In Re: Lehman Brothers Equity/Debt Securities Litigation
Plaintiff: Operative Plasterers and Cement Masons International Association Local 262 Annuity Fund, Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, Rick Fleischman, Stephen Gott, Island Medical Group, Karim Kano, Michael Karfunkel, Ann Lee, Francisco Perez, Ronald Profili, Shea-Edwards Limited Partnership, Fred Telling, Grace Wang, Zahniser Trust, Ed Davis, Juan Tolosa, Arthur Simons, Ralph Rosato, Trustee J. Harry Pickle, Mohan Ananda, Richard Barrett, Neel Duncan, Nick Fotinos, Fred Mandell, Barbara Moskowitz, Stacey Oyler, Lawrence Rose, Joe Rottman, Roy Wiegert, Miriam Wolf, Alison Charles, Renaud Fournier, Lydia Loschiavo, Oklahoma Firefighters Pension and Retirement System and Madeline Dimodica
Defendant: Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr., Christopher M. O'Meara, Joseph M. Gregory, Erin Callan, Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., BNY Capital Markets, Inc., Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, CIBC World Markets Corp., Citigroup Global Markets Inc., Daiwa Securities SMBC Europe Limited, DnB NOR Markets, DZ Financial Markets LLC, RBS Greenwich Capital, Harris Nesbitt Corp., HVB Capital Markets, Inc., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., nabCapital Securities, LLC, RBC Dain Rauscher Inc., Santander Investment Securities Inc., Siebert Capital Markets, SG Corporate & Investment Banking, Sovereign Securities Corporation, LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, William Capital Group, L.P., M.R. Beal & Company, BNP Paribas S.A., Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., Edward D. Jones & Co., L.P., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Incapital LLC, Ing Financial Markets LLC, Muriel Siebert & Co., Inc., Natixis Bleichroeder Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., SG Americas Securities LLC, TD Securities (USA) LLC, UBS Financial Services Inc., A.G. Edwards & Sons, Inc., BNY Mellon Capital Markets, LLC, Cabrera Capital Markets LLC, DnB NOR Markets Inc., Fortis Securities, LLC, BMO Capital Markets Corp., Merrill Lynch, Pierce, Fenner & Smith, Inc., National Australia Bank Limited, RBC Capital Markets Corp., Sovereign Securities Corporation LLC, Standard Chartered Bank, Wachovia Capital Markets LLC, Wachovia Securities, LLC, The Williams Capital Group L.P., Zions Direct, Inc., Calyon Securities (USA) Inc., RBS Securities Inc., Ernst & Young LLP, Wachovia Capital Finance and The Williams Capital Group, LLP
Petitioner: Fire & Police Pension Association of Colorado and Brockton Contributory Retirement System, Fogel Capital Management, Inc., Brooks Family Partnership, LLC, KGT Inc. Pension Plan and Trust and Belmont Holdings Corp.
Lead Plaintiff: The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund and Operating Engineers Local 3 Trust Fund
Consolidated Plaintiff: Foundation Property Management, Inc., RHF Foundation Inc. and Retirement Housing Foundation
Consolidated Defendant: Calyon Securities USA Inc, DnB NOR Markets Inc, BMO Capital Markets Corp, Wachovia Securities LLC and The Williams Capital Group LP
Intervenor Plaintiff: Joseph Humble
Alternative Dispute Resolution (Adr) Provider: Sylvia Remer
Case Number: 1:2008cv05523
Filed: June 18, 2008
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: New York
Presiding Judge: Gabriel W Gorenstein
Referring Judge: Lewis A Kaplan
Nature of Suit: Plaintiff
Cause of Action: 15 U.S.C. § 78 m(a) Securities Exchange Act
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on March 19, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
March 19, 2019 Opinion or Order Filing 597 NOTICE of Withdrawal of Attorney David R. Stickney. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Oklahoma Firefighters Pension and Retirement System, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Gluck, Richard)
May 22, 2018 Opinion or Order Filing 596 ORDER APPROVING DISTRIBUTION PLAN FOR ERNST & YOUNG LLP NET SETTLEMENT FUND: granting (590) Motion to Approve in case 1:08-cv-05523-LAK-GWG; granting (1702) Motion to Approve in case 1:09-md-02017-LAK-GWG. NOW, THEREFORE, IT IS HEREBY ORDERED THAT: This Court has jurisdiction over the subject matter of the Action and over all parties to the Action, including all members of the Settlement Class. Plaintiffs' proposed plan for distribution of the EY Net Settlement Fund to Authorized Claimants is APPROVED. GCG shall, pursuant to the terms of the EY Plan of Allocation, eliminate from the distribution of the EY Net Settlement Fund any Authorized Claimant whose pro rata share as calculated under Paragraph 3(c)(1)(i) above calculates to less than $10.00. Such Claimants shall not receive any payment from the EY Net Settlement Fund; and After eliminating Claimants who would have received less than $10.00, GCG shall re-calculate the pro rata share of the EY Net Settlement Fund for Authorized Claimants who would have received $10.00 or more pursuant to the calculation described in Paragraph 3(c)(1)(i) above. This pro rata share is the Authorized Claimant's "Distribution Amount". The Clerk shall terminate DI 480 in 08-cv-5523 and DI 1702 in 09-md-2017, and as further set forth in this order. (Signed by Judge Lewis A. Kaplan on 5/22/2018) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (ap)
April 27, 2018 Opinion or Order Filing 595 REPLY MEMORANDUM OF LAW in Support re: (590 in 1:08-cv-05523-LAK-GWG) MOTION to Approve Distribution Plan for Ernst & Young LLP Net Settlement Fund . . Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Oklahoma Firefighters Pension and Retirement System, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit 1 - Dorell Ltr 3/30/2018, #2 Exhibit 2 - Dorell Ltr 4/2/2018, #3 Exhibit 3 - Dorell Ltr 4/10/2018, #4 Exhibit 4 - Epstein Ltr 4/4/2018, #5 Exhibit 5 - Krieger Ltr 3/30/2018)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 9, 2018 Opinion or Order Filing 594 ORDER: Accordingly, Mr. Epstein's request is denied without prejudice to the submission of his disputed claim by Lead Counsel. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 4/9/2018) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(anc)
April 9, 2018 Opinion or Order Filing 593 LETTER addressed to Judge Lewis A. Kaplan from Michael A. Epstein dated 4/4/2018 re: I request my disputes be granted full consideration. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(anc)
March 23, 2018 Opinion or Order Filing 592 DECLARATION of Stephen J. Cirami in Support re: (590 in 1:08-cv-05523-LAK-GWG) MOTION to Approve Distribution Plan for Ernst & Young LLP Net Settlement Fund .. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Oklahoma Firefighters Pension and Retirement System, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit B-1, #4 Exhibit B-2, #5 Exhibit B-3, #6 Exhibit B-4, #7 Exhibit B-5, #8 Exhibit B-6, #9 Exhibit B-7, #10 Exhibit B-8, #11 Exhibit B-9, #12 Exhibit B-10, #13 Exhibit B-11, #14 Exhibit B-12, #15 Exhibit B-13, #16 Exhibit B-14, #17 Exhibit B-15, #18 Exhibit B-16, #19 Exhibit B-17, #20 Exhibit B-18, #21 Exhibit B-19, #22 Exhibit C-1, #23 Exhibit C-2, #24 Exhibit C-3, #25 Exhibit D)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 23, 2018 Opinion or Order Filing 591 MEMORANDUM OF LAW in Support re: (590 in 1:08-cv-05523-LAK-GWG) MOTION to Approve Distribution Plan for Ernst & Young LLP Net Settlement Fund . . Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Oklahoma Firefighters Pension and Retirement System, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 23, 2018 Opinion or Order Filing 590 MOTION to Approve Distribution Plan for Ernst & Young LLP Net Settlement Fund . Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, Oklahoma Firefighters Pension and Retirement System. (Attachments: #1 Text of Proposed Order)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
August 17, 2017 Opinion or Order Filing 589 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL: PLEASE TAKE NOTICE that, pursuant to Rule 1.4 of the Local Rules for the United States District Court for the Southern District of New York, I, Steven B. Singer, former partner with the law firm Bernstein Litowitz Berger & Grossmann LLP, attorney for Co-Lead Counsel for Plaintiffs and the Settlement Class in the above-entitled action, hereby withdraw as an attorney of record, as I am no longer associated with Bernstein Litowitz Berger & Grossmann LLP. Bernstein Litowitz Berger & Grossmann LLP will continue to serve as Counsel of record to Co-Lead Counsel for Plaintiffs and the Settlement Class in the above-referenced matter. I hereby request that my name and email address be removed from the case's official docket. ENDORSEMENT: Approved. SO ORDERED., Attorney Steven B. Singer terminated. (Signed by Judge Lewis A. Kaplan on 8/17/2017) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(ama)
March 4, 2015 Opinion or Order Filing 588 ORDER APPROVING PAYMENT OF ELIGIBLE LATE ADJUSTED CLAIMS AND LATE SUBMITTED CLAIMS terminating (585) Motion for Disbursement of Funds in case 1:08-cv-05523-LAK-GWG; terminating (1624) Motion for Disbursement of Funds in case 1:09-md-02017-LAK-GWG. This Order incorporates by reference the definitions in (a) the Stipulation ofSettlement and Release dated September 11, 2013, between the Structured Products Class Representatives and UBS Financial Services, Inc. (ECF No. 1290-1 ), (the "Stipulation"); (b) the Notice of Pendency of Class Action and Proposed Settlement, Settlement Fairness Hearing, and Motion for Attorneys' Fees and Reimbursement of Litigation Expenses (the "Notice"); and (c) the Walter Declaration, and all terms used herein shall have the same meanings as set forth in the Stipulation, the Settlement Notice, and the Walter Declaration. The Structured Products Class Representatives' plan for payment of eligible late adjusted claims and late submitted claims is APPROVED. This Court retains jurisdiction to consider any further applications concerning the administration of the Settlements, and such other and further relief as this Court deems appropriate. The Clerk shall terminate 09md2017 DI 1624 and 09-cv-5523 DI 585. (Signed by Judge Lewis A. Kaplan on 3/4/2015) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (kko)
March 2, 2015 Opinion or Order Filing 587 DECLARATION of Adam D. Walter in Support re: (585 in 1:08-cv-05523-LAK-GWG) MOTION for Disbursement of Funds for Eligible Late Adjusted Claims and Late Submitted Claims.. Document filed by Stephen P. Gott(On behalf of himself), Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
March 2, 2015 Opinion or Order Filing 586 MEMORANDUM OF LAW in Support re: (585 in 1:08-cv-05523-LAK-GWG) MOTION for Disbursement of Funds for Eligible Late Adjusted Claims and Late Submitted Claims. . Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott(All others similarly situated), Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
March 2, 2015 Opinion or Order Filing 585 MOTION for Disbursement of Funds for Eligible Late Adjusted Claims and Late Submitted Claims. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
October 9, 2014 Opinion or Order Filing 584 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL APPEARANCE: ENDORSEMENT: SO ORDERED. (Signed by Judge Lewis A. Kaplan on 10/8/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al, Pursuant to instructions from Chambers. (mro)
July 25, 2014 Opinion or Order Filing 583 ORDER APPROVING DISTRIBUTION PLAN granting (579) Motion in case 1:08-cv-05523-LAK-GWG; granting (1437) Motion in case 1:09-md-02017-LAK-GWG. The Structured Products Class Representatives' plan for distribution of the Net Settlement Fund to Authorized Claimants, and as further set forth in this document. The Clerk shall terminate DI 1437, which is resolved by this order. (Signed by Judge Lewis A. Kaplan on 7/25/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (cd) Modified on 7/29/2014 (cd).
July 15, 2014 Opinion or Order Filing 582 PRETRIAL ORDER No. 91: (Motion for Attorneys' Fees-Ernest & Young Settlement): As indicated by the Court's remarks on the record during the April16, 2014 Fairness Hearing and a subsequent telephone conference with Lead Counsel on May 1, 2014, certain of the fee requests associated with the plaintiff class's settlement with Ernst & Young appeared confoundingly large, and as further set forth in this document. Lead Counsel's motion for an award of attorneys' fees and reimbursement of expenses [09 MD 201 7 - DI 1381, 08 CV 5523 - DI 549] is granted to the extent that the fees and expenses listed on the following schedule are awarded. (Signed by Judge Lewis A. Kaplan on 7/15/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
June 30, 2014 Opinion or Order Filing 581 DECLARATION of Adam D. Walter in Support re: (579 in 1:08-cv-05523-LAK-GWG) MOTION for Structured Products Class Representatives' Approval of Distribution Plan (Corrected to Associate Case) .. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
June 30, 2014 Opinion or Order Filing 580 MEMORANDUM OF LAW in Support re: (579 in 1:08-cv-05523-LAK-GWG) MOTION for Structured Products Class Representatives' Approval of Distribution Plan (Corrected to Associate Case) . . Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
June 30, 2014 Opinion or Order Filing 579 MOTION for Structured Products Class Representatives' Approval of Distribution Plan (Corrected to Associate Case) . Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. (Attachments: #1 Exhibit 1 - Proposed Order)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
June 25, 2014 Opinion or Order Filing 578 PRETRIAL ORDER NO. 89 (Individual Actions - May 22, 2014 Order): Counsel for various parties to some of these actions last month submitted a Joint Stipulation for Extension of Expert Discovery and Pretrial Motion Schedule Pursuant to PTO 61 which the Court approved. Unfortunately, the Court failed to notice that the caption failed to comply with paragraph 2.2 of PTO No. 1 in that the caption stated that the document applied to "All Individual Actions" rather than stating "the docket number of each individual case to which it [the Joint Stipulation] pertains." In consequence, the Joint Stipulation is not clear as to the specific actions to which it pertains. Even more significant, the failure to state the docket number of each individual case to which it pertains resulted in the lack of docket entries reflecting the Joint Stipulation in the dockets of the individual cases to which it pertains. The Joint Stipulation [09 MD 2017 - DI 1412] is vacated. Counsel within 10 days may file a new joint stipulation that complies with paragraph 2.2 of PTO No. 1. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/25/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(ja)
June 19, 2014 Opinion or Order Filing 577 LETTER addressed to Judge Lewis A. Kaplan from Max W. Berger dated 6/17/2014 re: We write in response to the Court's Pretrial Order No. 88, as further set forth in this letter. We hope this answers the Court's question but, if not, we will of course supplement this submission as the Court deems necessary. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
June 17, 2014 Opinion or Order Filing 576 LETTER addressed to Judge Lewis A. Kaplan from Max W. Berger dated 06/17/2014 re: Response to the Court's Pretrial Order No. 88, entered June 9, 2014. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Berger, Max)
June 9, 2014 Opinion or Order Filing 575 PRETRIAL ORDER NO. 88 (Equity/Debt Securities Litig.-Settlement with Ernst & Young): In light of Eubank v. Pella Corporation, etaL., Nos. 13-2091, 13-2133, 13-2136, 13- 2162, 13-2202, 2014 WL 2444388 (7th Cir. June 2, 2014), lead counsel for plaintiffs and the settlement class shall provide to the Court by June 17,2014 the amount the settlement class actually will receive, as distinguished from the amount the class is entitled to receive. (Signed by Judge Lewis A. Kaplan on 6/9/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
June 5, 2014 Opinion or Order Filing 574 PRETRIAL ORDER No. 86(PAYMENT OF ELIGIBLE CLAIMS-IN-PROCESS,LATE ADJUSTED CLAIMS, AND LATE SUBMITTED CLAIMS): This Order incorporates by reference the definitions in (a) the Cirami Declaration and (b) the Declaration of Stephen J. Cirami in Support of Lead Plaintiffs' Motion for Approval of Distribution Plan (ECF No. 495) (the "Initial Cirami Declaration"), and all terms with initial capitalization not otherwise defined herein shall have the meanings ascribed to them in the Cirami Declaration or Initial Cirami Declaration. Lead Plaintiffs' Motion for Approval of Payment of Eligibility Claims-in-Process, Late Adjusted Claims, and late Submitted Claims is GRANTED, and as further set forth in this document. (09md2017 DI 1395 and 08civ5523 DI 565). (Signed by Judge Lewis A. Kaplan on 6/5/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
May 22, 2014 Opinion or Order Filing 573 JOINT STIPULATION FOR EXTENSION OF EXPERT DISCOVERY AND PRETRIAL MOTION SCHEDULE PURSUANT TO PTO 61: Expert Discovery due by 6/27/2014 in the Individual Actions. Motions for summary judgment in the Individual Actions due by 8/8/2014. Responses due by 9/19/2014, Replies due by 10/20/2014. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/22/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(ajs)
May 15, 2014 Opinion or Order Filing 572 REPLY MEMORANDUM OF LAW in Support re: (565 in 1:08-cv-05523-LAK-GWG, 1395 in 1:09-md-02017-LAK-GWG) MOTION to Approve PAYMENT OF ELIGIBLE CLAIMS-IN-PROCESS, LATE ADJUSTED CLAIMS, AND LATE SUBMITTED CLAIMS. And Notice Of Non-Opposition. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 16, 2014 Opinion or Order Filing 571 JUDGMENT AND ORDER APPROVING SETTLEMENT BETWEEN PLAINTIFFS AND ERNST & YOUNG LLP: This Judgment hereby incorporates by reference the definitions in the Stipulation,and all capitalized terms used herein shall have the same meaning as set forth in the Stipulation. This Court has jurisdiction to enter this Judgment. The Court has jurisdiction over the subject matter of the Action and over all parties to the Action, including all Settlement Class Members. The Court hereby affirms its findings in its prior Order dated December 3, 2013 (the "Notice Order," ECF No. 542), that for purposes of the Settlement only, the prerequisites for a class action under Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure have been satisfied, and as further set forth in this document. The Clerk shall terminate 08 Civ 5523 DI 547 and 09 MD 2017 DI 1379. (Signed by Judge Lewis A. Kaplan on 4/16/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
April 16, 2014 Opinion or Order Filing 570 ORDER APPROVING PLAN OF ALLOCATION FOR THE EY NET SETTLEMENT FUND granting (547) Motion for Settlement in case 1:08-cv-05523-LAK-GWG; granting (1379) Motion for Settlement in case 1:09-md-02017-LAK-GWG. The Court hereby finds and concludes that the Plan of Allocation is, in all respects, fair and reasonable to the Settlement Class. Accordingly, the Court hereby approves the Plan of Allocation proposed by Plaintiffs. 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. (Signed by Judge Lewis A. Kaplan on 4/16/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (cd)
April 14, 2014 Opinion or Order Filing 569 LETTER addressed to Clerk of the Court from Eric Tausig dated 4/4/2014 re: I was to appear at the 4/15/14 settlement hearing, but I am unable to appear at the rescheduled, 4/16/2014 hearing. (cd)
April 14, 2014 Opinion or Order Filing 568 DECLARATION of David R. Stickney and David Kessler in Support re: (565 in 1:08-cv-05523-LAK-GWG) MOTION to Approve PAYMENT OF ELIGIBLE CLAIMS-IN-PROCESS, LATE ADJUSTED CLAIMS, AND LATE SUBMITTED CLAIMS.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 14, 2014 Opinion or Order Filing 567 DECLARATION of Stephen J. Cirami in Support re: (565 in 1:08-cv-05523-LAK-GWG) MOTION to Approve PAYMENT OF ELIGIBLE CLAIMS-IN-PROCESS, LATE ADJUSTED CLAIMS, AND LATE SUBMITTED CLAIMS.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit A-1, #2 Exhibit A-2, #3 Exhibit B, #4 Exhibit C-1, #5 Exhibit C-2, #6 Exhibit D, #7 Exhibit D-1, #8 Exhibit D-2, #9 Exhibit D-3, #10 Exhibit D-4, #11 Exhibit D-5, #12 Exhibit D-6, #13 Exhibit D-7, #14 Exhibit D-8, #15 Exhibit D-9, #16 Exhibit D-10, #17 Exhibit D-11, #18 Exhibit D-12, #19 Exhibit D-13, #20 Exhibit D-14, #21 Exhibit D-15, #22 Exhibit D-16, #23 Exhibit D-17, #24 Exhibit D-18, #25 Exhibit D-19, #26 Exhibit D-20, #27 Exhibit D-21, #28 Exhibit D-22, #29 Exhibit D-23, #30 Exhibit D-24, #31 Exhibit E)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 14, 2014 Opinion or Order Filing 566 MEMORANDUM OF LAW in Support re: (565 in 1:08-cv-05523-LAK-GWG) MOTION to Approve PAYMENT OF ELIGIBLE CLAIMS-IN-PROCESS, LATE ADJUSTED CLAIMS, AND LATE SUBMITTED CLAIMS.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 14, 2014 Opinion or Order Filing 565 MOTION to Approve PAYMENT OF ELIGIBLE CLAIMS-IN-PROCESS, LATE ADJUSTED CLAIMS, AND LATE SUBMITTED CLAIMS. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 9, 2014 Opinion or Order Filing 564 REPLY MEMORANDUM OF LAW in Support re: (549 in 1:08-cv-05523-LAK-GWG, 1381 in 1:09-md-02017-LAK-GWG) MOTION for Attorney Fees Notice of Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses in Connection with the EY Settlement., (1379 in 1:09-md-02017-LAK-GWG, 547 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Notice of Plaintiffs' Motion for Final Approval of Class Action Settlement with Defendant Ernst & Young LLP and Approval of Plan of Allocation.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Affidavit Supplemental Affidavit of Jose C. Fraga, #2 Exhibit Addendum of Unpublished Authorities, #3 Text of Proposed Order, #4 Text of Proposed Order, #5 Text of Proposed Order, #6 Affidavit Declaration of Service)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 1, 2014 Opinion or Order Filing 563 PRETRIAL ORDER NO 80 re (524) Motion for Attorney Fees in case 1:08-cv-05523-LAK-GWG; re (1320) Motion for Attorney Fees in case 1:09-md-02017-LAK-GWG. The motion of Structured Plaintiffs' Counsel for an award of attorneys' fees and reimbursement of expenses [09 MD 2017 - DI 1320] is granted to the extent that the attorneys' fees and expenses listed on the following schedule are awarded. (Signed by Judge Lewis A. Kaplan on 4/1/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (cd)
March 27, 2014 Opinion or Order Filing 561 ORDER: 4/15/2014 Fairness Hearing reset for 4/16/2014 at 10:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan, and as further set forth in this document. (Signed by Judge Lewis A. Kaplan on 3/27/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
March 26, 2014 Opinion or Order Filing 559 LETTER addressed to Judge Lewis A. Kaplan from John Tangredi, Esq. dated March 26, 2014 re: Receipt of removal notice. Document filed by Sylvia Remer.(Tangredi, John)
March 26, 2014 Opinion or Order Filing 558 LETTER addressed to Judge Lewis A. Kaplan from John A. Tangredi dated 3/19/2014 re: Sylvia Remer hereby requests to be removed from the list of excluded individuals in Appendix C. The removal request is attached. (Copies)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG, 1:10-cv-02926-LAK(cd)
March 26, 2014 Opinion or Order Filing 557 LETTER addressed to David R. Stickney from Robert D. Aitcheson dated 3/5/2014 re: I hereby exercise my right to EXCLUDE MYSELF and OPT OUT of the class action and settlement. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
March 25, 2014 Opinion or Order Filing 562 OBJECTION TO SETTLEMENT OF ERIC TAUSSIG, NOTE HOLDER. ***Accepted for filing by the Honorable Lewis A. Kaplan. (mro)
March 25, 2014 Opinion or Order Filing 556 LETTER addressed to Judge Lewis A. Kaplan from David R. Stickney dated 3/25/2014 re: date for the Fairness Hearing for the proposed settlement with Ernst & Young LLP. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Text of Proposed Order Joint Stipulation and [Proposed] Order)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 24, 2014 Opinion or Order Filing 554 OBJECTION TO PROPOSED E&Y SETTLEMENT dated April 15, 2014. Document filed by Chris Andrews. (Attachments: #1 Objection, #2 Objection, #3 Objection) Filed In Associated Cases: 1:09-md-02017-LAK-GWG.(sac)
March 24, 2014 Opinion or Order Filing 553 LETTER addressed to Judge Lewis A. Kaplan from John Tangredi, Esq dated March 19, 2014 re: Removal from Appendix C. Document filed by Sylvia Remer. (Attachments: #1 Appendix Removal)(Tangredi, John)
March 11, 2014 Opinion or Order Filing 552 CERTIFICATE OF SERVICE of Notice of Motions and Motions for Final Approval of Class Action Settlement with Defendant Ernst & Young LLP and Approval of Plan of Allocation and Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses in Connection with the EY Settlement, supporting Joint Declaration of David Stickney and David Kessler and Addendum of Unpublished Authorities served on Raymond Gao, William Brady and Robert Kreps on 03/11/2014. Service was made by FedEx. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 11, 2014 Opinion or Order Filing 551 DECLARATION of David Stickney and David Kessler in Support re: (549 in 1:08-cv-05523-LAK-GWG, 1381 in 1:09-md-02017-LAK-GWG) MOTION for Attorney Fees Notice of Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses in Connection with the EY Settlement., (1379 in 1:09-md-02017-LAK-GWG, 547 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Notice of Plaintiffs' Motion for Final Approval of Class Action Settlement with Defendant Ernst & Young LLP and Approval of Plan of Allocation.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 2A, #4 Exhibit 2B, #5 Exhibit 2C, #6 Exhibit 2D, #7 Exhibit 2E, #8 Exhibit 2F, #9 Exhibit 2G, #10 Exhibit 2H, #11 Exhibit 2I, #12 Exhibit 3, #13 Exhibit 4)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 11, 2014 Opinion or Order Filing 550 MEMORANDUM OF LAW in Support re: (549 in 1:08-cv-05523-LAK-GWG, 1381 in 1:09-md-02017-LAK-GWG) MOTION for Attorney Fees Notice of Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses in Connection with the EY Settlement.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 11, 2014 Opinion or Order Filing 549 MOTION for Attorney Fees Notice of Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses in Connection with the EY Settlement. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 11, 2014 Opinion or Order Filing 548 MEMORANDUM OF LAW in Support re: (1379 in 1:09-md-02017-LAK-GWG, 547 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Notice of Plaintiffs' Motion for Final Approval of Class Action Settlement with Defendant Ernst & Young LLP and Approval of Plan of Allocation.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Exhibit Addendum of Unpublished Authorities Part 1, #2 Exhibit Addendum of Unpublished Authorities Part 2)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
March 11, 2014 Opinion or Order Filing 547 MOTION for Settlement Notice of Plaintiffs' Motion for Final Approval of Class Action Settlement with Defendant Ernst & Young LLP and Approval of Plan of Allocation. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
January 15, 2014 Opinion or Order Filing 546 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Marc I. Gross dated 1/10/2013 re: I no longer have a role in the multi-district litigation and no longer want to receive electronic email notifications from the court. ENDORSEMENT: Granted., Attorney Marc Ian Gross terminated. (Signed by Judge Lewis A. Kaplan on 1/14/2014) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
January 8, 2014 Opinion or Order Filing 545 LETTER addressed to Clerk of Court from Raymond Gao re: Objection to the Proposed Class Action and Settlement with Defendant Ernst & Young LLP, Concerning Lehman Brothers Securities, (Case No. 08-CV-5523LAK, S.D.N.Y.)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
December 13, 2013 Opinion or Order Filing 544 JUDGMENT AND ORDER APPROVING SETTLEMENT BETWEEN STRUCTURED PRODUCT PLAINTIFFS AND UBS FINANCIAL SERVICES INC. settling action between them. (Signed by Judge Lewis A. Kaplan on 12/10/13) (Attachments: #1 Notice of Right to Appeal)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(ml)
December 12, 2013 Opinion or Order Filing 543 ORDER APPROVING PLAN OF ALLOCATION FOR THE NET SETTLEMENT FUND: granting #522 Motion for Settlement. 1. The Court has jurisdiction over the subject matter of and parties to the litigation, including all Structured Products Settlement Class members as further set forth in this order. 4. The Court hereby finds and concludes that the formula for the calculation of the claims of Authorized Claimants as set forth in the Plan of Allocation mailed and provided to Settlement Class members provides a fair and reasonable basis upon which to allocate the proceeds of the Net Settlement Fund among members of the Structured Products Settlement Class, with due consideration having been given to administrative convenience and necessity. 5. The Court finds and concludes that the Plan of Allocation is fair and reasonable in all respects to the Structured Products Settlement Class, and hereby approves the Plan of Allocation proposed by the Structured Products Plaintiffs. Approval of the Plan of Allocation is subject to the Court's further review upon the Structured Product Plaintiffs' submission of motion to distribute the Net Settlement Fund to Authorized Claimants. 6. 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. (Signed by Judge Lewis A. Kaplan on 12/10/2013) (lmb) Modified on 12/12/2013 (lmb).
December 3, 2013 Opinion or Order Filing 542 ORDER CONCERNING PROPOSED SETTLEMENT WITH DEFENDANT ERNST & YOUNG LLP granting (534) Motion for Settlement in case 1:08-cv-05523-LAK-GWG; granting (1339) Motion for Settlement in case 1:09-md-02017-LAK-GWG. 1. The Court, for the purposes of this Order, adopts all defined terms as set forth in the Stipulation unless otherwise defined herein. 2. Pending further order of the Court, all litigation activity against or by EY in this Action, except that contemplated herein, in the Stipulation, in the Notice or in the Judgment, is hereby stayed and all hearings, deadlines and other proceedings in this Action to the extent they involve claims against EY, except for the Fairness Hearing (defined below), are hereby taken off calendar and as further set forth in this order. The Court will hold a settlement hearing (the "Approval Hearing" or "Fairness Hearing" or "Settlement Hearing" on April 15, 2014, at 4:30 p.m., in the United States District Court for the Southern District of New York, Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, New York 10007, Courtroom 21B, for the following purposes as further set forth in this order. (Signed by Judge Lewis A. Kaplan on 12/3/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (lmb)
December 3, 2013 Opinion or Order Set/Reset Hearings: Fairness Hearing set for 4/15/2014 at 04:30 PM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan. Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
December 3, 2013 Opinion or Order Filing 541 REPLY MEMORANDUM OF LAW in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
December 3, 2013 Opinion or Order Filing 540 DECLARATION of Anya Verkhovskaya in Support re: (522 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Final Approval.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
December 3, 2013 Opinion or Order Filing 539 REPLY MEMORANDUM OF LAW in Support re: (522 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Final Approval.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
December 3, 2013 Opinion or Order Filing 538 PRETRIAL ORDER NO. 77: that plaintiffs in the five above-captioned actions shall show cause as to why their respective actions should not be dismissed without prejudice for lack of prosecution. Show Cause Response due by 12/17/2013. (Signed by Judge Lewis A. Kaplan on 12/3/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al. (tn)
December 2, 2013 Opinion or Order Filing 537 STATUS REPORT. Joint Status Report In Response To Pretrial Order No. 79 Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Berger, Max)
November 27, 2013 Opinion or Order Filing 536 NOTICE of Filing [Proposed] Order Concerning Proposed Settlement with Defendant Ernst & Young LLP re: (535 in 1:08-cv-05523-LAK-GWG) Memorandum of Law in Support of Motion,,. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit A-1, #2 Exhibit A-2, #3 Exhibit A-3)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
November 27, 2013 Opinion or Order Filing 535 MEMORANDUM OF LAW in Support re: (534 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Plaintiffs' Notice of Motion and Motion for Authorization to Notify the Settlement Class of Proposed Settlement with Ernst & Young LLP and to Schedule a Settlement Hearing.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, Government of Guam Retirement Fund. (Attachments: #1 Exhibit 1 - Part One, #2 Exhibit 1 - Part Two)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
November 27, 2013 Opinion or Order Filing 534 MOTION for Settlement Plaintiffs' Notice of Motion and Motion for Authorization to Notify the Settlement Class of Proposed Settlement with Ernst & Young LLP and to Schedule a Settlement Hearing. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
November 5, 2013 Opinion or Order Filing 533 CERTIFICATE OF SERVICE of The Structured Products Class Representatives' Notice of Motion for Final Approval of Settlement with UBS Financial Services Inc., and Approval of Plan Allocation; The Structured Products Class Representatives' Memorandum of Law in Support of Final Approval of Class Action Settlement; Notice of Structured Products Class Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses; Structured Products Plaintiffs' Counsel's Memorandum of Law in Support of Motion for Award of Attorneys' Fees and Reimbursement of Litigation Expenses; Declaration of Daniel C. Girard; Declaration of David Stickney; Declaration of David Kessler; Declaration of Susan Salvetti; Declaration of James V. Bashian; Declaration of Richard G. Himelrick; Declaration of Andrew S. Friedman on 11/05/2013. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 532 DECLARATION of James V. Bashian in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 531 DECLARATION of Andrew S. Friedman in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 530 DECLARATION of Richard G. Himelrick in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 529 DECLARATION of Susan Salvetti in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 528 DECLARATION of David Kessler in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 527 DECLARATION of David Stickney in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 526 DECLARATION of Daniel C. Girard in Support re: (522 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Final Approval., (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. (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)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 525 MEMORANDUM OF LAW in Support re: (524 in 1:08-cv-05523-LAK-GWG) MOTION for Attorney Fees and Expenses.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 524 MOTION for Attorney Fees and Expenses. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Return Date set for 12/10/2013 at 04:30 PM.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 523 MEMORANDUM OF LAW in Support re: (522 in 1:08-cv-05523-LAK-GWG) MOTION for Settlement Final Approval.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 5, 2013 Opinion or Order Filing 522 MOTION for Settlement Final Approval. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Joe Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang, Miriam Wolf. Return Date set for 12/10/2013 at 04:30 PM.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 4, 2013 Opinion or Order Filing 521 PRETRIAL ORDER NO. 77 (STRUCTURED PRODUCT PLAINTIFFS' RENEWED MOTION FOR RECONSIDERATION PURSUANT TO FRCP 54(B) AND MOTION FOR AMENDMENT OF CLASS CERTIFICATION PURSUANT TO RULE 23(C)(1)(C)): In light of the proposed settlement between the Structured Products Plaintiffs and UBS Financial Services, the Clerk shall terminate DI 1184 in master docket 09 MD 2017. The Structured Products Plaintiffs may refile the motion in the event the settlement is not completed., Motions terminated: (1184 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C) filed by Mohan Ananda, Grace Wang, David Kotz, Neel Duncan, Lawrence Rose, Ed Davis, Ronald Profili, Nick Fotinos, Richard Barrett, Karim Kano, Miriam Wolf, J. Harry Pickle, Barbara Moskowitz, Juan Tolosa, Rick Fleischman, Stephen P. Gott, Shea-Edwards Limited Partnership, Joe Rottman. (Signed by Judge Lewis A. Kaplan on 11/4/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
November 1, 2013 Opinion or Order Filing 520 PRETRIAL ORDER NO. 79 (STATUS REPORT): On or before December 2, 2013, counsel shall submit a joint status report fully advising the Court as to the status of all cases under this MDL. (Signed by Judge Lewis A. Kaplan on 11/1/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(lmb)
November 1, 2013 Opinion or Order Filing 519 ORDER in case 1:08-cv-05523-LAK-GWG; terminating (1276) Motion for Preliminary order in case 1:09-md-02017-LAK-GWG (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (Kaplan, Lewis)
November 1, 2013 Opinion or Order Filing 518 ORDER in case 1:08-cv-05523-LAK-GWG; granting (1273) Motion to Seal Document in case 1:09-md-02017-LAK-GWG (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al. (Kaplan, Lewis)
November 1, 2013 Opinion or Order Filing 517 ORDER in case 1:08-cv-05523-LAK-GWG; granting (1172) Motion for Margaret E Onasch to Appear Pro Hac Vice in case 1:09-md-02017-LAK-GWG (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al. (Kaplan, Lewis)
October 28, 2013 Opinion or Order Filing 516 NOTICE OF APPEARANCE by Tameka Melissa Beckford-Young on behalf of The Williams Capital Group, LLP. (Beckford-Young, Tameka)
October 24, 2013 Opinion or Order Filing 515 LETTER addressed to Clerk of the Court, Daniel C. Girard, and J.C. Dickey & M.R. King from Herbert L. Hochberg dated 10/11/2013 re: I object to the $26.3 million fee requested by Settlement Class Counsel because it appears unreasonable in relation to the likely amount of hours expended and the requested percent of the Settlement Fund (22%) appears arbitrary and without consideration of the hours expended.(lmb)
October 24, 2013 Opinion or Order Filing 514 LETTER addressed to Clerk of the Court, Daniel C. Girard, and J.C. Dickey & M.R. King from Carol H. Stix dated 10/14/2013 re: I object to the $26.3 million fee requested by Settlement Class Counsel because it appears unreasonable in relation to the likely amount of hours expended and the requested percent of the Settlement Fund (22%) appears arbitrary and without consideration of the hours expended. (lmb)
October 16, 2013 Opinion or Order Filing 513 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Max W. Berger dated 10/11/2013 re: To enable the Settling Parties to focus on documenting the settlement and satisfying its conditions, we respectfully request that the Court suspend ongoing proceedings in the Class Action. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 10/16/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
September 16, 2013 Opinion or Order Filing 512 ORDER CONCERNING PROPOSED SETTLEMENT WITH UBS FINANCIAL SERVICES, INC. granting (1290) Motion for Entry of Preliminary Order Pursuant to Rule 23 in case 1:09-md-02017-LAK-GWG; granting Motion for Entry of Preliminary Order Pursuant to Rule 23 in case 1:08-cv-05523-LAK-GWG. 1. For purposes of this Order, the Court adopts all defined terms as set forth in the Stipulation. 2. The Court finds, upon a preliminary evaluation and for purposes of the Settlement only, that the requirements of Federal Rules of Civil Procedure 23 (a) and (b)(3) have been met. The Court preliminarily certifies the following class for purposes of the Settlement only as further set forth in this order. 4. The Court preliminarily appoints the following Structured Products Class Representatives for the Settlement Class: Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Gastroenterology Associates, Ltd. Profit Sharing Plan and Trust FBO Charles M. Brooks, MD, Stephen Gott, Karim Kano, David Kotz, Barbara Moskowitz, Ronald Profili, Joseph Rottman, Shea-Edwards Limited Partnership, Juan Tolosa, Grace Wang and Miriam Wolf. 5. The Court also preliminarily appoints Structured Products Class Counsel as counsel for the Settlement Class pursuant to Federal Rule of Civil Procedure 23(g) as further set forth in this order. 11. The Court will hold a settlement hearing (the "Settlement Hearing") on Dec. 10, 2013, at 4:30 p.m., in the United States District Court for the Southern District of New York, Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, New York 10007, Courtroom 21B as further set forth in this order. (Signed by Judge Lewis A. Kaplan on 9/16/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
September 16, 2013 Opinion or Order Set/Reset Hearings: Settlement Conference set for 12/10/2013 at 04:30 PM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan. Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
September 3, 2013 Opinion or Order Filing 511 MOTION FOR ADMISSION PRO HAC VICE: in case 1:08-cv-05523-LAK-GWG; granting (195) Motion for Elio Gonzalez to Appear Pro Hac Vice in case 1:10-cv-06185-LAK; granting 1256 Motion for Elio Gonzalez to Appear Pro Hac Vice in case 1:09-md-02017-LAK-GWG; granting (126) Motion for Elio Gonzalez to Appear Pro Hac Vice in case 1:08-cv-05523-LAK-GWG. Granted. Terminate D.I. 1256 in 09 MD 2017 and D.I. 195 in 10-cv-6185. SO ORDERED.(Signed by Judge Lewis A. Kaplan on 9/03/2013) Filed In Associated Cases: 1:10-cv-06185-LAK, 1:08-cv-05523-LAK-GWG, 1:10-cv-06185-LAK(ama)
August 26, 2013 Opinion or Order Filing 510 ORDER granting (1274) Motion for Issuance of Letters Rogatory in case 1:09-md-02017-LAK-GWG; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-03468-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-03467-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-05523-LAK-GWG; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01236-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-05598-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-06762-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-08225-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-09404-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-09578-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-09793-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-10008-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-10058-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-10206-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-10686-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01237-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01231-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01238-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01232-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01240-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01235-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01230-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01239-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01944-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01946-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-01943-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-02363-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-03474-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-03475-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-03476-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-03478-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-03480-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-06041-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-06652-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-06040-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-07877-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-07878-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:09-cv-07900-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-03190-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-02926-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-05201-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:08-cv-06626-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-06077-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-06185-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-06637-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-08631-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-00384-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-01281-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-02039-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-03552-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-03892-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-09001-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-05112-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-04278-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:10-cv-05617-LAK; granting [] Motion for Issuance of Letters Rogatory in case 1:11-cv-03745-LAK; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory; granting (1274) Motion for Issuance of Letters Rogatory in case 1:09-md-02017-LAK-GWG; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of Letters Rogatory; granting [] Motion for Issuance of L
August 19, 2013 Opinion or Order Filing 509 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Kimberly A. Justice dated 7/31/13 re: Counsel hereby withdraws the Lead Plaintiffs' Motion for Alternative Service of a Subpoena on a Non-Party, filed on May 20, 2013, Docket Nos. 1211 through 1213. ENDORSEMENT: Motion withdrawn. (Signed by Judge Lewis A. Kaplan on 8/19/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(mro)
August 13, 2013 Opinion or Order Filing 508 PRETRIAL ORDER NO. 76 (Proposed Structured Products Settlement): The Court will hold a conference on September 9, 2013 at 3:30 p.m. concerning the motion of the Structured Products Class Counsel for a preliminary order with respect to the proposed settlement with UBS. The parties should be prepared to discuss paragraphs 18 and 19 of the Stipulation of Settlement and Release, the adequacy of the proposed class notice with respect to the terms thereof, and the provision of the plan of allocation governing the distribution of any funds remaining after payment of all claims. (Signed by Judge Lewis A. Kaplan on 8/13/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro)
August 13, 2013 Opinion or Order Set/Reset Deadlines: Motion Hearing set for 9/9/2013 at 03:30 PM before Judge Lewis A. Kaplan. Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro)
July 29, 2013 Opinion or Order Filing 507 NOTICE of of Withdrawal of Michael P. Daly as Counsel for Ernst & Young LLP. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Daly, Michael)
July 17, 2013 Opinion or Order Filing 506 STIPULATION OF ADJOURNMENT: It is hereby Stipulated and Agreed by the undersigned parties that the reply papers to the Motion shall be due August 12, 2013. The parties should no assume that further extensions will be forthcoming. Set Deadlines/Hearing as to (1184 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C):( Replies due by 8/12/2013.) (Signed by Judge Lewis A. Kaplan on 7/17/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro)
June 12, 2013 Opinion or Order Filing 505 MOTION Motion to Depose Party Bank Defendants Pursuant to Civil Procedure 30(b)(6). Document filed by The Moody Foundation. (Attachments: #1 Exhibit A, #2 Text of Proposed Order Proposed Order)Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Kirkpatrick, Eric)
June 12, 2013 Opinion or Order Filing 504 STIPULATION OF ADJOURNMENT: WHEREAS on April 23, 2013, the Structured Product Plaintiffs filed their Renewed Motion for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion For Amendment of Class Certification Pursuant to Rule 23(c)(1)(C) (hereinafter the "Motion"); IT IS HEREBY STIPULATED AND AGREED by the undersigned parties that the reply papers to the Motion shall be due July 12, 2013. Set Deadlines/Hearing as to (1184 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C) :( Replies due by 7/12/2013.) (Signed by Judge Lewis A. Kaplan on 6/12/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro)
June 10, 2013 Opinion or Order Filing 503 ORDER APPROVING DISTRIBUTION PLAN: IT IS HEREBY ORDERED THAT: This Order incorporates by reference the definitions in (a) the Stipulation of Settlement and Release dated December 2, 2011, between Lead Plaintiffs and the First Group of Settling Underwriter Defendants (ECF No. 533-3), the Stipulation of Settlement and Release dated December 9, 2011, between Lead Plaintiffs and the Second Group of Settling Underwriter Defendants (ECF No. 541), and the Stipulation of Settlement and Release dated October 14, 2011, between Lead Plaintiffs and the D&O Defendants (ECF No. 533-2) (collectively, the "Stipulations"); (b) the Notice of Pendency of Class Action and Proposed Settlement with the Director and Officer Defendants, Settlement Fairness Hearing and Motion for Attorneys' Fees and Reimbursement of Litigation Expenses and the Notice of Pendency of Class Action and Proposed Settlement with the Settling Underwriter Defendants, Settlement Fairness Hearing and Motion for Attorneys' Fees and Reimbursement of Litigation Expenses (collectively, the "Settlement Notices"); and (c) the Cirami Declaration, and all terms used herein shall have the same meanings as set forth in the Stipulations, the Settlement Notices, and the Cirami Declaration. This Court has jurisdiction over the subject matter of the Action and over all parties to the Action, including all members of the Settlement Classes. Lead Plaintiffs' plan for distribution of the Net Settlement Funds to Authorized Claimants is APPROVED; as further set forth herein. (Signed by Judge Lewis A. Kaplan on 6/10/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro) Modified on 6/12/2013 (mro).
June 10, 2013 Opinion or Order Filing 502 MEMO ENDORSEMENT granting (493) Motion for Approval of Distribution Plan in case 1:08-cv-05523-LAK-GWG; granting (1188) Motion for Approval of Distribution Plan in case 1:09-md-02017-LAK-GWG. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 6/10/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro)
May 24, 2013 Opinion or Order Filing 501 CERTIFICATE OF SERVICE of UBS Financial Services Inc.'s Memorandum of Law in Opposition to the Structured Product Plaintiffs' Renewed Motion for Reconsideration and for Amendment of Class Certification; Declaration of Eric Glicksman; Declaration of Theresa Roman on May 24, 2013. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
May 24, 2013 Opinion or Order Filing 500 DECLARATION of Theresa Roman in Opposition re: (1184 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C).. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
May 24, 2013 Opinion or Order Filing 499 DECLARATION of Eric Glicksman in Opposition re: (1184 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C).. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
May 24, 2013 Opinion or Order Filing 498 MEMORANDUM OF LAW in Opposition re: (1184 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C).. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
May 17, 2013 Opinion or Order Filing 497 RESPONSE in Support re: (493 in 1:08-cv-05523-LAK-GWG) MOTION for Approval of Distribution Plan. Notice of Non-Opposition to Motion for Approval of Distribution Plan. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Kessler, David)
May 9, 2013 Opinion or Order Filing 496 STIPULATION OF ADJOURNMENT: WHEREAS on April 23, 2013, the Structured Product Plaintiffs filed their Renewed Motion for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion For Amendment of Class Certification Pursuant to Rule 23(c)(1)(C) (hereinafter the "Motion"); IT IS HEREBY STIPULATED AND AGREED by the undersigned parties that the opposition papers to the Motion shall be due May 24, 2013; and IT IS HEREBY FURTHER STIPULATED AND AGREED by the undersigned parties that the reply papers to the Motion shall be due June 14, 2013. Set Deadlines/Hearing as to (1184 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Motion for Amendment of Class Certification Order Pursuant to Rule 23(c)(1)(C) :( Responses due by 5/24/2013, Replies due by 6/14/2013.) (Signed by Judge Lewis A. Kaplan on 5/9/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro)
April 26, 2013 Opinion or Order Filing 495 DECLARATION of Stephen J. Cirami in Support re: (493 in 1:08-cv-05523-LAK-GWG) MOTION for Approval of Distribution Plan.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit A, #2 Exhibit B-1, Part 1, #3 Exhibit B-1, Part 2, #4 Exhibit B-1, Part 3, #5 Exhibit B-1, Part 4, #6 Exhibit B-1, Part 5, #7 Exhibit B-2, #8 Exhibit B-3, Part 1, #9 Exhibit B-3, Part 2, #10 Exhibit C)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 26, 2013 Opinion or Order Filing 494 MEMORANDUM OF LAW in Support re: (493 in 1:08-cv-05523-LAK-GWG) MOTION for Approval of Distribution Plan.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 26, 2013 Opinion or Order Filing 493 MOTION for Approval of Distribution Plan. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit 1 - Proposed Order)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
April 10, 2013 Opinion or Order Filing 492 PRETRIAL ORDER NO. 65 (Amendment To Pretrial Order No. 57: Stipulation and Order For the Production And Exchange of Confidential Information). IT IS HEREBY STIPULATED, AGREED and ORDERED that Pretrial Order No. 57 is amended, as follows: 1. Neither the terms of Pretrial Order No. 57, as amended, nor any other Order entered in the Lehman MDL shall prevent deposition transcripts, and exhibits thereto, taken in the Lehman MDL from being disclosed to the parties in the NYAG Action and used in the NYAG Action, subject to the rulings of this Court, and provided that such transcripts and exhibits thereto designated as "Confidential" in the Lehman MDL will be treated as "Confidential" in the NYAG Action in accordance with a protective order entered by the court in the NYAG Action. The preceding sentence does not apply to the Starr Materials, and the Starr Materials shall not be shared with the parties in the NYAG Action without further order of this Court. Neither the terms of Pretrial Order No. 57, as amended, nor any other Order entered in the Lehman MDL shall prevent the NYAG from attending and examining witnesses at any deposition in the Coordinated Actions, (excluding only the Starr depositions) provided that any such examination: (1) follows consultation with the Executive Committee regarding such participation; (2) follows the examinations conducted by the parties in the Lehman MDL (unless the cross-examining parties waive this right and allow the NYAG to proceed immediately after the direct examination); and (3) does not count against the parties' time for examination in the Lehman MDL. Copies of all transcripts, whether written or video, and exhibits thereto, of testimony taken in connection with the NYAG Action, regardless of when taken, shall be made available to the parties in the Lehman MDL promptly upon receipt by the parties to the NYAG Action of any such transcript and exhibits thereto or request by the parties in the Lehman MDL, provided that such transcripts and exhibits thereto designated as "Confidential" in the NYAG Action will be treated as "Confidential" in the Lehman MDL in accordance with Pretrial Order No. 57. Copies of all transcripts, whether written or video, and exhibits thereto, of depositions taken in the Lehman MDL (excluding only the Starr Materials) shall be made available to the NYAG promptly upon request by the NYAG of any such transcript and exhibits thereto, provided that such transcripts and exhibits thereto designated as "Confidential" in the Lehman MDL will be treated as "Confidential" in the NYAG Action in accordance with a confidentiality stipulation and order entered in the Supreme Court of New York, County of New York. The parties to the NYAG Action shall submit a confidentiality stipulation and form of protective order to the Supreme Court of New York, County of New York in the form of Exhibit A attached hereto. (Signed by Judge Lewis A. Kaplan on 4/9/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(mro)
March 27, 2013 Opinion or Order Filing 491 NOTICE OF CHANGE OF ADDRESS by John Anthony Kehoe on behalf of Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen Gott, Karim Kano, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Lawrence Rose, Joe Rottman, Shea-Edwards Limited Partnership, Arthur Simons, Juan Tolosa, Grace Wang, Miriam Wolf. New Address: Girard Gibbs LLP, 711 Third Ave., 20th Floor, New York, New York, USA 10017, 212-867-1721. (Kehoe, John)
March 15, 2013 Opinion or Order Filing 490 ORDER in case 1:08-cv-05523-LAK-GWG; granting (1152) Motion for Tara Church to Appear Pro Hac Vice in case 1:09-md-02017-LAK-GWG; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-02926-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01236-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01237-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01238-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-06652-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-05112-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-04278-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-05617-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-03468-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-03467-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-05523-LAK-GWG; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-05598-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-06762-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-08225-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-09404-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-09578-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-09793-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-10008-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-10058-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-10206-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-10686-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01231-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01232-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01240-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01235-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01230-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01239-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01944-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01946-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-01943-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-02363-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-03474-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-03475-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-03476-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-03478-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-03480-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-06041-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-06040-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-07877-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-07878-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:09-cv-07900-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-03190-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-05201-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:08-cv-06626-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-06077-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-06185-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-06637-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:10-cv-08631-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-00384-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-01281-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-02039-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-03552-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-03892-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-09001-LAK; granting [] Motion for Tara Church to Appear Pro Hac Vice in case 1:11-cv-03745-LAK. (Signed by Judge Lewis A. Kaplan on 3/15/2013) Filed In Associated Cases: 1:10-cv-02926-LAK et al.(Kaplan, Lewis)
March 11, 2013 Opinion or Order Pro Hac Vice Fee Payment: for (489 in 1:08-cv-05523-LAK-GWG) MOTION for Richard D. Gluck to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee $ 200.00, receipt number 0208-8310677.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Gluck, Richard)
March 11, 2013 Opinion or Order >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. #489 MOTION for Richard D. Gluck to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): Filing fee not paid. Pay the filing fee by selecting the Pro Hac Vice Fee Payment event from the Other Documents menu item. (bcu)
March 8, 2013 Opinion or Order Filing 489 MOTION for Richard D. Gluck to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Proposed Order, #2 Declaration of Service)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Gluck, Richard)
March 7, 2013 Opinion or Order Filing 488 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 1/17/13 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Rodriguez, Somari)
March 7, 2013 Opinion or Order Filing 487 TRANSCRIPT of Proceedings re: CONFERENCE held on 1/17/2013 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Karen Gorlaski, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 4/1/2013. Redacted Transcript Deadline set for 4/11/2013. Release of Transcript Restriction set for 6/10/2013.Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Rodriguez, Somari)
February 27, 2013 Opinion or Order Filing 486 NOTICE OF CHANGE OF ADDRESS by Thomas James McKenna on behalf of Alex E. Rinehart. New Address: Gainey McKenna & Egleston, 440 Park Avenue South, 5th Floor, New York, NY, United States 10016, 2129831300. Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(McKenna, Thomas)
January 23, 2013 Opinion or Order Filing 485 PRETRIAL ORDER No. 60: Having considered Lead Counsel's response to Pretrial Order No 54, Mr. Ernie Dusing's claim shall be allowed or disallowed without regard to its late filing. (Signed by Judge Lewis A. Kaplan on 1/23/2013) (cd)
January 23, 2013 Opinion or Order Filing 484 PRETRIAL ORDER No. 61 filed. Initial disclosures completed on or before 2/22/2013. Fact Discovery cutoff on or before 10/4/2013. Expert Discovery cutoff on or before 12/20/2013. Any motions for summary judgment shall be filed in the Coordinated Actions on or before January 20, 2014; any opposition to a motion for summary judgment shall be filed on or before February 21, 2014; and any reply brief in support of a motion for summary judgment shall be filed on or before March 14, 2014. The Proposed Joint Pretrial Order for the Coordinated Actions shall be submitted on or before April I, 2014. Trial of the Class Action shall proceed before trial of any of the Individual Actions, and as further set forth in this document. (Signed by Judge Lewis A. Kaplan on 1/23/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(cd)
January 23, 2013 Opinion or Order Filing 483 ORDER in case 1:08-cv-05523-LAK-GWG; granting in part and denying in part (686) Motion to Certify Class; granting in part and denying in part (690) Motion to Certify Class in case 1:09-md-02017-LAK-GWG; granting in part and denying in part [] Motion to Certify Class; granting in part and denying in part [] Motion to Certify Class in case 1:08-cv-05523-LAK-GWG. Lead Plaintiffs' motion [DI 686] is granted to the extent that it seeks certification of a class consisting of: All persons and entities who purchased or otherwise acquired Lehman common stock, or purchased call options or sold put options referencing Lehman common stock between July 11, 2008 and September 14, 2008, inclusive, and who were damaged thereby. Excluded from the Class are Defendants and their respective officers, affiliates and directors, members of their immediate families and their legal representatives, heirs, successors or assigns of any such excluded party and any entity in which Defendants have or had a controlling interest, appointment of Oklahoma as class representative, and appointment of Bernstein Litowitz Berger & Grossmann LLP and Kessler Topaz Meltzer & Check, LLP as class counsel, and is denied in all other respects. Structured Product Plaintiffs' motion [DI 690] is granted to the extent it seeks certification of a class of: All persons who bought or otherwise acquired the Lehman Brothers-issued structured products sold by UBS Financial Services, Inc. that are identified in DI 691 Appendix A and on which this Court has held that plaintiffs have standing to sue, provided, however, that the Section 12(a)(2) claims regarding the principal protection feature may not be pursued on a class basis, appointment of the proposed class representatives, except Arthur Simons, and appointment of Girard Gibbs LLP as class counsel, and is denied in all other respects. (Signed by Judge Lewis A. Kaplan on 1/23/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
January 23, 2013 Opinion or Order Set/Reset Deadlines: Expert Discovery due by 12/20/2013. Fact Discovery due by 10/4/2013. Motions for summary judgment due by 1/20/2014. Responses due by 2/21/2014 Replies due by 3/14/2014. Associated Cases: 1:09-md-02017-LAK-GWG et al.(cd)
January 18, 2013 Opinion or Order Filing 482 RESPONSE re: (1118 in 1:09-md-02017-LAK-GWG, 478 in 1:08-cv-05523-LAK-GWG) Order,, Lead Counsel's Response to Pretrial Order No. 54 (Late Filed Claim). Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
January 17, 2013 Opinion or Order Filing 481 PRETRIAL ORDER NO. 57 (Stipulation and Order for the Production and Exchange of Confidential Material): 1. All Confidential Discovery Material, and any documents or information derived therefrom, shall be used solely for purposes of the Actions and may not be used for any other purpose whatsoever, including but not limited to, any business or commercial purpose, for dissemination to the media or the public, or in connection with any other judicial, administrative, or arbitral proceeding. Parties and their agents shall use reasonable steps to safeguard the confidentiality of all Confidential Discovery Material. The attorneys of record for the Parties and all other persons receiving information governed by this Stipulation and Order for the Production and Exchange of Confidential Information ("Stipulation and Order") shall take all reasonable steps to ensure that the information and Confidential Discovery Material governed by this Stipulation and Order are (i) used only for the purposes specified herein; and (ii) disclosed only to authorized persons. 2. Any person or entity, whether a party or non-party, producing Discovery Material in the Actions (a "Producing Party") may designate Discovery Material produced by it as "Confidential" if the Producing Party believes in good faith that such Discovery Material contains or reflects nonpublic confidential, personal, financial, proprietary, or commercially sensitive information (all such designated material being referred to as "Confidential Discovery Material"). All information derived from Confidential Discovery Material, including but not limited to extracts, summaries, and descriptions of such material, shall be treated as confidential in accordance with the provisions of this Stipulation and Order. Any Party receiving Confidential Discovery Material (a "Receiving Party") may object to the "Confidential" designation and request the removal of such designation as outlined under the procedures in paragraph 12 of this Stipulation and Order; as further set forth herein. ENDORSEMENT: Notwithstanding anything to the contrary herein: 1.Any papers filed under seal in this action shall be made part of the public record on or after 1/17/13 unless the Court otherwise orders. 2.Any person may apply to the Court for access to any papers filed under seal pursuant to this order. Should such an application be made, the person or persons who designated the sealed material as Confidential shall have the burden of establishing good cause for the continuation of the sealing order unless the Court previously made an individualized determination of the existence of good cause for sealing. (Signed by Judge Lewis A. Kaplan on 1/17/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(mro)
January 17, 2013 Opinion or Order Filing 480 PRETRIAL ORDER NO. 56 (Creation of a Document Depository): It is hereby ORDERED, as follows: 1. All documents that defendants and non-parties produce in response to formal discovery requests served by Lead Plaintiffs in the above-captioned class action (the "Class Action") shall be maintained by Lead Counsel in a document depository (the "document depository"). 2. Upon entry of this order, any plaintiff in a coordinated individual action (an "Individual Plaintiff") not subject to the Private Securities Litigation Reform Act ("PSLRA") discovery stay may seek access to documents in the repository in accordance with the terms and limitations set forth in Paragraphs 3-6 below. 3. Upon the resolution of motions to dismiss filed in any coordinated individual action, any Individual Plaintiff who currently is subject to the PSLRA discovery stay may seek access to documents in the depository after providing written notification to counsel of record for all parties in the coordinated individual actions and the Class Action; as further set forth herein. (Signed by Judge Lewis A. Kaplan on 1/17/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro) Modified on 1/17/2013 (mro).
January 15, 2013 Opinion or Order Filing 479 STATUS REPORT. Response To Pretrial Order No. 44 (Pending Motions To Dismiss; Status Conference) Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Text of Proposed Order [Proposed] Pretrial Order (Pretrial Schedule and Coordinated Discovery Order), #2 Exhibit A [Proposed] Pretrial Order (Creation of a Document Depository), #3 Exhibit B [Proposed] Pretrial Order (Stipulation and Order for Production and Exchange of Confidential Information))Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Stickney, David)
January 10, 2013 Opinion or Order SEALED DOCUMENT placed in vault. This document was originally filed under seal in envelope number 1120 in associated case 09MD2017.(mps)
January 9, 2013 Opinion or Order Filing 478 PRETRIAL ORDER NO. 54: The Court is in receipt of a letter from one Ernie Dusing, who claims to be a member of the class and seeks allowance of his claim to part of the settlement despite its untimeliness. The letter bears no indication that it was served on anyone. The Court is filing the letter with the Clerk together with copies of attachments redacted to remove account numbers and any similar information. The original attachments will be filed under seal. Lead Counsel shall respond and any other party may respond, in each case no later than January 18, 2013. (Signed by Judge Lewis A. Kaplan on 1/9/2013) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro) Modified on 1/11/2013 (mro).
January 9, 2013 Opinion or Order Filing 477 Letter addressed to Judge Lewis A. Kaplan from Ernie Dusing dated 12/27/12 re: Ernie Dusing writes to ask you to allow his claim in In re Lehman Brothers Equity/Debt Securities Litigation even though it is late. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro)
January 4, 2013 Opinion or Order Filing 476 NOTICE OF APPEARANCE by Sharan Nirmul on behalf of Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Nirmul, Sharan)
January 3, 2013 Opinion or Order Filing 475 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/18/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Rodriguez, Somari)
January 3, 2013 Opinion or Order Filing 474 TRANSCRIPT of Proceedings re: CONFERENCE held on 12/18/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Carol Ganley, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 1/28/2013. Redacted Transcript Deadline set for 2/7/2013. Release of Transcript Restriction set for 4/8/2013.Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Rodriguez, Somari)
December 19, 2012 Opinion or Order Filing 473 PRETRIAL ORDER NO. 52 (Kaufman - Motion to Alter Judgment) denying (460) Motion to Alter Judgment in case 1:08-cv-05523-LAK-GWG; denying (1050) Motion to Alter Judgment. The Kaufman plaintiffs' motion to alter or amend the judgment in No. 08 Civ. 5523 (LAK) (09 MD 2017 Dkt. 1050; 08 Civ. 5523 Dkt. 461) is denied for the reasons stated in open court on December 18, 2012. (Signed by Judge Lewis A. Kaplan on 12/19/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG, 1:09-cv-07900-LAK(ft)
December 14, 2012 Opinion or Order Filing 472 RESPONSE to Motion re: (1050 in 1:09-md-02017-LAK-GWG, 460 in 1:08-cv-05523-LAK-GWG) MOTION to Alter Judgment. LEAD PLAINTIFFS' STATEMENT REGARDING THE KAUFMAN MOTION TO ALTER OR AMEND JUDGMENT. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG, 1:09-cv-07900-LAK(Stickney, David)
December 11, 2012 Opinion or Order Filing 470 PRETRIAL ORDER NO. 46: The Court will hear oral argument on the motion of the plaintiffs in 09 Civ. 7900(LAK) to alter or amend the judgment in 08 Civ. 5523 (LAK) on December 18, 2012 at 4:15p.m. Counsel for lead plaintiffs in 08 Civ. 5523 (LAK) shall attend and be prepared to address the implications, if any, of granting the motion, including among other things, the question ( 1) whether granting the motion would require or counsel granting any applications by purchasers of other securities that were not purchased by any of the class plaintiffs to be included in the settlement, and (2) whether and how distribution of settlement proceeds to class members in 08 Civ. 5523 (LAK) would be affected if the motion for granted., ( Oral Argument set for 12/18/2012 at 04:15 PM before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 12/11/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG, 1:09-cv-07900-LAK(ago)
December 7, 2012 Opinion or Order Filing 471 MEMO ENDORSEMENT ON MOTION FOR ADMISSION PRO HAC VICE: granting #452 Motion for Laurence Reza Wrathall and #453 Motion for Benjamin Goldston to Appear Pro Hac Vice. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/6/2012) (djc)
December 6, 2012 Opinion or Order Filing 469 NOTICE of of Withdrawal re: #467 Response to Motion,. Document filed by Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber. (Wasserman, Adam)
December 6, 2012 Opinion or Order Filing 468 RESPONSE to Motion re: #460 MOTION to Alter Judgment.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen Gott, Karim Kano, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Lawrence Rose, Joe Rottman, Shea-Edwards Limited Partnership, Arthur Simons, Juan Tolosa, Grace Wang, Miriam Wolf. (Girard, Daniel)
December 6, 2012 Opinion or Order Filing 467 RESPONSE to Motion re: #460 MOTION to Alter Judgment.. Document filed by Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber. (Wasserman, Adam)
December 4, 2012 Opinion or Order Filing 466 PRETRIAL ORDER NO 44: The Court has considered the responses to Pretrial No. 38 and rules as follows: The Court sees no reason to revisit the rulings made In re Lehman Bros. Secur. and ERISA Litig., 799F Supp.2d 258(S.D.N.Y. 2011) (the "Class Action"), or In re Lehman Bros. Secur. and ERISA Litig., F. Supp. 2d No. 09 MD 2017(LAK), 2012 WL 4866504 (S.D.N.Y. Oct. 15, 2012) (the "California Cases"), as to the sufficiency of allegations of misstatements, omissions and,where applicable, scienter or those bearing on the principles of law governing the timeliness of claims brought under the Securities Act of 1933 or the Securities Exchange Act of 1934. Counsel should expect that these holdings will be incorporated in rulings on the various pending motions, many of which also involve other issues. 2. The parties shall meet and confer, on or before December 23, 2012, with a view to agreeing on a proposed scheduling order that will require conclusion of all discovery in the coming year and on such other matters as may facilitate the preparation of these cases for dispositive motions and, if appropriate, trial. The parties shall submit any joint proposal or, failing agreement, their respective separate proposals to the Court by January 15, 2013. In the event separate proposals are submitted, there shall be no more than one on behalf of plaintiffs and one on behalf of defendants, in each case noting any separate positions of members of these groups. The proposals shall not exceed fifteen pages. 3. The Court will conduct a status and scheduling conference on January 17, 2013 at 10:00 a.m. (Signed by Judge Lewis A. Kaplan on 12/4/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(js)
November 27, 2012 Opinion or Order Filing 465 RESPONSE re: (454 in 1:08-cv-05523-LAK-GWG, 1033 in 1:09-md-02017-LAK-GWG) Memorandum of Law in Opposition, (1018 in 1:09-md-02017-LAK-GWG, 1018 in 1:09-md-02017-LAK-GWG) Pretrial Order, Set Deadlines,,,,,,. Document filed by Mohan Ananda, Richard Barrett, Neel Duncan, Nick Fotinos, Stephen P. Gott, Karim Kano, Barbara Moskowitz, Ronald Profili, Lawrence Rose, Joe Rottman, Grace Wang, Miriam Wolf, Ed Davis, Rick Fleischman, J. Harry Pickle, Arthur Simons, Juan Tolosa. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Girard, Daniel)
November 20, 2012 Opinion or Order Filing 464 ORDER: The Court hereby finds and concludes that the Plan of Allocation is, in all respects, fair and reasonable to the Settlement Class. As originally submitted, the Plan of Allocation provides for a $50 minimum distribution. The Court, however, reserves its determination on the amount of minimum distribution until its review of Lead Plaintiffs' later Motion to Distribute the Net Settlement Fund to Authorized Claimants. Accordingly, the Court hereby approves the Plan of Allocation proposed by Lead Plaintiffs, subject to such review of the minimum payment prior to the distribution. 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. (Signed by Judge Lewis A. Kaplan on 11/20/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(js)
November 20, 2012 Opinion or Order Filing 463 ORDER APPROVING PAYMENT OF CLAIMS ADMINISTRATOR FEES AND EXPENSES: Pursuant to the stipulations of settlement (ECF Nos. 302-2, 302-3) and this Court's prior Orders (ECF Nos. 306, 307), Lead Counsel is authorized to pay the Court-approved Claims Administrator, The Garden City Group, Inc. ("GCG") from the settlement funds on a prorata basis, GCG's outstanding fees and expenses through September 30, 2012, in the total amount of $4,841,950.96. (Signed by Judge Lewis A. Kaplan on 11/20/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(js)
November 20, 2012 Opinion or Order Filing 462 PRETRIAL ORDER NO. 42: The Structured Product Plaintiffs' motion for reconsideration of this Court's July 27,2011 memorandum opinion [DI 1010] is denied without prejudice to renewal after the Supreme Court acts on the petition for a writ of certiorari in NECA -IBEW Health & Welfare Fund v. Goldman Sachs & Co., 693 F.3d 145 (2d Cir. 20 12), and if the writ is granted, decides the case. (Signed by Judge Lewis A. Kaplan on 11/20/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(js)
November 19, 2012 Opinion or Order Filing 461 MEMORANDUM OF LAW in Support re: (460 in 1:08-cv-05523-LAK-GWG) MOTION to Alter Judgment.. Document filed by Irene Kaufman. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(De Vos, Lloyd)
November 19, 2012 Opinion or Order Filing 460 MOTION to Alter Judgment. Document filed by Irene Kaufman.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(De Vos, Lloyd)
November 8, 2012 Opinion or Order Filing 459 JUDGMENT AND ORDER approving settlement between Lead Plaintiffs and the Settling Officers and Directors. (Signed by Judge Lewis A. Kaplan on 11/8/12) (Attachments: #1 NOTICE OF RIGHT TO APPEAL)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(ml)
November 8, 2012 Opinion or Order Filing 458 Letter addressed to Judge Lewis A. Kaplan from David R. Stickney dated 11/5/2012 re: This letter concerns Lead Plaintiffs' settlements with the officer and director defendants and the underwriter defendants. We write requesting approval to pay amounts incurred and owed to the Court-approved claims administrator, The Garden City Group, Inc., and further request entry of certain proposed orders that were submitted in connection with the settlements and that are necessary to administer the settlements.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(ae)
November 5, 2012 Opinion or Order Filing 457 PRETRIAL ORDER NO. 41: The dates set forth in paragraph 2 of Pretrial Order No. 38 are extended to and including November 13 and November 27, 2012, respectively. (Signed by Judge Lewis A. Kaplan on 11/5/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(lmb)
November 5, 2012 Opinion or Order Filing 456 CERTIFICATE OF SERVICE of Memorandum of Law in Partial Opposition to the Relief Proposed in Pretrial Order No. 38; Declaration and Exhibits on 11/05/2012. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
November 5, 2012 Opinion or Order Filing 455 DECLARATION of Oliver Olanoff in Opposition re: (1018 in 1:09-md-02017-LAK-GWG, 1018 in 1:09-md-02017-LAK-GWG) Pretrial Order, Set Deadlines,,,,,,. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
November 5, 2012 Opinion or Order Filing 454 MEMORANDUM OF LAW in Opposition re: (1018 in 1:09-md-02017-LAK-GWG, 1018 in 1:09-md-02017-LAK-GWG) Pretrial Order, Set Deadlines,,,,,, UBS Financial Services Inc.'s Memorandum of Law in Partial Opposition to the Relief Proposed in Pretrial Order No. 38. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
October 24, 2012 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #453 MOTION for Benjamin Galdston to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7932937. Motion and supporting papers to be reviewed by Clerk's Office staff., #452 MOTION for Laurence Reza Wrathall to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7932899. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (pgu)
October 23, 2012 Opinion or Order Filing 453 MOTION for Benjamin Galdston to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7932937. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
October 23, 2012 Opinion or Order Filing 452 MOTION for Laurence Reza Wrathall to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-7932899. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
October 9, 2012 Opinion or Order Filing 451 CERTIFICATE OF SERVICE of Memorandum of Law in Opposition to the Structured Product Plaintiff's Motion for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b) and Declaration on 10/09/2012. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
October 9, 2012 Opinion or Order Filing 450 DECLARATION of Oliver Olanoff in Opposition re: (1010 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b).. Document filed by UBS Financial Services Inc.. (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)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
October 9, 2012 Opinion or Order Filing 449 MEMORANDUM OF LAW in Opposition re: (1010 in 1:09-md-02017-LAK-GWG) MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b). MOTION for Reconsideration Pursuant to Federal Rule of Civil Procedure 54(b).. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Dickey, Jonathan)
September 26, 2012 Opinion or Order Filing 448 AFFIDAVIT OF SERVICE of Subpoena Duces Tecum served on Joseph M. Gregory, Jr. on 9/25/12. Service was made by Mail. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Middleton, Brett)
July 30, 2012 Opinion or Order Filing 447 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting #443 Motion for Joseph E. White, III to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 7/30/2012) (lmb)
July 30, 2012 Opinion or Order Filing 446 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting #444 Motion for Maya Saxena to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 7/30/2012) (lmb)
July 27, 2012 Opinion or Order Filing 445 PRETRIAL ORDER NO. 36: denying (402) Motion in case 1:08-cv-05523-LAK-GWG; denying (917) Motion ; denying (256) Motion in case 1:09-md-02017-LAK-GWG; denying [] Motion in case 1:08-cv-05523-LAK-GWG. Suntrust Robinson Humphrey, Inc. ("Suntrust"), a settling underwriter defendant, objects to the Report and Recommendation ofMagistrate Judge Gabriel W. Gorenstein, entered June 29, 2012 ("R&R"), which recommended denial ofSuntrust's motion to enjoin an arbitration pending before FINRA. The objections are overruled and the motion [DI 917] is denied. As these objections have been handled, at the parties' request, on an expedited basis and the parties have entreated the Court to rule promptly, preferably by August 1, the Court states only that it rules as it has, substantially for the reasons given in the R&R and at pages 16-20 of the response to Suntrust's objections. It nevertheless briefly emphasizes one point as further set forth within this Order. In this Court's view, Magistrate Judge Gorenstein was correct in concluding that the lawsuit and the arbitration, despite some inevitable overlap, do not share the identical factual predicate. If and to the extent that the Gimbel decisions are inconsistent with this view, and the Court expresses no view on that point, they would not be persuasive on the facts of this case.. (Signed by Judge Lewis A. Kaplan on 7/27/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(jfe)
July 26, 2012 Opinion or Order Filing 444 MOTION for Maya Saxena to Appear Pro Hac Vice. Document filed by The Pension Fund Group.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(pgu)
July 26, 2012 Opinion or Order Filing 443 MOTION for Joseph E. White III to Appear Pro Hac Vice. Document filed by The Pension Fund Group.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(pgu)
July 18, 2012 Opinion or Order Filing 442 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel and pursuant to Local Civil Rule 1.4, that the law firm of Finn Dixon & Herling LLP hereby is substituted in place and in the stead of the law firm Proskauer Rose LLP as counsel of record for defendant Erin M. Callin in the following actions as further set forth in this order., Attorney Seth David Fier; Dietrich L. Snell; Robert J. Cleary and Mark Edward Davidson terminated. (Signed by Judge Lewis A. Kaplan on 7/18/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(lmb)
July 17, 2012 Opinion or Order Filing 441 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a HEARING proceeding held on 6/21/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(McGuirk, Kelly)
July 17, 2012 Opinion or Order Filing 440 TRANSCRIPT of Proceedings re: HEARING held on 6/21/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: William Richards, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/10/2012. Redacted Transcript Deadline set for 8/20/2012. Release of Transcript Restriction set for 10/18/2012.Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(McGuirk, Kelly)
July 16, 2012 Opinion or Order Filing 439 MEMORANDUM OF LAW in Support re: (97 in 1:08-cv-10058-LAK, 32 in 1:11-cv-09001-LAK, 73 in 1:09-cv-03480-LAK, 88 in 1:09-cv-06040-LAK, 193 in 1:09-cv-02363-LAK, 139 in 1:09-cv-01239-LAK, 74 in 1:09-cv-06041-LAK, 25 in 1:11-cv-04278-LAK, 115 in 1:09-cv-03476-LAK, 97 in 1:09-cv-03478-LAK, 103 in 1:09-cv-01237-LAK, 123 in 1:09-cv-01238-LAK, 438 in 1:08-cv-05523-LAK-GWG, 44 in 1:10-cv-03190-LAK, 76 in 1:09-cv-07878-LAK, 60 in 1:11-cv-01281-LAK, 55 in 1:09-cv-07900-LAK, 64 in 1:09-cv-01943-LAK, 106 in 1:09-cv-01946-LAK, 129 in 1:10-cv-05201-LAK, 56 in 1:10-cv-08631-LAK, 105 in 1:08-cv-09404-LAK, 150 in 1:08-cv-08225-LAK, 36 in 1:11-cv-03552-LAK, 72 in 1:09-cv-01240-LAK, 38 in 1:10-cv-05617-LAK, 96 in 1:09-cv-01232-LAK, 24 in 1:11-cv-05112-LAK, 27 in 1:10-cv-06077-LAK, 116 in 1:09-cv-03475-LAK, 25 in 1:11-cv-02039-LAK, 190 in 1:08-cv-05598-LAK, 72 in 1:08-cv-10686-LAK, 139 in 1:10-cv-06185-LAK, 86 in 1:09-cv-06652-LAK, 94 in 1:09-cv-01231-LAK, 978 in 1:09-md-02017-LAK-GWG, 199 in 1:08-cv-06762-LAK, 76 in 1:10-cv-06637-LAK, 98 in 1:09-cv-01235-LAK, 92 in 1:08-cv-10206-LAK, 52 in 1:11-cv-00384-LAK, 96 in 1:08-cv-09793-LAK, 100 in 1:09-cv-03467-LAK, 99 in 1:09-cv-03468-LAK, 71 in 1:09-cv-01236-LAK, 45 in 1:10-cv-02926-LAK, 108 in 1:08-cv-09578-LAK, 84 in 1:08-cv-10008-LAK, 119 in 1:09-cv-01944-LAK, 116 in 1:09-cv-03474-LAK, 75 in 1:09-cv-07877-LAK, 42 in 1:08-cv-06626-LAK, 59 in 1:11-cv-03892-LAK, 104 in 1:09-cv-01230-LAK) MOTION to Partially Lift Discovery Stay by the Individual Action Plaintiffs.. Document filed by American National Insurance Company, City of Auburn, City of Burbank, City of Cerritos, City of Fremont, City of Long Beach, City of San Buenaventura, City of South San Francisco, Contra Costa Water District, County of Alameda, County of Tuolumne, San Mateo County Investment Pool, State Compensation Insurance Fund, The California Public Employees' Retirement System, The State of New Jersey, Department of Treasury, Division of Investment, Vallejo Sanitation & Flood Control District, Washington State Investment Board, Mary A. Zeeb, Zenith Insurance Co.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Edling, Matthew)
July 16, 2012 Opinion or Order Filing 438 MOTION to Partially Lift Discovery Stay by the Individual Action Plaintiffs. Document filed by American National Insurance Company, City of Auburn, City of Burbank, City of Cerritos, City of Fremont, City of Long Beach, City of San Buenaventura, City of South San Francisco, Contra Costa Water District, County of Tuolumne, San Mateo County Investment Pool, State Compensation Insurance Fund, The California Public Employees' Retirement System, The State of New Jersey, Department of Treasury, Division of Investment, Vallejo Sanitation & Flood Control District, Washington State Investment Board, Mary A. Zeeb, Zenith Insurance Co..Filed In Associated Cases: 1:09-md-02017-LAK-GWG et al.(Edling, Matthew)
July 11, 2012 Opinion or Order Filing 437 JOINT CONSENT STIPULATION TO EXPEDITED BRIEFING SCHEDULE AND REQUEST FOR EXPEDITED ADJUDICATION OF SUNTRUST ROBINSON HUMPHREY, INC.'S MOTION TO ENFORCE CLASS ACTION SETTLEMENT AND ENJOIN ARBITRATION OF RELEASED CLAIMS: IT IS HEREBY STIPULATED AND AGREED by SunTrust and Claimants that: 1. SunTrust will file its Objections to the Report and Recommendation, pursuant to F.R.C.P. Rule 72 and 28 U.S.C. 636(b) (the "Objections") on July 6, 2012; and 2. Claimants will file their response to the Objections on or before July 13, 2012. In order to avoid the possible need for further postponement of the hearing of Claimants' FINRA action, SunTrust and Claimants respectfully request that the Court consider the parties' filings concerning the Motion and Report and Recommendation and decide the Motion as soon thereafter as the Court's schedule permits. Should the Court wish to hear oral argument regarding the Motion, SunTrust and Claimants will do their best to make themselves available for a hearing at an early date that is convenient for the Court., ( Responses due by 7/13/2012.) (Signed by Judge Lewis A. Kaplan on 7/10/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
July 9, 2012 Opinion or Order Filing 436 MEMO ENDORSEMENT granting 432 Motion for Garrett W. Wotkyns to Appear Pro Hac Vice: Granted. (Signed by Judge Lewis A. Kaplan on 7/9/2012) (lmb)
July 9, 2012 Opinion or Order Filing 435 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Marshall R. King dated 7/5/2012 re: We respectfully request that the Court allow the parties each to make a brief supplemental submission in a letter of no more than 3 pages to address the relevance of this ruling to the Structured Product Plaintiffs' pending class certification motion. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 7/9/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
July 9, 2012 Opinion or Order Filing 434 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Daniel C. Girard dated 7/5/2012 re: If the Court is inclined to grant UBS's request, Plaintiffs propose that the Court authorize UBS to file a 3-page letter within one week (as requested by UBS) and Plaintiffs to file a responsive 3-page letter one week later. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 7/9/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(lmb)
July 6, 2012 Opinion or Order Filing 433 OBJECTION to (969 in 1:09-md-02017-LAK-GWG, 430 in 1:08-cv-05523-LAK-GWG) Report and Recommendations -SUNTRUST ROBINSON HUMPHREY, INC.S RULE 72 OBJECTIONS TO THE MAGISTRATE JUDGES REPORT AND RECOMMENDATION ENTERED JUNE 29, 2012- Document filed by SunTrust Robinson Humphrey, Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Balser, David)
June 29, 2012 Opinion or Order Filing 431 PRETRIAL ORDER NO. 35 granting (341) Motion for Attorney Fees in case 1:08-cv-05523-LAK-GWG; granting (805) Motion for Attorney Fees; granting (215) Motion for Attorney Fees in case 1:09-md-02017-LAK-GWG; granting [] Motion for Attorney Fees in case 1:08-cv-05523-LAK-GWG. to the extent that the Court awards attorneys' fees in the aggregate amount of $56,729,2656 plus expenses in the amount of $1,619,669.27, to be paid pro rata out of the two separate settlement funds. (Signed by Judge Lewis A. Kaplan on 6/29/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(cd)
June 29, 2012 Opinion or Order Filing 430 REPORT AND RECOMMENDATION re: (402 in 1:08-cv-05523-LAK-GWG, 917 in 1:09-md-02017-LAK-GWG) MOTION for an order enforcing the class action UW Settlement this Court approved in its Judgment and Order Approving Settlement Between Lead Plaintiffs and the Settling Underwriter Defendants, Dkt. # 894 filed by SunTrust Robinson Humphrey, Inc. For the foregoing reasons, the motion to enforce the settlement and enjoin the arbitration (Docket # 917) should be denied. Objections to R&R due by 7/16/2012 (Signed by Magistrate Judge Gabriel W. Gorenstein on 6/29/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(mro) Modified on 7/2/2012 (mro).
June 28, 2012 Opinion or Order Filing 432 MOTION for Garrett W. Wotkyns to Appear Pro Hac Vice. Document filed by Metropolitan Bank Group, Inc., NC Bancorp, Inc..Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(bwa)
June 25, 2012 Opinion or Order Filing 429 NOTICE of Withdrawal of Appearance Of Jon F. Worm. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Stickney, David)
June 20, 2012 Opinion or Order Filing 428 ORDER granting #423 Motion for Benjamin D. Reichard, to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 6/20/2012) (ama)
June 20, 2012 Opinion or Order Filing 427 ORDER granting #422 Motion for James R. Swanson to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 6/20/2012) (ama)
June 20, 2012 Opinion or Order Filing 426 ORDER granting #421 Motion for Joseph C. Peiffer to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 6/20/2012) (ama)
June 20, 2012 Opinion or Order Filing 425 MEMO ENDORSEMENT on NOTICE OF UNOPPOSED MOTION AND UNOPPOSED MOTION FOR LEAVE TO FILE UNDER SEAL AN EXHIBIT IN SUPPORT OF UBS FINANCIAL SERVICES INC.'S SUR-REPLY IN OPPOSITION TO PLAINTIFFS' MOTION FOR CLASS CERTIFICATION. ENDORSEMENT: Granted. Granting (406) Motion to Seal Document in case 1:08-cv-05523-LAK-GWG. (Signed by Judge Lewis A. Kaplan on 6/20/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (rjm)
June 20, 2012 Opinion or Order Filing 424 MEMO ENDORSEMENT on NOTICE OF UNOPPOSED MOTION AND UNOPPOSED MOTION FOR LEAVE TO FILE UNDER SEAL TWO EXHIBITS TO THE DECLARATION OF JONATHAN K. LEVINE. ENDORSEMENT: Granted. Granting (910) Motion to Seal Document in case 1:09-md-02017-LAK-GWG. (Signed by Judge Lewis A. Kaplan on 6/20/2012). Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(rjm)
June 20, 2012 Opinion or Order Transmission to Sealed Records Clerk. Transmitted re: (957 in 1:09-md-02017-LAK-GWG, 424 in 1:08-cv-05523-LAK-GWG) Order on Motion to Seal Document to the Sealed Records Clerk for the sealing or unsealing of document or case. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (rjm)
June 20, 2012 Opinion or Order CASHIERS OFFICE REMARK on #423 Motion to Appear Pro Hac Vice, #421 Motion to Appear Pro Hac Vice, #422 Motion to Appear Pro Hac Vice in the amount of $600.00, paid on 06/12/2012, Receipt Number 104075, 1040746, 1040748. (jd)
June 20, 2012 Opinion or Order Transmission to Sealed Records Clerk. Transmitted re: (958 in 1:09-md-02017-LAK-GWG, 425 in 1:08-cv-05523-LAK-GWG) Order on Motion to Seal Document to the Sealed Records Clerk for the sealing or unsealing of document or case. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG (rjm)
June 12, 2012 Opinion or Order Filing 423 MOTION for Benjamin D. Reichard to Appear Pro Hac Vice. Document filed by Metropolitan Bank Group, Inc., NC Bancorp, Inc.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(pgu)
June 12, 2012 Opinion or Order Filing 422 MOTION for James R. Swanson to Appear Pro Hac Vice. Document filed by Metropolitan Bank Group, Inc., NC Bancorp, Inc.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(pgu)
June 12, 2012 Opinion or Order Filing 421 MOTION for Joseph C. Peiffer to Appear Pro Hac Vice. Document filed by Metropolitan Bank Group, Inc., NC Bancorp, Inc.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(pgu)
June 7, 2012 Opinion or Order Filing 420 ORDER FOR ADMISSION PRO HAC VICE granting (419) Motion for David L. Balser to Appear Pro Hac Vice in case 1:08-cv-05523-LAK-GWG; Granting (945) Motion for David L. Balser to Appear Pro Hac Vice in case 1:09-md-02017-LAK-GWG. (Signed by Judge Thomas P. Griesa on 6/7/2012) Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG. (rjm) Modified on 6/8/2012 (rjm).
June 5, 2012 Opinion or Order Filing 419 MOTION for David L. Balser to Appear Pro Hac Vice. Document filed by SunTrust Robinson Humphrey, Inc.Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(pgu)
June 1, 2012 Opinion or Order Filing 418 DECLARATION of Richard T. Marooney in Support re: (402 in 1:08-cv-05523-LAK-GWG, 917 in 1:09-md-02017-LAK-GWG) MOTION for an order enforcing the class action UW Settlement this Court approved in its Judgment and Order Approving Settlement Between Lead Plaintiffs and the Settling Underwriter Defendants, Dkt. # 894, and enjoining certain members of the UW S. Document filed by SunTrust Robinson Humphrey, Inc.. (Attachments: #1 Exhibit 11)Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Marooney, Richard)
June 1, 2012 Opinion or Order Filing 417 REPLY MEMORANDUM OF LAW in Support re: (402 in 1:08-cv-05523-LAK-GWG, 917 in 1:09-md-02017-LAK-GWG) MOTION for an order enforcing the class action UW Settlement this Court approved in its Judgment and Order Approving Settlement Between Lead Plaintiffs and the Settling Underwriter Defendants, Dkt. # 894, and enjoining certain members of the UW S. Document filed by SunTrust Robinson Humphrey, Inc.. Filed In Associated Cases: 1:09-md-02017-LAK-GWG, 1:08-cv-05523-LAK-GWG(Marooney, Richard)
June 1, 2012 Opinion or Order Filing 416 NOTICE OF APPEARANCE by Lauren Catherine Kiss on behalf of Retirement Housing Foundation (Kiss, Lauren)
May 24, 2012 Opinion or Order Filing 415 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Specific Non-Dispositive Motion/Dispute: Motion to Enforce Class Action Settlement. Referred to Magistrate Judge Gabriel W. Gorenstein. Motions referred to Gabriel W. Gorenstein. (Signed by Judge Lewis A. Kaplan on 5/23/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(lmb)
May 24, 2012 Opinion or Order Filing 414 MEMORANDUM AND ORDER: The motion to approve the D&O Settlement [DI 803] is hereby granted. (Signed by Judge Lewis A. Kaplan on 5/24/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(lmb)
May 23, 2012 Opinion or Order Filing 413 CERTIFICATE OF SERVICE of Notice of Unopposed Motion and Unopposed Motion for Leave to File Under Seal an Exhibit in Support of UBS Financial Services Inc.'s Sur-Reply in Opposition to Plaintiffs' Motion for Class Certification; Sur-Reply Memorandum of Law in Opposition to Plaintiffs' Motion for Class Certification; Declarations on 5/23/2012. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
May 23, 2012 Opinion or Order Filing 412 JOINT CONSENT STIPULATION TO EXPEDITED BRIEFING SCHEDULE AND REQUEST FOR EXPEDITED ADJUDICATION OF SUNTRUST ROBINSON HUMPHREY, INC.'S MOTION TO ENFORCE CLASS ACTION SETTLEMENT AND ENJOIN ARBITRATION OF RELEASED CLAIMS:IT IS HEREBY STIPULATED AND AGREED by SunTrust and Claimants that:Claimants will file their response to the Motion on or before May 25, 2012; and SunTrust will file any reply papers in support of the Motion on or before June 1,2012. In order to avoid the possible need for further postponement of the hearing of Claimants' FINRA action, SunTrust and Claimants respectfully request that the Court consider and decide the Motion as soon thereafter as the Court's schedule permits. Should the Court wish to hear oral argument regarding the Motion, SunTrust and Claimants will do their best to make themselves available for a hearing at an early date that is convenient for the Court. SO ORDERED. ( Responses due by 5/25/2012, Replies due by 6/1/2012.) (Signed by Judge Lewis A. Kaplan on 5/23/2012) (ama)
May 23, 2012 Opinion or Order Filing 411 DECLARATION of Kenneth Crowley in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
May 23, 2012 Opinion or Order Filing 410 DECLARATION of Walter N. Torous in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
May 23, 2012 Opinion or Order Filing 409 DECLARATION of Howard Sacks in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
May 23, 2012 Opinion or Order Filing 408 DECLARATION of Oliver Olanoff in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (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)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
May 23, 2012 Opinion or Order Filing 407 MEMORANDUM OF LAW in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL. SUR-REPLY MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFFS' MOTION FOR CLASS CERTIFICATION. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
May 23, 2012 Opinion or Order Filing 406 MOTION to Seal Document / Notice of Unopposed Motion and Unopposed Motion for Leave to File Under Seal an Exhibit in Support of UBS Financial Services Inc.'s Sur-Reply in Opposition to Plaintiffs' Motion for Class Certification. Document filed by UBS Financial Services Inc..Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
May 23, 2012 Opinion or Order Filing 405 CERTIFICATE OF SERVICE of SunTrust Robinson Humphrey, Inc.s Notice of Motion to Enforce Class Action Settlement and Enjoin Arbitration of Released Claims (Dkt. # 917) and the supporting Memorandum of Law (Dkt. # 918) and Declaration of Richard T. Marooney (Dkt. # 919) served on Counsel for Metropolitan Bank Group, Inc., and NB Bancorp., Inc.: 1) Garrett W. Wotkyns and Michael C. McKay, SCHNEIDER WALLACE COTTRELL BRAYTON KONECKY LLP, 8501 N. Scottsdale Road, Suite 270, Scottsdale, Arizona 85253 and 2) Joseph C. Peiffer and Benjamin D. Reichard, FISHMAN HAYGOOD PHELPS WALMSLEY WILLIS & SWANSON, LLP, 201 St. Charles Avenue, 46th Floor, New Orleans, Louisiana 70170-4600 on May 18, 2012. Service was made by electronic mail and overnight delivery. Document filed by SunTrust Robinson Humphrey, Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Marooney, Richard)
May 18, 2012 Opinion or Order Filing 404 DECLARATION of Richard T. Marooney in Support re: (402 in 1:08-cv-05523-LAK, 917 in 1:09-md-02017-LAK) MOTION for an order enforcing the class action UW Settlement this Court approved in its Judgment and Order Approving Settlement Between Lead Plaintiffs and the Settling Underwriter Defendants, Dkt. # 894, and enjoining certain members of the UW S. Document filed by SunTrust Robinson Humphrey, Inc.. (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 - Part 1, #11 Exhibit 10 - Part 2, #12 Exhibit 10 - Part 3, #13 Exhibit 10 - Part 4, #14 Exhibit 10 - Part 5, #15 Exhibit 10 - Part 6)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Marooney, Richard)
May 18, 2012 Opinion or Order Filing 403 MEMORANDUM OF LAW in Support re: (402 in 1:08-cv-05523-LAK, 917 in 1:09-md-02017-LAK) MOTION for an order enforcing the class action UW Settlement this Court approved in its Judgment and Order Approving Settlement Between Lead Plaintiffs and the Settling Underwriter Defendants, Dkt. # 894, and enjoining certain members of the UW S. Document filed by SunTrust Robinson Humphrey, Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Marooney, Richard)
May 18, 2012 Opinion or Order Filing 402 MOTION for an order enforcing the class action UW Settlement this Court approved in its Judgment and Order Approving Settlement Between Lead Plaintiffs and the Settling Underwriter Defendants, Dkt. # 894, and enjoining certain members of the UW Settlement Class from prosecuting certain Settled Claims in an arbitration before FINRA. Document filed by SunTrust Robinson Humphrey, Inc..Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Marooney, Richard)
May 14, 2012 Opinion or Order Filing 401 Letter addressed to Judge Lewis A. Kaplan from Joshua Klein dated 5/10/2012 re: In response to the Court's Memorandum and Order, dated May 3, 2012, we respectfully submit, on behalf of our client, Christopher O'Meara, the enclosed documents bearing production numbers PKB-COM 000001 through PKB-COM 002820 for in camera review by the Court. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(djc)
May 14, 2012 Opinion or Order Filing 400 PRETRIAL ORDER NO. 34. The Court respects counsel's zealous protection of their clients' interests in this regard and, by approving the filing of these materials under seal, reflects its agreement with their underlying concern. But this Court's requirement that the materials be "filed" was unambiguous from the outset and appropriate in the circumstances. (Signed by Judge Lewis A. Kaplan on 5/14/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(djc)
May 3, 2012 Opinion or Order Filing 399 MEMORANDUM AND ORDER: For the foregoing reasons, defendants Callan, Fuld, Gregory, Lowitt, and O'Meara shall file under seal for in camera review all documents, affidavits, questionnaires and other materials provided to Honorable John S. Martin, Jr. or his associates and accountants in connection with this matter. As the material already has been provided to Judge Martin, it shall be filed pursuant to this order no later than May 10, 2012 absent an extension by the Court for good cause shown. (Signed by Judge Lewis A. Kaplan on 5/3/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(lmb)
May 2, 2012 Opinion or Order Filing 398 REPLY MEMORANDUM OF LAW in Support re: (686 in 1:09-md-02017-LAK, 319 in 1:08-cv-05523-LAK) MOTION to Certify Class and Appointment of Class Representatives and Class Counsel.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
May 2, 2012 Opinion or Order Filing 397 JUDGMENT AND ORDER approving settlement between lead plaintiffs and the settling underwriter defendants (08 CIV 5523 (LAK)). (Signed by Judge Lewis A. Kaplan on 4/25/12) (Attachments: #1 NOTICE OF RIGHT TO APPEAL)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ml)
May 2, 2012 Opinion or Order Filing 396 ORDER granting (339) Motion to Approve Plan of Allocation for the Underwriter Net Settlement Fund in case 1:08-cv-05523-LAK; granting (803) Motion to Approve Plan of Allocation for the Underwriter Net Settlement Fund in case 1:09-md-02017-LAK. IT IS HEREBY ORDERED, that: 1. This Order approving the proposed Plan of Allocation incorporates by reference the definitions in the Stipulation of Settlement and Release dated December 2, 2011 (the "First Underwriter Stipulation") and the Stipulation of Settlement and Release dated December 9, 2011 (the "Second Underwriter Stipulation") (together, the "Stipulations") and all terms not otherwise defined herein shall have the same meanings as set forth in the Stipulations or in the Notice. 2. The Court has jurisdiction to enter this Order approving the proposed Plan of Allocation, and over the subject matter of the Action and all parties to the Action, including all UW Settlement Class Members. 3. Notice of Lead Plaintiffs' motion for approval of the proposed Plan of Allocation was given to all UW Settlement Class Members who could be identified with reasonable effort and as further set forth in this order. 6. The Court hereby finds and concludes that the Plan of Allocation is, in all respects, fair and reasonable to the UW Settlement Class. As originally submitted, the Plan of Allocation provides for a $50 minimum distribution. The Court, however, reserves its determination on the amount of minimum distribution until its review of Lead Plaintiffs' later Motion to Distribute the Net Settlement Fund to Authorized Claimants. Accordingly, the Court hereby approves the Plan of Allocation proposed by Lead Plaintiffs, subject to such review of the minimum payment prior to the distribution. 7. 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. (Signed by Judge Lewis A. Kaplan on 4/25/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(lmb)
May 2, 2012 Opinion or Order Filing 395 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/12/12 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 2, 2012 Opinion or Order Filing 394 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/12/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/29/2012. Redacted Transcript Deadline set for 6/7/2012. Release of Transcript Restriction set for 8/3/2012.(McGuirk, Kelly)
April 27, 2012 Opinion or Order Transmission to Sealed Records Clerk. Transmitted re: #393 Order on Motion to Seal, to the Sealed Records Clerk for the sealing or unsealing of document or case. (cd)
April 27, 2012 Opinion or Order Filing 393 MEMO ENDORSED granting (389) Motion to Seal in case 1:08-cv-05523-LAK; granting (887) Motion to Seal in case 1:09-md-02017-LAK. ENDORSEMENT: Although the Court does not grant on the Rule 408 contention. (Signed by Judge Lewis A. Kaplan on 4/27/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(cd)
April 26, 2012 Opinion or Order Filing 392 CERTIFICATE OF SERVICE of Response in Support of Motion and Declaration in Support of Motion served on Counsel for Officer and Director Defendants on 4/26/2012. Service was made by FedEx. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Berger, Max)
April 26, 2012 Opinion or Order Filing 391 DECLARATION of Max W. Berger in Support re: (339 in 1:08-cv-05523-LAK, 803 in 1:09-md-02017-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (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)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Berger, Max)
April 26, 2012 Opinion or Order Filing 390 RESPONSE in Support re: (803 in 1:09-md-02017-LAK, 339 in 1:08-cv-05523-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION. Lead Plaintiffs' Supplemental Submission In Further Support Of Motion For Approval Of The D&O Settlement. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Berger, Max)
April 26, 2012 Opinion or Order Filing 389 MOTION to Seal Portions of Lead Plaintiffs' Supplemental Submission and Declaration of Max W. Berger and Certain Exhibits Thereto. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Text of Proposed Order)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Berger, Max)
April 23, 2012 Opinion or Order Filing 388 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 4/12/2012 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
April 23, 2012 Opinion or Order Filing 387 TRANSCRIPT of Proceedings re: Conference held on 4/12/2012 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/17/2012. Redacted Transcript Deadline set for 5/29/2012. Release of Transcript Restriction set for 7/26/2012.(McGuirk, Kelly)
April 16, 2012 Opinion or Order Filing 386 DECLARATION of Marshall R. King in Opposition re: (323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit A)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(King, Marshall)
April 16, 2012 Opinion or Order Filing 385 ENDORSED LETTER addressed to Judge Lewis A Kaplan from Joseph P Ragen dated 4/10/2012 re: Fairness hearing of 4/12/2012 as it applies to our client Private Wealth Partners and loss of five accounts. ENDORSEMENT: Denied. The submission is late and the author is not admitted to practice law or to represent clients in this Court. (Signed by Judge Lewis A. Kaplan on 4/16/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(cd)
April 12, 2012 Opinion or Order Minute Entry for proceedings held before Judge Lewis A. Kaplan: Motion Hearing held on 4/12/2012 re: #319 MOTION to Certify Class and Appointment of Class Representatives and Class Counsel. filed by Government of Guam Retirement Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Operating Engineers Local 3 Trust Fund, Alameda County Employees' Retirement Association, Northern Ireland Local Governmental Officers Superannuation Committee. (djc)
April 12, 2012 Opinion or Order Minute Entry for proceedings held before Judge Lewis A. Kaplan: Motion Hearing held on 4/12/2012. (mro)
April 12, 2012 Opinion or Order Filing 384 PRETRIAL ORDER No. 32: The Structured Product Plaintiffs are granted leave to take the depositions of individuals whose declarations UBSFS submitted in support of its opposition to the Structured Product Plaintiffs' motion for class certification, as agreed by the Parties. The Structured Product Plaintiffs shall file a class certification reply brief of no more than 15 pages and supporting papers on or before May 16, 2012. Defendant UBSFS shall file a sur-reply, if any, of no more than five pages on or before May 23, 2012. (Signed by Judge Lewis A. Kaplan on 4/12/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
April 10, 2012 Opinion or Order Filing 383 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Miles N. Ruthberg dated 4/4/2012 re: Counsel requests permission to file the Confidential Discovery Materials set forth herein under seal pursuant to Paragraphs 3(b) and 7 of the Proposed Stipulation and Order for the Production and Exchange of Confidential Information ("Stipulation"), dated February 5, 2012. ENDORSEMENT: Defendant Ernst & Young LLP has submitted a letter requesting leave to file under seal some 1,000 or more pages of exhibits to a declaration in opposition to lead plaintiffs' motion for class certification and other relief. The letter is devoid of any explanation as to why these materials should be filed under seal. Leave is granted, but with the clear understanding that the Court has made no determination as to whether good cause exists for the sealing. In consequence, if any application is made for access to these materials, the burden of demonstrating good cause shall remain with the party seeking confidentiality. (Signed by Judge Lewis A. Kaplan on 4/10/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
April 6, 2012 Opinion or Order Filing 382 CERTIFICATE OF SERVICE. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
April 5, 2012 Opinion or Order Filing 381 RESPONSE in Support re: (341 in 1:08-cv-05523-LAK, 805 in 1:09-md-02017-LAK) MOTION for Attorney Fees and Expenses., (339 in 1:08-cv-05523-LAK, 803 in 1:09-md-02017-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION. COMPENDIUM OF OBJECTIONS. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Raymond Gao, #2 Jane Eisenberg, #3 Ronald Smith, #4 Randy Putman, #5 Judith Putnam, #6 Chris Andrews, #7 Justin Kahn, #8 Insoon Park, #9 Ernst & Young LLP)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
April 5, 2012 Opinion or Order Filing 380 AFFIDAVIT of Stephen J. Cirami in Support re: (803 in 1:09-md-02017-LAK, 339 in 1:08-cv-05523-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION., (341 in 1:08-cv-05523-LAK, 805 in 1:09-md-02017-LAK) MOTION for Attorney Fees and Expenses.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
April 5, 2012 Opinion or Order Filing 379 REPLY MEMORANDUM OF LAW in Support re: (341 in 1:08-cv-05523-LAK, 805 in 1:09-md-02017-LAK) MOTION for Attorney Fees and Expenses.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
April 5, 2012 Opinion or Order Filing 378 REPLY MEMORANDUM OF LAW in Support re: (803 in 1:09-md-02017-LAK, 339 in 1:08-cv-05523-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Tab 1)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
April 5, 2012 Opinion or Order Filing 377 MEMORANDUM addressed to Judge Lewis A Kaplan from Raymond Gao dated 4/1/2012 re: Request that the settlement be rejected. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(cd)
April 4, 2012 Opinion or Order Filing 376 DECLARATION of Christopher S. Turner in Opposition re: (686 in 1:09-md-02017-LAK, 319 in 1:08-cv-05523-LAK) MOTION to Certify Class and Appointment of Class Representatives and Class Counsel.. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Wald, Peter)
April 4, 2012 Opinion or Order Filing 375 MEMORANDUM OF LAW in Opposition re: (686 in 1:09-md-02017-LAK, 319 in 1:08-cv-05523-LAK) MOTION to Certify Class and Appointment of Class Representatives and Class Counsel.. Document filed by Ernst & Young LLP. (Attachments: #1 Addendum of Unreported Authority)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Wald, Peter)
April 4, 2012 Opinion or Order Filing 374 CERTIFICATE OF SERVICE of Corrected Memorandum of Law in Opposition to Motion to Certify Class and Appointment of Class Representatives and Class Counsel, Declarations on 4/04/201. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 373 MEMORANDUM OF LAW in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL. Corrected. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 372 CERTIFICATE OF SERVICE of Memorandum of Law in Opposition to Motion to Certify Class and Appointment of Class Representatives and Class Counsel, Declarations on 4/04/2012. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 371 DECLARATION of Richard Kropp in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 370 DECLARATION of James S. Munro in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 369 DECLARATION of William Leven in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 368 DECLARATION of Walter N. Torous, Ph.D in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (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)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 367 DECLARATION of Theresa Roman in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 366 DECLARATION of Charles Redding in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 365 DECLARATION of Isaac Simon in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 364 DECLARATION of Marshall R. King in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29, #30 Exhibit 30, #31 Exhibit 31, #32 Exhibit 32, #33 Exhibit 33, #34 Exhibit 34, #35 Exhibit 35, #36 Exhibit 36, #37 Exhibit 37, #38 Exhibit 38, #39 Exhibit 39, #40 Exhibit 40, #41 Exhibit 41, #42 Exhibit 42, #43 Exhibit 43, #44 Exhibit 44, #45 Exhibit 45, #46 Exhibit 46, #47 Exhibit 47, #48 Exhibit 48, #49 Exhibit 49, #50 Exhibit 50, #51 Exhibit 51, #52 Exhibit 52, #53 Exhibit 53, #54 Exhibit 54, #55 Exhibit 55, #56 Exhibit 56, #57 Exhibit 57, #58 Exhibit 58, #59 Exhibit 59, #60 Exhibit 60, #61 Exhibit 61, #62 Exhibit 62, #63 Exhibit 63)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 363 RESPONSE to Motion re: (803 in 1:09-md-02017-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION.. Document filed by A.G. Edwards & Sons, Inc., ABN AMRO Inc., ANZ Securities, Inc., BBVA Securities Inc., BMO Capital Markets Corp., BNP Paribas, BNY Mellon Capital Markets, LLC, Banc of America Securities LLC, CIBC World Markets Corp., Caja de Ahorros y Monte de Piedad de Madrid, Calyon Securities (USA) Inc., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DZ Financial Markets LLC, Daiwa Securities SMBC Europe Limited, DnB NOR Markets Inc., Edward D. Jones & Co., L.P., Fidelity Capital Markets Services, Fortis Securities, LLC, HSBC Securities (USA) Inc., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., National Australia Bank Limited, Natixis Bleichroeder Inc., RBC Dain Rauscher Inc., RBS Greenwich Capital, Raymond James & Associates, Inc., SG Americas Securities LLC, Santander Investment Securities Inc., Scotia Capital (USA) Inc., Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., TD Securities (USA) LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Securities, LLC, Wachovia Capital Finance, Wells Fargo Securities, LLC, nabCapital Securities, LLC. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Cooper, Roger)
April 4, 2012 Opinion or Order Filing 362 DECLARATION of Eric Glicksman in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 361 DECLARATION of Timothy Donnelly in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 360 DECLARATION of Kenneth Crowley in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 359 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from David R. Stickney dated 4/3/2012 re: Given the breadth of such objection and our intention to support both settlements and plans of allocation in a single reply brief, Lead Plaintiffs respectfully request permission to file briefs of up to 15 pages. ENDORSEMENT: Leave granted to file a single memorandum not to exceed 15 double spaced pages. (Signed by Judge Lewis A. Kaplan on 4/4/2012) (lmb)
April 4, 2012 Opinion or Order Filing 358 DECLARATION of Mukesh Bajaj in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 357 MEMORANDUM OF LAW in Opposition re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
April 4, 2012 Opinion or Order Filing 356 MEMO ENDORSEMENT granting (355) NOTICE OF UNOPPOSED MOTION AND UNOPPOSED MOTION FOR LEAVE TO FILE UNDER SEAL UBS FINANCIAL SERVICES INC.'S MEMORANDUM OF LAW IN OPPOSITION TO CLASS CERTIFICATION AND CERTAIN EXHIBITS IN SUPPORT OF OPPOSITION TO PLAINTIFFS' MOTION FOR CLASS CERTIFICATION in case 1:08-cv-05523-LAK; granting (845) NOTICE OF UNOPPOSED MOTION AND UNOPPOSED MOTION FOR LEAVE TO FILE UNDER SEAL UBS FINANCIAL SERVICES INC.'S MEMORANDUM OF LAW IN OPPOSITION TO CLASS CERTIFICATION AND CERTAIN EXHIBITS IN SUPPORT OF OPPOSITION TO PLAINTIFFS' MOTION FOR CLASS CERTIFICATION in case 1:09-md-02017-LAK: Granted, provided, however, that the Court has not determined whether good cause exists for confidential treatment, the burden of proof on which is on the party seeking it. (Signed by Judge Lewis A. Kaplan on 4/4/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(lmb)
April 2, 2012 Opinion or Order Filing 355 MOTION to Seal Document / NOTICE OF UNOPPOSED MOTION AND UNOPPOSED MOTION FOR LEAVE TO FILE UNDER SEAL UBS FINANCIAL SERVICES INC.'S MEMORANDUM OF LAW IN OPPOSITION TO CLASS CERTIFICATION AND CERTAIN EXHIBITS IN SUPPORT OF OPPOSITION TO PLAINTIFFS' MOTION FOR CLASS CERTIFICATION. Document filed by UBS Financial Services Inc.. (Attachments: #1 Certificate of Service)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
March 23, 2012 Opinion or Order Filing 354 LETTER OBJECTION TO THE SETTLEMENT. Document filed by Insoon Park. (mro)
March 23, 2012 Opinion or Order Filing 352 Letter addressed to United States District Court from Randy J. Putnam dated 3/18/2012 re: Randy J. Putnam writes to formally object to the settlement is the referenced case.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
March 23, 2012 Opinion or Order Filing 351 Letter addressed to United States District Court from Judith A. Putnam dated 3/18/2012 re: Judith A. Putnam writes to formally object to the settlement is the referenced case. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
March 23, 2012 Opinion or Order Filing 350 Letter addressed to Judge Lewis A. Kaplan from Justin S. Kahn dated 3/22/2012 re: Counsel writes to object to the settlement as currently contemplated. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
March 23, 2012 Opinion or Order Filing 349 Letter addressed to The Clerk of the Court from Ronald R. Smith dated 3/16/2012 re: Mr. Smith writes to advise the Court that Plaintiffs Attorneys are entitled to reimbursement of expenses and compensation for litigating the case and negotiating the settlement. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
March 22, 2012 Opinion or Order Filing 348 DECLARATION of Jamie L. Wine in Support re: (824 in 1:09-md-02017-LAK, 347 in 1:08-cv-05523-LAK) Response to Motion,,. Document filed by Ernst & Young LLP. (Attachments: #1 Exhibits 1 and 2)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Ruthberg, Miles)
March 22, 2012 Opinion or Order Filing 347 RESPONSE to Motion re: (803 in 1:09-md-02017-LAK, 339 in 1:08-cv-05523-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION. Ernst & Young LLP's Limited Objection to Lead Plaintiffs' Motion for Final Approval of Class Action Settlements With D&O Defendants and Settling Underwriter Defendants and Approval of Plans of Allocation. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Ruthberg, Miles)
March 20, 2012 Opinion or Order Filing 353 Objection to Proposed Settlement. Document filed by Chris Andrews. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
March 19, 2012 Opinion or Order Filing 346 JOINT STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned counsel, as follows: 1. Defendants shall file their papers, if any, opposing Plaintiffs' Motions for Class Certification on or before April 4, 2012. 2. Plaintiffs shall file their reply papers, if any, in support of their Motions for Class Certification on or before April 25, 2012. (Responses due by 4/4/2012. Replies due by 4/25/2012.) (Signed by Judge Lewis A. Kaplan on 3/16/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
March 13, 2012 Opinion or Order Filing 344 PRETRIAL ORDER NO. 28 granting in part and denying in part (311) Motion to Substitute Party. ; granting (317) Motion for Judgment on the Pleadings in case 1:08-cv-05523-LAK; granting in part and denying in part (669) Motion to Substitute Party. ; granting (684) Motion for Judgment on the Pleadings in case 1:09-md-02017-LAK. 1. The motion of Fred Mandell and Roy Wiegert to withdraw as plaintiffs and of Joseph Humble to intervene as a plaintiff[09 MD 2017, DI 669; 98 Civ. 5523, DI 311] is granted to the extent that Messrs. Mandell and Wiegert are permitted to withdraw and otherwise denied. Mr. Humble's application to intervene is untimely because his claim is barred by the statute of repose. Nor is there any basis in Rule 25 to substitute him as a party plaintiff (apart from intervention), as there has been no suggestion that there is any deceased plaintiff, let alon that Mr. Hubble is the personal representative or successor thereof. 2. The cross-motion of defendant UBS Financial Services Inc. ("UBSFS") dismissing all claims relating to securities offerings for which no remaining plaintiff has standing to sue [09 MD 2017 DI 684, 08 Civ. 5523 DI 317] is granted on the ground that no plaintiff remaining in the action has standing to pursue claims with respect to such offerings. (Signed by Judge Lewis A. Kaplan on 3/13/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(lmb)
March 8, 2012 Opinion or Order Filing 343 DECLARATION of David Stickney and David Kessler in Support re: (341 in 1:08-cv-05523-LAK) MOTION for Attorney Fees and Expenses., (339 in 1:08-cv-05523-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4A, #5 Exhibit 4B, #6 Exhibit 4C, #7 Exhibit 4D, #8 Exhibit 4E, #9 Exhibit 5, #10 Exhibit 6, #11 Exhibit 7, #12 Exhibit 7A, #13 Exhibit 7B, #14 Exhibit 7C, #15 Exhibit 7D, #16 Exhibit 7E, #17 Exhibit 7F, #18 Exhibit 7G, #19 Exhibit 7H, #20 Exhibit 7I, #21 Exhibit 7J, #22 Exhibit 7K, #23 Exhibit 7L, #24 Exhibit 7M, #25 Exhibit 7N, #26 Exhibit 8, #27 Exhibit 9)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
March 8, 2012 Opinion or Order Filing 342 MEMORANDUM OF LAW in Support re: (341 in 1:08-cv-05523-LAK) MOTION for Attorney Fees and Expenses.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit Addendum of Unpublished Authorities)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
March 8, 2012 Opinion or Order Filing 341 MOTION for Attorney Fees and Expenses. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
March 8, 2012 Opinion or Order Filing 340 MEMORANDUM OF LAW in Support re: (339 in 1:08-cv-05523-LAK) MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION.. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
March 8, 2012 Opinion or Order Filing 339 MOTION to Approve CLASS ACTION SETTLEMENTS WITH D&O DEFENDANTS AND SETTLING UNDERWRITER DEFENDANTS AND PLANS OF ALLOCATION. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
March 7, 2012 Opinion or Order Filing 338 NOTICE of Supplemental Authority in Further Support of Plaintiff's Omnibus Memorandum of Law In Opposition to Defendants' Motions to Strike and to Dismiss the Amended Complaint re: (739 in 1:09-md-02017-LAK) Memorandum of Law in Opposition to Motion,. Document filed by Stichting Pensioenfonds ABP. (Attachments: #1 Exhibit A, #2 Certificate of Service)Filed In Associated Cases: 1:09-md-02017-LAK et al.(Jarvis, Geoffrey)
March 6, 2012 Opinion or Order Filing 337 REPLY to Response to Motion re: (79 in 1:09-cv-01230-LAK, 78 in 1:09-cv-01237-LAK, 148 in 1:09-cv-02363-LAK, 600 in 1:09-md-02017-LAK) MOTION to Dismiss., (158 in 1:09-cv-02363-LAK) MOTION to Dismiss Plaintiffs' Second Amended Complaint., (582 in 1:09-md-02017-LAK) MOTION to Dismiss Second Amended Complaint.. Document filed by Incapital LLC. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Boyd, David)
March 5, 2012 Opinion or Order Filing 345 Letter addressed to Clerk of the Court from Raymond Gao re: Objections to the Proposed Settlement of Lehman Brothers Securities cases. ***Accepted for filing by Chambers.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(mro)
March 5, 2012 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney David R. Boyd to RE-FILE Document (108 in 1:09-cv-03474-LAK, 102 in 1:08-cv-09404-LAK, 90 in 1:09-cv-03468-LAK, 93 in 1:09-cv-01237-LAK, 115 in 1:09-cv-01238-LAK, 131 in 1:09-cv-01239-LAK, 22 in 1:11-cv-02039-LAK, 90 in 1:09-cv-01232-LAK, 50 in 1:10-cv-08631-LAK, 40 in 1:10-cv-03190-LAK, 185 in 1:08-cv-06762-LAK, 88 in 1:09-cv-01231-LAK, 134 in 1:10-cv-06185-LAK, 66 in 1:09-cv-07877-LAK, 49 in 1:09-cv-07900-LAK, 33 in 1:11-cv-03552-LAK, 40 in 1:10-cv-02926-LAK, 88 in 1:09-cv-03478-LAK, 50 in 1:11-cv-03892-LAK, 63 in 1:10-cv-06637-LAK, 95 in 1:09-cv-01946-LAK, 70 in 1:09-cv-03480-LAK, 178 in 1:09-cv-02363-LAK, 92 in 1:09-cv-01235-LAK, 91 in 1:09-cv-03467-LAK, 65 in 1:09-cv-07878-LAK, 61 in 1:09-cv-01943-LAK, 111 in 1:09-cv-01944-LAK, 47 in 1:11-cv-00384-LAK, 69 in 1:09-cv-01240-LAK, 187 in 1:08-cv-05598-LAK, 80 in 1:09-cv-06040-LAK, 94 in 1:09-cv-01230-LAK, 50 in 1:11-cv-01281-LAK, 94 in 1:08-cv-10058-LAK, 123 in 1:10-cv-05201-LAK, 105 in 1:08-cv-09578-LAK, 25 in 1:11-cv-09001-LAK, 66 in 1:09-cv-06041-LAK, 89 in 1:08-cv-10206-LAK, 24 in 1:10-cv-06077-LAK, 78 in 1:09-cv-06652-LAK, 774 in 1:09-md-02017-LAK, 68 in 1:09-cv-01236-LAK, 69 in 1:08-cv-10686-LAK, 81 in 1:08-cv-10008-LAK, 93 in 1:08-cv-09793-LAK, 336 in 1:08-cv-05523-LAK, 108 in 1:09-cv-03475-LAK, 107 in 1:09-cv-03476-LAK, 39 in 1:08-cv-06626-LAK, 147 in 1:08-cv-08225-LAK) Reply to Response to Motion. ERROR(S): No signature or s/. Filed In Associated Cases: 1:09-md-02017-LAK et al.(db)
March 5, 2012 Opinion or Order Filing 336 FILING ERROR - DEFICIENT DOCKET ENTRY - REPLY to Response to Motion re: (79 in 1:09-cv-01230-LAK, 78 in 1:09-cv-01237-LAK, 148 in 1:09-cv-02363-LAK, 600 in 1:09-md-02017-LAK) MOTION to Dismiss., (158 in 1:09-cv-02363-LAK) MOTION to Dismiss Plaintiffs' Second Amended Complaint., (582 in 1:09-md-02017-LAK) MOTION to Dismiss Second Amended Complaint.. Document filed by Incapital LLC. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Boyd, David) Modified on 3/6/2012 (db).
February 24, 2012 Opinion or Order Filing 334 MEMORANDUM OF LAW in Support re: (684 in 1:09-md-02017-LAK, 317 in 1:08-cv-05523-LAK) CROSS MOTION for Judgment on the Pleadings. DEFENDANT UBS FINANCIAL SERVICES INC.'S REPLY MEMORANDUM OF LAW IN FURTHER SUPPORT OF ITS CROSS-MOTION FOR JUDGMENT ON THE PLEADINGS WITH RESPECT TO OFFERINGS FOR WHICH NO PLAINTIFF HAS STANDING TO SUE - Responsive to Dkt. No. 735 in No. 09-md-02017-LAK. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
February 23, 2012 Opinion or Order Filing 333 NOTICE OF APPEARANCE by Timothy John MacFall on behalf of Alison Charles, Renaud Fournier, Lydia Loschiavo (MacFall, Timothy)
February 17, 2012 Opinion or Order Filing 332 MEMORANDUM OF LAW in Opposition re: (684 in 1:09-md-02017-LAK, 317 in 1:08-cv-05523-LAK) CROSS MOTION for Judgment on the Pleadings.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott(All others similarly situated), Joseph Humble, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Lawrence Rose, Joe Rottman, Shea-Edwards Limited Partnership, Arthur Simons, Juan Tolosa, Grace Wang. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
February 14, 2012 Opinion or Order Filing 331 JOINT STIPULATION AND ORDER: NOW THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned counsel, as follows:1. Defendants shall file their papers, if any, opposing Plaintiffs' Motions for Class Certification on or before March 30, 2012.2. Plaintiffs shall file their reply papers, if any, in support of their Motions for Class Certification on or before April 20, 2012. SO ORDERED. ( Defendants Responses due by 3/30/2012, Plaintiff Replies due by 4/20/2012.) (Signed by Judge Lewis A. Kaplan on 2/14/2012) (ama)
February 10, 2012 Opinion or Order Filing 330 REPLY MEMORANDUM OF LAW in Support re: (669 in 1:09-md-02017-LAK, 311 in 1:08-cv-05523-LAK) MOTION to Substitute Party. Old Party: FRED MANDELL AND ROY WIEGERT, New Party: JOSEPH HUMBLE.. Document filed by Joseph Humble, Fred Mandell, Roy Wiegert. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
February 10, 2012 Opinion or Order Filing 329 NOTICE OF WITHDRAWAL AS COUNSEL FOR PLAINTIFFS FRANCISCO PEREZ, RICK FLEISCHMAN, JUAN TOLOSA, ARTHUR SIMONS, J. HARRY PICKLE AS TRUSTEE ON BEHALF OF THE GASTROENTEROLOGY ASSOCIATES PROFIT SHARING TRUST FBO CHARLES M. BROOKS M.D., AND ED DAVIS: PLEASE TAKE NOTICE that attorney Stephen L. Brodsky, is no longer with the law firm of Zwerling, Schachter & Zwerling, LLP, and hereby withdraws as counsel for plaintiffs Francisco Perez, Rick Fleischman, Juan Tolosa, Arthur Simons, J. Harry Pickle as Trustee on behalf of the Gastroenterology Associates Profit Sharing Trust FBO Charles M. Brooks M.D., and Ed Davis (the "Plaintiffs"). No prejudice will occur to the Plaintiffs, as they remain represented by Susan Salvetti and Justin M. Tarshis of Zwerling, Schachter & Zwerling, LLP. Attorney Stephen Leland Brodsky terminated. (Signed by Judge Lewis A. Kaplan on 2/9/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
February 8, 2012 Opinion or Order Filing 328 CERTIFICATE OF SERVICE of Letter to the Honorable Lewis A. Kaplan, Stipulation and [Proposed] Order for the Production and Exchange of Confidential Information, and [Proposed] Pretrial Order (Creation of a Document Depository) served on All Counsel of Record in 09 MD 2017 (LAK) on 02/08/2012. Service was made by Mail. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
February 6, 2012 Opinion or Order Filing 327 MEMO ENDORSED ON NOTICE OF UNOPPOSED MOTION AND UNOPPOSED MOTION FOR LEAVE TO FILE UNDER SEAL TWO EXHIBITS TO THE DECLARATION OF DANIEL C. GIRARD IN SUPPORT OF THE STRUCTURED PRODUCT PLAINTIFFS' MOTION FOR CLASS CERTIFICATION AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL. ENDORSEMENT: Granted, at bestwithout prejudice to any consideration that good cause is lacking, in the event of which movants shall bear the burden of establishing it. (Signed by Judge Lewis A. Kaplan on 2/6/2012) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(js)
February 3, 2012 Opinion or Order Filing 326 CERTIFICATE OF SERVICE on 02/03/2012. Document filed by Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Shea-Edwards Limited Partnership, Arthur Simons, Juan Tolosa, Grace Wang, Miriam Wolf. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
February 3, 2012 Opinion or Order Filing 325 DECLARATION of DANIEL C. GIRARD in Support re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by Grace Wang, Miriam Wolf. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3A, #4 Exhibit 3B, #5 Exhibit 3C, #6 Exhibit 3D, #7 Exhibit 3E, #8 Exhibit 4, #9 Exhibit 5, #10 Exhibit 6, #11 Exhibit 7, #12 Exhibit 8, #13 Exhibit 9 (Part 1), #14 Exhibit 9 (Part 2), #15 Exhibit 10, #16 Exhibit 11, #17 Exhibit 12, #18 Exhibit 13, #19 Exhibit 14)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
February 3, 2012 Opinion or Order Filing 324 MEMORANDUM OF LAW in Support re: (690 in 1:09-md-02017-LAK, 323 in 1:08-cv-05523-LAK) MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL.. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott(All others similarly situated), Joseph Humble, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Lawrence Rose, Joe Rottman, Shea-Edwards Limited Partnership, Arthur Simons, Juan Tolosa, Grace Wang. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
February 3, 2012 Opinion or Order Filing 323 MOTION to Certify Class AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL. Document filed by Mohan Ananda, Richard Barrett, Ed Davis, Neel Duncan, Rick Fleischman, Nick Fotinos, Stephen P. Gott(All others similarly situated), Joseph Humble, Karim Kano, David Kotz, Barbara Moskowitz, J. Harry Pickle, Ronald Profili, Lawrence Rose, Joe Rottman, Shea-Edwards Limited Partnership, Arthur Simons, Juan Tolosa, Grace Wang, Miriam Wolf.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
February 3, 2012 Opinion or Order Filing 322 MOTION to Seal. Document filed by Mohan Ananda, Richard Barrett, Neel Duncan, Nick Fotinos, Stephen P. Gott(All others similarly situated), Joseph Humble, Karim Kano, Barbara Moskowitz, Ronald Profili, Lawrence Rose, Joe Rottman, Grace Wang, Miriam Wolf.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
February 3, 2012 Opinion or Order Filing 321 DECLARATION of David R. Stickney in Support re: (319 in 1:08-cv-05523-LAK, 686 in 1:09-md-02017-LAK) MOTION to Certify Class and Appointment of Class Representatives and Class Counsel.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (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)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
February 3, 2012 Opinion or Order Filing 320 MEMORANDUM OF LAW in Support re: (686 in 1:09-md-02017-LAK, 319 in 1:08-cv-05523-LAK) MOTION to Certify Class and Appointment of Class Representatives and Class Counsel.. Document filed by The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
February 3, 2012 Opinion or Order Filing 319 MOTION to Certify Class and Appointment of Class Representatives and Class Counsel. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
February 3, 2012 Opinion or Order Filing 318 MEMORANDUM OF LAW in Support re: (684 in 1:09-md-02017-LAK, 317 in 1:08-cv-05523-LAK) CROSS MOTION for Judgment on the Pleadings., (669 in 1:09-md-02017-LAK, 311 in 1:08-cv-05523-LAK) MOTION to Substitute Party. Old Party: FRED MANDELL AND ROY WIEGERT, New Party: JOSEPH HUMBLE. DEFENDANT UBS FINANCIAL SERVICES INC.S MEMORANDUM OF LAW (A) IN OPPOSITION TO JOSEPH HUMBLES MOTION TO INTERVENE AND (B) IN SUPPORT OF ITS CROSS-MOTION FOR JUDGMENT ON THE PLEADINGS WITH RESPECT TO OFFERINGS FOR WHICH NO PLAINTIFF HAS STANDING TO SUE. Document filed by UBS Financial Services Inc.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
February 3, 2012 Opinion or Order Filing 317 CROSS MOTION for Judgment on the Pleadings. Document filed by UBS Financial Services Inc.. (Attachments: #1 Certificate of Service)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
January 31, 2012 Opinion or Order Filing 316 NOTICE of Withdrawal of Stephen L. Brodsky as Counsel for Plaintiffs Francisco Perez, Rick Fleischman, Juan Tolosa, Arthur Simons, J. Harry Pickle as Trustee on behalf of the Gastroenterology Associates Profit Sharing Trust FBO Charles M. Brooks M.D., and Ed Davis. Document filed by Ed Davis, Rick Fleischman, Francisco Perez, J. Harry Pickle, Arthur Simons, Juan Tolosa, J. Harry Pickle. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Salvetti, Susan)
January 23, 2012 Opinion or Order Filing 315 MEMO ENDORSEMENT granting #309 Motion for David M. Furbush to Appear Pro Hac Vice: Granted. (Signed by Judge Lewis A. Kaplan on 1/23/2012) (lmb)
January 20, 2012 Opinion or Order Filing 314 CERTIFICATE OF SERVICE served on ALL PARTIES on 01/20/2012. Document filed by Joseph Humble, Fred Mandell, Roy Wiegert. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
January 20, 2012 Opinion or Order Filing 313 DECLARATION of DANIEL C. GIRARD in Support re: (669 in 1:09-md-02017-LAK, 311 in 1:08-cv-05523-LAK) MOTION to Substitute Party. Old Party: FRED MANDELL AND ROY WIEGERT, New Party: JOSEPH HUMBLE.. Document filed by Joseph Humble, Fred Mandell, Roy Wiegert. (Attachments: #1 Exhibit 1)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
January 20, 2012 Opinion or Order Filing 312 MEMORANDUM OF LAW in Support re: (311 in 1:08-cv-05523-LAK) MOTION to Substitute Party. Old Party: FRED MANDELL AND ROY WIEGERT, New Party: JOSEPH HUMBLE.. Document filed by Joseph Humble, Fred Mandell, Roy Wiegert. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
January 20, 2012 Opinion or Order Filing 311 MOTION to Substitute Party. Old Party: FRED MANDELL AND ROY WIEGERT, New Party: JOSEPH HUMBLE. Document filed by Joseph Humble, Fred Mandell, Roy Wiegert.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Girard, Daniel)
January 18, 2012 Opinion or Order Filing 310 MEMO ENDORSEMENT on (67 in 1:08-cv-10686-LAK, 145 in 1:08-cv-08225-LAK, 116 in 1:10-cv-05201-LAK, 29 in 1:10-cv-02926-LAK, 42 in 1:09-cv-07900-LAK, 92 in 1:08-cv-10058-LAK, 175 in 1:08-cv-06762-LAK, 127 in 1:10-cv-06185-LAK, 91 in 1:08-cv-09793-LAK, 37 in 1:08-cv-06626-LAK, 43 in 1:10-cv-06637-LAK, 27 in 1:11-cv-01281-LAK, 77 in 1:09-cv-01235-LAK, 52 in 1:09-cv-06040-LAK, 75 in 1:09-cv-03468-LAK, 63 in 1:09-cv-01240-LAK, 75 in 1:09-cv-01230-LAK, 82 in 1:09-cv-03475-LAK, 60 in 1:09-cv-03480-LAK, 48 in 1:09-cv-06041-LAK, 89 in 1:09-cv-01238-LAK, 74 in 1:09-cv-01231-LAK, 50 in 1:09-cv-06652-LAK, 99 in 1:09-cv-01239-LAK, 76 in 1:09-cv-01232-LAK, 185 in 1:08-cv-05598-LAK, 23 in 1:11-cv-03892-LAK, 308 in 1:08-cv-05523-LAK, 87 in 1:08-cv-10206-LAK, 16 in 1:11-cv-09001-LAK, 82 in 1:09-cv-03474-LAK, 103 in 1:08-cv-09578-LAK, 20 in 1:10-cv-06077-LAK, 100 in 1:08-cv-09404-LAK, 32 in 1:10-cv-03190-LAK, 51 in 1:09-cv-07877-LAK, 33 in 1:10-cv-08631-LAK, 81 in 1:09-cv-03476-LAK, 59 in 1:09-cv-01943-LAK, 144 in 1:09-cv-02363-LAK, 73 in 1:09-cv-03478-LAK, 65 in 1:09-cv-01236-LAK, 50 in 1:09-cv-07878-LAK, 553 in 1:09-md-02017-LAK, 85 in 1:09-cv-01944-LAK, 76 in 1:09-cv-03467-LAK, 79 in 1:09-cv-01946-LAK, 29 in 1:11-cv-03552-LAK, 35 in 1:11-cv-00384-LAK, 74 in 1:09-cv-01237-LAK, 79 in 1:08-cv-10008-LAK, 18 in 1:11-cv-02039-LAK) NOTICE OF WITHDRAWAL OF COUNSEL filed by Incapital LLC: Construing this as a motion to withdraw, granted. (Signed by Judge Lewis A. Kaplan on 1/17/2012) Filed In Associated Cases: 1:09-md-02017-LAK et al. (ab)
January 17, 2012 Opinion or Order Filing 309 MOTION for David M. Furbush to Appear Pro Hac Vice. Document filed by The Williams Capital Group L.P.(pgu)
December 22, 2011 Opinion or Order Filing 308 NOTICE of Withdrawal of Counsel. Document filed by Incapital LLC. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Boyd, David)
December 15, 2011 Opinion or Order ***DELETED DOCUMENT. Deleted document number #308 Pretrial Order. The document was incorrectly filed in this case. (js)
December 15, 2011 Opinion or Order ***DELETED DOCUMENT. Deleted document number #309 Pretrial Order. The document was incorrectly filed in this case. (js)
December 15, 2011 Opinion or Order Filing 307 PRETRIAL ORDER NO. 28 CONCERNING PROPOSED SETTLEMENT UNDERWRITTERS DEFENDANTS:The Court, for the purposes of this Order, adopts all defined terms as set forth in the First Underwriter Stipulation for purposes of the settlement with the First Group of Settling Underwriter Defendants and all defined terms as set forth in the Second Underwriter Stipulation for purposes of the settlement with the Second Group of Settling Underwriter Defendants, unless otherwise defined herein. The Court will hold a settlement hearing (the "Settlement Hearing" or "Approval Hearing") on April 12, 2012 at 4:00 p.m.in the United States District Court for the Southern District of New York, Daniel Patrick Moynihan United States Courthouse, 500 Pearl ~ Street, New York, New York 10007, Courtroom 120, for the following purposes: as set forth in this order (Signed by Judge Lewis A. Kaplan on 12/15/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(js) Modified on 12/16/2011 (js).
December 15, 2011 Opinion or Order Filing 306 PRETRIAL ORDER No. 27 CONCERNING SETTLEMENT WITH THE DIRECTOR AND OFFICER DEFENDANTS: The Court, for the purposes of this Order, adopts all defined terms as set forth in the Stipulation unless otherwise defined herein. 2. Pending further order of the Court, all litigation activity against or by the Settling Defendants in this Action, except that contemplated herein, in the Stipulation, in the Notice of Pendency of Class Action and Proposed Settlement, Settlement Fairness Hearing, and Motion for Attorneys' Fees and Reimbursement of Litigation Expenses (the "Notice" or "Class Notice") or in the Judgment, is hereby stayed and all hearings, deadlines and other proceedings in this Action to the extent they involve claims against the Settling Defendants, except for the Final Approval Hearing, are hereby taken off calendar. The Court will hold a settlement hearing on April 4/12/2011 at 4:00 p.m. in the United States District Court for the Southern District of New York, Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, New York, New York 10007, Courtroom 12D, for the following purposes: (i) to determine whether the D&O Settlement should be approved as fair, reasonable, adequate and in the best interests of the D&0 Settlement Class. All other provisions as further set forth in this order (Signed by Judge Lewis A. Kaplan on 12/15/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(js)
December 15, 2011 Opinion or Order Set/Reset Hearings: Settlement Conference set for 4/12/2012 at 04:00 PM in Courtroom 12D, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan. Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(js)
December 15, 2011 Opinion or Order ***DELETED DOCUMENT. Deleted document number (550) Pretrial Order. The document was incorrectly filed in this case. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(js)
December 12, 2011 Opinion or Order Filing 305 NOTICE of Settlement with Second Group of Settling Underwriter Defendants. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kessler, David)
December 8, 2011 Opinion or Order Filing 304 NOTICE OF APPEARANCE by David Andrew Crichlow, Sr on behalf of Williams Capital Group L.P. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:09-cv-01235-LAK, 1:09-cv-02363-LAK(Crichlow, David)
December 8, 2011 Opinion or Order Filing 303 NOTICE OF APPEARANCE by Ranah Leila Esmaili on behalf of The Williams Capital Group L.P. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:09-cv-01235-LAK, 1:09-cv-02363-LAK(Esmaili, Ranah)
December 2, 2011 Opinion or Order Filing 302 MEMORANDUM OF LAW in Support re: (301 in 1:08-cv-05523-LAK) MOTION to Approve Notice to the Class of Proposed Settlements and to Schedule a Settlement Hearing.. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Text of Proposed Order in connection with D&O Settlement, #5 Text of Proposed Order in connection with Settling Underwriter Defendants Settlement)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kessler, David)
December 2, 2011 Opinion or Order Filing 301 MOTION to Approve Notice to the Class of Proposed Settlements and to Schedule a Settlement Hearing. Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kessler, David)
November 30, 2011 Opinion or Order Filing 300 MEMO ENDORSEMENT on re: NOTICE OF MOTION AND MOTION TO ADMIT COUNSEL PRO HAC VICE, in case 1:08-cv-05523-LAK; granting (521) Motion for Kimberly A. Justice to Appear Pro Hac Vice in case 1:09-md-02017-LAK. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 11/30/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(jfe)
November 30, 2011 Opinion or Order Filing 299 MEMO-ENDORSEMENT: granting (296) Motion for John J. Gross to Appear Pro Hac Vice in case 1:08-cv-05523-LAK; granting (520) Motion for John J. Gross to Appear Pro Hac Vice in case 1:09-md-02017-LAK. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 11/30/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(pl)
November 30, 2011 Opinion or Order Filing 298 MEMO ENDORSED re: granting (297)& (521) Motion for Kimberly A. Justice to Appear Pro Hac Vice in case 1:08-cv-05523-LAK. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 11/30/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(pl)
November 21, 2011 Opinion or Order Filing 295 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/8/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:09-md-02017-LAK et al.(McGuirk, Kelly)
November 21, 2011 Opinion or Order Filing 294 TRANSCRIPT of Proceedings re: CONFERENCE held on 11/8/2011 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Samuel Mauro, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/15/2011. Redacted Transcript Deadline set for 12/26/2011. Release of Transcript Restriction set for 2/22/2012.Filed In Associated Cases: 1:09-md-02017-LAK et al.(McGuirk, Kelly)
November 18, 2011 Opinion or Order Filing 297 MOTION for Kimberly A. Justice to Appear Pro Hac Vice. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(bwa)
November 18, 2011 Opinion or Order Filing 296 MOTION for John J. Gross to Appear Pro Hac Vice. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(bwa)
November 16, 2011 Opinion or Order Filing 293 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/8/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:09-md-02017-LAK et al.(McGuirk, Kelly)
November 16, 2011 Opinion or Order Filing 292 TRANSCRIPT of Proceedings re: Conference held on 11/8/2011 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Samuel Mauro, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/12/2011. Redacted Transcript Deadline set for 12/22/2011. Release of Transcript Restriction set for 2/17/2012.Filed In Associated Cases: 1:09-md-02017-LAK et al.(McGuirk, Kelly)
November 10, 2011 Opinion or Order Filing 291 MEMO ENDORSEMENT on MOTION TO ADMIT COUNSEL PRO HAC VICE granting (289) Motion for Kenneth Hausman to Appear Pro Hac Vice in case 1:08-cv-05523-LAK; Granting (494) Motion for Kenneth Hausman to Appear Pro Hac Vice in case 1:09-md-02017-LAK. (Signed by Judge Lewis A. Kaplan on 11/10/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
November 9, 2011 Opinion or Order Filing 290 PRETRIAL ORDER NO. 23: (Amendment of Complaints and Other Matters) Any amendments of complaints as of right and any motions for leave to amend complaints shall be filed on or before 11/29/2011. Any motions to dismiss shall be filed on or before January 6, 2012. Answering papers and reply papers shall be filed on or before 2/6/2012 and 2/20/2012, respectively. The motion for a class determination in the class action shall be filed on or before 2/3/2012. Answering and reply papers shall be filed on or before 3/2 and 3/16/2012, respectively. In considering any contention that a party should be afforded additional discovery in connection with the class motion, that party should comply substantially with the requirements of Fed. R. Civ. P. 56(d), including by specifying the discovery sought, its significance to the class determination, and the reasons why the information or its substantial equivalent has not been available to that party. Amended Pleadings due by 11/29/2011. Motions due by 2/3/2012. Responses due by 3/2/2012 Replies due by 3/16/2012. (Signed by Judge Lewis A. Kaplan on 11/9/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
November 7, 2011 Opinion or Order Filing 288 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: Joseph Mendola, Esq. is hereby substituted for Cleary Gottlieb Steen & Hamilton LLP, counsel of record to Defendant M.R. Beal & Company in this action. Attorney Joseph A. Mendola for M.R. Beal & Company added. Attorney Mitchell A. Lowenthal terminated. (Signed by Judge Lewis A. Kaplan on 11/7/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
November 7, 2011 Opinion or Order Filing 287 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: Petrillo Klein LLP hereby is substituted in place and in the stead of the law flrm Simpson Thacher & Bartlett LLP as counsel of record for defendant Christopher M. O'Meara in these actions. Attorney Joshua Klein, Guy Petrillo for Christopher M. O'Meara added. Attorney Mary Elizabeth McGarry, Erika Hannelore Burk and Michael Joseph Chepiga terminated. (Signed by Judge Lewis A. Kaplan on 11/7/2011) (ft)
November 7, 2011 Opinion or Order Filing 286 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: Fulbright & Jaworski LLP is hereby substituted for Cleary Gottlieb Steen & Hamilton LLP, counsel of record to Defendant Muriel Siebert & Co., Inc. in these actions. Attorney James Nespole, Neil G. Sparber for Muriel Siebert & Co., Inc. added. Attorney Mitchell A. Lowenthal terminated. (Signed by Judge Lewis A. Kaplan on 11/7/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
November 7, 2011 Opinion or Order Filing 285 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: Howard Rice Nemerovski Canady Falk & Rabkin PC and Arnold & Porter LLP are hereby substituted for Cleary Gottlieb Steen & Hamilton LLP, counsel of record to Defendant Charles Schwab & Co., Inc. in these actions. Attorney Stewart David Aaron for Charles Schwab & Co., Inc. added. Attorney Mitchell A. Lowenthal terminated. (Signed by Judge Lewis A. Kaplan on 11/7/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:08-cv-09793-LAK, 1:09-cv-01230-LAK, 1:09-cv-01237-LAK(ft)
November 4, 2011 Opinion or Order Filing 289 MOTION for Kenneth Hausman to Appear Pro Hac Vice. Document filed by Charles Schwab & Co., Inc.(pgu) (pgu).
November 1, 2011 Opinion or Order Filing 284 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Alameda County Employees' Retirement Association, Cabrera Capital Markets, LLC, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Ernst & Young LLP, Government of Guam Retirement Fund, HVB Capital Markets, Inc., Incapital LLC, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, UBS Financial Services Inc., William Capital Group, L.P.. (Attachments: #1 Tab A, #2 Tab B, #3 Tab C)Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kessler, David)
October 17, 2011 Opinion or Order Filing 283 NOTICE OF APPEARANCE by Jonathan Cobb Dickey on behalf of UBS Financial Services Inc. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Dickey, Jonathan)
October 11, 2011 Opinion or Order Filing 282 PRETRIAL ORDER No. 19: The Court will conduct a status and scheduling conference on November 8, 2011 at 10:00 a.m. in Courtroom 12D to discuss the further progress of these matters. Among subjects for discussion is the filing of a single consolidated amended complaint for all non-class action plaintiffs. (Signed by Judge Lewis A. Kaplan on 10/11/2011) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rdz)
October 3, 2011 Opinion or Order Filing 281 ANSWER to #212 Amended Complaint,,,,,,,,,,,,,,,, with JURY DEMAND. Document filed by Ernst & Young LLP.(Ruthberg, Miles)
October 3, 2011 Opinion or Order Filing 280 MEMO ENDORSEMENT on NOTICE OF APPLICATION TO WITHDRAW AS COUNSEL OF RECORD. GRANTED. Attorney Martin Joel Auerbach for Ian Lowitt added. Attorney Kelly Marie Hnatt terminated. (Signed by Judge Lewis A. Kaplan on 10/3/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
October 3, 2011 Opinion or Order Filing 279 MEMO ENDORSEMENT on (271) Motion for Brett M. Middleton to Appear Pro Hac Vice in case 1:08-cv-05523-LAK and (452) Motion for Brett M. Middleton to Appear Pro Hac Vice in case 1:09-md-02017-LAK. GRANTED. (Signed by Judge Lewis A. Kaplan on 10/3/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
October 3, 2011 Opinion or Order Filing 278 ANSWER to #212 Amended Complaint,,,,,,,,,,,,,,,,. Document filed by Incapital LLC.(Boyd, David)
September 16, 2011 Opinion or Order Filing 277 NOTICE OF APPEARANCE by Martin Joel Auerbach on behalf of Ian Lowitt Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Auerbach, Martin)
September 16, 2011 Opinion or Order Filing 276 NOTICE OF APPEARANCE by Martin Joel Auerbach on behalf of Ian Lowitt Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Auerbach, Martin)
September 8, 2011 Opinion or Order Filing 275 PRETRIAL ORDER No. 19: On July 27, 2011, the Court issued an Opinion granting in part and denying in part the defendants' Motions to Dismiss Lead Plaintiffs' Third Amended Class Action Complaint "TAC"). That Opinion also directed the defendants to settle an order more fully setting forth the rulings in the Opinion, preferably with agreement from all parties. Having reviewed the parties' joint proposal, and for the reasons set forth in the July 27, 2011 Opinion, it is hereby ORDERED as set forth in this Order are the agreed resolutions of Motions To Dismiss Equity/Debt Action. (Signed by Judge Lewis A. Kaplan on 9/8/11) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(pl)
September 8, 2011 Opinion or Order Filing 274 PRETRIAL ORDER NO. 20 re: (439 in 1:09-md-02017-LAK, 263 in 1:08-cv-05523-LAK) correcting the opinion issued on 7/27/2011 in cases 09-MD-2017 and 08-CV-5523. (Signed by Judge Lewis A. Kaplan on 9/8/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(ft)
September 8, 2011 Opinion or Order Filing 273 PRETRIAL ORDER nO. 20. The opinion issued on July 27, 2011 [09 MD 2017 (LAK), DI 439; 08 Civ. 5523 (LAK), DI 263], in this matter is corrected in the following manner: In the second sentence of the final paragraph on page 64, the words "those committees" are replaced with "one or both of those committees." In the second sentence of the final paragraph on page 66, the words "Fuld, O'Meara and Gregory all" are replaced with "Fuld and Gregory." The penultimate sentence of the final paragraph on page 66 is replaced with "Callan and Lowitt, however, did not become members until later, and O'Meara was never a member." Footnote 278 is replaced with "Id. paragraphs 9, 11, 12." In the final sentence of the final paragraph on page 66, the words "Fuld, O'Meara and Gregory" are replaced with "Fuld and Gregory," and the words "Callan and Lowitt" are replaced with "Callan, Lowitt and O'Meara." (Signed by Judge Lewis A. Kaplan on 9/8/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(pl)
August 24, 2011 Opinion or Order Filing 272 NOTICE of Withdrawal of Appearance of Elizabeth P. Lin and Boaz A. Weinstein. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
August 18, 2011 Opinion or Order Filing 271 MOTION for Brett M. Middleton to Appear Pro Hac Vice. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(pgu)
August 17, 2011 Opinion or Order Filing 269 JOINT STIPULATION AND ORDER: It is hereby Stipulated and Agreed, by and among the undersigned counsel, as follows: Defendants shall answer the Third Amended Class Action Complaint on or before October 3, 2011. The parties will hold a conference pursuant to Fed. R. 26(f) on September 7, 2011 and will submit a report in advance of the scheduling conference with the Court as provided under Rule 26(f). Lead Plaintiffs respectfully request that the Court schedule a conference for a date after September 7, 2011, that is convenient for the Court to address the case schedule and further proceedings. (Signed by Judge George B. Daniels, Part I on 8/17/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(mro) Modified on 8/17/2011 (mro). Modified on 8/18/2011 (mro). Modified on 8/22/2011 (mro).
August 15, 2011 Opinion or Order Filing 270 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF COUNSEL re: Simpson Thacher & Bartlett LLP, of 425 Lexington Avenue, New York, New York 10017-3954, withdraws as counsel for defendant Joseph M. Gregory in the above-captioned proceedings. Fried, Frank, Harris, Slujver & Jacobson LLP, of One New York Plaza New York, NY 10004, will remain as attorneys of record for defendant Joseph M. Gregory in the above-captioned actions within these proceedings in which Mr. Gregory is named. ENDORSEMENT: So Ordered. (Signed by Judge Laura Taylor Swain on 8/11/2011 Part I) Filed In Associated Cases: 1:09-md-02017-LAK et al. (ab) Modified on 8/23/2011 (ab).
August 2, 2011 Opinion or Order Filing 268 NOTICE OF APPEARANCE by Justin Michael Tarshis on behalf of Ed Davis, Rick Fleischman, Francisco Perez, J. Harry Pickle, Arthur Simons, Juan Tolosa Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Tarshis, Justin)
August 2, 2011 Opinion or Order Filing 267 NOTICE OF APPEARANCE by Stephen Leland Brodsky on behalf of Ed Davis, Rick Fleischman, Francisco Perez, J. Harry Pickle, Arthur Simons, Juan Tolosa Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Brodsky, Stephen)
July 29, 2011 Opinion or Order Filing 266 NOTICE OF APPEARANCE by Jonathan K. Levine on behalf of Mohan Ananda, Richard Barrett, Neel Duncan, Nick Fotinos, Stephen Gott, Karim Kano, Fred Mandell, Barbara Moskowitz, Stacey Oyler, Ronald Profili, Lawrence Rose, Joe Rottman, Grace Wang, Roy Wiegert, Miriam Wolf (Levine, Jonathan)
July 29, 2011 Opinion or Order Filing 265 NOTICE OF APPEARANCE by Daniel Charles Girard on behalf of Mohan Ananda, Richard Barrett, Neel Duncan, Nick Fotinos, Stephen Gott, Karim Kano, Fred Mandell, Barbara Moskowitz, Stacey Oyler, Ronald Profili, Lawrence Rose, Joe Rottman, Grace Wang, Roy Wiegert, Miriam Wolf (Girard, Daniel)
July 29, 2011 Opinion or Order Filing 264 NOTICE OF APPEARANCE by Christina H. C. Sharp on behalf of Mohan Ananda, Richard Barrett, Neel Duncan, Nick Fotinos, Stephen Gott, Karim Kano, Fred Mandell, Barbara Moskowitz, Stacey Oyler, Ronald Profili, Lawrence Rose, Joe Rottman, Grace Wang, Roy Wiegert, Miriam Wolf (Sharp, Christina)
July 27, 2011 Opinion or Order Filing 263 OPINION re: (296 in 1:09-md-02017-LAK, 227 in 1:08-cv-05523-LAK) MOTION to Dismiss the Third Amended Complaint filed by Ernst & Young LLP, (224 in 1:08-cv-05523-LAK, 293 in 1:09-md-02017-LAK) MOTION to Dismiss filed by John d. Macomber, Caja de Ahorros y Monte de Piedad de Madrid, UBS Financial Services Inc., Cabrera Capital Markets, LLC, Scotia Capital (USA) Inc., Christopher M. O'Meara, Mellon Financial Markets, LLC, Thomas H. Cruikshank, Commerzbank Capital Markets Corp., Fortis Securities, LLC, Erin Callan, Christopher Gent, BBVA Securities Inc., TD Securities (USA) LLC, RBS Securities Inc., William Capital Group, L.P., UBS Securities LLC, Muriel Siebert & Co., Inc., DnB NOR Markets Inc., A.G. Edwards & Sons, Inc., BNP Paribas S.A., Daiwa Securities SMBC Europe Limited, Marsha Johnson Evans, Ing Financial Markets LLC, BMO Capital Markets Corp, Sovereign Securities Corporation, LLC, Henry Kaufman, Merrill Lynch, Pierce, Fenner & Smith, Inc., SunTrust Robinson Humphrey, Inc., RBC Dain Rauscher Inc., Harris Nesbitt Corp., Michael L. Ainslie, National Australia Bank Limited, Charles Schwab & Co., Inc., Fidelity Capital Markets Services, ANZ Securities, Inc., Mizuho Securities USA, Inc., BMO Capital Markets Corp., Raymond James & Associates, Inc., Ian Lowitt, RBC Capital Markets Corp., Cabrera Capital Markets LLC, Commerzbank Capital Markets Corp., Roland A. Hernandez, Sir Christopher Gent, RBS Greenwich Capital, Sovereign Securities Corporation LLC, Wachovia Securities LLC, BNY Mellon Capital Markets, LLC, Calyon Securities (USA) Inc., Richard S. Fuld, Jr., Joseph M. Gregory, HSBC Securities (USA) Inc., Roger S. Berlind, Citigroup Global Markets Inc., ABN AMRO Incorporated, HVB Capital Markets, Inc., Calyon Securities USA Inc, Incapital LLC, Morgan Stanley & Co. Inc., DZ Financial Markets LLC, DnB NOR Markets, CIBC World Markets Corp., Edward D. Jones & Co., L.P., DnB NOR Markets Inc, Williams Capital Group L.P., John F. Akers, M.R. Beal & Company, Merrill Lynch, Pierce, Fenner & Smith Inc., Wells Fargo Securities, LLC, Siebert Capital Markets, Wachovia Securities, LLC, Banc of America Securities LLC, Natixis Bleichroeder Inc., Ronald Hernandez, Loop Capital Markets, LLC, Santander Investment Securities Inc., SG Americas Securities LLC, (230 in 1:08-cv-05523-LAK, 299 in 1:09-md-02017-LAK) MOTION to Dismiss filed by John d. Macomber, Thomas H. Cruikshank, Christopher Gent, Marsha Johnson Evans, Henry Kaufman, Michael L. Ainslie, Sir Christopher Gent, Roland A. Hernandez, Roger S. Berlind, John F. Akers. The motions to dismiss the TAC [09 MD 2017, docket items 293, 296, 299; 08 Civ. 5523, docket items 224, 227, 230] are granted in part and denied in part as set forth above. Defendants shall settle an order more fully setting forth the rulings made herein, preferably an order agreed as to form by all parties, on seven days notice. (Signed by Judge Lewis A. Kaplan on 7/27/2011) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(tro)
April 5, 2011 Opinion or Order Filing 262 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Victor L. Hou dated 3/31/11 re: Counsel requests that the court rescind the March 24 Order withdrawing counsel of record for Utendahl. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 4/4/11). Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-5523-LAK(djc) Modified on 4/7/2011 (djc).
March 25, 2011 Opinion or Order Filing 261 MEMO ENDORSED ON NOTICE OF MOTION TO PERMIT CLEARY GOTTLIEB STEEN & HAMILTON LLP TO WITHDRAW AS COUNSEL OF RECORD FOR DEFENDANT UTENDAHL CAPITAL PARTNERS, L.P. granting (239) Motion to Withdraw as counsel of record. (Signed by Judge Lewis A. Kaplan on 3/24/11). Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK. (djc)
March 9, 2011 Opinion or Order Filing 260 NOTICE OF WITHDRAWAL. PLEASE TAKE NOTICE that, pursuant to Rule 1.4 of the Local Rules for the United States District Courts for the Southern and Eastern Districts of New York. I. Aaron M. Sheanin, a partner with the law firm of Girard Gibbs LLP, attorney for Plaintiffs Defer LP, Laurie Rubin, and Jonathan Gold in the above-entitled action, hereby withdraw as an attorney ofrecord, as I am leaving Girard Gibbs LLP. Daniel C. Girard, Jonathan K. Levine, and Christina H. C. Sharp of Girard Gibbs LLP will continue to serve as counsel of record. to Plaintiffs in the above- referenced matter. I hereby request that my name and email address be removed from the case's official docket. (Signed by Judge Lewis A. Kaplan on 3/9/11) Filed In Associated Cases: 1:09-md-02017-LAK et al.(djc)
February 10, 2011 Opinion or Order Filing 259 AMENDED RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by ABN AMRO Holding N.V..Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
January 21, 2011 Opinion or Order Filing 258 NOTICE of OF WITHDRAWAL OF ATTORNEY. Document filed by City of Fremont, City of Long Beach, City of South San Francisco, County of Tuolumne, City of Cerritos, County of Alameda. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Simon, Bruce)
December 21, 2010 Opinion or Order Filing 257 NOTICE OF CHANGE OF ADDRESS by John Evans Jureller on behalf of Foundation Property Management, Inc., RHF Foundation Inc., Retirement Housing Foundation. New Address: Klestadt & Winters, LLP, 570 Seventh Avenue, 17th Floor, New York, New York, USA 10018, (212) 972-3000. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:10-cv-06185-LAK(Jureller, John)
December 3, 2010 Opinion or Order Filing 256 STIPULATION AND ORDER TO UNSEAL THE SECOND CONSOLIDATED AMENDED COMPLAINT. IT IS HEREBY STIPULATED AND AGREED by and between the parties that: 1. The SCAC and the documents produced by Defendants that are referenced therein may be disseminated on a non-confidential basis; 2. The Court shall order the SCAC to be unsealed; and 3. Nothing in this Stipulation shall otherwise impact the October 7, 2009 Protective Order or the documents covered thereby. (Signed by Judge Lewis A. Kaplan on 11/30/10) Filed In Associated Cases: 1:09-md-02017-LAK et al. (rjm)
November 10, 2010 Opinion or Order Filing 255 NOTICE of Withdrawal of Named Plaintiff. Document filed by Ralph Rosato. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Salvetti, Susan)
November 8, 2010 Opinion or Order Filing 254 NOTICE OF APPEARANCE by Carrie Victoria Hardman on behalf of Foundation Property Management, Inc., RHF Foundation Inc., Retirement Housing Foundation (Hardman, Carrie)
November 4, 2010 Opinion or Order Filing 253 NOTICE of of Withdrawal of Motion to Permit Cleary Gottlieb Steen & Hamilton LLP to Withdraw as Counsel of Record for Defendant Utendahl Capital Partners, L.P. and Joinder in the Motion to Dismiss Plaintiffs' Third Amended Class Action Complaint on Behalf of Utendahl Capital Partners, L.P., dated November 4, 2010 re: (310 in 1:09-md-02017-LAK) MOTION to Withdraw / Notice of Motion to Permit Cleary Gottlieb Steen & Hamilton LLP to Withdraw as Counsel of Record for Defendant Utendahl Capital Partners, L.P., dated July 13, 2010., (299 in 1:09-md-02017-LAK) MOTION to Dismiss the Third Amended Complaint.. Document filed by Utendahl Capital Partners, L.P.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
October 27, 2010 Opinion or Order Filing 252 MEMO-ENDORSEMENT, granting (356) Motion for Timothy Don Reuben to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 10/27/2010) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:10-cv-06185-LAK (lnl)
October 27, 2010 Opinion or Order Filing 251 MEMO-ENDORSEMENT, granting (355) Motion for Stephen Louis Raucher to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 10/27/2010) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:10-cv-06185-LAK (lnl)
September 17, 2010 Opinion or Order Filing 250 NOTICE OF APPEARANCE by John Evans Jureller on behalf of Foundation Property Management, Inc., RHF Foundation Inc., Retirement Housing Foundation (Jureller, John)
September 9, 2010 Opinion or Order Filing 249 NOTICE OF APPEARANCE by Erika Hannelore Burk on behalf of David Goldfarb, Christopher M. O'Meara, Thomas Russo Filed In Associated Cases: 1:09-md-02017-LAK et al.(Burk, Erika)
September 9, 2010 Opinion or Order Filing 248 NOTICE OF APPEARANCE by Michael Joseph Chepiga on behalf of David Goldfarb, Christopher M. O'Meara, Thomas Russo Filed In Associated Cases: 1:09-md-02017-LAK et al.(Chepiga, Michael)
September 9, 2010 Opinion or Order Filing 247 NOTICE OF APPEARANCE by Mary Elizabeth McGarry on behalf of David Goldfarb, Christopher M. O'Meara, Thomas Russo Filed In Associated Cases: 1:09-md-02017-LAK et al.(McGarry, Mary)
August 2, 2010 Opinion or Order Filing 246 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by Commerzbank Capital Markets Corp..Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:09-cv-01232-LAK, 1:09-cv-06041-LAK(Lowenthal, Mitchell)
July 23, 2010 Opinion or Order Filing 245 NOTICE of Withdrawal of Appearance. Document filed by Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kessler, David)
July 15, 2010 Opinion or Order Filing 244 NOTICE of Withdrawal of Richard A. Speirs as Counsel for Plaintiffs Francisco Perez, Rick Fleischman, Ralph M. Rosato, M.D., Juan Tolosa, Arthur Simons, J. Harry Pickle as Trustee on behalf of the Gastroenterology Associates Profit Sharing Trust FBO Charles M. Brooks M.D., and Ed Davis. Document filed by Ed Davis, Juan Tolosa, Arthur Simons, Ralph Rosato, J. Harry Pickle, Rick Fleischman, Francisco Perez, J. Harry Pickle. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Salvetti, Susan)
July 14, 2010 Opinion or Order Filing 243 CERTIFICATE OF SERVICE of Richard V. Conza re #310, 311 and 312 (#239, 240 and 241 in 08cv5523 on July 13, 2010. Document filed by Utendahl Capital Partners, L.P.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Hou, Victor)
July 14, 2010 Opinion or Order Filing 242 CERTIFICATE OF SERVICE of Richard V. Conza re #309 (#238 in 08cv5523) on July 13, 2010. Document filed by Christopher M. O'Meara, RBC Dain Rauscher Inc., RBS Securities Inc., Santander Investment Securities Inc., Siebert Capital Markets, SunTrust Robinson Humphrey, Inc., William Capital Group, L.P., BBVA Securities Inc., DnB NOR Markets Inc, National Australia Bank Limited, RBC Capital Markets Corp., SG Americas Securities LLC, Edward D. Jones & Co., L.P., Fidelity Capital Markets Services, Incapital LLC, M.R. Beal & Company, Natixis Bleichroeder Inc., UBS Financial Services Inc., Michael L. Ainslie, John F. Akers, Roger S. Berlind, Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, Erin Callan, Thomas H. Cruikshank, Daiwa Securities SMBC Europe Limited, DnB NOR Markets, Marsha Johnson Evans, Richard S. Fuld, Jr, Sir Christopher Gent, Joseph M. Gregory, HVB Capital Markets, Inc., Harris Nesbitt Corp., Roland A. Hernandez, Henry Kaufman, A.G. Edwards & Sons, Inc., ANZ Securities, Inc., Banc of America Securities LLC, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Cabrera Capital Markets LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DZ Financial Markets LLC, Fortis Securities, LLC, RBS Greenwich Capital, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., Sovereign Securities Corporation LLC, TD Securities (USA) LLC, UBS Securities LLC, Ian Lowitt, Wachovia Securities, LLC, Wells Fargo Securities, LLC, Calyon Securities (USA) Inc., John d. Macomber. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
July 13, 2010 Opinion or Order Filing 241 MEMORANDUM OF LAW in Support re: (310 in 1:09-md-02017-LAK, 239 in 1:08-cv-05523-LAK) MOTION to Withdraw / Notice of Motion to Permit Cleary Gottlieb Steen & Hamilton LLP to Withdraw as Counsel of Record for Defendant Utendahl Capital Partners, L.P., dated July 13, 2010.. Document filed by Utendahl Capital Partners, L.P.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Hou, Victor)
July 13, 2010 Opinion or Order Filing 240 DECLARATION of Victor L. Hou in Support re: (310 in 1:09-md-02017-LAK, 239 in 1:08-cv-05523-LAK) MOTION to Withdraw / Notice of Motion to Permit Cleary Gottlieb Steen & Hamilton LLP to Withdraw as Counsel of Record for Defendant Utendahl Capital Partners, L.P., dated July 13, 2010.. Document filed by Utendahl Capital Partners, L.P.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Hou, Victor)
July 13, 2010 Opinion or Order Filing 239 MOTION to Withdraw / Notice of Motion to Permit Cleary Gottlieb Steen & Hamilton LLP to Withdraw as Counsel of Record for Defendant Utendahl Capital Partners, L.P., dated July 13, 2010. Document filed by Utendahl Capital Partners, L.P..Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Hou, Victor)
July 13, 2010 Opinion or Order Filing 238 JOINT REPLY MEMORANDUM OF LAW in Support re: (224 in 1:08-cv-05523-LAK, 293 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, CIBC World Markets Corp., Citigroup Global Markets Inc., Daiwa Securities SMBC Europe Limited, DnB NOR Markets, DZ Financial Markets LLC, RBS Greenwich Capital, Harris Nesbitt Corp., HVB Capital Markets, Inc., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., RBC Dain Rauscher Inc., Santander Investment Securities Inc., Siebert Capital Markets, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wells Fargo Securities, LLC, William Capital Group, L.P., M.R. Beal & Company, BNP Paribas S.A., Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., Edward D. Jones & Co., L.P., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Incapital LLC, Ing Financial Markets LLC, Muriel Siebert & Co., Inc., Natixis Bleichroeder Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., SG Americas Securities LLC, TD Securities (USA) LLC, UBS Financial Services Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, A.G. Edwards & Sons, Inc., BNY Mellon Capital Markets, LLC, Cabrera Capital Markets LLC, DnB NOR Markets Inc., Fortis Securities, LLC, BMO Capital Markets Corp., National Australia Bank Limited, RBC Capital Markets Corp., Sovereign Securities Corporation LLC, Wachovia Securities, LLC, Calyon Securities (USA) Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Williams Capital Group L.P., ABN AMRO Incorporated, Ronald Hernandez, Sir Christopher Gent. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
July 13, 2010 Opinion or Order Filing 237 REPLY MEMORANDUM OF LAW in Support re: (296 in 1:09-md-02017-LAK, 227 in 1:08-cv-05523-LAK) MOTION to Dismiss the Third Amended Complaint.. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Wald, Peter)
July 13, 2010 Opinion or Order Filing 236 REPLY MEMORANDUM OF LAW in Support re: (230 in 1:08-cv-05523-LAK, 299 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Sir Christopher Gent. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Massey, Kathleen)
June 30, 2010 Opinion or Order Filing 235 MEMORANDUM OF LAW in Opposition re: (224 in 1:08-cv-05523-LAK) MOTION to Dismiss., (227 in 1:08-cv-05523-LAK) MOTION to Dismiss., (230 in 1:08-cv-05523-LAK) MOTION to Dismiss.. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
June 24, 2010 Opinion or Order Filing 234 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from David R. Stickney dated 6/21/2010 re: The parties respectfully request relief from the page limits set forth in Your Honor's Individual Practices for Lead Plaintiffs' opposition to defendants' motion to dismiss Defendant's reply papers. Lead Plaintiff request permission to file a single opposition brief of up to 100 pages in response to defendants' three opening briefs which totaled 109 pages. Defendant request permission to file a joint reply brief of up to 30 pages. ENDORSEMENT: Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 6/23/2010) (jfe)
June 15, 2010 Opinion or Order Filing 233 MEMO ENDORSEMENT re: MOTION TO ADMIT COUNSEL (Matthew K. Edling) PRO HAC VICE. granting (223) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-05523-LAK; granting (139) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-05598-LAK; granting (136) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-06762-LAK; granting (130) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-08225-LAK; granting (86) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-09404-LAK; granting (88) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-09578-LAK; granting (76) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-09793-LAK; granting (65) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-10008-LAK; granting (77) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-10058-LAK; granting (73) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-10206-LAK; granting (53) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:08-cv-10686-LAK; granting (292) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-md-02017-LAK; granting (50) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01236-LAK; granting (52) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01231-LAK; granting (51) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01237-LAK; granting (53) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01232-LAK; granting (65) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01238-LAK; granting (49) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01240-LAK; granting (53) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01235-LAK; granting (52) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01230-LAK; granting (68) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01239-LAK; granting (58) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01944-LAK; granting (55) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01946-LAK; granting (43) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-01943-LAK; granting (100) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-02363-LAK; granting (51) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-03468-LAK; granting (51) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-03467-LAK; granting (53) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-03474-LAK; granting (53) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-03475-LAK; granting (53) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-03476-LAK; granting (48) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-03478-LAK; granting (44) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-03480-LAK; granting (29) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-06041-LAK; granting (22) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-06652-LAK; granting (23) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-06040-LAK; granting (25) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-07877-LAK; granting (25) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-07878-LAK; granting (27) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:09-cv-07900-LAK; granting (15) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:10-cv-03190-LAK; granting (13) Motion for Matthew K. Edling to Appear Pro Hac Vice in case 1:10-cv-02926-LAK. (Signed by Judge Lewis A. Kaplan on 6/14/10) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
June 4, 2010 Opinion or Order Filing 232 DECLARATION of Kathleen N. Massey in Support re: (230 in 1:08-cv-05523-LAK, 299 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Sir Christopher Gent. (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)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Massey, Kathleen)
June 4, 2010 Opinion or Order Filing 231 MEMORANDUM OF LAW in Support re: (230 in 1:08-cv-05523-LAK, 299 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Sir Christopher Gent. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Massey, Kathleen)
June 4, 2010 Opinion or Order Filing 230 MOTION to Dismiss the Third Amended Complaint. Document filed by Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Sir Christopher Gent.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Massey, Kathleen)
June 4, 2010 Opinion or Order Filing 229 DECLARATION of Christopher S. Turner in Support re: (227 in 1:08-cv-05523-LAK) MOTION to Dismiss.. Document filed by Ernst & Young LLP. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Wald, Peter)
June 4, 2010 Opinion or Order Filing 228 MEMORANDUM OF LAW in Support re: (227 in 1:08-cv-05523-LAK) MOTION to Dismiss.. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Wald, Peter)
June 4, 2010 Opinion or Order Filing 227 MOTION to Dismiss the Third Amended Complaint. Document filed by Ernst & Young LLP.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Wald, Peter)
June 4, 2010 Opinion or Order Filing 226 DECLARATION of Michael J. Chepiga (With Exhibits 1-49) in Support re: (224 in 1:08-cv-05523-LAK) MOTION to Dismiss.. Document filed by Joseph M. Gregory. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Chepiga, Michael)
June 4, 2010 Opinion or Order Filing 225 JOINT MEMORANDUM OF LAW in Support re: (224 in 1:08-cv-05523-LAK) MOTION to Dismiss. (With Appendices A-F). Document filed by Christopher M. O'Meara, Joseph M. Gregory. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Chepiga, Michael)
June 4, 2010 Opinion or Order Filing 224 JOINT MOTION to Dismiss the Third Amended Class Action Complaint. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, CIBC World Markets Corp., Citigroup Global Markets Inc., Daiwa Securities SMBC Europe Limited, DnB NOR Markets, DZ Financial Markets LLC, RBS Greenwich Capital, Harris Nesbitt Corp., HVB Capital Markets, Inc., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., RBC Dain Rauscher Inc., Santander Investment Securities Inc., Siebert Capital Markets, Sovereign Securities Corporation, LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Wells Fargo Securities, LLC, William Capital Group, L.P., M.R. Beal & Company, BNP Paribas S.A., Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., Edward D. Jones & Co., L.P., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Incapital LLC, Ing Financial Markets LLC, Muriel Siebert & Co., Inc., Natixis Bleichroeder Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., SG Americas Securities LLC, TD Securities (USA) LLC, UBS Financial Services Inc., BNY Mellon Capital Markets, LLC, Calyon Securities USA Inc, DnB NOR Markets Inc, BMO Capital Markets Corp, National Australia Bank Limited, RBC Capital Markets Corp., Wachovia Securities LLC, Richard S. Fuld, Jr, Christopher M. O'Meara, A.G. Edwards & Sons, Inc., Cabrera Capital Markets LLC, DnB NOR Markets Inc., Fortis Securities, LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., Scotia Capital (USA) Inc., Sovereign Securities Corporation LLC, TD Securities (USA) LLC, Wachovia Securities, LLC, Calyon Securities (USA) Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Williams Capital Group L.P., Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., ABN AMRO Incorporated, Ronald Hernandez, Sir Christopher Gent, Merrill Lynch, Pierce, Fenner & Smith, Inc..Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Chepiga, Michael)
June 1, 2010 Opinion or Order Filing 223 MOTION TO ADMIT COUNSEL PRO HAC VICE for Matthew K. Edling to Appear Pro Hac Vice. Document filed by Zenith Insurance Co & San MateoCounty Investment Pool. Filed In Associated Cases: 1:09-md-02017-LAK et al. (rjm)
June 1, 2010 Opinion or Order Filing 222 PRETRIAL ORDER NO. 16. In support of their motions to dismiss the third amended complaint, the defendants may file (1) a brief not to exceed 60 pages on behalf of the 67 defendants other than Ernst & Young LLP, (2) a brief in compliance with the undersigned's individual practices on behalf of defendant Ernst & Young LLP, and (3) an additional brief on behalf of the Outside Directors not to exceed 15 pages. (Signed by Judge Lewis A. Kaplan on 6/1/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
May 27, 2010 Opinion or Order Filing 221 NOTICE OF APPEARANCE by Richard A Speirs on behalf of J. Harry Pickle, Ed Davis, Juan Tolosa, Arthur Simons, Ralph Rosato Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Speirs, Richard)
May 27, 2010 Opinion or Order Filing 220 NOTICE OF APPEARANCE by Susan Salvetti on behalf of Ed Davis, Juan Tolosa, Arthur Simons, Ralph Rosato, Rick Fleischman, Francisco Perez, J. Harry Pickle Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Salvetti, Susan)
May 27, 2010 Opinion or Order Filing 219 MEMO ENDORSEMENT on NOTICE OF MOTION TO ADMIT COUNSEL PRO HAC VICE granting (216) Motion for Kevin H. Metz to Appear Pro Hac Vice in case 1:08-cv-05523-LAK; granting (284) Motion for Kevin H. Metz to Appear Pro Hac Vice in case 1:09-md-02017-LAK. ENDORSEMENT: So Ordered. (Signed by Judge Richard J. Holwell, Part I on 5/26/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK Copies Mailed By Chambers.(rjm)
May 27, 2010 Opinion or Order Filing 218 MEMO ENDORSEMENT on NOTICE OF MOTION TO ADMIT COUNSEL PRO HAC VICE granting (215) Motion for Peter A. Wald to Appear Pro Hac Vice in case 1:08-cv-05523-LAK; granting (283) Motion for Peter A. Wald to Appear Pro Hac Vice in case 1:09-md-02017-LAK. ENDORSEMENT: So Ordered. (Signed by Judge Richard J. Holwell, Part I on 5/26/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK Copies Mailed By Chambers.(rjm) Modified on 5/27/2010 (rjm).
May 25, 2010 Opinion or Order Filing 217 NOTICE OF APPEARANCE by Philip Chabot Smith on behalf of The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund (Smith, Philip)
May 17, 2010 Opinion or Order Filing 216 NOTICE of MOTION for Kevin H. Metz to Appear Pro Hac Vice. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
May 17, 2010 Opinion or Order Filing 215 NOTICE of MOTION for Peter A. Wald to Appear Pro Hac Vice. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
May 14, 2010 Opinion or Order Filing 214 TRANSCRIPT of proceedings held on March 17, 2010 12:00 p.m. before Judge Lewis A. Kaplan. (ajc)
May 6, 2010 Opinion or Order Filing 213 NOTICE OF APPEARANCE by Andrew Rhys Davies on behalf of Richard S. Fuld, Jr Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:08-cv-05598-LAK(Davies, Andrew)
April 28, 2010 Opinion or Order Filing 211 NOTICE OF APPEARANCE by Jamie Lynne Wine on behalf of Ernst & Young LLP (Wine, Jamie)
April 28, 2010 Opinion or Order Filing 210 NOTICE OF APPEARANCE by Miles Norman Ruthberg on behalf of Ernst & Young LLP (Ruthberg, Miles)
April 23, 2010 Opinion or Order Filing 212 THIRD AMENDED COMPLAINT amending #89 Amended Complaint against Ernst & Young LLP, Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., BNY Capital Markets, Inc., Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, CIBC World Markets Corp., Citigroup Global Markets Inc., Daiwa Securities SMBC Europe Limited, DnB NOR Markets, DZ Financial Markets LLC, RBS Greenwich Capital, Harris Nesbitt Corp., HVB Capital Markets, Inc., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., nabCapital Securities, LLC, RBC Dain Rauscher Inc., Santander Investment Securities Inc., Siebert Capital Markets, SG Corporate & Investment Banking, Sovereign Securities Corporation, LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, William Capital Group, L.P., M.R. Beal & Company, BNP Paribas S.A., Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., Edward D. Jones & Co., L.P., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Incapital LLC, Ing Financial Markets LLC, Muriel Siebert & Co., Inc., Natixis Bleichroeder Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., SG Americas Securities LLC, TD Securities (USA) LLC, UBS Financial Services Inc., BNY Mellon Capital Markets, LLC, Calyon Securities USA Inc, DnB NOR Markets Inc, BMO Capital Markets Corp, National Australia Bank Limited, RBC Capital Markets Corp., Wachovia Securities LLC, The Williams Capital Group LP, Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, A.G. Edwards & Sons, Inc., Cabrera Capital Markets LLC, DnB NOR Markets Inc., Fortis Securities, LLC, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., Scotia Capital (USA) Inc., Sovereign Securities Corporation LLC, Standard Chartered Bank, TD Securities (USA) LLC, Wachovia Capital Markets LLC, Wachovia Securities, LLC, The Williams Capital Group L.P., Zions Direct, Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan.Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, Belmont Holdings Corp., Rick Fleischman, Stephen Gott, Island Medical Group, Karim Kano, Michael Karfunkel, Ann Lee, Francisco Perez, Ronald Profili, Shea-Edwards Limited Partnership, Fred Telling, Grace Wang, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Related document: #89 Amended Complaint filed by Zahniser Trust, Island Medical Group, American European Insurance Company, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Grace Wang, Ann Lee, Stephen Gott, Belmont Holdings Corp., Police and Fire Retirement System of the City of Detroit, Operating Engineers Local 3 Trust Fund, Michael Karfunkel, Ronald Profili, Government of Guam Retirement Fund, Fred Telling, Marsha Kosseff, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Brockton Contributory Retirement System, Karim Kano, Teamsters Allied Benefit Funds, Alameda County Employees' Retirement Association, Shea-Edwards Limited Partnership, Rick Fleischman, Francisco Perez, Northern Ireland Local Governmental Officers Superannuation Committee.(mro)
April 22, 2010 Opinion or Order Filing 209 NOTICE OF CHANGE OF ADDRESS by Kenneth Mark Rehns on behalf of Boilermakers-Blacksmith National Pension Trust, New Jersey Carpenters Health Fund(On Behalf of Itself and All Others Similarly Situated), New Jersey Carpenters Health Fund, New Jersey Carpenters Health Fund(on behalf of itself and all others similarly situated). New Address: 88 Pine Street, 14th Floor, New York, New York, 10005,. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Kenneth)
April 22, 2010 Opinion or Order Filing 208 NOTICE OF CHANGE OF ADDRESS by Daniel Brett Rehns on behalf of Boilermakers-Blacksmith National Pension Trust, New Jersey Carpenters Health Fund(On Behalf of Itself and All Others Similarly Situated), New Jersey Carpenters Health Fund(on behalf of itself and all others similarly situated). New Address: 88 Pine Street, 14th Floor, New York, New York, 10005,. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Daniel)
April 12, 2010 Opinion or Order Filing 207 MEMO ENDORSEMENT on MOTION FOR ADMISSION PRO HAC VICE OF RICHARD D. BERNSTEIN. PURSUANT TO RULE 1.3(c) of the Local Rules of the United States District Courts for the Southern and Eastern Districts of New York, and upon the accompanying Affidavit, I, Kelly M. Hnatt, a member in good standing of the Bar of this Court, hereby move for an Order allowing the admission pro hac vice, as counsel for Defendant Ian Lowitt, of Richard D. Bernstein. As set forth in the accompanying Affidavit, Mr. Bernstein is a member in good standing of the Bar of the District of Columbia, and there are no pending disciplinary proceedings against him in any State or Federal court. Attorney Richard D. Bernstein for Ian Lowitt added. (Signed by Judge Lewis A. Kaplan on 4/12/10) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
April 1, 2010 Opinion or Order Filing 206 ORDER that should either party wish the Court to consider Mr. Fuld's Form U-4, it should submit, by way of affidavit, a true and correct copy to the Court no later than 1:00 pm on Monday, 4/5/10. (Signed by Judge Lewis A. Kaplan on 3/31/10) Filed In Associated Cases: 1:09-md-02017-LAK et al. Copies sent by chambers.(cd)
March 31, 2010 Opinion or Order Filing 205 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: Pursuant to Local Civil Rule 1.4, that the law firm of Dechert LLP hereby is substituted in place and in the stead of the law firm of Simpson Thacher & Bartlett LLP as counsel of record for defendants John F. Akers, Michael L. Ainslie, Roger S, Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufrnaa, and John D. Macomber in all ofthe above-captioned actions in which any such defendants are named. Attorney Andrew J. Levander for Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Christopher Gent, Ronald Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Ronald Hernandez, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainsle, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainsle, John F Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, John F. Akers, Roger S. Berlind, Roland A. Hernandez, Henry Kaufman, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John F Akers, Roger S. Berlind, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Thomas H. Cruikshank, Christopher Gent, Sir, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainsle, John F Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman and John D. Macomber, Kathleen N. Massey for Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Christopher Gent, Ronald Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Ronald Hernandez, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainsle, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainsle, John F Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, John F. Akers, Roger S. Berlind, Roland A. Hernandez, Henry Kaufman, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John F Akers, Roger S. Berlind, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Thomas H. Cruikshank, Christopher Gent, Sir, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Sir Christopher Gent, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, John F. Akers, Roger S. Berlind, Marsha Johnson Evans, Roland A. Hernandez, Henry Kaufman, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman, John D. Macomber, Michael L. Ainsle, John F Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Sir, Roland A. Hernandez, Henry Kaufman and John D. Macomber, Adam Jay Wasserman for Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Michael L. Ainslie, John F. Akers, Roger S. Be
March 31, 2010 Opinion or Order Filing 204 MEMORANDUM ENDORSEMENT re: #247 MOTION TO ADMIT COUNSEL PRO HAC VICE. ENDORSEMENT: Granted. ORDER granting (203) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-05523-LAK; granting (129) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-05598-LAK; granting (119) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-06762-LAK; granting (123) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-08225-LAK; granting (79) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-09404-LAK; granting (78) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-09578-LAK; granting (66) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-09793-LAK; granting (58) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-10008-LAK; granting (70) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-10058-LAK; granting (66) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-10206-LAK; granting (47) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:08-cv-10686-LAK; granting (247) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-md-02017-LAK; granting (43) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01236-LAK; granting (45) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01231-LAK; granting (44) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01237-LAK; granting (46) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01232-LAK; granting (57) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01238-LAK; granting (43) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01240-LAK; granting (46) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01235-LAK; granting (45) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01230-LAK; granting (56) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01239-LAK; granting (50) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01944-LAK; granting (48) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01946-LAK; granting (37) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-01943-LAK; granting (93) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-02363-LAK; granting (42) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-03468-LAK; granting (42) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-03467-LAK; granting (43) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-03474-LAK; granting (43) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-03475-LAK; granting (43) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-03476-LAK; granting (39) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-03478-LAK; granting (38) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-03480-LAK; granting (20) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-06041-LAK; granting (12) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-06652-LAK; granting (13) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-06040-LAK; granting (16) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-07877-LAK; granting (16) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-07878-LAK; granting (20) Motion for Jordanna G. Thigpen to Appear Pro Hac Vice in case 1:09-cv-07900-LAK. (Signed by Judge Lewis A. Kaplan on 3/29/10) Filed In Associated Cases: 1:09-md-02017-LAK et al.(db)
March 23, 2010 Opinion or Order Filing 203 MOTION for Jordanna G. Thigpen to Appear Pro Hac Vice. Document filed by Zenith Insurance Co., Lou Solton, City of Auburn, City of Burbank, City of San Buenaventura, Contra Costa Water District, Vallejo Sanitation & Flood Control District.Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
March 17, 2010 Opinion or Order Filing 202 PRETRIAL ORDER NO. 14: In light of the recent filing of the Examiner's Report in the In re Lehman Brothers Holdings, Inc. bankruptcy case the pending motions to dismiss [09 MD 2017, docket items 91, 94; 08 Civ. 5523, docket items 135, 138] are denied without prejudice and leave to amend the complaint on or before April 23, 2010 is granted. The Court establishes the following schedule with respect to any amended complaint: 1. Defendants shall answer or move to dismiss by June 4, 2010. 2. Opposing papers shall be filed on or before June 30, 2010.3. Reply papers shall be filed on or before July 13, 2010. ORDER in case 1:08-cv-05523-LAK; denying (91) Motion to Dismiss; denying (94) Motion to Dismiss in case 1:09-md-02017-LAK. (Signed by Judge Lewis A. Kaplan on 3/17/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(db)
March 17, 2010 Opinion or Order Set/Reset Deadlines: Northern Ireland Local Governmental Officers Superannuation Committee answer due 6/4/2010; Ian Lowitt answer due 6/4/2010; Michael L. Ainslie answer due 6/4/2010; John F. Akers answer due 6/4/2010; Roger S. Berlind answer due 6/4/2010; Thomas H. Cruikshank answer due 6/4/2010; Marsha Johnson Evans answer due 6/4/2010; Christopher Gent answer due 6/4/2010; Roland A. Hernandez answer due 6/4/2010; Henry Kaufman answer due 6/4/2010; John d. Macomber answer due 6/4/2010; ABN AMRO Holding N.V. answer due 6/4/2010; ANZ Securities, Inc. answer due 6/4/2010; Banc of America Securities LLC answer due 6/4/2010; BBVA Securities Inc. answer due 6/4/2010; BNY Capital Markets, Inc. answer due 6/4/2010; Cabrera Capital Markets, LLC answer due 6/4/2010; Caja de Ahorros y Monte de Piedad de Madrid answer due 6/4/2010; CIBC World Markets Corp. answer due 6/4/2010; Citigroup Global Markets Inc. answer due 6/4/2010; Daiwa Securities SMBC Europe Limited answer due 6/4/2010; DnB NOR Markets answer due 6/4/2010; DZ Financial Markets LLC answer due 6/4/2010; RBS Greenwich Capital answer due 6/4/2010; Harris Nesbitt Corp. answer due 6/4/2010; HVB Capital Markets, Inc. answer due 6/4/2010; Loop Capital Markets, LLC answer due 6/4/2010; Mellon Financial Markets, LLC answer due 6/4/2010; Merrill Lynch, Pierce, Fenner & Smith Inc. answer due 6/4/2010; Mizuho Securities USA, Inc. answer due 6/4/2010; Morgan Stanley & Co. Inc. answer due 6/4/2010; nabCapital Securities, LLC answer due 6/4/2010; RBC Dain Rauscher Inc. answer due 6/4/2010; Santander Investment Securities Inc. answer due 6/4/2010; Siebert Capital Markets answer due 6/4/2010; SG Corporate & Investment Banking answer due 6/4/2010; Sovereign Securities Corporation, LLC answer due 6/4/2010; SunTrust Robinson Humphrey, Inc. answer due 6/4/2010; UBS Securities LLC answer due 6/4/2010; Utendahl Capital Partners, L.P. answer due 6/4/2010; Wachovia Capital Markets, LLC answer due 6/4/2010; Wells Fargo Securities, LLC answer due 6/4/2010; William Capital Group, L.P. answer due 6/4/2010; M.R. Beal & Company answer due 6/4/2010; BNP Paribas S.A. answer due 6/4/2010; Charles Schwab & Co., Inc. answer due 6/4/2010; Commerzbank Capital Markets Corp. answer due 6/4/2010; Edward D. Jones & Co., L.P. answer due 6/4/2010; Fidelity Capital Markets Services answer due 6/4/2010; HSBC Securities (USA) Inc. answer due 6/4/2010; Incapital LLC answer due 6/4/2010; Ing Financial Markets LLC answer due 6/4/2010; Muriel Siebert & Co., Inc. answer due 6/4/2010; Natixis Bleichroeder Inc. answer due 6/4/2010; Raymond James & Associates, Inc. answer due 6/4/2010; Scotia Capital (USA) Inc. answer due 6/4/2010; SG Americas Securities LLC answer due 6/4/2010; TD Securities (USA) LLC answer due 6/4/2010; UBS Financial Services Inc. answer due 6/4/2010; BNY Mellon Capital Markets, LLC answer due 6/4/2010; Calyon Securities USA Inc answer due 6/4/2010; DnB NOR Markets Inc answer due 6/4/2010; BMO Capital Markets Corp answer due 6/4/2010; National Australia Bank Limited answer due 6/4/2010; RBC Capital Markets Corp. answer due 6/4/2010; Wachovia Securities LLC answer due 6/4/2010; The Williams Capital Group LP answer due 6/4/2010; Lehman Brothers Holdings, Inc. answer due 6/4/2010; Richard S. Fuld, Jr answer due 6/4/2010; Christopher M. O'Meara answer due 6/4/2010; A.G. Edwards & Sons, Inc. answer due 6/4/2010; Cabrera Capital Markets LLC answer due 6/4/2010; DnB NOR Markets Inc. answer due 6/4/2010; Fortis Securities, LLC answer due 6/4/2010; BMO Capital Markets Corp. answer due 6/4/2010; HSBC Securities (USA) Inc. answer due 6/4/2010; Merrill Lynch, Pierce, Fenner & Smith, Inc. answer due 6/4/2010; Scotia Capital (USA) Inc. answer due 6/4/2010; Sovereign Securities Corporation LLC answer due 6/4/2010; Standard Chartered Bank answer due 6/4/2010; TD Securities (USA) LLC answer due 6/4/2010; Wachovia Capital Markets LLC answer due 6/4/2010; Wachovia Securities, LLC answer due 6/4/2010; The Williams Capital Group L.P. answer due 6/4/2010; Zions Direct, Inc. answer due 6/4/2010; Joseph M. Gregory answer due 6/4/2010; RBS Securities Inc. answer due 6/4/2010; Erin Callan answer due 6/4/2010. Motions due by 6/4/2010. Replies due by 7/13/2010. Responses due by 6/30/2010 Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(db)
March 11, 2010 Opinion or Order Filing 201 MEMO ENDORSEMENT on NOTICE OF MOTION AND MOTION TO ADMIT COUNSEL (Darren J. Check) PRO HAC VICE. ENDORSEMENT: Granted. So Ordered. re: (238 in 1:09-md-02017-LAK) MOTION for Darren J. Check to Appear Pro Hac Vice. filed by Government of Guam Retirement Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Operating Engineers Local 3 Trust Fund, Alameda County Employees' Retirement Association, Northern Ireland Local Governmental Officers Superannuation Committee, Motions terminated: (238 in 1:09-md-02017-LAK, 200 in 1:08-cv-05523-LAK) MOTION for Darren J. Check to Appear Pro Hac Vice. filed by Government of Guam Retirement Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Operating Engineers Local 3 Trust Fund, Alameda County Employees' Retirement Association, Northern Ireland Local Governmental Officers Superannuation Committee. (Signed by Judge Lewis A. Kaplan on 3/11/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
February 25, 2010 Opinion or Order Filing 200 NOTICE OF MOTION AND MOTION for Darren J. Check to Appear Pro Hac Vice. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
February 8, 2010 Opinion or Order Filing 199 MEMORANDUM ENDORSEMENT re #121 MOTION FOR ADMISSION PRO HAC VICE OF RICHARD D. BERNSTEIN. Attorney Richard D. Bernstein for Ian Lowitt admitted Pro Hac Vice. ENDORSEMENT: Granted. Terminate DI 121. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/6/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(db)
February 4, 2010 Opinion or Order Filing 198 STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Calyon Securities (USA) Inc. pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kehoe, John)
January 29, 2010 Opinion or Order Filing 197 MEMO ENDORSEMENT ON MOTION FOR ADMISSION PRO HAC VICE OF RICHARD D. BERNSTEIN for Defendant Ian Lowitt. Motions terminated: (219 in 1:09-md-02017-LAK, 195 in 1:08-cv-05523-LAK) MOTION for Richard D. Bernstein to Appear Pro Hac Vice. filed by Ian Lowitt. (Signed by Judge Lewis A. Kaplan on 1/28/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
January 29, 2010 Opinion or Order Transmission to Attorney Admissions Clerk. Transmitted re: (197 in 1:08-cv-05523-LAK, 197 in 1:08-cv-05523-LAK, 221 in 1:09-md-02017-LAK, 221 in 1:09-md-02017-LAK) Memo Endorsement, Terminate Motions, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
January 25, 2010 Opinion or Order Filing 194 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned, that the law firm of Willkie Farr & Gallagher LLP hereby is. substituted in place and in the stead of the law firm of Simpson Thacher & Bartlett LLP as counsel of record for defendant Ian Lowitt in the above-captioned action. PLEASE TAKE NOTICE that all pleadings, notices of hearing, and other filings in this matter be served upon Willkie Farr & Gallagher LLP and directed to the attention of Kelly M. Hnatt, Esq., at the address set forth below. Attorney Kelly Marie Hnatt for Ian Lowitt added. (Signed by Judge Lewis A. Kaplan on 1/25/10) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
January 22, 2010 Opinion or Order Filing 196 PRETRIAL ORDER NO. 12 (Argument of Motions). The Court hereby fixes the following approximate time allocations for the argument on January 26, 2010 of the pending motions: Equity/Debt Case: Motion to dismiss Securities Act Claims: 1 hour. Motion to dismiss Exchange Act Claims: 40 minutes. ERISA Case: 40 minutes. Mortgage-Backed Securities Case: Rating agencies' motion to dismiss: 40 minutes. Individual defendants' motion to dismiss: 40 minutes. The Equity/Debt and ERISA motions will be heard beginning at 10 a.m. The Mortgage-Backed Securities motions will be heard beginning at 2:15 p.m. (Signed by Judge Lewis A. Kaplan on 1/22/10) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
January 22, 2010 Opinion or Order Filing 195 MOTION for Richard D. Bernstein to Appear Pro Hac Vice. Document filed by Ian Lowitt.Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
December 23, 2009 Opinion or Order Filing 193 NOTICE OF APPEARANCE by Mary Elizabeth McGarry on behalf of Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, John D Macomber, John D. Macomber, Christopher Gent, Sir, Sir Christopher Gent, Michael L. Ainsle, John F Akers, Roland Hernandez Filed In Associated Cases: 1:09-md-02017-LAK et al.(McGarry, Mary)
December 23, 2009 Opinion or Order Filing 192 NOTICE OF APPEARANCE by Michael Joseph Chepiga on behalf of Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Ronald A. Hernandez, John D Macomber, John D. Macomber, Ronald Hernandez, Christopher Gent, Sir, Sir Christopher Gent, Michael L. Ainsle, John F Akers, Roland Hernandez Filed In Associated Cases: 1:09-md-02017-LAK et al.(Chepiga, Michael)
December 23, 2009 Opinion or Order Filing 191 NOTICE OF APPEARANCE by Erika Hannelore Burk on behalf of Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Ronald A. Hernandez, John D Macomber, John D. Macomber, Ronald Hernandez, Christopher Gent, Sir, Sir Christopher Gent, Michael L. Ainsle, John F Akers, Roland Hernandez Filed In Associated Cases: 1:09-md-02017-LAK et al.(Burk, Erika)
December 18, 2009 Opinion or Order Filing 190 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Max W. Berger dated 12/16/09 re: I write to inform the Court that the Plaintiffs' Executive Committee has selected the undersigned (Max W. Berger) to serve as chair of the committee going forward. ENDORSEMENT: So Ordered. Approved. (Signed by Judge Lewis A. Kaplan on 12/18/09) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:08-cv-05598-LAK, 1:08-cv-06762-LAK(rjm)
December 11, 2009 Opinion or Order Filing 189 ORDER. Accordingly, the Lead Plaintiffs' motions to modifY the PSLRA discovery stay [09MD2017, docket items 188 & 193; 08 Civ. 5523, docket item 179; 08 Civ. 6762, docket item 94] are denied. denying (179) Motion in case 1:08-cv-05523-LAK; denying (94) Motion in case 1:08-cv-06762-LAK; denying (188) Motion; denying (193) Motion in case 1:09-md-02017-LAK. (Signed by Judge Lewis A. Kaplan on 12/11/09). Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
December 10, 2009 Opinion or Order Set Deadlines/Hearings: Oral Argument set for 1/26/2010 at 10:00 AM before Judge Lewis A. Kaplan. Associated Cases: 1:09-md-02017-LAK et al.(rjm)
December 10, 2009 Opinion or Order Filing 188 PRETRIAL ORDER NO. 11 (Scheduling Order). Oral argument on the motions to dismiss will be held on Tuesday, January 26, 2010 at 10:00 a.m. (Signed by Judge Lewis A. Kaplan on 12/10/09) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm) Modified on 12/17/2009 (rjm).
November 3, 2009 Opinion or Order Filing 187 REPLY MEMORANDUM OF LAW in Support re: (188 in 1:09-md-02017-LAK, 179 in 1:08-cv-05523-LAK) MOTION FOR LIMITED RELIEF FROM THE PSLRA DISCOVERY STAY.. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
October 27, 2009 Opinion or Order Filing 186 MEMORANDUM OF LAW in Opposition re: #183 MOTION Notice of Plaintiffs' Motion for Limited Relief from the PSLRA Discovery Stay. Defendants'Memorandum of Law in Opposition to Plaintiffs' Motion to Modify the PSLRA Discovery Stay On Behalf of ALL Defendants. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., BNY Capital Markets, Inc., Caja de Ahorros y Monte de Piedad de Madrid, CIBC World Markets Corp., Citigroup Global Markets Inc., Daiwa Securities SMBC Europe Limited, DnB NOR Markets, DZ Financial Markets LLC, RBS Greenwich Capital, Harris Nesbitt Corp., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., nabCapital Securities, LLC, RBC Dain Rauscher Inc., Santander Investment Securities Inc., Siebert Capital Markets, SG Corporate & Investment Banking, SunTrust Robinson Humphrey, Inc., Utendahl Capital Partners, L.P., Wells Fargo Securities, LLC, M.R. Beal & Company, Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., Edward D. Jones & Co., L.P., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Incapital LLC, Ing Financial Markets LLC, Muriel Siebert & Co., Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., SG Americas Securities LLC, TD Securities (USA) LLC, UBS Financial Services Inc., Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, A.G. Edwards & Sons, Inc., BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Cabrera Capital Markets LLC, DnB NOR Markets Inc., Fortis Securities, LLC, BMO Capital Markets Corp., National Australia Bank Limited, Natixis Bleichroeder Inc., RBC Capital Markets Corp., Sovereign Securities Corporation LLC, Standard Chartered Bank, UBS Securities LLC, Wachovia Capital Markets LLC, Wachovia Securities, LLC, The Williams Capital Group L.P., Zions Direct, Inc., Calyon Securities (USA) Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan. (Chepiga, Michael)
October 27, 2009 Opinion or Order Filing 185 FILING ERROR - DEFICIENT DOCKET ENTRY (See document #186) - MEMORANDUM OF LAW in Opposition re: #183 MOTION Notice of Plaintiffs' Motion for Limited Relief from the PSLRA Discovery Stay. Defendants'Memorandum of Law in Opposition to Plaintiffs' Motion to Modify the PSLRA Discovery Stay. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Christopher M. O'Meara, Joseph M. Gregory. (Chepiga, Michael) Modified on 10/28/2009 (jar).
October 22, 2009 Opinion or Order Filing 184 MEMORANDUM OF LAW in Support re: (39 in 1:09-cv-01944-LAK, 115 in 1:08-cv-08225-LAK, 81 in 1:09-cv-02363-LAK, 3 in 1:09-cv-07877-LAK, 110 in 1:08-cv-05598-LAK, 31 in 1:09-cv-03467-LAK, 36 in 1:09-cv-01237-LAK, 3 in 1:09-cv-07878-LAK, 30 in 1:09-cv-03480-LAK, 31 in 1:09-cv-03468-LAK, 9 in 1:09-cv-06041-LAK, 46 in 1:09-cv-01238-LAK, 32 in 1:09-cv-03474-LAK, 45 in 1:09-cv-01239-LAK, 32 in 1:09-cv-03476-LAK, 70 in 1:08-cv-09578-LAK, 32 in 1:09-cv-03475-LAK, 62 in 1:08-cv-10058-LAK, 4 in 1:09-cv-06652-LAK, 6 in 1:09-cv-07900-LAK, 50 in 1:08-cv-10008-LAK, 28 in 1:09-cv-03478-LAK, 37 in 1:09-cv-01946-LAK, 5 in 1:09-cv-06040-LAK, 37 in 1:09-cv-01230-LAK, 58 in 1:08-cv-10206-LAK, 35 in 1:09-cv-01240-LAK, 58 in 1:08-cv-09793-LAK, 193 in 1:09-md-02017-LAK, 94 in 1:08-cv-06762-LAK, 29 in 1:09-cv-01943-LAK, 183 in 1:08-cv-05523-LAK, 37 in 1:09-cv-01231-LAK, 37 in 1:09-cv-01232-LAK, 35 in 1:09-cv-01236-LAK, 38 in 1:09-cv-01235-LAK, 71 in 1:08-cv-09404-LAK, 39 in 1:08-cv-10686-LAK) MOTION Notice of Plaintiffs' Motion for Limited Relief from the PSLRA Discovery Stay.. Document filed by Boilermakers-Blacksmith National Pension Trust, New Jersey Carpenters Health Fund(On Behalf of Itself and All Others Similarly Situated), Local 302 and 612 - Int'l Union of Operating Engineers, B.C. Ziegler and Company, Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust, New Jersey Carpenters Health Fund, New Jersey Carpenters Health Fund(on behalf of itself and all others similarly situated). Filed In Associated Cases: 1:09-md-02017-LAK et al.(Lometti, Christopher)
October 22, 2009 Opinion or Order Filing 183 MOTION Notice of Plaintiffs' Motion for Limited Relief from the PSLRA Discovery Stay. Document filed by Boilermakers-Blacksmith National Pension Trust, New Jersey Carpenters Health Fund(On Behalf of Itself and All Others Similarly Situated), Local 302 and 612 - Int'l Union of Operating Engineers, Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust, New Jersey Carpenters Health Fund, New Jersey Carpenters Health Fund(on behalf of itself and all others similarly situated).Filed In Associated Cases: 1:09-md-02017-LAK et al.(Lometti, Christopher)
October 19, 2009 Opinion or Order Filing 182 NOTICE of Withdrawal of Appearance of John P. Coffey. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
October 13, 2009 Opinion or Order Filing 181 DECLARATION of DAVID R. STICKNEY in Support re: (188 in 1:09-md-02017-LAK, 179 in 1:08-cv-05523-LAK) MOTION FOR LIMITED RELIEF FROM THE PSLRA DISCOVERY STAY.. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Exhibit A - J, #2 Exhibit K - V)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
October 13, 2009 Opinion or Order Filing 180 MEMORANDUM OF LAW in Support re: (188 in 1:09-md-02017-LAK, 179 in 1:08-cv-05523-LAK) MOTION FOR LIMITED RELIEF FROM THE PSLRA DISCOVERY STAY.. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
October 13, 2009 Opinion or Order Filing 179 MOTION FOR LIMITED RELIEF FROM THE PSLRA DISCOVERY STAY. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Stickney, David)
September 17, 2009 Opinion or Order Filing 178 NOTICE OF APPEARANCE by Imtiaz A. Siddiqui on behalf of Zenith Insurance Co., The San Mateo County Investment Pool, Lou Solton, City of Auburn, City of Burbank, City of San Buenaventura, Contra Costa Water District, Vallejo Sanitation & Flood Control District Filed In Associated Cases: 1:09-md-02017-LAK et al.(Siddiqui, Imtiaz)
September 10, 2009 Opinion or Order Filing 177 NOTICE OF CHANGE OF ADDRESS by Nichole Browning on behalf of Pension Fund Group. New Address: Barroway Topaz Kessler Meltzer & Check, LLP, 580 California Street, Suite 1750, San Francisco, CA, US 94104, 415-400-3000. (Attachments: #1 Certificate of Service)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Browning, Nichole)
August 7, 2009 Opinion or Order Filing 176 NOTICE OF APPEARANCE by Stephen Douglas Bunch on behalf of Boilermakers-Blacksmith National Pension Trust, New Jersey Carpenters Health Fund(On Behalf of Itself and All Others Similarly Situated), Local 302 and 612 - Int'l Union of Operating Engineers, Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust, New Jersey Carpenters Health Fund, New Jersey Carpenters Health Fund(on behalf of itself and all others similarly situated) Filed In Associated Cases: 1:09-md-02017-LAK et al.(Bunch, Stephen)
August 5, 2009 Opinion or Order Filing 175 CERTIFICATE OF SERVICE of Richard V. Conza re (167) and (169) on July 31, 2009. Service was made by Federal Express. Document filed by RBS Securities Inc., Calyon Securities USA Inc, Edward D. Jones & Co., L.P., Caja de Ahorros y Monte de Piedad de Madrid, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Cabrera Capital Markets LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Scotia Capital (USA) Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., TD Securities (USA) LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P.. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
July 31, 2009 Opinion or Order Filing 174 JOINT REPLY MEMORANDUM OF LAW in Support re: (94 in 1:09-md-02017-LAK, 138 in 1:08-cv-05523-LAK) JOINT MOTION to Dismiss the Exchange Act Claims of the Second Amended Consolidated Class Action Complaint.. Document filed by Ian Lowitt, Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Chepiga, Michael)
July 31, 2009 Opinion or Order Filing 173 DECLARATION of /Supplemental Declaration of Victor L. Hou, dated July 31, 2009 (with Exhibit A) in Support re: (135 in 1:08-cv-05523-LAK, 91 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, HVB Capital Markets, Inc., Edward D. Jones & Co., L.P., Incapital LLC, UBS Financial Services Inc., Calyon Securities USA Inc, Richard S. Fuld, Jr, Christopher M. O'Meara, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, BMO Capital Markets Corp., HSBC Securities (USA) Inc., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Scotia Capital (USA) Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., TD Securities (USA) LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Sir Christopher Gent. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
July 31, 2009 Opinion or Order Filing 172 REPLY MEMORANDUM OF LAW in Support re: (135 in 1:08-cv-05523-LAK, 91 in 1:09-md-02017-LAK) MOTION to Dismiss. /Defendants' Joint Reply Memorandum of Law in Further Support of Their Motion to Dismiss Plaintiffs' Securities Act Claims, dated July 31, 2009. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ABN AMRO Holding N.V., Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, HVB Capital Markets, Inc., Edward D. Jones & Co., L.P., HSBC Securities (USA) Inc., Incapital LLC, Scotia Capital (USA) Inc., TD Securities (USA) LLC, UBS Financial Services Inc., Calyon Securities USA Inc, Richard S. Fuld, Jr, Christopher M. O'Meara, ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, BMO Capital Markets Corp., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Sir Christopher Gent. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
July 29, 2009 Opinion or Order Filing 171 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Mitchell A. Lowenthal dated 7/28/09 re: We write on behalf of all Defendants to request permission to file reply briefs in support of Defendants' previously filed motions to dismiss that exceed the page limit ordinarily permitted by Your Honor's rules. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 7/29/09) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
June 30, 2009 Opinion or Order Filing 170 NOTICE of UPDATED CERTIFICATION OF NAMED PLAINTIFF RICK FLEISCHMAN re: (168 in 1:08-cv-05523-LAK, 161 in 1:09-md-02017-LAK) Declaration in Opposition to Motion,,,. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Coffey, John)
June 29, 2009 Opinion or Order Filing 169 MEMORANDUM OF LAW in Opposition re: (94 in 1:09-md-02017-LAK, 138 in 1:08-cv-05523-LAK) JOINT MOTION to Dismiss the Exchange Act Claims of the Second Amended Consolidated Class Action Complaint. LEAD PLAINTIFFS' OPPOSITION TO MOTION TO DISMISS THE EXCHANGE ACT CLAIMS. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Coffey, John)
June 29, 2009 Opinion or Order Filing 168 DECLARATION of DAVID KESSLER IN SUPPORT OF LEAD PLAINTIFFS' OPPOSITION TO DEFENDANTS' MOTION TO DISMISS THE SECURITIES ACT CLAIMS in Opposition re: (135 in 1:08-cv-05523-LAK, 91 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D [Part 1 of 3], #5 Exhibit D [Part 2 of 3], #6 Exhibit D [Part 3 of 3], #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Coffey, John)
June 29, 2009 Opinion or Order Filing 167 MEMORANDUM OF LAW in Opposition re: (135 in 1:08-cv-05523-LAK, 91 in 1:09-md-02017-LAK) MOTION to Dismiss. LEAD PLAINTIFFS' OPPOSITION TO DEFENDANTS' MOTION TO DISMISS THE SECURITIES ACT CLAIMS. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Coffey, John)
June 25, 2009 Opinion or Order Filing 166 AFFIDAVIT OF SERVICE. Daiwa Securities SMBC Europe Limited served on 6/2/2009, answer due 6/22/2009. Service was accepted by Roger Massey. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kehoe, John)
June 24, 2009 Opinion or Order Filing 165 MEMO ENDORSED in case 1:08-cv-05523-LAK; granting (149) Motion for Steven J. Toll to Appear Pro Hac Vice in case 1:09-md-02017-LAK. (Signed by Judge Lewis A. Kaplan on 6/24/09) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
June 24, 2009 Opinion or Order Filing 164 MEMO ENDORSED in case 1:08-cv-05523-LAK; granting (148) Motion for Avi S. Grabow to Appear Pro Hac Vice in case 1:09-md-02017-LAK. (Signed by Judge Lewis A. Kaplan on 6/24/09) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
June 24, 2009 Opinion or Order Transmission to Attorney Admissions Clerk. Transmitted re: (27 in 1:09-cv-03468-LAK, 43 in 1:09-cv-01238-LAK, 33 in 1:09-cv-01946-LAK, 67 in 1:08-cv-09578-LAK, 29 in 1:09-cv-03475-LAK, 34 in 1:09-cv-01231-LAK, 24 in 1:09-cv-03478-LAK, 29 in 1:09-cv-03476-LAK, 26 in 1:09-cv-01943-LAK, 59 in 1:08-cv-10058-LAK, 55 in 1:08-cv-10206-LAK, 34 in 1:09-cv-01232-LAK, 154 in 1:09-md-02017-LAK, 42 in 1:09-cv-01239-LAK, 55 in 1:08-cv-09793-LAK, 106 in 1:08-cv-05598-LAK, 32 in 1:09-cv-01240-LAK, 29 in 1:09-cv-03474-LAK, 83 in 1:08-cv-06762-LAK, 27 in 1:09-cv-03480-LAK, 36 in 1:08-cv-10686-LAK, 33 in 1:09-cv-01237-LAK, 112 in 1:08-cv-08225-LAK, 47 in 1:08-cv-10008-LAK, 165 in 1:08-cv-05523-LAK, 35 in 1:09-cv-01235-LAK, 36 in 1:09-cv-01944-LAK, 34 in 1:09-cv-02363-LAK, 68 in 1:08-cv-09404-LAK, 34 in 1:09-cv-01230-LAK, 27 in 1:09-cv-03467-LAK, 32 in 1:09-cv-01236-LAK) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
June 24, 2009 Opinion or Order Transmission to Attorney Admissions Clerk. Transmitted re: (31 in 1:09-cv-01240-LAK, 42 in 1:09-cv-01238-LAK, 35 in 1:08-cv-10686-LAK, 35 in 1:09-cv-01944-LAK, 153 in 1:09-md-02017-LAK, 32 in 1:09-cv-01946-LAK, 23 in 1:09-cv-03478-LAK, 82 in 1:08-cv-06762-LAK, 25 in 1:09-cv-01943-LAK, 33 in 1:09-cv-01231-LAK, 28 in 1:09-cv-03475-LAK, 67 in 1:08-cv-09404-LAK, 33 in 1:09-cv-01230-LAK, 26 in 1:09-cv-03480-LAK, 58 in 1:08-cv-10058-LAK, 66 in 1:08-cv-09578-LAK, 54 in 1:08-cv-09793-LAK, 33 in 1:09-cv-02363-LAK, 34 in 1:09-cv-01235-LAK, 28 in 1:09-cv-03474-LAK, 28 in 1:09-cv-03476-LAK, 111 in 1:08-cv-08225-LAK, 32 in 1:09-cv-01237-LAK, 54 in 1:08-cv-10206-LAK, 31 in 1:09-cv-01236-LAK, 105 in 1:08-cv-05598-LAK, 26 in 1:09-cv-03468-LAK, 46 in 1:08-cv-10008-LAK, 26 in 1:09-cv-03467-LAK, 41 in 1:09-cv-01239-LAK, 33 in 1:09-cv-01232-LAK, 164 in 1:08-cv-05523-LAK) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
June 24, 2009 Opinion or Order Filing 163 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Incapital Holdings LLC as Corporate Parent. Document filed by Incapital LLC.Associated Cases: 1:09-md-02017-LAK et al.(Boyd, David)
June 23, 2009 Opinion or Order Filing 162 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU (Rule 7.1 Statement) - MOTION for Disclosure Rule 7.1 Disclosure Statement of Defendant Incapital LLC. Document filed by Incapital LLC.Filed In Associated Cases: 1:09-md-02017-LAK et al.(Boyd, David) Modified on 6/25/2009 (jar). Modified on 6/25/2009 (jar).
June 8, 2009 Opinion or Order Filing 161 CERTIFICATE OF SERVICE of (140) on June 5, 2009. Service was made by First Class Mail. Document filed by Daiwa Securities SMBC Europe Limited. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kotler, Meredith)
June 5, 2009 Opinion or Order Filing 160 JOINDER to join re: (93 in 1:09-md-02017-LAK) Memorandum of Law in Support of Motion,,,,,,,, (91 in 1:09-md-02017-LAK) MOTION to Dismiss /Notice of Motion by Defendants to Dismiss Plaintiffs' Securities Act Claims, dated April 27, 2009., (92 in 1:09-md-02017-LAK) Declaration in Support of Motion,,,,,,,,,,,, /Defendant Daiwa Securities SMBC Europe Limited's Joinder in the Motion to Dismiss Plaintiffs' Securities Act Claims, dated June 5, 2009. Document filed by Daiwa Securities SMBC Europe Limited.Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Kotler, Meredith)
June 2, 2009 Opinion or Order Filing 159 NOTICE of Substitution of Attorney. Old Attorney: Steven J. Toll, New Attorney: Mark S. Willis, Address: Spector Roseman Kodroff & Willis, P.C., 1101 Pennsylvania Ave. N.W., Suite 600, Washington, DC, USA 20004, (202) 756-3600. Document filed by Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters. (Attachments: #1 Declaration Pursuant to Local Civil Rule 1.4)(Torell, Catherine)
May 27, 2009 Opinion or Order Filing 158 NOTICE OF CHANGE OF ADDRESS by Christopher Lometti on behalf of Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust. New Address: Cohen Milstein Sellers & Toll PLLC, 150 East 52nd, 30th Floor, New York, New York, USA 10022, 212-838-7797. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Lometti, Christopher)
May 26, 2009 Opinion or Order Filing 157 NOTICE OF CHANGE OF ADDRESS by Kenneth Mark Rehns on behalf of Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust. New Address: Cohen Milstein Sellers & Toll PLLC, 150 East 52nd Street, 30th Floor, New York, New York, USA 10022, 212-838-7797. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Kenneth)
May 21, 2009 Opinion or Order Filing 156 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by Ernst & Young LLP.Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Wine, Jamie)
May 21, 2009 Opinion or Order Filing 155 NOTICE OF CHANGE OF ADDRESS by Daniel Brett Rehns on behalf of Lehman Brothers, Inc.. New Address: Cohen Milstein Sellers & Toll PLLC, 150 East 52nd Street, 30th Floor, New York, New York, US 10022, 212-838-7797. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Daniel)
May 8, 2009 Opinion or Order Filing 154 DECLARATION of Christopher Lometti in Support re: (15 in 1:09-cv-03480-LAK, 152 in 1:08-cv-05523-LAK) MOTION to Appoint Counsel.. Document filed by Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust. (Attachments: #1 Exhibit Ex. A - CMST Resume)Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Daniel)
May 8, 2009 Opinion or Order Filing 153 MEMORANDUM OF LAW in Support re: (50 in 1:08-cv-10058-LAK, 20 in 1:09-cv-03474-LAK, 15 in 1:09-cv-03480-LAK, 59 in 1:08-cv-09404-LAK, 94 in 1:08-cv-05598-LAK, 123 in 1:09-md-02017-LAK, 72 in 1:08-cv-06762-LAK, 34 in 1:09-cv-01238-LAK, 20 in 1:09-cv-03476-LAK, 26 in 1:09-cv-01235-LAK, 20 in 1:09-cv-02363-LAK, 17 in 1:09-cv-01943-LAK, 15 in 1:09-cv-03467-LAK, 103 in 1:08-cv-08225-LAK, 38 in 1:08-cv-10008-LAK, 46 in 1:08-cv-09793-LAK, 33 in 1:09-cv-01239-LAK, 23 in 1:09-cv-01236-LAK, 25 in 1:09-cv-01232-LAK, 46 in 1:08-cv-10206-LAK, 27 in 1:09-cv-01944-LAK, 25 in 1:09-cv-01231-LAK, 152 in 1:08-cv-05523-LAK, 21 in 1:09-cv-01946-LAK, 58 in 1:08-cv-09578-LAK, 15 in 1:09-cv-03468-LAK, 24 in 1:09-cv-01237-LAK, 14 in 1:09-cv-03478-LAK, 25 in 1:09-cv-01230-LAK, 27 in 1:08-cv-10686-LAK, 20 in 1:09-cv-03475-LAK, 23 in 1:09-cv-01240-LAK) MOTION to Appoint Counsel. Cohen Milstein Sellers & Toll PLLC. Document filed by Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Daniel)
May 8, 2009 Opinion or Order Filing 152 MOTION to Appoint Counsel Cohen Milstein Sellers & Toll PLLC. Document filed by Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust.Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Daniel)
May 8, 2009 Opinion or Order Filing 151 NOTICE of Substitution of Attorney. Old Attorney: Schoengold Sporn Laitman & Lometti, P.C., New Attorney: Christopher Lometti, Daniel Rehns, Joel Laitman, Address: Cohen Milstein Sellers & Toll PLLC, 150 East 52nd Street, 30th Floor, New York, New York, USA 10022, 212-838-7797. Document filed by Locals 302 & 612 of the International Union of Operating Engineers - Employers Construction Industry Retirement Trust. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Rehns, Daniel)
May 5, 2009 Opinion or Order Filing 150 NOTICE OF APPEARANCE by David R. Boyd on behalf of Incapital LLC Filed In Associated Cases: 1:09-md-02017-LAK et al.(Boyd, David)
May 4, 2009 Opinion or Order Filing 149 MEMO ENDORSED granting (146) Motion for David R. Boyd to Appear Pro Hac Vice in case for Consolidated Defendant Incapital. 1:08-cv-05523-LAK; granting (89) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-05598-LAK; granting (67) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-06762-LAK; granting (98) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-08225-LAK; granting (54) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-09404-LAK; granting (53) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-09578-LAK; granting (41) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-09793-LAK; granting (33) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-10008-LAK; granting (45) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-10058-LAK; granting (41) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-10206-LAK; granting (22) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:08-cv-10686-LAK; granting (117) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-md-02017-LAK; granting (18) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01236-LAK; granting (20) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01231-LAK; granting (19) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01237-LAK; granting (20) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01232-LAK; granting (29) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01238-LAK; granting (18) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01240-LAK; granting (21) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01235-LAK; granting (20) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01230-LAK; granting (28) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01239-LAK; granting (22) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01944-LAK; granting (16) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01946-LAK; granting (12) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-01943-LAK; granting (15) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-02363-LAK; granting (10) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-03468-LAK; granting (10) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-03467-LAK; granting (15) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-03474-LAK; granting (14) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-03475-LAK; granting (15) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-03476-LAK; granting (9) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-03478-LAK; granting (10) Motion for David R. Boyd to Appear Pro Hac Vice in case 1:09-cv-03480-LAK. (Signed by Judge Lewis A. Kaplan on 5/1/2009) Filed In Associated Cases: 1:09-md-02017-LAK et al.(jmi)
April 30, 2009 Opinion or Order Filing 148 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL. It is Hereby Stipulated and Agreed, by and between the undersigned that Cleary Gottlieb Steen & Hamilton LLP is hereby substituted for Cahill Gordon & Reindel LLP as counsel of record for defendant Edward D. Jones & Co., L.P. in the above-captioned action. Cleary Gottlieb Steen & Hamilton LLP requests that a copy of all papers henceforth served in this action be served upon Mitchell A. Lowenthal, a member of the firm. at the firm's offices at One Liberty P1aza, New York, New York 10006. A supporting declaration is attached hereto pursuant to Local Civil Rule 1.4. This substitution does not waive or otherwise impair any defenses that defendant Edward D. Jones & Co., L.P. may have available to it. This written stipulation may be executed in counterparts. (Signed by Judge Lewis A. Kaplan on 4/29/09) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm) (Additional attachment(s) added on 5/11/2009: #2 Declaration) (ae).
April 29, 2009 Opinion or Order Filing 147 NOTICE OF CHANGE OF ADDRESS by Jonathan Philip Krisbergh on behalf of Incapital LLC. New Address: Boies, Schiller & Flexner LLP, 575 Lexington Avenue, 7th Floor, New York, New York, 10022, 212-446-2300. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Krisbergh, Jonathan)
April 28, 2009 Opinion or Order Filing 146 MOTION for David R. Boyd to Appear Pro Hac Vice. Document filed by Incapital LLC.Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
April 27, 2009 Opinion or Order Filing 145 DECLARATION of Michael J. Chepiga in Support re: (138 in 1:08-cv-05523-LAK) MOTION to Dismiss.. Document filed by Ian Lowitt, Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan. (Attachments: #1 Exhibit 1, #2 Exhibit 2 (Part 1 of 2), #3 Exhibit 2 (Part 2 of 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 (Part 1 of 16), #32 Exhibit 30 (Part 2 of 16), #33 Exhibit 30 (Part 3 of 16), #34 Exhibit 30 (Part 4 of 16), #35 Exhibit 30 (Part 5 of 16), #36 Exhibit 30 (Part 6 of 16), #37 Exhibit 30 (Part 7 of 16), #38 Exhibit 30 (Part 8 of 16), #39 Exhibit 30 (Part 9 of 16), #40 Exhibit 30 (Part 10 of 16), #41 Exhibit 30 (Part 11 of 16), #42 Exhibit 30 (Part 12 of 16), #43 Exhibit 30 (Part 13 of 16), #44 Exhibit 30 (Part 14 of 16), #45 Exhibit 30 (Part 15 of 16), #46 Exhibit 30 (Part 16 of 16), #47 Exhibit 31, #48 Exhibit 32, #49 Exhibit 33, #50 Exhibit 34, #51 Exhibit 35, #52 Exhibit 36, #53 Exhibit 37, #54 Exhibit 38, #55 Exhibit 39, #56 Exhibit 40, #57 Exhibit 41, #58 Exhibit 42, #59 Exhibit 43, #60 Exhibit 44 (Part 1 of 2), #61 Exhibit 44 (Part 2 of 2), #62 Exhibit 45, #63 Exhibit 46, #64 Exhibit 47, #65 Exhibit 48 (Part 1 of 4), #66 Exhibit 48 (Part 2 of 4), #67 Exhibit 48 (Part 3 of 4), #68 Exhibit 48 (Part 4 of 4), #69 Exhibit 49 (Part 1 of 3), #70 Exhibit 49 (Part 2 of 3), #71 Exhibit 49 (Part 3 of 3), #72 Exhibit 50, #73 Exhibit 51, #74 Exhibit 52 (Part 1 of 7), #75 Exhibit 52 (Part 2 of 7), #76 Exhibit 52 (Part 3 of 7), #77 Exhibit 52 (Part 4 of 7), #78 Exhibit 52 (Part 5 of 7), #79 Exhibit 52 (Part 6 of 7), #80 Exhibit 52 (Part 7 of 7), #81 Exhibit 53, #82 Exhibit 54 (Part 1 of 2), #83 Exhibit 54 (Part 2 of 2), #84 Exhibit 55, #85 Exhibit 56, #86 Exhibit 57, #87 Exhibit 58, #88 Exhibit 59, #89 Exhibit 60, #90 Exhibit 61, #91 Exhibit 62, #92 Exhibit 63 (Part 1 of 2), #93 Exhibit 63 (Part 2 of 2), #94 Exhibit 64, #95 Exhibit 65, #96 Exhibit 66, #97 Exhibit 67, #98 Exhibit 68, #99 Exhibit 69, #100 Exhibit 70, #101 Exhibit 71, #102 Exhibit 72 (Part 1 of 8), #103 Exhibit 72 (Part 2 of 8), #104 Exhibit 72 (Part 3 of 8), #105 Exhibit 72 (Part 4 of 8), #106 Exhibit 72 (Part 5 of 8), #107 Exhibit 72 (Part 6 of 8), #108 Exhibit 72 (Part 7 of 8), #109 Exhibit 72 (Part 8 of 8), #110 Exhibit 73, #111 Exhibit 74, #112 Exhibit 75, #113 Exhibit 76, #114 Exhibit 77)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Chepiga, Michael)
April 27, 2009 Opinion or Order Filing 144 MEMORANDUM OF LAW in Support re: (96 in 1:09-md-02017-LAK, 140 in 1:08-cv-05523-LAK) MOTION to Dismiss /Notice of Motion by Defendant Daiwa Securities SMBC Europe Limited to Dismiss the Second Consolidated Amended Complaint, dated April 27, 2009.. Document filed by Daiwa Securities SMBC Europe Limited. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 143 DECLARATION of Breon S. Peace, dated April 27, 2009 in Support re: (96 in 1:09-md-02017-LAK, 140 in 1:08-cv-05523-LAK) MOTION to Dismiss /Notice of Motion by Defendant Daiwa Securities SMBC Europe Limited to Dismiss the Second Consolidated Amended Complaint, dated April 27, 2009.. Document filed by Daiwa Securities SMBC Europe Limited. (Attachments: #1 Exhibit 1, #2 Exhibit 2)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 142 DECLARATION of Joshua Goodman, dated April 24, 2009 in Support re: (96 in 1:09-md-02017-LAK, 140 in 1:08-cv-05523-LAK) MOTION to Dismiss /Notice of Motion by Defendant Daiwa Securities SMBC Europe Limited to Dismiss the Second Consolidated Amended Complaint, dated April 27, 2009.. Document filed by Daiwa Securities SMBC Europe Limited. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 141 DECLARATION of Roger Massey, dated April 24, 2009 in Support re: (96 in 1:09-md-02017-LAK, 140 in 1:08-cv-05523-LAK) MOTION to Dismiss /Notice of Motion by Defendant Daiwa Securities SMBC Europe Limited to Dismiss the Second Consolidated Amended Complaint, dated April 27, 2009.. Document filed by Daiwa Securities SMBC Europe Limited. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 140 MOTION to Dismiss /Notice of Motion by Defendant Daiwa Securities SMBC Europe Limited to Dismiss the Second Consolidated Amended Complaint, dated April 27, 2009. Document filed by Daiwa Securities SMBC Europe Limited.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 139 JOINT MEMORANDUM OF LAW in Support re: (138 in 1:08-cv-05523-LAK) MOTION to Dismiss.. Document filed by Ian Lowitt, Richard S. Fuld, Jr, Christopher M. O'Meara, Erin Callan. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Chepiga, Michael)
April 27, 2009 Opinion or Order Filing 138 JOINT MOTION to Dismiss the Exchange Act Claims of the Second Amended Consolidated Class Action Complaint. Document filed by Ian Lowitt, Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Chepiga, Michael)
April 27, 2009 Opinion or Order Filing 137 JOINT MEMORANDUM OF LAW in Support re: (135 in 1:08-cv-05523-LAK, 91 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, HVB Capital Markets, Inc., Edward D. Jones & Co., L.P., HSBC Securities (USA) Inc., Incapital LLC, Scotia Capital (USA) Inc., UBS Financial Services Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, BMO Capital Markets Corp., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., TD Securities USA LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Calyon Securities USA Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Sir Christopher Gent. (Attachments: #1 Index of Schedules, #2 Schedule A, #3 Schedule B, #4 Schedule C, #5 Schedule D, #6 Schedule E)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 136 DECLARATION of Victor L. Hou, dated April 27, 2009 in Support re: (135 in 1:08-cv-05523-LAK, 91 in 1:09-md-02017-LAK) MOTION to Dismiss.. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, HVB Capital Markets, Inc., Edward D. Jones & Co., L.P., Incapital LLC, Scotia Capital (USA) Inc., TD Securities (USA) LLC, UBS Financial Services Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, BMO Capital Markets Corp., HSBC Securities USA Inc., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Calyon Securities USA Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Sir Christopher Gent. (Attachments: #1 Index of Exhibits, #2 Exhibit 1, #3 Exhibit 1 - Appendix A, #4 Exhibit 1 - Appendix B, #5 Exhibit 2, #6 Exhibit 3, #7 Exhibit 4, #8 Exhibit 5, #9 Exhibit 6, #10 Exhibit 7, #11 Exhibit 8, #12 Exhibit 9, #13 Exhibit 10, #14 Exhibit 11, #15 Exhibit 12, #16 Exhibit 13, #17 Exhibit 14, #18 Exhibit 15, #19 Exhibit 16, #20 Exhibit 17, #21 Exhibit 18, #22 Exhibit 19, #23 Exhibit 20, #24 Exhibit 21, #25 Exhibit 22, #26 Exhibit 23, #27 Exhibit 24, #28 Exhibit 25, #29 Exhibit 26, #30 Exhibit 27, #31 Exhibit 28, #32 Exhibit 29, #33 Exhibit 30, #34 Exhibit 31, #35 Exhibit 32, #36 Exhibit 33, #37 Exhibit 34, #38 Exhibit 35, #39 Exhibit 36, #40 Exhibit 37, #41 Exhibit 38, #42 Exhibit 39, #43 Exhibit 40, #44 Exhibit 41, #45 Exhibit 42, #46 Exhibit 43, #47 Exhibit 44, #48 Exhibit 45, #49 Exhibit 46, #50 Exhibit 47, #51 Exhibit 48, #52 Exhibit 49, #53 Exhibit 50, #54 Exhibit 51, #55 Exhibit 52, #56 Exhibit 53, #57 Exhibit 54, #58 Exhibit 55, #59 Exhibit 56, #60 Exhibit 57, #61 Exhibit 58, #62 Exhibit 59, #63 Exhibit 60)Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 135 MOTION to Dismiss /Notice of Motion by Defendants to Dismiss Plaintiffs' Securities Act Claims, dated April 27, 2009. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, HVB Capital Markets, Inc., Edward D. Jones & Co., L.P., HSBC Securities (USA) Inc., Incapital LLC, Scotia Capital (USA) Inc., TD Securities (USA) LLC, UBS Financial Services Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, BMO Capital Markets Corp., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Calyon Securities USA Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Sir Christopher Gent.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 134 FILING ERROR - DEFICIENT DOCKET ENTRY (See document #135) - MOTION to Dismiss /Notice of Motion by Defendants to Dismiss Plaintiffs' Securities Act Claims, dated April 27, 2009. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Banc of America Securities LLC, BBVA Securities Inc., Cabrera Capital Markets, LLC, CIBC World Markets Corp., Citigroup Global Markets Inc., DZ Financial Markets LLC, BNP Paribas S.A., Commerzbank Capital Markets Corp., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Incapital LLC, Ing Financial Markets LLC, Scotia Capital (USA) Inc., TD Securities (USA) LLC, UBS Financial Services Inc., BNY Mellon Capital Markets, LLC, BMO Capital Markets Corp, Richard S. Fuld, Jr, Christopher M. O'Meara, ABN AMRO Holding N.V., ANZ Securities, Inc., M.R. Beal & Company, Charles Schwab & Co., Inc., DnB NOR Markets Inc., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Calyon Securities USA Inc., Joseph M. Gregory, RBS Securities Inc., Erin Callan, Commerzbank Capital Markets Corp., Sir Christopher Gent.Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell) Modified on 4/29/2009 (jar).
April 27, 2009 Opinion or Order Filing 133 AMENDED RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by RBS Securities Inc..Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 132 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by Caja de Ahorros y Monte de Piedad de Madrid, Edward D. Jones & Co., L.P..Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 27, 2009 Opinion or Order Filing 131 NOTICE OF APPEARANCE by Mitchell A. Lowenthal on behalf of Caja de Ahorros y Monte de Piedad de Madrid, Edward D. Jones & Co., L.P. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
April 24, 2009 Opinion or Order Filing 130 PRETRIAL ORDER NO.9: Certain plaintiffs move to modify Pretrial Order NO.1 to permit them and their counsel to pursue as class claims certain claims that they have with respect to bonds of Lehman Brothers Holdings, Inc. ("Lehman"), that were issued before February 13, 2007, and to appoint J. Allen Carney to the Executive Committee in this proceeding. The movants' arguments are singularly unpersuasive. The motion [09 MD 2017 docket item 61] is denied in all respects, substantially for the reasons set forth in the memoranda submitted by Lead Plaintiffs and the individual defendants. I add only two points. First, movants' assertion that their claims with respect to bond offerings preceding February 13, 2007 "have, in effect, been abandoned" (Movants' mem. 1) would be true if, and only if, movants' counsel is conceding that they have abandoned those claims. As they of course concede no such thing, the assertion is flatly incorrect. Nothing in Pretrial Order No.1 forecloses prosecution of those claims. While I enjoy good rhetoric as much as the next person, what separates good from bad rhetoric often is a connection between words and reality that makes the words ring true. That connection is missing here. Second, there is no need at this point to deal with movants' contention that they need not have complied with the Private Securities Litigation Reform Act provisions relating to class actions because their cases were commenced in state courts. There will be sufficient reason to do so in the event they seek class certification with respect to their claims in relation to pre-February 13, 2007 bond offerings. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 4/24/2009) Filed In Associated Cases: 1:09-md-02017-LAK et al. (jmi)
April 22, 2009 Opinion or Order Filing 129 REPLY MEMORANDUM OF LAW in Support re: (9 in 1:09-cv-01237-LAK, 76 in 1:08-cv-05598-LAK, 43 in 1:08-cv-09578-LAK, 61 in 1:09-md-02017-LAK, 8 in 1:09-cv-01236-LAK, 2 in 1:09-cv-01943-LAK, 114 in 1:08-cv-05523-LAK, 12 in 1:08-cv-10686-LAK, 8 in 1:09-cv-01230-LAK, 44 in 1:08-cv-09404-LAK, 8 in 1:09-cv-01231-LAK, 31 in 1:08-cv-10206-LAK, 13 in 1:09-cv-01238-LAK, 12 in 1:09-cv-01239-LAK, 31 in 1:08-cv-09793-LAK, 8 in 1:09-cv-01232-LAK, 5 in 1:09-cv-02363-LAK, 6 in 1:09-cv-01946-LAK, 41 in 1:08-cv-06762-LAK, 6 in 1:09-cv-01944-LAK, 88 in 1:08-cv-08225-LAK, 35 in 1:08-cv-10058-LAK, 23 in 1:08-cv-10008-LAK, 9 in 1:09-cv-01235-LAK, 7 in 1:09-cv-01240-LAK) MOTION to Approve Modify Pre-Trial Order No.1 to Permit Plaintiffs to Prosecute Abandoned Bond Claims.. Document filed by Madeline Dimodica, Madeline Dimodica. (Attachments: #1 Exhibit Certifications)Filed In Associated Cases: 1:09-md-02017-LAK et al.(Jacobs, Roy)
April 17, 2009 Opinion or Order Filing 128 NOTICE OF APPEARANCE by Jonathan Philip Krisbergh on behalf of Incapital LLC Filed In Associated Cases: 1:09-md-02017-LAK et al.(Krisbergh, Jonathan)
April 17, 2009 Opinion or Order Filing 127 CERTIFICATE OF SERVICE of Lead Plaintiffs Memorandum in Response to Arkansas Plaintiffs Motion to Modify Pretrial Order No. 1; and Declaration of John A. Kehoe in Support thereof served on Robert W. Monfrini, American National. Service was made by First Class Mail. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Operating Engineers Local 3 Trust Fund, Alameda County Employees' Retirement Association, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Kehoe, John)
April 16, 2009 Opinion or Order Filing 125 DECLARATION of John A. Kehoe in Opposition re: (114 in 1:08-cv-05523-LAK, 12 in 1:08-cv-10686-LAK, 8 in 1:09-cv-01230-LAK, 44 in 1:08-cv-09404-LAK, 31 in 1:08-cv-10206-LAK, 12 in 1:09-cv-01239-LAK, 31 in 1:08-cv-09793-LAK, 5 in 1:09-cv-02363-UA, 41 in 1:08-cv-06762-LAK, 35 in 1:08-cv-10058-LAK, 7 in 1:09-cv-01240-LAK, 9 in 1:09-cv-01237-LAK, 76 in 1:08-cv-05598-LAK, 43 in 1:08-cv-09578-LAK, 61 in 1:09-md-02017-LAK, 8 in 1:09-cv-01236-LAK, 2 in 1:09-cv-01943-LAK, 8 in 1:09-cv-01231-LAK, 13 in 1:09-cv-01238-LAK, 8 in 1:09-cv-01232-LAK, 6 in 1:09-cv-01946-LAK, 6 in 1:09-cv-01944-LAK, 88 in 1:08-cv-08225-LAK, 23 in 1:08-cv-10008-LAK, 9 in 1:09-cv-01235-LAK) MOTION to Approve Modify Pre-Trial Order No.1 to Permit Plaintiffs to Prosecute Abandoned Bond Claims.. Document filed by Operating Engineers Local 3 Trust Fund. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)Filed In Associated Cases: 1:09-md-02017-LAK et al.(Kehoe, John)
April 16, 2009 Opinion or Order Filing 124 MEMORANDUM OF LAW in Opposition re: (9 in 1:09-cv-01237-LAK, 76 in 1:08-cv-05598-LAK, 43 in 1:08-cv-09578-LAK, 61 in 1:09-md-02017-LAK, 8 in 1:09-cv-01236-LAK, 2 in 1:09-cv-01943-LAK, 114 in 1:08-cv-05523-LAK, 12 in 1:08-cv-10686-LAK, 8 in 1:09-cv-01230-LAK, 44 in 1:08-cv-09404-LAK, 8 in 1:09-cv-01231-LAK, 31 in 1:08-cv-10206-LAK, 13 in 1:09-cv-01238-LAK, 12 in 1:09-cv-01239-LAK, 31 in 1:08-cv-09793-LAK, 8 in 1:09-cv-01232-LAK, 5 in 1:09-cv-02363-UA, 6 in 1:09-cv-01946-LAK, 41 in 1:08-cv-06762-LAK, 6 in 1:09-cv-01944-LAK, 88 in 1:08-cv-08225-LAK, 35 in 1:08-cv-10058-LAK, 23 in 1:08-cv-10008-LAK, 9 in 1:09-cv-01235-LAK, 7 in 1:09-cv-01240-LAK) MOTION to Approve Modify Pre-Trial Order No.1 to Permit Plaintiffs to Prosecute Abandoned Bond Claims.. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Kehoe, John)
April 13, 2009 Opinion or Order Filing 126 NOTICE OF APPEARANCE that the following attorneys appear as counsel on behalf of American National Insurance Company, American National Life Insurance Company of Texas, Comprehensive Investment Services, Inc., and The Moody Foundation in American National Insurance Company v. Fuld, 09-CY-2363 (LAK) which has been consolidated for all pretrial purposes under the caption In re Lehman Brothers Securities and ERISA Litigation, 09-MD-2017 (LAK). by Eric Joseph Kirkpatrick, Roni Sunderman Mihaly, Janet LaRene Wells Rushing, Andrew J. Mytelka on behalf of A.G. Edwards & Sons, Inc., American National Life Insurance Company of Texas, American National Insurance Company, The Moody Foundation Filed In Associated Cases: 1:09-md-02017-LAK et al.(jmi)
April 13, 2009 Opinion or Order Filing 123 MEMORANDUM OF LAW in Opposition re: (61 in 1:09-md-02017-LAK, 114 in 1:08-cv-05523-LAK, 8 in 1:09-cv-01230-LAK, 8 in 1:09-cv-01231-LAK, 8 in 1:09-cv-01232-LAK, 9 in 1:09-cv-01235-LAK) MOTION to Approve Modify Pre-Trial Order No.1 to Permit Plaintiffs to Prosecute Abandoned Bond Claims.. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Richard S. Fuld, Jr, Christopher M. O'Meara, A.G. Edwards & Sons, Inc., ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Cabrera Capital Markets LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, Fortis Securities, LLC, RBS Greenwich Capital, BMO Capital Markets Corp., HSBC Securities USA Inc., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Scotia Capital USA Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, Standard Chartered Bank, SunTrust Robinson Humphrey, Inc., TD Securities USA LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Zions Direct, Inc., Calyon Securities USA Inc., Sir Christopher Gent, Michael L. Ainsle, Christopher Gent, Sir, John D. Macomber, John F Akers. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Lowenthal, Mitchell)
April 13, 2009 Opinion or Order Filing 122 DECLARATION of Roger A. Cooper, dated April 13, 2009 in Opposition re: (114 in 1:08-cv-05523-LAK, 8 in 1:09-cv-01230-LAK, 61 in 1:09-md-02017-LAK, 8 in 1:09-cv-01231-LAK, 8 in 1:09-cv-01232-LAK, 9 in 1:09-cv-01235-LAK) MOTION to Approve Modify Pre-Trial Order No.1 to Permit Plaintiffs to Prosecute Abandoned Bond Claims.. Document filed by A.G. Edwards & Sons, Inc., ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., M.R. Beal & Company, BNP Paribas S.A., BNY Mellon Capital Markets, LLC, Cabrera Capital Markets LLC, Charles Schwab & Co., Inc., CIBC World Markets Corp., Citigroup Global Markets Inc., Commerzbank Capital Markets Corp., DnB NOR Markets Inc., DZ Financial Markets LLC, Fidelity Capital Markets Services, Fortis Securities, LLC, RBS Greenwich Capital, BMO Capital Markets Corp., HSBC Securities USA Inc., Ing Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., Muriel Siebert & Co., Inc., nabCapital Securities, LLC, National Australia Bank Limited, Natixis Bleichroeder Inc., Raymond James & Associates, Inc., RBC Capital Markets Corp., Santander Investment Securities Inc., Scotia Capital USA Inc., Siebert Capital Markets, SG Americas Securities LLC, Sovereign Securities Corporation LLC, Standard Chartered Bank, SunTrust Robinson Humphrey, Inc., TD Securities USA LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets LLC, Wachovia Securities, LLC, Wells Fargo Securities, LLC, The Williams Capital Group L.P., Zions Direct, Inc., Calyon Securities USA Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)Filed In Associated Cases: 1:09-md-02017-LAK et al.(Lowenthal, Mitchell)
April 10, 2009 Opinion or Order Filing 121 NOTICE of Withdrawal of Appearance of Eric M. Albert. Document filed by Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Christopher M. O'Meara, Joseph M. Gregory, Mark L. Zusy, Lana Franks, Edward Grieb, Kristine Smith, Richard McKinney, Samir Tabet, James J. Sullivan, Sir Christopher Gent. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:08-cv-06762-LAK(Chepiga, Michael)
April 10, 2009 Opinion or Order Filing 120 NOTICE OF APPEARANCE by Erika Hannelore Burk on behalf of Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, Christopher M. O'Meara, Joseph M. Gregory, Mark L. Zusy, Lana Franks, Edward Grieb, Kristine Smith, Richard McKinney, Samir Tabet, James J. Sullivan, Ronald Hernandez, Sir Christopher Gent Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK, 1:08-cv-06762-LAK(Burk, Erika)
April 6, 2009 Opinion or Order Set Deadlines/Hearings:Ian Lowitt answer due 4/27/2009; Michael L. Ainslie answer due 4/27/2009; John F. Akers answer due 4/27/2009; Roger S. Berlind answer due 4/27/2009; Thomas H. Cruikshank answer due 4/27/2009; Marsha Johnson Evans answer due 4/27/2009; Roland A. Hernandez answer due 4/27/2009; Henry Kaufman answer due 4/27/2009; John d. Macomber answer due 4/27/2009; ABN AMRO Holding N.V. answer due 4/27/2009; ANZ Securities, Inc. answer due 4/27/2009; Banc of America Securities LLC answer due 4/27/2009; BBVA Securities Inc. answer due 4/27/2009; Cabrera Capital Markets, LLC answer due 4/27/2009; Caja de Ahorros y Monte de Piedad de Madrid answer due 4/27/2009; CIBC World Markets Corp. answer due 4/27/2009; Citigroup Global Markets Inc. answer due 4/27/2009; Daiwa Securities SMBC Europe Limited answer due 4/27/2009; DZ Financial Markets LLC answer due 4/27/2009; RBS Greenwich Capital answer due 4/27/2009; Harris Nesbitt Corp. answer due 4/27/2009; HVB Capital Markets, Inc. answer due 4/27/2009; Loop Capital Markets, LLC answer due 4/27/2009; Mellon Financial Markets, LLC answer due 4/27/2009; Mizuho Securities USA, Inc. answer due 4/27/2009; Morgan Stanley & Co. Inc. answer due 4/27/2009; nabCapital Securities, LLC answer due 4/27/2009; RBC Dain Rauscher Inc. answer due 4/27/2009; Santander Investment Securities Inc. answer due 4/27/2009; Siebert Capital Markets answer due 4/27/2009; SG Corporate & Investment Banking answer due 4/27/2009; Sovereign Securities Corporation, LLC answer due 4/27/2009; SunTrust Robinson Humphrey, Inc. answer due 4/27/2009; UBS Securities LLC answer due 4/27/2009; Utendahl Capital Partners, L.P. answer due 4/27/2009; Wachovia Capital Markets, LLC answer due 4/27/2009; Wells Fargo Securities, LLC answer due 4/27/2009; William Capital Group, L.P. answer due 4/27/2009; Christopher M. O'Meara answer due 4/27/2009. (rjm)
April 6, 2009 Opinion or Order Filing 119 JOINT STIPULATION AND PROPOSED SCHEDULING ORDER. IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned counsel, as follows: Defendants shall respond to the Consolidated Amended Complaint on or before April 27, 2009. Lead Plaintiffs shall serve and file opposition papers to any motion to dismiss on or before June 29, 2009. Any reply papers shall be served and filed on or before July 31, 2009. Ian Lowitt answer due 4/27/2009; Michael L. Ainslie answer due 4/27/2009; John F. Akers answer due 4/27/2009; Roger S. Berlind answer due 4/27/2009; Thomas H. Cruikshank answer due 4/27/2009; Marsha Johnson Evans answer due 4/27/2009; Roland A. Hernandez answer due 4/27/2009; Henry Kaufman answer due 4/27/2009; John d. Macomber answer due 4/27/2009; ABN AMRO Holding N.V. answer due 4/27/2009; ANZ Securities, Inc. answer due 4/27/2009; Banc of America Securities LLC answer due 4/27/2009; BBVA Securities Inc. answer due 4/27/2009; Cabrera Capital Markets, LLC answer due 4/27/2009; Caja de Ahorros y Monte de Piedad de Madrid answer due 4/27/2009; CIBC World Markets Corp. answer due 4/27/2009; Citigroup Global Markets Inc. answer due 4/27/2009; Daiwa Securities SMBC Europe Limited answer due 4/27/2009; DZ Financial Markets LLC answer due 4/27/2009; RBS Greenwich Capital answer due 4/27/2009; Harris Nesbitt Corp. answer due 4/27/2009; HVB Capital Markets, Inc. answer due 4/27/2009; Loop Capital Markets, LLC answer due 4/27/2009; Mellon Financial Markets, LLC answer due 4/27/2009; Mizuho Securities USA, Inc. answer due 4/27/2009; Morgan Stanley & Co. Inc. answer due 4/27/2009; nabCapital Securities, LLC answer due 4/27/2009; RBC Dain Rauscher Inc. answer due 4/27/2009; Santander Investment Securities Inc. answer due 4/27/2009; Siebert Capital Markets answer due 4/27/2009; SG Corporate & Investment Banking answer due 4/27/2009; Sovereign Securities Corporation, LLC answer due 4/27/2009; SunTrust Robinson Humphrey, Inc. answer due 4/27/2009; UBS Securities LLC answer due 4/27/2009; Utendahl Capital Partners, L.P. answer due 4/27/2009; Wachovia Capital Markets, LLC answer due 4/27/2009; Wells Fargo Securities, LLC answer due 4/27/2009; William Capital Group, L.P. answer due 4/27/2009; Christopher M. O'Meara answer due 4/27/2009., Set Deadlines/Hearing as to (9 in 1:09-md-02017-LAK) JOINT MOTION to Dismiss the Consolidated Amended Complaint. :( Responses due by 6/29/2009, Replies due by 7/31/2009.) (Signed by Judge Lewis A. Kaplan on 4/6/09) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
April 6, 2009 Opinion or Order Filing 118 PRETRIAL ORDER NO. 7. By letter dated March 20, 2009, Mr. Trevor, counsel for plaintiffs in four actions removed from the California Superior Court and transferred to this Court, asks that he be appointed Liaison Counsel for the individual plaintiffs in the securities cases. That application is opposed by Mr. Molumphy, who points out the Mr. Trevor previously argued against the appointment of a single lawyer as Liaison Counsel for the individual plaintiffs and contends that if a single lawyer is to be appointed, it should be Mr. Molumphy. Neither Mr. Trevor nor Mr. Molumphy is likely to be reticent in advancing the interests of their own clients. Nor, I suspect, will the other counsel who represent plaintiffs who have brought their own actions. While it might well prove to be helpful if one or two lawyers would take the lead on behalf of the plaintiffs who have filed individual actions in presenting the views of such plaintiffs to Lead Counsel, I am confident that this will develop of its own accord. I therefore view the current contretemps as having more to do with titles that may be of use in other, unrelated litigations and other matters that are not of immediate concern. Accordingly, I decline these invitations. (Signed by Judge Lewis A. Kaplan on 4/6/09) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
April 6, 2009 Opinion or Order Filing 117 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Marshall R. King dated 4/2/09 re: Counsel for Defendant UBS Financial Services, Inc. write on behalf of all Defendants, with the consent of Lead Plaintiffs, to request permission to submit one brief of up to 75 pages (for the '34 Act claims), and one brief of up to 85 pages (for the '33 Act claims), in support of their motions. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 4/6/09) (tro)
April 2, 2009 Opinion or Order Filing 116 WAIVER OF SERVICE RETURNED EXECUTED. Ian Lowitt waiver sent on 3/26/2009, answer due 5/25/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 30, 2009 Opinion or Order Filing 115 MEMORANDUM OF LAW in Support re: (9 in 1:09-cv-01237-LAK, 76 in 1:08-cv-05598-LAK, 43 in 1:08-cv-09578-LAK, 61 in 1:09-md-02017-LAK, 8 in 1:09-cv-01236-LAK, 2 in 1:09-cv-01943-LAK, 114 in 1:08-cv-05523-LAK, 12 in 1:08-cv-10686-LAK, 8 in 1:09-cv-01230-LAK, 44 in 1:08-cv-09404-LAK, 8 in 1:09-cv-01231-LAK, 31 in 1:08-cv-10206-LAK, 13 in 1:09-cv-01238-LAK, 12 in 1:09-cv-01239-LAK, 31 in 1:08-cv-09793-LAK, 8 in 1:09-cv-01232-LAK, 5 in 1:09-cv-02363-UA, 6 in 1:09-cv-01946-LAK, 41 in 1:08-cv-06762-LAK, 6 in 1:09-cv-01944-LAK, 88 in 1:08-cv-08225-LAK, 35 in 1:08-cv-10058-LAK, 23 in 1:08-cv-10008-LAK, 9 in 1:09-cv-01235-LAK, 7 in 1:09-cv-01240-LAK) MOTION to Approve Modify Pre-Trial Order No.1 to Permit Plaintiffs to Prosecute Abandoned Bond Claims.. Document filed by Madeline Dimodica. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Jacobs, Roy)
March 30, 2009 Opinion or Order Filing 114 MOTION to Approve Modify Pre-Trial Order No.1 to Permit Plaintiffs to Prosecute Abandoned Bond Claims. Document filed by Madeline Dimodica.Filed In Associated Cases: 1:09-md-02017-LAK et al.(Jacobs, Roy)
March 30, 2009 Opinion or Order Filing 113 AFFIDAVIT OF SERVICE. SG Corporate & Investment Banking served on 3/27/2009, answer due 4/16/2009. Service was accepted by Daniel Hobbs, Managing Agent. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 30, 2009 Opinion or Order Filing 112 AFFIDAVIT OF SERVICE. Edward D. Jones & Co., L.P. served on 3/16/2009, answer due 4/6/2009. Service was accepted by Cheryl Wilkinson, Authorized Agent at Legal Department. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 30, 2009 Opinion or Order Filing 111 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by M.R. Beal & Company, BNP Paribas S.A., Ing Financial Markets LLC, Natixis Bleichroeder Inc..Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
March 30, 2009 Opinion or Order Filing 110 NOTICE OF APPEARANCE by Mitchell A. Lowenthal on behalf of M.R. Beal & Company, BNP Paribas S.A., Ing Financial Markets LLC, Natixis Bleichroeder Inc. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
March 23, 2009 Opinion or Order Filing 109 WAIVER OF SERVICE RETURNED EXECUTED. UBS Financial Services Inc. waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 23, 2009 Opinion or Order Filing 108 AFFIDAVIT OF SERVICE. BNP Paribas S.A. served on 3/13/2009, answer due 4/2/2009; Ing Financial Markets LLC served on 3/13/2009, answer due 4/2/2009; M.R. Beal & Company served on 3/13/2009, answer due 4/2/2009; Natixis Bleichroeder Inc. served on 3/13/2009, answer due 4/2/2009; Daiwa Securities SMBC Europe Limited served on 3/13/2009, answer due 4/2/2009; HVB Capital Markets, Inc. served on 3/13/2009, answer due 4/2/2009. Service was accepted by Rene Bennet, Managing Agent, BNP Paribas; Kathleen Gorman, ING Fin. Markets; Katrice Simon, Managing Agent, M.R. Beal & Co.; Cathleen M. Chevigny, Managing Agent, Natixis; "John Doe", Managing Agent, Daiwa; and Rich Cerick, Esq., Managing Agent, HVB Capital Markets. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 23, 2009 Opinion or Order Filing 107 AFFIDAVIT OF SERVICE. Incapital LLC served on 3/13/2009, answer due 4/2/2009; Raymond James & Associates, Inc. served on 3/13/2009, answer due 4/2/2009; Caja de Ahorros y Monte de Piedad de Madrid served on 3/13/2009, answer due 4/2/2009. Service was accepted by Cari Barrueco, Authorized Agent Incapital LLC; Lisa Diwa, Authorized Agent Raymond James & Assoc., Inc.; and Jose Culdo, Vice President, Caja de Ahorros. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 23, 2009 Opinion or Order Filing 106 MEMO ENDORSEMENT on NOTICE OF MOTION TO ADMIT COUNSEL PRO HAC VICE granting #97 Motion for David Kessler to Appear Pro Hac Vice, ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 3/23/09) (mme)
March 23, 2009 Opinion or Order Transmission to Attorney Admissions Clerk. Transmitted re: #106 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme)
March 20, 2009 Opinion or Order CASHIERS OFFICE REMARK on #97 Motion to Appear Pro Hac Vice, in the amount of $25.00, paid on 03/16/2009, Receipt Number 681391. (jd)
March 18, 2009 Opinion or Order Filing 105 WAIVER OF SERVICE RETURNED EXECUTED. Morgan Stanley & Co. Inc. waiver sent on 3/6/2009, answer due 5/5/2009; RBC Dain Rauscher Inc. waiver sent on 3/6/2009, answer due 5/5/2009; RBS Greenwich Capital waiver sent on 3/6/2009, answer due 5/5/2009; Santander Investment Securities Inc. waiver sent on 3/6/2009, answer due 5/5/2009; Siebert Capital Markets waiver sent on 3/6/2009, answer due 5/5/2009; Sovereign Securities Corporation, LLC waiver sent on 3/6/2009, answer due 5/5/2009; SunTrust Robinson Humphrey, Inc. waiver sent on 3/6/2009, answer due 5/5/2009; UBS Securities LLC waiver sent on 3/6/2009, answer due 5/5/2009; Utendahl Capital Partners, L.P. waiver sent on 3/6/2009, answer due 5/5/2009; Wachovia Capital Markets, LLC waiver sent on 3/6/2009, answer due 5/5/2009; Wells Fargo Securities, LLC waiver sent on 3/6/2009, answer due 5/5/2009; William Capital Group, L.P. waiver sent on 3/6/2009, answer due 5/5/2009; nabCapital Securities, LLC waiver sent on 3/6/2009, answer due 5/5/2009; Calyon Securities USA Inc waiver sent on 3/6/2009, answer due 5/5/2009; DnB NOR Markets Inc waiver sent on 3/6/2009, answer due 5/5/2009; National Australia Bank Limited waiver sent on 3/6/2009, answer due 5/5/2009; SG Americas Securities LLC waiver sent on 3/6/2009, answer due 5/5/2009; Wachovia Securities LLC waiver sent on 3/6/2009, answer due 5/5/2009; Charles Schwab & Co., Inc. waiver sent on 3/6/2009, answer due 5/5/2009; Commerzbank Capital Markets Corp. waiver sent on 3/6/2009, answer due 5/5/2009; Fidelity Capital Markets Services waiver sent on 3/6/2009, answer due 5/5/2009; HSBC Securities (USA) Inc. waiver sent on 3/6/2009, answer due 5/5/2009; Muriel Siebert & Co., Inc. waiver sent on 3/6/2009, answer due 5/5/2009; Scotia Capital (USA) Inc. waiver sent on 3/6/2009, answer due 5/5/2009; TD Securities (USA) LLC waiver sent on 3/6/2009, answer due 5/5/2009; CIBC World Markets Corp. waiver sent on 3/6/2009, answer due 5/5/2009; Citigroup Global Markets Inc. waiver sent on 3/6/2009, answer due 5/5/2009; DZ Financial Markets LLC waiver sent on 3/6/2009, answer due 5/5/2009; Harris Nesbitt Corp. waiver sent on 3/6/2009, answer due 5/5/2009; Loop Capital Markets, LLC waiver sent on 3/6/2009, answer due 5/5/2009; Mellon Financial Markets, LLC waiver sent on 3/6/2009, answer due 5/5/2009; Merrill Lynch, Pierce, Fenner & Smith, Inc. waiver sent on 3/6/2009, answer due 5/5/2009; Mizuho Securities USA, Inc. waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 18, 2009 Opinion or Order Filing 104 WAIVER OF SERVICE RETURNED EXECUTED. Cabrera Capital Markets, LLC waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 18, 2009 Opinion or Order Filing 103 WAIVER OF SERVICE RETURNED EXECUTED. BNY Mellon Capital Markets, LLC waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 18, 2009 Opinion or Order Filing 102 WAIVER OF SERVICE RETURNED EXECUTED. BBVA Securities Inc. waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 18, 2009 Opinion or Order Filing 101 WAIVER OF SERVICE RETURNED EXECUTED. Banc of America Securities LLC waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 18, 2009 Opinion or Order Filing 100 WAIVER OF SERVICE RETURNED EXECUTED. ANZ Securities, Inc. waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 18, 2009 Opinion or Order Filing 99 WAIVER OF SERVICE RETURNED EXECUTED. ABN AMRO Holding N.V. waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 18, 2009 Opinion or Order Filing 98 WAIVER OF SERVICE RETURNED EXECUTED. Christopher M. O'Meara waiver sent on 3/6/2009, answer due 5/5/2009; Michael L. Ainslie waiver sent on 3/6/2009, answer due 5/5/2009; John F. Akers waiver sent on 3/6/2009, answer due 5/5/2009; Roger S. Berlind waiver sent on 3/6/2009, answer due 5/5/2009; Thomas H. Cruikshank waiver sent on 3/6/2009, answer due 5/5/2009; Marsha Johnson Evans waiver sent on 3/6/2009, answer due 5/5/2009; Sir Christopher Gent waiver sent on 3/6/2009, answer due 5/5/2009; Roland A. Hernandez waiver sent on 3/6/2009, answer due 5/5/2009; Henry Kaufman waiver sent on 3/6/2009, answer due 5/5/2009; John d. Macomber waiver sent on 3/6/2009, answer due 5/5/2009. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee; Operating Engineers Local 3 Trust Fund; Alameda County Employees' Retirement Association; City of Edinburgh Council as Administering Authority of the Lothian Pension Fund; Government of Guam Retirement Fund. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Thorpe, David)
March 16, 2009 Opinion or Order Filing 97 MOTION for David Kessler to Appear Pro Hac Vice. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
March 16, 2009 Opinion or Order Filing 96 PRETRIAL ORDER NO. 6. The motion to consolidate [08 Civ. 5523 docket item 66] has been mooted by previous orders. The Clerk shall terminate the motion. (Signed by Judge Lewis A. Kaplan on 3/16/09) Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(rjm)
March 16, 2009 Opinion or Order Filing 95 NOTICE OF APPEARANCE by Michael Andrew Hanin on behalf of HVB Capital Markets, Inc. (Hanin, Michael)
March 16, 2009 Opinion or Order Filing 94 NOTICE OF APPEARANCE by Mark Paul Ressler on behalf of HVB Capital Markets, Inc. (Ressler, Mark)
March 12, 2009 Opinion or Order Filing 93 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Document filed by Morgan Stanley & Co. Inc., RBS Greenwich Capital, Santander Investment Securities Inc., Siebert Capital Markets, Sovereign Securities Corporation, LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, nabCapital Securities, LLC, BNY Mellon Capital Markets, LLC, Calyon Securities USA Inc, DnB NOR Markets Inc, BMO Capital Markets Corp, National Australia Bank Limited, RBC Capital Markets Corp., SG Americas Securities LLC, Wachovia Securities LLC, The Williams Capital Group LP, Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Muriel Siebert & Co., Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., TD Securities (USA) LLC, ABN AMRO Holding N.V., ANZ Securities, Inc., BBVA Securities Inc., Banc of America Securities LLC, CIBC World Markets Corp., Cabrera Capital Markets, LLC, Citigroup Global Markets Inc., DZ Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc..Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
March 5, 2009 Opinion or Order Filing 92 PRETRIAL ORDER NO. 5. The Court conducted a conference with counsel on March 2, 2009. The Court established the following schedules: 1. The movant(s) on each motion to remand that was or may be pending at the time of transfer in cases transferred to this Court on or before March 23, 2009 by that date shall inform the Court in writing whether the motion is withdrawn. Opposing papers on all remaining motions to remand shall be filed on or before April 13, 2009. Reply papers on all such motions shall be filed on or before April 20, 2009. 2. Motions to dismiss individual cases as distinguished from class actions are not to be filed until the disposition of motions to dismiss class actions. This Document Applies to: All Cases. (Signed by Judge Lewis A. Kaplan on 3/5/09) Filed In Associated Cases: 1:09-md-02017-LAK et al.(rjm)
March 4, 2009 Opinion or Order Filing 91 NOTICE OF APPEARANCE by Marshall Ross King on behalf of UBS Financial Services Inc. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(King, Marshall)
March 3, 2009 Opinion or Order ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney David R. Stickney for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document #89 Amended Complaint to: case_openings@nysd.uscourts.gov. (laq)
February 27, 2009 Opinion or Order Filing 90 NOTICE OF APPEARANCE by Mitchell A. Lowenthal on behalf of BNY Mellon Capital Markets, LLC, Calyon Securities USA Inc, DnB NOR Markets Inc, BMO Capital Markets Corp, National Australia Bank Limited, RBC Capital Markets Corp., SG Americas Securities LLC, Wachovia Securities LLC, The Williams Capital Group LP, Charles Schwab & Co., Inc., Commerzbank Capital Markets Corp., Fidelity Capital Markets Services, HSBC Securities (USA) Inc., Muriel Siebert & Co., Inc., Raymond James & Associates, Inc., Scotia Capital (USA) Inc., TD Securities (USA) LLC, Morgan Stanley & Co. Inc., RBS Greenwich Capital, Santander Investment Securities Inc., Siebert Capital Markets, Sovereign Securities Corporation, LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, nabCapital Securities, LLC, ABN AMRO Holding N.V., ANZ Securities, Inc., BBVA Securities Inc., Banc of America Securities LLC, CIBC World Markets Corp., Cabrera Capital Markets, LLC, Citigroup Global Markets Inc., DZ Financial Markets LLC, Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Inc., Mizuho Securities USA, Inc. Filed In Associated Cases: 1:09-md-02017-LAK, 1:08-cv-05523-LAK(Lowenthal, Mitchell)
February 27, 2009 Opinion or Order Filing 88 NOTICE of of Appearance of J. Allen Carney. Document filed by Madeline Dimodica. Filed In Associated Cases: 1:09-md-02017-LAK et al.(Jacobs, Roy)
February 25, 2009 Opinion or Order Filing 87 NOTICE OF APPEARANCE by Roy Laurence Jacobs on behalf of Madeline Dimodica Filed In Associated Cases: 1:09-md-02017-LAK et al.(Jacobs, Roy)
February 24, 2009 Opinion or Order Filing 86 BRIEF re: (15 in 1:08-cv-10008-LAK, 15 in 1:08-cv-10008-LAK, 80 in 1:08-cv-08225-LAK, 80 in 1:08-cv-08225-LAK, 36 in 1:08-cv-09404-LAK, 36 in 1:08-cv-09404-LAK, 5 in 1:08-cv-10686-LAK, 5 in 1:08-cv-10686-LAK, 62 in 1:08-cv-05598-LAK, 62 in 1:08-cv-05598-LAK, 27 in 1:08-cv-10058-LAK, 27 in 1:08-cv-10058-LAK, 26 in 1:08-cv-06762-LAK, 26 in 1:08-cv-06762-LAK, 24 in 1:08-cv-10206-LAK, 24 in 1:08-cv-10206-LAK, 35 in 1:08-cv-09578-LAK, 35 in 1:08-cv-09578-LAK, 21 in 1:08-cv-09793-LAK, 21 in 1:08-cv-09793-LAK, 6 in 1:09-md-02017-LAK, 6 in 1:09-md-02017-LAK) Order, Set Hearings,,,,,,,, Bonderholder Plaintiffs' Written Submission Pursuant to Pretrial Order No. 2 on behalf of Madeline Dimodica, Barbara Kattell, Henry Napierala, Linda Napierala, Michael Shipley and Guy S. Warden. Document filed by Madeline Dimodica.Associated Cases: 1:09-md-02017-LAK et al.(Jacobs, Roy)
February 24, 2009 Opinion or Order Filing 85 STATUS REPORT. City and County Plaintiffs' Status Conference Statement Document filed by Zenith Insurance Co., The San Mateo County Investment Pool.Associated Cases: 1:09-md-02017-LAK et al.(Molumphy, Mark)
February 23, 2009 Opinion or Order Filing 89 SECOND CONSOLIDATED CLASS ACTION AMENDED COMPLAINT amending #52 Amended Complaint, against Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., BNY Capital Markets, Inc., Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, CIBC World Markets Corp., Citigroup Global Markets Inc., Daiwa Securities SMBC Europe Limited, DnB NOR Markets, DZ Financial Markets LLC, RBS Greenwich Capital, Harris Nesbitt Corp., HVB Capital Markets, Inc., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., nabCapital Securities, LLC, RBC Dain Rauscher Inc., Santander Investment Securities Inc., Siebert Capital Markets, SG Corporate & Investment Banking, Sovereign Securities Corporation, LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, William Capital Group, L.P., Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan.Document filed by Rick Fleischman, Stephen Gott, Island Medical Group, Karim Kano, Michael Karfunkel, Marsha Kosseff, Ann Lee, Francisco Perez, Ronald Profili, Shea-Edwards Limited Partnership, Fred Telling, Grace Wang, Zahniser Trust, Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Brockton Contributory Retirement System, Belmont Holdings Corp., The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Related document: #52 Amended Complaint,,,,,,,, filed by American European Insurance Company, Government of Guam Retirement Fund, Marsha Kosseff, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, Teamsters Allied Benefit Funds, Alameda County Employees' Retirement Association, Police and Fire Retirement System of the City of Detroit, Operating Engineers Local 3 Trust Fund, Northern Ireland Local Governmental Officers Superannuation Committee, Fire & Police Pension Association of Colorado and Brockton Contributory Retirement System.(dle) (Additional attachment(s) added on 3/19/2009: #1 Exhibit, #2 Exhibit) (dle).
February 13, 2009 Opinion or Order Filing 83 PRETRIAL ORDER NO.3 In view of the decision of the Judicial Panel on Multidistrict Litigation transferring a number of actions to this Court, the CLERK SHALL CLOSE docket number 21 MC 0104 (LAK). The master docket number for all Lehman Brothers Securities and ERISA Litigation cases henceforth shall be 09 MD 2017. Pretrial Order No.1, filed January 9, 2009, in No. 08 Civ. 5523 (LAK)and other cases, shall apply to all cases in all respects: All papers shall be filed under the 09 MD 2017 docket number and in conformity with Pretrial Order No.1. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/11/2009) Filed In Associated Cases: 1:21-mc-00104-LAK et al.(jmi)
February 13, 2009 Opinion or Order CONSOLIDATED MDL CASE: Create association to 1:09-md-02017-LAK. (kkc)
February 10, 2009 Opinion or Order Filing 84 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 Lewis A. Kaplan, for coordinated or consolidated pretrial proceedings with the actions pending in that district... (Signed by MDL Panel on 2/9/2009) (laq)
February 9, 2009 Opinion or Order Filing 82 PRETRIAL ORDER NO.2., In view of the decision of the Judicial Panel on Multidistrict Ligitation transferring a number of actions to this Court for coordinated or consolidated pretrial proceedings (MDL No. 2017), the Court will conduct a conference on March 2, 2009 at 3:30 p.m. at which time it will consider the organization of this MDL. The Court at that time will consider, in addition to anything else that appears appropriate, the following: 1. The existence of, and any need for, further proceedings with respect to any motions filed in transferor courts but not yet resolved. 2. Scheduling. 3. Any issues with respect to the designations of lead plaintiffs and lead counsel. 4. Consolidation of actions for discovery purposes. Any written submissions with respect to the foregoing shall be filed no later than February 24, 2009. SO ORDERED. ( Pretrial Conference set for 3/2/2009 at 03:30 PM before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 2/9/2009) Filed In Associated Cases: 1:21-mc-00104-LAK et al.(jmi)
February 2, 2009 Opinion or Order Filing 81 NOTICE OF APPEARANCE by Catherine A. Torell on behalf of Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters Filed In Associated Cases: 1:21-mc-00104-LAK et al.(Torell, Catherine)
January 28, 2009 Opinion or Order Filing 80 LETTER addressed to Judge Lewis A. Kaplan from John P. Coffey dated 1/22/09 re: inform the Court that the members of the Plaintiffs' Executive Committee have selected John Coffey as chair of that Committee. Document filed by The Pension Fund Group.(dle)
January 27, 2009 Opinion or Order CASHIERS OFFICE REMARK on #79 Order on Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 1/6/09, Receipt Number 673977. (Quintero, Marcos)
January 12, 2009 Opinion or Order Filing 79 ORDER granting #77 Motion for Elizabeth P. Lin to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 1/12/09) (js)
January 12, 2009 Opinion or Order Transmission to Attorney Admissions Clerk. Transmitted re: #79 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (js)
January 9, 2009 Opinion or Order Filing 78 PRETRIAL ORDER NO. 1 (Initial Case Management Order)... The following actions are consolidated for all pretrial purposes with 08 Civ. 5523 (LAK): 08 Civ. 5523, 08 Civ. 8225, 08 Civ. 9404, 08 Civ. 9578, 08 Civ. 9793, 08 Civ. 10008, 08 Civ. 10058, and 08 Civ. 10206. They are referred to collectively as In re Lehman Brothers Equity/Debt Securities Litigation. The following actions are consolidated for all purposes into 08 Civ. 6762 (LAK), and the caption of that action is amended to be In re Lehman Brothers Mortgage-Backed Securities Litigation: 08 Civ. 6762 and 08 Civ. 10686. In re Lehman Brothers Equity/Debt Securities Litigation (08 Civ. 5523 (LAK)), In re Lehman Brothers Mortgage-Backed Securities Litigation (08 Civ. 6762) (LAK) and In re Lehman Brothers ERISA Litigation (08 Civ. 5598 (LAK)) are consolidated for discovery purposes. The Clerk will maintain a master docket and case file under the style In re Lehman Brothers Securities and ERISA Litigation to which he shall assign a file number in the "MD" series... There shall be a single consolidated amended complaint in each of In re Lehman Brothers Equity/Debt Securities Litigation and In re Lehman Brothers Mortgage-Backed Securities Litigation, each of which shall be served and filed no later than 45 days after the date hereof. Defendants thereafter shall answer, move or otherwise response thereto no later than 45 days later... This order resolves, and the clerk shall terminate, the following motions: (Case No. followed by Document Item(s): 08 Civ. 5523 9, 14, 17, 19, 22, 26; 08 Civ. 6762, 21; 08 Civ. 8225 40, 44, 47, 50, 60, 71; 08 Civ. 9404 14, 18, 21, 23, 26, 30; 08 Civ. 9578 9, 14, 17, 19, 22, 26; 08 Civ. 9793 16; 08 Civ. 10008 2, 8; 08 Civ. 10058 4, 8, 11, 13, 16, 20; 08 Civ. 10206 5, 9, 17... and as further set forth in said Pretrial Order No. 1. (Signed by Judge Lewis A. Kaplan on 1/9/09) Filed In Associated Cases: 1:21-mc-00104-LAK et al.(rjm)
January 9, 2009 Opinion or Order CONSOLIDATED MEMBER CASE: Create association to 1:21-mc-00104-LAK.. (rjm)
January 7, 2009 Opinion or Order Filing 76 CERTIFICATE OF SERVICE of Reply Memorandum Of Law In Further Support Of Lead Plaintiff's Motion For Consolidation Of Related Cases on 01/07/2009. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group. (Stickney, David)
January 7, 2009 Opinion or Order Filing 75 REPLY MEMORANDUM OF LAW in Support re: #66 MOTION to Consolidate Cases 08-cv-5523, 08-cv-8225, 08-cv-10008, 08-cv-10206.. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group. (Stickney, David)
January 6, 2009 Opinion or Order Filing 77 MOTION for Elizabeth P. Lin to Appear Pro Hac Vice. Document filed by Northern Ireland Local Governmental Officers Superannuation Committee, Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
January 6, 2009 Opinion or Order Filing 74 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Belmont Holdings Corp.. (Attachments: #1 Exhibit Certificate of Service)(Sabella, James)
January 2, 2009 Opinion or Order Filing 73 MEMORANDUM OF LAW in Opposition re: #66 MOTION to Consolidate Cases 08-cv-5523, 08-cv-8225, 08-cv-10008, 08-cv-10206.. Document filed by Belmont Holdings Corp.. (Attachments: #1 Exhibit Certificate of Service)(Sabella, James)
December 31, 2008 Opinion or Order Filing 72 MEMORANDUM OF LAW in Opposition re: #66 MOTION to Consolidate Cases 08-cv-5523, 08-cv-8225, 08-cv-10008, 08-cv-10206.. Document filed by Brooks Family Partnership, LLC, KGT Inc. Pension Plan and Trust. (Wallner, Robert)
December 23, 2008 Opinion or Order Filing 71 ORDER Simpson Thatcher's request to extend time to respond to the Operative Plasterers amended complaint is granted, sine die. The Court will hold a scheduling conference and hear argument on all pending motions in the above cited cases on January 8, 2009 at 2:30 pm. SO ORDERED. ( Scheduling Conference set for 1/8/2009 at 02:30 PM before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 12/23/2008) (jmi)
December 18, 2008 Opinion or Order Filing 70 CERTIFICATE OF SERVICE of Notice of Appearance of Marvin L. Frank and Eva Hromadkova as Counsel for Plaintiff Marsha Kosseff served on Brockton Contributory Retirement System on 12/18/2008. Service was made by Mail. Document filed by Marsha Kosseff. (Hromadkova, Eva)
December 17, 2008 Opinion or Order Filing 69 NOTICE OF APPEARANCE by Eva Hromadkova on behalf of Marsha Kosseff (Hromadkova, Eva)
December 17, 2008 Opinion or Order Filing 68 NOTICE OF APPEARANCE by Marvin Lawrence Frank on behalf of Marsha Kosseff (Frank, Marvin)
December 15, 2008 Opinion or Order Filing 67 MEMORANDUM OF LAW in Support re: #66 MOTION to Consolidate Cases 08-cv-5523, 08-cv-8225, 08-cv-10008, 08-cv-10206.. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group. (Attachments: #1 Appendix A)(Stickney, David)
December 15, 2008 Opinion or Order Filing 66 MOTION to Consolidate Cases 08-cv-5523, 08-cv-8225, 08-cv-10008, 08-cv-10206. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group.(Stickney, David)
December 8, 2008 Opinion or Order Filing 65 NOTICE OF APPEARANCE by Christopher Steven Jones on behalf of Operating Engineers Local 3 Trust Fund (Jones, Christopher)
November 18, 2008 Opinion or Order Filing 64 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Michael J. Chepiga dated 11/13/08 re: Counsel requests that the following schedule be approved: Defendants shall file and serve responsive pleadings(s) or motion(s) no later than January 23, 2009; If any defendant moves to dismiss the amended complaint, Lead Plaintiffs shall file and serve opposition briefs(s) no later than February 23, 2009; Defendant shall file and serve reply brief(s) no later than March 9, 2009. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 11/18/08) (mme)
November 17, 2008 Opinion or Order Filing 63 NOTICE of Firm Name Change. Document filed by The Pension Fund Group. (Kehoe, John)
November 14, 2008 Opinion or Order Filing 62 CERTIFICATE OF SERVICE of Notice of Appearance of Audrey Strauss and Israel David as Co-Counsel for Defendant Joseph M. Gregory served on Brockton Contributory Retirement System on 11/14/2008. Service was made by Mail. Document filed by Joseph M. Gregory. (David, Israel)
November 13, 2008 Opinion or Order Filing 61 NOTICE OF APPEARANCE by Israel David on behalf of Joseph M. Gregory (David, Israel)
November 13, 2008 Opinion or Order Filing 60 NOTICE OF APPEARANCE by Audrey Strauss on behalf of Joseph M. Gregory (Strauss, Audrey)
November 10, 2008 Opinion or Order Filing 59 NOTICE of Consent to Consolidation and Withdrawal of Motion for Appointment as Lead Plaintiff, and Concomitant Selection of Lead Counsel. Document filed by Fogel Capital Management, Inc.. (Attachments: #1 Certificate of Service)(Bruckner, Gustavo)
October 30, 2008 Opinion or Order Filing 58 MEMORANDUM OF LAW in Support re: #57 MOTION to Consolidate Cases 1:08-cv-5523, 1:08-cv-8225.. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group. (Attachments: #1 Text of Proposed Order)(Stickney, David)
October 30, 2008 Opinion or Order Filing 57 MOTION to Consolidate Cases 1:08-cv-5523, 1:08-cv-8225. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group.(Stickney, David)
October 29, 2008 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney David R. Stickney to RE-FILE Document #55 MOTION to Consolidate Cases 08-5523, 08-8225. Use the event type Memorandum of Law in Support of Motion found under the event list Replies, Opposition and Supporting Documents. (db)
October 29, 2008 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney David R. Stickney to RE-FILE Document #56 Declaration in Support of Motion. ERROR(S): Supporting Document must be attached to corrected Motion. (db)
October 29, 2008 Opinion or Order ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney David R. Stickney to RE-FILE Document #54 Notice (Other), Notice (Other). Use the event type Consolidate Cases found under the event list Motions. (db)
October 29, 2008 Opinion or Order Filing 56 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of David R. Stickney In Support Of The Pension Fund Group's Memorandum Of Law In Support Of Opposition To Fogel Capital Management's Motion For Appointment Of Separate Lead Plaintiff And Lead Counsel in Support re: #55 MOTION to Consolidate Cases 08-5523, 08-8225. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group. (Stickney, David) Modified on 10/30/2008 (db).
October 29, 2008 Opinion or Order Filing 55 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION to Consolidate Cases 08-5523, 08-8225. Document filed by Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Brockton Contributory Retirement System, The Pension Fund Group. (Attachments: #1 Text of Proposed Order)(Stickney, David) Modified on 10/30/2008 (db).
October 29, 2008 Opinion or Order Filing 54 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - NOTICE of Lead Plaintiff's Motion For Consolidation Of Related Actions. Document filed by Brockton Contributory Retirement System, Police and Fire Retirement System of the City of Detroit, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, The Pension Fund Group. (Stickney, David) Modified on 10/30/2008 (db).
October 29, 2008 Opinion or Order Filing 53 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL It is hereby stipulated and agreed that the law firm of Allen & Overy LLP, 1221 Avenue of Americas, New York, New York, 10020, be substituted as counsel of record for defendant Richard S. Fuld, Jr., in place of the law firm Simpson Thacher & Bartlet LLP, 425 Lexington Avenue, NY 10017. (Signed by Judge Lewis A. Kaplan on 10/29/08) (mme)
October 27, 2008 Opinion or Order Filing 52 AMENDED CLASS ACTION COMPLAINT amending #1 Complaint, against Ian Lowitt, Michael L. Ainslie, John F. Akers, Roger S. Berlind, Thomas H. Cruikshank, Marsha Johnson Evans, Christopher Gent, Roland A. Hernandez, Henry Kaufman, John d. Macomber, ABN AMRO Holding N.V., ANZ Securities, Inc., Banc of America Securities LLC, BBVA Securities Inc., BNY Capital Markets, Inc., Cabrera Capital Markets, LLC, Caja de Ahorros y Monte de Piedad de Madrid, CIBC World Markets Corp., Citigroup Global Markets Inc., Daiwa Securities SMBC Europe Limited, DnB NOR Markets, DZ Financial Markets LLC, RBS Greenwich Capital, Harris Nesbitt Corp., HVB Capital Markets, Inc., Loop Capital Markets, LLC, Mellon Financial Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Inc., Mizuho Securities USA, Inc., Morgan Stanley & Co. Inc., nabCapital Securities, LLC, RBC Dain Rauscher Inc., Santander Investment Securities Inc., Siebert Capital Markets, SG Corporate & Investment Banking, Sovereign Securities Corporation, LLC, SunTrust Robinson Humphrey, Inc., UBS Securities LLC, Utendahl Capital Partners, L.P., Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, William Capital Group, L.P., Alameda County Employees' Retirement Association, Marsha Kosseff, Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan.Document filed by Alameda County Employees' Retirement Association, Government of Guam Retirement Fund, Operating Engineers Local 3 Trust Fund, Police and Fire Retirement System of the City of Detroit, Teamsters Allied Benefit Funds, American European Insurance Company, Inter-Local Pension Fund Graphic Communications Conference of the International Brotherhood of Teamsters, Marsha Kosseff, Northern Ireland Local Governmental Officers Superannuation Committee, Fire & Police Pension Association of Colorado and Brockton Contributory Retirement System, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund. Related document: #1 Complaint, filed by Operative Plasterers and Cement Masons International Association Local 262 Annuity Fund.(dle)
October 27, 2008 Opinion or Order Filing 51 NOTICE OF APPEARANCE by Robert M. Roseman on behalf of Northern Ireland Local Governmental Officers Superannuation Committee (Roseman, Robert)
October 24, 2008 Opinion or Order Filing 50 DECLARATION of Patricia M. Hynes in Support re: #49 MOTION to Substitute Attorney. Old Attorney: Simpson Thacher & Bartlett LLP, New Attorney: Allen & Overy LLP.. Document filed by Richard S. Fuld, Jr. (Attachments: #1 Stipulation and Proposed Order of Substitution)(Hynes, Patricia)
October 24, 2008 Opinion or Order Filing 49 MOTION to Substitute Attorney. Old Attorney: Simpson Thacher & Bartlett LLP, New Attorney: Allen & Overy LLP. Document filed by Richard S. Fuld, Jr.(Hynes, Patricia)
October 24, 2008 Opinion or Order Filing 48 NOTICE OF APPEARANCE by Todd Steven Fishman on behalf of Richard S. Fuld, Jr (Fishman, Todd)
October 24, 2008 Opinion or Order Filing 47 NOTICE OF APPEARANCE by Patricia M. Hynes on behalf of Richard S. Fuld, Jr (Hynes, Patricia)
October 21, 2008 Opinion or Order Filing 46 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL; the law firm of Proskauer Rose LLP, 1585 Broadway, New York, New York, 10036 be substituted as counsel of record for defendant Erin Callan, in the place of the law firm Simpson Thacher & Bartlett LLP, 425 Lexington Avenue, New York, New York 10022, and Katten Muchin Rosenman LLP, 575 Madison Avenue, New York, 10022. (Signed by Judge Lewis A. Kaplan on 10/21/08) (pl)
October 17, 2008 Opinion or Order Filing 45 NOTICE OF APPEARANCE by Dietrich L. Snell on behalf of Erin Callan (Snell, Dietrich)
October 17, 2008 Opinion or Order Filing 44 NOTICE OF APPEARANCE by Seth David Fier on behalf of Erin Callan (Fier, Seth)
October 17, 2008 Opinion or Order Filing 43 NOTICE OF APPEARANCE by Mark Edward Davidson on behalf of Erin Callan (Davidson, Mark)
October 17, 2008 Opinion or Order Filing 42 NOTICE OF APPEARANCE by Robert J. Cleary on behalf of Erin Callan (Cleary, Robert)
October 10, 2008 Opinion or Order Filing 41 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by The Pension Fund Group. (Josefson, Avi)
September 26, 2008 Opinion or Order Filing 40 STIPULATION AND SCHEDULING ORDER: The Lead Plaintiff shall file an Amended Complaint no later than 10/27/08. Defendants shall file and serve responsive pleading(s) or motion(s) no later than 12/10/08. If any defendant moves to dismiss the amended complaint, Lead Plaintiff shall file and serve opposition brief(s) no later than 1/9/09. Defendants shall file and serve reply brief(s) no later than 1/23/09. (Signed by Judge Lewis A. Kaplan on 9/25/08) (tro)
September 16, 2008 Opinion or Order Filing 39 SUGGESTION OF BANKRUPTCY upon the record for Lehman Brothers Holdings Inc.. Document filed by Lehman Brothers Holdings, Inc.(Chepiga, Michael)
September 12, 2008 Opinion or Order Filing 38 NOTICE OF CHANGE OF ADDRESS by Meryl E. Wiener on behalf of Erin Callan. New Address: Katten Muchin Rosenman LLP, 575 Madison Avenue, New York, New York, USA 10022, 212-940-8800. (Wiener, Meryl)
September 11, 2008 Opinion or Order Filing 37 STIPULATION AND AMENDED SCHEDULING ORDER, IT IS HEREBY STIPULATED AND AGREED by the Pension Fund Group and by all Defendants, through their respective counsel of record, subject to the approval of the Court, as follows: The Lead Plaintiff' shall file an amended complaint no later than September 26, 2008; Defendants shall file and serve responsive pleading(s) or motion(s) no later than November 10. 2008; If any Defendant moves to dismiss the amended complaint, Lead Plaintiff shall file and serve opposition brief(s) no later than December 10, 2008; Defendants shall file and serve reply brief(s) no later than January 14, 2009; ( Amended Pleadings due by 9/26/2008., Responses due by 11/10/2008) (Signed by Judge Lewis A. Kaplan on 9/11/08) (mme) Modified on 9/23/2008 (mme).
September 11, 2008 Opinion or Order Filing 36 NOTICE OF APPEARANCE by Meryl E. Wiener on behalf of Erin Callan (Wiener, Meryl)
September 10, 2008 Opinion or Order Filing 35 MEMO ENDORSEMENT on #30 NOTICE OF MOTION AND MOTION TO ADMIT COUNSEL DAVID A. THORPE PRO HAC VICE. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 9/9/2008) (jpo)
September 10, 2008 Opinion or Order Filing 34 MEMO ENDORSEMENT on #31 NOTICE OF MOTION AND MOTION TO ADMIT COUNSEL JON F. WORM PRO HAC VICE. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 9/9/2008) (jpo)
September 10, 2008 Opinion or Order Filing 33 MEMO ENDORSEMENT on #32 NOTICE OF MOTION AND MOTION TO ADMIT COUNSEL DAVID R. STICKNEY PRO HAC VICE. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 9/9/2008) (jpo)
September 10, 2008 Opinion or Order Transmission to Attorney Admissions Clerk. Transmitted re: #34 Order on Motion to Appear Pro Hac Vice, #35 Order on Motion to Appear Pro Hac Vice, #33 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jpo)
September 5, 2008 Opinion or Order CASHIERS OFFICE REMARK on #32 Motion to Appear Pro Hac Vice, #31 Motion to Appear Pro Hac Vice, #30 Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 9/3/08, Receipt Number 662029. (Quintero, Marcos)
September 3, 2008 Opinion or Order Filing 32 MOTION for David R. Stickney to Appear Pro Hac Vice. Document filed by The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
September 3, 2008 Opinion or Order Filing 31 MOTION for Jon F. Worm to Appear Pro Hac Vice. Document filed by The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
September 3, 2008 Opinion or Order Filing 30 MOTION for David A. Thorpe to Appear Pro Hac Vice. Document filed by The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
September 2, 2008 Opinion or Order Filing 29 MEMO ENDORSEMENT on re: #24 MOTION for Benjamin J. Hinerfeld to Appear Pro Hac Vice. filed by The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, The Pension Fund Group. ENDORSED: Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 9/2/2008) (jfe)
September 2, 2008 Opinion or Order Filing 28 MEMO ENDORSEMENT on re: #23 MOTION for Richard A. Russo to Appear Pro Hac Vice. filed by The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, The Pension Fund Group. ENDORSED: Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 9/2/2008) (jfe)
September 2, 2008 Opinion or Order Filing 27 MEMO ENDORSEMENT on re: #25 MOTION for Michelle M. Newcomer to Appear Pro Hac Vice. filed by The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, The Pension Fund Group. ENDORSED: Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 9/2/2008) (jfe)
September 2, 2008 Opinion or Order Filing 26 MEMO ENDORSEMENT on re: #22 MOTION for Nichole Browning to Appear Pro Hac Vice. filed by The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund, The Pension Fund Group. ENDORSED: Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 9/2/2008) (jfe)
September 2, 2008 Opinion or Order Transmission to Attorney Admissions Clerk. Transmitted re: #26 Memo Endorsement, #29 Memo Endorsement, #27 Memo Endorsement, #28 Memo Endorsement,, to the Attorney Admissions Clerk for updating of Attorney Information. (jfe)
August 26, 2008 Opinion or Order CASHIERS OFFICE REMARK on #24 Motion to Appear Pro Hac Vice, #25 Motion to Appear Pro Hac Vice, #22 Motion to Appear Pro Hac Vice, #23 Motion to Appear Pro Hac Vice in the amount of $100.00, paid on 08/22/2008, Receipt Number 661368. (jd)
August 22, 2008 Opinion or Order Filing 25 MOTION for Michelle M. Newcomer to Appear Pro Hac Vice. Document filed by The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
August 22, 2008 Opinion or Order Filing 24 MOTION for Benjamin J. Hinerfeld to Appear Pro Hac Vice. Document filed by The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
August 22, 2008 Opinion or Order Filing 23 MOTION for Richard A. Russo to Appear Pro Hac Vice. Document filed by The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
August 22, 2008 Opinion or Order Filing 22 MOTION for Nichole Browning to Appear Pro Hac Vice. Document filed by The Pension Fund Group, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund.(dle)
August 13, 2008 Opinion or Order Filing 21 NOTICE OF APPEARANCE by Jonathan Gardner on behalf of The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund (Gardner, Jonathan)
August 8, 2008 Opinion or Order Filing 20 JURY TRIAL DEMANDED For the reasons set forth in this order, it is hereby stipulated and agreed as follows: The lead plaintiff shall file and serve as an amended complaint no later than September 12, 2008; Defendant shall ;file and serve responsive pleading(s) or motion(s) no later than October 27, 2008; If any defendant moves to dismiss the amended complaint, Lead plaintiff shall file and serve opposition brief(s) no later than November 17, 2008; Defendants shall file and serve reply brief(s) no later than December 17, 2008. ( Amended Pleadings due by 9/12/2008., Motions due by 10/27/2008., Reply to Response to Brief due by 12/17/2008., Responses due by 10/27/2008, Responses to Brief due by 11/17/2008) (Signed by Judge Richard J. Sullivan Part 1 on 8/7/08) (mme)
August 4, 2008 Opinion or Order Filing 19 NOTICE OF APPEARANCE by John Anthony Kehoe on behalf of The Pension Fund Group (Kehoe, John)
July 31, 2008 Opinion or Order Filing 18 ORDER denying #3 Motion to Appoint The Fire and Police Association as Lead Plaintiff(s); granting #6 Motion to Appoint The Pension Fund Group as Lead Plaintiff(s). The Pension Fund Group's Motion is GRANTED. The Fire and Police Pension Association Motion is DENIED. ACERA, Guam, NILGOSC, Lothian and Operating Engineers are APPOINTED to serve as Lead Plaintiff pursuant to Section 21D(a)(3)B) of the Securities Exchange Act of 1934, 15 U.S.C. 78u-4(a)(3)(B), as amended by the Private Securities Litigation Reform Act of 1995, in the above-captioned action. The Pension Fund Group's selection of counsel is APPROVED, and Bernstein Litowitz Berger & Grossman LLP and Schiffrin Barroway Topaz & Kessler, LLP are APPOINTED as Lead Counsel for the Class. IT IS SO ORDERED. (Signed by Judge Lewis A. Kaplan on 7/31/2008) (tve)
July 25, 2008 Opinion or Order Filing 17 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Lehman Brothers Holdings, Inc..(Chepiga, Michael)
July 25, 2008 Opinion or Order Filing 16 NOTICE OF APPEARANCE by Michael Joseph Chepiga on behalf of Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan (Chepiga, Michael)
July 25, 2008 Opinion or Order Filing 15 NOTICE OF APPEARANCE by Eric Milo Albert on behalf of Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan (Albert, Eric)
July 25, 2008 Opinion or Order Filing 14 NOTICE OF APPEARANCE by Paul C. Curnin on behalf of Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan (Curnin, Paul)
July 24, 2008 Opinion or Order Filing 13 STIPULATION AND SCHEDULING ORDER: (1) Lead Plaintiff shall file and serve a Consolidated Amended Complaint no later than 30 days after entry of an Order appointing it as lead plaintiff. (2) Defendants to respond no later than 45 days after the filing os said complaint. (3) I defendants moves to dismiss said complaint, plaintiff shall file and serve opposition briefs no later than 21 days after defendant moves. (4) Defendants reply, filed and served 30 days after the filing of plaintiff's opposition. (5) Defendants need not answer, move or otherwise respond to the 6/18/08 complaint. (Signed by Judge Lewis A. Kaplan on 7/24/08) (db)
July 16, 2008 Opinion or Order Filing 12 CERTIFICATE OF SERVICE of Memorandum of Law served on All Parties on July 16, 2008. Document filed by The Pension Fund Group. (Silk, Gerald)
July 16, 2008 Opinion or Order Filing 11 MEMORANDUM OF LAW in Support re: #6 MOTION to Appoint The Alameda County Employees Retirement Association, the Government of Guam Retirement Fund, the Northern Ireland Local Governmental Officers Superannuation Committee, The City of Edinburgh Council as Administering Authority of the L. Document filed by The Pension Fund Group. (Silk, Gerald)
July 10, 2008 Opinion or Order Filing 10 SECOND MEMORANDUM OF LAW in Support re: #3 MOTION to Appoint The Fire & Police Pension Association of Colorado and The Brockton Contributory Retirement System to serve as lead plaintiff(s). MOTION to Appoint The Fire & Police Pension Association of Colorado and The Brockton Contributory Retirement System to serve as lead plaintiff(s).. Document filed by Fire & Police Pension Association of Colorado and Brockton Contributory Retirement System. (Gross, Marc)
June 30, 2008 Opinion or Order Filing 9 CERTIFICATE OF SERVICE of Notice of Motion, Memorandum of Law, Declaration served on All Parties of Record on June 30, 2008. Document filed by The Pension Fund Group. (Silk, Gerald)
June 30, 2008 Opinion or Order Filing 8 DECLARATION of Gerald H. Silk in Support re: #6 MOTION to Appoint The Alameda County Employees Retirement Association, the Government of Guam Retirement Fund, the Northern Ireland Local Governmental Officers Superannuation Committee, The City of Edinburgh Council as Administering Authority of the L. Document filed by The Pension Fund Group. (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)(Silk, Gerald)
June 30, 2008 Opinion or Order Filing 7 MEMORANDUM OF LAW in Support re: #6 MOTION to Appoint The Alameda County Employees Retirement Association, the Government of Guam Retirement Fund, the Northern Ireland Local Governmental Officers Superannuation Committee, The City of Edinburgh Council as Administering Authority of the L. Document filed by The Pension Fund Group. (Silk, Gerald)
June 30, 2008 Opinion or Order Filing 6 MOTION to Appoint The Alameda County Employees Retirement Association, the Government of Guam Retirement Fund, the Northern Ireland Local Governmental Officers Superannuation Committee, The City of Edinburgh Council as Administering Authority of the Lothian Pension Fund and the Operating Engineers Local 3 Trust to serve as lead plaintiff(s) and for Approval of Its Selection of Counsel as Lead Counsel. Document filed by The Pension Fund Group.(Silk, Gerald)
June 30, 2008 Opinion or Order Filing 5 DECLARATION of Jeffrey C. Block in Support re: #3 MOTION to Appoint The Fire & Police Pension Association of Colorado and The Brockton Contributory Retirement System to serve as lead plaintiff(s). MOTION to Appoint The Fire & Police Pension Association of Colorado and The Brockton Contributory Retirement System to serve as lead plaintiff(s).. Document filed by Fire & Police Pension Association of Colorado and Brockton Contributory Retirement System. (Attachments: #1 Exhibit A to Declaration in Support, #2 Exhibit B to Declaration in Support, #3 Exhibit C to Declaration in Support, #4 Exhibit D to Declaration in Support)(Gross, Marc)
June 30, 2008 Opinion or Order Filing 4 MEMORANDUM OF LAW in Support re: #3 MOTION to Appoint The Fire & Police Pension Association of Colorado and The Brockton Contributory Retirement System to serve as lead plaintiff(s). MOTION to Appoint The Fire & Police Pension Association of Colorado and The Brockton Contributory Retirement System to serve as lead plaintiff(s).. Document filed by Fire & Police Pension Association of Colorado and Brockton Contributory Retirement System. (Attachments: #1 Exhibit 1, part 1 to Memorandum of Law in Support, #2 Exhibit 1, part 2 to Memorandum of Law in Support)(Gross, Marc)
June 30, 2008 Opinion or Order Filing 3 MOTION to Appoint The Fire & Police Pension Association of Colorado and The Brockton Contributory Retirement System to serve as lead plaintiff(s). Document filed by Fire & Police Pension Association of Colorado and Brockton Contributory Retirement System. (Attachments: #1 Text of Proposed Order)(Gross, Marc)
June 23, 2008 Opinion or Order ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney for noncompliance with Section (3) of the S.D.N.Y. 3rd Amended Instructions For Filing An Electronic Case or Appeal and Section 1(d) of the S.D.N.Y. Procedures For Electronic Case Filing. E-MAIL the PDF for Document 2 Rule 7.1 Corporate Disclosure Statement to: case_openings@nysd.uscourts.gov. (mbe)
June 18, 2008 Opinion or Order Filing 2 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Operative Plasterers and Cement Masons International Association Local 262 Annuity Fund.(mbe)
June 18, 2008 Opinion or Order Filing 1 COMPLAINT against Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan. (Filing Fee $ 350.00, Receipt Number 654474)Document filed by Operative Plasterers and Cement Masons International Association Local 262 Annuity Fund.(mbe)
June 18, 2008 Opinion or Order SUMMONS ISSUED as to Lehman Brothers Holdings, Inc., Richard S. Fuld, Jr, Christopher M. O'Meara, Joseph M. Gregory, Erin Callan. (mbe)
June 18, 2008 Opinion or Order Case Designated ECF. (mbe)
June 18, 2008 Opinion or Order Magistrate Judge Gabriel W. Gorenstein is so designated. (mbe)

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