Societe Generale Securities Services GmbH et al v. Caterpillar Inc. et al
| Newman, Jacob Newman and Societe Generale Securities Services GmbH |
| Caterpillar, Inc, Douglas R. Oberhelman, Caterpillar, Inc., D. James Umpleby III, Bradley M. Halverson, Jananne A. Copeland, James B. Buda and Caterpillar Inc., |
| Socit Gnrale Securities Services GmbH, Aymon Sukkar and Ricky Hoyle |
| 1:2017cv01713 |
| March 3, 2017 |
| US District Court for the Northern District of Illinois |
| Chicago Office |
| Cook |
| Sharon Johnson Coleman |
| Securities/Commodities |
| 15 U.S.C. § 78 |
| Both |
Docket Report
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| Filing 49 MINUTE entry before the Honorable Sharon Johnson Coleman: Based on the Court's previous ruling #47 and the amount of time that has passed since that ruling, this civil case is terminated. Mailed notice. (ym, ) |
| Filing 48 ENTERED JUDGMENT. Mailed notice. (ym, ) |
| Filing 47 MEMORANDUM Opinion and Order: Defendants' motion to dismiss #34 is granted and the Amended Complaint is dismissed without prejudice. Signed by the Honorable Sharon Johnson Coleman on 9/26/2018. Mailed notice. (ym, ) |
| Filing 46 MINUTE entry before the Honorable Sharon Johnson Coleman: Defendants' unopposed motion for leave to file supplemental authority #42 is granted. No appearance is necessary on 8/2/2018. The pending motion to dismiss #34 that is fully briefed is taken under advisement. Mailed notice. (ym, ) |
| Filing 45 RESPONSE by Societe Generale Securities Services GmbH to MOTION by Defendants James B. Buda, Caterpillar Inc.,, Jananne A. Copeland, Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III for leave to file Supplemental Authority #42 (Moriarty, Christopher) |
| Filing 44 Amended NOTICE of Motion by Mark Robert Filip for presentment of motion for leave to file #42 before Honorable Sharon Johnson Coleman on 8/2/2018 at 08:45 AM. (Filip, Mark) |
| Filing 43 NOTICE of Motion by Mark Robert Filip for presentment of motion for leave to file #42 before Honorable Sharon Johnson Coleman on 8/7/2018 at 08:45 AM. (Filip, Mark) |
| Filing 42 MOTION by Defendants James B. Buda, Caterpillar Inc.,, Jananne A. Copeland, Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III for leave to file Supplemental Authority (Attachments: #1 Exhibit A)(Filip, Mark) |
| Filing 41 RESPONSE by Defendants James B. Buda, Caterpillar Inc.,, Jananne A. Copeland, Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III to notice of motion #38 to Notice of Supplemental Authority (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Filip, Mark) |
| Filing 40 MINUTE entry before the Honorable Sharon Johnson Coleman: Minute entry #39 is amended as follows: Status hearing set for 1/29/2018 at 9:00 AM is stricken. Plaintiff's Unopposed Motion for Leave to File Supplemental Authority #37 is granted. Defendant is allowed 14 days to file a short response to the supplemental authority. The motion to dismiss #34 will be taken under advisement and no further briefing will be allowed. The Court will set further dates as necessary. Mailed notice. (ym, ) |
| Filing 39 MINUTE entry before the Honorable Sharon Johnson Coleman: Plaintiff Societe Generale Securities Services GmbH's unopposed motion for leave to file supplemental authority #37 is granted. No appearance necessary on 1/30/2018. Status hearing set for 1/29/2018 is stricken. Mailed notice. (ym, ) |
| Filing 38 Unopposed NOTICE of Motion by Christopher F. Moriarty for presentment of motion for leave to file, #37 before Honorable Sharon Johnson Coleman on 1/30/2018 at 08:45 AM. (Moriarty, Christopher) |
| Filing 37 MOTION by Plaintiff Societe Generale Securities Services GmbH for leave to file Supplemental Authority in Support of Opposition to Defendants Motion to Dismiss (Attachments: #1 Exhibit A - Gravitt v Mentor Worldwide)(Moriarty, Christopher) |
| Filing 36 REPLY by James B. Buda, Caterpillar Inc.,, Jananne A. Copeland, Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III to memorandum in opposition to motion,,,,,, #35 , MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM #34 (Attachments: #1 Appendix A, #2 Appendix B, #3 Declaration of K. Winn Allen, #4 Exhibit Reply 1, #5 Exhibit Reply 2, #6 Exhibit Reply 3, #7 Exhibit Reply 4, #8 Exhibit Reply 5, #9 Exhibit Reply 6, #10 Exhibit Reply 7, #11 Exhibit Reply 8, #12 Exhibit Reply 9, #13 Exhibit Reply 10, #14 Exhibit Reply 11, #15 Exhibit Reply 12, #16 Exhibit Reply 13, #17 Exhibit Reply 14, #18 Exhibit Reply 15, #19 Exhibit Reply 16, #20 Exhibit Reply 17, #21 Exhibit Reply 18, #22 Exhibit Reply 19)(Filip, Mark) |
| Filing 35 MEMORANDUM by Societe Generale Securities Services GmbH in Opposition to Motion to Dismiss for Failure to State a Claim,,,, #34 (Attachments: #1 Declaration of Christopher F. Moriarty, #2 Exhibit 1 - Greater Pa Carpenters v Whitehall Jewellers, #3 Exhibit 2 - Ross v Career Educ, #4 Exhibit 3 - Sterling Heights GERS v Hospira, #5 Exhibit 4 - In re Northfield Labs, #6 Exhibit 5 - Wert v Cohn, #7 Exhibit 6 - Rojo v Great Kitchens, #8 Exhibit 7 - Next Level Sys, #9 Exhibit 8 - Providence v Aeropostale, #10 Exhibit 9 - Kelsey v Allin, #11 Exhibit 10 - Silverman v Motorola, #12 Exhibit 11 - Blatt v Corn Prods Intl, #13 Exhibit 12 - CAT 2017 Form 10-Q, #14 Exhibit 13 - In re Enron, #15 Exhibit 14 - Christine Asia Co v Ma, #16 Exhibit 15 - Lakeland Emps v Baxter Intl, #17 Exhibit 16 - In re JPMorgan Chase, #18 Exhibit 17 - In re Loewen Grp, #19 Exhibit 18 - Norfolk Cty Ret Sys v Ustian, #20 Errata 19 - Batwin v Occam Networks, #21 Exhibit 20 - Eastwood Enters v Farha, #22 Exhibit 21 - Finnerty v Stiefel Labs, #23 Exhibit 22 - Gauquie v Albany Molecular Research, #24 Exhibit 23 - Roberti v OSI Sys, #25 Exhibit 24 - In re Allied Prods Corp, #26 Exhibit 25 - Lindelow v Hill, #27 Exhibit 26 - Teamsters Local 445 v Bombardier, #28 Exhibit 27 - Scheiner IRA v Midas, #29 Exhibit 28 - Umpleby Forms 4, #30 Exhibit 29 - Halverson Forms 4, #31 Exhibit 30 - Buda Forms 4, #32 Exhibit 31 - Copeland Forms 4, #33 Exhibit 32 - In re BofI Holding, #34 Exhibit 33 - In re Wireless Facilities, #35 Exhibit 34 - In re Diamond Foods, #36 Exhibit 35 - Garden City Emps Ret Sys v Anixter)(Moriarty, Christopher) |
| Filing 34 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM (Attachments: #1 Memorandum in Support, #2 Declaration of K. Winn Allen, #3 Exhibit 1, #4 Exhibit 2, #5 Exhibit 3, #6 Exhibit 4, #7 Exhibit 5, #8 Exhibit 6, #9 Exhibit 7, #10 Exhibit 8, #11 Exhibit 9, #12 Exhibit 10, #13 Exhibit 11, #14 Exhibit 12, #15 Exhibit 13, #16 Exhibit 14, #17 Exhibit 15, #18 Exhibit 16, #19 Exhibit 17, #20 Exhibit 18, #21 Exhibit 19, #22 Exhibit 20, #23 Exhibit 21, #24 Exhibit 22, #25 Exhibit 23, #26 Exhibit 24, #27 Exhibit 25, #28 Exhibit 26, #29 Exhibit 27, #30 Exhibit 28, #31 Exhibit 29, #32 Exhibit 30, #33 Exhibit 31, #34 Exhibit 32, #35 Exhibit 33, #36 Exhibit 34, #37 Exhibit 35, #38 Exhibit 36, #39 Exhibit 37, #40 Exhibit 38, #41 Exhibit 39, #42 Exhibit 40, #43 Exhibit 41, #44 Exhibit 42, #45 Exhibit 43, #46 Exhibit 44, #47 Exhibit 45, #48 Exhibit 46, #49 Exhibit 47, #50 Corporate Disclosure Statement)(Filip, Mark) |
| Filing 33 MINUTE entry before the Honorable Sharon Johnson Coleman: Motion hearing held on 9/26/2017. Defendants' motion to set a briefing schedule and for leave to exceed page limit #31 is granted. Defendants motion to dismiss with supporting memoranda of no more than 40 pages due by 10/10/2017. Response of no more than 40 pages due by 12/11/2017. Reply of no more than 20 pages due by 1/10/2018. There will be no extension on this briefing schedule. Status hearing set for 10/16/2017 is stricken and reset to 1/29/2018 at 09:00 AM. The Clerk is directed to amend the caption of the case on its face to remove the comma between Caterpillar and Inc. to reflect that the defendant is Caterpillar Inc., et al. Mailed notice (rth) |
| Filing 32 NOTICE of Motion by Mark Robert Filip for presentment of motion by filer to set a briefing schedule #31 before Honorable Sharon Johnson Coleman on 9/26/2017 at 08:45 AM. (Filip, Mark) |
| Filing 31 MOTION by Defendants James B. Buda, Caterpillar, Inc., Jananne A. Copeland, Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III to set a briefing schedule and for leave to exceed page limit (Filip, Mark) |
| Filing 30 MINUTE entry before the Honorable Sharon Johnson Coleman: Status hearing set for 8/25/2017 is stricken and reset to 10/16/2017 at 09:00 AM. Mailed notice (rth) |
| Filing 29 AMENDED complaint by Societe Generale Securities Services GmbH against Caterpillar, Inc., Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III, James B. Buda, Jananne A. Copeland (Moriarty, Christopher) |
| Filing 28 MINUTE entry before the Honorable Sharon Johnson Coleman: Status hearing set for 7/28/2017 is stricken and reset to 8/25/2017 at 09:00 AM.Mailed notice (rth, ) |
Filing 27
ORDER: Pursuant to the order dated 6/9/2017 (#24 ), Societe Generale Securities Services GmbH's motion for Appointment as Lead Plaintiff and Approval of Selection of Counsel #14 is granted and Plaintiff Jacob Newman, Movants Aymon Sukkar, and Ricky Hoyle's motion for Appointment as Lead Plaintiff and Approval of Lead Counsel #9 is denied. A Master File is established for this proceeding. The Master File shall be Case No. 1:17-cv- 01713. The Clerk shall file all pleadings in the Master File and note such filings on the Master Docket. An original of this Order shall be filed by the Clerk in the Master File. Every pleading in the Action shall have the following caption: IN RE CATERPILLAR, INC. SECURITIES LITIGATION. Status hearing set to 7/28/2017 at 9:00 a.m. Applications by James M. Hughes #25 and Gregg S. Levin #26 for leave to appear pro hac vice are granted. Signed by the Honorable Sharon Johnson Coleman on 7/11/2017. Mailed notice. (jjr, )
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| Filing 26 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752-13284179. (Levin, Gregg) |
| Filing 25 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752-13284068. (Hughes, James) |
| Filing 24 STIPULATED ORDER Signed by the Honorable Sharon Johnson Coleman on 6/9/2017:Mailed notice(rth, ) |
| Filing 23 RESPONSE by Societe Generale Securities Services GmbH in Support of MOTION by Movant Societe Generale Securities Services GmbH for Appointment as Lead Plaintiff and Approval of Selection of Counsel #14 (Barz, James) |
| Filing 22 NOTICE by Ricky Hoyle, Jacob Newman, Aymon Sukkar re MOTION by Plaintiff Jacob Newman, Movants Aymon Sukkar, Ricky HoyleFOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF LEAD COUNSEL #9 WITHDRAWAL OF MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF LEAD COUNSEL (Ludwig, Louis) |
| Filing 21 MINUTE entry before the Honorable Sharon Johnson Coleman: Motion hearing held on 5/9/2017. Joint Motion for Extension of Time and Entry of Stipulated Order #8 is granted. The stipulated order will be entered. Motions by counsel for Caterpillar et al, Kenneth Winn Allen #7 and James P. Gillespie #19 for pro hac vice appearance are granted. Motion by Plaintiff Newman and Movants Sukkar and Hoyle for appointment as Lead Plaintiff and Approval of Lead Counsel #9 and Motion by Movant Societe Generale Securities Services, et al for appointment as Lead Plaintiff and Approval of Lead Counsel #14 to be briefed as follows: Responses due 5/23/2017, Replies due 5/30/2017. Once fully briefed the motions for appointment of Lead Plaintiff and Approval of Lead Counsel will be taken under advisement. The Court will set a status hearing when appointing Lead Plaintiff and approving Lead Counsel.Mailed notice (rth, ) |
| Filing 20 ATTORNEY Appearance for Movant Societe Generale Securities Services GmbH by Frank Anthony Richter (Richter, Frank) |
| Filing 19 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752-13136784. (Gillespie, James) |
| Filing 18 ATTORNEY Appearance for Movant Societe Generale Securities Services GmbH by Christopher F. Moriarty (Moriarty, Christopher) |
| Filing 17 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by Societe Generale Securities Services GmbH (Barz, James) |
| Filing 16 MEMORANDUM by Societe Generale Securities Services GmbH in support of motion for miscellaneous relief,, #14 (Barz, James) |
| Filing 15 NOTICE of Motion by James E Barz for presentment of motion for miscellaneous relief,, #14 before Honorable Sharon Johnson Coleman on 5/9/2017 at 08:45 AM. (Barz, James) |
| Filing 14 MOTION by Movant Societe Generale Securities Services GmbH for Appointment as Lead Plaintiff and Approval of Selection of Counsel (Attachments: #1 Exhibit A - Certification, #2 Exhibit B - Estimate of losses, #3 Exhibit C - PSLRA Notice, #4 Exhibit D - Motley Rice LLC firm resume, #5 Exhibit E - Robbins Geller Rudman & Dowd LLP firm resume, #6 Exhibit F - Bang v. Acura Pharm., #7 Exhibit G - G.M. Sign v. Brink's, #8 Exhibit H - City of Sterling Heights v. Hospira, #9 Exhibit I - In re Motorola, #10 Text of Proposed Order)(Barz, James) |
| Filing 13 ATTORNEY Appearance for Movants Socit Gnrale Securities Services GmbH, Societe Generale Securities Services GmbH by James E Barz (Barz, James) |
| Filing 12 DECLARATION of Louis C. Ludwig regarding motion for miscellaneous relief #9 (Attachments: #1 Exhibit A - Press Release, #2 Exhibit B - Certifications, #3 Exhibit C - Loss Chart, #4 Exhibit D - Pomerantz Resume, #5 Exhibit E - Rosen Resume)(Ludwig, Louis) |
| Filing 11 NOTICE of Motion by Louis Carey Ludwig for presentment of motion for miscellaneous relief #9 before Honorable Sharon Johnson Coleman on 5/9/2017 at 08:45 AM. (Ludwig, Louis) |
| Filing 10 MEMORANDUM by Ricky Hoyle, Jacob Newman, Aymon Sukkar in support of motion for miscellaneous relief #9 (Ludwig, Louis) |
| Filing 9 MOTION by Plaintiff Jacob Newman, Movants Aymon Sukkar, Ricky Hoyle for Appointment as Lead Plaintiff and Approval of Lead Counsel. (Ludwig, Louis) (Docket Text Modified on 5/3/2017 by Clerk's Office) (eaa, ). |
| Filing 8 MOTION by Defendants Caterpillar, Inc., Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III for extension of time and entry of stipulated Order (Filip, Mark) |
| Filing 7 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752-13116605. (Allen, Kenneth) |
| Filing 6 ATTORNEY Appearance for Defendants Caterpillar, Inc., Bradley M. Halverson, Douglas R. Oberhelman, D. James Umpleby III by Mark Robert Filip (Filip, Mark) |
| Filing 5 WAIVER OF SERVICE returned executed by Jacob Newman. All Defendants. (Ludwig, Louis) |
| Filing 4 ATTORNEY Appearance for Plaintiff Jacob Newman by Patrick Vincent Dahlstrom (Dahlstrom, Patrick) |
| Filing 3 ATTORNEY Appearance for Plaintiff Jacob Newman by Louis Carey Ludwig (Ludwig, Louis) |
| Filing 2 CIVIL Cover Sheet (Ludwig, Louis) |
| Filing 1 COMPLAINT filed by Jacob Newman; Jury Demand. Filing fee $ 400, receipt number 0752-12922075. (Attachments: #1 Exhibit Certification, #2 Exhibit Schedule A)(Ludwig, Louis) |
| CASE ASSIGNED to the Honorable Sharon Johnson Coleman. Designated as Magistrate Judge the Honorable Jeffrey T. Gilbert. (mt, ) |
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