Principal Funds, Inc. v. Bank of America Corporation
| PFI BOND & MORTGAGE SECURITIES FUND, PFI BOND MARKET INDEX FUND, PFI CORE PLUS BOND I FUND, 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 INCOME FUND, PFI INFLATION PROTECTION FUND, PFI MONEY MARKET FUND, PFI PREFERRED SECURITIES FUND, PFI SHORT-TERM INCOME FUND, PVC ASSET ALLOCATION ACCOUNT, PVC BALANCED ACCOUNT, PVC BOND & MORTGAGE SECURITIES ACCOUNT, PVC EQUITY INCOME ACCOUNT, PVC GOVERNMENT & HIGH QUALITY BOND ACCOUNT, PVC INCOME ACCOUNT, PVC MONEY MARKET ACCOUNT, PVC SHORT-TERM INCOME ACCOUNT, PRINCIPAL FUNDS, INC. and PRINCIPAL VARIABLE CONTRACTS FUND, INC. |
| BANK OF AMERICA CORPORATION, BANK OF AMERICA, N.A., COOPERATIEVE CENTRALE RAIFFEISEN - BOERENLEENBANK B.A., CREDIT SUISSE AG, CREDIT SUISSE GROUP AG, CREDIT SUISSE SECURITIES (USA) LLC, HBOS PLC, JPMORGAN CHASE BANK, N.A., JPMORGAN CHASE & CO., J.P. MORGAN SECURITIES LLC, LLOYDS BANKING GROUP PLC, LLOYDS BANK PLC, 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 and UBS SECURITIES LLC |
| 25-2875 |
| 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 30 CERTIFIED COPY OF ORDER, dated 12/11/2025, determining the appeal to SDNY (NEW YORK CITY), ISSUED.[Mandate] [Entered: 12/11/2025 04:45 PM] |
| Filing 29 MOTION ORDER, granting motion to dismiss at docket entry 26, on behalf of Appellant PFI Bond & Mortgage Securities Fund, Appellant PFI Bond Market Index Fund, Appellant PFI Core Plus Bond I Fund, Appellant PFI Diversified Real Asset Fund, Appellant PFI Equity Income Fund, Appellant PFI Global Diversified Income Fund, Appellant PFI Government & High Quality Bond Fund, Appellant PFI High Yield Fund, Appellant PFI High Yield Fund I, Appellant PFI Income Fund, Appellant PFI Inflation Protection Fund, Appellant PFI Money Market Fund, Appellant PFI Preferred Securities Fund, Appellant PFI Short-Term Income Fund, Appellant Principal Funds, Inc., Appellant Principal Variable Contracts Fund, Inc., Appellant PVC Asset Allocation Account, Appellant PVC Balanced Account, Appellant PVC Bond & Mortgage Securities Account, Appellant PVC Equity Income Account, Appellant PVC Government & High Quality Bond Account, Appellant PVC Income Account, Appellant PVC Money Market Account, Appellant PVC Short-Term Income Account, FILED. [Entered: 12/11/2025 04:41 PM] |
| Filing 28 CURED DEFECTIVE DOCUMENT, Motion to dismiss, at entry 26, on behalf of Appellant PFI Bond & Mortgage Securities Fund, Appellant PFI Bond Market Index Fund, Appellant PFI Core Plus Bond I Fund, Appellant PFI Diversified Real Asset Fund, Appellant PFI Equity Income Fund, Appellant PFI Global Diversified Income Fund, Appellant PFI Government & High Quality Bond Fund, Appellant PFI High Yield Fund, Appellant PFI High Yield Fund I, Appellant PFI Income Fund, Appellant PFI Inflation Protection Fund, Appellant PFI Money Market Fund, Appellant PFI Preferred Securities Fund, Appellant PFI Short-Term Income Fund, Appellant PVC Asset Allocation Account, Appellant PVC Balanced Account, Appellant PVC Bond & Mortgage Securities Account, Appellant PVC Equity Income Account, Appellant PVC Government & High Quality Bond Account, Appellant PVC Income Account, Appellant PVC Money Market Account, Appellant PVC Short-Term Income Account, Appellant Principal Funds, Inc., Appellant Principal Variable Contracts Fund, Inc., FILED. [Entered: 12/01/2025 09:01 AM] |
| Filing 27 DEFECTIVE DOCUMENT, Motion to dismiss, at docket entry 25, on behalf of Appellant PFI Bond & Mortgage Securities Fund, Appellant PFI Bond Market Index Fund, Appellant PFI Core Plus Bond I Fund, Appellant PFI Diversified Real Asset Fund, Appellant PFI Equity Income Fund, Appellant PFI Global Diversified Income Fund, Appellant PFI Government & High Quality Bond Fund, Appellant PFI High Yield Fund, Appellant PFI High Yield Fund I, Appellant PFI Income Fund, Appellant PFI Inflation Protection Fund, Appellant PFI Money Market Fund, Appellant PFI Preferred Securities Fund, Appellant PFI Short-Term Income Fund, Appellant PVC Asset Allocation Account, Appellant PVC Balanced Account, Appellant PVC Bond & Mortgage Securities Account, Appellant PVC Equity Income Account, Appellant PVC Government & High Quality Bond Account, Appellant PVC Income Account, Appellant PVC Money Market Account, Appellant PVC Short-Term Income Account, Appellant Principal Funds, Inc., Appellant Principal Variable Contracts Fund, Inc., FILED. [Entered: 12/01/2025 08:59 AM] |
| Filing 26 MOTION, to dismiss, on behalf of Appellant PFI Bond & Mortgage Securities Fund, Appellant PFI Bond Market Index Fund, Appellant PFI Core Plus Bond I Fund, Appellant PFI Diversified Real Asset Fund, Appellant PFI Equity Income Fund, Appellant PFI Global Diversified Income Fund, Appellant PFI Government & High Quality Bond Fund, Appellant PFI High Yield Fund, Appellant PFI High Yield Fund I, Appellant PFI Income Fund, Appellant PFI Inflation Protection Fund, Appellant PFI Money Market Fund, Appellant PFI Preferred Securities Fund, Appellant PFI Short-Term Income Fund, Appellant PVC Asset Allocation Account, Appellant PVC Balanced Account, Appellant PVC Bond & Mortgage Securities Account, Appellant PVC Equity Income Account, Appellant PVC Government & High Quality Bond Account, Appellant PVC Income Account, Appellant PVC Money Market Account, Appellant PVC Short-Term Income Account, Appellant Principal Funds, Inc., Appellant Principal Variable Contracts Fund, Inc., FILED. Service date 11/26/2025 by ACMS. [Entered: 11/26/2025 05:31 PM] |
| Filing 25 MOTION, to dismiss, on behalf of Appellant PFI Bond & Mortgage Securities Fund, Appellant PFI Bond Market Index Fund, Appellant PFI Core Plus Bond I Fund, Appellant PFI Diversified Real Asset Fund, Appellant PFI Equity Income Fund, Appellant PFI Global Diversified Income Fund, Appellant PFI Government & High Quality Bond Fund, Appellant PFI High Yield Fund, Appellant PFI High Yield Fund I, Appellant PFI Income Fund, Appellant PFI Inflation Protection Fund, Appellant PFI Money Market Fund, Appellant PFI Preferred Securities Fund, Appellant PFI Short-Term Income Fund, Appellant PVC Asset Allocation Account, Appellant PVC Balanced Account, Appellant PVC Bond & Mortgage Securities Account, Appellant PVC Equity Income Account, Appellant PVC Government & High Quality Bond Account, Appellant PVC Income Account, Appellant PVC Money Market Account, Appellant PVC Short-Term Income Account, Appellant Principal Funds, Inc., Appellant Principal Variable Contracts Fund, Inc., FILED. Service date 11/26/2025 by ACMS. [Entered: 11/26/2025 02:41 PM] |
| Filing 24 NOTICE, to Appellees HBOS 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 01:21 PM] |
Filing 23
ORDER, dated 11/25/2025, dismissing appeal by 12/09/2025, unless Appellants PFI Bond & Mortgage Securities Fund, PFI Bond Market Index Fund, PFI Core Plus Bond I Fund, 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 Income Fund, PFI Inflation Protection Fund, PFI Money Market Fund, PFI Preferred Securities Fund, PFI Short-Term Income Fund, Principal Funds, Inc., Principal Variable Contracts Fund, Inc., PVC Asset Allocation Account, PVC Balanced Account, PVC Bond & Mortgage Securities Account, PVC Equity Income Account, PVC Government & High Quality Bond Account, PVC Income Account, PVC Money Market Account, PVC Short-Term Income Account, submit Acknowledgment and Notice of Appearance Form, FILED. [Entered: 11/25/2025 11:18 AM]
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| Filing 22 ATTORNEY, Andrew Lichtenberg for Appellee Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., ADDED. [Entered: 11/25/2025 07:27 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 04:29 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 09:01 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, Pierce, Fenner & Smith Incorporated, FILED. Service date 11/21/2025 by ACMS. [Entered: 11/21/2025 01:47 PM] |
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Filing 18
ORDER, dated 11/18/2025, dismissing appeal by 12/02/2025, unless Appellants PFI Bond & Mortgage Securities Fund, PFI Bond Market Index Fund, PFI Core Plus Bond I Fund, 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 Income Fund, PFI Inflation Protection Fund, PFI Money Market Fund, PFI Preferred Securities Fund, PFI Short-Term Income Fund, Principal Funds, Inc., Principal Variable Contracts Fund, Inc., PVC Asset Allocation Account, PVC Balanced Account, PVC Bond & Mortgage Securities Account, PVC Equity Income Account, PVC Government & High Quality Bond Account, PVC Income Account, PVC Money Market Account, PVC Short-Term Income Account, submit Form D, FILED. [Entered: 11/18/2025 12:45 PM]
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Filing 17
ORDER, dated 11/18/2025, dismissing appeal by 12/02/2025, unless Appellants PFI Bond & Mortgage Securities Fund, PFI Bond Market Index Fund, PFI Core Plus Bond I Fund, 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 Income Fund, PFI Inflation Protection Fund, PFI Money Market Fund, PFI Preferred Securities Fund, PFI Short-Term Income Fund, Principal Funds, Inc., Principal Variable Contracts Fund, Inc., PVC Asset Allocation Account, PVC Balanced Account, PVC Bond & Mortgage Securities Account, PVC Equity Income Account, PVC Government & High Quality Bond Account, PVC Income Account, PVC Money Market Account, PVC Short-Term Income Account, submit Form C, FILED. [Entered: 11/18/2025 12:42 PM]
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| Filing 16 ATTORNEYS, Jason M. Hall, Edward Moss, Adam Mintz for Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse Securities (USA) LLC, ADDED. [Entered: 11/17/2025 02:22 PM] |
| Filing 15 ATTORNEY, Neal Kumar Katyal, Mark D. Villaverde for Appellee Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., ADDED. [Entered: 11/17/2025 01:57 PM] |
| Filing 14 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse Securities (USA) LLC, FILED. [Entered: 11/14/2025 04:54 PM] [Edited: 11/17/2025 02:28 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 Securities (USA) LLC, FILED. [Entered: 11/14/2025 04:47 PM] [Edited: 11/17/2025 02:27 PM] |
| Filing 12 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse Securities (USA) LLC, FILED. Service date 11/14/2025 by ACMS. [Entered: 11/14/2025 04:37 PM] |
| Filing 11 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Appellee Credit Suisse AG, Appellee Credit Suisse Group AG, Appellee Credit Suisse Securities (USA) LLC, FILED. [Entered: 11/14/2025 03:57 PM] [Edited: 11/17/2025 02:26 PM] |
| Filing 10 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of Cooperatieve Centrale Raiffeisen - Boerenleenbank B.A., FILED. [Entered: 11/14/2025 02:32 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 02:11 PM] |
| Filing 8 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 08:21 PM] |
| Filing 7 CIVIL APPEAL, on behalf of Appellant PFI Bond & Mortgage Securities Fund, PFI Bond Market Index Fund, PFI Core Plus Bond I Fund, 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 Income Fund, PFI Inflation Protection Fund, PFI Money Market Fund, PFI Preferred Securities Fund, PFI Short-Term Income Fund, Principal Funds, Inc., Principal Variable Contracts Fund, Inc., PVC Asset Allocation Account, PVC Balanced Account, PVC Bond & Mortgage Securities Account, PVC Equity Income Account, PVC Government & High Quality Bond Account, PVC Income Account, PVC Money Market Account, PVC Short-Term Income Account, OPENED. [Entered: 11/10/2025 02:38 PM] |
| Filing 6 ELECTRONIC INDEX, in lieu of record, FILED. [Entered: 11/10/2025 02:34 PM] |
| Filing 5 PAYMENT OF DOCKETING FEE, on behalf of Appellant PFI Bond & Mortgage Securities Fund, PFI Bond Market Index Fund, PFI Core Plus Bond I Fund, 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 Income Fund, PFI Inflation Protection Fund, PFI Money Market Fund, PFI Preferred Securities Fund, PFI Short-Term Income Fund, Principal Funds, Inc., Principal Variable Contracts Fund, Inc., PVC Asset Allocation Account, PVC Balanced Account, PVC Bond & Mortgage Securities Account, PVC Equity Income Account, PVC Government & High Quality Bond Account, PVC Income Account, PVC Money Market Account, PVC Short-Term Income Account, district court receipt #ANYSDC-31908755, FILED. [Entered: 11/10/2025 02:30 PM] |
| Filing 4 DISTRICT COURT MEMORANDUM AND ORDER, dated 04/10/2023, RECEIVED. [Entered: 11/10/2025 02:28 PM] |
| Filing 3 DISTRICT COURT MEMORANDUM AND ORDER, dated 03/25/2019, RECEIVED. [Entered: 11/10/2025 02:24 PM] |
| Filing 2 DISTRICT COURT MEMORANDUM AND ORDER, dated 02/16/2017, RECEIVED. [Entered: 11/10/2025 02:22 PM] |
| Filing 1 NOTICE OF CIVIL APPEAL, with district court docket, on behalf of Appellant PFI Bond & Mortgage Securities Fund, PFI Bond Market Index Fund, PFI Core Plus Bond I Fund, 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 Income Fund, PFI Inflation Protection Fund, PFI Money Market Fund, PFI Preferred Securities Fund, PFI Short-Term Income Fund, Principal Funds, Inc., Principal Variable Contracts Fund, Inc., PVC Asset Allocation Account, PVC Balanced Account, PVC Bond & Mortgage Securities Account, PVC Equity Income Account, PVC Government & High Quality Bond Account, PVC Income Account, PVC Money Market Account, PVC Short-Term Income Account, FILED. [Entered: 11/10/2025 02:18 PM] [Edited: 11/10/2025 02:22 PM] |
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