leach, Inc, Stifel, Nicolaus & Company, Incorporated, Suntrust Capital Markets, Inc, TD Ameritrade, Inc., Toussaint Capital Partners, LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wedbush Morgan Securities Inc., Wells Fargo Securities, LLC, William Blair & Company L.L.C., The Williams Capital Group, L.P. and KPMG LLP
Case Number:	5:2009cv00999
Filed:	March 6, 2009
Court:	US District Court for the Northern District of California
Office:	San Jose Office
County:	Los Angeles
Presiding Judge:	Howard R. Lloyd
Presiding Judge:	Ronald M. Whyte
Nature of Suit:	Securities/Commodities/Exchanges
Cause of Action:	15 U.S.C. § 78
Jury Demanded By:	Plaintiff

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Date Filed	Document Text
June 10, 2009	Filing 13 ORDER CONTINUING CASE MANAGEMENT CONFERENCE. The Case Management Conference is continued to September 4, 2009. Signed by Judge Maxine M. Chesney on June 10, 2009. (mmclc2, COURT STAFF) (Filed on 6/10/2009)
March 20, 2009	Filing 10 ORDER APPROVING STIPULATION EXTENDING TIME TO ANSWER. Signed by Judge Maxine M. Chesney on March 20, 2009. (mmclc2, COURT STAFF) (Filed on 3/20/2009)

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Plaintiff: Orange County Employees' Retirement System
Represented By:	Nichole Browning
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Plaintiff: Louisiana Sheriffs' Pension and Relief Fund
Represented By:	Nichole Browning
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Plaintiff: Government of Guam Retirement Fund
Represented By:	Nichole Browning
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Plaintiff: Southeastern Pennsylvania Transporation Authority
Represented By:	Nichole Browning
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Defendant: Peter M. Carlson
Represented By:	Robert Leo Dell Angelo
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Defendant: Ross E. Jeffries, Jr.
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Defendant: David M. Julian
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Defendant: G. Kennedy Thompson
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Defendant: Mark C. Treanor
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Defendant: Thomas J. Wurtz
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Defendant: Donald K. Truslow
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Defendant: John D. Baker, II
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Defendant: Robert J. Brown
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Defendant: Peter C. Browning
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Defendant: John T. Casteen, III
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Defendant: Jerome A. Gitt
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Defendant: William H. Goodwin, Jr.
Represented By:	Robert Leo Dell Angelo
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Defendant: Mary Ellen C. Herringer
Represented By:	Robert Leo Dell Angelo
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Defendant: Robert A. Ingram
Represented By:	Robert Leo Dell Angelo
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Defendant: Donald M. James
Represented By:	Robert Leo Dell Angelo
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Defendant: Mackey J. McDonald
Represented By:	Robert Leo Dell Angelo
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Defendant: Joseph Neubauer
Represented By:	Robert Leo Dell Angelo
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Defendant: Timothy D. Proctor
Represented By:	Robert Leo Dell Angelo
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Defendant: Ernest S. Rady
Represented By:	Robert Leo Dell Angelo
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Defendant: Van L. Richey
Represented By:	Robert Leo Dell Angelo
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Defendant: Ruth G. Shaw
Represented By:	Robert Leo Dell Angelo
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Defendant: Lanty L. Smith
Represented By:	Robert Leo Dell Angelo
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Defendant: John C. Whitaker, Jr.
Represented By:	Robert Leo Dell Angelo
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Defendant: Dona Davis Young
Represented By:	Robert Leo Dell Angelo
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Defendant: Wachovia Corporation
Represented By:	Robert Leo Dell Angelo
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Defendant: Wachovia Capital Markets, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Wachovia Securities, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Wachovia Capital Trust IV
Represented By:	Robert Leo Dell Angelo
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Defendant: Wachovia Capital Trust IX
Represented By:	Robert Leo Dell Angelo
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Defendant: Wachovia Capital Trust X
Represented By:	Robert Leo Dell Angelo
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Defendant: Wachovia Bank, N.A.
Represented By:	Robert Leo Dell Angelo
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Defendant: Wells Fargo & Company
Represented By:	Robert Leo Dell Angelo
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Defendant: ABN AMRO Incorporated
Represented By:	Robert Leo Dell Angelo
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Defendant: A.G. Edwards & Sons, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Bank of America Corporation
Represented By:	Robert Leo Dell Angelo
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Defendant: Banc of America Securities LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Barclays Capital Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: BB&T Capital Markets
Represented By:	Robert Leo Dell Angelo
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Defendant: B.C. Ziegler and Company
Represented By:	Robert Leo Dell Angelo
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Defendant: Bear, Stearns & CO., INC.
Represented By:	Robert Leo Dell Angelo
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Defendant: BNP Paribas Securities Corp.
Represented By:	Robert Leo Dell Angelo
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Defendant: Cabrera Capital Markets, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Castleoak Securities, L.P.
Represented By:	Robert Leo Dell Angelo
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Defendant: Charles Schwab & Co., Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: C.L. King & Associates, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Citigroup Global Markets, Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: Comerica Securities Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: Countrywide Securities Corporation
Represented By:	Robert Leo Dell Angelo
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Defendant: Credit Suisse Securities (USA) LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: D.A. Davidson & Co
Represented By:	Robert Leo Dell Angelo
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Defendant: Davenport & Company LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Deutsche Bank Securities Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: E*Trade Securities LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Ferris, Baker Watts, Incorporated
Represented By:	Robert Leo Dell Angelo
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Defendant: Fidelity Capital Markets Services
Represented By:	Robert Leo Dell Angelo
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Defendant: Fifth Third Securities, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Fixed Income Securities, L.P.
Represented By:	Robert Leo Dell Angelo
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Defendant: FTN Financial Securities Corp
Represented By:	Robert Leo Dell Angelo
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Defendant: Goldman, Sachs & Co.
Represented By:	Robert Leo Dell Angelo
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Defendant: Greenwich Capital Markets, Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: Guzman & Company
Represented By:	Robert Leo Dell Angelo
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Defendant: Howe Barnes Hoefer & Arnett, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: H&R Block Financial Advisors, Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: HSBC Securities (USA) Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Jackson Securities, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Janney Montgomery Scott LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: J.B. Hanauer & Co
Represented By:	Robert Leo Dell Angelo
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Defendant: Jefferies & Company, Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: J.J.B. Hilliard, W. L. Lyons, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: J.P. Morgan Chase
Represented By:	Robert Leo Dell Angelo
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Defendant: J.P. Morgan Securities Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: JVB Financial Group, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Keefe, Bruyette & Woods, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Keybanc Capital Markets
Represented By:	Robert Leo Dell Angelo
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Defendant: Loop Capital Markets, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By:	Robert Leo Dell Angelo
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Defendant: Mesirow Financial Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Morgan Keegan & Company, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Morgan Stanley & CO., Incorporated
Represented By:	Robert Leo Dell Angelo
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Defendant: M.R. Beal & Company
Represented By:	Robert Leo Dell Angelo
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Defendant: Muriel Siebert & Co., Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Natcity Investments, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Oppenheimer & Co. Inc.,
Represented By:	Robert Leo Dell Angelo
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Defendant: Pershing LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Piper Jaffray & Co
Represented By:	Robert Leo Dell Angelo
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Defendant: Popular Securities, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: RBC Capital Markets Corporation
Represented By:	Robert Leo Dell Angelo
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Defendant: RBC Dain Rauscher Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Samuel A. Ramirez & Company, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Raymond James & Associates, Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: Robert W. Baird & Co
Represented By:	Robert Leo Dell Angelo
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Defendant: Ross, Sinclair & Associates, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Ryan Beck & Co., Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Sandler O'Neill & Partners, L.P.
Represented By:	Robert Leo Dell Angelo
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Defendant: Sterne, Agee & Leach, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: Stifel, Nicolaus & Company, Incorporated
Represented By:	Robert Leo Dell Angelo
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Defendant: Suntrust Capital Markets, Inc
Represented By:	Robert Leo Dell Angelo
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Defendant: TD Ameritrade, Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: Toussaint Capital Partners, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: UBS Securities LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: Utendahl Capital Partners, L.P.
Represented By:	Robert Leo Dell Angelo
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Defendant: Wedbush Morgan Securities Inc.
Represented By:	Robert Leo Dell Angelo
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Defendant: Wells Fargo Securities, LLC
Represented By:	Robert Leo Dell Angelo
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Defendant: William Blair & Company L.L.C.
Represented By:	Robert Leo Dell Angelo
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Defendant: The Williams Capital Group, L.P.
Represented By:	Robert Leo Dell Angelo
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Defendant: KPMG LLP
Represented By:	Robert Leo Dell Angelo
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