Iowa Public Employees' Retirement System et al v. Bank of America Corporation et al
Plaintiff: Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association and Torus Capital, LLC
Defendant: J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Securities LLC, Goldman Sachs Execution & Clearing, L.P., UBS Financial Services Inc., EquiLend Holdings LLC, Credit Suisse Group AG, Credit Suisse First Boston Next Fund, Inc., J.P. Morgan Chase Bank, N.A., Goldman Sachs & Co. LLC, UBS AG, Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., J.P. Morgan Prime, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prime Dealer Services Corp., The Goldman Sachs Group, Inc., Strategic Investments I, Inc., Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, UBS Group AG, EquiLend Europe Limited, Credit Suisse AG, UBS Americas Inc., UBS Securities LLC, J.P. Morgan Chase & Co., Credit Suisse Securities (USA) LLC, EquiLend LLC, Morgan Stanley, UBS Asset Management (US) Inc., Merrill Lynch Professional Clearing Corp., J.P. Morgan Institutional Investments Inc., UBS Investment Bank, Credit Suisse Prime Securities Services (USA) LLC, UBS Fund Services (USA) LLC and Morgan Stanley Distribution, Inc.
Petitioner: SL-X IP S.A.R.L., SL-x Trading Europe Ltd., SL-x Technology UK Ltd., SL-x Technology USA LLC and SL-x Trading USA LLC
Interested Party: Schonfeld Strategic Advisors LLC and Two Sigma Investments, LP
Alternative Dispute Resolution (Adr) Provider: Deutsche Bank Securities Inc., Deutsche Bank AG and Joseph Santoro
Case Number: 1:2017cv06221
Filed: August 16, 2017
Court: US District Court for the Southern District of New York
Office: Foley Square Office
Presiding Judge: Sarah L Cave
Referring Judge: Katherine Polk Failla
2 Judge: Analisa Torres
Nature of Suit: Anti-Trust
Cause of Action: 15 U.S.C. § 2 Antitrust Litigation
Jury Demanded By: Both
Docket Report

This docket was last retrieved on August 24, 2023. A more recent docket listing may be available from PACER.

Date Filed Document Text
August 24, 2023 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #653 Proposed Order was reviewed and approved as to form. (km)
August 23, 2023 Opinion or Order Filing 653 PROPOSED ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. Related Document Number: #650 ..(Brockett, Daniel) Proposed Order to be reviewed by Clerk's Office staff.
August 23, 2023 Opinion or Order Filing 652 DECLARATION of Daniel L. Brockett in Support re: #650 MOTION to Approve Preliminarily New Settlement Agreement with Goldman Sachs, Morgan Stanley, JPMorgan, UBS, and Equilend .. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1- New Settlement Agreement).(Brockett, Daniel)
August 23, 2023 Opinion or Order Filing 651 MEMORANDUM OF LAW in Support re: #650 MOTION to Approve Preliminarily New Settlement Agreement with Goldman Sachs, Morgan Stanley, JPMorgan, UBS, and Equilend . . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 23, 2023 Opinion or Order Filing 650 MOTION to Approve Preliminarily New Settlement Agreement with Goldman Sachs, Morgan Stanley, JPMorgan, UBS, and Equilend . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 10, 2023 Opinion or Order Filing 649 MEMO ENDORSEMENT on NOTICE OF MOTION TO WITHDRAW AS COUNSEL: granting #648 Motion to Withdraw as Attorney. ENDORSEMENT: Application GRANTED. The Clerk of Court is directed to terminate Mr. Katz from the docket. The Clerk of Court is further directed to terminate the motion at docket entry 648. SO ORDERED. Attorney Elai Katz terminated. (Signed by Judge Katherine Polk Failla on 8/10/2023) (ama)
August 9, 2023 Opinion or Order Filing 648 MOTION for Elai Katz to Withdraw as Attorney . Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC..(Katz, Elai)
August 4, 2023 Opinion or Order Filing 647 LETTER addressed to Judge Katherine Polk Failla from Richard F. Schwed dated August 4, 2023 re: Plaintiffs' July 31, 2023 letter. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
August 2, 2023 Opinion or Order Filing 646 ORDER granting #645 LETTER MOTION for Extension of Time to File Response/Reply addressed to Judge Katherine Polk Failla from Richard F. Schwed dated August 1, 2023. Application GRANTED. The Clerk of Court is directed to terminate the motion at docket entry 645. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/2/2023) (mml)
August 1, 2023 Opinion or Order ***DELETED DOCUMENT. Deleted document number [642, 643, 644] MEMO ENDORSEMENT. The document was incorrectly filed in this case. (tg)
August 1, 2023 Opinion or Order Filing 645 LETTER MOTION for Extension of Time to File Response/Reply addressed to Judge Katherine Polk Failla from Richard F. Schwed dated August 1, 2023. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
August 1, 2023 Opinion or Order Filing 641 MEMO ENDORSED ORDER granting #639 Motion to Withdraw as Attorney. ENDORSEMENT: Mr. Liu's motion to withdraw as counsel is GRANTED. The Clerk of Court is respectfully directed to terminate Mr. Liu as counsel, and to close ECF No. 639. SO ORDERED. (Attorney Henry Liu terminated.) (Signed by Magistrate Judge Sarah L Cave on 8/1/23) (yv)
August 1, 2023 Opinion or Order Filing 640 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. Related Document Number: #639 ..(Liu, Henry)
August 1, 2023 Opinion or Order Filing 639 MOTION for Henry B. Liu to Withdraw as Attorney . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Liu, Henry)
July 31, 2023 Opinion or Order Filing 638 LETTER addressed to Judge Katherine Polk Failla from Michael Eisenkraft dated July 31, 2023 re: Supplemental Authority. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A).(Eisenkraft, Michael)
March 24, 2023 Opinion or Order Filing 637 MEMO ENDORSEMENT on re: #635 Letter filed by Two Sigma Investments, LP, ENDORSEMENT: Application GRANTED. The Court thanks Mr. Kelly for his work and this matter and wishes him the best in his future endeavors. The Clerk of Court is directed to terminate Mr. Kelly from the docket. Attorney Matthew Alan Kelly terminated. (Signed by Judge Katherine Polk Failla on 3/24/2023) (rro)
March 24, 2023 Opinion or Order Filing 636 MEMO ENDORSEMENT on re: #635 Letter filed by Two Sigma Investments, LP, ENDORSEMENT: Application GRANTED. The Court thanks Mr. Kelly for his work and this matter and wishes him the best in his future endeavors. The Clerk of Court is directed to terminate Mr. Kelly from the docket. Attorney Matthew Alan Kelly terminated. (Signed by Judge Katherine Polk Failla on 3/24/2023) (rro)
March 24, 2023 Opinion or Order Filing 635 LETTER addressed to Judge Katherine Polk Failla from Matthew A. Kelly dated March 24, 2023 re: Withdrawal as Counsel. Document filed by Two Sigma Investments, LP..(Kelly, Matthew)
January 10, 2023 Opinion or Order Filing 634 NOTICE of Change of Firm Name and E-Mail Addresses. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association..(Pearson, Clifford)
November 14, 2022 Opinion or Order Filing 633 ORDER granting #629 Letter Motion to Seal. Defendants' application to file the materials at docket entry 617 with redactions is GRANTED. The Clerk of Court is directed to maintain docket entry 617 under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion at docket entry 629. (Signed by Judge Katherine Polk Failla on 11/14/2022) (rro)
November 11, 2022 Opinion or Order Filing 631 ***SELECTED PARTIES*** REPLY re: #576 Objection to Report and Recommendations, . Document filed by Morgan Stanley & Co. LLC, UBS Americas Inc., J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., EquiLend Holdings LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Torus Capital, LLC. Motion or Order to File Under Seal: #629 .(Schwed, Richard)
November 11, 2022 Opinion or Order Filing 630 REPLY re: #576 Objection to Report and Recommendations, #617 Reply,,,, (Redacted). Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC..(Schwed, Richard)
November 11, 2022 Opinion or Order Filing 629 LETTER MOTION to Seal or Redact addressed to Judge Katherine Polk Failla from Richard Schwed dated November 11, 2022. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
November 10, 2022 Opinion or Order Filing 632 ORDER granting #624 Letter Motion to Seal. Application GRANTED. The Clerk of Court is directed to maintain docket entries 615 and 616, as well as Exhibit A to docket entry 616, under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion at docket entry 624. (Signed by Judge Katherine Polk Failla on 11/10/2022) (rro)
November 10, 2022 Opinion or Order Filing 628 DECLARATION of Daniel L. Brockett re: #627 Reply Memorandum of Law, Redacted. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
November 10, 2022 Opinion or Order Filing 627 REPLY MEMORANDUM OF LAW re: #573 Objection to Report and Recommendations, Redacted. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
November 10, 2022 Opinion or Order Filing 626 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett re: #625 Reply Memorandum of Law in Support,,,, Highlighted. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #624 .(Eisenkraft, Michael)
November 10, 2022 Opinion or Order Filing 625 ***SELECTED PARTIES*** REPLY MEMORANDUM OF LAW in Support re: #573 Objection to Report and Recommendations, Highlighted. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #624 .(Eisenkraft, Michael)
November 10, 2022 Opinion or Order Filing 624 LETTER MOTION to Seal or Redact addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft and Daniel L. Brockett dated November 10, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
October 25, 2022 Opinion or Order Filing 623 NOTICE OF CHANGE OF ADDRESS by Peter George Safirstein on behalf of Torus Capital, LLC. New Address: Safirstein Law LLC, 45 N. Broad Street, Suite 100, Ridgewood, NJ, United States 07450, 917-952-9458..(Safirstein, Peter)
October 25, 2022 Opinion or Order Filing 622 MEMO ENDORSEMENT on re: #621 Letter, filed by J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Securities LLC, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc. ENDORSEMENT: The Court is in receipt of Defendants' request for oral argument concerning their objections to Judge Cave's Report and Recommendation regarding class certification. If the Court determines that oral argument would be useful, it will promptly reach out to the parties. (Signed by Judge Katherine Polk Failla on 10/25/2022) (rro)
October 24, 2022 Opinion or Order Filing 621 LETTER addressed to Judge Katherine Polk Failla from Robert D. Wick dated October 24, 2022 re: Request for Oral Argument. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
October 24, 2022 Opinion or Order Filing 620 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #618 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the motion of Daniel P. Mach to withdraw as counsel for Plaintiffs is granted, and Mr. Mach's appearance is withdrawn as of the date of this Order. The Clerk is directed to remove Mr. Mach from the CM/ECF service list for this action. The Clerk of Court is additionally directed to terminate the motion at docket entry 618. Attorney Daniel Paul Mach terminated. (Signed by Judge Katherine Polk Failla on 10/24/2022) (rro)
October 24, 2022 Opinion or Order Filing 619 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #618 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the motion of Daniel P. Mach to withdraw as counsel for Plaintiffs is granted, and Mr. Mach's appearance is withdrawn as of the date of this Order. The Clerk is directed to remove Mr. Mach from the CM/ECF service list for this action. The Clerk of Court is additionally directed to terminate the motion at docket entry 618. Attorney Daniel Paul Mach terminated. (Signed by Judge Katherine Polk Failla on 10/24/2022) (rro)
October 22, 2022 Opinion or Order Filing 618 MOTION for Daniel Paul Mach to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order Proposed Order).(Mach, Daniel)
October 20, 2022 Opinion or Order Filing 617 ***SELECTED PARTIES*** REPLY re: #576 Objection to Report and Recommendations, . Document filed by Morgan Stanley & Co. LLC, UBS Americas Inc., J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., EquiLend Holdings LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. Motion or Order to File Under Seal: #613 .(Wick, Robert)
October 20, 2022 Opinion or Order Filing 616 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett in Support re: #615 Reply Memorandum of Law in Support,,,,. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A: Deposition Transcript of Brian Lamb)Motion or Order to File Under Seal: #614 .(Brockett, Daniel)
October 20, 2022 Opinion or Order Filing 615 ***SELECTED PARTIES*** REPLY MEMORANDUM OF LAW in Support re: #573 Objection to Report and Recommendations, . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #614 .(Brockett, Daniel)
October 18, 2022 Opinion or Order Filing 614 ORDER granting #612 CONSENT LETTER MOTION to Seal Plaintiffs' Reply in Support of Their Limited Objection. Application GRANTED. Plaintiffs shall file their reply along with proposed redacted and highlighted copies by November 11, 2022. The Court understands that the response will be viewable by the Court and parties only. The Clerk of Court is directed to terminate the motion at docket entry 612. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/18/2022) (jca)
October 18, 2022 Opinion or Order Filing 613 ORDER granting #611 Letter Motion to Seal. Application GRANTED. Defendants shall file their reply along with proposed redacted and highlighted copies by November 11, 2022. The Court understands that the response will be viewable by the Court and parties only. The Clerk of Court is directed to terminate the motion at docket entry 611. (Signed by Judge Katherine Polk Failla on 10/18/2022) (rro)
October 18, 2022 Opinion or Order Filing 612 CONSENT LETTER MOTION to Seal Plaintiffs' Reply in Support of Their Limited Objection addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated October 18, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
October 18, 2022 Opinion or Order Filing 611 CONSENT LETTER MOTION to Seal Defendants' reply in support of their objections to MJ Cave's Report and Recommendation addressed to Judge Katherine Polk Failla from Robert D. Wick dated October 18, 2022. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
October 14, 2022 Opinion or Order Filing 610 DECLARATION of Daniel L. Brockett re: #609 Response, Redacted. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D).(Eisenkraft, Michael)
October 14, 2022 Opinion or Order Filing 609 RESPONSE re: #576 Objection to Report and Recommendations, Redacted. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
October 14, 2022 Opinion or Order Filing 608 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett re: #607 Response,,,, Highlighted. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A)Motion or Order to File Under Seal: #599 .(Eisenkraft, Michael)
October 14, 2022 Opinion or Order Filing 607 ***SELECTED PARTIES*** RESPONSE re: #576 Objection to Report and Recommendations, Highlighted. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #599 .(Eisenkraft, Michael)
October 14, 2022 Opinion or Order Filing 606 ORDER granting #601 Letter Motion to Seal. Application GRANTED. The Clerk of Court is directed to maintain docket entries 595 and 596, as well as Exhibit 1 to docket entry 596, under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion at docket entry #601.. (Signed by Judge Katherine Polk Failla on 10/14/2022) (rro)
October 14, 2022 Opinion or Order Filing 605 DECLARATION of Michael A. Paskin re: #573 Objection to Report and Recommendations, / DECLARATION OF MICHAEL A. PASKIN IN SUPPORT OF DEFENDANTS' RESPONSE TO PLAINTIFFS' LIMITED OBJECTION TO PART IV.D OF MAGISTRATE JUDGE CAVE'S REPORT AND RECOMMENDATION (Redacted). Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
October 14, 2022 Opinion or Order Filing 604 RESPONSE re: #573 Objection to Report and Recommendations, / DEFENDANTS' RESPONSE TO PLAINTIFFS' LIMITED OBJECTION TO PART IV.D OF MAGISTRATE JUDGE CAVE'S REPORT AND RECOMMENDATION (Redacted). Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
October 14, 2022 Opinion or Order Filing 603 ***SELECTED PARTIES***DECLARATION of Michael A. Paskin re: #573 Objection to Report and Recommendations, / DECLARATION OF MICHAEL A. PASKIN IN SUPPORT OF DEFENDANTS' RESPONSE TO PLAINTIFFS' LIMITED OBJECTION TO PART IV.D OF MAGISTRATE JUDGE CAVE'S REPORT AND RECOMMENDATION. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Deutsche Bank AG, Deutsche Bank Securities Inc., EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Joseph Santoro, Schonfeld Strategic Advisors LLC, Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1)Motion or Order to File Under Seal: #601 .(Schwed, Richard)
October 14, 2022 Opinion or Order Filing 602 ***SELECTED PARTIES*** RESPONSE re: #573 Objection to Report and Recommendations, / DEFENDANTS' RESPONSE TO PLAINTIFFS' LIMITED OBJECTION TO PART IV.D OF MAGISTRATE JUDGE CAVE'S REPORT AND RECOMMENDATION. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Deutsche Bank AG, Deutsche Bank Securities Inc., EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Joseph Santoro, Schonfeld Strategic Advisors LLC, Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #601 .(Schwed, Richard)
October 14, 2022 Opinion or Order Filing 601 LETTER MOTION to Seal or Redact addressed to Judge Katherine Polk Failla from Richard Schwed dated October 14, 2022. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
October 14, 2022 Opinion or Order Filing 600 ORDER granting #599 Letter Motion to Seal. Application GRANTED. The Clerk of Court is directed to maintain docket entries 597 and 598, as well as Exhibits A, B, and C to docket entry 598, under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion at docket entry #599. (Signed by Judge Katherine Polk Failla on 10/14/2022) (rro)
October 14, 2022 Opinion or Order Filing 599 LETTER MOTION to Seal or Redact addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft and Daniel L. Brockett dated October 14, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
September 29, 2022 Opinion or Order Filing 598 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett re: #597 Response,,,, . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)Motion or Order to File Under Seal: #592 .(Brockett, Daniel)
September 29, 2022 Opinion or Order Filing 597 ***SELECTED PARTIES*** RESPONSE re: #576 Objection to Report and Recommendations, . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #592 .(Brockett, Daniel)
September 29, 2022 Opinion or Order Filing 596 ***SELECTED PARTIES***DECLARATION of Michael A. Paskin in Support re: #595 Response,. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1 - "Stock Lending Antitrust Case: Data Fields" Email Chain, dated February 28, 2019 through June 6, 2019)Motion or Order to File Under Seal: #594 .(Paskin, Michael)
September 29, 2022 Opinion or Order Filing 595 ***SELECTED PARTIES*** RESPONSE re: #573 Objection to Report and Recommendations, Defendants' Response to Plaintiffs' Limited Objection to Part IV.D of Magistrate Judge Cave's Report and Recommendation (on behalf of all Defendants other than Credit Suisse). Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. Motion or Order to File Under Seal: #594 .(Paskin, Michael)
September 27, 2022 Opinion or Order Filing 594 ORDER granting #593 Letter Motion to Seal. Application GRANTED. Defendants shall file their motion to seal along with proposed redacted and highlighted copies by October 14, 2022. The Court understands that the response will be viewable by the Court and parties only. The Clerk of Court is directed to terminate the motion at docket entry 593. (Signed by Judge Katherine Polk Failla on 9/27/2022) (rro)
September 27, 2022 Opinion or Order Set/Reset Deadlines: Motions due by 10/14/2022. (rro)
September 26, 2022 Opinion or Order Filing 593 LETTER MOTION to Seal addressed to Judge Katherine Polk Failla from Richard C. Pepperman II dated September 26, 2022. Document filed by Goldman Sachs & Co. LLC..(Pepperman, Richard)
September 26, 2022 Opinion or Order Filing 592 ORDER granting #591 Letter Motion to Seal. Application GRANTED. Plaintiffs shall file their motion to seal along with proposed redacted and highlight copies by October 14, 2022. The Court understands that the response will be viewable by the Court and parties only. The Clerk of Court is directed to terminate the motion at docket entry 591. (Signed by Judge Katherine Polk Failla on 9/26/2022) (rro)
September 26, 2022 Opinion or Order Set/Reset Deadlines: Motions due by 10/14/2022. (rro)
September 23, 2022 Opinion or Order Filing 591 LETTER MOTION to Seal addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated September 23, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
September 22, 2022 Opinion or Order Filing 590 NOTICE OF CHANGE OF ADDRESS by Neil Swartzberg on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. New Address: Pearson, Simon & Warshaw, LLP, 555 Montgomery Street, Suite 1205, San Francisco, CA, USA 94111, (415) 433-9000..(Swartzberg, Neil)
September 13, 2022 Opinion or Order Filing 589 ORDER granting #584 Letter Motion to Seal. Application GRANTED. The Clerk of Court is directed to maintain docket entries 576 and 577 under seal, viewable only to the parties and Court. The Clerk of Court is directed to terminate the motion at docket entry 584. (Signed by Judge Katherine Polk Failla on 9/13/2022) (rro)
September 12, 2022 Opinion or Order Filing 588 DECLARATION of Michael A. Paskin (Redacted) in Support re: #587 Objection to Report and Recommendations. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
September 12, 2022 Opinion or Order Filing 587 OBJECTION to #563 Report and Recommendations (Redacted) Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
September 12, 2022 Opinion or Order Filing 586 ***SELECTED PARTIES***DECLARATION of Michael A. Paskin in Support re: #585 Objection to Report and Recommendations,,,,,. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Deutsche Bank AG, Deutsche Bank Securities Inc., EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Joseph Santoro, Schonfeld Strategic Advisors LLC, Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #584 .(Schwed, Richard)
September 12, 2022 Opinion or Order Filing 585 ***SELECTED PARTIES***OBJECTION to #563 Report and Recommendations Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Deutsche Bank AG, Deutsche Bank Securities Inc., EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Joseph Santoro, Schonfeld Strategic Advisors LLC, Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #584 .(Schwed, Richard)
September 12, 2022 Opinion or Order Filing 584 LETTER MOTION to Seal or Redact addressed to Judge Katherine Polk Failla from Richard F. Schwed dated September 12, 2022. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated..(Schwed, Richard)
September 7, 2022 Opinion or Order Filing 583 MEMO ENDORSEMENT on re: #581 Declaration in Support of Motion filed by Goldman Sachs & Co. LLC. ENDORSEMENT: Attorneys Eva W. Cole, Seth C. Farber, and George E. Mastoris' motion to withdraw as counsel for Defendant Goldman Sachs & Co. LLC (the "Defendant") (ECF No. 580) is GRANTED. The Clerk of Court is respectfully directed to close ECF No. 580 and terminate Eva W. Cole, Seth C. Farber, and George E. Mastoris as counsel for the Defendant. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 9/7/22) (yv)
September 7, 2022 Opinion or Order Filing 582 MEMO ENDORSEMENT granting #580 Motion to Withdraw as Attorney. ENDORSEMENT: Application GRANTED. The appearances of Eva W. Cole, Seth C. Farber, and George E. Mastoris as attorneys of record for Defendant Goldman Sachs & Co LLC are withdrawn as of today, September 7, 2022. The Clerk of Court is directed to remove Eva W. Cole, Seth C. Farber, and George E. Mastoris from the CM/ECF service list for this action. The Clerk of Court is further directed to terminate the pending motion at docket number 580. Attorney George Eric Mastoris; Eva W. Cole and Seth C. Farber terminated (Signed by Judge Katherine Polk Failla on 9/7/2022) (rro)
September 6, 2022 Opinion or Order Filing 581 DECLARATION of George E. Mastoris in Support re: #580 MOTION for Eva W. Cole, Seth C. Farber, and George E. Mastoris to Withdraw as Attorney .. Document filed by Goldman Sachs & Co. LLC..(Mastoris, George)
September 6, 2022 Opinion or Order Filing 580 MOTION for Eva W. Cole, Seth C. Farber, and George E. Mastoris to Withdraw as Attorney . Document filed by Goldman Sachs & Co. LLC..(Mastoris, George)
August 24, 2022 Opinion or Order Filing 579 NOTICE OF CHANGE OF ADDRESS by Robert Y. Sperling on behalf of Goldman Sachs & Co. LLC. New Address: Paul, Weiss, Rifkind, Wharton & Garrison LLP, 1285 Avenue of the Americas, New York, NY, USA 10019, 212) 373-3000..(Sperling, Robert)
August 16, 2022 Opinion or Order Filing 578 ORDER granting #575 Letter Motion to Seal. Application GRANTED. Defendants shall file their motion to seal along with proposed redacted and highlight copies by September 12, 2022. The Clerk of Court is directed to maintain docket entries 576 and 577 under seal, viewable only to the parties and Court. The Clerk of Court is further directed to terminate the motion at docket entry 575. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/16/2022) (vfr)
August 16, 2022 Opinion or Order Set/Reset Deadlines: Motions due by 9/12/2022. (vfr)
August 15, 2022 Opinion or Order Filing 577 ***SELECTED PARTIES***DECLARATION of Michael A. Paskin in Support re: #563 Report and Recommendations,,,,,,,,,. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. Motion or Order to File Under Seal: #575 .(Paskin, Michael)
August 15, 2022 Opinion or Order Filing 576 ***SELECTED PARTIES***OBJECTION to #563 Report and Recommendations Regarding Class Certification (on behalf of all Defendants other than Credit Suisse). Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. Motion or Order to File Under Seal: #575 .(Paskin, Michael)
August 15, 2022 Opinion or Order Filing 575 LETTER MOTION to Seal Defendants' Objections to Magistrate Judge Sarah L. Cave's Report and Recommendation addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 15, 2022. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
August 15, 2022 Opinion or Order Filing 574 DECLARATION of MICHAEL B. EISENKRAFT in Support re: #573 Objection to Report and Recommendations,. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2).(Brockett, Daniel)
August 15, 2022 Opinion or Order Filing 573 OBJECTION to #563 Report and Recommendations Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 5, 2022 Opinion or Order Filing 572 ORDER: granting #569 Letter Motion for Leave to File Excess Pages. The Court is in receipt of the parties' letters dated August 4, 2022 (Dkt. #569, 570, 571). Defendants' opening brief shall be no more than 50 pages; Plaintiffs' opposition brief shall be no more than 50 pages; and Defendants' reply brief shall be no more than 25 pages. The Clerk of Court is directed to terminate the motion at docket entry 569. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/05/2022) (ama)
August 4, 2022 Opinion or Order Filing 571 LETTER REPLY to Response to Motion addressed to Judge Katherine Polk Failla from Staci Yablon dated August 4, 2022 re: #569 LETTER MOTION for Leave to File Excess Pages re: Defendants' forthcoming objections to Magistrate Judge Cave's Report and Recommendation (Dkt. 563), addressed to Judge Katherine Polk Failla from Staci Yablon dated August 4, 2022. . Document filed by Goldman Sachs & Co. LLC..(Yablon, Staci)
August 4, 2022 Opinion or Order Filing 570 LETTER RESPONSE to Motion addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated August 4, 2022 re: #569 LETTER MOTION for Leave to File Excess Pages re: Defendants' forthcoming objections to Magistrate Judge Cave's Report and Recommendation (Dkt. 563), addressed to Judge Katherine Polk Failla from Staci Yablon dated August 4, 2022. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 4, 2022 Opinion or Order Filing 569 LETTER MOTION for Leave to File Excess Pages re: Defendants' forthcoming objections to Magistrate Judge Cave's Report and Recommendation (Dkt. 563), addressed to Judge Katherine Polk Failla from Staci Yablon dated August 4, 2022. Document filed by Goldman Sachs & Co. LLC..(Yablon, Staci)
July 8, 2022 Opinion or Order Filing 568 ORDER granting #567 Letter Motion for Extension of Time. In the event Plaintiffs decide to submit objections to Judge Cave's Report and Recommendation, the schedule outlined in the Court's endorsement of July 6, 2022, shall govern their objections as well. (Dkt. #566). The Clerk of Court is directed to terminate the pending motion at docket entry 567. (Signed by Judge Katherine Polk Failla on 7/8/2022) (rro)
July 7, 2022 Opinion or Order Filing 567 LETTER MOTION for Extension of Time re: Clarification of Plaintiffs' Deadlines addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated 07/07/2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
July 6, 2022 Opinion or Order Filing 566 ORDER granting #564 Letter Motion for Extension of Time. The Court is in receipt of the parties' letters setting forth their positions on the appropriate length of the briefing schedule for Defendants' objections to Magistrate Judge Cave's Report and Recommendation. (Dkt. #564, 565). The Court agrees with Defendants that the circumstances of this case, particularly the complexity of the issues presented, warrant an extension of the briefing schedule. Accordingly, the Court sets the following briefing schedule: Defendants' objections to the Report shall be due on or before August 15, 2022; Plaintiffs' response to Defendants' objections shall be due on or before September 29, 2022; Defendants' reply shall be due on or before October 20, 2022. In previously accommodating the parties' request to brief the instant motion for class certification over a period of seven months, the Court informed the parties of its semi-annual reporting obligations to Congress. (Dkt. #417). Here too, the Court's accession to Defendants' request for additional time to brief their objections to the Report precludes the Court from complying with these same obligations. Thus, in order to ensure that the parties have sufficient time to fully brief Defendants' objections to the Report, without impacting the Court's ability to satisfy its reporting obligations, the Court will stay the case for the duration of the above-stated briefing schedule. For avoidance of doubt, this stay is purely for administrative purposes and the deadlines reflected above remain operative. Accordingly, the Clerk of Court is directed to STAY this case pending further order of the Court. In addition, the Clerk of Court is directed to terminate the pending motion at docket entry 564. Objections to R&R due by 8/15/2022. (Signed by Judge Katherine Polk Failla on 7/6/2022) (rro)
July 6, 2022 Opinion or Order Case Stayed (rro)
July 5, 2022 Opinion or Order Filing 565 LETTER RESPONSE to Motion addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated July 5, 2022 re: #564 LETTER MOTION for Extension of Time to File Objections to the Report and Recommendation Regarding Plaintiffs' Motion For Class Certification [Dkt. 563]. addressed to Judge Katherine Polk Failla from Staci Yablon dated July 5, 2022. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
July 5, 2022 Opinion or Order Filing 564 LETTER MOTION for Extension of Time to File Objections to the Report and Recommendation Regarding Plaintiffs' Motion For Class Certification [Dkt. 563]. addressed to Judge Katherine Polk Failla from Staci Yablon dated July 5, 2022. Document filed by Goldman Sachs & Co. LLC..(Yablon, Staci)
June 30, 2022 Opinion or Order Filing 563 REPORT AND RECOMMENDATION re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL). filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. For the reasons set forth above, I respectfully recommend that Plaintiffs' Motion for Class Certification be GRANTED IN PART and DENIED IN PART as follows:(1) The following Class be certified: All persons and entities who, directly or through an agent, entered into at least 100 U.S. Stock Loan Transactions as a borrower from the prime brokerage businesses of the U.S.-based entities of the Prime Broker Defendants, or at least 100 U.S. Stock Loan Transactions as a lender of Hard-to-Borrow stock to the U.S.-based entities of the Prime Broker Defendants, from January 1, 2012 until August 16, 2017. Excluded from the Class are: Defendants, as well as Citadel LLC, Two Sigma Investments, PDT Partners, Renaissance Technologies LLC, TGS Management, Voloridge Investment Management, and the D.E. Shaw Group and their corporate parents, subsidiaries, and wholly owned affiliates, as well as any federal governmental entity, any judicial officer presiding over this action, and any juror assigned to this action. The following management Subclasses be utilized: The "End-User Subclass": All persons and entities within the class who, directly or through an agent, entered into at least 100 U.S. Stock Loan Transactions as a borrower from the prime brokerage businesses of the U.S.-based entities of the Prime Broker Defendants during the Class Period; and The "Beneficial Owner Subclass": All persons and entities within the class who, directly or through an agent, entered into at least 100 U.S. Stock Loan Transactions as a lender of Hard-to-Borrow stock to the U.S-based entities of the Prime Broker Defendants during the Class Period. Plaintiffs IPERS, LACERA, OCERS, SCERA, and Torus be appointed Lead Plaintiffs. Cohen Milstein and Quinn Emanuel be appointed Class Counsel. Plaintiffs' request to extend the Class Period to February 21, 2021 or later and reopen fact discovery be DENIED. Objections to R&R due by 7/14/2022 (Signed by Magistrate Judge Sarah L Cave on 6/30/2022) (rro)
May 31, 2022 Opinion or Order Filing 562 LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett and Michael B. Eisenkraft dated 05/31/2022 re: Supplemental Authority in Support of Class Certification. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A).(Brockett, Daniel)
May 19, 2022 Opinion or Order Filing 561 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/28/22 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(Moya, Goretti)
May 19, 2022 Opinion or Order Filing 560 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/28/2022 before Magistrate Judge Sarah L. Cave. Court Reporter/Transcriber: Lisa Picciano Franko, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/9/2022. Redacted Transcript Deadline set for 6/21/2022. Release of Transcript Restriction set for 8/17/2022..(Moya, Goretti)
May 3, 2022 Opinion or Order Filing 559 LETTER addressed to Magistrate Judge Sarah L. Cave from Michael A. Paskin dated May 3, 2022 re: Class Certification Oral Argument Transcript. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit A - April 28, 2022 Oral Argument Transcript).(Paskin, Michael)
May 3, 2022 Opinion or Order Filing 558 ORDER granting #554 Letter Motion to Seal. The Letter-Motion at ECF No. 554 to file the documents at ECF No. 555 under seal is GRANTED. The document at ECF No. 555 shall remain visible only to the selected parties. The Clerk of Court is respectfully directed to close the Letter-Motion at ECF No. 554. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 5/3/22) (yv)
May 2, 2022 Opinion or Order Filing 557 LETTER addressed to Magistrate Judge Sarah L. Cave from Michael A. Paskin dated May 2, 2022 re: Defendants' Class Certification Presentation. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit A - Defendants' Class Certification Presentation).(Paskin, Michael)
May 2, 2022 Opinion or Order Filing 556 LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated May 2, 2022 re: Submitting presentation slides. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit Plaintiffs' affirmative slides, #2 Exhibit Plaintiffs' rebuttal slides).(Brockett, Daniel)
May 2, 2022 Opinion or Order Filing 555 ***SELECTED PARTIES*** LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated May 2, 2022 re: Submitting presentation slides. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit Rebuttal slides)Motion or Order to File Under Seal: #554 .(Brockett, Daniel)
May 2, 2022 Opinion or Order Filing 554 LETTER MOTION to Seal Plaintiffs' rebuttal presentation from April 28, 2022 oral argument addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated May 2, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
April 29, 2022 Opinion or Order Filing 553 ORDER: By Monday, May 2, 2022, the parties shall file the slides from their presentations during Oral Argument, which was held on April 28, 2022. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 4/29/2022) (jca)
April 28, 2022 Opinion or Order Minute Entry for proceedings held before Magistrate Judge Sarah L Cave: Oral Argument held on 4/28/2022 re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL) filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. Attorneys Michael Eisenkraft, Steig Olson, Nicolas Seibert, Daniel Brockett, Emmy Levens and David Leray appeared on behalf of Plaintiffs. Attorneys Staci Yablon and Robert Sperling appeared on behalf of Goldman Sachs Defendants. Attorney Robert Wick appeared on behalf of JP Morgan Defendants. Attorney Michael Paskin appeared on behalf of Morgan Stanley. Attorney Peter Wilson appeared on behalf of UBS Defendants. (Court Reporters Lisa Franko and Sharonda Jones) (ne)
April 27, 2022 Opinion or Order NOTICE OF COURTROOM CHANGE: The in person Oral Argument scheduled for tomorrow, Thursday, April 28, 2022 at 10:00 am will now take place in Courtroom 23B, 500 Pearl Street, New York, NY 10007. (ne)
April 26, 2022 Opinion or Order Filing 552 JOINT LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett, Michael B. Eisenkraft, Richard F. Schwed, Carmine D. Boccuzzi, Jr., Staci Yablon, Robert D. Wick, Michael A. Paskin, and Peter G. Wilson dated 04/26/2022 re: Additional Electronic Devices. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A).(Brockett, Daniel)
April 26, 2022 Opinion or Order Filing 551 ORDER: The Court has received a request from a member of the press for the Oral Argument scheduled for April 28, 2022 (ECF No. 535) to be accessible by telephone. Accordingly, members of the public or the press, in addition to being able to observe the oral argument in the Courtroom, may dial in using the following information: (866) 390-1828; access code: 380-9799, at the scheduled time. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 4/26/2022) (ama)
April 25, 2022 Opinion or Order Filing 550 ORDER. The Court previously scheduled Oral Argument regarding the Motion for Class Certification (ECF No. 468) to occur on Thursday, April 28, 2022 at 10:00 am in Courtroom 18A, 500 Pearl Street, New York, New York. (See ECF No. 535). In response to the parties' request (ECF No. 549), the Court allocates 2.5 hours to each side for oral argument. Preservation of time for rebuttal will be discussed at the beginning of the Oral Argument. The parties' counsel and IT personnel may visit the courtroom on Wednesday, April 27, 2022 at 1:00pm. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 4/25/22) (yv)
April 21, 2022 Opinion or Order Filing 549 JOINT LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett, Michael B. Eisenkraft, Richard F. Schwed, Carmine D. Boccuzzi, Jr., Staci Yablon, Robert D. Wick, Michael A. Paskin, and Peter G. Wilson dated 04/21/2022 re: Oral Argument. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order).(Brockett, Daniel)
April 19, 2022 Opinion or Order Filing 548 NOTICE OF APPEARANCE by Nicolas Vernon Siebert on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Siebert, Nicolas)
April 15, 2022 Opinion or Order Filing 547 MEMO ENDORSEMENT on re: #545 Letter Supplemental Authority in Support of Class Certification, filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: The Court deems briefing of the motion for class certification motion (ECF No. 468 (the Motion)) complete. The parties are to refrain from making any further filings concerning the Motion prior to the oral argument scheduled April 28, 2022 at 10:00am. Any supplemental authorities may be presented to the Court at that time. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 4/15/22) (yv)
April 15, 2022 Opinion or Order Filing 546 LETTER addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated April 15, 2022 re: Response to Plaintiffs' April 12, 2022 letter on behalf of all Defendants other than Credit Suisse. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
April 14, 2022 Opinion or Order Filing 545 LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett and Michael B. Eisenkraft dated April 14, 2022 re: Supplemental Authority in Support of Class Certification. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A).(Eisenkraft, Michael)
April 12, 2022 Opinion or Order Filing 544 LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett and Michael B. Eisenkraft dated April 12, 2022 re: Supplemental Authority in Support of Class Certification. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A).(Brockett, Daniel)
March 29, 2022 Opinion or Order Filing 543 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/3/22 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(Moya, Goretti)
March 29, 2022 Opinion or Order Filing 542 TRANSCRIPT of Proceedings re: CONFERENCE held on 3/3/2022 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Khristine Sellin, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/19/2022. Redacted Transcript Deadline set for 4/29/2022. Release of Transcript Restriction set for 6/27/2022..(Moya, Goretti)
March 17, 2022 Opinion or Order Filing 541 NOTICE OF APPEARANCE by Avi Grunfeld on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Grunfeld, Avi)
March 10, 2022 Opinion or Order Filing 540 ORDER FOR ADMISSION PRO HAC VICE granting #539 Motion for Garrett Shinn to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the pending motion at docket entry 539. (Signed by Judge Katherine Polk Failla on 3/10/2022) (rro)
March 10, 2022 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #539 MOTION for Garrett Shinn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-25835911. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
March 9, 2022 Opinion or Order Filing 539 MOTION for Garrett Shinn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-25835911. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Declaration of Garrett Shinn, #2 Certificate of Good Standing - Supreme Court of the State of California, #3 Certificate of Good Standing - District of Columbia Court of Appeals, #4 Text of Proposed Order).(Shinn, Garrett)
March 7, 2022 Opinion or Order Filing 538 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a telephone conference proceeding held on 3/3/2022 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days.(rro)
March 7, 2022 Opinion or Order Filing 537 TRANSCRIPT of Proceedings re: telephone conference held on 3/3/2022 before Magistrate Judge Sarah L. Cave. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 3/28/2022. Redacted Transcript Deadline set for 4/7/2022. Release of Transcript Restriction set for 6/6/2022..(rro)
March 7, 2022 Opinion or Order Filing 536 ORDER: For substantially the same reasons outlined in the JPMorgan Defendants' written submission (Dkt. #531), as supplemented by their oral presentation on the record on March 3, 2022, Plaintiffs' request to reopen discovery for the purpose of serving spoliation-related interrogatories on the JPMorgan Defendants is hereby DENIED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/7/2022) (ks)
March 3, 2022 Opinion or Order Filing 535 ORAL ARGUMENT SCHEDULING ORDER: The Court will hold Oral Argument regarding the Motion for Class Certification (ECF No. 468) on Thursday, April 28, 2022 at 10:00 am in Courtroom 18A, 500 Pearl Street, New York, New York. The Court will allocate the entire day to Oral Argument. By Thursday, April 21, 2022, the parties shall file a joint letter that addresses: (i) theproposed allocation of time between the parties for Oral Argument; as further set forth herein. The Court expects the parties to refer to exhibits according to their ECF numbers (e.g., ECF No. 1287-1, etc.), not by their exhibit numbers or letters, and they must also adhere to this citation convention in their argument and in any demonstratives. In advance of Oral Argument, the Court will share with the parties a list of questions for the parties to address during Oral Argument. SO ORDERED. Oral Argument set for 4/28/2022 at 10:00 AM in Courtroom 18A, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Sarah L Cave. (Signed by Magistrate Judge Sarah L Cave on 3/3/2022) (vfr)
March 3, 2022 Opinion or Order Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 3/3/2022. Attorneys Michael Benjamin Eisenkraft, Robert White Cobbs and Joshua Rand representing Plaintiffs present. Attorneys Robert D. Wick, Henry Liu, and and John S. Playforth representing JP Morgan Defendants present. The Court defers ruling on the discovery motion and will issue a written order in due course. Plaintiffs shall order a copy of today's transcripts. (See transcript.) (Court Reporter Khris Sellin) (tn)
March 3, 2022 Opinion or Order Minute Entry for proceedings held before Magistrate Judge Sarah L Cave: Telephone Conference held on 3/3/2022. Attorney Dan Brockett appeared on behalf of Plaintiffs. Attorney Richard Schwed appeared on behalf of Defendant Bank of America. Attorney Stacy Yablon appeared on behalf of the Goldman Defendants. Attorney Robert Wick appeared on behalf of the JPMorgan Defendants. (ne)
March 2, 2022 Opinion or Order Filing 534 MEMO ENDORSEMENT Oon #531 granting #527 Letter Motion for Discovery. ENDORSEMENT: The Court is in receipt of Plaintiffs' letter motion, dated February 23, 2022, seeking to reopen discovery for the purpose of serving spoliation-related interrogatories on JPMorgan. (Dkt. #527). The Court has also received JPMorgan's above-letter in opposition, dated February 28, 2022. (Dkt. #531-532). Plaintiffs' request for a conference regarding its discovery motion is hereby GRANTED. The parties are directed to appear for a telephonic conference on March 3, 2022, at 2:00 p.m. At the appointed time, the parties shall call (888) 363-4749 and enter access code 5123533. Please note that the conference line will be unavailable prior to 2:00 p.m. The Clerk of Court is directed to terminate the pending motion at docket entry 527. (Signed by Judge Katherine Polk Failla on 3/2/2022) (rro)
March 2, 2022 Opinion or Order Set/Reset Hearings: Telephone Conference set for 3/3/2022 at 02:00 PM before Judge Katherine Polk Failla. (rro)
March 1, 2022 Opinion or Order Filing 533 ORDER granting #530 Letter Motion to Seal. Application GRANTED. Defendants shall be permitted to file a redacted version of the above-specified submission on the public docket. They may file an unredacted version of this submission under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the pending motion at docket entry 530. (Signed by Judge Katherine Polk Failla on 3/1/2022) (rro)
February 28, 2022 Opinion or Order Filing 532 REDACTION to #531 Response in Opposition to Motion,,,,, by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E).(Wick, Robert)
February 28, 2022 Opinion or Order Filing 531 ***SELECTED PARTIES***LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Robert D. Wick dated February 29, 2022 re: #527 LETTER MOTION for Discovery Regarding J.P. Morgan addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated February 23, 2022. . Document filed by J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)Motion or Order to File Under Seal: #530 .(Wick, Robert)
February 28, 2022 Opinion or Order Filing 530 LETTER MOTION to Seal addressed to Judge Katherine Polk Failla from Robert D. Wick dated February 28, 2022. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
February 28, 2022 Opinion or Order SCHEDULING ORDER: The March 4, 2022 Telephone Conference is RESCHEDULED due to a scheduling conflict to Thursday, March 3, 2022 at 10:00 am on the Court's conference line. The parties are directed to call: (866) 390-1828; access code: 380-9799, at the scheduled time. (Telephone Conference set for 3/3/2022 at 10:00 AM before Magistrate Judge Sarah L Cave.) (HEREBY ORDERED by Magistrate Judge Sarah L Cave) (Text Only Order) (ne)
February 25, 2022 Opinion or Order Filing 529 ORDER PRELIMINARILY APPROVING SETTLEMENT AGREEMENT, CERTIFYING THE SETTLEMENT CLASS, AND APPOINTING CLASS COUNSEL AND CLASS REPRESENTATIVES FOR THE SETTLEMENT CLASS granting #519 Motion to Approve. NOW, THEREFORE, IT IS HEREBY ORDERED: All terms in initial capitalization used in this Order shall have the same meaningsas set forth in the Settlement Agreement, unless otherwise defined herein. Pursuant to Fed. R. Civ. P. 23(e)(1)(B), based on the showing that the Court willlikely be able to approve the proposed settlement under Rule 23(e)(2) and certify the class for purposes of judgment on the proposed settlement, the Court hereby preliminarily approves the Settlement Agreement, subject to further consideration at the Fairness Hearing described below. The Court preliminarily finds that the settlement encompassed by the Settlement Agreement satisfies the requirements of Rules 23(c)(2) and 23(e) of the Federal Rules of Civil Procedure and due process so that an appropriate notice of the Settlement Agreement should be given, subject to the Courts approval of a notice plan as provided in this Order. The law firms of Quinn Emanuel Urquhart & Sullivan, LLP, and Cohen Milstein Sellers & Toll PLLC, are preliminarily appointed, solely for settlement purposes, as Co-Lead Counsel for the Settlement Class. Plaintiffs are preliminarily appointed, solely for settlement purposes, as class representatives for the Settlement Class. All Class Members shall be bound by all determinations and judgments in the Action concerning the settlements set forth in the Settlement Agreement, whether favorable or unfavorable to the Settlement Class. The Court's certification of the Settlement Class as provided herein is without prejudice to, or waiver of, the rights of any non-settling Defendant to contest certification of any non-settlement class proposed in this Action. The Court's findings in this Preliminary Approval Order shall have no effect on the Court's ruling on any motion to certify any class in the Action, or appoint class representatives, and no party may cite or refer to the Court's preliminary certification of the Settlement Class as binding or persuasive authority with respect to any motion to certify such class or appoint class representatives. The Clerk of Court is directed to terminate the pending motion at docket entry 519.. (Signed by Judge Katherine Polk Failla on 2/25/2022) (rro)
February 24, 2022 Opinion or Order Filing 528 ORDER granting #526 Letter Motion for Leave to File Document. Application GRANTED. The Clerk of Court is directed to terminate the pending motion at docket entry 526. SO ORDERED. (Signed by Judge Katherine Polk Failla on 2/24/2022) (rro)
February 23, 2022 Opinion or Order Filing 527 LETTER MOTION for Discovery Regarding J.P. Morgan addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated February 23, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14).(Eisenkraft, Michael)
February 23, 2022 Opinion or Order Filing 526 LETTER MOTION for Leave to File redacted Letter Motion Regarding J.P. Morgan Discovery addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated February 23, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
February 23, 2022 Opinion or Order Filing 525 NOTICE of COMPLIANCE WITH 28 U.S.C. 1715. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC. (Attachments: #1 Exhibit A - Declaration of Stephanie J. Fiereck, Esq. on Implementation of CAFA Notice).(Hall, Jason)
February 18, 2022 Opinion or Order Filing 524 LETTER addressed to Judge Katherine Polk Failla from Robert D. Wick dated February 18, 2022 re: preliminary approval of Credit Suisse settlement.. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
February 14, 2022 Opinion or Order Filing 523 SCHEDULING ORDER: The Court intends to hold Oral Argument regarding the Motion for Class Certification (ECF No. 468) on a date to be determined. A Telephone Conference is scheduled for March 4, 2022 at 10:00 am on the Court's conference line to discuss logistical planning for Oral Argument, including the format of the proceeding and any technological needs of the parties. The parties are directed to call: (866) 390-1828; access code: 380-9799, at the scheduled time. SO ORDERED. ( Telephone Conference set for 3/4/2022 at 10:00 AM before Magistrate Judge Sarah L Cave.) (Signed by Magistrate Judge Sarah L Cave on 2/14/22) (yv)
February 11, 2022 Opinion or Order Filing 522 PROPOSED ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. Related Document Number: #519 ..(Eisenkraft, Michael) Proposed Order to be reviewed by Clerk's Office staff.
February 11, 2022 Opinion or Order Filing 521 DECLARATION of Daniel L. Brockett in Support re: #519 MOTION to Approve Preliminarily the Settlement Agreement with Credit Suisse Notice of Plaintiffs' Motion for Preliminary Approval of the Settlement Agreement with Credit Suisse.. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1 - Settlement Agreement, #2 Exhibit 2 - Quinn Emanuel Firm Resume, #3 Exhibit 3 - Cohen Milstein Firm Resume, #4 Exhibit 4 - Epiq Firm Resume).(Eisenkraft, Michael)
February 11, 2022 Opinion or Order Filing 520 MEMORANDUM OF LAW in Support re: #519 MOTION to Approve Preliminarily the Settlement Agreement with Credit Suisse Notice of Plaintiffs' Motion for Preliminary Approval of the Settlement Agreement with Credit Suisse. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
February 11, 2022 Opinion or Order Filing 519 MOTION to Approve Preliminarily the Settlement Agreement with Credit Suisse Notice of Plaintiffs' Motion for Preliminary Approval of the Settlement Agreement with Credit Suisse. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
February 11, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #522 Proposed Order was reviewed and approved as to form. (km)
February 2, 2022 Opinion or Order Filing 518 ORDER granting #515 Letter Motion to Seal. Application GRANTED. The Clerk of Court is respectfully directed to close ECF No. 515. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 2/2/2022) (vfr)
February 1, 2022 Opinion or Order Filing 517 REDACTION to #514 Declaration in Support of Motion,,,, Plaintiffs' Sur-Sur-Reply in Further Support of Class Certification and Appointment of Class Counsel by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC (Attachments: #1 Exhibit 179).(Brockett, Daniel)
February 1, 2022 Opinion or Order Filing 516 REDACTION to #513 Reply Memorandum of Law in Support of Motion,,,,, Plaintiffs' Sur-Sur-Reply in Further Support of Class Certification and Appointment of Class Counsel by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
February 1, 2022 Opinion or Order Filing 515 LETTER MOTION to Seal Plaintiffs' Sur-Sur-Reply Brief and Supporting Materials in Further Support of Class Certification and Appointment of Class Counsel addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett and Michael B. Eisenkraft dated 02/01/2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
January 18, 2022 Opinion or Order Filing 514 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett in Support re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL).. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 179)Motion or Order to File Under Seal: #512 .(Brockett, Daniel)
January 18, 2022 Opinion or Order Filing 513 ***SELECTED PARTIES*** REPLY MEMORANDUM OF LAW in Support re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL). Plaintiffs' Sur-Sur-Reply in Further Support of Class Certification and Appointment of Class Counsel. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #512 .(Brockett, Daniel)
January 18, 2022 Opinion or Order Filing 512 ORDER granting #511 Letter Motion to Seal. Application GRANTED. The Clerk of Court is respectfully directed to close ECF No. 511. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 1/18/2022) (tg)
January 14, 2022 Opinion or Order Filing 511 LETTER MOTION to Seal addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated January 14, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
January 13, 2022 Opinion or Order Filing 510 ORDER: granting #509 Letter Motion for Extension of Time to File Response/Reply re #509 LETTER MOTION for Extension of Time to File Response/Reply in Support of Class Certification. addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett and Michael B. Eisenkraft dated January 12, 2022. Plaintiffs' letter-motion requesting a one-day extension to file their sur-sur-reply (ECF No. 509) is GRANTED. The Court notes that "if the last day [for a deadline stated in days] is a Saturday, Sunday, or legal holiday, the period continues to run until the end of the next day that is not a... legal holiday." Fed. R. Civ. P. 6(a)(1)(C). The Clerk of Court is respectfully directed to close ECF No. 509. SO ORDERED. Surreplies due by 1/18/2022.. (Signed by Magistrate Judge Sarah L Cave on 1/13/2022) (ama)
January 12, 2022 Opinion or Order Filing 509 LETTER MOTION for Extension of Time to File Response/Reply in Support of Class Certification addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett and Michael B. Eisenkraft dated January 12, 2022. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
December 17, 2021 Opinion or Order Filing 508 ORDER granting #505 Letter Motion to Seal. The parties' letter-motion (the "Letter-Motion") to file in redacted form, or under seal, Defendants' Sur-Reply in Opposition to Plaintiffs' Class Certification Motion and associated documents (ECF No. 505) is GRANTED. The Court grants leave to the parties to maintain the redactions in the documents filed at ECF Nos. 506-07, and, as set forth in the Letter-Motion, Exhibit No. 73 (ECF No. 507-5) may be filed under seal. The parties are directed to promptly file under seal unredacted versions of their filings at ECF No. 506-07. The Clerk of Court is respectfully directed to close ECF No. 505. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 12/17/21) (yv)
December 16, 2021 Opinion or Order Filing 507 REDACTION to #496 Declaration in Opposition to Motion,,,,, by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp. (Attachments: #1 Exhibit 69 - Redacted, #2 Exhibit 70 - Redacted, #3 Exhibit 71 - Redacted, #4 Exhibit 72 - Redacted, #5 Exhibit 73 - Filed Under Seal).(Playforth, John)
December 16, 2021 Opinion or Order Filing 506 REDACTION to #495 Reply Memorandum of Law in Oppisition to Motion,,,,, by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Wick, Robert)
December 16, 2021 Opinion or Order Filing 505 LETTER MOTION to Seal or Redact addressed to Magistrate Judge Sarah L. Cave from John S. Playforth dated December 16, 2021. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Playforth, John)
November 30, 2021 Opinion or Order Filing 504 REDACTION to #501 Letter,,,, Response to Defendants' Opposition to Sur-Sur-Reply Deadline by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
November 30, 2021 Opinion or Order Filing 503 ORDER granting #500 Letter Motion to Seal. Plaintiffs' letter-motion to seal (ECF No. 500) is GRANTED. The Clerk of Court is respectfully directed to limit access to ECF No. 501 to the case participants and Court users. Plaintiffs shall promptly file on ECF a redacted version of their letter filed at ECF No. 501. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 11/30/21) (yv)
November 30, 2021 Opinion or Order Filing 502 ORDER granting #498 Letter Motion for Extension of Time to File Response/Reply re #498 LETTER MOTION for Extension of Time to File Response/Reply to Defendants' Sur-Reply addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 11/29/2021. Plaintiffs' letter-motion requesting that the Court set a deadline of January 17, 2022 for Plaintiffs to file their sur-sur-reply and associated documents (ECF No. 498) is GRANTED, and the proposed deadline is ADOPTED. The Clerk of Court is respectfully directed to close ECF No. 498. SO ORDERED. ( Surreplies due by 1/17/2022.) (Signed by Magistrate Judge Sarah L Cave on 11/30/21) (yv)
November 29, 2021 Opinion or Order Filing 501 ***SELECTED PARTIES*** LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 11/29/2021 re: Response to Defendants' Opposition to Sur-Sur-Reply Deadline. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated.Motion or Order to File Under Seal: #500 .(Brockett, Daniel)
November 29, 2021 Opinion or Order Filing 500 LETTER MOTION to Seal Response to Defendants' Opposition to Sur-Sur-Reply Deadline addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 11/29/2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
November 29, 2021 Opinion or Order Filing 499 LETTER RESPONSE to Motion addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated November 29, 2021 re: #498 LETTER MOTION for Extension of Time to File Response/Reply to Defendants' Sur-Reply addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 11/29/2021. . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
November 29, 2021 Opinion or Order Filing 498 LETTER MOTION for Extension of Time to File Response/Reply to Defendants' Sur-Reply addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 11/29/2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
November 23, 2021 Opinion or Order Filing 497 ORDER granting #494 Letter Motion to Seal. Defendants' letter-motion to seal (ECF No. 494) is GRANTED. The Clerk of Court is respectfully directed to limit access to ECF Nos. 495-96 to the case participants and Court users. Defendants shall "file a motion to seal, along with proposed redacted copies and highlighted copies, by December 16, 2021." The Clerk of Court is respectfully directed to close ECF No. 494. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 11/23/2021) (tg)
November 23, 2021 Opinion or Order Set/Reset Deadlines: Motions due by 12/16/2021. (tg)
November 22, 2021 Opinion or Order Filing 496 ***SELECTED PARTIES***DECLARATION of John S. Playforth in Opposition re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL).. Document filed by J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Institutional Investments Inc., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 69, #2 Exhibit 70, #3 Exhibit 71, #4 Exhibit 72, #5 Exhibit 73)Motion or Order to File Under Seal: #494 .(Playforth, John)
November 22, 2021 Opinion or Order Filing 495 ***SELECTED PARTIES*** REPLY MEMORANDUM OF LAW in Opposition re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL). Defendants' Sur-Reply in Opposition to Plaintiffs' Motion for Class Certification. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Credit Suisse First Boston Next Fund, Inc., EquiLend Holdings LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. Motion or Order to File Under Seal: #494 .(Wick, Robert)
November 22, 2021 Opinion or Order Filing 494 LETTER MOTION to Seal sur-reply to Plaintiffs motion for class certification and accompanying materials addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated November 22, 2021. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
November 10, 2021 Opinion or Order Filing 493 ORDER granting #490 Letter Motion to Seal. The parties' letter-motion (ECF No. 490) requesting to redact confidential information from Plaintiffs' reply submission is GRANTED. The redactions to Plaintiffs' submission referenced in ECF No. 490, and requested by both Plaintiffs and Defendants, may be filed under seal, viewable only to the parties and the Court. The Clerk of Court is respectfully directed to terminate ECF No. 490. So Ordered. (Signed by Magistrate Judge Sarah L Cave on 11/10/21) (yv)
November 9, 2021 Opinion or Order Filing 492 REDACTION to #470 Declaration in Support of Motion,,,,,, by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC (Attachments: #1 Exhibit 163 - Copy of Expert Reply Report of Professor Haoxiang Zhu, #2 Exhibit 164 - Copy of Expert Reply of Professors Paul Asquith and Parag Pathak, #3 Exhibit 165 - Copy of an Article, #4 Exhibit 166, #5 Exhibit 167 - Copy of an Article, #6 Exhibit 168, #7 Exhibit 169, #8 Exhibit 170, #9 Exhibit 171 - Copy of an Excerpt, #10 Exhibit 172 - Copy of Transcript, #11 Exhibit 173, #12 Exhibit 174, #13 Exhibit 175 - Copy of Excerpt, #14 Exhibit 176, #15 Exhibit 177 - Copy of Excerpt, #16 Exhibit 178).(Brockett, Daniel)
November 9, 2021 Opinion or Order Filing 491 REDACTION to #469 Reply Memorandum of Law in Support of Motion,,,,, by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
November 9, 2021 Opinion or Order Filing 490 LETTER MOTION to Seal addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett and Michael B Eisenkraft dated November 9, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
October 25, 2021 Opinion or Order Filing 489 REDACTION to #486 Letter,,,, addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 10/22/2021 re: Reconsideration by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
October 25, 2021 Opinion or Order Filing 488 ORDER granting #485 Letter Motion to Seal. Plaintiffs' letter-motion (ECF No. 485) requesting to redact confidential materials from their letter-reply (ECF No. 486) is GRANTED, and the Clerk of Court is respectfully directed to limit access to ECF No. 486 to Court users and the case participants. Plaintiffs shall promptly file on ECF a redacted version of ECF No. 486. The Clerk of Court is respectfully directed to close ECF No. 485. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 10/25/21) (yv)
October 25, 2021 Opinion or Order Filing 487 ORDER: Plaintiffs filed a letter-motion for reconsideration (the "Motion for Reconsideration") of the October 21 Order, requesting in the alternative that "in the event the [October 21 Order] is not reconsidered, Defendants' filing be limited to 12 pages inclusive of expert reports, and Plaintiffs be permitted to file a 10-page response to Defendants' sur-reply." (ECF No. 478 at 1). Plaintiffs' Motion for Reconsideration is GRANTED, to the extent that that the Court clarifies that Defendants may file a twelve-page sur-reply brief, exclusive of exhibits (the "Sur-Reply"), and Plaintiffs may file a five-page sur-sur-reply brief, exclusive of exhibits (the "Sur-Sur-Reply"), and is otherwise DENIED. Following the submission of Defendants Sur-Reply and Plaintiffs' Sur-Sur-Reply, the Court will deem the Class Certification Motion to be ripe and will contact the parties in due course to schedule oral argument. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 10/25/2021) (mml)
October 22, 2021 Opinion or Order Filing 486 ***SELECTED PARTIES*** LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 10/22/2021 re: Reconsideration. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated.Motion or Order to File Under Seal: #485 .(Brockett, Daniel)
October 22, 2021 Opinion or Order Filing 485 LETTER MOTION to Seal addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated 10/22/2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
October 22, 2021 Opinion or Order Filing 484 REDACTION to #478 Letter,,,, addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated October 21, 2021 re: Motion for Reconsideration. by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
October 22, 2021 Opinion or Order Filing 483 REDACTION to #480 Letter,,,, addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated October 21, 2021 re: Plaintiffs' Motion for Reconsideration at ECF Dkt. 478 by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Wick, Robert)
October 22, 2021 Opinion or Order Filing 482 ORDER granting #479 Letter Motion to Seal. Defendants' letter-motion (ECF No. 479) requesting to redact confidential information from their letter-opposition to Plaintiffs' reconsideration motion is GRANTED, and the Clerk of Court is respectfully directed to limit access to ECF No. 480 to Court users and the case participants. Defendants shall promptly file on ECF a redacted version of ECF No. 480. The Clerk of Court is respectfully directed to close ECF No. 479. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 10/22/21) (yv)
October 22, 2021 Opinion or Order Filing 481 ORDER granting #477 Letter Motion to Seal. Plaintiffs' letter-motion (ECF No. 477) requesting to redact confidential materials from their request for reconsideration is GRANTED, and the Clerk of Court is respectfully directed to limit access to ECF No. 478 to Court users and the case participants. Plaintiffs shall promptly file on ECF a redacted version of ECF No. 478. The Clerk of Court is respectfully directed to close ECF No. 477. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 10/22/21) (yv)
October 21, 2021 Opinion or Order Filing 480 ***SELECTED PARTIES*** LETTER addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated October 21, 2021 re: Plaintiffs' Motion for Reconsideration at ECF Dkt. 478. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated.Motion or Order to File Under Seal: #479 .(Wick, Robert)
October 21, 2021 Opinion or Order Filing 479 LETTER MOTION to Seal references to confidential material in Defendants letter-opposition to Plaintiffs motion for reconsideration addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated October 21, 2021. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
October 21, 2021 Opinion or Order Filing 478 ***SELECTED PARTIES*** LETTER addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated October 21, 2021 re: Motion for Reconsideration. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated.Motion or Order to File Under Seal: #477 .(Brockett, Daniel)
October 21, 2021 Opinion or Order Filing 477 LETTER MOTION to Seal addressed to Magistrate Judge Sarah L. Cave from Daniel L. Brockett dated October 21, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
October 21, 2021 Opinion or Order Filing 476 ORDER granting in part and denying in part #473 Letter Motion for Leave to File Document. Defendants' letter motion requesting to file a 15-page sur-reply to Plaintiffs' motion for class certification (ECF Nos. 473, 475) is GRANTED IN PART AND DENIED IN PART. Defendants may file a twelve-page sur-reply (exclusive of supporting exhibits), within thirty days. The Clerk of Court is respectfully directed to close ECF NO. 473. So Ordered.. (Signed by Magistrate Judge Sarah L Cave on 10/21/2021) (js)
October 20, 2021 Opinion or Order Filing 475 REDACTION to #473 LETTER MOTION for Leave to File Sur-Reply in Opposition to Plaintiffs' Motion for Class Certification addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated October 19, 2021. by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Wick, Robert)
October 20, 2021 Opinion or Order Filing 474 ORDER granting #472 Letter Motion to Seal. JPMorgan Defendants' letter-motion to seal (ECF No. 472) is GRANTED. Accordingly, the Clerk of Court is respectfully directed to limit access to ECF No. 473 (the "Letter-Motion") to Court users and the case participants. JP Morgan Defendants shall publicly file their Letter-Motion, imposing the proposed redactions that appear in ECF No. 473. The Clerk of Court is also respectfully directed to close ECF No. 472. SO ORDERED. (Signed by Magistrate Judge Sarah L Cave on 10/20/21) (yv)
October 19, 2021 Opinion or Order Filing 473 ***SELECTED PARTIES*** LETTER MOTION for Leave to File Sur-Reply in Opposition to Plaintiffs' Motion for Class Certification addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated October 19, 2021. Document filed by J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC.Motion or Order to File Under Seal: #472 .(Wick, Robert)
October 19, 2021 Opinion or Order Filing 472 LETTER MOTION to Seal Portions of Defendants' Letter Motion for Leave to File a Sur-Reply in Opposition to Plaintiffs' Motion for Class Certification addressed to Magistrate Judge Sarah L. Cave from Robert D. Wick dated October 19, 2021. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Wick, Robert)
October 7, 2021 Opinion or Order Filing 471 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Dispositive Motion (i.e., motion requiring a Report and Recommendation) Specific motion: Motion for Class Certification. Referred to Magistrate Judge Sarah L Cave. Motions referred to Sarah L Cave. (Signed by Judge Katherine Polk Failla on 10/7/2021) (tg) Modified on 10/7/2021 (tg).
October 5, 2021 Opinion or Order Filing 470 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett in Support re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL).. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 163, #2 Exhibit 164, #3 Exhibit 165, #4 Exhibit 166, #5 Exhibit 167, #6 Exhibit 168, #7 Exhibit 169, #8 Exhibit 170, #9 Exhibit 171, #10 Exhibit 172, #11 Exhibit 173, #12 Exhibit 174, #13 Exhibit 175, #14 Exhibit 176, #15 Exhibit 177, #16 Exhibit 178)Motion or Order to File Under Seal: #408 .(Brockett, Daniel)
October 5, 2021 Opinion or Order Filing 469 ***SELECTED PARTIES*** REPLY MEMORANDUM OF LAW in Support re: #468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL). . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Deutsche Bank AG, Deutsche Bank Securities Inc., EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Joseph Santoro, Schonfeld Strategic Advisors LLC, Strategic Investments I, Inc., Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #408 .(Brockett, Daniel)
October 5, 2021 Opinion or Order Filing 468 MOTION to Certify Class (RENEWED NOTICE OF MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS COUNSEL). Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
September 24, 2021 Opinion or Order Filing 467 ORDER granting #466 Letter Motion for Leave to File Excess Pages. Application GRANTED. Plaintiffs' shall be permitted 35 pages for their reply brief in support of their motion for class certification. The Court wishes to emphasize, however, that it will not accept formatting contrivances designed to circumvent this page limit, such as excessive footnoting or minuscule font. (Signed by Judge Katherine Polk Failla on 9/24/2021) (rro)
September 23, 2021 Opinion or Order Filing 466 LETTER MOTION for Leave to File Excess Pages (a 35-page reply brief in support of our class certification motion addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated September 23, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
September 20, 2021 Opinion or Order Filing 465 MEMO ENDORSED ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #464 Motion to Withdraw as Attorney. The motion of Nicola A. Bunick to withdraw as counsel on behalf of UBS AG, UBS Americas Inc., UBS Securities LLC, and UBS Financial Services Inc., and for Nicola A. Bunick to be removed from the CM/ECF service list for this matter, is GRANTED. ENDORSEMENT: The Clerk of Court is directed to terminate the pending motion at docket entry 464. SO ORDERED. (Attorney Nicola Bunick terminated.) (Signed by Judge Katherine Polk Failla on 9/20/21) (yv)
September 17, 2021 Opinion or Order Filing 464 MOTION for Nicola A. Bunick to Withdraw as Attorney . Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Proposed Order).(Bunick, Nicola)
August 17, 2021 Opinion or Order Filing 463 ORDER denying #444 Motion to Compel; denying #446 Motion to Compel; denying #457 Motion to Compel. For substantially the same reasons outlined in Defendants reply to Plaintiffs' letter motion to compel additional depositions (Dkt. #453, 454), Plaintiffs' request that this Court authorize, following the close of fact discovery, depositions of certain fact witnesses who submitted declarations in connection with Defendants opposition to class certification (Dkt. #444, 446, 457) is hereby DENIED. Provided that, however, Plaintiffs may depose the onefact witness who has consented to be deposed. (See Dkt. #459, 461).The Clerk of Court is directed to terminate the pending motions at docket entries 444, 446, and 457. SO ORDERED.. (Signed by Judge Katherine Polk Failla on 8/17/2021) (jca)
August 16, 2021 Opinion or Order Filing 462 ORDER granting #460 Letter Motion to Seal. Application GRANTED. The redacted portions of Plaintiffs' submission (Dkt. #459) referenced above may be filed under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion pending at docket entry 460. (Signed by Judge Katherine Polk Failla on 8/16/2021) (rro)
August 13, 2021 Opinion or Order Filing 461 ***SELECTED PARTIES*** LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated August 13, 2021 re: Update to The Court Regarding Letter-Motion To Compel Depositions of Certain Witnesses. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., SL-x Trading USA LLC, EquiLend Europe Limited, Joseph Santoro, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Two Sigma Investments, LP, Deutsche Bank AG, Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, SL-x Technology UK Ltd., Prime Dealer Services Corp., SL-X IP S.A.R.L., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., Deutsche Bank Securities Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, SL-x Trading Europe Ltd., Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Merrill Lynch Professional Clearing Corp., J.P. Morgan Securities LLC, Schonfeld Strategic Advisors LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, SL-x Technology USA LLC.Motion or Order to File Under Seal: #460 .(Brockett, Daniel)
August 13, 2021 Opinion or Order Filing 460 LETTER MOTION to Seal redacted update to the Court regarding Plaintiffs' letter-motion addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated August 13, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 13, 2021 Opinion or Order Filing 459 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated August 13, 2021 re: Update to The Court Regarding Letter-Motion To Compel Depositions of Certain Witnesses. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 13, 2021 Opinion or Order Filing 458 ORDER granting #456 Letter Motion to Seal. Application GRANTED. The redacted portions of Plaintiffs' submission referenced above may be filed under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion pending at docket entry 456. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/13/2021) (va)
August 13, 2021 Opinion or Order Filing 457 LETTER MOTION to Compel Depositions of Declarants addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated 08/05/2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 2021.07.30 Email Thread).(Brockett, Daniel)
August 13, 2021 Opinion or Order Filing 456 LETTER MOTION to Seal re: [ECF Dkt. 446] addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated 08/13/2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 11, 2021 Opinion or Order Filing 455 ORDER granting #452 Letter Motion to Seal. Application GRANTED. The portions of Defendants' submission regarding their opposition to Plaintiff's anticipated motion to compel specified for redaction may be filed under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the pending motion at docket entry 452. (Signed by Judge Katherine Polk Failla on 8/11/2021) (rro)
August 10, 2021 Opinion or Order Filing 454 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 10, 2021 re: #446 LETTER MOTION to Compel Depositions of Declarants addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated August 6, 2021. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G).(Paskin, Michael)
August 10, 2021 Opinion or Order Filing 453 ***SELECTED PARTIES***LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 10, 2021 re: #446 LETTER MOTION to Compel Depositions of Declarants addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated August 6, 2021. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)Motion or Order to File Under Seal: #452 .(Paskin, Michael)
August 10, 2021 Opinion or Order Filing 452 LETTER MOTION to Seal and Redact Defendants' Opposition to Plaintiffs' Letter Motion to Compel Depositions of Declarants addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 10, 2021. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
August 10, 2021 Opinion or Order Filing 451 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Eric P. Stephens dated August 10, 2021 re: #446 LETTER MOTION to Compel Depositions of Declarants addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated August 6, 2021. . Document filed by Deutsche Bank AG, Deutsche Bank Securities Inc., Joseph Santoro. (Attachments: #1 Exhibit Email dated Oct. 4, 2019, #2 Exhibit Email dated Oct. 7, 2019, #3 Exhibit Email dated Feb. 10, 2020, #4 Exhibit Email dated May 13, 2020).(Stephens, Eric)
August 10, 2021 Opinion or Order Filing 450 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Deutsche Bank U.S. Financial Markets Holding Corp. for Deutsche Bank AG, Deutsche Bank Securities Inc.. Document filed by Deutsche Bank AG, Deutsche Bank Securities Inc...(Stephens, Eric)
August 10, 2021 Opinion or Order Filing 449 NOTICE OF APPEARANCE by Michael Mahar Klotz on behalf of Deutsche Bank AG, Deutsche Bank Securities Inc., Joseph Santoro..(Klotz, Michael)
August 10, 2021 Opinion or Order Filing 448 NOTICE OF APPEARANCE by Eric Peter Stephens on behalf of Deutsche Bank Securities Inc., Deutsche Bank AG, Joseph Santoro..(Stephens, Eric)
August 9, 2021 Opinion or Order Filing 447 ORDER granting #445 Letter Motion to Seal. Application GRANTED. The portions of Plaintiffs' submission regarding their motion to compel specified for redaction may be filed under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion pending at docket entry 445. (Signed by Judge Katherine Polk Failla on 8/9/2021) (rro)
August 6, 2021 Opinion or Order Filing 446 LETTER MOTION to Compel Depositions of Declarants addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated August 6, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1).(Brockett, Daniel)
August 6, 2021 Opinion or Order Filing 445 LETTER MOTION to Seal re: [ECF Dkt. 444] addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated August 6, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 5, 2021 Opinion or Order Filing 444 LETTER MOTION to Compel Depositions addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated August 5, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1).(Brockett, Daniel)
August 4, 2021 Opinion or Order Filing 443 ORDER granting #440 Letter Motion to Seal. Application GRANTED. The portions of Defendants' submissions specified above may be filed under seal, viewable only to the parties and the Court. The Clerk of Court is directed to terminate the motion pending at docket entry 440. (Signed by Judge Katherine Polk Failla on 8/4/2021) (rro)
August 3, 2021 Opinion or Order Filing 442 DECLARATION of Michael A. Paskin (REDACTED) on behalf of all Defendants in Opposition re: #411 MOTION to Certify Class and Appointment of Class Counsel.. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1 - Redacted, #2 Exhibit 2 - Redacted, #3 Exhibit 3 - Redacted, #4 Exhibit 4 - Redacted, #5 Exhibit 5 - Filed Under Seal, #6 Exhibit 6 - Filed Under Seal, #7 Exhibit 7 - Filed Under Seal, #8 Exhibit 8 - Filed Under Seal, #9 Exhibit 9 - Filed Under Seal, #10 Exhibit 10 - Filed Under Seal, #11 Exhibit 11 - Filed Under Seal, #12 Exhibit 12 - Filed Under Seal, #13 Exhibit 13 - Filed Under Seal, #14 Exhibit 14 - Filed Under Seal, #15 Exhibit 15 - Filed Under Seal, #16 Exhibit 16 - Filed Under Seal, #17 Exhibit 17 - Filed Under Seal, #18 Exhibit 18 - Filed Under Seal, #19 Exhibit 19 - Filed Under Seal, #20 Exhibit 20 - Filed Under Seal, #21 Exhibit 21 - Filed Under Seal, #22 Exhibit 22 - Filed Under Seal, #23 Exhibit 23 - Filed Under Seal, #24 Exhibit 24 - Filed Under Seal, #25 Exhibit 25 - Filed Under Seal, #26 Exhibit 26 - Filed Under Seal, #27 Exhibit 27 - Filed Under Seal, #28 Exhibit 28 - Filed Under Seal, #29 Exhibit 29 - Filed Under Seal, #30 Exhibit 30 - Filed Under Seal, #31 Exhibit 31 - Filed Under Seal, #32 Exhibit 32 - Filed Under Seal, #33 Exhibit 33 - Filed Under Seal, #34 Exhibit 34 - Filed Under Seal, #35 Exhibit 35 - Filed Under Seal, #36 Exhibit 36 - Filed Under Seal, #37 Exhibit 37 - Filed Under Seal, #38 Exhibit 38 - Filed Under Seal, #39 Exhibit 39 - Filed Under Seal, #40 Exhibit 40 - Filed Under Seal, #41 Exhibit 41 - Filed Under Seal, #42 Exhibit 42 - Filed Under Seal, #43 Exhibit 43 - Filed Under Seal, #44 Exhibit 44 - Filed Under Seal, #45 Exhibit 45 - Filed Under Seal, #46 Exhibit 46 - Filed Under Seal, #47 Exhibit 47 - Filed Under Seal, #48 Exhibit 48 - Filed Under Seal, #49 Exhibit 49 - Filed Under Seal, #50 Exhibit 50 - Filed Under Seal, #51 Exhibit 51 - Filed Under Seal, #52 Exhibit 52 - Filed Under Seal, #53 Exhibit 53 - Filed Under Seal, #54 Exhibit 54 - Filed Under Seal, #55 Exhibit 55 - Filed Under Seal, #56 Exhibit 56 - Filed Under Seal, #57 Exhibit 57 - Filed Under Seal, #58 Exhibit 58 - Filed Under Seal, #59 Exhibit 59 - Filed Under Seal, #60 Exhibit 60 - Filed Under Seal, #61 Exhibit 61 - Filed Under Seal, #62 Exhibit 62 - Filed Under Seal, #63 Exhibit 63 - Filed Under Seal, #64 Exhibit 64 - Filed Under Seal, #65 Exhibit 65 - Filed Under Seal, #66 Exhibit 66 - Filed Under Seal, #67 Exhibit 67 - Redacted, #68 Exhibit 68 - Redacted).(Paskin, Michael)
August 3, 2021 Opinion or Order Filing 441 MEMORANDUM OF LAW in Opposition re: #411 MOTION to Certify Class and Appointment of Class Counsel. (REDACTED) on behalf of all Defendants. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
August 3, 2021 Opinion or Order Filing 440 LETTER MOTION to Seal and Redact Certain Documents on behalf of all Defendants addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 3, 2021. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
July 22, 2021 Opinion or Order Filing 439 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/8/21 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly)
July 22, 2021 Opinion or Order Filing 438 TRANSCRIPT of Proceedings re: CONFERENCE held on 7/8/2021 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Khristine Sellin, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/12/2021. Redacted Transcript Deadline set for 8/23/2021. Release of Transcript Restriction set for 10/20/2021..(McGuirk, Kelly)
July 9, 2021 Opinion or Order Filing 437 MEMO ENDORSEMENT granting #434 Motion to Withdraw as Attorney. ENDORSEMENT: Application GRANTED. The Clerk of Court is directed to terminatethe motion pending at docket entry 434. (Attorney Alexis L. Collins terminated.). (Signed by Judge Katherine Polk Failla on 7/9/2021) (rro)
July 8, 2021 Opinion or Order Filing 436 ORDER denying #387 Motion re: #387 MOTION for Remedial Order to Address Plaintiffs' Acquisition of Confidential and Privileged Materials. For the reasons articulated on the record on July 8, 2021, Defendant EquiLend's motion for sanctions is DENIED. The Clerk of Court is directed to terminate the motion pending at docket entry number 387. So Ordered. (Signed by Judge Katherine Polk Failla on 7/8/2021) (js)
July 8, 2021 Opinion or Order Filing 435 DECLARATION of Alexis L. Collins in Support re: #434 MOTION for Alexis L. Collins to Withdraw as Attorney .. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Collins, Alexis)
July 8, 2021 Opinion or Order Filing 434 MOTION for Alexis L. Collins to Withdraw as Attorney . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Collins, Alexis)
July 6, 2021 Opinion or Order Filing 433 ORDER : The parties are hereby ORDERED to appear for an oral decision on Defendant Equilend's pending motion for sanctions on July 8, 2021, at 10:00 a.m. At the scheduled time, the parties shall call (888) 363-4749 and enter access code 5123533. Please note that the conference will not be available until 10:00 a.m. SO ORDERED. ( Telephone Conference set for 7/8/2021 at 10:00 AM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 7/6/2021) (vfr)
June 29, 2021 Opinion or Order Filing 432 ***SELECTED PARTIES***DECLARATION of Michael A. Paskin in Opposition re: #411 MOTION to Certify Class and Appointment of Class Counsel.. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29, #30 Exhibit 30, #31 Exhibit 31, #32 Exhibit 32, #33 Exhibit 33, #34 Exhibit 34, #35 Exhibit 35, #36 Exhibit 36, #37 Exhibit 37, #38 Exhibit 38, #39 Exhibit 39, #40 Exhibit 40, #41 Exhibit 41, #42 Exhibit 42, #43 Exhibit 43, #44 Exhibit 44, #45 Exhibit 45, #46 Exhibit 46, #47 Exhibit 47, #48 Exhibit 48, #49 Exhibit 49, #50 Exhibit 50, #51 Exhibit 51, #52 Exhibit 52, #53 Exhibit 53, #54 Exhibit 54, #55 Exhibit 55, #56 Exhibit 56, #57 Exhibit 57, #58 Exhibit 58, #59 Exhibit 59, #60 Exhibit 60, #61 Exhibit 61, #62 Exhibit 62, #63 Exhibit 63, #64 Exhibit 64, #65 Exhibit 65, #66 Exhibit 66, #67 Exhibit 67, #68 Exhibit 68)Motion or Order to File Under Seal: #408 .(Paskin, Michael)
June 29, 2021 Opinion or Order Filing 431 ***SELECTED PARTIES*** MEMORANDUM OF LAW in Opposition re: #411 MOTION to Certify Class and Appointment of Class Counsel. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #408 .(Paskin, Michael)
June 11, 2021 Opinion or Order Filing 430 MEMO ENDORSEMENT on re: #429 Letter re: Page Limits for Defendants' Memorandum of Law in Opposition to Plaintiffs' Motion for Class Certification., filed by Morgan Stanley & Co. LLC, Strategic Investments I, Inc., Prime Dealer Services Corp. ENDORSEMENT: Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 6/11/2021) (rj)
June 10, 2021 Opinion or Order Filing 429 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated June 10, 2021 re: Page Limits for Defendants' Memorandum of Law in Opposition to Plaintiffs' Motion for Class Certification. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
April 6, 2021 Opinion or Order Filing 428 STIPULATION AND ORDER REGARDING EXTENSION OF TIME FOR CLASS CERTIFICATION BRIEFING: NOW, THEREFORE: 1. The Parties jointly request that the Court order as follows: a. The deadline for Defendants to depose Plaintiffs' class certification experts shall be extended from May 7, 2021 to May 15, 2021; b. The deadline for Defendants' opposition to class certification and supporting expert reports shall be extended from June 15, 2021 to June 29, 2021; c. The deadline for Plaintiffs to depose Defendants' class certification experts shall be extended from August 20, 2021 to September 3, 2021; and d. The deadline for Plaintiffs' reply in support of their motion for class certification shall be extended from September 21, 2021 to October 5, 2021. IT IS SO ORDERED, with the parties' understanding that no further extensions will be permitted., (Deposition due by 9/3/2021., Responses due by 6/29/2021, Replies due by 10/5/2021.) (Signed by Judge Katherine Polk Failla on 4/6/2021) (nb)
April 5, 2021 Opinion or Order Filing 427 PROPOSED STIPULATION AND ORDER. Document filed by Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
April 1, 2021 Opinion or Order Filing 426 MEMO ENDORSED granting #423 Motion to Withdraw as Counsel. ENDORSEMENT: The Clerk of Court is directed to terminate the motion pending at docket number 423. So Ordered. Attorney Nicholas Gerschman terminated. (Signed by Judge Katherine Polk Failla on 4/1/2021) (js)
April 1, 2021 Opinion or Order Filing 425 MEMO ENDORSED granting #423 Motion to Withdraw as Counsel. ENDORSEMENT: The Clerk of Court is directed to terminate the motion pending at docket number 423. So Ordered. Attorney Nicholas Gerschman terminated. (Signed by Judge Katherine Polk Failla on 4/1/2021) (js)
March 31, 2021 Opinion or Order Filing 424 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate JPMorgan Chase & Co., Other Affiliate The Vanguard Group, Inc. for J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Playforth, John)
March 31, 2021 Opinion or Order Filing 423 MOTION for Nicholas Gerschman to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order PROPOSED ORDER).(Gerschman, Nicholas)
March 29, 2021 Opinion or Order Filing 422 ORDER granting #418 Letter Motion to Seal. Application GRANTED. The portions of Plaintiffs' submissions specified above may be filed under seal, viewable only to the parties and the Court. (Signed by Judge Katherine Polk Failla on 3/29/2021) (nb)
March 29, 2021 Opinion or Order Filing 421 DECLARATION of Michael B. Eisenkraft in Support re: #411 MOTION to Certify Class and Appointment of Class Counsel.. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 152, #2 Exhibit 153, #3 Exhibit 154, #4 Exhibit 155, #5 Exhibit 156, #6 Exhibit 157, #7 Exhibit 158, #8 Exhibit 159, #9 Exhibit 160, #10 Exhibit 161, #11 Exhibit 162).(Brockett, Daniel)
March 29, 2021 Opinion or Order Filing 420 DECLARATION of Daniel L. Brockett (REDACTED) in Support re: #411 MOTION to Certify Class and Appointment of Class Counsel.. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2 - Filed Under Seal, #3 Exhibit 3 - Filed Under Seal, #4 Exhibit 4 - Filed Under Seal, #5 Exhibit 5 - Filed Under Seal, #6 Exhibit 6 - Filed Under Seal, #7 Exhibit 7 - Filed Under Seal, #8 Exhibit 8 - Filed Under Seal, #9 Exhibit 9 - Redacted, #10 Exhibit 10, Part 1 - Redacted, #11 Exhibit 10, Part 2 - Redacted, #12 Exhibit 11 - Filed Under Seal, #13 Exhibit 12 - Filed Under Seal, #14 Exhibit 13 - Filed Under Seal, #15 Exhibit 14 - Filed Under Seal, #16 Exhibit 15 - Redacted, #17 Exhibit 16 - Redacted, #18 Exhibit 17 - Filed Under Seal, #19 Exhibit 18 - Filed Under Seal, #20 Exhibit 19 - Filed Under Seal, #21 Exhibit 20 - Filed Under Seal, #22 Exhibit 21 - Filed Under Seal, #23 Exhibit 22 - Filed Under Seal, #24 Exhibit 23 - Filed Under Seal, #25 Exhibit 24 - Filed Under Seal, #26 Exhibit 25 - Filed Under Seal, #27 Exhibit 26 - Filed Under Seal, #28 Exhibit 27 - Filed Under Seal, #29 Exhibit 28 - Filed Under Seal, #30 Exhibit 29 - Filed Under Seal, #31 Exhibit 30 - Filed Under Seal, #32 Exhibit 31 - Filed Under Seal, #33 Exhibit 32 - Redacted, #34 Exhibit 33 - Filed Under Seal, #35 Exhibit 34 - Filed Under Seal, #36 Exhibit 35 - Filed Under Seal, #37 Exhibit 36 - Filed Under Seal, #38 Exhibit 37 - Filed Under Seal, #39 Exhibit 38 - Filed Under Seal, #40 Exhibit 39 - Filed Under Seal, #41 Exhibit 40 - Filed Under Seal, #42 Exhibit 41 - Filed Under Seal, #43 Exhibit 42 - Filed Under Seal, #44 Exhibit 43 - Filed Under Seal, #45 Exhibit 44 - Redacted, #46 Exhibit 45 - Filed Under Seal, #47 Exhibit 46 - Filed Under Seal, #48 Exhibit 47 - Filed Under Seal, #49 Exhibit 48 - Filed Under Seal, #50 Exhibit 49 - Filed Under Seal, #51 Exhibit 50 - Filed Under Seal, #52 Exhibit 51 - Filed Under Seal, #53 Exhibit 52 - Filed Under Seal, #54 Exhibit 53 - Filed Under Seal, #55 Exhibit 54 - Filed Under Seal, #56 Exhibit 55 - Filed Under Seal, #57 Exhibit 56 - Filed Under Seal, #58 Exhibit 57 - Filed Under Seal, #59 Exhibit 58 - Filed Under Seal, #60 Exhibit 59 - Filed Under Seal, #61 Exhibit 60 - Filed Under Seal, #62 Exhibit 61 - Filed Under Seal, #63 Exhibit 62 - Filed Under Seal, #64 Exhibit 63, #65 Exhibit 64 - Filed Under Seal, #66 Exhibit 65 - Filed Under Seal, #67 Exhibit 66 - Filed Under Seal, #68 Exhibit 67 - Filed Under Seal, #69 Exhibit 68 - Filed Under Seal, #70 Exhibit 69 - Filed Under Seal, #71 Exhibit 70 - Filed Under Seal, #72 Exhibit 71 - Filed Under Seal, #73 Exhibit 72 - Filed Under Seal, #74 Exhibit 73 - Filed Under Seal, #75 Exhibit 74 - Filed Under Seal, #76 Exhibit 75 - Filed Under Seal, #77 Exhibit 76 - Filed Under Seal, #78 Exhibit 77 - Filed Under Seal, #79 Exhibit 78 - Redacted, #80 Exhibit 79 - Filed Under Seal, #81 Exhibit 80 - Filed Under Seal, #82 Exhibit 81 - Filed Under Seal, #83 Exhibit 82 - Filed Under Seal, #84 Exhibit 83 - Filed Under Seal, #85 Exhibit 84 - Filed Under Seal, #86 Exhibit 85 - Filed Under Seal, #87 Exhibit 86 - Filed Under Seal, #88 Exhibit 87 - Filed Under Seal, #89 Exhibit 88 - Filed Under Seal, #90 Exhibit 89 - Filed Under Seal, #91 Exhibit 90 - Filed Under Seal, #92 Exhibit 91 - Filed Under Seal, #93 Exhibit 92 - Filed Under Seal, #94 Exhibit 93 - Filed Under Seal, #95 Exhibit 94 - Filed Under Seal, #96 Exhibit 95 - Filed Under Seal, #97 Exhibit 96 - Filed Under Seal, #98 Exhibit 97 - Filed Under Seal, #99 Exhibit 98, #100 Exhibit 99, #101 Exhibit 100 - Filed Under Seal, #102 Exhibit 101 - Filed Under Seal, #103 Exhibit 102 - Filed Under Seal, #104 Exhibit 103 - Filed Under Seal, #105 Exhibit 104 - Filed Under Seal, #106 Exhibit 105 - Filed Under Seal, #107 Exhibit 106 - Filed Under Seal, #108 Exhibit 107 - Filed Under Seal, #109 Exhibit 108 - Filed Under Seal, #110 Exhibit 109 - Filed Under Seal, #111 Exhibit 110 - Filed Under Seal, #112 Exhibit 111 - Filed Under Seal, #113 Exhibit 112 - Filed Under Seal, #114 Exhibit 113 - Filed Under Seal, #115 Exhibit 114 - Filed Under Seal, #116 Exhibit 115 - Filed Under Seal, #117 Exhibit 116 - Filed Under Seal, #118 Exhibit 117 - Filed Under Seal, #119 Exhibit 118 - Filed Under Seal, #120 Exhibit 119 - Filed Under Seal, #121 Exhibit 120 - Filed Under Seal, #122 Exhibit 121 - Filed Under Seal, #123 Exhibit 122 - Filed Under Seal, #124 Exhibit 123 - Filed Under Seal, #125 Exhibit 124 - Filed Under Seal, #126 Exhibit 125, #127 Exhibit 126 - Filed Under Seal, #128 Exhibit 127 - Filed Under Seal, #129 Exhibit 128 - Filed Under Seal, #130 Exhibit 129 - Filed Under Seal, #131 Exhibit 130 - Filed Under Seal, #132 Exhibit 131 - Filed Under Seal, #133 Exhibit 132 - Filed Under Seal, #134 Exhibit 133 - Filed Under Seal, #135 Exhibit 134 - Filed Under Seal, #136 Exhibit 135, #137 Exhibit 136, #138 Exhibit 137, #139 Exhibit 138, #140 Exhibit 139, #141 Exhibit 140, #142 Exhibit 141, #143 Exhibit 142, #144 Exhibit 143, #145 Exhibit 144, #146 Exhibit 145, #147 Exhibit 146, #148 Exhibit 147, #149 Exhibit 148, #150 Exhibit 149, #151 Exhibit 150 - Filed Under Seal, #152 Exhibit 151 - Filed Under Seal).(Brockett, Daniel)
March 29, 2021 Opinion or Order Filing 419 MEMORANDUM OF LAW in Support re: #411 MOTION to Certify Class and Appointment of Class Counsel. (REDACTED). Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
March 29, 2021 Opinion or Order Filing 418 LETTER MOTION to Seal and Redact Certain Documents addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated March 29, 2021. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
March 26, 2021 Opinion or Order Filing 417 ORDER terminating #411 Motion to Certify Class. In order to accommodate the parties' extended discovery schedule, by Stipulation dated January 25, 2021, the Court granted a 45-day extension of the deadline for briefing the pending motion for class certification, from August 30, 2021, to September 21, 2021. (See Dkt. #410). In so doing, the Court has allowed the briefing on Plaintiffs' motion for class certification to be filed over a period of seven months. However, in granting this request as a courtesy to the parties, the Court has complicated its own administrative calendar; in particular, the current briefing schedule forecloses the Court's ability to comply with certain semi-annual reporting obligations to Congress. To permit the Court to comply with its obligations without shortening the briefing schedule or discovery, the Court will terminate the pending motion for class certification solely as an administrative matter and it requests that Plaintiffs refile their Notice of Motion for Class Certification at the time they file their reply brief, on or before September 21, 2021, as a courtesy to the Court. For avoidance of doubt, the Court confirms that the briefing schedule set pursuant to docket entry number 410 remains in effect. The Clerk of Court is directed to terminate the motion pending at docket entry number 411. (Signed by Judge Katherine Polk Failla on 3/26/2021) (nb)
March 26, 2021 Opinion or Order Set/Reset Deadlines: Motions due by 9/21/2021. (nb)
February 23, 2021 Opinion or Order Filing 416 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated February 23, 2021 re: Section 23.6 of the ECF Rules and Instructions. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
February 23, 2021 Opinion or Order Filing 415 ***SELECTED PARTIES*** MEMORANDUM OF LAW in Support re: #411 MOTION to Certify Class and Appointment of Class Counsel. (CORRECTED). Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #408 .(Brockett, Daniel)
February 23, 2021 Opinion or Order Filing 414 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett in Support re: #411 MOTION to Certify Class and Appointment of Class Counsel.. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29, #30 Exhibit 30, #31 Exhibit 31, #32 Exhibit 32, #33 Exhibit 33, #34 Exhibit 34, #35 Exhibit 35, #36 Exhibit 36, #37 Exhibit 37, #38 Exhibit 38, #39 Exhibit 39, #40 Exhibit 40, #41 Exhibit 41, #42 Exhibit 42, #43 Exhibit 43, #44 Exhibit 44, #45 Exhibit 45, #46 Exhibit 46, #47 Exhibit 47, #48 Exhibit 48, #49 Exhibit 49, #50 Exhibit 50, #51 Exhibit 51, #52 Exhibit 52, #53 Exhibit 53, #54 Exhibit 54, #55 Exhibit 55, #56 Exhibit 56, #57 Exhibit 57, #58 Exhibit 58, #59 Exhibit 59, #60 Exhibit 60, #61 Exhibit 61, #62 Exhibit 62, #63 Exhibit 63, #64 Exhibit 64, #65 Exhibit 65, #66 Exhibit 66, #67 Exhibit 67, #68 Exhibit 68, #69 Exhibit 69, #70 Exhibit 70, #71 Exhibit 71, #72 Exhibit 72, #73 Exhibit 73, #74 Exhibit 74, #75 Exhibit 75, #76 Exhibit 76, #77 Exhibit 77, #78 Exhibit 78, #79 Exhibit 79, #80 Exhibit 80, #81 Exhibit 81, #82 Exhibit 82, #83 Exhibit 83, #84 Exhibit 84, #85 Exhibit 85, #86 Exhibit 86, #87 Exhibit 87, #88 Exhibit 88, #89 Exhibit 89, #90 Exhibit 90, #91 Exhibit 91, #92 Exhibit 92, #93 Exhibit 93, #94 Exhibit 94, #95 Exhibit 95, #96 Exhibit 96, #97 Exhibit 97, #98 Exhibit 98, #99 Exhibit 99, #100 Exhibit 100, #101 Exhibit 101, #102 Exhibit 102, #103 Exhibit 103, #104 Exhibit 104, #105 Exhibit 105, #106 Exhibit 106, #107 Exhibit 107, #108 Exhibit 108, #109 Exhibit 109, #110 Exhibit 110, #111 Exhibit 111, #112 Exhibit 112, #113 Exhibit 113, #114 Exhibit 114, #115 Exhibit 115, #116 Exhibit 116, #117 Exhibit 117, #118 Exhibit 118, #119 Exhibit 119, #120 Exhibit 120, #121 Exhibit 121, #122 Exhibit 122, #123 Exhibit 123, #124 Exhibit 124, #125 Exhibit 125, #126 Exhibit 126, #127 Exhibit 127, #128 Exhibit 128, #129 Exhibit 129, #130 Exhibit 130, #131 Exhibit 131, #132 Exhibit 132, #133 Exhibit 133, #134 Exhibit 134, #135 Exhibit 135, #136 Exhibit 136, #137 Exhibit 137, #138 Exhibit 138, #139 Exhibit 139, #140 Exhibit 140, #141 Exhibit 141, #142 Exhibit 142, #143 Exhibit 143, #144 Exhibit 144, #145 Exhibit 145, #146 Exhibit 146, #147 Exhibit 147, #148 Exhibit 148, #149 Exhibit 149, #150 Exhibit 150, #151 Exhibit 151)Motion or Order to File Under Seal: #408 .(Brockett, Daniel)
February 22, 2021 Opinion or Order Filing 413 ***SELECTED PARTIES***DECLARATION of Michael B. Eisenkraft in Support re: #411 MOTION to Certify Class and Appointment of Class Counsel.. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 152, #2 Exhibit 153, #3 Exhibit 154, #4 Exhibit 155, #5 Exhibit 156, #6 Exhibit 157, #7 Exhibit 158, #8 Exhibit 159, #9 Exhibit 160, #10 Exhibit 161, #11 Exhibit 162)Motion or Order to File Under Seal: #408 .(Brockett, Daniel)
February 22, 2021 Opinion or Order Filing 412 ***SELECTED PARTIES*** MEMORANDUM OF LAW in Support re: #411 MOTION to Certify Class and Appointment of Class Counsel. . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #408 .(Brockett, Daniel)
February 22, 2021 Opinion or Order Filing 411 MOTION to Certify Class and Appointment of Class Counsel. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
January 25, 2021 Opinion or Order Filing 410 STIPULATION AND ORDER REGARDING EXTENSION OF TIME AND PAGE LIMITS FOR CLASS CERTIFICATION BRIEFING: NOW, THEREFORE: 1. The Parties jointly request that the Court order as follows: a. The deadlines for Plaintiffs' motion for class certification and supporting expert reports shall be extended from February 4, 2021, to February 22, 2021; b. The deadline for Defendants to depose Plaintiffs' class certification experts shall be extended from April 19, 2021, to May 7, 2021; c. The deadline for Defendants' opposition to class certification and supporting expert reports shall be extended from May 24, 2021, to June 15, 2021; d. The deadline for Plaintiffs to depose Defendants' class certification experts shall be extended from July 29, 2021, to August 20, 2021; e. The deadline for Plaintiffs' reply memorandum in support of their motion for class certification shall be extended from August 30, 2021, to September 21, 2021. 2. Plaintiffs request, with Defendants' consent, that the Court order as follows: a. Plaintiffs' memorandum of law in support of their motion for class certification may exceed twenty-five (25) pages but shall not exceed seventy-five (75) pages. Application GRANTED, except that while the Court grants Plaintiffs' request for excess pages, Plaintiffs' memorandum of law in support their motion for class certification shall not exceed fifty (50) pages., (Deposition due by 8/20/2021., Motions due by 2/22/2021., Responses due by 6/15/2021, Replies due by 9/21/2021.) (Signed by Judge Katherine Polk Failla on 1/25/2021) (nb)
January 25, 2021 Opinion or Order Filing 409 PROPOSED STIPULATION AND ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
January 19, 2021 Opinion or Order Filing 408 STIPULATION AND ORDER REGARDING REDACTION AND SEALING PROCESS FOR CLASS CERTIFICATION BRIEFING: NOW, THEREFORE, the Parties hereby stipulate and agree to the following proposed process for submitting proposed sealing and redactions for class certification briefing to the Court, and jointly request that the Court order as follows: 1. The sending parties will file their papers under interim seal by the deadlines set forth above pursuant to the Court's October 14, 2020 Order (Dkt. 363); 2. The sending parties will serve unredacted papers on the receiving parties by the deadlines set forth above pursuant to the Court's October 14, 2020 Order (Dkt. 363); 3. The sending and receiving parties will then have the opportunity to redact the papers and exhibits, and the receiving parties will transmit the following items to the sending parties within four (4) weeks of the deadlines set forth above pursuant to the Court's October 14, 2020 Order (Dkt. 363): a. Redacted copies of all papers and exhibits; b. Highlighted copies of all papers and exhibits, with highlights corresponding to the redactions; and c. An insert for a motion to seal justifying their proposed redactions; 4. Within five (5) weeks of the deadlines set forth above pursuant to the Court's October 14, 2020 Order (Dkt. 363), the sending parties will then file a motion to seal, along with proposed redacted copies and highlighted copies, pursuant to the procedure outlined in Rule 9(B) of the Court's Individual Rules. The letter motion will include the redaction justifications of the sending and receiving parties. (Signed by Judge Katherine Polk Failla on 1/19/2021) (nb)
January 19, 2021 Opinion or Order Filing 407 PROPOSED STIPULATION AND ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
January 5, 2021 Opinion or Order Filing 406 ORDER granting #404 Letter Motion to Seal. Application GRANTED. Defendant's reply submission shall be filed under seal, viewable only to the Court and the parties. (Signed by Judge Katherine Polk Failla on 1/5/2021) (rro)
January 5, 2021 Opinion or Order Filing 405 ***SELECTED PARTIES*** REPLY MEMORANDUM OF LAW in Support re: #387 MOTION for Remedial Order to Address Plaintiffs' Acquisition of Confidential and Privileged Materials. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #404 .(Gelfand, David)
January 5, 2021 Opinion or Order Filing 404 LETTER MOTION to Seal Reply in Support of Motion for Remedial Order addressed to Judge Katherine Polk Failla from David Gelfand dated January 5, 2021. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Gelfand, David)
December 21, 2020 Opinion or Order Filing 403 ORDER granting #398 Letter Motion for Leave to File Document. Application GRANTED. Plaintiffs' submissions in opposition the Defendant EquiLend's Motion for Remedial Order shall be filed under seal, visible to the Court and parties only. (Signed by Judge Katherine Polk Failla on 12/21/2020) (rro)
December 18, 2020 Opinion or Order Filing 402 ***SELECTED PARTIES***DECLARATION of Michael B. Eisenkraft in Support re: #399 Memorandum of Law in Opposition to Motion,,,,,. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Schonfeld Strategic Advisors LLC, Strategic Investments I, Inc., Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #398 .(Brockett, Daniel)
December 18, 2020 Opinion or Order Filing 401 ***SELECTED PARTIES***DECLARATION of Daniel L. Brockett in Support re: #399 Memorandum of Law in Opposition to Motion,,,,,. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Schonfeld Strategic Advisors LLC, Strategic Investments I, Inc., Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #398 .(Brockett, Daniel)
December 18, 2020 Opinion or Order Filing 400 ***SELECTED PARTIES***DECLARATION of Daniel P. Mach in Support re: #399 Memorandum of Law in Opposition to Motion,,,,,. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Schonfeld Strategic Advisors LLC, Strategic Investments I, Inc., Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 43a, #2 Exhibit 43b, #3 Exhibit 44, #4 Exhibit 45, #5 Exhibit 46, #6 Exhibit 47, #7 Exhibit 48, #8 Exhibit 49, #9 Exhibit 50, #10 Exhibit 51, #11 Exhibit 52, #12 Exhibit 53, #13 Exhibit 54, #14 Exhibit 55, #15 Exhibit 56, #16 Exhibit 57, #17 Exhibit 58, #18 Exhibit 59, #19 Exhibit 60, #20 Exhibit 61, #21 Exhibit 62, #22 Exhibit 63, #23 Exhibit 64, #24 Exhibit 65, #25 Exhibit 66, #26 Exhibit 67, #27 Exhibit 68, #28 Exhibit 69, #29 Exhibit 70, #30 Exhibit 71, #31 Exhibit 72, #32 Exhibit 73, #33 Exhibit 74)Motion or Order to File Under Seal: #398 .(Brockett, Daniel)
December 18, 2020 Opinion or Order Filing 399 ***SELECTED PARTIES*** MEMORANDUM OF LAW in Opposition re: #387 MOTION for Remedial Order to Address Plaintiffs' Acquisition of Confidential and Privileged Materials. . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Schonfeld Strategic Advisors LLC, Strategic Investments I, Inc., Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #398 .(Brockett, Daniel)
December 18, 2020 Opinion or Order Filing 398 LETTER MOTION for Leave to File Under Seal addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 18, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association..(Brockett, Daniel)
December 15, 2020 Opinion or Order Filing 397 MEMO ENDORSEMENT on re: #396 Response to Motion,, filed by J.P. Morgan Institutional Investments Inc., J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Securities LLC, J.P. Morgan Prime, Inc. ENDORSEMENT: The Court is in receipt of Plaintiffs' December 9, 2020 motion to compel (see Dkt. #392-394), and Defendants' December 14, 2020 response (Dkt. #396). Based on Defendants' letter, the Court understands that the dispute at issue has been resolved. If the parties believe that there are still open issues for the Court to resolve with respect to Plaintiff's motion to compel, they should inform the Court by December 21, 2020. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/15/20) (yv)
December 14, 2020 Opinion or Order Filing 396 LETTER RESPONSE to Motion addressed to Judge Katherine Polk Failla from Henry B. Liu dated December 14, 2020 re: #392 LETTER MOTION for Discovery re Compel responses to our request for annual estimates of trading volume for the opt-out trades not produced as data addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 9, 2020. Document filed by J.P. Morgan Institutional Investments Inc., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp...(Liu, Henry)
December 10, 2020 Opinion or Order Filing 395 ORDER granting #393 Letter Motion to Seal. Application GRANTED. The exhibits to Plaintiffs' motion to compel enumerated above shall be filed under seal, viewable only to the Court and the parties. (Signed by Judge Katherine Polk Failla on 12/10/2020) (rro)
December 9, 2020 Opinion or Order Filing 394 ***SELECTED PARTIES*** LETTER MOTION for Discovery re Compel responses to our request for annual estimates of trading volume for the opt-out trades not produced as data addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 9, 2020. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 2, #2 Exhibit 4, #3 Exhibit 5, #4 Exhibit 6, #5 Exhibit 7, #6 Exhibit 9, #7 Exhibit 10, #8 Exhibit 11, #9 Exhibit 14, #10 Exhibit 15, #11 Exhibit 16)Motion or Order to File Under Seal: #393 .(Brockett, Daniel)
December 9, 2020 Opinion or Order Filing 393 LETTER MOTION to Seal addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 9, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
December 9, 2020 Opinion or Order Filing 392 LETTER MOTION for Discovery re Compel responses to our request for annual estimates of trading volume for the opt-out trades not produced as data addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 9, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2 - Redacted, #3 Exhibit 3, #4 Exhibit 4 - Filed Under Seal, #5 Exhibit 5 - Filed Under Seal, #6 Exhibit 6 - Filed Under Seal, #7 Exhibit 7 - Filed Under Seal, #8 Exhibit 8, #9 Exhibit 9 - Filed Under Seal, #10 Exhibit 10 - Filed Under Seal, #11 Exhibit 11 - Filed Under Seal, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14 - Filed Under Seal, #15 Exhibit 15 - Filed Under Seal, #16 Exhibit 16 - Filed Under Seal).(Brockett, Daniel)
November 20, 2020 Opinion or Order Filing 391 ORDER granting #386 LETTER MOTION to Seal Motion for Remedial Order and Related Declarations and Exhibits addressed to Judge Katherine Polk Failla from David Gelfand dated November 20, 2020. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. Application GRANTED. Defendant EquiLend's submissions in support of its motion for a remedial order shall be filed under seal, viewable only to the Court and parties. So ordered. (Signed by Judge Katherine Polk Failla on 11/20/2020) (rjm)
November 20, 2020 Opinion or Order Filing 390 ***SELECTED PARTIES***DECLARATION of Christian J. Mahoney in Support re: #387 MOTION for Remedial Order to Address Plaintiffs' Acquisition of Confidential and Privileged Materials.. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 42)Motion or Order to File Under Seal: #386 .(Gelfand, David)
November 20, 2020 Opinion or Order Filing 389 ***SELECTED PARTIES***DECLARATION of Garrett D. Shinn in Support re: #387 MOTION for Remedial Order to Address Plaintiffs' Acquisition of Confidential and Privileged Materials.. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1-10, #2 Exhibit 11-20, #3 Exhibit 21-28, #4 Exhibit 29, #5 Exhibit 30-39, #6 Exhibit 40-41)Motion or Order to File Under Seal: #386 .(Gelfand, David)
November 20, 2020 Opinion or Order Filing 388 ***SELECTED PARTIES*** MEMORANDUM OF LAW in Support re: #387 MOTION for Remedial Order to Address Plaintiffs' Acquisition of Confidential and Privileged Materials. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #386 .(Gelfand, David)
November 20, 2020 Opinion or Order Filing 387 ***SELECTED PARTIES*** MOTION for Remedial Order to Address Plaintiffs' Acquisition of Confidential and Privileged Materials. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC.Motion or Order to File Under Seal: #386 .(Gelfand, David)
November 20, 2020 Opinion or Order Filing 386 LETTER MOTION to Seal Motion for Remedial Order and Related Declarations and Exhibits addressed to Judge Katherine Polk Failla from David Gelfand dated November 20, 2020. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Gelfand, David)
November 16, 2020 Opinion or Order Filing 385 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/6/20 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly)
November 16, 2020 Opinion or Order Filing 384 TRANSCRIPT of Proceedings re: CONFERENCE held on 11/6/2020 before Judge Katherine Polk Failla. Court Reporter/Transcriber: George Malinowski, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/7/2020. Redacted Transcript Deadline set for 12/17/2020. Release of Transcript Restriction set for 2/16/2021..(McGuirk, Kelly)
November 12, 2020 Opinion or Order Filing 383 STIPULATION AND ORDER REGARDING DISCOVERY RELATED TO TESTIFYING EXPERTS: Plaintiffs and Defendants (collectively, the "Parties") to this Action, through their undersigned counsel, hereby stipulate and agree to the following regarding expert discovery and testimony in this Action: This Stipulation and Order shall govern discovery related to testifying experts in this Action whose identities are required to be disclosed pursuant to Fed. R. Civ. P. 26(a)(2)(A) and this Stipulation and Order (hereinafter "expert witness[es]"). Except as previously agreed among the Parties in writing or as permitted by Court order, the Parties agree that there shall be no discovery or disclosures with respect to non-testifying experts and/or consultants. To the extent this Stipulation and Order limits discovery that would otherwise be available pursuant to the Federal Rules of Civil Procedure, the Parties agree to abide by the limits set forth in this Stipulation and Order except insofar as permitted by other Court order. Nothing in this Stipulation and Order constitutes an admission or concession that any of the information exempted from discovery by this Stipulation and Order would otherwise be discoverable or admissible. Further, nothing in this Stipulation and Order requires discovery of any information that would otherwise be protected from discovery by the attorney client privilege, work product doctrine, or other applicable privileges or protections and further set forth in this Order. This Stipulation and Order does not bind the Court or any of its personnel. The Court can modify this Stipulation at any time. The Court will retain jurisdiction over the terms and conditions of this Stipulation only for the pendency of this litigation. Any party wishing to make redacted or sealed submissions shall comply with Rule 6(A) of this Court's Individual Rules of Civil Procedure. (Signed by Judge Katherine Polk Failla on 11/11/2020) (rro)
November 11, 2020 Opinion or Order Filing 382 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated November 11, 2020 re: Stipulation Governing Expert Discovery. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Stipulation and Proposed Order).(Brockett, Daniel)
November 6, 2020 Opinion or Order Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 11/6/2020. Michael Benjamin Eisenkraft, Julie Goldsmith Reiser, Christopher James Bateman, Robert White Cobbs, Emmy L Levens, David Fisher, Daniel L. Brockett, Deborah K. Brown, Maxwell Paden Deabler-Meadows, Nicholas Gerschman, Steig Olson and Daniel Paul Mach representing Plaintiffs present. Attorneys Richard Franklin Schwed and Michael Patrick Mitchell representing Merrill Lynch Defendants present. Attorneys Margaret Ann Barone and Jason Michael Hall representing Credit Suisse defendants present. Attorneys Staci Yablon, Robert Y. Sperlingand George Eric Mastoris representing Goldman Sachs defendants present. Attorneys Henry Liu, John S. Playforth, and Robert D. Wick representing J.P. Morgan defendants present. Attorneys Michael A. Paskin, Lauren Michelle Rosenberg, and Madalyn Vaugh representing Morgan Stanley defendants present. Attorneys Sarah Katherine Weber and Peter Ginewicz representing UBS defendants present. Attorneys Alexis L. Collins and David I. Gelfand representing Eqiland defendants present. Fact discovery is substantially complete. Briefing set for EquiLends motion for sanctions: Defendant's motion due by 11/20/2020; Opposition due by 12/18/2020; reply due by 1/5/2021. (Court Reporter George Malinowski) (tn)
November 4, 2020 Opinion or Order Filing 381 MEMO ENDORSEMENT on re: #373 Letter,,,, filed by J.P. Morgan Prime, Inc., Strategic Investments I, Inc., Prime Dealer Services Corp., UBS AG, Iowa Public Employees' Retirement System, Credit Suisse AG, Morgan Stanley & Co. LLC, Los Angeles County Employees Retirement Association, UBS Financial Services Inc., J.P. Morgan Chase Bank, N.A., Goldman Sachs Execution & Clearing, L.P., Credit Suisse Securities (USA) LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, J.P. Morgan Strategic Securities Lending Corp., Sonoma County Employees' Retirement Association, Torus Capital, LLC, EquiLend Holdings LLC, Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Credit Suisse First Boston Next Fund, Inc., Orange County Employees Retirement System, UBS Securities LLC, Merrill Lynch Professional Clearing Corp., UBS Americas Inc., EquiLend Europe Limited. ENDORSEMENT: The Court is in receipt of Defendant EquiLend's November 2, 2020 premotion letter. (Dkt. #373). The Court would like to discuss Defendant's anticipated motion for sanctions at the pre-trial conference scheduled for November 6, 2020. The parties are to be prepared to discuss this issue at the November 6, 2020 conference. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/3/2020) (ks)
November 4, 2020 Opinion or Order Filing 380 ORDER granting #377 Letter Motion to Seal. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/4/2020) (rro)
November 3, 2020 Opinion or Order Filing 379 ORDER granting #375 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/3/2020) (ks)
November 3, 2020 Opinion or Order Filing 378 ***SELECTED PARTIES*** REPLY re: #376 Response,,,, . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A)Motion or Order to File Under Seal: #377 .(Gelfand, David)
November 3, 2020 Opinion or Order Filing 377 LETTER MOTION to Seal Pre-Motion Reply Letter addressed to Judge Katherine Polk Failla from David Gelfand dated November 3, 2020. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Gelfand, David)
November 3, 2020 Opinion or Order Filing 376 ***SELECTED PARTIES*** RESPONSE re: #373 Letter,,,, . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC, Schonfeld Strategic Advisors LLC, Strategic Investments I, Inc., Two Sigma Investments, LP, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #375 .(Brockett, Daniel)
November 3, 2020 Opinion or Order Filing 375 LETTER MOTION for Leave to File Under Seal addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated November 3, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
November 2, 2020 Opinion or Order Filing 374 ORDER granting #372 Letter Motion to Seal: Application GRANTED. Defendant shall file their letter under seal, visible only to the Court and parties. (Signed by Judge Katherine Polk Failla on 11/2/2020) (jwh)
November 2, 2020 Opinion or Order Filing 373 ***SELECTED PARTIES*** LETTER addressed to Judge Katherine Polk Failla from David Gelfand dated 11/2/2020 re: sanctions motion. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated.Motion or Order to File Under Seal: #372 .(Gelfand, David)
November 2, 2020 Opinion or Order Filing 372 LETTER MOTION to Seal Pre-Motion Letter addressed to Judge Katherine Polk Failla from David Gelfand dated 11/2/2020. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Gelfand, David)
October 29, 2020 Opinion or Order Filing 371 STIPULATED ORDER REGARDING EXTENSION OF TIME TO RESPOND TO REQUESTS FOR ADMISSION AND CONTENTION INTERROGATORIES: NOW, THEREFORE, the parties jointly request that the Court order that the parties shall respond to requests for admission and contention interrogatories by December 11, 2020. All other dates set forth in the Court's Fourth Amended Civil Management Plan and Scheduling Order (Dkt. 298) will remain unchanged by this order. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/29/2020) (rro)
October 29, 2020 Opinion or Order Filing 370 PROPOSED STIPULATION AND ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
October 28, 2020 Opinion or Order Filing 369 ORDER granting #367 Motion to Withdraw as Counsel. The motion of David C. Bohan to withdraw as counsel on behalf of UBS AG, UBS Americas Inc., UBS Securities LLC and UBS Financial Services Inc., and for David C. Bohan to be removed from the CM/ECF service list for this matter, is GRANTED. So Ordered. Attorney David Charles Bohan terminated. (Signed by Judge Katherine Polk Failla on 10/28/2020) (js)
October 28, 2020 Opinion or Order Filing 368 ORDER granting #367 Motion to Withdraw as Counsel. The motion of David C. Bohan to withdraw as counsel on behalf of UBS AG, UBS Americas Inc., UBS Securities LLC and UBS Financial Services Inc., and for David C. Bohan to be removed from the CM/ECF service list for this matter, is GRANTED. So Ordered. Attorney David Charles Bohan terminated. (Signed by Judge Katherine Polk Failla on 10/28/2020) (js)
October 27, 2020 Opinion or Order Filing 367 MOTION for David C. Bohan to Withdraw as Attorney . Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Proposed Order).(Bohan, David)
October 21, 2020 Opinion or Order Filing 366 ORDER: The pre-trial conference currently scheduled for November 3, 2020, at 3:30 p.m. shall take place by teleconference on November 6, 2020, at 3:00 p.m. At 3:00 p.m., the parties shall call (888) 363-4749 and enter access code 5123533. Please note, the conference will not be available prior to 3:00 p.m. SO ORDERED. (Pretrial Conference set for 11/6/2020 at 03:00 PM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 10/21/2020) (rro)
October 16, 2020 Opinion or Order Filing 365 STIPULATION REGARDING AUTHENTICITY OF CERTAIN DOCUMENTS RELATED TO BLACKROCK, INC.: NOW, THEREFORE, the Parties hereby stipulate and agree through their undersigned counsel, subject to approval of the Court, that: 1. The Covered Documents shall be deemed authentic within the meaning of Fed. R. Evid. 901. 2. The Parties reserve all other objections as to documents and witness testimony, including but not limited to admissibility objections. IT IS SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/16/2020) (rro)
October 16, 2020 Opinion or Order Filing 364 PROPOSED STIPULATION AND ORDER. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC..(Hall, Jason)
October 14, 2020 Opinion or Order Filing 363 STIPULATED ORDER REGARDING EXTENSION OF TIME FOR TAKING CERTAIN FACT DEPOSITIONS AND CLASS CERTIFICATION DEADLINES: NOW, THEREFORE, the Parties jointly request that the Court order as follows: certain previously noticed fact depositions may be taken after the October 16, 2020 deadline on or around dates mutually agreed upon among the Parties and respective non-party witnesses. The deadlines for class certification will be set for the following dates: Plaintiffs' motion for class certification and supporting expert reports be extended from December 21, 2020 to February 4, 2021; Defendants to depose Plaintiffs' class certification experts be extended from March 5, 2021 to April 19, 2021. Defendants' opposition to class certification and supporting expert reports be extended from April 9, 2021 to May 24, 2021. Plaintiffs to depose Defendants' class certification experts be extended from June 14, 2021 to July 29, 2021. Plaintiffs' reply in support of class certification be extended from July 16, 2021 to August 30, 2021. All other dates set forth in the Scheduling Order will remain unchanged. IT IS SO ORDERED. (Deposition due by 7/29/2021., Discovery due by 4/19/2021., Motions due by 2/4/2021., Responses due by 5/24/2021, Replies due by 8/30/2021.), Motions terminated: #362 LETTER MOTION for Extension of Time to Amend the Case Schedule addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated October 14, 2020. filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. (Signed by Judge Katherine Polk Failla on 10/14/2020) (rro)
October 14, 2020 Opinion or Order Filing 362 LETTER MOTION for Extension of Time to Amend the Case Schedule addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated October 14, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Proposed Stipulation and Order).(Brockett, Daniel)
September 14, 2020 Opinion or Order Filing 361 STIPULATED ORDER REGARDING ADMISSIBILITY OF CERTAIN DOCUMENTS RELATED TO THE IOWA STATE TREASURER'S OFFICE: NOW, THEREFORE, the Parties hereby stipulate and agree through their undersigned counsel, subject to approval of the Court, that: The Covered Documents shall be deemed authentic within the meaning of Fed. R. Evid. 901. Plaintiffs agree that they will not object to the admissibility of the Covered Documents. Any Covered Document may be admitted and used by Defendants without establishing foundation for that Covered Document. Plaintiffs agree that they will not object to Defendants' use of the Covered Documents for purposes including, but not limited to, class certification, summary judgment, trial and/or appeal. Other than the stipulations set forth herein, the Parties reserve all other objections as to documents and witness testimony. (Signed by Judge Katherine Polk Failla on 9/14/2020) (rro)
September 14, 2020 Opinion or Order Filing 360 PROPOSED STIPULATION AND ORDER. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Rosenberg, Lauren)
August 28, 2020 Opinion or Order Filing 359 ORDER denying without prejudice #351 Letter Motion to Compel. Accordingly, the motion is DENIED without prejudice. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/27/2020) (rro)
August 27, 2020 Opinion or Order Filing 358 STIPULATED ORDER REGARDING EXTENSION OF TIME TO RESPOND TO REQUESTS FOR ADMISSION AND CONTENTION INTERROGATORIES: NOW, THEREFORE, the parties jointly request that the Court order that the parties shall respond to requests for admission and contention interrogatories by November 16, 2020. All other dates set forth in the Courts Fourth Amended Civil Management Plan and Scheduling Order (Dkt. 298) will remain unchanged by this order. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/27/2020) (rro)
August 27, 2020 Opinion or Order Filing 357 PROPOSED STIPULATION AND ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 24, 2020 Opinion or Order Filing 356 NOTICE OF CHANGE OF ADDRESS by David George Januszewski on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. New Address: Cahill Gordon & Reindel LLP, 32 Old Slip, New York, New York, United States 10005, 2127013000..(Januszewski, David)
August 21, 2020 Opinion or Order Filing 355 ORDER granting #353 Letter Motion to Seal. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/20/2020) (rro)
August 20, 2020 Opinion or Order Filing 354 ***SELECTED PARTIES***LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 20, 2020 re: #351 LETTER MOTION to Compel the Deposition of James Gorman addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated August 17, 2020. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Declaration of Lauren M. Rosenberg, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)Motion or Order to File Under Seal: #353 .(Paskin, Michael)
August 20, 2020 Opinion or Order Filing 353 LETTER MOTION to Seal Defendant Morgan Stanley's Opposition to Plaintiffs' Letter Motion to Compel the Deposition of James Gorman addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 20, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
August 18, 2020 Opinion or Order Filing 352 ORDER granting #350 Letter Motion to Seal. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/17/2020) (rro)
August 17, 2020 Opinion or Order Filing 351 ***SELECTED PARTIES*** LETTER MOTION to Compel the Deposition of James Gorman addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated August 17, 2020. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Declaration of Robert W. Cobbs, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K)Motion or Order to File Under Seal: #350 .(Eisenkraft, Michael)
August 17, 2020 Opinion or Order Filing 350 LETTER MOTION to Seal Letter Motion to Compel the Deposition of James Gorman addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated August 17, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Eisenkraft, Michael)
August 11, 2020 Opinion or Order Filing 349 ORDER granting #348 Letter Motion to Seal July 23, 2020 hearing transcript (ECF Nos. 342 and 343). Application GRANTED. The Clerk of Court is directed to file the July 23, 2020 hearing transcript (Dkt. #342) under seal, viewable to the Court and parties only. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/11/2020) (rj)
August 11, 2020 Opinion or Order Filing 348 LETTER MOTION to Seal July 23, 2020 hearing transcript (ECF Nos. 342 and 343) addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated August 11, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
August 10, 2020 Opinion or Order Filing 347 ORDER FOR ADMISSION PRO HAC VICE granting #346 Motion for Elliott M. Bacon to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 346. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/10/2020) (rro)
August 7, 2020 Opinion or Order Filing 346 MOTION for Elliott M. Bacon to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-21050372. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Affidavit Of Elliott M. Bacon In Support, #2 Certificate Of Good Standing, #3 Proposed Order).(Bacon, Elliott)
August 7, 2020 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #346 MOTION for Elliott M. Bacon to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-21050372. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
August 5, 2020 Opinion or Order Filing 345 MEMO ENDORSEMENT on re: #344 Letter filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: The Court is in receipt of Plaintiffs' letter dated July 31, 2020 (Dkt. #337), Defendants' August 3, 2020 response (Dkt. #341), and Plaintiffs' August 4, 2020 reply (Dkt. #344). The Court understands that, as represented in their July 31 and August 4 letters, Plaintiffs have disclosed the total number of their industry consultants as ordered at the July 23, 2020 conference. (See Dkt. #337, Ex. A (July 23, 2020 Hr'g Tr. 38:22-25)). The Court trusts that these representations are truthful and does not expect Plaintiffs to reveal that they have retained any additional industry consultants. As for the identities of these consultants, the Court understands that if any of them are noticed for a deposition, then Plaintiffs will disclose their status as a consulting expert in accordance with the parties' agreement. (Dkt. #337, Ex. B). At this time, the Court does not see a reason to depart from this practice. (Signed by Judge Katherine Polk Failla on 8/5/2020) (rro)
August 4, 2020 Opinion or Order Filing 344 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated August 4, 2020 re: Reply Letter Concerning Supplement Record Established During June 23, 2020 Conference. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B).(Brockett, Daniel)
August 4, 2020 Opinion or Order Filing 343 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 7/23/2020 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly)
August 3, 2020 Opinion or Order Filing 341 LETTER addressed to Judge Katherine Polk Failla from Robert Y. Sperling dated August 3, 2020 re: Response to Plaintiffs' July 31, 2020 Letter [ECF 337]. Document filed by Goldman Sachs & Co. LLC. (Attachments: #1 Exhibit A - July 30, 2020 Letter).(Sperling, Robert)
August 3, 2020 Opinion or Order LETTERS ROGATORY ISSUED on July 31, 2020, and picked up by WINSTON & STRAWN LLP, to be served in the United Kingdom. (km)
July 31, 2020 Opinion or Order Filing 340 ORDER granting #338 Letter Motion to Seal. Application GRANTED. Exhibit A to Plaintiffs' July 31, 2020 letter (Dkt. #337) may be filed under seal, viewable to the Court and parties only. (Signed by Judge Katherine Polk Failla on 7/31/2020) (rro)
July 31, 2020 Opinion or Order Filing 339 ***SELECTED PARTIES*** LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated July 31, 2020 re: Supplement Record Established During June 23, 2020 Conference. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit A)Motion or Order to File Under Seal: #338 .(Brockett, Daniel)
July 31, 2020 Opinion or Order Filing 338 LETTER MOTION to Seal Exhibit A to July 31, 2020 Letter Concerning the June 23, 2020 Teleconference addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated July 31, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
July 31, 2020 Opinion or Order Filing 337 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated July 31, 2020 re: Supplement Record Established During June 23, 2020 Conference. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B).(Brockett, Daniel)
July 29, 2020 Opinion or Order Filing 336 MEMO ENDORSEMENT granting #335 Motion for Issuance of Letters Rogatory. ENDORSEMENT: SO ORDERED. (Signed by Judge Katherine Polk Failla on 7/29/2020) (rro) Transmission to Orders and Judgments Clerk for processing.
July 27, 2020 Opinion or Order LETTERS ROGATORY ISSUED on July 27, 2020, and picked up by WINSTON & STRAWN LLP, to be served in the United Kingdom. (km)
July 24, 2020 Opinion or Order Filing 335 MOTION for Issuance of Letters Rogatory as to Donal Smith in Great Britain , by Defendants. Document filed by Goldman Sachs & Co. LLC. (Attachments: #1 Exhibit 1 - Defendants' proposed Letter of Request regarding Mr. Smith).(Mastoris, George)
July 23, 2020 Opinion or Order Minute Entry for proceedings held before Judge Katherine Polk Failla: Motion Hearing held on 7/23/2020 re: #319 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 24, 2020 filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System: Plaintiffs' motion to quash is GRANTED. Motion(s) terminated: #319 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 24, 2020 filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System, #297 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated May 26, 2020 filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. (Court Reporter Kristen Carannante) (tn)
July 22, 2020 Opinion or Order Filing 334 ORDER granting #332 Letter Motion to Seal. Application GRANTED. Plaintiffs' reply to Defendant EquiLend's July 20, 2020 letter (Dkt. #330) may be filed under seal, viewable to the Court and parties only. SO ORDERED. (Signed by Judge Katherine Polk Failla on 7/21/2020) (kv)
July 21, 2020 Opinion or Order Filing 333 ***SELECTED PARTIES*** LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated July 21, 2020 re: Plaintiffs' Response to EquiLend's Supplemental Submission. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., EquiLend Europe Limited, J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, EquiLend Holdings LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., EquiLend LLC, Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)Motion or Order to File Under Seal: #332 .(Brockett, Daniel)
July 21, 2020 Opinion or Order Filing 332 LETTER MOTION to Seal Plaintiffs' Response to EquiLend's Supplemental Submission addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated July 21, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
July 21, 2020 Opinion or Order Filing 331 ORDER granting #329 Letter Motion to Seal. Application GRANTED. Defendants' July 20, 2020 submission may be filed under seal, viewable to the Court and parties only. SO ORDERED. (Signed by Judge Katherine Polk Failla on 7/21/2020) (kv)
July 20, 2020 Opinion or Order Filing 330 ***SELECTED PARTIES*** LETTER addressed to Judge Katherine Polk Failla from David Gelfand dated July 20, 2020 re: Supplemental Submission. Document filed by Morgan Stanley & Co. LLC, Credit Suisse AG, UBS Americas Inc., Orange County Employees Retirement System, J.P. Morgan Strategic Securities Lending Corp., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., UBS Securities LLC, UBS AG, UBS Financial Services Inc., Los Angeles County Employees Retirement Association, Credit Suisse First Boston Next Fund, Inc., Torus Capital, LLC, Prime Dealer Services Corp., Goldman Sachs Execution & Clearing, L.P., Strategic Investments I, Inc., Merrill Lynch L.P. Holdings, Inc., Credit Suisse Prime Securities Services (USA) LLC, Sonoma County Employees' Retirement Association, Credit Suisse Securities (USA) LLC, Merrill Lynch Professional Clearing Corp., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2)Motion or Order to File Under Seal: #329 .(Gelfand, David)
July 20, 2020 Opinion or Order Filing 329 LETTER MOTION to Seal EquiLend's Supplemental Submission addressed to Judge Katherine Polk Failla from David Gelfand dated July 20, 2020. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Gelfand, David)
July 17, 2020 Opinion or Order Filing 328 ORDER: The Court is in receipt of Defendants' letters dated June 24, 2020, and June 26, 2020 (Dkt. #318, 320), and Plaintiffs' letters dated June 24, 2020, and June 26, 2020 (Dkt. #319, #321), and would like to have a conference with the parties to discuss the issues raised in those letters. The parties are hereby ORDERD to appear for a telephonic conference on July 23, 2020, at 2:00 p.m. At 2:00 p.m. the parties shall call (888) 363-4749 and enter access code 5123533. Please note, the conference will not be available prior to 2:00 p.m. The Court encourages the parties to designate one person from each side to speak to these issues. SO ORDERED. (Telephone Conference set for 7/23/2020 at 02:00 PM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 7/17/2020) (rro)
July 13, 2020 Opinion or Order Filing 327 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #324 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the motion for Alice Buttrick to withdraw as counsel for Plaintiffs Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, and Torus Capital, LLC is granted, and Ms. Buttrick's appearance is withdrawn as of the date of this Order. The Clerk is directed to remove Ms. Buttrick from the CM/ECF service list for this action. (Attorney Alice Buttrick terminated.) (Signed by Judge Katherine Polk Failla on 7/13/2020) (rro)
July 10, 2020 Opinion or Order Filing 326 MEMO ENDORSEMENT on LETTER OF REQUEST TO THE CENTRAL AUTHORITY OF THE UNITED KINGDOM FOR INTERNATIONAL JUDICIAL ASSISTANCE FOR EVIDENCE FROM BOWMARK CAPITAL LLP. ENDORSEMENT: SO ORDERED. (Signed by Judge Katherine Polk Failla on 7/10/2020) (jwh) Transmission to Orders and Judgments Clerk for processing.
July 10, 2020 Opinion or Order Filing 325 MEMO ENDORSEMENT granting #322 Motion for Issuance of Letters Rogatory. ENDORSEMENT: For substantially the same reasons provided in Defendants' motion for the issuance of letters rogatory, Defendants' motion is hereby GRANTED. The letters rogatory shall issue under separate cover. (Signed by Judge Katherine Polk Failla on 7/10/2020) (jwh) Transmission to Orders and Judgments Clerk for processing.
July 10, 2020 Opinion or Order Filing 324 MOTION for Alice Buttrick to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order).(Buttrick, Alice)
July 2, 2020 Opinion or Order Filing 323 LETTER addressed to Judge Katherine Polk Failla from Daniel Brockett and Michael Eisenkraft dated July 2, 2020 re: Update re: June 10, 2020 hearing. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
June 30, 2020 Opinion or Order Filing 322 MOTION for Issuance of Letters Rogatory as to Bowmark Capital LLP in Great Britain . Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1 - Defendants' Proposed Letter of Request Regarding Bowmark Capital LLP).(Wilson, Peter)
June 26, 2020 Opinion or Order Filing 321 ***SELECTED PARTIES***LETTER REPLY to Response to Motion addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 26, 2020 re: #319 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 24, 2020. . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. Motion or Order to File Under Seal: #317 .(Brockett, Daniel)
June 26, 2020 Opinion or Order Filing 320 ***SELECTED PARTIES***LETTER REPLY to Response to Motion addressed to Judge Katherine Polk Failla from David Gelfand dated June 26, 2020 re: #319 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 24, 2020. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1)Motion or Order to File Under Seal: #317 .(Gelfand, David)
June 24, 2020 Opinion or Order Filing 319 ***SELECTED PARTIES*** LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 24, 2020. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10)Motion or Order to File Under Seal: #317 .(Brockett, Daniel)
June 24, 2020 Opinion or Order Filing 318 ***SELECTED PARTIES***LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from David Gelfand dated June 24, 2020 re: #297 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated May 26, 2020. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9)Motion or Order to File Under Seal: #317 .(Gelfand, David)
June 24, 2020 Opinion or Order Filing 317 ORDER granting #316 Letter Motion to Seal. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 6/24/2020) (rro)
June 24, 2020 Opinion or Order Filing 316 LETTER MOTION to Seal All Briefing In The Dispute Concerning Plaintiffs' Letter Motion To Quash Equilend's Subpoenas addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 24, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
June 23, 2020 Opinion or Order Filing 315 ORDER: granting #314 Letter Motion to Seal. Application GRANTED. The June 10, 2020 hearing transcript may be filed under seal, viewable to the Court and parties only. SO ORDERED. (Signed by Judge Katherine Polk Failla on 6/23/2020) (ama)
June 23, 2020 Opinion or Order Filing 314 LETTER MOTION to Seal the Court's June 10, 2020 hearing transcript (ECF Nos. 310-313) addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 23, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
June 19, 2020 Opinion or Order Filing 313 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Telephone Conference proceeding held on 6/10/2020 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days.(rro)
June 19, 2020 Opinion or Order Filing 312 TRANSCRIPT of Proceedings re: Telephone Conference held on 6/10/2020 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 7/10/2020. Redacted Transcript Deadline set for 7/20/2020. Release of Transcript Restriction set for 9/17/2020..(rro)
June 15, 2020 Opinion or Order Filing 311 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Telephone Conference proceeding held on 6/10/2020 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days.(rro) (Main Document 311 replaced on 6/30/2020) (rro).
June 15, 2020 Opinion or Order Filing 310 TRANSCRIPT of Proceedings re: Telephone Conference held on 6/10/2020 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 7/6/2020. Redacted Transcript Deadline set for 7/16/2020. Release of Transcript Restriction set for 9/14/2020.(rro)
June 10, 2020 Opinion or Order Minute Entry for proceedings held before Judge Katherine Polk Failla: Motion Hearing held on 6/10/2020 re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative, MOTION to Quash Third Party Subpoenas served on SL-x filed by SL-x Technology USA LLC, SL-x Trading USA LLC, SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Trading Europe Ltd.: The motion to quash is GRANTED, and Defendant is granted leave to serve a new subpoena conforming to the terms as discussed during this conference. The parties shall file their respective letters on the issues of retaining Mr. Depetris in two weeks, and then on or before two days after, their respective replies. (tn)
June 9, 2020 Opinion or Order Filing 309 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #308 MOTION for Rylee K. Sommers-Flanagan to Withdraw as Attorney. IT IS HEREBY ORDERED that the motion for Rylee K. Sommers-Flanagan to withdraw as counsel for Plaintiffs Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, and Los Angeles County Employees Retirement Association is granted, and Ms. Sommers-Flanagan's appearance is withdrawn as of the date of this Order. The Clerk is directed to remove Ms. Sommers-Flanagan from the CM/ECF service list for this action. Attorney Rylee Sommers-Flanagan terminated (Signed by Judge Katherine Polk Failla on 6/2/2020) (jca)
June 8, 2020 Opinion or Order Filing 308 MOTION for Rylee K. Sommers-Flanagan to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Text of Proposed Order).(Eisenkraft, Michael)
June 5, 2020 Opinion or Order Filing 307 ORDER: On May 26, 2020, Plaintiffs filed a letter motion to quash Defendant Equilend's document subpoenas of non-party Gregory DePetris and his attorney. (Dkt. #297). On May 29, 2020, Defendant Equilend filed its letter in opposition. (Dkt. #304). On June 3, 2020, Plaintiff filed a letter in reply of its motion to quash. (Dkt. # 306). The Plaintiff and Defendant Equilend are hereby ORDERED to appear for a telephonic conference concerning Plaintiff's letter motion to quash on June 10, 2020, at 11:00 a.m. The dial-in information is as follows: At 11:00 a.m. the parties shall call (888) 363-4749 and enter access code 5123533. Please note, the conference will not be available prior to 11:00 a.m. (Telephone Conference set for 6/10/2020 at 11:00 AM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 6/5/2020) (rro)
June 3, 2020 Opinion or Order Filing 306 ***SELECTED PARTIES***LETTER REPLY to Response to Motion addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 1, 2020 re: #297 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated May 26, 2020. . Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. Motion or Order to File Under Seal: #305 .(Brockett, Daniel)
June 2, 2020 Opinion or Order Filing 305 ORDER granting #303 Letter Motion to Seal. Application GRANTED. Plaintiffs may file the papers referenced in this letter under seal, viewable to the Court and parties only. (Signed by Judge Katherine Polk Failla on 6/2/2020) (rro)
June 2, 2020 Opinion or Order ***SELECTED PARTIES*** ORDER granting #304 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 6/2/2020) (tn)
June 1, 2020 Opinion or Order Filing 304 ***SELECTED PARTIES*** LETTER MOTION for Leave to File Reply to EquiLend's May 29 letter opposing Plaintiffs' motion to quash EquiLend's subpoenas on third-party Gregory DePetris and his lawyer, David Haselkorn addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 1, 2020. Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Sonoma County Employees' Retirement Association, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Exhibit A - Proposed Letter Reply)Motion or Order to File Under Seal: #303 .(Brockett, Daniel)
June 1, 2020 Opinion or Order Filing 303 LETTER MOTION to Seal Letter Motion and Exhibit for Leave to File Reply addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated June 1, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Brockett, Daniel)
June 1, 2020 Opinion or Order Filing 302 PROPOSED STIPULATION AND ORDER. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Rosenberg, Lauren)
June 1, 2020 Opinion or Order Filing 301 ORDER granting #299 Letter Motion to Seal. Application GRANTED. EquiLend may file its opposition under seal, viewable to the Court and parties only. (Signed by Judge Katherine Polk Failla on 6/1/2020) (rro)
May 29, 2020 Opinion or Order Filing 300 ***SELECTED PARTIES***LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from David I. Gelfand dated May 29, 2020 re: #297 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated May 26, 2020. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Orange County Employees Retirement System, Prime Dealer Services Corp., Sonoma County Employees' Retirement Association, Strategic Investments I, Inc., Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1)Motion or Order to File Under Seal: #299 .(Gelfand, David)
May 29, 2020 Opinion or Order Filing 299 LETTER MOTION to Seal Opposition to Plaintiffs' Motion to Quash Subpoenas addressed to Judge Katherine Polk Failla from David I. Gelfand dated May 29, 2020. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC..(Gelfand, David)
May 26, 2020 Opinion or Order Filing 298 FOURTH AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER granting #296 Letter Motion for Extension of Time. All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). The parties are free to withhold consent without adverse substantive consequences. Deposition due by 6/14/2021. Discovery due by 10/16/2020. Motions due by 12/21/2020. Defendants' opposition to class certification and supporting expert reports are due: April 9, 2021. Plaintiffs' reply in support of class certification: July 16, 2021. Any of the deadlines in paragraphs 8(a) through 8(e) and 8(h) through 8(k) may be extended by the written consent of all parties without application to the Court, provided that all fact discovery is completed by October 16, 2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. The next pretrial conference is scheduled for November 3, 2020 at 3:30 p.m. in Courtroom 618 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York 10007. This Order may not be modified or the dates herein extended, except by further Order of this Court for good cause shown. Unless the Court orders otherwise, parties engaged in settlement negotiations must proceed on parallel tracks, pursuing settlement and conducting discovery simultaneously. Parties should not assume that they will receive an extension of an existing deadline if settlement negotiations fail. Any application to modify or extend the dates herein (except as provided in paragraph 8(f)) shall be made in a written application in accordance with the Court's Individual Rules and must be made no fewer than two business days prior to the expiration of the date sought to be extended. SO ORDERED. (Signed by Judge Katherine Polk Failla on 5/26/20) (yv)
May 26, 2020 Opinion or Order Set/Reset Deadlines: ( Discovery due by 10/16/2020., Fact Discovery due by 10/16/2020., Responses due by 4/9/2021, Replies due by 7/16/2021.), Set/Reset Hearings: ( Pretrial Conference set for 11/3/2020 at 03:30 PM in Courtroom 618, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla.) (yv)
May 26, 2020 Opinion or Order Filing 297 LETTER MOTION for Discovery re Plaintiffs' Motion to Quash Defendant EquiLend's Subpoenas to Third Parties addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated May 26, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1 - DePetris Subpoena, #2 Exhibit 2 - Haselkorn Subpoena).(Brockett, Daniel)
May 1, 2020 Opinion or Order Filing 296 JOINT LETTER MOTION for Extension of Time addressed to Judge Katherine Polk Failla from Daniel L. Brockett, Michael B. Eisenkraft, Richard F. Schwed,Jason M. Hall, Robert Y. Sperling, Henry Liu, Michael A. Paskin, Alan J. Brudner, Alexis Collins dated May 1, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Proposed Fourth Amended Civil Case Management Plan and Scheduling Order, #2 Exhibit B - Redline).(Brockett, Daniel)
May 1, 2020 Opinion or Order Filing 295 NOTICE OF APPEARANCE by Nicholas Gerschman on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Gerschman, Nicholas)
April 24, 2020 Opinion or Order Filing 294 NOTICE OF APPEARANCE by David Tyler Adams on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Adams, David)
March 27, 2020 Opinion or Order Filing 293 THIRD AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c) Amended pleadings may not be filed and additional parties may not be joined except with leave of the Court. Any motion to amend pleadings or to join additional parties shall be filed no later than 3 months from the date of the prior Case Management Order dated November 15, 2018, unless good cause is shown under Fed. R. Civ. P. 16(b)(4). All expert discovery, including reports, production of underlying documents, and depositions, shall be conducted in accordance with a schedule to be issued following a ruling on Plaintiffs' motion for class certification. Plaintiffs' motion for class certification and supporting expert reports are due: December 21, 2020. Defendants' deadline to depose Plaintiffs' class certification experts: March 5, 2021. Defendants' opposition to class certification and supporting expert reports are due: April 9, 2021. Plaintiffs' deadline to depose Defendants' class certification experts: June 14, 2021. Plaintiffs' reply in support of class certification: July 16, 2021. Depositions of fact witnesses shall be completed by July 30, 2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. (Motions due by 12/21/2020. Responses due by 4/9/2021 Replies due by 7/16/2021. Deposition due by 4/21/2021.) (Signed by Judge Katherine Polk Failla on 3/27/2020) (rro)
March 27, 2020 Opinion or Order Filing 292 ORDER granting #291 Letter Motion for Extension of Time to Amend. Application GRANTED. The Court will endorse the Third Amended Case Management Plan under separate cover. The pretrial conference currently scheduled for May 19, 2020, is hereby ADJOURNED to August 11, 2020, at 2:00 p.m. in Courtroom 618 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York. SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/27/2020) (ks)
March 27, 2020 Opinion or Order Set/Reset Hearings: Pretrial Conference set for 8/11/2020 at 02:00 PM in Courtroom 618, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla. (ks)
March 26, 2020 Opinion or Order Filing 291 JOINT LETTER MOTION for Extension of Time to Amend the Case Schedule addressed to Judge Katherine Polk Failla from Daniel L. Brockett, Michael B. Eisenkraft, Richard F. Schwed,Jason M. Hall, Robert Y. Sperling, Richard C. Pepperman, II, Henry Liu, Michael A. Paskin, Alan J. Brudner, Alexis Collins dated March 26, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Proposed New Case Management Schedule, #2 Exhibit B - Redline).(Brockett, Daniel)
March 17, 2020 Opinion or Order Filing 290 LETTER addressed to Judge Katherine Polk Failla from Jason M. Hall dated March 17, 2020 re: Notice Of Intent To Share Data With Experts. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC. (Attachments: #1 Exhibit A-2 - Notice of Availability of Expert Identity and Data Security Protocol Information).(Hall, Jason)
March 11, 2020 Opinion or Order Filing 289 ORDER FOR ADMISSION PRO HAC VICE granting #288 Motion for Benjamin C. Levine to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 288. (Signed by Judge Katherine Polk Failla on 3/11/2020) (mro)
March 10, 2020 Opinion or Order Filing 288 MOTION for Benjamin C. Levine to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-19065439. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit Affidavit in Support of Motion for Admission Pro Hac Vice, #2 Exhibit Certificate of Admission in Illinois, #3 Exhibit Proposed Order).(Levine, Benjamin)
March 10, 2020 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #288 MOTION for Benjamin C. Levine to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-19065439. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
March 9, 2020 Opinion or Order LETTERS ROGATORY ISSUED on March 9, 2020, and picked up by WINSTON & STRAWN LLP, to obtain evidence on Julian Pittam and Charlotte Clout in the United Kingdo, Royal Courts of Justice, London. (km)
March 6, 2020 Opinion or Order Filing 287 MEMO ENDORSEMENT on re: #285 MOTION for Issuance of Letters Rogatory as to Julian Pittam and Charlotte Clout in Great Britain , by Defendants filed by Goldman Sachs & Co. LLC. ENDORSEMENT: SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/6/2020) (rro) Transmission to Orders and Judgments Clerk for processing.
March 6, 2020 Opinion or Order Filing 286 MEMO ENDORSEMENT granting #285 Motion for Issuance of Letters Rogatory. ENDORSEMENT: SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/6/2020) (rro) Transmission to Orders and Judgments Clerk for processing.
February 27, 2020 Opinion or Order Filing 285 MOTION for Issuance of Letters Rogatory as to Julian Pittam and Charlotte Clout in Great Britain , by Defendants. Document filed by Goldman Sachs & Co. LLC. (Attachments: #1 Exhibit 1 - Defendants' proposed Letter of Request regarding Mr. Pittam, #2 Exhibit 2 - Defendants' proposed Letter of Request regarding Ms. Clout).(Mastoris, George)
February 25, 2020 Opinion or Order Filing 284 LETTER addressed to Judge Katherine Polk Failla from Peter G. Wilson dated 2/25/20 re: Notice Of Intent To Share Data With Experts. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A-2).(Wilson, Peter)
February 24, 2020 Opinion or Order Filing 283 MEMO ENDORSEMENT on #281 granting #275 Motion for Issuance of Letters Rogatory. ENDORSEMENT: Application DENIED. The Court will issue the Requests for Judicial Assistance as they appear as exhibits to Defendants' February 14, 2020 motion for the issuance of letters rogatory. (Dkt. #275). However, Plaintiffs and Defendants are directed to coordinate with non-parties SL-x IP S.a.r.l, SL-x Technology UK Limited, SL-x Trading Europe Limited, SL-x Technology USA LLC, and SL-x Trading USA LLC (collectively "SL-x") to ensure that SL-x is able to participate in the depositions of Marc Gerstein, Lynden Howie, and Ricardo Caupers. (Signed by Judge Katherine Polk Failla on 2/24/2020) (rro) Transmission to Orders and Judgments Clerk for processing. Modified on 2/25/2020 (rro).
February 24, 2020 Opinion or Order LETTERS ROGATORY ISSUED on February 24, 2020, and picked up by Covington & Burling LLP, and to obtain evidence on Marc Gerstein in London; to obtain evidence on Lynden Howie in London and to obtain evidence on Ricardo Caupers in London.(km)
February 21, 2020 Opinion or Order Filing 282 LETTER addressed to Judge Katherine Polk Failla from Michael Mitchell dated February 21, 2020 re: Data Production. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit A-2).(Mitchell, Michael)
February 21, 2020 Opinion or Order Filing 281 RESPONSE to Motion re: #275 MOTION for Issuance of Letters Rogatory as to Marc Gerstein, Lynden Howie, and Ricardo Caupers in Great Britain . . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC..(Mandel, Evan)
February 21, 2020 Opinion or Order Filing 280 ORDER denying #273 Motion to Compel. The Court is in receipt of Defendants' letter motion to compel Plaintiffs to provide additional responses to Defendants' first interrogatory ("Interrogatory One") (Dkt. #272, 273), and Plaintiffs' letter in opposition (Dkt. #276). The parties' dispute is, in essence, a disagreement over the proper interpretation of the Court's November 6, 2019 Order, in which the Court ordered Plaintiffs to comply with Defendants' Interrogatory One insofar "as it requests that Plaintiffs provide the names of individuals who are mentioned, but not named, in the Amended Complaint, and to whom specific statements are attributed in the Amended Complaint." (Dkt. #240). Plaintiffs' proposed construction of the Court's November 6, 2019 Order is correct. Defendants have not provided the Court with sufficient justification for it to reconsider the scope of that Order. Accordingly, Defendants' motion to compel is DENIED. (Signed by Judge Katherine Polk Failla on 2/21/2020) (rro)
February 21, 2020 Opinion or Order Filing 279 LETTER addressed to Judge Katherine Polk Failla from John S. Playforth dated February 21, 2020 re: Notice of intent to share data designated as "Highly Confidential Data.". Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A-2 - Notice of Availability of Expert Identity and Data Security Protocol Information).(Playforth, John)
February 20, 2020 Opinion or Order Filing 278 LETTER addressed to Judge Katherine Polk Failla from Robert Y. Sperling dated February 20, 2020 re: Notice of intent to share data designated as "Highly Confidential Data" with experts. Document filed by Goldman Sachs & Co. LLC. (Attachments: #1 Exhibit A-2 - Notice of Availability of Expert Identity and Data Security Protocol Information).(Sperling, Robert)
February 20, 2020 Opinion or Order Filing 277 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 20, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit A-2 Notice of Availability of Expert Identity and Data Security Protocol Information).(Paskin, Michael)
February 14, 2020 Opinion or Order Filing 276 RESPONSE re: #273 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1 - Letter).(Brockett, Daniel)
February 14, 2020 Opinion or Order Filing 275 MOTION for Issuance of Letters Rogatory as to Marc Gerstein, Lynden Howie, and Ricardo Caupers in Great Britain . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit 1 - M. Gerstein proposed Hague Convention letter of request, #2 Exhibit 2 - L. Howie proposed Hague Convention letter of request, #3 Exhibit 3 - R. Caupers proposed Hague Convention letter of request).(Playforth, John)
February 12, 2020 Opinion or Order Filing 274 ORDER granting #272 LETTER MOTION for Leave to File Redacted and Under Seal Exhibits to Defendants' Motion to Compel Plaintiffs' Response to Interrogatory No. 1. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 2/12/2020) (jca)
February 11, 2020 Opinion or Order Filing 273 ***SELECTED PARTIES*** LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2)Motion or Order to File Under Seal: #272 .(Paskin, Michael)
February 11, 2020 Opinion or Order Filing 272 LETTER MOTION for Leave to File Redacted and Under Seal Exhibits to Defendants' Motion to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
February 11, 2020 Opinion or Order Filing 271 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2).(Paskin, Michael)
January 31, 2020 Opinion or Order Filing 270 ORDER granting #268 Letter Motion for Extension of Time. The Court takes notice of the Merrill Lynch Defendants' substantial efforts to comply with the Court's Order of December 26, 2019 (Dkt. #260), and understands that a sizable production will be made to Plaintiffs by the January 31, 2020 deadline. In light of this, the Merrill Lynch Defendants' application for a two-week extension of time to finish their production of responsive documents is hereby GRANTED. Application GRANTED. (Signed by Judge Katherine Polk Failla on 1/31/2020) (rro)
January 29, 2020 Opinion or Order Filing 269 SECOND AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER granting #267 Letter Motion for Extension of Time. All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). Amended pleadings may not be filed and additional parties may not be joined except with leave of the Court. Any motion to amend pleadings or to join additional parties shall be filed no later than 3 months from the date of the prior Case Management Order dated November 15, 2018, unless good cause is shown under Fed. R. Civ. P. 16(b)(4). All fact discovery shall be completed no later than May 1, 2020. All expert discovery, including reports, production of underlying documents, and depositions, shall be conducted in accordance with a schedule to be issued following a ruling on Plaintiffs' motion for class certification. Plaintiffs' motion for class certification and supporting expert reports are due: December 21, 2020. Defendants' deadline to depose Plaintiffs' class certification experts: March 5, 2021. Defendants' opposition to class certification and supporting expert reports are due: April 9, 2021. Plaintiffs' deadline to depose Defendants' class certification experts: June 14, 2021. Plaintiffs' reply in support of class certification: July 16, 2021. Depositions of fact witnesses shall be completed by May 1, 2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. (Signed by Judge Katherine Polk Failla on 1/29/2020) (rro)
January 29, 2020 Opinion or Order Set/Reset Deadlines: Deposition due by 6/14/2021. Fact Discovery due by 5/1/2020. Motions due by 12/21/2020. Responses due by 3/5/2021 Replies due by 7/16/2021. (rro)
January 29, 2020 Opinion or Order Filing 268 LETTER MOTION for Extension of Time to complete production of P&L-related materials addressed to Judge Katherine Polk Failla from Richard F. Schwed dated January 29, 2020. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Schwed, Richard)
January 24, 2020 Opinion or Order Filing 267 LETTER MOTION for Extension of Time addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated January 24, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order Proposed Second Amended Case Management Plan)(Brockett, Daniel)
January 23, 2020 Opinion or Order Filing 266 ORDER FOR ADMISSION PRO HAC VICE granting #265 Motion for Michaela C. Holcombe to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 265. SO ORDERED. (Signed by Judge Katherine Polk Failla on 1/23/2020) (rro)
January 22, 2020 Opinion or Order Filing 265 MOTION for Michaela C. Holcombe to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18564773. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Affidavit Of Michaela C. Holcombe In Support, #2 Certificate Of Good Standing, #3 Proposed Order)(Holcombe, Michaela)
January 22, 2020 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #265 MOTION for Michaela C. Holcombe to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18564773. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
January 17, 2020 Opinion or Order Filing 264 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated January 17, 2020 re: Data Production Status Update. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
January 17, 2020 Opinion or Order Filing 263 MEMO ENDORSEMENT granting #262 Motion for Issuance of Letters Rogatory. ENDORSEMENT: For substantially the same reasons provided in Defendants' motion for the issuance of letters rogatory, Defendants' motion is hereby GRANTED. The letters rogatory shall issue under separate cover. (Signed by Judge Katherine Polk Failla on 1/17/2020) (rro) Transmission to Orders and Judgments Clerk for processing.
January 17, 2020 Opinion or Order LETTERS ROGATORY ISSUED on January 17, 2020, and picked up by Covington & Burling, LLP, to obtain documents and testimony from Peter Finchel and Nazaar Molokhia in the United Kingdom. (km)
January 7, 2020 Opinion or Order Filing 262 MOTION for Issuance of Letters Rogatory as to Peter Fenichel and Nazaar Molokhia in Great Britain . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit 1 - P. Fenichel proposed Hague Convention letter of request, #2 Exhibit 2 - N. Molokhia proposed Hague Convention letter of request)(Liu, Henry)
December 26, 2019 Opinion or Order Filing 261 ORDER granting in part and denying in part #229 Motion for Protective Order; granting in part and denying in part #229 Motion to Quash. SL-x's motion is granted in part: Defendants shall bear the reasonable expenses of SL-x's compliance with Defendants' third-party subpoenas, with two caveats: (i) should the motion to dismiss be denied in SL-x's suits against Defendants, SL-x IP S.A.R.L. v. Bank of America Corporation et al., No. 18 Civ. 10179 (RJS), and SL-x Trading Europe Limited et al., v. Bank of America Corporation et al., No. 19 Civ. 4885 (RJS) (collectively, the "SL-x Actions"), SL-x must repay Defendants for any discovery costs advanced in this litigation; and (ii) if it comes to light that SL-x has a monetary interest in the outcome of this litigation, the Court will reconsider this Order. The Court concludes on this record that (i) SL-x is a third party to this litigation and (ii) compliance with Defendants' subpoenas would require significant expense. Thus, the Court grants SL-x's motion to shift costs, with two caveats outlined in the next two paragraphs. In so doing, the Court understands that the parties have significantly narrowed the scope of discoverable materials and expects that SL-x's discovery costs will be reduced accordingly. The Court also expects that Defendants and SL-x will engage in further good-faith negotiations concerning the appropriate limits for discovery, and reasonable fees for complying with that discovery. The Court will resolve all discovery fee disputes as they arise. Similarly, if the parties cannot agree to reasonable attorneys' fees after they have been incurred, the Court will determine reasonable attorneys' fees on motion practice. The first caveat to the grant of SL-x's cost-shifting motion is, perhaps, the most significant. The Court understands that Judge Sullivan may well deny the pending motion to dismiss the SL-x Actions, in which case those matters will proceed to discovery. If this does happen, this Court will order SL-x to repay Defendants any discovery costs advanced up until that point in time. That is because if SL-x is permitted to proceed to discovery in the actions that it initiated, it will no doubt be required to produce to Defendants the same discoverable materials that have been requested from it here. In that event, the costs of complying with third-party discovery in this action will no longer be significant, because SL-x would have been required to incur those same costs in furtherance of its own litigation. Second, if, after the parties engage in further discovery, it comes to light that SL-x does have a monetary interest in the outcome of this suit that is unrelated to its own pending SL-x Actions, the Court will reconsider this Order. The Clerk of Court is directed to terminate the motion pending at docket entry 229. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/27/19) (yv)
December 26, 2019 Opinion or Order Filing 260 ORDER granting #254 Letter Motion to Compel. Accordingly, Plaintiffs' application is GRANTED. Merrill Lynch shall produce the data in question on or before January 31, 2020. If objections by putative class members, similar to those which are the subject of ongoing negotiations (see Dkt. #256 at 2-3), will inhibit production of the data by that date, the parties are instructed to inform the Court of such on or before January 17, 2020. (Signed by Judge Katherine Polk Failla on 12/26/2019) (rro)
December 17, 2019 Opinion or Order Filing 259 SEALED DOCUMENT placed in vault.(rz)
December 16, 2019 Opinion or Order Filing 258 ORDER granting #255 Letter Motion for Leave to File Document. Application Granted. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/13/2019) (rro) Transmission to Sealed Records Clerk for processing.
December 11, 2019 Opinion or Order Filing 257 LETTER REPLY to Response to Motion addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 11, 2019 re: #254 LETTER MOTION to Compel Merrill Lynch to Produce Profit and Loss Data addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Eisenkraft, Michael)
December 10, 2019 Opinion or Order Filing 256 LETTER RESPONSE to Motion addressed to Judge Katherine Polk Failla from Richard F. Schwed dated December 10, 2019 re: #254 LETTER MOTION to Compel Merrill Lynch to Produce Profit and Loss Data addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. . Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Schwed, Richard)
December 5, 2019 Opinion or Order Filing 255 LETTER MOTION for Leave to File Redacted and Under Seal Plaintiffs' Letter Motion to Compel Merrill Lynch's Production of Profit and Loss Data and Associated Exhibits addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Eisenkraft, Michael)
December 5, 2019 Opinion or Order Filing 254 LETTER MOTION to Compel Merrill Lynch to Produce Profit and Loss Data addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Declaration of Michael B. Eisenkraft, #2 Exhibit A (Sealed), #3 Exhibit B (Redacted), #4 Exhibit C (Redacted), #5 Exhibit D (Redacted), #6 Exhibit E, #7 Exhibit F, #8 Exhibit G (Sealed), #9 Exhibit H (Sealed), #10 Exhibit I)(Eisenkraft, Michael)
December 5, 2019 Opinion or Order Filing 253 MEMO ENDORSEMENT on re: #252 Letter, filed by J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Securities LLC, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc. ENDORSEMENT: The Court will consider Defendants' supplemental argument as it deems appropriate in resolving the cost-shifting motion. (Signed by Judge Katherine Polk Failla on 12/5/2019) (rro)
December 4, 2019 Opinion or Order Filing 252 LETTER addressed to Judge Katherine Polk Failla from Henry B. Liu dated December 4, 2019 re: Translation of French Language Document. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
November 27, 2019 Opinion or Order Filing 251 DECLARATION of Evan Mandel in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Attachments: #1 Exhibit A. Correspondence, #2 Exhibit B. Correspondence)(Glunt, Robert)
November 27, 2019 Opinion or Order Filing 250 DECLARATION of Gary Pritchard in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
November 27, 2019 Opinion or Order Filing 249 REPLY MEMORANDUM OF LAW in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x. . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
November 26, 2019 Opinion or Order Filing 248 SEALED DOCUMENT placed in vault.(rz)
November 22, 2019 Opinion or Order Filing 247 ORDER granting #245 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/22/2019) (rro) Transmission to Sealed Records Clerk for processing.
November 21, 2019 Opinion or Order Filing 246 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated November 21, 2019 Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A-2 Notice of Availability of Expert Identity and Data Security Protocol Information)(Brockett, Daniel)
November 20, 2019 Opinion or Order Filing 245 LETTER MOTION for Leave to File Certain Exhibits Under Seal and Redacted Brief addressed to Judge Katherine Polk Failla from Henry B. Liu dated November 20, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
November 20, 2019 Opinion or Order Filing 244 DECLARATION of Robert S. Day in Opposition re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A: P. Fenichel Email 8/31/17, #2 Exhibit B: R. Glunt Ltr. 9/12/19, #3 Exhibit C: SL-x Search Term Report, #4 Exhibit D: R. Glunt Ltr. 8/13/19, #5 Exhibit E: SL-x IP S.a r.L. company profile, #6 Exhibit F: P. Fenichel Email 10/4/11, #7 Exhibit G: Pls.' Resp. to Interrog. No. 1, #8 Exhibit H: Pls.' privilege log, #9 Exhibit I: P. Fenichel Email 9/16/17, #10 Exhibit J: R. Glunt Email 9/12/19, #11 Exhibit K: R. Glunt Email 10/1/19)(Liu, Henry)
November 20, 2019 Opinion or Order Filing 243 MEMORANDUM OF LAW in Opposition re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x. . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Liu, Henry)
November 6, 2019 Opinion or Order Filing 242 SEALED DOCUMENT placed in vault.(rz)
November 6, 2019 Opinion or Order Filing 241 ORDER granting #239 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/5/2019) (kv)
November 6, 2019 Opinion or Order Filing 240 ORDER denying #222 Letter Motion to Compel; granting #233 Letter Motion to Compel. Thus, Plaintiffs are ORDERED to comply with Defendants' Interrogatory One, in so far as it requests that Plaintiffs provide the names of individuals who are mentioned, but not named, in the Amended Complaint, and to whom specific statements are attributed in the Amended Complaint. Further, and as requested by Interrogatory One, Plaintiffs shall indicate which statement is attributable to which individual. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/5/2019) (kv)
November 4, 2019 Opinion or Order Filing 239 LETTER MOTION for Leave to File Redacted and Under Seal Exhibits to Plaintiffs' Letter Response in Opposition to Defendants' Letter Motion to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated November 4, 2019. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Eisenkraft, Michael)
November 4, 2019 Opinion or Order Filing 238 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated November 4, 2019 re: #233 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated October 30, 2019. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Chart (Redacted), #2 Exhibit B - Declaration of Michael B. Eisenkraft, #3 Exhibit B1 (Sealed), #4 Exhibit B2 (Sealed), #5 Exhibit B3 (Sealed), #6 Exhibit B4 (Sealed), #7 Exhibit B5 (Sealed), #8 Exhibit B6 (Sealed), #9 Exhibit B7 (Sealed), #10 Exhibit B8 (Sealed), #11 Exhibit B9 (Sealed), #12 Exhibit B10 (Sealed), #13 Exhibit B11 (Sealed), #14 Exhibit B12 (Sealed), #15 Exhibit B13 (Sealed), #16 Exhibit B14 (Sealed), #17 Exhibit B15 (Sealed), #18 Exhibit B16 (Sealed), #19 Exhibit B17 (Sealed), #20 Exhibit B18 (Sealed), #21 Exhibit B19 (Sealed), #22 Exhibit B20 (Sealed), #23 Exhibit B21 (Sealed), #24 Exhibit B22 (Sealed))(Eisenkraft, Michael)
November 4, 2019 Opinion or Order Filing 237 SEALED DOCUMENT placed in vault.(rz)
October 31, 2019 Opinion or Order Filing 236 ORDER granting #234 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/31/2019) (ks)
October 31, 2019 Opinion or Order Filing 235 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Evan Mandel dated October 31, 2019 re: #222 LETTER MOTION to Compel SL-x to produce documents during the pendency of its forthcoming motion to shift costs addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 28, 2019. . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Attachments: #1 Exhibit A., #2 Exhibit B., #3 Exhibit C.)(Glunt, Robert)
October 30, 2019 Opinion or Order Filing 234 LETTER MOTION for Leave to File Exhibits 3 and 4 to Defendants' Motion to Compel Plaintiffs' Response to Interrogatory No. 1 Under Seal addressed to Judge Katherine Polk Failla from Michael A. Paskin dated October 30, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
October 30, 2019 Opinion or Order Filing 233 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated October 30, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6)(Paskin, Michael)
October 30, 2019 Opinion or Order Filing 232 DECLARATION of Evan Mandel in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Attachments: #1 Exhibit A., #2 Exhibit B., #3 Exhibit C., #4 Exhibit D., #5 Exhibit E., #6 Exhibit F., #7 Exhibit G., #8 Exhibit H., #9 Exhibit I.)(Glunt, Robert)
October 30, 2019 Opinion or Order Filing 231 DECLARATION of Gary Pritchard in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
October 30, 2019 Opinion or Order Filing 230 MEMORANDUM OF LAW in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x. . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
October 30, 2019 Opinion or Order Filing 229 MOTION for Protective Order requiring prepayment of costs or in the alternative., MOTION to Quash Third Party Subpoenas served on SL-x. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC.(Glunt, Robert)
October 30, 2019 Opinion or Order Filing 228 SUPPLEMENTAL STIPULATED PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material...This confidentiality agreement does not bind the Court or any of its personnel. The Court can modify this stipulation at any time. The Court will retain jurisdiction over the terms and conditions of this agreement only for the pendency of this litigation. Any party wishing to make redacted or sealed submissions shall comply with Rule 6(A) of this Court's Individual Rules of Civil Procedure. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/30/2019) (jca)
October 30, 2019 Opinion or Order Filing 227 ORDER FOR ADMISSION PRO HAC VICE granting #224 MOTION for Rylee K. Sommers-Flanagan to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 224. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/30/2019) (jca)
October 29, 2019 Opinion or Order Filing 226 FILING ERROR - DUPLICATE DOCUMENT/WRONG EVENT SELECTED (SEE #225 Proposed Protective Order) - LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated October 29, 2019 re: Supplemental Protective Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1)(Brockett, Daniel) Modified on 10/31/2019 (db).
October 29, 2019 Opinion or Order Filing 225 PROPOSED PROTECTIVE ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order Proposed Supplemental Protective Order) (Mach, Daniel)
October 29, 2019 Opinion or Order Filing 224 MOTION for Rylee K. Sommers-Flanagan to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Text of Proposed Order, #3 Certificate of Good Standing (MT), #4 Certificate of Good Standing (DC))(Sommers-Flanagan, Rylee)
October 29, 2019 Opinion or Order Filing 223 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Rylee K. Sommers-Flanagan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17851439. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Schonfeld Strategic Advisors LLC. (Attachments: #1 Affidavit, #2 Text of Proposed Order, #3 Certificate of Good Standing (DC), #4 Certificate of Good Standing (MT))(Sommers-Flanagan, Rylee) Modified on 10/29/2019 (bcu).
October 29, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #224 MOTION for Rylee K. Sommers-Flanagan to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
October 28, 2019 Opinion or Order Filing 222 LETTER MOTION to Compel SL-x to produce documents during the pendency of its forthcoming motion to shift costs addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 28, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
October 24, 2019 Opinion or Order Filing 221 ORDER FOR ADMISSION PRO HAC VICE granting #220 Motion for DAVID O. FISHER to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry220. (Signed by Judge Katherine Polk Failla on 10/24/2019) (tn)
October 23, 2019 Opinion or Order Filing 220 MOTION for David O. Fisher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17821074. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Certificate of Good Standing (TX), #3 Text of Proposed Order)(Fisher, David)
October 23, 2019 Opinion or Order Filing 219 MEMO ENDORSED ORDER granting #216 Motion to Withdraw as Attorney. ENDORSEMENT: IT IS SO ORDERED. Attorney Austin Lewis Raynor terminated. (Signed by Judge Katherine Polk Failla on 10/23/2019) (rj)
October 23, 2019 Opinion or Order Filing 218 MEMO ENDORSEMENT on MOTION TO WITHDRAW AS COUNSEL. ENDORSEMENT: Application granted. So ordered. Granting #217 Motion to Withdraw as Attorney. Attorney Ryan Ashby Shores terminated. (Signed by Judge Katherine Polk Failla on 10/23/2019) (rjm)
October 23, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #220 MOTION for David O. Fisher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17821074. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
October 22, 2019 Opinion or Order Filing 217 MOTION for Ryan A. Shores to Withdraw as Attorney . Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Shores, Ryan)
October 22, 2019 Opinion or Order Filing 216 MOTION for Austin L. Raynor to Withdraw as Attorney . Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P..(Raynor, Austin)
October 10, 2019 Opinion or Order Filing 215 SEALED DOCUMENT placed in vault.(mhe)
October 9, 2019 Opinion or Order Filing 214 SCHEDULING ORDER. The Court is in receipt of an October 1, 2019 letter from Third Parties SL-x IP S.a.r.l, SL-x Technology UK Limited, SL-x Trading Europe Limited, SL-x Technology USA LLC, and SL-x Trading USA LLC (together, "SL-x)", requesting a pre-motion conference to discuss SL-x's anticipated motion for a protective order to shift the costs of complying with Defendants' subpoenas to Defendants. (Dkt. #209). The Court is also in receipt of Defendants' October 4, 2019 letter in opposition. (Dkt. #211). The Court concludes that more robust briefing concerning SL-x's anticipated motion for a protective order would be beneficial in this instance. Accordingly, SL-x's request to file a motion for a protective order to shift subpoena-compliance costs to Defendants is GRANTED. SL-x shall file their motion and supporting papers on or before October 30, 2019. Defendants shall file their opposition papers on or before November 20, 2019. And SL-x shall file their reply papers, if any, on or before November 27, 2019. The parties are instructed that the substantive portions of their briefs are to be no more than fifteen double-spaced pages. So ordered. Granting #209 LETTER MOTION for Local Rule 37.2 Conference regarding Third Party Subpoenas addressed to Judge Katherine Polk Failla from Evan Mandel dated October 1, 2019. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Signed by Judge Katherine Polk Failla on 10/9/2019) (rjm)
October 9, 2019 Opinion or Order Set/Reset Deadlines: Motions due by 10/30/2019. Responses due by 11/20/2019. Replies due by 11/27/2019. (rjm)
October 8, 2019 Opinion or Order Filing 213 ORDER granting #212 Letter Motion for Leave to File Document. Application GRANTED. Exhibit D to Defendants' letter opposing the request for cost shifting may be filed under seal. (Signed by Judge Katherine Polk Failla on 10/8/2019) (rro) Transmission to Sealed Records Clerk for processing.
October 4, 2019 Opinion or Order Filing 212 LETTER MOTION for Leave to File Exhibit D to Defendants' Response to SL-x's October 1, 2019 Letter Under Seal addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 4, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
October 4, 2019 Opinion or Order Filing 211 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 4, 2019 re: #209 LETTER MOTION for Local Rule 37.2 Conference regarding Third Party Subpoenas addressed to Judge Katherine Polk Failla from Evan Mandel dated October 1, 2019. Defendants' response to SL-x's October 1, 2019 Letter.. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A - Declaration of Robert S. Day in support of Defendants' opposition to SL-x's request for cost shifting under Rule 45, #2 Exhibit B - Transcript of Jan. 10, 2018 Hearing, #3 Exhibit C - SL-x's proposed Cost Payment Stipulation, #4 Exhibit D - Pls' Sept. 12, 2019 Privilege Log (excerpted) [SEALED], #5 Exhibit E - R. Day and R. Glunt email exchange re: SL-x's requests for costs under Rule 45)(Liu, Henry)
October 1, 2019 Opinion or Order NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Sarah L. Cave. Please note that this is a reassignment of the designation only. (laq)
October 1, 2019 Opinion or Order Filing 210 FIRST RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Schonfeld Strategic Advisors LLC.(Peckman, Mark)
October 1, 2019 Opinion or Order Filing 209 LETTER MOTION for Local Rule 37.2 Conference regarding Third Party Subpoenas addressed to Judge Katherine Polk Failla from Evan Mandel dated October 1, 2019. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Attachments: #1 Exhibit A. Third Party Subpoenas, #2 Exhibit B. Correspondence re Request to Lift Stay, #3 Exhibit C. Objections and Responses, #4 Exhibit D. Correspondence re Cost Shifting)(Glunt, Robert)
September 30, 2019 Opinion or Order Filing 208 NOTICE OF APPEARANCE by Michael Stuart Scheinkman on behalf of Two Sigma Investments, LP. (Scheinkman, Michael)
September 26, 2019 Opinion or Order Filing 207 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated September 26, 2019 re: Status of Prime Broker Defendants' Transactional Data Productions. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
September 26, 2019 Opinion or Order Filing 206 ORDER FOR ADMISSION PRO HAC VICE granting #205 Motion for Mark Peckman to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry197. (Signed by Judge Katherine Polk Failla on 9/26/2019) (rro)
September 25, 2019 Opinion or Order Filing 205 MOTION for Mark Peckman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17661754. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Schonfeld Strategic Advisors LLC. (Attachments: #1 Affidavit Affidavit, #2 Exhibit NJ Certificate of Good Standing, #3 Text of Proposed Order Text of Proposed Order)(Peckman, Mark)
September 25, 2019 Opinion or Order Filing 204 NOTICE OF APPEARANCE by George Eric Mastoris on behalf of Goldman Sachs & Co. LLC. (Mastoris, George)
September 25, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #205 MOTION for Mark Peckman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17661754. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 17, 2019 Opinion or Order Filing 203 NOTICE OF APPEARANCE by Matthew Alan Kelly on behalf of Two Sigma Investments, LP. (Kelly, Matthew)
September 17, 2019 Opinion or Order Filing 202 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Two Sigma Investments, LP.(Portnoy, Lawrence)
September 17, 2019 Opinion or Order Filing 201 NOTICE OF APPEARANCE by Lawrence Jay Portnoy on behalf of Two Sigma Investments, LP. (Portnoy, Lawrence)
September 17, 2019 Opinion or Order Filing 200 ORDER FOR ADMISSION PRO HAC VICE granting #197 Motion for Daniel McCuaig to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 197. (Signed by Judge Katherine Polk Failla on 9/17/2019) (rro)
September 17, 2019 Opinion or Order Filing 199 LETTER addressed to Judge Katherine Polk Failla from Lawrence Portnoy dated September 17, 2019 re: Response on behalf of 22 Firms to Plaintiffs' September 13, 2019 Letter. Document filed by Two Sigma Investments, LP. (Attachments: #1 Exhibit 1 - Email dated 09/10/2019)(Portnoy, Lawrence)
September 16, 2019 Opinion or Order Filing 198 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated September 16, 2019 re: Response on behalf of Prime Broker Defendants to Plaintiffs' September 13, 2019 Letter. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
September 16, 2019 Opinion or Order Filing 197 MOTION for Daniel McCuaig to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Certificate of Good Standing (DC), #3 Text of Proposed Order)(McCuaig, Daniel)
September 16, 2019 Opinion or Order Pro Hac Vice Fee Paid electronically via Pay.gov: for #197 MOTION for Daniel McCuaig to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee $ 200.00. Pay.gov receipt number ANYSDC-17607732, paid on 9/16/2019. (wb)
September 16, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #197 MOTION for Daniel McCuaig to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
September 13, 2019 Opinion or Order Filing 196 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated September 13, 2019 re: Data Productions. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
September 12, 2019 Opinion or Order Filing 195 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated September 12, 2019 re: Status of Prime Broker Defendants' Transactional Data Productions. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
September 12, 2019 Opinion or Order Filing 194 NOTICE OF CHANGE OF ADDRESS by Neil Swartzberg on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. New Address: Pearson Simon & Warshaw, LLP, 350 Sansome Street, Suite 680, San Francisco, CA, USA 94104, (415) 433-9000. (Swartzberg, Neil)
September 5, 2019 Opinion or Order Filing 193 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated September 5, 2019 re: Delayed Data Production. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
August 30, 2019 Opinion or Order Filing 192 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 30, 2019 re: Status of Prime Broker Defendants' Transactional Data Productions. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
August 6, 2019 Opinion or Order Filing 191 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank of America Corporation, Corporate Parent NB Holdings Corporation, Other Affiliate Berkshire Hathaway Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated; Corporate Parent Merrill Lynch, Pierce, Fenner & Smith Incorporated for Merrill Lynch Professional Clearing Corp.; Corporate Parent Merrill Lynch International, LLC, Corporate Parent NB Holdings Corporation for Merrill Lynch L.P. Holdings, Inc.. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Hakki, Adam)
July 31, 2019 Opinion or Order Filing 190 AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a United States Magistrate judge, including motions and trial. 28 U.S.C. 636(c). Class certification shall be governed by the following deadlines: Plaintiffs' motion for class certification and supporting expert reports are due: July 31, 2020. Defendants' deadline to depose Plaintiffs' class certification experts: September 11, 2020. Defendants' opposition to class certification and supporting expert reports are due: October 30, 2020. Plaintiffs' deadline to depose Defendants' class certification experts: December 23, 2020. Plaintiffs' reply in support of class certification: January 29, 2021. Depositions of fact witnesses shall be completed by 5/1/2020. Fact Discovery due by 5/1/2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. (Signed by Judge Katherine Polk Failla on 7/30/2019) (mro)
July 29, 2019 Opinion or Order Filing 189 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated July 29, 2019 re: Certification Extension. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Brockett, Daniel)
July 26, 2019 Opinion or Order Filing 188 ORDER granting #187 Motion to Withdraw as Attorney. The motion for an order directing the withdrawal of Kuntal Cholera as counsel for J.P. Morgan Chase Bank, N.A., J.P. Morgan Securities LLC, J.P. Morgan Prime, Inc., J.P. Morgan Strategic Securities Lending Corp., and for Kuntal Cholera to be removed from this action's CM/ECF service list for this matter, is GRANTED. (Attorney Kuntal Cholera terminated.) (Signed by Judge Katherine Polk Failla on 7/26/2019) (rro)
July 25, 2019 Opinion or Order Filing 187 MOTION for Kuntal V. Cholera to Withdraw as Attorney . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Text of Proposed Order)(Cholera, Kuntal)
July 1, 2019 Opinion or Order Filing 186 LETTER addressed to Judge Katherine Polk Failla from Damaris Hernandez dated July 1, 2019 re: the Court's June 20, 2018 Order. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Hernandez, Damaris)
June 20, 2019 Opinion or Order Filing 185 MEMO ENDORSEMENT on re: #184 Letter, filed by Morgan Stanley & Co. LLC, Strategic Investments I, Inc., Prime Dealer Services Corp. ENDORSEMENT: The Court is in receipt of Plaintiffs' letter of June 14, 2019, (Dkt. #182), and Defendants' letters of June 17, 2019, (Dkt. #183), and June 19, 2019, (Dkt. #184). The Court takes notice of the parties' agreement regarding a disclosure schedule for transactional data discovery. Accordingly, it is hereby ORDERED that: the parties will resolve disputes related to transactional data and inventory by June 24, 2019; Defendants shall provide any available codebook, manual, or dictionary for each database that has been disclosed by June 24, 2019; Defendants shall advise Plaintiffs and the Court of the date on which they intend to complete their production of the agreed-to data by July 1, 2019. SO ORDERED. (Signed by Judge Katherine Polk Failla on 6/20/2019) (jca)
June 19, 2019 Opinion or Order Filing 184 LETTER addressed to Judge Katherine Polk Failla from Damaris Hernandez dated June 19, 2019 re: Defendants' Letter Response to Plaintiffs' June 14, 2019 Letter. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Hernandez, Damaris)
June 17, 2019 Opinion or Order Filing 183 LETTER addressed to Judge Katherine Polk Failla from Lauren Rosenberg dated June 17, 2019 re: Plaintiffs' letter dated June 14, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Rosenberg, Lauren)
June 14, 2019 Opinion or Order Filing 182 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated June 14, 2019 re: Status Update. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
June 4, 2019 Opinion or Order Filing 181 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 5/17/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 4, 2019 Opinion or Order Filing 180 TRANSCRIPT of Proceedings re: conference held on 5/17/2019 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Lisa Smith, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/25/2019. Redacted Transcript Deadline set for 7/5/2019. Release of Transcript Restriction set for 9/3/2019.(McGuirk, Kelly)
May 21, 2019 Opinion or Order Filing 179 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/30/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 21, 2019 Opinion or Order Filing 178 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/30/2019 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Kelly Surina, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/11/2019. Redacted Transcript Deadline set for 6/21/2019. Release of Transcript Restriction set for 8/19/2019.(McGuirk, Kelly)
May 17, 2019 Opinion or Order Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 5/17/2019. Attorneys Joshua Rand and Dan Mach representing Plaintiffs present. Attorney Lauren Rosenberg present. (Court Reporter Lisa Smith) (tn)
May 16, 2019 Opinion or Order Filing 177 LETTER addressed to Judge Katherine Polk Failla from Damaris Hernandez dated May 16, 2019 re: Plaintiffs' letter dated May 14, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Hernandez, Damaris)
May 15, 2019 Opinion or Order Filing 176 MEMO ENDORSEMENT on re: #175 Letter, filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: The Court is in receipt of the parties' status update regarding the parties' data negotiations. (Dkt. #175). The parties are hereby ORDERED to appear for a telephone conference regarding the status update on May 17, 2019, at 3:30 p.m. The dial-in information is as follows: At 3:30 p.m. the parties shall call (888) 363-4749 and enter access code 6624801. Please note, the conference will not be available prior to 3:30 p.m. SO ORDERED. (Telephone Conference set for 5/17/2019 at 03:30 PM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 5/15/2019) (rro)
May 14, 2019 Opinion or Order Filing 175 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisencraft dated May 14, 2019 re: Status. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
April 30, 2019 Opinion or Order Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 4/30/2019. (Court Reporter Kelly Surina) (tn)
April 26, 2019 Opinion or Order Filing 174 MEMO ENDORSEMENT on re: #173 Letter, filed by Strategic Investments I, Inc., Prime Dealer Services Corp. ENDORSEMENT: The Court is in receipt of Plaintiffs' letter dated April 22, 2019 (Dkt. #172), and Defendants' response on today's date (Dkt. #173). The parties are hereby ORDERED to appear for a telephone conference regarding the discovery dispute, at noon on Tuesday, April 30, 2019. The dial-in information is as follows: At noon, the parties shall call (888) 363-4749 and enter access code 6624801. Please note, the conference will not be available prior to noon. (Telephone Conference set for 4/30/2019 at 12:00 PM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 4/26/2019) (rro)
April 25, 2019 Opinion or Order Filing 173 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated April 25, 2019 re: Response on behalf of all Defendants to Plaintiffs' April 22, 2019 Letter Motion. Document filed by Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
April 22, 2019 Opinion or Order Filing 172 LETTER addressed to Judge Katherine Polk Failla from Michael Eisenkraft and Daniel Brockett dated April 22, 2019 re: Discovery Dispute with Defendants. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Eisenkraft, Michael)
April 3, 2019 Opinion or Order Filing 171 ORDER FOR ADMISSION PRO HAC VICE: granting #170 Motion for Neil Swartzberg to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 170. And as set forth herein. SO ORDERED. (Signed by Judge Katherine Polk Failla on 4/03/2019) (ama)
April 3, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #170 MOTION for Neil Swartzberg to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16610431. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
April 2, 2019 Opinion or Order Filing 170 MOTION for Neil Swartzberg to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16610431. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit of Neil Swartzberg, #2 Text of Proposed Order)(Swartzberg, Neil)
April 2, 2019 Opinion or Order Filing 169 MEMO ENDORSEMENT on re: #168 Letter, filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 4/2/2019) (ne)
April 1, 2019 Opinion or Order Filing 168 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated April 1, 2019 re: Discovery Dispute with JPMorgan. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
March 26, 2019 Opinion or Order Filing 167 ORDER: granting #166 Letter Motion for Extension of Time to File Response/Reply. Application Granted. SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/26/2019) (ama)
March 26, 2019 Opinion or Order Filing 166 LETTER MOTION for Extension of Time to File Response/Reply as to #165 Letter, addressed to Judge Katherine Polk Failla from Robert D. Wick dated March 26, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Wick, Robert)
March 25, 2019 Opinion or Order Filing 165 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated March 25, 2019 re: Discovery Dispute with JPMorgan. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Brockett, Daniel)
March 15, 2019 Opinion or Order Filing 164 ORDER granting #163 Motion to Withdraw as Attorney. Plaintiffs' motion for an order directing the withdrawal of Thomas Popejoy as counsel for Plaintiffs is GRANTED. The Clerk of Court is directed to terminate the motion at docket entry 163. SO ORDERED. (Attorney Thomas Popejoy terminated.) (Signed by Judge Katherine Polk Failla on 3/15/2019) (rro)
March 14, 2019 Opinion or Order Filing 163 MOTION for Thomas Popejoy to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order Proposed Order)(Popejoy, Thomas)
March 5, 2019 Opinion or Order Filing 162 ORDER FOR ADMISSION PRO HAC VICE granting #159 Motion for Michael H. Pearson to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 159. (Signed by Judge Katherine Polk Failla on 3/4/2019) (rro)
March 4, 2019 Opinion or Order Filing 161 NOTICE OF APPEARANCE by Eva W. Cole on behalf of Goldman Sachs & Co. LLC. (Cole, Eva)
March 4, 2019 Opinion or Order Filing 160 ORDER granting #158 Motion for Clifford H. Pearson to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of the Court, including the Rules governing discipline of attorneys. The Clerk of Court is directed to terminate the motion at docket entry 158. SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/4/2019) (kv)
March 1, 2019 Opinion or Order Filing 159 MOTION for Michael Harrison Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16428128. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit of Michael H. Pearson, #2 Text of Proposed Order)(Pearson, Michael)
March 1, 2019 Opinion or Order Filing 158 MOTION for Clifford Harris Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16426739. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit of Clifford H. Pearson, #2 Text of Proposed Order)(Pearson, Clifford)
March 1, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #158 MOTION for Clifford Harris Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16426739. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
March 1, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #159 MOTION for Michael Harrison Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16428128. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
February 22, 2019 Opinion or Order Filing 157 ORDER FOR ADMISSION PRO HAC VICE granting #156 Motion for Nicola A. Bunick to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry156.SO ORDERED. (Signed by Judge Katherine Polk Failla on 2/21/2019) (rro)
February 20, 2019 Opinion or Order Filing 156 MOTION for Nicola A. Bunick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16376518. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Affidavit Of Nicola A. Bunick In Support, #2 Certificates Of Good Standing, #3 Proposed Order)(Bunick, Nicola)
February 20, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #156 MOTION for Nicola A. Bunick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16376518. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
February 4, 2019 Opinion or Order Filing 155 NOTICE OF APPEARANCE by David Leray on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Leray, David)
January 25, 2019 Opinion or Order Filing 154 NOTICE OF APPEARANCE by Daniel Paul Mach on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Mach, Daniel)
January 22, 2019 Opinion or Order Filing 153 NOTICE OF APPEARANCE by Deborah K. Brown on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brown, Deborah)
January 3, 2019 Opinion or Order Filing 152 ORDER FOR ADMISSION PRO HAC VICE granting #151 Motion for Austin Lewis Raynor to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 1/3/2019) (rro)
January 2, 2019 Opinion or Order Filing 151 MOTION for Austin Lewis Raynor to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16127783. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P.. (Attachments: #1 Affidavit, #2 Exhibit Virginia Certificate of Good Standing, #3 Exhibit DC Certificate of Good Standing, #4 Text of Proposed Order)(Raynor, Austin)
January 2, 2019 Opinion or Order Filing 150 STIPULATED PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Katherine Polk Failla on 1/2/2019) (mml)
January 2, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #151 MOTION for Austin Lewis Raynor to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16127783. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
December 28, 2018 Opinion or Order Filing 149 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 28, 2018 re: Jointly Proposed Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1-Proposed Order)(Brockett, Daniel)
December 21, 2018 Opinion or Order Filing 148 NOTICE OF APPEARANCE by Michael Patrick Mitchell on behalf of Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Mitchell, Michael)
December 18, 2018 Opinion or Order Filing 147 STIPULATION AND ORDER REGARDING THE PRODUCTION OF DISCOVERY MATERIAL: Discovery requests and subpoenas served in the Action may call for the production of electronically stored information. Accordingly, the Parties hereby stipulate to and petition the Court to enter the following Stipulated Order Regarding the Production of Discovery Material (Order). This protocol governs discovery of ESI in the Action and incorporates the Federal Rules of Civil Procedure and the Local Rules for the Southern District of New York regarding the management of ESI, and, as set forth herein, supplements those sources of authority. The protocol is intended to be and should be construed in a manner consistent with those Federal and Local Rules. The failure of this protocol to address any particular issue is without prejudice to any position that a Party may take on that issue and further set forth in this Order. SO ORDERED. This Order does not bind the Court or its staff. The Court will retain jurisdiction to enforce this Order only for the pendency of this litigation. (Signed by Judge Katherine Polk Failla on 12/18/2018) (rro)
December 18, 2018 Opinion or Order Filing 146 ORDER granting #144 Letter Motion for Extension of Time. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/18/2018) (rro)
December 18, 2018 Opinion or Order Filing 145 NOTICE OF APPEARANCE by Jonathan David Thier on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC. (Thier, Jonathan)
December 17, 2018 Opinion or Order Filing 144 LETTER MOTION for Extension of Time Regarding Dkt. 143 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated December 17, 2018. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
December 17, 2018 Opinion or Order Filing 143 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 17, 2018 re: Proposed Protective Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1 Plaintiffs' proposed protective order, #2 Exhibit 2 Redline proposed protective order)(Brockett, Daniel)
December 17, 2018 Opinion or Order Filing 142 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 17, 2018 re: Stipulation and Proposed Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1 Stipulation and [Proposed] Order)(Brockett, Daniel)
December 5, 2018 Opinion or Order Filing 141 NOTICE OF CHANGE OF ADDRESS by David I. Gelfand on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. New Address: Cleary Gottlieb Steen & Hamilton LLP, 2112 Pennsylvania Avenue NW, Suite 1000, Washington, DC, United States 20037, (202) 974-1500. (Gelfand, David)
December 5, 2018 Opinion or Order Filing 140 NOTICE OF CHANGE OF ADDRESS by Alexis L. Collins on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. New Address: Cleary Gottlieb Steen & Hamilton LLP, 2112 Pennsylvania Avenue, NW, Suite 1000, Washington, DC, 20037, (202) 974-1500. (Collins, Alexis)
December 3, 2018 Opinion or Order Filing 139 NOTICE OF APPEARANCE by Alice Buttrick on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Buttrick, Alice)
November 26, 2018 Opinion or Order Filing 138 NOTICE OF APPEARANCE by Seth C. Farber on behalf of Goldman Sachs & Co. LLC. (Farber, Seth)
November 15, 2018 Opinion or Order Filing 137 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This Civil Case Management Plan (the "Plan") is submitted by the parties in accordance with Fed. R. Civ. P. 26(f)(3). All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). All Fact Discovery due by 5/1/2020. Motions due by 3/20/2020. Responses due by 6/18/2020 Replies due by 9/16/2020. Deposition due by 7/30/2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. The next Pretrial Conference set for 5/19/2020 at 03:00 PM in Courtroom 618 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York 10007, before Judge Katherine Polk Failla. Given the extended schedule proposed by the parties, the Court will not further extend any of these deadlines. And as set forth herein. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/15/2018) (ama)
November 9, 2018 Opinion or Order Filing 136 JOINT LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated November 9, 2018 re: Proposed Civil Case Management Plan and Scheduling Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1 - Proposed Civil Case Management Plan and Scheduling Order)(Brockett, Daniel)
November 2, 2018 Opinion or Order Filing 135 NOTICE OF CHANGE OF ADDRESS by Sarah Katherine Weber on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. New Address: Katten Muchin Rosenman LLP, 525 W. Monroe Street, Chicago, Illinois, USA 60661, 312-902-5251. (Weber, Sarah)
October 26, 2018 Opinion or Order Filing 134 ANSWER to #73 Amended Complaint,,,,, with JURY DEMAND. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Slifkin, Daniel)
October 26, 2018 Opinion or Order Filing 133 ANSWER to #73 Amended Complaint,,,,,. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Hakki, Adam)
October 26, 2018 Opinion or Order Filing 132 ANSWER to #73 Amended Complaint,,,,,. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC.(Ramesh, Sheila)
October 26, 2018 Opinion or Order Filing 131 ANSWER to #73 Amended Complaint,,,,, with JURY DEMAND. Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P..(Pepperman, Richard)
October 26, 2018 Opinion or Order Filing 130 ANSWER to #73 Amended Complaint,,,,, with JURY DEMAND. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Gelfand, David)
October 26, 2018 Opinion or Order Filing 129 ANSWER to #73 Amended Complaint,,,,,. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC.(Brudner, Alan)
October 26, 2018 Opinion or Order Filing 128 ANSWER to #73 Amended Complaint,,,,,. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
October 16, 2018 Opinion or Order Filing 127 ORDER FOR ADMISSION PRO HAC VICE granting #126 Motion for Emmy L. Levens to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 10/16/2018) (rro)
October 16, 2018 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #126 MOTION for Emmy L. Levens to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15749720. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
October 15, 2018 Opinion or Order Filing 126 MOTION for Emmy L. Levens to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15749720. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Certificate of Good Standing - DC, #3 Certificate of Good Standing - Illinois, #4 Text of Proposed Order)(Levens, Emmy)
October 15, 2018 Opinion or Order Filing 125 NOTICE OF APPEARANCE by Alan J. Brudner on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Brudner, Alan)
October 15, 2018 Opinion or Order Filing 124 NOTICE OF APPEARANCE by Sarah Katherine Weber on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Weber, Sarah)
September 27, 2018 Opinion or Order Filing 123 OPINION AND ORDER re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. filed by Morgan Stanley & Co. LLC, Strategic Investments I, Inc., Prime Dealer Services Corp., #106 MOTION to Dismiss the Amended Complaint. filed by EquiLend LLC, EquiLend Holdings LLC, EquiLend Europe Limited. For the reasons set forth above, Defendants' motions to dismiss areDENIED. Defendants are hereby directed to file an Answer to the Amended Complaint by October 26, 2018. The Parties are directed to file a proposed case management plan by November 9, 2018.The Clerk of Court is directed to terminate the motions at Docket Entries 106 and 109. SO ORDERED. (Credit Suisse AG answer due 10/26/2018; Credit Suisse First Boston Next Fund, Inc. answer due 10/26/2018; Credit Suisse Prime Securities Services (USA) LLC answer due 10/26/2018; Credit Suisse Securities (USA) LLC answer due 10/26/2018; EquiLend Europe Limited answer due 10/26/2018; EquiLend Holdings LLC answer due 10/26/2018; EquiLend LLC answer due 10/26/2018; Goldman Sachs & Co. LLC answer due 10/26/2018; Goldman Sachs Execution & Clearing, L.P. answer due 10/26/2018; J.P. Morgan Chase & Co. answer due 10/26/2018; J.P. Morgan Chase Bank, N.A. answer due 10/26/2018; J.P. Morgan Prime, Inc. answer due 10/26/2018; J.P. Morgan Securities LLC answer due 10/26/2018; J.P. Morgan Strategic Securities Lending Corp. answer due 10/26/2018; Merrill Lynch L.P. Holdings, Inc. answer due 10/26/2018; Merrill Lynch Professional Clearing Corp. answer due 10/26/2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 10/26/2018; Morgan Stanley & Co. LLC answer due 10/26/2018; Prime Dealer Services Corp. answer due 10/26/2018; Strategic Investments I, Inc. answer due 10/26/2018; UBS AG answer due 10/26/2018; UBS Americas Inc. answer due 10/26/2018; UBS Financial Services Inc. answer due 10/26/2018; UBS Securities LLC answer due 10/26/2018.) (Signed by Judge Katherine Polk Failla on 9/27/2018) (rro)
July 26, 2018 Opinion or Order Filing 122 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL #121 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the motion for David A. Young to withdraw as counsel for Plaintiffs Iowa Public Employees Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, and Los Angeles County Employees Retirement Association is granted, and Mr. Young's appearance is withdrawn as of the date of this Order. The Clerk is directed to remove Mr. Young from the CM/ECF service list for this action. (As further set forth in this Order.) Attorney David A. Young terminated (Signed by Judge Katherine Polk Failla on 7/26/2018) (cf)
July 25, 2018 Opinion or Order Filing 121 MOTION for David A. Young to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Text of Proposed Order)(Young, David)
June 1, 2018 Opinion or Order Filing 120 LETTER addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft dated June 1, 2018 re: Plaintiffs' response to Defendants' May 29, 2018 letter (ECF No. 119). Document filed by Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association.(Eisenkraft, Michael)
June 1, 2018 Opinion or Order Filing 119 NOTICE OF APPEARANCE by Peter George Safirstein on behalf of Torus Capital, LLC. (Safirstein, Peter)
May 29, 2018 Opinion or Order Filing 118 LETTER addressed to Judge Katherine Polk Failla from all defendants dated May 29, 2018 re: bringing to the Court's attention Judge Engelmayer's recent Opinion & Order in In Re Interest Rate Swaps Antitrust Litigation dated May 23, 2018. Document filed by Morgan Stanley. (Attachments: #1 Judge Engelmayer's recent Opinion & Order)(Slifkin, Daniel)
April 20, 2018 Opinion or Order Filing 117 ORDER FOR ADMISSION PRO HAC VICE: granting #116 Motion for Jeremy D. Andersen to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Katherine Polk Failla on 4/20/2018) (js)
April 20, 2018 Opinion or Order Filing 116 MOTION for Jeremy D. Andersen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14969881. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit, #2 Proposed Order, #3 Certificate of Good Standing)(Andersen, Jeremy)
April 20, 2018 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #116 MOTION for Jeremy D. Andersen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14969881. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
March 30, 2018 Opinion or Order Filing 115 REPLY MEMORANDUM OF LAW in Support re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Slifkin, Daniel)
March 30, 2018 Opinion or Order Filing 114 REPLY MEMORANDUM OF LAW in Support re: #106 MOTION to Dismiss the Amended Complaint. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
March 2, 2018 Opinion or Order Filing 113 MEMORANDUM OF LAW in Opposition re: #106 MOTION to Dismiss the Amended Complaint. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
March 2, 2018 Opinion or Order Filing 112 MEMORANDUM OF LAW in Opposition re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
January 26, 2018 Opinion or Order Filing 111 DECLARATION of Lauren M. Rosenberg in Support re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants.. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Slifkin, Daniel)
January 26, 2018 Opinion or Order Filing 110 JOINT MEMORANDUM OF LAW in Support re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Slifkin, Daniel)
January 26, 2018 Opinion or Order Filing 109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Slifkin, Daniel)
January 26, 2018 Opinion or Order Filing 108 DECLARATION of Laurence J. Marshall in Support re: #106 MOTION to Dismiss the Amended Complaint.. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
January 26, 2018 Opinion or Order Filing 107 MEMORANDUM OF LAW in Support re: #106 MOTION to Dismiss the Amended Complaint. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
January 26, 2018 Opinion or Order Filing 106 MOTION to Dismiss the Amended Complaint. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Gelfand, David)
January 26, 2018 Opinion or Order Filing 105 STIPULATION AND ORDER REGARDING VOLUNTARY DISMISSAL OF DEFENDANTS BANK OF AMERICA CORPORATION; CREDIT SUISSE GROUP AG; THE GOLDMAN SACHS GROUP, INC.; J.P. MORGAN CHASE & CO.; MORGAN STANLEY; MORGAN STANLEY CAPITAL MANAGEMENT, LLC; AND UBS GROUP AG: IT IS HEREBY STIPULATED AND AGREED: Pursuant to Federal Rule of Civil Procedure 41(a)(1), Plaintiffs hereby voluntarily dismiss all claims against Defendants Bank of America Corporation; Credit Suisse Group AG; The Goldman Sachs Group, Inc.; J.P. Morgan Chase & Co.; Morgan Stanley; Morgan Stanley Capital Management, LLC; and UBS Group AG without prejudice to their inclusion at a later time should evidence arise in discovery or otherwise that reveals information contrary to the above-referenced representations of counsel, and the Parties agree that any statute of limitations, statute of repose, or other time-related defense or claim shall be tolled as to these dismissed Defendants only as if the claims were filed on August 16, 2017, the filing date of the Original Complaint. The Clerk of Court is directed to terminate only those parties listed in Paragraph 1 above. IT IS SO ORDERED. (Credit Suisse Group AG, J.P. Morgan Chase & Co., The Goldman Sachs Group, Inc., Morgan Stanley, Morgan Stanley Capital Management, LLC, UBS AG, UBS Group AG, and Bank of America Corporation terminated.) (Signed by Judge Katherine Polk Failla on 1/25/2018) (anc) Modified on 1/26/2018 (anc).
January 25, 2018 Opinion or Order Filing 104 NOTICE OF APPEARANCE by Lauren Michelle Rosenberg on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Rosenberg, Lauren)
January 17, 2018 Opinion or Order Filing 103 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 1/10/18 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
January 17, 2018 Opinion or Order Filing 102 TRANSCRIPT of Proceedings re: CONFERENCE held on 1/10/2018 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Kristen Carannante, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/7/2018. Redacted Transcript Deadline set for 2/20/2018. Release of Transcript Restriction set for 4/17/2018.(McGuirk, Kelly)
January 16, 2018 Opinion or Order Filing 101 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank Of America Corporation, Corporate Parent Merrill Lynch, Pierce, Fenner & Smith Incorporated, Corporate Parent NB Holdings Corporation for Merrill Lynch Professional Clearing Corp.. Document filed by Merrill Lynch Professional Clearing Corp..(Hakki, Adam)
January 12, 2018 Opinion or Order Filing 100 MEMO ENDORSEMENT on re: #99 Letter, filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: Application GRANTED. (Signed by Judge Katherine Polk Failla on 1/12/2018) (kgo)
January 12, 2018 Opinion or Order Filing 99 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett & Michael B. Eisenkraft dated January 12, 2018 re: Clarification of January 10, 2018 Scheduling Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
January 10, 2018 Opinion or Order Filing 98 SCHEDULING ORDER: Following the initial pretrial and pre-motion conference on January 10, 2018, the Court enters the following order: 1. Defendants' opening briefs in support of their motions to dismiss are due on January 26, 2018. The Bank of America/Merrill Lynch, Credit Suisse, Goldman Sachs, J.P. Morgan, Morgan Stanley, and UBS Defendants will file a joint brief, not to exceed 50 pages. The EquiLend Defendants may file a separate supplemental brief not to exceed 15 pages. 2. Plaintiffs' opposition brief is due on March 2, 2018, and will not exceed 50 pages. 3. Defendants' reply brief in support of their motions is due on March 30, 2018. The Bank of America/Merrill Lynch, Credit Suisse, Goldman Sachs, J.P. Morgan, Morgan Stanley, and UBS Defendants will file a joint brief, not to exceed 25 pages. The EquiLend Defendants may file a separate supplemental brief not to exceed 7 pages. Motions due by 1/26/2018. Responses due by 3/2/2018 Replies due by 3/30/2018. (Signed by Judge Katherine Polk Failla on 1/10/2018) (kgo)
January 9, 2018 Opinion or Order Filing 97 NOTICE OF APPEARANCE by Daniel Lawrence Brockett on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
January 9, 2018 Opinion or Order Filing 96 NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Washer, Herbert)
January 9, 2018 Opinion or Order Filing 95 NOTICE OF APPEARANCE by Jason Michael Hall on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Hall, Jason)
January 9, 2018 Opinion or Order Filing 94 NOTICE OF APPEARANCE by Sheila Chithran Ramesh on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Ramesh, Sheila)
January 9, 2018 Opinion or Order Filing 93 NOTICE OF APPEARANCE by Margaret Ann Barone on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Barone, Margaret)
January 9, 2018 Opinion or Order Filing 92 NOTICE OF APPEARANCE by Maxwell Paden Deabler-Meadows on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Deabler-Meadows, Maxwell)
January 9, 2018 Opinion or Order Filing 91 NOTICE OF APPEARANCE by Elai E. Katz on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Katz, Elai)
January 9, 2018 Opinion or Order Filing 90 NOTICE OF APPEARANCE by Thomas Lepri on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Lepri, Thomas)
January 9, 2018 Opinion or Order Filing 89 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG for Credit Suisse Prime Securities Services (USA) LLC. Document filed by Credit Suisse Prime Securities Services (USA) LLC.(Januszewski, David)
January 9, 2018 Opinion or Order Filing 88 NOTICE OF APPEARANCE by David George Januszewski on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Januszewski, David)
January 9, 2018 Opinion or Order Filing 87 NOTICE OF APPEARANCE by Thomas Popejoy on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Popejoy, Thomas)
January 9, 2018 Opinion or Order Filing 86 NOTICE OF APPEARANCE by Steig Olson on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Olson, Steig)
January 9, 2018 Opinion or Order Filing 85 NOTICE OF APPEARANCE by Sascha Nicholas Rand on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Rand, Sascha)
January 5, 2018 Opinion or Order Filing 84 NOTICE OF APPEARANCE by Maaren Alia Shah on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Shah, Maaren)
January 5, 2018 Opinion or Order Filing 83 STIPULATION AND ORDER REGARDING SERVICE, SCHEDULE GOVERNING, AND VOLUNTARY DISMISSAL OF ADDITIONAL DEFENDANTS: Pursuant to Federal Rule of Civil Procedure 41(a)(1), Plaintiffs hereby voluntarily dismiss all claims against Defendants J.P. Morgan Institutional Investments Inc.; Morgan Stanley Distribution, Inc.; UBS Investment Bank; UBS Asset Management (US) Inc.; and UBS Fund Services (USA) LLC without prejudice to their inclusion at a later time should evidence arise in discovery or otherwise that reveals information contrary to the above-referenced representations of counsel, and the Parties agree that any statute of limitations, statute of repose, or other time-related defense or claim shall be tolled as to the dismissed Defendants only as if the claims were filed on November 17, 2017, the original filing date of the Amended Complaint; The undersigned counsel agree to accept service of process in the above-captioned lawsuit on behalf of their respective clients, expressly reserving the right to contest whether any party in the Amended Complaint is properly named, and without waiver of any defenses, including those related to personal jurisdiction and venue. All Defendants shall be governed by the existing schedule established by the Court's September 20, 2017 Order. The Clerk of Court is directed to terminate only those parties named in Paragraph 1, above. UBS Asset Management (US) Inc., UBS Fund Services (USA) LLC, UBS Investment Bank, J.P. Morgan Institutional Investments Inc. and Morgan Stanley Distribution, Inc. terminated. (Signed by Judge Katherine Polk Failla on 1/5/2018) (mro)
January 4, 2018 Opinion or Order Filing 82 JOINT LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett, Michael B. Eisenkraft, Adam S. Hakki, David G. Januszewski, David L. Gelfand, Robert Y. Sperling, Robert D. Wick, Daniel Slifkin and David C. Bohan dated January 4, 2018 re: Brief Statement Pursuant to the Court's September 20, 2017 Order (Dkt. 42). Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
December 20, 2017 Opinion or Order Filing 81 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 20, 2017 re: Plaintiffs' Response to Defendants' December 13, 2017 Pre-Motion Letter (ECF No. 79). Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
December 18, 2017 Opinion or Order Filing 80 SCHEDULING ORDER: The initial pretrial and pre-motion conference scheduled for January 10, 2018, at 10:00 a.m. will take place in Courtroom 318 of the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York. Initial Conference set for 1/10/2018 at 10:00 AM in Courtroom 318, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla. (Signed by Judge Katherine Polk Failla on 12/18/2017) (js)
December 13, 2017 Opinion or Order Filing 79 LETTER addressed to Judge Katherine Polk Failla from Daniel Slifkin, Michael Paskin and Damaris Hernandez on behalf of all Defendants dated December 13, 2017 re: the principal bases for Defendants' anticipated motion to dismiss. Document filed by Morgan Stanley.(Slifkin, Daniel)
December 6, 2017 Opinion or Order Filing 78 NOTICE OF APPEARANCE by Peter Ginewicz Wilson on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (Wilson, Peter)
November 21, 2017 Opinion or Order Filing 77 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Torus Capital, LLC.(Brockett, Daniel)
November 21, 2017 Opinion or Order Filing 76 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Los Angeles County Employees Retirement Association.(Brockett, Daniel)
November 20, 2017 Opinion or Order Filing 75 ELECTRONIC SUMMONS ISSUED as to Credit Suisse Prime Securities Services (USA) LLC, J.P. Morgan Institutional Investments Inc., Merrill Lynch Professional Clearing Corp., Morgan Stanley Distribution, Inc., UBS Asset Management (US) Inc., UBS Fund Services (USA) LLC, UBS Investment Bank. (pc)
November 17, 2017 Opinion or Order Filing 74 REQUEST FOR ISSUANCE OF SUMMONS as to Merrill Lynch Professional Clearing Corp.; Credit Suisse Prime Securities Services (USA) LLC; J.P. Morgan Institutional Investments Inc.; Morgan Stanley Distribution, Inc.; UBS Investment Bank; UBS Asset Management (US) Inc.; UBS Fund Services (USA) LLC, re: #73 Amended Complaint,,,,,. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
November 17, 2017 Opinion or Order Filing 73 AMENDED COMPLAINT amending #1 Complaint,,,, against Bank of America Corporation, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., The Goldman Sachs Group, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC, Merrill Lynch Professional Clearing Corp., Credit Suisse Prime Securities Services (USA) LLC, J.P. Morgan Institutional Investments Inc., Morgan Stanley Distribution, Inc., UBS Investment Bank, UBS Asset Management (US) Inc., UBS Fund Services (USA) LLC with JURY DEMAND.Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC. Related document: #1 Complaint,,,,.(Brockett, Daniel)
November 1, 2017 Opinion or Order Filing 72 NOTICE OF APPEARANCE by Robert White Cobbs on behalf of Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Cobbs, Robert)
October 11, 2017 Opinion or Order Filing 71 NOTICE OF APPEARANCE by Alexis L. Collins on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Collins, Alexis)
October 11, 2017 Opinion or Order Filing 70 NOTICE OF APPEARANCE by David I. Gelfand on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
October 5, 2017 Opinion or Order Filing 69 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS Americas Inc. for UBS Financial Services Inc.. Document filed by UBS Financial Services Inc..(Bohan, David)
October 5, 2017 Opinion or Order Filing 68 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS Americas Inc. for UBS Securities LLC. Document filed by UBS Securities LLC.(Bohan, David)
October 5, 2017 Opinion or Order Filing 67 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC for UBS Americas Inc.. Document filed by UBS Americas Inc..(Bohan, David)
October 5, 2017 Opinion or Order Filing 66 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS Group AG for UBS AG. Document filed by UBS AG.(Bohan, David)
October 5, 2017 Opinion or Order Filing 65 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by UBS Group AG.(Bohan, David)
October 5, 2017 Opinion or Order Filing 64 NOTICE OF APPEARANCE by David Charles Bohan on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (Bohan, David)
October 5, 2017 Opinion or Order Filing 63 ORDER FOR ADMISSION PRO HAC VICE granting #62 Motion for Ryan A. Shores to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 10/5/2017) (rjm)
October 5, 2017 Opinion or Order Filing 62 MOTION for Ryan A. Shores to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14209343. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit A, #2 Text of Proposed Order, #3 Exhibit C)(Shores, Ryan)
October 5, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #62 MOTION for Ryan A. Shores to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14209343. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
October 4, 2017 Opinion or Order Filing 61 NOTICE OF APPEARANCE by Christopher James Bateman on behalf of Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Bateman, Christopher)
September 29, 2017 Opinion or Order Filing 60 ORDER FOR ADMISSION PRO HAC VICE: The motion of David I. Gelfand, for admission to practice Pro Hac Vice in the above captionedaction is granted. granting #57 Motion for David I. Gelfand to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/29/2017) (js)
September 29, 2017 Opinion or Order Filing 59 ORDER FOR ADMISSION PRO HAC VICE: The motion of Alexis L. Collins for admission to practice Pro Hac Vice in the above captioned action is granted. granting #58 Motion for Alexis L. Collins to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/29/2017) (js)
September 28, 2017 Opinion or Order Filing 58 MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Collins Declaration, #2 DC Good Standing Certificate, #3 Text of Proposed Order)(Collins, Alexis)
September 28, 2017 Opinion or Order Filing 57 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Gelfand Declaration, #2 Maryland Good Standing Certificate, #3 DC Good Standing Certificate, #4 Text of Proposed Order)(Gelfand, David)
September 28, 2017 Opinion or Order Filing 56 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179541. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Collins, Alexis) Modified on 9/28/2017 (ma).
September 28, 2017 Opinion or Order Filing 55 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Northern Trust Corporation, Other Affiliate J.P. Morgan Clearing Corp., Other Affiliate Credit Suisse First Boston Next Fund, Inc., Other Affiliate Merrill Lynch L.P. Holdings Inc., Other Affiliate J.P. Morgan Strategic Securities Lending Corp., Other Affiliate Strategic Investments I, Inc., Other Affiliate Goldman Sachs PSI Global Holdings, LLC, Other Affiliate BlackRock Asset Management International Inc., Other Affiliate SSB Investments, Inc., Other Affiliate UBS Americas Inc. for EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Boccuzzi, Carmine)
September 28, 2017 Opinion or Order Filing 54 DECLARATION of David I. Gelfand, dated September 28, 2017 in Support re: #53 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179321. Motion and supporting papers to be r. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Maryland Good Standing Certificate, #2 DC Good Standing Certificate)(Gelfand, David)
September 28, 2017 Opinion or Order Filing 53 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179321. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Gelfand, David) Modified on 9/28/2017 (bcu).
September 28, 2017 Opinion or Order Filing 52 NOTICE OF APPEARANCE by Carmine D. Boccuzzi, Jr on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Boccuzzi, Carmine)
September 28, 2017 Opinion or Order >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #53 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179321. Motion and supporting papers to be r.. The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Maryland and Columbia; Attorney Affidavit/Declaration missing. Please Read Local Rule 1.3. ;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu)
September 28, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #58 MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff., #57 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 28, 2017 Opinion or Order >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #56 MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179541. Motion and supporting papers to be.. The filing is deficient for the following reason(s): PRO HAC VICE IS INCOMPLETE DUE TO THE MISSING CERTIFICATE OF GOOD STANDING FROM THE DISTRICT OF COLUMBIA AND MISSING AFFIDAVIT/DECLARATION PURSUANT TO LOCAL RULE 1.3.;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma)
September 27, 2017 Opinion or Order Filing 51 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent JPMorgan Chase & Co. for J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Wick, Robert)
September 25, 2017 Opinion or Order Filing 50 ORDER FOR ADMISSION PRO HAC VICE granting #46 Motion for Kuntal V. Cholera to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 Opinion or Order Filing 49 ORDER FOR ADMISSION PRO HAC VICE granting #44 Motion for Henry Liu to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 Opinion or Order Filing 48 ORDER FOR ADMISSION PRO HAC VICE granting #45 Motion for John S. Playforth to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 Opinion or Order Filing 47 ORDER FOR ADMISSION PRO HAC VICE granting #43 Motion for Robert D. Wick to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #46 MOTION for Kuntal V. Cholera to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160204. Motion and supporting papers to be reviewed by Clerk's Office staff., #43 MOTION for Robert D. Wick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160031. Motion and supporting papers to be reviewed by Clerk's Office staff., #45 MOTION for John S. Playforth to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160162. Motion and supporting papers to be reviewed by Clerk's Office staff., #44 MOTION for Henry Liu to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160110. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 22, 2017 Opinion or Order Filing 46 MOTION for Kuntal V. Cholera to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160204. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit B, Proposed Order, #3 Exhibit C, Affidavit of Kuntal V. Cholera)(Cholera, Kuntal)
September 22, 2017 Opinion or Order Filing 45 MOTION for John S. Playforth to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160162. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit B, Proposed Order, #3 Exhibit C, Affidavit of John S. Playforth)(Playforth, John)
September 22, 2017 Opinion or Order Filing 44 MOTION for Henry Liu to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160110. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit Proposed Order, #3 Exhibit Affidavit of Henry Liu)(Liu, Henry)
September 22, 2017 Opinion or Order Filing 43 MOTION for Robert D. Wick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160031. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit B, Proposed Order, #3 Exhibit C, Affidavit of Robert D. Wick)(Wick, Robert)
September 20, 2017 Opinion or Order Filing 42 NOTICE OF INITIAL PRETRIAL CONFERENCE: Defendants will file a pre-motion letter(s) concerning any contemplated motion(s) to dismiss, in accordance with the Courts Individual Rule of Practice 4(A), no later than December 13, 2017. IT IS FURTHER ORDERED that by January 4, 2018, the parties jointly submit a letter, not to exceed five pages, providing the following information in separate paragraphs: as further set forth in this order. ( Amended Pleadings due by 11/17/2017., Responses due by 3/2/2018, Replies due by 3/30/2018.) Initial Conference set for 1/10/2018 at 10:00 AM in Courtroom 618, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla. (Signed by Judge Katherine Polk Failla on 9/20/2017) (js)
September 20, 2017 Opinion or Order Set/Reset Deadlines: Bank of America Corporation answer due 1/26/2018; Credit Suisse AG answer due 1/26/2018; Credit Suisse First Boston Next Fund, Inc. answer due 1/26/2018; Credit Suisse Group AG answer due 1/26/2018; Credit Suisse Securities (USA) LLC answer due 1/26/2018; EquiLend Europe Limited answer due 1/26/2018; EquiLend Holdings LLC answer due 1/26/2018; EquiLend LLC answer due 1/26/2018; Goldman Sachs & Co. LLC answer due 1/26/2018; Goldman Sachs Execution & Clearing, L.P. answer due 1/26/2018; J.P. Morgan Chase & Co. answer due 1/26/2018; J.P. Morgan Chase Bank, N.A. answer due 1/26/2018; J.P. Morgan Prime, Inc. answer due 1/26/2018; J.P. Morgan Securities LLC answer due 1/26/2018; J.P. Morgan Strategic Securities Lending Corp. answer due 1/26/2018; Merrill Lynch L.P. Holdings, Inc. answer due 1/26/2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 1/26/2018; Morgan Stanley answer due 1/26/2018; Morgan Stanley & Co. LLC answer due 1/26/2018; Morgan Stanley Capital Management, LLC answer due 1/26/2018; Prime Dealer Services Corp. answer due 1/26/2018; Strategic Investments I, Inc. answer due 1/26/2018; The Goldman Sachs Group, Inc. answer due 1/26/2018; UBS AG answer due 1/26/2018; UBS Americas Inc. answer due 1/26/2018; UBS Financial Services Inc. answer due 1/26/2018; UBS Group AG answer due 1/26/2018; UBS Securities LLC answer due 1/26/2018. Amended Pleadings due by 11/17/2017. Responses due by 3/2/2018 (js)
September 20, 2017 Opinion or Order ***DELETED DOCUMENT. Deleted document number #42 Notice of initial Pretrial Conference. The document was incorrectly filed in this case. (js)
September 20, 2017 Opinion or Order Filing 41 ORDER FOR ADMISSION PRO HAC VICE granting #31 Motion for Kit A. Pierson to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Katherine Polk Failla on 9/20/2017) (ras)
September 20, 2017 Opinion or Order Filing 40 ORDER FOR ADMISSION TO PRACTICE PRO HAC VICE granting #30 Motion for Robert Y. Sperling to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice pro hac vice as counsel for Defendants The Goldman Sachs Group, Inc.; Goldman Sachs & Co. LLC; and Goldman Sachs Execution & Clearing, L.P. in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Katherine Polk Failla on 9/20/2017) (ras)
September 19, 2017 Opinion or Order Filing 39 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Merrill Lynch International Incorporated, Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Corporation for Merrill Lynch L.P. Holdings, Inc.. Document filed by Merrill Lynch L.P. Holdings, Inc..(Hakki, Adam)
September 19, 2017 Opinion or Order Filing 38 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Corporation for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Document filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Hakki, Adam)
September 19, 2017 Opinion or Order Filing 37 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Bank of America Corporation.(Hakki, Adam)
September 19, 2017 Opinion or Order Filing 36 NOTICE OF APPEARANCE by Richard Franklin Schwed on behalf of Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Schwed, Richard)
September 19, 2017 Opinion or Order Filing 35 NOTICE OF APPEARANCE by Margaret Ann Barone on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Barone, Margaret)
September 19, 2017 Opinion or Order Filing 34 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Hakki, Adam)
September 19, 2017 Opinion or Order Filing 33 NOTICE OF APPEARANCE by Andrew Hunter Reynard on behalf of Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Reynard, Andrew)
September 19, 2017 Opinion or Order Filing 32 NOTICE OF APPEARANCE by Richard C. Pepperman, II on behalf of Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Pepperman, Richard)
September 19, 2017 Opinion or Order Filing 31 MOTION for Kit A. Pierson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Pierson, Kit)
September 19, 2017 Opinion or Order Filing 30 MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143606. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Attachments: #1 Declaration and certificate of good standing, #2 Text of Proposed Order)(Sperling, Robert)
September 19, 2017 Opinion or Order Filing 29 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman Sachs & Co. LLC. Document filed by Goldman Sachs & Co. LLC, The Goldman Sachs Group, Inc..(Yablon, Staci)
September 19, 2017 Opinion or Order Filing 28 NOTICE OF APPEARANCE by Staci Lynn Yablon on behalf of Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Yablon, Staci)
September 19, 2017 Opinion or Order Filing 27 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Kit A. Pierson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143151. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Exhibit Certificate of Good Standing, #4 Affidavit, #5 Text of Proposed Order)(Pierson, Kit) Modified on 9/19/2017 (wb).
September 19, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #31 MOTION for Kit A. Pierson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff., #30 MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143606. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
September 19, 2017 Opinion or Order >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #27 MOTION for Kit A. Pierson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143151. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Oregon;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)
September 18, 2017 Opinion or Order Filing 26 ORDER FOR ADMISSION PRO HAC VICE granting #12 Motion for Richard A. Koffman to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Katherine Polk Failla on 9/18/17) (yv)
September 18, 2017 Opinion or Order Filing 25 ORDER FOR ADMISSION PRO HAC VICE granting #13 Motion for David A. Young to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, includingthe Rules governing discipline of attorneys. (Signed by Judge Katherine Polk Failla on 9/18/17) (yv)
September 18, 2017 Opinion or Order Filing 24 NOTICE OF APPEARANCE by Sheila Chithran Ramesh on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Ramesh, Sheila)
September 18, 2017 Opinion or Order Filing 23 NOTICE OF APPEARANCE by Elai E. Katz on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Katz, Elai)
September 18, 2017 Opinion or Order Filing 22 NOTICE OF APPEARANCE by Jason Michael Hall on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Hall, Jason)
September 18, 2017 Opinion or Order Filing 21 NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Washer, Herbert)
September 18, 2017 Opinion or Order Filing 20 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG for Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Securities (USA) LLC. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC.(Januszewski, David)
September 18, 2017 Opinion or Order Filing 19 NOTICE OF APPEARANCE by David George Januszewski on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Januszewski, David)
September 18, 2017 Opinion or Order Filing 18 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group, Inc. for Prime Dealer Services Corp., Strategic Investments I, Inc.; Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley, Corporate Parent Morgan Stanley Capital Management, LLC, Other Affiliate Mitsubishi UFJ Financial Group, Inc. for Morgan Stanley & Co. LLC; Other Affiliate Mitsubishi UFJ Financial Group, Inc. for Morgan Stanley; Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group, Inc., for Morgan Stanley Capital Management, LLC. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Slifkin, Daniel)
September 18, 2017 Opinion or Order Filing 17 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated September 18, 2017 re: Proposed schedule for filing an Amended Complaint. Document filed by Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Stipulation And (Proposed) Order)(Brockett, Daniel)
September 18, 2017 Opinion or Order Filing 16 NOTICE OF APPEARANCE by Damaris Hernandez on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Hernandez, Damaris)
September 18, 2017 Opinion or Order Filing 15 NOTICE OF APPEARANCE by Michael A Paskin on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Paskin, Michael)
September 18, 2017 Opinion or Order Filing 14 NOTICE OF APPEARANCE by Daniel Slifkin on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Slifkin, Daniel)
September 18, 2017 Opinion or Order Filing 13 MOTION for David A. Young to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138942. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Young, David)
September 18, 2017 Opinion or Order Filing 12 MOTION for Richard A. Koffman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138735. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Koffman, Richard)
September 18, 2017 Opinion or Order Filing 11 ORDER granting #10 Motion for Julie Goldsmith Reiser to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (AH)
September 18, 2017 Opinion or Order Filing 10 MOTION for Julie Goldsmith Reiser to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138563. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Reiser, Julie)
September 18, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #10 MOTION for Julie Goldsmith Reiser to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138563. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
September 18, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #12 MOTION for Richard A. Koffman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138735. Motion and supporting papers to be reviewed by Clerk's Office staff., #13 MOTION for David A. Young to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138942. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
August 30, 2017 Opinion or Order NOTICE OF CASE REASSIGNMENT to Judge Katherine Polk Failla. Judge Analisa Torres is no longer assigned to the case. (bcu)
August 18, 2017 Opinion or Order Filing 9 INITIAL PRETRIAL CONFERENCE ORDER: Initial Conference set for 11/1/2017 at 11:20 AM in Courtroom 15D, 500 Pearl Street, New York, NY 10007 before Judge Analisa Torres. (As further set forth in this Order.) (Signed by Judge Analisa Torres on 8/18/2017) (cf)
August 17, 2017 Opinion or Order Filing 8 ELECTRONIC SUMMONS ISSUED as to Bank of America Corporation, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., The Goldman Sachs Group, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (kl)
August 17, 2017 Opinion or Order Filing 7 NOTICE OF APPEARANCE by Michael Benjamin Eisenkraft on behalf of Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Eisenkraft, Michael)
August 17, 2017 Opinion or Order CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Analisa Torres. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (kl)
August 17, 2017 Opinion or Order Magistrate Judge Henry B. Pitman is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (kl)
August 17, 2017 Opinion or Order Case Designated ECF. (kl)
August 16, 2017 Opinion or Order Filing 6 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Sonoma County Employees' Retirement Association.(Brockett, Daniel)
August 16, 2017 Opinion or Order Filing 5 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Orange County Employees Retirement System.(Brockett, Daniel)
August 16, 2017 Opinion or Order Filing 4 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Iowa Public Employees' Retirement System.(Brockett, Daniel)
August 16, 2017 Opinion or Order Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Bank of America Corporation; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Merrill Lynch L.P. Holdings, Inc.; Credit Suisse AG; Credit Suisse Group AG; Credit Suisse Securities (USA) LLC; Credit Suisse First Boston Next Fund, Inc.; The Goldman Sachs Group, Inc.; Goldman Sachs & Co. LLC; Goldman Sachs Execution & Clearing, L.P.; J.P. Morgan Chase & Co.; J.P. Morgan Securities LLC; J.P. Morgan Prime, Inc.; J.P. Morgan Strategic Securities Lending Corp.; J.P. Morgan Chase Bank, N.A.; Morgan Stanley; Morgan Stanley Capital Management, LLC; Morgan Stanley & Co. LLC; Prime Dealer Services Corp.; Strategic Investments I, Inc.; UBS Group AG; UBS AG; UBS Americas Inc.; UBS Securities LLC; UBS Financial Services Inc.; EquiLend LLC; EquiLend Europe Limited; EquiLend Holdings LLC, re: #1 Complaint,,,,. Document filed by Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Brockett, Daniel)
August 16, 2017 Opinion or Order Filing 2 CIVIL COVER SHEET filed. (Brockett, Daniel)
August 16, 2017 Opinion or Order Filing 1 COMPLAINT against Bank of America Corporation, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., The Goldman Sachs Group, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (Filing Fee $ 400.00, Receipt Number 0208-14024250)Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association.(Brockett, Daniel)

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Search for this case: Iowa Public Employees' Retirement System et al v. Bank of America Corporation et al
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Defendant: J.P. Morgan Strategic Securities Lending Corp.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: J.P. Morgan Securities LLC
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Goldman Sachs Execution & Clearing, L.P.
Represented By: Richard C. Pepperman, II
Represented By: Austin Lewis Raynor
Represented By: Robert Y. Sperling
Represented By: Staci Lynn Yablon
Represented By: Andrew Hunter Reynard
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Defendant: UBS Financial Services Inc.
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
Represented By: Elliott Morris Bacon
Represented By: Sarah K Weber
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Defendant: EquiLend Holdings LLC
Represented By: Alexis L. Collins
Represented By: David I. Gelfand
Represented By: Carmine D. Boccuzzi, Jr
Represented By: Garrett Shinn
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Defendant: Credit Suisse Group AG
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Elai Katz
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Defendant: Credit Suisse First Boston Next Fund, Inc.
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Elai Katz
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Defendant: J.P. Morgan Chase Bank, N.A.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Goldman Sachs & Co. LLC
Represented By: Richard C. Pepperman, II
Represented By: Austin Lewis Raynor
Represented By: Seth C. Farber
Represented By: Robert Y. Sperling
Represented By: Staci Lynn Yablon
Represented By: Andrew Hunter Reynard
Represented By: Eva W. Cole
Represented By: George Eric Mastoris
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Defendant: UBS AG
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
Represented By: Elliott Morris Bacon
Represented By: Sarah K Weber
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Defendant: Bank of America Corporation
Represented By: Adam Selim Hakki
Represented By: Ryan Ashby Shores
Represented By: Richard Franklin Schwed
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Defendant: Merrill Lynch L.P. Holdings, Inc.
Represented By: Adam Selim Hakki
Represented By: Ryan Ashby Shores
Represented By: Michael Patrick Mitchell
Represented By: Richard Franklin Schwed
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Defendant: J.P. Morgan Prime, Inc.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By: Adam Selim Hakki
Represented By: Ryan Ashby Shores
Represented By: Michael Patrick Mitchell
Represented By: Richard Franklin Schwed
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Defendant: Prime Dealer Services Corp.
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: The Goldman Sachs Group, Inc.
Represented By: Richard C. Pepperman, II
Represented By: Robert Y. Sperling
Represented By: Staci Lynn Yablon
Represented By: Andrew Hunter Reynard
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Defendant: Strategic Investments I, Inc.
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: Morgan Stanley & Co. LLC
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: Morgan Stanley Capital Management, LLC
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: UBS Group AG
Represented By: David Charles Bohan
Represented By: Peter Ginewicz Wilson
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Defendant: EquiLend Europe Limited
Represented By: Alexis L. Collins
Represented By: David I. Gelfand
Represented By: Carmine D. Boccuzzi, Jr
Represented By: Garrett Shinn
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Defendant: Credit Suisse AG
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Elai Katz
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Defendant: UBS Americas Inc.
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
Represented By: Elliott Morris Bacon
Represented By: Sarah K Weber
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Defendant: UBS Securities LLC
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
Represented By: Elliott Morris Bacon
Represented By: Sarah K Weber
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Defendant: J.P. Morgan Chase & Co.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Credit Suisse Securities (USA) LLC
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Elai Katz
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Defendant: EquiLend LLC
Represented By: Alexis L. Collins
Represented By: David I. Gelfand
Represented By: Carmine D. Boccuzzi, Jr
Represented By: Garrett Shinn
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Defendant: Morgan Stanley
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: UBS Asset Management (US) Inc.
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Defendant: Merrill Lynch Professional Clearing Corp.
Represented By: Adam Selim Hakki
Represented By: Michael Patrick Mitchell
Represented By: Richard Franklin Schwed
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Defendant: J.P. Morgan Institutional Investments Inc.
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Defendant: UBS Investment Bank
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Defendant: Credit Suisse Prime Securities Services (USA) LLC
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Elai Katz
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Defendant: UBS Fund Services (USA) LLC
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Defendant: Morgan Stanley Distribution, Inc.
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Plaintiff: Iowa Public Employees' Retirement System
Represented By: Daniel Lawrence Brockett
Represented By: Michael Benjamin Eisenkraft
Represented By: Kit A. Pierson
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Christopher James Bateman
Represented By: Steig Olson
Represented By: Julie Goldsmith Reiser
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Robert White Cobbs
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Richard A. Koffman
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
Represented By: Avi Grunfeld
Represented By: David O. Fisher
Represented By: Nicolas Vernon Siebert
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Plaintiff: Orange County Employees Retirement System
Represented By: Daniel Lawrence Brockett
Represented By: Michael Benjamin Eisenkraft
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Christopher James Bateman
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Robert White Cobbs
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
Represented By: Avi Grunfeld
Represented By: David O. Fisher
Represented By: Nicolas Vernon Siebert
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Plaintiff: Sonoma County Employees' Retirement Association
Represented By: Daniel Lawrence Brockett
Represented By: Michael Benjamin Eisenkraft
Represented By: Kit A. Pierson
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Christopher James Bateman
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Robert White Cobbs
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Richard A. Koffman
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
Represented By: Avi Grunfeld
Represented By: David O. Fisher
Represented By: Nicolas Vernon Siebert
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Plaintiff: Los Angeles County Employees Retirement Association
Represented By: Daniel Lawrence Brockett
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Michael Benjamin Eisenkraft
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
Represented By: Avi Grunfeld
Represented By: David O. Fisher
Represented By: Nicolas Vernon Siebert
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Plaintiff: Torus Capital, LLC
Represented By: Daniel Lawrence Brockett
Represented By: Thomas Lepri
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Peter George Safirstein
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Deborah K. Brown
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Michael Benjamin Eisenkraft
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
Represented By: Alice Buttrick
Represented By: Avi Grunfeld
Represented By: Nicolas Vernon Siebert
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Interested party: Schonfeld Strategic Advisors LLC
Represented By: Rylee Sommers-Flanagan
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Interested party: Two Sigma Investments, LP
Represented By: Lawrence Jay Portnoy
Represented By: Michael Stuart Scheinkman
Represented By: Matthew Alan Kelly
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Petitioner: SL-X IP S.A.R.L.
Represented By: Robert Allen Glunt
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Petitioner: SL-x Trading Europe Ltd.
Represented By: Robert Allen Glunt
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Petitioner: SL-x Technology UK Ltd.
Represented By: Robert Allen Glunt
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Petitioner: SL-x Technology USA LLC
Represented By: Robert Allen Glunt
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Petitioner: SL-x Trading USA LLC
Represented By: Robert Allen Glunt
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Alternative dispute resolution (adr) provider: Deutsche Bank Securities Inc.
Represented By: Eric Peter Stephens
Represented By: Michael Mahar Klotz
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Alternative dispute resolution (adr) provider: Deutsche Bank AG
Represented By: Eric Peter Stephens
Represented By: Michael Mahar Klotz
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Alternative dispute resolution (adr) provider: Joseph Santoro
Represented By: Eric Peter Stephens
Represented By: Michael Mahar Klotz
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