Principal Financial Group, Inc. v. Bank of America Corporation
| PRINCIPAL FINANCIAL GROUP, INC., PRINCIPAL FINANCIAL SERVICES, INC. and PRINCIPAL LIFE INSURANCE COMPANY |
| BANK OF AMERICA CORPORATION, BANK OF AMERICA, N.A., CHASE BANK USA, N.A., COOPERATIEVE CENTRALE RAIFFEISEN - BOERENLEENBANK B.A., CREDIT SUISSE AG, CREDIT SUISSE GROUP AG, CREDIT SUISSE INTERNATIONAL, CREDIT SUISSE SECURITIES (USA) LLC, HBOS PLC, J.P. MORGAN BANK DUBLIN PLC, JPMORGAN CHASE BANK N.A., JPMORGAN CHASE & CO., J.P. MORGAN SECURITIES LLC, LLOYDS BANKING GROUP PLC, LLOYDS BANK PLC, MERRILL LYNCH CAPITAL SERVICES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, ROYAL BANK OF CANADA, THE ROYAL BANK OF SCOTLAND GROUP PLC, The ROYAL BANK OF SCOTLAND PLC, RBS SECURITIES INC., UBS AG, UBS SECURITIES LLC and Bear Stearns Bank PLC |
| 25-2871 |
| November 10, 2025 |
| U.S. Court of Appeals, Second Circuit |
| STATUTES-Antitrust |
Docket Report
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This docket was last retrieved on December 11, 2025. A more recent docket listing may be available from PACER.
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| Filing 34 NEW CASE MANAGER, Yenni Liu, ASSIGNED. [Entered: 12/11/2025 03:25 PM] |
| Filing 33 CERTIFIED COPY OF ORDER, dated 12/11/2025, determining the appeal to SDNY, ISSUED.[Mandate] [Entered: 12/11/2025 03:21 PM] |
| Filing 32 MOTION ORDER, granting motion to dismiss at docket entry 29, on behalf of Appellant Principal Financial Group, Inc., Appellant Principal Financial Services, Inc., Appellant Principal Life Insurance Company, FILED. [Entered: 12/11/2025 03:18 PM] |
| Filing 31 CURED DEFECTIVE DOCUMENT, Motion to dismiss, at entry 29, on behalf of Appellant Principal Financial Group, Inc., Appellant Principal Financial Services, Inc., Appellant Principal Life Insurance Company, FILED. [Entered: 12/01/2025 08:16 AM] |
| Filing 30 DEFECTIVE DOCUMENT, Motion to dismiss, at docket entry 28, on behalf of Appellant Principal Financial Group, Inc., Appellant Principal Financial Services, Inc., Appellant Principal Life Insurance Company, FILED. [Entered: 12/01/2025 08:14 AM] |
| Filing 29 MOTION, to dismiss, on behalf of Appellant Principal Financial Group, Inc., Appellant Principal Financial Services, Inc., Appellant Principal Life Insurance Company, FILED. Service date 11/26/2025 by ACMS. [Entered: 11/26/2025 05:26 PM] |
| Filing 28 MOTION, to dismiss, on behalf of Appellant Principal Financial Group, Inc., Appellant Principal Financial Services, Inc., Appellant Principal Life Insurance Company, FILED. Service date 11/26/2025 by ACMS. [Entered: 11/26/2025 02:32 PM] |
| Filing 27 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee Royal Bank of Canada, FILED. Service date 11/26/2025 by ACMS. [Entered: 11/26/2025 07:47 AM] |
| Filing 26 ATTORNEY, Robert Thomas Smith for Appellee Royal Bank of Canada, ADDED. [Entered: 11/25/2025 11:11 PM] |
| Filing 25 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Royal Bank of Canada, FILED. [Entered: 11/25/2025 05:07 PM] |
| Filing 24 NOTICE, to Appellees Chase Bank USA, N.A., HBOS PLC, J.P. Morgan Bank Dublin PLC, JPMorgan Chase Bank N.A., JPMorgan Chase & Co., J.P. Morgan Securities LLC, Lloyds Banking Group plc, Lloyds Bank PLC, Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, RBS Securities Inc., for failure to file an appearance, SENT. [Entered: 11/25/2025 02:11 PM] |
Filing 23
ORDER, dated 11/25/2025, dismissing appeal by 12/09/2025, unless Appellants Principal Financial Group, Inc., Principal Financial Services, Inc., Principal Life Insurance Company, submit Acknowledgment and Notice of Appearance Form, FILED. [Entered: 11/25/2025 02:04 PM]
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| Filing 22 ATTORNEY, Andrew Lichtenberg for Appellee Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., ADDED. [Entered: 11/25/2025 07:13 AM] |
| Filing 21 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., FILED. [Entered: 11/24/2025 04:23 PM] |
| Filing 20 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee UBS AG, Appellee UBS Securities LLC, FILED. Service date 11/21/2025 by ACMS. [Entered: 11/21/2025 08:57 PM] |
| Filing 19 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee Bank of America Corporation, Appellee Bank of America, N.A., Appellee Merrill Lynch Capital Services, Inc., Appellee Merrill Lynch, Pierce, Fenner & Smith Incorporated, FILED. Service date 11/21/2025 by ACMS. [Entered: 11/21/2025 01:45 PM] |
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Filing 17
ORDER, dated 11/18/2025, dismissing appeal by 12/02/2025, unless Appellants Principal Financial Group, Inc., Principal Financial Services, Inc., Principal Life Insurance Company, submit Form D, FILED. [Entered: 11/18/2025 01:39 PM]
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Filing 16
ORDER, dated 11/18/2025, dismissing appeal by 12/02/2025, unless Appellants Principal Financial Group, Inc., Principal Financial Services, Inc., Principal Life Insurance Company, submit Form C, FILED. [Entered: 11/18/2025 01:07 PM]
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| Filing 15 ATTORNEYS, Jason M. Hall, Edward Moss, Adam Mintz for Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse International, Appellee Credit Suisse Securities (USA) LLC, ADDED. [Entered: 11/17/2025 01:45 PM] |
| Filing 14 ATTORNEYS, Neal Kumar Katyal, Mark D. Villaverde for Appellee Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., ADDED. [Entered: 11/17/2025 01:39 PM] |
| Filing 13 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse International, Appellee Credit Suisse Securities (USA) LLC, FILED. [Entered: 11/14/2025 04:55 PM] [Edited: 11/17/2025 01:48 PM] |
| Filing 12 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse International, Appellee Credit Suisse Securities (USA) LLC, FILED. [Entered: 11/14/2025 04:44 PM] [Edited: 11/17/2025 01:47 PM] |
| Filing 11 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse International, Appellee Credit Suisse Securities (USA) LLC, FILED. Service date 11/14/2025 by ACMS. [Entered: 11/14/2025 04:35 PM] |
| Filing 10 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse International, Appellee Credit Suisse Securities (USA) LLC, FILED. [Entered: 11/14/2025 04:00 PM] [Edited: 11/17/2025 01:46 PM] |
| Filing 9 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., FILED. [Entered: 11/14/2025 02:24 PM] |
| Filing 8 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., FILED. [Entered: 11/14/2025 02:07 PM] |
| Filing 7 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., FILED. Service date 11/13/2025 by ACMS. [Entered: 11/13/2025 08:22 PM] |
| Filing 6 CIVIL APPEAL, on behalf of Appellant Principal Financial Group, Inc., Principal Financial Services, Inc., Principal Life Insurance Company, OPENED. [Entered: 11/10/2025 12:42 PM] |
| Filing 18 ELECTRONIC INDEX, in lieu of record, FILED. [Entered: 11/21/2025 11:13 AM] |
| Filing 5 PAYMENT OF DOCKETING FEE, on behalf of Appellant Principal Financial Group, Inc., Principal Financial Services, Inc., Principal Life Insurance Company, district court receipt #ANYSDC-31908703, FILED. [Entered: 11/10/2025 12:38 PM] |
| Filing 4 DISTRICT COURT MEMORANDUM AND ORDER, dated 04/10/2023, RECEIVED. [Entered: 11/10/2025 12:36 PM] |
| Filing 3 DISTRICT COURT MEMORANDUM AND ORDER, dated 03/25/2019, RECEIVED. [Entered: 11/10/2025 12:35 PM] |
| Filing 2 DISTRICT COURT MEMORANDUM AND ORDER, dated 02/16/2017, RECEIVED. [Entered: 11/10/2025 12:33 PM] |
| Filing 1 NOTICE OF CIVIL APPEAL, with district court docket, on behalf of Appellant Principal Financial Group, Inc., Principal Financial Services, Inc., Principal Life Insurance Company, FILED. [Entered: 11/10/2025 12:32 PM] |
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