IN RE: Petrobras Securities
Plaintiff: Peter Kaltman, individually and on behalf of all others similarly situated, Dimensional Emerging Markets Value Fund, DFA Investment Dimensions Group Inc., on behalf of its series Emerging Markets Core Equity Portfolio, Emerging Markets Social Core Equity Portfolio and T.A. World ex U.S. Core Equity Portfolio, DFA Investment Trust Company, on behalf of its series The Emerging Markets Series, DFA Austria Limited, solely in its capacity as responsible entity for the Dimensional Emerging Markets Trust, DFA International Core Equity Fund, and DFA International Vector Equity Fund by Dimensional Fund Advisors Canada ULC solely in its capacity as Trustee, Dimensional Funds plc, on behalf of its subfund Emerging Markets Value Fund, Dimensional Funds ICVC, on behalf of its sub-fund Emerging Markets Core Equity Fund, SKAGEN AS, Danske Invest Management A/S, Danske Invest Management Company, New York City Employees' Retirement System, New York City Police Pension Fund, Board of Education Retirement System of the City of New York, Teachers' Retirement System of the City of New York, New York City Fire Department Pension Fund, New York City Deferred Compensation Plan, Forsta AP-fonden, Transamerica Income Shares, Inc., Transamerica Funds, Transamerica Series Trust, Transamerica Partners Portfolios, John Hancock Variable Insurance Trust, John Hancock Funds II, John Hancock Sovereign Bond Fund, John Hancock Bond Trust, John Hancock Strategic Series, John Hancock Investment Trust, JHF Income Securities Trust, JHF Investors Trust, JHF Hedged Equity & Income Fund, Aberdeen Emerging Markets Fund, Aberdeen Global Equity Fund, Aberdeen Global Natural Resources Fund, Aberdeen International Equity Fund, each a series of Aberdeen Funds, Aberdeen Canada Emerging Markets Fund, Aberdeen Canada Socially Responsible Global Fund, Aberdeen Canada Socially Responsible International Fund, Aberdeen Canada Funds EAFE Plus Equity Fund and Aberdeen Canada Funds Global Equity Fund, each a series of Aberdeen Canada Funds, Aberdeen EAFE Plus Ethical Fund, Aberdeen EAFE Plus Fund, Aberdeen EAFE Plus SRI Fund, Aberdeen Emerging Markets Equity Fund, Aberdeen Fully Hedged International Equities Fund, Aberdeen International Equity Fund, Aberdeen Global Emerging Markets Equity Fund, Aberdeen Global Ethical World Equity Fund, Aberdeen Global Responsible World Equity Fund, Aberdeen Global World Equity Dividend Fund, Aberdeen Global World Equity Fund, Aberdeen Global World Resources Equity Fund, Aberdeen Ethical World Equity Fund, Aberdeen Multi-Asset Fund, Aberdeen World Equity Fund, Aberdeen Latin America Equity Fund, Inc., AAAID Equity Portfolio, Alberta Teachers Retirement Fund, Aon Hewitt Investment Consulting, Inc., Aurion International Daily Equity Fund, Bell Aliant Regional Communications Inc., BMO Global Equity Class, City of Albany Pension Plan, Desjardins Dividend Income Fund, Desjardins Emerging Markets Fund, Desjardins Global All Capital Equity Fund, Desjardins Overseas Equity Value Fund, Devon County Council Global Emerging Market Fund, Devon County Council Global Equity Fund, DGIA Emerging Markets Equity Fund L.P., Erie Insurance Exchange, First Trust / Aberdeen Emerging Opportunity Fund, GE UK Pension Common Investment Fund, Hapshire County Council Global Equity Portfolio, London Borough of Hounslow Supperannuation Fund, MacKenzie Universal Sustainable Opportunities Class, Marshfield Clinic, Mother Theresa Care and Mission Trust, MTR Corporation Limited Retirement Scheme, Myria Asset Managment Emergence, National Pension Service, NPS Trust Active 14, Ohio Public Employees Retirement System, Washington State Investment Board, Aberdeen Latin American Income Fund Limited, Aberdeen Global ex Japan Pension Fund ppit, FS International Equity Mother Fund, NN Investment Partners B.V., acting in the capacity of management company of the mutual fund NN Global Equity Fund, and in the capacity of magement company of the mutual fund NN Institutioneel Dividend Aandelen Fonds, NN Investment Partners Luxembourg S.A., acting in the capacity of management company SICAV and its Sub-Funds, and NN (L) SICAV, for and on behalf of NN (L) Emerging Markets High Dividend, NN (L) First, Aura Capital Ltd., WGI Emerging Markets Fund, LLC, Bill and Melinda Gates Foundation Trust, Board of Regents of the University of Texas System, Trustees of the Estate of Bernice Pauahi Bishop, Louis Kennedy, individually and on behalf of all others similarly situated, Ken Ngo, individually and on behalf of all others similarly situated, Jonathan Messing, individually and on behalf of all others similarly situated, City of Providence, individually and on behalf of all others similarly situated and Union Asset Management Holding AG
Defendant: Jose Sergio Gabrielli, Silvio Sinedino Pinheiro, Paulo Roberto Costa, Jose Carlos Cosenza, Renato de Souza Duque, Guillherme de Oliveira Estrella, Jose Miranda Formigl Filho, Maria Das Gracas Silva Foster, Almir Guilherme Barbassa, Mariangela Mointeiro Tizatto, Josue Christiano Gome Da Silva, Daniel Lima De Oliveira, Jose Raimundo Branda Pereira, Servio Tulio Da Rosa Tinoco, Paulo Jose Alves, Gustavo Tardin Barbosa, Alexandre Quintao Fernandes, Marcos Antonio Zacarias, Cornelis Franciscus Joze Looman and JP Morgan Securities LLC
Plaintiff - Appellee: Universities Superannuation Scheme Limited, Employees Retirement System of the State of Hawaii and North Carolina Department of State Treasurer
Defendant - Appellant: Petroleo Brasileiro S.A. Petrobras, BB Securities Ltd., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Bank of China (Hong Kong) Limited, Banca IMI, S.p.A., Scotia Capital (USA) Inc., PricewaterhouseCoopers Auditores Independentes, Theodore Marshall Helms, Petrobras Global Finance B.V., Petrobras America Inc., CitiGroup Global Market, Inc., Itau BBA USA Securities, Inc., J.P.Morgan Securities LLC, Morgan Stanley & Co. LLC, Mitsubishi UFJ Securities (USA), Inc., HSBC Securities (USA) Inc., Standard Chartered Bank and Banco Bradesco BBI S.A.
Amicus Curiae: Securities Industry and Financial Markets Association, Chamber of Commerce of the United States of America, State Board of Administration of Florida, James Angel, Egon Guttman, Daniel Blinka, Kenneth S. Broun, Bennett I. Capers, Daniel J. Capra, Ronald L. Carlson, Mirjan R. Damaska, George Fisher, Michael Graham, Michael J. Hutter, Esq., Edward Imwinkelried, Laird Kirkpatrick, Frederic I. Lederer, Graham C. Lilly, Michael M. Martin, Liesa Richter, Stephen A. Saltzburg, James D. Cox, Jill E. Fisch, Merritt B. Fox, Thomas Lee Hazen, Donald Langevoort, James Park, Frank Partnoy, Hillary A. Sale, Randall S. Thomas, Robert B. Thompson, Urska Velikonja, Associacao Brasileira de Bancos Internacionais, EuropeanIssuers aisbl, Sanjai Bhagat, Joseph A. Grundfest, Charles Hadlock, Jeffry M. Netter, Gordon M. Phillips, Jay R. Ritter, Elizabeth Cosenza, Ronald J. Colombo, Esq., Wulf A. Kaal, Richard W. Painter, J. Mark Ramseyer, National Conference on Public Employee Retirement Systems and Depository Trust Company
Case Number: 16-1914
Filed: February 16, 2016
Court: U.S. Court of Appeals, Second Circuit
Nature of Suit: STATUTES-Secur Comm Exchange
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Search for this case: IN RE: Petrobras Securities
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Plaintiff: Peter Kaltman, individually and on behalf of all others similarly situated
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Plaintiff: Dimensional Emerging Markets Value Fund
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Plaintiff: DFA Investment Dimensions Group Inc., on behalf of its series Emerging Markets Core Equity Portfolio
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Plaintiff: Emerging Markets Social Core Equity Portfolio and T.A. World ex U.S. Core Equity Portfolio
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Plaintiff: DFA Investment Trust Company, on behalf of its series The Emerging Markets Series
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Plaintiff: DFA Austria Limited, solely in its capacity as responsible entity for the Dimensional Emerging Markets Trust
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Plaintiff: DFA International Core Equity Fund, and DFA International Vector Equity Fund by Dimensional Fund Advisors Canada ULC solely in its capacity as Trustee
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Plaintiff: Dimensional Funds plc, on behalf of its subfund Emerging Markets Value Fund
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Plaintiff: Dimensional Funds ICVC, on behalf of its sub-fund Emerging Markets Core Equity Fund
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Plaintiff: SKAGEN AS
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Plaintiff: Danske Invest Management A/S
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Plaintiff: Danske Invest Management Company
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Plaintiff: New York City Employees' Retirement System
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Plaintiff: New York City Police Pension Fund
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Plaintiff: Board of Education Retirement System of the City of New York
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Plaintiff: Teachers' Retirement System of the City of New York
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Plaintiff: New York City Fire Department Pension Fund
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Plaintiff: New York City Deferred Compensation Plan
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Plaintiff: Forsta AP-fonden
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Plaintiff: Transamerica Income Shares, Inc.
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Plaintiff: Transamerica Funds
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Plaintiff: Transamerica Series Trust
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Plaintiff: Transamerica Partners Portfolios
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Plaintiff: John Hancock Variable Insurance Trust
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Plaintiff: John Hancock Funds II
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Plaintiff: John Hancock Sovereign Bond Fund
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Plaintiff: John Hancock Bond Trust
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Plaintiff: John Hancock Strategic Series
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Plaintiff: John Hancock Investment Trust
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Plaintiff: JHF Income Securities Trust
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Plaintiff: JHF Investors Trust
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Plaintiff: JHF Hedged Equity & Income Fund
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Plaintiff: Aberdeen Emerging Markets Fund
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Plaintiff: Aberdeen Global Equity Fund
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Plaintiff: Aberdeen Global Natural Resources Fund
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Plaintiff: Aberdeen International Equity Fund, each a series of Aberdeen Funds
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Plaintiff: Aberdeen Canada Emerging Markets Fund
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Plaintiff: Aberdeen Canada Socially Responsible Global Fund
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Plaintiff: Aberdeen Canada Socially Responsible International Fund
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Plaintiff: Aberdeen Canada Funds EAFE Plus Equity Fund and Aberdeen Canada Funds Global Equity Fund, each a series of Aberdeen Canada Funds
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Plaintiff: Aberdeen EAFE Plus Ethical Fund
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Plaintiff: Aberdeen EAFE Plus Fund
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Plaintiff: Aberdeen EAFE Plus SRI Fund
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Plaintiff: Aberdeen Emerging Markets Equity Fund
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Plaintiff: Aberdeen Fully Hedged International Equities Fund
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Plaintiff: Aberdeen International Equity Fund
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Plaintiff: Aberdeen Global Emerging Markets Equity Fund
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Plaintiff: Aberdeen Global Ethical World Equity Fund
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Plaintiff: Aberdeen Global Responsible World Equity Fund
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Plaintiff: Aberdeen Global World Equity Dividend Fund
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Plaintiff: Aberdeen Global World Equity Fund
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Plaintiff: Aberdeen Global World Resources Equity Fund
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Plaintiff: Aberdeen Ethical World Equity Fund
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Plaintiff: Aberdeen Multi-Asset Fund
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Plaintiff: Aberdeen World Equity Fund
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Plaintiff: Aberdeen Latin America Equity Fund, Inc.
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Plaintiff: AAAID Equity Portfolio
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Plaintiff: Alberta Teachers Retirement Fund
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Plaintiff: Aon Hewitt Investment Consulting, Inc.
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Plaintiff: Aurion International Daily Equity Fund
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Plaintiff: Bell Aliant Regional Communications Inc.
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Plaintiff: BMO Global Equity Class
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Plaintiff: City of Albany Pension Plan
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Plaintiff: Desjardins Dividend Income Fund
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Plaintiff: Desjardins Emerging Markets Fund
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Plaintiff: Desjardins Global All Capital Equity Fund
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Plaintiff: Desjardins Overseas Equity Value Fund
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Plaintiff: Devon County Council Global Emerging Market Fund
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Plaintiff: Devon County Council Global Equity Fund
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Plaintiff: DGIA Emerging Markets Equity Fund L.P.
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Plaintiff: Erie Insurance Exchange
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Plaintiff: First Trust / Aberdeen Emerging Opportunity Fund
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Plaintiff: GE UK Pension Common Investment Fund
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Plaintiff: Hapshire County Council Global Equity Portfolio
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Plaintiff: London Borough of Hounslow Supperannuation Fund
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Plaintiff: MacKenzie Universal Sustainable Opportunities Class
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Plaintiff: Marshfield Clinic
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Plaintiff: Mother Theresa Care and Mission Trust
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Plaintiff: MTR Corporation Limited Retirement Scheme
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Plaintiff: Myria Asset Managment Emergence
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Plaintiff: National Pension Service
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Plaintiff: NPS Trust Active 14
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Plaintiff: Ohio Public Employees Retirement System
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Plaintiff: Washington State Investment Board
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Plaintiff: Aberdeen Latin American Income Fund Limited
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Plaintiff: Aberdeen Global ex Japan Pension Fund ppit
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Plaintiff: FS International Equity Mother Fund
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Plaintiff: NN Investment Partners B.V., acting in the capacity of management company of the mutual fund NN Global Equity Fund, and in the capacity of magement company of the mutual fund NN Institutioneel Dividend Aandelen Fonds
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Plaintiff: NN Investment Partners Luxembourg S.A., acting in the capacity of management company SICAV and its Sub-Funds, and NN (L) SICAV, for and on behalf of NN (L) Emerging Markets High Dividend, NN (L) First
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Plaintiff: Aura Capital Ltd.
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Plaintiff: WGI Emerging Markets Fund, LLC
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Plaintiff: Bill and Melinda Gates Foundation Trust
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Plaintiff: Board of Regents of the University of Texas System
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Plaintiff: Trustees of the Estate of Bernice Pauahi Bishop
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Plaintiff: Louis Kennedy, individually and on behalf of all others similarly situated
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Plaintiff: Ken Ngo, individually and on behalf of all others similarly situated
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Plaintiff: Jonathan Messing, individually and on behalf of all others similarly situated
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Plaintiff: City of Providence, individually and on behalf of all others similarly situated
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Plaintiff: Union Asset Management Holding AG
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Plaintiff - appellee: Universities Superannuation Scheme Limited
Represented By: Jeremy Alan Lieberman
Represented By: Emma Gilmore
Represented By: Marc Ian Gross
Represented By: John Anthony Kehoe
Represented By: Brenda F. Szydlo
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Plaintiff - appellee: Employees Retirement System of the State of Hawaii
Represented By: Jeremy Alan Lieberman
Represented By: Emma Gilmore
Represented By: Marc Ian Gross
Represented By: John Anthony Kehoe
Represented By: Brenda F. Szydlo
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Plaintiff - appellee: North Carolina Department of State Treasurer
Represented By: Jeremy Alan Lieberman
Represented By: Emma Gilmore
Represented By: Marc Ian Gross
Represented By: John Anthony Kehoe
Represented By: Brenda F. Szydlo
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Defendant: Jose Sergio Gabrielli
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Defendant: Silvio Sinedino Pinheiro
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Defendant: Paulo Roberto Costa
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Defendant: Jose Carlos Cosenza
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Defendant: Renato de Souza Duque
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Defendant: Guillherme de Oliveira Estrella
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Defendant: Jose Miranda Formigl Filho
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Defendant: Maria Das Gracas Silva Foster
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Defendant: Almir Guilherme Barbassa
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Defendant: Mariangela Mointeiro Tizatto
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Defendant: Josue Christiano Gome Da Silva
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Defendant: Daniel Lima De Oliveira
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Defendant: Jose Raimundo Branda Pereira
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Defendant: Servio Tulio Da Rosa Tinoco
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Defendant: Paulo Jose Alves
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Defendant: Gustavo Tardin Barbosa
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Defendant: Alexandre Quintao Fernandes
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Defendant: Marcos Antonio Zacarias
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Defendant: Cornelis Franciscus Joze Looman
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Defendant: JP Morgan Securities LLC
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Defendant - appellant: Petroleo Brasileiro S.A. Petrobras
Represented By: Lewis J. Liman
Represented By: Jared Gerber
Represented By: Mitchell A. Lowenthal
Represented By: Anthony M. Shults
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Defendant - appellant: BB Securities Ltd.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Bank of China (Hong Kong) Limited
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Banca IMI, S.p.A.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Scotia Capital (USA) Inc.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: PricewaterhouseCoopers Auditores Independentes
Represented By: James Capra
Represented By: Israel Dahan
Represented By: Michael R. Pauze
Represented By: Kenneth Yeatts Turnbull
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Defendant - appellant: Theodore Marshall Helms
Represented By: Lewis J. Liman
Represented By: Jared Gerber
Represented By: Mitchell A. Lowenthal
Represented By: Anthony M. Shults
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Defendant - appellant: Petrobras Global Finance B.V.
Represented By: Lewis J. Liman
Represented By: Jared Gerber
Represented By: Mitchell A. Lowenthal
Represented By: Anthony M. Shults
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Defendant - appellant: Petrobras America Inc.
Represented By: Lewis J. Liman
Represented By: Jared Gerber
Represented By: Mitchell A. Lowenthal
Represented By: Anthony M. Shults
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Defendant - appellant: CitiGroup Global Market, Inc.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Itau BBA USA Securities, Inc.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: J.P.Morgan Securities LLC
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Morgan Stanley & Co. LLC
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Mitsubishi UFJ Securities (USA), Inc.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: HSBC Securities (USA) Inc.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Standard Chartered Bank
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellant: Banco Bradesco BBI S.A.
Represented By: Jay B. Kasner
Represented By: Jeremy Asher Berman
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Amicus curiae: Securities Industry and Financial Markets Association
Represented By: Richard Rosen
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Amicus curiae: Chamber of Commerce of the United States of America
Represented By: Michael H. Park
Represented By: John Michael Connolly
Represented By: Warren David Postman
Represented By: Kathryn L. Comerford Todd
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Amicus curiae: State Board of Administration of Florida
Represented By: Joseph Carl Cecere
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Amicus curiae: James Angel
Represented By: Joseph Carl Cecere
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Amicus curiae: Egon Guttman
Represented By: Joseph Carl Cecere
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Amicus curiae: Daniel Blinka
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Kenneth S. Broun
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Bennett I. Capers
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Daniel J. Capra
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Ronald L. Carlson
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Mirjan R. Damaska
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: George Fisher
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Michael Graham
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Michael J. Hutter, Esq.
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Edward Imwinkelried
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Laird Kirkpatrick
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Frederic I. Lederer
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Graham C. Lilly
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Michael M. Martin
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Liesa Richter
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: Stephen A. Saltzburg
Represented By: James A. Feldman
Represented By: Jeffrey W. Golan
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Amicus curiae: James D. Cox
Represented By: Kimberly Brown
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Amicus curiae: Jill E. Fisch
Represented By: Kimberly Brown
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Amicus curiae: Merritt B. Fox
Represented By: Kimberly Brown
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Amicus curiae: Thomas Lee Hazen
Represented By: Kimberly Brown
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Amicus curiae: Donald Langevoort
Represented By: Kimberly Brown
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Amicus curiae: James Park
Represented By: Kimberly Brown
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Amicus curiae: Frank Partnoy
Represented By: Kimberly Brown
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Amicus curiae: Hillary A. Sale
Represented By: Kimberly Brown
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Amicus curiae: Randall S. Thomas
Represented By: Kimberly Brown
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Amicus curiae: Robert B. Thompson
Represented By: Kimberly Brown
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Amicus curiae: Urska Velikonja
Represented By: Kimberly Brown
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Amicus curiae: Associacao Brasileira de Bancos Internacionais
Represented By: Lawrence T. Gresser
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Amicus curiae: EuropeanIssuers aisbl
Represented By: Jason P. Gottlieb
Represented By: Daniel Isaacs
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Amicus curiae: Sanjai Bhagat
Represented By: Arthur S. Greenspan
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Amicus curiae: Joseph A. Grundfest
Represented By: Jeffrey M. Kurzon
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Amicus curiae: Charles Hadlock
Represented By: Arthur S. Greenspan
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Amicus curiae: Jeffry M. Netter
Represented By: Arthur S. Greenspan
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Amicus curiae: Gordon M. Phillips
Represented By: Arthur S. Greenspan
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Amicus curiae: Jay R. Ritter
Represented By: Arthur S. Greenspan
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Amicus curiae: Elizabeth Cosenza
Represented By: Jeffrey M. Kurzon
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Amicus curiae: Ronald J. Colombo, Esq.
Represented By: Jeffrey M. Kurzon
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Amicus curiae: Wulf A. Kaal
Represented By: Jeffrey M. Kurzon
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Amicus curiae: Richard W. Painter
Represented By: Jeffrey M. Kurzon
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Amicus curiae: J. Mark Ramseyer
Represented By: Jeffrey M. Kurzon
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Amicus curiae: National Conference on Public Employee Retirement Systems
Represented By: Erik Scott Jaffe
Represented By: Max W. Berger
Represented By: Salvatore Graziano
Represented By: Robert David Klausner
Represented By: Blair A. Nicholas
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Amicus curiae: Depository Trust Company
Represented By: Gregg M. Mashberg
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