IN RE MERRILL LYNCH & CO., INC. SECURITIES, DERIVATIVE AND ERISA LITIGATION
| Life Enrichment Foundation, Alan Maltzman, Carl Esposito, Barbara Boland, Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Locals 40, 361, 417 Union Security Funds, Iron Workers Local 580 Joint Funds, City of Pontiac Police and Fire Retirement System, City of Pontiac General Employees Retirement System and Mary Gidaro |
| Merrill Lynch & Co., Inc., Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Merrill Lynch Capital Trust II, Armando M. Codina, E. Stanley O'Neal, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti, Peter Stingi, John and Jane Doe 1, John and Jane Does 2-10, John and Jane Does 11-20, Bank of America Corporation, Morgan Stanley & Co. Incorporated, A.G. Edwards & Sons, Inc., ANZ Securities, Inc, B.C. Ziegler and Company, Banc of America, Banc of America Securites, LLC, Countrywide Securities Corporation, Barclays Capital Inc, BB&T Capital Markets, a division of Scott & Stringfellow, Inc., BBVA Securities, Inc, Blaylock & Company, Inc, Blaylock Robert Van, LLC, BMO Capital Markets Corp., BMY Capital Markets, Inc., Cabrera Capital Markets, LLC, CastleOak Securities L.P, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Capital Markets Inc., D.A. Davidson & Co., Davenport & Company LLC, Deutsche Bank Securities Inc., Doley Securities, LLC, Ferris, Baker Watts, Incorporated, Fidelity Capital Markets a division of National Financial Services Corp., Fifth Third Securities, Inc., Fixed Income Securities, LP, Fixed Income Securities, Inc., Fortis Securities LLC, FTN Financial Securities Corp., Goldman, Sachs & Co., Greenwich Capital Markets, Inc., H&R Block Financial Advisors, Inc, HSBC Securities, HVB Capital Markets, Inc., J.B. Hanauer & Co., J.J.B. Hilliard, W.L. Lyons, Inc., J.P. Morgan Chase, J.P. Morgan Securities, Jackson Securities LLC, Janney Montgomery Scott LLC, Jeffries & Company, Inc., KBC Financial Products USA, Inc., Keefe, Bruyette & Woods, Inc., KeyBanc Capital Markets Inc, Loop Capital Markets, Mellon Financial Markets, LLC, Mesirow Financial, Inc, Mizuho Securities USA Inc., Morgan Keegan & Company, Inc., Muriel Seibert & Co., Inc., nabCapital Securities, LLC, NatCity Investments, Inc, Natixis Bleichroeder Inc, Oppenheimer & Co., Inc., Pershing LLC, Piper Jaffray & Co., PNC Capital Markets LLC, Raymond James & Associates, Inc., RBC Capital Markets Corporation, RBC Dain Rauscher Inc., RBS Greenwich Capital, Robert W. Baird & Co. Incorporated, Samuel A. Ramirez & Co. Inc., Santander Investment Securities Inc, Sterne Agee Capital Markets, Inc., Stifel, Nicolaus & Company, Incorporated, Stone & Youngberg LLC, Stringfellow, Inc, Suntrust Capital Markets, Inc., SunTrust Robinson Humphrey, Inc., TD Ameritrade, Inc., The Williams Capital Group, L.P., Toussaint Capital Partners, LLC, U.S. Bancorp Investments, Inc., UBS Securities LLC, Unicredit Capital Markets, Inc, Utendahl Capital Partners, L.P., Vining-Sparks IBG, Limited Partnership, Wachovia Capital Markets, LLC, Wachovia Securities, Inc., Wedbush Morgan Securities Inc., Wells Fargo Securities, LLC, William Blair & Company, LLC, Zions Direct, Inc., John A. Thain, Heinz-Joachim Neuburger, Walter E. Massey, William Barnet, III, Frank P. Bramble, Sr., John T. Collins, Gary L. Countryman, Charles K. Gifford, Kenneth D. Lewis, Monica C. Lozano, Thomas J. May and Thomas M. Ryan |
| Frankfurt Trust, James Conn, Anna Molin, Gregory Yashgur, Christine Donlon and Jjonathan Lee Riches |
| State Teachers Retirement System of Ohio |
| Michael J. Savena, Gary Kosseff, Robert R. Garber, Patricia Arthur, Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, Elizabeth Estey, Tara Moore, Sean Shaughnessey, Francis Lee Summers, III, James Eastman, Dominick J. Pascullo, Raymond Gonzales, Eidman David and N.A. Lambrecht |
| Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust III, Lawrence A. Tosi, Jill K. Conway, David K. Newbigging, Aulana Peters, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Deloitte & Touche LLP, Merrill Lynch & Co., Inc. Plan Investment Committee, Merrill Lynch & Co., Inc. Plan Adminstrative Committee, Merrill Lynch & Co., Inc. Management Development and Compensation Committee, Louis Dimaria, John Does 1-10, Investment Committee of the Merrill Lynch Savings and Investment Plan, Adminstrative Committee of the Merrill Lynch Savings and Investment Plan, John Does 1-30, Administrative Committee of the Merrill Lynch Co., Inc. 401 K Saving and Investment Plan, John Does 1-20, John Does 21-40, Administrative Committee Defendants, Investment Committee Defendants and Senior Vice President, Human Resources Defendants |
| 1:2007cv09633 |
| October 30, 2007 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| New York |
| Jed S Rakoff |
| Securities/Commodities |
| 15 U.S.C. § 78 m(a) Securities Exchange Act |
| Plaintiff |
Docket Report
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This docket was last retrieved on February 20, 2013. A more recent docket listing may be available from PACER.
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Filing 372
Costs Taxed as to (144 in 1:07-cv-09696-JSR-JLC, 132 in 1:09-cv-08259-JSR, 371 in 1:07-cv-09633-JSR) USCA Mandate,, USCA Case Number 11-1589-cv. in the amount of $258.90. Docketed as Judgment #13,0364 on 2/21/2013 in favor of Defendants-Appellees Merrill Lynch & Co., Inc. and Bank of America Corporation against Plaintiff-Appellant S. Leonard Sollins. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-JLC, 1:09-cv-08259-JSR(nd)
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Filing 371
MANDATE of USCA (Certified Copy) as to (368 in 1:07-cv-09633-JSR, 128 in 1:09-cv-08259-JSR) Notice of Appeal filed by N.A. Lambrecht, (369 in 1:07-cv-09633-JSR, 142 in 1:07-cv-09696-JSR-JLC) Notice of Appeal, filed by Miriam Loveman USCA Case Number 11-1589; 11-1285. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 02/19/2013. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-JLC, 1:09-cv-08259-JSR(nd)
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Filing 370
NOTICE of Statement Noticing a Party's Death. Document filed by Miriam Loveman. (Brower, David)
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Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for (127 in 1:07-cv-09633-JSR) Certificate of Service Other, filed by Merrill Lynch & Co., Inc., (10 in 1:07-cv-09696-JSR-JLC, 41 in 1:07-cv-09633-JSR) Notice of Change of Address, filed by James Eastman, (354 in 1:07-cv-09633-JSR) Certificate of Service Other filed by State Teachers Retirement System of Ohio, (219 in 1:07-cv-09633-JSR) Stipulation and Order of Dismissal, (53 in 1:07-cv-09633-JSR) MOTION to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations. filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust I, Merrill Lynch & Co., Inc., (353 in 1:07-cv-09633-JSR) Affidavit in Support of Motion,, filed by State Teachers Retirement System of Ohio, (64 in 1:07-cv-09633-JSR, 20 in 1:07-cv-09696-JSR-JLC) Notice of Appearance, filed by Alberto Cribiore, Judtih Mayhem Jonas, John D. Finnegan, Vergis W. Colbert, Joseph W. Prueher, Charles O. Rossotti, Ann N. Resse, Armando D. Codina, Carol T. Christ, (103 in 1:07-cv-09633-JSR, 31 in 1:07-cv-09696-JSR-JLC) Memorandum of Law in Support of Motion, filed by Gary Kosseff, State Teachers Retirement System of Ohio, (195 in 1:07-cv-09633-JSR) Memorandum of Law in Support of Motion,, filed by Alberto Cribiore, John D. Finnegan, Gregory J. Fleming, Jill K. Conway, David K. Newbigging, Virgis W. Colbert, Stanley O'Neal, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch & Co., Inc., Lawrence A. Tosi, Merrill Lynch Capital Trust II, Charles O. Rossotti, Joseph W. Prueher, Armando M. Codina, Aulana L. Peters, Jeffrey N. Edwards, Ann N. Reese, Merrill Lynch Capital Trust I, Ahmass L. Fakahany, Judith Mayhew Jonas, Carol T. Christ, (23 in 1:07-cv-09633-JSR) Certificate of Service Other filed by James Conn, (2 in 1:07-cv-09696-JSR-JLC) Rule 7.1 Corporate Disclosure Statement filed by Patricia Arthur, (12 in 1:07-cv-09633-JSR) Memorandum of Law in Support of Motion, filed by State Teachers Retirement System of Ohio, (38 in 1:07-cv-09696-JSR-JLC, 38 in 1:07-cv-09696-JSR-JLC, 117 in 1:07-cv-09633-JSR, 117 in 1:07-cv-09633-JSR) Stipulation and Order, Set Deadlines,, (351 in 1:07-cv-09633-JSR) MOTION for Disbursement of Funds. filed by State Teachers Retirement System of Ohio, (270 in 1:07-cv-09633-JSR, 270 in 1:07-cv-09633-JSR, 84 in 1:07-cv-09696-JSR-JLC, 84 in 1:07-cv-09696-JSR-JLC) Stipulation and Order, Set Deadlines/Hearings,, (126 in 1:07-cv-09633-JSR) Response, filed by Alberto Cribiore, John D. Finnegan, Virgis W. Colbert, Merrill Lynch & Co., Inc., Joseph W. Prueher, Charles O. Rossotti, Aulana L. Peters, Ann N. Reese, Judith Mayhew Jonas, Carol T. Christ, (299 in 1:07-cv-09633-JSR, 111 in 1:07-cv-09696-JSR-JLC) Memorandum of Law in Support of Motion, filed by Bank of America Corporation, Merrill Lynch & Co., Inc., (222 in 1:07-cv-09633-JSR) Notice of Appearance filed by John A. Thain, (129 in 1:07-cv-09696-JSR-JLC, 356 in 1:07-cv-09633-JSR) Order,,,, (80 in 1:07-cv-09696-JSR-JLC, 262 in 1:07-cv-09633-JSR) Reply Memorandum of Law in Support of Motion,, filed by Alan Maltzman, Mary Gidaro, Barbara Boland, Carl Esposito, (233 in 1:07-cv-09633-JSR) Declaration in Opposition to Motion,,, filed by National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Local 580 Joint Funds, Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, City of Pontiac General Employees Retirement System, City of Pontiac Police and Fire Retirement System, Iron Workers Locals 40, 361, 417 Union Security Funds, (54 in 1:07-cv-09696-JSR-JLC) Notice of Appearance filed by Bank of America Corporation, (265 in 1:07-cv-09633-JSR, 83 in 1:07-cv-09696-JSR-JLC) Judgment, (130 in 1:07-cv-09633-JSR) Notice of Appearance filed by Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, (114 in 1:07-cv-09633-JSR) Certificate of Service Other, filed by Alan Maltzman, Mary Gidaro, Barbara Boland, Carl Esposito, (48 in 1:07-cv-09633-JSR, 15 in 1:07-cv-09696-JSR-JLC) Declaration in Support, filed by Eidman David, (83 in 1:07-cv-09633-JSR) Memorandum of Law in Support of Motion filed by Deloitte & Touche LLP, (362 in 1:07-cv-09633-JSR) Affidavit in Support of Motion, filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, (316 in 1:07-cv-09633-JSR, 120 in 1:07-cv-09696-JSR-JLC) Reply Memorandum of Law in Support of Motion filed by Gregory J. Fleming, (108 in 1:07-cv-09633-JSR) Amended Complaint,,, filed by Patricia Arthur, Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, (59 in 1:07-cv-09633-JSR) Memorandum of Law in Support of Motion filed by Stanley O'Neal, (74 in 1:07-cv-09696-JSR-JLC) Reply Memorandum of Law in Support of Motion,, filed by Alberto Cribiore, Judtih Mayhem Jonas, John D. Finnegan, Vergis W. Colbert, Gregory J. Fleming, Ann N. Resse, Armando D. Codina, John A. Thain, Merrill Lynch & Co., Inc., Joseph W. Prueher, Charles O. Rossotti, Aulana L. Peters, Jeffrey N. Edwards, E. Stanley O'Neal, Ahmass L. Fakahany, Carol T. Christ, (276 in 1:07-cv-09633-JSR, 87 in 1:07-cv-09696-JSR-JLC) Affidavit in Support of Motion, filed by John A. Thain, (321 in 1:07-cv-09633-JSR) Certificate of Service Other filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, (115 in 1:07-cv-09696-JSR-JLC, 303 in 1:07-cv-09633-JSR) Memorandum of Law in Opposition to Motion,, filed by Miriam Loveman, (334 in 1:07-cv-09633-JSR) Notice of Appearance filed by Jeffrey N. Edwards, (110 in 1:07-cv-09696-JSR-JLC, 298 in 1:07-cv-09633-JSR) MOTION to Dismiss. filed by Bank of America Corporation, Merrill Lynch & Co., Inc., (88 in 1:07-cv-09696-JSR-JLC, 277 in 1:07-cv-09633-JSR) Declaration in Support of Motion, filed by John A. Thain, (114 in 1:07-cv-09696-JSR-JLC, 302 in 1:07-cv-09633-JSR) Declaration in Opposition to Motion,, filed by Miriam Loveman, (154 in 1:07-cv-09633-JSR) Notice (Other), Notice (Other), Notice (Other), Notice (Other) filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust I, (271 in 1:07-cv-09633-JSR) Order,,,,,,,, (46 in 1:07-cv-09633-JSR, 13 in 1:07-cv-09696-JSR-JLC) MOTION Ruling on Plaintiff Eidman's Motion to Remand. filed by Eidman David, (323 in 1:07-cv-09633-JSR, 125 in 1:07-cv-09696-JSR-JLC) Notice of Appearance filed by Bank of America Corporation, (112 in 1:07-cv-09633-JSR) Declaration in Support of Motion,,, filed by Investment Committee Defendants, E. Stanley O'Neal, Merrill Lynch & Co., Inc., Senior Vice President, Human Resources Defendants, Administrative Committee Defendants, (94 in 1:07-cv-09633-JSR) Notice of Voluntary Dismissal - Signed, (159 in 1:07-cv-09633-JSR) Declaration in Opposition to Motion,, filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust I, (52 in 1:07-cv-09696-JSR-JLC) Rule 7.1 Corporate Disclosure Statement filed by Bank of America Corporation, (119 in 1:07-cv-09633-JSR) Notice of Case Assignment/Reassignment, (180 in 1:07-cv-09633-JSR, 70 in 1:07-cv-09696-JSR-JLC) Rule 7.1 Corporate Disclosure Statement, filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch & Co., Inc., (19 in 1:07-cv-09633-JSR) Notice of Appearance filed by State Teachers Retirement System of Ohio, (4 in 1:07-cv-09633-JSR) MOTION For Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel. filed by Frankfurt Trust, (137 in 1:07-cv-09696-JSR-JLC) Declaration in Opposition to Motion filed by Miriam Loveman, (44 in 1:07-cv-09696-JSR-JLC, 125 in 1:07-cv-09633-JSR) Order,,,,,,,, (58 in 1:07-cv-09633-JSR) MOTION to Dismiss the Consolidated Amended Class Action Complaint. filed by Stanley O'Neal, (285 in 1:07-cv-09633-JSR, 97 in 1:07-cv-09696-JSR-JLC) Memorandum of Law in Support of Motion, filed by Stanley O'Neal, E. Stanley O'Neal, E. Stanley O'Neal, (252 in 1:07-cv-09633-JSR) Certificate of Service Other filed by State Teachers Retirement System of Ohio, (1 in 1:07-cv-09888-LBS) Complaint, filed by Miriam Loveman, (218 in 1:07-cv-09633-JSR) Amended Complaint,,,,,,, filed by National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Local 580 Joint Funds, Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, City of Pontiac General Employees Retirement System, City of Pontiac Police and Fire Retirement System, Iron Workers Locals 40, 361, 417 Union Security Funds, (22 in 1:07-cv-09633-JSR) Memorandum of Law in Support of Motion, filed by James Conn, (198 in 1:07-cv-09633-JSR) Notice of Appearance filed by Jeffrey N. Edwards, (333 in 1:07-cv-09633-JSR) Notice of Appearance filed by Jeffrey N. Edwards, (188 in 1:07-cv-09633-JSR) Memo Endorsement, (40 in 1:07-cv-09633-JSR) Order, (50 in 1:07-cv-09696-JSR-JLC, 132 in 1:07-cv-09633-JSR) Reply Memorandum of Law in Support,, filed by N.A. Lambrecht, (76 in 1:07-cv-09696-JSR-JLC, 208 in 1:07-cv-09633-JSR) Order of Dismissal,,,, (84 in 1:07-cv-09633-JSR) Notice (Other), Notice (Other) filed by Jeffrey N. Edwards, (38 in 1:07-cv-09633-JSR, 38 in 1:07-cv-09633-JSR, 8 in 1:07-cv-09696-JSR-JLC, 8 in 1:07-cv-09696-JSR-JLC) Order, Set Scheduling Order Deadlines,,,,,,,,,, (123 in 1:07-cv-09696-JSR-JLC, 319 in 1:07-cv-09633-JSR) Reply Memorandum of Law in Support of Motion, filed by Bank of America Corporation, Merrill Lynch & Co., Inc., (101 in 1:07-cv-09633-JSR) Notice (Other) filed by Francis Lee Summers, III, (350 in 1:07-cv-09633-JSR) Notice (Other), Notice (Other) filed by N.A. Lambrecht, (69 in 1:07-cv-09696-JSR-JLC, 179 in 1:07-cv-09633-JSR) MOTION for Richard D. Greenfield to Withdraw as Attorney. filed by N.A. Lambrecht, (20 in 1:07-cv-09633-JSR) Notice (Other), Notice (Other)
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Transmission of Notice of Appeal to the District Judge re: (142 in 1:07-cv-09696-JSR-JLC, 6 in 1:07-cv-09888-LBS, 369 in 1:07-cv-09633-JSR) Notice of Appeal. (tp)
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Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: (142 in 1:07-cv-09696-JSR-JLC, 6 in 1:07-cv-09888-LBS, 369 in 1:07-cv-09633-JSR) Notice of Appeal. (tp)
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Filing 369
NOTICE OF APPEAL from (140 in 1:07-cv-09696-JSR-JLC, 366 in 1:07-cv-09633-JSR) Memorandum & Opinion, (367 in 1:07-cv-09633-JSR, 141 in 1:07-cv-09696-JSR-JLC) Clerk's Judgmen. Document filed by Miriam Loveman, Miriam Loveman. Filing fee $ 455.00, receipt number 465401004590. (tp)
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Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #329 MOTION for Richard D. Bernstein to Appear Pro Hac Vice. filed by Jeffrey N. Edwards, #302 Declaration in Opposition to Motion,, filed by Miriam Loveman, #127 Certificate of Service Other, filed by Merrill Lynch & Co., Inc., #354 Certificate of Service Other filed by State Teachers Retirement System of Ohio, #152 Memorandum of Law in Opposition to Motion, filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust I, Merrill Lynch & Co., Inc., #189 Notice of Appearance filed by Deloitte & Touche LLP, #219 Stipulation and Order of Dismissal,,,,, #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class. filed by State Teachers Retirement System of Ohio, #353 Affidavit in Support of Motion,, filed by State Teachers Retirement System of Ohio, #64 Notice of Appearance, filed by Alberto Cribiore, Judtih Mayhem Jonas, John D. Finnegan, Vergis W. Colbert, Joseph W. Prueher, Charles O. Rossotti, Ann N. Resse, Armando D. Codina, Carol T. Christ, #103 Memorandum of Law in Support of Motion, filed by Gary Kosseff, State Teachers Retirement System of Ohio, #30 Notice of Appearance filed by State Teachers Retirement System of Ohio, #106 Stipulation and Order, Set Scheduling Order Deadlines,,,,,,,, #357 Order,, #195 Memorandum of Law in Support of Motion,, filed by Alberto Cribiore, John D. Finnegan, Gregory J. Fleming, Jill K. Conway, David K. Newbigging, Virgis W. Colbert, Stanley O'Neal, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch & Co., Inc., Lawrence A. Tosi, Merrill Lynch Capital Trust II, Charles O. Rossotti, Joseph W. Prueher, Armando M. Codina, Aulana L. Peters, Jeffrey N. Edwards, Ann N. Reese, Merrill Lynch Capital Trust I, Ahmass L. Fakahany, Judith Mayhew Jonas, Carol T. Christ, #23 Certificate of Service Other filed by James Conn, #170 Reply Memorandum of Law in Support of Motion, filed by State Teachers Retirement System of Ohio, #145 Declaration in Support of Motion, filed by Merrill Lynch & Co., Inc., #12 Memorandum of Law in Support of Motion, filed by State Teachers Retirement System of Ohio, #87 Memorandum of Law in Support of Motion, filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust I, #104 Declaration in Support of Motion,, filed by Gary Kosseff, State Teachers Retirement System of Ohio, #351 MOTION for Disbursement of Funds. filed by State Teachers Retirement System of Ohio, #270 Stipulation and Order, Set Deadlines/Hearings,, #126 Response, filed by Alberto Cribiore, John D. Finnegan, Virgis W. Colbert, Merrill Lynch & Co., Inc., Joseph W. Prueher, Charles O. Rossotti, Aulana L. Peters, Ann N. Reese, Judith Mayhew Jonas, Carol T. Christ, #342 Reply Memorandum of Law in Support of Motion, filed by E. Stanley O'Neal, Jeffrey N. Edwards, Ahmass L. Fakahany, #299 Memorandum of Law in Support of Motion, filed by Bank of America Corporation, Merrill Lynch & Co., Inc., #222 Notice of Appearance filed by John A. Thain, #115 MOTION for Francis A. Bottini to Appear Pro Hac Vice. filed by Patricia Arthur, #233 Declaration in Opposition to Motion,,, filed by National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Local 580 Joint Funds, Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, City of Pontiac General Employees Retirement System, City of Pontiac Police and Fire Retirement System, Iron Workers Locals 40, 361, 417 Union Security Funds, #50 Notice of Appearance filed by Deloitte & Touche LLP, #265 Judgment, #130 Notice of Appearance filed by Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, #114 Certificate of Service Other, filed by Alan Maltzman, Mary Gidaro, Barbara Boland, Carl Esposito, #48 Declaration in Support, filed by Eidman David, #83 Memorandum of Law in Support of Motion filed by Deloitte & Touche LLP, #362 Affidavit in Support of Motion, filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, #322 Notice of Appearance filed by Bank of America Corporation, #316 Reply Memorandum of Law in Support of Motion filed by Gregory J. Fleming, #140 Certificate of Service Other filed by Bank of America Corporation, #108 Amended Complaint,,, filed by Patricia Arthur, Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, #59 Memorandum of Law in Support of Motion filed by Stanley O'Neal, #276 Affidavit in Support of Motion, filed by John A. Thain, #28 Reply Memorandum of Law in Support of Motion, filed by State Teachers Retirement System of Ohio, #321 Certificate of Service Other filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, #181 MOTION for Richard D. Greenfield to Withdraw as Attorney. filed by N.A. Lambrecht, #334 Notice of Appearance filed by Jeffrey N. Edwards, #136 Notice of Appearance filed by Bank of America Corporation, #124 Request for Production of Documents filed by N.A. Lambrecht, #77 Memorandum of Law in Support of Motion, filed by Investment Committee Defendants, E. Stanley O'Neal, Merrill Lynch & Co., Inc., Senior Vice President, Human Resources Defendants, Administrative Committee Defendants, #15 Notice of Appearance filed by State Teachers Retirement System of Ohio, #254 Memorandum of Law in Support of Motion filed by Alan Maltzman, Mary Gidaro, Barbara Boland, Carl Esposito, #308 Memorandum of Law in Support of Motion, filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, #154 Notice (Other), Notice (Other), Notice (Other), Notice (Other) filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust I, #45 Certificate of Service Other,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, filed by Alan Maltzman, Mary Gidaro, Barbara Boland, Carl Esposito, #72 MOTION to Dismiss. filed by Alberto Cribiore, Judtih Mayhem Jonas, John D. Finnegan, Vergis W. Colbert, Gregory J. Fleming, Ann N. Resse, Armando D. Codina, Virgis W. Colbert, Stanley O'Neal, Joseph W. Prueher, Charles O. Rossotti, Armando M. Codina, Jeffrey N. Edwards, Ann N. Reese, E. Stanley O'Neal, Ahmass L. Fakahany, Judith Mayhew Jonas, Carol T. Christ, #51 Rule 7.1 Corporate Disclosure Statement filed by Deloitte & Touche LLP, #271 Order,,,,,,,, #241 Memorandum of Law in Support of Motion, filed by State Teachers Retirement System of Ohio, #323 Notice of Appearance filed by Bank of America Corporation, #112 Declaration in Support of Motion,,, filed by Investment Committee Defendants, E. Stanley O'Neal, Merrill Lynch & Co., Inc., Senior Vice President, Human Resources Defendants, Administrative Committee Defendants, #16 Notice of Appearance filed by State Teachers Retirement System of Ohio, #94 Notice of Voluntary Dismissal - Signed, #159 Declaration in Opposition to Motion,, filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Capital Trust III, Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust I, #92 Order,,, #119 Notice of Case Assignment/Reassignment, #210 Stipulation and Order,,,, #180 Rule 7.1 Corporate Disclosure Statement, filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch & Co., Inc., #19 Notice of Appearance filed by State Teachers Retirement System of Ohio, #4 MOTION For Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel. filed by Frankfurt Trust, #58 MOTION to Dismiss the Consolidated Amended Class Action Complaint. filed by Stanley O'Neal, #285 Memorandum of Law in Support of Motion, filed by Stanley O'Neal, E. Stanley O'Neal, E. Stanley O'Neal, #264 Amended Complaint,,, filed by Miriam Loveman, #252 Certificate of Service Other filed by State Teachers Retirement System of Ohio, #218 Amended Complaint,,,,,,, filed by National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Local 580 Joint Funds, Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, City of Pontiac General Employees Retirement System, City of Pontiac Police and Fire Retirement System, Iron Workers Locals 40, 361, 417 Union Security Funds, #22 Memorandum of Law in Support of Motion, filed by James Conn, #17 Notice of Appearance filed by State Teachers Retirement System of Ohio, #211 Order on Motion for Miscellaneous Relief, Order on Motion to Dismiss,,,,,,,,,, Order on Motion to Strike, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),,,,,,,,,,,,, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), #186 Order Admitting Attorney Pro Hac Vice, #198 Notice of Appearance filed by Jeffrey N. Edwards, #358 Order on Motion to File Amicus Brief, #333 Notice of Appearance filed by Jeffrey N. Edwards, #188 Memo Endorsement, #293 Memorandum of Law in Support of Motion filed by Gregory J. Fleming, #40 Order, #105 Memorandum of Law in Opposition to Motion,, filed by Gary Kosseff, State Teachers Retirement System of Ohio, #84 Notice (Other), Notice (Other) filed by Jeffrey N. Edwards, #239 Notice of Change of Address, filed by Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, Morgan Stanley & Co. Incorporated, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Citigroup Global Capital Markets Inc., #257 Declaration in Support of Motion,, filed by Alan Maltzman, Mary Gidaro, Barbara Boland, Carl Esposito, #199 Order on Motion to Appear Pro Hac Vice, #253 MOTION for Settlement for Final Approval of Class Action Settlement and Plan of Allocation. filed by Alan Maltzman, Mary Gidaro, Ba
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Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: (368 in 1:07-cv-09633-JSR, 128 in 1:09-cv-08259-JSR) Notice of Appeal. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:09-cv-08259-JSR(nd)
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Transmission of Notice of Appeal to the District Judge re: (368 in 1:07-cv-09633-JSR, 128 in 1:09-cv-08259-JSR) Notice of Appeal. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:09-cv-08259-JSR(nd)
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Filing 368
NOTICE OF APPEAL from (366 in 1:07-cv-09633-JSR, 126 in 1:09-cv-08259-JSR) Opinion & Order. Document filed by N.A. Lambrecht. Filing fee $ 455.00, receipt number E 933628. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:09-cv-08259-JSR(nd)
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Filing 367
CLERK'S JUDGMENT That for the reasons stated in the Court's Opinion and Order dated March 28, 2011, the motions to dismiss submitted in both actions are granted; and final judgment is entered in both the Derivative Action, 07 Civ. 9696, and Lambrecht v. ONeal, 09 Civ. 8259, dismissing the complaints with prejudice. (Signed by Clerk of Court Ruby Krajick on 3/31/11) (Attachments: #1 notice of right to appeal)Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-JLC, 1:09-cv-08259-JSR(ml)
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Filing 366
OPINION AND ORDER. #100143 Accordingly, the Court concludes that demand in the Derivative Action was not excused, and that the BofA Board did not wrongfully refuse Lambrecht's demands. Having concluded that both actions fail on these threshold issues, it follows that both complaints must be dismissed in their entirety. The Court therefore grants the motions to dismiss submitted in both actions, and instructs the Clerk of the Court to enter final judgment in both the Derivative Action, 07 Civ. 9696, and Lambrecht v. O'Neal, 09 Civ. 8259, dismissing the complaints with prejudice. (Signed by Judge Jed S. Rakoff on 3/28/11) Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-JLC, 1:09-cv-08259-JSR(rjm) Modified on 3/31/2011 (ajc).
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Transmission to Judgments and Orders Clerk. Transmitted re: (140 in 1:07-cv-09696-JSR-JLC, 366 in 1:07-cv-09633-JSR, 126 in 1:09-cv-08259-JSR) Memorandum & Opinion to the Judgments and Orders Clerk. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-JLC, 1:09-cv-08259-JSR(rjm)
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Filing 365
SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: (298 in 1:07-cv-09633-JSR, 110 in 1:07-cv-09696-JSR-JLC) MOTION to Dismiss /CORRECTED NOTICE OF MOTION TO DISMISS COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT.. Document filed by Bank of America Corporation, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-JLC(Kasner, Jay)
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Filing 364
SUPPLEMENTAL MEMORANDUM OF LAW in Opposition re: #298 MOTION to Dismiss /CORRECTED NOTICE OF MOTION TO DISMISS COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT. CORRECTEED Plaintiff Loveman's Memo of Law in Opposition to the Supplemental Memo of Law of Merrill Lynch and Bank of America in Further Support of Motion to Dismiss. Document filed by Miriam Loveman. (Brower, David)
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Filing 363
ORDER APPROVING DISTRIBUTION PLAN. ORDER granting #360 Motion to Approve Bond Plaintiffs' plan for distribution of the Net Settlement Fund to Authorized Claimants. (Signed by Judge Jed S. Rakoff on 10/23/10) (db)
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Filing 362
AFFIDAVIT of Richard W. Simmons in Support re: #360 MOTION to Approve Distribution Plan.. Document filed by Louisiana Municipal Police Employees' Retirement System, Louisiana Sheriffs' Pension and Relief Fund. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G-1, #8 Exhibit G-2, #9 Exhibit H, #10 Exhibit I)(Lebovitch, Mark)
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Filing 361
MEMORANDUM OF LAW in Support re: #360 MOTION to Approve Distribution Plan.. Document filed by Louisiana Municipal Police Employees' Retirement System, Louisiana Sheriffs' Pension and Relief Fund. (Lebovitch, Mark)
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Filing 360
MOTION to Approve Distribution Plan. Document filed by Louisiana Municipal Police Employees' Retirement System, Louisiana Sheriffs' Pension and Relief Fund.(Lebovitch, Mark)
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Filing 359
SUPPLEMENTAL MEMORANDUM OF LAW in Support re: (298 in 1:07-cv-09633-JSR, 110 in 1:07-cv-09696-JSR-JLC) MOTION to Dismiss /CORRECTED NOTICE OF MOTION TO DISMISS COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT.. Document filed by Bank of America Corporation, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-JLC(Kasner, Jay)
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Filing 358
ORDER: Accordingly, the Clerk of the Court is directed to closed document number 327 on the docket of 07-civ-9633. So Ordered.. (Signed by Judge Jed S. Rakoff on 8/20/2010) (js)
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Filing 357
ORDER. The stay in the cases in re Merrill Lynch & Co., Inc., Securities, Derivative and ERISA Litigation, Master File No. 07 cv 9633 and Derivative Action, 07cv9696 and Lambrecht v. O'Neal, 09 cv 8259 shall continue to be in effect until the Supreme Court of the State of Delaware rules upon the question certified to it by this Court by order dated March 9, 2010; Plaintiff Loveman's and Plaintiff Lambrecht's time to amend the respective complaints shall expire ten days following the date on which the Supreme Court of the State of Delaware issues its order concerning the questions certified by this Court. (Signed by Judge Jed S. Rakoff on 7/1/10) Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-DFE(djc)
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Filing 356
ORDER: By letter dated June 1, 2010, the Clerk of the Supreme Court of Delaware asked the parties about the status of the stay in the above-captioned cases, and the parties informed her that the current stay is in effect only until July 19, 2010. However, the Court's Memorandum Order of March 9, 2010 set that date in the expectation that it would provide sufficient time for the Delaware Supreme Court to "indicate [whether] it will address" the certified question, 3/09/10 Mem. Order, which it has now done. Although no party has asked for a further extension, it would be this Court's view that, now that the Delaware Supreme Court has accepted certification, this Court would likely rule favorably on any application of any party to extend the stay until after the Delaware Supreme Court issues its decision. Counsel for the parties are hereby directed to furnish a copy of this Order to the Clerk of the Supreme Court of Delaware. (Signed by Judge Jed S. Rakoff on 6/4/2010) Filed In Associated Cases: 1:07-cv-09633-JSR, 1:07-cv-09696-JSR-DFE(jfe) Modified on 6/7/2010 (jfe).
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CASE NO LONGER REFERRED to Magistrate Judge James L. Cott. I hereby close the above Order of Reference for magistrate judge statistical purposes. Reason: On Mar. 2, 2010, this case was reassigned to me for general pretrial (including scheduling, discovery, non-dispositive motions, and settlement). The Motion to dismiss is fully briefed and the Securities and ERISA claims have been settled. (mro)
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Filing 355
ORDER AUTHORIZING DISTRIBUTION OF NET SETTLEMENT FUND. The administrative determinations of Rust accepting the claims as indicated on the computer printout of accepted claims submitted (as set forth in Exhibits I and J to the Ferrara Affidavit) and described in the Ferrara Affidavit, calculated under the Plan of Allocation set forth in the Notice, including claims submitted after the September 9, 2009 claim submission deadline, be and the same hereby are approved, and said claims are hereby accepted. The administrative determinations of Rust rejecting the claims as indicated on the computer printout of rejected claims submitted (as set forth in Exhibit E to the Ferrara Affidavit) with and described in the Ferrara Affidavit be and the same hereby are approved, and said claims are hereby rejected; Payment shall be made to Rust for $3,166,029.52, the current balance of fees and expenses in connection with the services performed in processing the Proofs of Claim and in administering the Settlement as described more fully in the Ferrara Affidavit; Rust is hereby authorized to discard paper and electronic copies of Proofs of Claim and supporting documentation three years after distribution of the Net Settlement Fund (Signed by Judge Jed S. Rakoff on 3/25/10) (djc) Modified on 4/6/2010 (djc).
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Filing 354
CERTIFICATE OF SERVICE. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 353
AFFIDAVIT of Charles E. Ferrara in Support re: #351 MOTION for Disbursement of Funds.. Document filed by State Teachers Retirement System of Ohio. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C-1 thru C-4, #4 Exhibit D (Part 1), #5 Exhibit D (Part 2), #6 Exhibit D (Part 3), #7 Exhibit D (Part 4), #8 Exhibit E (Part 1), #9 Exhibit E (Part 2), #10 Exhibit E (Part 3), #11 Exhibit F-1 thru F-9 (Part 1), #12 Exhibit F-1 thru F-9 (Part 2), #13 Exhibit G, #14 Exhibit H, #15 Exhibit I (Part 1), #16 Exhibit I (Part 2), #17 Exhibit I (Part 3), #18 Exhibit I (Part 4), #19 Exhibit J, #20 Exhibit K-1 thru K-5, #21 Exhibit L)(Fox, Frederic)
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Filing 352
MEMORANDUM OF LAW in Support re: #351 MOTION for Disbursement of Funds.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 351
MOTION for Disbursement of Funds. Document filed by State Teachers Retirement System of Ohio. (Attachments: #1 Text of Proposed Order)(Fox, Frederic)
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Filing 350
NOTICE of Filing of Letter from Matthew E. Miller, Esq. to Ms. Cathy L. Howard, Clerk of the Delaware Supreme Court. Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit Letter from Matthew E. Miller, Esq. to Ms. Cathy L. Howard, Clerk of the Delaware Supreme Court)(Cuneo, Jonathan)
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Filing 349
CERTIFICATION OF QUESTION OF LAW: NOW, THEREFORE, IT IS ORDERED that the following question of law is certified to the Supreme Court of the State of Delaware for disposition in accordance with Rule 41 of the Supreme Court:Whether plaintiffs in a double derivative action under Delaware law, who were pre-merger shareholders in the acquired company and who are current shareholders, by virtue of a stock-for-stock merger, in the post-merger parent company, must also demonstrate that, at the time of the alleged wrong doing at the acquired company, (a) they owned stock in the acquiring company. (b) the acquiring company owned stock in the acquired company. (Signed by Judge Jed S. Rakoff on 3/9/2010) Filed In Associated Cases: 1:07-cv-09633-JSR-JLC, 1:07-cv-09696-JSR-DFE(js) Modified on 3/9/2010 (js).
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Filing 348
MEMORANDUM ORDER Therefore, pursuant to Rule 41 of the Delaware Supreme Court, the Court hereby certifies to the Delaware Supreme Court the question of whether a plaintiff seeking to bring a double derivative suit under Delaware law in the kind of circumstances here presented (i.e., where the plaintiff was a pre-merger shareholder in the acquired company at the time of the alleged wrongdoing at that company and,because of a stock-for-stock merger, thereafter becomes and remains a shareholder in the acquiring company) must also demonstrate to establish standing that, at the time of the alleged wrongdoing at the acquired company, (a) the plaintiff owned stock in the acquiring company, and (b) the acquiring company owned stock in the acquired company. In order to allow the Delaware Supreme Court time to address -- or to indicate that it will address -- this question, if it so chooses, but so as not to delay indefinitely these on going actions in federal court, the Court hereby stays all proceedings in these actions, unless otherwise explicitly ordered by the Court,until July 19, 2010. So Ordered (Signed by Judge Jed S. Rakoff on 3/9/2010) Filed In Associated Cases: 1:07-cv-09633-JSR-JLC, 1:07-cv-09696-JSR-DFE(js) .
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Filing 347
ORDER: As stated during a telephone conference held today, the Court hereby grants plaintiff's request to conduct narrow discovery via a few interrogatories on the issue of whether Bank of America owned Merrill Lynch stock at the time of the alleged wrongdoing underlying this action. If the parties are unable to reach an agreement on the interrogatories, they should convene a joint conference call to Chambers by no later than Tuesday, March 9, 2010 so that the Court may resolve the disagreement. (Signed by Judge Jed S. Rakoff on 3/4/10) Filed In Associated Cases: 1:07-cv-09633-JSR-JLC, 1:07-cv-09696-JSR-DFE(db)
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Filing 346
NOTICE OF REASSIGNMENT OF A REFERRAL TO ANOTHER MAGISTRATE JUDGE. The referral in the above entitled action has been reassigned to Magistrate Judge James L. Cott, for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Magistrate Judge Douglas F. Eaton no longer referred to the case. (ldi)
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Filing 345
REPLY MEMORANDUM OF LAW in Support re: #335 MOTION to Dismiss the Shareholder Derivative Complaint.. Document filed by Gregory J. Fleming. (Polkes, Jonathan)
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Filing 344
REPLY MEMORANDUM OF LAW in Support re: #330 MOTION to Dismiss Plaintiff's Complaint.. Document filed by Merrill Lynch & Co., Inc., Bank of America Corporation. (Kasner, Jay)
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Filing 343
DECLARATION of Antonio Yanez, Jr. in Support re: #342 Reply Memorandum of Law in Support of Motion,. Document filed by Ahmass L. Fakahany, Jeffrey N. Edwards, E. Stanley O'Neal. (Attachments: #1 Exhibit 1)(Yanez, Antonio)
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Filing 342
JOINT REPLY MEMORANDUM OF LAW in Support re: #338 JOINT MOTION to Dismiss The Shareholder Derivative Complaint Of Defendants Edwards, Fakahany, Kim, Lattanzio, Mallach, O'Neal and Semerci.. Document filed by Ahmass L. Fakahany, E. Stanley O'Neal, Jeffrey N. Edwards. (Yanez, Antonio)
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Filing 341
ORDER FOR ADMISSION PRO HAC VICE OF RICHARD D. BERNSTEIN granting #329 Motion for Richard D. Berstein to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 12/28/2009) (jpo)
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Transmission to Attorney Admissions Clerk. Transmitted re: #341 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jpo)
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CASHIERS OFFICE REMARK on #329 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 12/21/2009, Receipt Number 709899. (jd)
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Filing 340
DECLARATION of Antonio Yanez, Jr. in Support re: #338 JOINT MOTION to Dismiss The Shareholder Derivative Complaint Of Defendants Edwards, Fakahany, Kim, Lattanzio, Mallach, O'Neal and Semerci.. Document filed by Ahmass L. Fakahany, Jeffrey N. Edwards, E. Stanley O'Neal. (Attachments: #1 Exhibit 1 Part A, #2 Exhibit 1 Part B, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5, #7 Exhibit 6, #8 Exhibit 7, #9 Exhibit 8, #10 Exhibit 9, #11 Exhibit 10, #12 Exhibit 11, #13 Exhibit 12, #14 Exhibit 13, #15 Exhibit 14, #16 Exhibit 15, #17 Exhibit 16, #18 Exhibit 17, #19 Exhibit 18, #20 Exhibit 19, #21 Exhibit 20, #22 Exhibit 21, #23 Exhibit 22, #24 Exhibit 23, #25 Exhibit 24, #26 Exhibit 25, #27 Exhibit 26, #28 Exhibit 27, #29 Exhibit 28, #30 Exhibit 29, #31 Exhibit 30, #32 Exhibit 31, #33 Exhibit 32, #34 Exhibit 33, #35 Exhibit 34, #36 Exhibit 35, #37 Exhibit 36, #38 Exhibit 37, #39 Exhibit 38, #40 Exhibit 39, #41 Exhibit 40, #42 Exhibit 41, #43 Exhibit 42, #44 Exhibit 43, #45 Exhibit 44, #46 Exhibit 45, #47 Exhibit 46, #48 Exhibit 47, #49 Exhibit 48, #50 Exhibit 49, #51 Exhibit 50, #52 Exhibit 51, #53 Exhibit 52, #54 Exhibit 53, #55 Exhibit 54, #56 Exhibit 55, #57 Exhibit 56)(Yanez, Antonio)
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Filing 339
JOINT MEMORANDUM OF LAW in Support re: #338 JOINT MOTION to Dismiss The Shareholder Derivative Complaint Of Defendants Edwards, Fakahany, Kim, Lattanzio, Mallach, O'Neal and Semerci.. Document filed by Ahmass L. Fakahany, Jeffrey N. Edwards, E. Stanley O'Neal. (Yanez, Antonio)
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Filing 338
JOINT MOTION to Dismiss The Shareholder Derivative Complaint Of Defendants Edwards, Fakahany, Kim, Lattanzio, Mallach, O'Neal and Semerci. Document filed by Ahmass L. Fakahany, E. Stanley O'Neal, Jeffrey N. Edwards.(Yanez, Antonio)
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Filing 337
DECLARATION of Jonathan D. Polkes in Support re: #335 MOTION to Dismiss the Shareholder Derivative Complaint.. Document filed by Gregory J. Fleming. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Errata F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I, #10 Exhibit J)(Polkes, Jonathan)
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Filing 336
MEMORANDUM OF LAW in Support re: #335 MOTION to Dismiss the Shareholder Derivative Complaint.. Document filed by Gregory J. Fleming. (Polkes, Jonathan)
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Filing 335
MOTION to Dismiss the Shareholder Derivative Complaint. Document filed by Gregory J. Fleming.(Polkes, Jonathan)
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Filing 334
NOTICE OF APPEARANCE by Sameer Nitanand Advani on behalf of Jeffrey N. Edwards (Advani, Sameer)
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Filing 333
NOTICE OF APPEARANCE by Antonio Yanez, Jr on behalf of Jeffrey N. Edwards (Yanez, Antonio)
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Filing 332
MEMORANDUM OF LAW in Support re: #330 MOTION to Dismiss Plaintiff's Complaint.. Document filed by Merrill Lynch & Co., Inc., Bank of America Corporation. (Attachments: #1 Certificate of Service)(Kasner, Jay)
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Filing 331
DECLARATION of Jay B. Kasner in Support re: #330 MOTION to Dismiss Plaintiff's Complaint.. Document filed by Merrill Lynch & Co., Inc., Bank of America Corporation. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Certificate of Service)(Kasner, Jay)
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Filing 330
MOTION to Dismiss Plaintiff's Complaint. Document filed by Merrill Lynch & Co., Inc., Bank of America Corporation. Responses due by 1/26/2010 Return Date set for 2/23/2010 at 03:00 PM. (Attachments: #1 Certificate of Service)(Kasner, Jay)
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Filing 329
MOTION for Richard D. Bernstein to Appear Pro Hac Vice. Document filed by Jeffrey N. Edwards.(mro)
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Filing 328
MEMORANDUM OF LAW in Support re: #327 MOTION to File Amicus Brief.. Document filed by N.A. Lambrecht. (Cuneo, Jonathan)
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Filing 327
MOTION to File Amicus Brief. Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit Exhibit A - Memorandum of Proposed Amicus Curiae N.A. Lambrecht on the Question of Double Derivative Standing in Opposition to Defendants' Motions to Dismiss)(Cuneo, Jonathan)
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Filing 326
ORDER AWARDING ATTORNEYS' FEES AND EXPENSES; that this Order Awarding Attorneys' Fees and Expenses incorporates by reference the definitions in the Stipulation and Agreement of Settlement dated August 12, 2009 (the "Settlement Stipulation") and all terms used herein shall have the same meanings as set forth in the Settlement. The Court has jurisdiction to enter this Order Awarding Attorneys' Fees and Expenses, and over the subject matter of the Action and all parties to the Action, including all Settlement Class Members. Notice of Bond Counsel's application for attorneys' fees and reimbursement of expenses was given to all Settlement Class Members who could be identified with reasonable effort. The form and method of notifying the Settlement Class of the motion for attorneys' fees and expenses met the requirements of due process, Rule 23 of the Federal Rules of Civil Procedure, and Section 27 of the Securities Act of 1933, 15 U.S.C. 77z-1(a)(7), as amended by the Private Securities Litigation Reform Act of 1995, and constituted the best notice practicable under the circumstances, and constituted due and sufficient notice to all persons and entities entitled thereto. Plaintiffs' Counsel are hereby awarded attorneys' fees in the amount of 15% of the $150 million Settlement Amount, with interest thereon at the same net rate as earned by the Settlement Fund from the date the Settlement Fund was funded to the date of payment, which sum the Court finds to be fair and reasonable, and $507,794.07 in reimbursement of litigation expenses, which expenses shall be paid from the Settlement Fund. The award of attorneys' fees shall be allocated among Plaintiffs' Counsel in a manner which, in the opinion of Bond Counsel, fairly compensates Plaintiffs' Counsel for their respective contributions in the prosecution and settlement of the Action. Notwithstanding paragraph 29 of the Order Preliminarily Approving Settlement and Providing for Notice dated August 21, 2009, Bond Counsel are directed to hold back payment of 50% of the attorneys' fees awarded by this Court until distribution of the Settlement proceeds to Claimants has been very substantially completed. In the event that the Settlement is terminated or does not become Final in accordance with the terms of the Settlement Stipulation, this Order shall be rendered null and void to the extent provided by the Settlement Stipulation and shall be vacated in accordance with the Settlement Stipulation. There is no just reason for delay in the entry of this Order, and immediate entry by the Clerk of the Court is expressly directed. Additional relief as set forth in this Order. (Signed by Judge Jed S. Rakoff on 12/1/09) (pl)
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Filing 325
JUDGMENT approving settlement in favor of City of Pontiac General Employees Retirement System, City of Pontiac Police and Fire Retirement System, Iron Workers Local 580 Joint Funds, Life Enrichment Foundation, Louisiana Municipal Police Employees' Retirement System, Louisiana Sheriffs' Pension and Relief Fund, N.A. Lambrecht, National Electrical Contractors Association - International Brotherhood of Electrical Workers, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, State Teachers Retirement System of Ohio, Alan Maltzman, Barbara Boland, Carl Esposito, Dominick J. Pascullo, Eidman David, Elizabeth Estey, Francis Lee Summers, III, Gary Kosseff, James Eastman, Mary Gidaro, Michael J. Savena, Miriam Loveman, Patricia Arthur, Raymond Gonzales, Robert R. Garber, Sean Shaughnessey, Tara Moore against A.G. Edwards & Sons, Inc., Administrative Committee Defendants, Administrative Committee of the Merrill Lynch Co., Inc. 401 K Saving and Investment Plan, Adminstrative Committee of the Merrill Lynch Savings and Investment Plan, B.C. Ziegler and Company, Banc of America, Bank of America Corporation, Blaylock & Company, Inc, Citigroup Global Capital Markets Inc., Citigroup Global Markets Inc., Countrywide Securities Corporation, Deloitte & Touche LLP, Doley Securities, LLC, FTN Financial Securities Corp., Fixed Income Securities, LP, Goldman, Sachs & Co., Investment Committee Defendants, Investment Committee of the Merrill Lynch Savings and Investment Plan, J.P. Morgan Chase, J.P. Morgan Securities, John and Jane Doe 1, John and Jane Does 11-20, John and Jane Does 2-10, Mellon Financial Markets, LLC, Merrill Lynch & Co., Inc., Merrill Lynch & Co., Inc. Management Development and Compensation Committee, Merrill Lynch & Co., Inc. Plan Adminstrative Committee, Merrill Lynch & Co., Inc. Plan Investment Committee, Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, Ahmass L. Fakahany, Alberto Cribiore, Armando M. Codina, Carol T. Christ, Charles K. Gifford, E. Stanley O'Neal, Frank P. Bramble, Sr, Gary L. Countryman, Gregory J. Fleming, Heinz-Joachim Neuburger, Jeffrey N. Edwards, Jill K. Conway, John Does 1-10, John Does 1-20, John Does 1-30, John Does 21-40, John D. Finnegan, John T. Collins, Judith Mayhew Jonas, Louis Dimaria, Monica C. Lozano, Stanley O'Neal, Thomas J. May, Virgis W. Colbert, Walter E. Massey, William Barnet, III. (Signed by Judge Jed S. Rakoff on 11/25/09) (jf)
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Filing 324
TRANSCRIPT of proceedings held on November 18, 2009 at 3:30 pm before Judge Jed S. Rakoff. (eef)
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Filing 323
NOTICE OF APPEARANCE by Scott D. Musoff on behalf of Bank of America Corporation Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Musoff, Scott)
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Filing 322
NOTICE OF APPEARANCE by Jay B. Kasner on behalf of Bank of America Corporation Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Kasner, Jay)
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Filing 321
CERTIFICATE OF SERVICE. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System. (Lebovitch, Mark)
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Filing 320
SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #307 MOTION for Settlement Notice of Bond Plaintiffs Motion for Approval of Plan of Allocation of Settlement Proceeds., #309 MOTION for Attorney Fees Notice of Bond Counsels Motion for an Award of Attorneys Fees and Reimbursement of Litigation Expenses., #305 MOTION for Settlement Notice of Bond Plaintiffs Motion for Final Approval of Class Action Settlement and Certification of the Bond Class.. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System. (Lebovitch, Mark)
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Filing 319
REPLY MEMORANDUM OF LAW in Support re: (298 in 1:07-cv-09633-JSR-DFE, 110 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss /CORRECTED NOTICE OF MOTION TO DISMISS COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT.. Document filed by Merrill Lynch & Co., Inc., Bank of America Corporation, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Roth, Eric)
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Filing 318
REPLY MEMORANDUM OF LAW in Support re: (93 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss. Reply Memorandum of Law in Further Support of Defendant E. Stanley O'Neal's Motion to Dismiss the Verified Third Amended Shareholder Derivative and Class Action Complaint. Document filed by E. Stanley O'Neal. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Chepiga, Michael)
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Filing 317
REPLY MEMORANDUM OF LAW in Support re: (287 in 1:07-cv-09633-JSR-DFE, 99 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss the Verified Third Amended Derivative and Class Action Complaint.. Document filed by Ahmass L. Fakahany. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Benedict, James)
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Filing 316
REPLY MEMORANDUM OF LAW in Support re: (104 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss.. Document filed by Gregory J. Fleming. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Polkes, Jonathan)
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Filing 315
REPLY MEMORANDUM OF LAW in Support re: (107 in 1:07-cv-09696-JSR-DFE, 295 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss.. Document filed by John A. Thain. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 314
REPLY MEMORANDUM OF LAW in Support re: (94 in 1:07-cv-09696-JSR-DFE, 282 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss.. Document filed by Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Charles O. Rossotti, Ann N. Reese, Aulana L. Peters. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Halper, Jason)
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Filing 313
REPLY MEMORANDUM OF LAW in Support re: #279 MOTION to Dismiss the Verified Third Amended Shareholder Derivative and Class Action Complaint.. Document filed by Jeffrey N. Edwards. (Young, Michael)
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Filing 312
CERTIFICATE OF SERVICE. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System. (Lebovitch, Mark)
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Filing 311
DECLARATION of Max W. Berger and Mark Lebovitch in Support re: #307 MOTION for Settlement Notice of Bond Plaintiffs Motion for Approval of Plan of Allocation of Settlement Proceeds., #309 MOTION for Attorney Fees Notice of Bond Counsels Motion for an Award of Attorneys Fees and Reimbursement of Litigation Expenses., #305 MOTION for Settlement Notice of Bond Plaintiffs Motion for Final Approval of Class Action Settlement and Certification of the Bond Class.. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit Ex 2 Part 1, #3 Exhibit Ex 2 Part 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5, #7 Exhibit Ex 6)(Lebovitch, Mark)
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Filing 310
MEMORANDUM OF LAW in Support re: #309 MOTION for Attorney Fees Notice of Bond Counsels Motion for an Award of Attorneys Fees and Reimbursement of Litigation Expenses. Memorandum of Law in Support of Bond Counsels Motion for an Award of Attorneys Fees and Reimbursement of Litigation Expenses. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Lebovitch, Mark)
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Filing 309
MOTION for Attorney Fees Notice of Bond Counsels Motion for an Award of Attorneys Fees and Reimbursement of Litigation Expenses. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System.(Lebovitch, Mark)
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Filing 308
MEMORANDUM OF LAW in Support re: #307 MOTION for Settlement Notice of Bond Plaintiffs Motion for Approval of Plan of Allocation of Settlement Proceeds. Memorandum of Law in Support of Bond Plaintiffs Motion for Approval of Plan of Allocation of Settlement Proceeds. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System. (Lebovitch, Mark)
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Filing 307
MOTION for Settlement Notice of Bond Plaintiffs Motion for Approval of Plan of Allocation of Settlement Proceeds. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System.(Lebovitch, Mark)
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Filing 306
MEMORANDUM OF LAW in Support re: #305 MOTION for Settlement Notice of Bond Plaintiffs Motion for Final Approval of Class Action Settlement and Certification of the Bond Class. Memorandum of Law in Support of Bond Plaintiffs Motion for Final Approval of Class Action Settlement and Certification of the Bond Class. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System. (Attachments: #1 Exhibit A)(Lebovitch, Mark)
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Filing 305
MOTION for Settlement Notice of Bond Plaintiffs Motion for Final Approval of Class Action Settlement and Certification of the Bond Class. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System.(Lebovitch, Mark)
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Filing 304
STIPULATION AND ORDER: NOW, THEREFORE, IT IS STIPULATED AND AGREED, by and among the parties hereto, through their respective attorneys, that: 1. The Class Claims (Counts XIII through XVII) of the Third Amended Complaint are hereby dismissed with prejudice, and the Third Amended Complaint is deemed amended accordingly pursuant to Rule 15(a)(2) of the Federal Rules of Civil Procedure. This Order does not apply to Counts I through XII of the Third Amended Complaint and is without prejudice to any of defendants' positions with respect to those counts or the propriety of any amendments to the Second Amended Complaint. 2. No further notice of the dismissal of the Class Claims shall be given to the Class in view of the notice previously given to the Class in conjunction with the Delaware Court of Chancery's hearing with respect to the Settlement, which the Delaware Court of Chancery found to be due and adequate notice of the Class Claims, the proceedings, the Settlement and the terms and conditions of the dismissal of the Class Claims. (Signed by Judge Jed S. Rakoff on 10/20/2009) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(jfe)
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Filing 303
MEMORANDUM OF LAW in Opposition re: (107 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (93 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (94 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (110 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (101 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (91 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (104 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (99 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss.. Document filed by Miriam Loveman. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Brower, David)
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Filing 302
DECLARATION of David A.P. Brower in Opposition re: (107 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (93 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (94 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (110 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (101 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (91 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (104 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss., (99 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss.. Document filed by Miriam Loveman. (Attachments: #1 Exhibit A, #2 Exhibit B)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Brower, David)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 10/6/2009. (dle)
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Filing 301
ORDER TO SUBSTITUTE COUNSEL granting (274) Motion to Substitute Attorney. Added attorney Andrew J. Levander for John A. Thain, David Scott Hoffner for John A. Thain, Jennie Boehm Krasner for John A. Thain. in case 1:07-cv-09633-JSR-DFE. Law Firm of Dechert LLP is hereby substituted as counsel for defendant John A. Thain in this action in place of the law firm of Skadden, Arps, Slate, Meagher & Flom, LLP. (Signed by Judge Jed S. Rakoff on 9/23/09) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(tro)
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Filing 300
AFFIDAVIT of Eric M. Roth in Support re: (298 in 1:07-cv-09633-JSR-DFE, 110 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss /CORRECTED NOTICE OF MOTION TO DISMISS COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT.. Document filed by Bank of America Corporation, Merrill Lynch & Co., Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Roth, Eric)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 9/21/2009. (mro)
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Filing 299
MEMORANDUM OF LAW in Support re: (298 in 1:07-cv-09633-JSR-DFE, 110 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss /CORRECTED NOTICE OF MOTION TO DISMISS COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT. CORRECTED MEMORANDUM OF LAW. Document filed by Bank of America Corporation, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Roth, Eric)
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Filing 298
MOTION to Dismiss /CORRECTED NOTICE OF MOTION TO DISMISS COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT. Document filed by Bank of America Corporation, Merrill Lynch & Co., Inc.. Responses due by 10/19/2009 Return Date set for 11/9/2009 at 03:00 PM.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Roth, Eric)
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Filing 297
DECLARATION of Jennie B. Krasner in Support re: (295 in 1:07-cv-09633-JSR-DFE, 107 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss Plaintiff's Verified Third Amended Shareholder Derivative Complaint.. Document filed by John A. Thain. (Attachments: #1 Exhibit A, #2 Exhibit B 1of 3, #3 Exhibit B 2of3, #4 Exhibit B 3of3, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F 1of2, #9 Exhibit F 2of2)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 296
MEMORANDUM OF LAW in Support re: (107 in 1:07-cv-09696-JSR-DFE, 295 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss.. Document filed by John A. Thain. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 295
MOTION to Dismiss Plaintiff's Verified Third Amended Shareholder Derivative Complaint. Document filed by John A. Thain. Responses due by 10/19/2009 Return Date set for 11/9/2009 at 03:00 PM.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 294
DECLARATION of Jonathan D. Polkes in Support re: (104 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss.. Document filed by Gregory J. Fleming. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit c)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Polkes, Jonathan)
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Filing 293
MEMORANDUM OF LAW in Support re: (104 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss.. Document filed by Gregory J. Fleming. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Polkes, Jonathan)
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Filing 292
MOTION to Dismiss the Verified Third Amended Shareholder Derivative and Class Action Complaint. Document filed by Gregory J. Fleming.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Polkes, Jonathan)
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Filing 291
FILING ERROR - DUPLICATED DOCKET ENTRY - PLEASE SEE DOC. #300 - AFFIDAVIT of Eric M. Roth in Support re: (289 in 1:07-cv-09633-JSR-DFE, 101 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT.. Document filed by Bank of America Corporation. (Attachments: #1 Exhibit A, #2 Exhibit B)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Roth, Eric) Modified on 9/22/2009 (kco).
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Filing 290
FILING ERROR - DUPLICATED DOCKET ENTRY - PLEASE SEE DOC. #299 - MEMORANDUM OF LAW in Support re: (289 in 1:07-cv-09633-JSR-DFE, 101 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT.. Document filed by Bank of America Corporation, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Roth, Eric) Modified on 9/22/2009 (kco).
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Filing 289
FILING ERROR - DUPLICATED DOCKET ENTRY - PLEASE SEE DOC. #298 - MOTION to Dismiss COUNTS I THROUGH XII OF PLAINTIFF'S VERIFIED THIRD AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT. Document filed by Bank of America Corporation, Merrill Lynch & Co., Inc.. Responses due by 10/19/2009 Return Date set for 11/9/2009 at 03:00 PM.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Roth, Eric) Modified on 9/22/2009 (kco).
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Filing 288
MEMORANDUM OF LAW in Support re: (287 in 1:07-cv-09633-JSR-DFE, 99 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss the Verified Third Amended Derivative and Class Action Complaint.. Document filed by Ahmass L. Fakahany. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Benedict, James)
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Filing 287
MOTION to Dismiss the Verified Third Amended Derivative and Class Action Complaint. Document filed by Ahmass L. Fakahany.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Benedict, James)
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Filing 286
DECLARATION of Jason M. Halper in Support re: (94 in 1:07-cv-09696-JSR-DFE, 282 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss.. Document filed by Carol T. Christ, Armando D. Codina, Vergis W. Colbert, Alberto Cribiore, John D. Finnegan, Judtih Mayhem Jonas, Aulana L. Peters, Joseph W. Prueher, Ann N. Resse, Charles O. Rossotti. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Halper, Jason)
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Filing 285
MEMORANDUM OF LAW in Support re: (93 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss. Memorandum of Law In Support Of Defendant E. Stanley O'Neal's Motion to Dismiss The Verified Third Amended Shareholder Derivative And Class Action Complaint.. Document filed by Stanley O'Neal, E. Stanley O'Neal, E. Stanley O'Neal. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Chepiga, Michael)
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Filing 284
MEMORANDUM OF LAW in Support re: (94 in 1:07-cv-09696-JSR-DFE, 282 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss. Memorandum of Law in Support of the Former Merrill Lynch Outside Director Defendants' Motion to Dismiss Plaintiffs' Verified Third Amended Shareholder Derivative and Class Action Complaint. Document filed by Carol T. Christ, Armando D. Codina, Vergis W. Colbert, Alberto Cribiore, John D. Finnegan, Judtih Mayhem Jonas, Aulana L. Peters, Joseph W. Prueher, Ann N. Resse, Charles O. Rossotti. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Halper, Jason)
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Filing 283
DECLARATION of Michael J. Chepiga, Esq. in Support re: (93 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss.. Document filed by Stanley O'Neal, E. Stanley O'Neal, E. Stanley O'Neal. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Chepiga, Michael)
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Filing 282
MOTION to Dismiss /Notice of Motion of the Former Merrill Outside Director Defendants to Dismiss Plaintiffs' Verified Third Amended Shareholder Derivative and Class Action Complaint. Document filed by Carol T. Christ, Armando D. Codina, Vergis W. Colbert, Alberto Cribiore, John D. Finnegan, Judtih Mayhem Jonas, Aulana L. Peters, Joseph W. Prueher, Ann N. Resse, Charles O. Rossotti. Responses due by 10/19/2009 Return Date set for 11/9/2009 at 03:00 PM. (Attachments: #1 Verified Third Amended Shareholder Derivative and Class Action Complaint)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Halper, Jason)
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Filing 281
MOTION to Dismiss Notice of Defendant E. Stanley O'Neal's Motion to Dismiss The Verified Third Amended Shareholder Derivative And Class Action Complaint.. Document filed by Stanley O'Neal, E. Stanley O'Neal, E. Stanley O'Neal. Responses due by 10/19/2009 Return Date set for 11/9/2009 at 03:00 PM.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Chepiga, Michael)
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Filing 280
MEMORANDUM OF LAW in Support re: #279 MOTION to Dismiss the Verified Third Amended Shareholder Derivative and Class Action Complaint.. Document filed by Jeffrey N. Edwards. (Young, Michael)
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Filing 279
MOTION to Dismiss the Verified Third Amended Shareholder Derivative and Class Action Complaint. Document filed by Jeffrey N. Edwards.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Young, Michael)
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Filing 278
CERTIFICATE OF SERVICE of Notice of Motion and Supporting Documents. Document filed by John A. Thain. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 277
DECLARATION of Scott D. Musoff in Support re: (85 in 1:07-cv-09696-JSR-DFE) MOTION to Substitute Attorney. Old Attorney: Skadden, Arps, Slate, Meagher & Flom, LLP, New Attorney: Dechert LLP.. Document filed by John A. Thain. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 276
AFFIDAVIT of David S. Hoffner in Support re: (85 in 1:07-cv-09696-JSR-DFE) MOTION to Substitute Attorney. Old Attorney: Skadden, Arps, Slate, Meagher & Flom, LLP, New Attorney: Dechert LLP.. Document filed by John A. Thain. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 275
AFFIDAVIT of John A. Thain in Support re: (85 in 1:07-cv-09696-JSR-DFE) MOTION to Substitute Attorney. Old Attorney: Skadden, Arps, Slate, Meagher & Flom, LLP, New Attorney: Dechert LLP.. Document filed by John A. Thain. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 274
MOTION to Substitute Attorney. Old Attorney: Skadden, Arps, Slate, Meagher & Flom, LLP, New Attorney: Dechert LLP. Document filed by John A. Thain.Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Hoffner, David)
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Filing 273
ORDER: By Order dated August 24, 2009, the Court preliminarily approved the settlement and provision of notice in the above-captioned matter. The Court accordingly dismisses as moot any outstanding motions to dismiss. The Clerk of the Court is hereby directed to close document numbers 13, 15, 22, 43, and 46 on the docket of this case. (Signed by Judge Jed S. Rakoff on 8/26/2009) (jfe)
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Filing 271
ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE: The Court, for purposes of this Order, adopts all defined terms as set forth in the Settlement Stipulation. Pursuant to Rules 23(a)(b)(3) of the FRCP and for the purposes of the Settlement Only, the Bond Action which is part of this consolidated litigation is hereby preliminarily certified as a class action as further set forth herein. Pursuant to Rule 23 of the FRCP, preliminarily and for the purposes of Settlement only, Bond plaintiffs Louisiana Sheriffs' Pension and Relief Fund and Louisiana Municipal Police Employees' Retirement System are certified as Class Representatives on behalf of the Settlement Class and Bond Counsel is hereby appointed as Class Counsel for the Settlement Class. The Court preliminarily approves the Settlement on the terms set forth in the Settlement Stipulation, subject to further consideration at the final approval hearing to be held before this Court on 11/23/09 at 4:00 p.m. at the USDC for the SDNY, 500 Pearl Street, New York, NY 10007. The Court approves the form, substance and requirements of the Notice of Pendency of Class Action and Proposed Settlement, Settlement Fairness hearing and Motion for Attorneys' Fees and Reimbursement of Litigation Expenses, the summary notice of pendency of class action and proposed settlement, settlement fairness hearing and motion for attorneys' fees and the proof of claim and release form as further set forth herein. The Court approves the selection of Analytics Incorporated by Bond Counsel as the Claims Administrator as further set forth herein. Bond Counsel may pay up to $750,000.00 from the Settlement Fund, without further approval from defendants or further order of the Court, for reasonable notice and administration costs actually incurred. Notwithstanding any provision anywhere in this case that could be otherwise interpreted, no attorneys' fees shall be paid or otherwise distributed until after all other authorized distributions of funds have occurred. (Signed by Judge Jed S. Rakoff on 8/21/09) (Attachments: #1 ORDER)(dle)
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Filing 272
JUDGMENT #09,1612 Co-lead Attorney's fees and expenses in the amount of $ 19,122,312.94. (Signed by Judge Jed S. Rakoff on 8/21/09) (jf) (Additional attachment(s) added on 8/24/2009: #1 notice of right to appeal) (jf).
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Filing 270
STIPULATION AND ORDER EXTENDING THE TIME FOR DEFENDANTS TO MOVE OR ANSWER: It is hereby stipulated and agreed by and between the parties that the time for defendants to move or answer with respect to the Verified Third Amended Shareholder Derivative and Class Action Complaint is hereby extended until September 21, 2009. (Signed by Judge Jed S. Rakoff on 8/12/2009) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(jpo)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 8/6/2009. (mro)
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Filing 269
TRANSCRIPT of proceedings held on 7/27/09 before Judge Jed S. Rakoff. (pl)
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Filing 268
TRANSCRIPT of proceedings held on 7/1/09 before Judge Jed S. Rakoff. (pl)
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Filing 267
ORDER GRANTING CO-LEAD COUNSEL'S MOTION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF EXPENSES: It is hereby ordered that the motion is hereby GRANTED. The Court hereby finds and concludes that the fee request and the request for reimbursement of expenses are fair and reasonable to Members of the Settlement Class. The Court hereby awards $37,121,250, or 7.815% of $475 million, plus interest in proportion to the interest earned on the Settlement Fund, to Co-Lead Counsel as attorneys' fees, which amount shall be allocated by and among Co-Lead Counsel and such other counsel for Plaintiffs by Co-Lead Counsel in a manner which Co-Lead Counsel, in their sole discretion, believe fairly compensates such other counsel for their respective contributions to the prosecution and settlement of the action. The Court hereby approves the request for reimbursement of expenses in the amount of $1,071,790.55. The finality of the Judgment entered with respect to the Settlement between Plaintiffs and Defendants shall not be affected in any manner by this Order, or any appeal from this Order approving the fee request or request for reimbursement of expenses. The finality of the Judgment entered with respect to the Settlement between Plaintiffs and Defendants shall not be affected in any manner by this Order, or any appeal from this Order approving the fee request or request for reimbursement of expenses. The notice described herein provided the best notice practicable under the circumstances. Said notice provided due and adequate notice of these proceedings and the matters set forth therein, including the fee request, to all persons entitled to such notice, and said notice fully satisfied the requirements of Rule 23 of the Federal Rules of Civil Procedure and the requirements of due process. There is no just reason for delay in the entry of this Order Granting Co-Lead Counsel's Motion for an Award of Attorneys' Fees, and immediate entry of this Order by the Clerk of the Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Jed S. Rakoff on 7/31/2009) (jpo)
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Filing 266
ORDER APPROVING PLAN OF ALLOCATION: It is hereby ordered, adjudged and decreed that the Court hereby approves the Plan of Allocation and finds that: The Plan of Allocation is, in all respects, fair, reasonable and adequate and in the best interest of the Settlement Class; The Plan of Allocation was the product of informed decisions by Lead Plaintiff and Co-Lead Counsel; and Lead Plaintiff and Co-Lead Counsel have adequately evaluated and considered the legal and factual issues in arriving at the Plan of Allocation, including in consultation with Lead Plaintiffs damage expert, among other things. Accordingly, the Court having authorized and directed implementation of all the terms and provisions of the Settlement Stipulation and the Order and Final Judgment, and having found that the Plan of Allocation is fair, reasonable and adequate as to the Members of the Settlement Class, Lead Plaintiff, Co-Lead Counsel, the Claims Administrator and the Defendants are directed to consummate the Settlement, including without limitation, the processing of claims submitted in accordance with the terms and provisions of the Settlement Stipulation and the Plan of Allocation. This Order Approving the Plan of Allocation is subject to all provisions of the Order and Final Judgment, and nothing in this Order Approving the Plan of Allocation shall affect or negate any provisions of the Order and Final Judgment. There is no just reason for delay in the entry of this Order Approving Plan of Allocation, and immediate entry by the Clerk of the Court is directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. Without affecting the finality of the Order and Final Judgment in any way, the Court hereby retains continuing jurisdiction over the parties and the Settlement Class Members for all matters relating to the Securities Action, including the administration, interpretation, effectuation or enforcement of the Settlement Stipulation, the Plan of Allocation, the processing of any Proof of Claim and Release form, this Order Approving the Plan of Allocation, the Order and Final Judgment, and any application for fees and expenses in this litigation including without limitation any such fees and expenses incurred in connection with administering and distributing the settlement proceeds to the Settlement Class Members. (Signed by Judge Jed S. Rakoff on 7/31/2009) (jpo)
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Filing 265
FINAL JUDGMENT AND ORDER settling action. (Signed by Judge Jed S. Rakoff on 7/31/09) (Attachments: #1 notice of right to appeal)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(ml)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 7/29/2009. (tro)
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Filing 264
THIRD AMENDED COMPLAINT amending #108 Amended Complaint,,, against Walter E. Massey, William Barnet, III, Frank P. Bramble, Sr, John T. Collins, Gary L. Countryman, Charles K. Gifford, Kenneth D. Lewis, Monica C. Lozano, Thomas J. May, Thomas M. Ryan, Merrill Lynch & Co., Inc., John A. Thain, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Aulana Peters, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti, E. Stanley O'Neal, Aulana L. Peters, Banc of America. Document filed by Miriam Loveman. Related document: #108 Amended Complaint,,, filed by Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, Patricia Arthur.(dle) (dle).
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Filing 263
DECLARATION of Lynn Sarko and Marc Machiz in Support re: (253 in 1:07-cv-09633-JSR-DFE) MOTION for Settlement for Final Approval of Class Action Settlement and Plan of Allocation., (255 in 1:07-cv-09633-JSR-DFE) MOTION for Attorney Fees , Expenses, and Case Contribution Awards.. Document filed by Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland. (Attachments: #1 Exhibit A to Declaration, #2 Exhibit B -KR Lodestar, #3 Exhibit C-KRPLC Lodestar, #4 Exhibit D-CohenMilsteinLodestar)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Sarko, Lynn)
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Filing 262
REPLY MEMORANDUM OF LAW in Support re: (253 in 1:07-cv-09633-JSR-DFE) MOTION for Settlement for Final Approval of Class Action Settlement and Plan of Allocation., (255 in 1:07-cv-09633-JSR-DFE) MOTION for Attorney Fees , Expenses, and Case Contribution Awards. Plaintiffs Reply in Further Support of: Motion for Final Approval of Class Action Settlement and Plan of Allocation and Motion for Award of Attorneys Fees, Expenses and Case Contribution Awards. Document filed by Alan Maltzman, Mary Gidaro, Carl Esposito, Barbara Boland. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Sarko, Lynn)
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Filing 261
DECLARATION of Charles E. Ferrara in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 260
SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 259
PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material.... (Signed by Judge Jed S. Rakoff on 7/10/2009) (jfe)
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Filing 258
CERTIFICATE OF SERVICE. Document filed by Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland. (Sarko, Lynn)
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Filing 257
DECLARATION of Lynn L. Sarko and Marc I. Machiz in Support re: #255 MOTION for Attorney Fees , Expenses, and Case Contribution Awards., #253 MOTION for Settlement for Final Approval of Class Action Settlement and Plan of Allocation.. Document filed by Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit, #8 Exhibit, #9 Exhibit, #10 Exhibit, #11 Exhibit, #12 Exhibit, #13 Exhibit, #14 Exhibit, #15 Exhibit, #16 Exhibit, #17 Exhibit, #18 Exhibit, #19 Exhibit, #20 Exhibit, #21 Exhibit, #22 Exhibit, #23 Exhibit, #24 Exhibit)(Sarko, Lynn)
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Filing 256
MEMORANDUM OF LAW in Support re: #255 MOTION for Attorney Fees , Expenses, and Case Contribution Awards.. Document filed by Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland. (Sarko, Lynn)
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Filing 255
MOTION for Attorney Fees , Expenses, and Case Contribution Awards. Document filed by Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland.(Sarko, Lynn)
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Filing 254
MEMORANDUM OF LAW in Support re: #253 MOTION for Settlement for Final Approval of Class Action Settlement and Plan of Allocation.. Document filed by Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland. (Sarko, Lynn)
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Filing 253
MOTION for Settlement for Final Approval of Class Action Settlement and Plan of Allocation. Document filed by Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland. (Attachments: #1 Text of Proposed Order)(Sarko, Lynn)
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Filing 252
CERTIFICATE OF SERVICE. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 251
DECLARATION of Bill S. McIntyre in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 250
DECLARATION of William J. Neville in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 249
DECLARATION of Dennis P. Smith in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 248
DECLARATION of R. Alan Miller in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 247
DECLARATION of Charles E. Ferrara in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 246
DECLARATION of Frederic S. Fox, Lawrence J. Lederer, and M. Richard Komins in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class., #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds., #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Attachments: #1 Appendix of Exhibits (Part 1), #2 Appendix of Exhibits (Part 2), #3 Appendix of Exhibits (Part 3), #4 Appendix of Exhibits (Part 4), #5 Appendix of Exhibits (Part 5), #6 Appendix of Exhibits (Part 6), #7 Appendix of Exhibits (Part 7), #8 Appendix of Exhibits (Part 8))(Fox, Frederic)
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Filing 245
MEMORANDUM OF LAW in Support re: #244 MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 244
MOTION for Attorney Fees Notice of Motion and Motion of Co-Lead Counsel for an Award of Attorneys Fees and Reimbursement of Expenses. Document filed by State Teachers Retirement System of Ohio.(Fox, Frederic)
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Filing 243
MEMORANDUM OF LAW in Support re: #242 MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 242
MOTION Notice of Lead Plaintiffs Motion and Motion for Approval of Plan of Allocation of Settlement Proceeds. Document filed by State Teachers Retirement System of Ohio.(Fox, Frederic)
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Filing 241
MEMORANDUM OF LAW in Support re: #240 MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class.. Document filed by State Teachers Retirement System of Ohio. (Fox, Frederic)
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Filing 240
MOTION for Settlement Notice of Lead Plaintiffs Motion and Motion for Final Approval of Class Action Settlement and Certification of the Settlement Class. Document filed by State Teachers Retirement System of Ohio.(Fox, Frederic)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 6/25/2009. (tro)
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Filing 239
NOTICE OF CHANGE OF ADDRESS by Mark Holland on behalf of Morgan Stanley & Co. Incorporated, Citigroup Global Capital Markets Inc., SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. New Address: Goodwin Procter LLP, The New York Times, 620 Eighth Avenue, New York, New York, USA 10018-1045, 212-813-8800. (Holland, Mark)
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Filing 238
NOTICE OF CHANGE OF ADDRESS by Mary Kathryn Dulka on behalf of Morgan Stanley & Co. Incorporated, Citigroup Global Capital Markets Inc., SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. New Address: Goodwin Procter LLP, The New York TImes Building, 620 Eighth Avenue, New York, New York, USA 10018-1405, 212-813-8800. (Dulka, Mary)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 6/16/2009. (mro)
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Filing 237
PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material. SO ORDERED. (Signed by Judge Jed S. Rakoff on 6/3/2009) [Filed in related cases 07-cv-10268-JSR-DFE, 08-cv-9063-JSR-DFE.](tve)
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Filing 236
NOTICE OF CHANGE OF ADDRESS by David Steven Preminger on behalf of Mary Gidaro, Alan Maltzman, Carl Esposito, Barbara Boland. New Address: Keller Rohrback, L.L.P. (New York office), 770 Broadway, Second Floor, New York, New York, USA 10003, (646) 495-6198. (Preminger, David)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 5/5/2009. (mro)
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Filing 234
ORDER. The Court is in receipt of a motion dated April 1, 2009 by pro se movants Roxana Saberi, Jonathan Lee Riches, and Alberto Fujimori to intervene pursuant to Fed. R. Civ. P. Rule 24 in the settlement proceedings related to the above-captioned matters. Upon review, the Court can discern no grounds upon which the movants can justify their request to intervene and therefore finds that the motion lacks any merit. Accordingly, the Court hereby denies the motion. (Signed by Judge Jed S. Rakoff on 4/23/09); motion not on file (djc)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 4/21/2009. (mro)
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Filing 235
MOTION to object to settlement offer., MOTION to Intervene as Plaintiffs under Fed. R. Civ. P. Rule 24(A), 2 24(B). Document filed by Jjonathan Lee Riches. ( docmt received in dktg for dktg on 4/30/09)(djc)
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Filing 233
DECLARATION of Mark Lebovitch in Opposition re: #224 MOTION to Dismiss the Corrected Amended Complaint by the Underwriter Defendants., #227 MOTION to Dismiss The Corrected Consolidated Amended Complaint.. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Locals 40, 361, 417 Union Security Funds, Iron Workers Local 580 Joint Funds, City of Pontiac Police and Fire Retirement System, City of Pontiac General Employees Retirement System. (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)(Lebovitch, Mark)
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Filing 232
MEMORANDUM OF LAW in Opposition re: #224 MOTION to Dismiss the Corrected Amended Complaint by the Underwriter Defendants., #227 MOTION to Dismiss The Corrected Consolidated Amended Complaint.. Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Locals 40, 361, 417 Union Security Funds, Iron Workers Local 580 Joint Funds, City of Pontiac Police and Fire Retirement System, City of Pontiac General Employees Retirement System. (Attachments: #1 Appendix A)(Lebovitch, Mark)
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Filing 231
ORDER By letter dated April 3, 2009, Courtroom View Network ("CVN") has applied to record audio-visual coverage of the hearing on April 23, 2009 at 4:00 PM in the above-captioned matter. If any party has any objection to the application, counsel for that party must fax to the Court a letter stating the objections by no later than Monday, April 13, 2009 at 5PM. CVN must then respond to any such objection by faxing its response to the Court and counsel for the parties by no later than Friday, April 17, 2009 at 5PM. (Signed by Judge Jed S. Rakoff on 4/7/09) (mme)
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Filing 230
NOTICE of Compendium Of Unreported Decisions And Other Authorities Cited In The Motion Of The Merrill Lynch Defendants And Individual Defendants To Dismiss The Corrected Consolidated Amended Complaint re: #227 MOTION to Dismiss The Corrected Consolidated Amended Complaint.. Document filed by Merrill Lynch & Co., Inc., John A. Thain, Heinz-Joachim Neuburger, Ahmass L. Fakahany, Lawrence A. Tosi, Armando M. Codina, Jill K. Conway, David K. Newbigging, Merrill Lynch, Pierce, Fenner & Smith Incorporated, E. Stanley O'Neal, Gregory J. Fleming, Jeffrey N. Edwards, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. (Attachments: #1 ( Tab 1 ), #2 ( Tab 2 ), #3 ( Tab 3 ), #4 ( Tab 4 ), #5 ( Tab 5 ), #6 ( Tab 6 ), #7 ( Tab 7 ), #8 ( Tab 8 ), #9 ( Tab 9 ), #10 ( Tab 10 ), #11 ( Tab 11 ), #12 ( Tab 12 ), #13 ( Tab 13 ), #14 ( Tab 14 ), #15 ( Tab 15 ))(Kasner, Jay)
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Filing 229
DECLARATION of Jay B. Kasner in Support re: #227 MOTION to Dismiss The Corrected Consolidated Amended Complaint.. Document filed by Merrill Lynch & Co., Inc., John A. Thain, Heinz-Joachim Neuburger, Ahmass L. Fakahany, Gregory J. Fleming, Lawrence A. Tosi, Armando M. Codina, Jill K. Conway, David K. Newbigging, Merrill Lynch, Pierce, Fenner & Smith Incorporated, E. Stanley O'Neal, Jeffrey N. Edwards, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. (Attachments: #1 Exhibit J, #2 Exhibit K, #3 Exhibit L, #4 Exhibit M, #5 Exhibit N, #6 Exhibit O, #7 Exhibit P, #8 Exhibit Q, #9 Exhibit R, #10 Exhibit S, #11 Exhibit T, #12 Exhibit U, #13 Exhibit V, #14 Exhibit W, #15 Exhibit X, #16 Exhibit Y, #17 Exhibit Z, #18 Exhibit AA, #19 Exhibit BB, #20 Exhibit CC, #21 Exhibit DD)(Kasner, Jay)
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Filing 228
MEMORANDUM OF LAW in Support re: #227 MOTION to Dismiss The Corrected Consolidated Amended Complaint.. Document filed by Merrill Lynch & Co., Inc., John A. Thain, Heinz-Joachim Neuburger, Ahmass L. Fakahany, Lawrence A. Tosi, Armando M. Codina, Jill K. Conway, David K. Newbigging, Merrill Lynch, Pierce, Fenner & Smith Incorporated, E. Stanley O'Neal, Gregory J. Fleming, Jeffrey N. Edwards, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. (Kasner, Jay)
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Filing 227
MOTION to Dismiss The Corrected Consolidated Amended Complaint. Document filed by Merrill Lynch & Co., Inc., John A. Thain, Heinz-Joachim Neuburger, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Lawrence A. Tosi, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Jill K. Conway, David K. Newbigging, Merrill Lynch, Pierce, Fenner & Smith Incorporated, E. Stanley O'Neal, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. Responses due by 4/10/2009 Return Date set for 4/23/2009 at 04:00 PM. (Attachments: #1 ( Corrected Consolidated Amended Complaint ), #2 ( Exhibits To Corrected Consolidated Amended Complaint ), #3 ( Appendix To Corrected Consolidated Amended Complaint ))(Kasner, Jay)
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Filing 226
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by Morgan Stanley & Co. Incorporated, Citigroup Global Capital Markets Inc., SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC.(Holland, Mark)
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Filing 225
MEMORANDUM OF LAW in Support re: #224 MOTION to Dismiss the Corrected Amended Complaint by the Underwriter Defendants.. Document filed by Morgan Stanley & Co. Incorporated, Citigroup Global Capital Markets Inc., SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Holland, Mark)
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Filing 224
MOTION to Dismiss the Corrected Amended Complaint by the Underwriter Defendants. Document filed by Morgan Stanley & Co. Incorporated, Citigroup Global Capital Markets Inc., SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Attachments: #1 Corrected Amended Complaint, #2 Appendix to Corrected Amended Complaint, #3 Exhibits to Corrected Amended Complaint)(Holland, Mark)
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Filing 223
STIPULATION AND ORDER DISMISSING THE TOLLED UNDERWRITERS WITHOUT PREJUDICE; The Tolled Underwriters are dismissed without prejudice pursuant to Fed. R. Civ. P. 41(a)(2). The dismissal of the Tolled Underwriters shall under no circumstances be considered a first voluntary dismissal pursuant to Fed. R. Civ. P. 41(a)(1). IT IS SO ORDERED. (Signed by Judge Jed S. Rakoff on 3/18/2009) (tve)
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Filing 222
NOTICE OF APPEARANCE by Jennie Boehm Krasner on behalf of John A. Thain (Krasner, Jennie)
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Filing 221
NOTICE OF APPEARANCE by David Scott Hoffner on behalf of John A. Thain (Hoffner, David)
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Filing 220
NOTICE OF APPEARANCE by Andrew J. Levander on behalf of John A. Thain (Levander, Andrew)
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Filing 219
STIPULATION AND AGREEMENT OF SETTLEMENT ERISA ACTION (Relates to 07cv10268(JSR)(DFE): Without any admission or concession on the part ofNamed Plaintiffsof any lack of merit of the ERISA Action whatsoever, and without any admission or concession of any liability or wrongdoing or lack of merit in the defenses whatsoever by Defendants, it is hereby STIPULATED AND AGREED, by and between the parties to this Stipulation, through their respective counsel, subject to approval of the Court pursuant to Rule 23(e) ofthe Federal Rules of Civil Procedure, in consideration of the benefits flowing to the parties hereto from the Settlement herein set forth, that all Settled Claims (as defined herein), as against the Released Parties (as defined herein), and all Settled Defendants' Claims (as defined herein) shall be compromised, settled, released and dismissed with prejudice, upon and subject to the following terms andconditions [Listed as 1-10]..................(3)SETTLEMENT CONSIDERATION (3.1) On or before the tenth (10th) day following the date the Stipulation is fully executed, Merrill Lynch shall deliver by wire transfer $75,000,000 into an interest-bearing escrow account established by Co-Lead Counsel for the Settlement Amount (the "Settlement Fund"). All other details and conditions are as further set forth in said Order. (Signed by Judge Jed S. Rakoff on 3/16/09) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-10268-JSR-DFE(db)
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Filing 218
CORRECTED AMENDED CLASS ACTION COMPLAINT amending #216 Amended Complaint,,,, against Heinz-Joachim Neuburger, Merrill Lynch & Co., Inc., John A. Thain, Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Lawrence A. Tosi, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Jill K. Conway, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, David K. Newbigging, Aulana Peters, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, E. Stanley O'Neal, Aulana L. Peters, Morgan Stanley & Co. Incorporated, Morgan Stanley & Co. Incorporated, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wells Fargo Securities, LLC.Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Locals 40, 361, 417 Union Security Funds, Iron Workers Local 580 Joint Funds, City of Pontiac Police and Fire Retirement System, City of Pontiac General Employees Retirement System. Related document: #216 Amended Complaint,,,, filed by City of Pontiac General Employees Retirement System, City of Pontiac Police and Fire Retirement System, Iron Workers Local 580 Joint Funds, National Electrical Contractors Association - International Brotherhood of Electrical Workers, Louisiana Sheriffs' Pension and Relief Fund, Iron Workers Locals 40, 361, 417 Union Security Funds, Louisiana Municipal Police Employees' Retirement System. (Attachments: #1 Exhibit)(dle) (Additional attachment(s) added on 3/20/2009: #2 APPENDIX) (dle).
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Filing 217
ORDER PRELIMINARY APPROVING SETTLEMENT, PRELIMINARY CERTIFYING SETTLEMENT CLASS, APPROVING NOTICE PLAN, AND SETTING FAIRNESS HEARING DATE: The Court preliminarily finds that the requirements of the United States Constitution, the Federal Rules of Civil Procedure, the Local Rules of the United States District Court for the Southern District of New York, and any other applicable laws have been met as to the "Class" further defined in this order. The Court preliminarily appoints Named Plaintiffs Carl Esposito, Barbara Boland, Alan Maltzman, and Mary Gidaro as class representatives for the Class, and Keller Rohrback L.L.P. and Cohen Milstein Sellers & Toll PLLC as Co-Lead Counsel for the Class. The Court preliminarily finds that the proposed Settlement should be approved as: (a) fair, reasonable and adequate; (b) the product of serious, informed, arm's-length, and non-collusive negotiations; (c) having no obvious deficiencies; (d) not improperly granting preferential treatment to Class representatives or segments of the Class; (e) falling within the range of possible approval; and (f) warranting notice to Class members of a formal fairness hearing, at which evidence may be presented in support of and in opposition to the proposed Settlement. A hearing is scheduled for July 27, 2009 at 4:00 p.m. (the "Fairness Hearing") to determine, among other things. Reasonable expenses up to $250,000 incurred in implementing the provisions of paragraph 6 above pertaining to providing notice of the Settlement, as well as Taxes as provided for in the Settlement Agreement, shall be paid solely from the Gross Settlement Fund (including reimbursement to the Co-Lead Counsel from the Gross Settlement Fund upon notice to Defendants' counsel) pursuant to direction by Co-Lead Counsel, without further order of this Court. No amount above $250,000 shall be paid from the Gross Settlement Fund for these purposes without further order of this Court. (Signed by Judge Jed S. Rakoff on 3/16/09) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-10268-JSR-DFE(mme)
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Filing 215
REQUEST FOR REMOVAL FROM DOCKET AND SERVICE LISTS: Pursuant to Court order dated 8/12/08, Plaintiff David Eidman voluntarily dismissed the action, 08-cv-03392(LBS) against all defendant without prejudice pursuant to F.R.C.P. 41(a)(1). Therefore, Plaintiff Eidman respectfully requests that his counsel, Mr. Bashian, be removed from the docket and any service lists in this above captioned case. SO ORDERED. Attorney James Vary Bashian terminated. (Signed by Judge Jed S. Rakoff on 3/13/09) (tro)
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Filing 216
AMENDED CLASS ACTION COMPLAINT FOR VIOLATIONS OF SECTIONS 11, 12 AND 15 OF THE SECURITIES ACT OF 1933 against John A. Thain, Merrill Lynch & Co., Inc., Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Lawrence A. Tosi, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Jill K. Conway, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, David K. Newbigging, Aulana Peters, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, E. Stanley O'Neal, Aulana L. Peters, Morgan Stanley & Co. Incorporated, Citigroup Global Capital Markets Inc., Morgan Stanley & Co. Incorporated, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wells Fargo Securities, LLC.Document filed by Louisiana Sheriffs' Pension and Relief Fund, Louisiana Municipal Police Employees' Retirement System, National Electrical Contractors Association - International Brotherhood of Electrical Workers, Iron Workers Locals 40, 361, 417 Union Security Funds, Iron Workers Local 580 Joint Funds, City of Pontiac Police and Fire Retirement System, City of Pontiac General Employees Retirement System.(dle)
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Filing 213
AMENDED JUDGMENT amending (201 in 1:07-cv-09633-JSR-DFE, 24 in 1:08-cv-06582-LBS) Clerk's Judgment, that for the reasons stated in the Court's Opinion and Order dated February 17, 2009, defendants motions to dismiss the Lambrecht Action (08 Civ. 6582) for lack of standing is granted, and judgment is entered dismissing the Lambrecht Action without prejudice to refiling in the circumstances state in the Court's Opinion and Order dated February 17, 2009. (Signed by J. Michael McMahon, clerk on 3/6/09) (Attachments: #1 NOTICE OF RIGHT TO APPEAL)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:08-cv-06582-LBS(ml)
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CASHIERS OFFICE REMARK on #203 Order, Add and Terminate Attorneys,, in the amount of $25.00, paid on 02/11/2009, Receipt Number 679129. (jd)
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Filing 212
ORDER: As the parties in the above-captioned ERISA Action have reached a preliminary settlement (subject to court approval), certain motions previously filed are now moot, and accordingly, the Clerk of the Court is directed to close document number 110 under docket number 07 Civ. 9633 and document numbers 2, 6, 9, 23, 24, 52, 59, 66, 85 under docket number 07 Civ. 10268. [ORDER finding as moot (110) Motion to Dismiss in case 1:07-cv-09633-JSR-DFE; finding as moot (23) Motion to Appoint Counsel ; finding as moot (23) Motion to Appoint ; finding as moot (23) Motion to Consolidate Cases ; finding as moot (24) Motion to Consolidate Cases ; finding as moot (52) Motion to Dismiss; finding as moot (59) Motion to Strike ; finding as moot (66) Motion to Dismiss; finding as moot (2) Motion to Consolidate Cases ; finding as moot (85) Motion to Withdraw as Attorney. ; finding as moot (6) Motion to Consolidate Cases ; finding as moot (6) Motion to Appoint Counsel ; finding as moot (6) Motion to Appoint ; finding as moot (9) Motion to Consolidate Cases ; finding as moot (9) Motion to Appoint ; finding as moot (9) Motion to Appoint Counsel in case 1:07-cv-10268-JSR-DFE]. (Signed by Judge Jed S. Rakoff on 3/5/09) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-10268-JSR-DFE(db)
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Filing 211
ORDER: As the parties in the above-captioned Securities Action havereached a preliminary settlement, certain motions previously filedare now moot, and accordingly, the Clerk of the Court is directed toclose document numbers 4, 8, 11, 46, 53, 58, 65, 72, 74, 76, 79, 82,86, and 102. So Ordered. (Signed by Judge Jed S. Rakoff on 3/5/09) (js)
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Filing 209
ORDER: Pursuant to the Court's Orders dated February 27, 2009 and March 3, 2009 dismissing the derivative counts in the Derivative Action, 07 Civ. 9696 and dismissing the Lambrecht Action, 08 Civ. 6582 in its entirety, the Clerk of the Court is directed to close document numbers 137, 141, 143, 190, 193, and 196 under master docket number 07 Civ. 9633. So Ordered. (Signed by Judge Jed S. Rakoff on 3/5/09) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:08-cv-06582-LBS(js)
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Filing 214
ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE: A hearing (the "Settlement Fairness Hearing") pursuant to Federal Rule of Civil Procedure 23(e) is hereby scheduled to be held before the Court on July 27,2009 at 4:00 p.m. Co-Lead Counsel are authorized to establish a Notice and Administration Fund (as defined in the Settlement Stipulation) in the initial amount of $2,000,000 to be used for reasonable out-of-pocket costs in connection with providing notice of the Settlement to the Settlement Class and for other reasonable out-of-pocket administrative expenses related to the Notice. Additional amounts may be transferred from the Settlement Fund to the Notice andAdministration Fund as required for such purposes but only after express written authorization of the Court. In order to be entitled to participate in the Net Settlement Fund, as defined in the Settlement Stipulation, in the event the Settlement is effected in accordance with all of the terms and conditions thereof, each Settlement Class Member shall take the following action and be subject to the following conditions: (a) A properly executed Proof of Claim (the "Proof of Claim"), substantially in the form attached hereto as Exhibit 2, must be submitted to the Claims Administrator, at the Post Office Box specified in the Notice, postmarked not later than September 9, 2009. This deadline may be further extended by Order of the Court. Each Proof of Claim shall be deemed to have been submitted when postmarked (if properly addressed and mailed by first class mail) provided the Proof of Claim is actually received prior to the filing of a motion for an Order of the Court approving distribution of the Net Settlement Fund. Any Proof of Claim submitted in any other manner shall be deemed to have been submitted when it was actually received at the address designated in the Notice. Settlement Class Members shall be bound by all determinations and judgments in the Securities Action, whether favorable or unfavorable, unless such persons request exclusion from the Settlement Class in a timely and proper manner, as hereinafter provided. A Settlement Class Member wishing to make such request shall mail the request in written form, by first class mail, postage prepaid, and postmarked no later than July 6, 2009 to the Post Office Box address listed in the Notice. The Court will consider comments and/or objections to the Settlement, the Plan of Allocation, or the award of attorneys' fees and reimbursement of expenses, only if such comments or objections and any supporting papers are served on or before July 6, 2009. All papers in support of the Settlement, the Plan of Allocation and any application for attorneys' fees or expenses shall be filed and served on June 26, 2009. In the event that the Settlement is not consummated pursuant to its terms, the Settlement Stipulation, except as otherwise provided therein, including any amendment(s) thereto, and this Order Preliminarily Approving Settlement and Providing For Notice, shall be null and void, of no further force or effect, and without prejudice to any party, and may not be introduced as evidence or referred to in any action or proceedings by any person or entity, and each party shall be restored to his, her or its respective position as it existed prior to the execution of the Settlement Stipulation. The Court retains exclusive jurisdiction over the action to consider all further matters arising out of, or connected with, the Settlement. ( Settlement Conference set for 7/27/2009 at 04:00 PM before Judge Jed S. Rakoff.) (Signed by Judge Jed S. Rakoff on 3/2/2009) (jmi) (Additional attachment(s) added on 3/9/2009: #1 exhibits, #2 exhibits, #3 exhibits) (jmi).
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Filing 210
STIPULATION AND AGREEMENT OR SETTLEMENT : NOW THEREFORE, without any admission or concession on the part of Lead Plaintiff or Co-Lead Counsel of any lack of merit in the claims asserted, and without any admission or concession of any liability or wrongdoing or lack of merit in the defenses whatsoever by Defendants, it is hereby STIPULATED AND AGREED, by and among the parties to this Settlement Stipulation, through their respective attorneys, subject to approval of the District Court pursuant to Rule 23(e) of the Federal Rules of Civil Procedure, the PSLRA and other conditions set forth herein, in consideration of the benefits flowing to the parties hereto, that the Securities Action and all Released Claims as against the Released Parties (defined below) shall be finally and fully compromised, settled, released and dismissed, on the merits and with prejudice, in the manner and upon and subject to the terms and conditions set forth herein. All provisions as set forth in this order. So Ordered. (Signed by Judge Jed S. Rakoff on 3/2/09) (js)
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Filing 208
AMENDED ORDER OF DISMISSAL: The relief is hereby granted from the Judgment entered in the Consolidated Derivative Action (07 Civ. 9696), and the Opinion and Order, and the direction to the Clerk of the Court in the Opinion and Order to enter judgment in the Consolidated Derivative Action (07 Civ. 9696) and the Lambrecht Action (08 Civ. 6582), is hereby amended, as follows: (a) The Opinion and Order is hereby amended to read that " for the reasons stated in the Court's Opinion and Order dated 2/17/09, defendants' motion to dismiss Counts I through VIII of the Complaint in the Consolidated Derivative Action (07 Civ. 9696) only, and the Lambrecht Action (08 Civ. 6582) in its entirety, for lack of standing is granted without prejudice to refiling in the circumstances stated in the Court's Opinion and Order dated 2/17/09; (b) The Judgment is hereby vacated, and is null and void, nunc pro tunc; (c) The Clerk is directed to enter an amended judgment dismissing the Lambrecht Action only, without prejudice to refiling in the circumstances stated in the Opinion and Order. (Signed by Judge Jed S. Rakoff on 3/3/09) (tro)
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Filing 207
MEMORANDUM ORDER: On February 17 and 19, 2009, the Court heard oral argument on the defendants' motions to dismiss the complaint in the above-captioned matter, which alleges violations of sections 11, 12 and 15 of the Securities Act of 1933. While the Court reserved judgment so as to give plaintiffs the opportunity to file an Amended Complaint, the Court to give guidance to plaintiffs' counsel in drafting that complaint, indicated from the bench, see transcript 2/19/09, and confirmed in the Court's recent scheduling order dated 2/23/09, that it would provide a determination of whether the avertments of the present Complaint sufficiently sound in fraud as to be subject to the heightened pleading standard of Rule 9(b), F.R.C.P. The Court now determines that the current Complaint is, in fact, subject to Rule 9(b). Alternatively, even if not asserting fraud, plaintiffs' counsel may deem it prudent to draft his Amended Complaint with any eye to the requirements of Rule 9(b). In any event, the Court, as previously indicated, will only take up the motions to dismiss after the Amended Complaint is filed and the Court receives the further briefing permitted by its Order of 2/23/09. (Signed by Judge Jed S. Rakoff on 2/27/09) (tro) Modified on 3/25/2009 (tro).
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Transmission to Judgments and Orders Clerk. Transmitted re: (25 in 1:08-cv-06582-LBS, 76 in 1:07-cv-09696-JSR-DFE) Order of Dismissal, to the Judgments and Orders Clerk. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE, 1:08-cv-06582-LBS(tro)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 3/2/2009. (mro)
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Transmission to Attorney Admissions Clerk. Transmitted re: #186 Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tve)
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CASHIERS OFFICE REMARK on #186 Order Admitting Attorney Pro Hac Vice, in the amount of $25.00, paid on 01/22/2009, Receipt Number 675387. (jd)
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Filing 205
ORDER: At oral argument on the pending motions to dismiss the complaint held on February 19, 2009 in the above captioned matter, the Court scheduled several dates with respect to the anticipated Amended Complaint and associated motions to dismiss. Specifically: By February 27, 2009, the Court will issue a short order stating whether the averments set forth in the instant Complaint sufficiently sound in fraud as to be subject to the requirements of F.R.C.P. 9(b); Any Amended Complaint must be filed by March 13, 2009; Defendants' papers in support of any motion to dismiss the Amended Complaint must be filed by March 27, 2009; Plaintiffs answering papers in opposition to any motion by defendants to dismiss the Amended Complaint must be filed by April 10, 2009; No reply papers will be permitted but the Court will hear oral argument on April 23, 2009 at 4:00 p.m., as set forth herein. By April 30, 2009, the Court will issue a "bottom line ruling on any motion to dismiss the Amended Complaint with opinion to follow in due course. (Signed by Judge Jed S. Rakoff on 2/23/2009) (jpo)
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Filing 203
ORDER FOR ADMISSION PRO HAC VICE OF RICHARD D. BERNSTEIN: Richard D. Bernstein is admitted to practice pro hac vice as counsel for Defendant Jeffrey N. Edwards in this action. Attorney Richard D. Bernstein for Jeffrey N. Edwards added. (Signed by Judge Jed S. Rakoff on 2/20/09) (tro)
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Transmission to Attorney Admissions Clerk. Transmitted re: #203 Order, Add and Terminate Attorneys, to the Attorney Admissions Clerk for updating of Attorney Information. (tro)
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Filing 204
TRANSCRIPT of proceedings held on January 20, 2009 before Judge Jed S. Rakoff. (ad)
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Filing 201
*VACATED*- CLERK'S JUDGMENT That for the reasons stated in the Court's Opinion and Order dated February 17, 2009, defendants' motion to dismiss actions 07 Civ. 9696 and 08 Civ. 6582 for lack of standing is granted and judgment is entered dismissing the actions without prejudice to refiling in the circumstances stated in the Court's Opinion and Order dated February 17, 2009. (JUDGMENT VACATED BY ORDER FILED 3/3/09) (Signed by J. Michael McMahon, clerk on 2/18/09) (Attachments: #1 notice of right to appeal)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE, 1:08-cv-06582-LBS(ml) Modified on 3/6/2009 (ml).
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/18/2009. (mro)
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Filing 200
OPINION AND ORDER #97086: For the foregoing reasons, defendants' motions to dismiss actions 07-Civ-9696 and 08-Civ-6582 for lack of standing is hereby granted. Clerk to enter judgment dismissing the actions without prejudice to refiling in the circumstances stated above. So Ordered. (Signed by Judge Jed S. Rakoff on 2/17/09) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:08-cv-06582-LBS(js) Modified on 2/18/2009 (mro).
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Transmission to Judgments and Orders Clerk. Transmitted re: (23 in 1:08-cv-06582-LBS) Memorandum & Opinion,, to the Judgments and Orders Clerk. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:08-cv-06582-LBS(js)
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Filing 199
ORDER FOR ADMISSION PRO HAC VICE OF RICHARD D. BERNSTEIN: granting #88 Motion for Richard D. Bernstein to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 2/12/2009) (jfe)
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Transmission to Attorney Admissions Clerk. Transmitted re: #199 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jfe)
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Filing 202
MOTION for Richard D. Bernstein to Appear Pro Hac Vice. Document filed by Jeffrey N. Edwards.(dle)
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Filing 198
NOTICE OF APPEARANCE by Michael Richard Young on behalf of Jeffrey N. Edwards (Young, Michael)
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Filing 197
MEMORANDUM OF LAW in Support re: #196 MOTION to Dismiss the Lousiana Sheriffs' Pension and Relief Fund Complaint in Case Number 08cv9063 by the Underwriter Defendants.. Document filed by Morgan Stanley & Co. Incorporated, A.G. Edwards & Sons, Inc., ANZ Securities, Inc, B.C. Ziegler and Company, Banc of America, Banc of America Securites, LLC, Countrywide Securities Corporation, Barclays Capital Inc, BB&T Capital Markets, a division of Scott & Stringfellow, Inc., BBVA Securities, Inc, Blaylock & Company, Inc, Blaylock Robert Van, LLC, BMO Capital Markets Corp., BMY Capital Markets, Inc., Cabrera Capital Markets, LLC, CastleOak Securities L.P, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Capital Markets Inc., D.A. Davidson & Co., Davenport & Company LLC, Deutsche Bank Securities Inc., Doley Securities, LLC, Ferris, Baker Watts, Incorporated, Fidelity Capital Markets a division of National Financial Services Corp., Fifth Third Securities, Inc., Fixed Income Securities, LP, Fixed Income Securities, Inc., Fortis Securities LLC, FTN Financial Securities Corp., Goldman, Sachs & Co., Greenwich Capital Markets, Inc., H&R Block Financial Advisors, Inc, HSBC Securities, HVB Capital Markets, Inc., J.B. Hanauer & Co., J.J.B. Hilliard, W.L. Lyons, Inc., J.P. Morgan Chase, J.P. Morgan Securities, Jackson Securities LLC, Janney Montgomery Scott LLC, Jeffries & Company, Inc., KBC Financial Products USA, Inc., Keefe, Bruyette & Woods, Inc., KeyBanc Capital Markets Inc, Loop Capital Markets, Mellon Financial Markets, LLC, Mesirow Financial, Inc, Mizuho Securities USA Inc., Morgan Keegan & Company, Inc., Muriel Seibert & Co., Inc., nabCapital Securities, LLC, NatCity Investments, Inc, Natixis Bleichroeder Inc, Oppenheimer & Co., Inc., Pershing LLC, Piper Jaffray & Co., PNC Capital Markets LLC, Raymond James & Associates, Inc., RBC Capital Markets Corporation, RBC Dain Rauscher Inc., RBS Greenwich Capital, Robert W. Baird & Co. Incorporated, Santander Investment Securities Inc, Sterne Agee Capital Markets, Inc., Stifel, Nicolaus & Company, Incorporated, Stone & Youngberg LLC, Stringfellow, Inc, Suntrust Capital Markets, Inc., SunTrust Robinson Humphrey, Inc., TD Ameritrade, Inc., The Williams Capital Group, L.P., Toussaint Capital Partners, LLC, U.S. Bancorp Investments, Inc., UBS Securities LLC, Unicredit Capital Markets, Inc, Utendahl Capital Partners, L.P., Vining-Sparks IBG, Limited Partnership, Wachovia Capital Markets, LLC, Wachovia Securities, Inc., Wedbush Morgan Securities Inc., Wells Fargo Securities, LLC, William Blair & Company, LLC, Zions Direct, Inc.. (Holland, Mark)
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Filing 196
MOTION to Dismiss the Lousiana Sheriffs' Pension and Relief Fund Complaint in Case Number 08cv9063 by the Underwriter Defendants. Document filed by A.G. Edwards & Sons, Inc., ANZ Securities, Inc, B.C. Ziegler and Company, Banc of America, Banc of America Securites, LLC, Countrywide Securities Corporation, Barclays Capital Inc, BB&T Capital Markets, a division of Scott & Stringfellow, Inc., BBVA Securities, Inc, Blaylock & Company, Inc, Blaylock Robert Van, LLC, BMO Capital Markets Corp., BMY Capital Markets, Inc., Cabrera Capital Markets, LLC, CastleOak Securities L.P, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Capital Markets Inc., D.A. Davidson & Co., Davenport & Company LLC, Deutsche Bank Securities Inc., Doley Securities, LLC, Ferris, Baker Watts, Incorporated, Fidelity Capital Markets a division of National Financial Services Corp., Fifth Third Securities, Inc., Fixed Income Securities, LP, Fixed Income Securities, Inc., Fortis Securities LLC, FTN Financial Securities Corp., Goldman, Sachs & Co., Greenwich Capital Markets, Inc., H&R Block Financial Advisors, Inc, HSBC Securities, HVB Capital Markets, Inc., J.B. Hanauer & Co., J.J.B. Hilliard, W.L. Lyons, Inc., J.P. Morgan Chase, J.P. Morgan Securities, Jackson Securities LLC, Janney Montgomery Scott LLC, Jeffries & Company, Inc., KBC Financial Products USA, Inc., Keefe, Bruyette & Woods, Inc., KeyBanc Capital Markets Inc, Loop Capital Markets, Mellon Financial Markets, LLC, Mesirow Financial, Inc, Mizuho Securities USA Inc., Morgan Keegan & Company, Inc., Morgan Stanley & Co. Incorporated, Muriel Seibert & Co., Inc., nabCapital Securities, LLC, NatCity Investments, Inc, Natixis Bleichroeder Inc, Oppenheimer & Co., Inc., Pershing LLC, Piper Jaffray & Co., PNC Capital Markets LLC, Raymond James & Associates, Inc., RBC Capital Markets Corporation, RBC Dain Rauscher Inc., RBS Greenwich Capital, Robert W. Baird & Co. Incorporated, Samuel A. Ramirez & Co. Inc., Santander Investment Securities Inc, Sterne Agee Capital Markets, Inc., Stifel, Nicolaus & Company, Incorporated, Stone & Youngberg LLC, Stringfellow, Inc, Suntrust Capital Markets, Inc., SunTrust Robinson Humphrey, Inc., TD Ameritrade, Inc., The Williams Capital Group, L.P., Toussaint Capital Partners, LLC, U.S. Bancorp Investments, Inc., UBS Securities LLC, Unicredit Capital Markets, Inc, Utendahl Capital Partners, L.P., Vining-Sparks IBG, Limited Partnership, Wachovia Capital Markets, LLC, Wachovia Securities, Inc., Wedbush Morgan Securities Inc., Wells Fargo Securities, LLC, William Blair & Company, LLC, Zions Direct, Inc.. (Attachments: #1 Exhibit Complaint-Case 08 cv 9063)(Holland, Mark)
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Filing 195
MEMORANDUM OF LAW in Support re: #193 MOTION to Dismiss The Complaint.. Document filed by Merrill Lynch & Co., Inc., Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Jeffrey N. Edwards, Merrill Lynch Capital Trust III, Lawrence A. Tosi, Armando M. Codina, Jill K. Conway, David K. Newbigging, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. (Kasner, Jay)
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Filing 194
DECLARATION of Jay B. Kasner in Support re: #193 MOTION to Dismiss The Complaint.. Document filed by Merrill Lynch & Co., Inc., Ahmass L. Fakahany, Gregory J. Fleming, Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Jeffrey N. Edwards, Merrill Lynch Capital Trust III, Lawrence A. Tosi, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Jill K. Conway, David K. Newbigging, Merrill Lynch, Pierce, Fenner & Smith Incorporated, E. Stanley O'Neal, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. (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)(Kasner, Jay)
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Filing 193
MOTION to Dismiss The Complaint. Document filed by Merrill Lynch & Co., Inc., Ahmass L. Fakahany, Gregory J. Fleming, Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Jeffrey N. Edwards, Merrill Lynch Capital Trust III, Lawrence A. Tosi, Armando M. Codina, Jill K. Conway, David K. Newbigging, Merrill Lynch, Pierce, Fenner & Smith Incorporated, E. Stanley O'Neal, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. Responses due by 2/13/2009 (Attachments: #1 ( Complaint ))(Kasner, Jay)
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Filing 192
DECLARATION of Charles E. Davidow in Support re: #190 MOTION to Dismiss the Class Action Complaint.. Document filed by Deloitte & Touche LLP. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Affidavit of Service)(Davidow, Charles)
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Filing 191
MEMORANDUM OF LAW in Support re: #190 MOTION to Dismiss the Class Action Complaint.. Document filed by Deloitte & Touche LLP. (Attachments: #1 Affidavit of Service)(Karp, Brad)
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Filing 190
MOTION to Dismiss the Class Action Complaint. Document filed by Deloitte & Touche LLP. (Attachments: #1 Affidavit of Service)(Karp, Brad)
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Filing 189
NOTICE OF APPEARANCE by Claudia Leslie Hammerman on behalf of Deloitte & Touche LLP (Attachments: #1 Affidavit of Service)(Hammerman, Claudia)
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Filing 188
MEMO ENDORSEMENT on REQUEST FOR REMOVAL FROM DOCKET SERVICE LISTS. Plaintiff request that his counsel, Mr. Schwartz and Mr. Kroub, be removed from the docket and any service lists in the above captioned case. ENDORSEMENT: SO ORDERED. (Signed by Judge Jed S. Rakoff on 2/4/2009) (jpo)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/4/2009. (mro)
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Filing 206
TRANSCRIPT of proceedings held on January 20, 2009 before Judge Jed S. Rakoff. (mro)
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Filing 187
TRANSCRIPT of proceedings held on January 14, 2009 before Judge Jed S. Rakoff. (mro)
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Filing 186
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: Matthew E. Miller is admitted to practice pro hac vice as counsel for Plaintiff N.A. Lanbrecht. (Signed by Judge Jed S. Rakoff on 1/17/2009) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:08-cv-06582-LBS(tve)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Oral Argument held on 1/20/2009 on motion to dismiss. (mro)
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Filing 185
ORDER, that the motion of Richard D. Greenfield, Esq. and the law firm of Greenfield & Goodman, LLC seeking leave to withdraw as counsel for Plaintiff N.A. Lambrecht is GRANTED. (Signed by Judge Jed S. Rakoff on 1/16/09) (pl)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Oral Argument held on 1/14/2009, on motion to dismiss. The Court scheduled further argument for January 20th at 11:00 AM. (mro)
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Filing 184
REPLY MEMORANDUM OF LAW in Support re: #141 MOTION to Dismiss The Complaint., #143 MOTION to Dismiss Plaintiffs' Verified Second Amended Shareholder Derivative And Class Action Complaint.. Document filed by Merrill Lynch & Co., Inc.. (Kasner, Jay)
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Filing 183
DECLARATION of Scott D. Musoff in Support re: #141 MOTION to Dismiss The Complaint., #143 MOTION to Dismiss Plaintiffs' Verified Second Amended Shareholder Derivative And Class Action Complaint.. Document filed by Merrill Lynch & Co., Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Kasner, Jay)
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Filing 182
DECLARATION of Richard D. Greenfield in Support re: (48 in 1:07-cv-10984-LBS-DFE, 18 in 1:08-cv-06582-LBS, 50 in 1:07-cv-11626-LBS-DFE, 71 in 1:07-cv-09696-JSR-DFE, 181 in 1:07-cv-09633-JSR-DFE, 85 in 1:07-cv-10268-JSR-DFE, 43 in 1:07-cv-09837-LBS-DFE, 42 in 1:07-cv-11080-LBS-DFE) MOTION for Richard D. Greenfield to Withdraw as Attorney.. Document filed by N.A. Lambrecht. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Greenfield, Richard)
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Filing 181
MOTION for Richard D. Greenfield to Withdraw as Attorney. Document filed by N.A. Lambrecht. (Attachments: #1 Text of Proposed Order)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Greenfield, Richard)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Richard Greenfield to RE-FILE Document (69 in 1:07-cv-09696-JSR-DFE, 48 in 1:07-cv-11626-LBS-DFE, 80 in 1:07-cv-10268-JSR-DFE, 41 in 1:07-cv-09837-LBS-DFE, 40 in 1:07-cv-11080-LBS-DFE, 179 in 1:07-cv-09633-JSR-DFE, 46 in 1:07-cv-10984-LBS-DFE) MOTION for Richard D. Greenfield to Withdraw as Attorney. ERROR(S): Supporting documents must be filed individually. Use the event type Declaration in Support found under event list Replies, Oppositions, Supporting Documents. REMINDER: The motion must first be re-filed, then file supporting document and link it to the correctly re-filed motion. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(jar)
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Filing 180
SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Bank Of America Corporation as Corporate Parent. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated.Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Kasner, Jay)
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Filing 179
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Richard D. Greenfield to Withdraw as Attorney. Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit Declaration of Richard D. Greenfield, #2 Exhibit Proposed Order Granting Motion to Withdraw)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Greenfield, Richard) Modified on 1/9/2009 (jar).
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 1/7/2009. (mro)
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Filing 178
DECLARATION of Jonathan W. Cuneo, Esq. in Opposition re: #141 MOTION to Dismiss The Complaint.. Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit 7, #2 Exhibit 8, #3 Exhibit 9, #4 Exhibit 10, #5 Exhibit 11)(Cuneo, Jonathan)
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Filing 177
SUPPLEMENTAL MEMORANDUM OF LAW in Opposition re: #141 MOTION to Dismiss The Complaint.. Document filed by N.A. Lambrecht. (Cuneo, Jonathan)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Jonathan Cuneo to E-MAIL Document No. #175 Notice to Withdraw of Appearance to judgments@nysd.uscourts.gov. This document is not filed via ECF. (jar)
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Filing 176
MEMORANDUM OF LAW in Opposition re: (59 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss Plaintiff's Verified Second Amended Shareholder Derivative And Class Action Complaint.. Document filed by Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, Patricia Arthur, Miriam Loveman. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Brower, David)
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Filing 175
FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - NOTICE of of Withdrawal of Appearance (of Richard D. Greenfield, Esq. and Greenfield & Goodman, LLC). Document filed by N.A. Lambrecht. (Cuneo, Jonathan) Modified on 12/24/2008 (jar).
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Filing 174
DECLARATION of Jonathan W. Cuneo, Esq. in Opposition re: #141 MOTION to Dismiss The Complaint.. Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6)(Cuneo, Jonathan)
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Filing 173
MEMORANDUM OF LAW in Opposition re: #141 MOTION to Dismiss The Complaint.. Document filed by N.A. Lambrecht. (Cuneo, Jonathan)
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Filing 172
DECLARATION of Scott D. Musoff in Support re: (141 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss The Complaint., (59 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss Plaintiff's Verified Second Amended Shareholder Derivative And Class Action Complaint., (143 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss Plaintiffs' Verified Second Amended Shareholder Derivative And Class Action Complaint., (8 in 1:08-cv-06582-LBS) MOTION to Dismiss The Complaint.. Document filed by Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE, 1:08-cv-06582-LBS(Kasner, Jay)
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Filing 171
SUPPLEMENTAL MEMORANDUM OF LAW in Support re: (141 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss The Complaint., (59 in 1:07-cv-09696-JSR-DFE) MOTION to Dismiss Plaintiff's Verified Second Amended Shareholder Derivative And Class Action Complaint., (143 in 1:07-cv-09633-JSR-DFE) MOTION to Dismiss Plaintiffs' Verified Second Amended Shareholder Derivative And Class Action Complaint., (8 in 1:08-cv-06582-LBS) MOTION to Dismiss The Complaint.. Document filed by Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE, 1:08-cv-06582-LBS(Kasner, Jay)
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Filing 170
REPLY MEMORANDUM OF LAW in Support re: (28 in 1:07-cv-11080-LBS-DFE, 34 in 1:07-cv-10984-LBS-DFE, 59 in 1:07-cv-10268-JSR-DFE, 36 in 1:07-cv-11626-LBS-DFE, 102 in 1:07-cv-09633-JSR-DFE, 29 in 1:07-cv-09837-LBS-DFE, 30 in 1:07-cv-09696-JSR-DFE) MOTION to Strike.. Document filed by State Teachers Retirement System of Ohio. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Kaplan, Robert)
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CASHIERS OFFICE REMARK on #167 Order on Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 11/20/2008, Receipt Number 670358. (jd)
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Filing 169
ORDER REGARDING COORDINATION OF ACTIONS Bond Plaintiffs will not seek remand of the Bond Action to state court. Except as set forth in paragraphs 6 and 7, below, the Bond Action shall proceed on a coordinated basis for all pre-trial purposes with the Consolidated Securities Action. Lead Plaintiff shall serve as Lead Plaintiff with regard to the Consolidated Securities Action and the Bond Action. The authority of Co-Lead Counsel in the Consolidated Securities Action set forth in the Court's March 12, 2008 Order entered in the Consolidated Securities Action shall extend to the Bond Action. Bond Plaintiffs and Bond Counsel shall have primary responsibility for prosecuting all claims on behalf of investors in Merrill Lynch bonds and investors in Merrill Lynch preferred shares that are identified in the Bond Action but not the Consolidated Securities Action, including with respect to filing pleadings, motions and briefs, subject to the supervision and authority of Lead Plaintiff and Co-Lead Counsel. Lead Plaintiff shall serve as Lead Plaintiff with regard to the Consolidated Securities Action and the Bond Action. Within five (5) days of the Court's entering of an Order deciding the pending motions 10 dismiss the Amended Complaint in the Consolidated Securities Action, the parties in the Bond Action will confer regarding a proposed schedule for the filing of an amended complaint (if any) in the Bond Action and for the time for Defendants to answer, move or otherwise respond to the operative pleading. Defendants' time to answer, move or otherwise respond to the current complaint in the Bond Action is adjourned until further order of the Court. To the extent discovery is permitted in the Consolidated Securities Action, the Bond Action will proceed along the same schedule. The parties in the Bond Action shall participate in any such discovery that takes place in the Consolidated Action, regardless of any motions to dismiss that may be pending in the Bond Action. Should any motions to dismiss be filed in the Bond Action, those motions shall not result in any stay of discovery or otherwise of the Consolidated Securities Action provided that discovery is otherwise permitted to proceed in the Consolidated Securities Action. To the extent discovery in the Consolidated Securities Action is permitted, the deadlines set forth in the Court's October 23, 2008 Order shall apply to the Bond Action. No party in the coordinated actions shall seek any extensions of such deadlines on the basis of the filing of an amended complaint (if any) in the Bond Action, the Court's adjournment of Defendants' time to answer, move or otherwise respond to the complaint in the Bond Action or the filing of any motions to dismiss in the Bond Action. Defendants reserve all rights and defenses regarding the merits and coordination of the Bond Action and Consolidated Securities Action. (Signed by Judge Jed S. Rakoff on 12/3/08) (mme)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/26/2008. (mro)
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Filing 168
ORDER: accordingly, each oral argument can now begin at 2:00 PM. Specifically:(1) oral argument on the pending motions in the Derivative Action and the related Lambrecht Action will be heard on Wednesday, January 14, 2009 at 2:00 PM; (2) oral argument on the pending motions in the Securities Action and in the related case of Louisiana Sheriffs' Pension and Relief Fund, et al. v. Merrill Lynch & Co. Inc. et al., 08 Civ. 9063, will be heard on Thursday, January 15, 2009 at 2:00 PM; and (3) oral argument on the pending motions in the ERISA Action will be held on Friday, January 16, 2009 at 2:00 PM. (Signed by Judge Jed S. Rakoff on 11/24/08) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(js)
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Filing 167
ORDER granting #166 Motion for Robin Switzenbaum and David Anziska to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 11/21/08) (js)
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Set Deadlines/Hearings: Oral Argument set for 1/16/2009 at 02:00 PM before Judge Jed S. Rakoff. (js)
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Transmission to Attorney Admissions Clerk. Transmitted re: #167 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (js)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/24/2008. (mro)
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Filing 165
NOTICE OF APPEARANCE by Mary Kathryn Dulka on behalf of Citigroup Global Markets Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated (Dulka, Mary)
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Filing 164
NOTICE OF APPEARANCE by George Arnold Schieren on behalf of Citigroup Global Markets Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated (Schieren, George)
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Filing 163
NOTICE OF APPEARANCE by Mark Holland on behalf of Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., UBS Securities LLC, Wachovia Capital Markets, LLC (Holland, Mark)
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Filing 166
MOTION for David Anziska and Robin Switzenbaum to Appear Pro Hac Vice. Document filed by State Teachers Retirement System of Ohio.(dle)
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Filing 162
NOTICE of Firm Name Change. Document filed by Barbara Boland. (Attachments: #1 Exhibit Certificate of Service)(Yau, Michelle)
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Filing 161
AFFIDAVIT OF SERVICE of corrected copies of notice of motion...; memorandum of law.....; declaration of Robert N. Kaplan...; served on all counsels of record via ECF System on 9/19/08. Document filed by Mary Gidaro. (djc)
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Filing 160
REPLY MEMORANDUM OF LAW in Support re: (110 in 1:07-cv-09633-JSR-DFE, 66 in 1:07-cv-10268-JSR-DFE) MOTION to Dismiss the Consolidated Supplemental Complaint.. Document filed by Merrill Lynch & Co., Inc., Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants, E. Stanley O'Neal, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-10268-JSR-DFE(Baskin, Stuart)
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Filing 159
DECLARATION of Jay B. Kasner in Opposition re: #102 MOTION to Strike Extrinsic Documents and Certain Arguments Made by the Merrill Defendants and Defendants Edwards, ONeal, Fakahany and Fleming in their Motions to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit WW, #2 Exhibit XX, #3 Exhibit YY, #4 Exhibit ZZ, #5 Exhibit AAA, #6 Exhibit BBB, #7 Exhibit CCC)(Kasner, Jay)
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Filing 158
DECLARATION of Charles E. Davidow in Support re: #82 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Deloitte & Touche LLP. (Davidow, Charles)
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Filing 157
DECLARATION of Jay B. Kasner in Support re: #86 MOTION to Dismiss the Consolidated Amended Class Action Complaint. MOTION to Strike Certain Allegations.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit WW, #2 Exhibit XX, #3 Exhibit YY, #4 Exhibit ZZ, #5 Exhibit AAA, #6 Exhibit BBB, #7 Exhibit CCC)(Kasner, Jay)
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Filing 156
CERTIFICATE OF SERVICE of Reply Memorandum of Law. Service was made by FedEx. Document filed by Gregory J. Fleming. (Allerhand, Joseph)
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Filing 155
REPLY MEMORANDUM OF LAW in Support re: #82 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Deloitte & Touche LLP. (Karp, Brad)
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Filing 154
NOTICE of Compendium of Unreported Decisions Cited in the Combined Memorandum of Law (A) in Reply in Further Support of their Motion to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations; and (B) in Opposition to Plaintiffs' Motion to Strike Extrinsic Documents re: #152 Memorandum of Law in Opposition to Motion, #151 Reply Memorandum of Law in Support of Motion,. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Tab 1, #2 Tab 2, #3 Tab 3, #4 Tab 4, #5 Tab 5, #6 Tab 6, #7 Tab 7, #8 Tab 8, #9 Tab 9, #10 Tab 10, #11 Tab 11, #12 Tab 12, #13 Tab 13, #14 Tab 14, #15 Tab 15, #16 Tab 16, #17 Tab 17, #18 Tab 18, #19 Tab 19, #20 Tab 20, #21 Tab 21, #22 Tab 22, #23 Tab 23, #24 Tab 24)(Kasner, Jay)
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Filing 153
REPLY MEMORANDUM OF LAW in Support re: #79 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Gregory J. Fleming. (Allerhand, Joseph)
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Filing 152
MEMORANDUM OF LAW in Opposition re: #102 MOTION to Strike Extrinsic Documents and Certain Arguments Made by the Merrill Defendants and Defendants Edwards, ONeal, Fakahany and Fleming in their Motions to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Kasner, Jay)
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Filing 151
REPLY MEMORANDUM OF LAW in Support re: #86 MOTION to Dismiss the Consolidated Amended Class Action Complaint. MOTION to Strike Certain Allegations.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Kasner, Jay)
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Filing 150
REPLY MEMORANDUM OF LAW in Support re: #58 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Stanley O'Neal. (Chepiga, Michael)
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Filing 149
REPLY MEMORANDUM OF LAW in Support re: #74 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Ahmass L. Fakahany. (Canellos, George)
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Filing 148
REPLY MEMORANDUM OF LAW in Support re: #65 MOTION to Dismiss The Consolidated Amended Class Action Complaint.. Document filed by Jeffrey N. Edwards. (Kwan-Gett, Mei Lin)
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Filing 147
ORDER For the reasons set forth in this order, if the parties are interested, they should confer with each other and report back to the Court in the next few weeks. (Signed by Judge Jed S. Rakoff on 11/12/08) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(mme)
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Filing 146
ORDER For the reasons set forth in this order, the Court makes the following determinations: (1) Counsel in the Lambrecht Action is hereby granted leave to separately litigate any motion to dismiss the Lambrecht Complaint, independent of the Executive Committee. (2) The Court hereby denies Lambrecht's request for limited expedited discovery with respect to the demand refusal, without prejudice to revisiting that issue at the time of oral argument on a motion to dismiss. (3) The Court hereby consolidates the Lambrecht Action with the other cases constituting the Derivative Action for all other pretrial purposes. (4) The Court preserves the Executive Committee structure in its current composition, reserving the possibility of revising its structure at a later date. (Signed by Judge Jed S. Rakoff on 11/13/08) (mme)
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Filing 145
DECLARATION of Scott D. Musoff in Support re: #143 MOTION to Dismiss Plaintiffs' Verified Second Amended Shareholder Derivative And Class Action Complaint.. Document filed by Merrill Lynch & Co., Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Kasner, Jay)
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Filing 144
MEMORANDUM OF LAW in Support re: #143 MOTION to Dismiss Plaintiffs' Verified Second Amended Shareholder Derivative And Class Action Complaint.. Document filed by Merrill Lynch & Co., Inc.. (Kasner, Jay)
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Filing 143
MOTION to Dismiss Plaintiffs' Verified Second Amended Shareholder Derivative And Class Action Complaint. Document filed by Merrill Lynch & Co., Inc.. Responses due by 12/23/2008 Return Date set for 1/15/2009 at 05:00 PM.(Kasner, Jay)
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Filing 142
MEMORANDUM OF LAW in Support re: #141 MOTION to Dismiss The Complaint.. Document filed by Merrill Lynch & Co., Inc.. (Kasner, Jay)
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Filing 141
MOTION to Dismiss The Complaint. Document filed by Merrill Lynch & Co., Inc.. Responses due by 12/23/2008 Return Date set for 1/15/2009 at 05:00 PM.(Kasner, Jay)
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Filing 140
CERTIFICATE OF SERVICE of Notice of Motion, Memo in Support, Declaration in Support re: #137 . Document filed by Bank of America Corporation. (Roth, Eric)
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Filing 139
DECLARATION of Eric M. Roth in Support re: #137 MOTION to Dismiss The Complaint.. Document filed by Bank of America Corporation. (Roth, Eric)
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Filing 138
MEMORANDUM OF LAW in Support re: #137 MOTION to Dismiss The Complaint.. Document filed by Bank of America Corporation. (Roth, Eric)
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Filing 137
MOTION to Dismiss The Complaint. Document filed by Bank of America Corporation. Responses due by 12/23/2008 Return Date set for 1/15/2009 at 05:00 PM.(Roth, Eric)
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Filing 136
NOTICE OF APPEARANCE by Ian Boczko on behalf of Bank of America Corporation (Boczko, Ian)
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Filing 135
NOTICE OF APPEARANCE by William Edwards on behalf of Bank of America Corporation (Edwards, William)
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Filing 134
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Bank of America Corporation.(Roth, Eric)
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Filing 133
NOTICE OF APPEARANCE by Eric M. Roth on behalf of Bank of America Corporation (Roth, Eric)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 11/5/2008. (mro)
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Filing 132
REPLY MEMORANDUM OF LAW in Support re: (28 in 1:07-cv-09696-JSR-DFE, 57 in 1:07-cv-10268-JSR-DFE, 99 in 1:07-cv-09633-JSR-DFE, 27 in 1:07-cv-09837-LBS-DFE, 32 in 1:07-cv-10984-LBS-DFE, 26 in 1:07-cv-11080-LBS-DFE, 34 in 1:07-cv-11626-LBS-DFE) Notice (Other), Notice (Other), Notice (Other), Notice (Other). Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Cuneo, Jonathan)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Jonathan Cuneo to RE-FILE Document (41 in 1:07-cv-10984-LBS-DFE, 49 in 1:07-cv-09696-JSR-DFE, 131 in 1:07-cv-09633-JSR-DFE, 36 in 1:07-cv-09837-LBS-DFE, 35 in 1:07-cv-11080-LBS-DFE, 43 in 1:07-cv-11626-LBS-DFE, 74 in 1:07-cv-10268-JSR-DFE) Reply Memorandum of Law in Support of Motion. ERROR(S): Documents linked to the incorrect document. Use event type Reply Memorandum of Law in Support (non-motion) found under event list Other Answers. Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(jar)
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Filing 131
FILING ERROR - DEFICIENT DOCKET ENTRY - REPLY MEMORANDUM OF LAW in Support re: (4 in 1:07-cv-09633-JSR-DFE) MOTION For Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel. Reply on Consolidation Order Briefing. Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Cuneo, Jonathan) Modified on 10/31/2008 (jar).
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Filing 130
NOTICE OF APPEARANCE by Christopher Steven Jones on behalf of Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds (Jones, Christopher)
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CASHIERS OFFICE REMARK on #116 Order on Motion to Appear Pro Hac Vice, in the amount of $25.00, paid on 10/09/2008, Receipt Number 665194. (jd)
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Filing 129
DECLARATION of David A.P. Brower in Opposition re: (128 in 1:07-cv-09633-JSR-DFE, 47 in 1:07-cv-09696-JSR-DFE) Opposition Brief,. Document filed by Patricia Arthur, Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds. (Attachments: #1 Exhibit C-F)Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Brower, David)
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Filing 128
OPPOSITION BRIEF re: (28 in 1:07-cv-09696-JSR-DFE, 99 in 1:07-cv-09633-JSR-DFE) Notice (Other), Notice (Other), Notice (Other), Notice (Other) Response of Derivative Plaintiffs' Executive Committee to Objection of Plaintiff Lambrecht to March 12, 2008 Order. Document filed by Patricia Arthur, Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds.Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Brower, David)
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Filing 127
CERTIFICATE OF SERVICE of Defendants' Response to Plaintiff Lambrecht's Objection to that Portion of the Consolidation Order of March 12, 2008 with Respect to Leadership of the Derivative Actions on 10/28/08. Service was made by Mail. Document filed by Merrill Lynch & Co., Inc.. (Kasner, Jay)
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Filing 126
RESPONSE re: #99 Notice (Other), Notice (Other), Notice (Other), Notice (Other) to Plaintiff Lambrecht's Objection to that Portion of the Consolidated Order of March 12, 2008 With Respect to Leadership of the Derivative Actions. Document filed by Merrill Lynch & Co., Inc., Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti. (Kasner, Jay)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 10/27/2008. (tro)
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Filing 125
ORDER: At an in-court conference earlier today, October 23, 2008, in the Derivative Action, 07 Civ. 9696, the Court indicated its intention to resolve all motions to dismiss in all three Actions (i.e., the Securities Action, the Derivative Action, and the ERISA Action) by no later than February 17, 2009, and then to have all parties embark on consolidated discovery in all three Actions, with such discovery to be completed no later than October 20, 2009, with a likely trial date of sometime in February, 2010. (Certain limited discovery in some of the Actions, related to injunctive relief or other special purposes, may possibly occur prior to February 17, 2009, a matter on which the Court will shortly be receiving papers from the parties.) If any counsel in either the Securities Action, 07 Civ. 9633, or the ERISA Action, 07 Civ. 10268, objects to any of the above-underscored dates, such counsel should convene a conference call with the Court and other affected parties by no later than Thursday, October 30, 2008 and the Court will consider such objections and issue a further order if necessary. Independently, counsel in the ERISA case should arrange to call the Court by no later than Monday, October 27, 2008 to discuss motions to dismiss related to that Action. The previous referral of these Actions to Magistrate Judge Eaton for all pre-trial purposes is hereby modified and clarified as follows: All discovery matters will remain referred to Magistrate Judge Eaton, including any motions or applications related solely to discovery. The Magistrate Judge, however, will not have the authority to extend the October 20, 2009 date, now set for completion of all discovery. All other motions or applications of any kind whatever must first be brought to the undersigned's attention through a joint conference call with the Court and affected parties, at which time the Court will determine whether the motion or application is best resolved by this Court or should be referred to the Magistrate Judge. (Signed by Judge Jed S. Rakoff on 10/23/08) Filed In Associated Cases: 1:07-cv-09633-JSR-DFE et al.(tro)
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Filing 124
REQUEST for Production of Documents.Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit January 22, 2008 Demand Letter, #2 Exhibit May 1, 2008 Response to Demand Letter)Associated Cases: 1:07-cv-09633-JSR-DFE et al.(Cuneo, Jonathan)
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Filing 123
ORDER: Pursuant to a telephone conference held on 10/17/08, defendants' reply papers to plaintiffs' papers in opposition to the defendants' Motion to Dismiss the Second Verified Amended Complaint in the Securities Action and defendants' papers in opposition to plaintiff's motion to strike certain documents must not be filed on or before 11/14/08, and plaintiffs' reply papers to defendants' opposition on the motion to strike must now be filed on or before 12/14/08. The Court will hear oral argument on both motions on January 15, 2009 at 5:00 pm. (Signed by Judge Jed S. Rakoff on 10/22/08) (tro)
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Set Deadlines/Hearings: Oral Argument set for 1/15/2009 at 05:00 PM before Judge Jed S. Rakoff. (tro)
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Filing 122
NOTICE OF APPEARANCE by Julie A North on behalf of Armando M. Codina, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti, Armando D. Codina, Vergis W. Colbert, Judtih Mayhem Jonas, Ann N. Resse Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(North, Julie)
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Filing 121
NOTICE OF APPEARANCE by Richard W Clary on behalf of Armando M. Codina, Carol T. Christ, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Aulana L. Peters, Charles O. Rossotti, Armando D. Codina, Vergis W. Colbert, Judtih Mayhem Jonas, Ann N. Resse Filed In Associated Cases: 1:07-cv-09633-JSR-DFE, 1:07-cv-09696-JSR-DFE(Clary, Richard)
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Filing 120
STATUS REPORT. ( Pre-Conference) Document filed by Merrill Lynch & Co., Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Kasner, Jay)
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Filing 119
NOTICE OF CASE REASSIGNMENT to Judge Jed S. Rakoff. Judge John G. Koeltl is no longer assigned to the case. (laq)
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Filing 117
STIPULATION AND ORDER: It is hereby Ordered that the time for defendant Bank of America Corporation to answer, move or otherwise respond to the Verified Second Amended Shareholder Derivative and Class Complaint is extended to October 22, 2008. (Signed by Magistrate Judge Douglas F. Eaton on 10/14/2008) Filed In Associated Cases: 1:07-cv-09633-LBS-DFE, 1:07-cv-09696-JGK-DFE(jfe) Modified on 10/20/2008 (jfe).
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Filing 116
MEMO ENDORSEMENT on re: (115) Motion for Francis A. Bottini to Appear Pro Hac Vice in case 1:07-cv-09633-LBS-DFE. ENDORSEMENT: I hereby grant this motion and admit Mr.Bottini pro hac vice.. (Signed by Magistrate Judge Douglas F. Eaton on 10/14/2008) Filed In Associated Cases: 1:07-cv-09633-LBS-DFE et al.(jfe)
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Filing 115
MOTION for Francis A. Bottini to Appear Pro Hac Vice. Document filed by Patricia Arthur.(dle)
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Filing 114
CERTIFICATE OF SERVICE of Plaintiffs Memorandum of Law in Opposition to Defendants Motion to Dismiss Consolidated Supplemental ERISA Complaint served on DEFENDANTS' COUNSEL on 10/06/08. Service was made by ECF Notice and Mail. Document filed by Alan Maltzman, Mary Gidaro, Carl Esposito, Barbara Boland. (Sarko, Lynn)
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Filing 113
MEMORANDUM OF LAW in Opposition re: #110 MOTION to Dismiss the Consolidated Supplemental Complaint.. Document filed by Mary Gidaro, Carl Esposito, Barbara Boland, Alan Maltzman. (Sarko, Lynn)
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Filing 118
NOTICE OF CASE REASSIGNMENT to Judge John G. Koeltl. Judge Leonard B. Sand is no longer assigned to the case. (laq)
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Filing 112
DECLARATION of Stuart J. Baskin in Support re: (110 in 1:07-cv-09633-LBS-DFE, 66 in 1:07-cv-10268-LBS-DFE) MOTION to Dismiss the Consolidated Supplemental Complaint.. Document filed by E. Stanley O'Neal, Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants, Merrill Lynch & Co., Inc.. (Attachments: #1 Exhibit A Part 1 of 3, #2 Exhibit A Part 2 of 3, #3 Exhibit A Part 3 of 3, #4 Exhibit B Part 1 of 2, #5 Exhibit B Part 2 of 2, #6 Exhibit C Part 1 of 2, #7 Exhibit C Part 2 of 2, #8 Exhibit D, #9 Exhibit E, #10 Exhibit F Part 1 of 2, #11 Exhibit F Part 2 of 2, #12 Exhibit G, #13 Exhibit H, #14 Exhibit I, #15 Exhibit J, #16 Exhibit K, #17 Exhibit L, #18 Exhibit M, #19 Exhibit N, #20 Exhibit O)Filed In Associated Cases: 1:07-cv-09633-LBS-DFE, 1:07-cv-10268-LBS-DFE(Baskin, Stuart)
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Filing 111
MEMORANDUM OF LAW in Support re: (110 in 1:07-cv-09633-LBS-DFE, 66 in 1:07-cv-10268-LBS-DFE) MOTION to Dismiss the Consolidated Supplemental Complaint.. Document filed by E. Stanley O'Neal, Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-LBS-DFE, 1:07-cv-10268-LBS-DFE(Baskin, Stuart)
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Filing 110
MOTION to Dismiss the Consolidated Supplemental Complaint. Document filed by E. Stanley O'Neal, Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants, Merrill Lynch & Co., Inc.. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:07-cv-09633-LBS-DFE, 1:07-cv-10268-LBS-DFE(Baskin, Stuart)
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Filing 109
CONSOLIDATED SUPPLEMENTAL COMPLAINT against Peter Stingi, John and Jane Doe 1, John and Jane Does 2-10, John and Jane Does 11-20, Merrill Lynch & Co., Inc., Louis Dimaria, E. Stanley O'Neal.Document filed by Mary Gidaro, Carl Esposito, Barbara Boland, Alan Maltzman.(dle) (dle).
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Filing 108
VERIFIED SECOND AMENDED SHAREHOLDER DERIVATIVE AND CLASS ACTION COMPLAINT amending #44 Amended Complaint,, against Merrill Lynch & Co., Inc., Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Aulana Peters, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti, E. Stanley O'Neal, Aulana L. Peters.Document filed by Patricia Arthur, Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds. Related document: #44 Amended Complaint,, filed by Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, Patricia Arthur.(dle) (Additional attachment(s) added on 9/26/2008: #3 complaint, #4 comp, #5 complaint, #6 complaint, #7 complaint) (jmi).
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Filing 107
STIPULATION AND ORDER, that defendants shall have to and including 10/22/08 to answer the Second Amended Complaint. NOTE: On 9/22/08, I received a conference call from David A.P. Brower and from Beverly Farrell of Skadden Arps. I requested Mr. Brower to fax me this 3-page Stipulation, but without faxing me the Second Amended Complaint, which I hereby permit him to file. Carol T. Christ answer due 10/22/2008; Armando D. Codina answer due 10/22/2008; Vergis W. Colbert answer due 10/22/2008; Alberto Cribiore answer due 10/22/2008; John D. Finnegan answer due 10/22/2008; Joseph W. Prueher answer due 10/22/2008; Ann N. Resse answer due 10/22/2008; Charles O. Rossotti answer due 10/22/2008; Merrill Lynch & Co., Inc. answer due 10/22/2008; Patricia Arthur answer due 10/22/2008; Miriam Loveman answer due 10/22/2008; Operative Plasterers & Cement Masons Local 262 and Annuity Fund answer due 10/22/2008; E. Stanley O'Neal answer due 10/22/2008; Ahmass L. Fakahany answer due 10/22/2008; Gregory J. Fleming answer due 10/22/2008. (Signed by Magistrate Judge Douglas F. Eaton on 9/22/08) Filed In Associated Cases: 1:07-cv-09633-LBS-DFE, 1:07-cv-09696-LBS-DFE(cd)
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Filing 106
STIPULATION AND SCHEDULING ORDER; the undersigned parties hereby STIPULATE AND AGREE as follows: I. By no later than two business days after entry of this Order, the ERISA Plaintiffs shall file the Supplemental Complaint; 2. By no later than September 26, 2008, Defendants shall file a motion to dismiss the Supplemental Complaint ("Defendants' Motion"). The memorandum of law in support of Defendants' Motion shall be no more than sixty (60) pages; 3. Defendants' Malian and supporting memorandum of law will supersede Defendants' motion to dismiss and supporting papers filed on July 21,2008; 4. By no later than October 6, 2008, the ERISA Plaintiffs shall file their memorandum of law in opposition to Defendants' Motion. Plaintiffs' Memorandum of Law shall be no more than sixty (60) pages; and 5. By no later than November 19, 2008, Defendants shall file their reply memorandum of law in support of Defendants' Motion. Defendants' reply memorandum of law shall be no more than thirty-five (35) pages. (Signed by Magistrate Judge Douglas F. Eaton on 9/19/08) Filed In Associated Cases: 1:07-cv-09633-LBS-DFE, 1:07-cv-10268-LBS-DFE Copies Mailed by Chambers.(pl)
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Filing 105
MEMORANDUM OF LAW in Opposition re: (65 in 1:07-cv-09633-LBS-DFE) MOTION to Dismiss The Consolidated Amended Class Action Complaint., (74 in 1:07-cv-09633-LBS-DFE) MOTION to Dismiss the Consolidated Amended Class Action Complaint., (58 in 1:07-cv-09633-LBS-DFE) MOTION to Dismiss the Consolidated Amended Class Action Complaint., (79 in 1:07-cv-09633-LBS-DFE) MOTION to Dismiss the Consolidated Amended Class Action Complaint., (76 in 1:07-cv-09633-LBS-DFE, 52 in 1:07-cv-10268-LBS-DFE) MOTION to Dismiss the Consolidated Amended Complaint.. Document filed by Gary Kosseff, State Teachers Retirement System of Ohio. Filed In Associated Cases: 1:07-cv-09633-LBS-DFE et al.(Fox, Frederic)
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Filing 104
DECLARATION of Robert N. Kaplan in Support re: (28 in 1:07-cv-11080-LBS-DFE, 34 in 1:07-cv-10984-LBS-DFE, 59 in 1:07-cv-10268-LBS-DFE, 36 in 1:07-cv-11626-LBS-DFE, 102 in 1:07-cv-09633-LBS-DFE, 29 in 1:07-cv-09837-LBS-DFE, 30 in 1:07-cv-09696-LBS-DFE) MOTION to Strike.. Document filed by Gary Kosseff, State Teachers Retirement System of Ohio. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)Filed In Associated Cases: 1:07-cv-09633-LBS-DFE et al.(Kaplan, Robert)
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Filing 103
MEMORANDUM OF LAW in Support re: (28 in 1:07-cv-11080-LBS-DFE, 34 in 1:07-cv-10984-LBS-DFE, 59 in 1:07-cv-10268-LBS-DFE, 36 in 1:07-cv-11626-LBS-DFE, 102 in 1:07-cv-09633-LBS-DFE, 29 in 1:07-cv-09837-LBS-DFE, 30 in 1:07-cv-09696-LBS-DFE) MOTION to Strike.. Document filed by Gary Kosseff, State Teachers Retirement System of Ohio. Filed In Associated Cases: 1:07-cv-09633-LBS-DFE et al.(Kaplan, Robert)
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Filing 102
MOTION to Strike Extrinsic Documents and Certain Arguments Made by the Merrill Defendants and Defendants Edwards, ONeal, Fakahany and Fleming in their Motions to Dismiss the Consolidated Amended Class Action Complaint. Document filed by Gary Kosseff, State Teachers Retirement System of Ohio. (Attachments: #1 Affidavit of Service)Filed In Associated Cases: 1:07-cv-09633-LBS-DFE et al.(Kaplan, Robert)
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Filing 101
NOTICE of Change of Firm Name. Document filed by Francis Lee Summers, III. (Roseman, Robert)
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Filing 100
NOTICE OF CHANGE OF ADDRESS by Marc Ira Machiz on behalf of Mary Gidaro, Carl Esposito, Barbara Boland, Anna Molin, Alan Maltzman. New Address: Cohen, Milstein, Hausfeld & Toll, P.L.L.C., 255 S. 17th Street, Suite 1307, Philadelphia, Pennsylvannia, United States 19103, 267-773-4682. Filed In Associated Cases: 1:07-cv-09633-LBS-DFE et al.(Machiz, Marc)
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Filing 99
NOTICE of Objection to That Portion of Consolidation Order of March 12, 2008 with Respect to Leadership of Derivative Actions re: (25 in 1:07-cv-11626-LBS-DFE, 25 in 1:07-cv-11626-LBS-DFE, 37 in 1:07-cv-09633-LBS-DFE, 37 in 1:07-cv-09633-LBS-DFE, 19 in 1:07-cv-09837-LBS-DFE, 19 in 1:07-cv-09837-LBS-DFE, 17 in 1:07-cv-11080-LBS-DFE, 17 in 1:07-cv-11080-LBS-DFE, 37 in 1:07-cv-10268-LBS-DFE, 37 in 1:07-cv-10268-LBS-DFE, 7 in 1:07-cv-09696-LBS-DFE, 7 in 1:07-cv-09696-LBS-DFE, 23 in 1:07-cv-10984-LBS-DFE, 23 in 1:07-cv-10984-LBS-DFE) Order, Set Deadlines/Hearings,,,,,,,,,,,,,,,,,,,,,,,,,,. Document filed by N.A. Lambrecht. (Attachments: #1 Exhibit Demand Letter, #2 Exhibit Proposed Order, #3 Exhibit Richard D. Greenfield Background Materials, #4 Exhibit AOL Time Warner Pre-Trial Order, #5 Exhibit Henry v. Brendsel Pre-Trial Order)Filed In Associated Cases: 1:07-cv-09633-LBS-DFE et al.(Greenfield, Richard)
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Filing 98
NOTICE OF APPEARANCE by Richard David Greenfield on behalf of N.A. Lambrecht (Greenfield, Richard)
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Filing 97
NOTICE OF APPEARANCE by Jonathan Watson Cuneo on behalf of N.A. Lambrecht (Cuneo, Jonathan)
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Filing 96
ORDER OF REFERENCE TO A MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Douglas F. Eaton. (Signed by Judge Leonard B. Sand on 8/13/08) Filed In Associated Cases: 1:07-cv-09633-LBS et al.(mme)
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***REJECTION OF VOLUNTARY DISMISSAL FILED IN DERIVATIVE ACTION. Note to Attorney: Edward Kroub, Document #95 Notice of Voluntary Dismissal, was rejected by the Clerk's Office due to the filing of the above voluntary dismissal in a Derivative Action. E-MAIL the PDF for the Document to: judgments@nysd.uscourt.gov. (dt)
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Filing 95
FILING ERROR - DERIVATIVE ACTION - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) all defendants. Document filed by Eidman David. Filed In Associated Cases: 1:07-cv-09633-LBS et al.(Kroub, Edward) Modified on 8/11/2008 (dt).
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Filing 94
NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed without prejudice against the defendant(s) Citigroup Global Markets Inc., Morgan Stanley & Co., UBS Securities LLC, Wachovia Capital Markets, LLC. (Signed by Judge Leonard B. Sand on 8/5/08) Filed In Associated Cases: 1:08-md-01933-LBS, 1:07-cv-09633-LBS(rjm)
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Filing 93
NOTICE OF VOLUNTARY DISMISSAL: Lead Plaintiff State Teachers' Retirement System of Ohio hereby voluntarily dismisses Citigroup Global Markets, Morgan Stanley & Co., UBS Securities, and Wachovia Capital Services as defendants in this litigation without prejudice in accordance with the agreement of the parties and Rule 41(a)(1) of the FRCP. (Signed by Judge Leonard B. Sand on 8/5/08) (dle)
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Filing 92
ORDER REGARDING ISSUANCE OF DOCUMENT PRESERVATION SUBPOENAS TO CERTAIN NON-PARTIES: Lead Plaintiff in the Securities Action may serve document preservation subpoenas on the entities, named herein, at this time, without prejudice to Lead plaintiff's ability to seek Court approval to serve document preservation subpoena additional non-parties at a later time and without prejudice to defendants' ability to oppose such request. By cover letter accompanying each subpoena, plaintiffs shall instruct each party to which a preservation subpoena is issued that such party is not required and should not produce documents to plaintiffs in response to the subpoena at this time and that such party's obligation with respect to the subpoena is limited to preserving documents reasonably responsive thereto. (Signed by Judge Leonard B. Sand on 7/30/2008) (jpo)
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Filing 91
NOTICE OF APPEARANCE by Sarah L. Dunn on behalf of Stanley O'Neal (Dunn, Sarah)
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Filing 90
NOTICE OF APPEARANCE by Jason Simon Stone on behalf of Stanley O'Neal (Stone, Jason)
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Filing 89
NOTICE OF APPEARANCE by Paul C. Curnin on behalf of Stanley O'Neal (Curnin, Paul)
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Filing 88
MOTION for Richard D. Bernstein to Appear Pro Hac Vicew. attch. affidavit in support. Document filed by Jeffrey N. Edwards.(pl)
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Filing 87
MEMORANDUM OF LAW in Support re: #86 MOTION to Dismiss the Consolidated Amended Class Action Complaint. MOTION to Strike Certain Allegations.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Kasner, Jay)
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Filing 86
MOTION to Dismiss the Consolidated Amended Class Action Complaint., MOTION to Strike Certain Allegations. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Consolidated Amended Class Action Complaint)(Kasner, Jay)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Jay B. Kasner to RE-FILE Document #53 MOTION to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations. ERROR(S): Should have select Motion Dismiss and Motion Strike to process document. P.S.: Example of how entry should appear "MOTION to Dismiss the Consolidated Amended Complaint, MOTION to Strike Certain Allegation. (KA)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Jay B. Kasner to RE-FILE Document #54 Memorandum of Law in Support of Motion. ERROR(S): Link to incorrect filing of document #53. (KA)
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Filing 85
DECLARATION of CHARLES E. DAVIDOW, ESQ. in Support re: #82 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Deloitte & Touche LLP. (Attachments: #1 Exhibit A PART 1, #2 Exhibit A2 PART 1, #3 Exhibit A2 PART 2, #4 Exhibit A PART 3, #5 Exhibit A PART 4, #6 Exhibit A PART 5, #7 Exhibit A PART 6, #8 Exhibit B PART 1, #9 Exhibit B PART 2, #10 Exhibit B PART 3, #11 Exhibit B PART 4, #12 Exhibit B PART 5, #13 Exhibit B PART 6, #14 Exhibit B7 PART 1, #15 Exhibit B7 PART 2)(Davidow, Charles)
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Filing 84
NOTICE of COMPENDIUM OF UNREPORTED DECISIONS CITED IN THE MEMORANDUM OF LAW IN SUPPORT OF THE MOTION OF DEFENDANT JEFFREY N. EDWARDS TO DISMISS THE CONSOLIDATED AMENDED CLASS ACTION COMPLAINT re: #66 Memorandum of Law in Support of Motion. Document filed by Jeffrey N. Edwards. (Attachments: #1 Tab 1, #2 Tab 2, #3 Tab 3, #4 Tab 4, #5 Tab 5)(Kwan-Gett, Mei Lin)
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Filing 83
MEMORANDUM OF LAW in Support re: #82 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Deloitte & Touche LLP. (Karp, Brad)
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Filing 82
MOTION to Dismiss the Consolidated Amended Class Action Complaint. Document filed by Deloitte & Touche LLP.(Karp, Brad)
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Filing 81
CERTIFICATE OF SERVICE of Notice of Motion to Dismiss the Consolidated Amended Class Action Complaint and Memorandum of Law on 7/21/2008. Service was made by FedEx. Document filed by Gregory J. Fleming. (Allerhand, Joseph)
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Filing 80
MEMORANDUM OF LAW in Support re: #79 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Gregory J. Fleming. (Allerhand, Joseph)
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Filing 79
MOTION to Dismiss the Consolidated Amended Class Action Complaint. Document filed by Gregory J. Fleming. Responses due by 9/19/2008 (Attachments: #1 Consolidated Amended Class Action Complaint)(Allerhand, Joseph)
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Filing 78
DECLARATION of Stuart J. Baskin in Support re: (76 in 1:07-cv-09633-LBS, 52 in 1:07-cv-10268-LBS) MOTION to Dismiss the Consolidated Amended Complaint.. Document filed by Merrill Lynch & Co., Inc., Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants, E. Stanley O'Neal. (Attachments: #1 Exhibit A - Part 1 of 3, #2 Exhibit A - Part 2 of 3, #3 Exhibit A - Part 3 of 3, #4 Exhibit B - Part 1 of 2, #5 Exhibit B - Part 2 of 2, #6 Exhibit C - Part 1 of 2, #7 Exhibit C - Part 2 of 2, #8 Exhibit D, #9 Exhibit E, #10 Exhibit F - Part 1 of 2, #11 Exhibit F - Part 2 of 2, #12 Exhibit G, #13 Exhibit H, #14 Exhibit I, #15 Exhibit J, #16 Exhibit K, #17 Exhibit L, #18 Exhibit M, #19 Exhibit N)Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-10268-LBS(Baskin, Stuart)
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Filing 77
MEMORANDUM OF LAW in Support re: (76 in 1:07-cv-09633-LBS, 52 in 1:07-cv-10268-LBS) MOTION to Dismiss the Consolidated Amended Complaint.. Document filed by Merrill Lynch & Co., Inc., Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants, E. Stanley O'Neal, Merrill Lynch & Co., Inc.. Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-10268-LBS(Baskin, Stuart)
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Filing 76
MOTION to Dismiss the Consolidated Amended Complaint. Document filed by Merrill Lynch & Co., Inc., Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants, E. Stanley O'Neal. (Attachments: #1 Exhibit Part 1 of 3 - Consolidated Amended Complaint, #2 Exhibit Part 2 of 3 - Consolidated Amended Complaint, #3 Exhibit Part 3 of 3 - Consolidated Amended Complaint)Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-10268-LBS(Baskin, Stuart)
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Filing 75
MEMORANDUM OF LAW in Support re: #74 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Ahmass L. Fakahany. (Benedict, James)
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Filing 74
MOTION to Dismiss the Consolidated Amended Class Action Complaint. Document filed by Ahmass L. Fakahany.(Benedict, James)
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Filing 73
MEMORANDUM OF LAW in Support re: (24 in 1:07-cv-09696-LBS) MOTION to Dismiss., (22 in 1:07-cv-09696-LBS) MOTION to Dismiss the Verified Consolidated and Amended Shareholders' Derivative Complaint Pursuant to Rule 23.1.. Document filed by Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti, Armando D. Codina, Vergis W. Colbert, Judtih Mayhem Jonas, Ann N. Resse, Merrill Lynch & Co., Inc., E. Stanley O'Neal. Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS(Block, Dennis)
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Filing 72
MOTION to Dismiss. Document filed by Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti, Armando D. Codina, Vergis W. Colbert, Judtih Mayhem Jonas, Ann N. Resse, E. Stanley O'Neal. (Attachments: #1 Verified Consolidated and Amended Shareholders Derivative Complaint- Part 1, #2 Verified Consolidated and Amended Shareholders Derivative Complaint- Part 2, #3 Verified Consolidated and Amended Shareholders Derivative Complaint- Part 3, #4 Verified Consolidated and Amended Shareholders Derivative Complaint- Part 4)Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS(Block, Dennis)
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Filing 71
NOTICE OF APPEARANCE by Andrew Walker Robertson on behalf of Ahmass L. Fakahany (Robertson, Andrew)
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Filing 70
NOTICE OF APPEARANCE by George S. Canellos on behalf of Ahmass L. Fakahany (Canellos, George)
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Filing 69
NOTICE OF APPEARANCE by James N. Benedict on behalf of Ahmass L. Fakahany (Benedict, James)
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Filing 68
NOTICE OF APPEARANCE by Michael Richard Young on behalf of Jeffrey N. Edwards (Young, Michael)
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Filing 67
NOTICE OF APPEARANCE by Jason Michael Halper on behalf of Carol T. Christ, Armando D. Codina, Vergis W. Colbert, Alberto Cribiore, John D. Finnegan, Judtih Mayhem Jonas, Joseph W. Prueher, Ann N. Resse, Charles O. Rossotti Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS(Halper, Jason)
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Filing 66
MEMORANDUM OF LAW in Support re: #65 MOTION to Dismiss The Consolidated Amended Class Action Complaint.. Document filed by Jeffrey N. Edwards. (Kwan-Gett, Mei Lin)
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Filing 65
MOTION to Dismiss The Consolidated Amended Class Action Complaint. Document filed by Jeffrey N. Edwards.(Kwan-Gett, Mei Lin)
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Filing 64
NOTICE OF APPEARANCE by Gregory Arthur Markel on behalf of Carol T. Christ, Armando D. Codina, Vergis W. Colbert, Alberto Cribiore, John D. Finnegan, Judtih Mayhem Jonas, Joseph W. Prueher, Ann N. Resse, Charles O. Rossotti Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS(Markel, Gregory)
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Filing 63
NOTICE OF APPEARANCE by Dennis J. Block on behalf of Carol T. Christ, Armando D. Codina, Vergis W. Colbert, Alberto Cribiore, John D. Finnegan, Judtih Mayhem Jonas, Joseph W. Prueher, Ann N. Resse, Charles O. Rossotti Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS(Block, Dennis)
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Filing 62
NOTICE OF APPEARANCE by Mei Lin Kwan-Gett on behalf of Jeffrey N. Edwards (Kwan-Gett, Mei Lin)
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Filing 61
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Merrill Lynch & Co., Inc. as Corporate Parent. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Kasner, Jay)
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Filing 60
DECLARATION of Jay B. Kasner in Support re: (53 in 1:07-cv-09633-LBS) MOTION to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Corrected Exhibit HH)Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS, 1:07-cv-10268-LBS(Kasner, Jay)
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Filing 59
MEMORANDUM OF LAW in Support re: #58 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Stanley O'Neal. (Chepiga, Michael)
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Filing 58
MOTION to Dismiss the Consolidated Amended Class Action Complaint. Document filed by Stanley O'Neal.(Chepiga, Michael)
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Filing 57
NOTICE of of Compendium of Unreported Decisions and Other Authorities Cited in the Memorandum of Law of Defendants Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III and Merrill Lynch, Pierce, Fenner & Smith Incorporated in Support of Their Motion to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations re: #53 MOTION to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Tab 1, #2 Tab 2, #3 Tab 3, #4 Tab 4, #5 Tab 5, #6 Tab 6, #7 Tab 7, #8 Tab 8, #9 Tab 9, #10 Tab 10, #11 Tab 11, #12 Tab 12, #13 Tab 13, #14 Tab 14, #15 Tab 15, #16 Tab 16, #17 Tab 17, #18 Tab 18, #19 Tab 19, #20 Tab 20, #21 Tab 21, #22 Tab 22, #23 Tab 23, #24 Tab 24, #25 Tab 25, #26 Tab 26, #27 Tab 27, #28 Tab 28, #29 Tab 29, #30 Tab 30, #31 Tab 31, #32 Tab 32)(Kasner, Jay)
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Filing 56
NOTICE OF APPEARANCE by Stuart Jay Baskin on behalf of Administrative Committee Defendants, Investment Committee Defendants, Senior Vice President, Human Resources Defendants Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-10268-LBS(Baskin, Stuart)
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Filing 55
DECLARATION of Jay B. Kasner in Support re: (53 in 1:07-cv-09633-LBS) MOTION to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations.. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (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, #10 Exhibit J, #11 Exhibit K, #12 Exhibit L, #13 Exhibit M, #14 Exhibit N, #15 Exhibit O, #16 Exhibit P, #17 Exhibit Q, #18 Exhibit R, #19 Exhibit S, #20 Exhibit T, #21 Exhibit U, #22 Exhibit V, #23 Exhibit W, #24 Exhibit X, #25 Exhibit Y, #26 Exhibit Z, #27 Exhibit AA, #28 Exhibit BB, #29 Exhibit CC, #30 Exhibit DD, #31 Exhibit EE, #32 Exhibit FF, #33 Exhibit GG, #34 Exhibit HH, #35 Exhibit II, #36 Exhibit JJ, #37 Exhibit KK, #38 Exhibit LL, #39 Exhibit MM, #40 Exhibit NN, #41 Exhibit OO, #42 Exhibit PP, #43 Exhibit QQ, #44 Exhibit RR, #45 Exhibit SS, #46 Exhibit TT, #47 Exhibit UU, #48 Exhibit VV)Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS, 1:07-cv-10268-LBS(Kasner, Jay)
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Filing 54
FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Support re: #53 MOTION to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Kasner, Jay) Modified on 7/22/2008 (KA).
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Filing 53
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss the Consolidated Amended Class Action Complaint and to Strike Certain Allegations. Document filed by Merrill Lynch & Co., Inc., Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Merrill Lynch Capital Trust III, Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Consolidated Amended Class Action Complaint)(Kasner, Jay) Modified on 7/22/2008 (KA).
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Filing 52
ENDORSED LETTER addressed to Judge Leonard B. Sand from Jay Kasner dated 7/15/08 re: Request permission to file a memorandum of law in support of the motion to dismiss not to exceed 85 pages and as further set forth in this document. ENDORSEMENT: Granted on consent. ( Reply due by 11/3/2008. Response due by 9/19/2008) (Signed by Judge Leonard B. Sand on 7/16/08) Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS, 1:07-cv-10268-LBS(cd)
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Filing 51
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Deloitte & Touche LLP.(Karp, Brad) Modified on 6/18/2008 (dle).
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Filing 50
NOTICE OF APPEARANCE by Charles Edward Davidow on behalf of Deloitte & Touche LLP (Davidow, Charles) Modified on 6/18/2008 (dle).
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Filing 49
NOTICE OF APPEARANCE by Brad Scott Karp on behalf of Deloitte & Touche LLP (Karp, Brad) Modified on 6/18/2008 (dle).
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Filing 48
DECLARATION of Edward Y. Kroub in Support re: (47 in 1:07-cv-09633-LBS) Memorandum of Law. Document filed by Eidman David. (Attachments: #1 Affidavit Declaration in Support of Plaintiff Eidman's Memorandum of Law Requesting Ruling on Motion to Remand - Exhibits C-F)Filed In Associated Cases: 1:07-cv-09633-LBS et al.(Schwartz, Michael)
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Filing 47
MEMORANDUM OF LAW Requesting Ruling on Plaintiff Eidman's Motion to Remand. Document filed by Eidman David. Filed In Associated Cases: 1:07-cv-09633-LBS et al.(Schwartz, Michael)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Michael Schwartz to RE-FILE Documents 43 in 1:07-cv-10268-LBS, 22 in 1:07-cv-09837-LBS, 21 in 1:07-cv-11080-LBS, 13 in 1:07-cv-09696-LBS, 29 in 1:07-cv-11626-LBS, 46 in 1:07-cv-09633-LBS, 27 in 1:07-cv-10984-LBS MOTION Ruling on Plaintiff Eidman's Motion to Remand. (1) Use the document type Memorandum of Law in Support (non-motion) found under the document list Other Answers. (2) Supporting Documents must be filed individually. Use document type Declaration in Support (non-motion) found under Other Answers Filed In Associated Cases: 1:07-cv-09633-LBS et al.(jar)
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Filing 46
FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - MOTION Ruling on Plaintiff Eidman's Motion to Remand (MEMORANDUM OF LAW IN SUPPORT). Document filed by Eidman David. (Attachments: #1 Affidavit Declaration of Edward Y. Kroub - Exhibits A-B, #2 Affidavit Declaration of Edward Y. Kroub Exhibits C-F)Filed In Associated Cases: 1:07-cv-09633-LBS et al.(Schwartz, Michael) Modified on 6/13/2008 (jar). Modified on 6/13/2008 (jar).
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Filing 45
CERTIFICATE OF SERVICE of Consolidated Amended Complaint served on E. Stanley O'Neal, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Jill K. Conway, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, David K. Newbigging, Aulana L. Peters, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti, Louis Dimaria, Peter Stingi, Sean Shaugnessey, Chritine Donlon, Elizabeth Estey, Tara Moore, Mary Gidaro, Merrill Lynch & Co., Gregory Yashgur, State Teachers Retirement System of Ohio, Life Enrichment Foundation, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds, Francis Lee Summers, III, James Eastman, Dominick Pascullo, Raymond Gonzales, Frankfurt Trust, James Conn, Patricia Arthur (Derivatively/Behalf of Merrill Lynch), David Eidman (Derivatively/Behalf of Merrill Lynch), Miriam Loveman (Derivatively/Behalf of Merrill Lynch), Gary Kosseff and Diane Blass (Derivatively/Behalf of Merrill Lynch/Trustee-The Ray & Virginier Intervivos Trust, Michael J. Savena and Robert Garber on 5/21/2008. Service was made by First-Class Mail. Document filed by Mary Gidaro, Carl Esposito, Barbara Boland, Alan Maltzman. Filed In Associated Cases: 1:07-cv-09633-LBS et al.(Grant, Lynda)
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Filing 44
VERIFIED CONSOLIDATED AND AMENDED SHAREHOLDERS' DERIVATIVE COMPLAINT against Merrill Lynch & Co., Inc., Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, Joseph W. Prueher, Ann N. Reese, Charles O. Rossotti.Document filed by Patricia Arthur, Miriam Loveman, Operative Plasterers & Cement Masons Local 262 Pension and Annuity Funds.(dle) (Additional attachment(s) added on 5/22/2008: #1 Exhibit, #2 Exhibit, #3 amended complaint) (dle).
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Filing 43
CONSOLIDATED AMENDED COMPLAINT FOR VIOLATIONS OF THE EMPLOYEE RETIREMENT INCOME SECURITY ACT against Merrill Lynch & Co., Inc., Stanley O'Neal, Senior Vice President, Human Resources Defendants, Peter Stingi, Administrative Committee Defendants, Louis DiMaria, Investment Committee Defendants. Document filed by Alan Maltzman, Mary Gidaro, Carl Esposito, Barbara Boland.(dle) (Additional attachment(s) added on 5/22/2008: #1 part 2, #2 part 3) (dle). Modified on 5/28/2008 (dle).
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Filing 42
AMENDED COMPLAINT amending #1 Complaint, against Merrill Lynch & Co., Inc., Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Merrill Lynch Capital Trust I, Merrill Lynch Capital Trust II, Jeffrey N. Edwards, Merrill Lynch Capital Trust III, Lawrence A. Tosi, Carol T. Christ, Armando M. Codina, Virgis W. Colbert, Jill K. Conway, Alberto Cribiore, John D. Finnegan, Judith Mayhew Jonas, David K. Newbigging, Aulana Peters, Joseph W. Prueher, Charles O. Rossotti, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Deloitte & Touche LLP, Merrill Lynch & Co., Inc. Plan Investment Committee, Merrill Lynch & Co., Inc. Plan Adminstrative Committee, Merrill Lynch & Co., Inc. Management Development and Compensation Committee, Louis Dimaria, John Does 1-10, Investment Committee of the Merrill Lynch Savings and Investment Plan, Adminstrative Committee of the Merrill Lynch Savings and Investment Plan, John Does 1-30, Administrative Committee of the Merrill Lynch Co., Inc. 401 K Saving and Investment Plan, John Does 1-20, John Does 21-40.Document filed by Gary Kosseff, State Teachers Retirement System of Ohio. Related document: #1 Complaint, filed by Life Enrichment Foundation.(dle) Modified on 6/18/2008 (dle).
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Filing 41
NOTICE OF CHANGE OF ADDRESS by Sara Esther Fuks on behalf of James Eastman. New Address: Milberg LLP, One Pennsylvania Plaza, New York, NY, USA 10119-0165, (212) 594-5300. (Attachments: #1 Certificate of Service)Filed In Associated Cases: 1:07-cv-09633-LBS et al.(Fuks, Sara)
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Filing 40
ORDER: The Court directs that counsel for Merrill Lynch and plaintiff brief to this court the question whether it is appropriate for the Court now to consider the aforementioned motion to remand. Any other party wishing to express its views on this issue is of course free to do so. All such submissions shall be filed by 6/12/08. (Signed by Judge Leonard B. Sand on 5/12/08) (db)
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Filing 38
ORDER MOTIFYING SCHEDULING OF THE FILING OF CONSOLIDATED AMENDED COMPLAINTS AND RESPONSES THERETO; That Lead plaintiff in the Securities Action, Plaintiff Executive Committee in the Derivative Action and Interim Co-Lead Counsel in the ERISA Action shall each file a separate Consolidated Amended Complaint no later than 5/21/08. Defendants in each of the Securities Action, 07cv9633 (LBS)(AJP)(DFE), Derivative Action, 07cv9696 (LBS)(AJP)(DFE) and/or ERISA Action, 07cv10268 (LBS)(AJP)(DFE), shall have to and including 7/21/08 to answer, move or otherwise respond to each of the Consolidated Amended Complaints. In the event that defendants file motions to dismiss the Consolidated Amended Complaint in one or move of the Securities Action, 07cv9633 (LBS)(AJP)(DFE), Derivative Action, 07cv9696(LBS)(AJP)(DFE) and/or ERISA Action, 07cv10268 (LBS)(AJP)(DFE), Lead Plaintiff in the Securities Action, Plaintiffs Executive Committee in the Derivative Action and Interim Co-Lead Counsel in the ERISA Action, as applicable, shall serve any opposition to such motions no later than 8/20/08. Defendants shall serve any reply papers in further support of any such motions to dismiss no later than 9/18/08. (Signed by Judge Leonard B. Sand on 4/9/08) Filed In Associated Cases: 1:07-cv-09633-LBS, 1:07-cv-09696-LBS, 1:07-cv-10268-LBS(pl)
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Filing 39
CERTIFIED TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL... that pursuant to 28 U.S.C. 1407, the action(s) listed... and pending... be, and the same hereby are, transferred to the Southern District of New York and, with consent of that court, assigned to the Honorable Leonard B. Sand, for coordinated or consolidated pretrial proceedings with the actions pending in that district... (Signed by MDL Panel on 4/7/08) (laq) (laq).
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CONSOLIDATED MDL CASE: Create association to 1:08-md-01933-LBS. (laq)
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Filing 37
ORDER REGARDING: (1) CONSOLIDATION OF SECURITIES ACTIONS, APPOINTMENT OF LEAD PLAINTIFF AND APPROVAL LEAD PLAINTIFF AND APPROVAL OF LEAD COUNSEL; (2) CONSOLIDATION OF DERIVATIVE ACTIONS AND APPOINTMENT OF PLAINTIFFS' EXECUTIVE COMMITTEE AND LIAISON COUNSEL; (3)CONSOLIDATION OF ERISA ACTIONS AND APPOINTMENT OF INTERIM CO-LEAD COUNSEL; AND (4)SCHEDULING OF THE FILING OF CONSOLIDATED AMENDED COMPLAINTS IN EACH OF THE ACTIONS AND RESPONSES THERETO: It is hereby ordered that Pursuant to F.R.C.P. 42(a) and Section 21D(a)(3)(B) of the Securities Exchange Act of 1934, 15 U.S.C. 78u-4(a)(3)(B)(ii), the Securities Actions are consolidated into the docket number 07cv9633 for all purposes including, but not limited to, discovery, pretrial proceedings and trial. Pursuant to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. 78u-4(a)(3), Ohio STRS is appointed Lead Plaintiff in the Securities Action for the proposed class of persons and entities who purchased or otherwise acquired Merrill Lynch securities. Ohio STRS' choice of co-lead counsel is approved. Accordingly, the law firms of Kaplan Fox & Kilsheimer LLP, Berger & Montague, P.C. and Barrack Rodos & Bacine are appointed co-Lead Counsel for the Securities Action. Pursuant to F.R.C.P. 42(a), the Derivative Actions are consolidated into the docket number 07cv9696 for all purposes including but not limited to discovery, pretrial proceedings and trial. The Court appoints Brower Piven, A Professional Corporation, Johnson Bottini LLP and Saxena White LLP as Plaintiffs' Executive Committee in the Derivative Action, and appoints Brower Piven as Plaintiffs' Liaison Counsel in the Derivative Action. Pursuant to F.R.C.P. 42(a), the ERISA Actions are consolidated into the docket number 07cv10268 for all purposes including but not limited to discovery, pretrial proceeding and trial. Pursuant to F.R.C.P. 23(g)(2)(A) for the ERISA Action, the Court appoints the law firms of Keller Rohrback L.L.P. and Cohen, Milstein, Hausfeld & Toll, P.L.L.C. as interim co-lead counsel to act on behalf of the putative class. The docket in 07cv9633 shall constitute the Master Docket for the Securities Action, Derivative Action and ERISA Action. A copy of this Order shall be placed in all dockets identified herein. The Clerk of the Court is directed to close each of those dockets, other than the dockets in the Securities Action 07cv9633, Derivative Action 07cv9696 and ERISA Action, 07cv10268. Lead Plaintiff in the Securities Action, Plaintiff's Executive Committee in the Derivative Action and Interim Co-Lead Counsel in the ERISA Action shall each file a separate Consolidated Amended Complaint no later than April 21, 2008. Defendants in each of the Securities Action, 07cv9633, Derivative Action, 07cv9696 and ERISA 07cv10268, shall have to and including June 20, 2008 to answer, move or otherwise respond to each Consolidated Amended Complaints. In the event that defendants file motions to dismiss the Consolidated Complaint in one or more Securities Action, 07cv9633, Derivative Actions 07cv9696 and/or ERISA 07cv10268, applicable, shall serve any opposition to such motions no later July 21, 2008. Defendants shall serve any reply papers in further support of any such motions to dismiss no later than August 19, 2008. (Signed by Judge Leonard B. Sand on 3/12/2008) Filed In Associated Cases: 1:07-cv-09633-LBS et al.(jpo)
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Filing 36
NOTICE OF APPEARANCE by Aviah Cohen-Pierson on behalf of State Teachers Retirement System of Ohio (Cohen-Pierson, Aviah)
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Filing 35
ORDER FOR ADMISSION PRO HAC VICE #34 Motion for M. Richard Komins and Jeffrey A. Barrack to Appear Pro Hac Vice. M. Richard Komins and Jeffrey A Barrack, are admitted to practice pro hac vice as counsel for proposed lead plaintiff State Teachers' Retirement System of Ohio in the above-captioned case. (Signed by Judge Leonard B. Sand on 2/27/08) (tro)
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Transmission to Attorney Admissions Clerk. Transmitted re: #35 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tro)
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CASHIERS OFFICE REMARK on #34 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 02/21/2008, Receipt Number 642728. (jd)
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Filing 33
ORDER FOR ADMISSION PRO HAC VICE granting #32 Motion for Lawrence J. Lederer, Arthur M. Stock and Lane L. Vines to Appear Pro Hac Vice. Lawrence J. Lederer, Arthur M. Stock and Lane L. Vines are admitted pro hac vice as counsel for Ohio STRS in the above-captioned case. (Signed by Judge Leonard B. Sand on 2/25/08) (tro)
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CASHIERS OFFICE REMARK on #33 Order on Motion to Appear Pro Hac Vice, in the amount of $75.00, paid on 02/08/2008, Receipt Number 640932. (jd)
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Transmission to Attorney Admissions Clerk. Transmitted re: #33 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tro)
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Filing 34
MOTION for M. Richard Komins to Appear Pro Hac Vice. Document filed by State Teachers Retirement System of Ohio.(jmi)
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Filing 31
DECLARATION of Regina M. Calcaterra in Support re: #11 MOTION to Appoint State Teachers Retirement System of Ohio to serve as lead plaintiff(s) , consolidation, and approval of lead plaintiffs choice of co-lead counsel.. Document filed by State Teachers Retirement System of Ohio. (Attachments: #1 Exhibit A, #2 Exhibit B)(Calcaterra, Regina)
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Filing 30
NOTICE OF APPEARANCE by Regina Marie Calcaterra on behalf of State Teachers Retirement System of Ohio (Calcaterra, Regina)
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Filing 29
NOTICE OF APPEARANCE by A. Arnold Gershon on behalf of State Teachers Retirement System of Ohio (Gershon, A.)
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Filing 32
MOTION for Lawrence J. Lederer, Arthur M. Stock and Lane L. Vines to Appear Pro Hac Vice. Document filed by State Teachers Retirement System of Ohio.(tro)
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Filing 28
REPLY MEMORANDUM OF LAW in Support re: #11 MOTION to Appoint State Teachers Retirement System of Ohio to serve as lead plaintiff(s) , consolidation, and approval of lead plaintiffs choice of co-lead counsel.. Document filed by State Teachers Retirement System of Ohio. (Kaplan, Robert)
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Filing 27
REPLY MEMORANDUM OF LAW in Support re: #8 MOTION to Appoint James Conn to serve as lead plaintiff(s) James Conn's Motion for Appointment as Lead Plaintiff for the First Republic Merger Class. and in opposition to opposing motions for lead plaintiff. Document filed by James Conn. (Attachments: #1 Affidavit /Certificate of Service)(Qian, Fei-Lu)
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Filing 26
NOTICE of Withdrawal of Counsel of Record. Document filed by State Teachers Retirement System of Ohio. (Reilly, Karen)
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Filing 25
REPLY AFFIDAVIT of Robert N Kaplan in Support re: #11 MOTION to Appoint State Teachers Retirement System of Ohio to serve as lead plaintiff(s) , consolidation, and approval of lead plaintiffs choice of co-lead counsel.. Document filed by State Teachers Retirement System of Ohio. (Kaplan, Robert)
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Filing 24
REPLY MEMORANDUM OF LAW in Support re: #11 MOTION to Appoint State Teachers Retirement System of Ohio to serve as lead plaintiff(s) , consolidation, and approval of lead plaintiffs choice of co-lead counsel. and in Opposition to James Conns Motion for Appointment as Lead Plaintiff for the First Republic Merger Class and Approval of Lead Counsel. Document filed by State Teachers Retirement System of Ohio. (Kaplan, Robert)
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Filing 23
CERTIFICATE OF SERVICE of Memorandum of Law and Declaration served on all parties on January 18, 2008. Service was made by mail and ECF. Document filed by James Conn. (Qian, Fei-Lu)
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Filing 22
MEMORANDUM OF LAW in Support re: #8 MOTION to Appoint James Conn to serve as lead plaintiff(s) James Conn's Motion for Appointment as Lead Plaintiff for the First Republic Merger Class. and in Opposition to Opposing Motions for Lead Plaintiff. Document filed by James Conn. (Attachments: #1 Affidavit /Declaration of Kenneth Kotz)(Qian, Fei-Lu)
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Filing 21
CERTIFICATE OF SERVICE. Document filed by Frankfurt Trust. (Keller, Christopher)
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Filing 20
NOTICE of Frankfurt-Trust's Withdrawal Without Prejudice of Its Motion For Consolidation, Appointment As Lead Plaintiff And Approval Of Selection Of Counsel re: #4 MOTION For Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel.. Document filed by Frankfurt Trust. (Keller, Christopher)
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Filing 19
NOTICE OF APPEARANCE by Merrill G Davidoff on behalf of State Teachers Retirement System of Ohio (Davidoff, Merrill)
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Filing 18
NOTICE OF APPEARANCE by Jeffrey Philip Campisi on behalf of State Teachers Retirement System of Ohio (Campisi, Jeffrey)
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Filing 17
NOTICE OF APPEARANCE by Donald R. Hall, Jr on behalf of State Teachers Retirement System of Ohio (Hall, Donald)
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Filing 16
NOTICE OF APPEARANCE by Joel B. Strauss on behalf of State Teachers Retirement System of Ohio (Strauss, Joel)
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Filing 15
NOTICE OF APPEARANCE by Frederic Scott Fox, Sr on behalf of State Teachers Retirement System of Ohio (Fox, Frederic)
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Filing 14
NOTICE of Appearance of Robert N. Kaplan, Esq., Frederic S. Fox, Esq., Joel B. Strauss, Esq., Donald R. Hall, Esq., Jeffrey P. Campisi, Esq., and Aviah Cohen Pierson, Esq. of the law firm of Kaplan Fox & Kilsheimer LLP. Document filed by State Teachers Retirement System of Ohio. (Kaplan, Robert)
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Filing 13
DECLARATION of Robert N. Kaplan in Support re: #11 MOTION to Appoint State Teachers Retirement System of Ohio to serve as lead plaintiff(s) , consolidation, and approval of lead plaintiffs choice of co-lead counsel.. Document filed by State Teachers Retirement System of Ohio. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G (Part 1), #8 Exhibit G (Part 2), #9 Exhibit G (Part 3))(Kaplan, Robert)
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Filing 12
MEMORANDUM OF LAW in Support re: #11 MOTION to Appoint State Teachers Retirement System of Ohio to serve as lead plaintiff(s) , consolidation, and approval of lead plaintiffs choice of co-lead counsel.. Document filed by State Teachers Retirement System of Ohio. (Kaplan, Robert)
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Filing 11
MOTION to Appoint State Teachers Retirement System of Ohio to serve as lead plaintiff(s) , consolidation, and approval of lead plaintiffs choice of co-lead counsel. Document filed by State Teachers Retirement System of Ohio.(Kaplan, Robert)
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Filing 10
CERTIFICATE OF SERVICE of Motion, Memorandum of Law, and Proposed Order served on plaintiffs on December 31, 2007. Service was accepted by ECF and Mail. Service was made by ECF and Mail. Document filed by James Conn. (Attachments: #1 Text of Proposed Order proposed order)(Gross, Marc)
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Filing 9
MEMORANDUM OF LAW in Support re: #8 MOTION to Appoint James Conn to serve as lead plaintiff(s) James Conn's Motion for Appointment as Lead Plaintiff for the First Republic Merger Class.. Document filed by James Conn. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gross, Marc)
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Filing 8
MOTION to Appoint James Conn to serve as lead plaintiff(s) James Conn's Motion for Appointment as Lead Plaintiff for the First Republic Merger Class. Document filed by James Conn.(Gross, Marc)
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Filing 7
CERTIFICATE OF SERVICE. Document filed by Frankfurt Trust. (Keller, Christopher)
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Filing 6
DECLARATION of Alan I. Ellman in Support re: #4 MOTION For Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel.. Document filed by Frankfurt Trust. (Attachments: #1 Exhibit A - Certification, #2 Exhibit B - Loss Analysis, #3 Exhibit C - Class Notice, #4 Exhibit D - Labaton Sucharow LLP Firm Resume)(Keller, Christopher)
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Filing 5
MEMORANDUM OF LAW in Support re: #4 MOTION For Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel.. Document filed by Frankfurt Trust. (Keller, Christopher)
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Filing 4
MOTION For Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel. Document filed by Frankfurt Trust.(Keller, Christopher)
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Filing 3
ENDORSED LETTER addressed to Judge Leonard B. Sand from Jay B. Kasner dated 12/12/07 re: Merrill Lynch requests that all defendants' time to move, answer or otherwise respond to the complaints be adjourned until further order of the Court. ENDORSEMENT: GRANTED. So Ordered. (Signed by Judge Leonard B. Sand on 12/13/07) (js)
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Filing 2
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Life Enrichment Foundation(individually), Life Enrichment Foundation(on behalf of all others similarly situated).(laq)
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Filing 1
COMPLAINT against Merrill Lynch & Co., Inc., Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards. (Filing Fee $ 350.00, Receipt Number 631472)Document filed by Life Enrichment Foundation(individually), Life Enrichment Foundation(on behalf of all others similarly situated).(laq) Additional attachment(s) added on 11/1/2007 (Becerra, Maribel).
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Magistrate Judge Douglas F. Eaton is so designated. (laq)
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Case Designated ECF. (laq)
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SUMMONS ISSUED as to Merrill Lynch & Co., Inc., Stanley O'Neal, Ahmass L. Fakahany, Gregory J. Fleming, Jeffrey N. Edwards. (laq)
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