Alki Partners, L.P. et al v. Vatas Holding Gmbh et al
| Alki Partners, L.P. and Alki Fund, Ltd |
| Vatas Holding Gmbh, Lars Windhorst, Peter A. Ogrisek, Sapinda International Ltd, Robert B. Hersov, Credit Suisse Group AG and Frederick Ruiz |
| 1:2009cv08125 |
| September 23, 2009 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| XX Out of State |
| Deborah A Batts |
| Securities/Commodities |
| 15 U.S.C. § 78 m(a) Securities Exchange Act |
| Plaintiff |
Docket Report
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This docket was last retrieved on July 13, 2012. A more recent docket listing may be available from PACER.
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| Filing 53 SATISFACTION OF JUDGMENT #12,0871 entered In favor of Credit Suisse Group AG Against Alki Partners, L.P., In favor of Credit Suisse Group AG Against Alki Fund, Ltd in the amount of $298.75. Judgment satisfied on 7/13/2012. Document filed by Credit Suisse Group AG.(lmb) |
| Filing 52 SATISFACTION OF JUDGMENT re: #47 Clerk's Judgment, in the amount of $234.25. Judgment satisfied on 6/12/2012.. Document filed by Robert B. Hersov, Peter A. Ogrisek, Lars Windhorst.(cd) |
| Filing 51 Costs Taxed as to #49 USCA Mandate, USCA Case Number 11-1071-cv. in the amount of $234.25. Docketed as Judgment #12,0872 on 5/30/2012 in favor of Appellees Lars Windhorst, Peter A. Ogrisek adn Robert B. Hersov against Appellants Alki Partners, L.P. Alki Fund, Ltd.. (nd) |
| Filing 50 Costs Taxed as to #49 USCA Mandate, USCA Case Number 11-1071-cv. in the amount of $298.75. Docketed as Judgment #12,0871 on 5/30/2012 in favor of Appellee Credit Suisse Group AG. against Appellants Alki Partners, L.P. Alki Fund, Ltd.. (nd) |
| Filing 49 MANDATE of USCA (Certified Copy) as to #48 Notice of Appeal filed by Alki Fund, Ltd, Alki Partners, L.P. USCA Case Number 11-1071-cv. 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: 04/11/2012. (nd) |
| Transmission of USCA Mandate/Order to the District Judge re: #49 USCA Mandate,. (nd) |
| Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #48 Notice of Appeal. (tp) |
| Transmission of Notice of Appeal to the District Judge re: #48 Notice of Appeal. (tp) |
| Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #44 Memorandum of Law in Support of Motion filed by Credit Suisse Group AG, #30 Memorandum of Law in Support of Motion filed by Frederick Ruiz, #22 MOTION to Dismiss First Amended Complaint filed by Sapinda International Ltd, Lars Windhorst, Robert B. Hersov, Peter A. Ogrisek, #47 Clerk's Judgment, #46 Order on Motion to Dismiss, #42 Reply Memorandum of Law in Support of Motion, filed by Sapinda International Ltd, Lars Windhorst, Robert B. Hersov, Peter A. Ogrisek, #39 Stipulation and Order, Set Motion and R&R Deadlines/Hearings, #28 MOTION to Dismiss plaintiffs' amended complaint filed by Frederick Ruiz, #43 Declaration in Support of Motion, filed by Sapinda International Ltd, Lars Windhorst, Robert B. Hersov, Peter A. Ogrisek, #32 Stipulation and Order, Set Motion and R&R Deadlines/Hearings, #23 Memorandum of Law in Support of Motion filed by Sapinda International Ltd, Lars Windhorst, Robert B. Hersov, Peter A. Ogrisek, #34 Endorsed Letter, #24 Declaration in Support of Motion, filed by Sapinda International Ltd, Lars Windhorst, Robert B. Hersov, Peter A. Ogrisek, #12 Stipulation and Order, Set Deadlines/Hearings, #29 Declaration in Support of Motion filed by Frederick Ruiz, #5 Stipulation and Order, Set Deadlines/Hearings, #15 MOTION to Dismiss Plaintiff's Complaint filed by Frederick Ruiz, #21 MOTION to Dismiss First Amended Complaint filed by Sapinda International Ltd, Lars Windhorst, Robert B. Hersov, Peter A. Ogrisek, #25 Declaration in Support of Motion, filed by Sapinda International Ltd, Lars Windhorst, Robert B. Hersov, Peter A. Ogrisek, #18 Amended Complaint, filed by Alki Fund, Ltd, Alki Partners, L.P., #17 Stipulation and Order, Set Deadlines, #19 Stipulation and Order, Set Deadlines, #45 Reply Memorandum of Law in Support of Motion filed by Frederick Ruiz, #41 Endorsed Letter, #33 Notice of Change of Address filed by Frederick Ruiz, #48 Notice of Appeal filed by Alki Fund, Ltd, Alki Partners, L.P., #14 Memorandum of Law in Support of Motion filed by Credit Suisse Group AG, #3 Affidavit of Service Complaints filed by Alki Fund, Ltd, Alki Partners, L.P., #4 Affidavit of Service Other, filed by Alki Fund, Ltd, Alki Partners, L.P., #13 MOTION to Dismiss filed by Credit Suisse Group AG, #35 Stipulation and Order, Set Deadlines, #26 MOTION to Dismiss the First Amended Complaint filed by Credit Suisse Group AG, #31 Order on Motion to Dismiss, #40 Endorsed Letter, #10 Affidavit of Service Complaints filed by Alki Fund, Ltd, Alki Partners, L.P., #11 Affidavit of Service Complaints filed by Alki Fund, Ltd, Alki Partners, L.P., #8 Stipulation and Order, Set Deadlines/Hearings, #20 Endorsed Letter, #36 Memorandum of Law in Opposition to Motion, filed by Alki Fund, Ltd, Alki Partners, L.P., #7 Stipulation and Order, Set Deadlines/Hearings, #38 Notice of Appearance filed by Alki Fund, Ltd, Alki Partners, L.P., #6 Affidavit of Service Complaints filed by Alki Fund, Ltd, Alki Partners, L.P., #9 Acknowledgment of Service Complaints filed by Alki Fund, Ltd, Alki Partners, L.P., #37 Declaration in Opposition to Motion, filed by Alki Fund, Ltd, Alki Partners, L.P., #27 Memorandum of Law in Support of Motion filed by Credit Suisse Group AG, #16 Memorandum of Law in Support of Motion filed by Frederick Ruiz were transmitted to the U.S. Court of Appeals. (tp) |
| Filing 48 NOTICE OF APPEAL from #47 Clerk's Judgment. Document filed by Alki Fund, Ltd, Alki Partners, L.P. Filing fee $ 455.00, receipt number E 932065. (tp) |
| Filing 47 CLERK'S JUDGMENT That for the reasons stated in the Court's Memorandum and Order dated February 17, 2011, defendants motion to dismiss the complaint is granted; plaintiffs federal claims are dismissed with prejudice as to all defendants;leave to amend the complaint is denied, and the Court declines to exercise supplemental jurisdiction over plaintiffs state law claims, and those claims are dismissed without prejudice as to all defendants; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 2/18/11) (Attachments: #1 Notice of Right to Appeal)(dt) |
Filing 46
MEMORANDUM AND ORDER: For the foregoing reasons, Defendants' Motions to Dismiss the Complaint are GRANTED. Plaintiffs' federal claims are DISMISSED WITH PREJUDICE as to all Defendants. Leave to amend the Complaint is DENIED. The Court DECLINES to exercise supplemental jurisdiction over Plaintiffs' state law claims, and those claims are DISMISSED WITHOUT PREJUDICE as to all Defendants. The Clerk of Court is directed to CLOSE the docket in this case. (Signed by Judge Deborah A. Batts on 2/17/2011) (jfe)
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| Transmission to Judgments and Orders Clerk. Transmitted re: #46 Order on Motion to Dismiss,,,,,,,,, to the Judgments and Orders Clerk. (jfe) |
| Filing 45 REPLY MEMORANDUM OF LAW in Support re: #28 MOTION to Dismiss plaintiffs' amended complaint.. Document filed by Frederick Ruiz. (Sims, Michael) |
| Filing 44 MEMORANDUM OF LAW in Support re: #26 MOTION to Dismiss the First Amended Complaint.. Document filed by Credit Suisse Group AG. (Solomon, Andrew) |
| Filing 43 DECLARATION of James A. Beha II in Support re: #21 MOTION to Dismiss First Amended Complaint.. Document filed by Sapinda International Ltd, Robert B. Hersov, Lars Windhorst, Peter A. Ogrisek. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Beha, James) |
| Filing 42 REPLY MEMORANDUM OF LAW in Support re: #21 MOTION to Dismiss First Amended Complaint.. Document filed by Sapinda International Ltd, Robert B. Hersov, Lars Windhorst, Peter A. Ogrisek. (Attachments: #1 Appendix 1, #2 Appendix 2, #3 Appendix 3)(Beha, James) |
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Filing 41
ENDORSED LETTER addressed to Judge Deborah A. Batts from Andrew T. Solomon dated 6/2/2010 re: Counsel writes requesting permission to file a 15-page reply memorandum in further support of Credit Suisse's motion to dismiss the complaint. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Deborah A. Batts on 6/2/2010) (tve) Modified on 6/4/2010 (ae).
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Filing 40
ENDORSED LETTER addressed to Judge Deborah A. Batts from James A. Beha, II dated 6/1/2010 re: Counsel request permission to file a reply memorandum of approximately 24 pages in further support of the motion made by these defendants seeking to dismiss the complaint. ENDORSEMENT: Granted. So Ordered. (Signed by Judge Deborah A. Batts on 6/1/2010) (jfe)
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| Filing 39 STIPULATION: It is hereby stipulated and agreed by and between the parties that the time for all defendants to serve ands file their reply in further support of their respective motions to dismiss the First Amended Complaint is extended up to and including June 4, 2010. (Signed by Judge Deborah A. Batts on 5/26/2010) (jpo) |
| Filing 38 NOTICE OF APPEARANCE by Brian Dale Graifman on behalf of Alki Partners, L.P., Alki Fund, Ltd (Graifman, Brian) |
| Filing 37 DECLARATION of Martin H. Kaplan in Opposition re: #28 MOTION to Dismiss plaintiffs' amended complaint., #21 MOTION to Dismiss First Amended Complaint., #26 MOTION to Dismiss the First Amended Complaint.. Document filed by Alki Partners, L.P., Alki Fund, Ltd. (Attachments: #1 Exhibit A) Form ADV excerpts, #2 Exhibit B) Nord v. Sapinda Judgment, #3 Exhibit C) Windhorst Indictment, #4 Exhibit D) SEC Sched 13G 11/9/06, #5 Exhibit E) SEC Sched 13G 6/26/07, #6 Exhibit F) SEC Sched 13G/A 7/5/07, #7 Exhibit G) Sched 13D 12/20/07)(Graifman, Brian) |
| Filing 36 MEMORANDUM OF LAW in Opposition re: #28 MOTION to Dismiss plaintiffs' amended complaint., #21 MOTION to Dismiss First Amended Complaint., #26 MOTION to Dismiss the First Amended Complaint.. Document filed by Alki Partners, L.P., Alki Fund, Ltd. (Graifman, Brian) |
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Filing 35
STIPULATION AND ORDER AND AGREED that Plaintiffs time to respond to the motions to dismiss the First Amended Complaint will be extended up to and including May 7, 2010, and the time to file any replies will be extended up to and including May 28,2010. SO ORDERED. ( Replies due by 5/28/2010, Responses due by 5/7/2010) (Signed by Judge Deborah A. Batts on 4/28/2010) (jmi)
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Filing 34
ENDORSED LETTER addressed to Judge Deborah A. Batts from Robert L. Herskovits dated 4/27/2010 re: Plaintiff seek permission to file a single brief responding to the three separate motions to dismiss, and request a page extension for such a brief of up to 40 pages. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Deborah A. Batts on 4/28/2010) (jmi)
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| Filing 33 NOTICE OF CHANGE OF ADDRESS by Michael Erik Sims on behalf of Frederick Ruiz. New Address: Zeichner Ellman & Krause LLP, 575 Lexington Avenue, New York, New York, U.S.A. 10022, 212-223-0400. (Sims, Michael) |
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Filing 32
STIPULATION AND ORDER: It is stipulated and agreed that plaintiffs time to respond to the motions to dismiss the First Amended Complaint will be extended up to and including April 30, 2010 and the time to file any replies will be extended up to and including May 17, 2010. So Ordered (Signed by Judge Deborah A. Batts on 3/24/2010) (js)
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Filing 31
ORDER: In light of Plaintiffs filing the February 19, 2010 First Amended Complaint in this action, as well as Defendants' filing of Motions to Dismiss the First Amended Complaint, the Court DENIES Defendants' earlier Motions to Dismiss the original Complaint (Docket Numbers 13 and 15) as moot. So Ordered. (Signed by Judge Deborah A. Batts on 3/24/2010) (js)
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| Filing 30 MEMORANDUM OF LAW in Support re: #28 MOTION to Dismiss plaintiffs' amended complaint.. Document filed by Frederick Ruiz. (Sims, Michael) |
| Filing 29 DECLARATION of Frederic Ruiz in Support re: #28 MOTION to Dismiss plaintiffs' amended complaint.. Document filed by Frederick Ruiz. (Sims, Michael) |
| Filing 28 MOTION to Dismiss plaintiffs' amended complaint. Document filed by Frederick Ruiz. Responses due by 4/19/2010(Sims, Michael) |
| Filing 27 MEMORANDUM OF LAW in Support re: #26 MOTION to Dismiss the First Amended Complaint.. Document filed by Credit Suisse Group AG. (Sullivan, Michael) |
| Filing 26 MOTION to Dismiss the First Amended Complaint. Document filed by Credit Suisse Group AG.(Sullivan, Michael) |
| Filing 25 DECLARATION of Christopher Allegaert in Support re: #21 MOTION to Dismiss First Amended Complaint.. Document filed by Sapinda International Ltd, Robert B. Hersov, Lars Windhorst, Peter A. Ogrisek. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit)(Allegaert, Christopher) |
| Filing 24 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Christopher Allegaert in Support re: #21 MOTION to Dismiss First Amended Complaint.. Document filed by Sapinda International Ltd, Robert B. Hersov, Lars Windhorst, Peter A. Ogrisek. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit)(Allegaert, Christopher) Modified on 3/11/2010 (kco). |
| Filing 23 MEMORANDUM OF LAW in Support re: #21 MOTION to Dismiss First Amended Complaint.. Document filed by Sapinda International Ltd, Robert B. Hersov, Lars Windhorst, Peter A. Ogrisek. (Allegaert, Christopher) |
| Filing 22 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION to Dismiss First Amended Complaint. Document filed by Sapinda International Ltd, Robert B. Hersov, Lars Windhorst, Peter A. Ogrisek. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit)(Allegaert, Christopher) Modified on 3/8/2010 (db). |
| Filing 21 MOTION to Dismiss First Amended Complaint. Document filed by Sapinda International Ltd, Robert B. Hersov, Lars Windhorst, Peter A. Ogrisek.(Allegaert, Christopher) |
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Filing 20
ENDORSED LETTER addressed to Judge Deborah A. Batts from Allegaert Berger & Vogel LLP dated 3/1/10 re: Request for permission to file a Memorandum of Law of approximately 32 pages in support of a motion we intend to serve shortly to dismiss all claims against the parties we represent. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Deborah A. Batts on 3/4/10) (db)
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Filing 19
STIPULATION AND ORDER EXTENDING TIME AND AGREED that (a) the time for defendants Credit Suisse Group AG and Frederic Ruiz to file their respective motions to dismiss the First Amended Complaint is extended to March 17, 2010; (b) the time for plaintiffs to file their opposition to these motions is extended to April 19, 2010; and (c) the time for Credit Suisse AG and Frederic Ruiz to file their reply papers in further of support of their motions is extended to May 3, 2010. ( Motions due by 3/17/2010, Replies due by 5/3/2010, Responses due by 4/19/2010) (Signed by Judge Deborah A. Batts on 3/1/2010) (jmi)
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| Filing 18 FIRST AMENDED COMPLAINT amending 1 Complaint, against Sapinda International Ltd, Robert B. Hersov, Credit Suisse Group AG, Frederick Ruiz, Vatas Holding Gmbh, Lars Windhorst, Peter A. Ogrisek.Document filed by Alki Partners, L.P., Alki Fund, Ltd. Related document: 1 Complaint, filed by Alki Fund, Ltd, Alki Partners, L.P..(mbe) |
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Filing 17
STIPULATION AND ORDER AND AGREED that Plaintiffs will correct a drafting error in the Complaint by filing a First Amended Complaint on or before February 19, 2010. IT IS FURTHER STIPULATED AND AGREED that defendants Credit Suisse Group AG and Frederic Ruiz will respond to the First Amended Complaint on or before March 3,2010. IT IS FURTHER STIPULATED AND AGREED that Plaintiffs time to respond to any motions to dismiss the First Amended Complaint will be extended up to and including April 5, 2010, and the time to file any replies will be extended up to and including April 19,2010. ( Amended Pleadings due by 2/19/2010, Replies due by 4/19/2010., Responses due by 4/5/2010) (Signed by Judge Deborah A. Batts on 2/11/2010) (jmi)
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| Filing 16 MEMORANDUM OF LAW in Support re: #15 MOTION to Dismiss Plaintiff's Complaint.. Document filed by Frederick Ruiz. (Krause, Stuart) |
| Filing 15 MOTION to Dismiss Plaintiff's Complaint. Document filed by Frederick Ruiz. (Attachments: #1 Affidavit Declaration of Stuart A. Krause, #2 Exhibit A, #3 Affidavit of service by first class mail of notice of motion and declaration with exhibit)(Krause, Stuart) |
| Filing 14 MEMORANDUM OF LAW in Support re: #13 MOTION to Dismiss.. Document filed by Credit Suisse Group AG. (Sullivan, Michael) |
| Filing 13 MOTION to Dismiss. Document filed by Credit Suisse Group AG.(Sullivan, Michael) |
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Filing 12
STIPULATION AND ORDER, Sapinda International Ltd answer due 3/5/2010; Robert B. Hersov answer due 3/5/2010; Lars Windhorst answer due 3/5/2010; Peter A. Ogrisek answer due 3/5/2010. (Signed by Judge Deborah A. Batts on 1/20/10) (djc)
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| Filing 11 AFFIDAVIT OF SERVICE. Peter A. Ogrisek served on 9/12/2009, answer due 2/19/2010. Service was made by mail. Document filed by Alki Partners, L.P.; Alki Fund, Ltd. (Herskovits, Robert) |
| Filing 10 AFFIDAVIT OF SERVICE. Vatas Holding Gmbh served on 12/5/2009, answer due 12/26/2009. Service was accepted by Janine Mattuch. Document filed by Alki Partners, L.P.; Alki Fund, Ltd. (Herskovits, Robert) |
| Filing 9 ACKNOWLEDGMENT OF SERVICE. Service was accepted by Frederic Ruiz. Document filed by Alki Partners, L.P., Alki Fund, Ltd. (Herskovits, Robert) |
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Filing 8
STIPULATION AND ORDER EXTENDING TIME TO ANSWER: It is stipulated and agreed that the time for defendants Credit Suisse Group AG and Frederic Ruiz to respond to the complaint is extended to and including February 1, 2010. So Ordered (Signed by Judge Deborah A. Batts on 1/4/2010) (js)
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| Filing 7 STIPULATION, re appearing defendants time to answer the complaint: Sapinda International Ltd answer due 2/19/2010; Robert B. Hersov answer due 2/19/2010; Lars Windhorst answer due 2/19/2010; Peter A. Ogrisek answer due 2/19/2010. (Signed by Judge Deborah A. Batts on 1/4/10) (cd) |
| Filing 6 AFFIDAVIT OF SERVICE. Credit Suisse Group AG served on 11/20/2009, answer due 1/14/2010. Service was made by mail. Document filed by Alki Partners, L.P.; Alki Fund, Ltd. (Herskovits, Robert) |
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Filing 5
STIPULATION AND ORDER EXTENDING TIME TO ANSWER, Credit Suisse Group AG answer to complaint due 1/14/2010. (Signed by Judge Deborah A. Batts on 12/1/09) (cd)
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| Filing 4 AFFIDAVIT OF SERVICE of Summons, complaint, civil cover sheet and Rule 7.1 Statement served on Robert B. Hersov on November 20, 2009. Service was made by mail. Document filed by Alki Partners, L.P., Alki Fund, Ltd. (Attachments: #1 Exhibit Exhibit A to affidavit of service)(Herskovits, Robert) |
| Filing 3 AFFIDAVIT OF SERVICE. Sapinda International Ltd served on 10/23/2009, answer due 11/12/2009. Service was accepted by Verifiedes Business Center, Receptionist. Document filed by Alki Partners, L.P.; Alki Fund, Ltd. (Herskovits, Robert) |
| Filing 2 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Alki Partners, L.P., Alki Fund, Ltd.(ama) |
| Filing 1 COMPLAINT against Sapinda International Ltd, Robert B. Hersov, Credit Suisse Group AG, Frederick Ruiz, Vatas Holding Gmbh, Lars Windhorst, Peter A. Ogrisek. (Filing Fee $ 350.00, Receipt Number 700503)Document filed by Alki Partners, L.P., Alki Fund, Ltd.(ama) |
| SUMMONS ISSUED as to Sapinda International Ltd, Robert B. Hersov, Credit Suisse Group AG, Frederick Ruiz, Vatas Holding Gmbh, Lars Windhorst, Peter A. Ogrisek. (ama) |
| Case Designated ECF. (ama) |
| Magistrate Judge Debra Freeman is so designated. (ama) |
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