York County on Behalf of the County of York Retirement Fund et al v. Rambo et al
| Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund and City of Warren Police and Fire Retirement System |
| Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Lebenthal & Co., LLC, Barry Lawson Williams, Barbara L. Rambo, Dinyar B. Mistry, Roger H. Kimmel, Wells Fargo Securities, LLC, Lewis Chew, CIBC World Markets Corp., Anne Shen Smith, MFR Securities, Inc., TD Securities (USA) LLC, Richard A. Meserve, Barclays Capital Inc., SMBC Nikko Securities America, Inc., Maryellen C. Herringer, BNY Mellon Capital Markets, LLC, Williams Capital Group, L.P., Richard C. Kelly, Fred J. Fowler, Goldman, Sachs & Co., LLC, Anthony F. Earley, Jr., Geisha J. Williams, Great Pacific Securities, Nickolas Stavropoulos, U.S. Bancorp Investments, Inc., BNP Paribas Securities Corp., David S. Thomason, Rosendo G. Parra, Morgan Stanley & Co. LLC, Blaylock Van, LLC, Forrest E. Miller, C.L. King & Associates, Inc., Mischler Financial Group, Inc., Mizuho Securities USA LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, MUFG Securities Americas, Inc. f/k/a Mitsubishi UFJ Securities (USA), Inc., RBC Capital Markets, LLC, Eric D. Mullins, Samuel A. Ramirez & Company, Inc., MUFG Securities Americas, Inc. and Mitsubishi UFJ Securities (USA), Inc. |
| 5:2019cv00994 |
| February 22, 2019 |
| US District Court for the Northern District of California |
| Edward J Davila |
| Susan van Keulen |
| Richard Seeborg |
| Securities/Commodities |
| 15 U.S.C. § 77 |
| Plaintiff |
Docket Report
RSS Track this Docket
This docket was last retrieved on May 8, 2019. A more recent docket listing may be available from PACER.
| Document Text |
|---|
Filing 102
ORDER Granting #97 Application for Admission of Attorney Pro Hac Vice for Craig T Cagney. Signed by Judge Edward J. Davila on 5/8/2019. (amkS, COURT STAFF) (Filed on 5/8/2019)
|
|
Filing 101
ORDER Granting #96 Application for Admission of Attorney Pro Hac Vice for Dana M. Seshens. Signed by Judge Edward J. Davila on 5/8/2019. (amkS, COURT STAFF) (Filed on 5/8/2019)
|
|
Filing 100
ORDER Granting #95 Application for Admission of Attorney Pro Hac Vice for Charles S. Duggan. Signed by Judge Edward J. Davila on 5/8/2019. (amkS, COURT STAFF) (Filed on 5/8/2019)
|
|
Filing 99
ORDER REASSIGNING CASE. Case reassigned to Judge Edward J. Davila for all further proceedings. Notice: The assigned judge participates in the Cameras in the Courtroom Pilot Project. See General Order No. 65 and http://cand.uscourts.gov/cameras. Judge Haywood S Gilliam, Jr no longer assigned to case. (Attachments: #1 Notice of Eligibility for Video Recording) (bwS, COURT STAFF) (Filed on 5/8/2019)
|
|
Filing 98
ORDER RELATING/CONSOLIDATING CASE to 5:18-cv-03509-EJD and C19-00994. The complaint filed in the York County Securities Action, and that all other dates, including the initial case management conference and deadlines scheduled for May 16, 2019 in the York County Securities Action are VACATED., Signed by Judge Edward J. Davila on 5/7/2019. (amkS, COURT STAFF) (Filed on 5/7/2019) Modified on 5/8/2019 (cv, COURT STAFF).
|
| Filing 97 MOTION for leave to appear in Pro Hac Vice Re: Craig T. Cagney (Filing fee $310, receipt number 0971-13325866) filed by BNP Paribas Securities Corp., BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Blaylock Van, LLC, C.L. King & Associates, Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Goldman, Sachs & Co., LLC, Great Pacific Securities, J.P. Morgan Securities LLC, MFR Securities, Inc., MUFG Securities Americas, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mischler Financial Group, Inc., Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, RBC Capital Markets, LLC, SMBC Nikko Securities America, Inc., Samuel A. Ramirez & Company, Inc., TD Securities (USA) LLC, U.S. Bancorp Investments, Inc., Wells Fargo Securities, LLC, Williams Capital Group, L.P.. (Attachments: #1 Certificate of Good Standing)(Cagney, Craig) (Filed on 5/7/2019) Modified on 5/8/2019 (cjlS, COURT STAFF). |
| Filing 96 MOTION for leave to appear in Pro Hac Vice Re: Dana M. Seshens (Filing fee $ 310, receipt number 0971-13325828) filed by BNP Paribas Securities Corp., BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Blaylock Van, LLC, C.L. King & Associates, Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Goldman, Sachs & Co., LLC, Great Pacific Securities, J.P. Morgan Securities LLC, MFR Securities, Inc., MUFG Securities Americas, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mischler Financial Group, Inc., Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, RBC Capital Markets, LLC, SMBC Nikko Securities America, Inc., Samuel A. Ramirez & Company, Inc., TD Securities (USA) LLC, U.S. Bancorp Investments, Inc., Wells Fargo Securities, LLC, Williams Capital Group, L.P.. (Attachments: #1 Certificate of Good Standing)(Seshens, Dana) (Filed on 5/7/2019) Modified on 5/8/2019 (cjlS, COURT STAFF). |
| Filing 95 MOTION for leave to appear in Pro Hac Vice Re: Charles S. Duggan (Filing fee $310, receipt number 0971-13325757) filed by BNP Paribas Securities Corp., BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Blaylock Van, LLC, C.L. King & Associates, Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Goldman, Sachs & Co., LLC, Great Pacific Securities, J.P. Morgan Securities LLC, MFR Securities, Inc., MUFG Securities Americas, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mischler Financial Group, Inc., Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, RBC Capital Markets, LLC, SMBC Nikko Securities America, Inc., Samuel A. Ramirez & Company, Inc., TD Securities (USA) LLC, U.S. Bancorp Investments, Inc., Wells Fargo Securities, LLC, Williams Capital Group, L.P.. (Attachments: #1 Certificate of Good Standing)(Duggan, Charles) (Filed on 5/7/2019) Modified on 5/8/2019 (cjlS, COURT STAFF). |
| Filing 94 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Brian Edward Cochran on behalf of York County on Behalf of the County of York Retirement Fund (Cochran, Brian) (Filed on 5/6/2019) |
| Filing 93 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Darren Jay Robbins on behalf of York County on Behalf of the County of York Retirement Fund (Robbins, Darren) (Filed on 5/6/2019) |
| Filing 92 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Willow E. Radcliffe on behalf of York County on Behalf of the County of York Retirement Fund (Radcliffe, Willow) (Filed on 5/6/2019) |
| Filing 91 CERTIFICATE of Counsel Pursuant to Local Rule 3-7(d) by Kenneth Joseph Black on behalf of York County on Behalf of the County of York Retirement Fund (Black, Kenneth) (Filed on 5/6/2019) |
| Filing 90 NOTICE of Appearance by Kenneth Joseph Black (Black, Kenneth) (Filed on 5/6/2019) |
| Filing 89 NOTICE of Appearance by Willow E. Radcliffe (Radcliffe, Willow) (Filed on 5/6/2019) |
| Filing 88 CLERK'S NOTICE SETTING CASE MANAGEMENT CONFERENCE FOR REASSIGNED CIVIL CASE. Notice is hereby given that a Case Management Conference has been set for May 28, 2019, before Judge Haywood S. Gilliam, Jr., at 2:00 p.m., in Courtroom 2, 4th Floor, 1301 Clay Street, Oakland, CA. Case Management Statement due by May 21, 2019. Standing orders can be downloaded from the court's web page at www.cand.uscourts.gov/judges. All future filings should reflect the case number as 4:19-cv-00994-HSG. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ndrS, COURT STAFF) (Filed on 5/3/2019) |
|
Filing 87
ORDER, Case Reassigned using a proportionate, random, and blind system pursuant to General Order No. 44 to Judge Haywood S Gilliam, Jr for all further proceedings. Judge Richard Seeborg no longer assigned to the case.. Signed by The Clerk on 4/2/19. (haS, COURT STAFF) (Filed on 5/2/2019)
|
|
Filing 86
ORDER OF RECUSAL. Signed by Judge Richard Seeborg on 5/2/19. (cl, COURT STAFF) (Filed on 5/2/2019)
|
| Filing 85 STIPULATION WITH PROPOSED ORDER filed by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund. (Cochran, Brian) (Filed on 5/1/2019) |
| Filing 84 Certificate of Interested Entities by Wells Fargo Securities, LLC identifying Corporate Parent Wells Fargo & Company, Other Affiliate Everen Capital Corporation, Other Affiliate WFC Holdings, LLC for Wells Fargo Securities, LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 83 Corporate Disclosure Statement by Wells Fargo Securities, LLC identifying Corporate Parent Wells Fargo & Company, Other Affiliate Everen Capital Corporation, Other Affiliate WFC Holdings, LLC for Wells Fargo Securities, LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 82 Certificate of Interested Entities by U.S. Bancorp Investments, Inc. identifying Corporate Parent U.S. Bancorp for U.S. Bancorp Investments, Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 81 Corporate Disclosure Statement by U.S. Bancorp Investments, Inc. identifying Corporate Parent U.S. Bancorp for U.S. Bancorp Investments, Inc.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 80 Certificate of Interested Entities by Williams Capital Group, L.P. identifying Other Affiliate The Williams Capital Group, Inc., Other Affiliate Christopher J. Williams for Williams Capital Group, L.P.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 79 Corporate Disclosure Statement by Williams Capital Group, L.P. identifying Other Affiliate The Williams Capital Group, Inc. for Williams Capital Group, L.P.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 78 Certificate of Interested Entities by TD Securities (USA) LLC identifying Corporate Parent The Toronto-Dominion Bank, Other Affiliate TD Group US Holdings LLC, Other Affiliate Toronto Dominion Holdings (U.S.A.), Inc. for TD Securities (USA) LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 77 Corporate Disclosure Statement by TD Securities (USA) LLC identifying Corporate Parent The Toronto-Dominion Bank, Other Affiliate TD Group US Holdings LLC, Other Affiliate Toronto Dominion Holdings (U.S.A.), Inc. for TD Securities (USA) LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 76 Certificate of Interested Entities by SMBC Nikko Securities America, Inc. identifying Corporate Parent Sumitomo Mitsui Financial Group, Other Affiliate Sumitomo Mitsui Banking Corporation, Other Affiliate SMBC Nikko Securities Inc., Other Affiliate SMBC Americas Holdings, Inc. for SMBC Nikko Securities America, Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 75 Corporate Disclosure Statement by SMBC Nikko Securities America, Inc. identifying Corporate Parent Sumitomo Mitsui Financial Group, Other Affiliate Sumitomo Mitsui Banking Corporation, Other Affiliate SMBC Nikko Securities Inc., Other Affiliate SMBC Americas Holdings, Inc. for SMBC Nikko Securities America, Inc.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 74 Certificate of Interested Entities by Samuel A. Ramirez & Company, Inc. identifying Corporate Parent SAR Holdings, Inc., Other Affiliate Samuel A. Ramirez Sr., Other Affiliate Samuel A. Ramirez, Jr. for Samuel A. Ramirez & Company, Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 73 Corporate Disclosure Statement by Samuel A. Ramirez & Company, Inc. identifying Corporate Parent SAR Holdings, Inc. for Samuel A. Ramirez & Company, Inc.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 72 Certificate of Interested Entities by RBC Capital Markets, LLC identifying Corporate Parent Royal Bank of Canada for RBC Capital Markets, LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 71 Corporate Disclosure Statement by RBC Capital Markets, LLC identifying Corporate Parent Royal Bank of Canada for RBC Capital Markets, LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 70 Certificate of Interested Entities by MUFG Securities Americas, Inc. identifying Corporate Parent Mitsubishi UFJ Financial Group, Inc., Other Affiliate MUFG Americas Holdings Corporation, Other Affiliate MUFG Bank, Ltd. for MUFG Securities Americas, Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 69 Corporate Disclosure Statement by MUFG Securities Americas, Inc. identifying Corporate Parent Mitsubishi UFJ Financial Group, Inc., Other Affiliate MUFG Americas Holdings Corporation, Other Affiliate MUFG Bank, Ltd. for MUFG Securities Americas, Inc.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 68 Certificate of Interested Entities by Morgan Stanley & Co. LLC identifying Corporate Parent Morgan Stanley, Other Affiliate Morgan Stanley Capital Management, LLC, Other Affiliate Morgan Stanley Domestic Holdings, Inc., Other Affiliate Mitsubishi UFJ Financial Group for Morgan Stanley & Co. LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 67 Corporate Disclosure Statement by Morgan Stanley & Co. LLC identifying Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group, Inc., Other Affiliate Morgan Stanley Capital Management, LLC, Other Affiliate Morgan Stanley Domestic Holdings, Inc. for Morgan Stanley & Co. LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 66 Certificate of Interested Entities by Mizuho Securities USA LLC identifying Corporate Parent Mizuho Financial Group, Inc., Other Affiliate Mizuho Americas LLC for Mizuho Securities USA LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 65 Corporate Disclosure Statement by Mizuho Securities USA LLC identifying Corporate Parent Mizuho Financial Group, Inc., Other Affiliate Mizuho Americas LLC for Mizuho Securities USA LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 64 Certificate of Interested Entities by Mischler Financial Group, Inc. identifying Other Affiliate Dean A. Chamberlain, Other Affiliate Doyle L. Holmes, Other Affiliate GTS Holding Company for Mischler Financial Group, Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 63 Corporate Disclosure Statement by Mischler Financial Group, Inc. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 62 Certificate of Interested Entities by MFR Securities, Inc. identifying Corporate Parent Maria Fiorini Ramirez, Inc., Other Affiliate Maria Fiorini Ramirez for MFR Securities, Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 61 Corporate Disclosure Statement by MFR Securities, Inc. identifying Corporate Parent Maria Fiorini Ramirez, Inc. for MFR Securities, Inc.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 60 Certificate of Interested Entities by Merrill Lynch, Pierce, Fenner & Smith Incorporated identifying Corporate Parent Bank of America Corporation, Other Affiliate NB Holdings Corporation, Other Affiliate BAC North America Holding Company for Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 59 Corporate Disclosure Statement by Merrill Lynch, Pierce, Fenner & Smith Incorporated identifying Corporate Parent Bank of America Corporation, Other Affiliate NB Holdings Corporation, Other Affiliate BAC North America Holding Company for Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 58 Certificate of Interested Entities by J.P. Morgan Securities LLC identifying Corporate Parent JPMorgan Chase & Co., Other Affiliate J.P. Morgan Broker-Dealer Holdings Inc. for J.P. Morgan Securities LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 57 Corporate Disclosure Statement by J.P. Morgan Securities LLC identifying Corporate Parent JPMorgan Chase & Co., Other Affiliate J.P. Morgan Broker-Dealer Holdings Inc. for J.P. Morgan Securities LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 56 Certificate of Interested Entities by Great Pacific Securities identifying Other Affiliate David T. Swoish, Other Affiliate Christopher Vinck- Luna for Great Pacific Securities. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 55 Corporate Disclosure Statement by Great Pacific Securities (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 54 Certificate of Interested Entities by Goldman, Sachs & Co., LLC identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co., LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 53 Corporate Disclosure Statement by Goldman, Sachs & Co., LLC identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co., LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 52 Certificate of Interested Entities by Citigroup Global Markets Inc. identifying Corporate Parent Citigroup Inc. for Citigroup Global Markets Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 51 Corporate Disclosure Statement by Citigroup Global Markets Inc. identifying Corporate Parent Citigroup Inc. for Citigroup Global Markets Inc.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 50 Certificate of Interested Entities by CIBC World Markets Corp. identifying Corporate Parent Canadian Imperial Bank of Commerce for CIBC World Markets Corp.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 49 Corporate Disclosure Statement by CIBC World Markets Corp. identifying Corporate Parent Canadian Imperial Bank of Commerce for CIBC World Markets Corp.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 48 Certificate of Interested Entities by C.L. King & Associates, Inc. identifying Other Affiliate Candace King Weir,, Other Affiliate Amelia Farley Weir, Other Affiliate Katherine Broussard Weir for C.L. King & Associates, Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 47 Corporate Disclosure Statement by C.L. King & Associates, Inc. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 46 Certificate of Interested Entities by BNY Mellon Capital Markets, LLC identifying Corporate Parent The Bank of New York Mellon Corporation for BNY Mellon Capital Markets, LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 45 Corporate Disclosure Statement by BNY Mellon Capital Markets, LLC identifying Corporate Parent The Bank of New York Mellon Corporation for BNY Mellon Capital Markets, LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 44 Certificate of Interested Entities by BNP Paribas Securities Corp. identifying Corporate Parent BNP Paribas, Other Affiliate BlackRock Inc., Other Affiliate Belgiums Federal Holding and Investment Company for BNP Paribas Securities Corp.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 43 Corporate Disclosure Statement by BNP Paribas Securities Corp. identifying Corporate Parent BNP Paribas for BNP Paribas Securities Corp.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 42 Certificate of Interested Entities by Blaylock Van, LLC identifying Other Affiliate Kalispell Tribal Economic Authority, Other Affiliate Blaylock & Co., Inc., Other Affiliate Robert Van Securities Inc. for Blaylock Van, LLC. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 41 Corporate Disclosure Statement by Blaylock Van, LLC identifying Other Affiliate Robert Van Securities, Inc., Other Affiliate Kalispell Tribal Economic Authority, Other Affiliate Blaylock & Co., Inc. for Blaylock Van, LLC. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 40 Certificate of Interested Entities by Barclays Capital Inc. identifying Corporate Parent Barclays PLC, Other Affiliate Barclays Group US Inc., Other Affiliate Barclays US LLC, Other Affiliate Barclays Bank PLC for Barclays Capital Inc.. (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 39 Corporate Disclosure Statement by Barclays Capital Inc. identifying Corporate Parent Barclays PLC for Barclays Capital Inc.. (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 38 NOTICE of Appearance by Ian Christopher Jam Hogg (Hogg, Ian) (Filed on 5/1/2019) |
| Filing 37 NOTICE of Appearance by Neal Alan Potischman (Potischman, Neal) (Filed on 5/1/2019) |
| Filing 36 SUMMONS Returned Executed by City of Warren Police and Fire Retirement System, York County on Behalf of the County of York Retirement Fund, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund. Rosendo G. Parra served on 3/30/2019, answer due 4/22/2019. (Cochran, Brian) (Filed on 4/24/2019) |
| Filing 35 SUMMONS Returned Executed by City of Warren Police and Fire Retirement System, York County on Behalf of the County of York Retirement Fund, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund. Roger H. Kimmel served on 3/29/2019, answer due 4/19/2019. (Cochran, Brian) (Filed on 4/24/2019) |
| Filing 34 SUMMONS Returned Executed by City of Warren Police and Fire Retirement System, York County on Behalf of the County of York Retirement Fund, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund. Richard A. Meserve served on 3/30/2019, answer due 4/22/2019. (Cochran, Brian) (Filed on 4/24/2019) |
| Filing 33 SUMMONS Returned Executed by City of Warren Police and Fire Retirement System, York County on Behalf of the County of York Retirement Fund, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund. Dinyar B. Mistry served on 3/30/2019, answer due 4/22/2019. (Cochran, Brian) (Filed on 4/24/2019) |
| Filing 32 SUMMONS Returned Executed by City of Warren Police and Fire Retirement System, York County on Behalf of the County of York Retirement Fund, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund. David S. Thomason served on 3/31/2019, answer due 4/22/2019. (Cochran, Brian) (Filed on 4/24/2019) |
| Filing 31 SUMMONS Returned Executed by City of Warren Police and Fire Retirement System, York County on Behalf of the County of York Retirement Fund, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund. Barbara L. Rambo served on 3/30/2019, answer due 4/22/2019. (Cochran, Brian) (Filed on 4/24/2019) |
| Filing 30 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, The Williams Capital Group, L.P. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 29 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Wells Fargo Securities, LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 28 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, U.S. Bancorp Investments, Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 27 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, TD Securities (USA) LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 26 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, SMBC Nikko Securities America, Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 25 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Samuel A. Ramirez & Company, Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 24 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, RBC Capital Markets, LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 23 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, MUFG Securities Americas, Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 22 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Morgan Stanley & Co. LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 21 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Mizuho Securities USA LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 20 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Mischler Financial Group, Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 19 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, MFR Securities, Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 18 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Merrill Lynch, Pierce, Fenner & Smith Incorporated (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 17 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Lebenthal & Co., LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 16 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, J.P. Morgan Securities LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 15 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Great Pacific Securities (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 14 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Goldman, Sachs & Co., LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 13 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, C.L. King & Associates, Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 12 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Citigroup Global Markets Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 11 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, CIBC World Markets Corp. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 10 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, BNY Mellon Capital Markets, LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 9 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, BNP Paribas Securities Corp. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 8 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Blaylock Van, LLC (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 7 CERTIFICATE OF SERVICE by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund re #6 Summons Issued,,,, Barclays Capital Inc. (Cochran, Brian) (Filed on 3/14/2019) |
| Filing 6 Summons Issued as to BNP Paribas Securities Corp., BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Blaylock Van, LLC, C.L. King & Associates, Inc., CIBC World Markets Corp., Lewis Chew, Citigroup Global Markets Inc., Anthony F. Earley, Jr., Fred J. Fowler, Goldman, Sachs & Co., LLC, Great Pacific Securities, Maryellen C. Herringer, J.P. Morgan Securities LLC, Richard C. Kelly, Roger H. Kimmel, Lebenthal & Co., LLC, MFR Securities, Inc., MUFG Securities Americas, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Richard A. Meserve, Forrest E. Miller, Mischler Financial Group, Inc., Dinyar B. Mistry, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, Eric D. Mullins, Rosendo G. Parra, RBC Capital Markets, LLC, Barbara L. Rambo, SMBC Nikko Securities America, Inc., Samuel A. Ramirez & Company, Inc., Anne Shen Smith, Nickolas Stavropoulos, TD Securities (USA) LLC, David S. Thomason, U.S. Bancorp Investments, Inc., Wells Fargo Securities, LLC, Barry Lawson Williams, Geisha J. Williams, Williams Capital Group, L.P.. (gbaS, COURT STAFF) (Filed on 2/26/2019) |
| Filing 5 Initial Case Management Scheduling Order with ADR Deadlines: This case is assigned to a judge who participates in the Cameras in the Courtroom Pilot Project. See General Order 65 and http://cand.uscourts.gov/cameras Case Management Statement due by 5/16/2019. Initial Case Management Conference set for 5/23/2019 10:00 AM in San Francisco, Courtroom 03, 17th Floor. (Attachments: #1 Notice of Eligibility for Video Recording) (gbaS, COURT STAFF) (Filed on 2/26/2019) |
| Filing 4 Case assigned to Judge Richard Seeborg. 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. Counsel is required to send chambers a copy of the initiating documents pursuant to L.R. 5-1(e)(7). A scheduling order will be sent by Notice of Electronic Filing (NEF) within two business days. (cfeS, COURT STAFF) (Filed on 2/22/2019) |
| Filing 3 Certificate of Interested Entities by City of Warren Police and Fire Retirement System, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund, York County on Behalf of the County of York Retirement Fund (Robbins, Darren) (Filed on 2/22/2019) |
| Filing 2 Proposed Summons. (Robbins, Darren) (Filed on 2/22/2019) |
| Filing 1 CLASS ACTION COMPLAINT for Violations of the Securities Act of 1933; Demand for Jury Trial against BNP Paribas Securities Corp., BNY Mellon Capital Markets, LLC, Barclays Capital Inc., Blaylock Van, LLC, C.L. King & Associates, Inc., CIBC World Markets Corp., Lewis Chew, Citigroup Global Markets Inc., Anthony F. Earley, Jr., Fred J. Fowler, Goldman, Sachs & Co., LLC, Great Pacific Securities, Maryellen C. Herringer, J.P. Morgan Securities LLC, Richard C. Kelly, Roger H. Kimmel, Lebenthal & Co., LLC, MFR Securities, Inc., MUFG Securities Americas, Inc. f/k/a Mitsubishi UFJ Securities (USA), Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Richard A. Meserve, Forrest E. Miller, Mischler Financial Group, Inc., Dinyar B. Mistry, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, Eric D. Mullins, Rosendo G. Parra, RBC Capital Markets, LLC, Barbara L. Rambo, SMBC Nikko Securities America, Inc., Samuel A. Ramirez & Company, Inc., Anne Shen Smith, Nickolas Stavropoulos, TD Securities (USA) LLC, David S. Thomason, U.S. Bancorp Investments, Inc., Wells Fargo Securities, LLC, Barry Lawson Williams, Geisha J. Williams, Williams Capital Group, L.P. (Filing fee $ 400.00, receipt number 0971-13114731.). Filed by City of Warren Police and Fire Retirement System, York County on Behalf of the County of York Retirement Fund, Mid-Jersey Trucking Industry & Local No. 701 Pension Fund. (Attachments: #1 Civil Cover Sheet) (Robbins, Darren) (Filed on 2/22/2019) Modified on 2/26/2019 (gbaS, COURT STAFF). |
Access additional case information on PACER
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the California Northern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
