Nicholson v. The Bank of Nova Scotia et al
| J. Scott Nicholson |
| The Bank of Nova Scotia, Deutsche Bank AG, HSBC Holdings plc, HSBC Bank PLC, HSBC Bank U.S.A. N.A. and John Doe Nos. 1-50 |
| 1:2014cv05682 |
| July 25, 2014 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| XX Out of State |
| Denise L. Cote |
| Securities/Commodities/Exchanges |
| 15 U.S.C. ยง 1 |
| None |
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Filing
138
CLERK'S JUDGMENT re: (77 in 1:14-cv-08311-VEC, 137 in 1:14-cv-05682-VEC, 79 in 1:14-cv-07004-VEC, 80 in 1:14-cv-07357-VEC, 84 in 1:14-cv-08869-VEC, 620 in 1:14-md-02573-VEC, 73 in 1:14-cv-09112-VEC, 92 in 1:14-cv-09068-VEC, 99 in 1:14-cv-0818 9-VEC) Memorandum & Opinion in favor of Bank of Nova Scotia, HSBC Bank PLC, HSBC Bank U.S.A., HSBC Bank U.S.A. N.A., HSBC Bank U.S.A., N.A., HSBC Bank USA, N.A., HSBC Holdings PLC, HSBC Holdings plc, HSBC North America Holdings Inc., HSBC USA Inc ., Jane Does 1-100, John Doe Nos. 1-50, John Does #1-50, Scotia Capital (USA) Inc., Scotia Holdings (US) Inc., Scotiabanc Inc., The Bank of Nova Scotia, The Bank of Nova Scotia Trust Company of New York, The London Silver Market Fixing Ltd., The L ondon Silver Market Fixing, Ltd. against American Precious Metals Ltd, Class Plaintiffs, KPFF Investment, Inc., Modern Settings LLC, Christopher Depaoli, Don Tran, Eric Nalven, J. Scott Nicholson, Jerry Barrett, John Hayes, Kevin Maher, Laurence Hughes, Norman Bailey, Rebecca Barrett, Robert Ceru, Steven E. Summer. It is, ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Opinion and Order dated May 22, 2023, the motion for judgment on the pleadings is GRANTED . As this resolves all remaining claims raised in the Third Amended Complaint, the case is DISMISSED with prejudice; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 5/22/2023) (Attachments: # 1 Appeal Package)Filed In Associated Cases: 1:14-md-02573-VEC et al. (km)
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Filing
135
ORDER in case 1:14-cv-05682-VEC; denying without prejudice (584) Motion for Judgment on the Pleadings in case 1:14-md-02573-VEC. IT IS HEREBY ORDERED THAT Defendants' motion for judgment on the pleadings as to Plaintiffs' antitrust clai ms is hereby DENIED without prejudice. Defendants may resubmit their motion for judgment on the pleadings as to both Plaintiffs' CEA claims and antitrust claims by no later than Friday, September 30, 2022. Plaintiffs must respond by Friday, October 28, 2022. Defendants' reply brief must be filed no later than Monday, November 14, 2022. IT IS FURTHER ORDERED THAT the stay of all proceedings connected to Plaintiffs' motion for class certification entered on March 10, 2022, is hereby continued until the resolution of the revised motion for judgment on the pleadings. Upon resolution of the revised motion for judgment on the pleadings, the Court will reset the class certification and Daubert briefing deadlines as necessary. IT IS FURTHER ORDERED that the Clerk of Court is respectfully directed to terminate the open motion at docket entry 584. SO ORDERED. (Signed by Judge Valerie E. Caproni on 8/24/2022) Filed In Associated Cases: 1:14-md-02573-VEC et al. (tg)
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Filing
134
ORDER: IT IS HEREBY ORDERED that, no later than Monday, August 8, 2022, the Defendants must file a letter motion, not to exceed five single-spaced pages, discussing the impact of Gamma Traders on their motion for judgment on the pleadings. Plaintiffs must file their response, also not to exceed five single-spaced pages, by no later than Monday, August 15, 2022. SO ORDERED., ( Motions due by 8/8/2022., Responses due by 8/15/2022) (Signed by Judge Valerie E. Caproni on 8/01/2022) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama)
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Filing
132
MEMO ENDORSEMENT in case 1:14-cv-05682-VEC re: 587 JOINT LETTER addressed to Judge Valerie E. Caproni from The Parties dated March 9, 2022 re: Response to Order; terminating (558) Motion to Certify Class in case 1:14-md-02573-VEC. Any response i n opposition to the motion for judgment on the pleadings is due no later than Thursday, April 14, 2022 and any reply in support of the motion is due no later than Friday, May 13, 2022. The Court recognizes that Defendants requested that their repl y brief be due on Monday, May 16, 2022. To avoid associates working on the weekends, the Court's policy is to set deadlines towards the end of the week. All proceedings connected to Plaintiffs' motion for class certification are hereby S TAYED. The Court will reset the class certification and Daubert briefing deadlines upon resolution of the motion for judgment on the pleadings. The Clerk of Court is respectfully directed to terminate the open motion at docket entry 558. SO ORDERED. (Signed by Judge Valerie E. Caproni on 3/10/2022) Filed In Associated Cases: 1:14-md-02573-VEC et al. (tg)
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Filing
131
ORDER in case 1:14-cv-05682-VEC; with respect to (558) Motion to Certify Class; with respect to (584) Motion for Judgment on the Pleadings in case 1:14-md-02573-VEC. IT IS HEREBY ORDERED that the parties must meet and confer and file a joint lett er, not to exceed three pages, by no later than Wednesday, March 9, 2022, addressing the following: 1. A joint proposed briefing schedule on Defendants' motion for judgment on the pleadings; 2. Whether either party anticipates filing Daubert motions in connection with Plaintiffs' motion for class certification; if so, whether the parties are planning to file those motions on the same dates as their respective response and reply deadlines; and if not, a proposed briefing schedul e for those motions; 3. Each side's position as to whether the motion for class certification, including any related Daubert motions, should be stayed pending the Court's resolution of Defendants' motion for judgment on the pleadings. SO ORDERED. (Signed by Judge Valerie E. Caproni on 3/1/2022) Filed In Associated Cases: 1:14-md-02573-VEC et al. (tg)
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Filing
129
ORDER: IT IS HEREBY ORDERED that the conference will be held in person in in Courtroom 443 of the Thurgood Marshall United States Courthouse, located at 40 Foley Square, New York, New York 10007. IT IS FURTHER ORDERED that in addition to discussing t he timing of expert discovery and the briefing schedules for upcoming motions, the Court will also address non-party witness Michael Connolly's motion to quash the deposition subpoena at the conference. By no later than Monday, July 26, 2021, P laintiffs' counsel must serve a copy of this Order on counsel for Mr. Connolly and file proof of service on the docket. Counsel for Mr. Connolly is expected to attend this conference. IT IS FURTHER ORDERED that any person who appears at any SDNY courthouse must comply with Standing Order M10-468 (21-MC-164), which further pertains to courthouse entry. IT IS FURTHER ORDERED that interested members of the public may attend by dialing 1-888-363-4749, using the access code 3121171 and the secur ity code 2573. All of those accessing the hearing are reminded that recording or rebroadcasting of the proceeding is prohibited by law. And as set forth herein. SO ORDERED., ( Telephone Conference set for 7/29/2021 at 10:00 AM in Courtroom 443, 40 Centre Street, New York, NY 10007 before Judge Valerie E. Caproni.) (Signed by Judge Valerie E. Caproni on 7/23/2021) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama)
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Filing
126
ORDER: IT IS HEREBY ORDERED that any motion to quash the subpoena and notice to take the deposition of Michael Connolly is due no later than Friday, June 25, 2021. Any response in opposition to the motion is due no later than Friday, July 2, 2021 an d any reply in support of the motion is due no later than Friday, July 9, 2021. SO ORDERED., ( Motions due by 6/25/2021., Responses due by 7/2/2021, Replies due by 7/9/2021.) (Signed by Judge Valerie E. Caproni on 6/23/2021) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama)
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Filing
125
FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF DEUTSCHE BANK AG, DEUTSCHE BANK AMERICAS HOLDING CORPORATION, DB U.S. FINANCIAL MARKETS HOLDING CORPORATION, DEUTSCHE BANK SECURITIES, INC., DEUTSCHE BANK TRUST CORPORATION, DEUTSCHE BANK TRUST COMPANY AMERICAS, AND DEUTSCHE BANK AG NEW YORK BRANCH: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: This Final Judgment hereby incorporates by reference the definitions in the Stipulation and Agreement of Settlement with Deutsche Bank dated Septembe r 6, 2016 (the "Settlement Agreement"), and all terms used herein, except as otherwise expressly defined herein,shall have the same meanings as set forth in the Settlement Agreement. All Plaintiff Released Claims against the DB Released Par ties are hereby dismissed with prejudice on the merits as to Deutsche Bank and without fees or costs. The Court, finding no just reason for delay, directs pursuant to Rule 54(b) of the Federal Rules of Civil Procedure that the judgment of dismissal as to Deutsche Bank shall be final and entered forthwith. The Clerk of Court is respectfully directed to terminate Defendants Deutsche Bank AG, Deutsche Bank Americas Holding Corporation, DB U.S. Financial Markets Holding Corporation, Deutsche Bank Securities, Inc., Deutsche Bank Trust Corporation, Deutsche Bank Trust Company Americas, and Deutsche Bank AG New York Branch. IT IS SO ORDERED., Deutsche Bank AG, New York Branch, Deutsche Bank Americas Holding Corporation, Deutsche Bank Americas H olding Corporation, Deutsche Bank Securities, Inc., Deutsche Bank Securities, Inc., Deutsche Bank Trust Company Americas, Deutsche Bank Trust Company Americas, Deutsche Bank Trust Corporation, Deutsche Bank Trust Corporation, Deutsche Bank, AG, Deuts che Bank, AG, Duetsche Bank AG, DB U.S. Financial Markets Holding Corporation and DB U.S. Financial Markets Holding Corporation terminated. (Signed by Judge Valerie E. Caproni on 6/14/2021) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama) Modified on 6/15/2021 (ama).
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Filing
118
ORDER: IT IS HEREBY ORDERED that by no later than Thursday, April 22, 2021, Plaintiffs must file a supplemental submission addressing the issues raised at the Fairness Hearing. In addition to the issues raised at the hearing, Plaintiffs also must address the following: as set forth herein. SO ORDERED. (Signed by Judge Valerie E. Caproni on 4/09/2021) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama)
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Filing
117
ORDER: IT IS HEREBY ORDERED that with respect to Plaintiffs' counsel's motion for attorneys' fees and expenses, Plaintiffs' counsel must be prepared to address the following topics at the Fairness Hearing: 1. The percentage fee aw ard in comparable cases that (i) settled at a relatively early point inthe litigation; (ii) are similar to this settlement with respect to the amount and type of work completed by Plaintiffs' counsel up to the point of settlement; and (iii) are similar to the Deutsche Bank Settlement in that it covered only one Defendant in a multidefendant case; 2. Whether in calculating the lodestar, the Court should consider Plaintiffs' counsel's work prosecuting this case against the non-settl ing Defendants after the date of settlement with Deutsche Bank. While the Court recognizes that work completed prior to the execution of the settlement agreement as well as work on the settlement distribution and notice plans should properly be consi dered in calculating the lodestar, the Court wishes to hear from class counsel (i) why work done on the case against the non-settling Defendants after the date of the Deutsche Bank Settlement is sufficiently related that it should be reflected in the lodestar; and (ii) why reviewing and analyzing materials produced by Deutsche Bank as a result of the cooperation obligations in the settlement agreement should be reflected in the lodestar, as such work was not completed for the benefit of theDeuts che Bank Settlement Class (which may be different in composition from the class ultimately certified in this case). 3. Whether in calculating litigation expenses, the Court should approve the inclusion of expenses incurred by Plaintiffs' counsel after the date of Deutsche Bank Settlement and pertaining to the prosecution of this matter against the non-settling Defendants. SO ORDERED. (Signed by Judge Valerie E. Caproni on 4/02/2021) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama)
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Filing
116
ORDER: WHEREAS a Fairness Hearing with respect to the Settlement with Deutsche Bank in this matter is scheduled for Thursday, April 8, 2021, at 10:00 A.M., Dkt. 446; IT IS HEREBY ORDERED that the Fairness Hearing will be held in Courtroom 110 of the Thurgood Marshall United States Courthouse, located at 40 Foley Square, New York, New York 10007; IT IS FURTHER ORDERED that any interested members of the public may listen to the proceeding by dialing 1-888-363-4749, using the access code 3121171, a nd the security code 2573. Recording or rebroadcasting the proceeding is strictly prohibited by law. IT IS FURTHER ORDERED that the parties must post the new courtroom number, the public dial in information, and the information below about courthouse entry requirements on the settlement website by no later than Friday, April 2, 2021. IT IS FURTHER ORDERED that by no later than Friday, April 2, 2021, the parties must inform the Court if they believe more than 25 people will attend the Fairness He aring in person. If more than 25 people will attend, the Court will set up an overflow room. IT IS FURTHER ORDERED that counsel for the Representative Plaintiffs and Deutsche Bank that plan to speak at the Fairness Hearing must attend in person. Coun sel that do not plan to speak, counsel for other parties in this matter, client representatives, and any interested members of the public may attend in person or remotely, using the dial in information listedabove. IT IS FURTHER ORDERED that per the SDNY COVID-19 COURTHOUSE ENTRY PROGRAM, any person who appears at any SDNY courthouse must complete a questionnaire and have his or her temperature taken. Please see the enclosed instructions. Completing the questionnaire ahead of time will save time and effort upon entry. Only those individuals who meet the entry requirements established by the questionnaire will be permitted entry. IT IS FURTHER ORDERED that any person who appears at any SDNY courthouse must comply with Standing Order M10-468 (21-MC-164), which further pertains to courthouse entry. SO ORDERED., ( Fairness Hearing set for 4/8/2021 at 10:00 AM in Courtroom 110, 40 Centre Street, New York, NY 10007 before Judge Valerie E. Caproni.) (Signed by Judge Valerie E. Caproni on 3/30/2021) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama) Modified on 3/30/2021 (ama).
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Filing
114
ORDER: NOW THEREFORE, it is hereby ORDERED that Defendants shall provide the requested contact information of their Counterparties (including name, address, and telephone number, to the extent addresses and telephone numbers are reasonably accessible from a common database) to Rust Inc., the agent chosen by Defendants to effectuate the required notice, promptly after Defendants' engagement of Rust Inc. (Signed by Judge Valerie E. Caproni on 12/29/2020) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama)
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Filing
111
THIRD AMENDED FACT DISCOVERY SCHEDULE: The Second Amended Schedule is hereby superseded by the following: Requests for production of audio files: Plaintiffs shall substantially complete any requests for audio files by 75 days prior to the end of fa ct discovery and subject to Paragraph 19 of the Deposition Protocol. Plaintiffs' requests shall be made by email and shall include sufficient detail to enable Defendants to locate the requested audio files, such as the date of the call, th e approximate time of the call, if reasonably ascertainable, and the names of call participants or custodians. The parties agree to meet and confer regarding any such requests as needed. Fact depositions: Fact depositions may commence on Monday, O ctober 1, 2020. Completion of fact discovery: All fact discovery shall be completed by Wednesday, May 26, 2021. The parties shall appear for a pretrial conference on Wednesday, June 9, 2021, at 11:00 A.M. No later than seven (7) days in advance of that conference, the Parties shall submit a joint letter of no more than five pages concerning the timing of expert discovery and the briefing of motions on class certification and for summary judgment. The December 18, 2020 pre-trial conference a nd the joint letter related thereto (See 2/19/20 Amended Fact Discovery Schedule, ECF No. 440, at paragraph 8) are vacated. The parties are directed to continue submitting monthly status reports as to the progress of the discovery on the first bus iness day of every month. The parties must submit their monthly reports on the first business day of every month. Adjournments monthly status reports require leave of Court. (Deposition due by 10/1/2020., Fact Discovery due by 5/26/2021., Pretrial Conference set for 6/9/2021 at 11:00 AM before Judge Valerie E. Caproni.) (Signed by Judge Valerie E. Caproni on 9/17/2020) Filed In Associated Cases: 1:14-md-02573-VEC et al. (rro)
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Filing
110
ORDER: IT IS HEREBY ORDERED the parties must file the outstanding September 2020 status report by no later than Friday, September 18, 2020. The parties must file subsequent monthly status reports on the first business day of each month (in light of t he late filing of the September report, the October report need not be filed). Adjournments of this monthly deadline require leave of Court. SO ORDERED. (Signed by Judge Valerie E. Caproni on 9/14/2020) Filed In Associated Cases: 1:14-md-02573-VEC et al. (ama)
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Filing
69
OPINION AND ORDER. For the foregoing reasons, UBS's Motion to DISMISS is GRANTED in its entirety. The Fixing Members' Motion to Dismiss is GRANTED IN PART and DENIED IN PART. The Fixing Members' Motion to Dismiss is GRANTED with respec t to Plaintiffs' antitrust claims for price fixing and unlawful restraint of trade from the beginning of the Class Period through December 31, 2006, and from January 1, 2014 through the end of the Class Period. The Fixing Members' Motion to Dismiss is further GRANTED with respect to Plaintiffs' manipulative device claims from the beginning of the Class Period through August 15, 2011, and with respect to Plaintiffs' claims for bid-rigging, and unjust enrichment. The Fixing Mem bers' Motion to Dismiss is DENIED with respect to Plaintiffs' antitrust claims for price fixing and unlawful restraint of trade from January 1, 2007 through December 13, 2013. The Fixing Members' Motion to Dismiss is further DENIED wit h respect to Plaintiffs' price manipulation claims, Plaintiffs' manipulative device claims after August 15, 2011 and Plaintiffs' aiding and abetting and principal-agent claims. The Clerk of Court is respectfully directed to close the o pen motions at docket numbers 73 and 75. Plaintiffs' deadline to show good cause why leave to replead should be granted is October 17, 2016. The parties must appear for a pretrial conference on October 28, 2016 at 3:00 p.m. in courtroom 443 of t he Thurgood Marshall Courthouse, 40 Foley Square, New York, NY 10007. The parties, together with the parties in In re Commodity Exch., Inc., Gold Futures & Options Trading Litig., No. 14-md-2548 (VEC), must meet and confer regarding a proposed schedu le for discovery and class certification. The parties are required to submit a joint proposal (if possible) or separate proposals (if a joint proposal is not possible) by October 21, 2016. Within that submission the parties must address whether disco very in this case should be consolidated with discovery in In re Commodity Exch., Inc., Gold Futures & Options Trading Litig., No. 14-md-2548 (VEC), and should include any other items they would like to discuss at the October 28, 2016 conference. SO ORDERED. re: (73 in 1:14-md-02573-VEC) MOTION to Dismiss Second Consolidated Amended Class Action Complaint filed by UBS AG, (20 in 1:14-cv-09068-VEC) MOTION to Dismiss Under FRCP 12(b)(6) & 12(f) filed by UBS AG, (26 in 1:1 4-cv-09068-VEC) MOTION to Dismiss Second Consolidated Amended Class Action Complaint filed by UBS AG, (75 in 1:14-md-02573-VEC) MOTION to Dismiss filed by HSBC USA Inc., HSBC Holdings plc, HSBC Bank U.S.A. N.A. HSBC North America Holdings Inc. (Signed by Judge Valerie E. Caproni on 10/3/2016) Filed In Associated Cases: 1:14-md-02573-VEC et al. Entry in cases as per Chambers. (rjm)
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