York County on Behalf of the County of York Retirement Fund et al v. Rambo et al
Plaintiff: 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
Defendant: 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. and MUFG Securities Americas, Inc.
Case Number: 5:2019cv00994
Filed: February 22, 2019
Court: US District Court for the Northern District of California
Presiding Judge: Edward J Davila
Referring Judge: Susan van Keulen
2 Judge: Richard Seeborg
Nature of Suit: Securities/Commodities
Cause of Action: 15:77
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on May 8, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
May 8, 2019 Opinion or Order 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)
May 8, 2019 Opinion or Order 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)
May 8, 2019 Opinion or Order 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)
May 8, 2019 Opinion or Order 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)
May 7, 2019 Opinion or Order 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).
May 7, 2019 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).
May 7, 2019 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).
May 7, 2019 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).
May 6, 2019 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)
May 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)
May 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)
May 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)
May 6, 2019 Filing 90 NOTICE of Appearance by Kenneth Joseph Black (Black, Kenneth) (Filed on 5/6/2019)
May 6, 2019 Filing 89 NOTICE of Appearance by Willow E. Radcliffe (Radcliffe, Willow) (Filed on 5/6/2019)
May 3, 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)
May 2, 2019 Opinion or Order 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)
May 2, 2019 Opinion or Order Filing 86 ORDER OF RECUSAL. Signed by Judge Richard Seeborg on 5/2/19. (cl, COURT STAFF) (Filed on 5/2/2019)
May 1, 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 1, 2019 Filing 63 Corporate Disclosure Statement by Mischler Financial Group, Inc. (Potischman, Neal) (Filed on 5/1/2019)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 1, 2019 Filing 55 Corporate Disclosure Statement by Great Pacific Securities (Potischman, Neal) (Filed on 5/1/2019)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 1, 2019 Filing 47 Corporate Disclosure Statement by C.L. King & Associates, Inc. (Potischman, Neal) (Filed on 5/1/2019)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 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)
May 1, 2019 Filing 38 NOTICE of Appearance by Ian Christopher Jam Hogg (Hogg, Ian) (Filed on 5/1/2019)
May 1, 2019 Filing 37 NOTICE of Appearance by Neal Alan Potischman (Potischman, Neal) (Filed on 5/1/2019)
April 24, 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)
April 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)
April 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)
April 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)
April 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)
April 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)
March 14, 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
March 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)
February 26, 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)
February 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)
February 22, 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)
February 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)
February 22, 2019 Filing 2 Proposed Summons. (Robbins, Darren) (Filed on 2/22/2019)
February 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).

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Search for this case: York County on Behalf of the County of York Retirement Fund et al v. Rambo et al
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Defendant: Citigroup Global Markets Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: J.P. Morgan Securities LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Lebenthal & Co., LLC
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Defendant: Barry Lawson Williams
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Defendant: Barbara L. Rambo
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Defendant: Dinyar B. Mistry
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Defendant: Roger H. Kimmel
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Defendant: Wells Fargo Securities, LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Lewis Chew
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Defendant: CIBC World Markets Corp.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Anne Shen Smith
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Defendant: MFR Securities, Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: TD Securities (USA) LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Richard A. Meserve
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Defendant: Barclays Capital Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: SMBC Nikko Securities America, Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Maryellen C. Herringer
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Defendant: BNY Mellon Capital Markets, LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Williams Capital Group, L.P.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Richard C. Kelly
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Defendant: Fred J. Fowler
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Defendant: Goldman, Sachs & Co., LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Anthony F. Earley, Jr.
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Defendant: Geisha J. Williams
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Defendant: Great Pacific Securities
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Nickolas Stavropoulos
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Defendant: U.S. Bancorp Investments, Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: BNP Paribas Securities Corp.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: David S. Thomason
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Defendant: Rosendo G. Parra
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Defendant: Morgan Stanley & Co. LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Blaylock Van, LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Forrest E. Miller
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Defendant: C.L. King & Associates, Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Mischler Financial Group, Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Mizuho Securities USA LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: MUFG Securities Americas, Inc. f/k/a Mitsubishi UFJ Securities (USA), Inc.
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Defendant: RBC Capital Markets, LLC
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: Eric D. Mullins
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Defendant: Samuel A. Ramirez & Company, Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Defendant: MUFG Securities Americas, Inc.
Represented By: Dana M. Seshens
Represented By: Ian Christopher Jam Hogg
Represented By: Charles S. Duggan
Represented By: Craig Cagney
Represented By: Neal Alan Potischman
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Plaintiff: Mid-Jersey Trucking Industry & Local No. 701 Pension Fund
Represented By: Darren Jay Robbins
Represented By: Thomas C. Michaud
Represented By: Shawn A. Williams
Represented By: Brian Edward Cochran
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Plaintiff: York County on Behalf of the County of York Retirement Fund
Represented By: Darren Jay Robbins
Represented By: Thomas C. Michaud
Represented By: Shawn A. Williams
Represented By: Brian Edward Cochran
Represented By: Willow E. Radcliffe
Represented By: Kenneth Joseph Black
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Plaintiff: City of Warren Police and Fire Retirement System
Represented By: Darren Jay Robbins
Represented By: Thomas C. Michaud
Represented By: Shawn A. Williams
Represented By: Brian Edward Cochran
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