In re CHINA MOBILE GAMES & ENTERTAINMENT GROUP, LTD SECURITIES LITIGATION
| Darryl Reitan, Sophia Chang, Edward McCaffery and Charlie Chun |
| China Mobile Games & Entertainment Group, LTD, Ken Jian Xiao, Ying Shuling, Credit Suisse Securities (USA) LLC, Barclays Capital, Inc., Jeffries LLC, Brean Capital, LLC, Nomura Securities International, Inc. and Ken Fei Fu Chang |
| ASHOK SAGAR, OP Investment Management Ltd, Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio and The China Mobile Investor Group |
| Johnnie Dormier |
| 1:2014cv04471 |
| June 20, 2014 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| XX Out of State |
| Kimba M Wood |
| Securities/Commodities |
| 15 U.S.C. § 78 |
| Plaintiff |
Docket Report
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This docket was last retrieved on April 26, 2018. A more recent docket listing may be available from PACER.
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Filing 144
ORDER REGARDING DISTRIBUTION OF NET SETTLEMENT FUND granting #140 Motion for Disbursement of Funds. It is hereby: ORDERED that the administrative determinations of SCS accepting the claims indicated in paragraph 9(a) and Exhibits B-1 through B-2 to the Bravata Decl., including claims postmarked after the October 21, 2017 deadline, but received through and including February 19, 2018, are approved, and such claims are accepted...ORDERED that SCS be paid the sum of $6,000 from the Settlement Fund for the balance of its fees and expenses incurred and to be incurred in connection with services performed with respect to the administration and disbursement of the Settlement Fund...ORDERED that this Court retains jurisdiction over any further application or matter which may arise in connection with this action. (Signed by Judge Kimba M. Wood on 4/26/2018) ***As per chambers, filed in case 14-cv-4471. (ras)
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Filing 143
DECLARATION of Seymour W. James Jr. in Support re: #140 MOTION for Disbursement of Funds .. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Attachments: #1 Exhibit A, #2 Exhibit B)(Wolke, Kara)
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Filing 142
DECLARATION of Josephine Bravata in Support re: #140 MOTION for Disbursement of Funds .. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Attachments: #1 Exhibit A, #2 Exhibit B - 1, #3 Exhibit B - 2, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H)(Wolke, Kara)
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Filing 141
MEMORANDUM OF LAW in Support re: #140 MOTION for Disbursement of Funds . . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 140
MOTION for Disbursement of Funds . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Attachments: #1 Text of Proposed Order)(Wolke, Kara)
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Filing 139
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 9/14/17 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)
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Filing 138
TRANSCRIPT of Proceedings re: CONFERENCE held on 9/14/2017 before Judge Kimba M. Wood. Court Reporter/Transcriber: Lisa Picciano Fellis, (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 10/25/2017. Redacted Transcript Deadline set for 11/6/2017. Release of Transcript Restriction set for 1/2/2018.(McGuirk, Kelly)
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Filing 137
Minute Entry for proceedings held before Judge Kimba M. Wood: Settlement Conference held on 9/14/2017. Attorneys Kara Wolke and Jonathan Stern are present for the plaintiffs. Attorneys Adam Humann and John Song are present for the defendants. Attorneys Jeffrey Hoschander and Daniel Lewis are present for the underwriter defendants. Court reporter is present. Settlement conference is held (see transcript.) (Lajoie, Sara)
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Filing 136
ORDER AWARDING ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSE granting #126 Motion for Attorney Fees. IT IS HEREBY ORDERED THAT: Lead Counsel are hereby awarded attorneys' fees in the amount $450,000.00, plus such interest on such amount at the same rate as earned by the Settlement Fund from the date the Settlement Fund was funded to the date of payment, which sums the Court finds to be fair and reasonable, and $46,991.40 in reimbursement of Plaintiffs' Counsel's litigation expenses, which fees and expenses shall be paid from the Settlement Fund. Lead Plaintiff Johnnie Dormier is hereby awarded $1,500 from the Settlement Fund as reimbursement for his reasonable costs and expenses directly related to his representation of the Settlement Class. Plaintiff Edward McCaffery is hereby awarded $1,500 from the Settlement Fund as reimbursement for his reasonable costs and expenses directly related to his representation of the Settlement Class. Plaintiff Charlie Chun is hereby awarded $1,500 from the Settlement Fund as reimbursement for his reasonable costs and expenses directly related to his representation of the Settlement Class. 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, and as further set forth herein. (Signed by Judge Kimba M. Wood on 9/14/2017) (ras)
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Filing 135
FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that: This Final Judgment incorporates by reference the definitions in the Stipulation, and all terms used herein shall have the same meanings as set forth in the Stipulation, unless otherwise set forth herein. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, the Court hereby affirms its determinations in the Preliminary Approval Order certifying the Action as a class action for settlement purposes only, on behalf of a Class defined as: All Persons who purchased or otherwise acquired publicly traded China Mobile Games & Entertainment Group Limited ("CMGE") American Depository Shares ("ADS") during the period from April 26, 2013 through January 14, 2015, both dates inclusive, including those investors who purchased ADS pursuant to CMGE's Secondary Offering, and who were damaged by Defendants' alleged violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and/or Sections 11, 12, and 15 of the Securities Act of 1933...Without further order of the Court, the Settling Parties may agree to reasonable extensions of time to carry out any of the provisions of the Stipulation. The Court directs immediate entry of this Final Judgment by the Clerk of the Court. IT IS SO ORDERED. The Clerk of Court is directed to close this case. Any pending motions are moot, and as further set forth herein. (Signed by Judge Kimba M. Wood on 9/14/2017) (ras) ***As per chambers, filed in case 14-cv-4471 only. Modified on 9/14/2017 (ras). Modified on 9/15/2017 (ras).
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Filing 134
NOTICE OF APPEARANCE by Jonathan Stern on behalf of Charlie Chun, Edward McCaffery. (Stern, Jonathan)
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Filing 133
DECLARATION of Charlie Chun in Support re: #124 MOTION for Settlement [Notice of Motion and Motion for Final Approval of the Proposed Settlement, Class Certification and the Plan of Allocation]., #126 MOTION for Attorney Fees and Reimbursement of Litigation Expenses.. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 132
AFFIDAVIT of Kara M. Wolke in Support re: #124 MOTION for Settlement [Notice of Motion and Motion for Final Approval of the Proposed Settlement, Class Certification and the Plan of Allocation]., #126 MOTION for Attorney Fees and Reimbursement of Litigation Expenses.. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 131
DECLARATION of Kara M. Wolke re: #130 Reply Memorandum of Law in Support of Motion, . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Wolke, Kara)
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Filing 130
REPLY MEMORANDUM OF LAW in Support re: #124 MOTION for Settlement [Notice of Motion and Motion for Final Approval of the Proposed Settlement, Class Certification and the Plan of Allocation]., #126 MOTION for Attorney Fees and Reimbursement of Litigation Expenses. . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 129
ORDER: This Order concerns the Motion for an Award of Attorneys' Fees and Reimbursement of Litigation Expenses, filed by Lead Counsel Glancy Prongay & Murray LLP. To provide the Court with an adequate record to decide this Motion, Lead Counsel is ordered to provide the following information: 1. Contemporaneous records of how much time was spent by each individual attorney or paralegal on each day and task, detailing precisely what work was done on that day. Records should be provided for all professionals working for Lead Counsel and for the Rosen Law Firm, P.A.; 2. An affidavit from Lead Counsel, Glancy Prongay & Murray LLP, explaining why it was efficient for anyone other than persons associated with the Glancy firm to work on the case; and 3. An affidavit from Charlie Chun, describing why he should be awarded $1,500 in reimbursement for litigation expenses. This supplemental information is due on September 11, 2017. (Signed by Judge Kimba M. Wood on 8/28/2017) (kgo)
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Filing 128
DECLARATION of Kara M. Wolke in Support re: #124 MOTION for Settlement [Notice of Motion and Motion for Final Approval of the Proposed Settlement, Class Certification and the Plan of Allocation]., #126 MOTION for Attorney Fees and Reimbursement of Litigation Expenses.. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5)(Wolke, Kara)
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Filing 127
MEMORANDUM OF LAW in Support re: #126 MOTION for Attorney Fees and Reimbursement of Litigation Expenses. . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 126
MOTION for Attorney Fees and Reimbursement of Litigation Expenses. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery.(Wolke, Kara)
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Filing 125
MEMORANDUM OF LAW in Support re: #124 MOTION for Settlement [Notice of Motion and Motion for Final Approval of the Proposed Settlement, Class Certification and the Plan of Allocation]. . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 124
MOTION for Settlement [Notice of Motion and Motion for Final Approval of the Proposed Settlement, Class Certification and the Plan of Allocation]. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery.(Wolke, Kara)
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Filing 123
ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE OF PROPOSED SETTLEMENT granting #121 Motion for Settlement. NOW, THEREFORE, IT IS HEREBY ORDERED: The Court does hereby preliminarily approve the Stipulation and the Settlement set forth therein, subject to further consideration at the Settlement Hearing described below. A hearing (the "Settlement Hearing") shall be held before this Court on Sept. 14, 2017 [a date at least one hundred (100) calendar days from the entry of this Order] at 2:30 p.m. at the United States District Court for the Southern District of New York, Daniel Patrick Moynihan United States Courthouse, Courtroom 18B, 500 Pearl St., New York, NY 10007, to determine whether the proposed Settlement of the Action on the terms and conditions provided for in the Stipulation is fair, reasonable, and adequate to the Class and should be approved by the Court; whether to certify a Class for settlement purposes; to determine whether a Judgment as provided in the Stipulation should be entered; to determine whether the proposed Plan of Allocation should be approved; to determine whether to grant Lead Counsel's request for reasonable attorneys' fees and expenses for their representation of the Class; to determine whether the Court should grant Plaintiffs' reimbursement of their reasonable costs and expenses (including lost wages) directly related to his representation of the Class; to hear any objections by Class Members to the Stipulation or Plan of Allocation or any award of fees and expenses to Lead Counsel and to Plaintiffs; and to consider such other matters as the Court may deem appropriate, and as further set forth herein. (Signed by Judge Kimba M. Wood on 5/25/2017) (ras)
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Set/Reset Hearings: Settlement Conference set for 9/14/2017 at 02:30 PM in Courtroom 18B, 500 Pearl Street, New York, NY 10007 before Judge Kimba M. Wood. (ras)
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Filing 122
MEMORANDUM OF LAW in Support re: #121 MOTION for Settlement [Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class, and (III) Approval of Notice to the Settlement Class]. . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 121
MOTION for Settlement [Unopposed Motion for (I) Preliminary Approval of Settlement, (II) Certification of the Settlement Class, and (III) Approval of Notice to the Settlement Class]. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Attachments: #1 Exhibit 1 - Stipulation and Agreement of Settlement)(Wolke, Kara)
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Filing 120
LETTER addressed to Judge Kimba M. Wood from Adam T. Humann dated 05/15/2017 re: Settlement. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao.(Humann, Adam)
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Filing 119
JOINT LETTER addressed to Judge Kimba M. Wood from John J. Song dated May 5, 2017 re: Notice of Settlement. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao.(Song, John)
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Filing 118
MEMO ENDORSEMENT on #117 LETTER; denying as moot #107 Motion to Dismiss. ENDORSEMENT: Unless the parties wish to pursue their motions (in which case they must notify the Court by April 10, 2017), the Court will deem their pending motions moot. (Signed by Judge Kimba M. Wood on 4/6/2017) (kgo)
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Filing 117
LETTER addressed to Judge Kimba M. Wood from Kara M. Wolke, Adam T. Humann, and Daniel Lewis dated March 23, 2017 re: Notice of Settlement. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery.(Wolke, Kara)
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Filing 116
LETTER addressed to Judge Kimba M. Wood from Adam T. Humann dated January 9, 2017 re: Defendants' Motion to Dismiss. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao.(Humann, Adam)
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Filing 115
LETTER addressed to Judge Kimba M. Wood from Adam T. Humann dated November 7, 2016 re: Request for Oral Argument. Document filed by Barclays Capital, Inc., Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc., Ying Shuling, Ken Jian Xiao.(Humann, Adam)
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Filing 114
JOINDER to join re: #113 Reply Memorandum of Law in Support of Motion, to Dismiss. Document filed by Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc..(Hakki, Adam)
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Filing 113
REPLY MEMORANDUM OF LAW in Support re: #107 MOTION to Dismiss the Second Consolidated Amended Securities Class Action Complaint. . Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Clubok, Andrew)
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Filing 112
DECLARATION of Kara M. Wolke in Support re: #111 Memorandum of Law in Opposition to Motion. Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Attachments: #1 Exhibit 1)(Wolke, Kara)
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Filing 111
MEMORANDUM OF LAW in Opposition re: #107 MOTION to Dismiss the Second Consolidated Amended Securities Class Action Complaint. . Document filed by Charlie Chun, Johnnie Dormier, Edward McCaffery. (Wolke, Kara)
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Filing 110
JOINDER to join re: #108 Memorandum of Law in Support of Motion, #107 MOTION to Dismiss the Second Consolidated Amended Securities Class Action Complaint. /Underwriter Defendants' Joinder of the CMGE Defendants' Motion to Dismiss. Document filed by Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc..(Hakki, Adam)
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Filing 109
DECLARATION of Adam T. Humann in Support re: #107 MOTION to Dismiss the Second Consolidated Amended Securities Class Action Complaint.. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Humann, Adam)
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Filing 108
MEMORANDUM OF LAW in Support re: #107 MOTION to Dismiss the Second Consolidated Amended Securities Class Action Complaint. . Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 107
MOTION to Dismiss the Second Consolidated Amended Securities Class Action Complaint. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. Responses due by 10/17/2016(Humann, Adam)
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Filing 106
NOTICE OF APPEARANCE by Nathan Edmund Taylor on behalf of Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Taylor, Nathan)
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Filing 105
NOTICE OF APPEARANCE by John Jian Song on behalf of Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Song, John)
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Filing 104
SECOND AMENDED COMPLAINT amending #54 Amended Complaint,, against Barclays Capital, Inc., Brean Capital, LLC, Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc., Ying Shuling, Ken Jian Xiao with JURY DEMAND.Document filed by Edward McCaffery, Charlie Chun, Johnnie Dormier. Related document: #54 Amended Complaint,, filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Wolke, Kara)
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Filing 103
ORDER ADMITTING ELAINE CHANG PRO HAC VICE granting #102 Motion for Elaine Chang to Appear Pro Hac Vice. (As further set forth in this Order) (Signed by Judge Kimba M. Wood on 7/18/2016) (kl)
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Filing 102
MOTION for Elaine Chang to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Johnnie Dormier. (Attachments: #1 Exhibit - Certificate of Good Standing, #2 Text of Proposed Order)(Chang, Elaine)
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #101 MOTION for Elaine Chang to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12534348. 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 from Supreme Court of California;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #102 MOTION for Elaine Chang to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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Filing 101
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Elaine Chang to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12534348. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Johnnie Dormier. (Attachments: #1 Exhibit - Certificate of Good Standing, #2 Text of Proposed Order)(Chang, Elaine) Modified on 7/14/2016 (wb).
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Filing 100
ORDER ADMITTING KARA M. WOLKE PRO HAC VICE granting #99 Motion for Kara M. Wolke to Appear Pro Hac Vice. (Signed by Judge Kimba M. Wood on 7/13/2016) (kgo)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #99 MOTION for Kara M. Wolke to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12500991. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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Filing 99
MOTION for Kara M. Wolke to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12500991. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Johnnie Dormier. (Attachments: #1 Exhibit - Certificate of Good Standing, #2 Text of Proposed Order)(Wolke, Kara)
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Filing 98
ORDER SETTING A BRIEFING SCHEDULE granting #97 Letter Motion for Extension of Time. It is hereby ORDERED that: 1) Lead Plaintiff shall file a consolidated second amended complaint, or designate an operative complaint, by July 18, 2016; 2) Defendants shall answer, move, or otherwise respond to the complaint by September 2, 2016; 3) Lead Plaintiff shall file an opposition to any motion to dismiss by October 17, 2016; 4) Defendants shall file a reply in support of any motion to dismiss by November 7, 2016. SO ORDERED. (Signed by Judge Kimba M. Wood on 6/17/2016) (kl)
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Set/Reset Deadlines: Amended Pleadings due by 7/18/2016. Responses due by 10/17/2016 Replies due by 11/7/2016. (kl)
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Filing 97
CONSENT LETTER MOTION for Extension of Time addressed to Judge Kimba M. Wood from Lesley F. Portnoy dated 06/16/2016. Document filed by Johnnie Dormier. (Attachments: #1 Text of Proposed Order)(Portnoy, Lesley)
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***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Lesley Frank Portnoy to RE-FILE Document #96 CONSENT LETTER MOTION for Leave to File Second Amended Complaint addressed to Judge Kimba M. Wood from Lesley F. Portnoy dated 06/16/2016. Use the event type Extension of Time found under the event list Motions. (ldi)
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Filing 96
FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - CONSENT LETTER MOTION for Leave to File Second Amended Complaint addressed to Judge Kimba M. Wood from Lesley F. Portnoy dated 06/16/2016. Document filed by Johnnie Dormier. (Attachments: #1 Text of Proposed Order Proposed Order Setting Briefing Schedule)(Portnoy, Lesley) Modified on 6/17/2016 (ldi).
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Filing 95
ORDER GRANTING MOTION FOR APPOINTMENT OF LEAD PLAINTIFF AND APPROVAL OF LEAD COUNSEL granting #88 Motion to Appoint Counsel ; granting #88 Motion to Appoint ; granting #90 Motion to Appoint Counsel ; granting #90 Motion to Appoint. Having considered the motion of Johnnie Dormier for appointment as lead plaintiff and for approval of his selection of lead counsel (the "Motion"), and good cause appearing, the Court ORDERS as follows: 1. The Motion is GRANTED; 2. The Court, having considered the provisions of the Private Securities Litigation Reform Act of 1995, 15 U.S.C. 78u-4(a)(3)(B), appoints Johnnie Dormier as Lead Plaintiff; and 3. Pursuant to 15 U.S.C. 78u-4(a)(3)(B)(v), Glancy Prongay & Murray LLP is approved as Lead Counsel for the class. 4. This Order resolves docket numbers 88 and 90. (Signed by Judge Kimba M. Wood on 6/8/2016) (kgo)
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Filing 94
NOTICE of of Non-Opposition to Competing Motions for Appointment as Lead Plaintiff and Approval of Lead Counsel. Document filed by Johnnie Dormier. (Portnoy, Lesley)
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Filing 93
NOTICE of Non Opposition to Competing Lead Plaintiff Motion re: #90 MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) .. Document filed by Charlie Chun, Edward McCaffery. (Kim, Phillip)
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Filing 92
DECLARATION of Lesley F. Portnoy in Support re: #90 MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) .. Document filed by Johnnie Dormier. (Attachments: #1 Exhibit A - Press Release, #2 Exhibit B - Movant Certification, #3 Exhibit C - Loss Chart, #4 Exhibit D - Firm Resume)(Portnoy, Lesley)
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Filing 91
MEMORANDUM OF LAW in Support re: #90 MOTION to Appoint Counsel Glancy Prongay & Murray LLP. MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) . . Document filed by Johnnie Dormier. (Portnoy, Lesley)
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Filing 90
MOTION to Appoint Counsel Glancy Prongay & Murray LLP., MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) . Document filed by Johnnie Dormier. (Attachments: #1 Text of Proposed Order)(Portnoy, Lesley)
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Filing 89
MEMORANDUM OF LAW in Support re: #88 MOTION to Appoint Counsel Rosen Law Firm. MOTION to Appoint Lead Plaintiffs. . Document filed by Charlie Chun, Edward McCaffery. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Kim, Phillip)
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Filing 88
MOTION to Appoint Counsel Rosen Law Firm., MOTION to Appoint Lead Plaintiffs. Document filed by Charlie Chun, Edward McCaffery. (Attachments: #1 Text of Proposed Order)(Kim, Phillip)
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Filing 87
ORDER: The Court has received Lead Counsel's letter notifying the Court that Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio ("Miran") no longer wishes to proceed as Lead Plaintiff. The Court grants Miran's withdrawal, but does not appoint Lead Counsel's suggested substitutes as Lead Plaintiffs at this time. In this case, five parties initially filed motions to serve as lead plaintiff. See [Doc No. 51 ]. Miran was ultimately appointed lead plaintiff. Id. In these circumstances, the Court holds that the most appropriate course of action is to partially re-open the lead plaintiff appointment process. The court will deem timely any movant for appointment as lead plaintiff who either (a) filed the complaint; (b) moved to be appointed lead plaintiff in response to the initial notice of pendency; or (c) moves to be appointed lead plaintiff on or before May 16, 2016. (As further set forth in this Order) (Signed by Judge Kimba M. Wood on 4/15/2016) (kl)
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Set/Reset Deadlines: Motions due by 5/16/2016. (kl)
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Filing 86
ORDER granting #85 Letter Motion for Extension of Time to File. Granted. The deadline for the Amended Complaint is hereby adjourned until one day after the Court resolves the Lead Plaintiff issue. The Court does not decide this issue today. An order will follow with the Court's decision and/or request for additional materials. SO ORDERED. (Signed by Judge Kimba M. Wood on 4/6/2016) (kl)
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Filing 85
LETTER MOTION for Extension of Time to File Amended Complaint addressed to Judge Kimba M. Wood from Richard W. Gonnello dated April 5, 2016. Document filed by Edward McCaffery, Charlie Chun.(Gonnello, Richard)
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Filing 84
OPINION AND ORDER #106267. For the foregoing reasons, Defendants' Motion to Dismiss is GRANTED. Plaintiffs are given thirty days to file an amended complaint, should they choose to do so. re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint filed by China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao, Ken Fei Fu Chang. re: #64 MOTION to Strike Document No. [58, 59-7, 59-8] . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Signed by Judge Kimba M. Wood on 3/7/2016) (rjm). Modified on 3/11/2016 (ca).
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Filing 83
NOTICE of of Withdrawal of Counsel re: Eric Scott Merin. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 82
NOTICE OF CHANGE OF ADDRESS by Richard William Gonnello on behalf of Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. New Address: Faruqi & Faruqi, LLP, 685 Third Avenue, 26th Floor, New York, NY, USA 10017, 212-983-9330. (Gonnello, Richard)
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Filing 81
RESPONSE re: #79 Notice (Other), Plaintiffs' Response to Defendants' Notice of Supplemental Authority. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 80
RESPONSE re: #78 Notice (Other) Defendants' Response to Plaintiffs' Notice of Supplemental Authority. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 79
NOTICE of Supplemental Authority re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint.. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Attachments: #1 Exhibit A)(Humann, Adam)
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Filing 78
NOTICE of Supplemental Authority re: #66 Memorandum of Law in Opposition to Motion,. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Attachments: #1 Exhibit A)(Gonnello, Richard)
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Filing 77
LETTER addressed to Judge Kimba M. Wood from Adam Humann dated 8/3/2015 re: Defendants' motion to dismiss. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao.(Humann, Adam)
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Filing 76
NOTICE of Withdrawal of Counsel re: Leopoldo Joaquin Yanez. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 75
LETTER addressed to Judge Kimba M. Wood from Adam T. Humann dated June 3, 2015 re: Request for Oral Argument. Document filed by Barclays Capital, Inc., Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc., Ying Shuling, Ken Jian Xiao.(Humann, Adam)
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Filing 74
JOINDER to join re: #73 Reply Memorandum of Law in Support of Motion, to Dismiss. Document filed by Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc..(Lewis, Daniel)
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Filing 73
REPLY MEMORANDUM OF LAW in Support re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint. . Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 72
REPLY MEMORANDUM OF LAW in Support re: #64 MOTION to Strike Document No. [58, 59-7, 59-8] . . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 71
JOINDER to join re: #70 Memorandum of Law in Opposition to Motion to Strike. Document filed by Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc..(Lewis, Daniel)
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Filing 70
MEMORANDUM OF LAW in Opposition re: #64 MOTION to Strike Document No. [58, 59-7, 59-8] . . Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 69
DECLARATION of Richard W. Gonnello in Opposition re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint.. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Gonnello, Richard)
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Filing 68
BRIEF re: #66 Memorandum of Law in Opposition to Motion, #64 MOTION to Strike Document No. [58, 59-7, 59-8] . Plaintiffs' Request for Judicial Notice of Documents in Opposition to Defendants' Motion to Dismiss the Consolidated Securities Class Action Complaint and in Support of Plaintiffs' Motion to Strike. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio.(Gonnello, Richard)
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Filing 67
RESPONSE re: #60 Joinder, . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 66
MEMORANDUM OF LAW in Opposition re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint. . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 65
MEMORANDUM OF LAW in Support re: #64 MOTION to Strike Document No. [58, 59-7, 59-8] . . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 64
MOTION to Strike Document No. [58, 59-7, 59-8] . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Attachments: #1 Text of Proposed Order)(Gonnello, Richard)
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Filing 63
NOTICE OF APPEARANCE by Eric Scott Merin on behalf of Ken Fei Fu Chang. (Merin, Eric)
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Filing 62
NOTICE OF APPEARANCE by Leopoldo Joaquin Yanez on behalf of Ken Fei Fu Chang. (Yanez, Leopoldo)
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Filing 61
NOTICE OF APPEARANCE by Andrew Brian Clubok on behalf of Ken Fei Fu Chang. (Clubok, Andrew)
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Filing 60
JOINDER to join re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint. . Document filed by Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc..(Hakki, Adam)
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Filing 59
DECLARATION of Adam T. Humann in Support re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint.. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (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)(Humann, Adam)
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Filing 58
MEMORANDUM OF LAW in Support re: #57 MOTION to Dismiss the Consolidated Securities Class Action Complaint. . Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 57
MOTION to Dismiss the Consolidated Securities Class Action Complaint. Document filed by Ken Fei Fu Chang, China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao.(Humann, Adam)
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Filing 56
ELECTRONIC SUMMONS ISSUED as to Ken Fei Fu Chang. (mqu)
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Filing 55
REQUEST FOR ISSUANCE OF SUMMONS as to Ken Fei Fu Chang, re: #54 Amended Complaint,,. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 54
AMENDED COMPLAINT amending #1 Complaint, against Barclays Capital, Inc., Brean Capital, LLC, China Mobile Games & Entertainment Group, LTD, Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc., Ying Shuling, Ken Jian Xiao, Ken Fei Fu Chang.Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. Related document: #1 Complaint, filed by Darryl Reitan. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Gonnello, Richard)
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Filing 53
STIPULATION AND ORDER: Lead Plaintiff shall have sixty (60) days from the date of this Order to file or designate its Operative Complaint. Defendants shall answer or otherwise respond to the Operative Complaint within forty-five (45) days after its filing or designation. If Defendants move to dismiss the Operative Complaint filed pursuant to Paragraph 2, the following schedule shall apply, as further set forth. If Defendants file an answer to the Operative Complaint, the Parties shall file a joint motion for a status hearing within ten (10) days. In light of the Parties stipulation to the above deadlines, the Rule 16 Conference scheduled for December 8, 2014 is adjourned and continued until such time as the Court may determine. Lead plaintiff shall file a status letter with the Court April 1, 2015, that attaches a Scheduling Order that takes the case to the date for trial, unless motions to dismiss are filed. If motions to dismiss are filed the Scheduling Order will be due fifteen (15) days from the Court's decision on the motions to dismiss. The status letter shall also propose a date for the Rule 16 conference. (Signed by Judge Kimba M. Wood on 12/4/2014) (tn)
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Filing 52
LETTER MOTION to Adjourn Conference addressed to Judge Kimba M. Wood from Adam T. Humann dated 12/03/2014. Document filed by China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Attachments: #1 Text of Proposed Order and Stipulation)(Humann, Adam)
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Set/Reset Hearings: Initial Conference set for 12/8/2014 at 11:00 AM before Judge Kimba M. Wood. Associated Cases: 1:14-cv-04471-KMW, 1:14-cv-04745-KMW(tn)
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Filing 51
OPINION & ORDER #105030 re: (21 in 1:14-cv-04471-KMW) MOTION to Appoint Ashok Sagar to serve as lead plaintiff(s) filed by ASHOK SAGAR, (15 in 1:14-cv-04471-KMW, 15 in 1:14-cv-04471-KMW, 15 in 1:14-cv-04471-KMW) MOTION to Consolidate Cases 1:14-CV-04471; 1:14-CV-04745 . MOTION to Appoint Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio to serve as lead plaintiff(s) . MOTION to Appoint Counsel filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio, (18 in 1:14-cv-04745-KMW, 18 in 1:14-cv-04745-KMW, 18 in 1:14-cv-04745-KMW) MOTION to Consolidate Cases 1:14-CV-04471; 1:14-CV-04745 . MOTION to Appoint Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio to serve as lead plaintiff(s) . MOTION to Appoint Counsel filed by Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio, (15 in 1:14-cv-04745-KMW) MOTION to Consolidate Cases , Appointment as Lead Plaintiff and Approval of Counsel filed by The China Mobile Investor Group, (17 in 1:14-cv-04471-KMW) MOTION to Consolidate Cases , Appointment as Lead Plaintiff and Approval of Counsel filed by The China Mobile Investor Group, (10 in 1:14-cv-04471-KMW, 10 in 1:14-cv-04471-KMW, 10 in 1:14-cv-04471-KMW) MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) . MOTION to Appoint Counsel MOTION to Consolidate Cases 1:14-cv-04471-KMW and 1:14-cv-04745-KMW filed by Johnnie Dormier, (13 in 1:14-cv-04471-KMW, 13 in 1:14-cv-04471-KMW) MOTION to Appoint Lead Plaintiff and Lead Counsel. MOTION to Consolidate Cases filed by OP Investment Management Ltd: For the reasons stated above, the Court GRANTS the motion to consolidate the actions, Reitan v. China Mobile Games & Entertainment Group, 14-CV-4471, and Chang v. China Mobile Games & Entertainment Group, 14-CV-4745. The Court APPOINTS Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio as lead plaintiff, and Faruqi & Faruqi, LLP as lead counsel. A Rule 16 Conference shall take place on December 8, 2014 at 11:00 a.m. Every pleading filed in the consolidated action shall bear the following caption: UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK In re CHINA MOBILE GAMES & ENTERTAINMENT GROUP, LTD SECURITIES LITIGATION This Document Relates To: 14-CV-4471. The Clerk of the Court is respectfully directed to terminate the following motions: [Reitan ECF No. 10]; [Reitan ECF No. 13]; [Reitan ECF No. 15]; [Reitan ECF No. 17]; [Reitan ECF No. 21]. (Signed by Judge Kimba M. Wood on 11/20/2014) (tn) Modified on 12/4/2014 (soh).
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Filing 50
ORDER granting #48 Motion for Robert V. Prongay to Appear Pro Hac Vice (HEREBY ORDERED by Judge Kimba M. Wood)(Text Only Order) (Wood, Kimba)
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Filing 49
BRIEF re: #46 Response Reply to Johnnie Dormier's Opposition to Miran's Motion for Lead Plaintiff. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio.(Gonnello, Richard)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #48 AMENDED MOTION for Robert V. Prongay to Appear Pro Hac Vice [Pro Hac Vice Fee Alread Paid, See D.E. No. 44]. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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Filing 48
AMENDED MOTION for Robert V. Prongay to Appear Pro Hac Vice [Pro Hac Vice Fee Alread Paid, See D.E. No. 44]. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Johnnie Dormier. (Attachments: #1 Text of Proposed Order, #2 Exhibit - Certificate of Good Standing)(Prongay, Robert)
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Filing 47
DECLARATION of Gregory B. Linkh in Support re: #46 Response. Document filed by Johnnie Dormier. (Attachments: #1 Exhibit A - Notice, #2 Exhibit B - Notice, #3 Exhibit C - "Miran Starts Well with Pan-Asia Long/Short Equity Strategy", #4 Exhibit D - "Who We Are, ORIENTAL PATRON")(Linkh, Gregory)
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Filing 46
RESPONSE re: #45 Notice (Other), [Response/Objection of Johnnie Dormier in Opposition to Notice of Withdrawal of Withdrawal]. Document filed by Johnnie Dormier. (Linkh, Gregory)
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Filing 45
NOTICE of Withdrawal of Withdrawal re: #25 Notice (Other),. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Gonnello, Richard)
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. #44 MOTION for Robert V. Prongay to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10097807. 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)
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Filing 44
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Robert V. Prongay to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10097807. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Johnnie Dormier. (Attachments: #1 Exhibit - Certificate of Good Standing, #2 Text of Proposed Order)(Prongay, Robert) Modified on 9/15/2014 (wb).
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Filing 43
NOTICE of Non-Opposition to the Motion of Johnnie Dormier for Consolidation of Related Cases, Appointment as Lead Plaintiff and Approval of Lead Counsel. Document filed by Johnnie Dormier. (Linkh, Gregory)
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Filing 42
NOTICE of Withdrawal Of The China Mobile Investor Groups Motion For Appointment As Lead Plaintiff And Approval Of Lead Counsel. Document filed by The China Mobile Investor Group. (McConville, Francis)
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Filing 41
NOTICE of Withdrawal of Lead Plaintiff Motion re: #23 Declaration in Support of Motion, #21 MOTION to Appoint Ashok Sagar to serve as lead plaintiff(s) ., #22 Memorandum of Law in Support of Motion. Document filed by ASHOK SAGAR. (McKenna, Thomas)
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Filing 40
STIPULATION AND ORDER DEFERRING DEFENDANTS' RESPONSE TO THE COMPLAINT, CONTINUING THE INITIAL CONFERENCE, AND VACATING THE CERTIFICATE OF DEFAULT: that the undersigned counsel for the Defendants are authorized to waive, and have waived, service of the summons and complaint in the above-captioned action on behalf of the Defendants without prejudice and without waiver of any defenses, objections or arguments in this matter or any other matter, except as to sufficiency of service of process. The July 22, 2014 Certificate of Default shall be vacated. The Defendants shall not be required to answer or otherwise respond, and are hereby expressly relieved from answering or otherwise responding, to any complaint in the above-captioned action subject to the provisions of paragraph 4 below. Within 30 days after the entry of an order appointing, pursuant to the PSLRA, Lead Plaintiff and Lead Counsel in the above-captioned action (or a consolidated action encompassing the above-captioned action), the Defendants and Lead Plaintiff shall confer and propose to the Court dates by which (1) Lead Plaintiff shall either (a) serve and file an amended or consolidated class action complaint which shall serve as the operative complaint in the action and shall supersede any other complaints filed in and/or transferred to this Court or (b) notify counsel for the Defendants that the Complaint or a complaint filed in a related action will be the operative complaint; and (2) the Defendants shall answer or otherwise respond to the operative complaint. In light of the fact that Lead Plaintiff has not yet been appointed, the Initial Conference, currently scheduled for September 9, 2014, is adjourned and continued until such time following the appointment of Lead Plaintiff the Court may determine. (Signed by Judge Kimba M. Wood on 9/3/2014) (tn)
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Filing 39
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent VI Group Limited for China Mobile Games & Entertainment Group, LTD. Document filed by China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao.(Humann, Adam)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Adam Thomas Humann to RE-FILE Document #30 Rule 7.1 Corporate Disclosure Statement,. ERROR(S): Corporate Parents were not added. Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). YOU MUST SELECT THE SEARCH BUTTON. Select the correct name or create a new corporate parent. Add the Corporate Parent(s) or Affiliate(s) one party name at a time. (lb)
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Filing 38
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Nomura Holdings, Inc., Corporate Parent Nomura Holding America Inc. for Nomura Securities International, Inc.. Document filed by Nomura Securities International, Inc..(Hakki, Adam)
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Filing 37
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Jefferies Group LLC, Corporate Parent Limestone Merger Sub, LLC, Corporate Parent Leucadia National Corporation for Jeffries LLC. Document filed by Jeffries LLC.(Hakki, Adam)
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Filing 36
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Barclays PLC for Barclays Capital, Inc.. Document filed by Barclays Capital, Inc..(Hakki, Adam)
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Filing 35
LETTER MOTION to Adjourn Conference and Stipulation and Proposed Order Deferring Defendants' Response to the Complaint, Continuing the Initial Conference, and Vacating the Certificate of Default addressed to Judge Kimba M. Wood from Adam T. Humann dated 08/28/2014. Document filed by China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Attachments: #1 Text of Proposed Order Stipulation and Proposed Order Deferring Defendants' Response to the Complaint, Continuing the Initial Conference, and Vacating the Certificate of Default)(Humann, Adam)
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Filing 34
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG, Other Affiliate Credit Suisse AG, Other Affiliate Credit Suisse Holdings (USA), Inc., Other Affiliate Credit Suisse (USA), Inc. for Credit Suisse Securities (USA) LLC. Document filed by Credit Suisse Securities (USA) LLC.(Hakki, Adam)
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Filing 33
NOTICE OF APPEARANCE by Jeffrey D. Hoschander on behalf of Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc.. (Hoschander, Jeffrey)
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Filing 32
NOTICE OF APPEARANCE by Daniel Craig Lewis on behalf of Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc.. (Lewis, Daniel)
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Filing 31
NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of Barclays Capital, Inc., Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc.. (Hakki, Adam)
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Filing 30
FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT.. Document filed by China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao.(Humann, Adam) Modified on 8/29/2014 (lb).
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Filing 29
NOTICE OF APPEARANCE by Eric Scott Merin on behalf of China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Merin, Eric)
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Filing 28
NOTICE OF APPEARANCE by Leopoldo Joaquin Yanez on behalf of China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Yanez, Leopoldo)
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Filing 27
NOTICE OF APPEARANCE by Adam Thomas Humann on behalf of China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Humann, Adam)
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Filing 26
NOTICE OF APPEARANCE by Andrew Brian Clubok on behalf of China Mobile Games & Entertainment Group, LTD, Ying Shuling, Ken Jian Xiao. (Clubok, Andrew)
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Filing 25
NOTICE of Withdrawal of Motion re: #15 MOTION to Consolidate Cases 1:14-CV-04471; 1:14-CV-04745 . MOTION to Appoint Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 24
NOTICE of Withdrawal of Motion re: #13 MOTION to Appoint Lead Plaintiff and Lead Counsel. MOTION to Consolidate Cases .. Document filed by OP Investment Management Ltd. (Kim, Phillip)
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Filing 23
DECLARATION of Gregory M. Egleston in Support re: #21 MOTION to Appoint Ashok Sagar to serve as lead plaintiff(s) .. Document filed by ASHOK SAGAR. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Egleston, Gregory)
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Filing 22
MEMORANDUM OF LAW in Support re: #21 MOTION to Appoint Ashok Sagar to serve as lead plaintiff(s) . . Document filed by ASHOK SAGAR. (Egleston, Gregory)
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Filing 21
MOTION to Appoint Ashok Sagar to serve as lead plaintiff(s) . Document filed by ASHOK SAGAR. (Attachments: #1 Text of Proposed Order)(Egleston, Gregory)
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***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Gregory M. Egleston to RE-FILE Document #9 MOTION to Appoint Ashok Sagar to serve as lead plaintiff(s) . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)
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Filing 20
DECLARATION of RICHARD W. GONNELLO in Support re: #15 MOTION to Consolidate Cases 1:14-CV-04471; 1:14-CV-04745 . MOTION to Appoint Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Gonnello, Richard)
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Filing 19
DECLARATION in Support re: #17 MOTION to Consolidate Cases , Appointment as Lead Plaintiff and Approval of Counsel.. Document filed by The China Mobile Investor Group. (Attachments: #1 Exhibit A - Press Release, #2 Exhibit B - Certifications, #3 Exhibit C - Loss Chart, #4 Exhibit D - Firm Resume)(Lieberman, Jeremy)
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Filing 18
MEMORANDUM OF LAW in Support re: #17 MOTION to Consolidate Cases , Appointment as Lead Plaintiff and Approval of Counsel. . Document filed by The China Mobile Investor Group. (Lieberman, Jeremy)
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Filing 17
MOTION to Consolidate Cases , Appointment as Lead Plaintiff and Approval of Counsel. Document filed by The China Mobile Investor Group. (Attachments: #1 Text of Proposed Order)(Lieberman, Jeremy)
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Filing 16
MEMORANDUM OF LAW in Support re: #15 MOTION to Consolidate Cases 1:14-CV-04471; 1:14-CV-04745 . MOTION to Appoint Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Gonnello, Richard)
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Filing 15
MOTION to Consolidate Cases 1:14-CV-04471; 1:14-CV-04745 ., MOTION to Appoint Miran Segregated Portfolio Company - Miran Long Short Equity Segregated Portfolio to serve as lead plaintiff(s) ., MOTION to Appoint Counsel . Document filed by Miran Segregated Portfolio Company Miran Long Short Equity Segregated Portfolio. (Attachments: #1 Text of Proposed Order)(Gonnello, Richard)
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Filing 14
MEMORANDUM OF LAW in Support re: #13 MOTION to Appoint Lead Plaintiff and Lead Counsel. MOTION to Consolidate Cases . . Document filed by OP Investment Management Ltd. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Kim, Phillip)
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Filing 13
MOTION to Appoint Lead Plaintiff and Lead Counsel., MOTION to Consolidate Cases . Document filed by OP Investment Management Ltd. (Attachments: #1 Text of Proposed Order)(Kim, Phillip)
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Filing 12
DECLARATION of Gregory B. Linkh in Support re: #10 MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) . MOTION to Appoint Counsel . MOTION to Consolidate Cases 1:14-cv-04471-KMW and 1:14-cv-04745-KMW .. Document filed by Johnnie Dormier. (Attachments: #1 Exhibit A - Press Release, #2 Exhibit B - Movant Certification, #3 Exhibit C - Loss Chart, #4 Exhibit D - Firm Resume)(Linkh, Gregory)
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Filing 11
MEMORANDUM OF LAW in Support re: #10 MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) . MOTION to Appoint Counsel . MOTION to Consolidate Cases 1:14-cv-04471-KMW and 1:14-cv-04745-KMW . . Document filed by Johnnie Dormier. (Linkh, Gregory)
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Filing 10
MOTION to Appoint Johnnie Dormier to serve as lead plaintiff(s) ., MOTION to Appoint Counsel ., MOTION to Consolidate Cases 1:14-cv-04471-KMW and 1:14-cv-04745-KMW . Document filed by Johnnie Dormier. (Attachments: #1 Text of Proposed Order)(Linkh, Gregory)
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Filing 9
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Appoint Ashok Sagar to serve as lead plaintiff(s) . Document filed by ASHOK SAGAR. (Attachments: #1 Memorandum of Law, #2 Declaration of Gregory M. Egleston, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Text of Proposed Order)(Egleston, Gregory) Modified on 8/20/2014 (db).
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Filing 8
Vacated as per Judge's Order dated 9/3/2014, Doc. # 40 CLERK'S CERTIFICATE OF DEFAULT as to China Mobile Games & Entertainment, Ltd's. (jno) Modified on 9/3/2014 (tn).
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Filing 7
SCHEDULING ORDER FOR INITIAL CONFERENCE: Initial Conference set for 9/9/2014 at 11:00 AM in Courtroom 18B, 500 Pearl Street, New York, NY 10007 before Judge Kimba M. Wood. (Signed by Judge Kimba M. Wood on 7/11/2014) (ajs)
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Filing 6
NOTICE OF VOLUNTARY DISMISSAL AS TO DEFENDANT BREAN CAPITAL LLC WITHOUT PREJUDICE: 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) Brean Capital, LLC. SO ORDERED Brean Capital, LLC terminated. (Signed by Judge Kimba M. Wood on 7/10/2014) (ajs)
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***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Phillip Kim Document #5 Notice of Voluntary Dismissal, was referred to Judge Kimba M. Wood for approval. (jno)
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Filing 5
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 prejudice against the defendant(s) Brean Capital, LLC. Document filed by Darryl Reitan. (Kim, Phillip) Modified on 7/2/2014 (jno).
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Filing 4
SUMMONS RETURNED EXECUTED. China Mobile Games & Entertainment Group, LTD served on 6/23/2014, answer due 7/14/2014. Service was accepted by Anne Grigorakos, Corporation Service Company, Registered Agent. Document filed by Darryl Reitan. (Kim, Phillip)
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Filing 3
STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (moh)
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Filing 2
CIVIL COVER SHEET filed. (moh) (jd).
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Filing 1
COMPLAINT against Barclays Capital, Inc., Brean Capital, LLC, China Mobile Games & Entertainment Group, LTD, Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc., Ying Shuling, Ken Jian Xiao. (Filing Fee $ 350.00, Receipt Number 1098530)Document filed by Darryl Reitan.(moh) (jd).
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SUMMONS ISSUED as to Barclays Capital, Inc., Brean Capital, LLC, China Mobile Games & Entertainment Group, LTD, Credit Suisse Securities (USA) LLC, Jeffries LLC, Nomura Securities International, Inc., Ying Shuling, Ken Jian Xiao. (moh)
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Case Designated ECF. (moh)
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Magistrate Judge Ronald L. Ellis is so designated. (moh)
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