In Re: Libor-Based Financial
Plaintiff: Joseph Amabile, Louie Amabile, individually & on behalf of Lue Trading, Inc., Norman Byster, Michael Cahill, Richard Deogracias, individually on behalf of RCD Trading, Inc., Marc Federighi, individually on behalf of MCO Trading, Scott Federighi, Robert Furlong, David Gough, David Klusendorf, Ronald Krug, Brian Haggerty, John Monckton, Philip Olson, Christopher Lang, David Vecchione, Randall Williams, Brett Pankau, 303 Proprietary Trading LLC, Margery Teller, John Henderson, Eduardo Restani and Nicholas Pesa
Petitioner: PFI Diversified Real Asset Fund, PFI Equity Income Fund, PFI Global Diversified Income Fund, PFI Government & High Quality Bond Fund, PFI High Yield Fund, PFI High Yield Fund I, PFI Core Plus Bond I Fund, PFI Income Fund, PFI Inflation Protection Fund, PFI Short-Term Income Fund, PFI Money Market Fund, PFI Preferred Securities Fund, Principal Variable Contracts Funds, Inc., PVC Asset Allocation Account, PVC Money Market Account, PVC Balanced Account, PVC Bond & Mortgage Securities Account, PVC Equity Income Account, PVC Government & High Quality Bond Account, PVC Income Account, PVC Short-Term Income Account, The Federal Home Loan Mortgage Corporation, Principal Financial Group, Inc., Principal Financial Services, Inc., Principal Life Insurance Company, Principal Funds, Inc., PFI Bond & Mortgage Securities Fund and PFI Bond Market Index Fund
Respondent: Bank of America Corporation, Barclays Bank PLC, UBS AG, Credit Suisse Group AG, WestLB AG, Bank of America N.A., Merrill Lynch Capital Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch & Co., Inc., Bank of America Securities LLC, Merrill Lynch International Bank, Ltd., Bank of America Home Loans, Barclays Capital Inc., Barclays US Funding LLC, Bank of Tokyo-Mitsubishi UFJ Trust Company, British Bankers' Association, BBA Enterprises, Ltd, BBA Libor, Ltd, Cooperatieve Rabobank U.A., Rabobank Group, Credit Suisse Group, NA, Credit Suisse Securities (USA) LLC, Credit Suisse International, Credit Suisse (USA), Inc., Citibank, N.A., CitiGroup Global Market, Inc., Citigroup Inc., Citigroup Financial Products, Inc., Citi Swapco Inc., Citigroup Global Markets Limited, Citigroup Funding, Inc., J.P. Morgan Chase & Co., JP Morgan Chase Bank, N.A., Chase Bank USA, N.A., J.P. Morgan Bank Dublin PLC, J.P. Morgan Markets Ltd., J.P. Morgan Securities, LLC, Bear Stearns Capital Markets, Inc., Deutsche Bank AG, Deutsche Bank Financial LLC, Deutsche Bank Securities Inc., Lloyds Banking Group plc, Lloyds Banking Group PLS, Lloyds TSB Bank PLC, HSBC Securities (USA) Inc., HSBC Bank PLC, Hongkong and Shanghai Banking Corporation, Ltd., HSBC Markets (USA) Inc., HSBC Finance Corporation, HSBC USA Inc., HSBC Holdings PLC, The Norinchukin Bank, The Royal Bank of Scotland Group PLC, Citizens Bank N.A., Royal Bank of Canada, RBC Capital Markets LLC, Portigon AG, Portigon/WestLB AG, WestDeutsche ImmobilienBank AG, UBS Securities LLC, UBS Limited, Societe Generale, ICAP plc, National Collegiate Student Loan Trust 2007-1, Berkshire Bank, Government Development Bank for Puerto Rico, Directors Financial Group, Regents of the University of California, East Bay Municipal Utility District, San Diego Association of Governments, City of Richmond, Richmond Joint Powers Financing Authority, Successor Agency to the Richmond Community Redevelopment Agency, City of Riverside, Riverside Public Financing Authority, The County of Mendocino, County of Sacramento, County of San Diego, County of San Mateo, San Mateo Couty Joint Powers Financing Authority, County of Sonoma, David E. Sundstrom, in his official capacity as Treasurer of the county of Sonoma for and on behalf of the Sonoma County Tresury Pool Investment, National Credit Union Administration Board, as liquidating Agent of U.S. Central Federal Credit Union, Western Corporate Federal Credit Union, Members United Corporate Federal Credit Union, Southwest Corporate Federal Credit Union, and Constitution Corpor, City of Houston, Triaxx Prime CDO 2006-1 ltd., Triaxx Prime CDO 2006-2, Ltd., Triaxx Prime CDO 2007-1, Ltd., Bay Area Toll Authority, Charles Schwab Bank, N.A., CEMA Joint Venture, Federal National Mortgage Association, Darby Financial Products, Prudential Core Taxable Money Market Fund, Prudential Investment Portfolios 2, FKA DRYDEN CORE INVESTMENT FUND on behalf of PRUDENTIAL CORE SHORTTERM BOND FUND, Salix Capital US Inc., City of Philadelphia, Pennsylvania Intergovernmental Cooperation Authority, City of New Britain Firefighters' and Police Benefit Fund, on behalf of itself and all others similarly situated, Jennie Stuart Medical Center, Inc., Mayor and City Council of Baltimore, SEIU Pension Plans Master Trust, Texas Competitive Electric Holdings Company LLC, Yale University, Ellen Gelboim, on behalf of herself and all others similarly situated, Linda Zacher, 303030 Trading LLC, Atlantic Trading USA, LLC, FTC Futures Fund PCC Ltd, on behalf of themselves and all others similarly situated, FTC Futures Fund SICAV, Gary Francis and Metzler Investment GmbH
Case Number: 17-1694
Filed: May 24, 2017
Court: U.S. Court of Appeals, Second Circuit
Nature of Suit: Other
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Plaintiff: Joseph Amabile
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Plaintiff: Louie Amabile, individually & on behalf of Lue Trading, Inc.
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Plaintiff: Norman Byster
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Plaintiff: Michael Cahill
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Plaintiff: Richard Deogracias, individually on behalf of RCD Trading, Inc.
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Plaintiff: Marc Federighi, individually on behalf of MCO Trading
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Plaintiff: Scott Federighi
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Plaintiff: Robert Furlong
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Plaintiff: David Gough
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Plaintiff: David Klusendorf
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Plaintiff: Ronald Krug
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Plaintiff: Brian Haggerty
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Plaintiff: John Monckton
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Plaintiff: Philip Olson
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Plaintiff: Christopher Lang
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Plaintiff: David Vecchione
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Plaintiff: Randall Williams
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Plaintiff: Brett Pankau
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Plaintiff: 303 Proprietary Trading LLC
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Plaintiff: Margery Teller
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Plaintiff: John Henderson
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Plaintiff: Eduardo Restani
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Plaintiff: Nicholas Pesa
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Petitioner: PFI Diversified Real Asset Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Equity Income Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Global Diversified Income Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Government & High Quality Bond Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI High Yield Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI High Yield Fund I
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Core Plus Bond I Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Income Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Inflation Protection Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Short-Term Income Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Money Market Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Preferred Securities Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: Principal Variable Contracts Funds, Inc.
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Asset Allocation Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Money Market Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Balanced Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Bond & Mortgage Securities Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Equity Income Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Government & High Quality Bond Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Income Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PVC Short-Term Income Account
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: The Federal Home Loan Mortgage Corporation
Represented By: James Robertson Martin
Represented By: Jennifer Duncan Hackett
Represented By: Woody Norman Peterson
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Petitioner: Principal Financial Group, Inc.
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: Principal Financial Services, Inc.
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: Principal Life Insurance Company
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: Principal Funds, Inc.
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Bond & Mortgage Securities Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Petitioner: PFI Bond Market Index Fund
Represented By: Stacey Slaughter
Represented By: K. Craig Wildfang
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Respondent: Bank of America Corporation
Represented By: Arthur Joseph Burke
Represented By: Adam Gabor Mehes
Represented By: Paul S. Mishkin
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Respondent: Barclays Bank PLC
Represented By: David H. Braff
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Respondent: UBS AG
Represented By: Peter Sullivan
Represented By: Jefferson E. Bell
Represented By: Lawrence J. Zweifach
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Respondent: Credit Suisse Group AG
Represented By: Elai Katz
Represented By: Herbert Scott Washer
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Respondent: WestLB AG
Represented By: Arthur Joseph Burke
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Respondent: Bank of America N.A.
Represented By: Arthur Joseph Burke
Represented By: Adam Gabor Mehes
Represented By: Paul S. Mishkin
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Respondent: Merrill Lynch Capital Services, Inc.
Represented By: Arthur Joseph Burke
Represented By: Adam Gabor Mehes
Represented By: Paul S. Mishkin
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Respondent: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By: Arthur Joseph Burke
Represented By: Adam Gabor Mehes
Represented By: Paul S. Mishkin
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Respondent: Merrill Lynch & Co., Inc.
Represented By: Peter John Davis
Represented By: Adam Gabor Mehes
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Respondent: Bank of America Securities LLC
Represented By: Peter John Davis
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Respondent: Merrill Lynch International Bank, Ltd.
Represented By: Peter John Davis
Represented By: Adam Gabor Mehes
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Respondent: Bank of America Home Loans
Represented By:
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Respondent: Barclays Capital Inc.
Represented By: Matthew J. Porpora
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Respondent: Barclays US Funding LLC
Represented By: David H. Braff
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Respondent: Bank of Tokyo-Mitsubishi UFJ Trust Company
Represented By: Daryl Libow
Represented By: Christopher Michael Viapiano
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Respondent: British Bankers' Association
Represented By: Jeff G. Hammel
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Respondent: BBA Enterprises, Ltd
Represented By: Jeff G. Hammel
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Respondent: BBA Libor, Ltd
Represented By: Jeff G. Hammel
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Respondent: Cooperatieve Rabobank U.A.
Represented By: Arthur Joseph Burke
Represented By: David R. Gelfand
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Respondent: Rabobank Group
Represented By: David R. Gelfand
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Respondent: Credit Suisse Group, NA
Represented By: Elai Katz
Represented By: Herbert Scott Washer
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Respondent: Credit Suisse Securities (USA) LLC
Represented By: Elai Katz
Represented By: Herbert Scott Washer
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Respondent: Credit Suisse International
Represented By: Elai Katz
Represented By: Herbert Scott Washer
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Respondent: Credit Suisse (USA), Inc.
Represented By: Elai Katz
Represented By: Herbert Scott Washer
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Respondent: Citibank, N.A.
Represented By: Alan M. Wiseman
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Respondent: CitiGroup Global Market, Inc.
Represented By: Lev L. Dassin
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Respondent: Citigroup Inc.
Represented By: Lev L. Dassin
Represented By: Andrew A. Ruffino
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Respondent: Citigroup Financial Products, Inc.
Represented By: Lev L. Dassin
Represented By: Andrew A. Ruffino
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Respondent: Citi Swapco Inc.
Represented By: Andrew A. Ruffino
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Respondent: Citigroup Global Markets Limited
Represented By: Lev L. Dassin
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Respondent: Citigroup Funding, Inc.
Represented By: Lev L. Dassin
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Respondent: J.P. Morgan Chase & Co.
Represented By: Arthur Joseph Burke
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Respondent: JP Morgan Chase Bank, N.A.
Represented By: Alan C. Turner
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Respondent: Chase Bank USA, N.A.
Represented By: Paul C. Gluckow
Represented By: Thomas C. Rice
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Respondent: J.P. Morgan Bank Dublin PLC
Represented By: Paul C. Gluckow
Represented By: Thomas C. Rice
Represented By: Alan C. Turner
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Respondent: J.P. Morgan Markets Ltd.
Represented By: Paul C. Gluckow
Represented By: Thomas C. Rice
Represented By: Alan C. Turner
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Respondent: J.P. Morgan Securities, LLC
Represented By: Paul C. Gluckow
Represented By: Thomas C. Rice
Represented By: Alan C. Turner
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Respondent: Bear Stearns Capital Markets, Inc.
Represented By: Alan C. Turner
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Respondent: Deutsche Bank AG
Represented By: Arthur Joseph Burke
Represented By: Moses Silverman
Represented By: Aidan Synnott
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Respondent: Deutsche Bank Financial LLC
Represented By: Andrew Corydon Finch
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Respondent: Deutsche Bank Securities Inc.
Represented By: Moses Silverman
Represented By: Aidan Synnott
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Respondent: Lloyds Banking Group plc
Represented By: Lisa J. Fried
Represented By: Marc J. Gottridge
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Respondent: Lloyds Banking Group PLS
Represented By: Lisa J. Fried
Represented By: Marc J. Gottridge
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Respondent: Lloyds TSB Bank PLC
Represented By: Lisa J. Fried
Represented By: Marc J. Gottridge
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Respondent: HSBC Securities (USA) Inc.
Represented By: Gregory Thomas Casamento
Represented By: James Matthew Goodin
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Respondent: HSBC Bank PLC
Represented By: Gregory Thomas Casamento
Represented By: James Matthew Goodin
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Respondent: Hongkong and Shanghai Banking Corporation, Ltd.
Represented By:
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Respondent: HSBC Markets (USA) Inc.
Represented By: Gregory Thomas Casamento
Represented By: James Matthew Goodin
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Respondent: HSBC Finance Corporation
Represented By: Gregory Thomas Casamento
Represented By: James Matthew Goodin
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Respondent: HSBC USA Inc.
Represented By: Gregory Thomas Casamento
Represented By: James Matthew Goodin
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Respondent: HSBC Holdings PLC
Represented By: Arthur Joseph Burke
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Respondent: The Norinchukin Bank
Represented By: Alan M. Unger
Represented By: Thomas Andrew Paskowitz
Represented By: Andrew W. Stern
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Respondent: The Royal Bank of Scotland Group PLC
Represented By: Arthur Joseph Burke
Represented By: David Sapir Lesser
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Respondent: Citizens Bank N.A.
Represented By: David Sapir Lesser
Represented By: Alan E. Schoenfeld
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Respondent: Royal Bank of Canada
Represented By: Robert Thomas Smith
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Respondent: RBC Capital Markets LLC
Represented By: Christian T. Kemnitz
Represented By: Brian J. Poronsky
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Respondent: Portigon AG
Represented By: Robert Frank Wise
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Respondent: Portigon/WestLB AG
Represented By:
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Respondent: WestDeutsche ImmobilienBank AG
Represented By: Arthur Joseph Burke
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Respondent: UBS Securities LLC
Represented By: Jefferson E. Bell
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Respondent: UBS Limited
Represented By: Jefferson E. Bell
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Respondent: Societe Generale
Represented By: Robert Frank Wise
Represented By: Steven Wolowitz
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Respondent: ICAP plc
Represented By: Brian S. Fraser
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Respondent: National Collegiate Student Loan Trust 2007-1
Represented By:
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Respondent: Berkshire Bank
Represented By: Jeremy Alan Lieberman
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Respondent: Government Development Bank for Puerto Rico
Represented By: Jeremy Alan Lieberman
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Respondent: Directors Financial Group
Represented By: Jeremy Alan Lieberman
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Respondent: Regents of the University of California
Represented By: Nanci E. Nishimura
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Respondent: East Bay Municipal Utility District
Represented By: Nanci E. Nishimura
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Respondent: San Diego Association of Governments
Represented By: Nanci E. Nishimura
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Respondent: City of Richmond
Represented By: Nanci E. Nishimura
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Respondent: Richmond Joint Powers Financing Authority
Represented By: Nanci E. Nishimura
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Respondent: Successor Agency to the Richmond Community Redevelopment Agency
Represented By: Nanci E. Nishimura
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Respondent: City of Riverside
Represented By: Nanci E. Nishimura
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Respondent: Riverside Public Financing Authority
Represented By: Nanci E. Nishimura
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Respondent: The County of Mendocino
Represented By: Nanci E. Nishimura
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Respondent: County of Sacramento
Represented By: Nanci E. Nishimura
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Respondent: County of San Diego
Represented By: Nanci E. Nishimura
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Respondent: County of San Mateo
Represented By: Nanci E. Nishimura
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Respondent: San Mateo Couty Joint Powers Financing Authority
Represented By: Nanci E. Nishimura
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Respondent: County of Sonoma
Represented By: Nanci E. Nishimura
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Respondent: David E. Sundstrom, in his official capacity as Treasurer of the county of Sonoma for and on behalf of the Sonoma County Tresury Pool Investment
Represented By: Nanci E. Nishimura
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Respondent: National Credit Union Administration Board, as liquidating Agent of U.S. Central Federal Credit Union, Western Corporate Federal Credit Union, Members United Corporate Federal Credit Union, Southwest Corporate Federal Credit Union, and Constitution Corpor
Represented By: Andrew Shen
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Respondent: City of Houston
Represented By: Nanci E. Nishimura
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Respondent: Triaxx Prime CDO 2006-1 ltd.
Represented By: David Steven Preminger
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Respondent: Triaxx Prime CDO 2006-2, Ltd.
Represented By: David Steven Preminger
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Respondent: Triaxx Prime CDO 2007-1, Ltd.
Represented By: David Steven Preminger
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Respondent: Bay Area Toll Authority
Represented By: Brendan P. Glackin
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Respondent: Charles Schwab Bank, N.A.
Represented By: Brendan P. Glackin
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Respondent: CEMA Joint Venture
Represented By:
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Respondent: Federal National Mortgage Association
Represented By: Kenneth Warner
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Respondent: Darby Financial Products
Represented By: Daniel L. Brockett
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Respondent: Prudential Core Taxable Money Market Fund
Represented By: Jacob J. Waldman
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Respondent: Prudential Investment Portfolios 2, FKA DRYDEN CORE INVESTMENT FUND on behalf of PRUDENTIAL CORE SHORTTERM BOND FUND
Represented By: Daniel L. Brockett
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Respondent: Salix Capital US Inc.
Represented By: Daniel L. Brockett
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Respondent: City of Philadelphia
Represented By: Daniel L. Brockett
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Respondent: Pennsylvania Intergovernmental Cooperation Authority
Represented By:
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Respondent: City of New Britain Firefighters' and Police Benefit Fund, on behalf of itself and all others similarly situated
Represented By: Daniel Hume
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Respondent: Jennie Stuart Medical Center, Inc.
Represented By: William Christopher Carmody
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Respondent: Mayor and City Council of Baltimore
Represented By: Arun S. Subramanian
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Respondent: SEIU Pension Plans Master Trust
Represented By: William Christopher Carmody
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Respondent: Texas Competitive Electric Holdings Company LLC
Represented By: Arun S. Subramanian
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Respondent: Yale University
Represented By: William Christopher Carmody
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Respondent: Ellen Gelboim, on behalf of herself and all others similarly situated
Represented By: Daniel Hume
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Respondent: Linda Zacher
Represented By: Daniel Hume
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Respondent: 303030 Trading LLC
Represented By: Daniel Hume
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Respondent: Atlantic Trading USA, LLC
Represented By: Daniel Hume
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Respondent: FTC Futures Fund PCC Ltd, on behalf of themselves and all others similarly situated
Represented By: Daniel Hume
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Respondent: FTC Futures Fund SICAV
Represented By: Daniel Hume
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Respondent: Gary Francis
Represented By: Daniel Hume
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Respondent: Metzler Investment GmbH
Represented By: Roger W. Kirby
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