In Re: Petrobras Securities
Plaintiff: Aura Capital Ltd., 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 sub-fund 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 Equity Fund, Aberdeen Global Equity & Income 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, Aberdeeen EAFF Plus SRI Fund, Aberdeeen Emerging Markets Equity Fund, and Aberdeen Global Equity Fund, each a series of Aberdeen Intitutional C, Aberdeen Fully Hedged International Equities Fund, Aberdeen International 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 Emerging Markets Equity Fund, Aberdeen Ethical World Equity Fund, Aberdeen Multi-Asset Fund, Aberdeen World Equity Fund, Aberdeen World Equity In, 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, Hampshire 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, M, National Pension Service, and 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, NN Investment Partners B.V., acting in the capacity of management company of the mutual fund NN Global Equity Fund, NN Investment Partners B.V., acting in the capacity of management company of the muitual fund NN Hoog Dividend Aandelen Fonds, NN Investment Partners B.V., acting in the capacity of management copmany of the mutual fund NN Institutioneel Dividend Aandelen, NN Investment Partners Luxembourg S.A., acting in the capacity of management company SICAV and its Sub-Funds, and NN (L) SICA, for and on behalf of NN (L) Emerging Markets High Dividend, NN (L) First, 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, DBA Kamehameha Schools, Louis Kennedy, individually and on behalf of all others similarly situated, Ken Ngo, individually and on behalf of all other similarly situated and City of Providence, individually and on behalf of all other similarly situated
Defendant: Mariangela Mointeiro Tizatto, Josue Christiano Gome Da Silva, Daniel Lima De Oliveira, Santander Investment Securities Inc. and Banco Votorantin Nassau Branch
Plaintiff - Appellee: Universities Superannuation Scheme Limited, Peter Kaltman, individually and on behalf of all others similarly situated, Union Asset Management Holding AG, Employees Retirement System of the State of Hawaii, North Carolina Department of State Treasurer, Jonathan Messing, individually and on behalf of all other similarly situated, Handelsbanken Fonder AB and Public Employee Retirement System of Idaho
Appellant: Pomerantz LLP
Defendant - Appellee: Petroleo Brasileiro S.A. Petrobras, Jose Sergio Gabrielli, Silvio Sinedino Pinheiro, PricewaterhouseCoopers Auditores Independentes, BB Securities Ltd., Theodore Marshall Helms, Petrobras Global Finance B.V., Petrobras America Inc., 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, 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, Mitsubishi UFJ Securities (USA), Inc., HSBC Securities (USA) Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Standard Chartered Bank, Bank of China (Hong Kong) Limited, Banco Bradesco BBI S.A., Banca IMI, S.p.A., Scotia Capital (USA) Inc., Bernstein Litowitz Berger & Grossman LLP, Citigroup Global Markets Inc., Itau BBA USA Securities, Inc., JP Morgan Securities LLC and Morgan Stanley & Co. LLC
Appellee: William Thomas Haynes, as trustee for the benefit of W. Thomas and Katherine Haynes Irrevocable Trust for the benefit of Sara L. Haynes
Appellant-Cross-Appellee: Spencer Bueno, Joseph Gielata, Richard Gielata, Emelina Gielata, Mathis B. Bishop and Catherine O. Bishop
Case Number: 18-2120
Filed: July 17, 2018
Court: U.S. Court of Appeals, Second Circuit
Nature of Suit: STATUTES-Secur Comm Exchange
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Plaintiff: Aura Capital Ltd.
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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 sub-fund 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 Equity Fund, Aberdeen Global Equity & Income 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; 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, Aberdeen EAFE Plus Fund, Aberdeeen EAFF Plus SRI Fund, Aberdeeen Emerging Markets Equity Fund, and Aberdeen Global Equity Fund, each a series of Aberdeen Intitutional C
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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 Ethical World Equity Fund, Aberdeen Global Responsible World Equity Fund
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Plaintiff: Aberdeen Global World Equity Dividend Fund, Aberdeen Global World Equity Fund
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Plaintiff: Aberdeen Global World Resources Equity Fund, Aberdeen Emerging Markets Equity Fund, Aberdeen Ethical World Equity Fund, Aberdeen Multi-Asset Fund, Aberdeen World Equity Fund, Aberdeen World Equity In
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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: Hampshire 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, 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, M
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Plaintiff: National Pension Service, and 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
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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
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Plaintiff: NN Investment Partners B.V., acting in the capacity of management company of the muitual fund NN Hoog Dividend Aandelen Fonds
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Plaintiff: NN Investment Partners B.V., acting in the capacity of management copmany of the mutual fund NN Institutioneel Dividend Aandelen
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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) SICA, for and on behalf of NN (L) Emerging Markets High Dividend, NN (L) First
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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, DBA Kamehameha Schools
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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 other similarly situated
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Plaintiff: City of Providence, individually and on behalf of all other similarly situated
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Plaintiff - appellee: Universities Superannuation Scheme Limited
Represented By: Jeremy Alan Lieberman
Represented By: Emma Gilmore
Represented By: Jennifer Banner Sobers
Represented By: Brenda F. Szydlo
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Plaintiff - appellee: Peter Kaltman, individually and on behalf of all others similarly situated
Represented By: Lester L. Levy
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Plaintiff - appellee: Union Asset Management Holding AG
Represented By: William H. Narwold
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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: David J. Goldsmith
Represented By: Jennifer Banner Sobers
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: Jennifer Banner Sobers
Represented By: Brenda F. Szydlo
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Plaintiff - appellee: Jonathan Messing, individually and on behalf of all other similarly situated
Represented By: Emma Gilmore
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Plaintiff - appellee: Handelsbanken Fonder AB
Represented By: William H. Narwold
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Plaintiff - appellee: Public Employee Retirement System of Idaho
Represented By: David J. Goldsmith
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Appellant: Pomerantz LLP
Represented By: Jeremy Alan Lieberman
Represented By: Jennifer Banner Sobers
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Defendant - appellee: Petroleo Brasileiro S.A. Petrobras
Represented By: Lewis J. Liman
Represented By: Roger A. Cooper
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Defendant - appellee: Jose Sergio Gabrielli
Represented By: Mitchell A. Lowenthal
Represented By: Edward Spiro
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Defendant - appellee: Silvio Sinedino Pinheiro
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Defendant - appellee: PricewaterhouseCoopers Auditores Independentes
Represented By: James Capra
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Defendant - appellee: BB Securities Ltd.
Represented By: Jay B. Kasner
Represented By: Boris Bershteyn
Represented By: Scott Musoff
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Defendant - appellee: Theodore Marshall Helms
Represented By: Lewis J. Liman
Represented By: Roger A. Cooper
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Petrobras Global Finance B.V.
Represented By: Lewis J. Liman
Represented By: Roger A. Cooper
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Defendant - appellee: Petrobras America Inc.
Represented By: Lewis J. Liman
Represented By: Roger A. Cooper
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Defendant - appellee: Paulo Roberto Costa
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Defendant - appellee: Jose Carlos Cosenza
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Renato de Souza Duque
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Defendant - appellee: Guillherme de Oliveira Estrella
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Jose Miranda Formigl Filho
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Maria Das Gracas Silva Foster
Represented By: Richard Strassberg
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Defendant - appellee: Almir Guilherme Barbassa
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Jose Raimundo Branda Pereira
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Servio Tulio Da Rosa Tinoco
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Paulo Jose Alves
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Gustavo Tardin Barbosa
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Alexandre Quintao Fernandes
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Defendant - appellee: Marcos Antonio Zacarias
Represented By: Mitchell A. Lowenthal
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Defendant - appellee: Cornelis Franciscus Joze Looman
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Defendant - appellee: Mitsubishi UFJ Securities (USA), Inc.
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: HSBC Securities (USA) Inc.
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Standard Chartered Bank
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Bank of China (Hong Kong) Limited
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Banco Bradesco BBI S.A.
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Banca IMI, S.p.A.
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Scotia Capital (USA) Inc.
Represented By: Boris Bershteyn
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Bernstein Litowitz Berger & Grossman LLP
Represented By: Salvatore Graziano
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Defendant - appellee: Citigroup Global Markets Inc.
Represented By: Jay B. Kasner
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Defendant - appellee: Itau BBA USA Securities, Inc.
Represented By: Jay B. Kasner
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Defendant - appellee: JP Morgan Securities LLC
Represented By: Jay B. Kasner
Represented By: Scott Musoff
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Defendant - appellee: Morgan Stanley & Co. LLC
Represented By: Jay B. Kasner
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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: Santander Investment Securities Inc.
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Defendant: Banco Votorantin Nassau Branch
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Appellee: William Thomas Haynes, as trustee for the benefit of W. Thomas and Katherine Haynes Irrevocable Trust for the benefit of Sara L. Haynes
Represented By: Anna St. John
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Appellant-cross-appellee: Spencer Bueno
Represented By: Joshua Reuben Furman
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Appellant-cross-appellee: Joseph Gielata
Represented By: Joseph Gielata
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Appellant-cross-appellee: Richard Gielata
Represented By: Richard Gielata
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Appellant-cross-appellee: Emelina Gielata
Represented By: Emelina Gielata
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Appellant-cross-appellee: Mathis B. Bishop
Represented By: Mathis B. Bishop
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Appellant-cross-appellee: Catherine O. Bishop
Represented By: Catherine O. Bishop
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