Deangelis v. Corzine et al
Plaintiff: American Physicians Assurance Company, Suttonbrook Captial Portfolio LP, Jerome Vrabel, City of Philadelphia Board of Pensions and Retirement and Palisade Strategic Master Fund (Cayman) Limited, Waterstone Offshore ER Fund, Ltd., Lazard Asset Management LLC, Joseph Deangelis, Suttonbrook Eureka Fund, LP, AQR Absolute Return Master Account, L.P., Rogers Varner, Jr., AQR Funds-AQR Diversified Arbitrage Fund, AQR UCITS Funds, AQR Delta Sapphire Fund, L.P., Bearing Fund LP, AG Ofcon, Ltd., Government of Guam Retirement Fund, The Doctors Company Insurance Group, AQR Delta Master Account, L.P., AQR Opportunistic Premium Offshore Fund L.P., Lord Abbett Investment Trust - Lord Abbett Convertible Fund, Waterstone MF Fund, Ltd., HFR CA Lazard Rathmore Master Trust, CSAA Insurance Group, Waterstone Market Neutral Fund, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust, Vermont Mutual Insurance Company, AG Oncon, LLC, Pension, Hospitalization and Benefit Plan of the Electrical Industry - Pension Trust Account, CNH Diversified Opportunities Master Account, L.P., CNH CA Master Account, L.P., Prime Captial Master SPC-GOT WAT MAC Segregated Portfolio and Lazard Rathmore Master Fund, L.P.
Defendant: Michael G. Stockman, Henri J. Steenkamp, Matthew Hughey, PricewaterhouseCoopers LLP, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), Jon S. Corzine, Sandler O'Neill & Partners, L.P., David Dunne, Bradley I. Abelow, Jefferies LLC (f/k/a Jefferies & Company, Inc.) and U.S. Bancorp Investments, Inc.
Petitioner: Augustus International Master Fund, L.P., Paradigm Equities Ltd., Union Asset Management Holding AG, Building Trades United Pension Trust Fund, Futures Capital Management, LLC, Banyan Capital Master Fund, Ltd., Rocking K Land and Cattle, Inc., Philip Timothy Johnson, LRI Invest S.A., Paradigm Global Fund I Ltd., The Bagwell Group, H. Martin Klinker, Jr., Robert Marcin, Wade Jacobsen, Zybr Holdings, LLC, Ali A. Rangchi Bozorki, Paradigm Asia Ltd. and William Schur
Consolidated Plaintiff: Robert A. Daly, Jr., Sapere CTA Fund, LP, Juan P. Arvelo, PS Energy Group Inc, Cyrille Guillaume, Robert Tierney, Davide Accomazzo, Summit Trust Company, Timothy Zaug, Thomas S. Wacker, Ernesto Espinoza, Donald Tran, Kay P. Tee, LLC, Mark Kennedy, Context Partners Fund L.P., Charles Carey, Monica Rodriguez, Paul Hamann, IBEW Local 90 Pension Fund, Daniel M Pierce, Thomas G. Moran, Henning-Carey Proprietary Trading, L.L.C, John Andrew Szokolay, U.S. Commodity Futures Trading Commission, Roberto Calle Gracey, Gregory Bartell, Brian Fisher, Plumbers' & Pipefitters' Local 562 Pension Fund, Joseph Niciforo, Michael Mette, Double D Trading, LLC, Vasil Petro and Shane McMahon
Consolidated Defendant: David Simons, Dennis A. Klejna, Lebenthal & Co., LLC, Stephen Grady, Thomas F. Connolly, Ira Polk, Alison J. Carnwath, Chicago Mercantile Exchange Inc., Merril Lynch, Pierce, Fenner & Smith Incorporated, MS Global Holdings Ltd., Christy Vavra, Donna Dellosso, David I. Schamis, John Ranald MacDonald, David P. Bolger, Timothy Mundt, J. Randy Macdonald, Robert Lyons, Goldman Sachs & Co., Edward L. Goldberg, Richard W. Gill, Frederick R. Demler, Vinay Mahajan, Michael G. Stockmand, Jefferies & Company, Inc., John Does 1-10, Robert S. Sloan, Christine A. Serwinski, Bernard Dan, Commerz Markets LLC, J.C. Flowers & Co. LLC, Tracey A. Lowery Whille, CME Group Inc., Sumit Advani, Matthew V. Besgen, Robert S Sloan, JP Morgan Chase & Co., Craig Donohue, J.P. Morgan Securities Inc., Citigroup Global Markets Inc., Rick D. Leesley, Natxis Securities North America, Inc., J.P. Morgan Chase & Co., Martin J. Glynn, Edith O'Brien, BMO Capital Markets Corp., Bank Of America Corporation, Eileen S. Fusco, Laurie R. Ferber, MS Global Inc., RBS Securities Inc., Natixis Securities North America Inc., Deutsche Bank Securities Inc. and David Gelber
Not Yet Classified: Moody's Investors Service, Inc., William S. Freeman, Fiduciary Trust International of California, Andrew Forsyth, Franklin Templeton Institutional, LLC, Arkansas Public Employees Retirement System, Summit Trust Corporation and MF Global Holdings Ltd., as Plan Administrator
Other: Litigation Trustee of the MF Global Litigation Trust and MF Global Assigned Assets LLC
Lead Plaintiff: Virginia Retirement System and Her Majesty the Queen in Right of Alberta
Claimant: Cadian Capital Management LP
Interested Party: James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.
Case Number: 1:2011cv07866
Filed: November 3, 2011
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: New York
Presiding Judge: Robert W Lehrburger
Referring Judge: Victor Marrero
Nature of Suit: Securities/Commodities
Cause of Action: 15:78m(a) Securities Exchange Act
Jury Demanded By: Both
Docket Report

This docket was last retrieved on October 21, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
October 21, 2019 Opinion or Order Filing 1187 ORDER: The Clerk of the Court is directed to close the above captioned multi-district litigation and all related cases. SO ORDERED. (Signed by Judge Victor Marrero on 10/21/2019) (js) Transmission to Office of the Clerk of Court for processing.
October 30, 2018 Opinion or Order Filing 1186 ORDER APPROVING DISTRIBUTION PLAN granting #1178 Motion for Disbursement of Funds: IT IS THIS 30th day of October, 2018 HEREBY ORDERED, ADJUDGED, AND DECREED THAT: This Order incorporates by reference the definitions in the Stipulation and Agreement of Settlement with Certain Underwriter Defendants dated as of November 25, 2014 (ECF No. 801-1), the Stipulation and Agreement of Settlement with Defendant Commerz Markets LLC dated as of March 17, 2015 (ECF No. 875-1), the Stipulation and Agreement of Settlement with Defendant PricewaterhouseCoopers LLP dated as of April 3, 2015 (ECF No. 899-1), the Stipulation and Agreement of Settlement with Individual Defendants dated as of July 2, 2015 (ECF No. 969-1), and the Stipulation and Agreement of Settlement with Defendants Jefferies LLC, BMO Capital Markets Corp., Natixis Securities Americas LLC, Lebenthal & Co., LLC, and U.S. Bancorp Investments, Inc. dated as of March 9, 2016 (ECF No. 1092-1) (collectively, the "Stipulations") and the Donohue Declaration, and all terms used in this Order shall have the same meanings as defined in the Stipulations or in the Donohue Declaration. 2. This Court has jurisdiction over the subject matter of the Action and over all parties to the Action, including all Settlement Class Members. 3. Lead Plaintiffs' plan for distribution of the Net Settlement Funds to Authorized Claimants is APPROVED, and as further set forth in this order. This Court retains jurisdiction to consider any further applications concerning the administration of the Settlements, and any other and further relief that this Court deems appropriate. (Signed by Judge Victor Marrero on 10/30/2018) (jwh)
October 30, 2018 Opinion or Order Filing 1185 ENDORSED LETTER addressed to Judge Victor Marrero from Thomas E. Redburn Jr. dated 10/29/18 re: informing the Court that Cadian does not oppose Lead Plaintiffs' Motion for Disbursement of 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 Cadian Capital Management LP. So Ordered. (Signed by Judge Victor Marrero on 10/30/18) (yv)
October 10, 2018 Opinion or Order Filing 1184 ORDER GRANTING #1183 MOTION TO WITHDRAW AS COUNSEL: Attorney Charles W. Cohen terminated. On this day came for consideration the Motion to Withdraw as Counsel of Charles W. Cohen for the above-captioned action. Having considered the Motion, the Court finds that is should be and is hereby GRANTED. Accordingly, it is ORDERED that Charles W. Cohen is hereby withdrawn as counsel of record and shall be removed from all future notices in this action. So Ordered. (Signed by Judge Victor Marrero on 10/10/2018) (js)
October 9, 2018 Filing 1183 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Charles W. Cohen to Withdraw as Attorney . Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc..(Cohen, Charles) Modified on 10/31/2018 (db).
October 5, 2018 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #1179 Proposed Order, was reviewed and approved as to form. (ad)
October 5, 2018 Filing 1182 LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated October 5, 2018 re: Motion for Disbursement of Funds. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
October 5, 2018 Filing 1181 DECLARATION of Tara Donohue in Support re: #1178 MOTION for Disbursement of Funds .. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Graziano, Salvatore)
October 5, 2018 Filing 1180 MEMORANDUM OF LAW in Support re: #1178 MOTION for Disbursement of Funds . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
October 5, 2018 Filing 1179 PROPOSED ORDER. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. Related Document Number: #1178 . (Graziano, Salvatore) Proposed Order to be reviewed by Clerk's Office staff.
October 5, 2018 Filing 1178 MOTION for Disbursement of Funds . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
October 1, 2018 Filing 1177 NOTICE OF CHANGE OF ADDRESS by Daniel Charles Girard on behalf of Jerome Vrabel. New Address: Girard Sharp LLP,. (Girard, Daniel)
August 8, 2018 Opinion or Order Filing 1176 ORDER RESOLVING DISPUTED CLAIM granting #1163 Motion FOR RESOLUTION OF DISPUTED CLAIM. IT IS HEREBY ORDERED, ADJUDGED AND DECREED: 1. As it is undisputed that Cadian is not a member of the Individual Defendant Settlement Class, Cadian is not eligible to receive any payment from the Net Settlement Fund established on behalf of and for the benefit of members of that class; 2. Cadian's counsel's arguments in support of its assertion that, notwithstanding the fact that Cadian is not a member of the Individual Defendant Settlement Class, Cadian is nonetheless entitled to payment from the Individual Defendant Net Settlement Fund are found to be without merit and are rejected in the entirety; 3. Cadian's counsel's arguments in support of its assertion that further notice to the classes and/or a new claims submission process is required in the Action are found to be without merit and are rejected in the entirety. (Signed by Judge Victor Marrero on 8/8/2018) (kgo)
June 25, 2018 Filing 1175 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 6/22/2018 re: We write concerning one outstanding dispute related to the claims distribution process that requires resolution 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 Lead Plaintiffs. (Signed by Judge Victor Marrero on 6/28/2018) (mml)
February 23, 2018 Filing 1174 ENDORSED LETTER: addressed to Judge Victor Marrero, from Thomas E. Redburn Jr., dated February 23, 2018, re: Reply. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Cadian Capital Management LP. (Signed by Judge Victor Marrero on 2/22/2018) (ap)
February 20, 2018 Filing 1173 DECLARATION of Rochelle Feder-Hansen in Support re: #1163 MOTION FOR RESOLUTION OF DISPUTED CLAIM .. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
February 20, 2018 Filing 1172 REPLY MEMORANDUM OF LAW in Support re: #1163 MOTION FOR RESOLUTION OF DISPUTED CLAIM . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
February 20, 2018 Opinion or Order Filing 1171 ORDER FOR ADMISSION OF THOMAS E. REDBURN, JR. PRO HAC VICE: granting #1168 Motion for Thomas E. Redburn, Jr. to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 2/20/2018) (ap)
February 13, 2018 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #1168 MOTION for Thomas E. Redburn, Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14696084. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
February 13, 2018 Filing 1170 DECLARATION of Lawrence M. Rolnick in Opposition re: #1163 MOTION FOR RESOLUTION OF DISPUTED CLAIM .. Document filed by Cadian Capital Management LP. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5)(Rolnick, Lawrence)
February 13, 2018 Filing 1169 MEMORANDUM OF LAW in Opposition re: #1163 MOTION FOR RESOLUTION OF DISPUTED CLAIM . . Document filed by Cadian Capital Management LP. (Rolnick, Lawrence)
February 13, 2018 Filing 1168 MOTION for Thomas E. Redburn, Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14696084. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Cadian Capital Management LP. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Affidavit of Thomas E. Redburn, Jr., #3 Text of Proposed Order)(Redburn, Thomas)
February 5, 2018 Filing 1167 ENDORSED LETTER: addressed to Judge Victor Marrero, from Thomas E. Redburn Jr., dated January 31, 2018, re: Motion for Resolution. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Cadian Capital Management LP. (Signed by Judge Victor Marrero on 2/5/2018) (ap) Modified on 3/28/2018 (ap).
January 30, 2018 Filing 1166 CERTIFICATE OF SERVICE. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
January 30, 2018 Filing 1165 DECLARATION of Rochelle Feder-Hansen in Support re: #1163 MOTION FOR RESOLUTION OF DISPUTED CLAIM .. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1 - Memorandum from Lawrence Rolnick to Rochelle Hansen, dated December 22, 2017, #2 Exhibit 2 - Notice of PwC and Individual Defendants Settlements, #3 Exhibit 3 - Plan of Allocation, #4 Exhibit 4 - Proof of Claim and Release Form, #5 Exhibit 5 - Notice of Settlement MBI Securities Litigation, #6 Exhibit 6 - Proof of Claim and Release Form MBI Securities Litigation, #7 Exhibit 7 - Declaration of Anya Verkhovskaya in Quovadx Action)(Graziano, Salvatore)
January 30, 2018 Filing 1164 MEMORANDUM OF LAW in Support re: #1163 MOTION FOR RESOLUTION OF DISPUTED CLAIM . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
January 30, 2018 Filing 1163 MOTION FOR RESOLUTION OF DISPUTED CLAIM . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
January 30, 2018 Filing 1162 NOTICE OF APPEARANCE by Rochelle Feder Hansen on behalf of Government of Guam Retirement Fund, Virginia Retirement System. (Hansen, Rochelle)
November 1, 2017 NOTICE OF REASSIGNMENT OF A REFERRAL TO ANOTHER MAGISTRATE JUDGE. The referral in the above entitled action has been reassigned to Magistrate Judge Robert W. Lehrburger, for Dispositive Motion (i.e., motion requiring a Report and Recommendation). Magistrate Judge James C. Francis no longer referred to the case. (wb) Modified on 11/6/2017 (kw).
October 31, 2017 NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Robert W. Lehrburger. Please note that this is a reassignment of the designation only. (wb)
March 3, 2017 Opinion or Order Filing 1161 MEMO ENDORSEMENT on ORDER withdrawing (1115) Motion for Attorney Fees in case 1:11-cv-07866-VM-JCF. ENDORSEMENT: SO ORDERED. (Signed by Magistrate Judge James C. Francis on 3/3/2017) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (anc)
March 3, 2017 Filing 1160 NOTICE of Voluntary Withdrawal of Fee Motion with Prejudice re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A., #1116 Memorandum of Law in Support of Motion, #1117 Declaration in Support of Motion, #1143 Reply Memorandum of Law in Support of Motion,,. Document filed by Litigation Trustee of the MF Global Litigation Trust, MF Global Assigned Assets LLC, MF Global Holdings Ltd., as Plan Administrator. (Rue, Jane)
February 16, 2017 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 2/16/2017. (Bacchus, Michael)
February 8, 2017 Filing 1159 LETTER addressed to Magistrate Judge James C. Francis IV from Andrew Entwistle and Merrill G. Davidoff dated 11/2/2016 re: Customer Counsel Fee Motion. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
February 2, 2017 Opinion or Order Filing 1158 MEMORANDUM AND ORDER: For the reasons discussed above, Customer Class Counsel are not entitled to additional attorneys fees under the JPMorgan Settlement, the Net Equity Settlement Assignment, or the CME Settlement. Furthermore, the Allocation Agreement describes the amount of the common fund from which Customer Class Counsel's fees shall be paid. The Plan Administrator shall promptly release $1,537,521.33 as reimbursement for Customer Class Counsel's litigation expenses to Customer Class Counsel as outlined in Paragraph 8 of the Global Settlement. Finally, within seven days, Customer Class Counsel shall file publicly a copy of the November 2, 2016 Letter of Merrill G. Davidoff and Andrew J. Entwistle as required by footnote 15 of this Memorandum and Order. A conference will be held on February 16, 2017 at 2:00 p.m. in courtroom 18-D at 500 Pearl Street, New York, NY. (As further set forth in this Memorandum and Order.) ( Status Conference set for 2/16/2017 at 02:00 PM in Courtroom 18D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge James C. Francis.) (Signed by Magistrate Judge James C. Francis on 2/2/2017) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF Copies Sent By Chambers. (mro)
January 6, 2017 Opinion or Order Filing 1157 CONSENT TO MAGISTRATE JUDGE DISPOSITION ON MOTION re (1115 in 1:11-cv-07866-VM-JCF) MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A. (Signed by Judge Victor Marrero on 1/6/2017) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(kgo)
January 5, 2017 Opinion or Order Filing 1156 CONSENT ORDER FOR PERMANENT INJUNCTION, CIVIL MONETARY PENALTY AND OTHER EQUITABLE RELIEF AGAINST DEFENDANT JON S. CORZINE: IT IS HEREBY ORDERED THAT: Based upon and in connection with the foregoing conduct, pursuant to Section 6c of the Act, 7 U.S.C. 13a-1 (2012), Corzine is permanently restrained, enjoined, and prohibited from directly or indirectly: While acting as a control person of an FCM, failing to treat, deal with, and account for FCM customer segregated funds as belonging to such customers; failing to account separately for, properly segregate, and treat FCM customer segregated funds as belonging to such customers; commingling FCM customer segregated funds with the funds of another person; using or permitting the use of the funds of one futures customer for the benefit of a person other than such futures customer; and withdrawing FCM customer segregated funds beyond the FCM's actual interest therein, in violation of Section 4d(a)(2) of the Act, 7 U.S.C. 6d(a)(2) (2012), and CFTC Regulations 1.20, 1.22, and 1.23, 17 C.F.R. 1.20, 1.22, and 1.23(2015); and Failing to supervise diligently the handling of all commodity interest accounts carried, operated, advised, or introduced by any registrant and all other activities of any such registrant's partners, officers, employees, and agents (or other persons occupying a similar status or perfom1ing a similar function) relating to its business as a Commission registrant, in violation of CFTC Regulation 166.3, 17 C.F.R. 166.3 (2015). Corzine shall pay a civil monetary penalty in the amount of five million U.S. dollars ($5,000,000) ("CMP Obligation"), plus post-judgment interest. Post-judgment interest shall accrue on the CMP Obligation beginning ten business days from the date of entry of this Consent Order and shall be determined by using the Treasury Bill rate prevailing on the date of entry of this Consent Order pursuant to 28 U.S.C. 1961 (2012). (As further set out in the order). (Signed by Judge Victor Marrero on 1/5/2017) (cla) (Main Document 1156 replaced on 1/5/2017) (cla).
January 5, 2017 Opinion or Order Filing 1155 CONSENT ORDER FOR PERMANENT INJUNCTION, CIVIL MONETARY PENALTY AND OTHER EQUITABLE RELIEF AGAINST DEFENDANT EDITH O'BRIEN: IT IS HEREBY ORDERED THAT: Based upon and in connection with the foregoing conduct, pursuant to Section 6c of the Act, 7 U.S.C. 13a-1 (2012), O'Brien is permanently restrained, enjoined, and prohibited from directly or indirectly failing to treat, deal with, and account for FCM customer segregated funds as belonging to such customers; failing to account separately for, properly segregate, and treat FCM customer segregated funds as belonging to such customers; commingling FCM customer segregated funds with the funds of another person; using or permitting the use of the funds of one futures customer for the benefit of a person other than such futures customer; and withdrawing FCM customer segregated funds beyond the FCM' s actual interest therein, in violation of Section 4d(a)(2) of the Act, 7 U.S.C. 6d(a)(2) (2012), and CFTC Regulations 1.20, 1.22, and 1.23, 17 C.F.R. 1.20, 1.22, and 1.23 (2015), and from willfully aiding or abetting the commission of the foregoing violations of the Act and Regulations in violation of Section 13(a) of the Act, 7 U.S.C. 13c(a) (2012). O'Brien shall pay a civil monetary penalty in the amount of five hundred thousand U.S. dollars ($500,000) ("CMP Obligation"), plus post-judgment interest. Post-judgment interest shall accrue on the CMP Obligation beginning ten business days from the date of entry of this Consent Order and shall be determined by using the Treasury Bill rate prevailing on the date of entry of this Consent Order pursuant to 28 U.S.C. 1961 (2012). (As further set out in the order). (Signed by Judge Victor Marrero on 1/5/2017) (cla)
January 5, 2017 Opinion or Order Filing 1154 ENDORSED LETTER addressed to Judge Victor Marrero from Steven Ringer dated 1/4/2017 re: Proposed Consent Orders. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Commodity Futures Trading Commission. (Signed by Judge Victor Marrero on 1/5/2017) (cla)
January 4, 2017 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 1/4/2017. Steven Ringer and Brent Tomer present for plaintiff U.S. Commodity Futures Trading Commission. Jonathan Streeter and Matthew Mazur present for defendant Jon Corzine. Christopher Barber and Darren Kinkead present for defendant Edith O'Brien. (al)
December 21, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 12/21/2016. (Bacchus, Michael)
December 6, 2016 Filing 1153 NOTICE of Withdrawal of Attorney. Document filed by Joseph Deangelis. (Kerr, Brian)
October 18, 2016 Opinion or Order Filing 1152 FINAL JUDGMENT AND ORDER OF DISMISSAL: The Customer Class Action is hereby dismissed with prejudice. The Settlement Fund, as defined and provided for in the Settlement Agreement, is approved. (As further set forth in this Order.) (Signed by Judge Victor Marrero on 10/18/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(kgo)
October 14, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 10/14/2016. Steven Ringer present for plaintiff U.S. Commodity Futures Trading Commission. Christopher Barber and Darren Kinkead present for defendant Edith O'Brien. Matthew Mazur present for defendant Jon Corzine. Trial to commence on June 5, 2017. (al) (Linderot, Anders) Modified on 10/14/2016 (mt).
October 13, 2016 Filing 1151 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 9/16/16 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)
October 13, 2016 Filing 1150 TRANSCRIPT of Proceedings re: ARGUMENT held on 9/16/2016 before Judge Victor Marrero. Court Reporter/Transcriber: Pamela Utter, (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 11/7/2016. Redacted Transcript Deadline set for 11/17/2016. Release of Transcript Restriction set for 1/14/2017.(McGuirk, Kelly)
October 5, 2016 Opinion or Order Filing 1149 AMENDED ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Dispositive Motion (i.e., motion requiring a Report and Recommendation). Referred to Magistrate Judge James C. Francis. Particular Motion: Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses (Dkt. No. #1115 ). SO ORDERED. (Signed by Judge Victor Marrero on 10/5/2016) (kl)
September 30, 2016 Opinion or Order Filing 1148 FINAL JUDGMENT AND ORDER OF DISMISSAL: The Litigation Trust Action is dismissed with prejudice. The Settlement Agreement is approved, solely with respect to the settlement of the Litigation Trust Action, and without prejudice to approval of other settlements or compromises contained therein, including, without limitation, the Settlement Fund established thereby. And as set forth herein. SO ORDERED. (Signed by Judge Victor Marrero on 9/30/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(ama)
September 30, 2016 Opinion or Order Filing 1147 ENDORSED LETTER addressed to Judge Victor Marrero from Bruce Bennett dated 9/29/2016 re: Request for the Court to enter a judgment and order of dismissal 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 Litigation Trustee. (Signed by Judge Victor Marrero on 9/30/2016) (cla) Modified on 10/4/2016 (cla).
September 30, 2016 Terminate Transcript Deadlines (kgo)
September 30, 2016 Opinion or Order Filing 1146 JUDGMENT AND FINAL ORDER OF DISMISSAL: IT IS HEREBY ORDERED THAT: 1. The Sapere Action is dismissed with prejudice. 2. The Settlement Agreement, solely with respect to the settlement of the Sapere Action, and without prejudice to approval of other settlements or compromises contained therein, is approved. 3. In the event that the Settlement Agreement terminates according to its terms prior to the Effective Date (as defined in the Settlement Agreement), this Judgment and Order of Dismissal shall be rendered null and void and shall be vacated. 4. Without affecting the finality of this Judgment in any way, the Court retains continuing jurisdiction over: (i) the administration and consummation of the Settlement as to the Sapere Action and (ii) the entry of orders relating to matters addressed in the Settlement Agreement as co settlement of the Sapere Action. 5. There is no just reason for delay in the entry of this Judgment and immediate entry by the Clerk of Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Victor Marrero on 9/30/2016) (kgo)
September 30, 2016 Opinion or Order Filing 1145 ENDORSED LETTER addressed to Judge Victor Marrero from Edward M. Pinter dated 9/29/2016 re: Request for the Court to enter a judgment and order of dismissal 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 Sapere CTA Fund, LP. (Signed by Judge Victor Marrero on 9/30/2016) (cla) Modified on 10/4/2016 (cla).
September 27, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 9/27/2016. (Bacchus, Michael)
September 16, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Fairness and Motion Hearing held on 9/16/2016. Andrew Entwistle and Merrill Davidoff present for the customer plaintiffs. Bruce Bennett present for the Litigation Trustee and the Plan Administrator. Laura Torrado present for Knighthead Capital Management. Matthew Mazur present for Jon Corzine. The Court found that each of the Grinnell factors weighed decidedly in favor of granting final approval of the Global Settlement and granted the motion for final approval. The Court also heard arguments on class counsel's motion for attorney's fees and expenses. (Linderot, Anders)
September 15, 2016 Opinion or Order Filing 1144 ENDORSED LETTER addressed to Judge Victor Marrero from Christopher J. Barber dated 9/12/2016 re: I respectfully request (i) that the Court permit Darren Kinkead, an associate at this firm who is fully familiar with the case, to appear at the Final Approval Hearing in my stead and (ii) that the Court permit Mr. Kinkead to appear via telephone in order to eliminate the cost of airfare from and returning to Chicago. ENDORSEMENT: Defendant Edith O'Brien may appear at the Final Approval Hearing on 9-16-16 through counsel as stated above. (Signed by Judge Victor Marrero on 9/15/2016) (lmb)
September 9, 2016 Filing 1143 REPLY MEMORANDUM OF LAW in Support re: (1115 in 1:11-cv-07866-VM-JCF) MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A. (Memorandum of Law in Further Support of Motion by Customer Counsel for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses from the Global Settlement Fund). Document filed by Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A (Proposed Order))Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Entwistle, Andrew)
September 9, 2016 Filing 1142 REPLY MEMORANDUM OF LAW in Support re: (1122 in 1:11-cv-07866-VM-JCF) MOTION for Final Approval of the Final Customer Settlement . Plaintiffs' Memorandum in Further Support of Their Motion for Final Approval of the Final Customer Settlement. Document filed by Augustus International Master Fund, L.P., Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A (Proposed Order))Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Entwistle, Andrew)
September 8, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 9/8/2016. Steven Ringer and Brent Tomer present for plaintiff U.S. Commodity Futures Trading Commission. Christopher Barber and Darren Kinkead present for defendant Edith O'Brien. Matthew Mazur present for defendant Jon Corzine. The trial scheduled for October 16, 2016 is adjourned. Parties to meet and confer about a new trial date. (al) Modified on 9/15/2016 (mt).
September 7, 2016 Filing 1141 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew J. Entwistle dated 9/7/2016 re: Customer Counsel respectfully request an extension of the 10-page limitation on our reply, set forth in the Court's Individual Practices, to 20 pages total. ENDORSEMENT: Request GRANTED in part. The underlying issue has already been extensively briefed by the parties and addressed by the Court in its previous ruling. The Court is not persuaded that much more is warranted. In view of the Plan Administrators lengthy submission, the Court will grant approval for a reply of 15 pages. (Signed by Judge Victor Marrero on 9/7/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(lmb)
September 6, 2016 Opinion or Order Filing 1140 ORDER FOR ADMISSION PRO HAC VICE granting (1130) Motion for William S. Freeman to Appear Pro Hac Vice in case 1:11-cv-07866-VM-JCF. (Signed by Judge Victor Marrero on 9/6/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (lmb)
September 6, 2016 Filing 1139 ENDORSED LETTER addressed to Judge Victor Marrero from Steven Ringer dated 9/2/2016 re: We request a telephone conference with the Court on Thursday, September 8, 2016, to discuss the status of those negotiations. ENDORSEMENT: Request GRANTED. A status conference herein is scheduled for 9-8-16 at 10:00 a.m., ( Telephonic Status Conference set for 9/8/2016 at 10:00 AM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 9/6/2016) (lmb)
September 6, 2016 Filing 1138 DECLARATION of James B. Kobak Jr. in Opposition re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A.. Document filed by MF Global Assigned Assets LLC, MF Global Holdings Ltd., as Plan Administrator. (Rue, Jane)
September 6, 2016 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #1130 MOTION for William S. Freeman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12722514. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 3, 2016 Filing 1137 DECLARATION of Jane Rue Wittstein in Opposition re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A.. Document filed by MF Global Assigned Assets LLC, MF Global Holdings Ltd., as Plan Administrator. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I, #10 Exhibit J, #11 Exhibit K, #12 Exhibit L, #13 Exhibit M, #14 Exhibit N, #15 Exhibit O, #16 Exhibit P, #17 Exhibit Q, #18 Exhibit R, #19 Exhibit S, part 1, #20 Exhibit S, part 2)(Rue, Jane)
September 2, 2016 Filing 1136 JOINDER to join re: #1131 Response in Opposition to Motion, /Knighthead Capital Management LLCs Joinder of the Plan Administrators and MF Global Assigned Assets LLCs Objection to Motion by Customer Class Counsel for Award of Attorneys Fees and Reimbursement of Expenses From the Individual Defendants Settlement Fund. Document filed by Knighthead Capital Management LLC.(Rue, Jane)
September 2, 2016 Filing 1135 JOINDER to join re: #1131 Response in Opposition to Motion, /Joinder of the Litigation Trustee in Plan Administrators and MF Global Assigned Assets LLCs Objection to Motion by Customer Class Counsel for Award of Attorneys Fees and Reimbursement of Expenses From the Individual Defendants Settlement Fund. Document filed by Litigation Trustee of the MF Global Litigation Trust.(Rue, Jane)
September 2, 2016 Filing 1134 DECLARATION of Erik M. Graber in Opposition re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A.. Document filed by MF Global Assigned Assets LLC, MF Global Holdings Ltd., as Plan Administrator. (Rue, Jane)
September 2, 2016 Filing 1133 DECLARATION of Bruce Bennett in Opposition re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A.. Document filed by MF Global Assigned Assets LLC, MF Global Holdings Ltd., as Plan Administrator. (Rue, Jane)
September 2, 2016 Filing 1132 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE #1138 Declaration) - DECLARATION of James B. Kobak Jr. in Support re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A.. Document filed by MF Global Assigned Assets LLC, MF Global Holdings Ltd., as Plan Administrator. (Rue, Jane) Modified on 9/6/2016 (db).
September 2, 2016 Filing 1131 RESPONSE in Opposition to Motion re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A. /Objection to Motion by Customer Class Counsel for Award of Attorneys Fees and Reimbursement of Expenses from the Individual Defendants Settlement Fund. Document filed by MF Global Assigned Assets LLC, MF Global Holdings Ltd., as Plan Administrator. (Rue, Jane)
September 2, 2016 Filing 1130 MOTION for William S. Freeman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12722514. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by William S. Freeman. (Attachments: #1 Exhibit 1 - Certificate of Good Standing, #2 Exhibit 2 - Proposed Form of Order)(Rue, Jane)
September 2, 2016 Filing 1129 RESPONSE to Motion re: #1122 MOTION for Final Approval of the Final Customer Settlement . /Statement by MFG Plaintiffs With Respect to Motion by Customer Class Counsel for Final Approval of the Customer Settlement. Document filed by MF Global Holdings Ltd., as Plan Administrator, Litigation Trustee of the MF Global Litigation Trust, MF Global Assigned Assets LLC. (Rue, Jane)
August 22, 2016 ***STRICKEN DOCUMENT. Deleted document number 1123 and 1124 from the case record. The document was stricken from this case pursuant to #1128 Order Striking Document from Record. (cf)
August 22, 2016 Opinion or Order Filing 1128 ORDER: The documents appearing at ECF Nos. 1123 and 1124 in Case No. 11 Civ. 7866, and ECF Nos. 154 and 155 in Case No. 12 MD 2338 are stricken. The Clerk of Court is respectfully directed to delete these four entries from the docket entirely. (Signed by Magistrate Judge James C. Francis on 8/22/2016) Copies Sent By Chambers. (cf)
August 19, 2016 Filing 1127 DECLARATION of Merrill G. Davidoff and Andrew J. Entwistle in Support re: (1122 in 1:11-cv-07866-VM-JCF) MOTION for Final Approval of the Final Customer Settlement .. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Thomas G. Moran, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Davidoff, Merrill)
August 19, 2016 Filing 1126 MEMORANDUM OF LAW in Support re: (1122 in 1:11-cv-07866-VM-JCF) MOTION for Final Approval of the Final Customer Settlement . . Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Mark Kennedy, Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Davidoff, Merrill)
August 19, 2016 Opinion or Order Filing 1125 ORDER: Accordingly, it is hereby ORDERED that the request of MF Global Holdings Ltd., as Plan Administrator, MF Global Assigned Assets, LLC, and Nader Tavakoli, as Trustee of the MF Global Litigation Trustee (collectively "MFG Plaintiffs") for the scheduling of a joint status conference between this Court and the Bankruptcy Court relating to this action prior to this Court's settlement fairness hearing scheduled for September 16, 2016 is DENIED. (Signed by Judge Victor Marrero on 8/19/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(lmb)
August 19, 2016 Filing 1122 MOTION for Final Approval of the Final Customer Settlement . Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Exhibit A - [Proposed] Final Judgment and Order of Dismissal, #2 Exhibit B - [Proposed] Final Judgment and Order Approving the Plan of Allocation)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Davidoff, Merrill)
August 18, 2016 Filing 1121 ENDORSED LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 8/18/2016 re: We write on behalf of the MFG Plaintiffs in reply to the response letter sent by Class Counsel to Your Honors dated August 17, 2016 (the "August 17 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 MFG Plaintiffs as defined above. (Signed by Judge Victor Marrero on 8/17/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(lmb)
August 18, 2016 Filing 1120 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew J. Entwistle and Merrill G. Davidoff dated 8/17/2016 re: The MFG Plaintiffs' request for a joint status conference and, more specifically, their argument that the putative Allocation Motion in the Chapter 11 proceedings, if any (such a motion is not required under the Settlement Agreement), must precede the determination of Customer Counsel's Fee Motion should be seen for what it is - an effort to delay resolution of the Fee Motion to gain a tactical advantage for their anticipated opposition. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Customer Counsel. (Signed by Judge Victor Marrero on 8/17/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(lmb)
August 18, 2016 Opinion or Order Filing 1119 ENDORSED LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 8/16/2016 re: We write to request a joint status conference with both Courts and lead counsel for the Customer Representatives ("Class Counsel") to address the scheduling for upcoming motions that will resolve issues critical to the global settlement of the MDL claims owned by MFGAA and the Litigation Trust. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by MFG Plaintiffs as Defendant above. SO ORDERED. (Signed by Judge Victor Marrero on 8/17/2016) (ama)
August 10, 2016 Opinion or Order Filing 1118 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew J. Entwistle dated 8/08/2016 re: We write to request permission from the Court to make certain limited redactions to the motion's supporting materials that Co-Lead Counsel are filing publically on ECF in order to protect sensitive terms in the Settlement Agreement. ENDORSEMENT: Request GRANTED. Co-Lead Counsel herein are authorized to file redacted versions of the settlement documents described above. SO ORDERED. (Signed by Judge Victor Marrero on 8/10/2016) (ama)
August 9, 2016 Filing 1117 DECLARATION of Merrill G. Davidoff and Andrew J. Entwistle in Support re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A.. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
August 9, 2016 Filing 1116 MEMORANDUM OF LAW in Support re: #1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A. Memorandum of Law in Support of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
August 9, 2016 Filing 1115 MOTION for Attorney Fees Notice of Motion by Customer Counsel for an Award of Attorneys Fees and Reimbursement of Litigation Expenses, with Proposed Order as Exhibit A. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
July 21, 2016 Filing 1114 WITHDRAWAL OF APPEARANCE: PLEASE TAKE NOTICE that Christopher K. Kiplok of the law firm Hughes Hubbard & Reed LLP hereby withdraws his appearance in the above-captioned case on behalf of James W. Giddens, as Trustee for the liquidation of the business of MF Global Inc. under the Securities Investor Protection Ave of 1970, as amended, 15 U.S.C. 78aaa et seq., Attorney Christopher K. Kiplok terminated. (Signed by Judge Victor Marrero on 7/21/2016) (lmb)
July 21, 2016 Filing 1113 WITHDRAWAL OF APPEARANCE: PLEASE TAKE NOTICE that Sarah L. Cave of the law firm Hughes Hubbard & Reed LLP hereby withdraws his appearance in the above-captioned case on behalf of James W. Giddens, as Trustee for the liquidation of the business of MF Global Inc. under the Securities Investor Protection Ave of 1970, as amended, 15 U.S.C. 78aaa et seq., Attorney Sarah Loomis Cave terminated. (Signed by Judge Victor Marrero on 7/21/2016) (lmb)
July 21, 2016 Filing 1112 WITHDRAWAL OF APPEARANCE: PLEASE TAKE NOTICE that James B. Kobak, Jr. of the law firm Hughes Hubbard & Reed LLP hereby withdraws his appearance in the above-captioned case on behalf of James W. Giddens, as Trustee for the liquidation of the business of MF Global Inc. under the Securities Investor Protection Ave of 1970, as amended, 15 U.S.C. 78aaa et seq., Attorney James Benedict Kobak, Jr terminated. (Signed by Judge Victor Marrero on 7/21/2016) (lmb)
July 18, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 7/18/2016. Steven Ringer present for plaintiff U.S. Commodity Futures Trading Commission. Jonathan Streeter present for defendant Jon Corzine. Christopher Barber present for defendant Edith O'Brien. Parties to discuss mediation with Magistrate Judge Francis. (aw) Modified on 8/12/2016 (Landers, Rigoberto).
July 15, 2016 Opinion or Order Filing 1111 JUDGMENT APPROVING CLASS ACTION SETTLEMENT WITH DEFENDANTS JEFFERIES LLC, BMO CAPITAL MARKETS CORP., NATIXIS SECURITIES AMERICAS LLC, LEBENTHAL & CO., LLC, AND U.S. BANCORP INVESTMENTS, INC.: IT IS HEREBY ORDERED, ADJUDGED AND DECREED: 4. Final Settlement Approval and Dismissal of Claims - Pursuant to, and in accordance with, Rule 23 of the Federal Rules of Civil Procedure, this Court hereby fully and finally approves the Settlement set forth in the Stipulation in all respects as further set forth in this order. 5. All claims asserted against the Remaining Senior Notes Underwriter Defendants in the Action by Settling Plaintiffs and Class Members are hereby dismissed with prejudice. The Settling Parties shall bear their own costs and expenses, except as otherwise expressly provided in the Stipulation and as further set forth in this order., Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc., BMO Capital Markets Corp. and Jefferies LLC (f/k/a Jefferies & Company, Inc.) terminated. (Signed by Judge Victor Marrero on 7/15/2016) (lmb)
July 15, 2016 Opinion or Order Filing 1110 ORDER AWARDING ATTORNEYS' FEES AND EXPENSES granting #1100 Motion for Attorney Fees; granting #1098 MOTION to Approve the Remaining Senior Notes Underwriter Settlement. IT IS HEREBY ORDERED THAT: 1. This Order incorporates by reference the definitions in the Stipulation and Agreement of Settlement with Defendants Jefferies LLC, BMO Capital Markets Corp., Natixis Securities Americas LLC, Lebenthal & Co., LLC, and U.S. Bancorp Investments, Inc. dated as of March 9, 2016 (ECF No. 1092-1) ("Stipulation") and the Joint Declaration of Salvatore J. Graziano and Javier Bleichmar in Support of: (I) Settling Plaintiffs' Motion for Final Approval of the Remaining Senior Notes Underwriter Settlement; and (II) Co Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses (ECF No. 1102) ("Joint Declaration"), and all terms not otherwise defined herein shall have the same meanings as set forth in the Stipulation or Joint Declaration as further set forth in this order. 4. Co-Lead Counsel are hereby awarded attorneys' fees in the amount of 19% of the Remaining Senior Notes Underwriter Settlement Fund ("Settlement Fund") and $2,028,538.99 in reimbursement of litigation expenses (which expenses shall be paid from the Settlement Fund), which sums the Court finds to be fair and reasonable as further set forth in this Order. (Signed by Judge Victor Marrero on 7/15/2016) (lmb) Modified on 7/15/2016 (lmb). Modified on 7/15/2016 (lmb). Modified on 7/18/2016 (lmb).
July 15, 2016 Filing 1109 Minute Entry for proceedings held before Judge Victor Marrero: Fairness Hearing held on 7/15/2016. Counsel Salvatore Graziano and Cynthia Hanawalt present for Lead Plaintiffs. Counsel Adam Hakki present for Senior Notes Underwriter defendants Jefferies LLC, BMO Capital Markets Corp., Natixis Securities America LLC, Lebenthal & Co., LLC, and U.S. Bancorp Investments Inc. Court approved final settlement and application for attorneys' fees and reimbursement of litigation expenses. (aw)
July 14, 2016 Set/Reset Hearings: Settlement Conference set for 9/16/2016 at 02:00 PM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(lmb)
July 14, 2016 Opinion or Order Filing 1108 ORDER GRANTING PRELIMINARY APPROVAL OF THE FINAL CUSTOMER SETTLEMENT WITH THE INDIVIDUAL DEFENDANTS, APPROVING THE PROPOSED NOTICE TO THE CLASS, AND SETTING A SCHEDULE FOR FINAL APPROVAL: Preliminary Approval of the Customer Settlement: Based on the Court's review of the Settlement Agreement, including consideration of the amount of the Customer Settlement Fund and the subrogated and subordinated nature of the Customer Interest Claims to the Net Equity Claims, the Court hereby approves the Customer Settlement as fair, reasonable and adequate, and in the best interest of the Customer Class, subject to further consideration at the final approval hearing (the "Final Hearing") as further set forth in this order. Settlement Hearing: The Court will hold the Final Hearing, if necessary, on September 16, 2016 at 2:00 p.m., or as soon thereafter as the Court is available, at the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, Courtroom 11B, New York, NY 10007-1312 as further set forth in this Order. (Signed by Judge Victor Marrero on 7/14/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(lmb)
July 13, 2016 Filing 1107 LETTER addressed to Judge Victor Marrero from Andrew J. Entwistle and Merrill G. Davidoff dated July 13, 2016 re: Letter Requesting Preliminary Approval of the Final Customer Settlement with the Individual Defendants, Approving the Proposed Notice to the Class, and Setting a Schedule for Final Approval. Document filed by Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A (Proposed Order), #2 Exhibit B (Notice to Former Commidity Futures Custumers))Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Entwistle, Andrew)
July 12, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 7/12/2016. (Bacchus, Michael)
July 8, 2016 Filing 1106 DECLARATION of Jose C. Fraga in Support re: #1100 MOTION for Attorney Fees and Reimbursement of Litigation Expenses., #1098 MOTION to Approve the Remaining Senior Notes Underwriter Settlement .. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
July 8, 2016 Filing 1105 REPLY MEMORANDUM OF LAW in Support re: #1100 MOTION for Attorney Fees and Reimbursement of Litigation Expenses., #1098 MOTION to Approve the Remaining Senior Notes Underwriter Settlement . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
June 30, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 6/30/2016. Steven Ringer present for plaintiff U.S. Commodity Futures Trading Commission. Jonathan Streeter present for defendant Jon Corzine. Peter Mayer and Darren Kincaid present for defendant Edith O'Brien. Parties to update the Court by 7/21/16 regarding prospects for settlement. (aw)
June 28, 2016 Filing 1104 ENDORSED LETTER addressed to Judge Victor Marrero from Steven Ringer dated 6/28/2016 re: The parties have met and conferred and request a telephone conference with the Court, subject to the Court's convenience, on Thursday, June 30, 2016, or Tuesday, July 5, 2016. ENDORSEMENT: Request GRANTED. The telephone conference herein is scheduled for 6-30-16 at 10:00 a.m., ( Telephone Conference set for 6/30/2016 at 10:00 AM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 6/28/2016) (lmb)
June 22, 2016 Filing 1103 MANDATE of USCA (Certified Copy) as to #1091 Notice of Appeal, filed by Bradley I. Abelow, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust, MF Global Holdings Ltd., as Plan Administrator. USCA Case Number 16-0497. The parties in the above-referenced case have filed a stipulation withdrawing this appeal pursuant to FRAP 42. The stipulation is hereby "So Ordered".. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 06/22/2016. (nd)
June 15, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 6/15/2016. (Bacchus, Michael)
June 10, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 6/10/2016. (Bacchus, Michael)
June 3, 2016 Filing 1102 DECLARATION of Salvatore J. Graziano and Javier Bleichmar in Support re: #1100 MOTION for Attorney Fees and Reimbursement of Litigation Expenses., #1098 MOTION to Approve the Remaining Senior Notes Underwriter Settlement .. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 2A, #4 Exhibit 2B, #5 Exhibit 2C, #6 Exhibit 3, #7 Exhibit 4, #8 Exhibit 5, #9 Exhibit 6, #10 Exhibit 7, #11 Exhibit 8, #12 Exhibit 9, #13 Exhibit 10, #14 Exhibit 11, #15 Exhibit 12)(Graziano, Salvatore)
June 3, 2016 Filing 1101 MEMORANDUM OF LAW in Support re: #1100 MOTION for Attorney Fees and Reimbursement of Litigation Expenses. . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
June 3, 2016 Filing 1100 MOTION for Attorney Fees and Reimbursement of Litigation Expenses. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
June 3, 2016 Filing 1099 MEMORANDUM OF LAW in Support re: #1098 MOTION to Approve the Remaining Senior Notes Underwriter Settlement . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
June 3, 2016 Filing 1098 MOTION to Approve the Remaining Senior Notes Underwriter Settlement . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore) Modified on 7/15/2016 (lmb).
June 2, 2016 Opinion or Order Filing 1097 ORDER of USCA (Certified Copy) as to #1091 Notice of Appeal, filed by Bradley I. Abelow, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust, MF Global Holdings Ltd., as Plan Administrator USCA Case Number 16-497. The parties have filed a stipulation to withdraw the above-captioned appeal without prejudice to reinstatement. Appellants may reinstate the appeal within thirty-five days of the filing of this Stipulation, if certain conditions of the settlement agreement are not satisfied. The stipulation is SO ORDERED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 06/02/2016. (nd)
May 27, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 5/27/2016. (Bacchus, Michael)
May 20, 2016 Filing 1096 NOTICE OF CHANGE OF ADDRESS by Jane A. Rue on behalf of MF Global Holdings Ltd., as Plan Administrator. New Address: Jones Day, 250 Vesey Street, Floor 34, New York, NY, USA 10281-1047,. (Rue, Jane)
May 16, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 5/16/2016. (Bacchus, Michael)
April 18, 2016 Filing 1095 NOTICE OF CHANGE OF ADDRESS by Neil Stephen Binder on behalf of Henri J. Steenkamp. New Address: Binder & Schwartz LLP, 366 Madison Avenue, 6th Floor, New York, NY, United States 10017, (212) 510-7008. (Binder, Neil)
April 15, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 4/15/2016. (Bacchus, Michael)
April 1, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 4/1/2016. (Bacchus, Michael)
March 18, 2016 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 3/18/2016. (Bacchus, Michael)
March 18, 2016 Set/Reset Hearings: Settlement Conference set for 7/15/2016 at 11:00 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (lmb)
March 18, 2016 Opinion or Order Filing 1094 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT WITH DEFENDANTS JEFFERIES LLC, BMO CAPITAL MARKETS CORP., NATIXIS SECURITIES AMERICAS LLC, LEBENTHAL & CO., LLC, AND U.S. BANCORP INVESTMENTS, INC. granting #1092 Motion to Approve (I) PRELIMINARY APPROVAL OF THE REMAINING SENIOR NOTES UNDERWRITER SETTLEMENT, AND (II) APPROVAL OF NOTICE TO THE REMAINING SENIOR NOTES UNDERWRITER CLASS: IT IS HEREBY ORDERED: Preliminary Approval of the Settlement - The Court hereby preliminarily approves the Settlement, as embodied in the Stipulation, as being fair, reasonable and adequate to the Class, subject to further consideration at the Settlement Hearing to be conducted as described below. 2. Settlement Hearing - The Court will hold a settlement hearing (the "Settlement Hearing") on July 15, 2016 at 11:00 a.m. in Courtroom 11B of the United States Courthouse, 500 Pearl Street, New York, NY 10007 as further set forth in this order. 17. Stay and Temporary Injunction - Until otherwise ordered by the Court, the Court stays all proceedings in the Action between the Settling Parties other than proceedings necessary to carry out or enforce the terms and conditions of the Stipulation. Pending final determination of whether the Settlement should be approved, the Court bars and enjoins Settling Plaintiffs, and all other members of the Class, from commencing or prosecuting any and all of the Released Plaintiffs' Claims against each and all of the Remaining Senior Notes Underwriter Defendants' Releasees as further set forth in this order. 24. The Court retains jurisdiction to consider all further applications arising out of or connected with the proposed Settlement. (Signed by Judge Victor Marrero on 3/18/2016) (lmb)
March 11, 2016 Filing 1093 MEMORANDUM OF LAW in Support re: #1092 MOTION to Approve (I) PRELIMINARY APPROVAL OF THE REMAINING SENIOR NOTES UNDERWRITER SETTLEMENT, AND (II) APPROVAL OF NOTICE TO THE REMAINING SENIOR NOTES UNDERWRITER CLASS . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
March 11, 2016 Filing 1092 MOTION to Approve (I) PRELIMINARY APPROVAL OF THE REMAINING SENIOR NOTES UNDERWRITER SETTLEMENT, AND (II) APPROVAL OF NOTICE TO THE REMAINING SENIOR NOTES UNDERWRITER CLASS . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Graziano, Salvatore)
February 19, 2016 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #1091 Joint Notice of Appeal, filed by Bradley I. Abelow, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust, MF Global Holdings Ltd., as Plan Administrator were transmitted to the U.S. Court of Appeals. (nd)
February 19, 2016 Transmission ofn Joint Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #1091 Notice of Appeal,. (nd)
February 19, 2016 Filing 1091 JOINT NOTICE OF APPEAL from #1027 Order on Motion to Approve,,,, #1064 Order on Motion for Hearing, Order on Motion for Reconsideration,,,, #1030 Judgment,,,,,,,,,,,,,,,,,,. Document filed by Bradley I. Abelow, MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. Filing fee $ 505.00, receipt number 0208-11973901. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Rue, Jane)
February 16, 2016 Opinion or Order Filing 1090 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL: The motion of Douglas K. Yatter to withdraw as counsel for the U.S. Commodity Futures Trading Commission in this action is granted. (Signed by Judge Victor Marrero on 2/16/2016) (lmb)
February 11, 2016 Opinion or Order Filing 1089 STIPULATION AND ORDER GRANTING THE FIDELITY BONDS INSURERS ACCESS TO CONFIDENTIAL MATERIALS PRODUCED IN THE MF GLOBAL ACTIONS. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the MF Global Parties as follows: 1. Paragraph 7 of the Protective Order is hereby amended to include the following sub-section K, thereby including the FI Bonds Insurers as a separate class of Designated Persons: "K. The fidelity bonds insurers of Holdings and their counsel, accountants, auditors, regulators and reinsurers." 2. The FI Bonds Insurers agree to be subject to the Protective Order, as evidenced by their certifications attached hereto as Exhibit B. (As further set forth in this Order.) (Signed by Magistrate Judge James C. Francis on 2/11/2016) (adc)
February 10, 2016 Opinion or Order Filing 1088 ORDER granting #1087 Motion to Withdraw as Attorney. Attorney Douglas Kent Yatter terminated. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
February 9, 2016 Filing 1087 MOTION for Douglas K. Yatter to Withdraw as Attorney for the U.S. Commodity Futures Trading Commission. Document filed by U.S. Commodity Futures Trading Commission. (Attachments: #1 Text of Proposed Order)Filed In Associated Cases: 1:11-cv-07866-VM-JCF, 1:13-cv-04463-VM(Yatter, Douglas)
January 22, 2016 Filing 1086 SEALED DOCUMENT placed in vault.(rz)
January 21, 2016 Opinion or Order Filing 1085 ORDER EXTENDING TIME TO APPEAL: The Court has considered the materials filed in connection with the Joint Motion for Order Extending Time to File Notice of Appeal of the Litigation Trustee of the MF Global Litigation Trust, MF Global Holdings Ltd., on behalf of itself and its affiliates, as Plan Administrator, and Bradley Abelow. The Court, having reviewed those materials, has determined that good cause exists pursuant to Federal Rule of Appellate Procedure 4(a)(5) for extension of the time to appeal the Court's Decision and Order (ECF No. 1027), the Court's Judgment Approving Class Action Settlement With Individual Defendants (ECF No. 1030), and the Court's December 23, 2015 Order Denying Reconsideration (ECF No. 1064) by 30 days, and the Court therefore orders that the time to appeal from said orders is extended for thirty (30) days, to and through February 21, 2016. (Signed by Judge Victor Marrero on 1/21/2016) (lmb)
January 21, 2016 Filing 1084 SEALED DOCUMENT placed in vault.(mps)
January 19, 2016 Filing 1083 ENDORSED LETTER addressed to Judge Victor Marrero from Steven Ringer dated 1/14/2016 re: The parties have met and conferred and agreed, subject to approval by the Court, for the trial of the above-styled action to commence on October 13, 2016. The parties jointly contacted the Court's clerk and confirmed that there is not currently a trial scheduled for this date. If this date is acceptable, the parties will provide a pretrial schedule to the Court for approval. ENDORSEMENT: Request GRANTED. The parties are directed to submit a pretrial schedule for the Court's approval, with trial to commence on 10-13-16. (Signed by Judge Victor Marrero on 1/19/2016) (lmb)
January 19, 2016 Filing 1082 SEALED DOCUMENT placed in vault.(rz)
January 15, 2016 Filing 1081 ENDORSED LETTER addressed to Magistrate Judge James C. Francis IV from Christopher J. Barker dated 1/11/2016 re: Counsel for Defendant Edith O'Brien--the former assistant treasurer of MF Global Inc., write pursuant to Local Rule 37.2 to request a discovery conference. ENDORSEMENT: Application denied. Although defendants only received Mr. Cusimano's spreadsheet after his deposition, they were aware of the information relevant to his analysis and questioned him about it. (Signed by Magistrate Judge James C. Francis on 1/15/2016) (tro)
January 12, 2016 Opinion or Order Filing 1080 MEMO ENDORSEMENT on re: #1039 NOTICE of Withdrawal of Appearance of Charles Eskridge. ENDORSEMENT: SO ORDERED. (Signed by Judge Victor Marrero on 1/12/2016) (adc)
January 8, 2016 Filing 1079 SEALED DOCUMENT placed in vault.(mps)
January 7, 2016 Opinion or Order Filing 1078 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 1/7/2016 re: In accordance with Your Honor's January 4, 2016 Order, we write in response to the letter from the Defendant Senior Notes Underwriters about their contemplated summary judgment motion...The Underwriters have requested a briefing extension to 35 pages. We respectfully submit that 25 pages for the principal briefs is sufficient in light of the narrow issues presented. We also respectfully request that the Court schedule a trial date for its earliest convenient 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 Lead Plaintiffs. (Signed by Judge Victor Marrero on 1/7/2016) (mt)
January 7, 2016 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 1/6/2016. Steven Ringer present on behalf of US CFTC. Andy Levander present on behalf of Jon S. Corzine. Chris Barber present on behalf of Edith O'Brien. Parties to meet and confer about trial date. (aw)
January 7, 2016 Opinion or Order Filing 1077 MEMORANDUM AND OPINION: For the foregoing reasons, the CFTCs motion to compel is denied. (As further set forth in this Order.) (Signed by Magistrate Judge James C. Francis on 1/7/2016) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(cdo) Modified on 1/7/2016 (cdo).
January 7, 2016 Filing 1076 NOTICE OF CHANGE OF ADDRESS by Joshua Killion Porter on behalf of Augustus International Master Fund, L.P., Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd.. New Address: Entwistle & Cappucci LLP, 299 Park Avenue, 20th Floor, New York, NY, United States 10171, 2128947200. (Porter, Joshua)
January 6, 2016 Filing 1075 NOTICE OF CHANGE OF ADDRESS by Andrew J Entwistle on behalf of Augustus International Master Fund, L.P., Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd.. New Address: Entwistle & Cappucci LLP, 299 Park Avenue, 20th Floor, New York, NY, United States 10171, 212-894-7200. (Entwistle, Andrew)
January 5, 2016 Filing 1074 SEALED DOCUMENT placed in vault.(rz)
January 4, 2016 Filing 1073 ENDORSED LETTER addressed to Judge Victor Marrero from Adam S. Hakki dated 1/4/2016 re: Extension of time to file summary judgment motion. ENDORSEMENT: Plaintiffs are directed to respond by 1-8-16, by letter not to exceed three (3) pages, to the matter set forth above by Senior Notes Underwriters. The time for defendants herein to file summary judgment motions is extended to a date to be set at a pre-motion telephone conference to be scheduled by the Court. (Signed by Judge Victor Marrero on 1/4/2016) (kgo)
January 4, 2016 Filing 1072 NOTICE OF CHANGE OF ADDRESS by Joseph Alberto Fonti on behalf of Her Majesty the Queen in Right of Alberta. New Address: Bleichmar Fonti & Auld LLP, 7 Times Square, 27th Floor, New York, New York, 10036,. (Fonti, Joseph)
January 4, 2016 Filing 1071 NOTICE OF CHANGE OF ADDRESS by Cynthia A Hanawalt on behalf of Her Majesty the Queen in Right of Alberta. New Address: Bleichmar Fonti & Auld LLP, 7 Times Square, 27th Floor, New York, New York, 10036,. (Hanawalt, Cynthia)
January 4, 2016 Filing 1070 NOTICE OF CHANGE OF ADDRESS by Dominic J. Auld on behalf of Her Majesty the Queen in Right of Alberta. New Address: Bleichmar Fonti & Auld LLP, 7 Times Square, 27th Floor, New York, New York, 10036,. (Auld, Dominic)
January 4, 2016 Filing 1069 NOTICE OF CHANGE OF ADDRESS by Javier Bleichmar on behalf of Her Majesty the Queen in Right of Alberta. New Address: Bleichmar Fonti & Auld LLP, 7 Times Square, 27th Floor, New York, New York, 10036,. (Bleichmar, Javier)
January 4, 2016 Filing 1068 ENDORSED LETTER addressed to Judge Victor Marrero and Judge Francis from Matthew L. Mazur dated 12/29/2015 re: Extension of time to file summary judgment motion. ENDORSEMENT: Request GRANTED. The time for submission of summary judgment motions herein is extned until a date to be set at the pre-motion conference on 1-6-16. (Signed by Judge Victor Marrero on 1/4/2016) (kgo)
January 4, 2016 Filing 1067 ENDORSED LETTER addressed to Judge Victor Marrero from K. Brent Tomer dated 12/23/2015 re: response to Defendant Jon S. Corzine's December 18, 2015 letter seeking a pre-motion conference on his proposed motion for summary judgment or alternatively, partial summary 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 U.S. Commodity Futures Trading Commission. (Signed by Judge Victor Marrero on 1/4/2016) (cdo)
December 29, 2015 Filing 1066 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 12/11/15 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)
December 29, 2015 Filing 1065 TRANSCRIPT of Proceedings re: conference held on 12/11/2015 before Judge Victor Marrero. Court Reporter/Transcriber: Thomas Murray, (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 1/22/2016. Redacted Transcript Deadline set for 2/1/2016. Release of Transcript Restriction set for 3/31/2016.(McGuirk, Kelly)
December 23, 2015 Opinion or Order Filing 1064 DECISION AND ORDER denying #1028 Motion for Hearing; denying #1028 Motion for Reconsideration. For the reasons stated above, it is hereby ORDERED that the motion of MF Global Holdings, Ltd. as Plan Administrator and Nader Tavakoli as Litigation Trustee, co-lead counsel for the customer representatives, and Bradley Abelow (collectively "Movants") for Reconsideration of the Court's Order Granting Final Approval of Class Action Settlement (Dkt. No. 1028) is DENIED. (Signed by Judge Victor Marrero on 12/23/2015) (lmb)
December 23, 2015 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 12/23/2015. (Bacchus, Michael)
December 23, 2015 Filing 1063 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Cynthia Hanawalt dated 12/23/2015 re: requesting denial of the Plan Administrator's motion for reconsideration. 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. (Signed by Judge Victor Marrero on 12/23/2015) (cdo)
December 22, 2015 Filing 1062 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew J. Levander dated 12/22/2015 re: We write on behalf of Defendant Jon S. Corzine in response to the CFTC's request for a pre-motion conference on its proposed motion for summary judgment against Mr. Corzine and Defendant Edith O'Brien. 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 Jon Corzine. (Signed by Judge Victor Marrero on 12/22/2015) (lmb)
December 18, 2015 Filing 1061 ENDORSED LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 12/18/2015 re: This letter is to advise the Courts of the current status of the matters presented last Friday, which the parties understand Magistrate Judge Francis may also separately report, and to request that the status quo be maintained for a brief additional period given the developments described below. 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 Plan Administrator. (Signed by Judge Victor Marrero on 12/18/2015) (lmb)
December 18, 2015 Filing 1060 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew J. Levander dated 12/18/2015 re: request for a pre-motion conference on Mr. Corziue's proposed motion for summary judgment. ENDORSEMENT: Plaintiff CFTC is directed to respond by 12-23-15, by letter not to exceed three (3) pages, to the matter set forth above by defendant Jon Corzine, showing cause why the relief requested should not be granted. (Signed by Judge Victor Marrero on 12/18/2015) (tn)
December 18, 2015 Opinion or Order Filing 1059 ORDER: that the time for parties to update the Court as to prospects for global settlement is extended to December 23, 2015 at 3:00 P.M. (Signed by Judge Victor Marrero on 12/18/2015) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(tn)
December 17, 2015 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 12/17/2015. (Bacchus, Michael)
December 17, 2015 Filing 1058 SEALED DOCUMENT placed in vault.(mps)
December 16, 2015 Filing 1057 ENDORSED LETTER addressed to Judge Victor Marrero from K. Brent Tomer dated 12/16/2015 re: The Commission respectfully requests that the Court hold a pre-motion conference with respect to the Commission's motion for summary judgment and grant permission for the Commission to seek summary judgment. ENDORSEMENT: Defendants named above are directed to respond by 12-22-15, by letter not to exceed three (3) pages, to the matter set forth above by plaintiff USCFTC. (Signed by Judge Victor Marrero on 12/16/2015) (lmb)
December 16, 2015 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 12/16/2015. (Bacchus, Michael)
December 11, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Status Conference held on 12/11/2015. Counsel present for Securities Plaintiffs, Customer Class Plaintiffs and MFGI Assigned Claims, Sapere CTA Fund, MF Global Holdings Ltd. as Plan Administrator and Litigation Trustee, Jon Corzine, Randy MacDonald, Henri Steenkamp, Bradley Abelow, Edith O'Brien, David Dunne, Vinay Mahajan, Independent Director Defendants, Commodity Futures Trading Commission, U.S. Specialty Insurance Co., Illinois National Insurance Co. and New Hampshire Insurance Co. Court will reserve ruling on motion for combined hearing and motion for reconsideration until December 18 at 3PM. Parties to inform Judge Marrero or Judge Francis directly of progress in global settlement by that deadline. Stay granted as to all actions in MDL except CFTC and Senior Notes Underwriter actions. (aw)
December 11, 2015 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Status Conference held on 12/11/2015. (Bacchus, Michael)
December 11, 2015 Filing 1056 SEALED DOCUMENT placed in vault.(mps)
December 10, 2015 Filing 1055 REPLY MEMORANDUM OF LAW in Support re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . Reply Memorandum in Support of the Motion (A) for entry of an Order Scheduling a Combined Hearing to Approve (I) The MFG Settlement with (II) The Final Approval Hearing of the Securities Settlement, (B) For Reconsideration of the Decision and Order Granting Final Approval; and (C) Related Relief. Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Rue, Jane)
December 10, 2015 Filing 1054 RESPONSE to Motion re: (1028 in 1:11-cv-07866-VM-JCF, 1028 in 1:11-cv-07866-VM-JCF) MOTION for Hearing re: (1027) Order on Motion to Approve,,,, . MOTION for Reconsideration . Response to Estate Movants' Motion and Consent To Stay Proceedings. Document filed by Sapere CTA Fund, LP. Filed In Associated Cases: 1:11-cv-07866-VM-JCF, 1:11-cv-09114-VM(Grabowski, Jon)
December 9, 2015 Filing 1053 SEALED DOCUMENT placed in vault.(mps)
December 8, 2015 Filing 1052 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE 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)
December 8, 2015 Filing 1051 TRANSCRIPT of Proceedings re: conference 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 1/1/2016. Redacted Transcript Deadline set for 1/11/2016. Release of Transcript Restriction set for 3/10/2016.(McGuirk, Kelly)
December 8, 2015 Filing 1050 MEMORANDUM OF LAW in Opposition re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . (Redacted) - Corrected Copy. Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan. (Polubinski, Edmund)
December 8, 2015 Filing 1049 MEMORANDUM OF LAW in Opposition re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . (Redacted ). Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
December 8, 2015 Filing 1048 SEALED DOCUMENT placed in vault.(mps)
December 8, 2015 Filing 1047 SEALED DOCUMENT placed in vault.(mps)
December 8, 2015 Filing 1046 SEALED DOCUMENT placed in vault.(mps)
December 8, 2015 Filing 1045 JOINDER to join re: #1043 Memorandum of Law in Opposition to Motion, [REDACTED]. Document filed by J. Randy Macdonald.(Chapman, Dean)
December 7, 2015 Filing 1044 SEALED DOCUMENT placed in vault.(rz)
December 7, 2015 Filing 1043 MEMORANDUM OF LAW in Opposition re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . (REDACTED). Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan. (Polubinski, Edmund)
December 4, 2015 Filing 1042 RESPONSE to Motion re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . . Document filed by U.S. Commodity Futures Trading Commission. (Ringer, Steven)
December 3, 2015 Opinion or Order Filing 1041 ENDORSED LETTER addressed to Judge Victor Marrero from Christopher J. Barber dated 12/3/2015 re: Request to be excused from appearing at conference scheduled for December 11, 2015, at 1:00 pm. ENDORSEMENT: SO ORDERED. Appearance in person by co-counsel would be acceptable. (Signed by Judge Victor Marrero on 12/3/2015) (adc) Modified on 12/7/2015 (adc).
December 1, 2015 Filing 1040 NOTICE OF CONFERENCE: Counsel for all parties are directed to appear for a conference before Judge Marrero and Bankruptcy Judge Glenn to discuss issues regarding global settlement on December 11, 2015 at 1:00 p.m. in Courtroom 11B at the United States Courthouse, 500 Pearl Street, New York, New York. Unless excused by letter request, principal trial counsel must appear at this conference. The parties are directed to submit to this Court and to Judge Glenn by December 4, 2015 copies of the term sheet referred to in the Supplement to the Estate Movants' Motion for Combined Hearing and for Reconsideration (Dkt. No. 1032). (Status Conference set for 12/11/2015 at 01:00 PM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero and Bankruptcy Judge Glenn.) (Signed by Judge Victor Marrero on 12/1/2015) (kko) Modified on 12/1/2015 (kko). Modified on 12/2/2015 (kko).
December 1, 2015 Filing 1039 NOTICE of Withdrawal of Appearance of Charles Eskridge. Document filed by Augustus International Master Fund, L.P., Brian Fisher, Futures Capital Management, LLC, Shane McMahon, Michael Mette, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., William Schur, Robert Tierney, Timothy Zaug, Zybr Holdings, LLC. Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Eccles, Lindsey)
December 1, 2015 Filing 1038 JOINDER to join re: #1032 Brief,, Joinder of Vinay Mahajan in the Request by the Plan Administrator, Litigation Trustee, and Customer Representatives for an Immediate Stay of All Proceedings in the MDL. Document filed by Vinay Mahajan.(Sluka, Peter)
December 1, 2015 Filing 1037 JOINDER to join re: #1032 Brief,, Joinder of Henri Steenkamp in the Request by the Plan Administrator, Litigation Trustee, and Customer Representatives for an Immediate Stay of All Proceedings in the MDL. Document filed by Henri J. Steenkamp.(Binder, Neil)
December 1, 2015 Filing 1036 JOINDER to join re: (1032 in 1:11-cv-07866-VM-JCF) Brief,, In the Request by the Plan Administrator, Litigation Trustee, and Customer Representatives for an Immediate Stay of All Proceedings in the MDL. Document filed by David Dunne.Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Steinberg, Laura)
November 30, 2015 Filing 1035 RESPONSE to Motion re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . . Document filed by Jon S. Corzine. (Streeter, Jonathan)
November 30, 2015 Filing 1034 JOINDER to join re: #1032 Brief,, Joinder by Edith O'Brien in the Request by the Plan Administrator, Litigation Trustee, and Customer Representatives for an Immediate Stay of All Proceedings in the MDL. Document filed by Edith O'Brien.(Barber, Christopher)
November 30, 2015 Filing 1033 MEMORANDUM OF LAW in Support re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . JOINDER OF DEFENDANT BRADELY ABELOW TO THE ESTATE MOVANTS' MOTION FOR RECONSIDERATION OF THE DECISION AND ORDER GRANTING FINAL APPROVAL OF THE SECURITIES SETTLEMENT AND RELATED RELIEF. Document filed by Bradley I. Abelow. (Schoeman, Paul)
November 30, 2015 Filing 1032 SUPPLEMENTAL BRIEF re: #1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, . MOTION for Reconsideration . Supplement To The Estate Movants Motion (A) For Entry Of An Order Scheduling A Combined Hearing To Approve (I) The Global Settlement Among The Plan Administrator, Litigation Trustee, Customer Representatives And Certain Individual Defendants Named In The Mdl With (II) The Final Approval Hearing Of The Securities Settlement, (B) For Reconsideration Of The Decision And Order Granting Final Approval; And (C) Related Relief. Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(Rue, Jane)
November 25, 2015 Opinion or Order Filing 1031 ORDER APPROVING PLAN OF ALLOCATION OF NET SETTLEMENT FUNDS: IT IS HEREBY ORDERED THAT: 1. This Order approving the proposed Plan of Allocation incorporates by reference the definitions in the Joint Declaration of Salvatore J. Graziano and Javier Bleichmar in Support of: (1) Lead Plaintiffs' Motion for Final Approval of Class Action Settlements and Plan of Allocation, and (II) Co-Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses (ECF No. 1002) ("Joint Declaration") and all terms not otherwise defined herein shall have the same meanings as set forth in the Joint Declaration. 2. The Court has jurisdiction to enter this Order approving the proposed Plan of Allocation, and over the subject matter of the Action and all parties to the Action, including all members of the Settlement Classes. 3. Notice of Lead Plaintiffs' motion for approval of the proposed Plan of Allocation was given to all members of the Settlement Classes who could be identified with reasonable effort. The form and method of notifying the Settlement Class Members of the motion for approval of the proposed Plan of Allocation satisfied the requirements of Rule 23 of the Federal Rules of Civil Procedure, the Private Securities Litigation Reform Act of 1995 (15 U.S.C. 78u-4(a)(7)), due process, and all other applicable law and rules, constituted the best notice practicable under the circumstances, and constituted due and sufficient notice to all persons and entities entitled thereto. 4. Copies of the Plan of Allocation were mailed to over 77,900 potential Settlement Class Members and nominees. One objection to the Plan of Allocation was received. The objector lacks standing to raise this objection. Nonetheless, the Court has considered the objection and found it to be without merit. 5. The Court hereby finds and concludes that the formula for the calculation of the claims of Claimants as set forth in the Plan of Allocation mailed to members of the Settlement Classes provides a fair and reasonable basis upon which to allocate the proceeds of the Net Settlement Funds among Settlement Class Members with due consideration having been given to administrative convenience and necessity. 6. The Court hereby finds and concludes that the Plan of Allocation is, in all respects, fair and reasonable to the Settlement Class Members. Accordingly, the Court hereby approves the Plan of Allocation proposed by Lead Plaintiffs. 7. There is no just reason for delay in the entry of this Order, and immediate entry by the Clerk of the Court is expressly directed. (Signed by Judge Victor Marrero on 11/25/2015) (mro)
November 25, 2015 Opinion or Order Filing 1030 JUDGMENT APPROVING CLASS ACTION SETTLEMENT WITH INDIVIDUAL DEFENDANTS: WHEREAS, (a) Lead Plaintiffs the Virginia Retirement System and Her Majesty The Queen In Right Of Alberta, on behalf of themselves, the other named plaintiffs in the Action, and the other members of the Individual Defendant Settlement Class (defined below), (b) defendants Jon S. Corzine, J. Randy MacDonald, and Henri J. Steenkamp (collectively, the "Officer Defendants"), and (c) defendants David P. Bolger, Eileen S. Fusco, David Gelber, Martin J.G. Glynn, Edward L. Goldberg, David I. Schamis, and Robert S. Sloan (collectively, the "Director Defendants," together with the Officer Defendants, the "Individual Defendants"; the Individual Defendants together with Lead Plaintiffs, the "Settling Parties") have entered into a Stipulation and Agreement of Settlement with the Individual Defendants dated July 2, 2015 (the "Individual Defendant Stipulation"), that provides for a complete dismissal with prejudice of the claims asserted against the Individual Defendants in the Action on the terms and conditions set forth in the Individual Defendant Stipulation, subject to the approval of this Court (the "Individual Defendant Settlement"); IT IS HEREBY ORDERED, ADJUDGED AND DECREED: The Court has jurisdiction over the subject matter of the Action,and all matters relating to the Individual Defendant Settlement, as well as personal jurisdictionover all of the Settling Parties and each of the Individual Defendant Settlement Class Members. This Judgment incorporates and makes a part hereof: (a) the Individual Defendant Stipulation filed with the Court on July 7, 2015; and (b) the PwC/Individual Defendant Notice and the PwC/Individual Defendant Summary Notice, both of which were filed with the Court on October 9, 2015. The Court hereby affirms its determinations in the Individual Defendant Preliminary Approval Order certifying, for the purposes of the Individual Defendant Settlement only, the Action as a class action pursuant to Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure on behalf of a class consisting of all persons and entities who or which purchased or otherwise acquired any of the MF Global Securities during the Settlement Class Period (i.e., the period beginning on May 20, 2010 through and including November 21, 2011), and were damaged thereby (the "Individual Defendant Settlement Class"). Excluded from the Individual Defendant Settlement Class are: (i) Defendants and MF Global; (ii) members of the Immediate Families of the Individual Defendants; (iii) the subsidiaries and affiliates of Defendants and MF Global; (iv) any person or entity who or which was at any time during the Settlement Class Period and/or is a partner, executive officer, director, or controlling person of MF Global, or any of its subsidiaries or affiliates, or of any Defendant; (v) any entity in which any Defendant or MF Global had at any time during the Settlement Class Period and/or has a controlling interest (including but not limited to any trust established by an Individual Defendant for the benefit of (a) himself/herself or any member of his/her family, or (b) any entity in which he/she has had or has a beneficial interest; or any trust over which an Individual Defendant has had and/or currently has any form of direct or indirect control); (vi) Defendants' Insurance Carriers, and any affiliates or subsidiaries thereof; (vii) the AG Oncon Plaintiffs; (viii) Cadian and its principals, members, officers, directors and controlling persons; and (ix) the legal representatives, heirs, successors and assigns of any such excluded person or entity; provided, however, that any Investment Vehicle shall not be deemed an excluded person or entity by definition. Additionally, also excluded from the Individual Defendant Settlement Class as well as any other settlement class(es) and litigation class that may be certified in the Action is the person listed on Exhibit I hereto who is excluded pursuant to request. There is no just reason to delay the entry of this Judgment as a final judgment in this Action as against the Individual Defendants pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. Accordingly, the Clerk of the Court is expressly directed to immediately enter this final judgment as against the Individual Defendants. (As further set forth in this Judgment.) (Signed by Judge Victor Marrero on 11/25/2015) (Attachments: #1 Right to appeal attachment part 1, #2 Right to appeal attachment part 2)(mro)
November 25, 2015 Opinion or Order Filing 1029 JUDGMENT APPROVING CLASS ACTION SETTLEMENT WITH DEFENDANT PRICEWATERHOUSECOOPERS LLP: IT IS HEREBY ORDERED, ADJUDGED AND DECREED: The Court has jurisdiction over the subject matter of the Action, and all matters relating to the PwC Settlement, as well as personal jurisdiction over all of the Settling Parties and each of the PwC Settlement Class Members. This Judgment incorporates and makes a part hereof: (a) the PwC Stipulation filed with the Court on April 17, 2015; and (b) the PwC/Individual Defendant Notice and the PwC/Individual Defendant Summary Notice, both of which were filed with the Court on October 9, 2015. The Court hereby affirms its determinations in the PwC Preliminary Approval Order certifying, for the purposes of the PwC Settlement only, the Action as a class action pursuant to Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure on behalf of a class consisting of all persons and entities who or which purchased or otherwise acquired any of the MF Global Securities during the Settlement Class Period (i.e., the period beginning on May 20, 2010 through and including November 21, 2011), and were damaged thereby (the "PwC Settlement Class"). Excluded from the PwC Settlement Class are: (i) Defendants and MF Global; (ii) members of the Immediate Families of the Individual Defendants; (iii) the subsidiaries and affiliates of Defendants and MF Global; (iv) any person or entity who or which was at any time during the Settlement Class Period and/or is a partner, executive officer, director, or controlling person of MF Global, or any of its subsidiaries or affiliates, or of any Defendant; (v) any entity in which any Defendant or MF Global had at any time during the Settlement Class Period and/or has a controlling interest; (vi) Defendants' liability insurance carriers, and any affiliates or subsidiaries thereof; and (vii) the legal representatives, heirs, successors and assigns of any such excluded person or entity provided, however, that any Investment Vehicle shall not be deemed an excluded person or entity by definition. Also excluded from the Settlement Class are the PwC Entities and such entities shall not be eligible to participate in any recoveries obtained in the Action. Additionally, also excluded from the PwC Settlement Class as well as any other settlement class(es) and litigation class that may be certified in the Action is the person listed on Exhibit 1 hereto who is excluded pursuant to request. There is no just reason to delay the entry of this Judgment as a final judgment in this Action as against PwC pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. Accordingly, the Clerk of the Court is expressly directed to immediately enter this final judgment as against PwC. (As further set forth in this Judgment.) (Signed by Judge Victor Marrero on 11/25/2015) (Attachments: #1 Right to appeal attachment part 1, #2 Right to appeal attachment part 2)(mro)
November 25, 2015 Filing 1028 MOTION for Hearing re: #1027 Order on Motion to Approve,,,, ., MOTION for Reconsideration . Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(Rue, Jane)
November 25, 2015 Opinion or Order Filing 1027 DECISION AND ORDER granting (998) Motion to Approve in case 1:11-cv-07866-VM-JCF. Accordingly, it is hereby ORDERED that the Objection and Reservation of Rights with Respect to Final Approval of Securities Plaintiffs' Stipulation and Agreement of Settlement with Individual Defendants (Dkt. No. 1006) of MF Global Holdings Limited as Plan Administrator and Nader Tavakoli as Trustee of the Litigation Trust (collectively, the "Plan Administrator") is DENIED; and it is further ORDERED that Lead Plaintiffs the Virginia Retirement System and Her Majesty The Queen in Right of Alberta's Motion for Final Approval of Class Action Settlements and Plan of Allocation (Dkt. No. 998) is GRANTED; and it is further ORDERED that the Motion of Co-Lead Counsel Bernstein Litowitz Berger & Grossmann LLP and Bleichmar Fonti Tountas & Auld LLP for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses is GRANTED. (Signed by Judge Victor Marrero on 11/25/2015) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (lmb)
November 25, 2015 Opinion or Order Filing 1026 ORDER AWARDING ATTORNEYS' FEES AND EXPENSES: granting #1000 Motion for Attorney Fees. IT IS HEREBY ORDERED THAT: 1. This Order incorporates by reference the definitions in the Joint Declaration of Salvatore J. Graziano and Javier Bleichmar in Support of: (1) Lead Plaintiffs' Motion for Final Approval of Class Action Settlements and Plan of Allocation, and (II) Co-Lead Counsel's Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses (ECF No. 1002) ("Joint Declaration") and all terms not otherwise defined herein shall have the same meanings as set forth in the Joint Declaration as further set forth in this order. 4. Co-Lead Counsel are hereby awarded attorneys' fees in the amount of 19% of each of the Settlement Funds of the approved Settlements (the Underwriter Settlement, Commerz Settlement, PwC Settlement and Individual Defendant Settlement) and $3,131,337.34 in reimbursement of litigation expenses (which expenses shall be paid from the Settlement Funds in proportion to the size of the Settlement Funds), which sums the Court finds to be fair and reasonable. Co-Lead Counsel shall allocate the attorneys' fees awarded amongst Plaintiffs' Counsel in a manner which they, in good faith, believe reflects the contributions of such counsel to the institution, prosecution and settlement of the Action as further set forth in this order. 15. There is no just reason for delay in the entry of this Order, and immediate entry by the Clerk of the Court is expressly directed. (Signed by Judge Victor Marrero on 11/25/2015) (lmb)
November 23, 2015 Filing 1025 LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 11/19/2015 re: In advance of the November 20, 2015 hearing, we enclose for your Honor's review the following documents: (1) the Estate Objectors' proposed Judgment and (2) a blackline comparison of the Estate Objectors' Proposed Conditional Approval Order to the proposed Judgment submitted on October 18, 2015, by lead plaintiffs the Virginia Retirement System and Her Majesty the Queen in Right of Alberta. Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(kko)
November 23, 2015 Filing 1024 LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 11/19/2015 re: We respectfully submit this letter to address very limited issues raised in the letter from Davis Polk sent to Your Honor earlier today. Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(kko)
November 23, 2015 Filing 1023 LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 11/18/2015 re: In advance of the November 20, 2015 hearing, we enclose for Your Honor's review the following documents: (i) the proposed Judgment Approving Class Action Settlement with Defendant PricewaterhouseCoopers LLP; (ii) the proposed Judgment Approving Class Action Settlement with Individual Defendants; (iii) the proposed Order Approving Plan of Allocation of Net Settlement Funds; and (iv) the proposed Order Awarding Attorneys' Fees and Expenses. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(kko)
November 20, 2015 Filing 1022 ENDORSED LETTER addressed to Judge Victor Marrero from MF Golbal Independant Directors dated 11/19/2015 re: Matters raised in the untimely "supplemental objection" to the Securities Class Settlement, 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 MF Global Independant Directors. (Signed by Judge Victor Marrero on 11/19/2015) (cdo)
November 20, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Settlement Conference held on 11/20/2015. Co-lead counsel Salvatore Graziano present on behalf of Lead Plaintiffs and Settling Classes. Co-lead counsel Javier Bleichmar present on behalf of Lead Plaintiffs and Settling Classes. Attorney Edmund Polubinski III present for Independent Director Defendants. Attorney Robert Hotz present for Randy MacDonald. Attorney Danielle Levine present for Henri Steenkamp. Attorney Jonathan Streeter present for Jon S. Corzine. Attorney David Fine present for PricewaterhouseCoopers LLP. Attorneys Jane Rue Wittstein and Thomas Cullen, Jr. present for Plan Administrator and Litigation Trustee. Court reserving decision until Wednesday, November 25. (aw)
November 19, 2015 Filing 1021 RESPONSE in Opposition to Motion re: #969 MOTION to Approve (I) PRELIMINARY APPROVAL OF THE INDIVIDUAL DEFENDANT SETTLEMENT, (II) CERTIFICATION OF THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS . Limited Joinder of Defendant Bradley Abelow to Objection and Reservation of Rights with Respect to Final Approval of Securities Plaintiffs' Stipulation and Agreement of Settlement with Individual Defendants. Document filed by Bradley I. Abelow. (Schoeman, Paul)
November 19, 2015 Filing 1019 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 11/18/2015 re: We represent Lead Plaintiffs the Virginia Retirement System and Her Majesty the Queen in Right of Alberta in the above-captioned matter (the "Securities Action") and write in response to the Estate Objectors' November 18, 2015 letter to Your Honor. 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. (Signed by Judge Victor Marrero on 11/18/2015) (lmb)
November 18, 2015 Filing 1020 ENDORSED LETTER addressed to Judge Victor Marrero from Edmund Polubinksi, III dated 11/18/2015 re: We write on behalf of our clients and on behalf of Defendant J Randy MacDonald regarding the objection to the Securities Class settlement interposed by the Litigation Trustee. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by MF Global Independent Directors. (Signed by Judge Victor Marrero on 11/19/2015) (lmb) Modified on 11/19/2015 (lmb).
November 18, 2015 Filing 1018 NOTICE OF CHANGE OF ADDRESS by Jai Kamal Chandrasekhar on behalf of Her Majesty the Queen in Right of Alberta, Virginia Retirement System. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1251 Avenue of the Americas, 44th Floor, New York, New York, 10020, 212-554-1484. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Chandrasekhar, Jai)
November 18, 2015 Filing 1017 NOTICE OF CHANGE OF ADDRESS by Hannah Elizabeth Ross on behalf of Her Majesty the Queen in Right of Alberta, Virginia Retirement System. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1251 Avenue of the Americas, 44th Floor, New York, New York 10020, 212-554-1411. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Ross, Hannah)
November 18, 2015 Filing 1016 ENDORSED LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 11/18/2015 re: As this Court is aware, Jones Day represents Nader Tavakoli, as Trustee of the Litigation Trust (the "Litigation Trustee") in the consolidated MDL proceedings, and also represents MF Global Holdings Ltd., on behalf of itself and its affiliates (the "Plan Administrator," collectively with the Litigation Trustee, "Estate Objectors") with respect to their Objection and Reservation of Rights [MDL Docket No. 1006) (the "Estates' Objection")raising certain concerns with the Stipulation and Agreement of Settlement with Individual Defendants (the "Securities Settlement") [MDL Docket No. 969 Exhibit 1) currently scheduled for a final approval hearing ("Fairness Hearing") on November 20, 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 Litigation Trustee and Plan Administrators. (Signed by Judge Victor Marrero on 11/18/2015) (lmb)
November 18, 2015 Filing 1015 RESPONSE in Opposition to Motion re: #969 MOTION to Approve (I) PRELIMINARY APPROVAL OF THE INDIVIDUAL DEFENDANT SETTLEMENT, (II) CERTIFICATION OF THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS . Supplemental Objection/ Reservation of Rights. Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit Composite Ex. 1 of Adv. Reply, #2 Exhibit 2, #3 Exhibit 3)(Rue, Jane)
November 17, 2015 Filing 1014 NOTICE OF CHANGE OF ADDRESS by Salvatore Jo Graziano on behalf of Her Majesty the Queen in Right of Alberta, Virginia Retirement System. New Address: Bernstein Litowitz Berger & Grossmann LLP, 1251 Avenue of the Americas, 44th Floor, New York, New York, 10020, 212-554-1538. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Graziano, Salvatore)
November 17, 2015 Filing 1013 SEALED DOCUMENT placed in vault.(mps)
November 16, 2015 Filing 1012 NOTICE OF APPEARANCE by Peter Jonathan Sluka on behalf of Vinay Mahajan. (Sluka, Peter)
November 13, 2015 Filing 1011 DECLARATION of Salvatore J. Graziano and Javier Bleichmar in Support re: #1000 MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES., #998 MOTION to Approve CLASS ACTION SETTLEMENTS AND PLAN OF ALLOCATION .. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1)(Graziano, Salvatore)
November 13, 2015 Filing 1010 REPLY MEMORANDUM OF LAW in Support re: #1000 MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES., #998 MOTION to Approve CLASS ACTION SETTLEMENTS AND PLAN OF ALLOCATION . (Redacted Version). Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
November 9, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 11/9/2015 with counsel for Plan Administrator MF Global Holdings Ltd., counsel for Lead Plaintiffs Virginia Retirement System and Her Majesty the Queen in Right of Alberta, counsel for Individual Defendants. Counsel shall inform court immediately of potential resolution to settlement issues prior to conference scheduled for 11/20/15. (aw)
November 9, 2015 ***DELETED DOCUMENT. Deleted document number #1010 ENDORSED LETTER. The document was incorrectly filed in this case. (mt)
November 9, 2015 Filing 1009 LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 11/9/2015 re: Objection to Securities Settlement. Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(Rue, Jane)
November 6, 2015 Filing 1008 SEALED DOCUMENT placed in vault.(rz)
November 3, 2015 Filing 1007 ENDORSED LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 11/2/2015 re: We request that the Court schedule a telephonic Status Conference with respect to the Objection on Monday, November 9, 2015 at 3:00 p.m. EST. 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 Litigation Trustee. A conference to review the matter set forth above is scheduled by telephone on 11-9-15 at 3:00 p.m., ( Telephone Conference set for 11/9/2015 at 03:00 PM before Judge Victor Marrero.) (Signed by Judge Victor Marrero on 11/2/2015) (lmb)
October 22, 2015 Filing 1006 Objection re: #1002 Declaration in Support of Motion,,, #969 MOTION to Approve (I) PRELIMINARY APPROVAL OF THE INDIVIDUAL DEFENDANT SETTLEMENT, (II) CERTIFICATION OF THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS . Objection And Reservation Of Rights With Respect To Final Approval Of Securities Plaintiffs' Stipulation And Agreement Of Settlement With Individual Defendants. Document filed by MF Global Holdings Ltd., as Plan Administrator, Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Rue, Jane)
October 22, 2015 Filing 1005 Objection and reservation of rights with respect to final approval of Securities Plaintiffs' Stipulation and Agreement of Settlement with Defendant PricewaterhouseCoopers LLP. Document filed by MF Global Holdings Ltd., as Plan Administrator. (Mark, David)
October 15, 2015 Opinion or Order Filing 1004 CORRECTED ORDER re: #1003 Decision and Order. In the Decision and Order issued by this Court on October 14, 2015 (Dkt. No. 1003), the initial paragraph inadvertently included Sandler O'Neill & Partners, L.P. as a defendant in this case and omitted BMO Capital Markets Co. as a defendant. Sandler O'Neill & Partners, L.P. was part of a settlement approved by this Court on June 26, 2015. (Dkt. No. 965.) BMO Capital Markets Co. was a not a party to that settlement and remains a defendant in this case. Accordingly, it is hereby ORDERED that the first paragraph on page one (1) of this Court's Decision and Order dated October 14, 2015 (Dkt. No. 1003) be amended to state "Plaintiff the Government of Guam Retirement Fund ("Guam" or "Plaintiff") brought this action on behalf of a potential class (the "Proposed Class") of investors in 6.25% Senior Notes of MF Global Holdings Limited ("MF Global") between August 8, 2011 and November 21, 2011 (the "Class Period") against defendants Jefferies & Company, Inc., Lebenthal & Co., LLC, Natixis Securities North America, Inc., BMO Capital Markets Corp., and U.S. Bancorp Investments, Inc. (collectively, the "Senior Notes Underwriters" or "Defendants"). (Signed by Judge Victor Marrero on 10/15/2015) As per chambers, filed in 11cv7866 only. (mro) Modified on 10/16/2015 (mro)
October 14, 2015 Opinion or Order Filing 1003 DECISION AND ORDER granting #764 Motion to Certify Class: that the Motion of the Government of Guam Retirement Fund for Class Certification and Appointment of Class Representative and Co-Lead Class Counsel (Dkt. No. 764) is GRANTED. (Signed by Judge Victor Marrero on 10/14/2015) ***As per chambers, filed in 11cv7866 only. (tn)
October 9, 2015 Filing 1002 DECLARATION of Salvatore J. Graziano and Javier Bleichmar in Support re: #1000 MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES., #998 MOTION to Approve CLASS ACTION SETTLEMENTS AND PLAN OF ALLOCATION .. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 5A, #7 Exhibit 5B, #8 Exhibit 5C, #9 Exhibit 5D, #10 Exhibit 5E, #11 Exhibit 5F, #12 Exhibit 5G, #13 Exhibit 5H, #14 Exhibit 6, #15 Exhibit 7, #16 Exhibit 8, #17 Exhibit 9, #18 Exhibit 10, #19 Exhibit 11, #20 Exhibit 12, #21 Exhibit 13, #22 Exhibit 14)(Graziano, Salvatore)
October 9, 2015 Filing 1001 MEMORANDUM OF LAW in Support re: #1000 MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES. . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
October 9, 2015 Filing 1000 MOTION for Attorney Fees AND REIMBURSEMENT OF LITIGATION EXPENSES. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
October 9, 2015 Filing 999 MEMORANDUM OF LAW in Support re: #998 MOTION to Approve CLASS ACTION SETTLEMENTS AND PLAN OF ALLOCATION . . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
October 9, 2015 Filing 998 MOTION to Approve CLASS ACTION SETTLEMENTS AND PLAN OF ALLOCATION . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
September 14, 2015 Opinion or Order Filing 997 ENDORSED LETTER addressed to Magistrate Judge James C. Francis IV from Edward M. Pinter dated 8/31/15 re: Counsel. ENDORSEMENT: Given the ambiguity of the Amended CMO, plaintiff Sapere's service of its Requests for Admission ("RFA's") was not untimely. The Individual Defendants shall therefore provide substantive responses and/or objections to the RFA's by September 30, 2015. SO ORDERED. (Signed by Magistrate Judge James C. Francis on 9/14/2015) Filed In Associated Cases: 1:11-cv-07866-VM-JCF, 1:11-cv-09114-VM(mro)
September 11, 2015 Filing 996 ENDORSED LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 9/11/2015 re: The Sale and Assumption Agreement was approved by Judge Glenn in both the chapter 11 cases of MF Global Holdings Ltd. and its affiliates and the SIPA liquidation of MF Global Inc. Accordingly, we respectfully request that the Court deem that MFGAA is the relevant party in interest in place of the Trustee with respect to all matters regarding the MDL, and any and all correspondences or inquiries that might otherwise be directed to the Trustee regarding the MDL should be directed to MFGAA, as assignee under the Sale and Assumption Agreement. ENDORSEMENT: The Clerk of Court is directed to enter in to the public record of this action the letter above submitted to the Court by MF Global Holdings Ltd. and MF Global Assigned Assets LLC. (Signed by Judge Victor Marrero on 9/11/2015) (kko)
September 10, 2015 Filing 995 SEALED DOCUMENT placed in vault.(mps)
August 3, 2015 Filing 994 REQUEST FOR EXCLUSION FROM CLASS . Document filed by Sapere CTA Fund, LP.Filed In Associated Cases: 1:11-cv-07866-VM-JCF, 1:11-cv-09114-VM(Grabowski, Jon)
July 30, 2015 Opinion or Order Filing 993 CASE MANAGEMENT PLAN: Expert Discovery due by 11/23/2015. Depositions of experts (whether initial or rebuttal experts) due by 11/23/2015. Motions for summary judgment due by 1/11/2016; Any opposition due by 3/2/2016; Any reply due by 4/11/2016, and as further set forth in this order. (Signed by Magistrate Judge James C. Francis on 7/30/2015) ***As per chambers, filed in 11cv7866 only. (tn)
July 28, 2015 Filing 992 MEMO ENDORSEMENT on re: #986 Letter, filed by Paradigm Equities Ltd., Paradigm Asia Ltd., Paradigm Global Fund I Ltd., Augustus International Master Fund, L.P. ENDORSEMENT: Application denied. (Signed by Magistrate Judge James C. Francis on 7/28/2015) (tn)
July 28, 2015 Opinion or Order Filing 991 ORDER AMENDING CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: Expert Discovery due by 11/23/2015. Depositions of experts (whether initial or rebuttal experts) due by 11/23/2015. Motion for summary judgment due by 1/11/2016; Opposition due by 3/2/2016; Reply due by 4/11/2016, and as further set forth in this order. (Signed by Magistrate Judge James C. Francis on 7/28/2015) (tn)
July 28, 2015 Filing 990 MEMO ENDORSEMENT on re: #984 Letter, filed by Jon S. Corzine. ENDORSEMENT: Application denied. (Signed by Magistrate Judge James C. Francis on 7/28/2015) (tn)
July 27, 2015 Filing 989 LETTER addressed to Magistrate Judge James C. Francis IV from Katie Rasor dated 7/24/15 re: Proposed Order Amending Case Management Plan and Scheduling Order. Document filed by U.S. Commodity Futures Trading Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Rasor, Katherine)
July 27, 2015 Filing 988 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 6/26/2015 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)
July 27, 2015 Filing 987 TRANSCRIPT of Proceedings re: conference held on 6/26/2015 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 8/20/2015. Redacted Transcript Deadline set for 8/31/2015. Release of Transcript Restriction set for 10/29/2015.(McGuirk, Kelly)
July 26, 2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Katherine Ellen Rasor to RE-FILE Document #985 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Katie Rasor dated 7/24/2015. Use the event type Letter found under the event list Other Documents. (db)
July 24, 2015 Filing 986 LETTER addressed to Magistrate Judge James C. Francis IV from Andrew J. Entwistle dated July 24, 2015 re: Letter Concerning Sequence of Expert Reports and Request for Brief Extension. Document filed by Augustus International Master Fund, L.P., Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd..(Entwistle, Andrew)
July 24, 2015 Filing 985 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Katie Rasor dated 7/24/2015. Document filed by U.S. Commodity Futures Trading Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Rasor, Katherine) Modified on 7/26/2015 (db).
July 24, 2015 Filing 984 LETTER addressed to Magistrate Judge James C. Francis IV from Matthew L. Mazur dated July 24, 2015 re: Proposed Amended Civil Case Management Plan and Scheduling Order. Document filed by Jon S. Corzine. (Attachments: #1 Text of Proposed Order)(Mazur, Matthew)
July 24, 2015 Filing 983 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Michael S. McCauley, Esq. dated July 24, 2015. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(McCauley, Michael)
July 22, 2015 Filing 982 MANDATE of USCA (Certified Copy) as to ( #711 in 1:11-cv-07866-VM-JCF, #88 in 1:12-md-02338-VM) Notice of Appeal,, filed by Paradigm Asia Ltd., Summit Trust Company, Mark Kennedy, Rogers Varner, Jr., Kay P. Tee, LLC, Augustus International Master Fund, L.P., Paradigm Equities Ltd., Thomas G. Moran, Paradigm Global Fund I Ltd., Bearing Fund LP, Robert Marcin, PS Energy Group Inc, Thomas S. Wacker. USCA Case Number 14-1249-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: 07/22/2015. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(nd)
July 20, 2015 Opinion or Order Filing 981 DECISION AND ORDER granting #787 Motion of Customer Representatives for Class Certification of a Damages Class Pursuant to Rule 23(b)(3) and Appointing Class Counsel Pursuant to Rule 23(g). For the reasons discussed above, it is hereby ORDERED that the Motion (Dkt. No. 787) of the Plaintiffs for Class Certification and Appointment of Class Representative and Class Counsel is GRANTED. (As further set forth in this Order) (Signed by Judge Victor Marrero on 7/20/2015) (lmb)
July 10, 2015 Opinion or Order Filing 980 JUDGMENT OF DISMISSAL AGAINST INDIVIDUAL DEFENDANTS: IT IS HEREBY ORDERED, ADJUDGED AND DECREED: 1. Jurisdiction - This Court has jurisdiction over the subject matter of the Action, and all matters relating to the Settlement, as well as personal jurisdiction over all of the Settling Parties. 2. Incorporation of Settlement Documents - This Judgment incorporates and makes part hereof the Settlement Agreement (including its defined terms). All terms with initial capitalization not otherwise defined herein shall have the meanings ascribed to them in Paragraph 1 of the Settlement Agreement. 3. Dismissal of Claims - All of the claims asserted against the Individual Defendants in the Actions by Plaintiffs are hereby dismissed with prejudice. The Settling Parties shall bear their own costs and expenses as further set forth in this Order. 9. Entry of Final Judgment - There is no reason to delay the entry of this Judgment as a final judgment in this Action as against the Individual Defendants pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. Accordingly, the Clerk of the Court is expressly directed to immediately enter this final judgment as against the Individual Defendants. (As further set forth in this Order) (Signed by Judge Victor Marrero on 7/10/2015) (lmb) Modified on 4/15/2016 (lmb).
July 10, 2015 Filing 979 SEALED DOCUMENT placed in vault.(nm)
July 10, 2015 Filing 978 ENDORSED LETTER addressed to Judge Victor Marrero from Edmund Polubinski III dated 7/9/2015 re: We write regarding AG Oncon, L.L.C. v. Corzine, No. 14-cv-396. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by individual defendants. (Signed by Judge Victor Marrero on 7/10/2015) (lmb)
July 9, 2015 Filing 977 JOINT MEMORANDUM OF LAW in Support re: #976 JOINT MOTION to Dismiss / Notice of the Settling Parties' Joint Motion to Dismiss. . Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan. (Polubinski, Edmund)
July 9, 2015 Filing 976 JOINT MOTION to Dismiss / Notice of the Settling Parties' Joint Motion to Dismiss. Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan. (Attachments: #1 Exhibit A: Proposed Judgment of Dismissal Against Individual Defendants)(Polubinski, Edmund)
July 7, 2015 Set/Reset Hearings: Settlement Conference set for 11/20/2015 at 09:30 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (lmb)
July 7, 2015 Opinion or Order Filing 975 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT WITH INDIVIDUAL DEFENDANTS AND PROVIDING FOR NOTICE: granting #969 Motion to Approve (I) PRELIMINARY APPROVAL OF THE INDIVIDUAL DEFENDANT SETTLEMENT, (II) CERTIFICATION OF THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS. IT IS HEREBY ORDERED: 1. Pursuant to Rule 23(a) and (b)(3) of the Federal Rules of Civil Procedure, the Court certifies, solely for purposes of effectuating the proposed Individual Defendant Settlement, a class consisting of all persons and entities who or which purchased or otherwise acquired any of the MF Global Securities during the Settlement Class Period as further set forth in this order. 2. Solely for purposes of the proposed Individual Defendant Settlement in this Action, the Court finds that each element required for certification of the Individual Defendant Settlement Class pursuant to Rule 23 of the Federal Rules of Civil Procedure has been met as further set forth in this order. 3. The Court hereby finds and concludes that pursuant to Rule 23 of the Federal Rules of Civil Procedure, and for the purposes of the Individual Defendant Settlement only, Lead Plaintiffs are adequate class representatives and certifies them as class representatives for the Individual Defendant Settlement Class as further set forth in this order. 4. The Court hereby preliminarily approves the Individual Defendant Settlement, as embodied in the Individual Defendant Stipulation, as being fair, reasonable and adequate to the Individual Defendant Settlement Class, subject to further consideration at the Settlement Hearing to be conducted as described below. 5. The Court will hold a settlement hearing (the "Settlement Hearing") on 20 November 2015 at 9:30 a.m. in Courtroom 11B of the United States Courthouse, 500 Pearl Street, New York, New York 10007 as further set forth in this order. 28. The Court retains jurisdiction to consider all further applications arising out of or connected with the proposed Individual Defendant Settlement. (As further set forth in this Order) (Signed by Judge Victor Marrero on 7/7/2015) (lmb)
July 7, 2015 Filing 974 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 7/7/2015 re: We are pleased to inform the Court that Lead Plaintiffs and defendants Jon S. Corzine, J. Randy MacDonald, Henri J. Steenkarnp, David P. Bolger, Eileen S. Fusco, David Gelber, Martin J.G. Glynn, Edward L. Goldberg, David I. Schamis, and Robert S. Sloan (the "Individual Defendants") have agreed to a settlement of the claims in the Securities Action against the Individual Defendants, subject to Court approval for $64,500,000 in cash (the "Individual Defendant 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 Lead Plaintiffs. (Signed by Judge Victor Marrero on 7/7/2015) (lmb)
July 7, 2015 Opinion or Order Filing 973 ORDER AMENDING PWC PRELIMINARY APPROVAL ORDER: IT IS HEREBY ORDERED: 1. The Court approves the use of combined mailed notice and publication notice for the PwC Settlement and the Individual Defendant Settlement, which shall be mailed and published in accordance with the provisions of the PwC Preliminary Approval Order. 2. The PwC Preliminary Approval Order is hereby amended to provide that all references to the "PwC Notice" and the "PwC Summary Notice" in the PwC Preliminary Approval Order shall now refer to the combined PwC/Individual Defendant Notice and PwC/Individual Defendant Summary Notice attached hereto as Exhibits 1 and 2, respectively. 3. In all other respects, the PwC Preliminary Approval Order remains unchanged. (Signed by Judge Victor Marrero on 7/7/2015) (lmb)
July 7, 2015 Filing 972 MEMO ENDORSEMENT on re: #971 Letter, filed by Virginia Retirement System, Her Majesty the Queen in Right of Alberta. 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. (Signed by Judge Victor Marrero on 7/7/2015) (lmb)
July 7, 2015 ***DELETED DOCUMENT. Deleted document number #972 Endorsed Letter. The document was incorrectly filed in this case. (lmb)
July 7, 2015 Filing 971 LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 07/07/2015 re: Requesting Amendment of PwC Preliminary Approval Order. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Text of Proposed Order)(Graziano, Salvatore)
July 7, 2015 Filing 970 MEMORANDUM OF LAW in Support re: #969 MOTION to Approve (I) PRELIMINARY APPROVAL OF THE INDIVIDUAL DEFENDANT SETTLEMENT, (II) CERTIFICATION OF THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS . . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
July 7, 2015 Filing 969 MOTION to Approve (I) PRELIMINARY APPROVAL OF THE INDIVIDUAL DEFENDANT SETTLEMENT, (II) CERTIFICATION OF THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE INDIVIDUAL DEFENDANT SETTLEMENT CLASS . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Graziano, Salvatore)
July 2, 2015 Filing 968 MEMO ENDORSEMENT on re: #967 Letter, filed by BMO Capital Markets Corp., Jefferies LLC (f/k/a Jefferies & Company, Inc.), Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc. ENDORSEMENT: Application granted. (Deposition due by 7/29/2015.) (Signed by Magistrate Judge James C. Francis on 7/2/2015) (tn)
July 1, 2015 Filing 967 LETTER addressed to Magistrate Judge James C. Francis IV from Adam S. Hakki dated July 1, 2015 re: requesting the Court's permission to conduct depositions of two witnesses in the Securities Action on specified dates in July. Document filed by BMO Capital Markets Corp., Jefferies LLC (f/k/a Jefferies & Company, Inc.), Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc..(Hakki, Adam)
June 29, 2015 Opinion or Order Filing 966 ORDER granting in part and denying in part #961 Letter Motion for Local Rule 37.2 Conference. No conference is necessary. The Rule 30(b)(6) deposition notice served on the CFTC by defendant Corzine is quashed. However, the CFTC shall construe Deposition Topics 8, 9, and 10 of the deposition notice as contention interrogatories and shall provide the identifying information requested for each transaction upon which it, in good faith, intends to rely for summary judgment or for trial. The CFTC need not provide the balance of the information sought in these Deposition Topics such as the factual basis for its contentions and the supporting evidence, as "[t]he purpose of contention interrogatories is not to require the adversary to regurgitate information disclosed during discovery or preview the record that will be created at trial...." Chen-Oster v. Goldman, Sachs & Co., 10 Civ. 6950, 2013 WL 6501184, at *1 (S.D.N.Y. Dec. 11, 2013). (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
June 26, 2015 Opinion or Order Filing 965 JUDGMENT APPROVING CLASS ACTION SETTLEMENT WITH CERTAIN UNDERWRITER DEFENDANTS: This Judgment incorporates and makes a part hereof: (a) the Underwriter Stipulation filed with the Court on December 11, 2014; and (b) the Underwriter Notice and the Underwriter Summary Notice, both of which were filed with the Court on May 15, 2015. The Court hereby affirms its determinations in the Underwriter Preliminary Approval Order certifying, for the purposes of the Underwriter Settlement only, the Action as a class action pursuant to Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure on behalf of a class consisting of all persons and entities who or which purchased or otherwise acquired, during the Settlement Class Period (i.e., the period beginning on May 20, 2010 through and including November 21, 2011), any of the MF Global Settling Underwriter Securities and were damaged thereby (the "Underwriter Settlement Class"). This Court hereby fully and finally approves the Underwriter Settlement set forth in the Underwriter Stipulation in all respects (including, without limitation: the amount of the Underwriter Settlement. All of the claims asserted against the Settling Underwriter Defendants in the Action by Lead Plaintiffs and the other Underwriter Settlement Class Members are hereby dismissed with prejudice. The Settling Parties shall bear their own costs and expenses, except as otherwise expressly provided in the Underwriter Stipulation, and as further set forth in this judgment. The Clerk of the Court is expressly directed to immediately enter this final judgment as against the Settling Underwriter Defendants. (Signed by Judge Victor Marrero on 6/26/2015) ***As per chambers, Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(tn)
June 26, 2015 Opinion or Order Filing 964 JUDGMENT APPROVING CLASS ACTION SETTLEMENT WITH DEFENDANT COMMERZ MARKETS LLC: This Judgment incorporates and makes a part hereof: (a) the Commerz Stipulation filed with the Court on March 17, 2015; and (b) the Commerz Notice and the Commerz Summary Notice, both of which were filed with the Court on May 15, 2015. The Court hereby affirms its determinations in the Commerz Preliminary Approval Order certifying, for the purposes of the Commerz Settlement only, the Action as a class action pursuant to Rules 23(a) and (b)(3) of the Federal Rules of Civil Procedure on behalf of a class consisting of all persons and entities who or which purchased or otherwise acquired, during the Commerz Settlement Class Period (i.e., the period beginning on August 1, 2011 through and including November 21, 2011), MF Global 6.25% Senior Notes due August 8, 2016 issued on or about August 1, 2011 ("6.25% Senior Notes") and were damaged thereby (the "Commerz Settlement Class"). This Court hereby fully and finally approves the Commerz Settlement set forth in the Commerz Stipulation in all respects (including, without limitation: the amount of the Commerz Settlement; the Releases provided for therein, including the release of the Released Plaintiffs' Claims as against the Commerz Releasees; and the dismissal with prejudice of the claims asserted against Commerz in the Action), and finds that the Commerz Settlement is, in all respects, fair, reasonable and adequate to the Commerz Settlement Class. All of the claims asserted against Commerz in the Action by Settling Plaintiffs and the Commerz Settlement Class Members are hereby dismissed with prejudice. The Settling Parties shall bear their own costs and expenses, except as otherwise expressly provided in the Commerz Stipulation, and as further set forth in this judgment. The Clerk of the Court is expressly directed to immediately enter this final judgment as against Commerz. Commerz Markets LLC terminated. (Signed by Judge Victor Marrero on 6/26/2015) ***As per chambers, Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(tn)
June 26, 2015 Minute Entry for proceedings held before Judge Victor Marrero: Fairness Hearing held on 6/26/2015. Co-lead counsel Salvatore Graziano present on behalf of Lead Plaintiffs, Settling Plaintiff the Government of Guam Retirement Fund, and the Settlement Classes. Co-lead counsel Javier Bleichmar and Cynthia Hanawalt present on behalf of the Lead Plaintiffs and the Settlement Classes. Attorneys Mark A. Kirsh, Lisa Rubin, and Christopher Joralemon present on behalf of Settling Underwriter Defendants Goldman Sachs, Citigroup, Deutsche Bank, J.P. Morgan Chase, the Royal Bank of Scotland, Sandler O'Neill, and Merrill Lynch. Attorney H. Miriam Farber present on behalf of Commerz Markets LLC. The Court ordered final approval of the Underwriter Settlement and the Commerz Settlement, with written Orders forthcoming. The parties will address the issue of attorney's fees at a later date. (AWS)
June 25, 2015 Filing 963 LETTER RESPONSE to Motion addressed to Magistrate Judge James C. Francis IV from Matthew L. Mazur dated June 25, 2015 re: #961 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Janine Garigulio on behalf of the CFTC dated June 24, 2015. . Document filed by Jon S. Corzine. (Mazur, Matthew)
June 25, 2015 Filing 962 ENDORSED LETTER addressed to Magistrate Judge James C. Francis IV from Edward M. Pinter dated 6/24/2015 re: Counsel requests that the Court allow the conclusion of Sapere's deposition in New York on July 13, 2015. ENDORSEMENT: Application granted. (Deposition due by 7/13/2015.) (Signed by Magistrate Judge James C. Francis on 6/24/2015) Filed In Associated Cases: 1:11-cv-07866-VM-JCF, 1:11-cv-09114-VM(tn)
June 24, 2015 Filing 961 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Janine Garigulio on behalf of the CFTC dated June 24, 2015. Document filed by U.S. Commodity Futures Trading Commission. (Attachments: #1 Exhibit Exhibit: Notice of CFTC 30(b)(6) Deposition, #2 Exhibit Exhibit: First Set of Requests for Admission)(Tomer, Kenneth)
June 22, 2015 Set/Reset Deadlines: Expert Discovery due by 11/23/2015. Motions due by 1/11/2016. Responses due by 3/2/2016. Replies due by 4/11/2016. (tn)
June 22, 2015 Opinion or Order Filing 960 ORDER granting (958) Letter Motion for Extension of Time in case 1:11-cv-07866-VM-JCF; granting (125) Letter Motion for Extension of Time in case 1:12-md-02338-VM: The schedule set forth above is adopted. (Signed by Magistrate Judge James C. Francis on 6/22/2015) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (tn)
June 22, 2015 Filing 959 MEMO ENDORSEMENT on re: (952 in 1:11-cv-07866-VM-JCF; 32 in 1:14-cv-02197-VM; 122 in 1:12-md-02338-VM) Letter, filed by MF Global Holdings Ltd., as Plan Administrator. ENDORSEMENT: The application for issuance of Letters of Request is denied as untimely. The depositions requested could not be completed prior to the fact discovery deadline, and no compelling explanation has been provided for requesting them at this late stage of the litigation. (Signed by Magistrate Judge James C. Francis on 6/22/2015) (tn) Modified on 6/22/2015 (tn).
June 22, 2015 Filing 958 LETTER MOTION for Extension of Time re: the Schedule after the July 1, 2015 Deadline for Completion of Fact Discovery addressed to Magistrate Judge James C. Francis IV from David J. Mark dated June 22, 2015. Document filed by MF Global Holdings Ltd., as Plan Administrator.Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Mark, David)
June 21, 2015 Filing 957 LETTER addressed to Magistrate Judge James C. Francis IV from James J.Capra, Jr. dated June 21, 2015 re: opposition to the June 19 application of the Plan Administrator and Litigation Trustee for entry of Letters of Request seeking the assistance of English courts to obtain the testimony of three witnesses in the United Kingdom. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Exhibit A)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Capra, James)
June 21, 2015 Filing 956 LETTER addressed to Magistrate Judge James C. Francis IV from Matthew L. Mazur dated June 21, 2015 re: response to letter dated June 19, 2015. Document filed by Jon S. Corzine. (Attachments: #1 Exhibit A, #2 Exhibit B)(Mazur, Matthew)
June 19, 2015 Opinion or Order Filing 955 MEMO ENDORSEMENT granting #951 Motion to Withdraw as Attorney. ENDORSEMENT: So ordered. Attorney Justin Solomon Nematzadeh terminated. (Signed by Judge Victor Marrero on 6/19/2015) (lmb)
June 19, 2015 Filing 954 DECLARATION of Jose C. Fraga in Support re: #931 MOTION to Approve LEAD PLAINTIFFS MOTION FOR FINAL APPROVAL OF UNDERWRITER SETTLEMENT AND SETTLING PLAINTIFFS MOTION FOR FINAL APPROVAL OF COMMERZ SETTLEMENT .. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
June 19, 2015 Filing 953 REPLY MEMORANDUM OF LAW in Support re: #931 MOTION to Approve LEAD PLAINTIFFS MOTION FOR FINAL APPROVAL OF UNDERWRITER SETTLEMENT AND SETTLING PLAINTIFFS MOTION FOR FINAL APPROVAL OF COMMERZ SETTLEMENT . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
June 19, 2015 Filing 952 LETTER addressed to Magistrate Judge James C. Francis IV from David J. Mark dated June 19, 2015 re: Letters of Requests seeking the assistance of the English courts to obtain witness testimonies. Document filed by MF Global Holdings Ltd., as Plan Administrator. (Attachments: #1 Main Letter of Request, #2 Schedules to Main Letter of Request, #3 Exhibit A to the Main Letter of Request, #4 Exhibit B to the Main Letter of Request, #5 Exhibit C to the Main Letter of Request, #6 Exhibit D to the Main Letter of Request, #7 Exhibit E-1 to the Main Letter of Request, #8 Exhibit E-2 to the Main Letter of Request, #9 Exhibit F-1 to the Main Letter of Request, #10 Exhibit F-2 to the Main Letter of Request, #11 Exhibit F-3 to the Main Letter of Request, #12 Exhibit G to the Main Letter of Request, #13 Exhibit H to the Main Letter of Request, #14 Exhibit I to the Main Letter of Request, #15 Exhibit J to the Main Letter of Request, #16 Exhibit K to the Main Letter of Request, #17 Exhibit L to the Main Letter of Request, #18 Exhibit M to the Main Letter of Request, #19 Exhibit N-1 to the Main Letter of Request, #20 Exhibit N-2 to the Main Letter of Request, #21 Exhibit N-3 to the Main Letter of Request, #22 Exhibit O to the Main Letter of Request, #23 Exhibit P to the Main Letter of Request, #24 Exhibit Q to the Main Letter of Request, #25 Exhibit R to the Main Letter of Request, #26 Letter of Request for Litigation Trustee Action, #27 Letter of Request for Sapere Action, #28 Letter of Request for Securities Class Action, #29 Letter of Request for CFTC Action, #30 Letter of Request for Customer Class Action)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Mark, David)
June 19, 2015 Filing 951 MOTION for Justin S. Nematzadeh to Withdraw as Attorney . Document filed by Her Majesty the Queen in Right of Alberta.(Nematzadeh, Justin)
June 15, 2015 Filing 950 MEMO ENDORSEMENT on re: (949 in 1:11-cv-07866-VM-JCF) Letter filed by J.C. Flowers & Co. LLC, (138 in 1:11-cv-09114-VM) Letter filed by J.C. Flowers & Co. LLC. ENDORSEMENT: Request GRANTED. The Clerk of Court is directed to remove attorney David Gopstein's name from the electronic distribution mailing list for this matter., Attorney David Norwich Gopstein terminated. (Signed by Judge Victor Marrero on 6/15/2015) Filed In Associated Cases: 1:11-cv-07866-VM-JCF, 1:11-cv-09114-VM(lmb)
June 11, 2015 Filing 949 LETTER addressed to Judge Victor Marrero from David Gopstein dated June 11, 2015 re: withdrawal as counsel. Document filed by J.C. Flowers & Co. LLC.(Gopstein, David)
June 8, 2015 Opinion or Order Filing 947 ORDER denying #945 Letter Motion for Local Rule 37.2 Conference. No conference is necessary. The information that the defendants in the Litigation Trustee's action seek from the Trustee is more efficiently obtained by interrogatory than by deposing Mr. Tavakoli, and, if the defendants wish, they may proceed by interrogatory on an expedited basis. If, however, they choose to proceed with Mr. Tavakoli's deposition, and if he does not possess information that could not have been reasonably elicited by interrogatory, defendants' counsel shall bear Mr. Tavakoli's costs for the deposition, including reasonable attorneys' fees. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
June 7, 2015 Filing 946 LETTER RESPONSE in Opposition to Motion addressed to Magistrate Judge James C. Francis IV from Neil S. Binder dated June 7, 2015 re: #945 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Michael S. McCauley dated June 5, 2015. . Document filed by Henri J. Steenkamp. (Binder, Neil)
June 5, 2015 Opinion or Order Filing 948 ORDER FOR ADMISSION PRO HAC VICE: The motion of Alethea Sargent for admission to practice Pro Hac Vice in the above captioned action is granted. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Victor Marrero on 6/5/2015) (lmb)
June 5, 2015 Filing 945 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Michael S. McCauley dated June 5, 2015. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(McCauley, Michael)
June 5, 2015 Opinion or Order Filing 944 STIPULATION AND ORDER GOVERNING EXPERT DISCOVERY: IT IS HEREBY STIPULATED AND AGREED, by the parties hereto, through their undersigned counsel, subject to the approval of the Court, pursuant to Federal Rules of Civil Procedure 26 and 29 ("Rule 26" and "Rule 29"), that the following procedures shall govern discovery in connection with expert witnesses in this action: With respect to any person or entity whom a party to this action expects to call as a witness at trial or any hearing to present evidence under Rules 702, 703, or 705 of the Federal Rules of Evidence (an "Expert"), the party shall serve an opening expert report by July 31, 2015 or a rebuttal expert report by September 30, 2015 in accordance with the Scheduling Order, as may be amended or modified by the parties and the Court. (Signed by Magistrate Judge James C. Francis on 6/5/2015) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(kl)
June 5, 2015 Opinion or Order Filing 943 ORDER denying (940) Letter Motion for Extension of Time to Complete Discovery in case 1:11-cv-07866-VM-JCF. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al. (Francis, James)
June 5, 2015 Opinion or Order Filing 942 ORDER granting #939 Motion for Eric Richard Lifvendahl to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
June 5, 2015 Opinion or Order Filing 941 ORDER granting #938 Motion for Alethea Sargent to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
June 4, 2015 Filing 940 LETTER MOTION for Extension of Time to Complete Discovery addressed to Magistrate Judge James C. Francis IV from Paul H. Schoeman dated June 4, 2015. Document filed by Bradley I. Abelow.(Schoeman, Paul)
June 4, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #939 MOTION for Eric Richard Lifvendahl to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10994259. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi)
June 4, 2015 Filing 939 MOTION for Eric Richard Lifvendahl to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10994259. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Edith O'Brien. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Text of Proposed Order)(Lifvendahl, Eric)
June 4, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #938 MOTION for Alethea Sargent to Appear Pro Hac Vice Corrected. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
June 4, 2015 Filing 938 MOTION for Alethea Sargent to Appear Pro Hac Vice Corrected. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by BMO Capital Markets Corp., Commerz Markets LLC, Jefferies LLC (f/k/a Jefferies & Company, Inc.), Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc.. (Attachments: #1 Certificate of Good Standing, #2 Text of Proposed Order)(Sargent, Alethea)
June 1, 2015 Opinion or Order Filing 937 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL: granting #936 Motion to Withdraw as Attorney. The motion of Chad E. Silverman to withdraw as counsel for the U.S. Commodity Futures Trading Commission in the above-caption action is granted. Attorney Chad Eric Silverman terminated. (Signed by Judge Victor Marrero on 6/1/2015) (lmb)
June 1, 2015 Filing 936 MOTION to Withdraw as Attorney . Document filed by U.S. Commodity Futures Trading Commission. (Attachments: #1 Text of Proposed Order)(Silverman, Chad)
June 1, 2015 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. #935 MOTION for Alethea Sargent to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10975406. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): Missing Certificate of Good Standing. Certificate of Good Standing Must be issued from Supreme Court of California with a Clerk of Court Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (wb)
May 29, 2015 Filing 935 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Alethea Sargent to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10975406. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by BMO Capital Markets Corp., Commerz Markets LLC, Jefferies LLC (f/k/a Jefferies & Company, Inc.), Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc.. (Attachments: #1 Certificate of Good Standing, #2 Text of Proposed Order)(Sargent, Alethea) Modified on 6/1/2015 (wb).
May 19, 2015 Filing 934 NOTICE OF APPEARANCE by Randall Lewis Martin on behalf of BMO Capital Markets Corp., Commerz Markets LLC, Jefferies LLC (f/k/a Jefferies & Company, Inc.), Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc.. (Martin, Randall)
May 15, 2015 Filing 933 DECLARATION of Salvatore J. Graziano and Javier Bleichmar in Support re: #931 MOTION to Approve LEAD PLAINTIFFS MOTION FOR FINAL APPROVAL OF UNDERWRITER SETTLEMENT AND SETTLING PLAINTIFFS MOTION FOR FINAL APPROVAL OF COMMERZ SETTLEMENT .. Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1)(Graziano, Salvatore)
May 15, 2015 Filing 932 MEMORANDUM OF LAW in Support re: #931 MOTION to Approve LEAD PLAINTIFFS MOTION FOR FINAL APPROVAL OF UNDERWRITER SETTLEMENT AND SETTLING PLAINTIFFS MOTION FOR FINAL APPROVAL OF COMMERZ SETTLEMENT . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
May 15, 2015 Filing 931 MOTION to Approve LEAD PLAINTIFFS MOTION FOR FINAL APPROVAL OF UNDERWRITER SETTLEMENT AND SETTLING PLAINTIFFS MOTION FOR FINAL APPROVAL OF COMMERZ SETTLEMENT . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
May 6, 2015 Filing 930 NOTICE OF APPEARANCE by Alexandra N Fries on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Fries, Alexandra)
May 6, 2015 Filing 929 NOTICE OF APPEARANCE by Jessica M Hawk on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Hawk, Jessica)
May 6, 2015 Filing 928 NOTICE OF APPEARANCE by Andrew P. Domer on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Domer, Andrew)
May 6, 2015 Filing 927 MEMO ENDORSEMENT on re: #908 Notice (Other) filed by Her Majesty the Queen in Right of Alberta. ENDORSEMENT: Request GRANTED. (Signed by Judge Victor Marrero on 5/6/2015) (kgo)
May 6, 2015 Filing 926 NOTICE OF APPEARANCE by Justin Solomon Nematzadeh on behalf of LRI Invest S.A.. (Nematzadeh, Justin)
May 6, 2015 Opinion or Order Filing 925 ORDER FOR ADMISSION PRO HAC VICE: The motion of Kyle Noonan for admission to practice Pro Hac Vice in the above captioned action is granted. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Victor Marrero on 5/4/2015) (lmb)
May 6, 2015 Opinion or Order Filing 924 ORDER granting #921 Motion for Alexandra N. Fries to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
May 6, 2015 Opinion or Order Filing 923 ORDER granting #920 Motion for Jessica M. Hawk to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
May 6, 2015 Opinion or Order Filing 922 ORDER granting #919 Motion for Andrew P. Domer to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
May 5, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #921 MOTION for Alexandra N. Fries to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10887447. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
May 5, 2015 Filing 921 MOTION for Alexandra N. Fries to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10887447. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Fries, Alexandra)
May 5, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #920 MOTION for Jessica M. Hawk to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10887359. Motion and supporting papers to be reviewed by Clerk's Office staff., #919 MOTION for Andrew P. Domer to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10887315. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
May 5, 2015 Filing 920 MOTION for Jessica M. Hawk to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10887359. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Hawk, Jessica)
May 5, 2015 Filing 919 MOTION for Andrew P. Domer to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10887315. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Domer, Andrew)
May 5, 2015 Opinion or Order Filing 918 AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: Motions due by 12/21/2015, Responses due by 2/10/2016, Replies due by 3/21/2016. Deposition due by 10/30/2015. Fact Discovery due by 7/1/2015. Expert Discovery due by 10/30/2015. The next Case Management Conference is scheduled for TBD. (Signed by Magistrate Judge James C. Francis on 5/5/2015) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(kl)
May 5, 2015 Opinion or Order Filing 917 ORDER granting #916 Motion for Kyle Noonan to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
May 4, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #916 MOTION for Kyle Noonan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10883590. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
May 4, 2015 Filing 916 MOTION for Kyle Noonan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10883590. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by BMO Capital Markets Corp., Commerz Markets LLC, Jefferies LLC (f/k/a Jefferies & Company, Inc.), Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc.. (Attachments: #1 Certificate of Good Standing, #2 Certificate of Good Standing, #3 Text of Proposed Order)(Noonan, Kyle)
May 4, 2015 Filing 915 NOTICE OF APPEARANCE by Geoffrey Coyle Jarvis on behalf of Robert Marcin. Filed In Associated Cases: 1:12-md-02338-VM et al.(Jarvis, Geoffrey)
May 4, 2015 Opinion or Order Filing 914 STIPULATION AND ORDER: PwC's pending motion to dismiss [ECF No. 814] shall be held in abeyance and, upon the Court's approval of the parties' settlement in a final order, be deemed withdrawn. (Signed by Magistrate Judge James C. Francis on 5/4/2015) ***As per chambers, Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (tn)
May 4, 2015 Filing 913 LETTER addressed to Magistrate Judge James C. Francis IV from Matthew L. Mazur dated May 4, 2015 re: Proposed Amended Civil Case Management Plan and Scheduling Order. Document filed by Jon S. Corzine. (Attachments: #1 Text of Proposed Order)(Mazur, Matthew)
May 1, 2015 Filing 912 LETTER addressed to Magistrate Judge James C. Francis IV from David M. Fine dated May 1, 2015 re: PWC's motion to dismiss the Second Amended Securities Complaint [ECF No. 814] be held in abeyance and, upon the Courts approval of the parties settlement in a final order, be deemed withdrawn. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Stipulation and Order)(Fine, David)
April 30, 2015 Opinion or Order Filing 911 ORDER granting #910 Motion for Frederick G. Herold to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
April 29, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #910 MOTION for Frederick G. Herold to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10868952. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
April 29, 2015 Filing 910 MOTION for Frederick G. Herold to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10868952. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon S. Corzine. (Attachments: #1 Exhibit 1 - California Good Standing Certificate, #2 Exhibit 2 - Pennsylvania Good Standing Certificate, #3 Text of Proposed Order)(Herold, Frederick)
April 29, 2015 Filing 909 SEALED DOCUMENT placed in vault.(nm)
April 29, 2015 Filing 908 NOTICE of Withdrawal of Counsel re: #905 Notice of Appearance. Document filed by Her Majesty the Queen in Right of Alberta. (Nematzadeh, Justin)
April 29, 2015 Filing 907 NOTICE OF APPEARANCE by Elizabeth Johnson Stewart on behalf of BMO Capital Markets Corp., Commerz Markets LLC, Jefferies LLC (f/k/a Jefferies & Company, Inc.), Lebenthal & Co., LLC, Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.), U.S. Bancorp Investments, Inc.. (Stewart, Elizabeth)
April 29, 2015 Filing 906 NOTICE OF APPEARANCE by Daniel Craig Lewis on behalf of BMO Capital Markets Corp., Commerz Markets LLC, Lebenthal & Co., LLC, U.S. Bancorp Investments, Inc., Jefferies LLC (f/k/a Jefferies & Company, Inc.), Natixis Securities Americas LLC (f/k/a Natixis Securities North America Inc.). (Lewis, Daniel)
April 29, 2015 Filing 905 NOTICE OF APPEARANCE by Justin Solomon Nematzadeh on behalf of Her Majesty the Queen in Right of Alberta. (Nematzadeh, Justin)
April 27, 2015 Filing 904 NOTICE OF APPEARANCE by Kimberly Kalmanson on behalf of Her Majesty the Queen in Right of Alberta. (Kalmanson, Kimberly)
April 23, 2015 Filing 903 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence Sucharow dated 4/22/2015 re: In light of Co-Lead Counsel's intention to seek attorneys' fees and expenses in the near future, enclosed is the Declaration of Jonathan M. Plasse on Behalf of Labaton Sucharow LLP Reporting Fees and Expenses Incurred in Connection with Prosecution of the Securities Action, dated April 21, 2015, with annexed exhibits. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by former co-lead counsel Labaton Sucharow LLP. (Signed by Judge Victor Marrero on 4/23/2015) (lmb)
April 21, 2015 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 4/21/2015. Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Bacchus, Michael)
April 20, 2015 Set/Reset Hearings: Settlement Conference set for 11/20/2015 at 09:30 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (lmb)
April 20, 2015 Opinion or Order Filing 902 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT WITH DEFENDANT PRICEWATERHOUSECOOPERS LLP AND PROVIDING FOR NOTICE: granting #899 Motion to Approve (I) PRELIMINARY APPROVAL OF PWC SETTLEMENT, (II) CERTIFICATION OF THE PWC SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE PWC SETTLEMENT CLASS. Pursuant to Rule 23(a) and (b)(3) of the Federal Rules of Civil Procedure, the Court certifies, solely for purposes of effectuating the proposed PwC Settlement, a class consisting of all persons and entities who or which purchased or otherwise acquired any of the MF Global Securities during the Settlement Class Period (i.e., the period beginning on May 20, 2010 through and including November 21, 2011), and were damaged thereby (the "PwC Settlement Class") as further set forth in this order. The Court hereby finds and concludes that pursuant to Rule 23 of the Federal Rules of Civil Procedure, and for the purposes of the PwC Settlement only, Lead Plaintiffs are adequate class representatives and certifies them as class representatives for the PwC Settlement Class. The Court also appoints Co-Lead Counsel as class counsel for the PwC Settlement Class, pursuant to Rule 23(g) of the Federal Rules of Civil Procedure. The Court hereby preliminarily approves the PwC Settlement, as embodied in the PwC Stipulation, as being fair, reasonable and adequate to the PwC Settlement Class, subject to further consideration at the Settlement Hearing to be conducted as described below. The Court will hold a settlement hearing (the "Settlement Hearing") on 20 November, 2015 at 9:30 a.m. in Courtroom 11B of the United States Courthouse, 500 Pearl Street, New York, NY 10007 as furthers set forth in this order. The Court retains jurisdiction to consider all further applications arising out of or connected with the proposed PwC Settlement. (Signed by Judge Victor Marrero on 4/20/2015) (lmb) Modified on 4/23/2015 (lmb).
April 20, 2015 Opinion or Order Filing 901 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano, Javier Bleichmar dated 4/17/2015 re: On behalf of the Virginia Retirement System and Her Majesty the Queen in Right of Alberta, Court-appointed lead plaintiffs ("Lead Plaintiffs") in the above-captioned matter (the "Securities Action"), we are pleased to inform the Court that Lead Plaintiffs and defendant PricewaterhouseCoopers LLP ("PwC") have agreed to a settlement of the claims in the Securities Action against PwC, subject to Court approval for $65,000,000 in cash (the "PwC Settlement"). If approved by the Court, the proposed settlement will resolve the Securities Action as against defendant PwC only. 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 4/20/2015) (rjm)
April 17, 2015 Filing 900 MEMORANDUM OF LAW in Support re: #899 MOTION to Approve (I) PRELIMINARY APPROVAL OF PWC SETTLEMENT, (II) CERTIFICATION OF THE PWC SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE PWC SETTLEMENT CLASS . . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
April 17, 2015 Filing 899 MOTION to Approve (I) PRELIMINARY APPROVAL OF PWC SETTLEMENT, (II) CERTIFICATION OF THE PWC SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE PWC SETTLEMENT CLASS . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1 - Stipulation of Settlement, #2 Exhibit 2 - Proposed Preliminary Approval Order)(Graziano, Salvatore)
April 17, 2015 Opinion or Order Filing 898 ORDER granting #897 Letter Motion for Extension of Time to File Response/Reply. PricewaterhouseCoopers' reply with respect to its motion to dismiss shall be submitted by May 1, 2015. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
April 16, 2015 Filing 897 LETTER MOTION for Extension of Time to File Response/Reply as to #814 MOTION to Dismiss with prejudice Count Three of the Consolidated Second Amended Securities Class Action Complaint and granting such other and further relief as the Court deems just and proper. addressed to Magistrate Judge James C. Francis IV from David M. Fine dated April 16, 2015. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Stipulation and Order)(Fine, David)
April 14, 2015 Filing 896 NOTICE OF APPEARANCE by Robin Marie Wilcox on behalf of Bradley I. Abelow. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Wilcox, Robin)
April 14, 2015 Opinion or Order Filing 895 ORDER granting in part and denying in part (887) Letter Motion for Conference in case 1:11-cv-07866-VM-JCF. Defendants collectively may depose Mr. Corzine for an additional 5 hours beyond the 3 days allotted to plaintiffs collectively; defendants may depose Mr. Steenkamp and Mr. Abelow for an additional 3 hours per witness beyond the 2 days allotted to plaintiffs; with respect to single day depositions of parties (including former employees), the parties noticing the deposition (e.g., plaintiffs, collectively) shall be allotted 5 hours and the adverse parties (e.g., defendants, collectively) 2 hours. With respect to single day depositions of non-parties, the time shall be divided evenly between plaintiffs and defendants. Counsel are expected to cooperate and demonstrate flexibility with respect to the actual duration of depositions. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al. (Francis, James)
April 14, 2015 Filing 894 LETTER addressed to Magistrate Judge James C. Francis IV from Matthew L. Mazur dated April 14, 2015 re: scheduled depositions. Document filed by Jon S. Corzine.(Mazur, Matthew)
April 13, 2015 Opinion or Order Filing 893 SECOND AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: The parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). This case is to be tried to a jury. Should Defendants in the Securities Action seek to oppose Plaintiffs' motion for class certification filed on 9/15/2014, any opposition papers shall be due on 7/10/2015. Any reply papers shall be due on 9/10/2015. Fact Discovery, including requests for the production of documents, interrogatories, and depositions, due by 7/1/2015. Expert Discovery due by 10/30/2015. Deposition of experts (whether initial or rebuttal experts) due by 10/30/2015. Motion for summary judgment due by 12/21/2015; any opposition to a motion for summary judgment due by 2/10/2016; any reply in support of a motion for summary judgment due by 3/21/2016. (Signed by Magistrate Judge James C. Francis on 4/13/2015) ***As per chambers, filed in 11cv7866 only. (tn)
April 10, 2015 Filing 892 LETTER addressed to Magistrate Judge James C. Francis IV from Edmund Polubinski III dated April 10, 2015 re: the entry of the Proposed Second Amended Civil Case Management Plan and Scheduling Order. Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan. (Attachments: #1 Text of Proposed Order Proposed Order)(Polubinski, Edmund)
April 9, 2015 Filing 891 LETTER RESPONSE to Motion addressed to Magistrate Judge James C. Francis IV from Neil S. Binder dated April 9, 2015 re: #887 LETTER MOTION for Conference addressed to Magistrate Judge James C. Francis IV from Merrill G. Davidoff dated April 8, 2015. . Document filed by Henri J. Steenkamp. (Binder, Neil)
April 9, 2015 Filing 890 LETTER RESPONSE in Support of Motion addressed to Magistrate Judge James C. Francis IV from Merrill G. Davidoff, et al. dated April 9, 2015 re: #887 LETTER MOTION for Conference addressed to Magistrate Judge James C. Francis IV from Merrill G. Davidoff dated April 8, 2015. . Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
April 9, 2015 Filing 889 LETTER RESPONSE to Motion addressed to Magistrate Judge James C. Francis IV from James P. Cusick dated 4/9/2015 re: #887 LETTER MOTION for Conference addressed to Magistrate Judge James C. Francis IV from Merrill G. Davidoff dated April 8, 2015. . Document filed by PricewaterhouseCoopers LLP. (Cusick, James)
April 9, 2015 Filing 888 LETTER RESPONSE to Motion addressed to Magistrate Judge James C. Francis IV from Andrew J. Levander dated April 9, 2015 re: #887 LETTER MOTION for Conference addressed to Magistrate Judge James C. Francis IV from Merrill G. Davidoff dated April 8, 2015. . Document filed by Jon S. Corzine. (Levander, Andrew)
April 8, 2015 Filing 887 LETTER MOTION for Conference addressed to Magistrate Judge James C. Francis IV from Merrill G. Davidoff dated April 8, 2015. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker.(Davidoff, Merrill)
April 3, 2015 Opinion or Order Filing 886 STIPULATION AND ORDER TO EXTEND TIME FOR DEFENDANT PRICEWATERHOUSECOOPERS LLP TO FILE ITS REPLY IN SUPPORT OF ITS MOTION TO DISMISS COUNT THREE OF THE CONSOLIDATED SECOND AMENDED SECURITIES CLASS ACTION COMPLAINT: that the date for PwC to file its reply in support of its motion to dismiss Count Three of the Complaint shall be extended by two weeks, until Friday, April 17, 2015. Set Deadlines/Hearing as to #814 MOTION to Dismiss with prejudice Count Three of the Consolidated Second Amended Securities Class Action Complaint and granting such other and further relief as the Court deems just and proper: Replies due by 4/17/2015. (Signed by Magistrate Judge James C. Francis on 4/3/2015) ***As per chambers, filed in 11cv7866 only. (tn) Modified on 4/3/2015 (tn).
April 2, 2015 Filing 885 LETTER MOTION for Extension of Time to File Response/Reply as to #814 MOTION to Dismiss with prejudice Count Three of the Consolidated Second Amended Securities Class Action Complaint and granting such other and further relief as the Court deems just and proper. addressed to Magistrate Judge James C. Francis IV from David M. Fine dated April 2, 2015. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Stipulation and Order)(Fine, David)
April 1, 2015 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 4/1/2015. (Bacchus, Michael)
March 30, 2015 Filing 884 NOTICE OF APPEARANCE by Joseph Alberto Fonti on behalf of Her Majesty the Queen in Right of Alberta. (Fonti, Joseph)
March 30, 2015 Opinion or Order Filing 883 ORDER: A settlement conference having been held on March 18, 2015, it is hereby ORDERED that a further settlement conference will be held on April 1, 2015, at 9:30 a.m. in Courtroom 18D of the U.S. Courthouse, 500 Pearl Street, New York, New York. (Settlement Conference set for 4/1/2015 at 09:30 AM in Courtroom 18D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge James C. Francis.) (Signed by Magistrate Judge James C. Francis on 3/30/2015) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(kko)
March 20, 2015 Filing 880 NOTICE of Non-Party Subpoena. Document filed by Bradley I. Abelow, Henri J. Steenkamp. (Aufses, Arthur)
March 20, 2015 Opinion or Order Filing 879 STIPULATION AND ORDER TO EXTEND TIME FOR DEFENDANT PRICEWATERHOUSECOOPERS LLP TO FILE ITS REPLY IN SUPPORT OF ITS MOTION TO DISMISS COUNT THREE OF THE CONSOLIDATED SECOND AMENDED SECURITIES CLASS ACTION COMPLAINT: IT IS NOW HEREBY STIPULATED AND AGREED, by the undersigned counsel for the Plaintiffs and PwC, that the date for PwC to file its reply in support of its motion to dismiss Count Three of the Complaint shall be extended by another two weeks, until Friday, April 3, 2015. SO ORDERED.( Replies due by 4/3/2015.), Motions terminated: #878 LETTER MOTION for Extension of Time to File Response/Reply as to #814 MOTION to Dismiss with prejudice Count Three of the Consolidated Second Amended Securities Class Action Complaint and granting such other and further relief as the Court filed by PricewaterhouseCoopers LLP. (Signed by Magistrate Judge James C. Francis on 3/20/2015) (ama)
March 19, 2015 Filing 878 LETTER MOTION for Extension of Time to File Response/Reply as to #814 MOTION to Dismiss with prejudice Count Three of the Consolidated Second Amended Securities Class Action Complaint and granting such other and further relief as the Court deems just and proper. addressed to Magistrate Judge James C. Francis IV from David M. Fine dated March 19, 2015. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Stipulation and Order)(Fine, David)
March 18, 2015 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Settlement Conference held on 3/18/2015. (Bacchus, Michael)
March 17, 2015 Filing 882 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 3/17/2015 re: We are pleased to inform the Court that Settling Plaintiffs and underwriter defendant Commerz Markets LLC ("Commerz") have finalized the terms of a settlement of the claims in the Securities Action against Commerz, subject to Court approval. If approved by the Court, the proposed settlement will resolve the Securities Action as against Commerz which underwrote 2% of the final notes offering during the Class Period. 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 3/17/2015) (lmb) Modified on 4/29/2015 (lmb).
March 17, 2015 Set/Reset Hearings: Settlement Conference set for 6/26/2015 at 09:30 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (kl)
March 17, 2015 Opinion or Order Filing 881 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT WITH COMMERZ MARKETS LLC AND PROVIDING FOR NOTICE granting #875 Motion to Approve (I) PRELIMINARY APPROVAL OF COMMERZ SETTLEMENT, (II) CERTIFICATION OF THE COMMERZ SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE COMMERZ SETTLEMENT CLASS. The Court hereby preliminarily approves the Commerz Settlement, as embodied in the Commerz Stipulation, as being fair, reasonable and adequate to the Commerz Settlement Class, subject to further consideration at the Settlement Hearing to be conducted as described below. The Court will hold a settlement hearing (the "Settlement Hearing") on June 26, 2015 at 9:30 a.m. in Courtroom 11B of the United States Courthouse, 500 Pearl Street, New York, NY 10007. (Signed by Judge Victor Marrero on 3/17/2015) (kl) Modified on 3/23/2015 (kl).
March 17, 2015 Filing 877 NOTICE OF APPEARANCE by Thomas F. Cullen, Jr on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Cullen, Thomas)
March 17, 2015 Filing 876 MEMORANDUM OF LAW in Support re: #875 MOTION to Approve (I) PRELIMINARY APPROVAL OF COMMERZ SETTLEMENT, (II) CERTIFICATION OF THE COMMERZ SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE COMMERZ SETTLEMENT CLASS . . Document filed by Government of Guam Retirement Fund, Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
March 17, 2015 Filing 875 MOTION to Approve (I) PRELIMINARY APPROVAL OF COMMERZ SETTLEMENT, (II) CERTIFICATION OF THE COMMERZ SETTLEMENT CLASS, AND (III) APPROVAL OF NOTICE TO THE COMMERZ SETTLEMENT CLASS . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System, Government of Guam Retirement Fund. (Attachments: #1 Exhibit 1 - Stipulation of Settlement, #2 Exhibit 2 - Proposed Preliminary Approval Order)(Graziano, Salvatore)
March 17, 2015 Opinion or Order Filing 874 ORDER granting #873 Motion for Thomas F. Cullen to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
March 17, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #873 MOTION for Thomas F. Cullen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10706575. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
March 16, 2015 Filing 873 MOTION for Thomas F. Cullen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10706575. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Cullen, Thomas)
March 13, 2015 Opinion or Order Filing 872 ORDER granting #871 Letter Motion for Extension of Time for mailing the notice of the proposed Underwriter Settlement. SO ORDERED. (Signed by Judge Victor Marrero on 3/13/2015) (spo)
March 12, 2015 Filing 871 LETTER MOTION for Extension of Time to mail notice of proposed Underwriter Settlement addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 03/12/2015. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
March 10, 2015 Filing 870 NOTICE OF APPEARANCE by Catherine Akiko Itaya on behalf of David P. Bolger, Jon S. Corzine, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, J. Randy Macdonald, David I. Schamis, Robert S. Sloan, Robert S Sloan. (Itaya, Catherine)
March 9, 2015 Filing 869 NOTICE OF APPEARANCE by Christopher William Dysard on behalf of David P. Bolger, Jon S. Corzine, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, J. Randy Macdonald, David I. Schamis, Robert S. Sloan, Robert S Sloan. (Dysard, Christopher)
March 9, 2015 Filing 868 NOTICE OF CHANGE OF ADDRESS by Michael H. Moirano on behalf of Robert Tierney. New Address: Moirano Gorman Kenny, LLC, 135 S. LaSalle Street, Suite 3025, Chicago, Illinois, United States 60603, 3126141260. (Moirano, Michael)
March 9, 2015 Filing 867 NOTICE OF CHANGE OF ADDRESS by Claire E. Gorman Kenny on behalf of Robert Tierney. New Address: Moirano Gorman Kenny, LLC, 135 S. LaSalle Street, Suite 3025, Chicago, Illinois, USA 60603, (312)614-1260. (Gorman Kenny, Claire)
March 5, 2015 Filing 866 NOTICE OF APPEARANCE by Haley M. McIntosh on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (McIntosh, Haley)
March 5, 2015 Opinion or Order Filing 865 ORDER granting #862 Letter Motion for Extension of Time to File Response/Reply. The deadline for Pricewaterhouse Coopers to submit a reply in connection with its motion to dismiss is extended to March 20, 2015. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
March 5, 2015 Opinion or Order Filing 864 ORDER granting #863 Motion for Joseph T. Kelleher to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
March 5, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #863 MOTION for Joseph T. Kelleher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10665556. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
March 5, 2015 Filing 863 MOTION for Joseph T. Kelleher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10665556. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Franklin Templeton Institutional, LLC, Fiduciary Trust International of California, Andrew Forsyth. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Text of Proposed Order)(Kelleher, Joseph)
March 5, 2015 Filing 862 LETTER MOTION for Extension of Time to File Response/Reply as to #814 MOTION to Dismiss with prejudice Count Three of the Consolidated Second Amended Securities Class Action Complaint and granting such other and further relief as the Court deems just and proper. addressed to Magistrate Judge James C. Francis IV from David M. Fine dated March 5, 2015. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Stipulation & Order)(Fine, David)
March 4, 2015 Filing 861 NOTICE OF CHANGE OF ADDRESS by Neil Stephen Binder on behalf of Henri J. Steenkamp. New Address: Binder & Schwartz LLP, 28 West 44th Street, Suite 700, New York, New York, United States 10036, (212) 510-7008. (Binder, Neil)
March 4, 2015 Opinion or Order Filing 860 ORDER granting (857) Motion for Haley M. McIntosh to Appear Pro Hac Vice in case 1:11-cv-07866-VM-JCF (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al. (Francis, James)
March 4, 2015 Opinion or Order Filing 859 ORDER granting (856) Letter Motion for Extension of Time to Complete Discovery in consolidated cases. All fact discovery shall be completed by July 1, 2015; counsel shall submit a case management order with corresponding changes to the remaining deadlines. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al. (Francis, James)
March 3, 2015 Filing 858 REPLY MEMORANDUM OF LAW in Support re: #787 MOTION of Customer Representatives for Class Certification of a Damages Class Pursuant to Rule 23(b)(3) and Appointing Class Counsel Pursuant to Rule 23(g) . . Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
March 3, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #857 MOTION for Haley M. McIntosh to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10655433. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
March 3, 2015 Filing 857 MOTION for Haley M. McIntosh to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10655433. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(McIntosh, Haley)
March 3, 2015 Filing 856 LETTER MOTION for Extension of Time to Complete Discovery addressed to Magistrate Judge James C. Francis IV from Paul H. Schoeman dated March 3, 2015. Document filed by Bradley I. Abelow.Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Schoeman, Paul)
March 2, 2015 Filing 855 NOTICE OF APPEARANCE by Katherine Ellen Rasor on behalf of U.S. Commodity Futures Trading Commission. (Rasor, Katherine)
March 2, 2015 Filing 854 NOTICE OF APPEARANCE by Janine M Gargiulo on behalf of U.S. Commodity Futures Trading Commission. (Gargiulo, Janine)
February 24, 2015 Filing 853 ENDORSED LETTER addressed to Judge Victor Marrero from Claire Gorman Kenny dated 2/23/2015 re: I am writing on behalf of Michael H. Moirano and myself to request a pre-motion conference on our proposed Motion for Substitution, or alternatively, that this Court permit the requested substitution without the need for a Motion and additional briefing on this issue. ENDORSEMENT: Request GRANTED. The substitution described above is approved. No pre-motion conference is necessary for this purpose., Attorney Brittany E. Kirk terminated. (Signed by Judge Victor Marrero on 2/24/2015) (lmb)
February 15, 2015 Opinion or Order Filing 852 ORDER denying #850 Letter Motion for Local Rule 37.2 Conference. No conference is necessary. The depositions shall proceed promptly. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
February 15, 2015 Opinion or Order Filing 851 ORDER granting #849 Motion for Lindsay Godfrey Eccles to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
February 13, 2015 Filing 850 LETTER MOTION for Local Rule 37.2 Conference to Compel Depositions addressed to Magistrate Judge James C. Francis IV from Plaintiffs: Litigation Trustee, Securities Class Plaintiffs, Customer Class Plaintiffs, and Plan Administrator dated February 13, 2015. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(McCauley, Michael)
February 13, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #849 MOTION for Lindsey Godfrey Eccles to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10592736. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
February 12, 2015 Filing 849 MOTION for Lindsey Godfrey Eccles to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10592736. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Augustus International Master Fund, L.P., Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., William Schur, Zybr Holdings, LLC. (Attachments: #1 Certificate of Good Standing, #2 Text of Proposed Order)(Eccles, Lindsey)
February 9, 2015 Opinion or Order Filing 848 MEMORANDUM AND ORDER denying (789) Motion to Compel in case 1:11-cv-07866-VM-JCF: For these reasons, the Individual Defendants' Motion to Compel Trustee's Production of EY Documents (Docket no. 789) is denied. (Signed by Magistrate Judge James C. Francis on 2/9/2015) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (tn)
February 6, 2015 Filing 847 SEALED DOCUMENT placed in vault.(nm)
February 4, 2015 Opinion or Order Filing 846 ORDER re: (839 in 1:11-cv-07866-VM-JCF) Letter, filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust, (840 in 1:11-cv-07866-VM-JCF) Letter filed by Jon S. Corzine: Settlement Conference set for 3/18/2015 at 10:00 AM in Courtroom 18D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge James C. Francis. The Plaintiff Group and the Individual Defendants shall each submit to the Court, ex parte, a detailed pre-mediation memo. The memos shall be due in chambers before close of business on March 11, 2015. (Signed by Magistrate Judge James C. Francis on 2/4/2015) (tn)
February 3, 2015 Filing 845 NOTICE OF APPEARANCE by Christopher Lanzalotto on behalf of BMO Capital Markets Corp., Commerz Markets LLC, Jefferies & Company, Inc., Lebenthal & Co., LLC, Natixis Securities North America Inc., U.S. Bancorp Investments, Inc.. (Lanzalotto, Christopher)
February 3, 2015 Filing 844 NOTICE OF APPEARANCE by Jaculin Aaron on behalf of BMO Capital Markets Corp., Commerz Markets LLC, Jefferies & Company, Inc., Lebenthal & Co., LLC, Natixis Securities North America Inc., U.S. Bancorp Investments, Inc.. (Aaron, Jaculin)
February 3, 2015 Opinion or Order Filing 843 STIPULATED ORDER OF DISMISSAL WITH PREJUDICE: Pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii), upon the stipulation of all named Plaintiffs and the undersigned Defendants in the above-captioned action, by and through their respective counsel, Plaintiff Monica Rodriguez's claims asserted in the Consolidated Second Amended Securities Class Action Complaint, including Plaintiff Rodriguez's Section 10(b) and Section 20(a) claims under the Securities Exchange Act of 1934 (the "Exchange Act") against Defendants Jon S. Corzine, J. Randy MacDonald, Henri J. Steenkamp, and PricewaterhouseCoopers LLP, are hereby DISMISSED, with prejudice, with each side to bear its own costs and attorneys' fees. Nothing in this Stipulation and Order has dismissed, or shall be deemed to have dismissed, the claims of Lead Plaintiffs The Virginia Retirement System and Her Majesty The Queen In Right Of Alberta, and additional named plaintiffs The Government Of Guam Retirement Fund, The West Virginia Laborers' Pension Trust Fund, LRI Invest S.A., and Jerome Vrabel brought pursuant to the Exchange Act or the Securities Act of 1933 in this consolidated securities action. (Signed by Judge Victor Marrero on 2/3/2015) Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(lmb)
February 3, 2015 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Salvatore Graziano Document #842 Stipulation of Voluntary Dismissal was referred to Judge Victor Marrero for approval. (km)
February 2, 2015 Filing 842 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 prejudice against the defendant(s) BMO Capital Markets Corp., David P. Bolger, Citigroup Global Markets Inc., Commerz Markets LLC, Jon S. Corzine, Deutsche Bank Securities Inc., Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, Goldman Sachs & Co., J.P. Morgan Securities Inc., Jefferies & Company, Inc., Lebenthal & Co., LLC, J. Randy Macdonald, Merril Lynch, Pierce, Fenner & Smith Incorporated, Natxis Securities North America, Inc., PricewaterhouseCoopers LLP, RBS Securities Inc., Sandler O'Neill & Partners, L.P., David I. Schamis, Robert S Sloan, Henri J. Steenkamp, U.S. Bancorp Investments, Inc. pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Monica Rodriguez.(Graziano, Salvatore) Modified on 2/3/2015 (km).
February 2, 2015 Opinion or Order Filing 841 STIPULATION AND ORDER EXTENDING THE CLASS CERTIFICATION BRIEFING DEADLINES: Defendants seeking to oppose Plaintiffs' motion for class certification shall file opposition papers by April 3, 2015. Any reply papers shall be due on June 3, 2015. Set Deadlines/Hearing as to #764 MOTION to Certify Class: Responses due by 4/3/2015, Replies due by 6/3/2015. (Signed by Magistrate Judge James C. Francis on 2/2/2015) ***As per chambers, filed in 11cv7866 only. (tn)
February 2, 2015 Filing 840 LETTER addressed to Magistrate Judge James C. Francis IV from the Individual Defendants dated February 2, 2015 re: Response to Plaintiffs joint letter of January 30, 2015. Document filed by Jon S. Corzine.(Streeter, Jonathan)
January 30, 2015 Filing 839 LETTER addressed to Magistrate Judge James C. Francis IV from Litigation Trustee, Securities Class Plaintiffs, Customer Class Plaintiffs, SIPA Trustee dated January 30, 2015 Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(Schneidereit, Michael)
January 30, 2015 Filing 838 CONSENT LETTER MOTION for Extension of Time to File Response/Reply as to #781 Order on Motion for Extension of Time,,,,,, Consent Letter Motion requesting a six-week extension of the briefing schedule on Plaintiffs' motion for class certification addressed to Magistrate Judge James C. Francis IV from David M. Fine dated 1/30/2015. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Stipulation and Proposed Order)(Fine, David)
January 30, 2015 Opinion or Order Filing 837 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting #830 Motion for Richard D. Gluck to Appear Pro Hac Vice. (Signed by Magistrate Judge James C. Francis on 1/30/2015) (tn)
January 29, 2015 Opinion or Order Filing 836 ORDER denying without prejudice #828 Letter Motion for Local Rule 37.2 Conference in light of the representation that the parties are attempting to resolve the issues raised. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
January 23, 2015 Filing 835 SEALED DOCUMENT placed in vault.(mps)
January 23, 2015 Filing 834 MEMORANDUM OF LAW in Opposition re: #787 MOTION of Customer Representatives for Class Certification of a Damages Class Pursuant to Rule 23(b)(3) and Appointing Class Counsel Pursuant to Rule 23(g) . . Document filed by Bradley I. Abelow. (Schoeman, Paul)
January 23, 2015 Filing 833 DECLARATION of Paul H. Schoeman in Opposition re: #787 MOTION of Customer Representatives for Class Certification of a Damages Class Pursuant to Rule 23(b)(3) and Appointing Class Counsel Pursuant to Rule 23(g) .. Document filed by Bradley I. Abelow. (Schoeman, Paul)
January 23, 2015 Filing 832 SEALED DOCUMENT placed in vault.(rz)
January 20, 2015 Filing 831 LETTER addressed to Magistrate Judge James C. Francis IV from Alun W. Griffiths dated January 20, 2015 Document filed by Moody's Investors Service, Inc..(Griffiths, Alun)
January 20, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #830 MOTION for Richard D. Gluck to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10507845. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
January 16, 2015 Filing 830 MOTION for Richard D. Gluck to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10507845. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit A - Certificate of Good Standings, #2 Exhibit B - Proposed Order)(Gluck, Richard)
January 15, 2015 Opinion or Order Filing 829 MEMORANDUM AND ORDER granting in part #798 Letter Motion for Local Rule 37.2 Conference: that the application is granted in part. Within fourteen days of the date of this Order, the parties shall meet and confer to agree on a reasonable list of additional custodians -- no more than six -- whose files shall be produced. In addition, they shall confer to identify a reasonable subset of file systems likely to contain relevant documents, which the Litigation Trustee shall produce. This resolves Docket no. 798 in Case no. 11 Civ. 7866. (Signed by Magistrate Judge James C. Francis on 1/15/2015) (tn) Modified on 1/16/2015 (tn).
January 13, 2015 Filing 828 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Matthew L. Mazur dated January 13, 2015. Document filed by Jon S. Corzine.(Mazur, Matthew)
January 9, 2015 Filing 827 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Augur Financial Holdings V.S.A. for LRI Invest S.A.. Document filed by LRI Invest S.A..(Graziano, Salvatore)
January 9, 2015 Opinion or Order Filing 826 ORDER granting #824 Letter Motion for Extension of Time to File Response/Reply. Defendants shall answer the motion for class certification in the Commodities Customer Class Action by January 23, 2015; plaintiffs shall reply by March 18, 2015. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
January 8, 2015 Filing 825 NOTICE OF APPEARANCE by Deborah M. Sturman on behalf of LRI Invest S.A.. (Sturman, Deborah)
January 7, 2015 Filing 824 LETTER MOTION for Extension of Time to File Response/Reply as to #787 MOTION of Customer Representatives for Class Certification of a Damages Class Pursuant to Rule 23(b)(3) and Appointing Class Counsel Pursuant to Rule 23(g) . addressed to Magistrate Judge James C. Francis IV from Arthur H. Aufses III dated January 7, 2015. Document filed by Bradley I. Abelow.(Aufses, Arthur)
January 5, 2015 Opinion or Order Filing 823 JUDGMENT OF DISMISSAL AGAINST CERTAIN UNDERWRITER DEFENDANTS: IT IS HEREBY ORDERED, ADJUDGED AND DECREED: 1. This Court has jurisdiction over the subject matter of the Action, and all matters relating to the Settlement, as well as personal jurisdiction over all of the Settling Parties. 2. This Judgment incorporates and makes a part hereof the Settlement Agreement (including its defined terms). 3. All of the claims asserted against the Settling Underwriter Defendants in the Action by Plaintiffs are hereby dismissed with prejudice. 4. Plaintiffs' claims against the Non-Settling Underwriter Defendants in this Action are hereby dismissed without prejudice, subject to the provision of Paragraph 10 of the Settlement Agreement. 5. The Settling Parties shall bear their own costs and expenses. 6. The Releases set forth in Paragraphs 3 and 4 of the Settlement Agreement, together with the definitions contained in Paragraph 1 of the Settlement Agreement, are expressly incorporated herein in all respects and shall be effective without further action by anyone as of the Effective Date. 7. The Court hereby: (a) permanently bars, enjoins and restrains any person or entity from commencing, prosecuting, or asserting any Barred Claims against any of the Settling Underwriter Defendants' Releasees, whether as claims, cross-claims, counterclaims, third-party claims, or otherwise, and whether asserted in the Action or any other proceeding, in this Court, in any federal or state court, or in any other court, arbitration proceeding, administrative agency, or other forum in the United States or elsewhere; and (b) permanently bars, enjoins, and restrains the Settling Underwriter Defendants' Releasees from commencing, prosecuting, or asserting any Barred Claims against any person or entity, whether as claims, cross-claims, counterclaims, third-party claims or otherwise, and whether asserted in the Action or any other proceeding, in this Court, in any federal or state court, or in any other court, arbitration proceeding, administrative agency, or other forum in the United States or elsewhere as further set forth in this order. 9. If the Settlement is terminated as provided in the Settlement Agreement or the Effective Date of the Settlement otherwise fails to occur, this Judgment shall be vacated, rendered null and void and be of no further force and effect, except as otherwise provided by the Settlement Agreement, and this Judgment shall be without prejudice to the rights of Plaintiffs and the Settling Underwriter Defendants, and the Settling Parties shall revert to their respective positions in the Action on April 24, 2014, as provided in the Settlement Agreement. 10. There is no just reason to delay the entry of this Judgment as a final judgment in this Action as against the Settling Underwriter Defendants pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. Accordingly, the Clerk of the Court is expressly directed to immediately enter this final judgment as against the Settling Underwriter Defendants. (Signed by Judge Victor Marrero on 1/5/2015) Filed In Associated Cases: 1:11-cv-07866-VM-JCF, 1:14-cv-00396-VM(lmb)
December 31, 2014 Filing 822 SECOND AMENDED COMPLAINT amending #330 Amended Complaint,,, against BMO Capital Markets Corp., David P. Bolger, Citigroup Global Markets Inc., Commerz Markets LLC, Jon S. Corzine, Deutsche Bank Securities Inc., Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, Goldman Sachs & Co., J.P. Morgan Securities Inc., Jefferies & Company, Inc., Lebenthal & Co., LLC, J. Randy Macdonald, Merril Lynch, Pierce, Fenner & Smith Incorporated, Natixis Securities North America Inc., PricewaterhouseCoopers LLP, RBS Securities Inc., Sandler O'Neill & Partners, L.P., David I. Schamis, Robert S. Sloan, Henri J. Steenkamp, U.S. Bancorp Investments, Inc. with JURY DEMAND.Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. Related document: #330 Amended Complaint,,, filed by Jerome Vrabel, Virginia Retirement System, LRI Invest S.A., Her Majesty the Queen in Right of Alberta, Monica Rodriguez. (Attachments: #1 Part 2 of Partially Unredacted Consolidated Second Amended Securities Class Action Complaint, #2 Part 3 of Partially Unredacted Consolidated Second Amended Securities Class Action Complaint, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E)(Graziano, Salvatore)
December 23, 2014 Filing 821 MEMORANDUM OF LAW in Support re: #820 MOTION to Dismiss / NOTICE OF THE SETTLING PARTIES' JOINT MOTION TO DISMISS. . Document filed by Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Goldman Sachs & Co., J.P. Morgan Securities Inc., Merril Lynch, Pierce, Fenner & Smith Incorporated, RBS Securities Inc., Sandler O'Neill & Partners, L.P.. (Kirsch, Mark)
December 23, 2014 Filing 820 MOTION to Dismiss / NOTICE OF THE SETTLING PARTIES' JOINT MOTION TO DISMISS. Document filed by Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Goldman Sachs & Co., J.P. Morgan Securities Inc., Merril Lynch, Pierce, Fenner & Smith Incorporated, RBS Securities Inc., Sandler O'Neill & Partners, L.P.. (Attachments: #1 Exhibit A - Proposed Order)(Kirsch, Mark)
December 23, 2014 Opinion or Order Filing 819 FINAL CONSENT ORDER OF RESTITUTION, CIVIL MONETARY PENALTY AND ANCILLARY RELIEF AGAINST MF GLOBAL HOLDINGS LTD.: IT IS HEREBY ORDERED THAT: MFGH, jointly and severally with MF Global Inc., shall make restitution for the amount of $1,212,000,000 (one-billion two-hundred twelve million dollars), or such amount necessary to ensure that all Allowed Customer Net Equity Claims are paid in full (the "Restitution Obligation"). The Restitution Obligation shall be deemed satisfied upon completion by the SIPA Trustee of its obligations pursuant to Paragraph III.4 of the Final Consent Order of Restitution, Civil Monetary Penalty and Ancillary Relief Against MF Global Inc. (the "MF Global Inc. Consent Order") as authorized by the Bankruptcy Court in the SIPA Proceeding on September 12, 2013, and so ordered by this Court on November 8, 2013. MFGH will obtain a dollar-for-dollar credit against the Restitution Obligation as a result of the SIPA Trustee's satisfaction of the Restitution Obligation under the MF Global Inc. Consent Order. Section 6c of the Act, 7 U.S.C. 13a-1, provides the Court with authority to impose a civil monetary penalty against MFGH up to a maximum of triple the monetary gain received by MFGH for the violations alleged in the amended Complaint, or $140,000 per violation, whichever is greater. The maximum civil monetary penalty in this case against MFGH is measured by the monetary gain, i.e. the gain to MFGH from unlawful uses of segregated customer funds during the final week of October 2011. MFGH shall pay a civil monetary penalty in the amount of $100,000,000 (one-hundred million dollars), pursuant to Section 6c of the Act, 7 U.S.C. 13a-1 (the "CMP Obligation"), and the following as further set forth herein. This Court shall retain jurisdiction of this cause to ensure compliance with this Order and for all other purposes related to this action, Including any motion by MFGH to modify or for relief from the terms of this Consent Order. (Signed by Judge Victor Marrero on 12/23/2014) (kgo) Modified on 12/23/2014 (kgo).
December 23, 2014 Opinion or Order Filing 818 ENDORSED LETTER addressed to Judge Victor Marrero from David W. Oakland dated 12/22/2014 re: We request that the Court approve the stipulation and enter the Proposed Consent Order resolving the claims against MFGH. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by U.S. Commodity Futures Trading Commission. (Signed by Judge Victor Marrero on 12/23/2014) (kgo)
December 23, 2014 Opinion or Order Filing 817 STIPULATED ORDER RESERVING RIGHTS: IT IS HEREBY STIPULATED AND ORDERED THAT: 1. Nothing in the Consent Order shall constitute a waiver of or have any effect on the rights of Defendants Corzine and O'Brien in this action or any other proceeding. 2. Consistent with the Court's earlier ruling on appeal from the Bankruptcy Court, Defendants Corzine and O'Brien "will have a full opportunity to contest" the finding of a "shortfall" in the MF Global, Inc. ("MFGI") customer estate and the order authorizing the assignment and subrogation of customer claims against third parties (including Corzine and O'Brien) to the MFGI general estate. See Decision & Order, Feb. 20, 2014, In re MF Global, Inc., 13-cv-8893 (S.D.N.Y.) [ECF No. 38]. 3. MF Global's admissions of liability are not admissible against Defendants Corzine or O'Brien in any proceeding, including the CFTC Action or any other MF Global Action. (Signed by Judge Victor Marrero on 12/23/2014) (kgo) Modified on 12/23/2014 (kgo).
December 19, 2014 Opinion or Order Filing 816 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 12/19/2014 re: As a result, we filed the Complaint under seal pursuant to the Court's Sealed Records Filing Instructions and, following the Court's October 6, 2014 Order, filed a redacted version of the Complaint electronically in the public record. ENDORSEMENT: Request GRANTED. Lead Plaintiffs are authorized to file electronically a partially unredacted version of the consolidated complaint as described above. SO ORDERED. (Signed by Judge Victor Marrero on 12/19/2014) (ama)
December 19, 2014 Filing 815 SEALED DOCUMENT placed in vault.(mps)
December 19, 2014 Filing 814 MOTION to Dismiss with prejudice Count Three of the Consolidated Second Amended Securities Class Action Complaint and granting such other and further relief as the Court deems just and proper. Document filed by PricewaterhouseCoopers LLP. Responses due by 2/6/2015(Cusick, James)
December 18, 2014 Filing 813 ENDORSED LETTER addressed to Judge Victor Marrero from Benjamin Y. Kaufman dated 12/17/2014 re: I respectfully request that the Court remove me as counsel in these matters. ENDORSEMENT: Request GRANTED. The Clerk of Court is directed to remove attorney Benjamin Y. Kaufman from the list of counsel in the referenced litigation., Attorney Benjamin Yehuda Kaufman terminated. (Signed by Judge Victor Marrero on 12/17/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(lmb)
December 18, 2014 Opinion or Order Filing 812 CONSENT ORDER GRANTING SUBSTITUTION OF ATTORNEY: The substitution of attorney is hereby approved and so ORDERED., Attorney Mark Adam Kirsch for Sandler O'Neill & Partners, L.P. added. (Signed by Judge Victor Marrero on 12/17/2014) (lmb)
December 18, 2014 Opinion or Order Filing 811 CONSENT ORDER GRANTING SUBSTITUTION OF ATTORNEY: The substitution of attorney is hereby approved and so ORDERED., Attorney Christopher Michael Joralemon for Sandler O'Neill & Partners, L.P. added. Attorney Adam Selim Hakki; Stuart Jay Baskin and H. Miriam Farber terminated. (Signed by Judge Victor Marrero on 12/17/2014) (lmb)
December 17, 2014 Opinion or Order Filing 810 ORDER granting (797) Letter Motion for Extension of Time to Answer in case 1:11-cv-07866-VM-JCF: Application granted, with the caveats that: (1) partial motions to dismiss are disfavored, and (2) discovery will not be stayed during the pendency of any such motion. (Signed by Magistrate Judge James C. Francis on 12/17/2014) ***As per instructions from chambers, Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (tn) Modified on 12/17/2014 (tn).
December 15, 2014 Filing 809 LETTER REPLY to Response to Motion addressed to Magistrate Judge James C. Francis IV from Neil S. Binder dated December 15, 2014 re: #798 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Neil S. Binder dated December 9, 2014. . Document filed by Henri J. Steenkamp. (Attachments: #1 Exhibit 1, #2 Exhibit 2-A, #3 Exhibit 2-B, #4 Exhibit 2-C, #5 Exhibit 2-D, #6 Exhibit 2-E, #7 Exhibit 3)(Binder, Neil)
December 12, 2014 Set/Reset Hearings: Settlement Conference set for 6/26/2015 at 09:30 AM in Courtroom 11B, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (mro)
December 12, 2014 Opinion or Order Filing 808 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT WITH CERTAIN UNDERWRITER DEFENDANTS AND PROVIDING FOR NOTICE: NOW THEREFORE, IT IS HEREBY ORDERED: Pursuant to Rule 23(a) and (b)(3) of the Federal Rules of Civil Procedure, the Court certifies, solely for purposes of effectuating the proposed Underwriter Settlement, a class consisting of all persons and entities who or which purchased or otherwise acquired, during the Settlement Class Period (i.e., the period beginning on May 20, 2010 through and including November 21, 2011), any of the MF Global Settling Underwriter Securities' and were damaged thereby (the "Underwriter Settlement Class"), Excluded from the Underwriter Settlement Class are: (i) Defendants and MF Global; (ii) members of the Immediate Families of the Individual Defendants; (iii) the subsidiaries and affiliates of Defendants and MF Global; (iv) any person or entity who or which was during the Settlement Class Period and/or is a partner, executive officer, director, or controlling person of MF Global, or any of its subsidiaries or affiliates, or of any Defendant; (v) any entity in which any Defendant or MF Global had during the Settlement Class Period and/or has a controlling interest; (vi) Defendants' liability insurance carriers, and any affiliates or subsidiaries thereof; (vii) the AG Oncon Plaintiffs; and (viii) the legal representatives, heirs, successors and assigns of any such excluded person or entity; provided, however, that any Investment Vehicle shall not be deemed an excluded person or entity by definition. Also excluded from the Underwriter Settlement Class are any persons or entities who or which exclude themselves from the Underwriter Settlement Class or Other Class(es) (to the extent such persons or entities are also Underwriter Settlement Class Members) by submitting a request for exclusion that is accepted by the Court. The Court hereby preliminarily approves the Underwriter Settlement, as embodied in the Underwriter Stipulation, as being fair, reasonable and adequate to the Underwriter Settlement Class, subject to further consideration at the Settlement Hearing to be conducted as described herein. The Court will hold a settlement hearing (the "Settlement Hearing") on June 26, 2015, at 9:30a.m. in Courtroom 11B of the United States Courthouse, 500 Pearl Street, New York, NY 10007, for the purposes set forth herein. The Court retains jurisdiction over the Settling Underwriter Defendants to consider all further applications arising out of or connected with the proposed Underwriter Settlement. (Signed by Judge Victor Marrero on 12/11/2014) (mro)
December 12, 2014 Opinion or Order Filing 807 ENDORSED LETTER addressed to Judge Victor Marrero from Jane Rue Wittstein dated 12/12/2014 re: We respectfully request that Holdings' time to respond to the Amended Complaint be extended from December 15, 2014 to December 22, 2014 to provide sufficient time for the parties to determine whether certain issues raised by the individual defendants with respect to the Final Consent Order can be addressed consensually. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 12-22-14., MF Global Holdings Ltd., as Plan Administrator answer due 12/22/2014. (Signed by Judge Victor Marrero on 12/12/2014) (lmb)
December 12, 2014 Filing 806 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 12/11/2014 re: Lead Plaintiffs and Settling Underwriter Defendants have agreed to settlement of 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 Lead Plaintiffs. (Signed by Judge Victor Marrero on 12/11/2014) (tro)
December 11, 2014 Filing 805 LETTER addressed to Magistrate Judge James C. Francis IV from Michael S. McCauley dated December 11, 2014 re: response to the letter filed on December 9, 2014 on behalf of the Individual Defendants in the consolidated actions requesting a conference pursuant to Local Rule 37.2. (ECF 798). Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(McCauley, Michael)
December 11, 2014 Filing 804 ENDORSED LETTER addressed to Judge Victor Marrero from Thomas A. Arena dated 12/9/2014 re: Counsel request that James N. Benedict of this firm be removed from the ECF service list for these matters. ENDORSEMENT: Request GRANTED. The Clerk of Court is directed to remove Attorney James N. Benedict from the ECF service list for this matter. Attorney James N. Benedict terminated. (Signed by Judge Victor Marrero on 12/11/2014) ***As per instructions from chambers, filed in all Member and Related cases: 1:11-cv-07866-VM-JCF et al.(tn) Modified on 12/11/2014 (tn).
December 11, 2014 Filing 803 LETTER RESPONSE to Motion addressed to Magistrate Judge James C. Francis IV from Salvatore J. Graziano dated 12/11/2014 re: #798 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Neil S. Binder dated December 9, 2014. . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
December 11, 2014 Filing 802 MEMORANDUM OF LAW in Support re: #801 MOTION to Approve (I) PRELIMINARY APPROVAL OF UNDERWRITER SETTLEMENT, (II) CERTIFICATION OF THE UNDERWRITER SETTLEMENT CLASS, AND (III) NOTICE TO THE UNDERWRITER SETTLEMENT CLASS . . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Graziano, Salvatore)
December 11, 2014 Filing 801 MOTION to Approve (I) PRELIMINARY APPROVAL OF UNDERWRITER SETTLEMENT, (II) CERTIFICATION OF THE UNDERWRITER SETTLEMENT CLASS, AND (III) NOTICE TO THE UNDERWRITER SETTLEMENT CLASS . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Graziano, Salvatore)
December 10, 2014 Filing 800 LETTER addressed to Magistrate Judge James C. Francis IV from Michael C. Schneidereit dated December 10, 2014 re: ECF 798. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust.(Schneidereit, Michael)
December 9, 2014 Filing 799 REPLY MEMORANDUM OF LAW in Support re: #789 MOTION to Compel Trustee's Production of EY Documents . . Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp. (Barber, Christopher)
December 9, 2014 Filing 798 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Neil S. Binder dated December 9, 2014. Document filed by Henri J. Steenkamp. (Attachments: #1 Exhibit 1)(Binder, Neil)
December 9, 2014 Filing 797 LETTER MOTION for Extension of Time to File Answer re: #779 Amended Complaint,,,, Letter Motion Requesting an Extension of Time for PricewaterhouseCoopers to File a Single Answer within 14 days after notice of the Courts decision on the Motion to Dismiss the Consolidated Second Amended Securities Class Action Complaint filed on October 3, 2014 addressed to Magistrate Judge James C. Francis IV from David M. Fine dated 12/9/14. Document filed by PricewaterhouseCoopers LLP.(Fine, David)
December 3, 2014 Opinion or Order Filing 796 STIPULATION AND ORDER TO WAIVE THE REQUIREMENT FOR DEFENDANTS OTHER THAN DEFENDANT PRICEWATERHOUSECOOPERS LLP TO ANSWER OR OTHERWISE RESPOND TO THE CONSOLIDATED SECOND AMENDED SECURITIES CLASS ACTION COMPLAINT: that the Individual Defendants and Senior Notes Underwriter Defendants are not required to answer or otherwise respond to the Second Amended Complaint. The Individual Defendants and the Senior Notes Underwriter Defendants, in response to the Second Amended Complaint, hereby re-assert the responses and defenses contained in their Answers to the First Amended Complaint. As to any new or modified allegations in the Second Amended Complaint which are not contained in the First Amended Complaint, none of the Individual Defendants or Senior Notes Underwriter Defendants shall be deemed to have admitted any such allegations, and the Securities Plaintiffs shall not assert at any time that any of the Individual Defendants or Senior Notes Underwriter Defendants has made such admissions, or has defaulted, on the basis of not having filed a separate response to the Second Amended Complaint. The parties agree that the Individual Defendants and Senior Notes Underwriter Defendants reserve their rights to file amended Answers, and that they may modify existing defenses and/or assert new defenses in response to the Second Amended Complaint at a later date. (Signed by Magistrate Judge James C. Francis on 12/3/2014) ***As per chambers, filed in 11cv7866 and 12md2338 only. (tn)
December 2, 2014 Filing 795 DECLARATION of Vilia B. Hayes in Opposition re: #789 MOTION to Compel Trustee's Production of EY Documents .. Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Attachments: #1 Exhibit A to Declaration, #2 Exhibit B to Declaration, #3 Exhibit C to Declaration, #4 Exhibit D to Declaration, #5 Exhibit E to Declaration)(Kobak, James)
December 2, 2014 Filing 794 MEMORANDUM OF LAW in Opposition re: #789 MOTION to Compel Trustee's Production of EY Documents . . Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Kobak, James)
December 2, 2014 Filing 793 RESPONSE to Motion re: #789 MOTION to Compel Trustee's Production of EY Documents . Customer Representatives' Response to Individual Defendants' Motion to Compel Trustee's Production of EY Documents. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
November 14, 2014 Filing 792 LETTER addressed to Magistrate Judge James C. Francis IV from Christopher J. Barber dated 11/14/2014 re: Individual Defendants' Motion to Compel Trustee's Production of EY Documents. Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp.(Barber, Christopher)
November 14, 2014 Filing 791 DECLARATION in Support re: #789 MOTION to Compel Trustee's Production of EY Documents .. Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp. (Attachments: #1 Exhibit)(Barber, Christopher)
November 14, 2014 Filing 790 MEMORANDUM OF LAW in Support re: #789 MOTION to Compel Trustee's Production of EY Documents . . Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp. (Barber, Christopher)
November 14, 2014 Filing 789 MOTION to Compel Trustee's Production of EY Documents . Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp.(Barber, Christopher)
November 14, 2014 Filing 788 MEMORANDUM OF LAW in Support re: #787 MOTION of Customer Representatives for Class Certification of a Damages Class Pursuant to Rule 23(b)(3) and Appointing Class Counsel Pursuant to Rule 23(g) . . Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
November 14, 2014 Filing 787 MOTION of Customer Representatives for Class Certification of a Damages Class Pursuant to Rule 23(b)(3) and Appointing Class Counsel Pursuant to Rule 23(g) . Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Text of Proposed Order Exhibit A - Proposed Order)(Davidoff, Merrill)
October 30, 2014 Opinion or Order Filing 786 ORDER denying #782 Letter Motion for Local Rule 37.2 Conference. These issues are not likely to be illuminated by a conference. If the Individual Defendants wish to press this issue, they shall file a formal motion by November 14, 2014. The Trustee, the Customer Plaintiffs and/or any other interested party shall answer the motion by December 2, 2014. The Individual Defendants shall reply by December 9, 2014. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
October 29, 2014 Filing 785 LETTER REPLY to Response to Motion addressed to Magistrate Judge James C. Francis IV from Christopher J. Barber dated 10/29/2014 re: #782 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Christopher J. Barber dated 10/28/2014. . Document filed by Edith O'Brien. (Attachments: #1 Exhibit, #2 Exhibit)(Barber, Christopher)
October 29, 2014 Filing 784 LETTER addressed to Magistrate Judge James C. Francis IV from Andrew J. Entwistle dated October 29, 2014 re: Response To Request For Local Rule 37.2 Conference. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
October 29, 2014 Filing 783 LETTER RESPONSE to Motion addressed to Magistrate Judge James C. Francis IV from Jeffrey R. Coleman dated October 29, 2014 re: #782 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Christopher J. Barber dated 10/28/2014. . Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Coleman, Jeffrey)
October 28, 2014 Filing 782 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge James C. Francis IV from Christopher J. Barber dated 10/28/2014. Document filed by Edith O'Brien.(Barber, Christopher)
October 23, 2014 Set/Reset Deadlines: Discovery due by 11/20/2014. Responses due by 2/20/2015. Replies due by 4/20/2015. Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (tn) Modified on 10/27/2014 (tro). Modified on 10/27/2014 (tro).
October 23, 2014 Opinion or Order Filing 781 AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER granting (780) Letter Motion for Extension of Time in case 1:11-cv-07866-VM-JCF: The parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). This case is to be tried to a jury. The parties shall confer regarding the number, timing, and length of depositions following the commencement of fact discovery. The parties will seek to coordinate witness depositions with the parties in all actions consolidated and/or coordinated as part of In re MF Global Holdings Ltd. Investment Litigation, MDL No. 12-2338, and/or under the caption DeAngelis v. Corzine, 11 Civ. 7866, and/or under the caption MF Global Holdings Ltd., as Plan Administrator v. PricewaterhouseCoopers LLP, 14 Civ. 2197. Defendant PricewaterhouseCoopers LLP ("PwC") shall have until December 19, 2014 to answer, move or otherwise respond to the Consolidated Second Amended Securities Class Action Complaint filed October 3, 2014 [ECF No. 779]. All other Defendants in the Securities Action shall have until December 19, 2014 to answer or otherwise respond to the Complaint. Should PwC move to dismiss the Complaint, Plaintiffs' opposition papers shall be due on February 6, 2015, and PwC's reply papers shall be due on March 6, 2015. All discovery relating to class certification in the Securities Action shall be stayed until November 20, 2014. (Signed by Magistrate Judge James C. Francis on 10/22/2014) ***As per instructions from chambers, Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF (tn) Modified on 10/23/2014 (tn).
October 20, 2014 Filing 780 LETTER MOTION for Extension of Time and Proposed Amended Civil Case Management Plan and Scheduling Order regarding Securities Class Action addressed to Magistrate Judge James C. Francis IV from David M. Fine dated 10/20/2014. Document filed by PricewaterhouseCoopers LLP. (Attachments: #1 Text of Proposed Order)(Fine, David)
October 7, 2014 Filing 779 SECOND AMENDED COMPLAINT amending #330 Amended Complaint,,, against BMO Capital Markets Corp., David P. Bolger, Citigroup Global Markets Inc., Commerz Markets LLC, Jon S. Corzine, Deutsche Bank Securities Inc., Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, Goldman Sachs & Co., J.P. Morgan Securities Inc., Jefferies & Company, Inc., Lebenthal & Co., LLC, J. Randy Macdonald, Merril Lynch, Pierce, Fenner & Smith Incorporated, Natixis Securities North America Inc., PricewaterhouseCoopers LLP, RBS Securities Inc., Sandler O'Neill & Partners, L.P., David I. Schamis, Robert S. Sloan, Henri J. Steenkamp, U.S. Bancorp Investments, Inc. with JURY DEMAND.Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. Related document: #330 Amended Complaint,,, filed by Jerome Vrabel, Virginia Retirement System, LRI Invest S.A., Her Majesty the Queen in Right of Alberta, Monica Rodriguez. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit Order)(Graziano, Salvatore)
October 7, 2014 Opinion or Order Filing 778 STIPULATION AND ORDER MAKING THE STIPULATION AND PROTECTIVE ORDER GOVERNING CONFIDENTIALITY OF DISCOVERY MATERIAL FILED IN THE MDL 12-MD-2338 AND ll-CIV-7866 APPLICABLE TO 14-CIV-2197 AND GRANTING THE PARTIES TO 14-CIV-2197 ACCESS TO ALL DOCUMENTS PRODUCED IN 12-MD-2338 AND 11-CIV-7866...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Magistrate Judge James C. Francis on 10/7/2014) ***As per chambers, filed in 12md2338, 11cv7866 and 14cv2197 only. (tn)
October 6, 2014 Filing 777 LETTER addressed to Magistrate Judge James C. Francis IV from Daniel J. Fetterman dated 10-6-2014 re: Requesting entry of the Stipulation and (Proposed) Order Making the Stipulation and Protective Order Governing Confidentially of Discovery Material Filed in the MDL 12-MD-2338 and 11-CV-7866 Applicable to 14-CV-2197 and Granting the Parties to the 14-CV-2197 Access to all Documents Produced in MDL 12-MD-2338 and 11-CV-7866. Document filed by MF Global Holdings Ltd., as Plan Administrator. (Attachments: #1 Proposed Order)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Fetterman, Daniel)
October 6, 2014 Opinion or Order Filing 776 ORDER: It is hereby ORDERED that the Clerk of Court is directed to accept, for electronic filing by Lead Plaintiffs in the Securities Action, a redacted version of the Second Amended Securities Class Action Complaint. (Signed by Judge Victor Marrero on 10/6/2014) (lmb)
October 3, 2014 Filing 775 SEALED DOCUMENT placed in vault.(mps)
October 2, 2014 Filing 774 NOTICE OF CHANGE OF ADDRESS by Stephen William Tountas on behalf of Her Majesty the Queen in Right of Alberta. New Address: 7 Times Square, 27th Floor, New York, NY, 10036, 212-789-1343. (Tountas, Stephen)
October 2, 2014 Filing 773 NOTICE OF CHANGE OF ADDRESS by Javier Bleichmar on behalf of Her Majesty the Queen in Right of Alberta. New Address: 7 Times Square, 27th Floor, New York, NY, 10036, 212-789-1341. (Bleichmar, Javier)
October 2, 2014 Filing 772 NOTICE OF CHANGE OF ADDRESS by Dominic J. Auld on behalf of Her Majesty the Queen in Right of Alberta. New Address: 7 Times Square, 27th Floor, New York, NY, 10036, 212-789-1344. (Auld, Dominic)
October 2, 2014 Filing 771 NOTICE OF CHANGE OF ADDRESS by Cynthia A Hanawalt on behalf of Her Majesty the Queen in Right of Alberta. New Address: 7 Times Square, 27th Floor, New York, NY, 10036, 212-789-1345. (Hanawalt, Cynthia)
September 29, 2014 Opinion or Order Filing 770 ORDER granting (769) Motion for Peter J. Meyer to Appear Pro Hac Vice in case 1:11-cv-07866-VM-JCF. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al. (Francis, James)
September 26, 2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #769 MOTION to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10143267. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
September 25, 2014 Filing 769 MOTION to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10143267. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Edith O'Brien. (Attachments: #1 Exhibit Certificate of Admission to the Bar of Illinois, #2 Text of Proposed Order)(Meyer, Peter)
September 18, 2014 Opinion or Order Filing 768 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: The parties to the Plan Administrator Action do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). Fact discovery shall be completed in the Plan Administrator Action by April 1, 2015, including requests for the production of documents, interrogatories, and depositions, except that requests for admission must be completed by April 15, 2015. Expert discovery shall be completed by September 30, 2015. The deadlines for completion of expert discovery shall be as set forth herein. All depositions of experts (whether initial or rebuttal experts) shall be completed by September 30, 2015. Any motion for summary judgment the Court permits shall be filed by November 20, 2015. Any opposition to a motion for summary judgment shall be filed by January 8, 2016. Any reply in support of a motion for summary judgment shall be filed by February 19, 2016. The next Case Management Conference is TBD. (Signed by Magistrate Judge James C. Francis on 9/18/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(mro)
September 17, 2014 Filing 767 LETTER addressed to Magistrate Judge James C. Francis IV from Daniel J. Fetterman dated 9/17/2014 re: (Proposed) Civil Case Management Plan and Scheduling Order. Document filed by MF Global Holdings Ltd., as Plan Administrator. (Attachments: #1 [Proposed] Civil Case Management Plan and Scheduling Order)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF(Fetterman, Daniel)
September 15, 2014 Filing 766 DECLARATION of Javier Bleichmar in Support re: #764 MOTION to Certify Class .. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Bleichmar, Javier)
September 15, 2014 Filing 765 MEMORANDUM OF LAW in Support re: #764 MOTION to Certify Class . . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Bleichmar, Javier)
September 15, 2014 Filing 764 MOTION to Certify Class . Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. (Attachments: #1 Proposed Order)(Bleichmar, Javier)
September 8, 2014 Filing 763 ENDORSED LETTER addressed to Judge Victor Marrero from Salvatore J. Graziano and Javier Bleichmar dated 9/8/2014 re: We write to request leave from Rule II.A. of Your Honor's Individual Practices requiring a pre-motion conference before filing our already-scheduled motion for class certification (the "Class Certification Motion"). ENDORSEMENT: Request GRANTED. Plaintiffs are authorized to file the class certification motion herein in accordance with the schedule set forth above. (Signed by Judge Victor Marrero on 9/8/2014) (lmb)
August 27, 2014 Filing 762 ENDORSED LETTER addressed to Judge Victor Marrero from Scott J. Greenberg dated 8/26/2014 re: Counsel to defendant MF Global Holdings Ltd. request that Holdings' time to respond to the Amended Complaint be extended from September 2, 2014 to December 15, 2014. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 12-15-14. (Signed by Judge Victor Marrero on 8/27/2014) (tn)
August 13, 2014 Opinion or Order Filing 761 ORDER granting (754) Motion to Substitute Attorney. It is hereby ORDERED that Alberta's application for the Court to approve its selection of Co-Lead Counsel is GRANTED and Bleichmar Fonti Tountas & Auld LLP is appointed to serve as Co-Lead Counsel for the Class in In re MF Global Holdings Limited Securities Litigation as further set forth in this order. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-07866-VM-JCF; granting (52) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-07960-VM; granting (42) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-08253-VM; granting (52) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-08271-VM; granting (66) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-08401-VM; granting (50) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-08467-VM; granting (45) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-08823-VM; granting (47) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-08888-VM; granting (43) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-08815-VM; granting (125) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:11-cv-09114-VM; granting (26) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:12-cv-00087-VM; granting (51) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:12-cv-00195-VM; granting (18) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:12-cv-02471-VM; granting (40) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:12-cv-03588-VM; granting (42) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:12-cv-03589-VM; granting (33) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:12-cv-05181-VM; granting (39) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:13-cv-04463-VM; granting (8) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:14-cv-00396-VM; granting (6) Motion to Substitute Attorney. Attorney Stephen William Tountas; Iona Maria May Evans and Christopher J. Keller terminated in case 1:14-cv-00566-VM. (Signed by Judge Victor Marrero on 8/13/2014) Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al. (lmb)
August 13, 2014 Filing 760 ENDORSED LETTER addressed to Judge Victor Marrero from Javier Bleichmar dated 8/12/2014 re: We write on behalf of Court-appointed Lead Plaintiff, Her Majesty the Queen In Right of Alberta ("Alberta"), further to Alberta's Unopposed Motion For Approval of Substitution of Co-Lead Counsel ("Alberta's Motion") (Dkt. 754), and in response to the letter submitted yesterday by Labaton Sucharow LLP ("Labaton"). 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 plaintiff Her Majesty the Queen in Right of Alberta. (Signed by Judge Victor Marrero on 8/13/2014) (lmb)
August 13, 2014 Filing 759 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence Sucharow dated 8/12/2014 re: I write to request your guidance as to whether we should wait Alberta's response to our request for a pre-motion conference or file a response to Alberta's motion as well as any related motion concerning the other issues set forth in my letter of August 11, 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 Co-Lead Counsel Labaton Sucharow LLP. (Signed by Judge Victor Marrero on 8/13/2014) (lmb)
August 13, 2014 Filing 758 ENDORSED LETTER addressed to Judge Victor Marrero from Lawrence Sucharow dated 8/11/2014 re: It is in the interests of all concerned that a Pre-Motion Conference be held at your earliest convenience at the matter be resolved as early as possible. We also request that because of the nature of the application that Your Honor consider holding this conference ex parte. 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 Labaton Sucharow LLP. (Signed by Judge Victor Marrero on 8/13/2014) (lmb)
August 13, 2014 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference was held on 8/13/2014 with attorneys from Bleichmar Fonti Tountas & Auld LLP, Labaton Sucharow LLP, and Bernstein Litowitz Berger & Grossman to discuss the recently filed Motion for Approval of Substitution of Co-Lead Counsel (sc)
August 11, 2014 Filing 757 DECLARATION of Darren Baccus in Support re: (51 in 1:12-cv-00195-VM, 43 in 1:11-cv-08815-VM, 40 in 1:12-cv-03588-VM, 45 in 1:11-cv-08823-VM, 42 in 1:11-cv-08253-VM, 26 in 1:12-cv-00087-VM, 66 in 1:11-cv-08401-VM, 52 in 1:11-cv-08271-VM, 6 in 1:14-cv-00566-VM, 42 in 1:12-cv-03589-VM, 47 in 1:11-cv-08888-VM, 754 in 1:11-cv-07866-VM-JCF, 50 in 1:11-cv-08467-VM, 33 in 1:12-cv-05181-VM, 52 in 1:11-cv-07960-VM, 8 in 1:14-cv-00396-VM, 18 in 1:12-cv-02471-VM, 39 in 1:13-cv-04463-VM, 125 in 1:11-cv-09114-VM) MOTION to Substitute Attorney. Old Attorney: Labaton Sucharow LLP, New Attorney: Bleichmar Fonti Tountas & Auld LLP .. Document filed by Her Majesty the Queen in Right of Alberta. Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Bleichmar, Javier)
August 11, 2014 Filing 756 DECLARATION of Javier Bleichmar in Support re: (43 in 1:11-cv-08815-VM, 40 in 1:12-cv-03588-VM, 42 in 1:11-cv-08253-VM, 26 in 1:12-cv-00087-VM, 66 in 1:11-cv-08401-VM, 754 in 1:11-cv-07866-VM-JCF, 33 in 1:12-cv-05181-VM, 52 in 1:11-cv-07960-VM, 8 in 1:14-cv-00396-VM, 18 in 1:12-cv-02471-VM, 51 in 1:12-cv-00195-VM, 45 in 1:11-cv-08823-VM, 52 in 1:11-cv-08271-VM, 6 in 1:14-cv-00566-VM, 42 in 1:12-cv-03589-VM, 47 in 1:11-cv-08888-VM, 50 in 1:11-cv-08467-VM, 39 in 1:13-cv-04463-VM, 125 in 1:11-cv-09114-VM) MOTION to Substitute Attorney. Old Attorney: Labaton Sucharow LLP, New Attorney: Bleichmar Fonti Tountas & Auld LLP .. Document filed by Her Majesty the Queen in Right of Alberta. (Attachments: #1 Exhibit A)Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Bleichmar, Javier)
August 11, 2014 Filing 755 MEMORANDUM OF LAW in Support re: (6 in 1:14-cv-00566-VM) MOTION to Substitute Attorney. Old Attorney: Labaton Sucharow LLP, New Attorney: Bleichmar Fonti Tountas & Auld LLP . . Document filed by Her Majesty the Queen in Right of Alberta. Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Bleichmar, Javier)
August 11, 2014 Filing 754 MOTION to Substitute Attorney. Old Attorney: Labaton Sucharow LLP, New Attorney: Bleichmar Fonti Tountas & Auld LLP . Document filed by Her Majesty the Queen in Right of Alberta.Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Bleichmar, Javier)
August 11, 2014 Filing 753 NOTICE OF CHANGE OF ADDRESS by Dominic J. Auld on behalf of Her Majesty the Queen in Right of Alberta. New Address: Bleichmar Fonti Tountas & Auld LLP, 1501 Broadway, New York, NY, 10036, 212-373-8645. Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Auld, Dominic)
August 11, 2014 Filing 752 NOTICE OF CHANGE OF ADDRESS by Cynthia A Hanawalt on behalf of Her Majesty the Queen in Right of Alberta. New Address: Bleichmar Fonti Tountas & Auld LLP,, 1501 Broadway, New York, NY, 10036, 212-373-8645. Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Hanawalt, Cynthia)
August 11, 2014 Filing 751 NOTICE OF CHANGE OF ADDRESS by Javier Bleichmar on behalf of Her Majesty the Queen in Right of Alberta. New Address: Bleichmar Fonti Tountas & Auld LLP, 1501 Broadway, New York, NY, 10036, 212-373-8645. Filed In Associated Cases: 1:11-cv-07866-VM-JCF et al.(Bleichmar, Javier)
July 25, 2014 Opinion or Order Filing 750 ORDER withdrawing #737 Letter Motion for Conference per counsel's representation that the issue has been resolved. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
July 18, 2014 Opinion or Order Filing 749 MEMO ENDORSEMENT on re: (95 in 1:12-md-02338-VM, 748 in 1:11-cv-07866-VM-JCF, 37 in 1:12-cv-03589-VM) Notice of Voluntary Dismissal, filed by Wade Jacobsen, Rocking K Land and Cattle, Inc., H. Martin Klinker, Jr., Philip Timothy Johnson. ENDORSEMENT: SO ORDERED. (Signed by Judge Victor Marrero on 7/18/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF, 1:12-cv-03589-VM(tn)
July 18, 2014 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Matthew Edling Document #748 Notice of Voluntary Dismissal was referred to Judge Victor Marrero for approval. (km)
July 17, 2014 Filing 748 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Jon S. Corzine, JP Morgan Chase & Co., PricewaterhouseCoopers LLP, Christine A. Serwinski, David Simons. Document filed by Philip Timothy Johnson, H. Martin Klinker, Jr, Rocking K Land and Cattle, Inc., Wade Jacobsen. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM-JCF, 1:12-cv-03589-VM(Edling, Matthew) Modified on 7/18/2014 (km).
June 27, 2014 Filing 747 ANSWER to #403 Amended Complaint. Document filed by Bradley I. Abelow.(Aufses, Arthur)
June 27, 2014 Filing 746 ANSWER to #403 Amended Complaint with JURY DEMAND. Document filed by Vinay Mahajan.(O'Connell, Gregory)
June 27, 2014 Filing 745 ANSWER to #403 Amended Complaint with JURY DEMAND. Document filed by Edith O'Brien.(Barber, Christopher)
June 27, 2014 Filing 744 ANSWER to #403 Amended Complaint. Document filed by David Dunne.(Steinberg, Laura)
June 27, 2014 Filing 743 ANSWER to #403 Amended Complaint. Document filed by Jon S. Corzine.(Streeter, Jonathan)
June 27, 2014 Filing 742 ANSWER to #403 Amended Complaint. Document filed by Henri J. Steenkamp.(Binder, Neil)
June 26, 2014 Opinion or Order Filing 741 ORDER FOR ADMISSION PRO HAC VICE granting #740 Motion for Michael C. Schneidereit to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 6/26/2014) (tn)
June 26, 2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #740 MOTION for Michael C. Schneidereit to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9823216. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
June 25, 2014 Filing 740 MOTION for Michael C. Schneidereit to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9823216. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Schneidereit, Michael)
June 18, 2014 Filing 739 LETTER addressed to Magistrate Judge James C. Francis IV from Charles W. Cohen dated June 18, 2014 re: Withdrawing the June 11, 2014 Letter Motion Seeking a Protective Order. Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc..(Cohen, Charles)
June 16, 2014 Filing 738 LETTER RESPONSE in Opposition to Motion addressed to Magistrate Judge James C. Francis IV from Neil S. Binder dated 6-16-14 re: #737 LETTER MOTION for Conference The Trustee's Request for a Discovery Conference Pursuant to Local Rule 37.2 addressed to Magistrate Judge James C. Francis IV from Charles W. Cohen dated June 11, 2014. . Document filed by Henri J. Steenkamp. (Binder, Neil)
June 11, 2014 Filing 737 LETTER MOTION for Conference The Trustee's Request for a Discovery Conference Pursuant to Local Rule 37.2 addressed to Magistrate Judge James C. Francis IV from Charles W. Cohen dated June 11, 2014. Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc..(Cohen, Charles)
June 9, 2014 Filing 736 NOTICE OF CHANGE OF ADDRESS by Christopher James Barber on behalf of Edith O'Brien. New Address: Williams Montgomery & John Ltd., 233 South Wacker Drive, Suite 6100, Chicago, Illinois, 60606-6359, 312-443-3277. (Barber, Christopher)
June 9, 2014 Filing 735 NOTICE OF CHANGE OF ADDRESS by Darren Bernens Kinkead on behalf of Edith O'Brien. New Address: Williams Montgomery & John Ltd., 233 South Wacker Drive, Suite 6100, Chicago, Illinois, 60606-6359, 312-443-3225. (Kinkead, Darren)
May 30, 2014 Filing 734 ANSWER to Complaint. Document filed by Bradley I. Abelow.(Aufses, Arthur)
May 30, 2014 Filing 733 ANSWER to Complaint. Document filed by Henri J. Steenkamp.(Binder, Neil)
May 30, 2014 Filing 732 ANSWER to Complaint. Document filed by Jon S. Corzine.(Streeter, Jonathan)
May 23, 2014 Opinion or Order Filing 731 ENDORSED LETTER addressed to Judge Victor Marrero from Edmund Polubinski III dated 5/23/2014 re: Defendants and the A.G. Oncon plaintiffs respectfully ask that the Court so order this letter to confirm their understanding. ENDORSEMENT: SO ORDERED. (Signed by Judge Victor Marrero on 5/23/2014) (tn)
May 14, 2014 Opinion or Order Filing 730 ORDER re: #729 Endorsed Letter: that the time for defendants Jon S. Corzine, Bradley I. Abelow, Henri J. Steenkamp, Vinay Mahajan, Edith 0' Brien, and David Dunne to answer or otherwise move with respect to the amended complaint filed by plaintiff Sapere CTA Fund, L.P. (Dkt. No. 403) is extended to June 27, 2014. Bradley I. Abelow answer due 6/27/2014; Jon S. Corzine answer due 6/27/2014; David Dunne answer due 6/27/2014. (Signed by Judge Victor Marrero on 5/13/2014) (tn)
May 12, 2014 Filing 729 ENDORSED LETTER addressed to Judge Victor Marrero from Neil S. Binder dated 5/8/2014 re: Counsel requests an extension of time to answer the complaint to 6/27/2014. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 6-27-14 as to defendant Henri Steenkamp. Henri J. Steenkamp answer due 6/27/2014. (Signed by Judge Victor Marrero on 5/12/2014) (tn)
May 6, 2014 Filing 728 WAIVER OF SERVICE RETURNED EXECUTED. J. Randy Macdonald waiver sent on 4/30/2014, answer due 6/30/2014. Document filed by Waterstone MF Fund, Ltd.; Lord Abbett Investment Trust - Lord Abbett Convertible Fund ; The Doctors Company Insurance Group; American Physicians Assurance Company; AQR Opportunistic Premium Offshore Fund L.P.; AQR Absolute Return Master Account, L.P.; AG Oncon, LLC; AG Ofcon, Ltd.; Suttonbrook Eureka Fund, LP; Suttonbrook Captial Portfolio LP; AQR Delta Sapphire Fund, L.P.; CNH Diversified Opportunities Master Account, L.P.; AQR UCITS Funds; Lazard Asset Management LLC; AQR Delta Master Account, L.P.; Vermont Mutual Insurance Company; Prime Captial Master SPC-GOT WAT MAC Segregated Portfolio; Waterstone Offshore ER Fund, Ltd.; CNH CA Master Account, L.P.; Lazard Rathmore Master Fund, L.P.; CSAA Insurance Group; Waterstone Market Neutral Fund; AQR Funds-AQR Diversified Arbitrage Fund; Pension, Hospitalization and Benefit Plan of the Electrical Industry - Pension Trust Account; HFR CA Lazard Rathmore Master Trust. (Ross, Jeff)
May 6, 2014 Filing 727 WAIVER OF SERVICE RETURNED EXECUTED. Jon S. Corzine waiver sent on 4/30/2014, answer due 6/30/2014. Document filed by Waterstone MF Fund, Ltd.; Lord Abbett Investment Trust - Lord Abbett Convertible Fund ; The Doctors Company Insurance Group; American Physicians Assurance Company; AQR Opportunistic Premium Offshore Fund L.P.; AQR Absolute Return Master Account, L.P.; AG Oncon, LLC; AG Ofcon, Ltd.; Suttonbrook Eureka Fund, LP; Suttonbrook Captial Portfolio LP; AQR Delta Sapphire Fund, L.P.; CNH Diversified Opportunities Master Account, L.P.; AQR UCITS Funds; Lazard Asset Management LLC; AQR Delta Master Account, L.P.; Vermont Mutual Insurance Company; Prime Captial Master SPC-GOT WAT MAC Segregated Portfolio; Waterstone Offshore ER Fund, Ltd.; CNH CA Master Account, L.P.; Lazard Rathmore Master Fund, L.P.; CSAA Insurance Group; Waterstone Market Neutral Fund; AQR Funds-AQR Diversified Arbitrage Fund; Pension, Hospitalization and Benefit Plan of the Electrical Industry - Pension Trust Account; HFR CA Lazard Rathmore Master Trust. (Ross, Jeff)
May 6, 2014 Filing 726 WAIVER OF SERVICE RETURNED EXECUTED. Henri J. Steenkamp waiver sent on 4/30/2014, answer due 6/30/2014. Document filed by Waterstone MF Fund, Ltd.; Lord Abbett Investment Trust - Lord Abbett Convertible Fund ; The Doctors Company Insurance Group; American Physicians Assurance Company; AQR Opportunistic Premium Offshore Fund L.P.; AQR Absolute Return Master Account, L.P.; AG Oncon, LLC; AG Ofcon, Ltd.; Suttonbrook Eureka Fund, LP; Suttonbrook Captial Portfolio LP; AQR Delta Sapphire Fund, L.P.; CNH Diversified Opportunities Master Account, L.P.; AQR UCITS Funds; Lazard Asset Management LLC; AQR Delta Master Account, L.P.; Vermont Mutual Insurance Company; Prime Captial Master SPC-GOT WAT MAC Segregated Portfolio; Waterstone Offshore ER Fund, Ltd.; CNH CA Master Account, L.P.; Lazard Rathmore Master Fund, L.P.; CSAA Insurance Group; Waterstone Market Neutral Fund; AQR Funds-AQR Diversified Arbitrage Fund; Pension, Hospitalization and Benefit Plan of the Electrical Industry - Pension Trust Account; HFR CA Lazard Rathmore Master Trust. (Ross, Jeff)
May 6, 2014 Filing 725 WAIVER OF SERVICE RETURNED EXECUTED. David P. Bolger waiver sent on 4/30/2014, answer due 6/30/2014; Eileen S. Fusco waiver sent on 4/30/2014, answer due 6/30/2014; David Gelber waiver sent on 4/30/2014, answer due 6/30/2014; Martin J. Glynn waiver sent on 4/30/2014, answer due 6/30/2014; Edward L. Goldberg waiver sent on 4/30/2014, answer due 6/30/2014; David I. Schamis waiver sent on 4/30/2014, answer due 6/30/2014; Robert S. Sloan waiver sent on 4/30/2014, answer due 6/30/2014. Document filed by Waterstone MF Fund, Ltd.; Lord Abbett Investment Trust - Lord Abbett Convertible Fund ; The Doctors Company Insurance Group; American Physicians Assurance Company; AQR Opportunistic Premium Offshore Fund L.P.; AQR Absolute Return Master Account, L.P.; AG Oncon, LLC; AG Ofcon, Ltd.; Suttonbrook Eureka Fund, LP; Suttonbrook Captial Portfolio LP; AQR Delta Sapphire Fund, L.P.; CNH Diversified Opportunities Master Account, L.P.; AQR UCITS Funds; Lazard Asset Management LLC; AQR Delta Master Account, L.P.; Vermont Mutual Insurance Company; Prime Captial Master SPC-GOT WAT MAC Segregated Portfolio; Waterstone Offshore ER Fund, Ltd.; CNH CA Master Account, L.P.; Lazard Rathmore Master Fund, L.P.; CSAA Insurance Group; Waterstone Market Neutral Fund; AQR Funds-AQR Diversified Arbitrage Fund; Pension, Hospitalization and Benefit Plan of the Electrical Industry - Pension Trust Account; HFR CA Lazard Rathmore Master Trust. (Ross, Jeff)
May 6, 2014 Filing 724 ANSWER to #382 Amended Complaint,,,. Document filed by David Dunne.(Steinberg, Laura)
May 1, 2014 Filing 723 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/14/14 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...(Rodriguez, Somari)
May 1, 2014 Filing 722 TRANSCRIPT of Proceedings re: CONFERENCE held on 3/14/2014 before Judge Victor Marrero. Court Reporter/Transcriber: Kristen Carannante, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/27/2014. Redacted Transcript Deadline set for 6/5/2014. Release of Transcript Restriction set for 8/4/2014.(Rodriguez, Somari)
April 28, 2014 Filing 721 ANSWER to #382 Amended Complaint,,,. Document filed by Bradley I. Abelow.(Aufses, Arthur)
April 28, 2014 Filing 720 ANSWER to #382 Amended Complaint,,, with JURY DEMAND. Document filed by Edith O'Brien.(Barber, Christopher)
April 28, 2014 Filing 719 ANSWER to #382 Amended Complaint,,, with JURY DEMAND. Document filed by Vinay Mahajan.(O'Connell, Gregory)
April 28, 2014 Filing 718 ANSWER to #382 Amended Complaint,,,. Document filed by Jon S. Corzine.(Streeter, Jonathan)
April 28, 2014 Filing 717 ANSWER to #382 Amended Complaint,,,. Document filed by Henri J. Steenkamp.(Binder, Neil)
April 28, 2014 Filing 716 FILING ERROR - DEFICIENT DOCKET ENTRY - ANSWER to #403 Amended Complaint. Document filed by David Dunne.(Steinberg, Laura) Modified on 4/30/2014 (ldi).
April 24, 2014 Opinion or Order Filing 715 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: The CFTC Action shall not be included in the Pilot Project Regarding Case Management Techniques for Complex Cases in the Southern District of New York, and, accordingly, the parties will instead proceed in accordance with this Plan and Judge Marrero's Individual Rules of Practice and Orders. The parties to the CFTC Action ("the CFTC Action parties") do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). Jury trial has been demanded in the CFTC Action. Fact discovery shall be completed in the CFTC Action by April 1, 2015, including requests for production, interrogatories, and depositions, except that requests for admission must be completed by April 15, 2015. Expert discovery shall be completed by September 30, 2015. All depositions of experts (whether initial or rebuttal experts) shall be completed by September 30, 2015. Any motion for summary judgment the Court permits shall be filed by November 20, 2015. Any opposition to a motion for summary judgment shall be filed by January 8, 2016. Any reply in support of a motion for summary judgment shall be filed by February 19, 2016. (Signed by Magistrate Judge James C. Francis on 4/24/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(mro)
April 24, 2014 Opinion or Order Filing 714 STIPULATION AND PROTECTIVE ORDER GOVERNING CONFIDENTIALITY OF DISCOVERY MATERIAL...regarding procedures to be followed that shall govern the handling of confidential material...SO ORDERED. (Signed by Magistrate Judge James C. Francis on 4/24/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(mro) (Main Document 714 replaced on 4/24/2014) (mro).
April 17, 2014 Filing 713 JOINT LETTER addressed to Judge Victor Marrero from All Parties dated 04/17/2014 re: Stipulation and Proposed Protective Order. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Graziano, Salvatore)
April 16, 2014 Opinion or Order Filing 712 DECISION AND ORDER granting in part and denying in part #588 Motion to Dismiss; granting #596 Motion to Dismiss: that the joint motion (Dkt. No. 588) of defendants Jon S. Corzine ("Corzine" ), Bradley I. Abelow ("Abelow"), Henri J. Steenkamp ("Steenkamp"), Vinay Mahajan ("Mahajan"), Edith O'Brien ("O'Brien"), David Dunne ("Dunne" ), David P. Bolger ("Bolger"), Eileen S. Fusco ("Fusco"), David Gelber ("Gelber"), Martin J. Glynn ("Glynn"), Edward L. Goldberg ("Goldberg"), David I. Schamis ("Schamis"), Robert S. Sloan ("Sloan"), Michael G. Stockman ("Stockman"), and Dennis A. Klejna ("Klejna") to dismiss is GRANTED as to defendants Bolger, Fusco, Gelber, Glynn, Goldberg, Schamis, Sloan, Stockman, and Klenja, and GRANTED IN PART and DENIED IN PART as to defendants Corzine, Abelow, Steenkamp, Mahajan, O'Brien, and Dunne; the motion (Dkt. No. 596) of defendant J.C. Flowers & Co. LLC is GRANTED; plaintiff Sapere CTA Fund, L.P. herein is granted leave to replead upon submitting to the Court, within twenty-one days of the date of this Decision and Order, in the form of a letter-brief not to exceed three pages, an application plausibly showing that such repleading would correct the deficiencies identified in the Court's findings discussed above, and thus would not be futile. (Signed by Judge Victor Marrero on 4/16/2014) (tn)
April 15, 2014 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #711 Corrected Notice of Appeal, filed by Paradigm Asia Ltd., Summit Trust Company, Mark Kennedy, Rogers Varner, Jr., Kay P. Tee, LLC, Augustus International Master Fund, L.P., Paradigm Equities Ltd., Thomas G. Moran, Paradigm Global Fund I Ltd., Bearing Fund LP, Robert Marcin, PS Energy Group Inc, Thomas S. Wacker were transmitted to the U.S. Court of Appeals. (tp)
April 15, 2014 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #711 Corrected Notice of Appeal. (tp)
April 15, 2014 Appeal Fee Paid electronically via Pay.gov: for #711 Corrected Notice of Appeal. Filing fee $ 505.00. Pay.gov receipt number 0208-9555338, paid on 4/10/2014. (tp)
April 15, 2014 Filing 711 CORRECTED NOTICE OF APPEAL re: #707 Notice of Appeal,, #702 Judgment,, #641 Order on Motion to Dismiss,,,,,,,,,,,. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Entwistle, Andrew)
April 15, 2014 ***NOTE TO ATTORNEY REGARDING DEFICIENT APPEAL. Note to Attorney Entwistle, Andrew to RE-FILE Document No. 87 and 88 belonging to case 11-cv-7866 ONLY that was incorrectly filed on 4/11/2014 in case 12-md-02338 and assigned payment receipt number 0208-9555338. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM.(tp)
April 11, 2014 Filing 710 NOTICE OF APPEARANCE by David William Oakland on behalf of U.S. Commodity Futures Trading Commission. (Oakland, David)
April 11, 2014 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files ONLY for (708 in 1:11-cv-07866-VM, 88 in 1:12-md-02338-VM) Corrected Notice of Appeal,, filed by Paradigm Asia Ltd., Summit Trust Company, Mark Kennedy, Rogers Varner, Jr., Kay P. Tee, LLC, Augustus International Master Fund, L.P., Paradigm Equities Ltd., Thomas G. Moran, Paradigm Global Fund I Ltd., Bearing Fund LP, Robert Marcin, PS Energy Group Inc, Thomas S. Wacker were transmitted to the U.S. Court of Appeals. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(nd)
April 11, 2014 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: (88 in 1:12-md-02338-VM, 708 in 1:11-cv-07866-VM) Corrected Notice of Appeal,,. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(nd)
April 11, 2014 Appeal Fee Paid electronically via Pay.gov: for (88 in 1:12-md-02338-VM, 708 in 1:11-cv-07866-VM) Corrected Notice of Appeal,,. Filing fee $ 505.00. Pay.gov receipt number 0208-9555338, paid on 04/10/2014. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(nd)
April 11, 2014 Filing 709 ENDORSED LETTER addressed to Judge Victor Marrero from Scott J. Greenberg dated 4/10/2014 re: Counsel requests that Holdings' time to respond to the Amended Complaint be extended to 9/2/2014. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 9-2-14. MF Global Holdings Ltd., as Plan Administrator answer due 9/2/2014. (Signed by Judge Victor Marrero on 4/11/2014) (tn)
April 11, 2014 Filing 708 CORRECTED NOTICE OF APPEAL re: (707 in 1:11-cv-07866-VM, 87 in 1:12-md-02338-VM) Notice of Appeal,, (702 in 1:11-cv-07866-VM) Judgment,, (641 in 1:11-cv-07866-VM, 641 in 1:11-cv-07866-VM) Order on Motion to Dismiss,,,,,,,,,,,. Document filed by Augustus International Master Fund, L.P., Kay P. Tee, LLC, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Rogers Varner, Jr, Bearing Fund LP, Mark Kennedy, Robert Marcin, Summit Trust Company, Thomas S. Wacker. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(Entwistle, Andrew)
April 11, 2014 ***NOTE TO ATTORNEY REGARDING DEFICIENT APPEAL. Note to Attorney Entwistle, Andrew to RE-FILE Document No. (707 in 1:11-cv-07866-VM, 87 in 1:12-md-02338-VM) Notice of Appeal. Not all Orders being appealed were selected. Re-file the document as a Corrected Notice of Appeal event and select the correct Orders being appealed. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(tp)
April 10, 2014 Filing 707 FILING ERROR - NOT ALL ORDERS SELECTED FOR APPEAL - NOTICE OF APPEAL from (641 in 1:11-cv-07866-VM, 641 in 1:11-cv-07866-VM) Order on Motion to Dismiss. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Rogers Varner, Jr, Mark Kennedy, Robert Marcin, Summit Trust Company, Thomas S. Wacker. Filing fee $ 505.00, receipt number 0208-9555338. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(Entwistle, Andrew) Modified on 4/11/2014 (tp).
April 3, 2014 Set/Reset Deadlines: Sumit Advani answer due 5/30/2014; BMO Capital Markets Corp. answer due 5/30/2014; Bank Of America Corporation answer due 5/30/2014; Matthew V. Besgen answer due 5/30/2014; David P. Bolger answer due 5/30/2014; Commerz Markets LLC answer due 5/30/2014; Jon S. Corzine answer due 5/30/2014; Frederick R. Demler answer due 5/30/2014; Laurie R. Ferber answer due 5/30/2014; Eileen S. Fusco answer due 5/30/2014; David Gelber answer due 5/30/2014; Martin J. Glynn answer due 5/30/2014; Goldman Sachs & Co. answer due 5/30/2014; Matthew Hughey answer due 5/30/2014; J.C. Flowers & Co. LLC answer due 5/30/2014; J.P. Morgan Chase & Co. answer due 5/30/2014; John Does 1-10 answer due 5/30/2014; Dennis A. Klejna answer due 5/30/2014; Lebenthal & Co., LLC answer due 5/30/2014; Rick D. Leesley answer due 5/30/2014; Robert Lyons answer due 5/30/2014; MS Global Inc. answer due 5/30/2014; John Ranald MacDonald answer due 5/30/2014; Natixis Securities North America Inc. answer due 5/30/2014; Sandler O'Neill & Partners, L.P. answer due 5/30/2014; Christine A. Serwinski answer due 5/30/2014; David Simons answer due 5/30/2014; Robert S Sloan answer due 5/30/2014; Henri J. Steenkamp answer due 5/30/2014; Michael G. Stockman answer due 5/30/2014; Michael G. Stockmand answer due 5/30/2014; U.S. Bancorp Investments, Inc. answer due 5/30/2014; Tracey A. Lowery Whille answer due 5/30/2014. (kgo)
April 3, 2014 Filing 706 NOTICE Supboena Duces Tecum as to PricewaterhouseCoopers document(s): See attached Schedule A. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Subpoena)(Dell'Angelo, Michael)
April 3, 2014 Filing 705 ENDORSED LETTER addressed to Judge Victor Marrero from Neil S. Binder dated 3/31/2014 re: We represent Henri Steenkamp and write on behalf of the defendants in both the Commodity Customer Class Action and Tavakoli v. Corzine, et al., to request extensions of the time to answer the amended complaint in each action. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 4-28-14 for the Consolidated Class Action Complaint for the Commodities Exchange Act violations case, and 5-30-14 on the Tavakoli case. (Signed by Judge Victor Marrero on 4/3/2014) (kgo)
March 28, 2014 Filing 704 ENDORSED LETTER addressed to Judge Victor Marrero from Scott J. Greenberg dated 3/27/2014 re: Request extension of answer date. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 4-15-14. MF Global Holdings Ltd., as Plan Administrator answer due 4/15/2014. (Signed by Judge Victor Marrero on 3/28/2014) (ajs)
March 24, 2014 Opinion or Order Filing 703 DECISION AND ORDER: For the reasons discussed above, it is hereby ORDERED that the motion (Freeh et al. v. Corzine et al., Adv. Pro. No. 13-01333-mg (Bankr. S.D.N.Y.), Dkt. No. 27} of defendants Jon S. Corzine, Henri J. Steenkamp, and Bradley I. Abelow is DENIED. SO ORDERED. (Signed by Judge Victor Marrero on 3/24/2014) (ajs)
March 24, 2014 Filing 702 JUDGMENT: This Judgment is final as to the Customer Representatives' claims against PwC (Counts XIII and XIV of the CAC). The Customer Representatives' claims against PwC in Counts XIII and XIV of the CAC are dismissed with prejudice. The Court finds that there is no just reason for delay in the entry of this Judgment and immediate entry by the Clerk of the Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Victor Marrero on 3/24/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM (tn) (Additional attachment(s) added on 3/24/2014: #1 Right to Appeal) (tn).
March 20, 2014 Filing 701 RESPONSE to Motion re: #699 MOTION for Certification and Entry of Judgment Under Federal Rule of Civil Procedure 54(b). MOTION for Certification and Entry of Judgment Under Federal Rule of Civil Procedure 54(b). - RESPONSE OF PRICEWATERHOUSECOOPERS LLP TO PLAINTIFFS MOTION FOR ENTRY OF RULE 54(B) JUDGMENT. Document filed by PricewaterhouseCoopers LLP. (Capra, James)
March 17, 2014 Filing 700 MEMORANDUM OF LAW in Support re: #699 MOTION for Certification and Entry of Judgment Under Federal Rule of Civil Procedure 54(b). MOTION for Certification and Entry of Judgment Under Federal Rule of Civil Procedure 54(b).. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
March 17, 2014 Filing 699 MOTION for Certification and Entry of Judgment Under Federal Rule of Civil Procedure 54(b). Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Text of Proposed Order Exhibit A)(Davidoff, Merrill)
March 17, 2014 Opinion or Order Filing 698 FINAL JUDGMENT AND ORDER AWARDING FEES AND EXPENSES on Attorney Fees: The Court hereby awards Class Counsel attorneys' fees of $2,722,023.42 and expenses of $177,976.58 (the "Fees and Expenses"). Interim Co-Lead Counsel shall allocate the Fees and Expenses in a manner which, in their good-faith judgment, reflects each Plaintiffs' Counsel's contribution to the institution and prosecution of the Customer Class Action and/or Settlement with CME Group. There is no just reason for delay in the entry of this Fees and Expenses Judgment and immediate entry by the Clerk of the Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Victor Marrero on 3/17/2014) (Attachments: #1 Right to Appeal)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(tn)
March 14, 2014 Minute Entry for proceedings held before Judge Victor Marrero: Settlement Conference held on 3/14/2014. Counsel for all parties in the Commodity Customer Class Actions were present. Counsel for the MF Global Holdings Plan Administrator and for the SIPA Trustee for MF Global Inc. were also present. Without objection, the Court approved both the Net Equity settlement and the CME settlement. The Court also approved without objection plaintiffs' request for fees and expenses. (sc)
March 14, 2014 Opinion or Order Filing 697 ORDER GRANTING FINAL APPROVAL OF THE SETTLEMENT BETWEEN THE FORMER COMMODITY FUTURES CUSTOMERS OF MF GLOBAL INC. AND THE MF GLOBAL INC. TRUSTEE PROVIDING FOR THE ASSIGNMENT OF THE COMMODITY FUTURES CUSTOMERS' UNPAID NET EQUITY CLAIMS IN EXCHANGE FOR PAYMENT OF 100% OF THE CLAIMS granting (656) Motion in case 1:11-cv-07866-VM: that the Court hereby approves the utilization of the Settlement Class it certified in connection with the JPMC Settlement Order. Pursuant to Federal Rule of Civil Procedure 23, the Court hereby approves the Net Equity Settlement Assignment Agreement as fair, reasonable and adequate, and in the best interests of the Settlement Class Members. The Parties are directed to consummate the Net Equity Settlement Assignment Agreement pursuant to its terms, and the terms of the Allocation and Advance Order and Consent Order. (Signed by Judge Victor Marrero on 3/14/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM (tn)
March 14, 2014 Opinion or Order Filing 696 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE: that for settlement purposes only, the Court hereby approves the utilization of the Settlement Class it certified in connection with the JPMC Settlement Order, as also defined above in paragraph 1(s). Pursuant to Federal Rule of Civil Procedure 23, the Court hereby approves the Settlement as fair, reasonable and adequate, and in the best interests of the Settlement Class Members. The Parties are directed to consummate the Settlement in accordance with the terms and provisions of the Settlement Agreement. The Customer Class Action and any claims of the Settlement Class Members are dismissed on the merits as to the Released Defendant Persons, without costs, and with prejudice. Without affecting the finality of this Judgment in any way, the Court hereby retains continuing jurisdiction over: (i) implementation of this Settlement and any award or distribution of the Net Distribution Fund, including any interest earned thereon; (ii) disposition of the Net Distribution Fund; and (iii) all parties hereto for the purpose of construing, enforcing and administering the Net Distribution Fund. There is no just reason for delay in the entry of this Judgment and immediate entry by the Clerk of the Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Victor Marrero on 3/14/2014) (Attachments: #1 Right to Appeal)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(tn)
March 14, 2014 Opinion or Order Filing 695 FINAL JUDGMENT AND ORDER APPROVING THE PLAN OF ALLOCATION: After giving due consideration, the Court finds that the proposed Plan of Allocation (as set forth in the Notice Materials and related approval documents) is fair, reasonable and adequate, and is hereby approved. There is no just reason for delay in the entry of this Judgment and immediate entry by the Clerk of the Court is expressly directed pursuant to Rule 54(b) of the Federal Rules of Civil Procedure. (Signed by Judge Victor Marrero on 3/14/2014) (Attachments: #1 Right to Appeal) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM (tn)
March 13, 2014 Filing 694 NOTICE of WITHDRAWAL OF PRICEWATERHOUSECOOPERS LLPS OPPOSITION TO PLAINTIFFS SETTLEMENT AND ASSIGNMENT MOTION [ECF NO. 637] re: #637 Memorandum of Law in Opposition to Motion,, #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit. Document filed by PricewaterhouseCoopers LLP. (Cusick, James)
March 12, 2014 PLEASE NOTE: As per instructions the Chambers on Magistrate Judge James C. Francis on 3/12/2014, entry 79 terminates the case management conference which was erroneously scheduled before the wrong judge, Honorable Judge Victor Marrero in entry 68, on 3/18/2014 at 9:30 a.m. Filed In Associated Cases: 1:12-md-02338-VM et al.(tro)
March 12, 2014 Opinion or Order Filing 693 ORDER re: (604 in 1:11-cv-07866-VM, 68 in 1:12-md-02338-VM) Case Management Plan. The case management conference scheduled for 3/18/2014, at 9:30 a.m. is adjourned sine die. This order does not affect any conferences or other proceedings scheduled before the Honorable Victor Marrero, U.S.D.J. (Signed by Magistrate Judge James C. Francis on 3/12/2014) Filed In Associated Cases: 1:12-md-02338-VM et al.(tro)
March 11, 2014 Filing 692 NOTICE of OF WITHDRAWAL OF OBJECTION TO MFGI SETTLEMENT re: #640 Memorandum of Law in Opposition to Motion,. Document filed by Jon S. Corzine. (Streeter, Jonathan)
March 11, 2014 Opinion or Order Filing 691 DECISION AND ORDER denying #666 Motion for Reconsideration: For the reasons discussed above, it is hereby ORDERED that the motion (Dkt. No. 666) of Plaintiffs paradigm Global Fund I Ltd. and Kay P. Tee, LLC, et al., for Reconsideration of the Decision and Order is DENIED. (Signed by Judge Victor Marrero on 3/11/2014) (tn)
March 11, 2014 Filing 690 NOTICE OF APPEARANCE by Natalie Ikhlassi on behalf of Dennis A. Klejna. (Ikhlassi, Natalie)
March 11, 2014 Filing 689 REPLY to Response to Motion re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit Plan Administrator's Response To Objections Of PricewaterhouseCoopers And The Individual Defendants To The Customer Representatives' Motion For Approval Of The Settlement Providing For Assignment Of The Former Commodity Futures Customers' Unpaid Net Equity Claims In Exchange For Payment Of 100% Of The Claims. Document filed by MF Global Holdings Ltd., as Plan Administrator. (Greenberg, Scott)
March 11, 2014 Opinion or Order Filing 687 ORDER FOR ADMISSION PRO HAC VICE granting (683) Motion for Natalie Ikhlassi to Appear Pro Hac Vice in case 1:11-cv-07866-VM. (Signed by Judge Victor Marrero on 3/11/2014) Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM (ja)
March 10, 2014 Opinion or Order Filing 688 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: 1. Upon entry of the Plan, the stay of discovery shall be lifted in the Actions subject to the following exceptions as set forth herein. 2. The Actions shall not be included in the Pilot Project Regarding Case Management Techniques for Complex Cases in the Southern District of New York, and, accordingly, the parties will instead proceed in accordance with this Plan and Judge Marrero's Individual Rules of Practice and Orders. 3. The parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). 4. Jury trial has been demanded in all actions. d. Fact discovery shall be completed in the Actions by April 1, 2015, including requests for the production of documents, interrogatories, and depositions, except that requests for admission must be completed by April 15, 2015. e. A motion for class certification in the Commodity Customer Class Action shall be filed by November 14, 2014. Any opposition papers shall be filed by January 16, 2015. Any reply in support of class certification shall be filed by March 11, 2015. Any expert discovery relating to class certification shall occur within the deadlines set forth in this subparagraph 6(e), rather than subparagraph 6(f) below. f. Expert discovery shall be completed by September 30, 2015. The deadlines for completion of expert discovery shall be as set forth below: All depositions of experts (whether initial or rebuttal experts) shall be completed by September 30, 2015. Any motion for summary judgment the Court permits shall be filed by November 20, 2015. Any opposition to a motion for summary judgment shall be filed by January 8, 2016, Any reply in support of a motion for summary judgment shall be filed by February 19, 2016. (Motions due by 11/20/2015. Responses due by 1/8/2016. Replies due by 2/19/2016. Deposition due by 9/30/2015. Fact Discovery due by 4/1/2015. Expert Discovery due by 9/30/2015).(Signed by Magistrate Judge James C. Francis on 3/10/2014)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(djc) Modified on 3/11/2014 (djc). Modified on 3/12/2014 (djc). Modified on 3/12/2014 (djc).
March 7, 2014 Filing 686 MEMORANDUM OF LAW in Opposition re: #656 MOTION for Final Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc., The CME Group, Inc., and Chicago Mercantile Exchange, Inc.. /Limited Objection to Plaintiffs' Motion for Final Approval of the Settlement Between the Former Commodity Futures Customers of MFGlobal Inc., The CME Group Inc., and Chicago Mercantile Exchange, Inc.. Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp. (Aufses, Arthur)
March 7, 2014 Filing 685 REPLY to Response to Motion re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit Claims in Exchange for Payment of 100% of the Claims. Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Kobak, James)
March 7, 2014 Filing 684 REPLY MEMORANDUM OF LAW in Support re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
March 7, 2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #683 MOTION for Natalie Ikhlassi to Appear Pro Hac Vice Corrected. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
March 6, 2014 Filing 683 MOTION for Natalie Ikhlassi to Appear Pro Hac Vice Corrected. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis A. Klejna. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Ikhlassi, Natalie)
March 6, 2014 Filing 682 REPLY MEMORANDUM OF LAW in Support re: (596 in 1:11-cv-07866-VM, 111 in 1:11-cv-09114-VM) MOTION to Dismiss / Notice of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint. / Reply Memorandum of Law in Support of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint. Document filed by J.C. Flowers & Co. LLC. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(O'Connor, Maeve)
March 6, 2014 Filing 681 REPLY MEMORANDUM OF LAW in Support re: #588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan. (Polubinski, Edmund)
March 6, 2014 Filing 680 REPLY MEMORANDUM OF LAW in Support re: #588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by Michael G. Stockman. (Lee, Ethan)
March 6, 2014 Filing 679 REPLY MEMORANDUM OF LAW in Support re: #588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp. (Streeter, Jonathan)
March 6, 2014 Filing 678 REPLY MEMORANDUM OF LAW in Support re: #588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by Dennis A. Klejna. (Attachments: #1 Appendix Comparison of Allegations Against D. Klejna)(Kim, Helen)
March 5, 2014 Filing 677 MEMORANDUM OF LAW in Opposition re: #666 MOTION for Reconsideration Notice of Plaintiffs' Motion for Reconsideration of the Decision an Order Dismissing the Trustee's Counts V and XI Alleging Breach of Fiduciary Duty Against the Director and Officer Defendants and the Trustee. Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Vinay Mahajan, Edith O'Brien, Henri J. Steenkamp. (Aufses, Arthur)
March 5, 2014 Filing 676 NOTICE OF APPEARANCE by Ethan Yu Lee on behalf of Michael G. Stockman. (Lee, Ethan)
March 5, 2014 Opinion or Order Filing 675 ORDER denying as moot #591 Motion to Dismiss: that Counts Four, Five, and Seven of the Complaint, and all remaining claims against defendants Laurie R. Ferber, Christine A. Serwinski, John Ranald MacDonald, David Simons, Robert Lyons, Matthew V. Besgen, Matthew M. Hughey, and PricewaterhouseCoopers LLP, are WITHDRAWN WITHOUT PREJUDICE; the motions to dismiss all withdrawn claims are DENIED AS MOOT. The Clerk of Court is directed to terminate as moot the Motion of PricewaterhouseCoopers, LLP, to Dismiss the Sapere CTA Fund, L.P. Amended Complaint (Dkt. No. 591). (Signed by Judge Victor Marrero on 3/5/2014) (tn)
March 5, 2014 Filing 674 REPLY MEMORANDUM OF LAW in Support re: #591 MOTION to Dismiss the Sapere CTA Fund, L.P.Amended Complaint filed on December 18, 2012 [ECF No. 403]. - PRICEWATERHOUSECOOPERS LLPS STATEMENT IN LIEU OF REPLY ON ITS MOTION TO DISMISS THE SAPERE CTA FUND, L.P. AMENDED COMPLAINT. Document filed by PricewaterhouseCoopers LLP. (Fine, David)
March 5, 2014 Filing 673 MEMORANDUM OF LAW in Opposition re: #666 MOTION for Reconsideration Notice of Plaintiffs' Motion for Reconsideration of the Decision an Order Dismissing the Trustee's Counts V and XI Alleging Breach of Fiduciary Duty Against the Director and Officer Defendants and the Trustee. Document filed by PricewaterhouseCoopers LLP. (Capra, James)
March 4, 2014 Opinion or Order Filing 672 ORDER granting (670) Motion to Withdraw as Attorney; granting (76) Motion to Withdraw as Attorney: Having set forth appropriate grounds, in accordance with Local Civil Rule 1.4, including Defendants' continued representation by members of the law firm of Jenner & Block LLP, Jeffrey S. Eberhard's Motion for Leave to Withdraw is here GRANTED and Jeffrey S. Eberhard is withdrawn as counsel effective immediately. Attorney Jeffrey S Eberhard terminated in case 1:11-cv-07866-VM; Attorney Jeffrey S Eberhard terminated in case 1:12-md-02338-VM. (Signed by Judge Victor Marrero on 3/4/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM (tn)
March 4, 2014 Filing 671 WITHDRAWAL OF APPEARANCE: that Daniel M. Sullivan of Gibson, Dunn & Crutcher LLP hereby withdraws his appearance in the above-captioned case on behalf of defendants Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Goldman, Sachs & Co., J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and RBS Securities Inc. (collectively, "Underwriters"). Gibson, Dunn & Crutcher LLP and its attorneys that have appeared will continue to appear on behalf of Underwriters in this action. Attorney Daniel Martin Sullivan terminated. (Signed by Judge Victor Marrero on 3/4/2014) (tn)
February 28, 2014 Filing 670 MOTION for Jeffrey S. Eberhard to Withdraw as Attorney. Document filed by CME Group Inc.. (Attachments: #1 Text of Proposed Order)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(Eberhard, Jeffrey)
February 27, 2014 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Status Conference held on 2/27/2014. Conference recorded. (Bacchus, Michael)
February 26, 2014 Opinion or Order Filing 669 ORDER granting #668 Letter Motion for Extension of Time: Request GRANTED. The time for plaintiffs to request leave to replead the claims that the Court dismissed herein is extended to seven (7) days after the Court's resolution of plaintiffs' motion for reconsideration. Defendants are directed to file any response to such motions within seven (7) days of this Order. No further briefing will be necessary. (Signed by Judge Victor Marrero on 2/26/2014) (tn)
February 26, 2014 Filing 668 LETTER MOTION for Extension of Time Letter enclosing motion to reconsider and requesting extension of deadline for letter-brief concerning re-pleading addressed to Judge Victor Marrero from Andrew J. Entwistle dated 02/25/2014. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
February 25, 2014 Filing 667 MEMORANDUM OF LAW in Support re: #666 MOTION for Reconsideration Notice of Plaintiffs' Motion for Reconsideration of the Decision an Order Dismissing the Trustee's Counts V and XI Alleging Breach of Fiduciary Duty Against the Director and Officer Defendants and the Trustee. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
February 25, 2014 Filing 666 MOTION for Reconsideration Notice of Plaintiffs' Motion for Reconsideration of the Decision an Order Dismissing the Trustee's Counts V and XI Alleging Breach of Fiduciary Duty Against the Director and Officer Defendants and the Trustee's Count XIII Alleging Professional Negligence Against PricewaterhouseCoopers LLP. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
February 25, 2014 Filing 665 AMENDED COMPLAINT against David P. Bolger, Citigroup Global Markets Inc., Jon S. Corzine, Deutsche Bank Securities Inc., Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, Goldman Sachs & Co., J.P. Morgan Securities Inc., Jefferies & Company, Inc., J. Randy Macdonald, Merril Lynch, Pierce, Fenner & Smith Incorporated, RBS Securities Inc., Sandler O'Neill & Partners, L.P., David I. Schamis, Robert S. Sloan, Henri J. Steenkamp with JURY DEMAND. Document filed by Waterstone MF Fund, Ltd., AQR Funds-AQR Diversified Arbitrage Fund, AG Ofcon, Ltd., Prime Captial Master SPC-GOT WAT MAC Segregated Portfolio, Vermont Mutual Insurance Company, Lord Abbett Investment Trust - Lord Abbett Convertible Fund, AQR UCITS Funds, CNH Diversified Opportunities Master Account, L.P., AQR Delta Master Account, L.P., American Physicians Assurance Company, Lazard Asset Management LLC, Suttonbrook Eureka Fund, LP, CSAA Insurance Group, Waterstone Market Neutral Fund, The Doctors Company Insurance Group, AG Oncon, LLC, Waterstone Offshore ER Fund, Ltd., Suttonbrook Captial Portfolio LP, CNH CA Master Account, L.P., AQR Opportunistic Premium Offshore Fund L.P., Pension, Hospitalization and Benefit Plan of the Electrical Industry - Pension Trust Account, HFR CA Lazard Rathmore Master Trust, Lazard Rathmore Master Fund, L.P., AQR Absolute Return Master Account, L.P., AQR Delta Sapphire Fund, L.P. (tn) ***This document relates to 14cv396.
February 25, 2014 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. #664 FIRST MOTION for Natalie Ikhlassi to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. Certificate of Good Standing Must be issued from Supreme Court of California with a Clerk of Court Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (wb)
February 24, 2014 Filing 664 FILING ERROR - DEFICIENT DOCKET ENTRY - FIRST MOTION for Natalie Ikhlassi to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis A. Klejna. (Attachments: #1 Exhibit Certificate of Standing, #2 Text of Proposed Order)(Ikhlassi, Natalie) Modified on 2/25/2014 (wb).
February 24, 2014 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. #663 FIRST MOTION for Natalie Ikhlassi to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9385527. Motion and supporting papers to be reviewed by Clerk's Office staff.. Certificate of Good Standing Must be issued from Supreme Court of California with a Clerk of Court Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (wb)
February 24, 2014 Filing 663 FILING ERROR - DEFICIENT DOCKET ENTRY - FIRST MOTION for Natalie Ikhlassi to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9385527. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis A. Klejna. (Attachments: #1 Text of Proposed Order)(Ikhlassi, Natalie) Modified on 2/24/2014 (wb).
February 24, 2014 Filing 662 ENDORSED LETTER addressed to Judge Victor Marrero from Edward M. Pinter dated 2/21/2014 re: Counsel for Sapere CTA Fund, L.P. requests that the Court allow Sapere to dismiss without prejudice Counts IV, V, and VII of Sapere's Amended Complaint. 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 Sapere CTA Fund, L.P. (Signed by Judge Victor Marrero on 2/2/2014) ***Filed in 11cv7866 and 11cv9114. (tn)
February 21, 2014 Filing 661 DECLARATION of Merrill G. Davidoff and Andrew J. Entwistle in Support re: #659 MOTION for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses.. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
February 21, 2014 Filing 660 MEMORANDUM OF LAW in Support re: #659 MOTION for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses.. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
February 21, 2014 Filing 659 MOTION for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Exhibit A)(Davidoff, Merrill)
February 21, 2014 Filing 658 DECLARATION of Merrill G. Davidoff and Andrew J. Entwistle in Support re: #656 MOTION for Final Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc., The CME Group, Inc., and Chicago Mercantile Exchange, Inc... Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Exhibit 1)(Davidoff, Merrill)
February 21, 2014 Filing 657 MEMORANDUM OF LAW in Support re: #656 MOTION for Final Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc., The CME Group, Inc., and Chicago Mercantile Exchange, Inc... Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
February 21, 2014 Filing 656 MOTION for Final Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc., The CME Group, Inc., and Chicago Mercantile Exchange, Inc.. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Exhibit A, #2 Exhibit B)(Davidoff, Merrill)
February 21, 2014 Filing 655 ANSWER to #587 Amended Complaint,, with JURY DEMAND. Document filed by Edith O'Brien.(Barber, Christopher)
February 21, 2014 Filing 654 ANSWER to #587 Amended Complaint,,. Document filed by Jon S. Corzine.(Streeter, Jonathan)
February 21, 2014 Filing 653 NOTICE OF APPEARANCE by Peter E. Davids on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Davids, Peter)
February 21, 2014 Filing 652 NOTICE OF APPEARANCE by Michael S. McCauley on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (McCauley, Michael)
February 21, 2014 Filing 651 NOTICE OF APPEARANCE by Christopher J. Lovrien on behalf of Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Lovrien, Christopher)
February 20, 2014 Opinion or Order Filing 650 ORDER granting (642) Motion to Withdraw as Attorney; granting (74) Motion to Withdraw as Attorney: that the motion of Benjamin E. Rosenberg, of Dechert LLP, to withdraw as counsel for Defendant Jon S. Corzine in the above-caption action is granted. Attorney Benjamin E. Rosenberg terminated in case 1:11-cv-07866-VM. Attorney Benjamin E. Rosenberg terminated in case 1:12-md-02338-VM. (Signed by Judge Victor Marrero on 2/20/2014) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM (tn)
February 20, 2014 Opinion or Order Filing 649 ORDER FOR ADMISSION PRO HAC VICE granting #644 Motion for Michael S. McCauley to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 2/20/2014) (tn)
February 20, 2014 Opinion or Order Filing 648 ORDER FOR ADMISSION PRO HAC VICE granting #645 Motion for Peter E. Davids to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 2/20/2014) (tn)
February 20, 2014 Opinion or Order Filing 647 ORDER FOR ADMISSION PRO HAC VICE granting #646 Motion for Christopher J. Lovrien to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 2/20/2014) (tn)
February 13, 2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #644 MOTION for Michael S. McCauley to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9354091. Motion and supporting papers to be reviewed by Clerk's Office staff., #646 MOTION for Christopher J. Lovrien to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9354156. Motion and supporting papers to be reviewed by Clerk's Office staff., #645 MOTION for Peter E. Davids to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9354129. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
February 13, 2014 Filing 646 MOTION for Christopher J. Lovrien to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9354156. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Proposed Order)(Lovrien, Christopher)
February 13, 2014 Filing 645 MOTION for Peter E. Davids to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9354129. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Proposed Order)(Davids, Peter)
February 13, 2014 Filing 644 MOTION for Michael S. McCauley to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9354091. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Nader Tavakoli, As Litigation Trustee Of The MF Global Litigation Trust. (Attachments: #1 Exhibit A - Certificate of Good Standing, #2 Proposed Order)(McCauley, Michael)
February 11, 2014 Opinion or Order Filing 643 ORDER. It is hereby ORDERED that the Clerk of Court is directed to consolidate these actions for all pretrial purposes; and it is further ORDERED that all filings in connection with the consolidated action be docketed against the remaining lower numbered case, 11 Civ. 7866; and it is finally ORDERED that the Clerk of Court close the referenced higher numbered case, 14 Civ. 0566, as a separate action and remove it from the Court's docket. Any filing that specifically relates to matters concerning case number 14 Civ. 0566 should indicate on the caption of the submission that the document relates to that case. (Signed by Judge Victor Marrero on 2/11/2014) Filed In Associated Cases: 1:11-cv-07866-VM, 1:14-cv-00566-VM (rjm)
February 11, 2014 Filing 642 MOTION for Benjamin E. Rosenberg to Withdraw as Attorney for Jon S. Corzine. Document filed by Jon S. Corzine. (Attachments: #1 Text of Proposed Order)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(Rosenberg, Benjamin)
February 11, 2014 Opinion or Order Filing 641 DECISION AND ORDER. For the reasons discussed in this Decision and Order, it is hereby ORDERED that the motion (Dkt. No. 422) of defendants Jon S. Corzine ("Corzine"), Henri J. Steenkamp ("Steenkamp"), Bradley I. Abelow ("Abelow"), Laurie R. Ferber ("Ferber"), Edith O'Brien ("O'Brien"), Christine A. Serwinski ("Serwinski"), David Dunne ("Dunne"), and Vinay Mahajan ("Mahajan") is GRANTED as to Counts One, Three, Five, Seven, Eleven, and Twelve, GRANTED as to defendants Serwinski and Ferber with respect to Counts Two, Four, Six, and Eight, and DENIED as to defendants Corzine, Steenkamp, Abelow, O'Brien, Dunne, and Mahajan with respect to Counts Two, Four, Six, Eight, Nine, and Ten; and it is further ORDERED that the motion (Dkt. No. 426) of defendant PricewaterhouseCoopers LLP is GRANTED; and it is finally ORDERED that Plaintiffs herein are granted leave to replead upon submitting to the Court, within twenty-one days of the date of this Decision and Order, in the form of a letter-brief not to exceed three pages, an application plausibly showing that such repleading would correct the deficiencies identified in the Court's findings discussed above, and thus would not be futile. Granting in part and denying in part #422 Motion to Dismiss; Granting #426 Motion to Dismiss. (Signed by Judge Victor Marrero on 2/11/2014) (rjm)
February 7, 2014 Filing 640 JOINT MEMORANDUM OF LAW in Opposition re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit. Document filed by Henri J. Steenkamp. (Binder, Neil)
February 7, 2014 Filing 639 RESPONSE in Support of Motion re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit. Document filed by Sapere CTA Fund, LP. (Grabowski, Jon)
February 6, 2014 Filing 638 CERTIFICATE OF SERVICE of PRICEWATERHOUSECOOPERS LLPS OPPOSITION TO PLAINTIFFS SETTLEMENT AND ASSIGNMENT MOTION INSOFAR AS IT SEEKS FINAL APPROVAL OF THE ASSIGNMENT OF COMMODITY CUSTOMER NET-EQUITY CLAIMS TO THE SIPA TRUSTEE. served on (see document) on 2/6/14. Service was made by (see document). Document filed by PricewaterhouseCoopers LLP. (Mitchell, Lauren)
February 6, 2014 Filing 637 MEMORANDUM OF LAW in Opposition re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit . --- PRICEWATERHOUSECOOPERS LLPS OPPOSITION TO PLAINTIFFS SETTLEMENT AND ASSIGNMENT MOTION INSOFAR AS IT SEEKS FINAL APPROVAL OF THE ASSIGNMENT OF COMMODITY CUSTOMER NET-EQUITY CLAIMS TO THE SIPA TRUSTEE. Document filed by PricewaterhouseCoopers LLP. (Cusick, James)
February 4, 2014 Filing 636 NOTICE OF APPEARANCE by Jonathan R. Streeter on behalf of Jon S. Corzine. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(Streeter, Jonathan)
February 4, 2014 Filing 635 DECLARATION of Edward M. Pinter in Opposition re: (596 in 1:11-cv-07866-VM, 111 in 1:11-cv-09114-VM) MOTION to Dismiss / Notice of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint., (588 in 1:11-cv-07866-VM) JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P.., (591 in 1:11-cv-07866-VM) MOTION to Dismiss the Sapere CTA Fund, L.P.Amended Complaint filed on December 18, 2012 [ECF No. 403].. Document filed by Sapere CTA Fund, LP. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Grabowski, Jon)
February 4, 2014 Filing 634 MEMORANDUM OF LAW in Opposition re: (596 in 1:11-cv-07866-VM, 111 in 1:11-cv-09114-VM) MOTION to Dismiss / Notice of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint., (588 in 1:11-cv-07866-VM) JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P.., (591 in 1:11-cv-07866-VM) MOTION to Dismiss the Sapere CTA Fund, L.P.Amended Complaint filed on December 18, 2012 [ECF No. 403].. Document filed by Sapere CTA Fund, LP. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Grabowski, Jon)
February 4, 2014 Opinion or Order Filing 633 ORDER. It is hereby ORDERED that the Clerk of Court is directed to consolidate the two cases captioned above for all pretrial purposes; and it is further ORDERED that all filings in connection with the consolidated action be docketed against the remaining lower number case, 11 Civ. 7866; and it is further ORDERED that the Clerk of Court is directed to close the referenced higher numbered case, 14 Civ. 0396 as a separate action and remove it from the Court's database; and it is finally ORDERED that 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 2/4/2014) Filed In Associated Cases: 1:11-cv-07866-VM, 1:14-cv-00396-VM (rjm)
February 3, 2014 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 2/3/2014. (Bacchus, Michael)
January 31, 2014 Set/Reset Hearings: Settlement Hearing set for 3/14/2014 at 01:00 PM in Courtroom 20B, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Victor Marrero. (rjm) Modified on 2/3/2014 (rjm).
January 31, 2014 Opinion or Order Filing 632 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT AND PROVIDING FOR NOTICE. IT IS HEREBY ORDERED: Settlement Class Certification: Pursuant to Rules 23(a) and 23(b)(3) of the Federal Rules of Civil Procedure, and for purposes of the Settlement only, the Court approves the utilization of the Settlement Class it certified in connection with the JPMC Settlement by Order dated March 28, 2013, and as further set forth. The Court hereby preliminarily approves the Settlement, as memorialized in the Settlement Agreement, as fair, reasonable and adequate, and in the best interest of the Customer Representatives and the other Settlement Class Members, subject to further consideration at the Settlement Hearing to be conducted as described below. The Court will hold a settlement hearing (the "Settlement Hearing") on March 14, 2014 at 1:00 pm. at the Daniel Patrick Moynihan United States Courthouse, 500 Pearl Street, Courtroom 20B, New York, NY 10007-1312, for the purposes as further specified in this Order. Co-Lead Counsel shall file and serve papers in support of the proposed Settlement no later than February 21, 2014; and reply papers, if any, shall be filed and served no later than March 12, 2014, and as further set forth. Granting #629 MOTION for Preliminary Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and The CME Group. (Signed by Judge Victor Marrero on 1/31/2014) (rjm)
January 29, 2014 Filing 631 DECLARATION of Merrill G. Davidoff in Support re: #629 MOTION for Preliminary Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and The CME Group.. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Attachments: #1 Exhibit A - Settlement Agreement, #2 Exhibit 1 to Settlement Agreement, #3 Exhibit 2 to Settlement Agreement, #4 Exhibit 3 to Settlement Agreement, #5 Exhibit 4 to Settlement Agreement)(Davidoff, Merrill)
January 29, 2014 Filing 630 MEMORANDUM OF LAW in Support re: #629 MOTION for Preliminary Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and The CME Group.. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker. (Davidoff, Merrill)
January 29, 2014 Filing 629 MOTION for Preliminary Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and The CME Group. Document filed by Augustus International Master Fund, L.P., Bearing Fund LP, Kay P. Tee, LLC, Mark Kennedy, Robert Marcin, Thomas G. Moran, PS Energy Group Inc, Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Summit Trust Company, Rogers Varner, Jr, Thomas S. Wacker.(Davidoff, Merrill)
January 28, 2014 Set/Reset Hearings: Final Approval Hearing set for 3/14/2014 at 01:00 PM before Judge Victor Marrero. (rjm)
January 28, 2014 Filing 628 MEMO ENDORSEMENT on re: #627 Letter addressed to Judge Victor Marrero from Andrew J. Entwistle dated January 27, 2014 re: confirming date for final approval hearing on behalf of former commodity futures customers' Settlement with the CME Group, Inc. Document filed by Paradigm Global Fund I Ltd. ENDORSEMENT: Request granted. The approval hearings are scheduled as set forth above. (Signed by Judge Victor Marrero on 1/28/2014) (rjm)
January 27, 2014 Filing 627 LETTER addressed to Judge Victor Marrero from Andrew J. Entwistle dated January 27, 2014 re: confirming date for final approval hearing on behalf of former commodity futures customers' Settlement with the CME Group, Inc. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
January 24, 2014 Filing 626 ENDORSED LETTER addressed to Judge Victor Marrero from Christopher J. Barber dated 1/24/2014 re: We write on behalf of Ms. O'Brien and Defendant Jon S. Corzine to request that the Court extend Ms. O'Brien's and Mr. Corzine's time to answer the Amended Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties Under the Commodity Exchange Act, Dkt No. 587 ("Amended Complaint"), to February 21, 2014. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 2-21-14., Jon S. Corzine answer due 2/21/2014; Edith O'Brien answer due 2/21/2014. (Signed by Judge Victor Marrero on 1/24/2014) (lmb)
January 23, 2014 Filing 625 ENDORSED LETTER addressed to Judge Victor Marrero from Jon R. Grabowski dated 1/22/2014 re: We write pursuant to this Court's Individual Practices to request leave to submit a single brief of no more than 75 pages in opposition to the various defendants' motions to dismiss Sapere's Amended Complaint. ENDORSEMENT: Request GRANTED. The page limitations provision of the Court's Individual Practices is modified to authorize Sapere CTA Fund to file a brief not to exceed 75 pages in connection with the motion to dismiss the Amended Complaint herein. (Signed by Judge Victor Marrero on 1/23/2014) (lmb)
January 17, 2014 Opinion or Order Filing 624 ORDER denying #532 Motion to Dismiss; denying #535 Motion to Dismiss. Accordingly, it is hereby ORDERED that the motion (Dkt. No. 535) of Defendant Jon S. Corzine to Dismiss Counts I and IV of the Complaint is DENIED; and it is further ORDERED that the motion (Dkt. No. 532) of Defendant Edith O'Brien to Dismiss the Complaint is DENIED. (Signed by Judge Victor Marrero on 1/17/2014) (tro)
January 15, 2014 Filing 623 AMENDED ANSWER to #330 Amended Complaint,,,. Document filed by J. Randy Macdonald. (Hotz, Robert)
January 14, 2014 Transmission of Order to US Bankruptcy Court. Transmitted #622 Order, to the US Bankruptcy Court. (rjm)
January 14, 2014 Opinion or Order Filing 622 ORDER. It is hereby ORDERED that the reference to the bankruptcy court with respect to the Amended Complaint is withdrawn, and it is further ORDERED that all filings in connection with this matter be transferred to this Court; and it is finally ORDERED that the Clerk of Court is directed to consolidate this matter with the related case pending under docket number 11 civ. 7866, and as further set forth. (Signed by Judge Victor Marrero on 1/14/2014) (rjm)
January 14, 2014 Opinion or Order Filing 621 ENDORSED LETTER addressed to Judge Victor Marrero from Helen M. Cho dated 1/9/2014 re: The below counsel (Helen M. Cho and Allan L. Schare) respectfully request that they be removed from the ECF service list for the above-captioned matter. This firm no longer represents any of the remaining plaintiffs or defendants in this action. ENDORSEMENT: So ordered. (Attorney Helen Madelleine Cho and Allan Lawrence Schare terminated). (Signed by Judge Victor Marrero on 1/13/2014) (rjm)
January 9, 2014 Opinion or Order Filing 620 MEMO ENDORSEMENT on re: #618 Letter, filed by Jon S. Corzine. 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 Jon Corzine. So ordered. (Signed by Judge Victor Marrero on 1/9/2014) (rjm)
January 9, 2014 Opinion or Order Filing 619 ENDORSED LETTER addressed to Judge Victor Marrero from Christopher J. Barber dated 1/7/2014 re: Edith O'Brien respectfully moves to dismiss the Amended Complaint, Dkt. No. 587 ("AC") for the reasons stated in her opening memorandum, Dkt. No. 533 ("OM") (except the Rule 8(a)(2) argument, which is withdrawn). 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 Edith O'Brien. So ordered. (Signed by Judge Victor Marrero on 1/9/2014) (rjm) Modified on 1/13/2014 (rjm).
January 7, 2014 Filing 618 LETTER addressed to Judge Victor Marrero from Benjamin E. Rosenberg dated January 7, 2014 re: Defendant Jon S. Corzine's Supplemental Letter Brief in Support of Motion to Dismiss Amended Complaint filed by the Commodity Futures Trading Commission [ECF No. 587]. Document filed by Jon S. Corzine.(Rosenberg, Benjamin)
December 27, 2013 Filing 617 ANSWER to #330 Amended Complaint,,,. Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan.(Polubinski, Edmund)
December 27, 2013 Filing 616 ANSWER to #330 Amended Complaint,,,. Document filed by Henri J. Steenkamp.(Binder, Neil)
December 27, 2013 Filing 615 ANSWER to #330 Amended Complaint,,,. Document filed by CitiGroup Global Market, Inc., Deutsche Bank & Securities Inc., Goldman Sachs & Co., J.P. Morgan Securities Inc., Merril Lynch, Pierce, Fenner & Smith Incorporated, RBS Securities Inc..(Kirsch, Mark)
December 27, 2013 Filing 614 ANSWER to #330 Amended Complaint,,,. Document filed by Jon S. Corzine.(Rosenberg, Benjamin)
December 27, 2013 Filing 613 ANSWER to #330 Amended Complaint,,,. Document filed by BMO Capital Markets Corp., Commerz Markets LLC, Jefferies & Company, Inc., Lebenthal & Co., LLC, Natixis Securities North America Inc., Sandler O'Neill & Partners, L.P., U.S. Bancorp Investments, Inc..(Hakki, Adam)
December 27, 2013 Filing 612 ANSWER to #330 Amended Complaint,,, with JURY DEMAND. Document filed by J. Randy Macdonald.(Hotz, Robert)
December 26, 2013 Opinion or Order Filing 611 STIPULATION AND ORDER CONCERNING REQUIREMENT FORNOTICE TO CUSTOMERS OF THE MOTION FOR APPROVAL OF THE SETTLEMENTBETWEEN THE FORMER COMMODITY FUTURES CUSTOMERS OF MF GLOBAL INC.AND THE MF GLOBAL INC. TRUSTEE PROVIDING FOR THE ASSIGNMENT OF THECOMMODITY FUTURES CUSTOMERS UNPAID NET EQUITY CLAIMS IN EXCHANGEFOR PAYMENT OF 100% OF THE CLAIMS: [T [S HEREBY STIPULATED AND ORDERED THAT1. The Trustee and Customer Representatives can effectuate adequate notice to Customers concerning the Net Equity Settlement Assignment Agreement, including the deadline to object to the settlement, by instructing Epiq to mail to Settlement Class Members the contemplated Notice to Former Commodities Futures Customers of MF Global Inc. of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for the Assignment of the Commodity Futures Customers' Unpaid Net Equity Claims in Exchange for Payment of 100% of the Claims (the "Notice"), which will include the hearing date, at the addresses compiled by the Trustee and Epiq from the Customer Claim Forms, MFGJ's records, and the POCs submitted in connection with the JPMC Settlement. A copy of the Notice will also be sent, where appropriate, to the assignee or transferee of any Customer Claim Form as reflected on the Claims Register maintained in the SIPA proceeding. 2.The Trustee will make related materials seeking approval of the Net Equity Settlement Assignment Agreement, such as authorized Preliminary Approval Order, the Net Equity Settlement Assignment Agreement, the notice of motion, memorandum of law, declaration and exhibits, proposed final order, Allocation and Advance Order and so-ordered Consent Order available to Customers at http://dm.epiq11.com/MFG/Project and Co-lead counsel will make the same materials available on their respective websites. 3.The Trustee and the Customers Representatives have agreed that, in seeking expedited preliminary and final approval from this Court, the Customer Representatives are only required to submit one motion and set of supporting papers (rather than motions and supporting papers for both preliminary and final approval), which will include, among other things, both a proposed preliminary approval order and a proposed final order because of the unique circumstances present here, including that: (i) Customers are receiving payment of 100% of their net equity claims; and (ii) the approval motion will not seek an award of attorneys' fees. (Signed by Judge Victor Marrero on 12/26/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(js)
December 20, 2013 Opinion or Order Filing 610 ORDER GRANTING PRELIMINARILY APPROVAL OF THE SETTLEMENT BETWEEN THE FORMER COMMODITY FUTURES CUSTOMERS OF MF GLOBAL INC TRUSTEE PROVIDING FOR THE ASSIGNMENT OF THE COMMODITY FUTURES CUSTOMERS UNPAID NET EQUITY CLAIMS IN EXCHANGE FOR PAYMENT OF 100% OF THE CLAIMS APPROVING NOTICE THROUGH THE SIPA PROCEEDING AND SETTING A HEARING DATE FOR FINAL APPROVAL: NOW THEREFORE: IT IS HEREBY ORDERED:1. Settlement Class Certification: Pursuant to Rules 23(a) and 23(b)(3) of the Federal Rules of civil Procedure, and for purposes of the Net Equity Settlement Assignment Agreement only, the Court approves the utilization of the Settlement Class it certified in connection with the JPMC Settlement by Order dated March 28, 2013 (the"JPMC") Settlement Order") (ECF No. 474). For ease of reference: the Court certified the Customer Class Action as a class action on behalf of the following Settlement Class: All other provisions as further set forth in this order. (Signed by Judge Victor Marrero on 12/20/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(js) (PDF to large to attach) (js).
December 20, 2013 Opinion or Order Filing 609 ORDER GRANTING PRELIMINARY APPROVAL OF THE SETTLEMENT BETWEEN THE FORMER COMMODITY FUTURES CUSTOMER OF GLOBAL INC AND THE MF GLOBAL INC TRUSTEE PROVIDING FOR THE ASSIGNMENT OF THE COMMODITY FUTURES CUSTOMERS' UNPAID NET EQUITY CLAIMS IN EXCHANGE FOR PAYMENT OF 100% OF THE CLAIMS APPROVING NOTICE THROUGH THE SIPA PROCEEDING AND SETTING A HEARING DATE FOR FINAL APPROVAL: terminating (606) Motion to Approve settlement in case 1:11-cv-07866-VMNow therefore, it is hereby ordered 1. settlement class certification pursuant to Rules 23(a) and 23(b)(3) of the Federal Rules of civil Procedure, and for purposes of the Net Settlement Assignment Agreement only, the Court approves the utilization of the Settlement Class it certified in connection with the JPMC Settlement by Order dated March 28, 2013 (the "JPMC" Settlement Order") (ECF No. 474). for ease of reference, the Court certified the Customer Class Action as a class action on behalf of the following Settlement Class as set forth in this Order.. (Signed by Judge Victor Marrero on 12/20/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM (js)
December 20, 2013 Filing 608 DECLARATION of Andrew J. Entwistle in Support re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit. Document filed by Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Entwistle, Andrew)
December 20, 2013 Filing 607 MEMORANDUM OF LAW in Support re: #606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equit. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
December 20, 2013 Filing 606 MOTION to Approve Notice of Motion for Approval of the Settlement Between the Former Commodity Futures Customers of MF Global Inc. and the MF Global Inc. Trustee Providing for Assignment of the Former Commodity Futures Customers' Unpaid Net Equity Claims in Exchange for Payment of 100% of the Claims. Document filed by Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A (Proposed Preliminary Approval Order), #2 Exhibit B (Proposed Final Approval Order), #3 Exhibit C (Form of Notice to Customers))(Entwistle, Andrew)
December 18, 2013 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 12/18/2013 with counsel for plaintiff U.S. Commodity Futures Trading Commission, defendant Jon S. Corzine, defendant Edith O'Brien, and defendant MF Global Holdings Ltd. Defendants Corzine and O'Brien shall submit letter briefs of no more than three pages by 1/7/14 in response to the amended complaint. (sc)
December 17, 2013 Opinion or Order Filing 605 ENDORSED LETTER: addressed to Judge Victor Marrero from Scott J. Greenberg dated 1213/2013 re: Counsel for defendant request that Holdings' time to respond to the Amended Complaint be extended from December 20, 2013 to March 31, 2014 in an effort to reach a consensual resolution of the Amended Complaint. ENDORSEMENT: Request Granted. The time for defendant to answer or otherwise move with respect to the Complaint in this action is extended to 3/31/2014. So Ordered. MF Global Holdings Ltd., as Plan Administrator answer due 3/31/2014. (Signed by Judge Victor Marrero on 12/17/2013) (js)
December 12, 2013 Opinion or Order Filing 604 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: The Securities Action shall not be included in the Pilot Project Regarding Case Management Techniques for Complex Cases in the Southern District of New York, and, accordingly, the parties will instead proceed in accordance with this Plan and Judge Marrero's Individual Rules of Practice and Orders. The parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). This case is to be tried to a jury. The case will be governed by the following schedule: Plaintiffs' initial requests for the production of documents shall be served in December 2013. Fact discovery shall be completed by April 1, 2015, including requests for the production of documents, interrogatories, and depositions, except that requests for admission must be completed by April 15, 2015. A motion for class certification shall be filed by September 15, 2014. Any opposition papers shall be filed by November 17, 2014. Any reply in support of class certification shall be filed by January 12, 2015. Expert discovery shall be completed by July 31, 2015. The deadlines for completion of expert discovery shall be as set forth herein: Opening expert witness reports, if any, shall be served by April 30, 2015. All depositions of experts (whether initial or rebuttal experts) shall be completed by July 31, 2015. Any motion for summary judgment the Court permits shall be filed by September 21, 2015. Any opposition to a motion for summary judgment shall be filed by November 10, 2015. Any reply in support of a motion for summary judgment shall be filed by December 21, 2015. Joinder of additional parties and any amendment of the pleadings without leave of the Court are to be accomplished by October 17, 2014. The next Case Management Conference is scheduled for March 18 at 9:30 a.m. (See Order). Amended Pleadings due by 10/17/2014. Joinder of Parties due by 10/17/2014. Motions due by 9/21/2015. Responses due by 11/10/2015 Replies due by 12/21/2015. Deposition due by 7/31/2015. Fact Discovery due by 4/1/2015. Expert Discovery due by 7/31/2015. Case Management Conference set for 3/18/2014 at 09:30 AM before Judge Victor Marrero. (Signed by Magistrate Judge James C. Francis on 12/12/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(ja)
December 12, 2013 Filing 603 NOTICE OF CHANGE OF ADDRESS by Rachel Zeehandelaar Roth on behalf of Henri J. Steenkamp. New Address: Richards Kibbe & Orbe LLP, 200 Liberty Street, New York, NY, USA 10281, 212-530-1800. (Roth, Rachel)
December 12, 2013 Filing 602 NOTICE OF CHANGE OF ADDRESS by Lee S Richards, III on behalf of Henri J. Steenkamp. New Address: Richards Kibbe & Orbe LLP, 200 Liberty Street, New York, NY, USA 10281, 212-530-1800. (Richards, Lee)
December 12, 2013 Filing 601 NOTICE OF CHANGE OF ADDRESS by Matthew McPherson Balf Riccardi on behalf of Henri J. Steenkamp. New Address: Richards Kibbe & Orbe LLP, 200 Liberty Street, New York, NY, USA 10281, 212-530-1800. (Riccardi, Matthew)
December 12, 2013 Filing 600 NOTICE OF CHANGE OF ADDRESS by Paul James Devlin on behalf of Henri J. Steenkamp. New Address: Richards Kibbe & Orbe LLP, 200 Liberty Street, New York, NY, USA 10281, 212-530-1800. (Devlin, Paul)
December 6, 2013 Filing 599 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by J.C. Flowers & Co. LLC.Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(O'Connor, Maeve)
December 6, 2013 Filing 598 DECLARATION of David Gopstein in Support re: (596 in 1:11-cv-07866-VM, 111 in 1:11-cv-09114-VM) MOTION to Dismiss / Notice of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint.. Document filed by J.C. Flowers & Co. LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6)Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Gopstein, David)
December 6, 2013 Filing 597 MEMORANDUM OF LAW in Support re: (596 in 1:11-cv-07866-VM, 111 in 1:11-cv-09114-VM) MOTION to Dismiss / Notice of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint. / Memorandum of Law in Support of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint. Document filed by J.C. Flowers & Co. LLC. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(O'Connor, Maeve)
December 6, 2013 Filing 596 MOTION to Dismiss / Notice of Defendant J.C. Flowers & Co. LLC's Motion to Dismiss the Amended Complaint. Document filed by J.C. Flowers & Co. LLC.Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(O'Connor, Maeve)
December 6, 2013 Filing 595 DECLARATION of Helen B. Kim in Support re: (588 in 1:11-cv-07866-VM) JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by Dennis A. Klejna. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B, #3 Exhibit Exhibit C)Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Kim, Helen)
December 6, 2013 Filing 594 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: (588 in 1:11-cv-07866-VM) JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by Dennis A. Klejna. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Kim, Helen)
December 6, 2013 Filing 593 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan. (Polubinski, Edmund)
December 6, 2013 Filing 592 MEMORANDUM OF LAW in Support re: #591 MOTION to Dismiss the Sapere CTA Fund, L.P.Amended Complaint filed on December 18, 2012 [ECF No. 403].. Document filed by PricewaterhouseCoopers LLP. (Fine, David)
December 6, 2013 Filing 591 MOTION to Dismiss the Sapere CTA Fund, L.P.Amended Complaint filed on December 18, 2012 [ECF No. 403]. Document filed by PricewaterhouseCoopers LLP.(Fine, David)
December 6, 2013 Filing 590 DECLARATION of Benjamin E. Rosenberg in Support re: #588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by Bradley I. Abelow, Matthew V. Besgen, David P. Bolger, Jon S. Corzine, David Dunne, Laurie R. Ferber, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, Matthew Hughey, Dennis A. Klejna, Robert Lyons, John Ranald MacDonald, Vinay Mahajan, Edith O'Brien, David I. Schamis, Christine A. Serwinski, David Simons, Robert S. Sloan, Henri J. Steenkamp, Michael G. Stockman. (Attachments: #1 Exhibit A, #2 Exhibit B)(Rosenberg, Benjamin)
December 6, 2013 Filing 589 MEMORANDUM OF LAW in Support re: #588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P... Document filed by Bradley I. Abelow, Matthew V. Besgen, David P. Bolger, Jon S. Corzine, David Dunne, Laurie R. Ferber, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, Matthew Hughey, Dennis A. Klejna, Robert Lyons, John Ranald MacDonald, Vinay Mahajan, Edith O'Brien, David I. Schamis, Christine A. Serwinski, David Simons, Robert S. Sloan, Henri J. Steenkamp, Michael G. Stockman. (Rosenberg, Benjamin)
December 6, 2013 Filing 588 JOINT MOTION to Dismiss the Amended Complaint filed by Sapere CTA Fund, L.P.. Document filed by Bradley I. Abelow, David P. Bolger, Jon S. Corzine, David Dunne, Laurie R. Ferber, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, Matthew Hughey, Dennis A. Klejna, John Ranald MacDonald, Vinay Mahajan, Edith O'Brien, David I. Schamis, Christine A. Serwinski, David Simons, Robert S. Sloan, Henri J. Steenkamp, Michael G. Stockman, Matthew V. Besgen, Robert Lyons.(Rosenberg, Benjamin)
December 6, 2013 Filing 587 AMENDED COMPLAINT amending #382 Amended Complaint,,, against Jon S. Corzine, MF Global Holdings Ltd., as Plan Administrator, Edith O'Brien with JURY DEMAND.Document filed by U.S. Commodity Futures Trading Commission. Related document: #382 Amended Complaint,,, filed by Paradigm Asia Ltd., Rogers Varner, Jr., Her Majesty the Queen in Right of Alberta, Joseph Deangelis, City of Philadelphia Board of Pensions and Retirement and Palisade Strategic Master Fund (Cayman) Limited, Paradigm Equities Ltd., Paradigm Global Fund I Ltd., Bearing Fund LP, Virginia Retirement System, Jerome Vrabel, PS Energy Group Inc.(ft) (ca).
December 3, 2013 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 12/3/2013 with respect to Defendants' request for extended briefing for their motions to dismiss the Sapere complaint. The Court granted Defendants' request.. (sc)
December 3, 2013 Opinion or Order Filing 586 ENDORSED LETTER: addressed to Judge Victor Marrero from Benjamin E. Rosenberg dated 11/26/2013 re: Counsel for defendant write on behalf of Mr. Corzine and 21 other individual defendants to request leave to submit a joint brief of no more than 40 pages in support of their motion to dismiss the complaint in Sapere CTA Fund, L.P. v. Corzine et al as well as a single separate 10-page brief by the seven former employees of MFGI or MFGH who were named in the Commodity Customer class action and a single 10-page brief by the seven former independent directors of MFGH who also were not named in the Commodity Customer Class Action. ENDORSEMENT: Request Granted. The page limitations provision of the Court's Individual Practices is modified to authorize defendants to file a brief not to exceed 40 pages in connection with the motion to dismiss the complaint herein, with supplemental briefs as set forth above. So Ordered. (Signed by Judge Victor Marrero on 12/3/2013) (js) Modified on 12/3/2013 (js).
December 2, 2013 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Interim Pretrial Conference held on 12/2/2013. (sc)
December 2, 2013 Filing 585 NOTICE OF CHANGE OF ADDRESS by Helen Byung-Son Kim on behalf of Dennis A. Klejna. New Address: Thompson Coburn LLP, 2029 Century Park East, 19th Floor, Los Angeles, CA, USA 90067, (310)282-2500. (Kim, Helen)
November 27, 2013 Filing 584 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by Henri J. Steenkamp. (Binder, Neil)
November 27, 2013 Filing 583 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by Vinay Mahajan. (O'Connell, Gregory)
November 27, 2013 Filing 582 JOINT REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Laurie R. Ferber, Vinay Mahajan, Edith O'Brien, Christine A. Serwinski, Henri J. Steenkamp. (Binder, Neil)
November 27, 2013 Filing 581 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by Laurie R. Ferber. (Wohl, Frank)
November 27, 2013 Filing 580 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by Jon S. Corzine. (Rosenberg, Benjamin)
November 27, 2013 Filing 579 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law. /Supplemental Reply Memorandum of Law In Support of Bradley Abelow's Motion to Dismiss The Consolidated Amended Class Action Complaint for Violations of the Commodity Exchange Act and Common Law. Document filed by Bradley I. Abelow. (Schoeman, Paul)
November 27, 2013 Filing 578 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by Edith O'Brien. (Barber, Christopher)
November 27, 2013 Filing 577 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by David Dunne. (Steinberg, Laura)
November 27, 2013 Filing 576 REPLY MEMORANDUM OF LAW in Support re: #426 MOTION to Dismiss the Consolidated Amended Customer Class Action Complaint.. Document filed by PricewaterhouseCoopers LLP. (Fine, David)
November 26, 2013 Filing 574 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law.. Document filed by Christine A. Serwinski. (Robinson, Jayne)
November 25, 2013 Filing 573 STIPULATION TO EXTEND TIME TO ANSWER CONSOLIDATED AMENDED SECURITIES CLASS ACTION COMPLAINT:NOW, BASED ON THE FOREGOING AND FOR GOOD CAUSE, IT IS HEREBY STIPULATED AND AGREED, by and between Plaintiffs and Defendants, that the time for the Defendants to answer the CAC shall be extended through and including December 27, 2013. (Signed by Judge Victor Marrero on 11/25/2013) (js) Modified on 11/25/2013 (js).
November 15, 2013 Filing 572 NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Thomas F. Connolly. Document filed by Sapere CTA Fund, LP. (js)
November 14, 2013 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Jon Grabowski Document #570 Notice of Voluntary Dismissal, was referred to Judge Victor Marrero for approval. (jno)
November 13, 2013 Filing 570 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Thomas F. Connolly. Document filed by Sapere CTA Fund, LP. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Grabowski, Jon) Modified on 11/14/2013 (jno).
November 13, 2013 Filing 569 MEMO ENDORSEMENT on re: (563 in 1:11-cv-07866-VM) Letter filed by Paradigm Global Fund I Ltd. ENDORSEMENT: Application granted. ***Filed in 11cv7866 and 12md2338. (Signed by Magistrate Judge James C. Francis on 11/13/2013) (tn)
November 12, 2013 Filing 568 ENDORSED LETTER addressed to Judge Victor Marrero from Edward M. Pinter dated 11/11/2013 re: Counsel for plaintiff submits this letter in response to Your Honor's request, that Sapere update the Court concerning its 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 plaintiff Sapere CTA Fund, L.P. Sapere's complaint shall be deemed amended to withdraw its RICO claim without prejudice. (Signed by Judge Victor Marrero on 11/12/2013) ***Filed in 11cv7866 and 11cv9114. (tn)
November 12, 2013 Opinion or Order Filing 567 DECISION AND ORDER: For the reasons discussed above, it is hereby ORDERED that the motion (Dkt. No. 368) of defendant Jon S. Corzine to dismiss the consolidated Amended Securities Class Action Complaint is DENIED; and it is further ordered that the motion (Dkt. No. 360) of defendant J. Randy MacDonald to dismiss the consolidated Amended Securities Class Action Complaint is DENIED; and it is further ordered that the motion (Dkt. No. 373) of defendant Henri J. Steenkamp to dismiss the the consolidated Amended Securities Class Action Complaint is DENIED; and it is further ordered that the motion (Dkt. No. 357) of defendants David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, and Robert S. Sloan to dismiss the Consolidated Amended Securities Class Action Complaint id DENIED; and it is further ordered that the motion (Dkt. No. 364) of defendants Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Goldman Sachs & Co., J.P. Morgan Securities LLC, Merrill, Lynch, Pierce, Fenner & Smith Incorporated, and RBS Securities Inc. to dismiss the consolidated Amended Securities Class Action Complaint is DENIED; and it is finally ordered that the motion (Dkt.No. 366) of defendants BMO Capital Markets Corp., Commerz Markets LLC, Jefferies & Company Inc. Lebenthal & Co., LLC. Natixis Securities North America Inc., Sandler O'Neill & Partners, L.P., and U.S. Bancorp Investments, Inc. to dismiss the consolidated Amended Securities Class Action Complaint is DENIED. (Signed by Judge Victor Marrero on 11/12/2013)
November 8, 2013 Opinion or Order Filing 575 FINAL CONSENT ORDER OF RESTITUTION CIVIL MONETARY PENALTY AND ANCILLARY RELIEF AGAINST MF GLOBAL INC: MF Global shall make The "Restitution Obligation") for the amount of $1,212,000,000 (one-billion two-hundred twelve million dollars), or such amount necessary to ensure that all 4d and 30.7 Allowed Customer' Net Equity Claims are paid in full (the "Restitution Obligation"). The Restitution Obligation shall be deemed satisfied as follows Within five (5) business days of the receipt by the SIPA Trustee of the first tranche of funds from MF Global UK Limited (in Special Administration), estimated to be approximately $290 million, pursuant to the Settlement Agreement Between the Debtor, the Trustee MF Global UK Limited (in Special Administration) and the MFGUK Special Administrators (as approved in the SIPA Proceeding and docketed at No. 5724), which funds the SIPA Trustee estimates, based on information received from the UK Administrators, shall be received by approximately September 15, 2013, the SIPA Trustee shall file a motion in the SIPA Proceeding seeking an order (the "Final Customer Allocation Order") authorizing the allocation and advance of such amount of general estate funds as is necessary to satisfy the Restitution Obligation in full (the "Final Distribution"). All other provisions as further set forth in this order (Signed by Judge Victor Marrero on 11/8/2013) (js) Modified on 11/27/2013 (js).
November 8, 2013 Opinion or Order Filing 571 ORDER FINAL CONSENT ORDER OF RESTITUTION CIVIL MONETARY PENALTY AND ANCILLARY RELIEF AGAINST MF GLOBAL INC: IT IS HEREBY ORDERED THAT: 4. MF Global shall make restitution for the amount of $1,212,000,000 (one-billion two-hundred twelve million dollars),or such amount necessary to ensure that a1l 4d and 30.7 Allowed Customer Net Equity Claims are paid in full (the "Restitution Obligation"). The Restitution Obligation shall be deemed satisfied as follows: a. Within five (5) business days of the receipt by the SIPA Trustee of the first tranche of funds from MF Global UK Limited (in Special Administration), estimated to be approximately $290 million, pursuant to the Settlement Agreement Between the Debtor, the Trustee, MP Global UK Limited (in Special Administration) and the MFGUK Special Administrators (as approved in the SIPA Proceeding and docketed at No. 5724), which funds the SIPA Trustee estimates, based on information received from the UK Administrators, shall be received by approximately September 15, 2013, the SIPA Trustee shall file a motion in the SIPA Proceeding seeking an order (the "Final Customer Allocation Order")authorizing the allocation and advance of such amount of general State funds as is necessary to satisfy the Restitution Obligation in full (the "Final Distribution").6. The CMP Obligation is payable by electronic funds transfer, U,S. postal money order, certified check, bank cashier's check, or bank money order. If payment is to be made other than by electronic funds transfer, the payment shall be made payable to the Commodity Futures Trading Commission and sent to the address below:Commodity Futures Trading Commission Division of Enforcement ATTN: Accounts Receivables-AMZ340 E-mail Box: 9-AMC-AMZ-AR-CFTCDOT/FAA/MMAC 6500 S. MacArthur Blvd.Oklahoma City, OK 73169 Telephone: (405) 954-5644. All other provisions as further set forth in this order. (Signed by Judge Victor Marrero on 11/8/2013) (js)
November 8, 2013 Filing 566 MEMO ENDORSEMENT on re: #563 Letter filed by Paradigm Global Fund I Ltd. 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 customer plaintiffs. The briefing schedule on the motion of defendant Chicago Mercantile Exchange to dismiss the complaint is suspended. (Signed by Judge Victor Marrero on 11/8/2013) (lmb)
November 8, 2013 Opinion or Order Filing 565 ENDORSED LETTER addressed to Judge Victor Marrero from Steven Ringer dated 11/7/2013 re: Accordingly, Plaintiff requests that it be allowed to file an amended complaint within four weeks after entry of the Proposed Consent Order. Also, prior to the filing of the amended complaint, Plaintiff will confer with the remaining Defendants regarding a proposed schedule, subject to Your Honor's approval, for answering or otherwise responding to the amended complaint. ENDORSEMENT: Request GRANTED. The time for Plaintiff to file an amended complaint herein is extended to 12/6/2013. So Ordered., ( Amended Pleadings due by 12/6/2013.) (Signed by Judge Victor Marrero on 11/8/2013) (js)
November 8, 2013 Opinion or Order Filing 564 STIPULATION AND ORDER RESERVING RIGHTS: IT IS HEREBY STIPULATED AND ORDERED THAT: 1. All issues related to the use of assets to satisfy allowed customer net equity claims as outlined in ordered paragraph 4(a), (b) & (c) of the Consent Order, including the classification of assets and the legal consequences of the use of assets to satisfy allowed customer net equity claims, are not before this Court in this proceeding. 2. This Court's approval of the Consent Order shall not bar any party from raising any and all arguments with respect to the use of assets to satisfy allowed customer net equity claims as outlined in ordered paragraph 4(a), (b) & (c) of the Consent Order that they are entitled to raise in this Court, and nothing in the Authorizing Order I or the Consent Order will constitute a waiver of any rights or arguments. (Signed by Judge Victor Marrero on 11/8/2013) (js) Modified on 11/8/2013 (js).
November 7, 2013 Filing 563 LETTER addressed to Judge Victor Marrero from Andrew J. Entwistle dated 11/07/2013 re: Settlement With CME and Request Regarding Briefing. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
November 5, 2013 Filing 562 MEMO ENDORSEMENT on re: (558 in 1:11-cv-07866-VM) Letter, filed by Paradigm Equities Ltd., Paradigm Asia Ltd., Paradigm Global Fund I Ltd. ENDORSEMENT: Application denied. Lifting the stay selectively is not costless and risks generating additional disputes. ***Filed in 11cv7866 and 12md2338 (Signed by Magistrate Judge James C. Francis on 11/5/2013) (tn)
November 5, 2013 Filing 561 MEMO ENDORSEMENT on re: (560 in 1:11-cv-07866-VM) Letter filed by Paradigm Global Fund I Ltd. ENDORSEMENT: Application granted. Set Deadlines/Hearing as to (560 in 1:11-cv-07866-VM) Letter, (431 in 1:11-cv-07866-VM) MOTION to Dismiss The Consolidated Amended Class Action Complaint: Responses due by 11/11/2013, Replies due by 12/11/2013. ***Filed in 11cv7866 and 12md2338. (Signed by Magistrate Judge James C. Francis on 11/5/2013) (tn)
November 4, 2013 Filing 560 LETTER addressed to Magistrate Judge James C. Francis IV from Andrew J. Entwistle dated 11/04/2013 re: Extension. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
November 4, 2013 Filing 559 LETTER addressed to Magistrate Judge James C. Francis IV from David M. Fine dated November 4, 2013 re: Response to letter from Andrew J. Entwistle dated 11/01/2013 (ECF doc. no.558). Document filed by PricewaterhouseCoopers LLP.(Fine, David)
November 1, 2013 Filing 558 LETTER addressed to Magistrate Judge James C. Francis IV from Andrew J. Entwistle dated 11/01/2013 re: Requesting that the Court amend its September 12, 2013 Order. Document filed by Paradigm Asia Ltd., Paradigm Equities Ltd., Paradigm Global Fund I Ltd..(Entwistle, Andrew)
November 1, 2013 Filing 557 NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed without prejudice and without costs against the defendant(s) Christy Vavra. (Signed by Judge Victor Marrero on 11/1/2013) Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(js)
November 1, 2013 Filing 556 NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed without prejudice and without costs against the defendant(s) Timothy Mundt. (Signed by Judge Victor Marrero on 11/1/2013) Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(js)
November 1, 2013 Filing 555 NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed without prejudice and without costs against the defendant(s) Sumit Advani. (Signed by Judge Victor Marrero on 11/1/2013) (js)
October 29, 2013 Filing 554 MEMO ENDORSEMENT on re: #552 Letter filed by Paradigm Global Fund I Ltd. ENDORSEMENT: Application granted. Set Deadlines/Hearing as to #431 MOTION to Dismiss The Consolidated Amended Class Action Complaint: Responses due by 11/4/2013, Replies due by 12/4/2013. (Signed by Magistrate Judge James C. Francis on 10/29/2013) (tn)
October 29, 2013 Opinion or Order Filing 553 ENDORSED LETTER: addressed to Judge Victor Marrero from Scott J. Greenberg dated 10/28/2013 re: Counsel for MF Global Holdings Ltd. write to request that Holdings' time to respond to the Complaint filed by the U.S. Commodity Futures Trading Commission on June 27, 2013 [Case No. 13-cv-4463, DI 1] be extended from October 31, 2013 to December 15, 2013. ENDORSEMENT: Request GRANTED. The time for defendant to answer or otherwise move with respect to the complaint in this action is extended to 12/15/2013. So Ordered., MF Global Holdings Ltd., as Plan Administrator answer due 12/15/2013; MS Global Holdings Ltd. answer due 12/15/2013. (Signed by Judge Victor Marrero on 10/29/2013) Filed In Associated Cases: 1:11-cv-07866-VM, 1:13-cv-04463-VM(js)
October 28, 2013 Filing 552 LETTER addressed to Magistrate Judge James C. Francis IV from Andrew J. Entwistle dated 10/28/2013 re: Deangelis v. Corzine, et al., No. 11-cv-07866-VM. Document filed by Paradigm Global Fund I Ltd..(Entwistle, Andrew)
October 28, 2013 Filing 551 MEMORANDUM OF LAW in Opposition re: #426 MOTION to Dismiss the Consolidated Amended Customer Class Action Complaint. Customer Plaintiffs' Memorandum of Law in Response to Defendant PricewaterhouseCoopers LLP's Motion to Dismiss. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
October 28, 2013 Filing 550 MEMORANDUM OF LAW in Opposition re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law. Customer Plaintiffs' Omnibus Memorandum of Law in Response to the Director and Officers Defendants' Respective Individual Supplemental Memoranda of Law in Support of their Joint Motion to Dismiss. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
October 28, 2013 Filing 549 MEMORANDUM OF LAW in Opposition re: #422 JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law. Customer Plaintiffs' Memorandum of Law in Response to the Director and Officer Defendants' Joint Motion to Dismiss the Consolidated Amended Class Action Complaint for Violations of the Commodity Exchange Act and Common Law. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
October 28, 2013 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Jon Grabowski Document #546 Notice of Voluntary Dismissal, #545 Notice of Voluntary Dismissal, #547 Notice of Voluntary Dismissal, was referred to Judge Victor Marrero for approval. (jno)
October 25, 2013 Filing 547 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Christy Vavra. Document filed by Sapere CTA Fund, LP. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Grabowski, Jon) Modified on 10/28/2013 (jno).
October 25, 2013 Filing 546 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Timothy Mundt. Document filed by Sapere CTA Fund, LP. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Grabowski, Jon) Modified on 10/28/2013 (jno).
October 25, 2013 Filing 545 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, Without prejudice against the defendant(s) Sumit Advani. Document filed by Sapere CTA Fund, LP. Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-09114-VM(Grabowski, Jon) Modified on 10/28/2013 (jno).
October 23, 2013 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 10/23/2013. Plaintiff is to inform the Court whether it will amend the complaint by 11/15/13. Defendants' motions to dismiss shall be filed by 12/6/13. The remaining briefing schedule is adjusted accordingly. (sc)
October 21, 2013 Opinion or Order Filing 544 ENDORSED LETTER: addressed to Judge Victor Marrero from Neil S. Binder dated 10/18/2013 re: Counsel for defendants in the Consolidated Amended Class Action Complaint to respond to certain erroneous assertions in the October 11, 2013 letter from Andrew Entwistle to this 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 Defendants. So Ordered. (Signed by Judge Victor Marrero on 10/18/2013) (js)
October 15, 2013 Filing 548 ENDORSED LETTER addressed to Judge Victor Marrero from Andrew J. Entwistle dated 10/11/2013 re: Counsel write they are pleased to report that, after two years of negotiations and litigation in this court and the bankruptcy court, we have negotiated with the SIP A Trustee to have the MFGI general estate advance sufficient funds to satisfy 100% of the Customers' net equity claims in exchange for assignment of those net equity claims to the SIP A Trustee for the benefit of the general estate This means that all Customers with allowed net equity claims -approximately 26, 000 such claims -will receive a dollar-for-dollar return of the funds taken from them before and during MFGI's October 31, 2011 collapse. Advances by the MFGI general estate to fund the 100% recovery total $632 million, though it is expected that further recoveries from the settlement with MF Global UK Ltd. ("MFGUK") will offset some of this current deficit ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Customer Plaintiffs. (Signed by Judge Victor Marrero on 10/15/2013) (js)
September 27, 2013 Filing 543 ENDORSED LETTER addressed to Magistrate Judge James C. Francis IV from Arthur H. Aufses III, Therese M. Doherty, Benjamin Rosenberg, G. Robert Gage, Jr., Helen B. Kim, Edmund Polubinski III, Laura Steinberg, Daniel E. Reynolds, David A. Geier, Robert H. Hotz, Jr., Harris L. Kay, Christopher Barber, Thomas A. Arena, Gregory J. O'Connell, Jayne S. Robinson and Neil S. Binder dated 9/27/2013 re: Counsel request that the stay of litigation be reinstated. ENDORSEMENT: Application denied. To the extent the prejudice alleged is attributable to the assertion of frivolous claims, the remedy lies in Rule 11. (Signed by Magistrate Judge James C. Francis on 9/27/2013) (tn)
September 23, 2013 Filing 542 ENDORSED LETTER addressed to Judge Victor Marrero from Scott J. Greenberg dated 9/20/2013 re: We are counsel to defendant MF Global Holdings Ltd. We write to respectfully request that Holdings' time to respond to the Complaint filed by the U.S. Commodity Futures Trading Commission on June 27, 2013 be extended from September 30, 2013 to October 31, 2013. ENDORSEMENT: Request GRANTED. The time for defendant(s) to answer or otherwise move with respect to the complaint in this action is extended to 10/31/13. MF Global Holdings Ltd., as Plan Administrator answer due 10/31/2013. (Signed by Judge Victor Marrero on 9/23/2013) (rsh)
September 23, 2013 Filing 541 ENDORSED LETTER: addressed to Judge Victor Marrero from Benjamin E. Rosenberg dated 9/19/2013 re: Counsel to Jon S. Corzine write on behalf of OSG involved a company that disclosed to the SEC that its previously filed financial statements "should no longer be relied upon." OSG Opinion at 8. Notwithstanding the misstatements of OSG's tax liability in SEC filings, Judge Scheindlin dismissed Section 1O(b) claims against the company's CEO and CFO on scienter grounds, relying on the undisputed facts that the company's auditors had certified the tax liabilities and that the CEO had purchased the company's securities during the period of the alleged securities fraud. Id. at 39-40, 44, 48. Both facts are present in this case, as well: MF Global's outside auditors certified its treatment of deferred tax assets, and the CEO (Mr. Corzine) purchased securities on the open market at what was supposedly the height of the fraud. 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 Jon Corzine. (Signed by Judge Victor Marrero on 9/20/2013) (js)
September 19, 2013 Filing 540 LETTER addressed to Judge Victor Marrero from Edmund Polubinski III dated 9/19/2013 re: We respectfully write on behalf of the Securities Act Defendants 1 in response to the September 11, 2013 letter to the Court from Securities Plaintiffs' counsel concerning a recent decision by Judge Scheindlin in the OSG Securities Litigation (the "OSG Decision"). The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Securities Act Defendants. Document filed by David P. Bolger, Eileen S. Fusco, David Gelber, Martin J. Glynn, Edward L. Goldberg, David I. Schamis, Robert S. Sloan.(rsh)
September 17, 2013 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 9/17/2013. The Court held a telephone conference in this matter with counsel for the plaintiff, U.S. Commodity Futures Trading Commission, the defendants, Jon S. Corzine, Edith O'Brien, MF Global Inc., and M.F. Global Holdings, Ltd. Plaintiff is to respond within two(2) weeks whether it will amend the complaint or remain with the existing complaint. (sc)
September 17, 2013 Opinion or Order Filing 539 ENDORSED LETTER: addressed to Judge Victor Marrero from Christopher J. Barber dated 9/16/2013 re: Counsel writes To date, the following three attorneys affiliated with Steptoe have entered appearances as counsel tor Ms. O'Brien in the above-captioned consolidated action: Christopher 1. Barber (ECF No. 320)Darren Semens Kinkead (ECF No. 308) Alejandro Gabriel Rosenberg (ECF No. 141 and ECF No. 245) As of August 9, 20l3, however, Mr. Rosenberg is nO longer affiliated with Steptoe. Accordingly, I respectfully request that Mr. Rosenberg's appearance as counsel for Ms. O'Brien be withdrawn on both Docket No. 11 Civ. 7866 (VM) and Docket No. 12 MD 2338 (VM). Steptoe continues to represent Ms. O'Brien in the above-captioned consolidated action, and Mr. Kinkead and I will continue to appear as counsel ENDORSEMENT: So Ordered. (Signed by Judge Victor Marrero on 9/16/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(js) Modified on 9/17/2013 (js).
September 12, 2013 Opinion or Order Filing 538 ORDER: that Plaintiffs' responses to defendants' motions to dismiss in the Commodity Customer Class Action shall be filed by October 28, 2013; Defendants' reply in support of their motions to dismiss in the Commodity Customer Class Action shall be filed by November 27, 2013; Defendants' motion to dismiss in the Sapere action shall be filed by October 28, 2013; Plaintiffs' response to defendants' motions to dismiss in the Sapere action shall be filed by December 27, 2013; Defendants' reply in support of their motions to dismiss in the Sapere action shall be filed by January 27, 2014; and discovery shall continue to be stayed in all actions. Set Deadlines/Hearing as to (422 in 1:11-cv-07866-VM) JOINT MOTION to Dismiss The Consolidated Amended Class Action Complaint For Violations Of The Commodity Exchange Act And Common Law, (426 in 1:11-cv-07866-VM) MOTION to Dismiss the Consolidated Amended Customer Class Action Complaint, (431 in 1:11-cv-07866-VM) MOTION to Dismiss The Consolidated Amended Class Action Complaint: Responses due by 10/28/2013, Replies due by 11/27/2013. (Motions due by 10/28/2013, Responses due by 12/27/2013, Replies due by 1/27/2014.) (Signed by Magistrate Judge James C. Francis on 9/12/2013) Copies Mailed By Chambers. (tn)
September 11, 2013 Filing 537 JOINT LETTER addressed to Judge Victor Marrero from Max W. Berger and Jonathan M. Plasse dated 09/11/2013 re: Recent Supplemental Authority. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System.(Berger, Max)
September 10, 2013 Filing 536 MEMORANDUM OF LAW in Support re: #535 MOTION to Dismiss Counts I and IV of the Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties Under the Commodity Exchange Act.. Document filed by Jon S. Corzine. (Rosenberg, Benjamin)
September 10, 2013 Filing 535 MOTION to Dismiss Counts I and IV of the Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties Under the Commodity Exchange Act. Document filed by Jon S. Corzine.(Rosenberg, Benjamin)
September 10, 2013 Filing 534 DECLARATION of Christopher J. Barber in Support re: #532 MOTION to Dismiss the Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties Under the Commodity Exchange Act.. Document filed by Edith O'Brien. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit)(Barber, Christopher)
September 10, 2013 Filing 533 MEMORANDUM OF LAW in Support re: #532 MOTION to Dismiss the Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties Under the Commodity Exchange Act.. Document filed by Edith O'Brien. (Barber, Christopher)
September 10, 2013 Filing 532 MOTION to Dismiss the Complaint for Injunctive and Other Equitable Relief and for Civil Monetary Penalties Under the Commodity Exchange Act. Document filed by Edith O'Brien.(Barber, Christopher)
September 6, 2013 Opinion or Order Filing 531 ENDORSED LETTER: addressed to Judge Victor Marrero from Scott J. Greenberg dated 9/6/2013 re: Counsel for defendant write to request that Holdings' time to respond to the Complaint filed by the U.S. Commodity Futures Trading Commission on June 27, 2013 be extended from September 10, 2013 to September 30, 2013. ENDORSEMENT: Request GRANTED. The time for defendant to answer or otherwise move with respect to the complaint in this action is extended to 9/30/2013. So Ordered. (Signed by Judge Victor Marrero on 9/6/2013) (js)
August 7, 2013 Filing 530 NOTICE OF APPEARANCE by Christopher K. Kiplok on behalf of James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Kiplok, Christopher)
August 7, 2013 Filing 529 NOTICE OF APPEARANCE by Sarah Loomis Cave on behalf of James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Cave, Sarah)
August 7, 2013 Filing 528 NOTICE OF APPEARANCE by James Benedict Kobak, Jr on behalf of James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Kobak, James)
August 1, 2013 Filing 527 NOTICE OF APPEARANCE by Douglas Kent Yatter on behalf of U.S. Commodity Futures Trading Commission. (Yatter, Douglas)
July 31, 2013 Filing 526 NOTICE OF APPEARANCE by Sheila Louise Marhamati on behalf of U.S. Commodity Futures Trading Commission. (Marhamati, Sheila)
July 31, 2013 Filing 525 NOTICE OF APPEARANCE by Kenneth Brent Tomer on behalf of U.S. Commodity Futures Trading Commission. (Tomer, Kenneth)
July 30, 2013 Filing 524 NOTICE OF APPEARANCE by Chad Eric Silverman on behalf of U.S. Commodity Futures Trading Commission. (Silverman, Chad)
July 24, 2013 Filing 523 ENDORSED LETTER addressed to Magistrate Judge James C. Francis from Andrew J. Entwistle dated 7/22/2013 re: Since our last letter to the Court on June 24, 2013, the parties have engaged in additional telephonic and in-person meetings with the mediators during which we believe adequate progress I has been made to request a brief additional extension of the stay until Friday, August 2,2013, on the same terms. ENDORSEMENT: Application granted. (Signed by Magistrate Judge James C. Francis on 7/24/2013) (lmb)
July 23, 2013 Minute Entry for proceedings held before Judge Victor Marrero: Telephone Conference held on 7/23/2013. The Court held a telephone conference in this matter with counsel for the Commodity Futures Trading Commission and counsel for Edith O'Brien. Judge Marrero disclosed that he has a relative, Virginia White-Mahaffey, who is a partner at Steptoe & Johnson LLP, counsel for Edith O'Brien. The parties preliminarily indicated that they foresaw no issues with the disclosure and agreed to report back to the Court, after further consultation, if they foresaw any problems. Submitted by Ryan Harris, Deputy Clerk (sc)
July 19, 2013 Opinion or Order Filing 522 ENDORSED LETTER addressed to Judge Victor Marrero from G. Robert Gage, Jr. dated 7/19/2013 re: I write to respectfully request that Ashley Garman, formally associated with our firm, be terminated from receiving the Notices of Electronic Filing ("NEF") in this matter, as well as the action captioned In Re: MP Global Holdings Ltd investment Litigation, 12-md-02338. ENDORSEMENT: SO ORDERED. Request GRANTED. The Clerk of court is directed to terminate NEF communications to attorney Ashley Garman in the reference matter. (Signed by Judge Victor Marrero on 7/19/2013) (ama)
July 18, 2013 Filing 521 NOTICE OF APPEARANCE by David A Geier on behalf of Matthew Hughey. (Geier, David)
July 18, 2013 Opinion or Order Filing 520 STIPULATION OF RULE 41 DISMISSAL WITH PREJUDICE: It is hereby stipulated and agreed between Craig Donohue, Donna Dellosso, and Paul Hamann, pursuant to Fed. R. Civ. P. 41(a)(1)(A)(ii) that Paul Hamann's Complaint against Craig Donohue and Donna Dellosso is dismissed in its entirety with prejudice, with each party to bear its own costs, including attorneys' fees. So Ordered (Signed by Judge Victor Marrero on 7/17/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(js)
July 17, 2013 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Gregory Boyle Document #519 Stipulation of Voluntary Dismissal, was referred to Judge Victor Marrero for approval. (jno)
July 16, 2013 Filing 519 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) Donna Dellosso, Craig Donohue pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Paul Hamann.(Boyle, Gregory) Modified on 7/17/2013 (jno).
July 15, 2013 Filing 518 NOTICE OF APPEARANCE by Bruce S Bennett on behalf of MF Global Holdings Ltd., as Plan Administrator. (Bennett, Bruce)
July 15, 2013 Opinion or Order Filing 517 ORDER FOR ADMISSION PRO HAC VICE: granting #496 Motion for David A Geier to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 7/15/2013) (js)
July 15, 2013 Opinion or Order Filing 516 ORDER FOR ADMISSION PRO HAC VICE: granting (514) Motion for Bruce Scott Bennett to Appear Pro Hac Vice in case 1:11-cv-07866-VM; granting [] Motion for Bruce Scott Bennett to Appear Pro Hac Vice in case 1:12-md-02338-VM. (Signed by Judge Victor Marrero on 7/15/2013) Filed In Associated Cases: 1:11-cv-07866-VM, 1:11-cv-07866-VM(js)
July 12, 2013 Filing 515 NOTICE OF APPEARANCE by Scott Jason Greenberg on behalf of MF Global Holdings Ltd., as Plan Administrator. (Greenberg, Scott)
July 12, 2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #514 MOTION for Bruce Scott Bennett to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8685698. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
July 12, 2013 Filing 514 MOTION for Bruce Scott Bennett to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8685698. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by MF Global Holdings Ltd., as Plan Administrator. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Bennett, Bruce)
July 12, 2013 Opinion or Order Filing 513 ORDER; It is hereby ordered that the Clerk of Court is directed to consolidate these actions for all pretrial purposes; and it is further ordered that all filings in connection with the consolidated action be docketed against the remaining lower numbered case, 11-civ-7866; and it is further ordered that any correspondence, submissions, or other communications relating to matters that concern only the action filed by Plaintiff U.S. Commodity Futures Trading Commission under case case number 13-Civ-4463 shall indicate in parenthesis adjacent to the consolidated case number 11-Civ-7866 the name of plaintiff abbreviated as "USCFTC"; and it is finally ordered that the Clerk of Court close the referenced higher numbered case, 13-Civ-4463 as a separate action and remove it from the Court's docket (Signed by Judge Victor Marrero on 7/12/2013) Filed In Associated Cases: 1:11-cv-07866-VM, 1:13-cv-04463-VM(js)
July 11, 2013 Filing 512 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/3/13 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: 1:12-md-02338-VM et al.(Rodriguez, Somari)
July 11, 2013 Filing 511 TRANSCRIPT of Proceedings re: CONFERENCE held on 7/3/2013 before Judge Victor Marrero. Court Reporter/Transcriber: Carol Ganley, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/5/2013. Redacted Transcript Deadline set for 8/15/2013. Release of Transcript Restriction set for 10/15/2013.Filed In Associated Cases: 1:12-md-02338-VM et al.(Rodriguez, Somari)
July 3, 2013 Opinion or Order Filing 510 FINAL JUDGMENT AND ORDER AWARDING FEES AND EXPENSES: The Court hereby awards Class Counsel attorneys' fees of $7,237,600.81 and expenses of $262,399.19, together with interest on both amounts not to exceed the interest earned on the Fee and Expense payment, if any, after it has been deposited into escrow pursuant to the terms of the Settlement Agreement. (Signed by Judge Victor Marrero on 7/3/13) (Attachments: #1 Notice of Right to Appeal)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(dt)
July 3, 2013 Opinion or Order Filing 509 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE:The Released Defendant Persons hereby fully, finall, and forever release, relinquish and discharge each and all of the Customer Representative Plaintiffs', other Class Members, and Class Counsel from all claims arising out of, relating to, or in connectioon with the institution, prosecution, assertion, settlement, or resolution of the Customer Class Action of the released Plaintiffs' Claims. (Signed by Judge Victor Marrero on 7/3/2013) (Attachments: #1 Notice of Right to Appeal)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(dt)
July 3, 2013 Opinion or Order Filing 508 FINAL JUDGMENT AND ORDER APPROVING THE PLAN OF ALLOCATION: After giving due consideration, the Court finds that the proposed Plan of Allocation (as set forth in the Filed Claim Notice and Unfiled Claim Notice and related approval documents) is fair, reasonable and adequate, and are hereby approved. (Signed by Judge Victor Marrero on 7/3/2013) (Attachments: #1 Notice of Right to Appeal)Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(dt)
July 3, 2013 Opinion or Order Filing 507 STIPULATED ORDER RESERVING RIGHTS: Whereas, certain objectors have agreed to withdraw their objections (ECF Nos. 491,494) concerning the settlement preliminarily approved by this Court on March 28, 2013 (ECF No. 474) on the terms set forth below, and the parties having appeared before the Court on July 3, 2013; IT IS HEREBY STIPULATED AND ORDERED THAT: All issues related to whether or not the Remitted Clearance Collateral is customer property and the legal consequences of the distribution of the Remitted Clearance Collateral as among the parties to the Multi-District litigation are not before the Court and shall be addressed by separate motion to the Bankruptcy Court. All parties preserve and may raise any and all arguments with respect to the Remitted Clearance Collateral that they are entitled to raise in this Court, and nothing in the settlement agreement, the order approving the settlement agreement, or the withdrawal of the objections will constitute a waiver of any parties' rights or arguments. SO ORDERED. (Signed by Judge Victor Marrero on 7/3/2013) (rsh)
July 2, 2013 ***NOTE TO ATTORNEY THAT THE ATTEMPTED FILING OF Document No. #504 HAS BEEN REJECTED. Note to Attorney James Benedict Kobak : THE CLERK'S OFFICE DOES NOT ACCEPT LETTERS FOR FILING, either through ECF or otherwise, except where the judge has ordered that a particular letter be docketed. Letters may be sent directly to a judge. (db)
July 1, 2013 Opinion or Order Filing 506 ENDORSED LETTER: addressed to Judge Victor Marrero from James B. Kobak Jr., Scott J. Greenberg, Bruce Bennett, Andrew J. Entwistle and Merrill G. Davidoff dated 7/1/2013 re: In sum, the issues raised in the Consent Order have no relevance to the relief sought by the Trustee and the Customer Representatives at the July 3, 2013 hearing and will be fully addressed at a future hearing in the Bankruptcy 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 the Customer Representatives, SIPA Trustee, and MF Global Holdings. (Signed by Judge Victor Marrero on 7/1/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(js)
July 1, 2013 Opinion or Order Filing 505 STIPULATION AND ORDER OF DISMISSAL OF PAUL HAMANN'S RESPONSE ANDOBJECTION TO MOTION FOR FINAL APPROVAL OF PROPOSED SETTLEMENTWITH JPMORGAN CHASE BANK, N.A.: IT IS HEREBY STIPULATED AND AGREED by and between James W. Giddens, as Trustee for the SIPA liquidation of MF Global Inc.and Paul Hamann that the Objection is withdrawn with prejudice. (Signed by Judge Victor Marrero on 7/1/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(js)
July 1, 2013 Filing 504 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - NOTICE of Correspondence to the Honorable Victor Marrero. Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc. (Kobak, James) Modified on 7/2/2013 (db).
June 28, 2013 Opinion or Order Filing 503 ENDORSED LETTER: addressed to Magistrate James C. Francis from Jon R. Grabowski dated 6/25/2013 re: Counsel for Sapere Wealth Management, Granite Asset Management and Sapere CTA Fund L.P. write in response to Commodities Class Interim Co "Lead Counsel's June 24, 2103 letter to Your Honor. In Sapere's view, the stay that expired on June 24th should not be renewed. The mediation sessions to date have in our view not been productive, nor does Sapere anticipate that future sessions will lead to meaningful settlement discussions. Additionally, among other things, the mediation has been and will continue to be unable to achieve progress because information in the possession of MF Global Holdings, Ltd. and/or any of the defendants has not been made available 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 Sapere. So Ordered. (Signed by Judge Victor Marrero on 6/26/2013) (js)
June 26, 2013 Filing 502 RESPONSE in Support re: #485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A.. Plan Administrator's Response To (I) The Non-Settling Defendants' Objection To Plaintiffs Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A. To The Extent Plaintiffs Seek To Allocate Customer Property To The General Estate; (II) The Securities Plaintiffs' Limited Objection To The Proposed Settlement Among The SIPA Trustee, The Customer Representative Plaintiffs, And JPMorgan Chase Bank, N.A.; And (III) PricewaterhouseCoopers LLP's Limited Objection To The Proposed Settlement Among The SIPA Trustee, The Customer Representative Plaintiffs And JPMorgan Chase Bank, N.A.. Document filed by MF Global Holdings Ltd., as Plan Administrator. (Spiegel, Bennett)
June 26, 2013 Filing 501 REPLY to Response to Motion re: #468 MOTION to Approve Plaintiffs Notice of Motion for Preliminary Approval of Proposed Settlement with JPMorgan Chase Bank, N.A.., #485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A... Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Pressment, Jonathan)
June 26, 2013 Filing 500 NOTICE OF APPEARANCE by Bennett Leon Spiegel on behalf of MF Global Holdings Ltd., as Plan Administrator. (Spiegel, Bennett)
June 26, 2013 Filing 499 REPLY to Response to Motion re: #468 MOTION to Approve Plaintiffs Notice of Motion for Preliminary Approval of Proposed Settlement with JPMorgan Chase Bank, N.A.., #485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A.. / Trustee's Reply to (I) the Non-Settling Defendants' Objection to Plaintiffs' Motion for Final Approval of Proposed Settlement with JPMorgan Chase Bank, N.A., to the Extent Plaintiffs Seeks to Allocate Customer Property to the General Estate, and (II) the Securities Plaintiffs' Limited Objection to the Proposed Settlement Among the SIPA Trustee, the Customer Representatives and JPMorgan Chase Bank, N.A.. Document filed by James W. Giddens, as Trustee for the SIPA Liquidation of MF Global Inc.. (Kobak, James)
June 26, 2013 Filing 498 RESPONSE re: #494 Memorandum of Law in Opposition to Motion, #495 Memorandum of Law in Opposition to Motion,, #491 Memorandum of Law in Opposition to Motion, Customer Plaintiffs' Response to Putative Objections by Paul Hamann, the Individual Defendants, Pricewaterhousecoopers LLP, and the Securities Plaintiffs to the Proposed Settlement with JPMorgan Chase Bank, N.A.. Document filed by Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A)(Entwistle, Andrew)
June 25, 2013 Filing 497 ENDORSED LETTER addressed to Magistrate Judge James C. Francis from Merrill G. Davidoff and Andrew J. Entwistle dated 6/24/2013 re: As the Court knows, the parties participated in extensive meetings and mediation sessions last week, and sufficient progress appears to have been made to request an extension of the stay for one month, until July 20th, 2013. ENDORSEMENT: Application granted. (Signed by Magistrate Judge James C. Francis on 6/25/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(lmb)
June 25, 2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #496 MOTION for David A Geier to Appear Pro Hac Vice for Defendant Matthew Hughey. Filing fee $ 200.00, receipt number 0208-8634419. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bwa)
June 24, 2013 Filing 496 MOTION for David A Geier to Appear Pro Hac Vice for Defendant Matthew Hughey. Filing fee $ 200.00, receipt number 0208-8634419. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Matthew Hughey. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Text of Proposed Order)(Geier, David)
June 12, 2013 Filing 495 MEMORANDUM OF LAW in Opposition re: (485 in 1:11-cv-07866-VM) MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A.. The Securities Plaintiffs' Limited Objection to the Proposed Settlement Among the SIPA Trustee, The Customer Representative Plaintiffs, & JPMorgan Chase Bank, N.A. Document filed by Her Majesty the Queen in Right of Alberta, Virginia Retirement System. Filed In Associated Cases: 1:11-cv-07866-VM et al.(Graziano, Salvatore)
June 12, 2013 Filing 494 MEMORANDUM OF LAW in Opposition re: #485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A.. - PRICEWATERHOUSECOOPERS LLPS LIMITED OBJECTION TO THE PROPOSED SETTLEMENT AMONG THE SIPA TRUSTEE, THE CUSTOMER REPRESENTATIVE PLAINTIFFS AND JPMORGAN CHASE BANK, N.A. Document filed by PricewaterhouseCoopers LLP. (Fine, David)
June 12, 2013 Filing 493 NOTICE OF APPEARANCE by Shan A. Haider on behalf of Jon S. Corzine (Haider, Shan)
June 12, 2013 Filing 492 NOTICE OF APPEARANCE by Schuyler G. Carroll on behalf of Jon S. Corzine (Carroll, Schuyler)
June 12, 2013 Filing 491 MEMORANDUM OF LAW in Opposition re: #485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A... Document filed by Bradley I. Abelow, Jon S. Corzine, David Dunne, Laurie R. Ferber, Vinay Mahajan, Edith O'Brien, Christine A. Serwinski, Henri J. Steenkamp. (Carroll, Schuyler)
May 29, 2013 Filing 490 DECLARATION of Merrill G. Davidoff and Andrew J. Entwistle in Support re: #488 MOTION to Approve Plaintiffs' Counsel's Motion For Award Of Attorneys' Fees And Reimbursement Of Litigation Expenses.. Document filed by Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Entwistle, Andrew)
May 29, 2013 Filing 489 MEMORANDUM OF LAW in Support re: #488 MOTION to Approve Plaintiffs' Counsel's Motion For Award Of Attorneys' Fees And Reimbursement Of Litigation Expenses.. Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
May 29, 2013 Filing 488 MOTION to Approve Plaintiffs' Counsel's Motion For Award Of Attorneys' Fees And Reimbursement Of Litigation Expenses. Document filed by Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A)(Entwistle, Andrew)
May 29, 2013 Filing 487 DECLARATION of Merrill G. Davidoff and Andrew J. Entwistle in Support re: #485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A... Document filed by Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Entwistle, Andrew)
May 29, 2013 Filing 486 MEMORANDUM OF LAW in Support re: #485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A... Document filed by Paradigm Global Fund I Ltd.. (Entwistle, Andrew)
May 29, 2013 Filing 485 MOTION to Approve Notice Of Plaintiffs' Motion For Final Approval Of Proposed Settlement With JPMorgan Chase Bank, N.A.. Document filed by Paradigm Global Fund I Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Entwistle, Andrew)
May 23, 2013 Opinion or Order Filing 484 ENDORSED LETTER: addressed to Judge Victor Marrero from Benjamin Y. Kaufman dated 5/23/2013 re: Milberg LLP. represents Summit Trust Company in the above captioned matter. However, as of April 16, 2013 Counsel is no longer with Milberg and will no longer participate in this case. Accordingly, Counsel requests that the Court remove Counsel in this matter. ENDORSEMENT: The Clerk of Court is directed to remove Attorney Benjamin Y Kaufman from the list of counsel in this action. So Ordered. (Signed by Judge Victor Marrero on 5/23/2013) (js)
May 21, 2013 Filing 483 MANDATE of USCA (Certified Copy) as to (457 in 1:11-cv-07866-VM, 40 in 1:12-md-02338-VM) Notice of Appeal, filed by Paul Hamann USCA Case Number 13-0563. Appellant, pro se, moves for open discovery. This Court has determined sua sponte that it lacks jurisdiction over this appeal because a final order has not been issued by the district court as contemplated by 28 U.S.C. 1291. See Coopers & Lybrand v. Livesay, 437 U.S. 463, 467 (1978). Upon due consideration, it is hereby ORDERED that the appeal is DISMISSED. It isfurther ORDERED that Appellants motion is DENIED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 05/21/2013. Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM(nd)
May 16, 2013 Filing 482 NOTICE OF APPEARANCE by Goutam Umesh Jois on behalf of CitiGroup Global Market, Inc., Deutsche Bank & Securities Inc., Goldman Sachs & Co., J.P. Morgan Securities Inc., Merril Lynch, Pierce, Fenner & Smith Incorporated, RBS Securities Inc. (Jois, Goutam)
May 9, 2013 Minute Entry for proceedings held before Magistrate Judge James C. Francis: Interim Pretrial Conference held on 5/9/2013. (js)
May 9, 2013 Opinion or Order Filing 481 ORDER: A pretrial conference having been held on May 9, 2013, it is hereby ORDERED as follows: 1. In light of the mediation currently underway, the stay ordered in the Memorandum Endorsement dated February 6, 2013, shall be extended until June 24, 2013, at which time it shall dissolve absent further order of the Court. 2. The stay shall apply to all proceedings in this Court except the ongoing settlement proceedings with respect to the proposed JPMorgan Chase settlement. (Signed by Magistrate Judge James C. Francis on 5/9/2013) Filed In Associated Cases: 1:12-md-02338-VM, 1:11-cv-07866-VM Copies Mailed By Chambers. (lmb)
May 1, 2013 Filing 480 NOTICE OF APPEARANCE by David Norwich Gopstein on behalf of J.C. Flowers & Co. LLC (Gopstein, David)