Anwar et al v. Fairfield Greenwich Limited et al Featured Case
Plaintiff: Pasha S. Anwar and Julia Anwar
Defendant: Fairfield Greenwich Limited, Fairfield Greenwich Group, Fairfield Greenwich (Bermuda) Ltd., Fairfield Greenwich Advisors L.L.C., Walter M. Noel, Jr., Andres Piedrahita, Jeffrey Tucker, Brian Francouer and Amit Vigayvergia
Case Number: 1:2009cv00118
Filed: January 7, 2009
Court: US District Court for the Southern District of New York
Office: Personal Property: Other Office
County: New York
Presiding Judge: Victor Marrero
Nature of Suit: Plaintiff
Cause of Action: Diversity
Jury Demanded By: 28:1332 Diversity-Other Contract
Docket Report

This docket was last retrieved on February 12, 2017. A more recent docket listing may be available from PACER.

Date Filed Document Text
November 14, 2016 Filing 1577 DECLARATION of Jason Rabe in Support re: 1574 Endorsed Letter,, 1576 Order,,,,, 1575 Order,,,,,. Document filed by Julia Anwar, Pasha S. Anwar. (Finkel, Robert)
November 10, 2016 Opinion or Order Filing 1576 ORDER AUTHORIZING DISTRIBUTION OF THE PWC NET SETTLEMENT FUND: NOW, THEREFORE, upon reading and filing the Declaration of Jason Rabe in Support of Entry of An Order for Distribution of the PwC and PwC Net Settlement Funds; and upon all prior proceedings heretofore, and after due deliberation, it is hereby ORDERED, that Rust is awarded its unpaid fees and expenses of $96,441.47 through September 30, 2016, and Co-Lead Counsel are authorized to establish a reserve of up to $72,255.46 for payment of Rust's anticipated fees and expenses with respect to the distribution and continued administration of the PwC Net Settlement Fund; ORDERED, that the recommendations of the Claims Administrator to approve determinations of claims as indicated on the record of accepted claims submitted and described in the Rabe Declaration, Exhibit C, including claims submitted after the original May 23, 2016 submission deadline, be and the same hereby are approved, and said claims are hereby accepted; and it is further ORDERED, that the recommendations of the Claims Administrator as indicated on the record of rejected claims submitted and described in the Rabe Declaration, Exhibit B, under the Court-approved Settlement Class definition and Plan of Allocation be and the same are hereby approved, and said claims are hereby rejected. (As further set forth in this Order) (Signed by Judge Victor Marrero on 11/10/2016) (kl)
November 10, 2016 Opinion or Order Filing 1575 ORDER AUTHORIZING DISTRIBUTION OF THE CITCO NET SETTLEMENT FUND: NOW, THEREFORE, upon reading and filing the Declaration of Jason Rabe in Support of Entry of An Order for Distribution of the Citco and PwC Net Settlement Funds; and upon all prior proceedings heretofore, and after due deliberation, it is hereby ORDERED, that Rust is awarded its unpaid fees and expenses of $62,615.80 through September 30, 2016, and Co-Lead Counsel are authorized to establish a reserve of up to $75,789.86 for payment of Rust's anticipated fees and expenses with respect to the distribution and continued administration of the Citco Net Settlement Fund; ORDERED, that the recommendations of the Claims Administrator to approve determinations of claims as indicated on the record of accepted claims submitted and described in the Rabe Declaration, Exhibit C, including claims submitted after the original December 28, 2015 submission deadline, be and the same hereby are approved, and said claims are hereby accepted; and it is further ORDERED, that the recommendations of the Claims Administrator as indicated on the record of rejected claims submitted and described in the Rabe Declaration, Exhibit B, under the Court-approved Settlement Class definition and Plan of Allocation be and the same are hereby approved, and said claims are hereby rejected. (As further set forth in this Order) (Signed by Judge Victor Marrero on 11/10/2016) (kl)
November 10, 2016 Opinion or Order Filing 1574 ENDORSED LETTER addressed to Judge Victor Marrero from Robert C. Finkel dated 11/9/2016 re: Accordingly, Co-Lead Counsel respectfully request that the proposed distribution orders be entered by the Court. With the Court's permission, upon entry of the accompanying orders, we will file the Rabe Declaration and exhibits on Pacer. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Co-Lead Counsel. SO ORDERED. (Signed by Judge Victor Marrero on 11/10/2016) (kl)
August 31, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 8/31/2016. David Barrett, Stuart Singer, and Victor Stewart present for the Anwar Plaintiffs. Timothy Duffy present for defendant PricewaterhouseCoopers Canada. Sarah Cave present for defendant PricewaterhouseCoopers Netherlands. Andrew Gordon present for the Citco Defendants. Mark Cunha present for the Fairfield Greenwich Defendants. The Court held a telephone conference in this matter for the purpose of disclosing to the parties that Judge Marreros son, currently a second-year law student, applied for, was offered, and accepted a position as a summer associate at Boies, Schiller & Flexner LLP in 2017. The Court asked the parties whether they had any objection or concern that required further action by the Court, and neither the plaintiffs nor any of the defendants recorded any objection or concern. (mms)
August 5, 2016 Filing 1573 MANDATE of USCA (Certified Copy) USCA Case Number 15-792.By letter dated July 8, 2016, Petitioners move for voluntary dismissal of their petition for leave to appeal docketed under 15-792, with each party to bear its own costs. Respondents consent to the request. IT IS HEREBY ORDERED that the request for dismissal is GRANTED.. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 08/05/2016. (nd)
May 17, 2016 Filing 1572 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a hearing proceeding held on 11/20/15 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 17, 2016 Filing 1571 TRANSCRIPT of Proceedings re: hearing held on 11/20/2015 before Judge Victor Marrero. Court Reporter/Transcriber: Patricia Kaneshiro-Miller, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/10/2016. Redacted Transcript Deadline set for 6/20/2016. Release of Transcript Restriction set for 8/18/2016.(McGuirk, Kelly)
May 11, 2016 Filing 1570 SEALED DOCUMENT placed in vault.(rz)
May 6, 2016 Opinion or Order Filing 1569 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE: IT IS HEREBY ORDERED, ADJUDGED AND DECREED that: 1. This Final Judgment and Order of Dismissal with Prejudice (the "Final Judgment") incorporates by reference the definitions in the Stipulation, and all terms used herein shall have the same meanings as set forth in the Stipulation. 2. This Court has jurisdiction over the subject matter of the Action and over all parties to the Action, including all Settlement Class Members as further set forth in this order. 14. Except as to any individual claim of those Persons (identified in Exhibit 1 attached hereto), who pursuant to the Notice, timely requested exclusion from the Settlement Class before the April 1, 2016, deadline, the Action and all claims contained therein, as well as all of the Released Claims, are dismissed with prejudice as against each and all of the PwC Defendants. The parties are to bear their own costs, except as otherwise provided in the Stipulation as further set forth in this order. 21. The Court hereby grants Plaintiffs' Lead Counsel attorneys' fees of 30% of the $55,000,000 Settlement Fund and expenses in an amount of $1,810,819 together with the interest earned thereon for the same time period and at the same rate as that earned on the Settlement Fund. Said fees shall be allocated by Plaintiffs' Lead Counsel in a manner which, in their good- faith judgment, reflects each Plaintiff's Counsel's contribution to the institution, prosecution and resolution of the Action as further set forth in this order. 31. The Court expressly determines that there is no just reason for delay in entering this Final Judgment and directs the Clerk of the Court to enter this Final Judgment pursuant to Fed. R. Civ. P. 54(b). 32. Without affecting the finality of this Final Judgment in any way, exclusive jurisdiction is hereby retained over the Settling Parties and the Settlement Class Members for all matters relating to the Action, including (i) the administration, interpretation, effectuation or enforcement of the Stipulation and this Final Judgment, (ii) disposition of the Settlement Fund; and (iii) any application for attorneys' fees, costs, interest, and reimbursement of expenses in the Action. (Signed by Judge Victor Marrero on 5/6/2016) *** Party Pricewaterhousecoopers Bermuda, Pricewaterhousecoopers L.L.P., Pricewaterhousecoopers LLP (US), Pricewaterhousecoopers LLP Chartered Accountants, Pricewaterhouse Coopers Accountants N.V. and PricewaterhouseCoopers Accountants Netherlands N.V. terminated. (lmb) Modified on 5/10/2016 (lmb). (Additional attachment(s) added on 5/10/2016: # 1 right to appeal 1, # 2 right to appeal 2) (lmb).
May 6, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Fairness Hearing held on 5/6/2016. David Barrett, Robert Finkel, and Victor E. Stewart present for the Anwar Plaintiffs. Timothy Duffy and Robert Osborne present for PricewaterhouseCoopers Canada. William Maguire and Sarah Cave present for PricewaterhouseCoopers Netherlands. Court found that each of the Grinnell factors weighed decidedly in favor of granting final approval of the PwC Settlement. Court also granted application for attorneys fees and expenses. (mms)
May 2, 2016 Filing 1568 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a TELEPHONE CONFERENCE proceeding held on 02/05/2014 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...(ca)
May 2, 2016 Filing 1567 TRANSCRIPT of Proceedings re: TELEPHONE CONFERENCE held on 2/5/2014 before Magistrate Judge Frank Maas. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/26/2016. Redacted Transcript Deadline set for 6/6/2016. Release of Transcript Restriction set for 8/4/2016.(ca)
April 22, 2016 Filing 1566 REPLY AFFIDAVIT of JASON RABE in Support re: 1559 MOTION for Attorney Fees AND FOR FINAL APPROVAL OF PROPOSED PWC SETTLEMENT AND PLAN OF ALLOCATION AND AWARD OF ATTORNEYS FEES AND REIMBURSEMENT OF EXPENSES.. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
April 22, 2016 Filing 1565 REPLY MEMORANDUM OF LAW in Support re: 1559 MOTION for Attorney Fees AND FOR FINAL APPROVAL OF PROPOSED PWC SETTLEMENT AND PLAN OF ALLOCATION AND AWARD OF ATTORNEYS FEES AND REIMBURSEMENT OF EXPENSES. . Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
April 11, 2016 Filing 1564 ENDORSED LETTER addressed to Clerk of the Court from Alexander B. Richardson re: I oppose the level of settlement being proposed and note that this level of settlement has not been discussed with me previously and had it been done so I would have opposed it at that time for much the same reasons. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Alexander B. Richardson. (Signed by Judge Victor Marrero on 4/11/2016) (lmb)
April 1, 2016 Filing 1563 JOINT DESIGNATION REGARDING THE RECORD ON REMAND: Headway, Standard Chartered and the Individual Defendants hereby stipulate that the contents of the record to be remanded to the United States District Court for the Southern District of Florida consist of: 1. Docket entries 1 and 2 for Civil Action No. 09-md-2088. 2. The entire docket for Civil Action No. 09-8500, including docket entries 1 to 184 and all documents referenced in those entries and any attachments hereto as further set forth in this order. (Signed by Judge Victor Marrero on 4/1/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:09-cv-08500-VM(lmb)
March 18, 2016 Filing 1562 AFFIDAVIT of Jason Rabe in Support re: 1559 MOTION for Attorney Fees AND FOR FINAL APPROVAL OF PROPOSED PWC SETTLEMENT AND PLAN OF ALLOCATION AND AWARD OF ATTORNEYS FEES AND REIMBURSEMENT OF EXPENSES.. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Barrett, David)
March 18, 2016 Filing 1561 DECLARATION of David A. Barrett, Robert C. Finkel and Victor E. Stewart in Support re: 1559 MOTION for Attorney Fees AND FOR FINAL APPROVAL OF PROPOSED PWC SETTLEMENT AND PLAN OF ALLOCATION AND AWARD OF ATTORNEYS FEES AND REIMBURSEMENT OF EXPENSES.. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Barrett, David)
March 18, 2016 Filing 1560 MEMORANDUM OF LAW in Support re: 1559 MOTION for Attorney Fees AND FOR FINAL APPROVAL OF PROPOSED PWC SETTLEMENT AND PLAN OF ALLOCATION AND AWARD OF ATTORNEYS FEES AND REIMBURSEMENT OF EXPENSES. . Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
March 18, 2016 Filing 1559 MOTION for Attorney Fees AND FOR FINAL APPROVAL OF PROPOSED PWC SETTLEMENT AND PLAN OF ALLOCATION AND AWARD OF ATTORNEYS FEES AND REIMBURSEMENT OF EXPENSES. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School.(Barrett, David)
March 17, 2016 Filing 1558 FILING ERROR - DEFICIENT DOCKET ENTRY - AFFIDAVIT of Jason Rabe in Support re: 1556 MOTION for Attorney Fees and Final Approval of Settlement.. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Barrett, David) Modified on 3/18/2016 (db).
March 17, 2016 Filing 1557 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of PLAINTIFFS CO-LEAD COUNSEL IN SUPPORT OF PROPOSED PWC CLASS ACTION SETTLEMENT AND FEE AND EXPENSE REQUEST in Support re: 1556 MOTION for Attorney Fees and Final Approval of Settlement. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Barrett, David) Modified on 3/18/2016 (db).
March 17, 2016 Filing 1556 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Attorney Fees and Final Approval of Settlement. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School.(Barrett, David) Modified on 3/18/2016 (db).
March 17, 2016 Filing 1555 NOTICE of OF MOTION re: 1533 Settlement Agreement,. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
March 11, 2016 Opinion or Order Filing 1554 DECISION AND ORDER: For the reasons stated above, it is hereby ORDERED that the request of the Representative Plaintiffs on their own behalf and on behalf of the Settlement Class (collectively, "Anwar Plaintiffs") to reject eight requests for exclusion from the Citco Final Judgment and Order of Dismissal (Dkt. No. 1457) that were received by the Claims Administrator after the deadline for requesting exclusion (Dkt. No. 1552) is GRANTED. (Signed by Judge Victor Marrero on 3/11/2016) (lmb)
February 25, 2016 Filing 1553 ENDORSED LETTER addressed to Judge Victor Marrero from Jason Rabe dated 2/22/2016 re: I write pursuant to Your Honor's February 19, 2016 Order (Dkt No. 1552) with respect to the late requests for exclusion from the Citco settlement class submitted by eight putative members of that class. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Claims Administrator for the Citco Settlement Fund. (Signed by Judge Victor Marrero on 2/25/2016) (lmb)
February 19, 2016 Filing 1552 ENDORSED LETTER addressed to Judge Victor Marrero from 2/19/2016 dated 2/18/2016 re: We write to request that Your Honor grant plaintiffs permission to file a motion for an order rejecting eight requests for exclusion from the Citco Settlement that were received by the Settlement Administrator over two months after the October 16, 2015 deadline for requesting exclusion from the Citco Settlement Class, and over one month after this Court entered the Final Judgment and Order of Dismissal With Prejudice on November 20, 2015 (Dkt. No. 1457). ENDORSEMENT: The Settlement Administrator is directed to respond by 2-23-16, by letter not to exceed three (3) pages, to the matter set forth above. Plaintiff's Co-lead counsel are directed to communicate this Order to the Settlement Administrator by close of business on 2-19-16. (Signed by Judge Victor Marrero on 2/19/2016) (lmb) (Main Document 1552 replaced on 2/22/2016) (lmb). (lmb).
February 16, 2016 Opinion or Order Filing 1551 DECISION AND ORDER denying 1549 Motion for Reconsideration. Accordingly, it is hereby ORDERED that the motion of New Greenwich Litigation Trustee, LLC, as Successor Trustee of the Greenwich Sentry and Greenwich Sentry Partners Litigation Trusts ("Trustee") for reconsideration of the Court's Order dated February 2, 2016 or, alternatively, a declaration that PricewaterhouseCoopers International Limited ( "PwC International") is bound by the Stipulation of Settlement (Dkt. No. 1549) is DENIED. (Signed by Judge Victor Marrero on 2/16/2016) (lmb)
February 9, 2016 Filing 1550 MEMORANDUM OF LAW in Support re: 1549 MOTION for Reconsideration NOTICE OF PROPOSED INTERVENOR NEW GREENWICH LITIGATION TRUSTEE, LLCS MOTION FOR RECONSIDERATION OF ORDER DATED FEBRUARY 2, 2016. . Document filed by New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts. (Wallner, Robert)
February 9, 2016 Filing 1549 MOTION for Reconsideration NOTICE OF PROPOSED INTERVENOR NEW GREENWICH LITIGATION TRUSTEE, LLCS MOTION FOR RECONSIDERATION OF ORDER DATED FEBRUARY 2, 2016. Document filed by New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts.(Wallner, Robert)
February 3, 2016 Filing 1548 NOTICE of Notice of Withdrawal. Document filed by Pasha S. Anwar. (Sonn, Jeffrey)
February 2, 2016 Opinion or Order Filing 1547 DECISION AND ORDER: For the reasons stated above, it is hereby ORDERED that the request of New Greenwich Litigation Trustee, LLC, as Successor Trustee of the Greenwich Sentry and Greenwich Sentry Partners Litigation Trusts ("Trustee") for a pre-motion conference concerning its proposed motion to intervene in this action for the limited purpose of objecting to the Proposed PwC Settlement (Dkt. No. 1541) is DENIED. (Signed by Judge Victor Marrero on 2/2/2016) (lmb)
February 2, 2016 Filing 1546 NOTICE of Withdrawal of Appearance of Patrick B. Berarducci. Document filed by Standard Chartered Bank International (Americas) Limited, Standard Chartered International (USA) Ltd., Standard Chartererd Bank. (Berarducci, Patrick)
January 29, 2016 Opinion or Order Filing 1545 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Joaquina Teresa Barbachano Herrero v. Standard Chartered Bank International (Americas) Limited and Standard Chartered PLC, No. 11-cv-3553 (S.D.N.Y.), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. SO ORDERED. (Signed by Judge Victor Marrero on 1/29/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(ama)
January 29, 2016 Filing 1544 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 1/29/2016 re: On behalf of New Greenwich Litigation Trustee, LLC, as Successor Trustee ("Trustee") of the Greenwich Sentry and Greenwich Sentry Partners Litigation Trusts, I reply to yesterday's letters of Mr. Duffy and Mr. Barrett. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by New Greenwich Litigation Trustee, LLC. (Signed by Judge Victor Marrero on 1/29/2016) (lmb)
January 29, 2016 Filing 1543 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 1/28/2016 re: The PwC Defendants respectfully request that the Court deny the Trustee's request for a pre-motion conference and the request to intervene, and overrule the Trustee's objections to the pending settlement. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by PwC Defendants herein. (Signed by Judge Victor Marrero on 1/29/2016) (lmb)
January 29, 2016 Filing 1542 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 1/28/2016 re: The Trustee's request to file a motion to intervene should be denied. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter submitted to the Court by the Anwar plaintiffs herein. (Signed by Judge Victor Marrero on 1/29/2016) (tro)
January 25, 2016 Filing 1541 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 1/25/2016 re: We write pursuant to Your Honor's local rules to request a pre-motion conference regarding the Trustee's proposed motion to intervene, pursuant to Fed. R. Civ. P. 24, for the limited purpose of objecting to plaintiffs' settlement with defendants PricewaterhouseCoopers LLP, PricewaterhouseCoopers Accountants, N.Y. (collectively, "PwC"), and PricewaterhouseCoopers International Ltd. ("PwCIL," and collectively with PwC, the "PwC Defendants"). ENDORSEMENT: Plaintiffs and the PWC defendants herein are directed to respond by 1-28-16, jointly by letter not to exceed five (5) pages, to the matters set forth above by non-party New Greenwich Litigation Trustee. (Signed by Judge Victor Marrero on 1/25/2016) (lmb)
January 21, 2016 Opinion or Order Filing 1540 ORDER SUGGESTING REMAND TO TRANSFEROR COURT: ACCORDINGLY, pursuant to Rule 10.1 (b)(i) of the Rules of the JPML, the Court SUGGESTS that the Panel REMAND the case styled Headway Investment Corp. v. American Express Bank Ltd., No. 09-CV-8500 to its transferor court. (Signed by Judge Victor Marrero on 1/21/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:09-cv-08500-VM(lmb)
January 20, 2016 Filing 1539 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 1/20/2016 re: For the foregoing reasons, SCB respectfully requests that the Court require Ms. Barbachano to revise her breach of fiduciary duty and gross negligence claims (Counts I and II) to remove any reference to these previously dismissed and legally insufficient "unauthorized" investment suitability claims. Should the Court permit Ms. Barbachano to file her proposed Revised Third Amended Complaint, SCB requests that the Court defer remand of this action until SCB has the opportunity to move to dismiss these new claims under Rule 12 of the Federal Rules of Civil Procedure. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Bank Defendants. (Signed by Judge Victor Marrero on 1/20/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(mro)
January 12, 2016 Filing 1538 NOTICE of Filing. Document filed by Joaquina Teresa Barbachano Herrero. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(Lindsey, Harold)
January 7, 2016 Opinion or Order Filing 1537 ORDER PRELIMINARY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE OF PROPOSED SETTLEMENT NOW, THEREFORE, IT IS HEREBY ORDERED: The Court does hereby preliminarily approve the Stipulation and the Settlement set forth therein, subject to further consideration at the Settlement Hearing, as described below...The Settlement Hearing shall be held before the Honorable Victor Marrero on 6 May, 2016 at 9:30 a.m., at the at the United States District Court for the Southern District of New York, 500 Pearl Street, New York, New York, 10007, to determine whether the proposed Settlement of the Action with the PwC Defendants on the terms and conditions provided for in the Stipulation is fair, reasonable and adequate to the Settlement Class and should be approved by the Court; and as further set forth in this Order. ( Settlement Conference set for 5/6/2016 at 09:00 AM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 1/7/2016) (mt)
January 7, 2016 Filing 1536 LETTER addressed to Judge Victor Marrero from David A. Barrett dated 1/6/2016 re: We are very pleased to inform the Court that we have electronically filed today a Stipulation of Settlement resolving all claims asserted in this action against the PwC Defendants for $55,000,000...We greatly appreciate the time and attention that the Court has devoted to this matter over the years. We look forward to preserting the settlement for final approval. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the court by plaintiffs. (mt)
January 7, 2016 Filing 1535 ENDORSED LETTER addressed to Judge Victor Marrero from Rivero Mestre dated 1/7/2016 re: We write on behalf of Headway Investment Corporation in order to clarify a possible misunderstanding in the Standard Chartered Defendants' letter dated January 5, 2016. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Headway Investment Corporation. So ordered. (Signed by Judge Victor Marrero on 1/7/2016) (rjm)
January 7, 2016 Opinion or Order Filing 1534 ORDER. It is hereby ORDERED that the request of plaintiff Teresa Barbachano ("Barbachano") to file the proposed Third Amended Complaint (Dkt. Nos. 1525, 1526) is DENIED; and it is further ORDERED that Barbachano may file, by January 12, 2016, a further amended complaint incorporating the uniform negligence count and omitting any previously dismissed claims; and it is further ORDERED that Barbachano's request for partial final judgment pursuant to Rule 54(b) of the Federal Rules of Civil Procedure (Dkt. No. 1529) is DENIED. (Amended Pleadings due by 1/12/2016.) (Signed by Judge Victor Marrero on 1/7/2016) (rjm)
January 6, 2016 Filing 1533 SETTLEMENT AGREEMENT with PwC Defendants. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit A-1, # 3 Exhibit A-2, # 4 Exhibit A-3, # 5 Exhibit B)(Barrett, David)
January 6, 2016 Filing 1532 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 12/29/2015 re: We write on behalf of Standard Chartered Bank International (Americas) Ltd. and Standard Chartered PLC (together, "SCB") in response to the December 22, 2015 letter from plaintiff Teresa Barbachano concerning her proposed Third Amended Complaint, and as further specified in this letter. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Defendants. So ordered. (Signed by Judge Victor Marrero on 1/6/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM (rjm) Modified on 1/6/2016 (rjm).
January 6, 2016 Filing 1531 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 1/5/2016 re: proposed remand for the two Standard Chartered Cases that remain pending at this time. ENDORSEMENT: The Clerk of Court is directed to enter into public record of this action the letter above submitted to the Court by Standard Chartered Defendants. (Signed by Judge Victor Marrero on 1/5/2016) (cdo)
January 6, 2016 Filing 1530 ENDORSED LETTER addressed to Judge Victor Marrero from H. Eugene Lindsey dated 1/5/2016 re: partial final judgment. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiff Teresa Barbachano. (Signed by Judge Victor Marrero on 1/5/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(cdo)
January 4, 2016 Filing 1529 ENDORSED LETTER addressed to Judge Victor Marrero from H. Eugene Lindsey dated 12/30/2015 re: Standard Chartered's correspondence to the Court, dated December 29, 2015. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiff Teresa Barbachano. (Signed by Judge Victor Marrero on 1/4/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(cdo)
January 4, 2016 Opinion or Order Filing 1528 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 12/23/2015 re: seeking a further extension of the current deadline for the filing of the parties' replies in support of thier motions in limine. ENDORSEMENT: SO ORDERED. Request GRANTED. The time for the parties to file replies to the motions in limine herein is extended to 1-8-16. ( Responses due by 1/8/2016) (Signed by Judge Victor Marrero on 1/4/2016) (cdo)
January 4, 2016 Filing 1527 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 12/31/2015 re: Ms. Barbachano filing an amended pleading. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Defendants. (Signed by Judge Victor Marrero on 1/4/2016) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(cdo)
December 23, 2015 Filing 1526 ENDORSED LETTER addressed to Judge Victor Marrero from Katz Barron Squitero Faust and H. Eugene Lindsey dated 12/22/2015 re: Ms. Barbachano hereby advises that she elects to amend her amended complaint, [D.E. 990], to include the "uniform negligence count" and has so amended to include that count as Count VI of her "Third Amended Complaint," which complaint we are filing contemporaneously herewith. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Teresa Barbachano. (Signed by Judge Victor Marrero on 12/23/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(lmb)
December 22, 2015 Filing 1525 NOTICE of Filing. Document filed by Joaquina Teresa Barbachano Herrero. (Attachments: # 1 Exhibit)(Lindsey, Harold)
December 22, 2015 Filing 1524 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Optic Blue Limited v. Standard Chartered Bank International (Americas) Limited, 12-cv-09426 (S.D.N.Y), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41 (a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/22/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:12-cv-09426-VM(lmb)
December 22, 2015 Filing 1523 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Maria Akriby Valladolid v. Am. Express Bank Int'l, 10-CIV-0918 (S.D.N.Y) ("the Action"), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/22/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-00918-VM(lmb)
December 18, 2015 Opinion or Order Filing 1522 STIPULATION AND ORDER OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the Plaintiffs Maridom Limited, Caribetrans, S.A., Abbot Capital, Inc., and the Defendant Standard Chartered Bank International (Americas) Limited, through their respective counsel, that, pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii), the Plaintiffs dismiss with prejudice the action captioned Maridom Limited, et al. v. Standard Chartered Bank International (Americas) Limited, 10-cv-920 (S.D.N.Y), and the same hereby is dismissed with prejudice. Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/18/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-00920-VM(lmb)
December 18, 2015 Filing 1521 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Almiron v. Standard Chartered Bank International (Americas) Ltd, 10-cv- 6186 (S.D.N.Y.) ("the Action"), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41 (a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/18/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-06186-VM(lmb)
December 18, 2015 Filing 1520 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Carillo v. Standard Chartered Bank International (Americas) Ltd., 10-cv-6187 (S.D.N.Y.) ("the Action"), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/18/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-06187-VM(lmb)
December 17, 2015 Opinion or Order Filing 1519 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 12/17/2015 re: request for extension of the deadline for parties to file their replies in support of their motions in limine to December 23, 2015. ENDORSEMENT: Request GRANTED. The time for the parties to file motion in limine replies herein is extended to 12/23/15. SO ORDERED. (Replies due by 12/23/2015.) (Signed by Judge Victor Marrero on 12/17/2015) (adc)
December 14, 2015 Filing 1518 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Mailand Investment Inc. v. Standard Chartered Bank International (Americas) Limited, 11-cv-5732 (S.D.N.Y) ("the Action"), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/14/2015) (lmb)
December 14, 2015 Filing 1517 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the actions: Blockbend Limited v. Standard Chartered Bank International (Americas) Limited, 11-cv-07650; Eduardo Child Escobar, et al. v. Standard Chartered Bank International (Americas) Limited, 11-cv-06787; and Eastfork Assets Limited v. Standard Chartered Bank International (Americas) Limited, 11-cv-07653 ("the Actions"), including the Actions' complaints and all causes of action therein, be and hereby are dismissed pursuant to Federal Rule of Civil Procedure 41(a)(l)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/14/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-06787-VM, 1:11-cv-07650-VM, 1:11-cv-07653-VM(cf)
December 14, 2015 Filing 1516 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by and between the parties, through their counsel, that the action captioned Baymall Investments Limited v. Standard Chartered Bank International (Americas) Limited, 11-cv-07649 (S.D.N.Y)("the Action"), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(li). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/14/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-07649-VM(cf)
December 14, 2015 Filing 1515 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Gerico Inc. and Alicia Gaviria de Rivera v. Standard Chartered Bank International (Americas) Limited, 11-cv-909 (S.D.N.Y) ("the Action"), be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 12/14/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-00909-VM(lmb)
December 10, 2015 Transmission of USCA Mandate/Order to the District Judge re: 1514 USCA Mandate. (tp)
December 9, 2015 Filing 1514 MANDATE of USCA (Certified Copy) USCA Case Number 15-792(L); 15-806(CON). Petitioners have moved, pursuant to Federal Rule of Civil Procedure 23(f), for leave to appeal the district courts order granting Respondents motion for class certification. By letter dated November 20, 2015, Petitioners Citco Group Limited, Citco Fund Services (Europe) BV, Citco (Canada), Incorporated, Citco Global Custody N.V., CITCO Bank Nederland N.V. Dublin Branch and Citco Fund Services (Bermuda) Limited (the Citco Petitioners) informed this Court that the district court has entered a final judgment and order of dismissal of claims asserted in this action against Citco. By letter dated November 30, 2015, Petitioners PricewaterhouseCoopers LLP, PricewaterhouseCoopers Accountants N.V. (the PwC Petitioners) informed this Court that the parties have reached an agreement to settle the underlying case and that they expect to present a formal settlement agreement to the district court for approval within the next few weeks. Upon due consideration, it is hereby ORDERED that the Rule 23(f) petition filed by the Citco Petitioners, docket no. 15-806, is DENIED as moot in light of the district courts final judgment and order of dismissal. It is further ORDERED that the Rule 23(f) petition filed by the PwC Petitioners, docket no. 15-792, is held in abeyance pending the finalization of the partiessettlement and the district courts approval of the settlement. The PwC Petitioners must submit, in 30-day intervals, a letter updating the Court as to the status of their case. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 12/9/2015. (tp)
December 4, 2015 Filing 1513 ENDORSED LETTER addressed to Judge Victor Marrero from Robert C. Finkel dated 12/4/2015 re: Your Honor's Order dated December 2, 2015 (Dkt. No. 1463) inadvertently directed the ECF Docketing Clerk to unseal Docket No. 1456 -- Exhibit No. 1 to the recently entered Final Judgment in the Citco Settlement. Exhibit 1 is currently on the public docket as Docket No. 1483. We respectfully request that this letter be so ordered, directing the ECF Docketing Clerk to remove Docket No. 1483 from the public files and to continue to maintain Docket No. 1456 under seal. ENDORSEMENT: The Clerk of Court is directed to remove Docket No. 1483 from the public files and continue to maintain Docket No. 1456 under seal. (Signed by Judge Victor Marrero on 12/4/2015) (lmb)
December 3, 2015 Set/Reset Deadlines: Amended Pleadings due by 12/22/2015. (spo)
December 3, 2015 Filing 1473 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 12/3/2015 re: Request that the Court defer its decision on remand until 12/22/2015. ENDORSEMENT: Request GRANTED. Any Standard Chartered Plaintiff who seeks to amend the complaint herein solely for the purpose of pleading the uniform negligence claim referred to above and attached to this letter is directed to do so by 12-22-15. (Signed by Judge Victor Marrero on 12/3/2015) (spo)
December 2, 2015 Transmission to Sealed Records Clerk. Transmitted re: 1463 Order, to the Sealed Records Clerk for the sealing or unsealing of document or case. (lmb)
December 2, 2015 Opinion or Order Filing 1463 ORDER: Non-party New Greenwich Litigation Trustee, LLC, as Successor Trustee of the Greenwich Sentry, L.P. and Greenwich Sentry P.irtncrs, L.P. Litigation Trusts, having moved for an Order unsealing the parties' filings in connection with their motions in limine, and the Court having reviewed correspondence from the parties and conducted a telephonic conference on the motion, hereby directs the Clerk of the Court to unseal and enter on the public docket the documents filed under docket entries number 1439, 1441, 1456, and 1458. (Signed by Judge Victor Marrero on 12/2/2015) (lmb)
December 2, 2015 Filing 1462 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the action captioned Victor Jorge Saca, et al. v. Standard Chartered Bank International (Americas) Limited, No. 11-CV-3480, be and hereby is dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. The Court shall retain jurisdiction solely to enforce any settlement between the parties. (Signed by Judge Victor Marrero on 12/1/2015) (lmb)
November 25, 2015 ***DELETED DOCUMENT (as duplicative of entry 1464 . Deleted document number 1465 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 11/25/2015. The document was incorrectly filed in this case. (tro)
November 25, 2015 Filing 1464 ENDORSED LETTER re: 1437 MOTION in Limine (Notice of Omnibus Motion in Limine), filed by Pricewaterhousecoopers L.L.P., Pricewaterhouse Coopers Accountants N.V. addressed to Judge Victor Marrero from David A. Barrett dated 11/25/2015 re: Request an extension of time to file response. ENDORSEMENT: Request GRANTED. The time for the parties to file responses to their motions in liminie is extended to 12-18-15. Set Deadlines/Hearing as to 1437 MOTION in Limine (Notice of Omnibus Motion in Limine): (Responses due by 12/18/2015). (Signed by Judge Victor Marrero on 11/25/2015) (spo) Modified on 12/3/2015 (spo).
November 25, 2015 Set/Reset Deadlines: Replies due by 12/18/2015. (cdo)
November 24, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 11/24/2015. David Barrett and Victor Stewart present for Anwar Plaintiffs. Timothy Duffy present for PricewaterhouseCoopers Canada. Sarah Cave present for PricewaterhouseCoopers Netherlands. Robert Wallner present for New Greenwich Litigation Trustee. Parties are directed to submit a proposed order or stipulation to unseal the motions in limine filed by the Anwar Plaintiffs and PricewaterhouseCoopers Defendants. The Parties will provide the motion for summary judgment and Daubert filings to the New Greenwich Litigation Trustee in accordance with the confidentiality order. (mms)
November 24, 2015 Filing 1461 SEALED DOCUMENT placed in vault.(rz)
November 24, 2015 Filing 1460 SEALED DOCUMENT placed in vault.(rz)
November 24, 2015 Filing 1459 ENDORSED LETTER addressed to Judge Victor Marrero from Diane L. McGimsey dated 11/23/2015 re: The Standard Chartered Plaintiffs and Standard Chartered Defendants therefore jointly request an extension until December 2, 2015 for providing further updates to the Court on these two issues. ENDORSEMENT: Request GRANTED. The time for the parties to update the Court on the issues discussed above is extended to 12-2-15. (Signed by Judge Victor Marrero on 11/24/2015) (lmb)
November 20, 2015 Filing 1512 EXHIBIT 10 (Colima Judgment). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1511 EXHIBIT 9 (Disciplinary Council of Accountants and Auditors of the Netherlands). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1510 EXHIBIT 8 (Review of Fraud Report 2008). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1509 EXHIBIT 7 (FINRA). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1508 EXHIBIT 6 (Expert Report of C. Lundelius). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1507 EXHIBIT 5 (Expert Report of Richard P. Meyerowich). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1506 EXHIBIT 4 (Expert Report of Robert H. Temkin). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1505 EXHIBIT 3 (Deposition Transcript of D. Carmichael). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1504 EXHIBIT 2 (Rebuttal Expert Report of D. Carmichael). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1503 EXHIBIT 1 (Expert Report of D. Carmichael). This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1472 DECLARATION OF SARAH L. CAVE IN SUPPORT OF THE PwC DEFENDANTS' MEMORANDA OF LAW IN OPPOSITION TO PLAINTIFFS' MOTIONS IN LIMINE. This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1471 PwC DEFENDANTS' MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFFS' MOTION IN LIMINE NO. 6 TO EXCLUDE ISSUE OF PLAINTIFFS' COMPARATIVE FAULT. This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1470 PwC DEFENDANTS' MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFFS' MOTION IN LIMINE NO. 5 TO EXCLUDE REFERENCE TO COLLATERAL SOURCE PAYMENTS. This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1469 PwC DEFENDANTS' MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFFS' MOTION IN LIMINE NO. 4 TO EXCLUDE EVIDENCE OF DEFENDANTS' FEES. This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1468 PwC DEFENDANTS' MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFFS' MOTION IN LIMINE NO. 3 TO EXCLUDE DECISIONS REACHED IN OTHER CASES OR PROCEEDINGS. This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1467 PwC DEFENDANTS' MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFFS' MOTION IN LIMINE NO. 2 TO PRECLUDE REFERENCE TO NON-AUDIT INQUIRIES, EXAMINATIONS AND INVESTIGATIONS OF MADOFF AND BLMIS. This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1466 PwC DEFENDANTS' MEMORANDUM OF LAW IN OPPOSITION TO PLAINTIFFS' MOTION IN LIMINE NO. 1 TO EXCLUDE EVIDENCE CONCERNING AUDITS OF NON-FAIRFIELD FUNDS. This Document was previously filed under seal in envelope doc. number 1458 and unsealed pursuant to Order doc. number 1463. (rjm)
November 20, 2015 Filing 1458 SEALED DOCUMENT placed in vault.(rz)
November 20, 2015 Opinion or Order Filing 1457 FINAL JUDGMENT AND ORDER OF DISMISSALWITH PREJUDICE: IT IS HEREBY ORDERED, ADJUDGED AND DECREED that: 1. This Final Judgment and Order of Dismissal with Prejudice (the "Final Judgment") incorporates by reference the definitions in the Stipulation, and all terms used herein shall have the same meanings as set forth in the Stipulation as further set forth in this order. 6. Pursuant to Rule 23(a) and (b)(3) of the Federal Rules of Civil Procedure, the Court hereby certifies the Action as a class action for purposes of this Settlement only as further set forth in this order. 7. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, this Court hereby approves the Settlement set forth in the Stipulation and finds that said Settlement is, in all respects, fair, reasonable and adequate to, and is in the best interests of, the Representative Plaintiffs, the Settlement Class and each of the Settlement Class Members as further set forth in this order. 14. Except as to any individual claim of those Persons (identified in Exhibit 1 attached hereto), who pursuant to the Notice, timely requested exclusion from the Settlement Class before the October 16, 2015, deadline, as well as three additional Persons whose Requests for Exclusion were received by the Claims Administrator on October 19, 2015, one business day after the deadline, and one additional Person whose Request for Exclusion was received by the Claims Administrator on November 5, 2015, who this Court, in its discretion, has determined should be treated (and the Citco Defendants have not opposed their treatment) as valid opt-outs, the Action and all claims contained therein, as well as all of the Released Claims, are dismissed with prejudice as against each and all of the Citco Defendants. The parties are to bear their own costs, except as otherwise provided in the Stipulation as further set forth in this order. 21. The Court hereby grants Plaintiffs' Lead Counsel attorneys' fees of 30% of the $125,000,000 Settlement Fund and expenses in an amount of $4,438,320 together with the interest earned thereon for the same time period and at the same rate as that earned on the Settlement Fund. Said fees shall be allocated by Plaintiffs' Lead Counsel in a manner which, in their good-faith judgment, reflects each Plaintiffs Counsel's contribution to the institution, prosecution and resolution of the Action as further set forth in this order. 32. Without affecting the finality of this Final Judgment in any way, exclusive jurisdiction is hereby retained over the Settling Parties and the Settlement Class Members for all matters relating to the Action, including (i) the administration, interpretation, effectuation or enforcement of the Stipulation and this Final Judgment, (ii) disposition of the Settlement Fund; and (iii) any application for attorneys' fees, costs, interest, and reimbursement of expenses in the Action., CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Global Custody N.V., Citco Group Limited, CITCO Bank Nederland N.V. Dublin Branch and CITCO Fund Services (Europe) B.V. terminated. (Signed by Judge Victor Marrero on 11/20/2015) (lmb)
November 20, 2015 Filing 1456 SEALED DOCUMENT placed in vault.(rz)
November 20, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Fairness Hearing held on 11/20/2015. David Barrett, Stuart Singer, Robert Finkel, and Victor E. Stewart present for the Anwar Plaintiffs. Andrew Gordon and Gregory Laufer present for the Citco Defendants. Timothy Duffy present for PricewaterhouseCoopers Canada. William Maguire present for PricewaterhouseCoopers Netherlands. Court reporter present. Court found that each of the Grinnell factors weighed decidedly in favor of granting final approval of the Citco Settlement. Court also granted application for attorneys fees and expenses. (mms)
November 18, 2015 Opinion or Order Filing 1455 ORDER: All parties are informed that the Settlement Hearing in this matter that was scheduled for November 20, 2015 at 11:00 am has been rescheduled for November 20, 2015 at 10:30 am. (Settlement Conference set for 11/20/2015 at 10:30 AM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 11/18/2015) (tn)
November 18, 2015 Filing 1454 SEALED DOCUMENT placed in vault.(mps)
November 16, 2015 Filing 1453 SEALED DOCUMENT placed in vault.(mps)
November 16, 2015 Filing 1452 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 11/10/2015 re: I write on behalf of my client, PricewaterhouseCoopers LLP ("PwC Canada"), defendant PricewaterhouscCoopers Accountants N.V. ("PwC Netherlands") (collectively, the "PwCDefendants") in response to Mr. Wallner's letter of November 5, 2015 asking the Court unseal the parties' motion in limine filings. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by PwC Defendants. (Signed by Judge Victor Marrero on 11/16/2015) (lmb) Modified on 11/17/2015 (lmb). Modified on 11/17/2015 (lmb).
November 13, 2015 Filing 1451 JOINT PRELIMINARY TRIAL REPORT. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, PricewaterhouseCoopers Accountants Netherlands N.V., Pricewaterhousecoopers L.L.P., Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A - Plaintiff's Witness List, # 2 Exhibit B - Defendant's Witness List, # 3 Exhibit C - Deposition Designations)(Barrett, David)
November 13, 2015 Filing 1450 STIPULATION OF VOLUNTARY DISMISSAL WITH PREJUDICE: IT IS HEREBY STIPULATED AND AGREED by the parties, through their counsel, that the actions listed in Exhibit A attached hereto ("the Actions"), including the Actions' complaints and all causes of action therein, be and hereby are dismissed pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii). Each party will bear its own attorneys' fees and costs. (Signed by Judge Victor Marrero on 11/13/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(spo)
November 13, 2015 Filing 1449 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 11/10/2015 re: Response to November 10, 2015 letters. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by New Greenwich Litigation Trustee. (Signed by Judge Victor Marrero on 11/13/2015) (spo)
November 13, 2015 Filing 1448 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 11/12/2015 re: Request for an extension of time to submit update. ENDORSEMENT: Request GRANTED. The time for the parties' update referred to above is extended to 11-23-15. (Signed by Judge Victor Marrero on 11/13/2015) (spo)
November 12, 2015 Filing 1447 NOTICE of PLAINTIFFS OPPOSITION TO MOTION FOR SUMMARY JUDGMENT. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
November 6, 2015 Filing 1446 REPLY AFFIDAVIT of Jason Rabe in Support re: 1417 MOTION for Attorney Fees and Expenses in Connection with Settlement.. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Finkel, Robert)
November 6, 2015 Filing 1445 REPLY MEMORANDUM OF LAW in Support re: 1417 MOTION for Attorney Fees and Expenses in Connection with Settlement. . Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit Proposed Judgment)(Finkel, Robert)
November 6, 2015 Filing 1444 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew Gordon dated 11/4/2015 re: We represent the Citco Defendants in the above action. As directed by the Court, we respectfully submit this letter in response to the October 30, 2015 letter submitted by advisors to and representatives of certain investors (the "Deminor Investors") in the Fairfield Sentry Ltd., Fairfield Sigma Ltd. and Fairfield Lambda Ltd. funds. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citco Defendants. (Signed by Judge Victor Marrero on 11/6/2015) (lmb)
November 6, 2015 Filing 1443 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 11/5/2015 re: We respectfully request that the Court schedule a pre-motion conference so that we may further address this matter. ENDORSEMENT: The parties are directed to respond by 11-10-15, by letter not to exceed three (3) pages, to the matter set forth above by Successor Trustee, showing cause why the relief requested should not be granted. (Signed by Judge Victor Marrero on 11/6/2015) (lmb)
November 6, 2015 Filing 1442 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 11/5/2015 re: The parties jointly request extension of the deadline for responses to November 20 with replies due on November 25. ENDORSEMENT: Request GRANTED. The schedule for submissions of motions in limine is extended as set forth above., ( Responses due by 11/20/2015., Replies due by 11/25/2015.) (Signed by Judge Victor Marrero on 11/6/2015) (lmb)
November 5, 2015 Filing 1441 SEALED DOCUMENT placed in vault.(mps)
November 4, 2015 Filing 1440 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 11/3/2015 re: We write on behalf of the Anwar Plaintiffs to respectfully request permission to file the following documents under seal as further set forth in this letter. ENDORSEMENT: Request GRANTED. Plaintiffs are authorized to file the documents referred to above under seal. (Signed by Judge Victor Marrero on 11/3/2015) (lmb)
November 3, 2015 Filing 1439 SEALED DOCUMENT placed in vault.(mps)
November 2, 2015 Filing 1438 NOTICE of PLAINTIFFS MOTIONS IN LIMINE. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
November 2, 2015 Filing 1437 MOTION in Limine (Notice of Omnibus Motion in Limine). Document filed by Pricewaterhouse Coopers Accountants N.V., Pricewaterhousecoopers L.L.P..(Maguire, William)
November 2, 2015 Filing 1436 JOINT STIPULATION OF DISMISSAL WITH PREJUDICE: The parties in Lyac Venture Corp. v. Standard Chartered Bank (International) Limited, 12-cv-9422 (S.D.N.Y.) ("Lyac Venture Corp.") and Quiroz Stone v. Standard Chartered Bank International (Americas) Limited, No. 11-cv-7651 (S.D.N.Y.) ("Quiroz Stone") hereby stipulate and agree that, pursuant to Federal Rule of Civil Procedure Rule 41(a) (1)(A)(ii), the Lyac Venture Corp. and Quiroz Stone actions are DISMISSED with prejudice and without an award of costs or fees to any party. (Signed by Judge Victor Marrero on 11/2/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-07651-VM, 1:12-cv-09422-VM(lmb) Modified on 11/3/2015 (lmb).
November 2, 2015 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Laurence Curran Document 1432 Stipulation of Voluntary Dismissal was referred to Judge Victor Marrero for approval. (km)
October 30, 2015 Filing 1435 ENDORSED LETTER addressed to Judge Victor Marrero from Charles Demoulin and Joeri Klein dated 10/30/2015 re: The Investors suffered significant losses on their investments in the Funds as a result of the fraud committed by Bernard Madoff ("Madoff") and Bernard Madoff investment Securities ("BMIS"). ENDORSEMENT: The Citco Parties are directed to respond by 11-4-15, by letter not to exceed three (3) pages to the matter set forth above by the Investors referred to. (Signed by Judge Victor Marrero on 10/30/2015) (kl)
October 30, 2015 Opinion or Order Filing 1434 STIPULATION AND ORDER OF DISMISSAL PREJUDICE: The parties in Tierra C. V., et al. v. Standard Chartered Bank. International (Americas) Limited, No. 11-cv-5731 (S.D.N.Y.) ("Tierra C. V."), Iston Holdings Ltd., et al. v. Standard Chartered Bank International (Americas) Ltd., No. 11-cv-901 (S.D.N.Y.) ("Iston Holdings Ltd.") and New Horizon Development Inc., et al. v. Standard Chartered Bank International (Americas) Ltd., No. 11-cv-898 (S.D.N.Y.) ("New Horizon Dev. Inc.") hereby stipulate and agree, pursuant to Federal Rule of Civil Procedure Rule 41 (a)(2), that: The claims brought by Ali Ltd., Bellwood Ltd., and Accent Group Ltd. in Tierra C. V. are DISMISSED with prejudice and without an award of costs or fees to any party. The claims brought by Nemagus Ltd. in Iston Holdings Ltd. are DISMISSED with prejudice and without an award of costs or fees to any party. The claims brought by Continental Rainbow Group Ltd in New Horizon Dev. Inc. are DISMISSED with prejudice and without an award of costs or fees to any party. Only the claims of these five specific plaintiffs are dismissed. The Tierra C. V., Iston Holdings Ltd. and New Horizon Dev. Inc. actions are not dismissed, and the remaining parties in those actions reserve all of their rights in all other respects. Bellwood Ltd., Continental Rainbow Group, Inc., Accent Group Ltd. and Ali Ltd. terminated. (Signed by Judge Victor Marrero on 10/30/2015) (kl)
October 30, 2015 Opinion or Order Filing 1433 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE: WHEREAS, on December 9, 2010, plaintiff Ricardo Rodriguez Caso ("Caso") filed a putative class action complaint against defendants Standard Chartered plc and Standard Chartered Bank International (Americas) Ltd. (collectively, "Defendants") captioned Ricardo Rodriguez Caso v. Standard Chartered Bank International (Americas) Ltd., et al., No. 10-CV-9196 (S.D.N.Y.) (the "Caso Action"); WHEREAS, on May 18, 2012, the Court ordered Mr. Caso to arbitrate his individual claims and stayed the Caso Action pending completion of arbitration (Dkt. No. 882); WHEREAS, on January 29, 2014, the American Arbitration Association closed its file relating to Mr. Caso's arbitration; WHEREAS, on October 7, 2015, Defendants requested a pre-motion conference seeking dismissal of the Caso Action because Mr. Caso's arbitration proceedings are complete; WHEREAS, on October 8, 2015, the Court Ordered Mr. Caso to show cause by October 13, 2015 as to why the Caso Action should not be dismissed; and WHEREAS, Mr. Caso did not respond to the Court's October 8, 2015 Order and no cause has been shown why the Caso Action should not be dismissed. NOW, THEREFORE, IT IS HEREBY ORDERED that Caso v. Standard Chartered Bank International (Americas) Ltd., et al., No. 10-CV-9196 (S.D.N.Y.) is hereby dismissed with prejudice. (Signed by Judge Victor Marrero on 10/29/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-09196-VM(mro) Modified on 11/2/2015 (mro).
October 30, 2015 Filing 1432 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - 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, with prejudice against the defendant(s) Standard Chartered Bank International (Americas) Limited, Standard Chartered Bank International (Americas) Limited(a Foreign entity), Standard Chartered International (USA) Ltd., Standard Chartered PLC and without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Lyac Venture Corp., Juan D. Quiroz Stone.(Curran, Laurence) Modified on 11/2/2015 (km).
October 29, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 10/29/2015. Richard Brodsky, Jorge Mestre, Matthew Jones, Eugene Lindsey, Jeff Sonn, and Curtis Corteson present for the Standard Chartered Plaintiffs. Sharon Nelles and Diane McGimsey present for the Standard Chartered Defendants. Parties are to update the Court in two weeks regarding uniform negligence count and proposed remand order. Standard Chartered Defendants are to submit proposed order regarding dismissal of Caso action. (mms)
October 27, 2015 Filing 1431 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 10/22/2015 re: I write on behalf of my client, PricewaterhouseCoopers LLP ("PwC Canada"), defendant PricewaterhouseCoopers Accountants N.V. ("PwC Netherlands") (collectively, the "PwC Defendants"), and the Plaintiffs (together with the PwC Defendants, "the Parties") to ask the Court to approve a slight modification to the current schedule for the Parties' pre-trial submissions, and as further specified in this letter. ENDORSEMENT: Request GRANTED. The scheduling Order herein is modified to extend the time for the parties' pretrial submission to 11/13/15 and the exhibit list to 11/20/2015. Other applicable dates remail unchanged. So ordered. (Motions due by 11/2/2015.) (Signed by Judge Victor Marrero on 10/27/2015) (rjm).
October 23, 2015 Opinion or Order Filing 1430 ORDER denying 1414 Motion for Summary Judgment. Accordingly, it is hereby ORDERED that the motion of PricewaterhouseCoopers LLP and PricewaterhouseCoopers Accountants N. V. (collectively, "PwC Defendants") for summary judgment on the remaining claim of negligence (Dkt. No. 1414) is DENIED as to the grounds described above; and it is further ORDERED that Anwar Plaintiffs are directed to respond to the three remaining issues outlined above in accordance with the schedule and page limits set by the Court during its telephone conference with the parties on October 21, 2015. (Signed by Judge Victor Marrero on 10/23/2015) (lmb)
October 21, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 10/21/2015. Counsel for Anwar Plaintiffs and PwC Defendants present. The Anwar Plaintiffs are directed to respond to three issues in the PwC Defendants' motion for summary judgment. Response is due November 12, 2015 with a page limit of 15 pages. The PwC Defendants are permitted a reply due by November 23, 2015 with a page limit of 7 pages. (mms)
October 14, 2015 Filing 1429 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 10/13/2015 re: By endorsement order dated October 9, 2015 (DE 1428), Your Honor has directed the "Plaintiffs" to respond to the Standard Chartered Defendants' letter to the Court dated October 8, 2015. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 10/14/2015) (tn)
October 9, 2015 Filing 1428 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 10/8/2015 re: We write on behalf of the Standard Chartered Defendants ("SCB") in response to the letter submitted yesterday from liaison counsel for the Standard Chartered Plaintiffs' Steering Committee regarding the Order of the Court also issued yesterday (Dkt. No. 1425). ENDORSEMENT: Plaintiffs are directed to respond by 10-14-15, by letter not to exceed three (3) pages, to the matter set forth above by Standard Chartered Defendants. (Signed by Judge Victor Marrero on 10/9/2015) (lmb)
October 8, 2015 Filing 1427 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 10/7/2015 re: We therefore reiterate our request that the Court promptly schedule a conference to discuss possible remand to the Judicial Panel on Multidistrict Litigation and disposition of these cases. ENDORSEMENT: Standard Chartered defendants are directed to respond by 10-13-15 by letter not to exceed three (3) pages, to the matter set forth above by Standard Chartered plaintiffs, showing cause why the relief requested should not be granted. (Signed by Judge Victor Marrero on 10/8/2015) (lmb)
October 8, 2015 Filing 1426 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 10/7/2015 re: We write on behalf of Standard Chartered plc and Standard Chartered Bank International (Americas) Ltd. ("SCBI," and together with Standard Chartered pie, the "Bank") to request a pre-motion conference concerning dismissal of the case captioned Ricardo Rodriguez Caso v. Standard Chartered Bank International (Americas) Ltd., et al., No. 10- CV-9196 (S.D.N.Y.) ("Caso"). ENDORSEMENT: Plaintiff Ricardo Caso is directed to respond by 10-13-15 by letter not to exceed two pages, to the matter set forth above by defendants SCBI, showing cause why the relief requested should not be granted. (Signed by Judge Victor Marrero on 10/8/2015) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-09196-VM(lmb) Modified on 10/9/2015 (lmb).
October 7, 2015 Opinion or Order Filing 1425 ORDER: Accordingly, it is hereby ORDERED that the request of Defendants Standard Chartered Bank International (Americas) Ltd. I Standard Chartered International (USA) Ltd., Standard Chartered Bank, and Standard Chartered PLC (collectively, the "Standard Chartered Defendants") for a pre-motion conference regarding the Standard Chartered Defendants' contemplated motion for summary judgment is DENIED. (Signed by Judge Victor Marrero on 10/7/2015) (lmb)
October 6, 2015 Filing 1424 AFFIRMATION of JASON RABE in Support re: 1422 Memorandum of Law in Support,. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C - Part 1 of 3, # 4 Exhibit C - Part 2 of 3, # 5 Exhibit C - Part 3 of 3, # 6 Exhibit D)(Barrett, David)
October 6, 2015 Filing 1423 DECLARATION of David A. Barrett, Robert C. Finkel and Victor E. Stewart in Support re: 1422 Memorandum of Law in Support,. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Barrett, David)
October 6, 2015 Filing 1422 MEMORANDUM OF LAW in Support re: 1416 Notice (Other), PLAINTIFFS MEMORANDUM IN SUPPORT OF PROPOSED SETTLEMENT AND FEE AWARD. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
October 6, 2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney David A. Barrett to RE-FILE Document 1418 Declaration in Support of Motion, 1419 Affidavit in Support of Motion. ERROR(S): Document(s) linked to filing error. (db)
October 6, 2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney David A. Barrett to RE-FILE Document 1417 MOTION for Attorney Fees and Expenses in Connection with Settlement. Use the event type Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents. (db)
October 1, 2015 Filing 1421 SEALED DOCUMENT placed in vault.(rz)
October 1, 2015 Filing 1420 SEALED DOCUMENT placed in vault.(rz)
October 1, 2015 Filing 1419 FILING ERROR - DEFICIENT DOCKET ENTRY - AFFIDAVIT of JASON RABE in Support re: 1417 MOTION for Attorney Fees and Expenses in Connection with Settlement.. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 A, # 2 B, # 3 C - Part 1 of 3, # 4 C - Part 2 of 3, # 5 C - Part 3 of 3, # 6 D)(Barrett, David) Modified on 10/6/2015 (db).
October 1, 2015 Filing 1418 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of David A. Barrett, Robert C. Finkel and Victor E. Stewart in Support re: 1417 MOTION for Attorney Fees and Expenses in Connection with Settlement.. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Barrett, David) Modified on 10/6/2015 (db).
October 1, 2015 Filing 1417 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Attorney Fees and Expenses in Connection with Settlement. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School.(Barrett, David) Modified on 10/6/2015 (db).
October 1, 2015 Filing 1416 NOTICE of Motion re: 1398 Settlement Agreement. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
October 1, 2015 Filing 1415 MOTION to Exclude Expert Testimony . Document filed by Pricewaterhouse Coopers Accountants N.V., Pricewaterhousecoopers L.L.P..(Maguire, William)
October 1, 2015 Filing 1414 MOTION for Summary Judgment . Document filed by Pricewaterhouse Coopers Accountants N.V., Pricewaterhousecoopers L.L.P..(Maguire, William)
September 15, 2015 Opinion or Order Filing 1413 DECISION AND ORDER: For the reasons stated above, it is hereby ORDERED that the request of New Greenwich Litigation Trustee, LLC, as Successor Trustee of the Greenwich Sentry and Greenwich Sentry Partners Litigation Trusts ("Trustee") for a pre-motion conference concerning its proposed motion to intervene in this action for the purpose of objecting to the Proposed Citco Settlement is DENIED. (As further set forth in this Order) (Signed by Judge Victor Marrero on 9/15/2015) (lmb) Modified on 9/15/2015 (lmb).
September 8, 2015 Filing 1412 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 8/31/2015 re: We respectfully request that the Court (i) formally deny the Standard Chartered Defendants' request for leave to file a motion for summary judgment, and (ii) schedule a conference to discuss possible remand to the Judicial Panel on Multidistrict Litigation and disposition of these cases. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered plaintiffs. (Signed by Judge Victor Marrero on 9/8/2015) (lmb) Modified on 9/9/2015 (lmb).
September 8, 2015 Opinion or Order Filing 1411 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barret dated 9/03/2015 re: Anwar Plaintiffs responds to the August 21, 2015 Letter. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Anwar Plaintiff. SO ORDERED. (Signed by Judge Victor Marrero on 9/08/2015) (ama)
September 8, 2015 Opinion or Order Filing 1410 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew Gordon dated 9/03/2015 re: We represent Citco in the above-referenced action. As requested by the Court, we are submitting this letter in response to the August 21, 2015 letter submitted by the New Greenwich Litigation Trustee, LLC, as Successor Trustee of the Greenwich Sentry and Greenwich Sentry Partners Litigation Trust (the "Trustee"), concerning certain objections raised by the Trustee to the proposed settlement between the Anwar plaintiffs and Citco. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Citco Defendants. SO ORDERED. (Signed by Judge Victor Marrero on 9/08/2015) (ama)
September 8, 2015 Opinion or Order Filing 1409 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 9/03/2015 re: We briefly respond to the letters submitted today by the Plaintiffs and the Citco Defendants, regarding the Trustee's request for a pre-motion conference concerning the Trustee's proposed motion to intervene. ENDORSEMENT: The Clerk of court is directed to enter into the public record of this action the letter above submitted to the Court by New Greenwich Litigation Trustees. SO ORDERED. (Signed by Judge Victor Marrero on 9/08/2015) (ama)
August 28, 2015 Filing 1408 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 8/21/2015 re: We write pursuant to Your Honor's local rules to request a pre-motion conference regarding the Trustee's proposed motion to intervene, pursuant to Fed. R. Civ. P. 24, for the limited purpose of objecting to the Anwar plaintiffs' settlement with the Citco Defendants. ENDORSEMENT: The parties are directed to respond by 9-3-15, by letters not to exceed three (3) pages to the matter set forth above by the New Greenwich Litigation Trustee. (Signed by Judge Victor Marrero on 8/28/2015) (lmb)
August 28, 2015 Opinion or Order Filing 1407 DECISION AND ORDER re: 1399 MOTION for Reconsideration or, Alternatively, Certification of Question for Interlocutory Appeal. filed by Standard Chartered PLC, Standard Chartered Bank International (Americas) Limited, Standard Chartererd Bank, Standard Chartered International (USA) Ltd. Accordingly, for the reasons stated above, it is hereby ORDERED that the Motion (Dkt. No. 1399) of defendants Standard Chartered Bank International (Americas) Ltd., Standard Chartered International (USA) Ltd., Standard Chartered Bank, and Standard Chartered PLC (collectively, "Standard Chartered Defendants") for reconsideration of the Court's July 29, 2015 Decision and Order is GRANTED in part, as described in the Decision above, dismissing allegations based on the Standard Chartered Defendants' failure to disclose investment risk. The Court's August 13, 2015 Decision and Order denying in part the Standard Chartered Defendants' motion for reconsideration remains in effect. The Clerk of Court is directed to terminate the Standard Chartered Defendants' motion for reconsideration (Dkt. No. 1399). (As further set forth in this Order) (Signed by Judge Victor Marrero on 8/28/2015) (lmb) Modified on 8/28/2015 (lmb).
August 28, 2015 Filing 1406 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 8/26/2015 re: I write on behalf of my client, PricewaterhouseCoopers LLP ("PwC Canada"), and defendant (PricewaterhouseCoopers Accountants N.V. ("PwC Netherlands") (collectively, the "PwC Defendants"), to seek a modification of the schedule endorsed by the Court on April 22, 2015. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the parties. The revised schedule is approved., ( Motions due by 10/1/2015.) (Signed by Judge Victor Marrero on 8/28/2015) (lmb)
August 28, 2015 Filing 1405 ENDORSED LETTER addressed to Judge Victor Marrero from Jeffrey Sonn dated 8/20/2015 re: We write on behalf of the Saca Plaintiffs. This is in response to the Court's Decision and Order (Dkt. 1403) In which the Court framed the following issue as further set forth in this letter. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Saca plaintiffs. (Signed by Judge Victor Marrero on 8/28/2015) (lmb)
August 14, 2015 Opinion or Order Filing 1404 ORDER of USCA (Certified Copy) USCA Case Number 15-792 (L); 15-806(con). The August 12, 2015 1397 order in the above-referenced case, docketed as 15-792(L), that denied the Petitioners' motion for leave to appeal pursuant to Federal Rule of Civil Procedure 23(f) petition is hereby VACATED as having been issued due to an administrative error and the mandate is recalled.Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 08/13/2015. (nd)
August 13, 2015 Opinion or Order Filing 1403 DECISION AND ORDER denying 1399 Motion for Reconsideration. It is hereby ORDERED that the Motion (Dkt. No. 1399) of defendants Standard Chartered Bank International (Americas) Ltd. I Standard Chartered International (USA) Ltd. I Standard Chartered Bank, and Standard Chartered PLC (collectively, "Standard Chartered Defendants") for reconsideration of the Court's July 29, 2015 Decision and Order is DENIED with respect to the Standard Chartered Defendants' arguments that the Court misapplied Kingate by considering only the Madoff Fraud in assessing conduct, and that the Court overlooked controlling precedent establishing that the "Due Diligence Claims" rest on the bank providing false and misleading investment recommendations; and it is further ORDERED that the Standard Chartered Plaintiffs show cause within seven days from the date of this Decision and Order as to why the Court should not dismiss allegations that are predicated on a duty to disclose investment risk and support breach of fiduciary duty claims, as argued in Saca v. Standard Chartered Bank Int'l (Americas) Ltd., No. 11-CV-3480; and it is further ORDERED that the motion (Dkt. No. 1399) of the Standard Charted Defendants for certification of an interlocutory appeal is DENIED. SO ORDERED. (As further set forth in this Order.) (Signed by Judge Victor Marrero on 8/13/2015) (kgo)
August 13, 2015 Opinion or Order Filing 1402 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE OF PROPOSED SETTLEMENT: IT IS HEREBY ORDERED: 1. The Court does hereby preliminarily approve the Stipulation and the Settlement set forth therein, subject to further consideration at the Settlement Hearing, as described below. 2. Pursuant to Rules 23(a) and 23(b)(3) of the Federal Rules of Civil Procedure and for the purposes of the Settlement only, the Action is hereby preliminarily certified as a class action on behalf of all Persons who were Beneficial Owners of shares or limited partnership interests in the Funds as of December 10, 2008 as further set forth in this order. 3. The Court finds, preliminarily and for purposes of this Settlement only, that the prerequisites for a class action under Rules 23(a) and 23(b)(3) of the Federal Rules of Civil Procedure have been satisfied as further set forth in this order. 4. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, preliminarily and for the purposes of this Settlement only, the Representative Plaintiffs are appointed as the class representatives on behalf of the Settlement Class, and Boies, Schiller & Flexner LLP, Wolf Popper LLP, and Lovell Stewart Halebian Jacobson LLP are hereby appointed Lead Counsel for the Settlement Class ("Plaintiffs' Lead Counsel") as further set forth in this order. 6. The Settlement Hearing shall be held before the Honorable Victor Marrero on November 20, 2015, at 11:00 a.m., at the United States District Court for the Southern District of New York, 500 Pearl Street, New York, New York, 10007 as further set forth in this order. 32. The Court reserves the right to consider all further applications arising out of or connected with the Stipulation. The Court may approve the Settlement, with such modifications as may be agreed to by the Settling Parties, without further notice to the Settlement Class, where to do so would not impair Settlement Class Members' rights in a manner inconsistent with Rule 23 and due process of law., ( Settlement Conference set for 11/20/2015 at 11:00 AM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 8/13/2015) (lmb)
August 13, 2015 Filing 1401 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 8/12/2015 re: We are very pleased to inform the Court that we have electronically filed today a Stipulation of Settlement resolving all claims asserted in this action against the Citco Defendants for $125,000,000. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs in Citco litigation. (Signed by Judge Victor Marrero on 8/13/2015) (lmb)
August 12, 2015 Filing 1400 MEMORANDUM OF LAW in Support re: 1399 MOTION for Reconsideration or, Alternatively, Certification of Question for Interlocutory Appeal. . Document filed by Standard Chartered Bank International (Americas) Limited, Standard Chartered International (USA) Ltd., Standard Chartered PLC, Standard Chartererd Bank. (Nelles, Sharon)
August 12, 2015 Filing 1399 MOTION for Reconsideration or, Alternatively, Certification of Question for Interlocutory Appeal. Document filed by Standard Chartered Bank International (Americas) Limited, Standard Chartered International (USA) Ltd., Standard Chartered PLC, Standard Chartererd Bank.(Nelles, Sharon)
August 12, 2015 Filing 1398 SETTLEMENT AGREEMENT Citco Defendants. Document filed by Julia Anwar. (Attachments: # 1 Exhibit A, # 2 Exhibit A-1, # 3 Exhibit A-2, # 4 Exhibit A-3, # 5 Exhibit B)(Finkel, Robert)
August 12, 2015 Filing 1397 [VACATED and RECALLED] MANDATE of USCA (Certified Copy) USCA Case Number 15-792(L); 15-806(con). Petitioners have moved, pursuant to Federal Rule of Civil Procedure 23(f), for leave to appeal the district court's order granting Respondents' motion for class certification. Petitioners also have moved for leave to file replies in support of their petitions. More recently, however, the Petitioners in the case docketed under 15-806 have moved for their Rule 23(f) petition to be held in abeyance and for that motion to be sealed. Upon due consideration, it is hereby ORDERED that the motions to file replies are GRANTED, the motion to hold in abeyance the Rule 23(f) petition docketed under 15-806 is GRANTED, and the motion to seal the preceding motion is GRANTED. The Rule 23(f) petition docketed under 15-792 is DENIED because an immediate appeal is unwarranted. See Sumitomo Copper Litig. v. Credit Lyonnais Rouse, Ltd., 262 F.3d 134, 139-40 (2d Cir. 2001). It is further ORDERED that the petitioners in the case docketed under 15-806 submit, on a monthly basis, a letter updating the Court as to the status of their case.. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 08/12/2015. (nd) Modified on 8/14/2015 (nd).
July 29, 2015 Opinion or Order Filing 1396 DECISION AND ORDER re: 1331 Endorsed Letter, 1383 Endorsed Letter, 1384 Endorsed Letter. For the reasons discussed above, it is hereby ORDERED that the motion to dismiss the Second Consolidated Amended Complaint of the Anwar Plaintiffs, as described in the decision above, under the Securities Litigation Uniform Standards Act of 1998 ( "SLUSA") (Dkt. No. 1383) of defendants PricewaterhouseCoopers Accountants N.V. and PricewaterhouseCoopers LLP is GRANTED in part and DENIED in part; and it is further ORDERED that the motion to dismiss the complaints of the Standard Chartered Plaintiffs, as described in the decision above, under SLUSA (Dkt. No. 1384) of defendants Standard Chartered Bank International (Americas) Ltd., Standard Chartered International (USA) Ltd., Standard Chartered Bank, and Standard Chartered PLC is GRANTED in part and DENIED in part; and it is further ORDERED that the motion (Dkt. No. 1331) of plaintiffs Continental Rainbow Group Inc., Nemagus Ltd., Ali Ltd., Bellwood Ltd., and Accent Group Ltd., to be dropped as plaintiffs under Federal Rule of Civil Procedure 21 is DENIED without prejudice; and it is further ORDERED that the motion (Dkt. No. 1331) of plaintiffs Juan D. Quiroz Stone and Lyac Venture Corp. dismissing their actions pursuant to Federal Rule of Civil Procedure 41(a) (2) is DENIED without prejudice. (Signed by Judge Victor Marrero on 7/29/2015) (lmb)
July 23, 2015 Filing 1395 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew Gordon dated 7/22/2015 re: We wish to withdraw our motion, without prejudice, seeking dismissal of plaintiffs' common-law claims as precluded by the Securities Litigation Uniform Standards Act of 1998. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above from the Citco Defendants. (Signed by Judge Victor Marrero on 7/23/2015) (lmb)
July 23, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 7/22/2015 with the Anwar Plaintiffs, PwC Defendants, and Citco Defendants. The Anwar Plaintiffs and Citco Defendants informed the Court that those parties have reached an agreement and that the Citco Defendants will seek to withdraw without prejudice the SLUSA motion regarding the claims against the Citco Defendants. (AM)
June 16, 2015 Opinion or Order Filing 1394 ORDER withdrawing 1377 Motion to Intervene without prejudice pursuant to the Notice of Withdrawal filed by New Greenwich Litigation Trustee LLC, as Successor Trustee. (Maas, Frank)
June 9, 2015 Filing 1393 ENDORSED LETTER addressed to Judge Victor Marrero from Walter Rieman dated 6/8/2015 re: For the foregoing reasons, and those set forth in the Citco Defendants' May 29 letter and the letters submitted by the PwC defendants and the Standard Chartered defendants, SLUSA precludes all of Plaintiffs' state-law claims against the Citco Defendants. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citgo defendants. The Court considers the SLUSA issue herein now fully briefed and will not accept any further submission from any party to this action related thereto. (Signed by Judge Victor Marrero on 6/9/2015) (lmb)
June 9, 2015 Filing 1392 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 6/8/2015 re: For these reasons, and others discussed above and in the Anwar Plaintiffs' Letter, SLUSA does not bar any of plaintiffs' remaining claims against PwC and Citco, except Count 25. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Anwar plaintiffs. The Court considers the SLUSA issue herein now fully briefed and will not accept any further submission from any party to this action related thereto. (Signed by Judge Victor Marrero on 6/9/2015) (lmb)
June 9, 2015 Filing 1391 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 6/8/2015 re: This letter brief responds to the SC Defendants' May 29, 2015 letter brief, docketed at DE 1384 (June 4, 2015). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Standard Chartered plaintiffs. (Signed by Judge Victor Marrero on 6/9/2015) (lmb)
June 9, 2015 Filing 1390 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 6/8/2015 re: For all the foregoing reasons and those set out in the Bank's May 29 Letter and prior submissions concerning SLUSA, the Court should dismiss the SC Cases in their entirety and with prejudice. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Standard Chartered Bank defendants. (Signed by Judge Victor Marrero on 6/9/2015) (lmb)
June 8, 2015 Filing 1389 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 6/8/2015 re: Both of plaintiffs' remaining claims against the PwC Defendants are precluded by SLUSA and should be dismissed. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by PwC Defendants. (Signed by Judge Victor Marrero on 6/8/2015) (lmb)
June 5, 2015 Filing 1388 LETTER addressed to Judge Victor Marrero from Walter Rieman dated May 29, 2015 re: Endorsed Letter (Dkt# 1386) with Redacted Exhibits. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Global Custody N.V., Citco Group Limited, Ian Pilgrim. (Attachments: # 1 Exhibit 1 Part 1, # 2 Exhibit 1 Part 2, # 3 Exhibit 2 Part 1, # 4 Exhibit 2 Part 2, # 5 Exhibit 3 Part 1, # 6 Exhibit 3 Part 2, # 7 Exhibit 4, # 8 Exhibit 5 Part 1, # 9 Exhibit 5 Part 2, # 10 Exhibit 6, # 11 Exhibit 7 Part 1, # 12 Exhibit 7 Part 2)(Rieman, Walter)
June 4, 2015 Filing 1387 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 5/29/2015 re: Plaintiffs respectfully request that the Court reaffirm its rulings in Anwar II as to the inapplicability of SLUSA to these claims and proceed to trial in accordance with the recently ordered schedule. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Anwar Plaintiffs. (Signed by Judge Victor Marrero on 6/4/2015) (spo) Modified on 6/8/2015 (spo).
June 4, 2015 Filing 1386 ENDORSED LETTER addressed to Judge Victor Marrero from Walter Rieman dated 5/29/2015 re: all of Plaintiffs' state-law claims against the Citco Defendants are precluded by SLUSA and therefore should be dismissed. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citco Defendants. (Signed by Judge Victor Marrero on 6/4/2015) (spo)
June 4, 2015 Filing 1385 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 5/29/2015 re: Requesting the Court's prompt determination of the SC Defendants' request for leave to move for summary judgment, which has been fully briefed and has been awaiting the Kingate decision. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 6/4/2015) (spo)
June 4, 2015 Filing 1384 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 5/29/2015 re: Request to dismiss the Standard Chartered Cases pursuant to SLUSA. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Standard Chartered Defendants. (Signed by Judge Victor Marrero on 6/4/2015) (spo)
May 29, 2015 Filing 1383 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 5/29/2015 re: I write on behalf of my client, PricewaterhouseCoopers LLP ("PwC Canada"), and defendant PricewaterhouseCoopers Accountants N.V. ("PwC Netherlands") (collectively, the "PwC Defendants") pursuant to the Court's May 6, 2015 Order regarding submissions regarding the effect of the Second Circuit's recent decision In re Kingate Management Limited Litigation, 784 F.3d 128 (2d Cir. April 23, 2015). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by PwC defendants. (Signed by Judge Victor Marrero on 5/29/2015) (lmb)
May 29, 2015 Filing 1382 NOTICE of WITHDRAWAL OF MOTION (ECF NO. 1377). Document filed by New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts. (Wallner, Robert)
May 27, 2015 Filing 1381 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles and Richard E. Brodsky dated 5/27/2015 re: We write on behalf of all parties in the Standard Chartered Cases (the "Standard Chartered Parties") concerning the upcoming letter briefing on the application of In re Kingate Management Ltd Litig., 2015 WL 1839874 (2d Cir. Apr. 23, 2014) ("Kingate") to claims asserted in the Standard Chartered Cases. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Standard Chartered parties. (Signed by Judge Victor Marrero on 5/27/2015) (lmb)
May 27, 2015 Filing 1380 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 5/27/2015 re: I write on behalf of my client, PricewaterhouseCoopers LLP ("PwC Canada"), and defendants (PricewaterhouseCoopers Accountants N.V. ("PwC Netherlands") (collectively, the "PwC Defendants"), and Citco Fund Services (Europe) B.V., Citco (Canada) Inc., Citco Bank Nederland N.V. Dublin Branch, Citco Global Custody N.V., Citco Fund Services (Bermuda) Limited, and The Citco Group Limited (collectively, the "Citco Defendants") (collectively, with the PwC Defendants, "Defendants") pursuant to the Court's Order of May 6, 2015. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citco and PwC defendants. (Signed by Judge Victor Marrero on 5/27/2015) (lmb)
May 27, 2015 Filing 1379 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 5/27/2015 re: We write pursuant to the Court's May 6, 2015 Order to "provide the Court with a preview of the common issues" concerning application of the Court of Appeals' decision in In re Kingate Management Ltd. Litig., 2015 WL 1839874 (2d Cir. Apr. 23, 2015), to the remaining claims in the Anwar and Standard Chartered actions. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. (Signed by Judge Victor Marrero on 5/27/2015) (lmb)
May 11, 2015 Filing 1378 BRIEF re: 1377 MOTION to Intervene New Greenwich Litigation Trustee, LLCs Notice of Motion to Intervene for Limited Purposes and for Entry of Order Unsealing Class Certification Motion Papers. . Document filed by New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts.(Wallner, Robert)
May 11, 2015 Filing 1377 MOTION to Intervene New Greenwich Litigation Trustee, LLCs Notice of Motion to Intervene for Limited Purposes and for Entry of Order Unsealing Class Certification Motion Papers. Document filed by New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts.(Wallner, Robert)
May 7, 2015 Filing 1376 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 5/6/2015 re: We write on behalf of all parties in the above-captioned action. Pursuant to the Court's direction at the telephone conference on April 30, 2015, the parties have met and conferred concerning their views as to application of the Second Circuit's decision in In re Kingate Management Ltd. Litig., 2015 WL 1839874 (2d Cir. Apr. 23, 2015), to the claims in this action. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the parties. (Signed by Judge Victor Marrero on 5/6/2015) (lmb) Modified on 5/7/2015 (lmb).
May 6, 2015 Opinion or Order Filing 1375 ORDER: Insofar as the parties find common ground regarding the issues they will address, their submissions should be so coordinated and streamlined to avoid separate discussions and duplication of issues. The Court ordered that the parties confer by May 25, 2015 and provide the Court with a preview of the common issues by 12:00 p.m. on May 27, 2015. The parties are further directed to submit simultaneous letter briefs by May 29, 2015, with replies due by June 8, 2015. (Signed by Judge Victor Marrero on 5/6/2015) (kgo)
May 6, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 5/6/2015 with Standard Chartered Plaintiffs and Standard Chartered Defendants regarding applicability of Kingate to this case. (AM)
May 4, 2015 Filing 1374 NOTICE OF APPEARANCE by Kristi Stahnke McGregor on behalf of New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts. (McGregor, Kristi)
May 4, 2015 Filing 1373 NOTICE OF APPEARANCE by Charles Slidders on behalf of New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts. (Slidders, Charles)
May 4, 2015 Filing 1372 NOTICE OF APPEARANCE by Robert Alan Wallner on behalf of New Greenwich Litigation Trustee, LLC, as Successor Trustee of Greenwich Sentry, L.P. and Greenwich Sentry Partners, L.P. Litigation Trusts. (Wallner, Robert)
April 30, 2015 Opinion or Order Filing 1371 ORDER: Pursuant to the telephone conference held on April 30, 2015, it is hereby ORDERED that New Greenwich Litigation Trustee, LLC's motion to intervene and unseal documents shall be filed by May 11, 2015. Opposition papers shall be filed by May 29, 2015. A reply may be filed by June 8, 2015. (Motions due by 5/11/2015., Responses due by 5/29/2015, Replies due by 6/8/2015.) (Signed by Magistrate Judge Frank Maas on 4/30/2015) (kl)
April 30, 2015 Filing 1370 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 4/25/2015 re: Because of the subject matter of the call, I therefore request Your Honor's permission for counsel from the six other law firms representing one or more of the SC Plaintiffs to be on the call if they wish, with the understanding that they are not going to speak. ENDORSEMENT: So ordered. (Signed by Judge Victor Marrero on 4/30/2015) (lmb)
April 30, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 4/30/2015 with Anwar Plaintiffs, PwC Defendants, and Citco Defendants. Those parties are to submit letter briefs not to exceed twenty (20) pages by 05/29/15 on the applicability of Kingate to this case. Replies due by 06/08/15. (AM)
April 30, 2015 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 4/30/2015. (Chambers, Richalyn)
April 29, 2015 Filing 1369 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew Gordon dated 4/27/2015 re: We write on behalf of the Citco Defendants, defendant PricewaterhouseCoopers LLP, and defendant PricewaterhouseCoopers Accountants, N.V. (collectively, the "Anwar Defendants") to request a pre-motion conference. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citco Defendants. (Signed by Judge Victor Marrero on 4/28/2015) (lmb)
April 22, 2015 Filing 1368 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 4/21/2015 re: We write on behalf of all parties in the above-referenced action in response to the Court's request at the conference on April 14, 2015 to submit a proposed trial and mediation schedule. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the parties., ( Motions due by 11/2/2015.) (Signed by Judge Victor Marrero on 4/21/2015) (lmb)
April 21, 2015 Filing 1367 NOTICE OF CONFERENCE: A telephone conference in the above-referenced matter has been scheduled for April30, 2015, at 4 p.m. before Magistrate Judge Maas. Counsel for New Greenwich Litigation Trustee, LLC shall initiate the call by placing a conference call to Judge Maas' Chambers at (212) 805-6727. Requests for adjournment must be made to the Court, in writing, at least two business days prior to the conference. Telephone Conference set for 4/30/2015 at 04:00 PM before Magistrate Judge Frank Maas. (lmb)
April 14, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 4/14/2015 to discuss scheduling with the Anwar Plaintiffs, PwC Defendants, and Citco Defendants. Those parties are to submit prospective mediation and trial schedules by 4/21/2015. (AM)
April 13, 2015 Filing 1366 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 4/13/2015 re: Counsel writes pursuant to Your Honor's local rules to request a pre-motion conference to address the Trustee's request for access to sealed documents filed by the Anwar parties in connection with the recently-determined Rule 23 class certification motion. ENDORSEMENT: The parties are directed to address the matter set forth above to Magistrate Judge Frank Maas, to whom this dispute has been referred for resolution, as well as for supervision of remaining pretrial proceedings, establishing case management schedules as necessary, and settlement. (Signed by Judge Victor Marrero on 4/13/2015) (tn)
April 1, 2015 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 4/1/2015. (Chambers, Richalyn)
March 20, 2015 Filing 1365 NOTICE of Withdrawal of Appearance. Document filed by Headway Investment Corp.. (Dans, Paul)
March 18, 2015 Filing 1364 NOTICE OF CHANGE OF ADDRESS by David S. Stone on behalf of Ricardo Rodriguez Caso. New Address: Stone & Magnanini LLP, 100 Connell Drive, Suite 2200, Berkeley Heights, New Jersey, USA 07922, (973) 218-1111. (Stone, David)
March 17, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 3/17/2015 to discuss scheduling with the Anwar Plaintiffs, PwC Defendants, and Citco Defendants. Those parties are to submit a prospective trial schedule by 4/3/2015. (AM)
March 13, 2015 Filing 1363 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from David A. Barrett dated 3/5/15 re: Counsel suggests that it may now be appropriate to continue the mediation. ENDORSEMENT: The Court will hold a telephone conference on 4/1/15 at noon to discuss this request. If this date/time are not convenient, counsel should place a conference call promptly to reschedule. Whenever it is held, Mr. Barrett should initiate the call. ( Telephone Conference set for 4/1/2015 at 12:00 PM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 3/13/2015) (mro)
March 13, 2015 Filing 1362 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 3/11/2015 re: I write on behalf of my client, PricewaterhouseCoopers LLP ("PwC Canada"), and defendants (PricewaterhouseCoopers Accountants N.V. (PwC Netherlands") (collectively, the "PwC Defendants"), and Citco Fund Services (Europe) B.V., Citco (Canada) Inc., Citco Bank Nederland N.V. Dublin Branch, Citco Global Custody N.V., Citco Fund Services (Bermuda) Limited, and The Citco Group Limited (collectively, the "Citco Defendants") (collectively, with the PwC Defendants, "Defendants") in response to Mr. Barrett's letter of March 11, 2015. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants. (Signed by Judge Victor Marrero on 3/12/2015) (lmb)
March 12, 2015 Filing 1361 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 3/11/2015 re: We write on behalf of the Anwar Plaintiffs to request a scheduling conference to set a schedule for briefing of summary judgment motions, and also for trial, in the above-referenced action. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Anwar plaintiffs. (Signed by Judge Victor Marrero on 3/12/2015) (lmb)
March 9, 2015 Filing 1360 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 3/6/2015 re: We write on behalf of the Standard Chartered Defendants ("SCB ") in response to the March 4 letter of plaintiffs in the Standard Chartered Cases. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Bank defendants. (Signed by Judge Victor Marrero on 3/6/2015) (lmb)
March 9, 2015 Filing 1359 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 3/4/2015 re: This is a request for a conference during which we would seek to raise with the Court its filing with the Judicial Panel on Multi District Litigation a Suggestion of Remand of the Standard Chartered Cases under JPML Rules 10.1 and 10.3. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered plaintiffs. (Signed by Judge Victor Marrero on 3/6/2015) (lmb)
March 9, 2015 Filing 1358 NOTICE OF APPEARANCE by George N. Bauer on behalf of Pricewaterhousecoopers L.L.P.. (Bauer, George)
March 3, 2015 Opinion or Order Filing 1357 DECISION AND ORDER: For the reasons discussed above, it is hereby: ORDERED that the motion (Docket No. 775) of lead plaintiffs AXA Private Management, Pacific West Health Medical Center Employees Retirement Trust, Harel Insurance Company Ltd., Martin and Shirley Bach Family Trust, Natalia Hatgis, Securities & Investment Company Bahrain, Dawson Bypass Trust, and St. Stephen's School for class certification of their remaining claims against defendants The Citco Group Ltd., Citco Fund Services (Europe) B.V., Citco (Canada), Inc., Citco Global Custody N.V., Citco Bank Nederland N.V. Dublin Branch, and Citco Fund Services (Bermuda) Ltd. (collectively, the "Citco Defendants") ; and PricewaterhouseCoopers, LLP, and PricewaterhouseCoopers Netherlands Accountants N.V. (collectively, the "PwC Defendants") pursuant to Federal Rule of Civil Procedure 23 is GRANTED as modified herein. (Signed by Judge Victor Marrero on 3/3/2015) (lmb)
February 20, 2015 Filing 1356 MEMO ENDORSEMENT on re: 1353 Notice (Other) filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. ENDORSEMENT: So ordered., Attorney Natalie Marie MacKiel terminated. (Signed by Judge Victor Marrero on 2/20/2015) (lmb)
February 20, 2015 Opinion or Order Filing 1355 ORDER: Accordingly, it is hereby ORDERED that the terms of the Court's December 19, 2014 Order Authorizing Distribution of the Fairfield Greenwich Net Settlement Fund (the "December 19 Order") are reaffirmed; and it is further ORDERED that the application of claimant ASM Capital, L. P. and its affiliates requesting relief from the denial of their claims for distribution of settlement funds pursuant to the December 19 Order is DENIED. (Signed by Judge Victor Marrero on 2/19/2015) (lmb)
February 13, 2015 Filing 1353 NOTICE of Withdrawal of Appearance - Natalie M. Mackiel. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (MacKiel, Natalie)
February 11, 2015 Filing 1354 LETTER addressed to Douglas M. Wolfe from Robert C. Finkel dated 8/5/2013 re: Please be advised that following the claims process, co-lead counsel will be submitting to the District Court a proposed plan of distribution for the FS settlement fund; we anticipate that the plan will recommend that the Court reject the proofs of claims submitted by ASM. We will give you notice of that submission and you will have the right to be heard with respect thereto. (lmb) Modified on 2/18/2015 (lmb).
February 11, 2015 Filing 1352 ENDORSED LETTER addressed to Judge Victor Marrero from Robert C. Finkel dated 2/11/2015 re: In response to the 2/6/2015, letter submitted by Douglas Wolfe, Esq. of ASM Capital III, L.P. ("ASM"), as purported assignee of four litigation claims, seeking to participate in distributions from the settlement fund. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs' co-lead counsel. (Signed by Judge Victor Marrero on 2/11/2015) (kko)
February 10, 2015 Filing 1351 ENDORSED LETTER addressed to Judge Victor Marrero from Douglas Wolfe dated 2/6/2015 re: I am writing with respect to your Order filed on 12/19/14 regarding the Distribution to class members in the matter. ENDORSEMENT: The Anwar Plaintiffs are directed to respond by 2-16-15, by letter not to exceed three (3) pages, to the matter set forth above by ASM Capital L.P., showing cause why the relief requested should not be granted. (Signed by Judge Victor Marrero on 2/10/2015) (kgo)
January 7, 2015 Filing 1350 ENDORSED LETTER addressed to Judge Victor Marrero from Walter Rieman dated 12/2/2014 re: On behalf of the Citco Defendants, we are writing to respond to the portion of plaintiffs' letter dated November 20, 2014, that discusses the district court's decision in Osberg v. Foot Locker, Inc., No. 07-cv-1358 (KBF), 2014 WL 5800501 (S.D.N.Y. Nov. 7, 2014), petition for perm to app. under Fed. R. Civ. P. 23(f) filed, No. 14-3748(L), ECF No. 42 (2d Cir. Nov. 25, 2014). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Citgo defendants. (Signed by Judge Victor Marrero on 12/3/2014) (lmb)
January 7, 2015 Filing 1349 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 11/17/2014 re: For the reasons stated, SC is not entitled to summary judgment, and the Court should not exalt form over substance by permitting SC to file a futile motion. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered plaintiffs. (Signed by Judge Victor Marrero on 1/7/2015) (lmb)
January 7, 2015 Filing 1348 ENDORSED LETTER addressed to Judge Victor Marrero from Walter Rieman dated 12/24/2014 re: We represent the Citco Defendants in the action referenced above. A recent summary order of the Second Circuit, Elendow Fund, LLC v. Rye Investment Management, No. 13-3642-cv, 2014 WL 7090618 (2d. Cir. Dec. 16, 2014) (copy enclosed as Exhibit A), aff'g No. 10 Civ. 9061, 2013 WL 5179064 (S.D.N.Y. Sept. 16, 2013) (copy enclosed as Exhibit B), further demonstrates that plaintiffs' pending motion for class certification should be denied. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Citgo defendants. (Signed by Judge Victor Marrero on 1/6/2015) (lmb)
January 7, 2015 Filing 1347 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 12/30/2014 re: We write in response to the Citco Defendants' December 24, 2014 letter regarding the summary order in Elendow Fund, LLC v. Rye Investment Management, 2014 WL 7090618 (2d Cir. Dec. 16, 2014). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Anwar plaintiffs. (Signed by Judge Victor Marrero on 1/6/2015) (lmb)
January 7, 2015 Filing 1346 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 1/5/2015 re: I write on behalf of my client, PricewaterhouseCoopers LLP ("PwC Canada") and also on behalf of PricewaterhouseCoopers Accountants N.V. ("PwC Netherlands"), collectively the "PwC Defendants" in response to Mr. Barrett's letter of December 30, 2014. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by PricewaterhouseCoopers LLP. (Signed by Judge Victor Marrero on 1/6/2015) (lmb)
December 19, 2014 Opinion or Order Filing 1345 ORDER AUTHORIZING DISTRIBUTION OF THE FAIRFIELD GREENWICH NET SETTLEMENT FUND re: 1343 Declaration filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. NOW, THEREFORE, upon reading and filing the Declarations of Robert C. Finkel and Jason Rabe in Support of Entry of an Order for Distribution of the FG Net Settlement Fund; and upon all prior proceedings heretofore, and after due deliberation, it is hereby ORDERED, that Plaintiffs' Co-Lead Counsel are awarded reimbursement of up to $170,109 in expenses necessarily incurred in connection with the negotiation and execution of security interests relating to the Escrow Amount (as defined in the Stipulation of Settlement); and it is further ORDERED, that Rust is awarded its unpaid fees and expenses of $299,162 through October, 2014, and Co-Lead Counsel are authorized to establish a reserve of up to $79,090 for payment of Rust's anticipated fees and expenses with respect to the distribution and continued administration of the FG Net Settlement Fund; And as set forth herein. (Signed by Judge Victor Marrero on 12/19/2014) (ama)
December 17, 2014 Filing 1344 DECLARATION of Jason Rabe in Support of Entry of An Order for Distribution of the Fairfield Greenwich Net Settlement Fund in Support. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 E)(Finkel, Robert)
December 17, 2014 Filing 1343 DECLARATION of Robert C. Finkel, Esq. in Support of Entry of an Order Authorizing Distriubtion of the Fairfield Greenwich Net Settlement Fund. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: # 1 Exhibit A, # 2 Text of Proposed Order Authorizing Distribution of the Fairfield Greenwich Net Settlement Fund)(Finkel, Robert)
December 16, 2014 Filing 1342 ENDORSED LETTER addressed to Judge Victor Marrero from Robert C. Finkel dated 12/16/2014 re: Counsel requests permission to file a motion for entry of an order approving distribution of the Fairfield Greenwich Net Settlement Fund to Authorized Claimants. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs' co-lead counsel. No motion practice should be necessary for this purpose. The parties should settle a draft Order for the Court's endorsement. (Signed by Judge Victor Marrero on 12/16/2014) (tro)
November 25, 2014 Filing 1341 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 11/20/2014 re: Counsel writes on behalf of the Anwar Plaintiffs in response to the Citco Defendants' November 17, 2014 letter regarding the Second Circuit's recent decision in Pennsylvania Pub. Sch. Employees' Ret. Sys. v. Morgan Stanley & Co., 2014 WL 5487666 (2d Cir. Oct. 31, 2014). The Morgan Stanley decision lends no support to the Citco Defendants' arguments against class certification. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Anwar plaintiffs. (Signed by Judge Victor Marrero on 11/21/2014) (tro)
November 20, 2014 Filing 1339 ENDORSED LETTER addressed to Judge Victor Marrero from Walter Rieman dated 11/17/2014 re: We represent the Citco Defendants in the action referenced above. A recent precedential decision of the Second Circuit, Pennsylvania Public School Employees' Retirement System v. Morgan Stanley & Co., Inc., No. 13-2095-cv(L), 2014 WL 5487 666 (2d Cir. Oct. 31, 2014) (copy enclosed), further demonstrates that plaintiffs' pending motion for class certification should be denied. ENDORSEMENT: Plaintiffs are directed to respond by 11-25-14 by letter no to exceed three (3) pages, to the matter set forth above by Citco Defendants. (Signed by Judge Victor Marrero on 11/20/2014) (lmb)
November 14, 2014 Filing 1340 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 10/31/2014 re: The Court should dismiss the SCB Cases pursuant to SLUSA. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered defendants. (Signed by Judge Victor Marrero on 11/14/2014) (lmb)
November 14, 2014 Filing 1338 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 11/14/2014 re: We write on behalf of the Standard Chartered Defendants ("SCB") in response to the November 13, 2014 letter from counsel for the plaintiffs in the Anwar class action, seeking, in effect, permission to submit an amicus curiae brief supporting the efforts of plaintiffs in the SCB Cases to prevent the application of SLUSA to their claims. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Standard Chartered Defendants. The Court will not consider any further correspondence or briefing regarding this matter. (Signed by Judge Victor Marrero on 11/14/2014) (lmb)
November 14, 2014 Filing 1337 ENDORSED LETTER addressed to Judge Victor Marrero from Jeffrey R. Sonn dated 11/13/2014 re: We write as counsel for the individual parties known as the Standard Chartered Plaintiffs. This letter is sent to supplement the letter of even date from Richard E. Brodsky, Liaison Counsel for the Standard Chartered Plaintiffs. We write this letter with the full intent of preserving intact the confidentiality of communications protected by the attorney-client privilege and of attorney work-product. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered plaintiffs. (Signed by Judge Victor Marrero on 11/14/2014) (lmb)
November 14, 2014 Filing 1336 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 11/12/2014 re: Response to Mr. Barrett's letter of 11/7/2014 and pursuant to the Court's request to respond to same on or before 11/12/2014. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by The Pricewaterhouse Coopers defendants. (Signed by Judge Victor Marrero on 11/14/2014) (tro)
November 14, 2014 Filing 1335 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 11/13/2014 re: SCB urges the Court to revisit its ruling on the Securities Litigation Uniform Standards Act of 1998 ("SLUSA") and to find that SLUSA bars all claims pending against SCB. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Anwar Plaintiffs. (Signed by Judge Victor Marrero on 11/14/2014) (tro)
November 7, 2014 Filing 1334 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 11/7/2014 re: In light of the foregoing, the Anwar Plaintiffs respectfully request that the Court set a trial date at this time. ENDORSEMENT: Defendants are directed to respond by 11-12-14 by letter not to exceed two (2) pages, to the matter set forth above by plaintiffs. (Signed by Judge Victor Marrero on 11/7/2014) (lmb)
November 5, 2014 Filing 1333 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 10/31/2014 re: For the foregoing reasons, the Court should dismiss the SCB Cases pursuant to SLUSA. To the extent that the Court does not dismiss all claims, the Bank should be permitted to file a unified motion for summary judgment following the procedure set forth in Rule 56 of the Federal Rules of Civil Procedure and the Local Rules of this District. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered defendants. (Signed by Judge Victor Marrero on 11/4/2014) (lmb)
October 27, 2014 Filing 1332 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 10/27/2014 re: We write on behalf of the Standard Chartered Defendants ("SCB" or the "Bank") in response to the October 21, 2014 request from Laurence Curran of Curran Law PL, counsel to 54 plaintiffs in 42 of the Standard Chartered Cases ("SCB Cases"), requesting a pre-motion conference. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Standard Chartered Bank defendants. (Signed by Judge Victor Marrero on 10/27/2014) (lmb)
October 22, 2014 Filing 1331 ENDORSED LETTER addressed to Judge Victor Marrero from Laurence E. Curran III dated 10/21/2014 re: The plaintiffs respectfully request a pre-motion conference in this regard. ENDORSEMENT: The SCB defendants are directed to respond by 11-27-14, by letter not to exceed three (3) pages, to the matter set forth above by certain plaintiffs, showing cause why the relief requested should not be granted. (Signed by Judge Victor Marrero on 10/22/2014) (lmb)
October 16, 2014 Filing 1330 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 9/29/14 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-cv-00118-VM-FM et al.(McGuirk, Kelly)
October 16, 2014 Filing 1329 TRANSCRIPT of Proceedings re: conference held on 9/29/2014 before Judge Victor Marrero. Court Reporter/Transcriber: Sonya Ketter Huggins, (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 11/10/2014. Redacted Transcript Deadline set for 11/20/2014. Release of Transcript Restriction set for 1/17/2015.Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(McGuirk, Kelly)
September 29, 2014 Minute Entry for proceedings held before Judge Victor Marrero: Pre-Motion Conference was held on 9/29/2014 with Standard Chartered Plaintiffs and Standard Chartered Defendants, whose attorneys were present in Court(Richard Brodsky and Jorge Mestre for Standard Plaintiffs; Sharon Nelles, Andrew Finn, and Patrick Beraducci for Standard Chartered Defendants) and were joined telephonically by Eugene Lindsay, the attorney for plaintiff Theresa Barbachano. Standard Chartered Defendants are to submit a 25-page double-spaced letter by 10/31/14; and Standard Chartered Plaintiffs are to respond via 25-page double-spaced letter by 11/17/14. At that point, if the Court finds that further briefing is appropriate, the Court will so inform the parties. Associated Cases: 1:09-cv-00118-VM-FM et al.(sc)
September 22, 2014 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Settlement Conference held on 9/22/2014. (Chambers, Richalyn)
September 18, 2014 Opinion or Order Filing 1328 ORDER granting 1325 Motion to Bring PED and GPCDs into Courthouse. It is hereby ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned Anwar v. Fairfield Greenwich Ltd. (Standard Chartered Cases), No. 09-cv-118. The date(s) for which such authorization is provided is September 29, 2014 as further set forth in this order. (Signed by Judge Victor Marrero on 9/18/2014) (lmb)
September 18, 2014 Filing 1327 SEALED DOCUMENT placed in vault.(nm)
September 18, 2014 Filing 1326 SEALED DOCUMENT placed in vault.(mps)
September 17, 2014 Filing 1325 MOTION Bring PED and GPCDs into Courthouse . Document filed by Maridom Limited. (Attachments: # 1 Text of Proposed Order Bring PED and GPCDs into Courthouse)(Brodsky, Richard)
September 17, 2014 Filing 1324 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 9/16/2014 re: It has just come to my attention that in my letter to the Court dated September 12, 2014, the Stipulation and Order Governing Confidentiality of Discovery Material in the Standard Chartered Cases, February 4, 2011, was referred to by a docket number in Maridom v. Standard Chartered, No. 10-cv-920 (DE 107). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 9/17/2014) (lmb)
September 15, 2014 Filing 1323 SEALED DOCUMENT placed in vault.(mps)
September 11, 2014 Opinion or Order Filing 1322 ORDER AUTHORIZING DISTRIBUTION OF THE GLOBEOP NET SETTLEMENT FUND: granting 1292 Motion for Disbursement of Funds. It is hereby ORDERED, that Rust is awarded its unpaid fees and expenses of $7,901.28 through May 31, 2014, and Co-Lead Counsel are authorized to establish a reserve of up to $8,809 for payment of Rust's anticipated fees and expenses with respect to the distribution and continued administration of the GlobeOp Net Settlement Fund; ORDERED, that the recommendation of Co-Lead Counsel to approve determinations of claims as indicated on the record of accepted claims submitted and described in the Finkel Declaration and Lloyd Declaration, Exhibit C, including two claims submitted after the original December 23, 2013 submission deadline, be and the same hereby are approved, and said claims are hereby accepted as further set forth in this order. It is further ORDERED, that checks payable to the Authorized Claimants for their settlement distribution shall bear the notation "CASH PROMPTLY, VOID AND SUBJECT TO REDISTRIBUTION IF NOT CASHED WITHIN 90 DAYS AFTER ISSUE DATE." Co-Lead Counsel and Rust are authorized to take appropriate action to locate or contact any Authorized Claimant who has not cashed his, her or its distribution check within said time; and it is further ORDERED, that this Court retains jurisdiction over any further application or matter which may arise in connection with this Action. The Clerk of Court is directed to terminate the pending motion for distribution (Docket No. 1292). (Signed by Judge Victor Marrero on 9/11/2014) (lmb) Modified on 9/11/2014 (lmb). Modified on 9/11/2014 (lmb). Modified on 9/12/2014 (lmb).
September 11, 2014 Opinion or Order Filing 1321 ORDER: For the reasons stated above, Tucker's request to participate in the GlobeOp settlement pro rata with other class members is DENIED. (Signed by Judge Victor Marrero on 9/11/2014) (lmb)
September 11, 2014 Filing 1320 MEMO ENDORSEMENT on re: 1318 Letter filed by Sylvia Tucker. ENDORSEMENT: Request DENIED. The Court is not persuaded that additional briefing on this matter is necessary, helpful, or productive. (Signed by Judge Victor Marrero on 9/11/2014) (lmb)
September 10, 2014 Filing 1319 ENDORSED LETTER addressed to Judge Victor Marrero from Walter Rieman dated 9/9/2014 re: The Citco Defendants respectfully request leave to file their brief and other opposition papers under seal. ENDORSEMENT: Request GRANTED. The Citgo defendants are authorized to file the opposition papers described above under seal. (Signed by Judge Victor Marrero on 9/10/2014) (lmb) Modified on 9/10/2014 (lmb).
September 9, 2014 Filing 1318 LETTER addressed to Judge Victor Marrero from Leo V. Leyva dated 9/9/2014 re: We respectfully request permission to submit a sur-reply not exceeding two pages. Document filed by Sylvia Tucker.(lmb)
September 5, 2014 Filing 1317 RESPONSE re: 1311 Memorandum of Law in Opposition to Motion Plaintiffs' Memorandum in Response to Partial Opposition of Sylvia Tucker to Distribution of the GlobeOp Settlement Fund. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Finkel, Robert)
September 4, 2014 Filing 1316 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 9/3/2014 re: We respectfully request that this Court clarify whether the SC Plaintiffs' letter is due September 7, 2014 and whether the Court will permit that letter to be up to ten pages. ENDORSEMENT: Request GRANTED. The Court's memo-endorsed Order dated 9-3-14 is modified to extend the date by which plaintiff's herein may respond to 9-12-14 and the page limitation enlarged to 10 pages. (Signed by Judge Victor Marrero on 9/4/2014) (lmb)
September 3, 2014 Filing 1315 MANDATE & OPINION of USCA (Certified Copy) as to 1106 Notice of Appeal, filed by Irving H. Picard USCA Case Number 13-1392. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED in accordance with the opinion of this court. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 09/03/2014. (Attachments: # 1 OPINION)(nd)
September 3, 2014 Filing 1314 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 8/29/2014 re: We write on behalf of the Standard Chartered Defendants ("SCB"), pursuant to the Court's Individual Practices and the July 10, 2014 Order (Dkt. No. 1285), to request a pre-motion conference regarding SCB's contemplated unified motion for summary judgment in 11 actions that the parties and the Court have designated as "test cases" for summary judgment purposes (the "SCB Test Cases"). ENDORSEMENT: SCB litigation plaintiffs are directed to respond by 9-7-14 by letter not to exceed three (3) pages, to the matter set forth above by SCB defendants. (Signed by Judge Victor Marrero on 9/3/2014) (lmb)
September 2, 2014 Filing 1313 DECLARATION of Sylvia Tucker in Opposition re: 1292 MOTION for Disbursement of Funds of the GlobeOp Net Settlement Fund.. Document filed by Sylvia Tucker. (Leyva, Leonel)
September 2, 2014 Filing 1312 DECLARATION of Mark G. Cunha, Esq. in Opposition re: 1292 MOTION for Disbursement of Funds of the GlobeOp Net Settlement Fund.. Document filed by Sylvia Tucker. (Leyva, Leonel)
September 2, 2014 Filing 1311 MEMORANDUM OF LAW in Opposition re: 1292 MOTION for Disbursement of Funds of the GlobeOp Net Settlement Fund. . Document filed by Sylvia Tucker. (Leyva, Leonel)
September 2, 2014 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Leonel V. Leyva to RE-FILE Document 1310 Memorandum of Law in Opposition to Motion. ERROR(S): Opposing Documents are filed separately, each receiving their own document #. (db)
August 29, 2014 Filing 1310 FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Opposition re: 1292 MOTION for Disbursement of Funds of the GlobeOp Net Settlement Fund. . Document filed by Sylvia Tucker. (Attachments: # 1 Declaration of Mark G. Cunha, Esq., # 2 Declaration of Sylvia Tucker)(Leyva, Leonel) Modified on 9/2/2014 (db).
August 22, 2014 Opinion or Order Filing 1309 ORDER re: (1307 in 1:09-cv-00118-VM-FM, 120 in 1:11-cv-03553-VM) Endorsed Letter, (119 in 1:11-cv-03553-VM, 1301 in 1:09-cv-00118-VM-FM) Endorsed Letter, (1308 in 1:09-cv-00118-VM-FM) Endorsed Letter, (1303 in 1:09-cv-00118-VM-FM) Endorsed Letter. ENDORSEMENT: Accordingly, for the reasons stated therein, Barbachano's request for leave to file a second amended complaint, separate from repleading a uniform negligence count in coordination with all other plaintiffs, is hereby DENIED. (Signed by Judge Victor Marrero on 8/22/2014) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM (tn)
August 22, 2014 Filing 1308 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 8/21/2014 re: For the foregoing reasons, Barbachano's request to amend her complaint separate and apart from repleading a uniform negligence count in coordination with all other plaintiffs should be denied. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Bank defendants. (Signed by Judge Victor Marrero on 8/22/2014) (tn)
August 18, 2014 Filing 1307 ENDORSED LETTER addressed to Judge Victor Marrero from H. Eugene Lindsey dated 8/18/2014 re: Ms. Barbachano requests that the Court permit her to replead her negligence count, merely deleting the word "gross" from her existing gross negligence count, hold that suitability claims related to her entire portfolio have not been concluded, and remand her case to the Southern District of Florida. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Teresa Barbachano. (Signed by Judge Victor Marrero on 8/18/2014) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(tn)
August 18, 2014 Filing 1306 NOTICE OF APPEARANCE by Leonel V. Leyva on behalf of Sylvia Tucker. (Leyva, Leonel)
August 15, 2014 Opinion or Order Filing 1305 ENDORSED LETTER addressed to Judge Victor Marrero from David M. Kohane dated 8/14/2104 re: Extension of time. ENDORSEMENT: SO ORDERED. Request GRANTED. The time for applicant Sylvia Tucker to respond to motion for distribution of settlement funds herein is extended to 8-29-14. (Motions due by 8/29/2014.) (Signed by Judge Victor Marrero on 8/14/2014) (ajs)
August 14, 2014 Filing 1304 NOTICE OF APPEARANCE by David M. Kohane on behalf of Sylvia Tucker. (Kohane, David)
August 13, 2014 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference was held on 8/13/2014 with parties Theresa Barbachano (plaintiff) and the Standard Chartered Defendants concerning the issue of negligence and the economic loss rule. Ms. Barbachano may submit a letter by 8/18/14; and the defendants may respond by 8/21/14, in each case not to exceed two pages. (sc)
August 13, 2014 Filing 1303 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 8/11/2014 re: For the foregoing reasons, Barbachano's request for leave to file a Second Amended Complaint should be denied. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendant Standard Chartered Bank. (Signed by Judge Victor Marrero on 8/13/2014) (lmb)
August 13, 2014 Opinion or Order Filing 1302 ORDER: Pursuant to the telephone conference on August 12, 2014, it is hereby ORDERED that: 1. The Plaintiffs shall answer the Citco Defendants' requests for admission concerning their negligence-based initial investment claims. 2. The Plaintiffs shall also answer the Citco Defendants' contention interrogatories 3 and 4. The Citco Defendants' contention interrogatories 1 and 2 shall be stricken. (Signed by Magistrate Judge Frank Maas on 8/12/2014) Copies Sent By Chambers. (lmb)
August 12, 2014 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 8/12/2014. (Chambers, Richalyn)
August 8, 2014 Filing 1301 ENDORSED LETTER addressed to Judge Victor Marrero from H. Eugene Lindsey dated 8/7/2014 re: Counsel for Ms. Barbachano, submits her proposed Second Amended Complaint, which includes a negligence count that merely deletes the word "gross" from her existing gross negligence count, doing so without agreement from opposing counsel, and respectfully requests that the Court grant leave for its filing. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Teresa Barbachano. (Signed by Judge Victor Marrero on 8/8/2014) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(tn)
August 8, 2014 Filing 1300 ENDORSED LETTER addressed to Judge Victor Marrero from Robert A. Wallner dated 8/8/2014 re: the mediating parties are not authorized to negotiate a global settlement addressing the Trustee's claims. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Trustee of the Greenwich Sentry parties' Litigation Trusts. (Signed by Judge Victor Marrero on 8/8/2014) (tn)
August 6, 2014 Opinion or Order Filing 1299 ORDER: It is hereby ORDERED that a telephone conference in the above-referenced matter shall be held on August 12, 2014, at 10 a.m. Counsel for the Citco Defendants shall initiate the call., ( Telephone Conference set for 8/12/2014 at 10:00 AM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 8/6/2014) Copies Sent By Chambers. (lmb)
August 6, 2014 Filing 1298 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 8/5/2014 re: Magistrate Judge Maas is available to conduct mediation on September 22, and we respectfully request that the Court refer the matter to Judge Maas for that purpose. ENDORSEMENT: Mediation is within the scope of a GPT referral so no separate order is necessary. I look forward to seeing counsel on 9/22, and trust that they will comply with my settlement procedures before then. (Signed by Magistrate Judge Frank Maas on 8/6/2014) (lmb)
August 6, 2014 Filing 1297 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 8/5/2014 re: Magistrate Judge Maas is available to conduct mediation on September 22, and we respectfully request that the Court refer the matter to Judge Maas for that purpose. ENDORSEMENT: Request GRANTED. (Signed by Judge Victor Marrero on 8/6/2014) (tn)
August 4, 2014 Filing 1296 SEALED DOCUMENT placed in vault.(nm)
August 4, 2014 Filing 1295 LETTER addressed to Magistrate Judge Frank Maas from Andrew Gordon dated August 4, 2014 re: Request for pre-motion conference. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Global Custody N.V., Citco Group Limited. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Gordon, Andrew)
August 1, 2014 Filing 1294 DECLARATION of Katherine Lloyd in Support re: 1292 MOTION for Disbursement of Funds of the GlobeOp Net Settlement Fund.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Finkel, Robert)
August 1, 2014 Filing 1293 DECLARATION of Robert C. Finkel in Support re: 1292 MOTION for Disbursement of Funds of the GlobeOp Net Settlement Fund.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: # 1 Text of Proposed Order)(Finkel, Robert)
August 1, 2014 Filing 1292 MOTION for Disbursement of Funds of the GlobeOp Net Settlement Fund. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust.(Finkel, Robert)
July 31, 2014 Filing 1291 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 7/30/2014 re: Counsel for Anwar Plaintiffs requests leave from the Court to file the motion papers and related exhibits under seal, reserving the right to request filing on the public record at a later date. ENDORSEMENT: Request GRANTED. (Signed by Judge Victor Marrero on 7/31/2014) (tn)
July 31, 2014 Filing 1290 ENDORSED LETTER addressed to Judge Victor Marrero from Robert C. Finkel dated 7/30/2014 re: Counsel requests permission to file a motion for entry of an order approving distribution of the GlobeOp Financial Services LLC Net Settlement Fund to Authorized Claimants. ENDORSEMENT: Request GRANTED. Plaintiffs may file the motion described above. (Signed by Judge Victor Marrero on 7/31/2014) (tn)
July 24, 2014 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference was held on 7/24/2014. Parties are to engage in mediation as soon as possible and prior to September. Plaintiffs are to file a class certification motion by 8/1/14. PwC Defendants are to file opposition papers by 9/2/14. Citco Defendants may submit one additional expert declaration and are to file opposition papers by 9/15/14. No reply brief is required for Plaintiffs unless the Court deems necessary. (sc)
July 22, 2014 Filing 1289 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 7/18/2014 re: The parties have met and discussed the impact on the remaining schedule for this action of the Second Circuit's June 19, 2014 Summary Order ("Order") (copy attached) vacating the Court's class certification order and remanding the case for further proceedings. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the parties. (Signed by Judge Victor Marrero on 7/22/2014) (tn)
July 22, 2014 Filing 1288 NOTICE OF APPEARANCE by Jeffrey Roger Sonn on behalf of Victor Jorge Saca. (Sonn, Jeffrey)
July 17, 2014 Filing 1287 MANDATE of USCA (Certified Copy) as to 1121 Notice of Appeal, filed by Citco Group Limited, CITCO Fund Services (Europe) B.V., CITCO Bank Nederland N.V. Dublin Branch, Pricewaterhousecoopers L.L.P., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Pricewaterhouse Coopers Accountants N.V. USCA Case Number 13-1642. IT is hereby ordered, adjudged, and decreed that the appeal is DISMISSED for lack of standing. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 07/17/2014. (nd)
July 10, 2014 Filing 1286 MANDATE of USCA (Certified Copy). USCA Case Number 13-2340-cv(L); 13-2345 (con). Upon due consideration, it is hereby ordered, adjudged, and decreed that the certification order entered on February 25, 2013 is VACATED and REMANDED for further proceedings in the District Court consistent with this order and with the developed record, including any facts revealed by discovery that has taken place since the original certification order. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 07/10/2014. (nd)
July 10, 2014 Filing 1285 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 7/9/2014 re: Counsel writes with the consent and agreement of the SC Defendants regarding a schedule for seeking leave to file summary judgment motions after expert discovery concludes in the SC Cases on 8/20/2014. ENDORSEMENT: Request GRANTED. The timing for the parties' pre-motion conference letter is approved as set forth above. (Signed by Judge Victor Marrero on 7/10/2014) (tn)
June 20, 2014 Opinion or Order Filing 1284 DISCOVERY ORDER: I have reviewed the recent series of letters concerning the sur-rebuttal reports tendered by the Standard Chartered Plaintiffs on or about May 19,2014. I do not believe a conference to discuss the issues raised is necessary. One thing is clear: had the Ziff report not been substituted for the Zask report, whatever squabbles may have arisen with respect to the expert opinions of Martin, Picard, and Zask would have been resolved long ago. It is unfortunate that the parties' internecine warfare regarding experts is continuing. I will permit the sur-rebuttal reports to stand. Ziff, in turn, may supplement his report within thirty days. I further will permit continued depositions of all three experts within thirty days after any supplemental Ziff report is served. The Picard deposition shall be limited to ninety minutes. The Martin and Ziff depositions shall be limited to three hours. The subject matter of these depositions will be limited to any new opinions expressed in the reports prepared since Ziff was deposed. Each side shall bear the cost of producing its experts; no attorneys' fees will be shifted. Counsel should be wary of making any further applications concerning these experts. (Signed by Magistrate Judge Frank Maas on 6/20/2014) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al. Copies Sent By Chambers. (lmb)
June 19, 2014 Filing 1283 ENDORSED LETTER addressed to Judge Victor Marrero from H. Eugene Lindsey dated 6/17/2014 re: I write on behalf of Plaintiff Teresa Barbachano, one of the Plaintiffs in the Standard Chartered Cases ("SC Cases"), in response to the Standard Chartered Defendants' letter, dated June 9, 2014. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Teresa Barbachano. (Signed by Judge Victor Marrero on 6/17/2014) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(tn)
June 19, 2014 Filing 1282 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 6/12/2014 re: We write once again on behalf of the Anwar Plaintiffs in response to repeated requests by the Standard Chartered Bank Defendants ("SCB"), most recently by letter of June 9, 2014. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. (Signed by Judge Victor Marrero on 6/16/2014) (tn)
June 19, 2014 Filing 1281 TRUE COPY ORDER of USCA. USCA Case Number 13-2340-cv(L); 13-2345 (con). Upon due consideration, it is hereby ordered, adjudged, and decreed that the certification order entered on February 25, 2013 is VACATED and REMANDED for further proceedings in the District Court consistent with this order and with the developed record, including any facts revealed by discovery that has taken place since the original certification order. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 06/19/2014. (nd)
June 17, 2014 Filing 1280 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 6/17/2014 re: This letter responds to the June 9, 2014 letter to Your Honor from counsel for the Standard Chartered Defendants ("SC Defendants"). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 6/17/2014) (tn)
June 10, 2014 Filing 1276 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 6/9/2014 re: SCB thus respectfully renews its request for judgment on the pleadings pursuant to SLUSA. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by defendants Standard Chartered Bank. (Signed by Judge Victor Marrero on 6/10/2014) (tn)
June 9, 2014 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference was held on 6/9/2014 in this matter to discuss the details of briefing for upcoming motions. (sc)
June 9, 2014 Opinion or Order Filing 1275 ELEVENTH ORDER AMENDING THE AMENDED CASE MANAGEMENT PLAN AND SCHEDULING ORDER: Summary judgment motions due by 9/5/2014; Responses due by 11/3/2014; Replies due by 12/5/2014, and as further set forth in this order. Apart from the preceding amendment, the provisions of the CMP remain in effect. (Signed by Judge Victor Marrero on 6/9/2014) (tn)
June 4, 2014 Filing 1274 ANSWER to Complaint. Document filed by Citco Group Limited.(Gordon, Andrew)
June 4, 2014 Filing 1273 ANSWER to Complaint. Document filed by Citco Global Custody N.V..(Gordon, Andrew)
June 4, 2014 Filing 1272 ANSWER to Complaint. Document filed by Citco Canada Inc..(Gordon, Andrew)
June 4, 2014 Filing 1271 ANSWER to Complaint. Document filed by Citco Fund Services (Bermuda) Limited.(Gordon, Andrew)
June 4, 2014 Filing 1270 ANSWER to Complaint. Document filed by CITCO Bank Nederland N.V. Dublin Branch.(Gordon, Andrew)
June 4, 2014 Filing 1269 ANSWER to Complaint. Document filed by CITCO Fund Services (Europe) B.V..(Gordon, Andrew)
May 28, 2014 Filing 1268 MANDATE of USCA (Certified Copy) USCA Case Number 13-4773. Petitioner has filed a petition for a writ of mandamus. The Association of Corporate Counsel moves for leave to file a brief as an amicus curiae in support of the mandamus petition. Upon due consideration, it is hereby ORDERED that the motion for leave to file an amicus curiae brief is GRANTED, and the proposed brief has been considered by the panel. It is further ORDERED that the mandamus petition is DENIED because Petitioner has not demonstrated that exceptional circumstances warrant the requested relief. See In re City of New York, 607 F.3d 923, 932 (2d Cir. 2010). Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 05/28/2014. (nd)
May 13, 2014 Opinion or Order Filing 1267 ORDER: that Plaintiffs are granted leave to amend the Second Consolidated Class Action Complaint ("SCCAC") to reassert negligence-based initial investment claims against defendants The Citco Group Ltd.; Citco Fund Services (Europe) B. V.; Citco (Canada) Inc.; Citco Global Custody N.V.; Citco Bank Nederland, N.V., Dublin Branch; and Citco Fund Services (Bermuda) Ltd. (collectively, the "Citco Defendants"). The Citco Defendants may request an extension of the expert discovery deadline upon a sufficient showing of the nature and scope of such expert discovery necessary by reason of Plaintiffs' amendment of the SCCAC at this time. (Signed by Judge Victor Marrero on 5/13/2014) (tn)
May 13, 2014 Filing 1266 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew Gordon dated 4/24/2014 re: Counsel requests that if Your Honor is inclined to consider Plaintiffs' letter, the Citco Defendants be given the opportunity to respond briefly so that the record may be corrected. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citgo defendants. (Signed by Judge Victor Marrero on 5/13/2014) (tn)
May 13, 2014 Filing 1265 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 4/24/2014 re: Counsel for the Anwar Plaintiffs write to oppose Plaintiffs' request to amend the SCAC. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs on Anwar. (Signed by Judge Victor Marrero on 5/13/2014) (tn)
May 13, 2014 Filing 1264 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew G. Gordon dated 4/17/2014 re: Counsel for Citco Defendants request that the Court grant the Citeo Defendants an extension of time to respond to Plaintiffs' letter by no later than Wednesday, April 23, 2014. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citgo Defendants. (Signed by Judge Victor Marrero on 5/13/2014) (tn)
May 13, 2014 Filing 1263 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew G. Gordon dated 4/23/2014 re: Counsel for Citco Defendants submit this letter in opposition to the 4/17/2014 letter submitted by Plaintiffs. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citgo Defendants. (Signed by Judge Victor Marrero on 5/13/2014) (tn)
May 12, 2014 Opinion or Order Filing 1262 ENDORSED LETTER addressed to Judge Victor Marrero from Brian D. Graifman dated 5/6/2014 re: Counsel requests that his appearance as counsel be terminated and his name be removed from the docket sheet. ENDORSEMENT: SO ORDERED. Attorney Brian Dale Graifman terminated. (Signed by Judge Victor Marrero on 5/12/2014) (tn)
May 9, 2014 Filing 1261 SEALED DOCUMENT placed in vault.(nm)
April 25, 2014 Filing 1260 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 4/17/2014 re: Counsel requests a pre-motion conference to address Plaintiffs' proposed motion to amend the Second Consolidated Class Action Complaint ("SCAC") to reassert negligence-based claims against the Citco Administrator defendants with respect to initial investments. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Anwar plaintiffs. (Signed by Judge Victor Marrero on 4/25/2014) (tn) Modified on 4/28/2014 (tn). (Main Document 1260 replaced on 4/28/2014) (mt).
April 9, 2014 Opinion or Order Filing 1259 TENTH ORDER AMENDING THE AMENDED CASE MANAGEMENT PLAN AND SCHEDULING ORDER: IT IS HEREBY ORDERED, that the CMO is amended as follows: The Citco Group Ltd., Citco Fund Services (Europe) B.V., Citco (Canada) Inc., Citco Global Custody N.V, Citco Bank Nederland, N.V., Dublin Branch, Citco Fund Services (Bermuda) Ltd., PricewaterhouseCoopers LLP, PricewaterhouseCoopers Accountants, N.V., and the Anwar Plaintiffs shall cooperate in scheduling expert witness depositions so as to complete expert discovery by May 30, 2014. Apart from the preceding amendment, the provisions of the CMO remain in effect., ( Expert Discovery due by 5/30/2014.) (Signed by Magistrate Judge Frank Maas on 4/9/2014) (lmb)
March 31, 2014 Filing 1258 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CIVIL CAUSE FOR TELEPHONIC CONFERENCE proceeding held on 3/24/2014 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...(nt)
March 31, 2014 Filing 1257 TRANSCRIPT of Proceedings re: CIVIL CAUSE FOR TELEPHONIC CONFERENCE held on 3/24/2014 before Magistrate Judge Frank Maas. Court Reporter/Transcriber: Shari Riemer, (518) 581-8973. 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 4/24/2014. Redacted Transcript Deadline set for 5/5/2014. Release of Transcript Restriction set for 7/3/2014.(nt)
March 27, 2014 Opinion or Order Filing 1256 ORDER re: 910 Order, 1253 Endorsed Letter, 1255 Endorsed Letter. The Court received letters from defendants The Citco Group Ltd.; Citco Fund Services (Europe) B.V.; Citco (Canada) Inc.; Citco Global Custody N.V.; Citco Bank Nederland, N.V., Dublin Branch; and Citco Fund Services (Bermuda) Ltd. (collectively, the "Citco Defendants") and from Plaintiffs, respectively dated March 19 and March 24, 2014 (Dkt. Nos. 1253, 1255), seeking clarification of the Court's Decision and Order dated August 6, 2012 (Dkt. No. 910) (the "Order"). The Court provides the following clarification of the Order. The Order dismissed all of Plaintiffs' negligence-based initial investment claims against all of the defendants who were included in the defined term "Defendants" in the Order. (Dkt. No. 910, at 1-2.) These parties are as follows; PwC Canada and PwC Netherlands (together, the "PwC Defendants"); Fairfield Greenwich Ltd.; Fairfield Greenwich Group; Fairfield Heathcliff Capital, LLC; Fairfield Risk Services Ltd.; Greenwich Sentry L. P.; Fairfield Sentry Ltd.; Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors, LLC; Fairfield International Managers, Inc.; and Fairfield Greenwich Corp. (collectively, the "Fairfield Defendants"); GlobeOp Financial Services LLC ("GlobeOp" ); and the Citco Defendants (collectively with the PwC Defendants, the Fairfield Defendants, and GlobeOp, the "Defendants"). The fact that the final page of the Order refers to "the motion... of defendants PwC Canada and PwC Netherlands" (Dkt. No. 910, at 15) is purely ministerial and directs the electronic docketing department to terminate particular motions. That reference therefore should not be construed to imply that the Order applies only to the PwC Defendants. SO ORDERED. (Signed by Judge Victor Marrero on 3/27/2014) (kgo)
March 27, 2014 Filing 1255 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 3/24/14 re: In sum, the August 6, 2012 Order was clear, and there was no basis then, nor is there now, for Citco to avail itself of a ruling applicable only to the PwC Defendants. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court the Anwer Plaintiffs. (Signed by Judge Victor Marrero on 3/27/2014) (mro)
March 25, 2014 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 3/25/2014. Associated Cases: 1:09-cv-00118-VM-FM et al.(Chambers, Richalyn)
March 20, 2014 Filing 1254 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Richard E. Brodsky dated 3/20/2014 re: We respectfully request that the Court consider rescheduling the conference to an earlier date and time. ENDORSEMENT: 1. My schedule is crowded, but a slot has opened up on Monday, 3/24/14, at 3 pm if counsel are available. 2. My intent was not to delay decision pending the filing of the public version of the letter. 3. Please let my Chambers know by 3 pm on 3/21 whether 3/24 at 3 pm suits counsel. (Signed by Magistrate Judge Frank Maas on 3/20/2014) (lmb)
March 20, 2014 Opinion or Order Filing 1253 ENDORSED LETTER addressed to Judge Victor Marrero, from Leslie Gordon Fagen, dated 3/19/2014, re: seeking clarification of Your Honor's August 7, 2012 Decision and Order (ECF No. 910)(the "Order"). We request that the Court clarify that the Order dismissed Plaintiffs' negligence-based initial investment claims with respect to the Citco Defendants. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Citco Defendants. SO ORDERED. (Signed by Judge Victor Marrero on 3/19/2014) (ja)
March 17, 2014 Filing 1252 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Diane L. McGimsey dated 3/17/2014 re: Standard Chartered respectfully requests that Plaintiffs' March 14th letter and attachments thereto not be entered onto the public record of these proceedings. ENDORSEMENT: Plaintiffs are directed to consult with the Standard Chartered Defendants and to file an appropriately redacted version of the March 14 letter. Sullivan & Cromwell should similarly file a redacted copy of its letter when it responds. (Signed by Magistrate Judge Frank Maas on 3/17/2014) (lmb)
March 17, 2014 Opinion or Order Filing 1251 ORDER: It is hereby ORDERED that a telephone conference in the above-referenced matter shall be held on 3/31/2014, at 4 p.m. Counsel for the Standard Chartered Plaintiffs shall initiate the call. SO ORDERED. (Telephone Conference set for 3/31/2014 at 04:00 PM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 3/17/2014) Copies Sent By Chambers. (kgo)
March 7, 2014 Filing 1250 NOTICE of Withdrawal of Appearance. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Harrod, James)
March 6, 2014 Filing 1249 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 3/5/2014 re: This letter replies to the March 3, 2014 letter to Your Honor from counsel for the Standard Chartered Defendants. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 3/6/2014) (tn)
March 6, 2014 Filing 1248 ENDORSED LETTER addressed to Judge Victor Marrero from Leslie Gordon Fagen dated 3/5/2014 re: Counsel for defendants The Citco Group Ltd., Citco Fund Services (Europe) B.V., Citco (Canada) Inc. Citco Global Custody N.V., Citco Bank Nederland, N.V., Dublin Branch, and Citco Fund Services (Bermuda) Ltd., writes in response to the letter dated 2/28/2014 from the Anwar plaintiffs. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Citco Defendants. (Signed by Judge Victor Marrero on 3/6/2014) (tn)
March 4, 2014 Filing 1247 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 2/28/2014 re: Accordingly, there is no need for the Court to reconsider its SLUSA rulings. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Anwar Plaintiffs. (Signed by Judge Victor Marrero on 3/4/2014) (tn)
March 4, 2014 Filing 1246 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 3/3/2014 re: counsel writes in response to the letters sent to the Court on February 27 and February 28 concerning the Supreme Court's February 26, 2014 decision in Chadbourne & Parke LLP v, Troice. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Bank Defendants. (Signed by Judge Victor Marrero on 3/4/2014) (tn)
March 4, 2014 Filing 1245 NOTICE of Withdrawal of Appearance of Jeffrey L. Roether. Document filed by Fairfield Greenwich Advisors L.L.C.. (Roether, Jeffrey)
February 27, 2014 Filing 1244 ENDORSED LETTER addressed to Judge Victor Marrero, from Richard E. Brodsky, dated 2/27/2014, re: chain of correspondence to the Court last fall concerning the application of the Securities Litigation Uniform Standards Act ("SLUSA") to the Standard Chartered Cases, all of which involve state law claims... ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 2/27/2014) (ja)
February 27, 2014 Filing 1243 MEMO ENDORSEMENT on re: 1242 Letter, filed by Citco Group Limited, Citco Global Custody N.V., CITCO Fund Services (Europe) B.V., CITCO Bank Nederland N.V. Dublin Branch, Citco Canada Inc., Citco Fund Services (Bermuda) Limited. ENDORSEMENT: Application granted., ( Deposition due by 4/25/2014.) (Signed by Magistrate Judge Frank Maas on 2/27/2014) (lmb)
February 26, 2014 Filing 1242 LETTER addressed to Magistrate Judge Frank Maas from Andrew G. Gordon dated February 26, 2014 re: Extension of Time to Complete Expert Discovery. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Global Custody N.V., Citco Group Limited.(Gordon, Andrew)
February 6, 2014 Opinion or Order Filing 1241 DISCOVERY ORDER: For essentially the reasons advanced yesterday by counsel for the Anwar Plaintiffs' Steering Committee, I have determined that the Standard Chartered Defendants' request to participate in the expert depositions in Anwar should be denied. (Signed by Magistrate Judge Frank Maas on 2/6/2014) Copies Sent By Chambers. (tro)
February 5, 2014 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 2/5/2014. (Chambers, Richalyn)
January 31, 2014 Filing 1240 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Richard E. Brodsky dated 1/31/2014 re: Therefore, we have agreed with Sullivan & Cromwell to the following schedule: The expert's report will be made available to Plaintiffs' counsel no later than March 3, 2014; The expert will be made available for a deposition in New York, New York on March 27 or March 28, 2014 (the date to be agreed to between counsel). ENDORSEMENT: So Ordered (and Thank You!). (Signed by Magistrate Judge Frank Maas on 1/31/2014) (djc)
January 6, 2014 Opinion or Order Filing 1239 DISCOVERY ORDER: I therefore will permit the Standard Chartered Defendants to substitute another expert for Zask. The replacement expert, however, will not be permitted to proffer a report or testify in a manner that is contrary to or inconsistent with Zask's report, nor may the expert testify to any matters not previously set forth in Zask's report. Finally, although Zask evidently had yet to be deposed, the reasonable cost of the replacement expert's deposition transcript (and any video thereof if other experts' depositions are being videotaped) shall be borne exclusively by the Standard Chartered Defendants. (Signed by Magistrate Judge Frank Maas on 1/6/2014) Copies Sent By Chambers. (tn)
December 20, 2013 Filing 1238 MANDATE of USCA (Certified Copy) as to 1120 Notice of Interlocutory Appeal filed by Miguel Lomeli, Morning Mist Holdings Limited USCA Case Number 13-1581. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 12/20/2013. (nd)
December 3, 2013 Filing 1237 ENDORSED LETTER: addressed to Magistrate Judge Frank Maas from Diane L. McGimsey dated 12/3/2013 re: For the foregoing reasons, the parties respectfully submit that there is no present need for a case management conference as the schedules for the Actions have been established by prior orders. The parties therefore jointly request that the Court vacate the Order. Thank you for your consideration of this matter. ENDORSEMENT: As requested my order dated 11/15/2013 (ECF No. 1222) is vacated. So Ordered. (Signed by Magistrate Judge Frank Maas on 12/3/2013) (js)
December 2, 2013 Filing 1236 ENDORSED LETTER: addressed to Judge Victor Marrero from Sharon L. Nelles dated 11/26/2013 re: For the foregoing reasons, SCB respectfully requests, without delay, a conference to discuss its motion for judgment on the pleadings pursuant to SLUSA. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted submitted to the Court by Standard Chartered Bank defendants. So Ordered. (Signed by Judge Victor Marrero on 12/2/2013) (js)
November 27, 2013 Filing 1235 ENDORSED LETTER: addressed to Magistrate Judge Frank Maas from Diane L. McGimsey dated 11/27/2013 re: Standard Chartered thus requests that it be permitted to replace Mr. Zask with another expert, with the understanding that the opinions expressed by any replacement for Mr. Zask may not go beyond the scope of Mr. Zask's report. ENDORSEMENT: The plaintiffs' Sleery Committee is requested to respond to this letter by December 6, 2013. (Signed by Magistrate Judge Frank Maas on 11/27/2013) (js)
November 26, 2013 Opinion or Order Filing 1234 DISCOVERY ORDER: denying 1229 Letter Motion for Conference. In sum, because the testimony sought by the Defendants is of limited, if any, relevance to the issues in this case, the two proposed depositions would impose undue burden and expense on the SEC. For this reason, the Defendants' letter-motion to compel is denied. (Signed by Magistrate Judge Frank Maas on 11/26/2013) Copies Sent By Chambers to Hon. Victor Marrero (djc)
November 25, 2013 Filing 1231 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 9/16/13 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...(McGuirk, Kelly)
November 25, 2013 Filing 1230 TRANSCRIPT of Proceedings re: CONFERENCE held on 9/16/2013 before Magistrate Judge Frank Maas. Court Reporter/Transcriber: Jerry Harrison, (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 12/19/2013. Redacted Transcript Deadline set for 12/30/2013. Release of Transcript Restriction set for 2/27/2014.Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(McGuirk, Kelly)
November 22, 2013 Minute Entry for proceedings held before Judge Victor Marrero: Settlement Conference held on 11/22/2013. The Court held a hearing to address the proposed GlobeOp final settlement. The Court granted final approval of the settlement. (sc)
November 22, 2013 Opinion or Order Filing 1233 FINAL JUDGMENT AND ORDER AWARDING FEES AND EXPENSES as set forth in the GlobeOp Settlement. (Signed by Judge Victor Marrero on 11/22/13) (Attachments: # 1 Notice of Right to Appeal)Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(ml)
November 22, 2013 Opinion or Order Filing 1232 GLOBEOP FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE settling action as to Globeop. (Signed by Judge Victor Marrero on 11/22/13) (Attachments: # 1 Notice of Right to Appeal)Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(ml)
November 22, 2013 Filing 1229 LETTER MOTION for Conference addressed to Magistrate Judge Frank Maas from Carl W. Mills dated August 19, 2013. Document filed by Citco Group Limited, Pricewaterhouse Coopers Accountants N.V., Pricewaterhousecoopers LLP (US). (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Cave, Sarah)
November 21, 2013 Filing 1228 ENDORSED LETTER: addressed to Judge Victor Marrero from Sharon L. Nelles dated 11/20/2013 re: Counsel for defendants request leave to submit a letter no longer than 4 pages in reply on or before November 26, 2013. ENDORSEMENT: Request Granted. The Standard Chartered Bank Defendants are authorized to file by 11/26/2013 a reply letter not to exceed four (4) pages addressing the matters referred to above, and in particular showing cause why this matter should not be deferred pending rulings by the Circuit Court and the Supreme Court on related questions. So Ordered. (Signed by Judge Victor Marrero on 11/21/2013) (js)
November 21, 2013 Filing 1227 ENDORSED LETTER: addressed to Judge Victor Marrero from Timothy A. Duffy dated 11/20/2013 re: The PwC and Citco Defendants therefore respectfully submit that consideration of this issue might best be deferred pending those anticipated decisions. If: however, the Court is inclined to address the issue now, the PwC and Citco Defendants respectfully request to participate in any further briefing the Court may require and any conference that may be held. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the PwC and Citco defendants. So Ordered. (Signed by Judge Victor Marrero on 11/21/2013) (js) Modified on 11/21/2013 (js).
November 20, 2013 Filing 1226 ENDORSED LETTER: addressed to Judge Victor Marrero from Sharon L. Nelles dated 11/12/2013 re: for the foregoing reasons, SCB respectfully requests a conference to discuss a motion for Judgment on the pleadings pursuant to SLUSA. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Chartered defendant. (Signed by Judge Victor Marrero on 11/13/2013) (js)
November 20, 2013 Filing 1225 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrett dated 11/19/2013 re: Counsel write on behalf of Plaintiffs We have reviewed the November 12, 2013 letter ("Letter") from Sharon L. Nelles, Esq., on behalf of the Standard Chartered Bank Defendants ("SCB"), requesting a pre-motion conference to discuss SCB's contemplated motion to dismiss under the Securities Litigation Uniform Standards Act of 1998 ("SLUSA") and Rule 12(c) in light of In re Herald, Primeo, & Thema Sec. Litig., 730 F.3d 112 (2d Cir. 2013). This Court, in Anwar v, Fairfield Greenwich, 728 F.Supp.2d 372, 397-99 (S.D.N.Y. 2010) ("Anwar If'), properly overruled Defendants' SLUSA arguments, and SCB offers no basis to reconsider that decision. Because SCB's contemplated motion could potentially impact the Anwar Plaintiffs' claims, however, we respectfully request that the Court consider our position on these matters. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Anwar plaintiffs.. (Signed by Judge Victor Marrero on 11/20/2013) (js)
November 20, 2013 Filing 1224 ENDORSED LETTER: addressed to Judge Victor Marrero from H. Eugene Lindsey dated 11/19/2013 re: Counsel for Plaintiff write one of the Plaintiffs in the Standard Chartered Cases ("SC Cases"). This letter responds to the Standard Chartered Defendants' November 12, 2013 letter seeking a pre-motion conference regarding a possible motion to dismiss the SC Cases under the Securities Litigation Uniform Standards Act ("SLUSA"). For the (reasons set forth in the correspondence from Plaintiffs' liaison counsel, which Ms. Barbachano adopt.s, Defendants' request should be denied. We write separately, however, to set forth the reasons why Defendants' SLUSA arguments are especially misplaced with regard to Ms. Barbachano. ENDORSEMENT: the Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiff Teresa Barbachano. (Signed by Judge Victor Marrero on 9/19/2013) (js) Modified on 11/20/2013 (js).
November 19, 2013 Filing 1223 LETTER addressed to Judge Victor Marrero from Richard E. Hrodsky dated 11/19/2013 re: Thus, as an alternative to considering the Defendants' request to file a SLUSA motion, this Court may wish to choose to defer ruling on the Standard Chartered Defendants' request until Chadboume is decided. Document filed by Standard Chartered Bank.(cd)
November 15, 2013 Opinion or Order Filing 1222 ORDER FOR CONFERENCE PURSUANT TO RULE 16(a): These cases are scheduled for an initial case management conference in accordance with Fed. R. Civ. P. 16(a), on December 10, 2013, at 10:00 a.m., in Courtroom 20A, 500 Pearl Street, New York, New York. AT THE CONFERENCE, the parties must be prepared to discuss the subjects set forth in subdivisions (b) and (c) of Rule 16. (Case Management Conference set for 12/10/2013 at 10:00 AM in Courtroom 20A, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 11/14/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc)
November 13, 2013 Filing 1221 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Bradley P. Smith dated 11/13/2013 re: We write on behalf of the Standard Chartered Defendants ("Standard Chartered"), in agreement with the Standard Chartered Plaintiffs' Steering Committee, to jointly request that the Court extend the period for expert depositions in the Standard Chartered Cases up to and including January 31, 2014. ENDORSEMENT: APPLICATION GRANTED. (Deposition due by 1/31/2014.)(Signed by Magistrate Judge Frank Maas on 11/13/2013) filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc) Modified on 11/19/2013 (djc).
November 13, 2013 Filing 1220 ENDORSED LETTER: addressed to Judge Victor Marrero from Richard E. Brodsky dated 11/12/2013 re: Counsel for Standard Chartered Plaintiffs write to request until November 19, 2013 to respond to the letter from the Defendants. Defendants do not object to this request. ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 11/13/2013) (js)
November 12, 2013 Opinion or Order Filing 1219 NINTH ORDER AMENDING THE AMENDED CASE MANAGEMENT PLAN AND SCHEDULING ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED, that the CMOs are amended as follows: 1. By November 22, 2013, The Citco Group Ltd., Citco Fund Services (Europe) B.V., Citco (Canada) Inc., Citco Global Custody N.V, Citco Bank Nederland, N.V., Dublin Branch, Citco Fund Services (Bermuda) Ltd., PricewaterhouseCoopers LLP and PricewaterhouseCoopers Accountants, N.V. (collectively, the "Non-Settling Defendants") shall serve expert reports concerning damages. 2. By December 6, 2013, Plaintiffs shall serve rebuttal expert reports, concerning all issues except damages. 3. By January 15, 2014, Plaintiffs shall serve any rebuttal expert reports concerning damages. 4. Plaintiffs and the Non-Settling Defendants shall cooperate in scheduling depositions of their respective expert witnesses so as to seek to complete such discovery to the extent possible by February 28, 2014 and all such expert witness depositions shall be completed by March 31, 2014. 5. The dates set forth in this Order shall not apply to any further litigation of claims against defendants other than the Non-Settling Defendants in the event that settlements resolving claims against those defendants do not become fully effective and litigation against those defendants Re-commences. ( Deposition due by 3/31/2014. Discovery due by 2/28/2014.) (Signed by Magistrate Judge Frank Maas on 11/12/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc) Modified on 11/12/2013 (djc). Modified on 11/13/2013 (djc).
November 8, 2013 Filing 1218 AFFIDAVIT of Daniel J. Polizzi in Support re: 1203 MOTION for Settlement Notice of Motion for Final Approval of the Proposed GlobeOp Settlement and Plan of Allocation and an Award of Attorneys' Fees and Reimbursement of Expenses.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Finkel, Robert)
November 8, 2013 Filing 1217 REPLY MEMORANDUM OF LAW in Support re: 1203 MOTION for Settlement Notice of Motion for Final Approval of the Proposed GlobeOp Settlement and Plan of Allocation and an Award of Attorneys' Fees and Reimbursement of Expenses.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: # 1 Exhibit A - Proposed GlobeOp Final Judgment and Order of Dismissal with Prejudice, # 2 Exhibit B - Final Judgment and Order Awarding Fees and Expenses)(Finkel, Robert)
November 8, 2013 Opinion or Order Filing 1216 DECISION AND ORDER: Accordingly, the Citco Defendants' privilege objections are denied and that order is affirmed (Signed by Judge Victor Marrero on 11/8/2013) (js)
November 4, 2013 Filing 1215 ANSWER to Complaint. Document filed by Standard Chartered Bank International (Americas) Limited.(Nelles, Sharon)
November 4, 2013 Filing 1214 ANSWER to Complaint. Document filed by Standard Chartered Bank International (Americas) Limited.(Nelles, Sharon)
November 4, 2013 Filing 1213 ANSWER to Complaint. Document filed by Standard Chartered Bank International (Americas) Limited.(Nelles, Sharon)
November 4, 2013 Filing 1212 ANSWER to Complaint. Document filed by Standard Chartered Bank International (Americas) Limited.(Nelles, Sharon)
November 4, 2013 Filing 1211 ANSWER to Complaint. Document filed by Standard Chartered Bank International (Americas) Limited.(Nelles, Sharon)
November 4, 2013 Filing 1210 ANSWER to Complaint. Document filed by Standard Chartered Bank International (Americas) Limited.(Nelles, Sharon)
October 21, 2013 Filing 1209 JOINDER to join re: 1208 Memorandum of Law in Opposition to Motion,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Global Custody N.V., Citco Group Limited.(Gordon, Andrew)
October 15, 2013 Filing 1208 MEMORANDUM OF LAW in Opposition re: 1203 MOTION for Settlement Notice of Motion for Final Approval of the Proposed GlobeOp Settlement and Plan of Allocation and an Award of Attorneys' Fees and Reimbursement of Expenses. PwC Defendants Limited Objection to Plaintiffs' Motion for Final Approval of the Proposed GlobeOp Settlement. Document filed by PricewaterhouseCoopers Accountants Netherlands N.V., Pricewaterhousecoopers L.L.P.. (Duffy, Timothy)
October 11, 2013 Filing 1207 DECLARATION of David H. McGill in Support re: 1206 Notice (Other). Document filed by GlobeOp Financial Services LLC.. (Attachments: # 1 Exhibit A)(McGill, David)
October 11, 2013 Filing 1206 NOTICE of GlobeOp Financial Services LLC's Statement Regarding Plaintiffs' Motion for Final Approval of the Proposed GlobeOp Settlement. Document filed by GlobeOp Financial Services LLC.. (McGill, David)
October 11, 2013 Filing 1205 DECLARATION of LEAD COUNSEL in Support re: 1203 MOTION for Settlement Notice of Motion for Final Approval of the Proposed GlobeOp Settlement and Plan of Allocation and an Award of Attorneys' Fees and Reimbursement of Expenses.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: # 1 Exhibit A - Affidavit of Daniel J. Polizzi Regarding (A) Mailing of the Notice and Proof of Claim Form; and (B) Publication of the Summary Notice, # 2 Exhibit B)(Finkel, Robert)
October 11, 2013 Filing 1204 MEMORANDUM OF LAW in Support re: 1203 MOTION for Settlement Notice of Motion for Final Approval of the Proposed GlobeOp Settlement and Plan of Allocation and an Award of Attorneys' Fees and Reimbursement of Expenses.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Finkel, Robert)
October 11, 2013 Filing 1203 MOTION for Settlement Notice of Motion for Final Approval of the Proposed GlobeOp Settlement and Plan of Allocation and an Award of Attorneys' Fees and Reimbursement of Expenses. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. Return Date set for 11/22/2013 at 02:30 PM.(Finkel, Robert)
October 11, 2013 Filing 1202 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrett dated 10/10/2013 re: Plaintiffs respectfully request that the Court accept this letter in response to the September 18, 2013 amicus letter of the Association of Corporate Counsel ("ACe") [Dkt. no. 1194] and Citco's reply brief [Dkt. no. 1198] objecting to Magistrate Judge Maas' July 8 Order (the "Reply"). the Reply incorporates portions of the ACC's brief and raises new arguments based on a new declaration of Citco's Dutch counsel, Michel Deckers, Plaintiffs believe these new filings warrant this further response. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiffs. (Signed by Judge Victor Marrero on 10/11/2013) (js)
October 7, 2013 Filing 1201 MEMORANDUM OF LAW re: 1197 Memorandum of Law in Response to the Memorandum of Law of the Securities and Exchange Commission Regarding the Standard of Review of Agency Compliance with Federal Subpoenas. Document filed by Citco Group Limited, Pricewaterhouse Coopers Accountants N.V., Pricewaterhousecoopers L.L.P.. (Maguire, William)
October 4, 2013 Opinion or Order Filing 1200 DISCOVERY ORDER: I have reviewed counsels' recent exchange of letters concerning discovery issues. If possible, I would like to address these issues during a telephone conference on Monday, October 7, 2013, at 2 p.m. If this date and time are not feasible, counsel should place a conference call to my Chambers as soon as possible to select a different, mutually acceptable date and time. (Telephone Conference set for 10/7/2013 at 02:00 PM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 10/4/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al. Copies Sent and Faxed By Chambers (djc) Modified on 10/4/2013 (djc). Modified on 10/4/2013 (djc).
October 3, 2013 Filing 1199 DECLARATION of MICHEL DECKERS in Support re: 1160 Memorandum of Law in Opposition,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Global Custody N.V., Citco Group Limited. (Gordon, Andrew)
October 3, 2013 Filing 1198 REPLY MEMORANDUM OF LAW in Support re: 1160 Memorandum of Law in Opposition,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Global Custody N.V., Citco Group Limited. (Gordon, Andrew)
October 1, 2013 Filing 1197 MEMORANDUM OF LAW Regarding the Standard of Review for Motions to Compel Agency Compliance With Federal Subpoenas. Document filed by Securities and Exchange Commission. (Hardy, Melinda)
October 1, 2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Hardy, Melinda to RE-FILE Document 1196 Brief. Use the event type Memorandum of Law(non-motion) found under the event list Other Answers. (ka)
September 30, 2013 Filing 1196 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - BRIEF. Document filed by Securities and Exchange Commission.(Hardy, Melinda) Modified on 10/1/2013 (ka).
September 26, 2013 Filing 1195 ENDORSED LETTER: addressed to Judge Victor Marrero from Andrew Gordon dated 9/24/2013 re: Citco and Plaintiffs have agreed to a further extension of this schedule, extending the time for Citco to reply to Plaintiffs' papers from September 26, 2013 to October 3, 2013 Counsel requests that the Court so order this extension.. ENDORSEMENT: Request GRANTED. The time for the Citgo defendants to reply to the matter above is extended to 10/3/2013. So Ordered., ( Replies due by 10/3/2013.) (Signed by Judge Victor Marrero on 9/26/2013) (js)
September 23, 2013 Filing 1194 ENDORSED LETTER: addressed to Judge Victor Marrero from Amar D. Sarwal dated 9/18/2013 re: On behalf of the Association of Corporate Counsel, we urge this court to reverse the magistrate judge's decision, and hold that because the communications between the Dutch company and its Dutch in-house lawyer would have stayed confidential in the Netherlands, courts in the U.S. should treat them as privileged. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Association of Corporate Counsel. (Signed by Judge Victor Marrero on 9/23/2013) (js) Modified on 9/23/2013 (js).
September 18, 2013 Opinion or Order Filing 1193 STIPULATION AND ORDER STRIKING ALLEGATIONS AND DEFERRING DISCOVERY IN SPECIFIED STANDARD CHARTERED CASES: that Plaintiffs agree to strike allegations of misrepresentations made in the context of their breach of fiduciary duty claims, as further set forth in this Order; Plaintiffs agree to strike allegations of misrepresentations regarding due diligence and the characteristics of the Fairfield Sentry fund in the context of their negligent misrepresentation claims, as further set forth in this Order; the parties in the Actions agree that the claims in plaintiffs' respective complaints for fraud and gross negligence and the allegations set forth therein shall not be affected by the language of this Stipulation other than as so specifically set forth herein; the parties in the Actions agree that the March 2012 Stipulation deferring discovery concerning plaintiff-specific issues will apply as further set forth in this Order; the parties in the Actions agree that Standard Chartered will answer plaintiffs' respective complaints on or before the forty-fifth day following the Court's entry of this Stipulation and Proposed Order; Plaintiffs in the Actions have preserved the right to appeal the actions described above in paragraphs 1 and 2 of this Stipulation and Proposed Order, as further set forth; and the parties in the Actions reserve all rights with respect to plaintiffs' ability to file Amended Complaints and defendant's ability to oppose the filing of any Amended Complaints. (Signed by Judge Victor Marrero on 9/18/2013) (tn)
September 18, 2013 Filing 1192 LETTER addressed to Judge Victor Marrero from Bradley P. Smith dated 9/17/2013 re: Counsel for Standard Chartered Bank International (Americas) and Plaintiffs in the Stipulating Actions, join in Standard Chartered's request that the Court enter the Proposed Order. Document filed by Standard Chartered Bank International (Americas) Limited.(tn)
September 17, 2013 Filing 1191 ENDORSED LETTER: addressed to Judge Victor Marrero from Robert C. Finkel dated 9/17/2013 re: Counsel requests that the GlobeOp settlement hearing be rescheduled for the afternoon of November 22, 2013. ENDORSEMENT: Request GRANTED. The Final GlobeOp Settlement Hearing is rescheduled to 11/22/2013 at 2:30 p.m. So Ordered. (Signed by Judge Victor Marrero on 9/17/2013) (js)
September 16, 2013 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Discovery Hearing held on 9/16/2013. (Chambers, Richalyn)
September 13, 2013 Filing 1190 LETTER addressed to Magistrate Judge Frank Maas from David A. Barrett dated 09/09/2013 re: SEC Depositions. Document filed by Harel Insurance Company, Ltd., Pacific West Health Medical Center Inc. Employees Retirement Trust(On behalf of Itself), Securities & Investment Company Bahrain, St. Stephen's School.(Barrett, David)
September 10, 2013 Opinion or Order Filing 1189 GLOBEOP PRELIMINARY APPROVAL ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED:1. The Court does hereby preliminarily approve the GlobeOp Stipulation and the GlobeOp Settlement set forth therein, subject to further consideration at the Settlement Hearing described below.Pursuant to Rules 23(a) and 23(b)(3) of the Federal Rules of Civil Procedure and for the purposes of the GlobeOp Settlement only, the GlobeOp Action is hereby preliminarily certified as a class action on behalf of all Persons who purchased or held interests in Greenwich Sentry, L.P. or Greenwich Sentry Partners, L.P. (the" Funds") from October 31, 2003 through September 1, 2006), and who were investors in the Funds as of December 10,2008, and suffered a Net Loss of principal invested in the Domestic Funds, excluding (i) those Persons who timely and validly request exclusion from the GlobeOp Settlement Class; (ii) any GlobeOp Settlement Class Member who has been dismissed from this GlobeOp Action with prejudice; and (iii) the FG Defendants, GlobeOp, and the Non-Settling Defendants, and any entity in which those Persons have a controlling interest, and their officers, directors, affiliates, employees, legal representatives, and immediate family members, and heirs, successors, subsidiaries, and assigns of such Persons ("GlobeOp Settlement Class Members").1.The GlobeOp Settlement Class consists of all of the investors referenced in Plaintiffs' Second Consolidated Amended Complaint dated September 29, 2009 on whose behalf plausible claims against GlobeOp were asserted. 2.The Court finds, preliminarily and for purposes of this GlobeOp Settlement only, that the prerequisites for a class action under Rules 23(a) and 23(b)(3) of the Federal Rules of Civil Procedure have been satisfied in that: (a) the number of GlobeOp Settlement Class Members is so numerous that joinder of all members of the GlobeOp Settlement Class is impracticable; (b) there are questions of law or fact common to the GlobeOp Settlement Class Members that predominate over any individual questions; (c) the claims of the Representative Plaintiffs are typical of the claims of the OlobeOp Settlement Class they seek to represent; (d) the Representative Plaintiffs fairly and adequately represent the interests of the OlobeOp Settlement Class; and (e) a class action is superior to other available methods for the fair and efficient adjudication of the GlobeOp Action. All other provisions as further set forth in this order. (Signed by Judge Victor Marrero on 9/10/2013) (js)
September 9, 2013 Filing 1188 MANDATE of USCA (Certified Copy) as to 889 Amended Notice of Appeal filed by Rosa Julieta A De Pujals, Jose Antonio Pujals, 887 Notice of Appeal, filed by Rosa Julieta A De Pujals, Jose Antonio Pujals USCA Case Number 12-2240. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 9/9/2013. (nd)
September 3, 2013 Filing 1187 ENDORSED LETTER addressed to Judge Victor Marrero from Robert C. Finkel dated 8/29/2013 re: Co-lead counsel for the Representative Plaintiffs and plaintiff class, requests permission pursuant to Your Honor's Individual Rules of Practice, to file a motion for entry of the Preliminary Approval Order to be heard, at the Court's convenience, at any time on September 23, 2013 or thereafter. ENDORSEMENT: Request GRANTED. Plaintiffs are authorized to file a motion for Preliminary Approval Order of their proposed settlement of claims against defendant GlobeOp in this action. (Signed by Judge Victor Marrero on 9/3/2013) (tn)
August 30, 2013 Filing 1186 SEALED DOCUMENT placed in vault.(nm)
August 29, 2013 Filing 1185 MEMORANDUM OF LAW in Support re: 1183 MOTION for Settlement Preliminary Approval, Preliminary Certification of the Class for Purposes of Settlement, Approval of Notice to the Class, and Scheduling of a Settlement Hearing.. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Finkel, Robert)
August 29, 2013 Filing 1184 SETTLEMENT AGREEMENT GlobeOp Stipulation of Settlement. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. (Attachments: # 1 Exhibit A - Preliminary Approval Order, # 2 Exhibit A-1 - Class Notice, # 3 Exhibit A-2 - Summary Notice, # 4 Exhibit A-3 - Proof of Claim, # 5 Exhibit B - Final Judgment)(Finkel, Robert)
August 29, 2013 Filing 1183 MOTION for Settlement Preliminary Approval, Preliminary Certification of the Class for Purposes of Settlement, Approval of Notice to the Class, and Scheduling of a Settlement Hearing. Document filed by Pacific West Health Medical Center, Inc. Employee's Retirement Trust. Return Date set for 9/23/2013 at 10:00 AM.(Finkel, Robert)
August 29, 2013 Filing 1182 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 8/26/2013 re: Counsel for Plaintiffs No. 09-cv-118 (VM) to request leave from the Court to file under seal Plaintiffs' Memorandum of Law in Opposition to the Citco Defendants' Rule 72(a) Objections to Magistrate Judge Maas' July 8, 2013 Discovery Order and the declaration of Olav A. Haazen dated August 26, 2013, attached hereto. Plaintiffs' memorandum includes references to and the exhibits o materials designated "Confidential" pursuant to the Second Amended Stipulation and Order Governing Confidentiality of Discovery Material (DE 591) Pursuant to paragraph 8(b) of that confidentiality order, Plaintiffs respectfully request leave to file their reply papers under seal. ENDORSEMENT: Request Granted. Plaintiffs are authorized to file under seal their reply papers regarding defendants' objections to Magistrate Judge Maas's Order. So Ordered. (Signed by Judge Victor Marrero on 8/28/2013) (js)
August 28, 2013 Filing 1181 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Laura Walker dated 8/26/2013 re: The Securities and Exchange Commission ("SEC" or "agency") is in receipt of the letter of the Defendants dated August 19, 2013, and is prepared to participate in an informal conference to address the SEC's decision not to authorize its current and former employees to testify under the Rule 45 subpoenas issued in this action. ENDORSEMENT: The Court will hold a conference to discuss the Defendants' request on September 16 at 3 p.m. in Courtroom 20-A. If this date and time are inconvenient, counsel shall place a conference call to Chambers by 9/3/13 to reschedule. (Status Conference set for 9/16/2013 at 03:00 PM in Courtroom 20A, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 8/26/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(rsh)
August 27, 2013 Filing 1180 DECLARATION of Professor Dr. Marielle Koppenol-Laforce in Opposition re: 1160 Memorandum of Law in Opposition,. Document filed by Harel Insurance Company Ltd., Harel Insurance Company, Ltd., Harel Investment and Financial Services Ltd., Pacific West Health Medical Center Inc. Employees Retirement Trust(On behalf of Itself), Pacific West Health Medical Center Inc. Employees Retirement Trust(on Behalf of All Others Similarly Situated), Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Barrett, David)
August 27, 2013 Filing 1179 DECLARATION of Professor A. Jan A.J. Eijsbouts in Opposition re: 1160 Memorandum of Law in Opposition,. Document filed by Harel Insurance Company Ltd., Harel Insurance Company, Ltd., Harel Investment and Financial Services Ltd., Pacific West Health Medical Center Inc. Employees Retirement Trust(On behalf of Itself), Pacific West Health Medical Center Inc. Employees Retirement Trust(on Behalf of All Others Similarly Situated), Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Barrett, David)
August 26, 2013 Filing 1178 FILING ERROR - DEFICIENT DOCKET ENTRY - FILER ERROR - (SEE DOCUMENT # 1180) - DECLARATION of Professor Dr. Marielle Koppenol-Laforce in Opposition re: 1160 Memorandum of Law in Opposition,. Document filed by Rosa Julieta A De Pujals, BPV Finance (International) Ltd., Joaquina Teresa Barbachano Herrero, Baymall Investments Ltd, Blockbend Ltd, Ricardo Rodriguez Caso, Eastfork Assets Ltd, Eduardo Child Escobar, Fairfield Sentry Ltd., David I. Ferber, Gerico Investments, Inc., Headway Investment Corp., Wong Yuk Hing de Lou, Shimon Laor, Ricardo Lopez, Mailand Inevstment Inc., Maridom Limited, Moises Lou Martinez, Pacific West Health Medical Center Inc. Employees Retirement Trust(On behalf of Itself), Pacific West Health Medical Center Inc. Employees Retirement Trust(on Behalf of All Others Similarly Situated), Frank E. Pierce, Frank E. Pierce Ira, Jose Antonio Pujals, Alicia Gaviria Rivera, Sand Overseas LimitedSand Overseas Limited, Stanchart Securities International, Inc., Standard Chartered Bank International (Americas) Limited, The Knight Services Holdings Limited, Maria Akriby Valladolid, Nadav Zohar, Ronit Zohar. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Barrett, David) Modified on 8/27/2013 (lb).
August 26, 2013 Filing 1177 FILING ERROR - DEFICIENT DOCKET ENTRY - FILER ERROR - (SEE DOCUMENT # 1179) - DECLARATION of Professor A. Jan A.J. Eijsbouts in Opposition re: 1160 Memorandum of Law in Opposition,. Document filed by Rosa Julieta A De Pujals, BPV Finance (International) Ltd., Joaquina Teresa Barbachano Herrero, Baymall Investments Ltd, Blockbend Ltd, Ricardo Rodriguez Caso, Eastfork Assets Ltd, Eduardo Child Escobar, Fairfield Sentry Ltd., David I. Ferber, Gerico Investments, Inc., Headway Investment Corp., Wong Yuk Hing de Lou, Shimon Laor, Ricardo Lopez, Mailand Inevstment Inc., Maridom Limited, Moises Lou Martinez, Pacific West Health Medical Center Inc. Employees Retirement Trust(On behalf of Itself), Pacific West Health Medical Center Inc. Employees Retirement Trust(on Behalf of All Others Similarly Situated), Frank E. Pierce, Frank E. Pierce Ira, Jose Antonio Pujals, Alicia Gaviria Rivera, Sand Overseas LimitedSand Overseas Limited, Stanchart Securities International, Inc., Standard Chartered Bank International (Americas) Limited, The Knight Services Holdings Limited, Maria Akriby Valladolid, Nadav Zohar, Ronit Zohar. (Barrett, David) Modified on 8/27/2013 (lb).
August 14, 2013 Filing 1174 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Bradley P. Smith dated 8/14/2013 re: We write on behalf of the Standard Chartered Defendants ("Standard Chartered"), in agreement with the Standard Chartered Plaintiffs' Steering Committee, to jointly request that the Court extend by an additional 90 days from the entry of this order the period for expert depositions in the Standard Chartered Cases. The current period is set forth in paragraph one of the June 11, 2012 Stipulation and Order Amending Second Amended Scheduling Order Regarding Standard Chartered Cases (Dkt. No. 89), and is set to end on August 15, 2013. The additional time is necessary because the parries are still negotiating and hope to reach agreement on the scope of expert document productions, upon which time the parties will commence expert depositions. ENDORSEMENT: APPLICATION GRANTED. (Signed by Magistrate Judge Frank Maas on 8/14/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc)
August 5, 2013 Filing 1173 NOTICE OF CHANGE OF ADDRESS by David Scott Hoffner on behalf of Andres Piedrahita. New Address: Hoffner PLLC, 800 Third Avenue, 13th Floor, New York, NEW YORK, United States 10022, 212-471-6203. (Hoffner, David)
August 2, 2013 Filing 1172 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from David A. Barrett dated 7/31/13 re: The parties have agreed that Plaintiffs' expert reports will be served August 2, 2013, with the exception of Plaintiffs' expert report on damages, which will be served August 23, 2013. ENDORSEMENT: Approved. (Signed by Magistrate Judge Frank Maas on 8/1/2013) (mro)
July 26, 2013 Filing 1171 JOINDER to join re: 273 Amended Complaint,,,,,,,,. Document filed by Natixis S.A..(Ginsberg, Bruce)
July 26, 2013 Filing 1170 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Group BPCE for Natixis S.A.. Document filed by Natixis S.A..(Ginsberg, Bruce)
July 25, 2013 Opinion or Order Filing 1169 STIPULATION AND ORDER ADDING ADDITIONAL NAMED PLAINTIFFS: Pursuant to the Stipulation Concerning Named Plaintiffs which was So Ordered and entered by the Court on May 8, 2013 (Dkt. No. 1136), the additional named plaintiffs listed herein shall be deemed parties to this Action to the same extent as if they had been named as plaintiffs in the Second Consolidated Amended Complaint. SO ORDERED. (See Order). (Signed by Judge Victor Marrero on 7/24/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(ja)
July 25, 2013 Filing 1168 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a telephonic conference proceeding held on 6/14/2013 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...(sdi)
July 25, 2013 Filing 1167 TRANSCRIPT of Proceedings re: telephonic conference held on 6/14/2013 before Magistrate Judge Frank Maas. Court Reporter/Transcriber: Shari Riemer, (518) 581-8973. 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 8/19/2013. Redacted Transcript Deadline set for 8/29/2013. Release of Transcript Restriction set for 10/28/2013.(sdi)
July 23, 2013 Opinion or Order Filing 1166 DECISION AND ORDER: Accordingly, it is hereby ORDERED that the motion (Dkt. No. 81) of plaintiff Ricardo Rodriguez Caso for reargument or reconsideration of the Court's June 12, 2013 Decision and Order is DENIED. (Signed by Judge Victor Marrero on 7/23/2013) (lmb)
July 22, 2013 Filing 1165 SEALED DOCUMENT placed in vault.(mps)
July 22, 2013 Filing 1164 DECLARATION of Michel Deckers in Support re: 1160 Memorandum of Law in Opposition,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Gordon, Andrew)
July 22, 2013 Filing 1163 DECLARATION of Scott Case in Support re: 1160 Memorandum of Law in Opposition,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Gordon, Andrew)
July 22, 2013 Filing 1162 DECLARATION of Renger Boonstra in Support re: 1160 Memorandum of Law in Opposition,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Gordon, Andrew)
July 22, 2013 Filing 1161 DECLARATION of Patrick J. Somers in Support re: 1160 Memorandum of Law in Opposition,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (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)(Gordon, Andrew)
July 22, 2013 Filing 1160 MEMORANDUM OF LAW in Opposition re: 1158 Order, The July 8, 2013 Discovery Order of Magistrate Judge Frank Maas. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Gordon, Andrew)
July 18, 2013 Appeal Record Sent to USCA (Electronic File). USCA Case Nos. 13-2340-cv(L); 13-2345-cv(con). Certified Indexed record on Appeal Electronic Files for 1149 Endorsed Letter, Set Deadlines, 1131 Endorsed Letter, 1130 Endorsed Letter,, 1133 Order, Set Hearings, 1158 Order, 1145 Order, 1125 Endorsed Letter,,,, 1144 Endorsed Letter,,, 1152 USCA Mandate,, 1150 Endorsed Letter, Set Hearings,,,, 1132 Order, 1143 Notice of Filing Transcript,, 1123 Endorsed Letter,,, 1146 Endorsed Letter,, 1141 Order,,, 1140 Endorsed Letter,,,,, 1147 Endorsed Letter,, 1129 Endorsed Letter, 1128 Endorsed Letter,, 1122 Endorsed Letter,, 1126 Endorsed Letter, 1156 Endorsed Letter,,,,, 1134 Endorsed Letter, Set Hearings,,,,,, 1151 Order, 1136 Stipulation and Order,,,,, 1154 Order,, 1157 Notice of Change of Address, filed by Maridom Limited, 1127 Endorsed Letter,, 1159 Memorandum of Law in Opposition to Motion, filed by Standard Chartered PLC, Standard Chartered Bank International (Americas) Limited, 1124 Endorsed Letter,,, 1148 Endorsed Letter,,, 1137 Order, 1155 Endorsed Letter,,, 1142 Transcript,, 1138 Endorsed Letter,,,,,,,,, 1139 Endorsed Letter,,, 1135 Endorsed Letter, 1121 Notice of Appeal, filed by CITCO Fund Services (Europe) B.V., CITCO Bank Nederland N.V. Dublin Branch, Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Pricewaterhousecoopers L.L.P., Pricewaterhouse Coopers Accountants N.V., 1113 Notice of Appearance filed by GlobeOp Financial Services LLC., 1108 Endorsed Letter, 1114 Endorsed Letter, 1116 Endorsed Letter, 1117 Endorsed Letter, 1115 Stipulation and Order, 1112 Order, 1107 Notice of Change of Address, filed by Tradwaves, Ltd., Kishanchand Bhatia, Gopal Bhatia, Jayshree Bhatia, Mandakini Gajaria, Jitendra Bhatia, 1120 Notice of Interlocutory Appeal filed by Miguel Lomeli, Morning Mist Holdings Limited, 1109 Endorsed Letter, 336 Memorandum of Law in Support of Motion filed by Ian Pilgrim, Citco Fund Services (Bermuda) Limited, 498 Order on Motion for TRO, Order on Motion for Preliminary Injunction, 318 MOTION to Dismiss Second Consolidated Amended Complaint filed by Brian Francoeur, 644 Declaration in Support of Motion, filed by Standard Chartered Bank International (Americas) Limited, Standard Chartererd Bank, 344 MOTION to Dismiss Second Consolidated Amended Complaint filed by Citco Group Limited, 42 Order Admitting Attorney Pro Hac Vice, 499 Endorsed Letter, 55 Notice of Appearance filed by CITCO Bank Nederland N.V. Dublin Branch, 510 Order, Set Deadlines/Hearings, 100 Rule 7.1 Corporate Disclosure Statement filed by El Prado Trading, 479 Order, 96 Rule 7.1 Corporate Disclosure Statement filed by Loana Ltd., 464 Reply Memorandum of Law in Support of Motion filed by Citco Group Limited, 227 Order on Motion for Extension of Time, 21 MOTION to Appoint Counsel as Interim Co-Lead Counsel for Plaintiffs and the Putative Class. MOTION to Consolidate Cases Subsequently Filed in or Transferred to the Court. filed by Inter-Amrerican Trust, Carlos Gauch, Pacific West Health Medical Center Inc. Employees Retirement Trust, Elvira 1950 Trust, Julia Anwar, Bonaire Limited, Pasha S. Anwar, 187 Waiver of Service Executed, filed by 20/20 Investments, Centro Inspection Agency, Omawa Investment Corporation, AXA Private Management, Bonaire Limited, Inter-Amrerican Trust, The Knight Services Holdings Limited, Harel Insurance Company, Ltd., Loana Ltd., St. Stephen's School, Diversified Investments Associates Class A Units, Landville Capital Management S.A., Harvest Dawn International Inc., Morning Mist Holdings Limited, Miguel Lomeli, Banco General, S.A., David I. Ferber, Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, Ronit Zohar, Pasha S. Anwar, Carmel Ventures Ltd., Traconcorp, Nadav Zohar, Carlos Gauch, Fairfield Sentry Ltd., Frank E. Pierce, El Prado Trading, Kalandar International, Wall Street Securities, S.A., Frank E. Pierce Ira, ABR Capital Fixed Option/Income Strategic Fund LP, Blythel Associated Corp., Julia Anwar, Marrekesh Resources, Elvira 1950 Trust, 370 Endorsed Letter, Set Deadlines, 24 Notice of Appearance filed by David Horn, 449 Notice of Appearance filed by Rosa Julieta A De Pujals, 366 Memorandum of Law in Support of Motion, filed by Charles Murphy, Richard Landsberger, Andrew Smith, 148 Notice of Appearance filed by Pricewaterhousecoopers L.L.P., Pricewaterhousecoopers LLP, 476 Response in Opposition to Motion, filed by Pasha S. Anwar, 385 Memorandum of Law in Support of Motion filed by Standard Chartered PLC, Standard Chartered International (USA) Ltd., 183 Memorandum of Law in Support of Motion, filed by Fairfield Sentry Ltd., Fairfield Sentry Limited, 325 MOTION to Dismiss Second Consolidated Amended Complaint filed by GlobeOp Financial Services LLC., 304 Endorsed Letter, Set Deadlines/Hearings, 7 Notice (Other) filed by Pasha S. Anwar, Julia Anwar, 456 Reply Memorandum of Law in Support of Motion filed by GlobeOp Financial Services LLC., 440 Memorandum of Law in Opposition to Motion, filed by Kishanchand Bhatia, Mandakini Gajaria, Gopal Bhatia, Jitendra Bhatia, Jayshree Bhatia, 450 MOTION for Robert E. Linkin to Appear Pro Hac Vice filed by Rosa Julieta A De Pujals, Jose Antonio Pujals, 320 Notice of Appearance filed by GlobeOp Financial Services LLC., 39 Notice of Appearance filed by Walter M. Noel, Jr., Matthew C. Brown, 6 Notice of Appearance filed by Pasha S. Anwar, Julia Anwar, 360 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint. filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Fairfield Risk Services Ltd., David Lipton, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 118 Rule 7.1 Corporate Disclosure Statement, filed by Standard Chartered International (USA) Ltd, Standard Chartered PLC, 158 Memorandum of Law in Opposition to Motion, filed by Fairfield Investor Group, 345 Memorandum of Law in Support of Motion filed by Citco Group Limited, 848 MOTION to Quash Subpoena. filed by American Express Company, 858 MOTION for Reconsideration. filed by Headway Investment Corp., 175 Memorandum of Law in Support of Motion filed by Morning Mist Holdings Limited, Miguel Lomeli, 460 Order on Motion to Appear Pro Hac Vice, 302 Objection to Report and Recommendations, filed by Morning Mist Holdings Limited, Miguel Lomeli, David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 378 Stipulation and Order, 28 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 237 Reply Memorandum of Law in Support of Motion filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 58 Notice of Appearance filed by CITCO Fund Services (Europe) B.V., 32 Notice of Appearance filed by David Horn, 364 Memorandum of Law in Support of Motion, filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Andres Piedrahta, Fairfield Risk Services Ltd., Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 139 Notice of Change of Address filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 44 MOTION for Stuart H. Singer to Appear Pro Hac Vice. filed by Bonaire Limited, Inter-Amrerican Trust, Pasha S. Anwar, Carlos Gauch, Julia Anwar, Elvira 1950 Trust, 860 MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct, filed by Maridom, Caribe MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct, filed by Maridom, Caribe filed by Abbot Capital, Inc., 743 Order, 225 Endorsed Letter, 459 Order on Motion to Appear Pro Hac Vice, 446 MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss. MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss.. filed by Standard Chartererd Bank, Standard Chartered PLC, Standard Chartered International (USA) Ltd., Standard Chartered Bank International (Americas) Limited, Standard Chartered Private Bank, 340 MOTION to Dismiss Second Consolidated Amended Complaint. filed by CITCO Bank Nederland N.V. Dublin Branch, Citgo Global Custody N.V., 204 Endorsed Letter, 471 Reply Affidavit in Support of Motion, filed by Fairfield Greenwich (Bermuda) LTD, Fairfield Greenwich Advisors, L.L.C., Mark Mckeefry, Walter M. Noel, Jr., Charles Murphy, Jacqueline Harary, Cornelis Boele, Amit Vijvergiya, Jeffrey H. Tucker, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Vianney D'hendecourt, Andres Piedrahta, Jacqueline Hararay, Fairfield Risk Services Ltd., Fairfield Greenwich (Bermuda) Limited, Yanko Dellaw Schiava, Julia Luongo, Philip Toub, Walter Noel, Jr., Richard Landsberger, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Andrew Smith, Harold Greisman, Corina Noel Piedrahita, Amit Vijayvergiya, Lourdes Barreneche, Robert Blum, Fairfield Greenwich Advisors L.L.C., Santiago Reyes, David Horn, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, Andreas Piedrahita, 29 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 416 Declaration in Opposition to Motion, filed by Pasha S. Anwar, 82 Notice of Appearance filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 1 Notice of Removal, filed by Fairfield Greenwich Group, Fairfield Greenwich Limited, Fairfield Greenwich Advisors L.L.C., Fairfield Greenwich (Bermuda) Ltd., 467 R
July 10, 2013 Filing 1159 MEMORANDUM OF LAW in Opposition re: (81 in 1:10-cv-09196-VM) MOTION for Reargument re: (77) Order Notice of Motion for Reargument or Reconsideration.. Document filed by Standard Chartered Bank International (Americas) Limited, Standard Chartered PLC. (Attachments: # 1 Certificate of Service)Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-09196-VM(Nelles, Sharon)
July 8, 2013 Opinion or Order Filing 1158 DISCOVERY ORDER: Accordingly, the Citco Defendants' privilege objections are overruled and the motion to compel is GRANTED. (Signed by Magistrate Judge Frank Maas on 7/8/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.Copies Sent by Chambers to Hon Victor Marrero(djc)
June 27, 2013 Filing 1157 NOTICE OF CHANGE OF ADDRESS by Richard E. Brodsky on behalf of Maridom Limited. New Address: The Brodsky Law Firm, PL, 200 South Biscayne Boulevard, Suite 1930, Miami, Florida, USA 33131, 786-220-3328. Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(Brodsky, Richard)
June 24, 2013 Filing 1156 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Richard E. Brodsky dated 6/21/201 re: I am counsel for the Maridom Plaintiffs and am writing as Liaison Counsel for the Standard Chartered Plaintiffs' Steering Committee. This letter is in response to the letter to Your Honor from a Paul Weiss attorney, Andrew Gordon, earlier today. Moreover, this egregious situation is not solved by belatedly providing us notice of the remaining deposition schedule. We need to know when Sullivan & Cromwell was provided effective notice of the depositions; they had a major advantage over us because of what amounted to advance notice, and it is astounding that any lawyer would claim lack of responsibility for affirmatively providing fair notice to all counsel of upcoming depositions. We also need to have the opportunity to retake those depositions that took place over the last two weeks. This relief is requested in our first letter sent yesterday. ENDORSEMENT: While I understand Mr. Brodsky's dismay, I also understand that opposing counsel have offered to work with him to ameliorate any prejudice. Absent some indication that both sides have conferred in good faith and been unable to reach a suitable resolution, I do not intend to take any further steps. (Signed by Magistrate Judge Frank Maas on 6/24/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc)
June 21, 2013 Filing 1155 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Richard E. Brodsky dated 6/20/2013 re: I am counsel for the Maridom Plaintiffs and am writing as Liaison Counsel for the Standard Chartered Plaintiffs' Steering Committee. This letter concerns the failure of those taking depositions in the above-referenced case (primarily, it appears, counsel for Citco from Paul, Weiss) to provide notice to us of scheduled depositions. ENDORSEMENT: Since The Standard Chartered Plaintiffs are now aware of the remaining depositions schedule, I see no emergency. To the extent prior notice was deficient, I expect counsel to confer, and they may submit any unresolved issues to me for resolution. (Signed by Magistrate Judge Frank Maas on 6/21/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al. (djc)
June 20, 2013 Opinion or Order Filing 1154 DISCOVERY ORDER: The Standard Chartered parties have asked me to resolve yet another dispute concerning expert discovery. Accordingly, in the absence of any specific limitations applicable to expert discovery, I agree with the Plaintiffs that Rule 26(b)(1) governs. The Defendants' objections that the Plaintiffs' requests are beyond the permissible scope of expert discovery therefore are overruled. (Signed by Magistrate Judge Frank Maas on 6/19/2013) Copies Sent By Chambers to Hon. Victor Marrero, United States District Judge. Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc) Modified on 6/20/2013 (djc).
June 19, 2013 USCA Appeal Fees received $ 455.00 receipt number 465401070215 on 06/19/2013 re: 1152 USCA Order Granting FRCP 23(f) for leave to appeal. Fee paid by PricewaterhouseCoopers LLP, PricewaterhouseCoopers Accountants Netherlands N.V. [USCA Case No. 13-2340-cv.] (nd)
June 17, 2013 Filing 1153 ENDORSED LETTER addressed to Judge Victor Marrero from Timothy A. Duffy dated 6/14/2013 re: The Non-Dismissed Defendants respectfully request that the Court "so order" the production of these documents by Plaintiffs on the terms set out above. ENDORSEMENT: Request GRANTED. Plaintiffs are directed to produce the documents referred to above on the terms specified. (Signed by Judge Victor Marrero on 6/17/2013) (lmb)
June 17, 2013 USCA Appeal Fees received $ 455.00 receipt number 465401069936 on 06/17/2013 re: 1152 USCA Order Granting FRCP 23(f) for leave to appeal. Fee paid by CITCO Fund Services (Europe) B.V. et al. [USCA Case No. 13-2345-cv.] (nd)
June 14, 2013 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 6/14/2013. (Chambers, Richalyn)
June 14, 2013 Appeal Fee Due: for 1152 USCA Order granting FRCP 23(f) petition.$455.00 Appeal fee due by 6/28/2013. (nd)
June 14, 2013 Opinion or Order Filing 1152 ORDER of USCA (Certified Copy) USCA Case Number 13-0896(L), 13-0936(con). Petitioners, through counsel, move, pursuant to Federal Rule of Civil Procedure 23(f), for leave to appeal the district court's order granting Respondents motion for class certification. Upon due consideration, it is hereby ORDERED that the petition is GRANTED. The Petitioners are directed to file a scheduling notification within 14 days of the date of entry of this order pursuant to Second Circuit Local Rule 31.2. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 06/14/2013. (nd)
June 12, 2013 Opinion or Order Filing 1151 DECISION AND ORDER: Accordingly, SCBI's motion to compel individual arbitration of Caso's claims and preclude class arbitration is GRANTED. (Signed by Judge Victor Marrero on 6/12/2013) (js)
June 11, 2013 Filing 1150 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Bradley P. Smith dated 6/10/2013 re: We write on behalf of the Standard Chartered Defendants ("Standard Chartered") to request a conference with the Court concerning expert discovery. ENDORSEMENT: The Court will hold a telephone conference on 6/14/13 at 3pm. If this date and time are not convenient, counsel should place a conference call to chambers by noon on 6/13 to reschedule., ( Telephone Conference set for 6/14/2013 at 03:00 PM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 6/10/2013) (lmb) (Additional attachment(s) added on 6/11/2013: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C) (lmb).
June 10, 2013 Filing 1149 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Marie-Jose Anex dated 5/16/2013 re: Further to the above-referenced letter of request that you issued on March 4, 2013, we would like to bring to your attention, as well as that of the parties to these proceedings, that the examination of Peter Schmid by our Court was to take place on Tuesday and Wednesday, June 4 and 5, 2013. Accordingly, we kindly request an extension of the aforesaid deadline of least 30 days. In light of the constraints imposed by the scheduling of another examination date, we would appreciate a response from you by email or fax. ENDORSEMENT: The time to conduct the deposition is extended to July 31, 2013, ( Deposition due by 7/31/2013.) (Signed by Magistrate Judge Frank Maas on 6/10/2013) (djc)
June 10, 2013 Filing 1148 ENDORSED LETTER: addressed to Judge Victor Marrero from David S. Stone dated 6/7/2013 re: On behalf of putative class Plaintiff Caso, we respectfully submit this brief response to the June 5, 2013 letter reply of Standard Chartered Bank. Intemationa1 (Americas) Ltd. ("Standard Chartered"). Although Standard Chartered's reply adds little to its argument, it contains misstatements of law and fact which warrant clarification. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Ricardo Rodriguez Caso. No further submission on these underlying issue will be necessary, and will not be accepted. So Ordered. (Signed by Judge Victor Marrero on 6/7/2013) (js)
June 5, 2013 Filing 1147 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 6/5/2013 re: Counsel for Standard Chartered Bank International (Americas) Ltd. write this letter in reply to plaintiff Ricardo Rodriguez Caso's 5/30/2013 letter to the Court. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered defendants. (Signed by Judge Victor Marrero on 6/5/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-09196-VM(tro) Modified on 6/7/2013 (tro).
June 5, 2013 Filing 1146 ENDORSED LETTER addressed to Judge Victor Marrero from Gaytri R. Kachroo dated 5/31/2013 re: Counsel for Lead Plaintiff Ricardo Rodriguez and the putative class have been informed by counsel for Standard Chartered Bank International (Americas) Ltd. that they intend to request permission today to supplement their 3-page request for a pre-motion conference dated 5/24/2013. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Ricardo Rodriguez Case. (Signed by Judge Victor Marrero on 6/5/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-09196-VM(tro) Modified on 6/7/2013 (tro).
June 5, 2013 Opinion or Order Filing 1145 ORDER: Accordingly, Headway's request to enter the Gonzalez declarations into the public record is denied without prejudice, as is Standard Chartered's application seeking to preclude Headway from relying on the declarations or Gonzalez's testimony in this action. (Signed by Magistrate Judge Frank Maas on 6/5/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al. Copies Sent by Chambers to Hon. Victor Marrero, United States District Judge.(djc)
June 5, 2013 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 6/5/2013. (Chambers, Richalyn)
May 31, 2013 Filing 1144 ENDORSED LETTER addressed to Judge Victor Marrero from Gaytri D. Kachroo dated 5/30/2013 re: Counsel for Class Plaintiff writes For the foregoing reasons, class plaintiff Caso. on behalf of himself and the putative class,requests that the Court deny Standard Chartered's request for relief and compel Standard Chartered to arbitrate "all controversies" as it agreed to do, including all class issues. Class plaintiff Caso also requests permission to reply to any response by Standard Chartered to this letter, if so permitted by the Court. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Ricardo Rodriguez Caso. So Ordered. (Signed by Judge Victor Marrero on 5/31/2013) (js)
May 15, 2013 Filing 1143 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/22/13 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-cv-00118-VM-FM et al.(Rodriguez, Somari)
May 15, 2013 Filing 1142 TRANSCRIPT of Proceedings re: CONFERENCE held on 3/22/2013 before Judge Victor Marrero. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/10/2013. Redacted Transcript Deadline set for 6/20/2013. Release of Transcript Restriction set for 8/16/2013.Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(Rodriguez, Somari)
May 14, 2013 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Telephone Conference held on 5/14/2013. (Chambers, Richalyn)
May 10, 2013 Opinion or Order Filing 1141 DECISION AND ORDER: That ruling now stands as the law of the case on the grounds there articulated. Accordingly, the Court does not have before it any decision, or any recognized procedural means by which to rescind it or take it back and the Maridom plaintiffs have pointed to none. In particular, there is no basis predicated on Florida's economic loss rule that would warrant permitting the Maridom plaintiffs to amend their complaint to include negligence claims based on the clarification of Florida's economic loss rule in Tiara Condo. On this basis, therefore, the Court concludes that the May 8 Order cannot extend to permit the Maridom plaintiffs at this time to amend their complaint to add the negligence claims the Court on other grounds had denied them leave to plead. (Signed by Judge Victor Marrero on 5/10/2013) (js)
May 10, 2013 Filing 1140 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew Hammond dated 5/8/2013 re: White & Case LLP ("White & Case" or the "Firm") is acting as attorneys for Walter M. Noel, Jr. in the above-referenced matter currently before Your Honor ("Anwar Matter"). The purpose of this letter is to inform Chambers as well as parties copied on this letter that Scott Levi, a former summer intern to Your Honor during May through August 2012 intends to join White & Case as a summer law clerk this summer. It is our understanding that Mr. Levi did not work on the Anwar Matter during the course of his internship. Nevertheless, White & Case will screen Mr. Levi completely from any involvement in the Anwar Matter in accordance with the Firm's customary procedures and in accordance with applicable rules of professional responsibility. We assume that such screening removes all questions as to the propriety of Mr. Levi's employment while our Firm continues the representation set forth above. If there is a contrary view, we respectfully request both Mr. Levi and the Firm be informed. To the extent that Your Honor deems additional notice is appropriate, White and Case will serve and file whatever notices Your Honor directs ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Counsel for defendant Walter M. Noel. (Signed by Judge Victor Marrero on 5/9/2013) (js)
May 10, 2013 Filing 1139 ENDORSED LETTER: addressed to Judge Victor Marrero from Bradley P. Smith dated 5/8/2013 re: Counsel for Standard Chartered Defendants write As the Court's prior ruling makes clear the economic loss rule was but one of several reasons the Court identified in declining to allow the proposed negligence claim or the proposed new factual allegations. Accordingly, Standard Chartered respectfully requests that the Court confirm that today's ruling does not permit the Maridom plaintiffs to plead their negligence claims. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the court by The Standard Chartered defendants. So Ordered. (Signed by Judge Victor Marrero on 5/10/2013) (js) Modified on 5/10/2013 (js).
May 10, 2013 Filing 1138 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 5/9/2013 re: Counsel writes on behalf of Maridom Limited, Caribetrans, S.A., and Abbot Capital, Inc. This letter is in response to the letter to Your Honor from Bradley Smith, one of Standard Chartered Bank's counsel, which was sent after the telephone conference held yesterday, May 8, 2013. That conference concerned certain Standard Chartered Plaintiffs' request for a conference concerning the effect of the Florida Supreme Court's decision limiting the Florida economic loss doctrine on negligence claims in the Standard Chartered Cases. In Mr. Smith's letter, the Bank asks that the Court reverse itself on a decision the Court announced at the conference: that the Maridom Plaintiffs would be permitted to amend their complaint to add a negligence claim, just like other Standard Chartered Plaintiffs. While this Court did not refer to the proposed negligence claim in its initial decision to deny leave to amend, Anwar v. Fairfield Greenwich Ltd., No. 09-cv-118, 2012 WL 1415621 (S.D.N.Y. Apr. 13, 2012), it did so in denying the Maridom Plaintiffs' motion for reconsideration, 283 F.RD. 193. 109 (2012) (holding amendment to add negligence count would be futile "as the Court economic loss rule would bar claims of negligence arising from professional services governed by a contractual relationship."). There is, however, no question that the futility doctrine was not the only reason that Your Honor denied my clients leave in 2012 to add this claim. The question is whether it is logical, fair or otherwise required that, at the same time as other plaintiffs are allowed to add this claim to their lawsuits, the Maridom Plaintiffs should not be allowed to add it to theirs. Fairness and logic dictate that this amendment be permitted. To follow the Defendants' request would unfairly, arbitrarily and unjustifiably elevate form over substance. The Maridom Plaintiffs are constrained by Your Honor's comments at the conference to avoid attempting to bring up any other issue. Instead, they request that Your Honor adhere to the ruling made at the conference related to the Maridom Plaintiffs. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the court by the Maridom Plaintiff. So Ordered. (Signed by Judge Victor Marrero on 5/10/2013) Modified on 5/10/2013 (js).
May 8, 2013 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 5/8/2013. The Court held a telephone conference to address the effect of the Florida Supreme Courts recent decision, Tiara Condo Assn Inc v. Marsh & McLennan, Companies, Inc. (cd)
May 8, 2013 Opinion or Order Filing 1137 ORDER: Accordingly, the Court grants plaintiffs leave to amend their complaints to replead the negligence claims that were previously dismissed or disallowed on the basis of Florida's economic loss rule as previously applied by Florida courts. (Signed by Judge Victor Marrero on 5/8/2013) (js)
May 8, 2013 Filing 1136 STIPULATION CONCERNING NAMED PLAINTIFFS: The Court's Order is hereby modified to include within the Class any Plaintiffs named in the Second Consolidated Amended Complaint ("SCAC") or that were (or may be) subsequently added by stipulations "so-ordered" by the Court, including plaintiffs who are from any of the Excluded Countries, provided such plaintiffs fall within the Class Definition. Plaintiffs shall have until the close of fact discovery to add as named plaintiffs in this action investors who are covered by the Class Definition without regard to whether they are from Excluded Countries, by filing a stipulation to that effect to be "so ordered" by the Court. Defendants agree to consent to any such persons being added as named plaintiffs to the SCAC as if they were originally included in the SCAC. Any such additional named plaintiffs shall be considered members of the certified class for all purposes.Nothing herein shall prejudice any party's right to seek or oppose any further modification of the certified class. Nothing herein shall limit any Party's rights with respect to discovery regarding named plaintiffs. Nothing herein shall be construed to prejudice or waive any Parties' rights with respect to any petition for review under Rule 23(f) or any appeal of the Court's Order. (Signed by Judge Victor Marrero on 5/8/2013) (js) Modified on 5/8/2013 (js).
May 7, 2013 Filing 1135 ENDORSED LETTER addressed to Judge Victor Marrero from Richard e. Brodsky dated 5/7/2013 re: I hereby request leave to participate in tomorrow's 11:00 AM telephone conference concerning the effect of the recent Florida Supreme Court decision limiting the economic loss doctrine to product liability cases. ENDORSEMENT: Request GRANTED. (Signed by Judge Victor Marrero on 5/7/2013) (mt)
May 7, 2013 Filing 1134 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Bradley P. Smith dated 5/7/2013 re: We write on behalf of the Standard Chartered Defendants concerning the telephone conference currently scheduled for May 9, 2013 at 2 p.m. in the above-referenced action. (Dkt. No. 1133.) Due to scheduling conflicts on May 9, Standard Chartered, hereby requests that the conference be rescheduled for May 14, 2013 at 9:30 a.m. Counsel for Headway Investment Corporation has informed us that they are available on that date and time. ENDORSEMENT: Approved. (Telephone Conference set for 5/14/2013 at 09:30 AM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 5/7/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc)
May 2, 2013 Opinion or Order Filing 1133 DISCOVERY ORDER: I have reviewed the recent series of letters, sent to Judge Marrero and me, regarding the request of the Standard Chartered defendants that two declarations annexed as Exhibit A to plaintiff Headway Investment Corp.'s April 22 letter to Judge Marrero not be made part of the public record at this time. Having reviewed both declarations, I have some difficulty understanding why they should be shielded from public disclosure. To discuss this issue, the Court will hold a telephone conference on May 9, 2013, at 2 p.m. Headway Investments' counsel should initiate the call. Also, if the above date and time are not convenient, counsel should place a joint call to my Chambers, by no later than May 7, 2013, to reschedule the conference. (Telephone Conference set for 5/9/2013 at 02:00 PM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 5/2/2013) Copies Hand Delivered By Chambers to Hon. Victor Marrero. Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc) Modified on 5/3/2013 (djc). Modified on 5/3/2013 (djc).
May 2, 2013 Opinion or Order Filing 1132 DECISION AND ORDER: Accordingly, the Court adopts the reasoning set forth in its April 13, 2012 and June 22, 2012 Orders (Dkt. Nos. 853 and 897) and DENIES the Plaintiffs' renewed requests for leave to amend (Dkt. Nos. 1117, 1123 and 1122). (Signed by Judge Victor Marrero on 5/2/2013) (js)
May 2, 2013 Filing 1131 ENDORSED LETTER addressed to Judge Victor Marrero from Laurence E. Curran III dated 5/1/2013 re: Counsel for numerous Standard Chartered Plaintiffs, as well as in the capacity of designated representative of various other Standard Chartered Plaintiffs, to correct an oversight from my letter to the Court of April 19, 2013, regarding the effect of the Florida Supreme Court's recent March 7, 2013, ruling in Tiara Condo Ass'n Inc. v. Marsh & McLennan Companies, Inc. SC10-1022, 2013 WL 828003 (Fla. 2013). In Appendix A to that letter, I inadvertently failed to include plaintiffs in the case of victor Jorge Saca et al vs. Standard Chartered Bank International (Americas) Limited, 11-cv-3480 (VM)(SDNY), as represented by Sonn & Erez PLC. Those Plaintiffs should have been included in the Original request for a pre-conference motion to discuss the Plaintiffs' reconsideration request and to discuss their request for leave to replead Plaintiffs' dismissed negligence claims. Accordingly, I submit as an attachment hereto a revised Appendix A to so reflect the inclusion of the Saca Plaintiffs. ENDORSEMENT: The Clerk of Court is to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 5/2/2013) (js)
May 2, 2013 Filing 1130 ENDORSED LETTER: addressed to Judge Victor Marrero from Jorge A. Mestre dated 5/1/2013 re: Accordingly, for the foregoing reasons, and those stated in Headway's April 22, 2013 letter to the Court, Headway respectfully requests a pre-motion conference to discuss its request to move for leave to amend, and an appropriate briefing schedule. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Headway Investment Corp. The Court has received sufficient argument in the correspondence to date relating to the matter set forth above. No further submissions will be considered. So Ordered. (Signed by Judge Victor Marrero on 5/2/2013) (js)
May 2, 2013 Filing 1129 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E Brodsky dated 5/1/2013 re: Counsel writes on behalf of Maridom Limited, Caribetrans, S.A and Abbot Capital Inc. Plaintiffs in one of the Standard Chartered Cases. This letter is in reply to the April 30, 2013 letter from Sharon Nelles of Sullivan & Cromwell, LLP to Your Honor, responding to letters fro various Standard Chartered Plaintiffs (including mine dated April 22. 2013 ["Maridom Letter]) concerning leave to amend their respective complaints. This letter is addressed solely to points made (or not made) by Ms. Nelles in response to my letter. The Defendants' letter ignores many of the points made in the Maridom Letter, including the highly significant fact, Maridom Letter at 2, that, as now presented, the proposed Maridom amendment is substantially narrower than the proposed second amended complaint, which the court earlier rejected as tardy. Anwar v. Fairfield Greenwich Ltd., No. 09-cv-118, 2012 WL 1415621 (S.D.N.Y. Apr. 13, 2012) (holding that all amendments were required several months before discovery commenced), reh'g denied, 283 F.R.D. 193 (2012). Undeniably, any prejudice that the earlier amendment might have caused the defendants will be considerably lesened were the Court grant leave to amend as we now request. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the court by Maridom Plaintiff's. The Court has received sufficient argument in the correspondence to date relating to the matter set forth above. No further submissions will be considered. (Signed by Judge Victor Marrero on 5/2/2013) (js)
May 1, 2013 Filing 1128 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Richard E. Brodsky dated 4/23/2013 re: The Standard Chartered Plaintiffs Steering Committee request that this Court take such action as is necessary to indicate that the Stipulation and order in question do not apply to or govern proceedings in the Standard Chartered Cases. ENDORSEMENT: Unless and until the Court otherwise orders, expert discovery on The Standard Charted cases will not be governed by the terms set forth in ECF No. 1115. (Signed by Magistrate Judge Frank Maas on 5/1/2013) (ft)
May 1, 2013 Filing 1127 ENDORSED LETTER: addressed to Judge Victor Marrero from Sharon L. Nelles dated 4/30/2013 re: For the foregoing reasons, Standard Chartered respectfully submits that there is no need for any pre-motion conferences at this time. If the Court is inclined to revisit the scope of Florida's economic loss rule, however, Standard Chartered respectfully requests the opportunity for full briefing. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered defendants. So Ordered. (Signed by Judge Victor Marrero on 4/30/2013) (js)
April 30, 2013 Filing 1126 ENDORSED LETTER: addressed to Judge Victor Marrero from Jorge A. Mestre dated 4/29/2013 re: Counsel for Plaintiff write to supplement our April 23, 2013 letter to the Court requesting that the clerk not immediately file the two Declarations of Sebastian Gonzalez (dated February 17, 2012 and August 22, 2012), which were attached as Exhibit A to Headway's April 22, 2013 letter REQUESTING a pre-motion conference regarding a motion for leave to amend. As we stated in our April 23rd letter, Headway promptly made this request after counsel for the Standard Chartered Defendants (the "Bank") informed us that the Bank wanted to designate the declarations as confidential pursuant to February 4, 2011 Stipulation and Order Governing Confidentiality of Discovery Material (the "Confidentiality Order"). Because the Confidentiality Order applies only to "discovery material" that is "confidential," and the declarations are neither, we advised counsel for the bank that we object and would oppose any attempt by the Bank to designate the declarations as confidential. That said, we agreed to inform the Court of the dispute and request that Exhibit A to Headway's April 22, 2013 letter not be entered into the public record until the parties have briefed the Bank's designation request, and the Court has had a chance to 'evaluate it. However, we want it to be abundantly clear, even before any briefing occurs -if the Court feels it is even called for -that the declarations are neither discovery material nor confidential, and that, in any event, the documents are not the Bank's documents. Thus, the Bank has no standing whatsoever to claim that they should be designated as confidential. Under the Confidentiality Order, the Bank has no standing to designate Headway's documents as confidential. The Confidentiality Order states that "the designation of Discovery Material) as "Confidential" for the purpose of this Stipulation ENDORSEMENT: The parties are directed to address the matter set forth above to Magistrate Judge Frank Maas, to whom this action has been referred for supervision. So Ordered. (Signed by Judge Victor Marrero on 4/30/2013) (js)
April 25, 2013 Filing 1125 ENDORSED LETTER: addressed to Judge Victor Marrero from Sarah Leomir dated 4/24/2013 re: Counsel write on behalf of PricewaterCoopers Accountants N.V.in response to Headway Investment Corp.'s ("Headway") letter of April 22, 2013 requesting a pre-motion conference to renew its request to amend its complaint, by which Headway seeks, inter alia, to add PwC Netherlands as a defendant. This Court previously denied an identical request from Headway, as well as Headway's subsequent motion to reconsider. Because the Court's reasoning in both the April 13 and June 22 Orders forecloses Headway's current request, and Headway points to no new circumstances justifying the relief sought, PWC Netherlands respectfully requests that the Court deny Headway's request for a premotion conference as well as its request to amend the complaint. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the the letter above submitted to the Court by defendant PwC Netherlands. So Ordered. (Signed by Judge Victor Marrero on 4/24/2013) (js)
April 24, 2013 Filing 1124 ENDORSED LETTER: addressed to Judge Victor Marrero from Jorge A. Mestre dated 4/23/2013 re: Counsel for Plaintiff writes with respect to our April 22, 2013 letter to the Court requesting a pre-motion conference to permit Headway's filing of a motion to amend its complaint. Attached as composite Exhibit A to that letter were two declarations from former Standard Chartered employee Sebastian Gonzalez. request that Exhibit A to Headway's April 22, 2013 letter not be entered into the public record until the parties have briefed the question, and the Court has had a chance to evaluate the Bank's designation request. Headway reserves all rights, including those arising from the Confidentiality Order. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiff Headway Investment Corp. So Ordered. (Signed by Judge Victor Marrero on 4/24/2013) (js)
April 24, 2013 Filing 1123 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 4/22/2013 re: The Maridom Plaintiffs respectfully submit that no prejudice will be caused the Defendants were the Court to grant leave to amend now and that no meaningful delay will be caused by permitting an amendment. Moreover, with the substantially streamlined proposed amendment, the burden on the Defendants will be even less than what would have been caused if the original amendment had been permitted. In the words of Rule 15(a), the Court should "freely" grant the proposed amendment precisely because "justice" so plainly requires it. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Maridom Plaintiffs. So Ordered. (Signed by Judge Victor Marrero on Richard E. Brodsky) (js) (js).
April 24, 2013 Filing 1122 ENDORSED LETTER: addressed to Judge Victor Marrero from H. Eugene Lindsey III dated 4/24/2013 re: Plaintiff Joaquina Teresa Barbachano Herrero hereby joins in the April 22, 2013 requests of Maridom Limited, Caribetrans, S.A. Abbot Capital, Inc. and Headway Investments Corp. for a pre-motion conference to address leave to amend and adopts the arguments stated therein. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiff Joaquina Babachano. So Ordered. (Signed by Judge Victor Marrero on 4/24/2013) (js)
April 24, 2013 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 1121 Notice of Appeal, filed by CITCO Fund Services (Europe) B.V., CITCO Bank Nederland N.V. Dublin Branch, Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Pricewaterhousecoopers L.L.P., Pricewaterhouse Coopers Accountants N.V., 1113 Notice of Appearance filed by GlobeOp Financial Services LLC., 1108 Endorsed Letter, 1114 Endorsed Letter, 1116 Endorsed Letter, 1117 Endorsed Letter, 1115 Stipulation and Order, 1112 Order, 1107 Notice of Change of Address, filed by Tradwaves, Ltd., Kishanchand Bhatia, Gopal Bhatia, Jayshree Bhatia, Mandakini Gajaria, Jitendra Bhatia, 1120 Notice of Interlocutory Appeal filed by Miguel Lomeli, Morning Mist Holdings Limited, 1109 Endorsed Letter, 336 Memorandum of Law in Support of Motion filed by Ian Pilgrim, Citco Fund Services (Bermuda) Limited, 498 Order on Motion for TRO, Order on Motion for Preliminary Injunction, 318 MOTION to Dismiss Second Consolidated Amended Complaint filed by Brian Francoeur, 644 Declaration in Support of Motion, filed by Standard Chartered Bank International (Americas) Limited, Standard Chartererd Bank, 344 MOTION to Dismiss Second Consolidated Amended Complaint filed by Citco Group Limited, 42 Order Admitting Attorney Pro Hac Vice, 499 Endorsed Letter, 55 Notice of Appearance filed by CITCO Bank Nederland N.V. Dublin Branch, 510 Order, Set Deadlines/Hearings, 100 Rule 7.1 Corporate Disclosure Statement filed by El Prado Trading, 479 Order, 96 Rule 7.1 Corporate Disclosure Statement filed by Loana Ltd., 464 Reply Memorandum of Law in Support of Motion filed by Citco Group Limited, 227 Order on Motion for Extension of Time, 21 MOTION to Appoint Counsel as Interim Co-Lead Counsel for Plaintiffs and the Putative Class. MOTION to Consolidate Cases Subsequently Filed in or Transferred to the Court. filed by Inter-Amrerican Trust, Carlos Gauch, Pacific West Health Medical Center Inc. Employees Retirement Trust, Elvira 1950 Trust, Julia Anwar, Bonaire Limited, Pasha S. Anwar, 187 Waiver of Service Executed, filed by 20/20 Investments, Centro Inspection Agency, Omawa Investment Corporation, AXA Private Management, Bonaire Limited, Inter-Amrerican Trust, The Knight Services Holdings Limited, Harel Insurance Company, Ltd., Loana Ltd., St. Stephen's School, Diversified Investments Associates Class A Units, Landville Capital Management S.A., Harvest Dawn International Inc., Morning Mist Holdings Limited, Miguel Lomeli, Banco General, S.A., David I. Ferber, Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, Ronit Zohar, Pasha S. Anwar, Carmel Ventures Ltd., Traconcorp, Nadav Zohar, Carlos Gauch, Fairfield Sentry Ltd., Frank E. Pierce, El Prado Trading, Kalandar International, Wall Street Securities, S.A., Frank E. Pierce Ira, ABR Capital Fixed Option/Income Strategic Fund LP, Blythel Associated Corp., Julia Anwar, Marrekesh Resources, Elvira 1950 Trust, 370 Endorsed Letter, Set Deadlines, 24 Notice of Appearance filed by David Horn, 449 Notice of Appearance filed by Rosa Julieta A De Pujals, 366 Memorandum of Law in Support of Motion, filed by Charles Murphy, Richard Landsberger, Andrew Smith, 148 Notice of Appearance filed by Pricewaterhousecoopers L.L.P., Pricewaterhousecoopers LLP, 476 Response in Opposition to Motion, filed by Pasha S. Anwar, 385 Memorandum of Law in Support of Motion filed by Standard Chartered PLC, Standard Chartered International (USA) Ltd., 183 Memorandum of Law in Support of Motion, filed by Fairfield Sentry Ltd., Fairfield Sentry Limited, 325 MOTION to Dismiss Second Consolidated Amended Complaint filed by GlobeOp Financial Services LLC., 304 Endorsed Letter, Set Deadlines/Hearings, 7 Notice (Other) filed by Pasha S. Anwar, Julia Anwar, 456 Reply Memorandum of Law in Support of Motion filed by GlobeOp Financial Services LLC., 440 Memorandum of Law in Opposition to Motion, filed by Kishanchand Bhatia, Mandakini Gajaria, Gopal Bhatia, Jitendra Bhatia, Jayshree Bhatia, 450 MOTION for Robert E. Linkin to Appear Pro Hac Vice filed by Rosa Julieta A De Pujals, Jose Antonio Pujals, 320 Notice of Appearance filed by GlobeOp Financial Services LLC., 39 Notice of Appearance filed by Walter M. Noel, Jr., Matthew C. Brown, 6 Notice of Appearance filed by Pasha S. Anwar, Julia Anwar, 360 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint. filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Fairfield Risk Services Ltd., David Lipton, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 118 Rule 7.1 Corporate Disclosure Statement, filed by Standard Chartered International (USA) Ltd, Standard Chartered PLC, 158 Memorandum of Law in Opposition to Motion, filed by Fairfield Investor Group, 345 Memorandum of Law in Support of Motion filed by Citco Group Limited, 848 MOTION to Quash Subpoena. filed by American Express Company, 858 MOTION for Reconsideration. filed by Headway Investment Corp., 175 Memorandum of Law in Support of Motion filed by Morning Mist Holdings Limited, Miguel Lomeli, 460 Order on Motion to Appear Pro Hac Vice, 302 Objection to Report and Recommendations, filed by Morning Mist Holdings Limited, Miguel Lomeli, David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 378 Stipulation and Order, 28 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 237 Reply Memorandum of Law in Support of Motion filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 58 Notice of Appearance filed by CITCO Fund Services (Europe) B.V., 32 Notice of Appearance filed by David Horn, 364 Memorandum of Law in Support of Motion, filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Andres Piedrahta, Fairfield Risk Services Ltd., Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 139 Notice of Change of Address filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 44 MOTION for Stuart H. Singer to Appear Pro Hac Vice. filed by Bonaire Limited, Inter-Amrerican Trust, Pasha S. Anwar, Carlos Gauch, Julia Anwar, Elvira 1950 Trust, 860 MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct, filed by Maridom, Caribe MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct, filed by Maridom, Caribe filed by Abbot Capital, Inc., 743 Order, 225 Endorsed Letter, 459 Order on Motion to Appear Pro Hac Vice, 446 MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss. MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss.. filed by Standard Chartererd Bank, Standard Chartered PLC, Standard Chartered International (USA) Ltd., Standard Chartered Bank International (Americas) Limited, Standard Chartered Private Bank, 340 MOTION to Dismiss Second Consolidated Amended Complaint. filed by CITCO Bank Nederland N.V. Dublin Branch, Citgo Global Custody N.V., 204 Endorsed Letter, 471 Reply Affidavit in Support of Motion, filed by Fairfield Greenwich (Bermuda) LTD, Fairfield Greenwich Advisors, L.L.C., Mark Mckeefry, Walter M. Noel, Jr., Charles Murphy, Jacqueline Harary, Cornelis Boele, Amit Vijvergiya, Jeffrey H. Tucker, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Vianney D'hendecourt, Andres Piedrahta, Jacqueline Hararay, Fairfield Risk Services Ltd., Fairfield Greenwich (Bermuda) Limited, Yanko Dellaw Schiava, Julia Luongo, Philip Toub, Walter Noel, Jr., Richard Landsberger, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Andrew Smith, Harold Greisman, Corina Noel Piedrahita, Amit Vijayvergiya, Lourdes Barreneche, Robert Blum, Fairfield Greenwich Advisors L.L.C., Santiago Reyes, David Horn, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, Andreas Piedrahita, 29 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 416 Declaration in Opposition to Motion, filed by Pasha S. Anwar, 82 Notice of Appearance filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 1 Notice of Removal, filed by Fairfield Greenwich Group, Fairfield Greenwich Limited, Fairfield Greenwich Advisors L.L.C., Fairfield Greenwich (Bermuda) Ltd., 467 Reply Memorandum of Law in Support of Motion, filed by Lourdes Barenche, Jacqueline Harary, Cornelis Boele, Vianney D'hendecourt, Jacqueline Hararay, Yanko Dellaw Schiava, Julia Luongo, Philip Toub, Harold Greisman, Corina Noel Piedrahita, Lourdes Barreneche, Santiago Reyes, David Horn, 461 Order on Motion to Appear Pro Hac Vice, 847 Memorandum of Law in Opposition to Motion, filed by Walter M. Noel, Jr., Jeffrey H. Tucker, Fairfield Greenwich Advisors LLC, Jeffrey Tucker, Fairfield Greenwich Advisors L.L.C., 317 Memorandum of Law in Support of Motion filed by PricewaterhouseCoopers Accountants Netherlands N.V., 226 Endorsed Letter,, 62 MOTION for Terence M. Mullen to Appear Pro Hac Vice filed by CITCO Fund Services (Europe) B.V., CITCO Bank Nederland N.V. Dublin Branch, 284 Endorsed Letter, 877 Memorandum of Law in Opposition to Motion, filed by Walter M. Noel, Jr., Jeffrey H. Tucker, Fairfield Greenwich Advisors LLC, CITCO Fund Services (Europe) B.V., PricewaterhouseCoopers Accountants Netherlands N.V., Jeffrey Tucker, Fairfield Greenwich
April 24, 2013 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 1121 Notice of Appeal. (tp)
April 23, 2013 Filing 1121 JOINT NOTICE OF APPEAL from 1097 Judgment. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Pricewaterhouse Coopers Accountants N.V., Pricewaterhousecoopers L.L.P.. Filing fee $ 455.00, receipt number 0208-8446591. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Duffy, Timothy)
April 23, 2013 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 1113 Notice of Appearance filed by GlobeOp Financial Services LLC., 1108 Endorsed Letter, 1114 Endorsed Letter,, 1116 Endorsed Letter,, 1117 Endorsed Letter, 1115 Stipulation and Order, 1112 Order,,,, 1107 Notice of Change of Address, filed by Tradwaves, Ltd., Kishanchand Bhatia, Gopal Bhatia, Jayshree Bhatia, Mandakini Gajaria, Jitendra Bhatia, 1120 Notice of Interlocutory Appeal filed by Miguel Lomeli, Morning Mist Holdings Limited, 1109 Endorsed Letter,, 336 Memorandum of Law in Support of Motion filed by Ian Pilgrim, Citco Fund Services (Bermuda) Limited, 498 Order on Motion for TRO, Order on Motion for Preliminary Injunction,, 318 MOTION to Dismiss Second Consolidated Amended Complaint. filed by Brian Francoeur, 644 Declaration in Support of Motion, filed by Standard Chartered Bank International (Americas) Limited, Standard Chartererd Bank, 344 MOTION to Dismiss Second Consolidated Amended Complaint. filed by Citco Group Limited, 42 Order Admitting Attorney Pro Hac Vice, 499 Endorsed Letter,, 55 Notice of Appearance filed by CITCO Bank Nederland N.V. Dublin Branch, 510 Order, Set Deadlines/Hearings,,,,,, 100 Rule 7.1 Corporate Disclosure Statement filed by El Prado Trading, 479 Order,, 96 Rule 7.1 Corporate Disclosure Statement filed by Loana Ltd., 464 Reply Memorandum of Law in Support of Motion filed by Citco Group Limited, 227 Order on Motion for Extension of Time, 21 MOTION to Appoint Counsel as Interim Co-Lead Counsel for Plaintiffs and the Putative Class. MOTION to Consolidate Cases Subsequently Filed in or Transferred to the Court. filed by Inter-Amrerican Trust, Carlos Gauch, Pacific West Health Medical Center Inc. Employees Retirement Trust, Elvira 1950 Trust, Julia Anwar, Bonaire Limited, Pasha S. Anwar, 187 Waiver of Service Executed,,,, filed by 20/20 Investments, Centro Inspection Agency, Omawa Investment Corporation, AXA Private Management, Bonaire Limited, Inter-Amrerican Trust, The Knight Services Holdings Limited, Harel Insurance Company, Ltd., Loana Ltd., St. Stephen's School, Diversified Investments Associates Class A Units, Landville Capital Management S.A., Harvest Dawn International Inc., Morning Mist Holdings Limited, Miguel Lomeli, Banco General, S.A., David I. Ferber, Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, Ronit Zohar, Pasha S. Anwar, Carmel Ventures Ltd., Traconcorp, Nadav Zohar, Carlos Gauch, Fairfield Sentry Ltd., Frank E. Pierce, El Prado Trading, Kalandar International, Wall Street Securities, S.A., Frank E. Pierce Ira, ABR Capital Fixed Option/Income Strategic Fund LP, Blythel Associated Corp., Julia Anwar, Marrekesh Resources, Elvira 1950 Trust, 370 Endorsed Letter, Set Deadlines,, 24 Notice of Appearance filed by David Horn, 449 Notice of Appearance filed by Rosa Julieta A De Pujals, 366 Memorandum of Law in Support of Motion, filed by Charles Murphy, Richard Landsberger, Andrew Smith, 148 Notice of Appearance filed by Pricewaterhousecoopers L.L.P., Pricewaterhousecoopers LLP, 476 Response in Opposition to Motion,,,,,, filed by Pasha S. Anwar, 385 Memorandum of Law in Support of Motion filed by Standard Chartered PLC, Standard Chartered International (USA) Ltd., 183 Memorandum of Law in Support of Motion, filed by Fairfield Sentry Ltd., Fairfield Sentry Limited, 325 MOTION to Dismiss Second Consolidated Amended Complaint. filed by GlobeOp Financial Services LLC., 304 Endorsed Letter, Set Deadlines/Hearings,, 7 Notice (Other) filed by Pasha S. Anwar, Julia Anwar, 456 Reply Memorandum of Law in Support of Motion filed by GlobeOp Financial Services LLC., 440 Memorandum of Law in Opposition to Motion,,, filed by Kishanchand Bhatia, Mandakini Gajaria, Gopal Bhatia, Jitendra Bhatia, Jayshree Bhatia, 450 MOTION for Robert E. Linkin to Appear Pro Hac Vice. filed by Rosa Julieta A De Pujals, Jose Antonio Pujals, 320 Notice of Appearance filed by GlobeOp Financial Services LLC., 39 Notice of Appearance filed by Walter M. Noel, Jr., Matthew C. Brown, 6 Notice of Appearance filed by Pasha S. Anwar, Julia Anwar, 360 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint. filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Fairfield Risk Services Ltd., David Lipton, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 118 Rule 7.1 Corporate Disclosure Statement, filed by Standard Chartered International (USA) Ltd, Standard Chartered PLC, 158 Memorandum of Law in Opposition to Motion,,,,, filed by Fairfield Investor Group, 345 Memorandum of Law in Support of Motion filed by Citco Group Limited, 848 MOTION to Quash Subpoena. filed by American Express Company, 858 MOTION for Reconsideration. filed by Headway Investment Corp., 175 Memorandum of Law in Support of Motion filed by Morning Mist Holdings Limited, Miguel Lomeli, 460 Order on Motion to Appear Pro Hac Vice, 302 Objection to Report and Recommendations, filed by Morning Mist Holdings Limited, Miguel Lomeli, David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 378 Stipulation and Order, 28 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 237 Reply Memorandum of Law in Support of Motion filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 58 Notice of Appearance filed by CITCO Fund Services (Europe) B.V., 32 Notice of Appearance filed by David Horn, 364 Memorandum of Law in Support of Motion,,, filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Andres Piedrahta, Fairfield Risk Services Ltd., Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 139 Notice of Change of Address filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 44 MOTION for Stuart H. Singer to Appear Pro Hac Vice. filed by Bonaire Limited, Inter-Amrerican Trust, Pasha S. Anwar, Carlos Gauch, Julia Anwar, Elvira 1950 Trust, 860 MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct,,,, filed by Maridom, Caribe MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct,,,, filed by Maridom, Caribe filed by Abbot Capital, Inc., 743 Order, 225 Endorsed Letter, 459 Order on Motion to Appear Pro Hac Vice, 446 MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss.. MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss.. filed by Standard Chartererd Bank, Standard Chartered PLC, Standard Chartered International (USA) Ltd., Standard Chartered Bank International (Americas) Limited, Standard Chartered Private Bank, 340 MOTION to Dismiss Second Consolidated Amended Complaint. filed by CITCO Bank Nederland N.V. Dublin Branch, Citgo Global Custody N.V., 204 Endorsed Letter,, 471 Reply Affidavit in Support of Motion,,,,,,, filed by Fairfield Greenwich (Bermuda) LTD, Fairfield Greenwich Advisors, L.L.C., Mark Mckeefry, Walter M. Noel, Jr., Charles Murphy, Jacqueline Harary, Cornelis Boele, Amit Vijvergiya, Jeffrey H. Tucker, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Vianney D'hendecourt, Andres Piedrahta, Jacqueline Hararay, Fairfield Risk Services Ltd., Fairfield Greenwich (Bermuda) Limited, Yanko Dellaw Schiava, Julia Luongo, Philip Toub, Walter Noel, Jr., Richard Landsberger, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Andrew Smith, Harold Greisman, Corina Noel Piedrahita, Amit Vijayvergiya, Lourdes Barreneche, Robert Blum, Fairfield Greenwich Advisors L.L.C., Santiago Reyes, David Horn, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, Andreas Piedrahita, 29 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 416 Declaration in Opposition to Motion,,,,,,, filed by Pasha S. Anwar, 82 Notice of Appearance filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 1 Notice of Removal, filed by Fairfield Greenwich Group, Fairfield Greenwich Limited, Fairfield Greenwich Advisors L.L.C., Fairfield Greenwich (Bermuda) Ltd., 467 Reply Memorandum of Law in Support of Motion,, filed by Lourdes Barenche, Jacqueline Harary, Cornelis Boele, Vianney D'hendecourt, Jacqueline Hararay, Yanko Dellaw Schiava, Julia Luongo, Philip Toub, Harold Greisman, Corina Noel Piedrahita, Lourdes Barreneche, Santiago Reyes, David Horn, 461 Order on Motion to Appear Pro Hac Vice, 847 Memorandum of Law in Opposition to Motion, filed by Walter M. Noel, Jr., Jeffrey H. Tucker, Fairfield Greenwich Advisors LLC, Jeffrey Tucker, Fairfield Greenwich Advisors L.L.C., 317 Memorandum of Law in Support of Motion filed by PricewaterhouseCoopers Accountants Netherlands N.V., 226 Endorsed Letter,, 62 MOTION for Terence M. Mullen to Appear Pro Hac Vice. filed by CITCO Fund Services (Europe) B.V., CITCO Bank Nederland N.V. Dublin Branch, 284 Endorsed Letter, 877 Memorandum of Law in Opposition to Motion, filed by Walter M. Noel, Jr., Jeffrey H. Tucker, Fairfield Greenwich Advisors LLC, CITCO Fund Services (Europe) B.V., PricewaterhouseCoopers Accountants Netherlands N.V., Jeffrey Tucker, Fairfield Greenwich Advisors L.L.C., 329 MOTION to Dismiss Second Consolidated Amended Complaint. filed by CITCO Fund Services (Europe) B.V., Citco Canada Inc., 453 Reply Memorandum of Law in Support of Motion filed by Brian Francouer, 303 Summons
April 23, 2013 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 1120 Notice of Interlocutory Appeal. (nd)
April 23, 2013 Appeal Fee Paid electronically via Pay.gov: for 1120 Notice of Interlocutory Appeal. Filing fee $ 455.00. Pay.gov receipt number 0208-8445744, paid on 04/23/2013. (nd)
April 23, 2013 Filing 1120 NOTICE OF INTERLOCUTORY APPEAL from 1097 Judgment. Document filed by Miguel Lomeli, Morning Mist Holdings Limited. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Wallner, Robert)
April 23, 2013 ***NOTE TO ATTORNEY REGARDING DEFICIENT APPEAL. Note to Attorney Robert Wallner to RE-FILE Document No. 1119 Notice of Interlocutory Appeal,. The filing is deficient for the following reason: the Order being appealed was NOT selected. Re-file the document as a Corrected Notice of Appeal event and select the correct Order being appealed. (nd)
April 23, 2013 Filing 1119 FILING ERROR - NO ORDER SELECTED FOR APPEAL - NOTICE OF INTERLOCUTORY APPEAL. Document filed by Miguel Lomeli, Morning Mist Holdings Limited. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Wallner, Robert) Modified on 4/23/2013 (nd).
April 23, 2013 ***NOTE TO ATTORNEY REGARDING DEFICIENT APPEAL. Note to Attorney Robert Wallner to RE-FILE Document No. 1118 Notice of Interlocutory Appeal,. The filing is deficient for the following reason: the Order being appealed was NOT selected. Re-file the document as a Corrected Notice of Appeal event and select the correct Order being appealed. (nd)
April 23, 2013 Filing 1118 FILING ERROR - NO ORDER SELECTED FOR APPEAL - NOTICE OF INTERLOCUTORY APPEAL. Document filed by Miguel Lomeli, Morning Mist Holdings Limited. Filing fee $ 455.00, receipt number 0208-8445744. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Wallner, Robert) Modified on 4/23/2013 (nd).
April 23, 2013 Filing 1116 ENDORSED LETTER: addressed to Judge Victor Marrero from Sharon I. Nelles dated 4/22/2013 re: Standard Chartered respectfully requests that it be permitted to submit a consolidated response to these three letters of up to five pages in length, and asks that the Court extend to April 30, 2013, the time by which Standard Chartered may submit its response to plaintiffs' correspondence. ENDORSEMENT: Request GRANTED. The Standard Chartered Defendants' may respond to the plaintiffs' letters referred to above by 4/30/2013, by letter not to exceed 5 pages. So Ordered. (Signed by Judge Victor Marrero on 4/27/2013) (js)
April 22, 2013 Filing 1117 ENDORSED LETTER: addressed to Judge Victor Marrero from Jorge A. Mestre dated 4/22/2013 re: Counsel fro Plaintiff requests a pre-conference motion to discuss its request to move for leave to amend, and an appropriate briefing schedule. ENDORSEMENT: The Standard Chartered defendants are directed to respond by 4/25/2013, by letter not to exceed four (4) pages, to the matter set forth above by plaintiff Headway Investment Corp. So Ordered. (Signed by Judge Victor Marrero on 4/22/2013) (js)
April 22, 2013 Filing 1114 ENDORSED LETTER: addressed to Judge Victor Marrero from Laurence E. Curran III dated 4/19/2013 re: Counsel for Plaintiffs as well as in the capacity of designated representative of various other Standard Chartered Plaintiffs all of whom are identified on the attached "Appendix A" respectfully request a pre-motion conference regarding the effect of the Florida Supreme Court's recent March 7, 2013 ruling in Tiara Condo. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. So Ordered. (Signed by Judge Victor Marrero on 4/22/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(js)
April 19, 2013 Filing 1115 STIPULATION CONCERNING EXPERT DISCOVERY: IT IS HEREBY STIPULATED AND AGREED, by and among the parties, through their undersigned counsel, that: 1. Only the following expert materials and information are discoverable (including through deposition) as set forth herein. (Signed by Magistrate Judge Frank Maas on 4/17/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(djc)
April 17, 2013 Filing 1113 NOTICE OF APPEARANCE by Justin G. Sommers on behalf of GlobeOp Financial Services LLC. (Sommers, Justin)
April 15, 2013 Opinion or Order Filing 1112 DECISION AND ORDER: At the settlement hearing held on March 22, 2013, the Court directed settling defendants Fairfield Greenwich Limited and Fairfield Greenwich (Bermuda) Limited (the "Settling Defendants") to provide the Court with details regarding other settlement agreements entered into betweenthe Settling Defendants and certain settlement class members in their individual capacities(the "Individual Agreements"). On April 12, 2013, the Settling Defendants filed materials related to these Individual Agreements under seal for the Court's in camera review. (Dkt. Nos. 1110 and 1111.) The Court has examined the Settling Defendants' submissions relating to the Individual Agreements and is persuaded that no further action by the Court is necessary. The Court finds that nothing in the Settling Defendants' submissions regarding the Individual Agreements affects the validity of the class action settlement in this matter, calls into question any of the Court's prior holdings, or warrants any additional inquiry or disclosure. Therefore, the Court reaffirms its prior approval of the settlement. SO ORDERED. (Signed by Judge Victor Marrero on 4/15/2013) (rsh)
April 12, 2013 Filing 1111 SEALED DOCUMENT placed in vault.(mps)
April 12, 2013 Filing 1110 SEALED DOCUMENT placed in vault.(nm)
April 9, 2013 Filing 1109 ENDORSED LETTER: addressed to Judge Victor Marrero from Timothy A. Duffy dated 4/9/2013 re: Counsel asks that any materials filed in the record under seal by the Settling Defendants be provided to the other parties in the case, as is typically the practice with regard to such filings. The Settling Defendants are obviously free to designate the materials as Confidential of Highly. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by PWC and Citgo Defendants. So Ordered. (Signed by Judge Victor Marrero on 4/9/2013) (js)
April 9, 2013 Filing 1108 ENDORSED LETTER addressed to Judge Victor Marrero from Mark G. Cunha dated 4/8/2013 re: Counsel requests that the Court so order this letter, permitting the Settling Defendants to file the statement and declaration under seal and without service on the other parties in the above referenced action. ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 4/9/2013) (js) (js).
April 9, 2013 Filing 1107 NOTICE OF CHANGE OF ADDRESS by William M. O'Connor on behalf of Gopal Bhatia, Jayshree Bhatia, Jitendra Bhatia, Kishanchand Bhatia, Mandakini Gajaria, Tradwaves, Ltd.. New Address: Thompson & Knight LLP, 900 Third Avenue, 20th Floor, New York, NY, USA 10022, 212-751-3001. Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:09-cv-02410-VM, 1:09-cv-09423-VM(O'Connor, William)
April 8, 2013 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 336 Memorandum of Law in Support of Motion filed by Ian Pilgrim, Citco Fund Services (Bermuda) Limited, 498 Order on Motion for TRO, Order on Motion for Preliminary Injunction,, 318 MOTION to Dismiss Second Consolidated Amended Complaint. filed by Brian Francoeur, 644 Declaration in Support of Motion, filed by Standard Chartered Bank International (Americas) Limited, Standard Chartererd Bank, 344 MOTION to Dismiss Second Consolidated Amended Complaint. filed by Citco Group Limited, 42 Order Admitting Attorney Pro Hac Vice, 499 Endorsed Letter,, 55 Notice of Appearance filed by CITCO Bank Nederland N.V. Dublin Branch, 510 Order, Set Deadlines/Hearings,,,,,, 100 Rule 7.1 Corporate Disclosure Statement filed by El Prado Trading, 479 Order,, 96 Rule 7.1 Corporate Disclosure Statement filed by Loana Ltd., 464 Reply Memorandum of Law in Support of Motion filed by Citco Group Limited, 227 Order on Motion for Extension of Time, 21 MOTION to Appoint Counsel as Interim Co-Lead Counsel for Plaintiffs and the Putative Class. MOTION to Consolidate Cases Subsequently Filed in or Transferred to the Court. filed by Inter-Amrerican Trust, Carlos Gauch, Pacific West Health Medical Center Inc. Employees Retirement Trust, Elvira 1950 Trust, Julia Anwar, Bonaire Limited, Pasha S. Anwar, 187 Waiver of Service Executed,,,, filed by 20/20 Investments, Centro Inspection Agency, Omawa Investment Corporation, AXA Private Management, Bonaire Limited, Inter-Amrerican Trust, The Knight Services Holdings Limited, Harel Insurance Company, Ltd., Loana Ltd., St. Stephen's School, Diversified Investments Associates Class A Units, Landville Capital Management S.A., Harvest Dawn International Inc., Morning Mist Holdings Limited, Miguel Lomeli, Banco General, S.A., David I. Ferber, Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, Ronit Zohar, Pasha S. Anwar, Carmel Ventures Ltd., Traconcorp, Nadav Zohar, Carlos Gauch, Fairfield Sentry Ltd., Frank E. Pierce, El Prado Trading, Kalandar International, Wall Street Securities, S.A., Frank E. Pierce Ira, ABR Capital Fixed Option/Income Strategic Fund LP, Blythel Associated Corp., Julia Anwar, Marrekesh Resources, Elvira 1950 Trust, 370 Endorsed Letter, Set Deadlines,, 24 Notice of Appearance filed by David Horn, 449 Notice of Appearance filed by Rosa Julieta A De Pujals, 366 Memorandum of Law in Support of Motion, filed by Charles Murphy, Richard Landsberger, Andrew Smith, 148 Notice of Appearance filed by Pricewaterhousecoopers L.L.P., Pricewaterhousecoopers LLP, 476 Response in Opposition to Motion,,,,,, filed by Pasha S. Anwar, 385 Memorandum of Law in Support of Motion filed by Standard Chartered PLC, Standard Chartered International (USA) Ltd., 183 Memorandum of Law in Support of Motion, filed by Fairfield Sentry Ltd., Fairfield Sentry Limited, 325 MOTION to Dismiss Second Consolidated Amended Complaint. filed by GlobeOp Financial Services LLC., 304 Endorsed Letter, Set Deadlines/Hearings,, 7 Notice (Other) filed by Pasha S. Anwar, Julia Anwar, 456 Reply Memorandum of Law in Support of Motion filed by GlobeOp Financial Services LLC., 440 Memorandum of Law in Opposition to Motion,,, filed by Kishanchand Bhatia, Mandakini Gajaria, Gopal Bhatia, Jitendra Bhatia, Jayshree Bhatia, 450 MOTION for Robert E. Linkin to Appear Pro Hac Vice. filed by Rosa Julieta A De Pujals, Jose Antonio Pujals, 320 Notice of Appearance filed by GlobeOp Financial Services LLC., 39 Notice of Appearance filed by Walter M. Noel, Jr., Matthew C. Brown, 6 Notice of Appearance filed by Pasha S. Anwar, Julia Anwar, 360 JOINT MOTION to Dismiss the Second Consolidated Amended Complaint. filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Fairfield Risk Services Ltd., David Lipton, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 118 Rule 7.1 Corporate Disclosure Statement, filed by Standard Chartered International (USA) Ltd, Standard Chartered PLC, 158 Memorandum of Law in Opposition to Motion,,,,, filed by Fairfield Investor Group, 345 Memorandum of Law in Support of Motion filed by Citco Group Limited, 848 MOTION to Quash Subpoena. filed by American Express Company, 858 MOTION for Reconsideration. filed by Headway Investment Corp., 175 Memorandum of Law in Support of Motion filed by Morning Mist Holdings Limited, Miguel Lomeli, 460 Order on Motion to Appear Pro Hac Vice, 302 Objection to Report and Recommendations, filed by Morning Mist Holdings Limited, Miguel Lomeli, David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 378 Stipulation and Order, 28 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 237 Reply Memorandum of Law in Support of Motion filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 58 Notice of Appearance filed by CITCO Fund Services (Europe) B.V., 32 Notice of Appearance filed by David Horn, 364 Memorandum of Law in Support of Motion,,, filed by Fairfield Greenwich (Bermuda) LTD, Mark Mckeefry, Walter M. Noel, Jr., Amit Vijvergiya, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Andres Piedrahta, Fairfield Risk Services Ltd., Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Amit Vijayvergiya, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, 139 Notice of Change of Address filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 44 MOTION for Stuart H. Singer to Appear Pro Hac Vice. filed by Bonaire Limited, Inter-Amrerican Trust, Pasha S. Anwar, Carlos Gauch, Julia Anwar, Elvira 1950 Trust, 860 MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct,,,, filed by Maridom, Caribe MOTION for Reconsideration re; (853 in 1:09-cv-00118-VM-THK, 853 in 1:09-cv-00118-VM-THK, 155 in 1:10-cv-00920-VM, 155 in 1:10-cv-00920-VM) Order on Motion for Leave to File Document, Order on Motion to Amend/Correct,,,, filed by Maridom, Caribe filed by Abbot Capital, Inc., 743 Order, 225 Endorsed Letter, 459 Order on Motion to Appear Pro Hac Vice, 446 MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss.. MOTION For Leave to File A Supplemental Memorandum In Support of Thier Motions To Dismiss on the Newly-Arisen Ground That Plaintiffs' Common-Law Claims are Preempted by SLUSA re: 387 MOTION to Dismiss.. filed by Standard Chartererd Bank, Standard Chartered PLC, Standard Chartered International (USA) Ltd., Standard Chartered Bank International (Americas) Limited, Standard Chartered Private Bank, 340 MOTION to Dismiss Second Consolidated Amended Complaint. filed by CITCO Bank Nederland N.V. Dublin Branch, Citgo Global Custody N.V., 204 Endorsed Letter,, 471 Reply Affidavit in Support of Motion,,,,,,, filed by Fairfield Greenwich (Bermuda) LTD, Fairfield Greenwich Advisors, L.L.C., Mark Mckeefry, Walter M. Noel, Jr., Charles Murphy, Jacqueline Harary, Cornelis Boele, Amit Vijvergiya, Jeffrey H. Tucker, Amit Vigayvergia, Fairfield Greenwich Advisors LLC, Vianney D'hendecourt, Andres Piedrahta, Jacqueline Hararay, Fairfield Risk Services Ltd., Fairfield Greenwich (Bermuda) Limited, Yanko Dellaw Schiava, Julia Luongo, Philip Toub, Walter Noel, Jr., Richard Landsberger, Fairfield Greenwich Limited, Fairfield Heathcliff Capital LLC, Jeffrey Tucker, Andres Piedrahita, Andrew Smith, Harold Greisman, Corina Noel Piedrahita, Amit Vijayvergiya, Lourdes Barreneche, Robert Blum, Fairfield Greenwich Advisors L.L.C., Santiago Reyes, David Horn, Fairfield Greenwich (Bermuda) Ltd., Daniel Lipton, Andreas Piedrahita, 29 Affidavit of Service Other filed by Pasha S. Anwar, Julia Anwar, 416 Declaration in Opposition to Motion,,,,,,, filed by Pasha S. Anwar, 82 Notice of Appearance filed by David I. Ferber, Frank E. Pierce, Frank E. Pierce Ira, 1 Notice of Removal, filed by Fairfield Greenwich Group, Fairfield Greenwich Limited, Fairfield Greenwich Advisors L.L.C., Fairfield Greenwich (Bermuda) Ltd., 467 Reply Memorandum of Law in Support of Motion,, filed by Lourdes Barenche, Jacqueline Harary, Cornelis Boele, Vianney D'hendecourt, Jacqueline Hararay, Yanko Dellaw Schiava, Julia Luongo, Philip Toub, Harold Greisman, Corina Noel Piedrahita, Lourdes Barreneche, Santiago Reyes, David Horn, 461 Order on Motion to Appear Pro Hac Vice, 847 Memorandum of Law in Opposition to Motion, filed by Walter M. Noel, Jr., Jeffrey H. Tucker, Fairfield Greenwich Advisors LLC, Jeffrey Tucker, Fairfield Greenwich Advisors L.L.C., 317 Memorandum of Law in Support of Motion filed by PricewaterhouseCoopers Accountants Netherlands N.V., 226 Endorsed Letter,, 62 MOTION for Terence M. Mullen to Appear Pro Hac Vice. filed by CITCO Fund Services (Europe) B.V., CITCO Bank Nederland N.V. Dublin Branch, 284 Endorsed Letter, 877 Memorandum of Law in Opposition to Motion, filed by Walter M. Noel, Jr., Jeffrey H. Tucker, Fairfield Greenwich Advisors LLC, CITCO Fund Services (Europe) B.V., PricewaterhouseCoopers Accountants Netherlands N.V., Jeffrey Tucker, Fairfield Greenwich Advisors L.L.C., 329 MOTION to Dismiss Second Consolidated Amended Complaint. filed by CITCO Fund Services (Europe) B.V., Citco Canada Inc., 453 Reply Memorandum of Law in Support of Motion filed by Brian Francouer, 303 Summons Returned Executed,,,,, filed by 20/20 Investments, Centro Inspection Agency, Kishanchand Bhatia, Headway Investment Corp., Omawa Investment Corporation, Harel Investment and Financial Services Ltd., Mandakini Gajaria, AXA Private Management, Bonaire Limited, Inter-Amrerican Trust, The Knight Services Holdings Limited, Shimon Laor, Harel Insurance Company, Ltd., Gopal Bhatia, Loana Ltd., Jitendra Bhatia, St. Stephen's School, Diversified Investments Asso
April 8, 2013 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 1106 Notice of Appeal,. (nd)
April 8, 2013 Filing 1106 NOTICE OF APPEAL from 1097 Judgment, 1091 Endorsed Letter,,,,,, 1071 Order,. Document filed by Irving H. Picard. Filing fee $ 455.00, receipt number 0208-8396923. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Attachments: # 1 Affidavit of Service)(Sheehan, David)
April 5, 2013 Filing 1105 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 4/5/2013 re: The parties have agreed to the enclosed Stipulation signed by the Plaintiffs, the Fairfield Greenwich Defendant and the Trustee, which provides for a stay of the distribution of Settlement funds, but otherwise permits the continued administration of the Settlement and the processing of claims. The parties further agreed to an expedited briefing schedule for any appeals. The parties respectfully request that the Court "so order" the Stipulation and remain available at the Court's convenience if there are any questions. ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 4/5/2013) (rsh)
April 4, 2013 Opinion or Order Filing 1104 DECISION AND ORDER: Accordingly, the Court hereby DENIES the Morning Mist Derivative Plaintiffs' request for a pre motion conference (Dkt. No. 1102), deems the Morning Mist Derivative Plaintiffs' March 27, 2013 letter a motion for reconsideration and DENIES the Morning Mist Derivative Plaintiffs' motion for reconsideration. (Signed by Judge Victor Marrero on 4/3/2013) (js)
April 3, 2013 Filing 1103 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrett dated 3/29/2013 re: Accordingly, Plaintiffs request that Mr. Wallner's letter be treated as a motion for reconsideration by the Morning Mist Derivative Plaintiffs, and denied. The settling Defendants join us in this request. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs.. (Signed by Judge Victor Marrero on 4/3/2013) (js)
April 2, 2013 Filing 1102 ENDORSED LETTER: addressed to Judge Victor Marrero from Robert A. Wallner dated 3/27/2013 re: Counsel for Morning Mist who objected to the now-approved partial settlement in the above matter. See ECF Nos. 1047, 1049, 1097. Counsel requests a pre-motion conference to address a motion for reconsideration, pursuant to local Rule 6.3, in light of the Supreme Court's decision today in Comcast Corp. v. Behrend. No 11-864, 2013 WI 1222646. ENDORSEMENT: The parties are directed to respond by 4/3/2013, by letter not to exceed three (3) pages, to the request set forth above by the Morning Mist derivative plaintiffs. So Ordered. (Signed by Judge Victor Marrero on 3/29/2013) (js) Modified on 4/3/2013 (js).
April 2, 2013 Filing 1101 NOTICE of of Withdrawal of Brandon R. Levitt. Document filed by Ricardo Rodriguez Caso. (Levitt, Brandon)
March 28, 2013 Filing 1100 ENDORSED LETTER: addressed to Judge Victor Marrero from David J. Sheehan dated 3/27/2013 re: the Trustee respectfully requests a conference on his motion for an injunction or stay pending appeal or. in the alternative, that the Court forgo that conference and grant such relief on the grounds presented in this letter. In light of the Settlement's deadlines, the Trustee intends to appeal to seek such interim relief from the Second Circuit on April 5, 2013, as may be necessary to protect his interests. ENDORSEMENT: The parties are directed to respond by 4/12/2013 by letter not to exceed three (3) pages to the request above submitted by the SIPA Trustee. So Ordered. (Signed by Judge Victor Marrero on 3/28/2013) (js)
March 28, 2013 Opinion or Order Filing 1099 FINAL JUDGMENT AND ORDER AWARDING FEES AND EXPENSES from the settlement. (Signed by Judge Victor Marrero on 3/27/13) (Attachments: # 1 Notice of Right to Appeal)(ml)
March 26, 2013 Filing 1098 NOTICE OF APPEARANCE by Gates Salyers Hurand on behalf of Robert Blum, David Horn (Hurand, Gates)
March 25, 2013 Opinion or Order Filing 1097 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE settling action. (Signed by Judge Victor Marrero on 3/22/13) (Attachments: # 1 Notice of Right to Appeal)(ml)
March 25, 2013 Filing 1096 ENDORSED LETTER: addressed to Judge Victor Marrero from Lewis N. Brown dated 3/19/2013 re: Counsel for defendants hereby request that you permit Brown and Heller, P.A. to withdraw as counsel of record for Defendants, The Citco Group Limited, Citco Fund Services (Europe) B.V., Citco (Canada) Inc., Citco Bank Nederland N.V. Dublin Branch, Citco Global Custody N.V., and Citco Fund Services (Bermuda) Limited, by "so-ordering" this letter. ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 3/22/2013) (js)
March 25, 2013 Filing 1095 NOTICE of Withdrawal of Appearance of Claudio R. Ochoa. Document filed by Robert Blum, David Horn. (RoumainOchoa, Claudio)
March 22, 2013 Filing 1094 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrett dated 3/22/2013 re: In connection with today's final approval hearing for the proposed partial Settlement in this action, enclosed herewith are clean and red-lined copies of a revised proposed Final Judgment and Order of Dismissal with Prejudice. The red-line shows changes from the form of the Final Judgment that was previously submitted as Exhibit 1 to Plaintiffs' Supplemental Memorandum Concerning Requested Changes in Final Judgment (Dkt. No. 1075-1). There are minor language changes in several paragraphs (6, 16, 28, 29) which reflect the Court's order of March 11, 2013, as well as the fact that the deadline for submitting requests for exclusion has passed, and that proofs of claim have been and are continuing to be received as of this date. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiffs. (Signed by Judge Victor Marrero on 3/22/2013) (js) (js).
March 22, 2013 Opinion or Order Filing 1093 DECISION AND ORDER: Accordingly, the morning Mist Derivative Plaintiffs' request (Dkt. No. 1079) is denied (Signed by Judge Victor Marrero on 3/22/2013) (js)
March 21, 2013 Filing 1092 NOTICE of Rule 23 Statement. Document filed by Fairfield Greenwich (Bermuda) Limited, Fairfield Greenwich Limited. (Cunha, Mark)
March 15, 2013 Filing 1091 ENDORSED LETTER addressed to Judge Victor Marrero from Mark G. Cunha dated 3/15/2013 re: On behalf of the Settling Defendants, we respond to the letter of 3/12/2013 from David J. Sheehan, counsel for the BLMIS Trustee. The Trustee seeks leave from the Court to file additional material in support of a motion to intervene that has already been denied by Order dated 3/8/2013. The Trustee acknowledges that he is not requesting the Court to reconsider his request for intervention. Instead, he seeks to supplement the record for his contemplated appeal of the Order. We respectfully submit that a pre-motion conference is unnecessary and that the Court should deny the Trustee's request to supplement the record with the material enclosed with his letter to the Court dated 3/12/2013. Because the Trustee's letter, apparently with attachments, alreadywas added to the record, to avoid any doubt concerning the proper composition of the record, we respectfully request the Court to strike pages 3 through 70 of the document file at Dkt. No 1080. ENDORSEMENT: Request GRANTED. The Clerk of Court is directed to strike pages 3 through 70 of the document filed under Docket No. 1080. These pages were entered into the record by error. The Court's endorsement on the Trustee's letter to the Court dated 3/12/13 explicitly directs the Clerk of Court to enter into the record "the letter above" the Court intended the Order only as to the letter. (Signed by Judge Victor Marrero on 3/15/2013) (sac)
March 15, 2013 Filing 1090 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Dyanne E. Feinberg dated 2/27/2013 re: Counsel to Defendants The Citco Group Limited and related entities, PricewaterhouseCoopers Accountants N.V. ("PwC Netherlands"), PricewaterhouseCoopers LLP ("PwC Canada") (together, "PwC"), and GlobeOp Financial Services LLC requests leave pursuant to Rule 30(a)(2)(B) of the Federal Rules of Civil Procedure to take the oral depositions of former Bernard L. Madoff Investment Securities ("BLMIS") employees Bernard L. Madoff and Peter Madoff. ENDORSEMENT: APPLICATION GRANTED - Submit an order once dates have been arranged. (Signed by Magistrate Judge Frank Maas on 3/12/2013) (djc)
March 14, 2013 Opinion or Order Filing 1089 MEMO ENDORSEMENT finding as moot 272 REQUEST FOR REMOVAL FROM SERVICE LIST AND REQUEST TO STOP ELECTRONIC NOTICES: The Clerk of the Court is directed to terminate the motion under 11 CIV 0813 (Docket No. 272) as moot in view of the resolution of the case ( Docket No. 262). SO ORDERED. (Signed by Judge Victor Marrero on 3/14/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-00813-VM(rsh) Modified on 3/18/2013 (rsh).
March 14, 2013 Opinion or Order Filing 1088 MEMO ENDORSEMENT finding as moot 271 REQUEST FOR REMOVAL FROM SERVICE LIST AND REQUEST TO STOP ELECTRONIC NOTICES: The Clerk of the Court is directed to terminate the motion under 11 CIV 0813 (Docket No. 271) as moot in view of the resolution of the case ( Docket No. 262). SO ORDERED. (Signed by Judge Victor Marrero on 3/14/2013) (rsh) Modified on 3/18/2013 (rsh).
March 14, 2013 Opinion or Order Filing 1087 MEMO ENDORSEMENT ON PLAINTIFFS' RENEWAL OF MOTION FOR ISSUANCE OF SUBPOENA TO LAWRENCE D. (LONNIE) HOWELL terminating 217 Motion for PLAINTIFFS' RENEWAL OF MOTION FOR ISSUANCE OF SUBPOENA TO LAWRENCE D. (LONNIE) HOWELL re: 217 MOTION renewal of motion for issuance of subpoena to Lawrence D. (Lonnie) Howell re: (203 in 1:11-cv-00813-VM) Objection (non-motion), Objection (non-motion), (196 in 1:11-cv-00813-VM) Response in Support of Motion, (191 in 1:11-cv-00813-VM) MOTION Fo MOTION renewal of motion for issuance of subpoena to Lawrence D. (Lonnie) Howell re: (203 in 1:11-cv-00813-VM) Objection (non-motion), Objection (non-motion), (196 in 1:11-cv-00813-VM) Response in Support of Motion, (191 in 1:11-cv-00813-VM) MOTION Fo MOTION renewal of motion for issuance of subpoena to Lawrence D. (Lonnie) Howell re: (203 in 1:11-cv-00813-VM) Objection (non-motion), Objection (non-motion), (196 in 1:11-cv-00813-VM) Response in Support of Motion, (191 in 1:11-cv-00813-VM) MOTION Fo. ENDORSEMENT: SO ORDERED. The Clerk of Court is directed to terminate the motion under 11cv813 (Docket No. 217) as moot in view of the resolution of the case (Docket No. 262). (Signed by Judge Victor Marrero on 3/14/2013) (mt)
March 14, 2013 Filing 1086 MEMO ENDORSED ON APPLICATION FOR ISSUANCE OF A LETTER OF REQUEST FOR THE EXAMINATION OF WITNESSES IN SWITZERLAND PURSUANT TO THE HAGUE EVIDENCE CONVENTION: ENDORSEMENT: the Clerk of Court is directed to terminate the motion under 11-cv-813 (Docket No. 184) as moot in view of the resolution of the case (Docket No. 262) So Ordered. (Signed by Judge Victor Marrero on 3/14/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-00813-VM(js)
March 14, 2013 Opinion or Order Filing 1085 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: It is hereby ordered that attorney Matthew L. Jones is admitted Pro Hac Vice (Signed by Judge Victor Marrero on 3/13/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:10-cv-06186-VM, 1:10-cv-06187-VM(js)
March 14, 2013 Opinion or Order Filing 1084 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: Attorney Matthew L. Jones admitted Pro Hac Vice. (Signed by Judge Victor Marrero on 3/13/2013) Filed In Associated Cases: 1:10-cv-06186-VM, 1:10-cv-06186-VM, 1:10-cv-06187-VM(js)
March 14, 2013 Opinion or Order Filing 1083 ORDER granting REQUEST FOR REMOVAL FROM SERVICE LIST AND REQUEST TO STOP ELECTRONIC NOTICES: (993) Motion in case 1:09-cv-00118-VM-FM;. SO ORDERED. Docket No. 993. (Signed by Judge Victor Marrero on 3/14/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-00813-VM(ama)
March 14, 2013 Filing 1082 REQUEST FOR REMOVAL FROM SERVICE LIST AND REQUEST TO STOP ELECTRONIC NOTICES: Please take notice that pursuant to the Court's Order Granting Petition for an Award of Attorneys' Fees and Reimbursement of Exspenses [D.E. 888] and Final Judgment dated June 1,2012 [D.E. 890], the case has been settled. Therefore, Lawrence A. Kellogg's representation in this matter has been concluded. Accordingly, Lawrence A. Kellogg requests that the Clerk removes his name from the list of parties being notified of electronic filings in this case.. (Signed by Judge Victor Marrero on 3/14/2013) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-00813-VM(js)
March 14, 2013 Filing 1081 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrett dated 3/13/2013 re: Accordingly, Morning Mist has failed to show any legitimate need for discovery, nor offered any cogent factual objections to the settlement. "see In re Ford Motor supra. Morning Mist's untimely request for discovery of confidential financial information should be rejected. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Lead Plaintiffs. So Ordered. (Signed by Judge Victor Marrero on 3/13/2013) (js)
March 13, 2013 Filing 1080 ENDORSED LETTER: addressed to Judge Victor Marrero from David J. Sheehan dated 3/12/2013 re: Accordingly, the Trustee respectfully requests a conference on his motion to supplement the record or, in the alternative, that the Court forgo that conference and grant leave to for the filing of the Trustee's intervention papers, which are attached. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the SIPA Trustee. So Ordered. (Signed by Judge Victor Marrero on 3/13/2013) (js)
March 11, 2013 Filing 1079 ENDORSED LETTER: addressed to Judge Victor Marrero from Robert A. Wallner dated 3/11/2013 re: Given Lead Counsel's recent statement, we have asked them for copies of the financial disclosures (to be maintained in accordance with the outstanding confidentiality order), but they have refused to respond to our request. Accordingly, we respectfully request that the Court schedule a pre-motion conference to address our request for the disclosures. ENDORSEMENT: Class plaintiffs are directed to respond by 3/13/2013 by letter not to exceed three (3) pages, to the request of the morning Mist Plaintiffs regarding the matter set forth above. So Ordered. (Signed by Judge Victor Marrero on 3/11/2013) (js)
March 11, 2013 Filing 1078 SEALED DOCUMENT placed in vault.(mps)
March 11, 2013 Opinion or Order Filing 1077 ENDORSED LETTER addressed to Judge Victor Marrero from Mark G. Cunha dated 3/08/2013 re: I write on behalf of certain Fairfield Greenwich affiliated defendants in regard to the Court's Order entered March 6,2013 (ECF No. 1068, the "Order") in the above referenced action (the "Action") clarifying that the Court's Decision and Order entered February 25,2013 granting in part Plaintiffs' motion for class certification (ECF No. 1052, the "Class Certification Order") "does not currently apply to the claims asserted by Plaintiffs against the Fairfield Greenwich Defendants" as a result of the stay previously imposed by the Court. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the court by FG Entity and Individual Defendants. SO ORDERED. (Signed by Judge Victor Marrero on 3/11/2013) (ama)
March 11, 2013 Opinion or Order Filing 1076 ORDER: NOW, THEREFORE, IT IS FURTHER HEREBY ORDERED: 1. As a result of the stay previously imposed by the Court, the Class Certification Order does not currently apply to the claims asserted by Plaintiffs against each and all of the FG Entity and Individual Defendants. IT IS SO ORDERED. (Signed by Judge Victor Marrero on 3/11/2013) (ama)
March 8, 2013 Filing 1075 REPLY MEMORANDUM OF LAW in Support re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation.. Document filed by Julia Anwar, Pasha S. Anwar. (Attachments: # 1 Exhibit 1 - Final Judgement, # 2 Exhibit 2 - Fee Order)(Barrett, David)
March 8, 2013 Filing 1074 AFFIDAVIT of Daniel J. Polizzi in Support re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation.. Document filed by Pasha S. Anwar. (Finkel, Robert)
March 8, 2013 Filing 1073 REPLY MEMORANDUM OF LAW in Support re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation.. Document filed by Julia Anwar, Pasha S. Anwar. (Barrett, David)
March 8, 2013 Filing 1072 ENDORSED LETTER: addressed to Judge Victor Marrero from David a. Barrett dated 3/8/2013 re: Plaintiffs request leave from the Court to file exhibits containing this material under seal. ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 3/8/2013) (js)
March 8, 2013 Opinion or Order Filing 1071 DECISION AND ORDER:Accordingly, the Court hereby DENIES the Trustee's request for a pre-motion conference, deems the Trustee's February 23, 2013 letter a motion to intervene, and DENIES the Trustee's motion to intervene (Signed by Judge Victor Marrero on 3/7/2013) (js)
March 7, 2013 Opinion or Order Filing 1070 ORDER FOR ADMISSION PRO HAC VICE: granting 1024 Motion for Joshua Ian Sheptow to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 3/7/2013) (js)
March 6, 2013 Opinion or Order Filing 1069 ENDORSED LETTER addressed to Judge Victor Marrero from Sharon L. Nelles dated 3/04/2013 re: We write on behalf of the Standard Chartered Defendants ("Standard Chartered") in response to the February 28, 2013 letter from the Standard Chartered Plaintiffs' Steering Committee requesting a discovery conference to discuss plaintiff's requests for admission. ENDORSEMENT: The Clerk of court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Defendants. SO ORDERED. (Signed by Judge Victor Marrero on 3/06/2013) (ama)
March 6, 2013 Opinion or Order Filing 1068 ORDER: On November 30, 2012, the Court issued an order granting preliminary approval to the proposed settlement between the Plaintiffs and Defendants Fairfield Greenwich Limited and Fairfield Greenwich (Bermuda) Limited (collectively, the "Fairfield Greenwich Defendants") and staying all litigation in this action between Plaintiffs and the Fairfield Greenwich Defendants. On February 25, 2013, the Court issued a decision and order granting in part Plaintiffs' motion for class certification (the "Class Certification Order"). As a result of the stay previously imposed by the Court, the Class Certification Order does not currently apply to the claims asserted by Plaintiffs against the Fairfield Greenwich Defendants. (Signed by Judge Victor Marrero on 3/6/2013) (djc)
March 6, 2013 Filing 1067 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrett dated 3/4/2013 re: Counsel for Plaintiffs write Accordingly, Plaintiffs agree with the FG Defendants' request that the Class Certification Order should not apply to Plaintiffs' claims against the FG Defendants. As will he further discussed in Plaintiffs' Reply Memorandum in support of final approval of the Settlement, we will request that in the event the Court grants final approval, the ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. So Ordered. (Signed by Judge Victor Marrero on 3/6/2013) (js)
March 6, 2013 Filing 1066 ENDORSED LETTER: addressed to Judge Victor Marrero from Richard E. Brodsky dated 3/5/2013 re: Counsel writes If the Court orders that the Defendants answer the Requests for Admission, the burden on the Defendants will be light and the benefit will be great, assuming that the Defendants follow the mandate of Rule 36 and answer the requests in good faith. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. (Signed by Judge Victor Marrero on 3/6/2013) (js)
March 5, 2013 Mailed Executed Request for Judicial Assistance (Letters of Request) by Magistrate Judge Maas to The Central Authority Canton, Geneva Switzerland by Federal Express (Pursuant to Attorney Pre-Printed Airbill) # 7948 5531 4360. (ml)
March 2, 2013 Filing 1065 NOTICE OF CHANGE OF ADDRESS by David Scott Hoffner on behalf of Andres Piedrahita. New Address: Hoffner PLLC, 325 Broadway, Suite 505, New York, NY, USA 10007, 212/941-8137. (Hoffner, David)
March 1, 2013 Filing 1064 ENDORSED LETTER addressed to Judge Victor Marrero from Richard E. Brodsky dated 2/28/2013 re: am counsel for the Maridom Plaintiffs and am writing as Liaison Counsel for the Standard Chartered Plaintiffs' Steering Committee.This letter requests a conference to determine if, as the Standard Chartered Defendants contend, the Standard Chartered Plaintiffs' recently submitted Requests for Admission need not be answered solely because the deadline for discovery had passed when they were submitted. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Standard Chartered Plaintiffs. (Signed by Judge Victor Marrero on 3/1/2013) (djc)
March 1, 2013 Opinion or Order Filing 1063 DECISION AND ORDER: Accordingly, for substantially the reasons set forth in the Order the Court adopts the Order in its entirety. For the reasons discussed above, it is hereby ORDERED that the Order of Magistrate Judge Frank Maas dated February 15, 2013 (Docket No. 1045) is adopted in its entirety, and the objections (Docket No. 1051) of plaintiffs are DENIED (Signed by Judge Victor Marrero on 3/1/2013) (js)
March 1, 2013 Filing 1062 ENDORSED LETTER: addressed to Judge Victor Marrero from Mark G. Gunha dated 2/28/2013 re: Counsel. ENDORSEMENT: The Anwar plaintiff's are directed to respond by 3/4/2013, by letter not to exceed three (3) pages, to the matter set forth above by the FG defendants. So Ordered. (Signed by Judge Victor Marrero on 3/1/2013) (js)
March 1, 2013 Filing 1061 ENDORSED LETTER: addressed to Judge Victor Marrero from Mark G. Cunha dated 2/28/2013 re: The Fairfield Defendants respectfully request that the Court deny the Trustee's request for a pre-motion conference and consider the Trustee's objection in the context of the Injunction Action that already is pending before the Court. ENDORSEMENT: The Clerk of Court is directed enter into the public record of this action the letter above submitted to the Court by the Fairfield Defendants. So Ordered. (Signed by Judge Victor Marrero on 3/1/2013) (js)
March 1, 2013 Filing 1060 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrell dated 2/28/2013 re: Counsel for Plaintiffs write for the foregoing reasons,a motion by the Trustee to intervene could not succeed, and the request to file it should be denied. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Anwar plaintiffs. (Signed by Judge Victor Marrero on 2/28/2013) (js)
February 28, 2013 Filing 1059 SEALED DOCUMENT placed in vault.(nm)
February 28, 2013 Filing 1058 APPLICATION FOR LETTERS ROGATORY by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Attachments: # 1 Exhibit Attachment to Citco Defendants' Application for Issuance of Letter of Request re Scott Watson-Brown)(Feinberg, Dyanne)
February 28, 2013 Filing 1057 APPLICATION FOR LETTERS ROGATORY by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Attachments: # 1 Exhibit Attachment to Citco Defendants' Application for Issuance of Letter of Request re Peter Schmid)(Feinberg, Dyanne)
February 28, 2013 Filing 1056 APPLICATION FOR LETTERS ROGATORY by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Attachments: # 1 Exhibit Attachment to Citco Defendants' Application for Issuance of Letter of Request re Jan Naess)(Feinberg, Dyanne)
February 27, 2013 Filing 1055 RESPONSE re: 1045 Order,,, Standard Chartered's Response to Plaintiffs' Objection to the Magistrate Judge's Order of February 15, 2013. Document filed by Standard Chartered Bank International (Americas) Limited, Standard Chartered International (USA) Ltd., Standard Chartered PLC, Standard Chartererd Bank. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3, # 4 Exhibit Exhibit 4, # 5 Exhibit Exhibit 5, # 6 Exhibit Exhibit 6)(Nelles, Sharon)
February 26, 2013 Filing 1054 ENDORSED LETTER addressed to Judge Victor Marrero from David J. Sheehan dated 2/26/2013 re: The Trustee requests a conference on his motion to intervene, or that the Court waive this requirement so that the Trustee may file his motion, and lodge his objections to the proposed settlement, as early as possible in advance of the fairness hearing. ENDORSEMENT: The parties are directed to respond by 2-28-13, by letters not to exceed three (3) pages, respectively to the matter set forth above by the SIPA Trustee. (Signed by Judge Victor Marrero on 2/26/2013) (ft)
February 25, 2013 Filing 1053 ENDORSED LETTER addressed to Judge Victor Marrero from Eliot Lauer dated 2/20/2013 re: The law firm of Curtis, Mallet-Prevost, Colt & Mosle LLP ("CMP") is counsel of record for Defendants The Citco Group Limited, Citco Bank Nederland N.V. Dublin Branch, Citco Global Custody, N.V., Citco Fund Services (Europe) B.V., Citco Fund Services (Bermuda) Limited, and Citco (Canada) Inc. This is to advise the Court that, with the consent of the aforementioned Defendants, CMP respectfully requests to withdraw its appearance on their behalf. ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 2/25/2013) (cd)
February 25, 2013 Opinion or Order Filing 1052 DECISION AND ORDER granting as modified 775 Motion to Certify Class, for the reasons set forth above. (Signed by Judge Victor Marrero on 2/22/2013) (cd)
February 20, 2013 Filing 1051 Objection re: 1045 Order,,, Filed by Maridom, Caribetrans and Abbot. Document filed by Maridom Limited. (Brodsky, Richard)
February 20, 2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Richard E. Brodsky to RE-FILE Document 1050 MOTION Set aside Magistrate Judge's Order of Feb. 15, 2013 re: 1045 Order, On behalf of Standard Chartered Plaintiffs. MOTION Set aside Magistrate Judge's Order of Feb. 15, 2013 re: 1045 Order, On behalf of Standard Chartered Plaintiffs. Use the event type Objection (non-motion) found under the event list Other Answers. (db)
February 19, 2013 Filing 1050 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION Set aside Magistrate Judge's Order of Feb. 15, 2013 re: 1045 Order, On behalf of Standard Chartered Plaintiffs. Document filed by Maridom Limited.(Brodsky, Richard) Modified on 2/20/2013 (db).
February 19, 2013 Filing 1049 RESPONSE in Opposition re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation. Derivative Plaintiffs' Supplemental Memorandum in Further Support of Objection to Proposed Settlement. Document filed by Miguel Lomeli, Morning Mist Holdings Limited. (Wallner, Robert)
February 15, 2013 Filing 1048 DECLARATION of Professor Jonathan Harris in Support re: 775 FIRST MOTION to Certify Class.. Document filed by AXA Private Management, Harel Insurance Company Ltd., Harel Insurance Company, Ltd., Pacific West Health Medical Center Inc. Employees Retirement Trust(On behalf of Itself), Pacific West Health Medical Center Inc. Employees Retirement Trust(on Behalf of All Others Similarly Situated), Pacific West Health Medical Center, Inc. Employee's Retirement Trust, Securities & Investment Company Bahrain, St. Stephen's School. (Attachments: # 1 Exhibit 1 through 3, # 2 Exhibit 4 Part 1, # 3 Exhibit 4 Part 2, # 4 Exhibit 5, # 5 Exhibit 6, # 6 Exhibit 7 and 8, # 7 Exhibit 9 through 11, # 8 Exhibit 12 through 14, # 9 Exhibit 15 through 21, # 10 Exhibit 22 and 23, # 11 Exhibit 24, # 12 Exhibit 25 through 27, # 13 Exhibit 28 through 32, # 14 Exhibit 33, # 15 Exhibit 34, # 16 Exhibit 35, # 17 Exhibit 36, # 18 Exhibit 37 through 39, # 19 Exhibit 40, # 20 Exhibit 41 Part 1, # 21 Exhibit 41 Part 2, # 22 Exhibit 42 through 51, # 23 Exhibit 52 through 65, # 24 Exhibit 66 through 70, # 25 Exhibit 71 through 74, # 26 Exhibit 75 through 77, # 27 Exhibit 78 through 81, # 28 Exhibit 82, # 29 Exhibit 83 Part 1, # 30 Exhibit 83 Part 2, # 31 Exhibit 84 and 85, # 32 Exhibit 86 Part 1, # 33 Exhibit 86 Part 2, # 34 Exhibit 87 through 90, # 35 Exhibit 91 Part 1, # 36 Exhibit 91 Part 2, # 37 Exhibit 92 through 103, # 38 Exhibit 104 through 106, # 39 Exhibit 107 and 108, # 40 Exhibit 109 through 113)(Barrett, David)
February 15, 2013 Filing 1047 RESPONSE in Opposition re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation. Derivative Plaintiffs' Objection to Proposed Settlement and Notice of Intention to Appear at Settlement Hearing. Document filed by Morning Mist Holdings Limited, Miguel Lomeli. (Wallner, Robert)
February 15, 2013 Filing 1046 JOINDER to join re: 1044 Memorandum of Law in Opposition to Motion,. Document filed by CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V.. (Attachments: # 1 Exhibit A)(Feinberg, Dyanne)
February 15, 2013 Opinion or Order Filing 1045 ORDER: have reviewed Mr. Brodsky's letter dated February 13, 2013, and see no need for a conference. On the plaintiffs' view of the parties' respective burdens, the defendants' rebuttal reports should have been served on August 2, 2012, because they related to affirmative defenses. For reasons previously recited on the record, I do not necessarily agree. If, however, the reports had been served on the schedule the plaintiffs deem appropriate, the plaintiffs would have had to submit opposition reports in order to have their experts testify to any additional opinions not set forth in their experts' original reports. With this ruling in hand, I hope that counsel will be able to work out any scheduling disputes. If they are unable to do so, they should submit a joint letter requesting a scheduling conference. (Signed by Magistrate Judge Frank Maas on 2/13/2013) (ft)
February 15, 2013 Filing 1044 MEMORANDUM OF LAW in Opposition re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation. PwC Defendants' Limited Objections to Plaintiffs' Motion. Document filed by Pricewaterhouse Coopers Accountants N.V., Pricewaterhousecoopers L.L.P.. (Attachments: # 1 Exhibit A (Part 1), # 2 Exhibit A (Part 2), # 3 Exhibit B)(Duffy, Timothy)
February 14, 2013 Filing 1043 NOTICE of Intent to Appear at Final Hearing. Document filed by Headway Investment Corp.. (Attachments: # 1 Appendix Composite Appendix A)(Mestre, Jorge)
February 13, 2013 Filing 1042 ENDORSED LETTER addressed to Clerk of the Court, from Nico Veldstra, dated 2/7/2013, re: Objection to the proposed partial settlement. I request that the Court withhold the settlement approval until the parties amend the settlement and find a more appropriate balance between the potential Class Members recovery and the reimbursement of Attorney's fees and expenses. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter herein submitted to the Court by class member Nico Veldstra. (Signed by Judge Victor Marrero on 2/13/2013) (ja)
February 13, 2013 Filing 1041 ENDORSED LETTER addressed to Judge Victor Marrero, from Alan H. Rolnick, dated 2/7/2013, re: I write on behalf of Headway Investment Corp. In accordance with the December 17, 2012 Notice of Proposed Partial Settlement of Class Action and Settlement Fairness Hearing, and Motion for Attorneys' Fees and Reimbursement of Expenses, Headway objects to the proposed Settlement between the named Plaintiffs and the Fairfield Settling Defendants in the action styled Anwar v. Fairfield Greenwich Limited, et. al., Case No. 09-CV-118 (VM). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter herein submitted to the Court by Headway Investment Corp. (Signed by Judge Victor Marrero on 2/13/2013) (ja)
February 7, 2013 Filing 1040 NOTICE of Objection to Proposed Settlement. Document filed by Headway Investment Corp.. (Attachments: # 1 Appendix Composite Appendix A)(Mestre, Jorge)
February 5, 2013 Opinion or Order Filing 1039 ENDORSED LETTER addressed to Judge Victor Marrero from Robert C. Finkel dated 2/04/2013 re: Pursuant to my associate's conversation with Your Honor's Law Clerk this morning, I write on behalf of the Representative Plaintiffs in the above action to advise the Court of a correction to Exhibit A of the joint Declaration of Lead Counsel in Support of the Proposed Partial Settlement and Fee and Expense Requests, reflecting the expenses of Boies Schiller & Flexner LLP (Doc. 1035-1). We re-filed the Joint Declaration this afternoon with a corrected Exhibit A. ENDORSEMENT: The Clerk of Court is directed to enter into public record of this action the letter above submitted to the Court by Plaintiffs. SO ORDERED. (Signed by Judge Victor Marrero on 2/05/2013) (ama)
February 4, 2013 Filing 1038 DECLARATION of Lead Counsel (David Barrett, Robert Finkel, and Victor Stewart) in Support re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation., 1034 MOTION for Attorney Fees and Reimbursement of Expenses.. Document filed by Pasha S. Anwar. (Attachments: # 1 Exhibit A (Corrected Ex. 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)(Barrett, David)
February 1, 2013 Filing 1037 NOTICE OF APPEARANCE by Patrick James Somers on behalf of CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Ian Pilgrim (Somers, Patrick)
February 1, 2013 Filing 1036 MEMORANDUM OF LAW in Support re: 1034 MOTION for Attorney Fees and Reimbursement of Expenses.. Document filed by Pasha S. Anwar. (Barrett, David)
February 1, 2013 Filing 1035 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE DOCUMENT #1038) - DECLARATION of Lead Counsel (David Barrett, Robert Finkel, Victor Stewart) in Support re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation., 1034 MOTION for Attorney Fees and Reimbursement of Expenses.. Document filed by Pasha S. Anwar. (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 Errata J, # 11 Exhibit K, # 12 Exhibit L)(Barrett, David) Modified on 2/4/2013 (ldi).
February 1, 2013 Filing 1034 MOTION for Attorney Fees and Reimbursement of Expenses. Document filed by Pasha S. Anwar.(Barrett, David)
February 1, 2013 Filing 1033 MEMORANDUM OF LAW in Support re: 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation.. Document filed by Pasha S. Anwar. (Barrett, David)
February 1, 2013 Filing 1032 MOTION for Settlement Notice of Motion for Final Approval of the Proposed Partial Settlement and Plan of Allocation. Document filed by Pasha S. Anwar.(Barrett, David)
January 31, 2013 Filing 1031 DECLARATION of Jeffrey L. Roether in Support re: 1030 Notice (Other). Document filed by Fairfield Greenwich (Bermuda) Limited, Fairfield Greenwich Limited. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Roether, Jeffrey)
January 31, 2013 Filing 1030 NOTICE of Settling Defendants' Statement Regarding Plaintiffs' Motion for Final Approval of the Proposed Partial Settlement. Document filed by Fairfield Greenwich (Bermuda) Limited, Fairfield Greenwich Limited. (Cunha, Mark)
January 31, 2013 Filing 1029 NOTICE OF APPEARANCE by Andrew Garry Gordon on behalf of CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Ian Pilgrim (Gordon, Andrew)
January 31, 2013 Filing 1028 NOTICE OF APPEARANCE by Allan J. Arffa on behalf of CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Ian Pilgrim (Arffa, Allan)
January 31, 2013 Filing 1027 NOTICE OF APPEARANCE by Leslie Gordon Fagen on behalf of CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Ian Pilgrim (Fagen, Leslie)
January 31, 2013 Filing 1026 NOTICE OF APPEARANCE by Brad Scott Karp on behalf of CITCO Bank Nederland N.V. Dublin Branch, CITCO Fund Services (Europe) B.V., Citco Canada Inc., Citco Fund Services (Bermuda) Limited, Citco Group Limited, Citgo Global Custody N.V., Ian Pilgrim (Karp, Brad)
January 30, 2013 Opinion or Order Filing 1025 EIGHTH ORDER AMENDING THE AMENDED CASE MANAGEMENT PLAN AND SCHEDULING ORDER: IT IS HEREBY ORDERED, that the CMOs are amended as follows: Fact discovery shall be completed by June 30, 2013. By February 28, 2013, all remaining discovery by either Plaintiffs or Defendants shall be served. In the case of foreign deponents whose depositions must be obtained through Letters of Request or similar means, service shall mean submission to this Court of such Letters of Request or their equivalent. By February 15, 2013, each party shall identify each fact witness that it expects to or may call in its case-in-chief at trial, and as further set forth. (Fact Discovery due by 6/30/2013.) (Signed by Magistrate Judge Frank Maas on 1/30/2013). Filed In Associated Cases: 1:09-cv-00118-VM-FM et al. (rjm)
January 29, 2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 1024 MOTION for Joshua Ian Sheptow to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8184150. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bwa)
January 29, 2013 Filing 1024 MOTION for Joshua Ian Sheptow to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8184150. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Pasha S. Anwar. (Attachments: # 1 Proposed Order, # 2 Certificate of Good Standing)(Boruchow, Sashi)
January 25, 2013 Filing 1023 SEALED DOCUMENT placed in vault.(nm)
January 25, 2013 Filing 1022 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barret and Mark G. Cunha dated 1/23/2013 re: The Settling Parties respectfully request that the Court "so order" the foregoing modifications to the Stipulation. These changes do not require any changes to the Notice to Settlement Class Members that has been sent pursuant to the Preliminary Approval Order. We thank the Court for its consideration of this matter. ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 1/24/2013) (cd)
January 24, 2013 Filing 1021 ENDORSED LETTER: addressed to Judge Victor Marrero from Alexander B. Richardson dated 1/10/2013 re: Alexander B. Richardson writes I refer to the Notice of a Proposed Settlement recently sent to Investors in the Fairfield funds. I wish to object to the terms of the proposed settlement in accordance with page 12, paragraph 19 of the notice. I object to the settlement for the following reasons as set forth in this letter. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Alexander B. Richardson. So Ordered. (Signed by Judge Victor Marrero on 1/24/2013) (js)
January 10, 2013 Opinion or Order Filing 1020 ORDER. I decline to strike the relevant portions of Standard Chartered's expert reports or to bar them from introducing testimony regarding reliance on third parties. The plaintiffs, however, shall be permitted to serve one or more reply expert reports limited to the issue of Standard Chartered's reliance on third-parties. The plaintiffs' reply reports must be served by February 8, 2013. (Signed by Magistrate Judge Frank Maas on 1/9/2013). Filed In Associated Cases: 1:09-cv-00118-VM-FM et al. Copies Sent By Chambers to Judge Victor Marrero and all counsel (via ECF). (rjm)
January 4, 2013 Opinion or Order Filing 1019 ORDER: Telephone Conference reset for 1/7/2013 at 05:00 PM, instead of 02:00 PM, before Magistrate Judge Frank Maas. (Signed by Magistrate Judge Frank Maas on 1/3/2013) Copies Sent by Chambers(cd)
January 3, 2013 Opinion or Order Filing 1018 ORDER: The Clerk of Court is directed to consolidate the eight cases captioned above for all pretrial purposes. It is further ordered that all filings in connection with the consolidated action be docketed against the remaining lower number case, 09 Civ. 0118. The Clerk Court is directed to close the referenced higher numbered cases, 12 Civ. 9146, 12 Civ. 9421, 12 Civ. 9422, 12 Civ 9423, 12 Civ. 9424, 12 Civ. 9425, 12 Civ. 9426, and 12 Civ. 9427 as separate actions and remove them from the Court's database. The parties to new tag along actions consolidated above are directed that no motions shall be filed without request for leave of Court to do so. Any such request must point to exceptional factual or legal circumstances compellingly showing cause why the subject of any contemplated motion has not been sufficiently disposed of in prior rulings of this Court in this litigation. (Signed by Judge Victor Marrero on 1/2/2013) (ft) Modified on 1/3/2013 (ft).
January 2, 2013 Filing 1017 SEALED DOCUMENT placed in vault.(mps)
January 2, 2013 Filing 1016 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a HEARING proceeding held on 11/30/12 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-cv-00118-VM-FM et al.(Rodriguez, Somari)
January 2, 2013 Filing 1015 TRANSCRIPT of Proceedings re: HEARING held on 11/30/2012 before Judge Victor Marrero. Court Reporter/Transcriber: Khristine Sellin, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 1/28/2013. Redacted Transcript Deadline set for 2/7/2013. Release of Transcript Restriction set for 4/5/2013.Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(Rodriguez, Somari)
December 27, 2012 Filing 1014 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Diane L. McGimsey dated 12/21/2012 re: I write on behalf of the Standard Chartered Defendants concerning the two letters that Richard Brodsky submitted to the Court on behalf of the Standard Chartered Plaintiffs' Steering Committee this afternoon. Under Your Honor's Individual Rules of Practice, the Standard Chartered Defendants' response to Mr. Brodsky's letters is due no later than December 28, 2012. Given the impending holiday and due to certain professional and personal commitments, the Standard Chartered Defendants respectfully request an extension to Friday, January 4, 2013, to submit their response. ENDORSEMENT: Application granted. (Signed by Magistrate Judge Frank Maas on 12/21/2012) (lmb)
December 27, 2012 Filing 1013 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Richard E. Brodsky dated 12/21/2012 re: This letter requests a conference for the purpose of seeking an order striking certain portions of the expert reports submitted by the Standard Chartered Defendants and barring their experts from offering expert witness testimony on an issue on which they plainly have the burden of proof (reliance on third parties in performing due diligence regarding Fairfield Sentry). ENDORSEMENT: The Court will hold a telephone conference to discuss this issue on 1/7/13 at 2pm. Mr. Brodsky should initiate the call., ( Telephone Conference set for 1/7/2013 at 02:00 PM before Magistrate Judge Frank Maas.) (Signed by Magistrate Judge Frank Maas on 12/26/2012) (lmb)
December 13, 2012 Opinion or Order Filing 1012 AMENDMENT TO STIPULATION OF SETTLEMENT: This Amendment to Stipulation of Settlement amends the Stipulation of Settlement dated as of November 6, 2012 (the "Stipulation") entered into by the Settling Parties, as follows: (1.)In paragraph l.aa.(i), the words "the Named Plaintiffs" are replaced by the words''an Opt-Out"; and (2.)In paragraph 6, the words "Settling Defendants" in both the first and last line are replaced by the words "Released Parties". IN WITNESS WHEREOF, the Settling Parties have executed this Amendment to Stipulation of Settlement by their undersigned counsel effective as of the date set forth below. SO ORDERED. (Signed by Judge Victor Marrero on 12/13/2012) (ama)
December 13, 2012 Opinion or Order Filing 1011 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 12/12/2012 re: We write on behalf of all parties to the partial Settlement in this action that the Court preliminarily approved on November 30,2012. We respectfully request that the Court "so order'' modifications in the Stipulation of Settlement (the "Stipulation") that are both described below and set forth in the enclosed Amendment to Stipulation ("Amendment"). ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiffs on behalf of the parties. SO ORDERED. (Signed by Judge Victor Marrero on 12/13/2012) (ama)
December 7, 2012 Filing 1010 ENDORSED LETTER addressed to Judge Victor Marrero from Mark Kornfeld dated 12/3/2012 re: Counsel write to inform the Court that on 11/29/2012, the Trustee filed an application with the Bankruptcy Court requesting the enforcement of the automatic stay and related stay orders, and issuance of a preliminary injunction. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the Trustee in the bankruptcy court proceedings. (Signed by Judge Victor Marrero on 12/7/2012) (tro)
December 7, 2012 Filing 1009 ENDORSED LETTER addressed to Judge Victor Marrero from David A. Barrett dated 12/4/2012 re: Counsel write in response to yesterday's letter to the Court from Mark A. Kornfeld, counsel for Irving H. Picard, the Trustee for the estate of Bernard L. Madoff Securities LLC. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by the parties. (Signed by Judge Victor Marrero on 12/7/2012) (tro)
November 30, 2012 Minute Entry for proceedings held before Judge Victor Marrero: Settlement Conference held on 11/30/2012. The Court held a settlement conference related to the proposed order for preliminary approval of settlement with the Fairfield Greenwich Defendants. The Court granted the order for preliminary approval of settlement with the Fairfield Greenwich Defendants.(Settlement Conference set for 3/22/2013 at 11:00 AM before Judge Victor Marrero.) (ft) Modified on 12/3/2012 (ft).
November 30, 2012 Opinion or Order Filing 1008 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE OF PROPOSED SETTLEMENT: The Court does hereby preliminarily approve the Stipulation and the Settlement set forth therein, subject to further consideration at the Settlement Hearing described below, and as further set forth in this document. Settlement hearing set for 3/22/2013 at 11:00 AM before Judge Victor Marrero. (Signed by Judge Victor Marrero on 11/30/2012) (cd) Modified on 12/4/2012 (cd).
November 29, 2012 Filing 1007 NOTICE of Amended Proposed Preliminary Approval Order. Document filed by Pasha S. Anwar. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Finkel, Robert)
November 19, 2012 Filing 1006 ENDORSED LETTER: addressed to Judge Victor Marrero from David A. Barrett dated 11/14/2012 re: Counsel writes to schedule a date for the hearing on Plaintiffs' motion for preliminary approval of the settlement with the Fairfield Greenwich Defendants. After consultation with Chambers and all parties Counsel can report that while all other parties are available at 11:30 a.m. on Friday, November 30, the PwC Defendants requested that Counsel convey the following to the Court as set forth in this order. ENDORSEMENT: Request GRANTED. The preliminary approval conference herein is rescheduled to 11/30/2012 at 9:00 a.m. So Ordered. ( Status Conference set for 11/30/2012 at 09:00 AM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 11/16/2012) (js)
November 19, 2012 Filing 1005 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 10/16/12 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-cv-00118-VM-FM et al.(Rodriguez, Somari)
November 19, 2012 Filing 1004 TRANSCRIPT of Proceedings re: CONFERENCE held on 10/16/2012 before Magistrate Judge Frank Maas. Court Reporter/Transcriber: Steven Griffing, (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 12/13/2012. Redacted Transcript Deadline set for 12/26/2012. Release of Transcript Restriction set for 2/22/2013.Filed In Associated Cases: 1:09-cv-00118-VM-FM et al.(Rodriguez, Somari)
November 14, 2012 Filing 1003 ANSWER to Complaint. Document filed by Standard Chartered Bank International (Americas) Limited.(Nelles, Sharon)
November 13, 2012 Filing 1002 ENDORSED LETTER addressed to Magistrate Judge Frank Maas from Diane L. McGimsey dated 11/12/2012 re: Counsel for Standard Chartered Defendants writes to request that the November 21, 2012 and December 10, 2012 deadlines to serve expert rebuttal reports be extended to December 12, 2012. ENDORSEMENT: Approved. (Signed by Magistrate Judge Frank Maas on 11/12/2012) (ago) Modified on 11/13/2012 (ago).
November 7, 2012 Opinion or Order Filing 1001 AGREED ORDER GRANTING THE PLAINTIFFS' MOTION TO AMEND THEIR NAMES NUNC PRO TUNC: It is hereby ORDERED that Plaintiffs' Motion to amend the names of the two named Plaintiffs is GRANTED and that Richmond Company Ltd. shall be known and referred to as Richmon Company Ltd. and Positano Investments Ltd. shall be known and referred to as Positano Investment Ltd. (Signed by Magistrate Judge Frank Maas on 11/7/2012) (mro) .
November 7, 2012 Opinion or Order Filing 1000 AGREED ORDER GRANTING THE PLAINTIFFS' MOTION TO AMEND THEIR NAMES NUNC PRO TUNC: that Plaintiffs' Motion to amend the names of the two named Plaintiffs is GRANTED and that Richmond Company Ltd. shall be known and referred to as Richmon Company Ltd. and Positano Investments Ltd. shall be known and referred to as Positano Investment Ltd. SO ORDERED. (Signed by Magistrate Judge Frank Maas on 11/7/2012) (Docketed in Case Nos. 11-cv-05725, 11-cv-8371) (lnl)
November 7, 2012 Opinion or Order Filing 999 AGREED ORDER GRANTING THE PLAINTIFFS' MOTION TO AMEND THEIR NAMES NUNC PRO TUNC: ORDERED that Plaintiffs' Motion to amend the names of the two named Plaintiffs is GRANTED and that Richmond Company Ltd. shall be known and referred to as Richmon Company Ltd. and Positano Investments Ltd. shall be known and referred to as Positano Investment Ltd. (Signed by Magistrate Judge Frank Maas on 11/7/2012) (fk)
November 6, 2012 Filing 998 MEMORANDUM OF LAW in Support re: 997 MOTION to Approve preliminarily the partial settlement, preliminary certification of the class for purposes of the partial settlement, approval of notice to the class, and scheduling of a settlement hearing.. Document filed by Pasha S. Anwar. (Barrett, David)
November 6, 2012 Filing 997 MOTION to Approve preliminarily the partial settlement, preliminary certification of the class for purposes of the partial settlement, approval of notice to the class, and scheduling of a settlement hearing. Document filed by Pasha S. Anwar.(Barrett, David)
November 6, 2012 Filing 996 SETTLEMENT AGREEMENT. Document filed by Pasha S. Anwar. (Attachments: # 1 Exhibit A, # 2 Exhibit A-1, # 3 Exhibit A-2, # 4 Exhibit A-3, # 5 Exhibit B)(Barrett, David)
October 24, 2012 Opinion or Order Filing 995 DECISION AND ORDER For the reasons stated above, it is hereby ORDERED that the request of plaintiff Joaquina Teresa Barbachano Herrero for leave to file an amended complaint (Docket No. 987) is GRANTED; and it is further ORDERED that the proposed Amended Complaint (Docket No. 990) shall serve as the operative complaint in this matter; and it is further ORDERED that Counts I, III, and V of the Amended Complaint are DISMISSED in accordance with this Decision and Order and the Court's September 12, 2012 Decision and Orde r(Docket No. 937). (Signed by Judge Victor Marrero on 10/24/2012) Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(ago)
October 24, 2012 Filing 994 MOTION removal from service list and request to stop electronic notices Request for Removal from Service List and Request to Stop Electronic Notices. Document filed by Arlete Da Silva Ferreira, Lorrene Da Silva Ferreira.Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-00813-VM(Kellogg, Lawrence)
October 24, 2012 Filing 993 MOTION removal from service list request to stop electronic notices Request for Removal from Service List and Request to Stop Electronic Notices. Document filed by Arlete Da Silva Ferreira, Lorrene Da Silva Ferreira.Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-00813-VM(Frazer, Amanda)
October 24, 2012 Filing 992 SEALED DOCUMENT placed in vault.(mps)
October 22, 2012 Filing 991 ENDORSED LETTER addressed to Magistrate Judge Frank Maas, from Diane L. McGimsey, dated 10/19/2012, re: the Standard Chartered Defendants have requested a brief additional period of time, until November 21, 2012, to serve expert rebuttal reports. Request that the October 31, 2012 deadline in paragraph 1 of the Stipulation and Order be extended to November 21, 2012. ENDORSEMENT: APPLICATION GRANTED. (Signed by Magistrate Judge Frank Maas on 10/21/2012) (ja)
October 22, 2012 Filing 990 Letter addressed to Mr. Jonathan Truppman from H. Eugene Lindsey, III dated 10/19/2012 re: Counsel writes to enclose an additional copy ofthe proposed Amended Complaint of Plaintiff, Joaquina Teresa Barbachano Herrero, with corrected Exhibits F and G.. Document filed by Joaquina Teresa Barbachano Herrero.Filed In Associated Cases: 1:09-cv-00118-VM-FM, 1:11-cv-03553-VM(ft)
October 17, 2012 Opinion or Order Filing 989 DISCOVERY ORDER: It is hereby ORDERED that the parties comply with all discovery rulings made during the conference held on October 16,2012. (Signed by Magistrate Judge Frank Maas on 10/17/2012) (ago)
October 16, 2012 Minute Entry for proceedings held before Magistrate Judge Frank Maas: Discovery Conference held on 10/16/2012. (cd)
October 15, 2012 Opinion or Order Filing 988 DISCOVERY ORDER: I have reviewed the documents furnished by Mr. Brodsky, as counsel for the Standard Chartered Plaintiffs' Steering Committee, on August 29, 2012, along with both sides' letters concerning the appropriateness of the Standard Chartered Defendants' confidentiality designations. I agree with Mr. Brodsky's assertion that the Standard Chartered Defendants should not have designated the entirety of their production as "Confidential" -even on an interim basis. That said, the Standard Chartered Defendants' agreement that the documents challenged by the Committee may be used for purposes of summary judgment or trial without restriction obviates any real prejudice resulting from their prior designation as "Confidential." Accordingly, with one exception, I decline to re-designate any of those documents.