Orange County Employees' Retirement System et al v. Carlson et al

Justia Dockets & Filings Second Circuit New York Southern District Orange County Employees' Retirement System et al v. Carlson et al

Orange County Employees' Retirement System et al v. Carlson et al

Plaintiff:	Orange County Employees' Retirement System, Louisiana Sheriffs' Pension and Relief Fund, Government of Guam Retirement Fund and Southeastern Pennsylvania Transportation Authority
Defendant:	Peter M. Carlson, Ross E. Jeffries, Jr., David M. Julian, G. Kennedy Thompson, Mark C. Treanor, Thomas J. Wurtz, Donald K. Truslow, John D. Baker, II, Robert J. Brown, Peter C. Browning, John T Casteen, III, Jerome A. Gitt, William H. Goodwin, Jr., Maryellen C. Herringer, Robert A. Ingram, Donald M. James, Mackey J. Mcdonald, Joseph Neubauer, Timothy D. Proctor, Ernest S. Rady, Van L. Richey, Ruth G. Shaw, Lanty L. Smith, John C. Whitaker, Jr., Dona Davis Young, Wachovia Corporation, Wachovia Capital Markets, LLC, Wachovia Securities, LLC, Wachovia Capital Trust IV, Wachovia Capital Trust IX, Wachovia Bank, N.A., Wells Fargo & Company, ABN AMRO Incorporated, A.G. Edwards & Sons, Inc., Bank of America Corporation, Banc of America Securities LLC, Barclays Capital Inc, BB&T Capital Markets, B.C. Ziegler and Company, Bear, Stearns & Co., Inc., BNP Paribas Securities Corp., Cabrera Capital Markets, LLC, Castleoak Securities, L.P., Charles Schwab & Co., Inc., C.L. King & Associates, Inc., Citigroup Global Markets, Inc., Comerica Securities Inc., Countrywide Securities Corporation, Credit Suisse Securities (USA) LLC, D.A. Davidson & Co., Davenport & Company LLC, Deutsche Bank Securities Inc., E-Trade Securities LLC, Ferris, Baker Watts Incorporated, Fidelity Capital Markets Services, Fifth Third Securities, Inc., Fixed Income Securities, L.P., FTN Financial Securities Corp., Goldman, Sachs & Co., Greenwich Capital Markets, Inc., Guzman & Company, Howe Barnes Hoefer & Arnett, Inc, H&R Block Financial Advisors, Inc., HSBC Securities (USA) Inc., Jackson Securities, LLC, Janney Montgomery Scott LLC, J.B. Hanauer & Co., Jefferies & Company, Inc., J.J.B. Hilliard, W.L. Lyons, Inc., J.P. Morgan Chase, J.P. Morgan Securities Inc., JVB Financial Group, LLC, Keefe, Bruyette & Woods, Inc., KeyBanc Capital Markets, Loop Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mesirow Financial Inc, Morgan Keegan & Company, Inc., Morgan Stanley & Co., Incorporated, M.R. Beal & Company, Muriel Siebert & Co., Inc., NatCity Investments, Inc, Oppenheimer & Co., Inc., Pershing LLC, Piper Jaffray & Co., Popular Securities, Inc, RBC Capital Markets Corporation, RBC Dain Rauscher Inc., Samuel A Ramirez & Company, Inc, Raymond James & Associates, Inc., Robert W. Baird & Co., Ross, Sinclair & Associates, LLC, Ryan Beck & Co., Inc., Sterne, Agee & Leach, Inc, Stifel, Nicolaus & Company, Incorporated, Suntrust Capital Markets, Inc., TD Ameritrade, Inc., Toussaint Capital Partners, LLC, UBS Securities LLC, Utendahl Capital Partners, L.P., Wedbush Morgan Securities Inc., Wells Fargo Securities, LLC, William Blair & Company L.L.C., The Williams Capital Group, L.P. and KPMG LLP
Case Number:	1:2009cv06374
Filed:	July 16, 2009
Court:	US District Court for the Southern District of New York
Office:	Foley Square Office
County:	XX Out of State
Presiding Judge:	Unassigned
Nature of Suit:	Plaintiff
Cause of Action:	15 U.S.C. § 78 m(a) Securities Exchange Act
Jury Demanded By:	Plaintiff

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Plaintiff: Orange County Employees' Retirement System
Represented By:	Blair Allen Nicholas
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Plaintiff: Louisiana Sheriffs' Pension and Relief Fund
Represented By:	Blair Allen Nicholas
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Plaintiff: Government of Guam Retirement Fund
Represented By:	Blair Allen Nicholas
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Plaintiff: Southeastern Pennsylvania Transportation Authority
Represented By:	Blair Allen Nicholas
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Defendant: Peter M. Carlson
Represented By:	Paul Jeffrey Katz
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Defendant: Ross E. Jeffries, Jr.
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Defendant: David M. Julian
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Defendant: G. Kennedy Thompson
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Defendant: Mark C. Treanor
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Defendant: Thomas J. Wurtz
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Defendant: Donald K. Truslow
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Defendant: John D. Baker, II
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Defendant: Robert J. Brown
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Defendant: Peter C. Browning
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Defendant: John T Casteen, III
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Defendant: Jerome A. Gitt
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Defendant: William H. Goodwin, Jr.
Represented By:	Paul Jeffrey Katz
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Defendant: Maryellen C. Herringer
Represented By:	Paul Jeffrey Katz
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Defendant: Robert A. Ingram
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Defendant: Donald M. James
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Defendant: Mackey J. Mcdonald
Represented By:	Paul Jeffrey Katz
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Defendant: Joseph Neubauer
Represented By:	Paul Jeffrey Katz
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Defendant: Timothy D. Proctor
Represented By:	Paul Jeffrey Katz
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Defendant: Ernest S. Rady
Represented By:	Paul Jeffrey Katz
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Defendant: Van L. Richey
Represented By:	Paul Jeffrey Katz
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Defendant: Ruth G. Shaw
Represented By:	Paul Jeffrey Katz
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Defendant: Lanty L. Smith
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Defendant: John C. Whitaker, Jr.
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Defendant: Dona Davis Young
Represented By:	Paul Jeffrey Katz
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Defendant: Wachovia Corporation
Represented By:	Paul Jeffrey Katz
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Defendant: Wachovia Capital Markets, LLC
Represented By:	Paul Jeffrey Katz
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Defendant: Wachovia Securities, LLC
Represented By:	Paul Jeffrey Katz
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Defendant: Wachovia Capital Trust IV
Represented By:	Paul Jeffrey Katz
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Defendant: Wachovia Capital Trust IX
Represented By:	Paul Jeffrey Katz
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Defendant: Wachovia Bank, N.A.
Represented By:	Paul Jeffrey Katz
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Defendant: Wells Fargo & Company
Represented By:	Paul Jeffrey Katz
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Defendant: ABN AMRO Incorporated
Represented By:	Marc T.G. Dworsky
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Defendant: A.G. Edwards & Sons, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Bank of America Corporation
Represented By:	Marc T.G. Dworsky
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Defendant: Banc of America Securities LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Barclays Capital Inc
Represented By:	Marc T.G. Dworsky
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Defendant: BB&T Capital Markets
Represented By:	Marc T.G. Dworsky
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Defendant: B.C. Ziegler and Company
Represented By:	Marc T.G. Dworsky
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Defendant: Bear, Stearns & Co., Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: BNP Paribas Securities Corp.
Represented By:	Marc T.G. Dworsky
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Defendant: Cabrera Capital Markets, LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Castleoak Securities, L.P.
Represented By:	Marc T.G. Dworsky
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Defendant: Charles Schwab & Co., Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: C.L. King & Associates, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Citigroup Global Markets, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Comerica Securities Inc.
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Defendant: Countrywide Securities Corporation
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Defendant: Credit Suisse Securities (USA) LLC
Represented By:	Marc T.G. Dworsky
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Defendant: D.A. Davidson & Co.
Represented By:	Marc T.G. Dworsky
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Defendant: Davenport & Company LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Deutsche Bank Securities Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: E-Trade Securities LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Ferris, Baker Watts Incorporated
Represented By:	Marc T.G. Dworsky
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Defendant: Fidelity Capital Markets Services
Represented By:	Marc T.G. Dworsky
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Defendant: Fifth Third Securities, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Fixed Income Securities, L.P.
Represented By:	Marc T.G. Dworsky
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Defendant: FTN Financial Securities Corp.
Represented By:	Marc T.G. Dworsky
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Defendant: Goldman, Sachs & Co.
Represented By:	Marc T.G. Dworsky
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Defendant: Greenwich Capital Markets, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Guzman & Company
Represented By:	Marc T.G. Dworsky
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Defendant: Howe Barnes Hoefer & Arnett, Inc
Represented By:	Marc T.G. Dworsky
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Defendant: H&R Block Financial Advisors, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: HSBC Securities (USA) Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Jackson Securities, LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Janney Montgomery Scott LLC
Represented By:	Marc T.G. Dworsky
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Defendant: J.B. Hanauer & Co.
Represented By:	Marc T.G. Dworsky
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Defendant: Jefferies & Company, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: J.J.B. Hilliard, W.L. Lyons, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: J.P. Morgan Chase
Represented By:	Marc T.G. Dworsky
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Defendant: J.P. Morgan Securities Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: JVB Financial Group, LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Keefe, Bruyette & Woods, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: KeyBanc Capital Markets
Represented By:	Marc T.G. Dworsky
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Defendant: Loop Capital Markets, LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By:	Marc T.G. Dworsky
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Defendant: Mesirow Financial Inc
Represented By:	Marc T.G. Dworsky
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Defendant: Morgan Keegan & Company, Inc.
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Defendant: Morgan Stanley & Co., Incorporated
Represented By:	Marc T.G. Dworsky
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Defendant: M.R. Beal & Company
Represented By:	Marc T.G. Dworsky
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Defendant: Muriel Siebert & Co., Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: NatCity Investments, Inc
Represented By:	Marc T.G. Dworsky
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Defendant: Oppenheimer & Co., Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Pershing LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Piper Jaffray & Co.
Represented By:	Marc T.G. Dworsky
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Defendant: Popular Securities, Inc
Represented By:	Marc T.G. Dworsky
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Defendant: RBC Capital Markets Corporation
Represented By:	Marc T.G. Dworsky
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Defendant: RBC Dain Rauscher Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Samuel A Ramirez & Company, Inc
Represented By:	Marc T.G. Dworsky
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Defendant: Raymond James & Associates, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Robert W. Baird & Co.
Represented By:	Marc T.G. Dworsky
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Defendant: Ross, Sinclair & Associates, LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Ryan Beck & Co., Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Sterne, Agee & Leach, Inc
Represented By:	Marc T.G. Dworsky
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Defendant: Stifel, Nicolaus & Company, Incorporated
Represented By:	Marc T.G. Dworsky
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Defendant: Suntrust Capital Markets, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: TD Ameritrade, Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Toussaint Capital Partners, LLC
Represented By:	Marc T.G. Dworsky
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Defendant: UBS Securities LLC
Represented By:	Marc T.G. Dworsky
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Defendant: Utendahl Capital Partners, L.P.
Represented By:	Marc T.G. Dworsky
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Defendant: Wedbush Morgan Securities Inc.
Represented By:	Marc T.G. Dworsky
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Defendant: Wells Fargo Securities, LLC
Represented By:	Paul Jeffrey Katz
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Defendant: William Blair & Company L.L.C.
Represented By:	Marc T.G. Dworsky
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Defendant: The Williams Capital Group, L.P.
Represented By:	Marc T.G. Dworsky
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Defendant: KPMG LLP
Represented By:	Marc T.G. Dworsky
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