McBearty et al v. The Vanguard Group, Inc et al

Justia Dockets & Filings Second Circuit New York Southern District McBearty et al v. The Vanguard Group, Inc et al

McBearty et al v. The Vanguard Group, Inc et al

Plaintiff:	Marylynn Hartsel and Deanna McBearty
Defendant:	Rajiv L. Gupta, Kevin F. Simms, Amy Gutmann, Charles D. Ellis, Jeremy H. Hosking, Alliance Bernstein LP, The Vanguard Group, Inc, George U. Sauter, John R. Chisholm, Andre F. Perold, Neil M. Ostrer, Alfred M. Rankin, JR., William J. Arah, J. Lawrence Wilson, Sharon E. Fay, Duane F. Kelly, Henry S. DAuria, Heffernan JoAnn Heisen, Brian K. Wolahan, Marathon Asset Management, LLP, John J. Brennan, Ronald D. Frashure and Acadian Asset Management, LLC
Nominal Defendant:	Vanguard Horizon Funds doing business as Vanguard Global Equity Fund and Vanguard International Equity Index Funds doing business as Vanguard European Stock Index Fund
Case Number:	1:2008cv07650
Filed:	August 29, 2008
Court:	US District Court for the Southern District of New York
Office:	Racketeer/Corrupt Organization Office
County:	XX Out of State
Presiding Judge:	Denise L Cote
Nature of Suit:	Racketeer/Corrupt Organization
Cause of Action:	18 U.S.C. § 1961
Jury Demanded By:	Plaintiff

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Docket Report

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Date Filed	Document Text
January 22, 2010	Filing 86 MANDATE of USCA (Certified Copy) as to #85 Notice of Appeal filed by Marylynn Hartsel, Deanna McBearty USCA Case Number 09-1445-cv. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA. Issued As Mandate: 1/20/2010. (nd)
January 22, 2010	Transmission of USCA Mandate/Order to the District Judge re: #86 USCA Mandate,. (nd)
April 28, 2009	USCA Case Number 09-1445-cv from the USCA 2nd Circuit assigned to #85 Notice of Appeal filed by Marylynn Hartsel, Deanna McBearty. (tp)
April 8, 2009	Filing 85 NOTICE OF APPEAL from #84 Clerk's Judgment, #83 Memorandum & Opinion,,. Document filed by Deanna McBearty, Marylynn Hartsel. Filing fee $ 455.00, receipt number E 683687. (nd)
April 8, 2009	Transmission of Notice of Appeal to the District Judge re: #85 Notice of Appeal. (nd)
April 8, 2009	Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #39 Rule 7.1 Corporate Disclosure Statement filed by Vanguard Horizon Funds, #60 Notice of Appearance, filed by Vanguard Horizon Funds, Vanguard International Equity Index Funds, Heffernan JoAnn Heisen, Amy Gutmann, John J. Brennan, Andre F. Perold, Charles D. Ellis, J. Lawrence Wilson, Alfred M. Rankin, JR., Rajiv L. Gupta, #57 Order for Initial Pretrial Conference, #74 Reply Memorandum of Law in Support of Motion filed by Neil M. Ostrer, Marathon Asset Management, LLP, #24 Stipulation and Order, Set Deadlines/Hearings, #47 Memorandum of Law in Support of Motion filed by George U. Sauter, Duane F. Kelly, The Vanguard Group, Inc, #56 Notice of Appearance, filed by Vanguard Horizon Funds, Vanguard International Equity Index Funds, Heffernan JoAnn Heisen, Amy Gutmann, John J. Brennan, Andre F. Perold, Charles D. Ellis, J. Lawrence Wilson, Alfred M. Rankin, JR., Rajiv L. Gupta, #4 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #50 MOTION to Dismiss Notice of Motion - Rule 12(b)(6). filed by William J. Arah, Neil M. Ostrer, Marathon Asset Management, LLP, Jeremy H. Hosking, #75 Order,,,,, #8 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #84 Clerk's Judgment, #72 Reply Memorandum of Law in Support of Motion, filed by Vanguard Horizon Funds, Vanguard International Equity Index Funds, Heffernan JoAnn Heisen, Amy Gutmann, John J. Brennan, Andre F. Perold, Charles D. Ellis, J. Lawrence Wilson, Alfred M. Rankin, JR., Rajiv L. Gupta, #27 MOTION for L. Richard Walton to Appear Pro Hac Vice. filed by William J. Arah, Neil M. Ostrer, Marathon Asset Management, LLP, Jeremy H. Hosking, #77 MOTION for Gregory P. Erthal to Appear Pro Hac Vice. filed by Marylynn Hartsel, Deanna McBearty, #51 Memorandum of Law in Support of Motion, filed by William J. Arah, Neil M. Ostrer, Marathon Asset Management, LLP, Jeremy H. Hosking, #36 MOTION to Dismiss Complaint. filed by Brian K. Wolahan, John R. Chisholm, Ronald D. Frashure, Acadian Asset Management, LLC, #7 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #55 Affidavit in Support of Motion filed by William J. Arah, Jeremy H. Hosking, #1 Complaint,, filed by Marylynn Hartsel, Deanna McBearty, #13 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #61 Notice of Appearance, filed by Vanguard Horizon Funds, Vanguard International Equity Index Funds, Heffernan JoAnn Heisen, Amy Gutmann, John J. Brennan, Andre F. Perold, Charles D. Ellis, J. Lawrence Wilson, Alfred M. Rankin, JR., Rajiv L. Gupta, #25 Order for Initial Pretrial Conference, #81 Order on Motion to Appear Pro Hac Vice, #76 MOTION for Rosalind Robertson to Appear Pro Hac Vice. filed by Marylynn Hartsel, Deanna McBearty, #5 Summons Returned Executed, filed by Marylynn Hartsel, Deanna McBearty, #49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2). filed by William J. Arah, Neil M. Ostrer, Marathon Asset Management, LLP, Jeremy H. Hosking, #45 MOTION to Dismiss. filed by George U. Sauter, Duane F. Kelly, The Vanguard Group, Inc, #17 Summons Returned Executed, filed by Marylynn Hartsel, Deanna McBearty, #64 Memorandum of Law in Opposition to Motion, filed by Deanna McBearty, #12 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #62 Endorsed Letter, #21 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #22 Summons Returned Executed, filed by Marylynn Hartsel, Deanna McBearty, #40 Rule 7.1 Corporate Disclosure Statement filed by Vanguard International Equity Index Funds, #20 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #10 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #70 Order of Dismissal, #85 Notice of Appeal filed by Marylynn Hartsel, Deanna McBearty, #14 Summons Returned Executed, filed by Marylynn Hartsel, Deanna McBearty, #15 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #54 Affidavit in Support of Motion filed by William J. Arah, Jeremy H. Hosking, #68 Order, Set Hearings, #63 Notice of Appearance filed by George U. Sauter, Duane F. Kelly, The Vanguard Group, Inc, #2 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #19 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #18 Summons Returned Executed, filed by Marylynn Hartsel, Deanna McBearty, #52 Affidavit in Support of Motion filed by William J. Arah, Jeremy H. Hosking, #53 Memorandum of Law in Support of Motion, filed by William J. Arah, Neil M. Ostrer, Marathon Asset Management, LLP, Jeremy H. Hosking, #35 Order on Motion to Appear Pro Hac Vice, #73 Reply Memorandum of Law in Support of Motion filed by George U. Sauter, Duane F. Kelly, The Vanguard Group, Inc, #34 Order on Motion to Appear Pro Hac Vice, #31 Stipulation and Order of Dismissal, #37 Memorandum of Law in Support of Motion filed by Brian K. Wolahan, John R. Chisholm, Ronald D. Frashure, Acadian Asset Management, LLC, #71 Reply Memorandum of Law in Support of Motion filed by Brian K. Wolahan, John R. Chisholm, Ronald D. Frashure, Acadian Asset Management, LLC, #11 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #58 Order, Set Motion and R&R Deadlines/Hearings,, #30 Order on Motion to Appear Pro Hac Vice, #29 Order on Motion to Appear Pro Hac Vice, #83 Memorandum & Opinion,, #33 MOTION for Kirk G. Hanson to Appear Pro Hac Vice. filed by Brian K. Wolahan, John R. Chisholm, Ronald D. Frashure, Acadian Asset Management, LLC, #46 Memorandum of Law in Support of Motion filed by George U. Sauter, Duane F. Kelly, The Vanguard Group, Inc, #43 Declaration in Support of Motion, filed by Vanguard Horizon Funds, Vanguard International Equity Index Funds, Heffernan JoAnn Heisen, Amy Gutmann, John J. Brennan, Andre F. Perold, Charles D. Ellis, J. Lawrence Wilson, Alfred M. Rankin, JR., Rajiv L. Gupta, #44 Rule 7.1 Corporate Disclosure Statement filed by The Vanguard Group, Inc, #3 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #32 MOTION for Brandon F. White to Appear Pro Hac Vice. filed by Brian K. Wolahan, John R. Chisholm, Ronald D. Frashure, Acadian Asset Management, LLC, #38 Rule 7.1 Corporate Disclosure Statement filed by Acadian Asset Management, LLC, #48 Rule 7.1 Corporate Disclosure Statement filed by William J. Arah, Neil M. Ostrer, Marathon Asset Management, LLP, Jeremy H. Hosking, #23 Summons Returned Executed, filed by Marylynn Hartsel, Deanna McBearty, #59 Affidavit of Service Other filed by Deanna McBearty, #26 Certificate of Service Other filed by Marylynn Hartsel, Deanna McBearty, #80 Order on Motion to Appear Pro Hac Vice, #41 MOTION to Dismiss. filed by Vanguard Horizon Funds, Vanguard International Equity Index Funds, Heffernan JoAnn Heisen, Amy Gutmann, John J. Brennan, Andre F. Perold, Charles D. Ellis, J. Lawrence Wilson, Alfred M. Rankin, JR., Rajiv L. Gupta, #69 Notice of Voluntary Dismissal, filed by Marylynn Hartsel, Deanna McBearty, #42 Memorandum of Law in Support of Motion, filed by Vanguard Horizon Funds, Vanguard International Equity Index Funds, Heffernan JoAnn Heisen, Amy Gutmann, John J. Brennan, Andre F. Perold, Charles D. Ellis, J. Lawrence Wilson, Alfred M. Rankin, JR., Rajiv L. Gupta, #16 Summons Returned Executed, filed by Marylynn Hartsel, Deanna McBearty, #67 Endorsed Letter, Set Motion and R&R Deadlines/Hearings,, #6 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #9 Summons Returned Executed filed by Marylynn Hartsel, Deanna McBearty, #28 MOTION for Michael Cereseto to Appear Pro Hac Vice. filed by William J. Arah, Neil M. Ostrer, Marathon Asset Management, LLP, Jeremy H. Hosking, #65 Memorandum of Law in Opposition to Motion,, filed by Deanna McBearty were transmitted to the U.S. Court of Appeals. (nd)
April 8, 2009	Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #85 Notice of Appeal. (nd)
April 6, 2009	Filing 84 CLERK'S JUDGMENT That for the reasons stated in the Court's Opinion and Order dated April 2, 2009, judgment is entered for the defendants on the RICO claim, and the remaining claims are dismissed without prejudice to refiling in state court. (Signed by J. Michael McMahon, clerk on 4/6/09) (Attachments: #1 notice of right to appeal)(ml)
April 2, 2009	Filing 83 OPINION & ORDER #97371 that plaintiffs' RICO claims are dismissed with prejudice. As there are no longer any federal clams against the defendants in this suit, it is within the Court's discretion whether to exercise supplemental jurisdiction over plaintiffs' state law claims. Since this action has not yet proceeded to the merits of plaintiffs' claims, this Court declines to exercise supplemental jurisdiction. The Clerk of Court shall enter judgment for the defendants on the RICO claim and dismiss the remaining claims without prejudice to refiling in state court. (Signed by Judge Denise L. Cote on 4/2/09) (cd) Modified on 4/3/2009 (mro).
April 2, 2009	Transmission to Judgments and Orders Clerk. Transmitted re: #83 Memorandum & Opinion, to the Judgments and Orders Clerk. (cd)
January 29, 2009	CASHIERS OFFICE REMARK on #77 Motion to Appear Pro Hac Vice, #76 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 01/08/2009, Receipt Number 674232. (jd)
January 26, 2009	Filing 82 TRANSCRIPT of proceedings held on December 18, 2008 before Judge Denise L. Cote. (mro)
January 21, 2009	Filing 81 MEMO ENDORSEMENT on re: #77 Motion for Gregory P. Erthal to Appear Pro Hac Vice. ENDORSEMENT: Granted.(Signed by Judge Denise L. Cote on 1/21/2009) (jfe)
January 21, 2009	Filing 80 MEMO ENDORSEMENT: on re #76 Motion for Rosalind Robertson to Appear Pro Hac Vice. ENDORSEMENT: Granted. So Ordered. (Signed by Judge Denise L. Cote on 1/21/2009) (jfe)
January 21, 2009	Transmission to Attorney Admissions Clerk. Transmitted re: #81 Order on Motion to Appear Pro Hac Vice, #80 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jfe)
January 16, 2009	Filing 79 TRANSCRIPT of proceedings held on December 18, 2008 before Judge Denise L. Cote. (mro)
January 9, 2009	Filing 78 TRANSCRIPT of proceedings held on December 18, 2008 before Judge Denise L. Cote. (mro)
January 8, 2009	Filing 77 MOTION for Gregory P. Erthal to Appear Pro Hac Vice. Document filed by Deanna McBearty, Marylynn Hartsel.(dle)
January 8, 2009	Filing 76 MOTION for Rosalind Robertson to Appear Pro Hac Vice. Document filed by Deanna McBearty, Marylynn Hartsel.(dle)
December 15, 2008	Filing 75 ORDER: Plaintiffs' filed the above-captioned action on August 29, 2008, alleging that defendants unlawfully invested money in illegal gambling businesses. According to the plaintiffs' complaint, each plaintiff is a shareholder in one or more of the nominal defendants: 1) Vanguard International Equity Index Funds, d/b/a Vanguard European Stock Index Fund ("Vanguard European") and 2) Vanguard Horizon Funds, d/b/a Vanguard Global Equity Fund ("Vanguard Global") (collectively the "Vanguard Funds"). McBrearty seeks to represent a subclass of investors who invested in Vanguard European who purchased their shares during the Class Period, and she is also suing derivatively on behalf of Vanguard European. Hartsel seeks to represent a subclass of investors who invested in Vanguard Global who purchased their shares during the Class Period, and she is also suing derivatively on behalf of Vanguard Global. Plaintiffs seek to represent a class of investors who purchased one or more shares in the Vanguard Funds prior to July 17, 2006 and who still held such shares after July 17, 2006. The Court owned shares in the following Vanguard funds in 2006: Vanguard Equity Income Fund, Vanguard Healthcare Fund, Vanguard INFL-Protected Security Fund, and Vanguard S/T Investment Grade Bond Fund. The Court hereby waives any right it has to recover on any claims that have been or may be filed In this litigation. (Signed by Judge Denise L. Cote on 12/15/2008) (jfe)
December 11, 2008	Filing 74 REPLY MEMORANDUM OF LAW in Support re: #50 MOTION to Dismiss Notice of Motion - Rule 12(b)(6).. Document filed by Marathon Asset Management, LLP, Neil M. Ostrer. (Walton, L.)
December 11, 2008	Filing 73 REPLY MEMORANDUM OF LAW in Support re: #45 MOTION to Dismiss.. Document filed by The Vanguard Group, Inc, George U. Sauter, Duane F. Kelly. (Olivar, Harry)
December 11, 2008	Filing 72 REPLY MEMORANDUM OF LAW in Support re: #41 MOTION to Dismiss.. Document filed by Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Vanguard International Equity Index Funds, Vanguard Horizon Funds, John J. Brennan, Charles D. Ellis. (Braff, David)
December 11, 2008	Filing 71 REPLY MEMORANDUM OF LAW in Support re: #36 MOTION to Dismiss Complaint.. Document filed by Acadian Asset Management, LLC, Ronald D. Frashure, John R. Chisholm, Brian K. Wolahan. (Hanson, Kirk)
December 5, 2008	Filing 70 NOTICE OF VOLUNTARY DISMISSAL AS TO WILLIAM J. ARAH AND JEREMY H. HOSKING ONLY: Pursuant to Fed. R. Civ. P. 4I(a)(1)(A)(i), that Plaintiffs hereby voluntarily dismiss this action without prejudice as to WILLIAM J. ARAH and JEREMY H. HOSKING only. (Signed by Judge Denise L. Cote on 12/5/08) (db)
December 4, 2008	Filing 69 NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, Without prejudice against the defendant(s) William J. Arah, Jeremy H. Hosking. Document filed by all plaintiffs. (Sheridan, Thomas)
December 2, 2008	***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Thomas Shridan to RE-FILE Document #66 Notice of Voluntary Dismissal,. ERROR(S): Signature. (dt)
December 1, 2008	Filing 68 ORDER It is hereby ordered that the initial pretrial conference previously scheduled for December 4, 2008 is adjourned to December 18, 2008 at 2 p.m. in courtroom 11B, 500 Pearl Street. (Signed by Judge Denise L. Cote on 12/1/08) (mme)
December 1, 2008	Filing 67 ENDORSED LETTER addressed to Judge Denise L. Cote from Thomas L. Sheridan, III dated 11/7/08 re: The parties propose the following briefing and argument schedule: Answering papers: November 24, 2008 Reply papers: December 11, 2008; Oral argument: December 17 or 18, 2008. In addition defendants request that they be granted leave to submit reply briefs not to exceed 15 pages. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 12/1/08) (mme)
December 1, 2008	Filing 66 FILING ERROR - DEFICIENT DOCKET ENTRY - SIGNATURE ERROR - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, Without prejudice against the defendant(s) William J. Arah, Jeremy H. Hosking. Document filed by all plaintiffs. (Sheridan, Thomas) Modified on 12/2/2008 (dt).
November 24, 2008	Filing 65 MEMORANDUM OF LAW in Opposition re: #50 MOTION to Dismiss Notice of Motion - Rule 12(b)(6)., #36 MOTION to Dismiss Complaint., #49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2)., #45 MOTION to Dismiss., #41 MOTION to Dismiss. PLAINTIFFS REQUEST FOR JUDICIAL NOTICE IN OPPOSITION TO DEFENDANTS MOTIONS TO DISMISS. Document filed by Deanna McBearty. (Attachments: #1 Exhibit Exhibits 1-5, #2 Exhibit Exhibits 6-11, #3 Exhibit Document 12, #4 Exhibit Documents 13-16, #5 Exhibit Documents 17-19, #6 Exhibit Documents 20-22)(Sheridan, Thomas)
November 24, 2008	Filing 64 MEMORANDUM OF LAW in Opposition re: #50 MOTION to Dismiss Notice of Motion - Rule 12(b)(6)., #36 MOTION to Dismiss Complaint., #49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2)., #45 MOTION to Dismiss., #41 MOTION to Dismiss.. Document filed by Deanna McBearty. (Sheridan, Thomas)
November 11, 2008	Filing 63 NOTICE OF APPEARANCE by Albert William Urquhart on behalf of The Vanguard Group, Inc, George U. Sauter, Duane F. Kelly (Urquhart, Albert)
October 31, 2008	Filing 62 ENDORSED LETTER addressed to Judge Denise Cote from Thomas I. Sheridan, III dated 10/29/08 re: that on behalf of the plaintiffs, I request permission to file a brief longer than 25 pages. ENDORSEMENT: Granted, So Ordered. (Signed by Judge Denise L. Cote on 10/31/08) (pl)
October 30, 2008	Filing 61 NOTICE OF APPEARANCE by Amanda Flug Davidoff on behalf of Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Vanguard International Equity Index Funds, Vanguard Horizon Funds, John J. Brennan, Charles D. Ellis (Davidoff, Amanda)
October 30, 2008	Filing 60 NOTICE OF APPEARANCE by Penny Shane on behalf of Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Vanguard International Equity Index Funds, Vanguard Horizon Funds, John J. Brennan, Charles D. Ellis (Shane, Penny)
October 30, 2008	Filing 59 AFFIDAVIT OF SERVICE of Amended Notice of Initial Pretrial Conference served on All Defendants on October 30, 2008. Document filed by Deanna McBearty. (Sheridan, Thomas)
October 29, 2008	Filing 58 ORDER IT IS HEREBY ORDERED that plaintiffs' opposition is due November 14,2008; any reply is due November 21, 2008. At the time any reply is filed, defendants shall provide two courtesy copies of all motion papers to Chambers by delivering them to the Courthouse Mailroom, 8th Floor, United States Courthouse, 500 Pearl Street, New York, New York. (Signed by Judge Denise L. Cote on 10/29/08) (mme)
October 29, 2008	Filing 57 AMENDED NOTICE OF INITIAL PRETRIAL CONFERENCE: Initial Conference set for 12/4/2008 at 09:30 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Denise L. Cote. (Signed by Judge Denise L. Cote on 10/29/08) (tro)
October 29, 2008	CASHIERS OFFICE REMARK on #30 Order on Motion to Appear Pro Hac Vice, #29 Order on Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 10/06/2008, Receipt Number 664755. (jd)
October 29, 2008	CASHIERS OFFICE REMARK on #35 Order on Motion to Appear Pro Hac Vice, #34 Order on Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 10/17/2008, Receipt Number 665964. (jd)
October 28, 2008	Filing 56 NOTICE OF APPEARANCE by David Harold Braff on behalf of Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Vanguard International Equity Index Funds, Vanguard Horizon Funds, John J. Brennan, Charles D. Ellis (Braff, David)
October 27, 2008	Filing 55 AFFIDAVIT of William J. Arah in Support re: #49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2).. Document filed by William J. Arah, Jeremy H. Hosking. (Walton, L.)
October 27, 2008	Filing 54 AFFIDAVIT of Neil M. Ostrer in Support re: #49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2).. Document filed by William J. Arah, Jeremy H. Hosking. (Walton, L.)
October 27, 2008	Filing 53 MEMORANDUM OF LAW in Support re: #50 MOTION to Dismiss Notice of Motion - Rule 12(b)(6). Memorandum of Points and Authorities in Support of Rule 12(b)(6). Document filed by Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer. (Cereseto, Michael)
October 27, 2008	Filing 52 AFFIDAVIT of Jeremy J. Hosking in Support re: #49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2).. Document filed by William J. Arah, Jeremy H. Hosking. (Walton, L.)
October 27, 2008	Filing 51 MEMORANDUM OF LAW in Support re: #49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2). Memorandum of Points and Authorities in Support of Rule 12(b)(2) Motion. Document filed by Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer. (Cereseto, Michael)
October 27, 2008	Filing 50 MOTION to Dismiss Notice of Motion - Rule 12(b)(6). Document filed by Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer.(Cereseto, Michael)
October 27, 2008	Filing 49 MOTION to Dismiss Notice of Motion - Rule 12(b)(2). Document filed by Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer.(Cereseto, Michael)
October 27, 2008	Filing 48 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. N Corporate Parent. Document filed by Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer.(Cereseto, Michael)
October 27, 2008	Filing 47 MEMORANDUM OF LAW in Support re: #45 MOTION to Dismiss. Request for Judicial Notice. Document filed by The Vanguard Group, Inc, George U. Sauter, Duane F. Kelly. (Olivar, Harry)
October 27, 2008	Filing 46 MEMORANDUM OF LAW in Support re: #45 MOTION to Dismiss.. Document filed by The Vanguard Group, Inc, George U. Sauter, Duane F. Kelly. (Olivar, Harry)
October 27, 2008	Filing 45 MOTION to Dismiss. Document filed by The Vanguard Group, Inc, George U. Sauter, Duane F. Kelly.(Olivar, Harry)
October 27, 2008	Filing 44 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by The Vanguard Group, Inc.(Olivar, Harry)
October 27, 2008	Filing 43 DECLARATION of Penny Shane in Support re: #41 MOTION to Dismiss.. Document filed by Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Vanguard International Equity Index Funds, Vanguard Horizon Funds, John J. Brennan, Charles D. Ellis. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B, #3 Exhibit Exhibit C, #4 Exhibit Exhibit D)(Davidoff, Amanda)
October 27, 2008	Filing 42 MEMORANDUM OF LAW in Support re: #41 MOTION to Dismiss.. Document filed by Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Vanguard International Equity Index Funds, Vanguard Horizon Funds, John J. Brennan, Charles D. Ellis. (Davidoff, Amanda)
October 27, 2008	Filing 41 MOTION to Dismiss. Document filed by Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Vanguard International Equity Index Funds, Vanguard Horizon Funds, John J. Brennan, Charles D. Ellis.(Davidoff, Amanda)
October 27, 2008	Filing 40 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Vanguard International Equity Index Funds.(Davidoff, Amanda)
October 27, 2008	Filing 39 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Vanguard Horizon Funds.(Davidoff, Amanda)
October 27, 2008	Filing 38 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Old Mutual Asset Managers (US) LLC as Corporate Parent. Document filed by Acadian Asset Management, LLC.(Hanson, Kirk)
October 27, 2008	Filing 37 MEMORANDUM OF LAW in Support re: #36 MOTION to Dismiss Complaint.. Document filed by Acadian Asset Management, LLC, Ronald D. Frashure, John R. Chisholm, Brian K. Wolahan. (Hanson, Kirk)
October 27, 2008	Filing 36 MOTION to Dismiss Complaint. Document filed by Acadian Asset Management, LLC, Ronald D. Frashure, John R. Chisholm, Brian K. Wolahan. Responses due by 11/10/2008(Hanson, Kirk)
October 22, 2008	Filing 35 MEMO ENDORSED granting #33 Motion for Kirk G. Hanson to Appear Pro Hac Vice, for defendants Acadian Asset, Ronald D. Frashure, John R. Chisholm, and Brian K. Walahan. (Signed by Judge Denise L. Cote on 10/22/08) (cd)
October 22, 2008	Filing 34 MEMO ENDORSED granting #32 Motion for Brandon F. White to Appear Pro Hac Vice, for defendants Acadian Asset Management, Ronald D. Frashure, John R. Chisholm, and Brian K. Wolahan. (Signed by Judge Denise L. Cote on 10/22/08) (cd)
October 22, 2008	Transmission to Attorney Admissions Clerk. Transmitted re: #34 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd)
October 22, 2008	Transmission to Attorney Admissions Clerk. Transmitted re: #35 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd)
October 16, 2008	Filing 33 MOTION for Kirk G. Hanson to Appear Pro Hac Vice. Document filed by Acadian Asset Management, LLC, Ronald D. Frashure, John R. Chisholm, Brian K. Wolahan.(dle)
October 16, 2008	Filing 32 MOTION for Brandon F. White to Appear Pro Hac Vice. Document filed by Acadian Asset Management, LLC, Ronald D. Frashure, John R. Chisholm, Brian K. Wolahan.(dle)
October 14, 2008	Filing 31 STIPULATION AND ORDER OF VOLUNTARY DISMISSAL AS TO ALLIANCEBERNSTEIN DEFENDANTS: The AllianceBerstein Defendants shall be dismissed from this action without prejudice and without cost to any party. (Signed by Judge Denise L. Cote on 10/14/08) (tro)
October 8, 2008	Filing 30 MEMO ENDORSED: granting #28 Motion for Michael Ceresto to Appear Pro Hac Vice for Marathan Asset, W. Arah, J. Hosking, N. Ostrer.. (Signed by Judge Denise L. Cote on 10/8/08) (cd)
October 8, 2008	Filing 29 MEMO ENDORSED: granting #27 Motion for L. Richard Walton to Appear Pro Hac Vice for Maraton Asset, W. Arah, J. Hosking, and N. Ostrer. (Signed by Judge Denise L. Cote on 10/8/08) (cd)
October 8, 2008	Transmission to Attorney Admissions Clerk. Transmitted re: #29 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd)
October 8, 2008	Transmission to Attorney Admissions Clerk. Transmitted re: #30 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd)
October 6, 2008	Filing 28 MOTION for Michael Cereseto to Appear Pro Hac Vice. Document filed by Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer.(dle)
October 6, 2008	Filing 27 MOTION for L. Richard Walton to Appear Pro Hac Vice. Document filed by Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer.(dle)
September 25, 2008	Filing 26 CERTIFICATE OF SERVICE of Notice of Initial Pretrial Conference. Document filed by Deanna McBearty, Marylynn Hartsel. (Sheridan, Thomas)
September 25, 2008	Filing 25 ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 12/5/2008 at 12:00 PM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Denise L. Cote. (Signed by Judge Denise L. Cote on 9/24/2008) (jfe)
September 24, 2008	Filing 24 STIPULATION AND ORDER TO EXTEND TIME TO RESPOND TO COMPLAINT: Defendants have until and including 10/27/08 to answer, move, or otherwise respond to the Complaint. So Ordered. (Signed by Judge Denise L. Cote on 9/24/08) (dle)
September 18, 2008	Filing 23 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. William J. Arah served on 9/8/2008, answer due 9/29/2008. Service was accepted by Carol Parker (Authorized to accept service). Service was made by mail. Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 22 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Vanguard International Equity Index Funds served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 21 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Vanguard Horizon Funds served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 20 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. The Vanguard Group, Inc served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 19 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Rajiv L. Gupta served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 18 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Ronald D. Frashure served on 9/4/2008, answer due 9/24/2008. Service was accepted by John R. Chisholm (Agent in Charge)). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 17 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Neil M. Ostrer served on 9/8/2008, answer due 9/29/2008. Service was accepted by Carol Parker (Authorized to Accept Service). Service was made by mail. Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 16 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Marathon Asset Management, LLP served on 9/5/2008, answer due 9/25/2008. Service was accepted by Carol Parker (Authorized to accept service). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 15 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. J. Lawrence Wilson served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 14 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Jeremy H. Hosking served on 9/8/2008, answer due 9/29/2008. Service was accepted by Carol Parker (SAD). Service was made by Mail. Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 13 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Heffernan JoAnn Heisen served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legel Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 12 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. John R. Chisholm served on 9/4/2008, answer due 9/24/2008. Service was accepted by John R. Chisholm. Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 11 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. John J. Brennan served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 10 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. George U. Sauter served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 9 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Duane F. Kelly served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 8 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Charles D. Ellis served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 7 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Brian K. Wolahan served on 9/4/2008, answer due 9/24/2008. Service was accepted by John R. Chisholm (Managing Agent). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 6 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Alliance Bernstein LP served on 9/3/2008, answer due 9/23/2008. Service was accepted by Collin Burk (Legal Asst.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 5 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Acadian Asset Management, LLC served on 9/4/2008, answer due 9/24/2008. Service was accepted by John R. Chisholm (Managing Agent). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 4 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Alfred M. Rankin, JR served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 3 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Andre F. Perold served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
September 18, 2008	Filing 2 SUMMONS RETURNED EXECUTED Summons and Complaint,, served. Amy Gutmann served on 9/5/2008, answer due 9/25/2008. Service was accepted by Miles Gilan (Legal Dept.). Document filed by Deanna McBearty; Marylynn Hartsel. (Sheridan, Thomas)
August 29, 2008	Filing 1 COMPLAINT against Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Acadian Asset Management, LLC, Ronald D. Frashure, John R. Chisholm, Brian K. Wolahan, Alliance Bernstein LP, Henry S. DAuria, Sharon E. Fay, Kevin F. Simms, Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer, Vanguard International Equity Index Funds, The Vanguard Group, Inc, George U. Sauter, Duane F. Kelly, John J. Brennan, Charles D. Ellis, Vanguard Horizon Funds. (Filing Fee $ 350.00, Receipt Number 661851)Document filed by Deanna McBearty, Marylynn Hartsel.(rdz)
August 29, 2008	SUMMONS ISSUED as to Rajiv L. Gupta, Amy Gutmann, Heffernan JoAnn Heisen, Andre F. Perold, Alfred M. Rankin, JR, J. Lawrence Wilson, Acadian Asset Management, LLC, Ronald D. Frashure, John R. Chisholm, Brian K. Wolahan, Alliance Bernstein LP, Henry S. DAuria, Sharon E. Fay, Kevin F. Simms, Marathon Asset Management, LLP, William J. Arah, Jeremy H. Hosking, Neil M. Ostrer, Vanguard International Equity Index Funds, The Vanguard Group, Inc, George U. Sauter, Duane F. Kelly, John J. Brennan, Charles D. Ellis, Vanguard Horizon Funds. (rdz)
August 29, 2008	Case Designated ECF. (rdz)
August 29, 2008	Magistrate Judge Douglas F. Eaton is so designated. (rdz)

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Search for this case: McBearty et al v. The Vanguard Group, Inc et al
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Defendant: Rajiv L. Gupta
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: Kevin F. Simms
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Defendant: Amy Gutmann
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: Charles D. Ellis
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: Jeremy H. Hosking
Represented By:	L. Richard Walton
Represented By:	Michael Cereseto
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Defendant: Alliance Bernstein LP
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Defendant: The Vanguard Group, Inc
Represented By:	Harry Arthur Olivar
Represented By:	Albert William Urquhart
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Defendant: George U. Sauter
Represented By:	Harry Arthur Olivar
Represented By:	Albert William Urquhart
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Defendant: John R. Chisholm
Represented By:	Kirk G. Hanson
Represented By:	Brandon F. White
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Defendant: Andre F. Perold
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: Neil M. Ostrer
Represented By:	L. Richard Walton
Represented By:	Michael Cereseto
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Defendant: Alfred M. Rankin, JR.
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: William J. Arah
Represented By:	L. Richard Walton
Represented By:	Michael Cereseto
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Defendant: J. Lawrence Wilson
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: Sharon E. Fay
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Defendant: Duane F. Kelly
Represented By:	Harry Arthur Olivar
Represented By:	Albert William Urquhart
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Defendant: Henry S. DAuria
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Defendant: Heffernan JoAnn Heisen
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: Brian K. Wolahan
Represented By:	Kirk G. Hanson
Represented By:	Brandon F. White
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Defendant: Marathon Asset Management, LLP
Represented By:	L. Richard Walton
Represented By:	Michael Cereseto
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Defendant: John J. Brennan
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Defendant: Ronald D. Frashure
Represented By:	Kirk G. Hanson
Represented By:	Brandon F. White
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Defendant: Acadian Asset Management, LLC
Represented By:	Kirk G. Hanson
Represented By:	Brandon F. White
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Plaintiff: Marylynn Hartsel
Represented By:	Thomas I. Sheridan, III
Represented By:	Rosalind M. Robertson
Represented By:	Gregory P. Erthal
Represented By:	Kenneth J. Brennan
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Plaintiff: Deanna McBearty
Represented By:	Thomas I. Sheridan, III
Represented By:	Rosalind M. Robertson
Represented By:	Gregory P. Erthal
Represented By:	Kenneth J. Brennan
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Nominal defendant: Vanguard Horizon Funds doing business as Vanguard Global Equity Fund
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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Nominal defendant: Vanguard International Equity Index Funds doing business as Vanguard European Stock Index Fund
Represented By:	Amanda Flug Davidoff
Represented By:	Penny Shane, II
Represented By:	David Harold Braff
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