Arkansas Teacher Retirement System v. Bank of Nova Scotia et al
Plaintiff: Arkansas Teacher Retirement System
Defendant: Cantor Fitzgerald & Co., SG Americas Securities, LLC, Jefferies LLC, Daiwa Capital Markets America Inc., Bank of Nova Scotia, New York Agency, Bank of Nova Scotia, Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., RBS Securities Inc., TD Securities (USA) LLC, Deustche Bank Securities Inc., J.P.Morgan Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc, HSBC Securities (USA) Inc., BMO Capital Markets Corp., UBS Securities LLC, BNP Paribas Securities Corp., Morgan Stanley & Co. LLC, Nomura Securities International, Inc., Mizuho Securities USA Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and RBC Capital Markets, LLC
Case Number: 1:2015cv05830
Filed: July 24, 2015
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: XX Out of State
Presiding Judge: Paul G Gardephe
Nature of Suit: Anti-Trust
Cause of Action: 15 U.S.C. § 1
Jury Demanded By: Plaintiff
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Docket Report

This docket was last retrieved on May 7, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
May 7, 2019 Opinion or Order Filing 177 MEMO ENDORSEMENT in case 1:15-cv-05794-PGG; granting (334) Motion to Withdraw as Attorney. ENDORSEMENT: The Application is granted. SO ORDERED. Attorney Hugh Daniel Sandler terminated in case 1:15-md-02673-PGG (Signed by Judge Paul G. Gardephe on 5/7/2019) Filed In Associated Cases: 1:15-md-02673-PGG et al. (jca)
April 4, 2019 Opinion or Order Filing 176 MEMO ENDORSEMENT on re: (330 in 1:15-md-02673-PGG) Letter filed by RBS Securities Inc. ENDORSEMENT: SO ORDERED. Attorney Melissa Carrie King terminated. (Signed by Judge Paul G. Gardephe on 4/4/2019) Filed In Associated Cases: 1:15-md-02673-PGG et al.(jca)
April 4, 2019 Opinion or Order Filing 175 MEMO ENDORSEMENT in case 1:15-cv-05794-PGG; granting (329) Motion to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. Attorney Elizabeth P. Papez terminated in case 1:15-md-02673-PGG. (Signed by Judge Paul G. Gardephe on 4/4/2019) Filed In Associated Cases: 1:15-md-02673-PGG et al. (jca)
April 4, 2019 Opinion or Order Filing 174 MEMO ENDORSEMENT in case 1:15-cv-05794-PGG; granting (328) Motion to Withdraw as Attorney. ENDORSEMENT: The Application is granted. SO ORDERED. Attorney Thomas Popejoy terminated in case 1:15-md-02673-PGG. (Signed by Judge Paul G. Gardephe on 4/4/2019) Filed In Associated Cases: 1:15-md-02673-PGG et al. (jca)
August 1, 2018 Filing 173 NOTICE OF APPEARANCE by Maude Paquin on behalf of RBS Securities Inc., RBS Securities Inc., RBS Securities Inc.,, RBS Securities, Inc.. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Paquin, Maude)
August 1, 2018 Filing 172 NOTICE OF APPEARANCE by Paul Steel Mishkin on behalf of RBS Securities Inc., RBS Securities Inc., RBS Securities Inc.,, RBS Securities, Inc.. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Mishkin, Paul)
July 2, 2018 Opinion or Order Filing 171 ORDER granting (214) Motion to Withdraw as Attorney; granting (168) Motion to Withdraw as Attorney; granting (298) Motion to Withdraw as Attorney. ENDORSEMENT: The application is granted. Attorney Michael Walter Stocker terminated in case 1:15-md-02673-PGG; 15-cv-05794-PGG; 15-cv-05830. (Signed by Judge Paul G. Gardephe on 7/2/2018) Filed In Associated Cases: 1:15-md-02673-PGG, 1:15-cv-05794-PGG, 1:15-cv-05830-PGG (cf)
July 2, 2018 Opinion or Order Filing 170 MEMO ENDORSEMENT on re: (169 in 1:15-cv-07420-PGG) Letter filed by RBS Securities Inc., (210 in 1:15-cv-06129-PGG) Letter filed by RBS Securities Inc., (173 in 1:15-cv-05931-PGG) Letter filed by RBS Securities Inc., (137 in 1:15-cv-07329-PGG) Letter filed by RBS Securities Inc., (215 in 1:15-cv-05794-PGG) Letter filed by RBS Securities Inc., (139 in 1:15-cv-07642-PGG) Letter filed by RBS Securities Inc., (106 in 1:15-cv-07631-PGG) Letter filed by RBS Securities Inc., (177 in 1:15-cv-07385-PGG) Letter filed by RBS Securities Inc., (128 in 1:15-cv-07735-PGG) Letter filed by RBS Securities Inc., (201 in 1:15-cv-06474-PGG) Letter filed by RBS Securities Inc., (102 in 1:16-cv-01177-PGG) Letter filed by RBS Securities Inc., (215 in 1:15-cv-05939-PGG) Letter filed by RBS Securities Inc., (147 in 1:15-cv-09803-PGG) Letter filed by RBS Securities Inc., (148 in 1:15-cv-06003-PGG) Letter filed by RBS Securities Inc., (145 in 1:15-cv-06892-PGG) Letter filed by RBS Securities Inc., (95 in 1:15-cv-07855-PGG) Letter filed by RBS Securities Inc., (245 in 1:15-cv-05807-PGG) Letter filed by RBS Securities Inc.,, (138 in 1:15-cv-06853-PGG) Letter filed by RBS Securities Inc., (163 in 1:15-cv-06782-PGG) Letter filed by RBS Securities Inc., (127 in 1:15-cv-08149-PGG) Letter filed by RBS Securities Inc., (218 in 1:15-cv-05957-PGG) Letter filed by RBS Securities Inc., (162 in 1:15-cv-07688-PGG) Letter filed by RBS Securities Inc., (180 in 1:15-cv-07006-PGG) Letter filed by RBS Securities Inc., (171 in 1:15-cv-08766-PGG) Letter filed by RBS Securities Inc., (179 in 1:15-cv-07390-PGG) Letter filed by RBS Securities Inc., (98 in 1:16-cv-00180-PGG) Letter filed by RBS Securities Inc., (169 in 1:15-cv-05830-PGG) Letter filed by RBS Securities Inc., (299 in 1:15-md-02673-PGG) Letter filed by RBS Securities Inc., (147 in 1:15-cv-06072-PGG) Letter filed by RBS Securities Inc., (120 in 1:15-cv-07111-PGG) Letter filed by RBS Securities Inc., (89 in 1:15-cv-08484-PGG) Letter filed by RBS Securities Inc. ENDORSEMENT: SO ORDERED. Attorney Joel M. Cohen terminated. (Signed by Judge Paul G. Gardephe on 7/2/2018) Filed In Associated Cases: 1:15-md-02673-PGG et al.(cf)
June 29, 2018 Filing 169 LETTER addressed to Judge Paul G. Gardephe from Joel M. Cohen dated June 29, 2018 re: To Withdraw as Counsel of Record. Document filed by RBS Securities Inc..(Cohen, Joel)
June 25, 2018 Filing 168 MOTION for Michael W. Stocker to Withdraw as Attorney . Document filed by Arkansas Teacher Retirement System, State-Boston Retirement System.Filed In Associated Cases: 1:15-md-02673-PGG, 1:15-cv-05794-PGG, 1:15-cv-05830-PGG(Asciolla, Gregory)
May 31, 2018 Opinion or Order Filing 167 MEMO ENDORSEMENT on NOTICE OF MOTION TO WITHDRAW AS COUNSEL in case 1:15-cv-05794-PGG; granting (291) Motion to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. (Attorney Stephanie Szaro Heglund terminated in case 1:15-md-02673-PGG.) (Signed by Judge Paul G. Gardephe on 5/30/2018) ***Pursuant to instructions from Chambers, Filed In All Member Cases: 1:15-md-02673-PGG et al. (anc) Modified on 8/13/2018 (anc).
March 26, 2018 Opinion or Order Filing 166 STIPULATION AND ORDER REGARDING VOLUNTARY DISMISSAL OF DEFENDANT CREDIT SUISSE INTERNATIONAL: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED: 1. Pursuant to Federal Rule of Civil Procedure 41(a)(1), Plaintiffs hereby voluntarily dismiss all claims against Defendant CSI without prejudice to reassert such claims against CSI at a later time should evidence arise in discovery or otherwise that reveals information providing a basis for joining CSI on the claims being litigated in this case, as further set forth in this Order. Credit Suisse International terminated. (Signed by Judge Paul G. Gardephe on 3/23/2018) Filed In Associated Cases: 1:15-md-02673-PGG et al.(cf) Modified on 5/16/2018 (cf).
February 23, 2018 Filing 165 NOTICE OF APPEARANCE by Claire Catalano Dean on behalf of J.P. Morgan Securities LLC, JP Morgan Securities LLC, J.P. Morgan Securities LLC, J.P. Morgan Clearing Corp., J.P.Morgan Securities LLC, JP Morgan Chase Bank, N.A., J.P Morgan Securities LLC, JP. Morgan Securities, LLC., J.P. Morgan Securities LLC. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Dean, Claire)
February 23, 2018 Opinion or Order Filing 164 STIPULATION AND ORDER REGARDING VOLUNTARY DISMISSAL OF DEFENDANTS CITIGROUP INC.; CREDIT SUISSE GROUP AG; THE GOLDMAN SACHS GROUP, INC.; JP MORGAN CHASE & CO.; MORGAN STANLEY; AND THE ROYAL BANK OF SCOTLAND GROUP PLC: Pursuant to Federal Rule of Civil Procedure 41(a)(1), Plaintiffs hereby voluntarily dismiss all claims against Defendants Citigroup Inc.; Credit Suisse Group AG; The Goldman Sachs Group, Inc.; JP Morgan Chase & Co.; Morgan Stanley; and The Royal Bank of Scotland Group plc without prejudice to reassert such claims against such Defendants at a later time should evidence arise in discovery (as further set forth in this Order.) JP Morgan Chase & Co., Morgan Stanley, The Goldman Sachs Group, Inc., The Royal Bank of Scotland Group PLC, CitiGroup, Inc. and Credit Suisse Group AG terminated. (Signed by Judge Paul G. Gardephe on 2/23/2018) Filed In Associated Cases: 1:15-md-02673-PGG et al.(cf)
February 5, 2018 Opinion or Order Filing 163 MEMO ENDORSEMENT: on re: granting (242) MOTION TO WITHDRAW AS COUNSEL PURSUANT TO LOCAL RULE 1.4. ENDORSEMENT: So Ordered. Attorney David J. Woll terminated in case 1:15-md-02673-PGG (Signed by Judge Paul G. Gardephe on 2/2/2018) Filed In Associated Cases: 1:15-md-02673-PGG et al. (ap) Modified on 3/28/2018 (ap).
January 31, 2018 Filing 162 MOTION for David J. Woll to Withdraw as Attorney . Document filed by Deutsche Bank Securities Inc..Filed In Associated Cases: 1:15-md-02673-PGG et al.(Woll, David)
January 31, 2018 Opinion or Order Filing 161 ORDER FOR ADMISSION PRO HAC VICE OF ANTHONY R. VAN VUREN: granting (240) Motion for Anthony R. Van Vuren to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 1/31/2018). (Motion filed in 15-md-2673 # 240) Filed In Associated Cases: 1:15-md-02673-PGG et al. (ama)
January 17, 2018 Opinion or Order Filing 160 STIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED: 1. Defendants' deadline to move against or answer the complaint will be extended from January 23, 2018 to February 23, 2018. 2. Plaintiffs' deadline to file their Opposition to any Motion(s) to Dismiss the complaint will be extended from March 9, 2018 to April 17, 2018. 3. Defendants' deadline to reply to Plaintiffs' Opposition to any Motion(s) to Dismiss the complaint will be extended from April 17, 2018 to May 22, 2018. (As further set forth in this Order.) (Motions due by 2/23/2018., Responses due by 4/17/2018, Replies due by 5/22/2018.) (Signed by Judge Paul G. Gardephe on 1/17/2018) Filed In Associated Cases: 1:15-md-02673-PGG et al.(cf)
September 29, 2017 Filing 159 NOTICE OF APPEARANCE by Kavitha Satya Sivashanker on behalf of Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutche Bank Securities Inc., Deustche Bank Securities Inc., Deutsche Bank Securities. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Sivashanker, Kavitha)
September 15, 2017 Filing 158 LETTER MOTION for Extension of Time In Further Support of Proposed Scheduling Stipulation filed on September 1, 2017 (Dkt. 189) addressed to Judge Paul G. Gardephe from Faith E. Gay, Jay L. Himes, J.Douglas Richards, dated September 15, 2017. Document filed by American Federation of Teachers, Arkansas Teacher Retirement System, Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH, State-Boston Retirement System, UNIQA Capital Markets GmbH.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Gay, Faith)
September 1, 2017 Filing 157 JOINT LETTER MOTION for Extension of Time re: Proposed Scheduling Stipulation addressed to Judge Paul G. Gardephe from Faith E. Gay, Jay L. Himes, J. Douglas Richards, Robert Y. Sperling, Brad S. Karp and David J. Woll dated September 1, 2017. Document filed by American Federation of Teachers, Arkansas Teacher Retirement System, Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH, State-Boston Retirement System, UNIQA Capital Markets GmbH. (Attachments: #1 Stipulation regarding deadlines for Consolidated Complaint and Motion to Dismiss Briefing)Filed In Associated Cases: 1:15-md-02673-PGG et al.(Gay, Faith)
August 31, 2017 Filing 156 NOTICE of Corporate Name Change to Goldman Sachs & Co. LLC. Document filed by Goldman, Sachs & Co.. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Sperling, Robert)
July 28, 2017 Filing 155 LETTER addressed to Judge Paul G. Gardephe from Gregory D. Andres dated July 28, 2017 re: Withdraw as Counsel of Record. Document filed by RBS Securities Inc., RBS Securities Inc.,, RBS Securities Inc..Filed In Associated Cases: 1:15-md-02673-PGG et al.(Andres, Greg)
June 12, 2017 Filing 154 NOTICE OF APPEARANCE by Esinam Mawuena Daisy Agbemenu on behalf of Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Inc., Deutche Bank Securities Inc., Deustche Bank Securities Inc., Deutsche Bank Securities. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Agbemenu, Esinam)
May 15, 2017 Filing 153 NOTICE OF APPEARANCE by Jonathan Myers on behalf of Deutsche Bank Securities Inc.. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Myers, Jonathan)
May 15, 2017 Filing 152 MOTION for Patrick Joseph Campbell to Withdraw as Attorney . Document filed by Deutsche Bank Securities Inc..Filed In Associated Cases: 1:15-md-02673-PGG et al.(Campbell, Patrick)
May 3, 2017 Filing 151 JOINT LETTER addressed to Judge Paul G. Gardephe from Faith E. Gay, J. Douglas Richards & Jay L. Himes dated May 3, 2017 re: Recent Disclosures regarding US Treasuries Market. Document filed by Arkansas Teacher Retirement System, Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Health and Welfare Fund(on behalf of themselves and all others similarly situated), Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH, State-Boston Retirement System, UNIQA Capital Markets GmbH.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Gay, Faith)
April 7, 2017 Opinion or Order Filing 150 MEMO ENDORSEMENT granting (173 in case 1:15-md-02673-PGG) Motion to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. (Attorney Joel Steven Sanders terminated in case 1:15-md-02673-PGG). (Signed by Judge Paul G. Gardephe on 4/7/2017) Filed In Associated Cases: 1:15-md-02673-PGG et al. (cla) Modified on 4/17/2017 (cla).
January 26, 2017 Filing 149 LETTER addressed to Judge Paul G. Gardephe from J. Douglas Richards, Jay L. Himes and Faith E. Gay dated January 26, 2017 re: Response to Mr. Zelcs' letter of January 23, 2017. Document filed by Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Health and Welfare Fund(on behalf of themselves and all others similarly situated), Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Eisenkraft, Michael)
October 12, 2016 Opinion or Order Filing 148 MEMO ENDORSEMENT granting #136 Motion to Withdraw as Attorney.. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul G. Gardephe on 10/12/2016) (kl)
September 16, 2016 Filing 147 RESPONSE in Support of Motion re: (94 in 1:15-md-02673-PGG) MOTION to Appoint Counsel by Korein Tillery LLC, Kellogg, Huber, Hansen, Todd, Evans & Figel PLLC, and Scott+Scott LLP. MOTION to Appoint Counsel by Korein Tillery LLC, Kellogg, Huber, Hansen, Todd, Evans & Figel PLLC, and Scott+Scott LLP. . Document filed by Rock Capital Markets, LLC. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Fata, Anthony)
September 16, 2016 Filing 146 RESPONSE in Support of Motion re: (98 in 1:15-md-02673-PGG) MOTION to Appoint Counsel Application to Appoint Labaton Sucharow LLP as Interim Co-Lead Class Counsel Alongside Cohen Milstein Sellers & Toll PLLC and Quinn Emanuel Urquhart & Sullivan, LLP., (88 in 1:15-md-02673-PGG) MOTION to Appoint Counsel by Cohen Milstein Sellers & Toll PLLC., (86 in 1:15-md-02673-PGG) MOTION to Appoint Counsel by Quinn Emanuel Urquhart & Sullivan, LLP. . Document filed by American Federation of Teachers, Cleveland Bakers and Teamsters Health and Welfare Fund(on behalf of themselves and all others similarly situated), Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH, UNIQA Capital Markets GmbH. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Gay, Faith)
September 15, 2016 Filing 145 NOTICE of Withdrawal of Leah Friedman. Document filed by RBC Capital Markets, LLC, RBC Capital Markets LLC, RBC Capital Markets, L.L.C., RBC Capital Markets. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Friedman, Leah)
September 6, 2016 Opinion or Order Filing 144 ORDER GRANTING WITHDRAWAL AS COUNSEL in case 1:15-cv-05794-PGG; granting (75) MOTION for Daniel J. Veroff to Withdraw as Attorney. This motion for an order directing the withdrawal of Daniel J. Veroff as counsel for Plaintiffs Jane Franklin and Jonathan Richard Williamson ("Plaintiffs") is GRANTED. IT IS HEREBY ORDERED as follows: 1. Daniel J. Veroff is hereby withdrawn as counsel of record for Plaintiffs and fully discharged from any further representation or obligation in this case. 2. Pillsbury & Coleman, LLP will continue to represent Plaintiffs in this action. 3. Daniel J. Veroff (email: dveroff@pillsburycoleman.com) is removed from the mailing matrix and from receiving electronic filings in this case. SO ORDERED. Attorney Daniel J Veroff terminated in case 1:15-md-02673-PGG. (Signed by Judge Paul G. Gardephe on 9/6/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al. (kl)
September 6, 2016 Filing 143 MEMORANDUM OF LAW in Support re: (94 in 1:15-md-02673-PGG) MOTION to Appoint Counsel by Korein Tillery LLC, Kellogg, Huber, Hansen, Todd, Evans & Figel PLLC, and Scott+Scott LLP. MOTION to Appoint Counsel by Korein Tillery LLC, Kellogg, Huber, Hansen, Todd, Evans & Figel PLLC, and Scott+Scott LLP. . Document filed by Rock Capital Markets, LLC. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Fata, Anthony)
September 6, 2016 Filing 142 LETTER addressed to Judge Paul G. Gardephe from Michael Eisenkraft dated September 6, 2016 re: courtesy copies of Application to Appoint Cohen Milstein Sellers & Toll PLLC Interim Co-lead Class Counsel Alongside Quinn Emanuel Urquhart & Sullivan, LLP and Labaton Sucharow LLP. Document filed by Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Eisenkraft, Michael)
September 6, 2016 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Anthony F. Fata to RE-FILE Document (141 in 1:15-cv-05830-PGG, 150 in 1:15-cv-07385-PGG, 121 in 1:15-cv-06003-PGG, 138 in 1:15-cv-08287-PGG, 76 in 1:16-cv-01177-PGG, 70 in 1:15-cv-10116-PGG, 183 in 1:15-cv-06129-PGG, 191 in 1:15-cv-05957-PGG, 146 in 1:15-cv-05931-PGG, 103 in 1:15-cv-07325-PGG, 108 in 1:15-cv-07329-PGG, 184 in 1:15-cv-05794-PGG, 187 in 1:15-cv-05939-PGG, 66 in 1:15-cv-10118-PGG, 93 in 1:15-cv-07111-PGG, 135 in 1:15-cv-06782-PGG, 120 in 1:15-cv-06072-PGG, 99 in 1:15-cv-07481-PGG, 114 in 1:15-cv-06892-PGG, 218 in 1:15-cv-05807-PGG, 142 in 1:15-cv-07420-PGG, 152 in 1:15-cv-07390-PGG, 21 in 1:15-cv-09975-PGG, 92 in 1:15-md-02673-PGG, 107 in 1:15-cv-06853-PGG, 72 in 1:16-cv-00180-PGG, 99 in 1:15-cv-07735-PGG, 70 in 1:16-cv-00005-PGG, 135 in 1:15-cv-06139-PGG, 62 in 1:15-cv-09968-PGG, 31 in 1:16-cv-00030-PGG, 153 in 1:15-cv-07006-PGG, 121 in 1:15-cv-09803-PGG, 55 in 1:15-cv-10117-PGG, 37 in 1:15-cv-09169-PGG, 174 in 1:15-cv-06474-PGG, 138 in 1:15-cv-05843-PGG) MOTION to Appoint Counsel Rock Capital, LLC's/Cafferty Clobes Meriwether & Sprengel LLP's Motion to Appoint Scott+Scott, Korein Tillery and Kellog Huber as Co-Lead Counsel. MOTION to Appoint Counsel Rock Capital, LLC's/Cafferty Clobes Meriwether & Sprengel LLP's Motion to Appoint Scott+Scott, Korein Tillery and Kellog Huber as Co-Lead Counsel. Use the event type Memorandum in Support of Motion found under the event list Replies, Opposition and Supporting Documents. ***REMINDER*** - Motion to Appoint Counsel WAS NOT FILED. First file motion, then file and link any supporting documents. Filed In Associated Cases: 1:15-md-02673-PGG et al.(db)
September 2, 2016 Filing 141 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION to Appoint Counsel Rock Capital, LLC's/Cafferty Clobes Meriwether & Sprengel LLP's Motion to Appoint Scott+Scott, Korein Tillery and Kellog Huber as Co-Lead Counsel. Document filed by Rock Capital Markets, LLC.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Fata, Anthony) Modified on 9/6/2016 (db).
August 22, 2016 Opinion or Order Filing 140 ORDER: After consultation with counsel for the parties, it is hereby ORDERED that the following schedule will apply to motions to appoint lead counsel, submissions concerning the plaintiffs' steering committee, the filing of a Consolidated Amended Complaint, and any motion to dismiss: 1. As to motions to appoint lead counsel: a. Moving papers must be filed by September 2, 2016, and are limited to 15 pages; b. Responses are due on September 16, 2016, and are limited to 10 pages; and c. Reply briefs, if any, are due on September 23, 2016, and are limited to 7 pages. 2. Within fourteen days of appointment of lead counsel, lead counsel will make a recommendation to the Court as to the membership and size of the plaintiffs' steering committee. Any party objecting to lead counsel's recommendation will file its objection with the Court within seven days. 3. The Consolidated Amended Complaint will be filed 60 days after the appointment of lead counsel. 4. Any motion to dismiss will be filed 60 days after the filing of the Consolidated Amended Complaint. Winston & Strawn LLP, Paul, Weiss, Rifkind, Wharton & Garrison LLP, and Simpson Thacher & Bartlett LLP will serve as liaison counsel for Defendants. The attached Schedule A reflects the cases that have been consolidated for pretrial purposes. SO ORDERED. (Motions due by 9/2/2016., Responses due by 9/16/2016, Replies due by 9/23/2016.) (Signed by Judge Paul G. Gardephe on 8/22/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al.(kl)
August 22, 2016 Minute Entry for proceedings held before Judge Paul G. Gardephe: Initial Pretrial Conference held on 8/22/2016. (Court Reporter Sonya Huggins) Associated Cases: 1:15-md-02673-PGG et al.(mr)
August 19, 2016 Filing 139 LETTER addressed to Judge Paul G. Gardephe from Faith E. Gay dated August 19, 2016 re: Additions to Schedule of Consolidated Cases. Document filed by American Federation of Teachers, Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH, UNIQA Capital Markets GmbH.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Gay, Faith)
August 18, 2016 Opinion or Order Filing 138 ORDER: It is hereby ORDERED that the conference scheduled for Monday, August 22, 2016 at 10:30 a.m., will take place in Courtroom 110 at the Thurgood Marshall Courthouse, 40 Centre Street, New York, New York. It is further ORDERED that Schedule A, which reflects the cases that have been consolidated for pretrial purposes, is modified as reflected in the attached version. SO ORDERED. (Signed by Judge Paul G. Gardephe on 8/18/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al.(kl)
August 16, 2016 Opinion or Order Filing 137 ORDER FOR ADMISSION PRO HAC VICE granting (60) Motion for John E. Schmidtlein to Appear Pro Hac Vice in case 1:15-md-02673-PGG. (Signed by Judge Paul G. Gardephe on 8/15/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al., per Chambers. (kko)
August 5, 2016 Filing 136 MOTION for Alexis A. Lien to Withdraw as Attorney . Document filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Collogan, Lauren)
July 26, 2016 Opinion or Order Filing 135 STIPULATION AND ORDER SETTING DIRECT FILING OF CASES IN THE SOUTHERN DISTRICT OF NEW YORK FOR THE PURPOSES OF PRETRIAL PROCEEDINGS: IT IS HEREBY STIPULATED AND AGREED by and between the parties and their respective counsel as follows: 1. Plaintiffs who file a Direct Filed Case are required to designate for each such case the original venue in which the case would have been filed but for the direct filing procedure (the "Designated Forum"). 2. Each Direct Filed Case filed in accordance with the direct filing procedure will be deemed to have been originally filed in the Designated Forum. 3. For any Direct Filed Case that meets the conditions set forth in paragraphs 1 and 2 above, Defendants will not object that the Southern District of New York is an improper venue for such Case. 4. Upon completion of all pretrial proceedings applicable to a Direct Filed Case, this Court, pursuant to 28 U.S.C. 1404(a), may transfer that case to the Designated Forum, after considering the recommendations of the parties to that case. 5. Except for an objection that the Southern District of New York is an improper venue for a Direct Filed Case, all other rights, arguments and defenses of Defendants are preserved and not waived, including, but not limited to, whether the Designated Forum is an improper venue and whether a Defendant is subject to personal jurisdiction in the Designated Forum. 6. Any plaintiff filing a Direct Filed Case who objects to any part of this Stipulation and [Proposed] Order shall have 10 days from the date that its case is filed to file a notice of motion with the Court to bring on a motion asserting such objection, and setting forth the basis for objection. If such a motion is granted in a Direct Filed Case, Defendants shall not be bound by the terms of this Stipulation and [Proposed] Order with respect to that case. SO ORDERED. (Signed by Judge Paul G. Gardephe on 7/26/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al.(kl)
July 15, 2016 Filing 134 NOTICE of Filing of Updated Exhibit B to Letter of 7/14/2016 re: (130 in 1:15-cv-05843-PGG, 183 in 1:15-cv-05957-PGG, 112 in 1:15-cv-06072-PGG, 134 in 1:15-cv-07420-PGG, 54 in 1:15-cv-09968-PGG, 113 in 1:15-cv-06003-PGG, 210 in 1:15-cv-05807-PGG, 175 in 1:15-cv-06129-PGG, 138 in 1:15-cv-05931-PGG, 99 in 1:15-cv-06853-PGG, 88 in 1:15-cv-07735-PGG, 133 in 1:15-cv-05830-PGG, 125 in 1:15-cv-06782-PGG, 63 in 1:16-cv-00180-PGG, 62 in 1:16-cv-00005-PGG, 44 in 1:15-md-02673-PGG, 29 in 1:15-cv-09169-PGG, 85 in 1:15-cv-07111-PGG, 106 in 1:15-cv-06892-PGG, 13 in 1:15-cv-09975-PGG, 176 in 1:15-cv-05794-PGG, 127 in 1:15-cv-06139-PGG, 145 in 1:15-cv-07006-PGG, 113 in 1:15-cv-09803-PGG, 142 in 1:15-cv-07385-PGG, 62 in 1:15-cv-10116-PGG, 91 in 1:15-cv-07481-PGG, 47 in 1:15-cv-10117-PGG, 100 in 1:15-cv-07329-PGG, 23 in 1:16-cv-00030-PGG, 67 in 1:16-cv-01177-PGG, 144 in 1:15-cv-07390-PGG, 177 in 1:15-cv-05939-PGG, 95 in 1:15-cv-07325-PGG, 165 in 1:15-cv-06474-PGG, 130 in 1:15-cv-08287-PGG, 58 in 1:15-cv-10118-PGG) Letter,,. Document filed by Arkansas Teacher Retirement System, State-Boston Retirement System. (Attachments: #1 Exhibit Updated Exhibit B to Letter of 7/14/2016)Filed In Associated Cases: 1:15-md-02673-PGG et al.(Himes, Jay)
July 14, 2016 Filing 133 LETTER addressed to Judge Paul G. Gardephe from Jay L. Himes, J. Douglas Richards and Faith E. Gay dated 07/14/2016 re: Plaintiffs' counsel's views re lead and liaison counsel, a Plaintiffs' steering committee, and proposed method and schedule re appointment of lead and liaison counsel. Document filed by State-Boston Retirement System, Arkansas Teacher Retirement System. (Attachments: #1 Exhibit A, #2 Exhibit B)Filed In Associated Cases: 1:15-md-02673-PGG et al.(Himes, Jay)
July 13, 2016 Filing 132 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Henry B. Liu to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12533215. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Securities LLC, JP Morgan Securities LLC, J.P. Morgan Securities Holdings LLC, J.P.Morgan Securities LLC, J.P. Morgan Securities LLC, J.P Morgan Securities LLC, JP. Morgan Securities, LLC., J.P. Morgan Securities LLC. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Text of Proposed Order)Filed In Associated Cases: 1:15-md-02673-PGG et al.(Liu, Henry) Modified on 7/13/2016 (wb).
July 7, 2016 Filing 131 LETTER addressed to Judge Paul G. Gardephe from David J. Woll dated July 7, 2016 re: the protocol for the direct filing of additional cases in this District. Document filed by 3RED TRADING LLC, BMO Capital Markets Corp., BNP Paribas Securities Corp., Bank of America Corp., Bank of Nova Scotia, New York Agency, Barclays Capital Inc., CIBC World Markets Corp., Cantor Fitzgerald & Co., Citigroup Global Market Inc., Commerz Markets LLC, Countrywide Securities Corp., Credit Suisse Securities (USA) LLC, Daiwa Capital Markets America Inc., Deutsche Bank Securities Inc., Goldman, Sachs & Co., HSBC Securities (USA) Inc., J.P.Morgan Securities LLC, Jeffries LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mizuho Securities USA Inc., Morgan Stanley & Co. LLC, Nomura Securities International Inc., RBC Capital Markets, LLC, RBS Securities Inc., SG Americas Securities LLC, TD Securities (USA) LLC, UBS Securities LLC.Filed In Associated Cases: 1:15-md-02673-PGG et al.(Woll, David)
June 30, 2016 Filing 130 LETTER addressed to Judge Paul G. Gardephe from David J. Woll dated June 30, 2016 re: Order dated June 13, 2016. Document filed by Deutsche Bank Securities Inc..Filed In Associated Cases: 1:15-md-02673-PGG et al.(Woll, David)
June 13, 2016 Opinion or Order Filing 129 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: The civil actions listed on Schedule A are consolidated for pretrial purposes. Any "tag-along" actions later removed to or transferred to this Court, or directly filed in the Southern District of New York, will automatically be consolidated with this action without the necessity of future motions or orders. This consolidation, however, does not constitute a determination that the actions should be consolidated for trial, nor does it have the effect of making any entity a party to any action in which he, she, or it has not been named, served, or added in accordance with the Federal Rules of Civil Procedure. In the Court's view, a master case file limited to filings of significance to the MDL as a whole or a substantial number of member cases would be advantageous. Accordingly, the Clerk of Court is directed to open a master case file bearing docket number 16-MC-2673. Any filing fees associated with opening the master case file docket are waived. The caption shall read "In re: Treasury Securities Auction Antitrust Litigation." For administrative purposes only, in 16-MC-2673, Plaintiffs shall be listed as "Treasury Securities Auction Antitrust MDL Plaintiffs," and Defendants shall be listed as "Treasury Securities Auction Antitrust MDL Defendants." There will be no appearances entered unless and until the Court orders otherwise. The Court will transfer any and all relevant documents filed in 15-MD-2673 to 15-MD-2673. This Order and all subsequent entries docketed in 16-MC-2543 are to be docketed simultaneously in 15-MD-2673. The Clerk of the Court is directed to Transfer Docket No. 1 (Transfer Order) from 15-MD-2673 to 16-MC-2673. The Court will conduct an Initial Conference on Monday, August 22, 2016 at 10:30 a.m. in Courtroom 705 at the Thurgood Marshall Courthouse, 40 Centre Street, New York, New York. Counsel shall check in with the Courtroom Deputy at least fifteen minutes in advance. This Order vacates any case management or scheduling order issued by a court prior to the transfer of a case to 15-MD-2673. Pending the Initial Conference and further orders of this Court, all deadlines in this action (except those set forth herein), including Defendants' time to respond to any of the complaints and all discovery deadlines, are stayed. This Order does not, however, preclude the provision of voluntary discovery by any party. Any and all pending motions in the transferor courts are denied without prejudice, and will be adjudicated under the procedures set forth in this Order and subsequent orders issued by this Court. (As further set forth in this Order) Initial Conference set for 8/22/2016 at 10:30 AM in Courtroom 705, 40 Centre Street, New York, NY 10007 before Judge Paul G. Gardephe. (Signed by Judge Paul G. Gardephe on 6/13/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al.(kl)
June 8, 2016 Opinion or Order Filing 128 MEMO ENDORSEMENT in case 1:15-cv-05794-PGG; granting (33) Motion for Shannon Price Torres to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. Attorney Shannon Price Torres terminated in case 1:15-md-02673-PGG. (Signed by Judge Paul G. Gardephe on 6/7/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al. (kl)
June 3, 2016 Opinion or Order Filing 127 NOTICE OF WITHDRAWAL OF COUNSEL: PLEASE TAKE NOTICE THAT as of March 1, 2016, I, Joanna Shally, will no longer be an employee of Shearman & Sterling LLP and hereby withdraw as counsel of record for defendant Mizuho Securities USA Inc. ("Mizuho") in the above-captioned action and all related actions listed on the attached Exhibit 1. I respectfully request to be removed from the Court's service list for the above-captioned action and all related actions listed on Exhibit 1. Shearman & Sterling LLP continues to serve as counsel for Mizuho in this action and the listed related actions through its attorneys, counsel of record Stuart J. Baskin, Jerome S. Fortinsky, and H. Miriam Farber. Please direct all future correspondence and papers in this action and the listed related actions to Mr. Baskin, Mr. Fortinsky, and Ms. Farber. SO ORDERED. Attorney Joanna Shally terminated. (Signed by Judge Paul G. Gardephe on 6/2/2016) Filed In Associated Cases: 1:15-md-02673-PGG et al.(kl)
February 26, 2016 Opinion or Order Filing 126 ORDER APPROVING WITHDRAWAL AS COUNSEL granting #125 MOTION for Krista Friedrich to Withdraw as Attorney. This matter having come before the Court by the filing of a Motion to Withdraw as Counsel for defendant Credit Suisse Securities (USA) LLC ("Credit Suisse") by Krista Friedrich, IT IS HEREBY ORDERED and ADJUDGED as follows: 1. Krista Friedrich is hereby withdrawn as counsel of record for Credit Suisse and fully discharged from any further representation or obligation in this case. 2. Remaining counsel of record will continue to represent Credit Suisse. 3. Krista Friedrich (email: kfriedrich@cahill.com) is removed from the mailing matrix and from receiving electronic filings in this case. SO ORDERED. (Attorney Krista Ann Friedrich terminated.) (Signed by Judge Paul G. Gardephe on 2/26/2016) (adc)
February 24, 2016 Filing 125 MOTION for Krista Friedrich to Withdraw as Attorney . Document filed by Credit Suisse Securities USA LLC. (Attachments: #1 Text of Proposed Order, #2 Affidavit Declaration of Krista Friedrich)Filed In Associated Cases: 1:15-md-02673-PGG et al.(Friedrich, Krista)
February 17, 2016 Filing 124 NOTICE OF APPEARANCE by H. Miriam Farber on behalf of Mizuho Securities USA Inc., Mizuho Securities USA, Inc.. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Farber, H.)
February 2, 2016 Filing 123 NOTICE of Withdrawal of Appearance of Jonathan L. Shapiro. Document filed by Goldman, Sachs & Co.. Filed In Associated Cases: 1:15-md-02673-PGG et al.(Shapiro, Jonathan)
December 16, 2015 CASE ACCEPTED AS RELATED. Create association to 1:15-md-02673-PGG. (sjo)
December 16, 2015 CONSOLIDATED MDL CASE: Create association to 1:15-md-02673-PGG. (sjo)
December 8, 2015 Filing 122 LETTER addressed to Judge Paul G. Gardephe from Daniel L. Brockett dated December 8, 2015 re: Schedule for Leadership Briefing. Document filed by Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH.Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Brockett, Daniel)
October 15, 2015 Opinion or Order Filing 121 ORDER: Accordingly, the Clerk of the Court is directed to consolidate the above-captioned actions under Case No. 15 Civ. 5794 (PGG). SO ORDERED. (Signed by Judge Paul G. Gardephe on 10/15/2015) Filed In Associated Cases: 1:15-cv-05794-PGG et al.(ama)
October 9, 2015 Opinion or Order Filing 120 ORDER FOR ADMISSION PRO HAC VICE granting #119 Motion for William J. Kolasky to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 10/8/2015) (mro)
September 29, 2015 Filing 119 MOTION for William J. Kolasky to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11444981. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1 - Certificate of Good Standing, #2 Text of Proposed Order)(Kolasky, William)
September 29, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #119 MOTION for William J. Kolasky to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11444981. 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, 2015 Filing 118 LETTER addressed to Judge Paul G. Gardephe from Daniel L. Brockett dated September 25, 2015 re: Whether JPML Motion to Transfer Should Impact Lead Counsel Briefing Deadlines. Document filed by Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH, Cleveland Bakers and Teamsters Health and Welfare Fund.Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Brockett, Daniel)
September 25, 2015 Filing 117 LETTER addressed to Judge Paul G. Gardephe from Robert Y. Sperling dated 9/25/2015 re: 9/3/2015 consolidation order, and Court's 9/24/2015 request for parties' positions on consolidation, on behalf of all Defendants. Document filed by Goldman, Sachs & Co..Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Sperling, Robert)
September 25, 2015 Filing 116 LETTER addressed to Judge Paul G. Gardephe from Gregory S. Asciola dated 09/25/2015 re: Informing the judge that a JPML Motion to Transfer was filed on 9/24/2015 which nay impact pending litigation dates including due date of 10/1/2015 for lead plaintiff motions. Document filed by State-Boston Retirement System, Arkansas Teacher Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5)Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Asciolla, Gregory)
September 23, 2015 Filing 115 NOTICE OF APPEARANCE by Malik Havalic on behalf of Cantor Fitzgerald & Co.. (Havalic, Malik)
September 23, 2015 Filing 114 NOTICE OF APPEARANCE by Ethan Edward Litwin on behalf of Cantor Fitzgerald & Co.. (Litwin, Ethan)
September 16, 2015 Filing 113 NOTICE OF APPEARANCE by Lawrence Alan Sucharow on behalf of State-Boston Retirement System, Arkansas Teacher Retirement System. Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Sucharow, Lawrence)
September 3, 2015 Opinion or Order Filing 112 ORDER granting (131 in case number 15cv6474) Motion to Consolidate Cases: On August 31, 2015, Plaintiffs in the above-captioned actions submitted letters requesting that this Court consolidate these actions pursuant to Federal Rule of Civil Procedure 42(a). See No. 15 Civ. 5794 (PGG), Dkt. No. 121; No. 15 Civ. 5807 (PGG), Dkt. No. 178; No. 15 Civ. 5830 (PGG), Dkt. No. 109; No. 15 Civ. 5843 (PGG), Dkt. No. 98; No. 15 Civ. 5931 (PGG), Dkt. No. 97; No. 15 Civ. 5939 (PGG), Dkt. No. 129; No. 15 Civ. 5957 (PGG), Dkt. No. 153; No. 15 Civ. 6003 (PGG), Dkt. No. 82; 15 Civ. 6072 (PGG), Dkt. No. 81; 15 Civ. 6129 (PGG), Dkt. No. 147; No. 15 Civ. 6139 (PGG), Dkt. No. 102; No. 15 Civ. 6474 (PGG), Dkt. No. 131; No. 15 Civ. 6782 (PGG), Dkt. No. 35. Those applications are granted. The Clerk of the Court is directed to consolidate the above-captioned actions under the first case filed, 15 Civ. 5794 (PGG), and to terminate the motion (No. 15 Civ. 6474, Dkt. No. 131). It is further ORDERED that motions for appointment of lead plaintiff and lead counsel shall be filed by October 1, 2015. Opposition to any motions for appointment of lead plaintiff and lead counsel shall be filed by October 22, 2015. It is further ORDERED that the initial pre-trial conferences previously scheduled for October 8, 2015 in the following matters are adjourned sine die: State Boston Retirement System v. Bank of Nova Scotia, New York Agency et al., No. 15 Civ. 5794 (PGG); Beaver County Employees' Retirement Fund et al. v. Bank of Nova Scotia, New York Agency et al., No. 15 Civ. 5807 (PGG); Arkansas Teacher Retirement System v. Bank of Nova Scotia, New York Agency et al., No. 15 Civ. 5830 (PGG). (Signed by Judge Paul G. Gardephe on 9/2/2015) (tn)
September 3, 2015 CONSOLIDATED MEMBER CASE: Create association to 1:15-cv-05794-PGG. (tn)
September 1, 2015 Opinion or Order Filing 111 ORDER FOR ADMISSION PRO HAC VICE granting #108 Motion for Melanie L. Katsur to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 9/1/2015) (spo)
August 31, 2015 Filing 110 NOTICE OF APPEARANCE by Jeffrey H. Knox on behalf of Deustche Bank Securities Inc.. (Knox, Jeffrey)
August 31, 2015 Filing 109 LETTER addressed to Judge Paul G. Gardephe from Gregory S. Asciolla dated 08/31/2015 re: Court's order regarding consolidation of related actions. Document filed by Arkansas Teacher Retirement System.(Asciolla, Gregory)
August 28, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #108 MOTION for Melanie L. Katsur to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11327909. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
August 27, 2015 Filing 108 MOTION for Melanie L. Katsur to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11327909. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS Securities LLC. (Attachments: #1 Certificates of Good Standing, #2 Proposed Order)(Katsur, Melanie)
August 27, 2015 Opinion or Order Filing 107 ORDER: Each party will make a submission by September 3, 2015, addressing whether the above-captioned cases should be consolidated. SO ORDERED. (Signed by Judge Paul G. Gardephe on 8/27/2015) (ama)
August 26, 2015 Filing 106 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Daiwa Securities Group Inc., Corporate Parent Daiwa Capital Markets America Holdings Inc., Corporate Parent Daiwa International Holdings Inc. for Daiwa Capital Markets America Inc.. Document filed by Daiwa Capital Markets America Inc..(Naftalis, Gary)
August 26, 2015 Filing 105 NOTICE OF APPEARANCE by Tobias B. Jacoby on behalf of Daiwa Capital Markets America Inc.. (Jacoby, Tobias)
August 26, 2015 Filing 104 NOTICE OF APPEARANCE by Alan Roy Friedman on behalf of Daiwa Capital Markets America Inc.. (Friedman, Alan)
August 26, 2015 Filing 103 NOTICE OF APPEARANCE by Gary P. Naftalis on behalf of Daiwa Capital Markets America Inc.. (Naftalis, Gary)
August 24, 2015 Filing 101 NOTICE OF APPEARANCE by Sophie Charlotte Rohnke on behalf of RBC Capital Markets, LLC. (Rohnke, Sophie)
August 24, 2015 Filing 100 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent HSBC Markets (USA) Inc., Corporate Parent HSBC Holdings plc, Corporate Parent HSBC North America Holdings Inc. for HSBC Securities (USA) Inc.. Document filed by HSBC Securities (USA) Inc..(Liman, Lewis)
August 24, 2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Lewis J. Liman to RE-FILE Document #98 Rule 7.1 Corporate Disclosure Statement,. ERROR(S): Not All Corporate Parents were 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) one party name at a time. (lb)
August 21, 2015 Filing 99 NOTICE OF APPEARANCE by Jennifer Kennedy Park on behalf of HSBC Securities (USA) Inc.. (Park, Jennifer)
August 21, 2015 Filing 98 FILING ERROR - NOT ALL CORPORATE PARENTS/OTHER AFFILIATES WERE ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent HSBC Holdings plc for HSBC Securities (USA) Inc.. Document filed by HSBC Securities (USA) Inc..(Liman, Lewis) Modified on 8/24/2015 (lb).
August 21, 2015 Filing 97 NOTICE OF APPEARANCE by Lewis J. Liman on behalf of HSBC Securities (USA) Inc.. (Liman, Lewis)
August 21, 2015 Filing 96 NOTICE OF APPEARANCE by Breon Stacey Peace on behalf of HSBC Securities (USA) Inc.. (Peace, Breon)
August 21, 2015 Filing 95 NOTICE OF APPEARANCE by David J. Yeres on behalf of BMO Capital Markets Corp.. (Yeres, David)
August 21, 2015 Filing 94 SUMMONS RETURNED EXECUTED. Bank of Nova Scotia, New York Agency served on 7/30/2015, answer due 8/20/2015. Document filed by Arkansas Teacher Retirement System. (Asciolla, Gregory)
August 20, 2015 Opinion or Order Filing 102 STIPULATION SETTING TIME FOR DEFENDANTS TO ANSWER, MOVE, OR OTHERWISE RESPOND TO THE COMPLAINT AND FOR THE PARTIES TO PROPOSE CERTAIN CASE MANAGEMENT DATES: Defendants' time to answer move or otherwise respond lo the complaints is hereby suspended until such time as the United States District Court for the Southern District of New York or any other court to which the case is assigned enters an order coordinating or consolidating the foregoing cases and any Related Actions. The parties will submit the joint letter as directed in the Court's July 29, 2015 Notice or Pretrial Conference in State-Boston (the "Pretrial Conference Notice"). (As is forth in this Order.) (Signed by Judge Paul G. Gardephe on 8/20/2015) (spo)
August 20, 2015 Filing 93 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Cantor Fitzgerald & Co..(Popok, Michael)
August 19, 2015 Filing 92 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Limestone Merger Sub, LLC, Corporate Parent JefferiesGroup LLC, Corporate Parent Leucadia National Corporation for Jefferies LLC. Document filed by Jefferies LLC.(Schacter, Kenneth)
August 19, 2015 Filing 91 NOTICE OF APPEARANCE by Kenneth Ian Schacter on behalf of Jefferies LLC. (Schacter, Kenneth)
August 18, 2015 Filing 90 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank of Montreal for BMO Capital Markets Corp.. Document filed by BMO Capital Markets Corp..(Houck, Robert)
August 18, 2015 Filing 89 NOTICE OF APPEARANCE by David A. Paul on behalf of Cantor Fitzgerald & Co.. (Paul, David)
August 18, 2015 Filing 88 NOTICE OF APPEARANCE by Michael Steven Popok on behalf of Cantor Fitzgerald & Co.. (Popok, Michael)
August 17, 2015 Opinion or Order Filing 87 STIPULATION SETTING TIME FOR DEFENDANTS TO ANSWER, MOVE, OR OTHERWISE RESPOND TO THE COMPLAINT AND FOR THE PARTIES TO PROPOSE CERTAIN CASE MANAGEMENT DATES: 1. The undersigned counsel accept service of the complaints in the above-captioned lawsuits on behalf of their respective clients, expressly reserving the right to contest whether any party in the complaints is properly named, and without waiver of any defenses, including those related to personal jurisdiction and venue, except as to the sufficiency of process and the service of process. 2. Defendants' time to answer, move or otherwise respond to the complaints is hereby suspended until such time as the United States District Court for the Southern District of New York or any other court to which the case is assigned enters an order coordinating or consolidating the foregoing cases and any Related Actions, as set forth within. (Signed by Judge Paul G. Gardephe on 8/17/2015) (ajs)
August 17, 2015 Filing 86 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..(Holley, Steven)
August 17, 2015 Filing 85 NOTICE OF APPEARANCE by Amanda Flug Davidoff on behalf of Nomura Securities International, Inc.. (Davidoff, Amanda)
August 17, 2015 Filing 84 NOTICE OF APPEARANCE by Steven Lyon Holley on behalf of Nomura Securities International, Inc.. (Holley, Steven)
August 14, 2015 Filing 83 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Bank of Nova Scotia for Bank of Nova Scotia, New York Agency. Document filed by Bank of Nova Scotia, Bank of Nova Scotia, New York Agency.(Pepperman, Richard)
August 14, 2015 Filing 82 NOTICE OF APPEARANCE by John Joseph Hughes, III on behalf of Bank of Nova Scotia. (Hughes, John)
August 14, 2015 Filing 81 NOTICE OF APPEARANCE by Richard C. Pepperman, II on behalf of Bank of Nova Scotia. (Pepperman, Richard)
August 14, 2015 Filing 80 NOTICE OF APPEARANCE by Edward Nathaniel Moss on behalf of TD Securities (USA) LLC. (Moss, Edward)
August 14, 2015 Filing 79 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent TD Holdings II Inc., Other Affiliate The Toronto-Dominion Bank, Other Affiliate Toronto Dominion Holdings (U.S.A.), Inc. for TD Securities (USA) LLC. Document filed by TD Securities (USA) LLC.(Miller, Pamela)
August 14, 2015 Filing 78 NOTICE OF APPEARANCE by Pamela Addison Miller on behalf of TD Securities (USA) LLC. (Miller, Pamela)
August 14, 2015 Filing 77 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent DB USA Corporation, Corporate Parent Deutsche Bank AG, Corporate Parent DB U.S. Financial Markets Holding Corporation for Deustche Bank Securities Inc.. Document filed by Deustche Bank Securities Inc..(Rice, Thomas)
August 14, 2015 Filing 76 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Americas, Inc., Other Affiliate UBS Group AG for UBS Securities LLC. Document filed by UBS Securities LLC.(Kirsch, Mark)
August 14, 2015 Filing 75 NOTICE OF APPEARANCE by Gabrielle Frances Levin on behalf of UBS Securities LLC. (Levin, Gabrielle)
August 13, 2015 Filing 74 NOTICE OF APPEARANCE by Patrick Joseph Campbell on behalf of Deustche Bank Securities Inc.. (Campbell, Patrick)
August 13, 2015 Filing 73 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Royal Bank of Scotland Group plc for RBS Securities Inc.. Document filed by RBS Securities Inc..(Cohen, Joel)
August 13, 2015 Filing 72 NOTICE OF APPEARANCE by Melissa Carrie King on behalf of RBS Securities Inc.. (King, Melissa)
August 13, 2015 Filing 71 NOTICE OF APPEARANCE by Greg Donald Andres on behalf of RBS Securities Inc.. (Andres, Greg)
August 13, 2015 Filing 70 NOTICE OF APPEARANCE by Joel Murray Cohen on behalf of RBS Securities Inc.. (Cohen, Joel)
August 13, 2015 Filing 69 NOTICE OF APPEARANCE by Shannon Price Torres on behalf of Deustche Bank Securities Inc.. (Torres, Shannon)
August 13, 2015 Filing 68 NOTICE OF APPEARANCE by Omari Largos Royter Mason on behalf of Deustche Bank Securities Inc.. (Mason, Omari)
August 13, 2015 Filing 67 NOTICE OF APPEARANCE by John Davis Friel on behalf of BMO Capital Markets Corp.. (Friel, John)
August 13, 2015 Filing 66 NOTICE OF APPEARANCE by David Elbaum on behalf of Deustche Bank Securities Inc.. (Elbaum, David)
August 13, 2015 Filing 65 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Mizuho Bank, Ltd., Corporate Parent Mizuho Financial Group, Inc., Corporate Parent Mizuho Securities Co., Ltd. for Mizuho Securities USA Inc.. Document filed by Mizuho Securities USA Inc..(Fortinsky, Jerome)
August 13, 2015 Filing 64 NOTICE OF APPEARANCE by Thomas C. Rice on behalf of Deustche Bank Securities Inc.. (Rice, Thomas)
August 13, 2015 Filing 63 NOTICE OF APPEARANCE by Robert G. Houck on behalf of BMO Capital Markets Corp.. (Houck, Robert)
August 13, 2015 Filing 62 NOTICE OF APPEARANCE by David J. Woll on behalf of Deustche Bank Securities Inc.. (Woll, David)
August 13, 2015 Filing 61 NOTICE OF APPEARANCE by Joanna Shally on behalf of Mizuho Securities USA Inc.. (Shally, Joanna)
August 13, 2015 Filing 60 NOTICE OF APPEARANCE by Jerome Steven Fortinsky on behalf of Mizuho Securities USA Inc.. (Fortinsky, Jerome)
August 13, 2015 Filing 59 NOTICE OF APPEARANCE by Stuart Jay Baskin on behalf of Mizuho Securities USA Inc.. (Baskin, Stuart)
August 12, 2015 Filing 58 NOTICE OF APPEARANCE by Todd Steven Fishman on behalf of SG Americas Securities, LLC. (Fishman, Todd)
August 12, 2015 Filing 57 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Societe Generale for SG Americas Securities, LLC. Document filed by SG Americas Securities, LLC.(Esseks, David)
August 12, 2015 Filing 56 NOTICE OF APPEARANCE by David C. Esseks on behalf of SG Americas Securities, LLC. (Esseks, David)
August 12, 2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Mark Adam Kirsch to RE-FILE Document #54 Rule 7.1 Corporate Disclosure Statement. ERROR(S): Not All Corporate Parents were 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). (ldi)
August 11, 2015 Opinion or Order Filing 55 ORDER FOR ADMISSION PRO HAC VICE granting #53 Motion for Joel S. Sanders to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/11/2015) (ama)
August 11, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #53 MOTION for Joel S. Sanders to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11258682. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
August 10, 2015 Filing 54 FILING ERROR - NOT ALL CORPORATE PARENTS/OTHER AFFILIATES WERE ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Americas, Inc. for UBS Securities LLC. Document filed by UBS Securities LLC.(Kirsch, Mark) Modified on 8/12/2015 (ldi).
August 10, 2015 Filing 53 MOTION for Joel S. Sanders to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11258682. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS Securities LLC. (Attachments: #1 Certificate of Good Standing, #2 Proposed Order)(Sanders, Joel)
August 10, 2015 Filing 52 NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of UBS Securities LLC. (Kirsch, Mark)
August 10, 2015 Filing 51 NOTICE OF APPEARANCE by Leah Friedman on behalf of RBC Capital Markets, LLC. (Friedman, Leah)
August 10, 2015 Filing 50 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Royal Bank of Canada for RBC Capital Markets, LLC. Document filed by RBC Capital Markets, LLC.(Fishman, Marshall)
August 10, 2015 Filing 49 NOTICE OF APPEARANCE by Marshall Howard Fishman on behalf of RBC Capital Markets, LLC. (Fishman, Marshall)
August 10, 2015 Filing 48 SUMMONS RETURNED EXECUTED Summons and Complaint,,, served. BMO Capital Markets Corp. served on 7/30/2015, answer due 8/20/2015; BNP Paribas Securities Corp. served on 7/30/2015, answer due 8/20/2015; Barclays Capital Inc. served on 7/30/2015, answer due 8/20/2015; Cantor Fitzgerald & Co. served on 7/30/2015, answer due 8/20/2015; Citigroup Global Markets Inc served on 7/30/2015, answer due 8/20/2015; Credit Suisse Securities (USA) LLC served on 7/30/2015, answer due 8/20/2015; Daiwa Capital Markets America Inc. served on 7/30/2015, answer due 8/20/2015; Deustche Bank Securities Inc. served on 7/30/2015, answer due 8/20/2015; Goldman, Sachs & Co. served on 7/30/2015, answer due 8/20/2015; HSBC Securities (USA) Inc. served on 7/31/2015, answer due 8/21/2015; J.P.Morgan Securities LLC served on 7/30/2015, answer due 8/20/2015; Jefferies LLC served on 7/30/2015, answer due 8/20/2015; Merrill Lynch, Pierce, Fenner & Smith Incorporated served on 7/30/2015, answer due 8/20/2015; Mizuho Securities USA Inc. served on 7/30/2015, answer due 8/20/2015; Morgan Stanley & Co. LLC served on 7/30/2015, answer due 8/20/2015; Nomura Securities International, Inc. served on 7/30/2015, answer due 8/20/2015; RBC Capital Markets, LLC served on 7/30/2015, answer due 8/20/2015; RBS Securities Inc. served on 7/30/2015, answer due 8/20/2015; SG Americas Securities, LLC served on 7/31/2015, answer due 8/21/2015; TD Securities (USA) LLC served on 7/30/2015, answer due 8/20/2015; UBS Securities LLC served on 7/30/2015, answer due 8/20/2015. Service was accepted by X (see Affidavits). Document filed by Arkansas Teacher Retirement System. (Asciolla, Gregory)
August 7, 2015 Filing 47 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent JP Morgan Chase & Co. for J.P.Morgan Securities LLC. Document filed by J.P.Morgan Securities LLC.(Gimbel, Mark)
August 7, 2015 Filing 46 NOTICE OF APPEARANCE by Mark Putnam Gimbel on behalf of J.P.Morgan Securities LLC. (Gimbel, Mark)
August 6, 2015 Filing 45 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BNP Paribas for BNP Paribas Securities Corp.. Document filed by BNP Paribas Securities Corp..(Hakki, Adam)
August 6, 2015 Filing 44 NOTICE OF APPEARANCE by James Patrick Tallon, II on behalf of BNP Paribas Securities Corp.. (Tallon, James)
August 6, 2015 Filing 43 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of BNP Paribas Securities Corp.. (Hakki, Adam)
August 6, 2015 Filing 42 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Corporation for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Document filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Boyle, Nicholas)
August 6, 2015 Filing 41 NOTICE OF APPEARANCE by Nicholas James Boyle on behalf of Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Boyle, Nicholas)
August 4, 2015 Filing 40 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG for Credit Suisse Securities (USA) LLC. Document filed by Credit Suisse Securities (USA) LLC.(Januszewski, David)
August 4, 2015 Filing 39 NOTICE OF APPEARANCE by Elai E. Katz on behalf of Credit Suisse Securities (USA) LLC. (Katz, Elai)
August 4, 2015 Filing 38 NOTICE OF APPEARANCE by Richard A. Rosen on behalf of Morgan Stanley & Co. LLC. (Rosen, Richard)
August 4, 2015 Filing 37 NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Credit Suisse Securities (USA) LLC. (Washer, Herbert)
August 4, 2015 Filing 36 NOTICE OF APPEARANCE by David George Januszewski on behalf of Credit Suisse Securities (USA) LLC. (Januszewski, David)
August 4, 2015 Filing 35 NOTICE OF APPEARANCE by Thorn Rosenthal on behalf of Credit Suisse Securities (USA) LLC. (Rosenthal, Thorn)
August 4, 2015 Filing 34 NOTICE OF APPEARANCE by Krista Ann Friedrich on behalf of Credit Suisse Securities (USA) LLC. (Friedrich, Krista)
August 3, 2015 Filing 33 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Citigroup Inc, Corporate Parent Citigroup Global Markets Holdings Inc., Corporate Parent Citigroup Financial Products, Inc. for Citigroup Global Markets Inc. Document filed by Citigroup Global Markets Inc.(Kasner, Jay)
August 3, 2015 Filing 32 NOTICE OF APPEARANCE by Paul Madison Eckles on behalf of Citigroup Global Markets Inc. (Eckles, Paul)
August 3, 2015 Filing 31 NOTICE OF APPEARANCE by Shepard Goldfein on behalf of Citigroup Global Markets Inc. (Goldfein, Shepard)
August 3, 2015 Filing 30 NOTICE OF APPEARANCE by Jay B. Kasner on behalf of Citigroup Global Markets Inc. (Kasner, Jay)
August 3, 2015 Filing 29 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co.. Document filed by Goldman, Sachs & Co..(Shane, Penny)
August 3, 2015 Filing 28 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley Capital Management, LLC, Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group, Inc., 7-1 Marunouchi 2-chrome, Chiyoda-ku, Tokyo 100-8330 for Morgan Stanley & Co. LLC. Document filed by Morgan Stanley & Co. LLC.(Karp, Brad)
August 3, 2015 Opinion or Order Filing 27 ORDER FOR ADMISSION PRO HAC VICE OF ELIZABETH P. PAPEZ granting #20 Motion for Elizabeth P. Papez to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/03/2015) (ama)
August 3, 2015 Opinion or Order Filing 26 ORDER ON MOTION TO ADMIT COUNSEL PRO HAC VICE granting #19 Motion for Robert Y. Sperling to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/03/2015) (ama)
July 31, 2015 Filing 25 NOTICE OF APPEARANCE by Kathleen Suzanne McArthur on behalf of Barclays Capital Inc.. (McArthur, Kathleen)
July 31, 2015 Filing 24 NOTICE OF APPEARANCE by Susannah Providence Torpey on behalf of Goldman, Sachs & Co.. (Torpey, Susannah)
July 31, 2015 Filing 23 NOTICE OF APPEARANCE by Matthew Alexander Schwartz on behalf of Barclays Capital Inc.. (Schwartz, Matthew)
July 31, 2015 Filing 22 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BARCLAYS BANK PLC, Corporate Parent Barclays Group US Inc. for Barclays Capital Inc.. Document filed by Barclays Capital Inc..(Braff, David)
July 31, 2015 Filing 21 NOTICE OF APPEARANCE by David Harold Braff on behalf of Barclays Capital Inc.. (Braff, David)
July 31, 2015 Filing 20 MOTION for Elizabeth P. Papez to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11223660. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman, Sachs & Co.. (Attachments: #1 Ex. A - Certificates of Good Standing, #2 Text of Proposed Order)(Papez, Elizabeth)
July 31, 2015 Filing 19 MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11223394. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman, Sachs & Co.. (Attachments: #1 Ex. A - Certificate of Good Standing, #2 Text of Proposed Order)(Sperling, Robert)
July 31, 2015 Filing 18 NOTICE OF APPEARANCE by Jonathan Lucas Shapiro on behalf of Goldman, Sachs & Co.. (Shapiro, Jonathan)
July 31, 2015 Filing 17 NOTICE OF APPEARANCE by Stephen Ehrenberg on behalf of Goldman, Sachs & Co.. (Ehrenberg, Stephen)
July 31, 2015 Filing 16 NOTICE OF APPEARANCE by Penny Shane on behalf of Goldman, Sachs & Co.. (Shane, Penny)
July 31, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #19 MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11223394. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi)
July 31, 2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #20 MOTION for Elizabeth P. Papez to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11223660. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi)
July 30, 2015 Filing 15 NOTICE OF APPEARANCE by Kenneth Anthony Gallo on behalf of Morgan Stanley & Co. LLC. (Gallo, Kenneth)
July 30, 2015 Filing 14 NOTICE OF APPEARANCE by Susanna Michele Buergel on behalf of Morgan Stanley & Co. LLC. (Buergel, Susanna)
July 30, 2015 Filing 13 NOTICE OF APPEARANCE by Brad Scott Karp on behalf of Morgan Stanley & Co. LLC. (Karp, Brad)
July 30, 2015 Filing 12 NOTICE OF APPEARANCE by Matthew Joseph Perez on behalf of Arkansas Teacher Retirement System. (Perez, Matthew)
July 30, 2015 Filing 11 NOTICE OF APPEARANCE by Robin Ann Van Der Meulen on behalf of Arkansas Teacher Retirement System. (Van Der Meulen, Robin)
July 30, 2015 Filing 10 NOTICE OF APPEARANCE by Eric James Belfi on behalf of Arkansas Teacher Retirement System. (Belfi, Eric)
July 30, 2015 Filing 9 NOTICE OF APPEARANCE by Michael Walter Stocker on behalf of Arkansas Teacher Retirement System. (Stocker, Michael)
July 30, 2015 Filing 8 NOTICE OF APPEARANCE by Jay L. Himes on behalf of Arkansas Teacher Retirement System. (Himes, Jay)
July 29, 2015 Opinion or Order Filing 7 NOTICE OF PRETRIAL CONFERENCE: Initial Conference set for 10/8/2015 at 02:30 PM in Courtroom 705, U.S. Courthouse, 40 Centre Street, New York, NY 10007 before Judge Paul G. Gardephe, and as further set forth in this Order. (Signed by Judge Paul G. Gardephe on 7/29/2015) (rjm)
July 29, 2015 CASE ACCEPTED AS RELATED. Create association to 1:15-cv-05794-PGG. Notice of Assignment to follow. (pgu)
July 29, 2015 NOTICE OF CASE ASSIGNMENT to Judge Paul G. Gardephe. Judge Unassigned is no longer assigned to the case. (pgu)
July 29, 2015 Magistrate Judge Gabriel W. Gorenstein is so designated. (pgu)
July 27, 2015 Filing 6 ELECTRONIC SUMMONS ISSUED as to BMO Capital Markets Corp., BNP Paribas Securities Corp., Bank of Nova Scotia, Barclays Capital Inc., Cantor Fitzgerald & Co., Citigroup Global Markets Inc, Credit Suisse Securities (USA) LLC, Daiwa Capital Markets America Inc., Deustche Bank Securities Inc., Goldman, Sachs & Co., HSBC Securities (USA) Inc., J.P.Morgan Securities LLC, Jefferies LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mizuho Securities USA Inc., Morgan Stanley & Co. LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC. (rch)
July 27, 2015 CASE REFERRED TO Judge Paul G. Gardephe as possibly related to 15-cv-5794. (rch)
July 27, 2015 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (rch)
July 27, 2015 Case Designated ECF. (rch)
July 24, 2015 Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Bank of Nova Scotia, New York Agency; BMO Capital Markets Corp.; BNP Paribas Securities Corp.; Barclays Capital Inc.; Cantor Fitzgerald & Co.; Citigroup Global Markets Inc.; Credit Suisse Securities (USA) LLC; Daiwa Capital Markets America Inc.; Deutsche Bank Securities Inc.; Goldman, Sachs & Co.; HSBC Securities (USA) Inc.; Jefferies LLC; J.P.Morgan Securities LLC; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Mizuho Securities USA Inc.; Morgan Stanley & Co. LLC; Nomura Securities International, Inc.; RBC Capital Markets, LLC; RBS Securities Inc.; SG Americas Securities, LLC; TD Securities (USA) LLC; and UBS Securities LLC, re: #1 Complaint,,,. Document filed by Arkansas Teacher Retirement System. (Asciolla, Gregory)
July 24, 2015 Filing 4 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Arkansas Teacher Retirement System.(Asciolla, Gregory)
July 24, 2015 Filing 3 STATEMENT OF RELATEDNESS re: that this action be filed as related to 1:15-cv-05794. Document filed by Arkansas Teacher Retirement System.(Asciolla, Gregory)
July 24, 2015 Filing 2 CIVIL COVER SHEET filed. (Asciolla, Gregory)
July 24, 2015 Filing 1 COMPLAINT against BMO Capital Markets Corp., BNP Paribas Securities Corp., Bank of Nova Scotia, Barclays Capital Inc., Cantor Fitzgerald & Co., Citigroup Global Markets Inc, Credit Suisse Securities (USA) LLC, Daiwa Capital Markets America Inc., Deustche Bank Securities Inc., Goldman, Sachs & Co., HSBC Securities (USA) Inc., J.P.Morgan Securities LLC, Jefferies LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mizuho Securities USA Inc., Morgan Stanley & Co. LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, RBS Securities Inc., SG Americas Securities, LLC, TD Securities (USA) LLC, UBS Securities LLC. (Filing Fee $ 400.00, Receipt Number 0208-11196401)Document filed by Arkansas Teacher Retirement System.(Asciolla, Gregory)

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Search for this case: Arkansas Teacher Retirement System v. Bank of Nova Scotia et al
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Defendant: Cantor Fitzgerald & Co.
Represented By: David A. Paul
Represented By: William J. Kolasky
Represented By: Malik Havalic
Represented By: Michael Steven Popok
Represented By: Ethan Edward Litwin
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Defendant: SG Americas Securities, LLC
Represented By: David C. Esseks
Represented By: Todd Steven Fishman
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Defendant: Jefferies LLC
Represented By: Kenneth Ian Schacter
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Defendant: Daiwa Capital Markets America Inc.
Represented By: Tobias B. Jacoby
Represented By: Gary P. Naftalis
Represented By: Alan Roy Friedman
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Defendant: Bank of Nova Scotia, New York Agency
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Defendant: Bank of Nova Scotia
Represented By: John Joseph Hughes, III
Represented By: Richard C. Pepperman, II
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Defendant: Credit Suisse Securities (USA) LLC
Represented By: Thorn Rosenthal
Represented By: Herbert Scott Washer
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Krista Ann Friedrich
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Defendant: Goldman, Sachs & Co.
Represented By: Susannah Providence Torpey
Represented By: Penny Shane, II
Represented By: Stephen Ehrenberg
Represented By: Robert Y. Sperling
Represented By: Elizabeth P. Papez
Represented By: Jonathan Lucas Shapiro
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Defendant: RBS Securities Inc.
Represented By: Greg Donald Andres
Represented By: Melissa Carrie King
Represented By: Paul Steel Mishkin
Represented By: Maude Paquin
Represented By: Joel M. Cohen
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Defendant: TD Securities (USA) LLC
Represented By: Edward Nathaniel Moss
Represented By: Pamela Addison Miller
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Defendant: Deustche Bank Securities Inc.
Represented By: Omari Largos Royter Mason
Represented By: Thomas C. Rice
Represented By: David J. Woll
Represented By: Patrick Joseph Campbell
Represented By: Shannon Price Torres
Represented By: David Elbaum
Represented By: Kavitha Satya Sivashanker
Represented By: Jeffrey H. Knox
Represented By: Esinam Mawuena Daisy Agbemenu
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Defendant: J.P.Morgan Securities LLC
Represented By: Claire Catalano Dean
Represented By: Mark Putnam Gimbel
Represented By: Henry Liu
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Defendant: Barclays Capital Inc.
Represented By: David Harold Braff
Represented By: Matthew Alexander Schwartz
Represented By: Kathleen Suzanne McArthur
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Defendant: Citigroup Global Markets Inc
Represented By: Jay B. Kasner
Represented By: Paul Madison Eckles
Represented By: Shepard Goldfein
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Defendant: HSBC Securities (USA) Inc.
Represented By: Jennifer Kennedy Park
Represented By: Breon Stacey Peace
Represented By: Lewis J. Liman
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Defendant: BMO Capital Markets Corp.
Represented By: John D. Friel
Represented By: Robert G. Houck
Represented By: David J. Yeres
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Defendant: UBS Securities LLC
Represented By: Melanie L. Katsur
Represented By: Gabrielle Frances Levin
Represented By: Mark Adam Kirsch
Represented By: Joel Steven Sanders
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Defendant: BNP Paribas Securities Corp.
Represented By: James Patrick Tallon, II
Represented By: Adam Selim Hakki
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Defendant: Morgan Stanley & Co. LLC
Represented By: Brad Scott Karp
Represented By: Richard A. Rosen
Represented By: Susanna Michele Buergel
Represented By: Kenneth Anthony Gallo
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Defendant: Nomura Securities International, Inc.
Represented By: Amanda Flug Davidoff
Represented By: Steven Lyon Holley
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Defendant: Mizuho Securities USA Inc.
Represented By: Jerome Steven Fortinsky
Represented By: H. Miriam Farber
Represented By: Stuart Jay Baskin
Represented By: Joanna Shally
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Defendant: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By: Nicholas James Boyle
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Defendant: RBC Capital Markets, LLC
Represented By: Leah Friedman
Represented By: Sophie-Charlotte Rohnke
Represented By: Marshall Howard Fishman
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Plaintiff: Arkansas Teacher Retirement System
Represented By: Gregory Scott Asciolla
Represented By: Michael Walter Stocker
Represented By: Jay L. Himes
Represented By: Robin Ann Van Der Meulen
Represented By: Eric James Belfi
Represented By: Lawrence Alan Sucharow
Represented By: Matthew Joseph Perez
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