Dennis et al v. JPMorgan Chase & Co. et al
Plaintiff: Dennis, FrontPoint Asian Event Driven Fund, L.P., Sonterra Capital Master Fund, Ltd., Richard Dennis, FrontPoint Financial Services Fund, L.P., FrontPoint Financial Horizons Fund, L.P. and Orange County Employees Retirement System
Defendant: JPMorgan Chase & Co, JPMorgan Chase Bank, N.A. Australia, BNP Paribas, Australia Branch, The Royal Bank of Scotland PLC, Royal Bank of Scotland PLC, LLoyds Bank PLC, HSBC Holdings plc, Credit Suisse Group AG, RBC Capital Markets LLC, Royal Bank of Canada, Citibank N.A., Australia Branch, RBS Group (Australia) Pty Limited, UBS AG, Citibank, N.A., JPMorgan Chase & Co., ICAP plc, Deutsche Bank AG, Macquarie Group Ltd., Bank of New Zealand, UBS AG, Australia Branch, JPMorgan Chase Bank, N.A., ICAP Australia Pty Ltd., RBS N.V., Royal Bank of Canada, Australia Branch, HSBC Bank Australia Limited, National Australia Bank Limited, Tullett Prebon PLC, Credit Suisse AG, Citigroup Inc., The Royal Bank of Scotland Group PLC, Australia and New Zealand Banking Group Ltd., Macquarie Bank Ltd., John Does Nos. 1-50, JPMorgan Chase Bank, N.A. Australia Branch, Lloyds Banking Group plc, Westpac Banking Corporation, Deutsche Bank AG, Australia Branch, Morgan Stanley Australia Limited, Commonwealth Bank of Australia, Morgan Stanley, Tullett Prebon (Australia) Pty Ltd., Lloyds TSB Bank PLC, Australia and BNP Paribas, S.A.
Case Number: 1:2016cv06496
Filed: August 16, 2016
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: XX Out of State
Presiding Judge: Gabriel W Gorenstein
Referring Judge: Lewis A Kaplan
Nature of Suit: Anti-Trust
Cause of Action: 15 U.S.C. § 1 Antitrust Litigation (Monopolizing Trade)
Jury Demanded By: Plaintiff
RSS RSS Track this Docket
Docket Report

This docket was last retrieved on May 25, 2023. A more recent docket listing may be available from PACER.

Date Filed Document Text
May 25, 2023 Opinion or Order Filing 626 MEMORANDUM AND ORDER granting #554 Motion for Attorney Fees. Lead counsel's application for attorneys' fees is granted in accordance with the following: lead counsel are awarded $36,789,306.96 in attorneys' fees, to be allocated as set forth above, and $845,471.57 in expenses. The Clerk shall terminate Dkt 554. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/25/2023) (vfr)
December 23, 2022 Opinion or Order Filing 625 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #624 Motion to Withdraw as Attorney. It is: ORDERED, that, pursuant to Rule 1.4 of the Local Rules of the Southern District of New York, Mary Beth Forshaw is hereby permitted to withdraw as counsel of record for Defendants JPMorgan Chase & Co. and JPMorgan Chase Bank, N.A. (collectively, "JPMorgan"); ORDERED, that the Clerk shall amend the docket and other court records to reflect the withdrawal of Mary Beth Forshaw as counsel of record for JPMorgan; ORDERED, that Mary Beth Forshaw shall be removed from all electronic and other service lists in the Court's rec s for this matter. SO ORDERED. (Attorney Mary Beth Forshaw terminated.) (Signed by Judge Lewis A. Kaplan on 12/23/22) (yv)
December 22, 2022 Opinion or Order Filing 624 MOTION for Mary Beth Forshaw to Withdraw as Attorney . Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Attachments: #1 Affidavit | Affirmation Pursuant to Local Rule 1.4, #2 Text of Proposed Order Granting Motion to Withdraw as Counsel).(Forshaw, Mary Beth)
December 21, 2022 Opinion or Order Filing 623 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Lowey Dannenberg, P.C. dated 12/14/22 re: informing the Court of a request for exclusion. ENDORSEMENT: The request for exclusion is denied. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/21/22) (yv)
November 22, 2022 Opinion or Order Filing 622 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/1/2022 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly)
November 22, 2022 Opinion or Order Filing 621 TRANSCRIPT of Proceedings re: CONFERENCE held on 11/1/2022 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: George Malinowski, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/13/2022. Redacted Transcript Deadline set for 12/23/2022. Release of Transcript Restriction set for 2/20/2023..(McGuirk, Kelly)
November 21, 2022 Opinion or Order Filing 620 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses. CORRECTED COPY - Supplemental Memorandum Of Law In Further Support Of Class Counsel's Motion For Award Of Attorney's Fees And Reimbursement Of Expenses. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Appendix Appendix to Exhibits, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5).(Lovell, Christopher)
November 18, 2022 Opinion or Order Filing 619 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses. Supplemental Memorandum Of Law In Further Support Of Class Counsel's Motion For Award Of Attorneys' Fees And Reimbursement Of Expenses. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Appendix Appendix to Exhibits, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4).(Lovell, Christopher)
November 2, 2022 Opinion or Order Filing 618 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH NATIONAL AUSTRALIA BANK LIMITED. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: Based on the record, the Court reconfirms that the applicable provisions of Rule 23 of the Federal Rules of Civil Procedure have been satisfied for purposes only of the Settlement. In so holding, the Court finds that, solely for purposes of settlement, the Settlement Class meets all of the applicable requirements of FED. R. Civ. P. 23(a) and (b)(3). The Court hereby finds, in the specific context of this Settlement, that: (i) the Settlement Class is so numerous that joinder of all Settlement Class Members is impracticable, FED. R. Civ. P.23(a)(l ); (ii) common questions of law and fact exist with regard to NAB's alleged manipulation of BBSW and the prices of BBSW-Based Derivatives, FED. R. Civ. P. 23(a)(2); (iii) the Representative Plaintiffs' claims in this litigation are typical of those of the Settlement Class Members, FED. R. Civ. P. 23(a)(3); and (iv) the Representative Plaintiffs' interests do not conflict with, and are co-extensive with, those of absent Settlement Class Members; and (v) Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP ("Class Counsel") have adequately represented the interests of the Settlement Class, FED. R. Civ. P. 23(a)(4). The Court also finds that common issues of fact and law predominate over any questions affecting only individual members and that a class action is superior to other available methods for fairly and efficiently adjudicating this controversy. FED. R. Civ. P. 23(b)(3). Representative Plaintiffs are hereby approved to serve as representatives of such Settlement Class for purposes of the Settlement. Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP are appointed Class Counsel to the Settlement Class for the purposes of the Settlement. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and NAB, and all Settlement Class Members, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits attached thereto. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, this Court hereby finally approves the Settlement, as set forth in the Settlement Agreement, and finds that the Settlement is, in all respects, fair, reasonable and adequate, and in the best interests of the Settlement Class, including the Representative Plaintiffs. In reaching this conclusion, the Court considered the factors set forth in City of Detroit v. Grinnell Corp., 495 F.2d 448, 463 (2d Cir.1974), abrogated on other grounds by Goldberger v. Integrated Res., Inc., 209 F.3d 43 (2d Cir.2000). This Court further finds that the Settlement set forth in the Settlement Agreement is the result of arm's-length negotiations between experienced counsel representing the interests of the Parties, and that Class Counsel and the Representative Plaintiffs adequately represented the Settlement Class for the purpose of entering into and implementing the Settlement Agreement. The Court finds that the relief provided by the Settlement is adequate and Settlement Class Members are treated equitably. Accordingly, the Settlement embodied in the Settlement Agreement is hereby approved in all respects. The Parties are hereby directed to carry out the Settlement Agreement in accordance with all of its terms and provisions, including the termination provisions. Without affecting the finality of the Final Approval Order for purposes of appeal, the Court reserves exclusive jurisdiction over the implementation and enforcement of the Settlement Agreement and the Settlement contemplated thereby and over the enforcement of this Final Approval Order. The Court also retains exclusive jurisdiction to resolve any disputes that arise out of or relate to the Settlement Agreement, the Settlement, or the Settlement Fund ( except for such disputes and controversies as are subject to Section 42 of the Settlement Agreement, which disputes and controversies shall be governed by the respective terms of such section), to consider or approve administration costs and fees, including but not limited to fees and expenses incurred to administer the Settlement after the entry of the Final Approval Order, and to consider or approve the amounts of distributions to Settlement Class Members. In addition, without affecting the finality of this Final Approval Order, the Representative Plaintiffs, NAB, and the Settlement Class hereby irrevocably submit to the exclusive jurisdiction of the United States District Court for the Southern District of New York for any suit, action, proceeding, or dispute arising out of or relating to this Final Approval Order or the Settlement Agreement. Except as otherwise provided in the Settlement Agreement, any disputes involving the Representative Plaintiffs, NAB, or Settling Class Members concerning the implementation of the SettlementAgreement shall be submitted to the Court. The Court declares that the Settlement Agreement and the Final Approval Ordershall be binding on, and shall have res judicata and preclusive effect in, all pending and future lawsuits or other proceedings against the Released Parties involving the Released Claims that are maintained by or on behalf of any Releasing Party regardless of whether the Releasing Party previously initiated or subsequently initiates individual litigation or other proceedings involving the Released Claims, and even if such Releasing Party never received actual notice of the Action or the proposed Settlement. The Court hereby approves the release and covenant not to sue set forth in Section 13 of the Settlement and directs dismissal of the Action as against NAB and any Released Parties (but not any other Defendant) fully, finally and with prejudice, pursuant to the terms of the Settlement and the Final Judgment to be entered concurrently herewith. The Court permanently bars and enjoins the Releasing Parties and all Settling Class Members from: (a) filing, commencing, prosecuting, intervening in, or participating (as class members or otherwise) in any other lawsuit or administrative, regulatory, arbitration, or other proceeding in any jurisdiction against NAB or any Released Parties based on the Released Claims; (b) filing, commencing, or prosecuting a lawsuit or administrative, regulatory, arbitration, or other proceeding as a class action on behalf of any Settlement Class Members (including by seeking to amend a pending complaint to include class allegations or seeking class certification in a pending action), against NAB or any Released Parties based on the Released Claims; (c) organizing members of the Settlement Class into a separate group, class, or subclass for purposes of pursuing as a purported class action any lawsuit or administrative, regulatory, arbitration, or other proceeding (including by seeking to amend a pending complaint to include class allegations, or seeking class certification in a pending action) against NAB or any Released Parties based on the Released Claims; or (d) assisting any third party in the prosecution of any Released Claims against NAB or any Released Parties. The Court permanently bars and enjoins claims by any Person against NAB or any Released Parties for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment or otherwise. To the extent permitted by law, the Court permanently bars and enjoins claims against NAB and any Released Parties for contribution or indemnification (however denominated) for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment, or otherwise by (a) any of the other Defendants currently named in the Action; (b) any other Person formerly named as a party in the Action; or (c) any other Person subsequently added or joined as a party in the Action. Should any court determine that any Defendant is or was legally entitled to any kind of set-off, apportionment, contribution, or indemnification from NAB or any Released Parties arising out of or related to Released Claims, any money judgment subsequently obtained by the Releasing Parties against any Defendant shall be reduced to an amount such that, upon paying the entire amount, the Defendant would have no claim for set-off, apportionment, contribution, indemnification, or similar claims against NAB or any Released Parties. The Court permanently bars and enjoins claims by NAB or any Released Parties against any other Defendants for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment or otherwise. To the extent permitted by law, the Court permanently bars and enjoins claims by NAB and any Released Parties for contribution or indemnification (however denominated) from other Defendants for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment, or otherwise against any of the other Defendants currently named in the Action and absolves the other Defendants against any claims for contribution, indemnification, or similar claims from the Released Parties arising out of or related in any way to the Released Claims, in the manner and to the fullest extent permitted under the law of New York or any other jurisdiction that might be construed or deemed to apply for claims of contribution, indemnification, or similar claims against any of the other Defendants. For the avoidance of doubt, this paragraph shall not bar any claims, including claims for contribution or indemnification (however denominated) by NAB and/or any Released Parties against any third parties other than other Defendants in this Action. The Distribution Plan and the Proof of Claim and Release Form are each approved as fair, reasonable, and adequate. Class Counsel 's request for attorneys ' fees and reimbursement of expenses (and Incentive Awards for the Representative Plaintiffs) shall be the subject of a separate order by the Court. IT IS SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/1/22) (yv)
November 2, 2022 Opinion or Order Filing 617 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH MORGAN STANLEY: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: 1. This Final Approval Order hereby incorporates by reference the definitions in 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. The Court found that two Settlement Class Members have validly requested to be excluded from the Settlement Class as it relates to the Settlement. Those excluded members of the Settlement Class are identified at ECF No. 583 and in Exhibit 1 hereto. The excluded members of the Settlement Class as to the Settlement with Morgan Stanley identified in Exhibit 1 hereto shall have no rights with respect to the Settlement Agreement, shall receive no payment from the sums provided for in the Settlement Agreement and shall be deemed to have excluded themselves from the Action as against Morgan Stanley, including but not limited to any and all future prosecution of the Action against Morgan Stanley. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, this Court hereby finally approves the Settlement, as set forth in the Settlement Agreement, and finds that the Settlement is, in all respects, fair, reasonable and adequate, and in the best interests of the Settlement Class, including the Representative Plaintiffs. The Court hereby approves the release and covenant not to sue set forth in Section 13 of the Settlement and directs dismissal of the Action as against Morgan Stanley (but not any other Defendant) fully, finally and with prejudice, pursuant to the terms of the Settlement and the Final Judgment to be entered concurrently herewith. (Signed by Judge Lewis A. Kaplan on 11/1/2022) (ate)
November 2, 2022 Opinion or Order Filing 616 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF JPMORGAN CHASE & CO., AND JPMORGAN CHASE BANK, N.A.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: 1. This Final Judgment hereby incorporates by reference the definitions in the Stipulation and Agreement of Settlement dated November 19, 2018 between Representative Plaintiffs and JPMorgan, the Amendment to the Stipulation and Agreement of Settlement dated March 1, 2021, and the Second Amendment to the Stipulation and Agreement of Settlement dated January 13, 2022 (collectively, "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. 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 JPMorgan shall be final and entered forthwith. JPMorgan Chase Bank, N.A. Australia, JPMorgan Chase & Co. and JPMorgan Chase Bank, N.A. terminated. (Signed by Judge Lewis A. Kaplan on 11/1/2022) (ate)
November 2, 2022 Opinion or Order Filing 615 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK, N.A.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: This Final Approval Order hereby incorporates by reference the definitions in 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. The Court found that two members of the Settlement Class have validly requested to be excluded from the Settlement Class as it relates to the Settlement. Those excluded members of the Settlement Class are identified at ECF No. 583 and in Exhibit 1 hereto. The excluded members of the Settlement Class as to the Settlement with JPMorgan identified in Exhibit 1 hereto shall have no rights with respect to the Settlement Agreement, shall receive no payment from the sums provided for in the Settlement Agreement and shall be deemed to have excluded themselves from the Action as against JPMorgan, including but not limited to any and all future prosecution of the Action against JPMorgan. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, this Court hereby finally approves the Settlement, as set forth in the Settlement Agreement, and finds that the Settlement is, in all respects, fair, reasonable and adequate, and in the best interests of the Settlement Class, including the Representative Plaintiffs. The Court hereby approves the release and covenant not to sue set forth in Section 12 of the Settlement Agreement and directs dismissal of the Action as against JPMorgan (but not any other Defendant) fully, finally, and with prejudice, pursuant to the terms of the Settlement Agreement and the Final Judgment to be entered concurrently herewith. (Signed by Judge Lewis A. Kaplan on 11/1/2022) (ate)
November 2, 2022 Opinion or Order Filing 614 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH WESTPAC BANKING CORPORATION. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: For purposes only of the settlement of the Released Claims set forth in the Settlement Agreement (the "Settlement"), the Court hereby finally certifies the Settlement Class as further set forth in this Order. Based on the record, the Court reconfirms that the applicable provisions of Rule 23 of the Federal Rules of Civil Procedure have been satisfied for purposes only of the Settlement. In so holding, the Court finds that, solely for purposes of settlement, the Settlement Class meets all of the applicable requirements of FED. R. CIV. P. 23(a) and (b)(3). The Court hereby finds, in the specific context of this Settlement, that: (i) the Settlement Class is so numerous that joinder of all Settlement Class Members is impracticable, FED. R. Civ. P. 23(a)(l); (ii) common questions of law and fact exist with regard to Westpac's alleged manipulation of BBSW and the prices of BBSW-Based Derivatives, FED. R. Civ. P. 23(a)(2); (iii) the Representative Plaintiffs' claims in this litigation are typical of those of the Settlement Class Members, FED. R. Civ. P. 23(a)(3); and (iv) the Representative Plaintiffs ' interests do not conflict with, and are coextensive with, those of absent Settlement Class Members; and (v) Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP ("Class Counsel") have adequately represented the interests of the Settlement Class, FED. R. Civ. P. 23(a)(4). The Court also finds that common issues of fact and law predominate over any questions affecting only individual members and that a class action is superior to other available methods for fairly and efficiently adjudicating this controversy. FED. R. CIV. P. 23(b)(3). Representative Plaintiffs are hereby approved to serve as representatives of such Settlement Class for purposes of the Settlement. Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP are appointed Class Counsel to the Settlement Class for the purposes of the Settlement. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and Westpac, and all Settlement Class Members, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits attached thereto. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, this Court hereby finally approves the Settlement, as set forth in the Settlement Agreement, and finds that the Settlement is, in all respects, fair, reasonable and adequate, and in the best interests of the Settlement Class, including the Representative Plaintiffs. In reaching this conclusion, the Court considered the factors set forth in City of Detroit v. Grinnell Corp., 495 F.2d 448, 463 (2d Cir.1974), abrogated on other grounds by Goldberger v. Integrated Res., Inc., 209 F.3d 43 (2d Cir. 2000). This Court further finds that the Settlement set forth in the Settlement Agreement is the result of arm's-length negotiations between experienced counsel representing the interests of the Parties, and that Class Counsel and the Representative Plaintiffs adequately represented the Settlement Class for the purpose of entering into and implementing the Settlement Agreement. The Court finds that the relief provided by the Settlement is adequate and Settlement Class Members are treated equitably. Accordingly, the Settlement embodied in the Settlement Agreement is hereby approved in all respects. The Parties are hereby directed to carry out the Settlement Agreement in accordance with all of its terms and provisions, including the termination provisions. Without affecting the finality of the Final Approval Order for purposes of appeal, the Court reserves exclusive jurisdiction over the implementation and enforcement of the Settlement Agreement and the Settlement contemplated thereby and over the enforcement of this Final Approval Order. The Court also retains exclusive jurisdiction to resolve any disputes that arise out of or relate to the Settlement Agreement, the Settlement, or the Settlement Fund ( except for such disputes and controversies as are subject to Section 42 of the Settlement Agreement, which disputes and controversies shall be governed by the respective terms of such section), to consider or approve administration costs and fees, including but not limited to fees and expenses incurred to administer the Settlement after the entry of the Final Approval Order, and to consider or approve the amounts of distributions to Settlement Class Members. In addition, without affecting the finality of this Final Approval Order, the Representative Plaintiffs, Westpac, and the Settlement Class hereby irrevocably submit to the exclusive jurisdiction of the United States District Court for the Southern District of New York for any suit, action, proceeding, or dispute arising out of or relating to this Final Approval Order or the Settlement Agreement. Any disputes involving the Representative Plaintiffs, Westpac, or Settling Class Members concerning the implementation of the Settlement Agreement shall be submitted to the Court. Each Settling Class Member must execute a release and covenant not to sue, in conformity with the Settlement Agreement, as incorporated into the Proof of Claim and Release form, in order to receive the Settling Class Members' share, if any, of the Net Settlement Fund defined in the Settlement Agreement. The Court hereby confirms the appointment of A.B. Data, Ltd. as Settlement Administrator, and directs that the Settlement Administrator shall ensure that each Proof of Claim and Release form provided to Settling Class Members contains a copy of such release and covenant not to sue. However, claims of Settling Class Members shall be released pursuant to Section 13 of the Settlement Agreement regardless of whether the Settling Class Member executes a release and covenant not to sue. The Court declares that the Settlement Agreement and the Final Approval Order shall be binding on, and shall have res judicata and preclusive effect in, all pending and future lawsuits or other proceedings against the Released Parties involving the Released Claims that are maintained by or on behalf of any Releasing Party regardless of whether the Releasing Party previously initiated or subsequently initiates individual litigation or other proceedings involving the Released Claims, and even if such Releasing Party never received actual notice of the Action or the proposed Settlement. The Court hereby approves the release and covenant not to sue set forth in Section 13 of the Settlement Agreement and directs dismissal of the Action as against Westpac (but not any other Defendant) fully, finally, and with prejudice, pursuant to the terms of the Settlement Agreement and the Final Judgment to be entered concurrently herewith. The Court permanently bars and enjoins the Releasing Parties and all Settling Class Members from: (a) filing, commencing, prosecuting, intervening in, or participating (as class members or otherwise) in any other lawsuit or administrative, regulatory, arbitration, or other proceeding in any jurisdiction against Westpac or any Released Parties based on the Released Claims; (b) filing, commencing, or prosecuting a lawsuit or administrative, regulatory, arbitration, or other proceeding as a class action on behalf of any Settlement Class Members (including by seeking to amend a pending complaint to include class allegations or seeking class certification in a pending action), against Westpac or any Released Parties based on the Released Claims; (c) organizing Settlement Class Members into a separate group, class, or subclass for purposes of pursuing as a purported class action any lawsuit or administrative, regulatory, arbitration, or other proceeding (including by seeking to amend a pending complaint to include class allegations, or seeking class certification in a pending action) against Westpac or any Released Parties based on the Released Claims; or (d) assisting any third party in the prosecution of any Released Claims against Westpac or any Released Parties. The Court permanently bars and enjoins claims by any Person against Westpac or any Released Parties for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment, or otherwise. To the extent permitted by law, the Court permanently bars and enjoins claims against Westpac and any Released Parties for contribution or indemnification (however denominated) for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment, or otherwise by (a) any of the other Defendants currently named in the Action; (b) any other Person formerly named as a party in the Action; or (c) any other Person subsequently added or joined as a party in the Action. Should any court determine that any Defendant is or was legally entitled to any kind of set-off, apportionment, contribution, or indemnification from Westpac or any Released Parties arising out of or related to Released Claims, any money judgment subsequently obtained by the Releasing Parties against any Defendant shall be reduced to an amount such that, upon paying the entire amount, the Defendant would have no claim for set-off, apportionment, contribution, indemnification, or similar claims against Westpac or any Released Parties. The Court permanently bars and enjoins claims by Westpac or any Released Parties against any other Defendants for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment or otherwise. To the extent permitted by law, the Court permanently bars and enjoins claims by Westpac and any Released Parties for contribution or indemnification (however denominated) from other Defendants for all or a portion of any amounts paid or awarded in the Action by way of settlement, judgment, or otherwise against any of the other Defendants currently named in the Action and absolves the other Defendants against any claims for contribution, indemnification, or similar claims from the Released Parties arising out of or related in any way to the Released
November 2, 2022 Opinion or Order Filing 613 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH BNP PARIBAS, S.A., DEUTSCHE BANK AG, ROY AL BANK OF CANADA, THE ROY AL BANK OF SCOTLAND PLC, AND UBS AG: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: This Final Approval Order hereby incorporates by reference the definitions in 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. The Settlement Fund defined in the Settlement Agreement has been established as a trust and as a fiduciary account (the "Settlement Fiduciary Account"). The Court approves the establishment of the Settlement Fiduciary Account under the Settlement Agreement as qualified settlement funds pursuant to Section 468B of the Internal Revenue Code of 1986, as amended, and the Treasury Regulations promulgated thereunder. Pursuant to Rule 23 of the Federal Rules of Civil Procedure, this Court hereby finally approves the Settlement, as set forth in the Settlement Agreement, and finds that the Settlement is, in all respects, fair, reasonable and adequate, and in the best interests of the Settlement Class, including the Representative Plaintiffs. The Court hereby approves the release and covenant not to sue set forth in Section 13 of the Settlement and directs dismissal of the Action as against Settling Defendants and any Released Parties (but not any other Defendant) fully, finally and with prejudice, pursuant to the terms of the Settlement and the Final Judgment to be entered concurrently herewith. (Signed by Judge Lewis A. Kaplan on 11/1/2022) (ate)
November 2, 2022 Opinion or Order Filing 612 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH CREDIT SUISSE AG AND CREDIT SUISSE GROUP AG: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: This Final Approval Order hereby incorporates by reference the definitions in theSettlement Agreement and all terms used herein, except as otherwise expressly defined herein, shall have the same meanings as set forth in the Settlement Agreement. For purposes only of the settlement of the Released Claims2 set forth in the Settlement Agreement (the "Settlement"), the Court hereby finally certifies the Settlement Class: as set forth herein. Class Counsel's request for attorneys' fees and reimbursement of expenses (and Incentive Awards for the Representative Plaintiffs) shall be the subject of a separate order by theCourt. IT IS SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/01/2022) (ama)
November 2, 2022 Opinion or Order Filing 611 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF CREDIT SUISSE AG AND CREDIT SUISSE GROUP AG: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: This Final Judgment hereby incorporates by reference the definitions in the Stipulation and Agreement of Settlement dated January 21, 2022 between Representative Plaintiffs and Credit Suisse, ECF No. 536-1 (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. Upon the Effective Date of the Settlement, the Action, including each claim in the Action, is hereby dismissed with prejudice on the merits as to Credit Suisse (but not any other Defendant) without fees or costs except as provided by the terms of the Settlement. And as set forth herein. 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 Credit Suisse shall be final and entered forthwith. IT IS SO ORDERED., Credit Suisse AG and Credit Suisse Group AG terminated. (Signed by Judge Lewis A. Kaplan on 11/01/2022) (ama)
November 2, 2022 Opinion or Order Filing 610 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF COMMONWEALTH BANK OF AUSTRALIA: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: This Final Judgment hereby incorporates by reference the definitions in the Stipulation and Agreement of Settlement dated December 10, 2021 between Representative Plaintiffs and CBA, ECF No. 490-2 (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. Upon the Effective Date of the Settlement, the Action, including each claim in the Action, is hereby dismissed with prejudice on the merits as to CBA (but not any other Defendant) without fees or costs except as provided by the terms of the Settlement. Upon the Effective Date of the Settlement, the Action shall be dismissed fully,finally and in its entirety against CBA and any John Doe Defendants to the extent they are current or former CBA employees (solely in that capacity) with prejudice. And as set forth herein. 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 CBA shall be final and entered forthwith.IT IS SO ORDERED., Commonwealth Bank of Australia terminated. (Signed by Judge Lewis A. Kaplan on 11/01/2022) (ama) Modified on 11/2/2022 (ama).
November 2, 2022 Opinion or Order Filing 609 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF BNP PARIBAS, S.A., DEUTSCHE BANK AG, ROYAL BANK OF CANADA, THE ROYAL BANK OFSCOTLANDPLC,AND UBS AG: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: This Final Judgment hereby incorporates by reference the definitions in the Stipulation and Agreement of Settlement dated April 29, 2022 between Representative Plaintiffs and Settling Defendants, ECF No. 536-2 (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. 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 Settling Defendants shall be final and entered forthwith. (Signed by Judge Lewis A. Kaplan on 11/1/2022) (ate)
November 2, 2022 Opinion or Order Filing 608 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF WESTPAC BANKING CORPORATION. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: Upon the Effective Date of the Settlement, the Action, including each claim in the Action, is hereby dismissed with prejudice on the merits as to Westpac (but not any other Defendant) without fees or costs except as provided by the terms of the Settlement. Upon the Effective Date of the Settlement, the Action shall be dismissed fully, finally and in its entirety against Westpac and any John Doe Defendants to the extent they are current or former Westpac employees (solely in that capacity) with prejudice. The Releasing Parties fully, finally and forever released, relinquished and discharged from and covenanted not to sue the Released Parties for any and all manner of claims, including unknown claims, causes of action, cross-claims, counter-claims, charges, liabilities, demands, judgments, suits, obligations, debts, setoffs, rights of recovery, or liabilities for any obligations of any kind whatsoever (however denominated), whether class, derivative, or individual, in law or equity or arising under constitution, statute, regulation, ordinance, contract, or otherwise in nature, for fees, costs, penalties, fines, debts, expenses, attorneys' fees, and damages, whenever incurred, and liabilities of any nature whatsoever (including joint and several), known or unknown, suspected or unsuspected, asserted or unasserted, which Settling Class Members or any of them ever had, now has, or hereafter can, shall or may have, representatively, derivatively or in any other capacity, against the Released Parties arising from or relating in any way to the claims, allegations or conduct alleged in the Action, or which could have been alleged in the Action against the Released Parties, concerning any as further set forth in this Judgment. The following claims shall not be released by the Settlement: (i) any claims against former Westpac employees arising solely from those former employees' conduct or alleged conduct that occurred while not employed by Westpac; (ii) any claims against the named Defendants in this Action other than Westpac and other than any John Doe Defendants to the extent they are current or former employees of Westpac (solely in their capacity as employees of Westpac); or (iii) any claims against any Defendant not affiliated with Westpac who may be subsequently added in this Action. Although the foregoing release is not a general release, the foregoing release constitutes a waiver by the Parties and each Settling Class Member of any and all rights and provisions under Section 1542 of the California Civil Code (to the extent it applies to the Action), which provides as follows as further set forth in this Judgment. Upon the Effective Date, each of the Releasing Parties shall forever be enjoined from prosecuting in any forum any Released Claim against any of the Released Parties and agrees and covenants not to sue any of the Released Parties on the basis of any Released Claims or to assist any third party in prosecuting any Released Claims against any Released Party. 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 Westpac shall be final and entered forthwith. IT IS SO ORDERED., (Westpac Banking Corporation terminated.) (Signed by Judge Lewis A. Kaplan on 11/1/22) (yv)
November 2, 2022 Opinion or Order Filing 607 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF NATIONAL AUSTRALIA BANK LIMITED. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: Upon the Effective Date of the Settlement, the Action, including each claim in the Action, is hereby dismissed with prejudice on the merits as to NAB (but not any other Defendant) without fees or costs except as provided by the terms of the Settlement. Upon the Effective Date, the Action shall be dismissed fully, finally and in its entirety against NAB and any John Doe Defendants to the extent they are current or former NAB employees (solely in that capacity) with prejudice. The Releasing Parties fully, finally and forever released, relinquished and discharged from and covenanted not to sue the Released Parties for any and all manner of claims, including unknown claims, causes of action, cross-claims, counter-claims, charges, liabilities, demands, judgments, suits, obligations, debts, set-offs, rights of recovery, or liabilities for any obligations of any kind whatsoever (however denominated), whether class, derivative, or individual, in law or equity or arising under constitution, statute, regulation, ordinance, contract, or otherwise in nature, for fees, costs, penalties, fines, debts, expenses, attorneys' fees, and damages, whenever incurred, and liabilities of any nature whatsoever (including joint and several), known or unknown, suspected or unsuspected, asserted or unasserted, which Settling Class Members or any of them ever had, now has, or hereafter can, shall or may have, representatively, derivatively or in any other capacity, against the Released Parties arising from or relating in any way to the claims, allegations or conduct alleged in the Action, or which could have been alleged in the Action against the Released Parties, concerning any as further set forth in this Judgment. The following claims shall not be released by the Settlement: (i) any claims against former NAB employees arising solely from those former employees' conduct or alleged conduct that occurred while not employed by NAB; (ii) any claims against the named Defendants in this Action other than NAB and BNZ and other than any John Doe Defendants to the extent they are current or former employees of NAB (solely in their capacity as employees of NAB) or other Released Parties; or (iii) any claims against any Defendant not affiliated with NAB who may be subsequently added in this Action. Although the foregoing release is not a general release, the foregoing release constitutes a waiver by the Parties and each Settling Class Member of any and all rights and provisions under Section 1542 of the California Civil Code (to the extent it applies to the Action), which provides as further set forth in this Judgment. Upon the Effective Date, each of the Releasing Parties shall forever be enjoined from prosecuting in any forum any Released Claim against any of the Released Parties and agrees and covenants not to sue any of the Released Parties on the basis of any Released Claims or to assist any third party in prosecuting any Released Claims against any Released Party. 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 NAB shall be final and entered forthwith. IT IS SO ORDERED., ( National Australia Bank Limited terminated.) (Signed by Judge Lewis A. Kaplan on 11/1/22) (yv)
November 2, 2022 Opinion or Order Filing 605 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH COMMONWEALTH BANK OF AUSTRALIA: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: This Final Approval Order hereby incorporates by reference the definitions in 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. For purposes only of the settlement of the Released Claims set forth in theSettlement Agreement (the "Settlement"), the Court hereby finally certifies the Settlement Class: as set forth herein. Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP are appointed Class Counsel to the Settlement Class for the purposes of the Settlement. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and CBA, and all Settlement Class Members, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits attached thereto. Accordingly, the Settlement embodied in the Settlement Agreement is hereby approved in all respects. Class Counsel's request for attorneys' fees and reimbursement of expenses (and Incentive Awards for the Representative Plaintiffs) shall be the subject of a separate order by theCourt. And as set forth herein. IT IS SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/01/2022) (ama)
November 2, 2022 Opinion or Order Filing 604 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF MORGAN STANLEY. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: Upon the Effective Date of the Settlement, the Action, including each claim in the Action, is hereby dismissed with prejudice on the merits as to Morgan Stanley (but not any other Defendant) without fees or costs except as provided by the terms of the Settlement. Upon the Effective Date of the Settlement, the Action shall be dismissed fully, finally and in its entirety against Morgan Stanley and any John Doe Defendants to the extent they are current or former Morgan Stanley employees (solely in that capacity) with prejudice. The Releasing Parties fully, finally and forever released, relinquished and discharged from and covenanted not to sue the Released Parties for any and all manner of claims, including unknown claims, causes of action, cross-claims, counter-claims, charges, liabilities, demands, judgments, suits, obligations, debts, set-offs, rights of recovery, or liabilities for any obligations of any kind whatsoever (however denominated), whether class, derivative, or individual, in law or equity or arising under constitution, statute, regulation, ordinance, contract, or otherwise in nature, for fees, costs, penalties, fines, debts, expenses, attorneys' fees, and damages, whenever incurred, and liabilities of any nature whatsoever (including joint and several), known or unknown, suspected or unsuspected, asserted or unasserted, which Settling Class Members or any of them ever had, now has, or hereafter can, shall or may have, representatively, derivatively or in any other capacity, against the Released Parties arising from or relating in any way to the claims, allegations or conduct alleged in the Action, or which could have been alleged in the Action against the Released Parties, concerning any as further set forth in this Judgment. The following claims shall not be released by the Settlement: (i) any claims against former Morgan Stanley employees arising solely from those former employees' conduct or alleged conduct that occurred while not employed by Morgan Stanley; (ii) any claims against the named Defendants in this Action other than Morgan Stanley and other than any John Doe Defendants to the extent they are current or former employees of Morgan Stanley (solely in their capacity as employees of Morgan Stanley); or (iii) any claims against any Defendant not affiliated with Morgan Stanley who may be subsequently added in this Action. Although the foregoing release is not a general release, the foregoing release constitutes a waiver by the Parties and each Settling Class Member of any and all rights and provisions under Section 1542 of the California Civil Code (to the extent it applies to the Action),which provides as further set forth in this Judgment. This release also constitutes a waiver of any and all provisions, rights and benefits of any federal, sate or foreign law, rule, regulation, or principle of law or equity that is similar, comparable, equivalent to, or which has by the Parties and each Settling Class Member of any and all rights and provisions under Section 1542 of the California Civil Code (to the extent it applies to the Action),which provides as further set forth in this Judgment. Upon the Effective Date, each of the Releasing Parties shall forever be enjoined from prosecuting in any forum any Released Claim against any of the Released Parties and agrees and covenants not to sue any of the Released Parties on the basis of any Released Claims or to assist any third party in prosecuting any Released Claims against any Released Party. 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 Morgan Stanley shall be final and entered forthwith.IT IS SO ORDERED., (Morgan Stanley and Morgan Stanley Australia Limited terminated.) (Signed by Judge Lewis A. Kaplan on 11/1/22) (yv) Modified on 11/2/2022 (yv).
November 2, 2022 Opinion or Order Filing 603 FINAL APPROVAL ORDER OF CLASS ACTION SETTLEMENT WITH AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED THAT: 1. This Final Approval Order hereby incorporates by reference the definitions in 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. 2. For purposes only of the settlement of the Released Claims set forth in the Settlement Agreement (the "Settlement"), the Court hereby finally certifies the Settlement Class, as further set forth. 5. Representative Plaintiffs are hereby approved to serve as representatives of such Settlement Class for purposes of the Settlement. 6. Lewey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP are appointed Class Counsel to the Settlement Class for the purposes of the Settlement. 7. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and ANZ, and all Settlement Class Members, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits attached thereto, as further set forth. 18. The Court hereby approves the release and covenant not to sue set forth in Section 13 of the Settlement and directs dismissal of the Action as against ANZ (but not any other Defendant) fully, finally and with prejudice, pursuant to the terms of the Settlement and the Final Judgment to be entered concurrently herewith. 28. Class Counsel's request for attorneys' fees and reimbursement of expenses (and Incentive Awards for the Representative Plaintiffs) shall be the subject of a separate order by the Court. IT IS SO ORDERED. Australia and New Zealand Banking Group Ltd. terminated. (Signed by Judge Lewis A. Kaplan on 11/1/2022) (mml) Modified on 11/3/2022 (mml).
November 2, 2022 Opinion or Order Filing 602 FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE OF AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED: This Final Judgment hereby incorporates by reference the definitions in theStipulation and Agreement of Settlement dated December 10, 2021 between Representative Plaintiffs and ANZ, ECF No. 490-1 (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. Upon the Effective Date of the Settlement, the Action, including each claim in theAction, is hereby dismissed with prejudice on the merits as to ANZ (but not any other Defendant) without fees or costs except as provided by the terms of the Settlement. Upon the Effective Date of the Settlement, the Action shall be dismissed fully, finally and in its entirety against ANZ and any John Doe Defendants to the extent they are current or former ANZ employees (solely in that capacity) with prejudice. And as set forth herein. 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 ANZ shall be final and entered forthwith. IT IS SO ORDERED., Australia and New Zealand Banking Group Ltd. terminated. (Signed by Judge Lewis A. Kaplan on 11/01/2022) (ama)
November 2, 2022 Opinion or Order Filing 601 MEMO ENDORSED ORDER granting in part and denying in part #549 Motion for Settlement. ENDORSEMENT: Motion granted to the extent that the place of distribution and proof of claims forms that are ECF Docs 552-1 and 552-2 are approved. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/1/22) (yv)
November 2, 2022 Opinion or Order ***DELETED DOCUMENT. Deleted document number 606 Memo Endorsement. The document was incorrectly filed in this case. (ate)
November 1, 2022 Opinion or Order Minute Entry for proceedings held before Judge Lewis A. Kaplan: Fairness Hearing held on 11/1/2022. Settlement approved as fair, reasonable, and adequate. (Court Reporter George Malinowski) (Mohan, Andrew)
October 31, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #585 Proposed Order #597 Proposed Order #593 Proposed Order #599 Proposed Order #587 Proposed Order #595 Proposed Order #590 Proposed Order #591 Proposed Order was reviewed and approved as to form. (km)
October 31, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #586 Proposed Judgment #592 Proposed Judgment #598 Proposed Judgment #596 Proposed Judgment #589 Proposed Judgment #600 Proposed Judgment #588 Proposed Judgment #594 Proposed Judgment was reviewed and approved as to form. (km)
October 28, 2022 Opinion or Order Filing 600 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 599 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #578 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 598 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 597 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #576 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 596 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 595 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #574 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 594 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 593 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #572 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 592 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 591 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #570 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 590 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #569 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 589 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 588 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 587 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #566 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 586 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 585 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #564 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
October 28, 2022 Opinion or Order Filing 584 NOTICE of Compliance With 28 U.S.C. 1715. Document filed by Westpac Banking Corporation..(Cameron, Timothy)
October 24, 2022 Opinion or Order Filing 583 ORDER: The Court concludes the written requests as described are timely and sufficiently clear to warrant the requesting members' exclusion from the settlement class. Rule 23 does not require more, nor is the Court persuaded that it should do so in these circumstances. See In re WorldCom, Inc. Sec. Litig., No. 02-cv-3288 (DLC), 2005 WL 1048073, at *4 (S.D.N.Y. May 5, 2005) ("Because flexibility in making this determination is appropriate, 'any written evidence' containing a 'reasonable indication of a desire to opt out ought to be sufficient."') ( quoting In re Four Seasons Sec. Laws Litig., 493 F.2d 1288, 1291 (10th Cir. 1974)); see also In re Sunedison, Inc. Sec. Litig., No. 16-md-2742 (PKC), 2018 WL 2356663, at *3 (S.D.N.Y. May 1, 2018). Kerant Capital Limited and KPMG Luxembourg S.A. are excluded from the settlement class. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 10/24/2022) (mml)
October 21, 2022 Opinion or Order Filing 582 NOTICE of COMPLIANCE with 28 U.S.C. 1715. Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A...(Sparks Bradley, Rachel)
October 20, 2022 Opinion or Order Filing 581 LETTER addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher Lovell dated October 20, 2022 re: Settling Defendants' Positions Regarding Requests for Exclusion. Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
October 17, 2022 Opinion or Order Filing 580 LETTER addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher Lovell dated October 17, 2022 re: Requests for Exclusion. Document filed by Richard Dennis, Orange County Employees Retirement System. (Attachments: #1 Affidavit Declaration of Jack Ewashko, #2 Affidavit Declaration of Jason M. Stinehart, #3 Affidavit Declaration of Rust Consulting, Inc., #4 Affidavit Declaration of Adam S. Mintz).(Briganti, Vincent)
August 19, 2022 Opinion or Order Filing 579 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 578 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 577 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 576 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 575 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 574 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 573 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 572 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 571 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 570 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order Filing 569 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #564 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #556 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #565 Proposed Judgment, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #569 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #575 Proposed Judgment, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #566 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #576 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #577 Proposed Judgment, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #579 Proposed Judgment, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #578 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #573 Proposed Judgment, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #574 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #567 Proposed Judgment, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #572 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #568 Proposed Judgment, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #570 Proposed Order, was reviewed and approved as to form. (tp)
August 19, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #571 Proposed Judgment, was reviewed and approved as to form. (tp)
August 18, 2022 Opinion or Order Filing 568 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 18, 2022 Opinion or Order Filing 567 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 18, 2022 Opinion or Order Filing 566 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 18, 2022 Opinion or Order Filing 565 PROPOSED JUDGMENT. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent) Proposed Judgment to be reviewed by Clerk's Office staff.
August 18, 2022 Opinion or Order Filing 564 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #558 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
August 18, 2022 Opinion or Order Filing 563 DECLARATION of Todd A. Seaver in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent)
August 18, 2022 Opinion or Order Filing 562 DECLARATION of Vincent Briganti in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent)
August 18, 2022 Opinion or Order Filing 561 DECLARATION of Gina M. Ratto in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses., #558 MOTION for Settlement Final Approval of Settlements.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent)
August 18, 2022 Opinion or Order Filing 560 DECLARATION of Vincent Briganti and Christopher Lovell in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses., #558 MOTION for Settlement Final Approval of Settlements.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent)
August 18, 2022 Opinion or Order Filing 559 MEMORANDUM OF LAW in Support re: #558 MOTION for Settlement Final Approval of Settlements. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent)
August 18, 2022 Opinion or Order Filing 558 MOTION for Settlement Final Approval of Settlements. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent)
August 18, 2022 Opinion or Order Filing 557 DECLARATION of Benjamin M. Jaccarino in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A - Fee Compensable Lodestar Chart By Timekeeper, #2 Exhibit B - Category Chart By Timekeeper, #3 Exhibit C - Expenses Chart By Category, #4 Exhibit D - Firm's Resume).(McGrath, Christopher)
August 18, 2022 Opinion or Order Filing 556 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #554 ..(McGrath, Christopher) Proposed Order to be reviewed by Clerk's Office staff.
August 18, 2022 Opinion or Order Filing 555 MEMORANDUM OF LAW in Support re: #554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses. Memorandum Of Law In Support Of Class Counsel's Motion For Award Of Attorneys' Fees And Reimbursement Of Expenses. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(McGrath, Christopher)
August 18, 2022 Opinion or Order Filing 554 MOTION for Attorney Fees Notice of Motion For Class Counsel's Application For Award Of Attorneys' Fees And Reimbursement Of Expenses. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(McGrath, Christopher)
August 17, 2022 Opinion or Order Filing 553 ORDER granting #551 Letter Motion for Leave to File Document (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
August 4, 2022 Opinion or Order Filing 552 MEMORANDUM OF LAW in Support re: #551 LETTER MOTION for Leave to File Memorandum In Support Of The Motion For Approval Of The Proposed Plan Of Distribution With Corrected Exhibits addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 08/04/2022. Memorandum In Support Of The Motion For Approval Of The Proposed Plan Of Distribution - Corrected Copy. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit 1 - Plan of Distribution, #2 Exhibit 2 - Proof of Claim).(Lovell, Christopher)
August 4, 2022 Opinion or Order Filing 551 LETTER MOTION for Leave to File Memorandum In Support Of The Motion For Approval Of The Proposed Plan Of Distribution With Corrected Exhibits addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 08/04/2022. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Lovell, Christopher)
August 3, 2022 Opinion or Order Filing 550 MEMORANDUM OF LAW in Support re: #549 MOTION for Settlement Notice of Motion In Support Of The Plan OF Distribution. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit 1 - Plan of Distribution, #2 Exhibit 2 - Proof of Claim).(Lovell, Christopher)
August 3, 2022 Opinion or Order Filing 549 MOTION for Settlement Notice of Motion In Support Of The Plan OF Distribution. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Lovell, Christopher)
August 1, 2022 Opinion or Order Filing 548 LETTER addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher McGrath dated August 1, 2022 re: Initial Mailed Notice Completion. Document filed by Richard Dennis, Orange County Employees Retirement System. (Attachments: #1 Affidavit Declaration of Jack Ewashko).(Briganti, Vincent)
May 24, 2022 Opinion or Order Filing 547 MEMO ENDORSEMENT on MOTION FOR LEAVE TO WITHDRAW AS COUNSEL granting #546 Motion to Withdraw as Attorney. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/24/2022) Attorney Michael Steven Carnevale terminated (ks)
May 23, 2022 Opinion or Order Filing 546 MOTION for Michael S. Carnevale to Withdraw as Attorney . Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A...(Turner, Alan)
May 12, 2022 Opinion or Order Filing 545 NOTICE of Defendants BNP Paribas, S.A., Deutsche Bank AG, Royal Bank of Canada, The Royal Bank of Scotland PLC, and UBS AG's Joint Compliance with 28 U.S.C. 1715. Document filed by BNP Paribas, S.A...(Carrero, Kelly)
May 11, 2022 Opinion or Order Filing 544 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH BNP PARIBAS, S.A., DEUTSCHE BANK AG, ROYAL BANK OF CANADA, THE ROYAL BANK OF SCOTLAND PLC, AND UBS AG: NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 1. All defined terms used in this Order shall have the same meanings as set forth in the Settlement Agreement, except as otherwise defined herein. Representative Plaintiffs and Settling Defendants are referred to collectively as the "Parties," as further set forth herein. 5. The Court appoints Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP as Class Counsel to such Settlement Class for purposes of the Settlement, having determined that the requirements of Rule 23(g) of the Federal Rules of Civil Procedure are fully satisfied by this appointment. 6. The Court appoints A.B. Data, Ltd. as Settlement Administrator for purposes of the Settlement. 7. The Court appoints Citibank, N.A. as Escrow Agent for purposes of the Settlement Fund defined in the Settlement Agreement. The Court approves the establishment of the Settlement Fund as qualified settlement funds pursuant to Section 468B of the Internal Revenue Code of 1986, as amended, and the Treasury Regulations promulgated thereunder. 8. The Court appoints Representative Plaintiffs Richard Dennis and OCERS as representatives of the Settlement Class for purposes of the Settlement, as further set forth. 10. A hearing (the "Fairness Hearing") will be held on November 1, 2022 at 4:00 p.m. in Courtroom 218 of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement, as further set forth. 38. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than August 18, 2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than October 25, 2022, as further set forth. (Signed by Judge Lewis A. Kaplan on 5/11/2022) (mml)
May 11, 2022 Opinion or Order Filing 543 ORDER MODIFYING APPROVED CLASS NOTICE PLAN AND SCHEDULED HEARING FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENTS WITH WESTPAC BANKING CORPORATION, AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED, COMMONWEAL TH BANK OF AUSTRALIA, NATIONALAUSTRALIA BANK LIMITED, JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK, N.A., AND MORGAN STANLEY AND MORGAN STANLEY AUSTRALIA LIMITED: NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 1. The February 1 Orders are modified to the extent described herein. 2. The Fairness Hearing will be held on November 1, 2022 at 4:00 p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. 3. On or before May 23, 2022 the Settlement Administrator shall cause copies of the mailed notice, in the form (without material variation) of Exhibit 3 to the Joint Declaration of Vincent Briganti and Christopher McGrath, dated April 29, 2022 ("Joint Decl."), to begin being mailed pursuant to the Class Notice plan. The foregoing initial mailing shall be completed no later than August 1, 2022, as further set forth herein. 10. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than August 18, 2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than October 25, 2022. 11. Except as modified herein, the February 1 Orders remain in effect. (Signed by Judge Lewis A. Kaplan on 5/11/2022) (mml)
May 11, 2022 Opinion or Order Filing 542 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH CREDIT SUISSE AG AND CREDIT SUISSE GROUP AG: NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 1. All defined terms used in this Order shall have t e same meanings as set forth in the Settlement Agreement, except as otherwise defined herein. Representative Plaintiffs and Credit Suisse are referred to collectively as the "Parties." 2. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and Credit Suisse, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits attached thereto. 3. For purposes of settlement only, pursuant to FED. R. CIV. P. 23(a) and (b)(3), the Court hereby conditionally certifies a Settlement Class consisting of all Persons (including both natural persons and entities), as further set forth herein. 5. The Court appoints Lowey Dannenberg, PC. and Lovell Stewart Halebian Jacobson LLP as Class Counsel to such Settlement Class for purposes of the Settlement, having determined that the requirements of Rule 23(g) of the Federal Rules of Civil Procedure are fully satisfied by this appointment. 6. The Court appoints A.B. Data, Ltd. as Settlement Administrator for purposes of the Settlement. 7. The Court appoints Citibank, N.A. as Escrow Agent for purposes of the Settlement Fund defined in the Settlement Agreement. The Court approves the establishment of the Settlement Fund as qualified settlement funds pursuant to Section 468B of the Internal Revenue Code of 1986, as amended, and the Treasury Regulations promulgated thereunder. 8. The Court appoints Representative Plaintiffs Richard Dennis and OCERS as representatives of the Settlement Class for purposes of the Settlement, as further set forth. 10. A hearing (the "Fairness Hearing") will be held on November 1, 2022 at 4:00p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, f1nd adequacy of the Settlement Agreement, as further set forth. 37. Class Counsel shall file their motions for payment of attorneys' fees andreimbursement of expenses, incentive awards, and for final approval of the Settlement no laterthan August 18, 2022. Any reply briefs concerning Class Counsel's motions for payment ofattorneys' fees and reimbursement of expenses, incentive awards, and for final approval of theSettlement shall be filed no later than October 25, 2022, as further set forth. (Signed by Judge Lewis A. Kaplan on 5/11/2022) (mml)
May 11, 2022 Opinion or Order Filing 541 NOTICE of COMPLIANCE WITH 28 U.S.C. 1715. Document filed by Credit Suisse AG, Credit Suisse Group AG. (Attachments: #1 Exhibit A - Declaration of Stephanie J. Fiereck, Esq. on Implementation of CAFA Notice).(Hall, Jason)
May 11, 2022 Opinion or Order Set/Reset Deadlines: (Motions due by 8/18/2022., Replies due by 10/25/2022.), Set/Reset Hearings: (Fairness Hearing set for 11/1/2022 at 04:00 PM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (mml)
May 9, 2022 Opinion or Order Filing 540 NOTICE OF CHANGE OF ADDRESS by Todd Seaver on behalf of Orange County Employees Retirement System. New Address: Berman Tabacco, 425 California Street, Suite 2300, San Francisco, CA, United States 94104, 4154333200..(Seaver, Todd)
May 2, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #537 Proposed Order #538 Proposed Order #539 Proposed Order was reviewed and approved as to form. (km)
April 29, 2022 Opinion or Order Filing 539 PROPOSED ORDER. Document filed by Richard Dennis, Orange County Employees Retirement System. Related Document Number: #534 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
April 29, 2022 Opinion or Order Filing 538 PROPOSED ORDER. Document filed by Richard Dennis, Orange County Employees Retirement System. Related Document Number: #534 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
April 29, 2022 Opinion or Order Filing 537 PROPOSED ORDER. Document filed by Richard Dennis, Orange County Employees Retirement System. Related Document Number: #534 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
April 29, 2022 Opinion or Order Filing 536 DECLARATION of Vincent Briganti and Christopher McGrath in Support re: #534 MOTION to Certify Class Conditionally for Purposes of Class Action Settlements.. Document filed by Richard Dennis, Orange County Employees Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4).(Briganti, Vincent)
April 29, 2022 Opinion or Order Filing 535 MEMORANDUM OF LAW in Support re: #534 MOTION to Certify Class Conditionally for Purposes of Class Action Settlements. . Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
April 29, 2022 Opinion or Order Filing 534 MOTION to Certify Class Conditionally for Purposes of Class Action Settlements. Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
February 10, 2022 Opinion or Order Filing 533 INTERNET CITATION NOTE: Material from decision with Internet citation re: #517 Order. (sjo)
February 1, 2022 Opinion or Order Filing 532 AMENDED CASE MANAGEMENT ORDER terminating #483 Motion re: #483 MOTION For an order, inter alia, that modifies the fact discovery deadline and certain other deadlines in the Joint Case Management Plan and Scheduling Order . Motion due by 7/29/2022. Fact discovery due by 9/15/2022. Depositions due by 12/15/2022. The parties should assume that no further extensions will be granted. The clerk shall terminate Dkt. 483. SO ORDERED.. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 531 ORDER granting #477 Motion for Extension of Time. It is hereby ordered that, good cause having been shown, the request to adjourn the deadline for requests for admission from September 29, 2021 until November 15, 2021 is hereby granted. The Clerk shall terminate Dk 477. SO ORDERED.. (Signed by Judge Lewis A. Kaplan on 2/1/2022 ( Nunc pro tunc 9/29/21)) (ks)
February 1, 2022 Opinion or Order Filing 530 ORDER APPROVING CLASS NOTICE PLAN AND SCHEDULING HEARING FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT WITH DEFENDANT WESTPAC BANKING CORPORATION: IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. Except for the terms expressly defined herein, the Court adopts and incorporates the definitions in the Stipulation and Agreement of Settlement with NAB dated December 10, 2021 (the "Settlement Agreement"). (EGE No 490-3.) Representative Plaintiffs and NAB are referred to collectively as the "Parties." 2. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Oct. 13, 2022 at 4:00 p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. As further set forth in this order. On or before 5/2/2022, the Settlement Administrator shall cause copies of the mailed notice, in the form (without material variation) of Exhibit 2 to the Joint Declaration of Vincent Briganti and Christopher McGrath, as further set forth in this Order. On or before 5/2/2022, the Settlement Administrator shall begin to cause to be published a publication notice, without material variation from Exhibit 3 to the Joint Declaration, as follows: as further set forth in this order. On or before 7/15/2022 Representative Plaintiffs shall file with the Court a copy of the proposed Distribution Plan and Proof of Claim and Release. As further set forth in this order. On or before 7/1/2022 the Settlement Administrator shall serve and file a sworn statement attesting to compliance with the notice provisions in paragraphs 6-9 of this Order. As further set forth in this Order. Not later than 8/15/2022, the Settlement Class Member files with the Court ( and serves the same on or before the date of suchfiling by hand or overnight mail on Class Counsel and NAB's counsel) As further set forth in this order. Any Request for Exclusion from the Settlement by a member of the SettlementClass must be sent in writing by U.S. first class mail (or, if sent from outside the U.S., by a service that provides for guaranteed delivery within five (5) or fewer calendar days of mailing) to the Settlement Administrator at the address in the mailed notice not later than 8/15/2022. As further set forth in this order. All Proof of Claim and Release forms shall be submitted by Settlement Class Members to the Settlement Administrator as directed in the mailed notice and must be postmarked no later than 12/30/2022. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than 7/29/2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than 10/7/2022. The Court may, for good cause, extend any of the deadlines set forth in this Order without notice to members of the Settlement Class, other than that which may be posted at the Court or on the Settlement Website, www.BBSWSettlement.com. Class Counsel may move the Court for permission to combine notice of the Settlement with any other settlements that may be reached. Unless otherwise specified, the word "days," as used herein, means calendar days. In the event that any date or deadline set forth herein falls on a weekend or federal or state legal holiday, such date or deadline shall be deemed moved to the first business day thereafter. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 529 ORDER APPROVING CLASS NOTICE PLAN AND SCHEDULING HEARING FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT WITH DEFENDANTS JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK, N.A.: IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. Except for the terms expressly defined herein, the Court adopts and incorporates the definitions in the Stipulation and Agreement of Settlement with NAB dated December 10, 2021 (the "Settlement Agreement"). (EGE No 490-3.) Representative Plaintiffs and NAB are referred to collectively as the "Parties." 2. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Oct. 13, 2022 at 4:00 p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. As further set forth in this order. On or before 5/2/2022, the Settlement Administrator shall cause copies of the mailed notice, in the form (without material variation) of Exhibit 2 to the Joint Declaration of Vincent Briganti and Christopher McGrath, as further set forth in this Order. On or before 5/2/2022, the Settlement Administrator shall begin to cause to be published a publication notice, without material variation from Exhibit 3 to the Joint Declaration, as follows: as further set forth in this order. On or before 7/15/2022 Representative Plaintiffs shall file with the Court a copy of the proposed Distribution Plan and Proof of Claim and Release. As further set forth in this order. On or before 7/1/2022 the Settlement Administrator shall serve and file a sworn statement attesting to compliance with the notice provisions in paragraphs 6-9 of this Order. As further set forth in this Order. Not later than 8/15/2022, the Settlement Class Member files with the Court ( and serves the same on or before the date of suchfiling by hand or overnight mail on Class Counsel and NAB's counsel) As further set forth in this order. Any Request for Exclusion from the Settlement by a member of the SettlementClass must be sent in writing by U.S. first class mail (or, if sent from outside the U.S., by a service that provides for guaranteed delivery within five (5) or fewer calendar days of mailing) to the Settlement Administrator at the address in the mailed notice not later than 8/15/2022. As further set forth in this order. All Proof of Claim and Release forms shall be submitted by Settlement Class Members to the Settlement Administrator as directed in the mailed notice and must be postmarked no later than 12/30/2022. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than 7/29/2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than 10/7/2022. The Court may, for good cause, extend any of the deadlines set forth in this Order without notice to members of the Settlement Class, other than that which may be posted at the Court or on the Settlement Website, www.BBSWSettlement.com. Class Counsel may move the Court for permission to combine notice of the Settlement with any other settlements that may be reached. Unless otherwise specified, the word "days," as used herein, means calendar days. In the event that any date or deadline set forth herein falls on a weekend or federal or state legal holiday, such date or deadline shall be deemed moved to the first business day thereafter. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 528 ORDER APPROVING CLASS NOTICE PLAN AND SCHEDULING HEARING FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT WITH DEFENDANTS MORGAN STANLEY AND MORGAN STANLEY AUSTRALIA LIMITED: : IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. Except for the terms expressly defined herein, the Court adopts and incorporates the definitions in the Stipulation and Agreement of Settlement with NAB dated December 10, 2021 (the "Settlement Agreement"). (EGE No 490-3.) Representative Plaintiffs and NAB are referred to collectively as the "Parties." 2. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Oct. 13, 2022 at 4:00 p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. As further set forth in this order. On or before 5/2/2022, the Settlement Administrator shall cause copies of the mailed notice, in the form (without material variation) of Exhibit 2 to the Joint Declaration of Vincent Briganti and Christopher McGrath, as further set forth in this Order. On or before 5/2/2022, the Settlement Administrator shall begin to cause to be published a publication notice, without material variation from Exhibit 3 to the Joint Declaration, as follows: as further set forth in this order. On or before 7/15/2022 Representative Plaintiffs shall file with the Court a copy of the proposed Distribution Plan and Proof of Claim and Release. As further set forth in this order. On or before 7/1/2022 the Settlement Administrator shall serve and file a sworn statement attesting to compliance with the notice provisions in paragraphs 6-9 of this Order. As further set forth in this Order. Not later than 8/15/2022, the Settlement Class Member files with the Court ( and serves the same on or before the date of suchfiling by hand or overnight mail on Class Counsel and NAB's counsel) As further set forth in this order. Any Request for Exclusion from the Settlement by a member of the SettlementClass must be sent in writing by U.S. first class mail (or, if sent from outside the U.S., by a service that provides for guaranteed delivery within five (5) or fewer calendar days of mailing) to the Settlement Administrator at the address in the mailed notice not later than 8/15/2022. As further set forth in this order. All Proof of Claim and Release forms shall be submitted by Settlement Class Members to the Settlement Administrator as directed in the mailed notice and must be postmarked no later than 12/30/2022. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than 7/29/2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than 10/7/2022. The Court may, for good cause, extend any of the deadlines set forth in this Order without notice to members of the Settlement Class, other than that which may be posted at the Court or on the Settlement Website, www.BBSWSettlement.com. Class Counsel may move the Court for permission to combine notice of the Settlement with any other settlements that may be reached. Unless otherwise specified, the word "days," as used herein, means calendar days. In the event that any date or deadline set forth herein falls on a weekend or federal or state legal holiday, such date or deadline shall be deemed moved to the first business day thereafter. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 527 ORDER APPROVING CLASS NOTICE PLAN AND SCHEDULING HEARING FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT WITH DEFENDANT COMMONWEALTH BANK OF AUSTRALIA: IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. Except for the terms expressly defined herein, the Court adopts and incorporates the definitions in the Stipulation and Agreement of Settlement with NAB dated December 10, 2021 (the "Settlement Agreement"). (EGE No 490-3.) Representative Plaintiffs and NAB are referred to collectively as the "Parties." 2. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Oct. 13, 2022 at 4:00 p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. As further set forth in this order. On or before 5/2/2022, the Settlement Administrator shall cause copies of the mailed notice, in the form (without material variation) of Exhibit 2 to the Joint Declaration of Vincent Briganti and Christopher McGrath, as further set forth in this Order. On or before 5/2/2022, the Settlement Administrator shall begin to cause to be published a publication notice, without material variation from Exhibit 3 to the Joint Declaration, as follows: as further set forth in this order. On or before 7/15/2022 Representative Plaintiffs shall file with the Court a copy of the proposed Distribution Plan and Proof of Claim and Release. As further set forth in this order. On or before 7/1/2022 the Settlement Administrator shall serve and file a sworn statement attesting to compliance with the notice provisions in paragraphs 6-9 of this Order. As further set forth in this Order. Not later than 8/15/2022, the Settlement Class Member files with the Court ( and serves the same on or before the date of suchfiling by hand or overnight mail on Class Counsel and NAB's counsel) As further set forth in this order. Any Request for Exclusion from the Settlement by a member of the SettlementClass must be sent in writing by U.S. first class mail (or, if sent from outside the U.S., by a service that provides for guaranteed delivery within five (5) or fewer calendar days of mailing) to the Settlement Administrator at the address in the mailed notice not later than 8/15/2022. As further set forth in this order. All Proof of Claim and Release forms shall be submitted by Settlement Class Members to the Settlement Administrator as directed in the mailed notice and must be postmarked no later than 12/30/2022. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than 7/29/2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than 10/7/2022. The Court may, for good cause, extend any of the deadlines set forth in this Order without notice to members of the Settlement Class, other than that which may be posted at the Court or on the Settlement Website, www.BBSWSettlement.com. Class Counsel may move the Court for permission to combine notice of the Settlement with any other settlements that may be reached. Unless otherwise specified, the word "days," as used herein, means calendar days. In the event that any date or deadline set forth herein falls on a weekend or federal or state legal holiday, such date or deadline shall be deemed moved to the first business day thereafter. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 526 ORDER APPROVING CLASS NOTICE PLAN AND SCHEDULING HEARING FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT WITH DEFENDANT AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD.: IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. Except for the terms expressly defined herein, the Court adopts and incorporates the definitions in the Stipulation and Agreement of Settlement with NAB dated December 10, 2021 (the "Settlement Agreement"). (EGE No 490-3.) Representative Plaintiffs and NAB are referred to collectively as the "Parties." 2. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Oct. 13, 2022 at 4:00 p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. As further set forth in this order. On or before 5/2/2022, the Settlement Administrator shall cause copies of the mailed notice, in the form (without material variation) of Exhibit 2 to the Joint Declaration of Vincent Briganti and Christopher McGrath, as further set forth in this Order. On or before 5/2/2022, the Settlement Administrator shall begin to cause to be published a publication notice, without material variation from Exhibit 3 to the Joint Declaration, as follows: as further set forth in this order. On or before 7/15/2022 Representative Plaintiffs shall file with the Court a copy of the proposed Distribution Plan and Proof of Claim and Release. As further set forth in this order. On or before 7/1/2022 the Settlement Administrator shall serve and file a sworn statement attesting to compliance with the notice provisions in paragraphs 6-9 of this Order. As further set forth in this Order. Not later than 8/15/2022, the Settlement Class Member files with the Court ( and serves the same on or before the date of suchfiling by hand or overnight mail on Class Counsel and NAB's counsel) As further set forth in this order. Any Request for Exclusion from the Settlement by a member of the SettlementClass must be sent in writing by U.S. first class mail (or, if sent from outside the U.S., by a service that provides for guaranteed delivery within five (5) or fewer calendar days of mailing) to the Settlement Administrator at the address in the mailed notice not later than 8/15/2022. As further set forth in this order. All Proof of Claim and Release forms shall be submitted by Settlement Class Members to the Settlement Administrator as directed in the mailed notice and must be postmarked no later than 12/30/2022. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than 7/29/2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than 10/7/2022. The Court may, for good cause, extend any of the deadlines set forth in this Order without notice to members of the Settlement Class, other than that which may be posted at the Court or on the Settlement Website, www.BBSWSettlement.com. Class Counsel may move the Court for permission to combine notice of the Settlement with any other settlements that may be reached. Unless otherwise specified, the word "days," as used herein, means calendar days. In the event that any date or deadline set forth herein falls on a weekend or federal or state legal holiday, such date or deadline shall be deemed moved to the first business day thereafter. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 525 ORDER APPROVING CLASS NOTICE PLAN AND SCHEDULING HEARING FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT WITH DEFENDANT NATIONAL AUSTRALIA BANK LIMITED: IT IS HEREBY ORDERED, ADJUDGED AND DECREED THAT: 1. Except for the terms expressly defined herein, the Court adopts and incorporates the definitions in the Stipulation and Agreement of Settlement with NAB dated December 10, 2021 (the "Settlement Agreement"). (EGE No 490-3.) Representative Plaintiffs and NAB are referred to collectively as the "Parties." 2. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Oct. 13, 2022 at 4:00 p.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. As further set forth in this order. On or before 5/2/2022, the Settlement Administrator shall cause copies of the mailed notice, in the form (without material variation) of Exhibit 2 to the Joint Declaration of Vincent Briganti and Christopher McGrath, as further set forth in this Order. On or before 5/2/2022, the Settlement Administrator shall begin to cause to be published a publication notice, without material variation from Exhibit 3 to the Joint Declaration, as follows: as further set forth in this order. On or before 7/15/2022 Representative Plaintiffs shall file with the Court a copy of the proposed Distribution Plan and Proof of Claim and Release. As further set forth in this order. On or before 7/1/2022 the Settlement Administrator shall serve and file a sworn statement attesting to compliance with the notice provisions in paragraphs 6-9 of this Order. As further set forth in this Order. Not later than 8/15/2022, the Settlement Class Member files with the Court ( and serves the same on or before the date of suchfiling by hand or overnight mail on Class Counsel and NAB's counsel) As further set forth in this order. Any Request for Exclusion from the Settlement by a member of the SettlementClass must be sent in writing by U.S. first class mail (or, if sent from outside the U.S., by a service that provides for guaranteed delivery within five (5) or fewer calendar days of mailing) to the Settlement Administrator at the address in the mailed notice not later than 8/15/2022. As further set forth in this order. All Proof of Claim and Release forms shall be submitted by Settlement Class Members to the Settlement Administrator as directed in the mailed notice and must be postmarked no later than 12/30/2022. Class Counsel shall file their motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement no later than 7/29/2022. Any reply briefs concerning Class Counsel's motions for payment of attorneys' fees and reimbursement of expenses, incentive awards, and for final approval of the Settlement shall be filed no later than 10/7/2022. The Court may, for good cause, extend any of the deadlines set forth in this Order without notice to members of the Settlement Class, other than that which may be posted at the Court or on the Settlement Website, www.BBSWSettlement.com. Class Counsel may move the Court for permission to combine notice of the Settlement with any other settlements that may be reached. Unless otherwise specified, the word "days," as used herein, means calendar days. In the event that any date or deadline set forth herein falls on a weekend or federal or state legal holiday, such date or deadline shall be deemed moved to the first business day thereafter. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) ( Motions due by 7/29/2022., Replies due by 10/7/2022., Fairness Hearing set for 10/13/2022 at 04:00 PM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan.) (ks)
February 1, 2022 Opinion or Order Filing 524 ORDER terminating #506 Motion for Settlement (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
February 1, 2022 Opinion or Order Filing 523 ORDER terminating #488 Motion to Certify Class (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
February 1, 2022 Opinion or Order Filing 522 SUPERSEDING ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK, N.A.: NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 1. This Order supersedes the Court's March 2021 Order [ECF 460]. 2. For purposes of settlement only, pursuant to Fed. R. Civ. P. 23(a) and (b)(3), the Court hereby certifies a Settlement Class consisting of all Persons (including both natural persons and entities) who purchased, acquired, sold, held, traded, or otherwise had any interest in, BBSWBased Derivatives during the period January 1, 2003 through August 16, 2016, inclusive, provided that, if Representative Plaintiffs expand the putative or certified class in this Action in or through any subsequent amended complaint, class motion, or Other Settlement, the defined Settlement Class in this Order and the Settlement Agreement shall be expanded so as to be coterminous with such expansion. Excluded from the Settlement Class are the Defendants and any parent, subsidiary, affiliate or agent of any Defendant or any co-conspirator whether or not named as a Defendant, and the United States Government. As further set forth in this order. The Court's conditional certification of the Settlement Class and appointment of Representative Plaintiffs as class representatives, as provided herein is without prejudice to, or waiver of, the rights of any Defendant to contest any other request by Representative Plaintiffs to certify a class. The Court's findings in this Conditional Certification Order shall have no effect on the Court's ruling on any motion to certify any class in this litigation, or appoint class representatives, and no party may cite or refer to the Court's approval of the Settlement Class as binding or persuasive authority with respect to any motion to certify such class or appoint class representatives. If any deadline falls on a Saturday, Sunday, or legal holiday, such deadline shall be extended until the next business day that is not a Saturday, Sunday, or legal holiday. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 521 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH MORGAN STANLEY: NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 1. For purposes of settlement only, pursuant to FED.R.CIV.P.23(a) and (b)(3), the Court hereby certifies a Settlement Class consisting of all Persons (including both natural persons and entities) who purchased, acquired, sold, held, traded, or otherwise had any interest in, BBSWBased Derivatives during the period January 1, 2003 through August 16, 2016, inclusive (the "Settlement Class Period"), provided that, if Representative Plaintiffs expand the putative or certified class in this Action in or through any subsequent amended complaint, class motion, or Other Settlement, the defined Settlement Class in this Order and the Settlement Agreement shall be expanded so as to be coterminous with such expansion. As further set forth in this order. The Court hereby orders Morgan Stanley to produce documents to the Representative Plaintiffs consistent with and solely to the extent of its cooperation obligations provided in Section 5 of the Settlement Agreement. If any deadline herein falls on a Saturday, Sunday or legal holiday, such deadline shall be extended until the next Business Day that is not a Saturday, Sunday or legal holiday. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 520 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH NATIONAL AUSTRALIA BANK LIMITED: NOW, THEREFORE, IT IS HEREBY ORDERED that: 1. For purposes of settlement only, pursuant to Fed.R.Civ.P.23(a) and (b)(3), the Court hereby certifies a Settlement Class consisting of: all Persons (including both natural persons and entities) who purchased, acquired, sold, held, traded, or othe1wise had any interest in, BBSW-Based Derivatives during the pe1iod January 1, 2003 through August 16, 2016, inclusive (the "Settlement Class Period"), provided that, if Representative Plaintiffs expand the putative or certified class in this Action in or through any subsequent amended complaint, class motion, or Other Settlement, the defined Settlement Class in this Order and the Settlement Agreement shall be expanded so as to be coterminous with such expansion. As further set forth in this order. The Court's conditional certification of the Settlement Class and appointment of Plaintiffs as class representatives, as provided herein is without prejudice to, or waiver of, the rights of any Defendant to contest any other request by Representative Plaintiffs to certify a class. The Court's findings in this Conditional Certification Order shall have no effect on the Court's ruling on any motion to certify any class in this litigation, or appoint class representatives, and no party may cite or refer to the Court's approval of the Settlement Class as binding or persuasive authority with respect to any motion to certify such class or appoint class representatives. 17. The Court hereby orders NAB to produce documents to the Representative Plaintiffs consistent with and solely to the extent of its cooperation obligations provided in Section 5 of the Settlement Agreement. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 519 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD.: NOW, THEREFORE, IT IS HEREBY ORDERED that: 1. All defined terms used in this Order shall have the same meanings as set forth in the Settlement Agreement, except as otherwise defined herein. Representative Plaintiffs and ANZ are referred to collectively as the "Settling Parties." 2. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and ANZ, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits thereto. As further set forth in this order. The Court hereby orders ANZ to produce documents to the Representative Plaintiffs consistent with and solely to the extent of its cooperation obligations provided in Section 5 of the Settlement Agreement. If any deadline herein falls on a Saturday, Sunday or legal holiday, such deadline shall be extended until the next Business Day that is not a Saturday, Sunday or legal holiday. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Filing 518 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH COMMONWEALTH BANK OF AUSTRALIA: NOW, THEREFORE, IT IS HEREBY ORDERED that: 1. All defined terms used in this Order shall have the same meanings as set forth in the Settlement Agreement, except as otherwise defined herein. Representative Plaintiffs and CBA are referred to collectively as the "Parties." 2. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and CBA, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits thereto. As further set forth in this Order. The Court hereby orders CBA to produce documents to the Representative Plaintiffs consistent with and solely to the extent of its cooperation obligations provided in Section 5 of the Settlement Agreement. If any deadline herein falls on a Saturday, Sunday or legal holiday, such deadline shall be extended until the next Business Day that is not a Saturday, Sunday or legal holiday. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks) Modified on 2/2/2022 (ks).
February 1, 2022 Opinion or Order Filing 517 SUPERSEDING ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH WESTPAC BANKING CORPORATION: NOW, THEREFORE, IT IS HEREBY ORDERED THAT: 1. This Order supersedes the March 2021 Order. 2. In the Action only and solely for purposes of the Settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and Westpac and all Settlement Class Members, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits attached thereto. For purposes of settlement only, pursuant to Fed.R.Civ.P.23(a) and (b)(3), the Court hereby certifies a Settlement Class consisting of all Persons (including both natural persons and entities) who purchased, acquired, sold, held, traded, or otherwise had any interest in, BBSWBased - Derivatives during the period January 1, 2003 through August 16, 2016, inclusive, provided that, if Representative Plaintiffs expand the putative or certified class in this Action in or through any subsequent amended complaint, class motion, or Other Settlement, the defined Settlement Class in this Order and the Settlement Agreement shall be expanded so as to be coterminous with such expansion. As further set forth in this order. The Court hereby orders Westpac to produce documents to the Representative Plaintiffs consistent with and solely to the extent of its cooperation obligations provided in Section 5 of the Settlement Agreement. If any deadline falls on a Saturday, Sunday, or legal holiday, such deadline shall be extended until the next Business Day that is not a Saturday, Sunday, or legal holiday. ENTERED this 1st day of February, 2022. (Signed by Judge Lewis A. Kaplan on 2/1/2022) (ks)
February 1, 2022 Opinion or Order Set/Reset Deadlines: Deposition due by 12/15/2022. Fact Discovery due by 9/15/2022. Motions due by 7/29/2022. (ks)
January 26, 2022 Opinion or Order Filing 516 MEMO ENDORSED ORDER granting #515 Motion to Withdraw as Attorney. Granted. (Attorney Jonathan Thomas Menitove terminated.) (Signed by Judge Lewis A. Kaplan on 1/26/22) (yv)
January 25, 2022 Opinion or Order Filing 515 MOTION for Jonathan T. Menitove to Withdraw as Attorney . Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A...(Turner, Alan)
January 14, 2022 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #510 Proposed Order #514 Proposed Order #513 Proposed Order #509 Proposed Order #512 Proposed Order #511 Proposed Order was reviewed and approved as to form. (km)
January 13, 2022 Opinion or Order Filing 514 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #507 ..(McGrath, Christopher) Proposed Order to be reviewed by Clerk's Office staff.
January 13, 2022 Opinion or Order Filing 513 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #507 ..(McGrath, Christopher) Proposed Order to be reviewed by Clerk's Office staff.
January 13, 2022 Opinion or Order Filing 512 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #507 ..(McGrath, Christopher) Proposed Order to be reviewed by Clerk's Office staff.
January 13, 2022 Opinion or Order Filing 511 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #507 ..(McGrath, Christopher) Proposed Order to be reviewed by Clerk's Office staff.
January 13, 2022 Opinion or Order Filing 510 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #507 ..(McGrath, Christopher) Proposed Order to be reviewed by Clerk's Office staff.
January 13, 2022 Opinion or Order Filing 509 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #507 ..(McGrath, Christopher) Proposed Order to be reviewed by Clerk's Office staff.
January 13, 2022 Opinion or Order Filing 508 DECLARATION of Vincent Briganti and Christopher McGrath in Support re: #506 MOTION for Settlement For Superseding Orders For Conditional Class Certification For Purposes of Class Action Settlement.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12).(McGrath, Christopher)
January 13, 2022 Opinion or Order Filing 507 MEMORANDUM OF LAW in Support re: #506 MOTION for Settlement For Superseding Orders For Conditional Class Certification For Purposes of Class Action Settlement. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(McGrath, Christopher)
January 13, 2022 Opinion or Order Filing 506 MOTION for Settlement For Superseding Orders For Conditional Class Certification For Purposes of Class Action Settlement. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(McGrath, Christopher)
December 28, 2021 Opinion or Order Filing 505 NOTICE of Compliance with 28 U.S.C. 1715. Document filed by Morgan Stanley, Morgan Stanley Australia Limited..(Roellke, Jon)
December 28, 2021 Opinion or Order Filing 504 NOTICE of Compliance With 28 U.S.C. 1715. Document filed by National Australia Bank Limited..(Carter, Jonathan)
December 27, 2021 Opinion or Order Filing 503 NOTICE of of Compliance with 28 U.S.C. 1715. Document filed by Australia and New Zealand Banking Group Ltd...(Shane, Penny)
December 27, 2021 Opinion or Order Filing 502 NOTICE of Compliance with 28 U.S.C. 1715. Document filed by Commonwealth Bank of Australia..(Scott, Jeffrey)
December 20, 2021 Opinion or Order Filing 501 INTERNET CITATION NOTE: Material from decision with Internet citation re: #227 Memorandum & Opinion. (sjo)
December 20, 2021 Opinion or Order Filing 500 INTERNET CITATION NOTE: Material from decision with Internet citation re: #227 Memorandum & Opinion. (sjo)
December 20, 2021 Opinion or Order Filing 499 INTERNET CITATION NOTE: Material from decision with Internet citation re: #227 Memorandum & Opinion. (sjo)
December 20, 2021 Opinion or Order Filing 498 INTERNET CITATION NOTE: Material from decision with Internet citation re: #227 Memorandum & Opinion. (sjo)
December 20, 2021 Opinion or Order Filing 497 INTERNET CITATION NOTE: Material from decision with Internet citation re: #227 Memorandum & Opinion. (sjo)
December 20, 2021 Opinion or Order Filing 496 INTERNET CITATION NOTE: Material from decision with Internet citation re: #227 Memorandum & Opinion. (sjo)
December 20, 2021 Opinion or Order Filing 495 INTERNET CITATION NOTE: Material from decision with Internet citation re: #227 Memorandum & Opinion. (sjo)
December 13, 2021 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #492 Proposed Order #493 Proposed Order #494 Proposed Order #491 Proposed Order was reviewed and approved as to form. (km)
December 10, 2021 Opinion or Order Filing 494 PROPOSED ORDER. Document filed by Richard Dennis, Orange County Employees Retirement System. Related Document Number: #488 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
December 10, 2021 Opinion or Order Filing 493 PROPOSED ORDER. Document filed by Richard Dennis, Orange County Employees Retirement System. Related Document Number: #488 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
December 10, 2021 Opinion or Order Filing 492 PROPOSED ORDER. Document filed by Richard Dennis, Orange County Employees Retirement System. Related Document Number: #488 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
December 10, 2021 Opinion or Order Filing 491 PROPOSED ORDER. Document filed by Richard Dennis, Orange County Employees Retirement System. Related Document Number: #488 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
December 10, 2021 Opinion or Order Filing 490 DECLARATION of Vincent Briganti and Christopher McGrath in Support re: #488 MOTION to Certify Class Conditionally for Purposes of Class Action Settlements.. Document filed by Richard Dennis, Orange County Employees Retirement System. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4).(Briganti, Vincent)
December 10, 2021 Opinion or Order Filing 489 MEMORANDUM OF LAW in Support re: #488 MOTION to Certify Class Conditionally for Purposes of Class Action Settlements. . Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
December 10, 2021 Opinion or Order Filing 488 MOTION to Certify Class Conditionally for Purposes of Class Action Settlements. Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
December 10, 2021 Opinion or Order Filing 487 NOTICE OF APPEARANCE by Jonathan Sloan Carter on behalf of National Australia Bank Limited..(Carter, Jonathan)
November 24, 2021 Opinion or Order Filing 486 PROPOSED CASE MANAGEMENT PLAN. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd...(Lovell, Christopher)
November 17, 2021 Opinion or Order Filing 485 NOTICE OF CHANGE OF ADDRESS by Lisa Jean Fried on behalf of Lloyds Banking Group plc. New Address: Herbert Smith Freehills New York LLP, 450 Lexington Avenue, New York, NY, United States 10017, 917-542-7600..(Fried, Lisa)
November 10, 2021 Opinion or Order Filing 484 MEMORANDUM OF LAW in Support re: #483 MOTION For an order, inter alia, that modifies the fact discovery deadline and certain other deadlines in the Joint Case Management Plan and Scheduling Order . . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit Proposed Amended Schedule).(Lovell, Christopher)
November 10, 2021 Opinion or Order Filing 483 MOTION For an order, inter alia, that modifies the fact discovery deadline and certain other deadlines in the Joint Case Management Plan and Scheduling Order . Document filed by FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Lovell, Christopher)
November 2, 2021 Opinion or Order Filing 482 NOTICE OF CHANGE OF ADDRESS by Marc Joel Gottridge on behalf of Lloyds Banking Group plc. New Address: Herbert Smith Freehills New York LLP, 450 Lexington Avenue, New York, NY, United States 10017, 19175427600..(Gottridge, Marc)
October 14, 2021 Opinion or Order Filing 481 MEMO ENDORSED ORDER granting #478 Motion to Withdraw as Attorney. ENDORSEMENT: So Ordered. (Attorney Breon Stacey Peace terminated.) (Signed by Judge Lewis A. Kaplan on 10/14/21) (yv)
October 13, 2021 Opinion or Order Filing 480 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by HSBC Bank Australia Limited, HSBC Holdings plc. Related Document Number: #478 ..(Peace, Breon)
October 13, 2021 Opinion or Order Filing 479 DECLARATION of Breon S. Peace in Support re: #478 MOTION for Breon S. Peace to Withdraw as Attorney .. Document filed by HSBC Bank Australia Limited, HSBC Holdings plc..(Peace, Breon)
October 13, 2021 Opinion or Order Filing 478 MOTION for Breon S. Peace to Withdraw as Attorney . Document filed by HSBC Bank Australia Limited, HSBC Holdings plc..(Peace, Breon)
September 24, 2021 Opinion or Order Filing 477 LETTER MOTION for Extension of Time of the deadline in the Case Management and Scheduling Order, ECF No. 364 addressed to Judge Lewis A. Kaplan from Christopher Lovell dated September 24, 2021. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P.. (Attachments: #1 Exhibit Stipulation [Proposed] Modification, #2 Text of Proposed Order).(Lovell, Christopher)
September 15, 2021 Opinion or Order Filing 476 ORDER granting #425 Letter Motion to Seal. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/15/2021) (va)
September 15, 2021 Opinion or Order Filing 475 ORDER denying without prejudice #428 Letter Motion for Discovery (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
August 27, 2021 Opinion or Order Filing 474 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Vincent Briganti dated 8/30/2021 re: respectfully request a forty-five (45) day extension. ENDORSEMENT: Granted. So Ordered. ( Motions due by 10/18/2021.) (Signed by Judge Lewis A. Kaplan on 9/1/2021) (va)
August 24, 2021 Opinion or Order Filing 473 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by RBS Group (Australia) Pty Limited, RBS N.V., The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC. (Attachments: #1 Declaration of Jamie S. Dycus).(Dycus, Jamie)
July 16, 2021 Opinion or Order Filing 472 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from LOVELL STEWART HALEBIAN JACOBSON LLP dated 7/15/21 re: request for extension. ENDORSEMENT: Granted SO ORDERED., ( Motions due by 9/2/2021.) (Signed by Judge Lewis A. Kaplan on 7/16/21) (yv)
July 13, 2021 Opinion or Order Filing 471 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Kelly Carrero dated 7/12/21 re: discovery dispute resolved. ENDORSEMENT: Dkts. 426 and 427 are denied. The denial is without prejudice to renewal if the parties cannot resolve them by agreement. So Ordered. (Signed by Judge Lewis A. Kaplan on 7/13/21) (yv)
June 22, 2021 Opinion or Order Filing 470 ORDER: The time of plaintiffs to submit a consolidated motion for conditional class certification of a settlement class in connection with plaintffs' proposed settlements with Australia and New Zealand Banking Group Ltd., Commonwealth Bank of Australia, Morgan Stanley, and Morgan Stanley Australia Limited and for related relief is extended to and including July 19, 2021., (Motions due by 7/19/2021.) (Signed by Judge Lewis A. Kaplan on 6/21/2021) (nb)
May 11, 2021 Opinion or Order Filing 469 MEMORANDUM OPINION: Defendants' motions for judgment on the pleadings [Dkts. 390,396] are denied. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/11/2021) (vfr)
May 5, 2021 Opinion or Order Filing 468 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #467 Motion to Withdraw as Attorney. The motion of Elizabeth A. Cassady to withdraw as counsel for Defendant Australia and New Zealand Banking Group Limited, and to be removed from the CM/ECF service list for this matter, is GRANTED. Attorney Elizabeth A Cassady terminated. (Signed by Judge Lewis A. Kaplan on 5/5/2021) (mro)
May 4, 2021 Opinion or Order Filing 467 MOTION for Elizabeth A. Cassady to Withdraw as Attorney . Document filed by Australia and New Zealand Banking Group Ltd.. (Attachments: #1 Text of Proposed Order).(Cassady, Elizabeth)
May 3, 2021 Opinion or Order Filing 466 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Christopher Lovell and Vincent Briganti dated 4/30/21 re: Counsel requests an extension from 5/5/21 to 6/21/21 for the plaintiffs to submit a consolidated motion. MEMO ENDORSEMENT: Granted. ( Motions due by 6/21/2021.) (Signed by Judge Lewis A. Kaplan on 5/3/2021) (mro)
May 3, 2021 Opinion or Order Filing 465 NOTICE OF CHANGE OF ADDRESS by Richard David Owens on behalf of Deutsche Bank AG. New Address: Latham & Watkins LLP, 1271 Avenue of the Americas, New York, New York, United States 10020, 212-906-1200..(Owens, Richard)
May 3, 2021 Opinion or Order Filing 464 NOTICE OF CHANGE OF ADDRESS by Jason Craig Hegt on behalf of Deutsche Bank AG. New Address: Latham & Watkins LLP, 1271 Avenue of the Americas, New York, New York, United States 10020, 212-906-1200..(Hegt, Jason)
May 3, 2021 Opinion or Order Filing 463 NOTICE OF CHANGE OF ADDRESS by William Oliver Reckler on behalf of Deutsche Bank AG. New Address: Latham & Watkins LLP, 1271 Avenue of the Americas, New York, New York, United States 10020, 212-906-1200..(Reckler, William)
April 6, 2021 Opinion or Order Filing 462 AMENDED RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate The Vanguard Group, Inc. for JPMorgan Chase & Co.. Document filed by JPMorgan Chase & Co...(Gluckow, Paul)
April 2, 2021 Opinion or Order Filing 461 ORDER: The time for Plaintiffs to submit a motion that will seek: (1) conditional certification of a settlement class in connection with Plaintiffs' proposed settlement with Defendants Morgan Stanley and Morgan Stanley Australia Limited ("Morgan Stanley"); and (2) approval of a program and fom1 of notice (and the scheduling of a fairness hearing) concerning Plaintiffs' proposed settlement with Morgan Stanley is extended to and including May 5, 2021. SO ORDERED. (Motions due by 5/5/2021.) (Signed by Judge Lewis A. Kaplan on 4/2/2021) (jca)
March 30, 2021 Opinion or Order Filing 460 SUPERSEDING ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK. N.A.: NOW, THEREFORE, IT IS HEREBY ORDERED that: 1. This Order supersedes the Court's November 28, 2018 Order [ECF 229]. 2. For purposes of settlement only, pursuant to Fed R Civ P 23(a) and (b)(3), the Court hereby certifies a Settlement Class consisting of all Persons (including both natural persons and entities) who purchased, acquired, sold, held, traded, or otherwise had any interest in, BBSW Based Derivatives during the period January 1, 2003 through August 16, 2016, inclusive, provided that, if Representative Plaintiffs expand the putative or certified class in this Action in or through any subsequent amended complaint, class motion, or Other Settlement, the defined Settlement Class in this Order and the Settlement Agreement shall be expanded so as to be coterminous with such expansion, as further set forth. 4. The Court appoints Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP as Class Counsel to such Settlement Class for purposes of the Settlement, having determined that the requirements of Rule 23(g) of the Federal Rules of Civil Procedure are fully satisfied by this appointment. 5. The Court appoints A.B. Data, Ltd. as Settlement Administrator for purposes of the Settlement. 6. The Court appoints Citibank, N.A. as Escrow Agent for purposes of the Settlement Fund defined in the Settlement Agreement, The Court approves the establishment of the Settlement Fund as qualified settlement funds pursuant to Section 468B of the Internal Revenue Code of 1986, as amended, and the Treasury Regulations promulgated thereunder. 7. The Court appoints Richard Dennis, Sonterra Capital Master Fund, Ltd., FrontPoint Financial Services Fund, L.P., FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., and Fund Liquidation Holdings, LLC, and any subsequently named plaintiff(s), including Orange County Employees Retirement System ("OCERS"), will serve as representatives of such Settlement Class for purposes of the Settlement. 8. All proceedings in the Action as to JPMorgan, other than proceedings as may be necessary to implement the proposed Settlement or to effectuate the terms of the Settlement Agreement, are hereby stayed and suspended until further order of this Court. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Jan 5, 2022 at 10:00 a.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. The foregoing date, time, and place of the Fairness Hearing shall be set forth in the Class Notice, which is ordered herein, but shall be subject to adjournment or change by the Court without further notice to the members of the Settlement Class, other than that which may be posted at the Court or on the Settlements website at www.BBSWSettlement.com, as further set forth. (Signed by Judge Lewis A. Kaplan on 3/30/2021) (mml) Modified on 4/1/2021 (mml).
March 30, 2021 Opinion or Order Filing 459 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH WESTPAC BANKING CORPORATION: NOW, THEREFORE, IT IS HEREBY ORDERED that: 1. All defined terms used in this Order shall have the same meanings as set forth in the Settlement Agreement, except as otherwise defined herein. Representative Plaintiffs and Westpac arc referred to collectively as the "Parties." 2. In the Action only and solely for purposes of the settlement, this Court: (i) has personal jurisdiction over Representative Plaintiffs and Westpac and all Settlement Class Members, and (ii) subject matter jurisdiction over the Action to consider the Settlement Agreement and all exhibits attached thereto. 5. The Court appoints Lowey Dannenberg, P.C. and Lovell Stewart Halebian Jacobson LLP as Class Counsel to such Settlement Class for purposes of the Settlement, having determined that the requirements of Rule 23(g) of the Federal Rules of Civil Procedure are fully satisfied by this appointment. 6. The Court appoints A.B. Data, Ltd. as Settlement Administrator for purposes of the Settlement. 7. The Court appoints Citibank, N.A. as Escrow Agent for purposes of the Settlement Fund defined in the Settlement Agreement. The Court approves the establishment of the Settlement Fund as qualified settlement funds pursuant to Section 468B of the Internal Revenue Code of 1986, as amended, and the Treasury Regulations promulgated thereunder. 8. The Court appoints Representative Plaintiffs Richard Dennis and OCERS as representatives of the Settlement Class for purposes of the Settlement. 9. All proceedings in the Action as to Westpac, other than proceedings as may be necessary to implement the proposed Settlement or to effectuate the terms of the Settlement Agreement, are hereby stayed and suspended until further order of this Court. 10. A hearing (the "Fairness Hearing") will be held on a date of the Court's convenience on Jan 5, 2022 at 10:00 a.m. in Courtroom 21B of this Courthouse before the undersigned, to consider the fairness, reasonableness, and adequacy of the Settlement Agreement. The foregoing date, time, and place of the Fairness Hearing shall be set forth in the Class Notice, which is ordered herein, but shall be subject to adjournment or change by the Court without further notice to the Settlement Class Members, other than that which may be posted at the Court or on the Settlements website at www.BBSWSettlement.com, as further set forth in this Order. (Signed by Judge Lewis A. Kaplan on 3/30/2021) (mml)
March 30, 2021 Opinion or Order Filing 458 ORDER denying without prejudice to renewal #400 Motion for Judgment on the Pleadings. The motion of defendant Australia and New Zealand Banking Group Ltd. for judgment on the pleadings (Dkt 400) is denied without prejudice to renewal by leave of Court. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/30/2021) (mml)
March 30, 2021 Opinion or Order Filing 457 ORDER granting #450 Motion to Certify Class (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
March 30, 2021 Opinion or Order Set/Reset Hearings: Fairness Hearing set for 1/5/2022 at 10:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan. (mml)
March 15, 2021 Opinion or Order Filing 456 ORDER granting #455 Motion to Withdraw as Attorney. Attorney Stephen Jay Obie terminated (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
March 12, 2021 Opinion or Order Filing 455 MOTION for Stephen J. Obie to Withdraw as Attorney . Document filed by BNP Paribas, S.A.. (Attachments: #1 Declaration of Stephen J. Obie in Support, #2 Proposed Order).(Obie, Stephen)
March 2, 2021 Opinion or Order Filing 454 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #450 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
March 2, 2021 Opinion or Order Filing 453 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #450 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
March 2, 2021 Opinion or Order Filing 452 DECLARATION of Vincent Briganti and Christopher McGrath in Support re: #450 MOTION to Certify Class Conditionally for Purposes of Class Action Settlement.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7).(Briganti, Vincent)
March 2, 2021 Opinion or Order Filing 451 MEMORANDUM OF LAW in Support re: #450 MOTION to Certify Class Conditionally for Purposes of Class Action Settlement. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Briganti, Vincent)
March 2, 2021 Opinion or Order Filing 450 MOTION to Certify Class Conditionally for Purposes of Class Action Settlement. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Text of Proposed Order, #2 Text of Proposed Order).(Briganti, Vincent)
March 2, 2021 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #454 Proposed Order #453 Proposed Order was reviewed and approved as to form. (km)
February 12, 2021 Opinion or Order Filing 449 ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED: Plaintiffs' counsel shall submit a further status report to the Court on or before June 10, 2021 advising the Court of the status of class notice. IT IS SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 2/12/2021) (ama)
February 10, 2021 Opinion or Order Filing 448 LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Vincent Briganti and Christopher Lovell dated February 10, 2021 re: Status of Settlement Class Notice Discovery. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Text of Proposed Order).(Briganti, Vincent)
February 10, 2021 Opinion or Order Filing 447 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Christopher Lovell and Vincent Briganti dated 2/9/2021 re: Accordingly, Plaintiffs respectfully request permission to file their anticipated motion for conditional certification by March 1, 2021. ENDORSEMENT: Granted. SO ORDERED., (Motions due by 3/1/2021.) (Signed by Judge Lewis A. Kaplan on 2/10/2021) (jca) Modified on 2/19/2021 (jca).
February 5, 2021 Opinion or Order Filing 446 NOTICE of of Withdrawal of Counsel. Document filed by Deutsche Bank AG..(Casola, Sharon)
January 22, 2021 Opinion or Order Filing 445 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Christopher Lovell and Vincent Briganti dated 1/15/2021 re: Accordingly, Plaintiffs respectfully request permission to file their anticipated motion by February 15, 2021. ENDORSEMENT: Granted. SO ORDERED., (Motions due by 2/15/2021.) (Signed by Judge Lewis A. Kaplan on 1/15/2021) (jca)
January 22, 2021 Opinion or Order Filing 444 MEMO ENDORSED granting #442 Motion to Withdraw as Attorney. ENDORSEMENT: So Ordered. Attorney Corey Omer terminated (Signed by Judge Lewis A. Kaplan on 1/22/2021) (js)
January 21, 2021 Opinion or Order Filing 443 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by Australia and New Zealand Banking Group Ltd.. Related Document Number: #442 ..(Omer, Corey)
January 21, 2021 Opinion or Order Filing 442 MOTION for Corey Omer to Withdraw as Attorney . Document filed by Australia and New Zealand Banking Group Ltd...(Omer, Corey)
December 17, 2020 Opinion or Order Filing 441 MEMO ENDORSEMENT granting #424 MOTION for Amir Alimehri to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. Attorney Amir Alimehri terminated. (Signed by Judge Lewis A. Kaplan on 12/17/2020) (jca)
December 17, 2020 Opinion or Order Filing 440 ORDER granting #437 Motion to Withdraw as Attorney. Attorney Anthony R. Van Vuren terminated (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
December 16, 2020 Opinion or Order Filing 439 PROPOSED ORDER. Document filed by Morgan Stanley, Morgan Stanley Australia Limited. Related Document Number: #437 ..(Van Vuren, Anthony) Proposed Order to be reviewed by Clerk's Office staff.
December 16, 2020 Opinion or Order Filing 438 DECLARATION of Anthony R. Van Vuren in Support re: #437 MOTION for Anthony R. Van Vuren to Withdraw as Attorney .. Document filed by Morgan Stanley, Morgan Stanley Australia Limited..(Van Vuren, Anthony)
December 16, 2020 Opinion or Order Filing 437 MOTION for Anthony R. Van Vuren to Withdraw as Attorney . Document filed by Morgan Stanley, Morgan Stanley Australia Limited..(Van Vuren, Anthony)
December 16, 2020 Opinion or Order Filing 436 NOTICE OF APPEARANCE by Elizabeth Irene Buechner on behalf of Morgan Stanley..(Buechner, Elizabeth)
December 16, 2020 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #439 Proposed Order was reviewed and approved as to form. (dt)
November 19, 2020 Opinion or Order Filing 435 EXPERT STIPULATION AND ORDER: NOW THEREFORE it is hereby stipulated and agreed as follows: 1. This Stipulation and Order shall govern discovery related to (a) testifying experts in this Action whose identities are required to be disclosed pursuant to Fed. R. Civ. P. 26(a)(2)(A) and this Stipulation and Order (hereinafter "testifying experts") and (b) non-testifying experts and consultants. The provisions of Fed. R. Civ. P. 26(b) (3)(A)-(C) and 26(b)(4)(A)-(D), effective December 1, 2010, shall apply to the protection of draft expert reports and communications between a party's attorney(s) (including Australian counsel) and the party's expert(s) to the extent that they are not inconsistent with the terms of this Order. To the extent this Stipulation and Order limits discovery that would otherwise be available pursuant to the Federal Rules of Civil Procedure, the Parties agree to abide by the limits set forth in this Stipulation and Order. Nothing in this Stipulation and Order constitutes an admission or concession that any of the information exempted from discovery by this Stipulation and Order would otherwise be discoverable or admissible. Further, nothing in this Stipulation and Order requires discovery of any information that would otherwise be protected by the attorney client privilege, work product doctrine, or other applicable privileges, doctrines, or protections, including, but not limited to, any and all applicable privileges, doctrines, or protections available under U.S. law, Australian law or the laws of any other country or territory. No discovery can be taken from any non-testifying expert or consultant, or from the staff of any testifying expert, non-testifying expert, or consultant. This Stipulation and Order may be amended only by a subsequent written stipulation among the Parties or upon order of the Court. This Stipulation and Order may be executed in counterparts and shall become effective as a stipulation as among the executing Parties immediately upon its execution by such executing Parties. (And as further set forth herein.) SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/19/2020) (jca)
November 18, 2020 Opinion or Order Filing 434 PROPOSED STIPULATION AND ORDER. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG..(Shane, Penny)
November 9, 2020 Opinion or Order Filing 433 LETTER RESPONSE in Opposition to Motion addressed to Judge Lewis A. Kaplan from Penny Shane dated November 9, 2020 re: #427 LETTER MOTION for Discovery Pursuant To Your Honor's Individual Practices Concerning Discovery Disputes addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 10/30/2020., #428 LETTER MOTION for Discovery Pursuant To Your Honor's Individual Practices Concerning Discovery Disputes addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 10/30/2020. . Document filed by Australia and New Zealand Banking Group Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D).(Shane, Penny)
November 9, 2020 Opinion or Order Filing 432 LETTER RESPONSE to Motion addressed to Judge Lewis A. Kaplan from Jayant W. Tambe dated November 9, 2020 re: #427 LETTER MOTION for Discovery Pursuant To Your Honor's Individual Practices Concerning Discovery Disputes addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 10/30/2020. . Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG. (Attachments: #1 Exhibit 1).(Tambe, Jayant)
November 9, 2020 Opinion or Order Filing 431 LETTER RESPONSE to Motion addressed to Judge Lewis A. Kaplan from David S. Lesser dated November 9, 2020 re: #428 LETTER MOTION for Discovery Pursuant To Your Honor's Individual Practices Concerning Discovery Disputes addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 10/30/2020. . Document filed by The Royal Bank of Scotland PLC..(Lesser, David)
November 2, 2020 Opinion or Order Filing 430 JOINT STIPULATION AND ORDER CONCERNING DEFENDANTS' TIME TO RESPOND TO PLAINTIFFS' DISCOVERY LETTER MOTIONS: NOW THEREFORE, the undersigned parties hereby STIPULATE that the time within which Defendants may respond to the Discovery Letter Motions, whether individual or joint responses, shall be extended by four (4) business days from November 3, 2020 to and including November 9, 2020. SO ORDERED., ( Responses due by 11/9/2020) (Signed by Judge Lewis A. Kaplan on 11/02/2020) (ama)
November 1, 2020 Opinion or Order Filing 429 PROPOSED STIPULATION AND ORDER. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG..(Tambe, Jayant)
October 30, 2020 Opinion or Order Filing 428 LETTER MOTION for Discovery Pursuant To Your Honor's Individual Practices Concerning Discovery Disputes addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 10/30/2020. Document filed by FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C).(Lovell, Christopher)
October 30, 2020 Opinion or Order Filing 427 LETTER MOTION for Discovery Pursuant To Your Honor's Individual Practices Concerning Discovery Disputes addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 10/30/2020. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C).(Lovell, Christopher)
October 30, 2020 Opinion or Order Filing 426 FILING ERROR - DEFICIENT DOCKET ENTRY - FILER ERROR (SEE #428) MOTION for Discovery Pursuant To Your Honor's Individual Practices Concerning Discovery Disputes. Document filed by Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A).(Lovell, Christopher) Modified on 11/2/2020 (kj).
October 30, 2020 Opinion or Order Filing 425 LETTER MOTION to Seal Leave to File Documents Under Seal addressed to Judge Lewis A. Kaplan from Christopher Lovell dated 10/30/2020. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd...(Lovell, Christopher)
October 26, 2020 Opinion or Order Filing 424 MOTION for Amir Alimehri to Withdraw as Attorney . Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
October 14, 2020 Opinion or Order Filing 423 ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED: 1. Class counsel shall submit a further status report to the Court on or before February 10, 2021 advising the Court of the status of class notice discovery, proposing the next steps in class notice, and addressing whether deferral of notice of the Settlement may be appropriate. (As further set forth in this Order.) (Signed by Magistrate Judge Gabriel W. Gorenstein on 10/13/2020) (cf)
October 13, 2020 Opinion or Order Filing 422 LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Vincent Briganti and Christopher Lovell dated October 13, 2020 re: Status of Settlement Class Notice Discovery. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Proposed Order).(Briganti, Vincent)
September 29, 2020 Opinion or Order Filing 421 NOTICE OF APPEARANCE by Alison Leigh Wollin on behalf of UBS AG..(Wollin, Alison)
September 25, 2020 Opinion or Order Filing 420 REPLY MEMORANDUM OF LAW in Support re: #400 MOTION for Judgment on the Pleadings . . Document filed by Australia and New Zealand Banking Group Ltd...(Shane, Penny)
September 23, 2020 Opinion or Order Filing 419 PROTOCOL GOVERNING DEPOSITIONS: granting #418 Letter Motion for Discovery. This Protocol shall continue in effect until modified by agreement of the Parties or order of the Court. And as set forth herein. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 9/23/2020) (ama)
September 21, 2020 Opinion or Order Filing 418 LETTER MOTION for Discovery regarding Proposed Protocol Governing Depositions addressed to Judge Lewis A. Kaplan from Jeffrey T. Scott dated 09/21/2020. Document filed by Commonwealth Bank of Australia. (Attachments: #1 Text of Proposed Order [Proposed] Protocol Governing Depositions).(Scott, Jeffrey)
September 14, 2020 Opinion or Order Filing 417 REPLY MEMORANDUM OF LAW in Support re: #396 MOTION for Judgment on the Pleadings . . Document filed by Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG..(Van Vuren, Anthony)
September 14, 2020 Opinion or Order Filing 416 REPLY MEMORANDUM OF LAW in Support re: #390 MOTION for Judgment on the Pleadings . . Document filed by BNP Paribas, S.A...(Tambe, Jayant)
September 11, 2020 Opinion or Order Filing 415 MEMORANDUM OF LAW in Opposition re: #400 MOTION for Judgment on the Pleadings . Plaintiffs' Memorandum of Law in Opposition to Motion for Rule 12(c) Judgment on the Pleadings by Defendant Australia and New Zealand Banking Group Ltd.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A).(Lovell, Christopher)
September 11, 2020 Opinion or Order Filing 414 ORDER granting #413 Letter Motion for Extension of Time to File. (Signed by Judge Lewis A. Kaplan on 9/11/2020) (Kaplan, Lewis)
September 10, 2020 Opinion or Order Filing 413 LETTER MOTION for Extension of Time to File Proposed Deposition Protocol addressed to Judge Lewis A. Kaplan from Jeffrey T. Scott dated 09/10/2020. Document filed by Commonwealth Bank of Australia..(Scott, Jeffrey)
August 28, 2020 Opinion or Order Filing 412 MEMORANDUM OF LAW in Opposition re: #396 MOTION for Judgment on the Pleadings . . Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
August 21, 2020 Opinion or Order Filing 411 NOTICE OF CHANGE OF ADDRESS by David George Januszewski on behalf of Credit Suisse AG, Credit Suisse Group AG. New Address: Cahill Gordon & Reindel LLP, 32 Old Slip, New York, New York, United States 10005, 2127013000..(Januszewski, David)
August 17, 2020 Opinion or Order Filing 410 STIPULATION AND ORDER CONCERNING DEFENDANTS DEUTSCHE BANK AG, MORGAN STANLEY, ROYAL BANK OF CANADA, THE ROYAL BANK OF SCOTLAND PLC, AND UBS AG RULE 12(c) MOTION: IT IS HEREBY ORDERED AS FOLLOWS: 1. Plaintiffs shall file their opposition to Defendants Rule 12(c) motion on or before August 28, 2020. 2. Defendants shall file any reply in further support of its Rule 12(c) motion on or before September 14, 2020. 3. The dates herein may be extended by further Order of the Court for good cause shown. (As further set forth in this Order.) (Responses due by 8/28/2020, Replies due by 9/14/2020.), Motions terminated: #409 LETTER MOTION for Extension of Time to File Response/Reply as to #396 MOTION for Judgment on the Pleadings . addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher Lovell dated August 14, 2020. filed by Richard Dennis, Orange County Employees Retirement System. (Signed by Judge Lewis A. Kaplan on 8/17/2020) (cf)
August 14, 2020 Opinion or Order Filing 409 LETTER MOTION for Extension of Time to File Response/Reply as to #396 MOTION for Judgment on the Pleadings . addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher Lovell dated August 14, 2020. Document filed by Richard Dennis, Orange County Employees Retirement System. (Attachments: #1 Text of Proposed Order).(Briganti, Vincent)
August 14, 2020 Opinion or Order Filing 408 ORDER granting #407 Letter Motion for Extension of Time to File Response/Reply re #400 MOTION for Judgment on the Pleadings . Responses due by 9/11/2020 Replies due by 9/25/2020.. (Signed by Judge Lewis A. Kaplan on 8/14/2020) (Kaplan, Lewis)
August 13, 2020 Opinion or Order Filing 407 LETTER MOTION for Extension of Time to File Response/Reply as to #400 MOTION for Judgment on the Pleadings . addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher Lovell dated August 13, 2020. Document filed by Richard Dennis, Orange County Employees Retirement System. (Attachments: #1 Text of Proposed Order).(Briganti, Vincent)
August 6, 2020 Opinion or Order Filing 406 NOTICE OF APPEARANCE by Melissa Lee Brumer on behalf of Royal Bank of Canada..(Brumer, Melissa)
August 6, 2020 Opinion or Order Filing 405 ORDER granting #399 Letter Motion to Seal. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/06/2020) (ama)
August 6, 2020 Opinion or Order Filing 404 STIPULATION AND ORDER CONCERNING DEFENDANT BNP PARIBAS RULE 12(c) MOTION, IT IS HEREBY ORDERED AS FOLLOWS: 1. Plaintiffs shall file their opposition to Defendant BNP's Rule 12(c) motion on or before August 28, 2020. 2. Defendant BNP shall file any reply in further support of its Rule 12(c) motion on or before September 14, 2020. Motions terminated: #395 LETTER MOTION for Extension of Time to File Response/Reply To Defendant BNP's Rule 12(c) Motion [ECF No. 391] addressed to Judge Lewis A. Kaplan from Christopher Lovell and Vince Briganti dated August 5, 2020. filed by Richard Dennis., Set Deadlines/Hearing as to #390 MOTION for Judgment on the Pleadings . :( Responses due by 8/28/2020, Replies due by 9/14/2020.) (Signed by Judge Lewis A. Kaplan on 8/6/20) (yv)
August 6, 2020 Opinion or Order Filing 403 ***SELECTED PARTIES***REDACTION by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Bank of New Zealand, Citibank N.A., Australia Branch, Citibank, N.A., Citigroup Inc., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., JPMorgan Chase Bank, N.A. Australia, John Does Nos. 1-50, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, Orange County Employees Retirement System, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation (Attachments: #1 Exhibit 3, #2 Exhibit 4)Motion or Order to File Under Seal: #399 .(Shane, Penny)
August 5, 2020 Opinion or Order Filing 402 DECLARATION of Penny Shane in Support re: #400 MOTION for Judgment on the Pleadings .. Document filed by Australia and New Zealand Banking Group Ltd.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7).(Shane, Penny)
August 5, 2020 Opinion or Order Filing 401 MEMORANDUM OF LAW in Support re: #400 MOTION for Judgment on the Pleadings . . Document filed by Australia and New Zealand Banking Group Ltd...(Shane, Penny)
August 5, 2020 Opinion or Order Filing 400 MOTION for Judgment on the Pleadings . Document filed by Australia and New Zealand Banking Group Ltd...(Shane, Penny)
August 5, 2020 Opinion or Order Filing 399 LETTER MOTION to Seal Exhibits addressed to Judge Lewis A. Kaplan from Penny Shane dated August 5, 2020. Document filed by Australia and New Zealand Banking Group Ltd...(Shane, Penny)
August 5, 2020 Opinion or Order Filing 398 DECLARATION of Jon R. Roellke in Support re: #396 MOTION for Judgment on the Pleadings .. Document filed by Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E).(Van Vuren, Anthony)
August 5, 2020 Opinion or Order Filing 397 MEMORANDUM OF LAW in Support re: #396 MOTION for Judgment on the Pleadings . . Document filed by Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG..(Van Vuren, Anthony)
August 5, 2020 Opinion or Order Filing 396 MOTION for Judgment on the Pleadings . Document filed by Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG..(Van Vuren, Anthony)
August 5, 2020 Opinion or Order Filing 395 LETTER MOTION for Extension of Time to File Response/Reply To Defendant BNP's Rule 12(c) Motion [ECF No. 391] addressed to Judge Lewis A. Kaplan from Christopher Lovell and Vince Briganti dated August 5, 2020. Document filed by Richard Dennis. (Attachments: #1 Text of Proposed Order).(Lovell, Christopher)
August 4, 2020 Opinion or Order Filing 394 ORDER: denying #350 Motion for Reconsideration. The motion for reconsideration [Dkt. 351] is denied. The Court considered and rejected defendants' arguments, to the extent hey are not attempting to raise new arguments, in its February 13, 2020 opinion [Dkt. 347]. These arguments are no more persuasive now than they were the first time, and defendants have failed to point to any controlling decisions or data that the Court overlooked. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/04/2020) (ama)
July 28, 2020 Opinion or Order Filing 393 NOTICE OF APPEARANCE by Peter Anthony Barile, III on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd...(Barile, Peter)
July 27, 2020 Opinion or Order Filing 392 DECLARATION of Kurt M. Gosselin in Support re: #390 MOTION for Judgment on the Pleadings .. Document filed by BNP Paribas, S.A.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D).(Tambe, Jayant)
July 27, 2020 Opinion or Order Filing 391 MEMORANDUM OF LAW in Support re: #390 MOTION for Judgment on the Pleadings . . Document filed by BNP Paribas, S.A...(Tambe, Jayant)
July 27, 2020 Opinion or Order Filing 390 MOTION for Judgment on the Pleadings . Document filed by BNP Paribas, S.A...(Tambe, Jayant)
July 20, 2020 Opinion or Order Filing 389 NOTICE OF APPEARANCE by Sharon Michelle Casola on behalf of Deutsche Bank AG..(Casola, Sharon)
July 17, 2020 Opinion or Order Filing 388 NOTICE OF APPEARANCE by Travis Carter on behalf of Richard Dennis, Orange County Employees Retirement System..(Carter, Travis)
June 17, 2020 Opinion or Order Filing 387 NOTICE OF APPEARANCE by Amir Alimehri on behalf of Richard Dennis, Orange County Employees Retirement System..(Alimehri, Amir)
June 17, 2020 Opinion or Order Filing 386 ORDER granting #372 LETTER MOTION to Seal Exhibits to Answers. GRANTED. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/17/2020) (jca)
June 16, 2020 Opinion or Order Filing 385 ***SELECTED PARTIES***REDACTION to #383 Answer to Amended Complaint Filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Bank of New Zealand, Citibank N.A., Australia Branch, Citibank, N.A., Citigroup Inc., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., JPMorgan Chase Bank, N.A. Australia, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, Orange County Employees Retirement System, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation (Attachments: #1 Exhibit A-1, #2 Exhibit A-2)Motion or Order to File Under Seal: #372 .(Shane, Penny)
June 16, 2020 Opinion or Order Filing 384 ANSWER to Complaint. Document filed by Deutsche Bank AG. (Attachments: #1 Exhibit A).(Hegt, Jason)
June 16, 2020 Opinion or Order Filing 383 ANSWER to #281 Amended Complaint,,,,,. Document filed by Australia and New Zealand Banking Group Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit A-1, #3 Exhibit A-2, #4 Exhibit B).(Shane, Penny)
June 16, 2020 Opinion or Order Filing 382 ***SELECTED PARTIES***ANSWER to #281 Amended Complaint,,,,,. Document filed by Deutsche Bank AG, Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Bank of New Zealand, Citibank N.A., Australia Branch, Citibank, N.A., Citigroup Inc., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., JPMorgan Chase Bank, N.A. Australia, John Does Nos. 1-50, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, Orange County Employees Retirement System, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation. (Attachments: #1 Exhibit A)Motion or Order to File Under Seal: #372 .(Hegt, Jason)
June 16, 2020 Opinion or Order Filing 381 ANSWER to #281 Amended Complaint,,,,,. Document filed by Westpac Banking Corporation..(Cameron, Timothy)
June 16, 2020 Opinion or Order Filing 380 ANSWER to #281 Amended Complaint,,,,,. Document filed by The Royal Bank of Scotland PLC..(Lesser, David)
June 16, 2020 Opinion or Order Filing 379 ANSWER to #281 Amended Complaint,,,,,. Document filed by Credit Suisse AG..(Januszewski, David)
June 16, 2020 Opinion or Order Filing 378 ANSWER to #281 Amended Complaint,,,,,. Document filed by Morgan Stanley..(Van Vuren, Anthony)
June 16, 2020 Opinion or Order Filing 377 ANSWER to #281 Amended Complaint,,,,,. Document filed by Commonwealth Bank of Australia..(Scott, Jeffrey)
June 16, 2020 Opinion or Order Filing 376 ANSWER to #281 Amended Complaint,,,,,. Document filed by Royal Bank of Canada..(Fishman, Marshall)
June 16, 2020 Opinion or Order Filing 375 ANSWER to #281 Amended Complaint,,,,,. Document filed by BNP Paribas, S.A...(Tambe, Jayant)
June 16, 2020 Opinion or Order Filing 374 NOTICE OF APPEARANCE by Kurt Michael Gosselin on behalf of BNP Paribas, S.A...(Gosselin, Kurt)
June 16, 2020 Opinion or Order Filing 373 ANSWER to #281 Amended Complaint,,,,,. Document filed by UBS AG..(Bell, Jefferson)
June 16, 2020 Opinion or Order Filing 372 LETTER MOTION to Seal Exhibits to Answers addressed to Judge Lewis A. Kaplan from Penny Shane dated June 16, 2020. Document filed by Australia and New Zealand Banking Group Ltd., Deutsche Bank AG..(Shane, Penny)
June 15, 2020 Opinion or Order Filing 371 PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material...Notwithstanding anything in the foregoing, any documents filed with the Court and sealed pursuant to this order shall be unsealed and made public on or after June 15, 2025 absent further order of the Court. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/15/2020) (jca)
June 15, 2020 Opinion or Order Filing 370 STIPULATION AND ORDER ESTABLISHING A PROTOCOL FOR THE PRODUCTION OF DOCUMENTS AND ELECTRONICALLY STORED INFORMATION: The Parties agree that they shall continue to take reasonable and proportional steps to preserve relevant Documents and ESI, including Metadata identified in Appendix A, in accordance with their obligations under the Federal Rules of Civil Procedure and applicable law. The parties will meet and confer regarding the scope of preservation, including custodians, data sources, date ranges, and categories of information that have been or should be preserved in connection with this litigation. By preserving or producing information for the purpose of this Action, the Parties are not conceding that such material is discoverable. Where a discovery request requires production of Structured Data, in lieu of producing structured data systems or applications, the Parties shall meet and confer on the content and format of a data extraction from such structured data source. If the Parties cannot resolve their disagreements regarding a proposed search methodology, they shall promptly bring the dispute to the Court for resolution. The Parties agree to produce Hard Copy Documents in the formats described below, to the extent reasonably feasible and not unduly burdensome. In scanning paper documents, distinct documents should not be merged into a single record, and single documents should not be split into multiple records (i.e., paper documents should be logically unitized). The Parties agree to produce unstructured ESI in the formats described below. The Parties agree that with respect to the above-referenced metadata fields that there is no obligation for a Producing Party to rename metadata fields as long as all fields above are accounted for (if applicable). (And as further set forth herein.) IT IS SO ORDERED. (Signed by Judge Lewis A. Kaplan on 6/15/2020) (jca) Modified on 6/16/2020 (jca).
June 15, 2020 Opinion or Order Filing 369 ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED: Class counsel shall submit a further status report to the Court on or before October 13, 2020 advising the Court of the status of class notice discovery, proposing the next steps in class notice, and addressing whether deferral of notice of the Settlement may be appropriate. IT IS SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 6/15/2020) (ama)
June 15, 2020 Opinion or Order Filing 368 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #367 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
June 15, 2020 Opinion or Order Filing 367 LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Vincent Briganti and Christopher Lovell dated June 15, 2020 re: Status of Settlement Class Notice Discovery. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Proposed Order).(Briganti, Vincent)
June 15, 2020 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #368 Proposed Order was reviewed and approved as to form. (km)
June 12, 2020 Opinion or Order Filing 366 PROPOSED STIPULATION AND ORDER. Document filed by UBS AG..(Bell, Jefferson)
June 12, 2020 Opinion or Order Filing 365 PROPOSED PROTECTIVE ORDER. Document filed by UBS AG..(Bell, Jefferson)
April 10, 2020 Opinion or Order Filing 364 JOINT CASE MANAGEMENT PLAN AND SCHEDULING ORDER granting #361 LETTER MOTION for Extension of Time for dates set forth in attached Amended Proposed Joint Case Management Plan and Scheduling Order. Defendants' answers to the Second Amended Class Action Complaint shall be filed by June 16, 2020. The parties shall agree, and submit to the Court for review, an ESI Protocol and Protective Order by June 12, 2020. Discovery regarding Plaintiffs' class certification expert(s) to be completed by the later of June 1, 2021, or 60 days after the filing of the class motion. Defendants' opposition, including any expert report(s) in opposition, to class certification (and any Daubert motion) shall be due: by the later of June 28, 2021 or 90 days after the filing of the class motion. Discovery regarding Defendants' class certification expert(s) to be completed: by the later of July 27, 2021 or 30 days after filing of Defendants opposition to class certification. Plaintiffs' reply, including any expert report(s) in support of its class certification motion (and any Daubert motion against Defendants' experts) shall be due by the later of August 10, 2021 or 43 days after filing of Defendants opposition to class certification. All fact discovery shall be completed by November 15, 2021. The parties shall submit the plan for any such motions to the Court within 21 days following each notice. Papers in opposition to motions in limine shall be filed 14 days before trial. Reply papers in support of motions in limine shall be filed 7 days before trial. If no party moves for summary judgment, then filing of pretrial order and, if there is to be a jury trial, proposed jury instructions and requested voir dire questions, shall be filed by May 3, 2022. (And as further set forth herein.) (Signed by Judge Lewis A. Kaplan on 4/10/2020) (jca)
April 10, 2020 Opinion or Order Filing 363 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 3/5/2020 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly)
April 10, 2020 Opinion or Order Filing 362 TRANSCRIPT of Proceedings re: conference held on 3/5/2020 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Martha Martin, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/1/2020. Redacted Transcript Deadline set for 5/11/2020. Release of Transcript Restriction set for 7/9/2020..(McGuirk, Kelly)
April 10, 2020 Opinion or Order Set/Reset Deadlines: Australia and New Zealand Banking Group Ltd. answer due 6/16/2020; BNP Paribas, S.A. answer due 6/16/2020; Bank of New Zealand answer due 6/16/2020; Citibank N.A., Australia Branch answer due 6/16/2020; Citibank, N.A. answer due 6/16/2020; Citigroup Inc. answer due 6/16/2020; Commonwealth Bank of Australia answer due 6/16/2020; Credit Suisse AG answer due 6/16/2020; Credit Suisse Group AG answer due 6/16/2020; Deutsche Bank AG answer due 6/16/2020; HSBC Bank Australia Limited answer due 6/16/2020; HSBC Holdings plc answer due 6/16/2020; ICAP Australia Pty Ltd. answer due 6/16/2020; ICAP plc answer due 6/16/2020; JPMorgan Chase & Co. answer due 6/16/2020; JPMorgan Chase Bank, N.A. answer due 6/16/2020; JPMorgan Chase Bank, N.A. Australia answer due 6/16/2020; John Does Nos. 1-50 answer due 6/16/2020; LLoyds Bank PLC answer due 6/16/2020; Lloyds Banking Group plc answer due 6/16/2020; Macquarie Bank Ltd. answer due 6/16/2020; Macquarie Group Ltd. answer due 6/16/2020; Morgan Stanley answer due 6/16/2020; Morgan Stanley Australia Limited answer due 6/16/2020; National Australia Bank Limited answer due 6/16/2020; RBC Capital Markets LLC answer due 6/16/2020; RBS Group (Australia) Pty Limited answer due 6/16/2020; RBS N.V. answer due 6/16/2020; Royal Bank of Canada answer due 6/16/2020; Royal Bank of Scotland PLC answer due 6/16/2020; The Royal Bank of Scotland Group PLC answer due 6/16/2020; The Royal Bank of Scotland PLC answer due 6/16/2020; Tullett Prebon (Australia) Pty Ltd. answer due 6/16/2020; Tullett Prebon PLC answer due 6/16/2020; UBS AG answer due 6/16/2020; Westpac Banking Corporation answer due 6/16/2020. (jca)
April 10, 2020 Opinion or Order Set/Reset Deadlines: Discovery due by 7/27/2021. Fact Discovery due by 11/15/2021. Motions due by 3/30/2021. Pretrial Order due by 5/3/2022. Responses due by 6/28/2021 Replies due by 8/10/2021. (jca)
March 27, 2020 Opinion or Order Filing 361 LETTER MOTION for Extension of Time for dates set forth in attached Amended Proposed Joint Case Management Plan and Scheduling Order addressed to Judge Lewis A. Kaplan from Undersigned Defendants dated March 27, 2020. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation. (Attachments: #1 Exhibit A - Amended Proposed Joint Case Management Plan and Scheduling Order, #2 Exhibit B - Comparison to the Schedule Submitted on March 16, 2020).(Januszewski, David)
March 19, 2020 Opinion or Order Filing 360 REPLY MEMORANDUM OF LAW in Support re: #350 MOTION for Reconsideration re; #347 Order on Motion to Dismiss,, Order on Motion for Discovery,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, . . Document filed by Australia and New Zealand Banking Group Ltd., Commonwealth Bank of Australia..(Shane, Penny)
March 16, 2020 Opinion or Order Filing 359 JOINT LETTER addressed to Judge Lewis A. Kaplan from the Parties dated March 16, 2020 re: Proposed Case Management Plan and Scheduling Order. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation. (Attachments: #1 Exhibit A - Proposed Case Management Plan).(Januszewski, David)
March 16, 2020 Opinion or Order Filing 358 ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED: Class Counsel shall submit a further status report to the Court on or before June 15, 2020 advising the Court of the status of class notice discovery, proposing the next steps in class notice, and addressing whether deferral of notice of the Settlement may be appropriate. IT IS SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 3/16/2020) (ama)
March 16, 2020 Opinion or Order Filing 357 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. Related Document Number: #356 ..(Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
March 16, 2020 Opinion or Order Filing 356 LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Vincent Briganti and Christopher Lovell dated March 16, 2020 re: Report on status of settlement class notice. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Text of Proposed Order).(Briganti, Vincent)
March 16, 2020 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #357 Proposed Order, was reviewed and approved as to form. (dt)
March 12, 2020 Opinion or Order Filing 355 MEMORANDUM OF LAW in Opposition re: #350 MOTION for Reconsideration re; #347 Order on Motion to Dismiss,, Order on Motion for Discovery,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, . . Document filed by Richard Dennis, Orange County Employees Retirement System..(Briganti, Vincent)
March 12, 2020 Opinion or Order Filing 354 NOTICE OF APPEARANCE by Elizabeth A Cassady on behalf of Australia and New Zealand Banking Group Ltd...(Cassady, Elizabeth)
March 5, 2020 Opinion or Order Minute Entry for proceedings held before Judge Lewis A. Kaplan: Status Conference held on 3/5/2020. (Court Reporter Martha Martin) (Mohan, Andrew)
March 3, 2020 Opinion or Order Filing 353 NOTICE OF APPEARANCE by Lauren Michelle Rosenberg on behalf of Westpac Banking Corporation..(Rosenberg, Lauren)
February 28, 2020 Opinion or Order Filing 352 STIPULATION AND ORDER REGARDING TIME TO RESPOND TO THE SECOND AMENDED COMPLAINT: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED as follows: 1. The time for the Stipulating Defendants to answer the Second Amended Complaint is extended to and includes April 17, 2020. (And as further set forth herein.) SO ORDERED. Australia and New Zealand Banking Group Ltd. answer due 4/17/2017; BNP Paribas, S.A. answer due 4/17/2017; Commonwealth Bank of Australia answer due 4/17/2017; Credit Suisse AG answer due 4/17/2017; Deutsche Bank AG answer due 4/17/2017; Morgan Stanley answer due 4/17/2017; Royal Bank of Canada answer due 4/17/2017; The Royal Bank of Scotland PLC answer due 4/17/2017; UBS AG answer due 4/17/2017; Westpac Banking Corporation answer due 4/17/2017. (Signed by Judge Lewis A. Kaplan on 2/28/2020) (jca)
February 27, 2020 Opinion or Order Filing 351 MEMORANDUM OF LAW in Support re: #350 MOTION for Reconsideration re; #347 Order on Motion to Dismiss,, Order on Motion for Discovery,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, . . Document filed by Australia and New Zealand Banking Group Ltd., Commonwealth Bank of Australia..(Shane, Penny)
February 27, 2020 Opinion or Order Filing 350 MOTION for Reconsideration re; #347 Order on Motion to Dismiss,, Order on Motion for Discovery,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, . Document filed by Australia and New Zealand Banking Group Ltd., Commonwealth Bank of Australia..(Shane, Penny)
February 25, 2020 Opinion or Order Filing 349 PROPOSED STIPULATION AND ORDER. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, Morgan Stanley, Royal Bank of Canada, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation..(Januszewski, David)
February 13, 2020 Opinion or Order Filing 348 ORDER: A conference will be held on March 5, 2020 at 10:00 AM. SO ORDERED. (Status Conference set for 3/5/2020 at 10:00 AM before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 2/13/2020) (jca)
February 13, 2020 Opinion or Order Filing 347 ORDER granting in part and denying in part #303 Motion to Dismiss; granting #306 Motion to Dismiss; denying #261 Motion for Discovery; granting in part and denying in part #298 Motion to Dismiss. 1. Defendants' Motion to Dismiss the ORDER granting in part and denying in part #303 Motion to Dismiss; granting #306 Motion to Dismiss; denying #261 Motion for Discovery; granting in part and denying in part #298 Motion to Dismiss. 1. Defendants' Motion to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim [DI-298] is granted to the extent that (1) the claims of all plaintiffs except OCERS against all moving defendants are dismissed Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim [DI-298] is granted to the extent that (1) the claims of all plaintiffs except OCERS against all moving defendants are dismissed for lack of personal jurisdiction. (2) OCERS's claims against the seven defendants that it does not allege consented to personal jurisdiction are dismissed for lack of personal jurisdiction, and (3) OCERS's CEA claim asserted in its rep for lack of personal jurisdiction. (2) OCERS's claims against the seven defendants that it does not allege consented to personal jurisdiction are dismissed for lack of personal jurisdiction, and (3) OCERS's CEA claim asserted in its representative capacity is dismissed as untimely. The motion otherwise is denied. 2. Plaintiffs' Motion for Jurisdictional Discovery [DI-261] is denied. 3. Morgan Stanley and Morgan Stanley Australia Limited' s Motion to Dismiss [DI-303] isresentative capacity is dismissed as untimely. The motion otherwise is denied. 2. Plaintiffs' Motion for Jurisdictional Discovery [DI-261] is denied. 3. Morgan Stanley and Morgan Stanley Australia Limited' s Motion to Dismiss [DI-303] is granted to the extent that OCERS's claim for breach of the implied covenant of good faith and fair dealing against Morgan Stanley and Morgan Stanley Australia Limited is dismissed. The motion otherwise is denied. 4. RBC Capital Markets LLC granted to the extent that OCERS's claim for breach of the implied covenant of good faith and fair dealing against Morgan Stanley and Morgan Stanley Australia Limited is dismissed. The motion otherwise is denied. 4. RBC Capital Markets LLC's Motion to Dismiss the Second Amended Class Action Complaint [DI-306] is granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/13/2020) (jca) Transmission to Orders and Judgments Clerk for processing. (Main Document 347 replaced on 2/139;s Motion to Dismiss the Second Amended Class Action Complaint [DI-306] is granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/13/2020) (jca) Transmission to Orders and Judgments Clerk for processing. (Main Document 347 replaced on 2/13/2020) (Mohan, Andrew). 3/2020) (Mohan, Andrew).
February 10, 2020 Opinion or Order Filing 346 NOTICE OF APPEARANCE by Jason Craig Hegt on behalf of Deutsche Bank AG..(Hegt, Jason)
February 10, 2020 Opinion or Order Filing 345 NOTICE OF APPEARANCE by William Oliver Reckler on behalf of Deutsche Bank AG..(Reckler, William)
February 10, 2020 Opinion or Order Filing 344 NOTICE OF APPEARANCE by Richard David Owens on behalf of Deutsche Bank AG..(Owens, Richard)
February 3, 2020 Opinion or Order Filing 343 STIPULATION AND ORDER SUBSTITUTING COUNSEL: It is hereby stipulated and agreed, by and between the undersigned, that Richard D. Owens. William O. Reckler, and Jason C. Hegt of the law firm Latham & Watkins LLP be substituted as counsel for Defendant Deutsche Bank AG in the place of Andrew J. Lichtman, Stephen L. Ascher, and Thomas J. Perrelli of the law firm Jenner & Block LLP. SO ORDERED. Attorney Richard David Owens,William Oliver Reckler,Jason Craig Hegt for Deutsche Bank AG added. Attorney Thomas J. Perrelli; Stephen Louis Ascher and Andrew Joshua Lichtman terminated. (Signed by Judge Lewis A. Kaplan on 2/3/2020) (jca)
January 31, 2020 Opinion or Order Filing 342 DECLARATION of Andrew J. Lichtman in Support re: #341 Proposed Stipulation and Order. Document filed by Deutsche Bank AG. (Hegt, Jason)
January 31, 2020 Opinion or Order Filing 341 PROPOSED STIPULATION AND ORDER. Document filed by Deutsche Bank AG. (Hegt, Jason)
January 14, 2020 Opinion or Order Filing 340 NOTICE OF APPEARANCE by Charles Z Kopel on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Kopel, Charles)
December 20, 2019 Opinion or Order Filing 339 ORDER: Upon the motion for Lewis J. Liman for leave to withdraw as counsel for Defendants HSBC Holdings plc and HSBC Bank Australia Limited, IT IS HEREBY ORDERED: The motion is granted. (Signed by Magistrate Judge Gabriel W. Gorenstein on 12/20/2019) (mro)
December 20, 2019 Opinion or Order Filing 338 ORDER granting #335 MOTION for Lewis J. Liman to Withdraw as Attorney. Upon the motion for Lewis J. Liman for leave to withdraw as counsel for Defendants HSBC Holdings plc and HSBC Bank Australia Limited, IT IS HEREBY ORDERED: The motion is granted. SO ORDERED. Attorney Lewis J. Liman terminated. (Signed by Judge Lewis A. Kaplan on 12/20/2019) (jca)
December 20, 2019 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #337 Proposed Order was reviewed and approved as to form. (km)
December 19, 2019 Opinion or Order Filing 337 PROPOSED ORDER. Document filed by HSBC Bank Australia Limited, HSBC Holdings plc. Related Document Number: #335 . (Liman, Lewis) Proposed Order to be reviewed by Clerk's Office staff.
December 19, 2019 Opinion or Order Filing 336 DECLARATION of Lewis J. Liman, dated December 19, 2019 in Support re: #335 MOTION for Lewis J. Liman to Withdraw as Attorney .. Document filed by HSBC Bank Australia Limited, HSBC Holdings plc. (Liman, Lewis)
December 19, 2019 Opinion or Order Filing 335 MOTION for Lewis J. Liman to Withdraw as Attorney . Document filed by HSBC Bank Australia Limited, HSBC Holdings plc.(Liman, Lewis)
December 17, 2019 Opinion or Order Filing 334 ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED: 1. Class Counsel shall submit a further status report to the Court on or before March 16, 2020 advising the Court of the status of class notice discovery, proposing the next steps in class notice, and addressing whether deferral of notice of the Settlement may be appropriate. IT IS SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 12/17/2019) (ama)
December 16, 2019 Opinion or Order Filing 333 LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Christopher Lovell dated 12/16/2019 re: Staus of The Class Notice Discovery. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Text of Proposed Order)(Lovell, Christopher)
August 27, 2019 Opinion or Order Filing 332 ORDER: NOW, THEREFORE, IT IS HEREBY ORDERED: 1. A.B. Data, Ltd. is hereby appointed as Settlement Administrator for purposes of the Settlement. 2. The Settlement Administrator is directed to establish and maintain a Settlement website, www.BBSWSettlement.com, as soon as practicable. 3. The form of the preliminary notice submitted by Class Counsel in connection with the July 31 Report is hereby approved. The preliminary notice shall be posted on the Settlement website as soon as practicable. 4. Class Counsel shall submit a further report to the Court on or before December 16, 2019 advising the Court of the status of class notice discovery, proposing the next steps in class notice, and addressing whether deferral of notice of the Settlement may be appropriate. IT IS SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 8/27/2019) (ama)
August 27, 2019 Opinion or Order Filing 331 ORDER REFERRING CASE TO MAGISTRATE JUDGE: Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Specific Non-Dispositive Motion/Dispute; DI # 329 - Letter dated 7/31/2019. Referred to Magistrate Judge Gabriel W. Gorenstein. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/21/2019) (jca)
August 22, 2019 Opinion or Order Filing 330 SEALED DOCUMENT placed in vault.(mhe)
August 21, 2019 Opinion or Order Filing 329 LETTER addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher Lovell dated 7/31/2019 re: Pursuant to the Court's 1/16/2019 order (DI 265) to 1) update the court on the ongoing discovery effors concerning potential Class members' names and addresses, 2) move for the appointment of A.B. Data, Ltd. as settlement administrator and for leave to establish a settlement website and post a preliminary Settlement notice on the settlement website, and 3) request the Court direct Class Counsel to submit a further status report to the Court on or before 12/16/2019 to advise the Court, after the ongoing discovery is substantialy completed, whether it is appropriate to defer sending notice of the settlement. Document filed by Richard Dennis.(Mohan, Andrew)
August 21, 2019 Opinion or Order Filing 328 ORDER granting #323 LETTER MOTION to Seal Document. Granted nunc pro tunc. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/17/2019) (jca) Transmission to Sealed Records Clerk for processing.
August 7, 2019 Opinion or Order Filing 327 DECLARATION of Kenneth I. Schacter in Support re: #303 MOTION to Dismiss Second Amended Class Action Complaint.. Document filed by Morgan Stanley, Morgan Stanley Australia Limited. (Attachments: #1 Exhibit 1 - Unredacted copy of the ISDA agreement)(Schacter, Kenneth)
August 7, 2019 Opinion or Order Filing 326 REPLY MEMORANDUM OF LAW in Support re: #303 MOTION to Dismiss Second Amended Class Action Complaint. . Document filed by Morgan Stanley, Morgan Stanley Australia Limited. (Schacter, Kenneth)
August 7, 2019 Opinion or Order Filing 325 REPLY MEMORANDUM OF LAW in Support re: #306 MOTION to Dismiss the Second Amended Class Action Complaint. . Document filed by RBC Capital Markets LLC. (Fishman, Marshall)
August 7, 2019 Opinion or Order Filing 324 REPLY MEMORANDUM OF LAW in Support re: #298 MOTION to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim. . Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation. (Januszewski, David)
August 7, 2019 Opinion or Order Filing 323 LETTER MOTION to Seal Document addressed to Judge Lewis A. Kaplan from David G. Januszewski dated August 7, 2019. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation.(Januszewski, David)
August 1, 2019 Opinion or Order Filing 322 LETTER MOTION for Leave to File Excess Pages addressed to Judge Lewis A. Kaplan from David Januszewski dated August 1, 2019. Document filed by Credit Suisse AG.(Januszewski, David)
July 17, 2019 Opinion or Order Filing 321 SEALED DOCUMENT placed in vault.(rz)
July 12, 2019 Opinion or Order Filing 320 ORDER: granting #319 Motion to Seal Document. Application Granted. SO ORDERED. (Signed by Part I Judge Laura Taylor Swain on 7/12/2019) (ama) Transmission to Sealed Records Clerk for processing.
July 11, 2019 Opinion or Order Filing 319 LETTER MOTION to Seal Document addressed to Judge Lewis A. Kaplan from Vincent Briganti dated July 11, 2019. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
July 9, 2019 Opinion or Order Filing 318 DECLARATION of Roland R. St. Louis, III in Opposition re: #303 MOTION to Dismiss Second Amended Class Action Complaint.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit Exhibit A)(St. Louis, Roland)
July 8, 2019 Opinion or Order Filing 317 MEMORANDUM OF LAW in Opposition re: #298 MOTION to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Appendix A)(Briganti, Vincent)
July 8, 2019 Opinion or Order Filing 316 REPLY MEMORANDUM OF LAW in Support re: #261 MOTION for Discovery . . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
July 8, 2019 Opinion or Order Filing 315 MEMORANDUM OF LAW in Opposition re: #306 MOTION to Dismiss the Second Amended Class Action Complaint. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
July 8, 2019 Opinion or Order Filing 314 MEMORANDUM OF LAW in Opposition re: #303 MOTION to Dismiss Second Amended Class Action Complaint. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
June 25, 2019 Opinion or Order Filing 313 ORDER granting #312 Letter Motion for Leave to File Excess Pages. (Signed by Judge Lewis A. Kaplan on 6/25/2019) (Kaplan, Lewis)
June 25, 2019 Opinion or Order Filing 312 LETTER MOTION for Leave to File Excess Pages addressed to Judge Lewis A. Kaplan from Vincent Briganti dated June 25, 2019. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Orange County Employees Retirement System, Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
June 17, 2019 Opinion or Order Filing 311 MEMO ENDORSEMENT granting #275 Motion to Withdraw as Attorney. ENDORSEMENT: Granted. SO ORDERED. Attorney Francis John Acott terminated. (Signed by Judge Lewis A. Kaplan on 6/17/2019) (jca)
May 23, 2019 Opinion or Order Filing 310 SEALED DOCUMENT placed in vault.(rz)
May 21, 2019 Opinion or Order Filing 309 ORDER granting #297 Motion to Seal Document. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/21/2019) (ne)
May 20, 2019 Opinion or Order Filing 308 DECLARATION of Chris Walmsley in Support re: #306 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by RBC Capital Markets LLC. (Attachments: #1 Exhibit A - Consolidated Statement of Financial Condition as of October 31, 2018)(Fishman, Marshall)
May 20, 2019 Opinion or Order Filing 307 MEMORANDUM OF LAW in Support re: #306 MOTION to Dismiss the Second Amended Class Action Complaint. . Document filed by RBC Capital Markets LLC. (Fishman, Marshall)
May 20, 2019 Opinion or Order Filing 306 MOTION to Dismiss the Second Amended Class Action Complaint. Document filed by RBC Capital Markets LLC.(Fishman, Marshall)
May 20, 2019 Opinion or Order Filing 305 MEMORANDUM OF LAW in Opposition re: #261 MOTION for Discovery . . Document filed by HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited. (Porpora, Matthew)
May 20, 2019 Opinion or Order Filing 304 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #303 MOTION to Dismiss Second Amended Class Action Complaint. . Document filed by Morgan Stanley, Morgan Stanley Australia Limited. (Roellke, Jon)
May 20, 2019 Opinion or Order Filing 303 MOTION to Dismiss Second Amended Class Action Complaint. Document filed by Morgan Stanley, Morgan Stanley Australia Limited.(Roellke, Jon)
May 20, 2019 Opinion or Order Filing 302 DECLARATION of Brian James Maddigan in Support re: #298 MOTION to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim.. Document filed by Australia and New Zealand Banking Group Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Shane, Penny)
May 20, 2019 Opinion or Order Filing 301 MEMORANDUM OF LAW in Support re: #298 MOTION to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim. . Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation. (Attachments: #1 Attachment - Second Amended Class Action Complaint)(Januszewski, David)
May 20, 2019 Opinion or Order Filing 300 DECLARATION of Nowell D. Bamberger in Support re: #298 MOTION to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim.. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation. (Attachments: #1 Exhibit A - Filed Under Seal)(Januszewski, David)
May 20, 2019 Opinion or Order Filing 299 DECLARATION of David G. Januszewski in Support re: #298 MOTION to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim.. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation. (Attachments: #1 Exhibit 1 - Declaration of Julie Lauck (BNPPSA), #2 Exhibit 2 - Declaration of Mark Robert Alexander (CBA), #3 Exhibit 3 - Declaration of Daniel Klay (CSAG), #4 Exhibit 4 - Declaration of Joseph P. Randazzo (DBAG), #5 Exhibit 5 - Declaration of Stela C. Tipi (DBAG), #6 Exhibit 6 - Declaration of Mark Chambers (HSBC Holdings), #7 Exhibit 7 - Declaration of Robert Agati (HBAU), #8 Exhibit 8 - Declaration of Paul Bradley Szalajko (MS Australia), #9 Exhibit 9 - Declaration of Louise Thomson (NAB), #10 Exhibit 10 - Declaration of Paul Serritella (RBC), #11 Exhibit 11 - Declaration of William Gougherty (RBSG, RBS, RBS N.V., RBSGAPL), #12 Exhibit 12 - Declaration of John Connors (UBSAG), #13 Exhibit 13 - Declaration of of David Alexander McLean (Westpac Banking Corporation), #14 Exhibit 14 - ABN Subpoena)(Januszewski, David)
May 20, 2019 Opinion or Order Filing 298 MOTION to Dismiss the Second Amended Class Action Complaint for Lack of Personal Jurisdiction, Improper Venue, and Failure to State a Claim. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation.(Januszewski, David)
May 20, 2019 Opinion or Order Filing 297 LETTER MOTION to Seal Document addressed to Judge Lewis A. Kaplan from David G. Januszewski dated May 20, 2019. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation.(Januszewski, David)
May 16, 2019 Opinion or Order Filing 296 ORDER granting #293 JOINT LETTER MOTION for Leave to File Excess Pages /seeking leave to file a single joint memorandum of law of up to 50 pages in support of Defendants' motions to dismiss. Granted - though brevity remains the soul of wit. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 5/16/2019) (jca)
May 16, 2019 Opinion or Order Filing 295 MEMO ENDORSEMENT granting #294 Motion to Withdraw as Attorney. ENDORSEMENT: Granted. SO ORDERED. Attorney Lee Jason Lefkowitz terminated. (Signed by Judge Lewis A. Kaplan on 5/16/2019) (jca)
May 15, 2019 Opinion or Order Filing 294 MOTION for Lee J. Lefkowitz to Withdraw as Attorney . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
May 14, 2019 Opinion or Order Filing 293 JOINT LETTER MOTION for Leave to File Excess Pages /seeking leave to file a single joint memorandum of law of up to 50 pages in support of Defendants' motions to dismiss addressed to Judge Lewis A. Kaplan from David G. Januszewski dated May 14, 2019. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, UBS AG, Westpac Banking Corporation.(Januszewski, David)
April 22, 2019 Opinion or Order Filing 292 NOTICE OF CHANGE OF ADDRESS by Benjamin Andrew Fleming on behalf of Lloyds Banking Group plc. New Address: Hogan Lovells US LLP, 390 Madison Avenue, New York, New York, United States 10017, 212 918-3000. (Fleming, Benjamin)
April 22, 2019 Opinion or Order Filing 291 NOTICE OF CHANGE OF ADDRESS by Lisa Jean Fried on behalf of Lloyds Banking Group plc. New Address: Hogan Lovells US LLP, 390 Madison Avenue, New York, New York, United States 10017, 212 918-3000. (Fried, Lisa)
April 22, 2019 Opinion or Order Filing 290 NOTICE OF CHANGE OF ADDRESS by Marc Joel Gottridge on behalf of Lloyds Banking Group plc. New Address: Hogan Lovells US LLP, 390 Madison Avenue, New York, New York, United States 10017, 212 918-3000. (Gottridge, Marc)
April 22, 2019 Opinion or Order Filing 289 NOTICE OF CHANGE OF ADDRESS by Marc Joel Gottridge on behalf of Lloyds Banking Group plc. New Address: Hogan Lovells US LLP, 390 Madison Avenue, New York, New York, United States 10017, 212 918-3000. (Gottridge, Marc)
April 22, 2019 Opinion or Order Filing 288 MEMO ENDORSEMENT granting #287 Motion for Carl Hammarskjold to Appear Pro Hac Vice. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 4/22/2019) (jca)
April 18, 2019 Opinion or Order Filing 287 MOTION for Carl Hammarskjold to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16723900. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Orange County Employees Retirement System. (Attachments: #1 Affidavit, #2 Text of Proposed Order)(Hammarskjold, Carl)
April 18, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #287 MOTION for Carl Hammarskjold to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16723900. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
April 17, 2019 Opinion or Order Filing 286 ORDER FOR ADMISSION PRO HAC VICE granting #284 Motion for Todd A. Seaver to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 4/17/2019) (jca)
April 16, 2019 Opinion or Order Filing 285 NOTICE OF CHANGE OF ADDRESS by Christopher Lovell on behalf of All Plaintiffs. New Address: Lovell Stewart Halebian Jacobson LLP, 500 5th Avenue, Suite 2440, New York, New York (NY), U.S.A 10110, 2126081900. (Lovell, Christopher)
April 16, 2019 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #284 MOTION for Todd A. Seaver to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16699748. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
April 15, 2019 Opinion or Order Filing 284 MOTION for Todd A. Seaver to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16699748. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Orange County Employees Retirement System. (Attachments: #1 Affidavit, #2 Text of Proposed Order)(Seaver, Todd)
April 9, 2019 Opinion or Order Filing 283 NOTICE OF APPEARANCE by Patrick Thomas Egan on behalf of Orange County Employees Retirement System. (Egan, Patrick)
April 5, 2019 Opinion or Order Filing 282 SEALED DOCUMENT placed in vault.(rz)
April 3, 2019 Opinion or Order Filing 281 SECOND AMENDED COMPLAINT amending #63 Amended Complaint,,,,,, against Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., John Does Nos. 1-50, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation with JURY DEMAND.Document filed by FrontPoint Financial Services Fund, L.P., Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., Sonterra Capital Master Fund, Ltd., FrontPoint Financial Horizons Fund, L.P., Orange County Employees Retirement System. Related document: #63 Amended Complaint,,,,,,. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I, #10 Exhibit J, #11 Exhibit K, #12 Exhibit L)(Briganti, Vincent)
April 2, 2019 Opinion or Order Filing 280 ORDER granting #279 LETTER Motion to Seal Document. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 4/2/2019) (jca) Transmission to Sealed Records Clerk for processing.
April 1, 2019 Opinion or Order Filing 279 LETTER MOTION to Seal Document #277 Stipulation and Order,,,, addressed to Judge Lewis A. Kaplan from Vincent Briganti dated April 1, 2019. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
March 14, 2019 Opinion or Order Filing 278 NOTICE OF CHANGE OF ADDRESS by Christopher Martin Paparella on behalf of Macquarie Bank Ltd., Macquarie Group Ltd.. New Address: Steptoe & Johnson LLP, 1114 Avenue of the Americas, New York, New York, United States 10036, 212-506-3900. (Paparella, Christopher)
March 4, 2019 Opinion or Order Filing 277 STIPULATION AND ORDER CONCERNING PLAINTIFFS' MOTION FOR LEAVE TO AMEND AND FILE THE PROPOSED SECOND AMENDED CLASS ACTION COMPLAINT AND MOTION FOR JURISDICTIONAL DISCOVERY: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and among the Stipulating Plaintiffs and the Stipulating Defendants: That Stipulating Plaintiffs may file the PSAC on the Court's docket as the Second Amended Class Action Complaint ("SAC"); The schedule set by the Court on January 24, 2019 for responding to the Motions is vacated, and the following schedule will apply as to the Stipulating Defendants' motion to dismiss the PSAC and opposition to the Discovery Motion: a. Stipulating Defendants will file any motion(s) to dismiss the SAC or opposition(s) to the Discovery Motion forty-five (45) days after the date on which the Stipulating Plaintiffs file the SAC on the Court's docket; and as further set forth in this Order. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/4/2019) (jca)
March 4, 2019 Opinion or Order Filing 276 STIPULATION AND ORDER CONCERNING PLAINTIFFS' MOTION FOR LEAVE TO AMEND AND FILE THE PROPOSED SECOND AMENDED CLASS ACTION COMPLAINT: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and among Plaintiffs, OCERS and the Stipulating Defendants, and ORDERED by the Court: 1. To the extent Plaintiffs are permitted to file the PSAC as a result of the Court "so ordering" the Separate Stipulation, and as further set forth in this Order. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/4/2019) (jca)
February 22, 2019 Opinion or Order Filing 275 MOTION for Francis John Acott to Withdraw as Attorney . Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A..(Gluckow, Paul)
February 21, 2019 Opinion or Order Filing 274 PROPOSED STIPULATION AND ORDER. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, UBS AG, Westpac Banking Corporation. (Porpora, Matthew)
February 21, 2019 Opinion or Order Filing 273 PROPOSED STIPULATION AND ORDER. Document filed by LLoyds Bank PLC, Lloyds Banking Group plc. (Fleming, Benjamin)
February 20, 2019 Opinion or Order Filing 272 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from 2/19/2019 dated 2/19/2019 re: We respectfully request that the Court so-order the Notice of Withdrawal so that Mr. Fraser's appearance may be terminated on the docket of this matter. ENDORSEMENT: Granted. SO ORDERED., Attorney Brian S. Fraser terminated. (Signed by Judge Lewis A. Kaplan on 2/20/2019) (jca)
January 28, 2019 Opinion or Order Filing 271 STIPULATION AND ORDER CONCERNING PLAINTIFFS' MOTION FOR LEAVE TO AMEND AND FILE THE PROPOSED SECOND AMENDED CLASS ACTION COMPLAINT: IT rs HEREBY STIPULATED AND AGREED, by and between Plaintiffs, OCERS and the Stipulating Defendants, and ORDERED by the Court: 1. To the extent Plaintiffs are permitted to file the PSAC (either as a result of a stipulation between the parties remaining in the case or an order by the Court): a. The Court's Opinions shall be deemed to apply to OCERS' claims against the Stipulating Defendants in the PSAC; b. Accordingly, OCERS' claims against the Stipulating Defendants in the PSAC shall be, and hereby are dismissed, for the same reasons set forth in the Opinions; c. No Stipulating Defendant shall be considered a defendant in the action, nor shall any of them have any obligation to respond to the PSAC and/or otherwise participate as a defendant in the action while it is pending in this Court unless and until Plaintiffs move the Court for an order reinstating one or more claims against the Stipulating Defendants and the Court issues such an order (a "Reinstatement Order"); as further set forth herein. (Signed by Judge Lewis A. Kaplan on 1/28/2019) (mro)
January 25, 2019 Opinion or Order Filing 270 PROPOSED STIPULATION AND ORDER. Document filed by ICAP Australia Pty Ltd., ICAP plc, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC. (Brandt, Shari)
January 24, 2019 Opinion or Order Filing 269 STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO PLAINTIFF'S MOTION TO AMEND AND MOTION FOR JURISDICTIONAL DISCOVERY: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED as follows: 1. The time to respond to the Motion to Amend is extended to and includes March 1, 2019. 2. The time to respond to the Discovery Motion is extended to and includes March 1, 2019, and as further set forth in this Order. SO ORDERED. (Responses due by 3/1/2019) (Signed by Judge Lewis A. Kaplan on 1/24/2019) (jca)
January 23, 2019 Opinion or Order Filing 268 SEALED DOCUMENT placed in vault.(rz)
January 22, 2019 Opinion or Order Filing 267 PROPOSED STIPULATION AND ORDER. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation. (Porpora, Matthew)
January 17, 2019 Opinion or Order Filing 266 LETTER addressed to Judge Lewis A. Kaplan from Vincent Briganti and Christopher Lovell dated 1/15/2019 re: As counsel for Plaintiffs, we submit the enclosed proposed order ("Proposed Order") for your consideration, as directed in your order dated November 28, 2018 (ECF No. 229) granting Plaintiffs' Unopposed Motion for Conditional Class Certification for purposes of Class Action Settlement with Defendants JPMorgan Chase & Co. and JPMorgan Chase Bank, N.A. ("JPMorgan"). JPMorgan consents to the Proposed Order, which will also be filed via ECF. We write this letter to provide you additional information as to the timing and substance of the Proposed Order. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.(jca)
January 16, 2019 Opinion or Order Filing 265 ORDER CONCERNING NOTICE OF PENDENCY AND NOTICE OF PROPOSED SETTLEMENT WITH JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK, N.A.: NOW, THEREFORE, IT IS HEREBY ORDERED: 1. Plaintiffs are directed forthwith to issue subpoenas duces tecum upon such futures commission merchants, banks, brokers and exchanges as necessary to identify Class members for purposes of giving notice. Names and addresses of Class members so identified shall be kept confidential by Class Counsel for use in this action and for no other purpose, and as further set forth in this Order. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 1/16/2019) (jca)
January 16, 2019 Opinion or Order Filing 264 ORDER granting #259 Motion to Seal Document. ENDORSEMENT: Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 1/16/2019) (ks) Transmission to Sealed Records Clerk for processing.
January 16, 2019 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #258 Proposed Order was reviewed and approved as to form. (km)
January 15, 2019 Opinion or Order Filing 263 MEMORANDUM OF LAW in Support re: #260 MOTION to Amend/Correct #63 Amended Complaint,,,,,, . . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Briganti, Vincent)
January 15, 2019 Opinion or Order Filing 262 MEMORANDUM OF LAW in Support re: #261 MOTION for Discovery . . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Briganti, Vincent)
January 15, 2019 Opinion or Order Filing 261 MOTION for Discovery . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
January 15, 2019 Opinion or Order Filing 260 MOTION to Amend/Correct #63 Amended Complaint,,,,,, . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
January 15, 2019 Opinion or Order Filing 259 LETTER MOTION to Seal Document addressed to Judge Lewis A. Kaplan from Vincent Briganti dated January 15, 2019. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
January 15, 2019 Opinion or Order Filing 258 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. Related Document Number: #229 . (Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
January 10, 2019 Opinion or Order Filing 257 MOTION FOR LEAVE TO WITHDRAW AS COUNSEL granting #256 Motion to Withdraw as Attorney. Granted. SO ORDERED. Attorney Alexander Nuo Li terminated. (Signed by Judge Lewis A. Kaplan on 1/10/2019) (jca)
January 9, 2019 Opinion or Order Filing 256 MOTION for Alexander Nuo Li to Withdraw as Attorney . Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A..(Gluckow, Paul)
December 20, 2018 Opinion or Order Filing 255 MEMORANDUM AND ORDER denying #238 Motion for Reconsideration ; denying #240 Motion for Reconsideration ; denying #242 Motion for Reconsideration. The motions [DI 238, DI 240, DI 242] each are denied in all respects.SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/20/2018) (jca)
December 20, 2018 Opinion or Order Filing 254 STIPULATION AND ORDER EXTENDING PLAINTIFFS' TIME TO SEEK LEAVE TO FILE AN AMENDED COMPLAINT AND TO RENEW THEIR REQUEST FOR JURISDICTIONAL DISCOVERY: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED as follows: 1. Plaintiffs' time to seek leave to file an amended complaint and to renew their request for jurisdictional discovery is extended twenty (20) days to and including January 15, 2019. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 12/20/2018) (jca)
December 17, 2018 Opinion or Order Filing 253 PROPOSED STIPULATION AND ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Lovell, Christopher)
December 17, 2018 Opinion or Order Filing 252 FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. Related Document Number: #227 . (Lovell, Christopher) Proposed Order to be reviewed by Clerk's Office staff. Modified on 12/17/2018 (dt).
December 17, 2018 Opinion or Order Filing 251 LETTER MOTION for Extension of Time to file an amended complaint and serve personal jurisidiction discovery requests addressed to Judge Lewis A. Kaplan from Christopher Lovell and Vincent Briganti dated December 17, 2018. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit 1)(Lovell, Christopher)
December 17, 2018 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED STIPULATION AND ORDER. Notice to attorney Christopher Lovell to RE-FILE Document No. #252 Proposed Order. The filing is deficient for the following reason(s): the wrong event type was used to file the proposed order; Re-file the document using the event type Proposed Stipulation and Order found under the event list Proposed Orders. - select the correct filer/filers - attach the correct signed (scanned signature image) and dated PDF. (dt)
December 14, 2018 Opinion or Order Filing 250 STIPULATION AND ORDER REGARDING BRIEFING OF RECONSIDERATION MOTIONS: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED as follows: 1. The time for Plaintiffs and Stipulating Defendants to file opposition memoranda, if any, to the Reconsideration Motions is extended to January 15, 2019. 2. The time for Plaintiffs, RBC Capital Markets LLC, and Morgan Stanley to file reply memoranda in support of their respective Reconsideration Motions is extended to January 29, 2019. 3. No defense of any of the Stipulating Defendants to the claims in the Action, including without limitation defenses based upon lack of personal or subject matter jurisdiction, lack of standing, lack of capacity, improper venue or a defendant having been improperly named, is prejudiced or waived by the execution of, agreement to or filing of this stipulation.4. This stipulation may be executed in separate counterparts, and counterparts may be executed in facsimile or.pdf form, each of which shall be deemed an original. This stipulation, once fully executed, may be submitted to the Court without further notice to any party. (Responses due by 1/15/2019, Replies due by 1/29/2019.) (Signed by Judge William H. Pauley, III on 12/14/2018) (kv)
December 13, 2018 Opinion or Order Filing 249 PROPOSED STIPULATION AND ORDER. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation. (Januszewski, David)
December 12, 2018 Opinion or Order Filing 248 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate CME Group, Inc., Other Affiliate NEX International Limited for ICAP plc. Document filed by ICAP plc.(Gaither, H.)
December 11, 2018 Opinion or Order Filing 247 STIPULATION EXTENDING TIME FOR MORGAN STANLEY TO RESPOND TO FIRST AMENDED COMPLAINT: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED that Defendant's time to answer the First Amended Complaint, if required, is extended until fourteen (14) days from the date that the Court enters a decision with respect to Plaintiffs' motion for leave to amend the First Amended Complaint, but in no event sooner than January 20, 2019. In the event that the Court grants Plaintiffs' motion for leave to amend the First Amended Complaint, Defendant is not required to answer the First Amended Complaint. Defendant has not requested any previous extensions of time to answer the First Amended Complaint. This stipulation may be executed in separate counterparts, and counterparts may be executed by facsimile or.pdf form, each of which shall be deemed an original. This stipulation, once executed, may be submitted to the Court without further notice of any party. SO ORDERED. (Signed by Part One Judge William H. Pauley on 12/11/2018) (jca)
December 11, 2018 Opinion or Order Filing 246 STIPULATION AND PROTECTIVE ORDER GOVERNING MATERIALS PRODUCED BY JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK, N.A....regarding procedures to be followed that shall govern the handling of confidential material...SO ORDERED. (Signed by Part One Judge William H. Pauley on 12/11/2018) (jca)
December 11, 2018 Opinion or Order Filing 245 STIPULATION EXTENDING TIME FOR MACQUARIE GROUP LTD. AND MACQUARIE BANK LTD. TO FILE THEIR MOTION FOR RECONSIDERATION: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED that Defendant Macquarie's time to file any Motion for Reconsideration is extended so as to be due within two weeks of the Court's decision on Plaintiffs' motion for leave to amend the First Amended Complaint. This stipulation may be executed in separate counterparts, and counterparts may be executed by facsimile or .pdf form, each of which shall be deemed an original. This stipulation, once executed, may be submitted to the Court without further notice of any party. SO ORDERED. (Signed by Part One Judge William H. Pauley on 12/11/2018) (jca)
December 11, 2018 Opinion or Order Filing 244 NOTICE OF APPEARANCE by Margaret Ciavarella MacLean on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (MacLean, Margaret)
December 10, 2018 Opinion or Order Filing 243 MEMORANDUM OF LAW in Support re: #242 MOTION for Reconsideration re; #227 Memorandum & Opinion,,,,,,,,, . . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
December 10, 2018 Opinion or Order Filing 242 MOTION for Reconsideration re; #227 Memorandum & Opinion,,,,,,,,, . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
December 10, 2018 Opinion or Order Filing 241 MEMORANDUM OF LAW in Support re: #240 MOTION for Reconsideration . . Document filed by Morgan Stanley. (Schacter, Kenneth)
December 10, 2018 Opinion or Order Filing 240 MOTION for Reconsideration . Document filed by Morgan Stanley.(Schacter, Kenneth)
December 10, 2018 Opinion or Order Filing 239 MEMORANDUM OF LAW in Support re: #238 MOTION for Reconsideration re; #227 Memorandum & Opinion,,,,,,,,, (Motion for Clarification or, in the Alternative, Reconsideration of the Court's Opinion Resolving Defendants' Motions). . Document filed by RBC Capital Markets LLC. (Fishman, Marshall)
December 10, 2018 Opinion or Order Filing 238 MOTION for Reconsideration re; #227 Memorandum & Opinion,,,,,,,,, (Motion for Clarification or, in the Alternative, Reconsideration of the Court's Opinion Resolving Defendants' Motions). Document filed by RBC Capital Markets LLC.(Fishman, Marshall)
December 10, 2018 Opinion or Order Filing 237 PROPOSED STIPULATION AND ORDER. Document filed by Macquarie Bank Ltd., Macquarie Group Ltd.. (Paparella, Christopher)
December 7, 2018 Opinion or Order Filing 236 PROPOSED PROTECTIVE ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Horn, Geoffrey)
December 7, 2018 Opinion or Order Filing 235 STIPULATION EXTENDING TIME FOR RBC CAPITAL MARKETS, LLC TO RESPOND TO FIRST AMENDED COMPLAINT: IT IS HEREBY STIPULATED AND AGREED that Defendant RBC Capital Markets' time to Answer the First Amended Complaint, if required, is extended until fourteen (14) days from the date that the Court enters a decision with respect to Plaintiffs' motion for leave to amend the First Amended Complaint, but in no event sooner than January 20, 2019. In the event that the Court grants Plaintiffs' motion for leave to amend the First Amended Complaint, Defendant RBC Capital Markets is not required to Answer the First Amended Complaint. Defendant RBC Capital Markets has not requested any previous extensions of time to Answer the First Amended Complaint. This stipulation may be executed in separate counterparts, and counterparts may be executed by facsimile or.pdf form, each of which shall be deemed an original. This stipulation, once executed, may be submitted to the Court without further notice of any party. SO ORDERED. (RBC Capital Markets LLC answer due 1/20/2019.) (Signed by Judge J. Paul Oetken, Part I on 12/7/2018) (anc)
December 7, 2018 Opinion or Order Filing 234 PROPOSED STIPULATION AND ORDER. Document filed by Morgan Stanley. (Schacter, Kenneth)
December 7, 2018 Opinion or Order Filing 233 NOTICE OF APPEARANCE by Elizabeth M. Zito on behalf of RBC Capital Markets LLC. (Zito, Elizabeth)
December 6, 2018 Opinion or Order Filing 232 PROPOSED STIPULATION AND ORDER. Document filed by RBC Capital Markets LLC. (Sama, Christine)
December 5, 2018 Opinion or Order Filing 231 NOTICE OF CHANGE OF ADDRESS by Nowell D. Bamberger on behalf of HSBC Bank Australia Limited, HSBC Holdings plc. New Address: Cleary Gottlieb Steen & Hamilton LLP, 2112 Pennsylvania Avenue, NW, Suite 1000, Washington, DC, 20037, (202) 974-1500. (Bamberger, Nowell)
November 30, 2018 Opinion or Order Filing 230 NOTICE OF APPEARANCE by Isaac Martin Rethy on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Rethy, Isaac)
November 28, 2018 Opinion or Order Filing 229 ORDER GRANTING CONDITIONAL CLASS CERTIFICATION FOR PURPOSES OF CLASS ACTION SETTLEMENT WITH JPMORGAN CHASE & CO. AND JPMORGAN CHASE BANK. N.A. granting #223 Motion for Settlement. IT IS HEREBY ORDERED that: For purposes of settlement only, pursuant to Fed. R. Civ. P. 23(a) and (6)(3), the Court hereby certifies a Settlement Class consisting of all Persons (other than those Persons who timely and validly request exclusion from the Settlement Class in accordance with the requirements set forth herein) who purchased, sold, held, traded, or otherwise had any interest in BBSW-Based Derivatives during period January 1, 2003 through December 31, 2012 ("Class Period"), provided that, if Representative Plaintiffs expand the Class in any subsequent amended complaint, class motion, or settlement, the defined Class in this Agreement shall be expanded so as to be coterminous with such expansion. Excluded from the Settlement Class are the Defendants (as defined in the Settlement Agreement) and any parent, subsidiary, affiliate or agent of any Defendant or any co- conspirator whether or not named as a Defendant, and the United States Government; and as further set forth herein. The timing, plan, and forms of the Class Notice to the Settlement Class and the date of the Fairness Hearing before this Court to consider any member(s) of the Settlement Class's objections to final approval of the Settlement and to consider the fairness, adequacy and reasonableness of the proposed Settlement and Settlement Agreement shall all be determined by separate order of this Court. The parties shall submit a proposed order on or before 1/15/19. The Court's conditional certification of the Settlement Class and appointment of Representative Plaintiffs as class representatives, as provided herein is without prejudice to, or waiver of, the rights of any Defendant to contest any other request by Representative Plaintiffs to certify a class. The Court's findings in this Conditional Certification Order shall have no effect on the Court's ruling on any motion to certify any class in this litigation, or appoint class representatives, and no party may cite or refer to the Court's approval of the Settlement Class as binding or persuasive authority with respect to any motion to certify such class or appoint class representatives. 17. The Clerk shall terminate DI 223. (Signed by Judge Lewis A. Kaplan on 11/28/2018) (anc) Modified on 12/3/2018 (anc).
November 26, 2018 Opinion or Order Filing 228 MEMORANDUM OPINION. Defendants' motion is granted. The claims brought by Sonterra Capital Master Fund, Ltd., FrontPoint Financial Services Fund, L.P., FrontPoint Asian Event Driven Fund, L.P., and FrontPoint Financial Horizons Fund, L.P. are dismissed as to all defendants except JPMorgan Chase & Co. and JPMorgan Chase Bank, N.A. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/26/2018) (anc)
November 26, 2018 Opinion or Order Filing 227 OPINION re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue filed by RBS N.V. et al. #132 MOTION to Dismiss the Amended Class Action Complaint filed by RBS N.V. et al. Defendants' motions to dismiss each are granted in part and denied in part, as follows: A. The motion to dismiss for lack of subject-matter jurisdiction and failure to state a claim [DI 132] is granted (except as to defendants JPMorgan Chase & Co. and JPMorgan Chase Bank, N.A.) to the following extent: (1) All claims brought by plaintiffs FrontPoint Financial Services Fund, L.P. and FrontPoint Financial Horizons Fund, L.P. are dismissed; (2) Plaintiffs do not have class standing to assert claims for breach of the implied covenant of good faith and fair dealing or unjust enrichment on behalf of purported class members to the extent such class members traded in BBSW-based forward rate agreements and 90-day BAB futures; (3) The CEA claims brought by FrontPoint Asian Event Driven Fund, L.P. and Sonterra Capital Master Fund, Ltd. are dismissed; (4) The remaining CEA and RICO Act claims are dismissed as to defendants Deutsche Bank AG, Royal Bank of Canada, RBC Capital Markets LLC, Lloyds Banking Group plc, Lloyds Bank plc, Macquarie Group Ltd., Macquarie Bank Ltd., Morgan Stanley, Morgan Stanley Australia Limited, ICAP plc, ICAP Australia Pty Ltd., Tullett Prebon plc, and Tullett Prebon (Australia) Pty Ltd.; (5) The claims of breach of the implied covenant of good faith and fair dealing and unjust enrichment are dismissed as to all defendants except Macquarie Bank Ltd., Morgan Stanley, and Morgan Stanley Australia Limited, and The motion [DI 132] is denied in all other respects. B. The motion to dismiss for lack of personal jurisdiction and improper venue [DI 109] is granted in all respects except that it is denied as to the claims brought by FrontPoint Asian Event Driven Fund, L.P. against defendant Macquarie Bank Ltd. C. Plaintiffs' request for jurisdictional discovery is denied without prejudice to their renewing such request within thirty (30) days after the date of entry hereof. Any motion for leave to amend must be made no later than thirty (30) days after the date of entry hereof. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/26/2018) (anc) Modified on 11/29/2018 (anc).
November 26, 2018 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #226 Proposed Order was reviewed and approved as to form. (km)
November 21, 2018 Opinion or Order Filing 226 PROPOSED ORDER. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. Related Document Number: #223 . (Briganti, Vincent) Proposed Order to be reviewed by Clerk's Office staff.
November 21, 2018 Opinion or Order Filing 225 DECLARATION of Vincent Briganti and Christopher Lovell in Support re: #223 MOTION for Settlement Conditional Class Certification for Purposes of Class Action Settlement.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Briganti, Vincent)
November 21, 2018 Opinion or Order Filing 224 MEMORANDUM OF LAW in Support re: #223 MOTION for Settlement Conditional Class Certification for Purposes of Class Action Settlement. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
November 21, 2018 Opinion or Order Filing 223 MOTION for Settlement Conditional Class Certification for Purposes of Class Action Settlement. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
September 26, 2018 Opinion or Order Filing 222 NOTICE OF APPEARANCE by Charity Eunah Lee on behalf of HSBC Bank Australia Limited, HSBC Holdings plc. (Lee, Charity)
May 11, 2018 Opinion or Order Filing 221 NOTICE OF APPEARANCE by Jonathan Thomas Menitove on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Menitove, Jonathan)
March 23, 2018 Opinion or Order Filing 220 SEALED DOCUMENT placed in vault.(mps)
March 22, 2018 Opinion or Order Filing 219 ORDER granting #218 LETTER MOTION to Seal Document Forthcoming Reply Brief addressed to Judge Lewis A. Kaplan from Penny Shane dated March 20, 2018. Document filed by Australia and New Zealand Banking Group Ltd. Granted. So ordered. (Signed by Judge Lewis A. Kaplan on 3/22/2018) (rjm).
March 22, 2018 Opinion or Order Transmission to Sealed Records Clerk. Transmitted re: #219 Order on Motion to Seal Document to the Sealed Records Clerk for the sealing or unsealing of document or case. (rjm)
March 20, 2018 Opinion or Order Filing 218 LETTER MOTION to Seal Document Forthcoming Reply Brief addressed to Judge Lewis A. Kaplan from Penny Shane dated March 20, 2018. Document filed by Australia and New Zealand Banking Group Ltd..(Shane, Penny)
March 13, 2018 Opinion or Order Filing 217 SEALED DOCUMENT placed in vault.(mps)
March 13, 2018 Opinion or Order Filing 216 ORDER granting #214 Motion to Seal Document. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 3/13/2018) (mro)
March 12, 2018 Opinion or Order Filing 215 NOTICE OF APPEARANCE by Sitso W. Bediako on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Bediako, Sitso)
March 6, 2018 Opinion or Order Filing 214 LETTER MOTION to Seal Document addressed to Judge Lewis A. Kaplan from Vincent Briganti dated March 6, 2018. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
February 23, 2018 Opinion or Order Filing 213 SEALED DOCUMENT placed in vault.(rz)
February 22, 2018 Opinion or Order Filing 212 ORDER granting #210 Motion to Seal Document. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 2/22/2018) (anc)
February 21, 2018 Opinion or Order Filing 211 MEMO ENDORSEMENT granting #209 Motion to Withdraw as Attorney. ENDORSEMENT: Granted. Attorney Thomas C. Rice terminated. (Signed by Judge Lewis A. Kaplan on 2/21/2018) (kgo)
February 21, 2018 Opinion or Order Filing 210 LETTER MOTION to Seal Document Defendants' Forthcoming Brief addressed to Judge Lewis A. Kaplan from Penny Shane dated February 21, 2018. Document filed by Australia and New Zealand Banking Group Ltd..(Shane, Penny)
February 14, 2018 Opinion or Order Filing 209 MOTION for Thomas C. Rice to Withdraw as Attorney . Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A..(Gluckow, Paul)
February 5, 2018 Opinion or Order Filing 208 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Penny Shane dated 2/2/18 re: Defendants propose the following briefing schedule: opening submissions by Defendants: 2/23/18; opposition submissions by Plaintiffs: 3/13/18 and reply submissions by Defendants: 3/23/18. ENDORSEMENT: Granted. ( Motions due by 2/23/2018., Responses due by 3/13/2018, Replies due by 3/23/2018.) (Signed by Judge Lewis A. Kaplan on 2/5/2018) (mro)
February 5, 2018 Opinion or Order Filing 207 LETTER addressed to Judge Lewis A. Kaplan from Vince Briganti and Christopher Lovell dated 2/2/2018 re: Consistent with Your Honor's remarks at the January 23, 2018 hearing, Plaintiffs believe that Defendants' affirmative defense of capacity to sue (assuming it has not already been waived) is best suited for resolution after the Court rules on Defendants' pending motions to dismiss. See Jan. 23, 2018 Hr'g Tr. at 4:21 -22 ("[Y]ou may want to see how this all comes out before going forward with any more litigation on that issue.").(anc)
January 31, 2018 Opinion or Order Filing 206 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a argument proceeding held on 1/23/18 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
January 31, 2018 Opinion or Order Filing 205 TRANSCRIPT of Proceedings re: argument held on 1/23/2018 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Paula Speer, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/21/2018. Redacted Transcript Deadline set for 3/5/2018. Release of Transcript Restriction set for 5/1/2018.(McGuirk, Kelly)
January 30, 2018 Opinion or Order Filing 204 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a argument proceeding held on 1/23/18 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
January 30, 2018 Opinion or Order Filing 203 TRANSCRIPT of Proceedings re: argument held on 1/23/2018 before Judge Lewis A. Kaplan. Court Reporter/Transcriber: Paula Speer, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/20/2018. Redacted Transcript Deadline set for 3/2/2018. Release of Transcript Restriction set for 4/30/2018.(McGuirk, Kelly)
January 19, 2018 Opinion or Order Filing 202 MEMO ENDORSEMENT on MOTION FOR WITHDRAWAL OF APPEARANCE granting #201 Motion to Withdraw as Attorney. ENDORSEMENT: Granted. SO ORDERED. (Attorney Peter Sullivan terminated.) (Signed by Judge Lewis A. Kaplan on 1/19/2018) (anc)
January 18, 2018 Opinion or Order Filing 201 MOTION for Peter Sullivan to Withdraw as Attorney . Document filed by UBS AG.(Sullivan, Peter)
December 22, 2017 Opinion or Order Filing 200 ORDER: The matter is before the Court on defendants' motion to dismiss for lack of personal jurisdiction and improper venue [DI 109] and defendants' motion to dismiss for lack of subject matter jurisdiction and failure to state a claim [DI 132]. The parties shall appear before the Court for oral argument on January 23, 2018 at 2:00 p.m. SO ORDERED.(Oral Argument set for 1/23/2018 at 02:00 PM before Judge Lewis A. Kaplan.) (Signed by Judge Lewis A. Kaplan on 12/22/2017) (anc)
November 29, 2017 Opinion or Order Filing 199 MEMO ENDORSEMENT on PLAINTIFFS' NOTICE OF MOTION FOR LEAVE TO FILE A SUR-REPLY UNDER SEAL denying #195 Motion for Leave to File Document. ENDORSEMENT: Denied. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/28/2017) (anc)
November 29, 2017 Opinion or Order Filing 198 SEALED DOCUMENT placed in vault.(rz)
November 28, 2017 Opinion or Order Filing 197 SEALED DOCUMENT placed in vault.(rz)
November 28, 2017 Opinion or Order Filing 196 MEMORANDUM OF LAW in Support re: #195 MOTION for Leave to File Sur-Reply Under Seal. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
November 28, 2017 Opinion or Order Filing 195 MOTION for Leave to File Sur-Reply Under Seal. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Text of Proposed Order [Proposed] Order Granting Plaintiffs' Motion to File Sur-Reply Under Seal)(Briganti, Vincent)
November 21, 2017 Opinion or Order Filing 194 SEALED DOCUMENT placed in vault.(mps)
November 21, 2017 Opinion or Order Filing 193 ORDER granting #192 Motion to Seal Document. SO ORDERED. (Signed by Judge Victor Marrero Part I on 11/21/2017) (kgo)
November 20, 2017 Opinion or Order Filing 192 LETTER MOTION to Seal Document Forthcoming Reply Brief addressed to Judge Lewis A. Kaplan from Penny Shane dated November 20, 2017. Document filed by Australia and New Zealand Banking Group Ltd..(Shane, Penny)
November 17, 2017 Opinion or Order Filing 191 ENDORSED LETTER addressed to Judge Lewis A. Kaplan from Vince Briganti dated 11/16/2017 re: Accordingly, we enclose courtesy copies of the replacement pages for Exhibits C and D as well as a replacement CD with the complete corrected filing. Further, we ask the Court to endorse this letter to allow the Sealed Records Clerk to accept a replacement CD containing Plaintiffs' complete submission, including replacement Exhibits C and D, under seal. ENDORSEMENT: SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/17/2017) (anc)
November 17, 2017 Opinion or Order Transmission to Sealed Records Clerk. Transmitted re: #191 Endorsed Letter to the Sealed Records Clerk for the sealing or unsealing of document or case. (anc)
November 14, 2017 Opinion or Order Filing 190 SEALED DOCUMENT placed in vault.(rz)
November 13, 2017 Opinion or Order Filing 189 ORDER granting #188 Motion to Seal Document. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 11/13/2017) (anc)
November 9, 2017 Opinion or Order Filing 188 LETTER MOTION to Seal Document addressed to Judge Lewis A. Kaplan from Vincent Briganti dated November 9, 2017. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
October 31, 2017 Opinion or Order Filing 187 DECLARATION of David Januszewski in Support re: #132 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by Credit Suisse AG, Credit Suisse Group AG. (Attachments: #1 Affidavit of John Michael Harris)(Januszewski, David)
October 31, 2017 Opinion or Order Filing 186 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #132 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Australia and New Zealand Banking Group Ltd.. (Attachments: #1 Notice of Foreign Law Pursuant to Fed. R. Civ. P. 44.1, #2 Declaration of Penny Shane, #3 Exhibit 2, #4 Exhibit 3)(Shane, Penny)
October 20, 2017 Opinion or Order Filing 185 ORDER granting #184 Letter Motion for Leave to File Document. (Signed by Judge Lewis A. Kaplan on 10/20/2017) (Kaplan, Lewis)
October 19, 2017 Opinion or Order Filing 184 LETTER MOTION for Leave to File Supplemental Motion to Dismiss on behalf of 29 Defendants addressed to Judge Lewis A. Kaplan from Penny Shane dated October 19, 2017. Document filed by Australia and New Zealand Banking Group Ltd..(Shane, Penny)
October 3, 2017 Opinion or Order Filing 183 NOTICE OF APPEARANCE by Sarah Emily Phillips on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Phillips, Sarah)
September 22, 2017 Opinion or Order Filing 182 ORDER FOR ADMISSION PRO HAC VICE granting #142 Motion for Jon R. Roellke to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 9/22/2017) (anc)
September 22, 2017 Opinion or Order Filing 181 MEMO ENDORSEMENT on MOTION FOR LEAVE TO WITHDRAW AS COUNSEL granting #180 Motion to Withdraw as Attorney. ENDORSEMENT: Granted. SO ORDERED. (Attorney Omari Largos Royter Mason terminated.) (Signed by Judge Lewis A. Kaplan on 9/22/2017) (anc)
September 20, 2017 Opinion or Order Filing 180 MOTION for Omari Largos Royter Mason to Withdraw as Attorney . Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A..(Gluckow, Paul)
September 5, 2017 Opinion or Order Filing 179 NOTICE OF APPEARANCE by Mary Beth Forshaw on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Forshaw, Mary Beth)
June 27, 2017 Opinion or Order Filing 178 ORDER granting #177 Letter Motion for Leave to File Document. Granted. (Signed by Judge Lewis A. Kaplan on 6/22/2017) (mro)
June 22, 2017 Opinion or Order Filing 177 LETTER MOTION for Leave to File Declaration of Edward Kroub in Opposition to Defendants' Motions to Dismiss with Corrected Exhibits addressed to Judge Lewis A. Kaplan from Edward Y. Kroub dated June 22, 2017. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit Kroub Declaration, #2 Exhibit Exhibit A pt. 1 to Kroub Declaration, #3 Exhibit Exhibit A pt.2 to Kroub Declaration, #4 Exhibit Exhibit B to Kroub Declaration, #5 Exhibit Exhibit C pt. 1 to Kroub Declaration, #6 Exhibit Exhibit C pt. 2 to Kroub Declaration, #7 Exhibit Exhibit D to Kroub Declaration, #8 Exhibit Exhibit E to Kroub Declaration)(Kroub, Edward)
June 5, 2017 Opinion or Order Filing 176 NOTICE OF CHANGE OF ADDRESS by Roland Raymond St. Louis, III on behalf of All Plaintiffs. New Address: Lowey Dannenberg, P.C., 44 South Broadway, Suite 1100, White Plains, NY, United States 10601, 914-997-0500. (St. Louis, Roland)
June 5, 2017 Opinion or Order Filing 175 NOTICE OF CHANGE OF ADDRESS by Lee Jason Lefkowitz on behalf of All Plaintiffs. New Address: Lowey Dannenberg, P.C., 44 South Broadway, Suite 1100, White Plains, NY, United States 10601, 914-997-0500. (Lefkowitz, Lee)
June 5, 2017 Opinion or Order Filing 174 NOTICE OF CHANGE OF ADDRESS by Christian Levis on behalf of All Plaintiffs. New Address: Lowey Dannenberg, P.C., 44 South Broadway, Suite 1100, White Plains, NY, United States 10601, 914-997-0500. (Levis, Christian)
June 5, 2017 Opinion or Order Filing 173 NOTICE OF CHANGE OF ADDRESS by Raymond Peter Girnys on behalf of All Plaintiffs. New Address: Lowey Dannenberg, P.C., 44 South Broadway, Suite 1100, White Plains, NY, United States 10601, 914-997-0500. (Girnys, Raymond)
June 5, 2017 Opinion or Order Filing 172 NOTICE OF CHANGE OF ADDRESS by Peter Dexter St. Phillip, Jr on behalf of All Plaintiffs. New Address: Lowey Dannenberg, P.C., 44 South Broadway, Suite 1100, White Plains, NY, United States 10601, 914-997-0500. (St. Phillip, Peter)
June 2, 2017 Opinion or Order Filing 171 NOTICE OF CHANGE OF ADDRESS by Vincent Briganti on behalf of All Plaintiffs. New Address: Lowey Dannenberg, P.C., 44 South Broadway, Suite 1100, White Plains, NY, United States 10601, 914-997-0500. (Briganti, Vincent)
June 2, 2017 Opinion or Order Filing 170 NOTICE OF CHANGE OF ADDRESS by Geoffrey Milbank Horn on behalf of All Plaintiffs. New Address: Lowey Dannenberg, P.C., 44 South Broadway, Suite 1100, White Plains, NY, United States 10601, 914-997-0500. (Horn, Geoffrey)
May 31, 2017 Opinion or Order Filing 169 MEMO ENDORSED ORDER granting #167 Motion to Withdraw as Attorney. ENDORSEMENT: GRANTED. So Ordered. (Attorney Emma P. Simson terminated.) (Signed by Judge Lewis A. Kaplan on 5/31/17) (yv)
May 31, 2017 Opinion or Order Filing 168 FED. R. CIV. P. 41(a)(1)(A)(i) NOTICE OF PARTIAL VOLUNTARY DISMISSAL AS TO BNP PARIBAS, AUSTRALIA BRANCH; DEUTSCHE BANK AG, AUSTRALIA BRANCH; JP ORGAN CHASE BANK, N.A. AUSTRALIA BRANCH; LLOYDS TSB BANK PLC, AUSTRALIA; ROYAL BANK OF CANADA, AUSTRALIA BRANCH; and UBS AG, AUSTRALIA BRANCH WITHOUT PREJUDICE. Plaintiffs Richard Dennis, Sonterra Capital Master Fund, Ltd., FrontPoint Financial Services Fund, L.P., FrontPoint Asian Event Driven Fund, L.P., and FrontPoint Financial Horizons Fund, L.P., hereby give Notice of Voluntary Dismissal of Defendants (1) BNP Paribas, Australia Branch; (2) Deutsche Bank AG, Australia Branch; (3) JPMorgan Chase Bank, N.A. Australia Branch; (4) Lloyds TSB Bank plc, Australia; (5) Royal Bank of Canada, Australia Branch; and (6) UBS AG,Australia Branch from the above-captioned action, pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, without prejudice and without costs as to any party against any other. So ordered. JPMorgan Chase Bank, N.A. Australia Branch, Lloyds TSB Bank PLC, Australia, Royal Bank of Canada, Australia Branch, UBS AG, Australia Branch, BNP Paribas, Australia Branch and Deutsche Bank AG, Australia Branch terminated. (Signed by Judge Lewis A. Kaplan on 5/31/2017) (rjm)
May 30, 2017 Opinion or Order Filing 167 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Emma P. Simson to Withdraw as Attorney . Document filed by Deutsche Bank AG. (Attachments: #1 Declaration in Support of Motion to Withdraw, #2 Text of Proposed Order)(Simson, Emma) Modified on 7/31/2017 (ldi).
May 25, 2017 Opinion or Order Filing 166 REPLY MEMORANDUM OF LAW in Support re: #132 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation. (Braff, David)
May 25, 2017 Opinion or Order Filing 165 DECLARATION of Adam S. Mintz in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Credit Suisse AG, Credit Suisse Group AG. (Attachments: #1 Exhibit 1 Hearing Transcript, #2 Exhibit 2 Order)(Januszewski, David)
May 25, 2017 Opinion or Order Filing 164 REPLY MEMORANDUM OF LAW in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue. . Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation. (Januszewski, David)
May 25, 2017 Opinion or Order Filing 163 SUPPLEMENTAL REPLY MEMORANDUM OF LAW in Support re: #132 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Credit Suisse AG, Credit Suisse Group AG, Morgan Stanley, Morgan Stanley Australia Limited. (Januszewski, David)
May 25, 2017 Opinion or Order Filing 162 NOTICE OF APPEARANCE by Adam Shawn Mintz on behalf of Credit Suisse AG, Credit Suisse Group AG. (Mintz, Adam)
May 25, 2017 Opinion or Order Filing 161 NOTICE OF APPEARANCE by Jason Michael Hall on behalf of Credit Suisse AG, Credit Suisse Group AG. (Hall, Jason)
May 23, 2017 Opinion or Order Filing 160 ORDER granting #159 Letter Motion for Leave to File Excess Pages. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 5/22/2017) (rj)
May 18, 2017 Opinion or Order Filing 159 LETTER MOTION for Leave to File Excess Pages addressed to Judge Lewis A. Kaplan from Matthew J. Porpora dated May 18, 2017. Document filed by National Australia Bank Limited.(Porpora, Matthew)
May 5, 2017 Opinion or Order Filing 158 NOTICE of of Withdrawal of Appearance of Brian S. Fraser re: #30 Notice of Appearance. Document filed by ICAP Australia Pty Ltd., ICAP plc. (Fraser, Brian)
May 1, 2017 Opinion or Order Filing 157 NOTICE OF CHANGE OF ADDRESS by Edward Y. Kroub on behalf of All Plaintiffs. New Address: Lovell Stewart Halebian Jacobson LLP, 61 Broadway, Suite 501, New York, NY, USA 10006, 2126081900. (Kroub, Edward)
April 28, 2017 Opinion or Order Filing 156 MEMORANDUM OF LAW in Opposition re: #132 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
April 28, 2017 Opinion or Order Filing 155 DECLARATION of Edward Y. Kroub in Opposition re: #132 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit A Part 1, #2 Exhibit A Part 2, #3 Exhibit B, #4 Exhibit C Part 1, #5 Exhibit C Part 2, #6 Exhibit D, #7 Exhibit E)(Briganti, Vincent)
April 28, 2017 Opinion or Order Filing 154 DECLARATION of Lee J. Lefkowitz in Opposition re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Exhibit 1a, #2 Exhibit 1b, #3 Exhibit 2 Part 1, #4 Exhibit 2 Part 2, #5 Exhibit 2 Part 3, #6 Exhibit 2 Part 4, #7 Exhibit 3, #8 Exhibit 4, #9 Exhibit 5 Part 1, #10 Exhibit 5 Part 2, #11 Exhibit 6, #12 Exhibit 7, #13 Exhibit 8 Part 1, #14 Exhibit 8 Part 2, #15 Exhibit 9, #16 Exhibit 10, #17 Exhibit 11, #18 Exhibit 12, #19 Exhibit 13 Part 1, #20 Exhibit 13 Part 2, #21 Exhibit 13 Part 3, #22 Exhibit 14, #23 Exhibit 15, #24 Exhibit 16, #25 Exhibit 17, #26 Exhibit 18, #27 Exhibit 19)(Lefkowitz, Lee)
April 28, 2017 Opinion or Order Filing 153 MEMORANDUM OF LAW in Opposition re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue. . Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
April 28, 2017 Opinion or Order Filing 152 NOTICE OF APPEARANCE by Edward Y. Kroub on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Kroub, Edward)
April 28, 2017 Opinion or Order Filing 151 NOTICE OF APPEARANCE by Christopher Lovell on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Lovell, Christopher)
April 28, 2017 Opinion or Order Filing 150 NOTICE OF APPEARANCE by Christopher Lovell on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Lovell, Christopher)
April 19, 2017 Opinion or Order Filing 149 NOTICE OF APPEARANCE by Alan Craig Turner on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Turner, Alan)
April 17, 2017 Opinion or Order Filing 148 ORDER granting #147 Letter Motion for Leave to File Excess Pages. (Signed by Judge Lewis A. Kaplan on 4/17/2017) (Kaplan, Lewis)
April 17, 2017 Opinion or Order Filing 147 LETTER MOTION for Leave to File Excess Pages in Opposition to Defendants' motions to dismiss, addressed to Judge Lewis A. Kaplan from Vincent Briganti dated April 17, 2017. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd..(Briganti, Vincent)
March 28, 2017 Opinion or Order Filing 146 ORDER FOR ADMISSION PRO HAC VICE granting #143 Motion for Anthony Van Vuren to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 3/27/2017) (cla)
March 27, 2017 Opinion or Order Filing 145 NOTICE OF WITHDRAWAL OF SOPHIE C. ROHNKE. The undersigned counsel for Defendant Royal Banlc of Canada hereby requests that the Court withdraw my appearance in the above-captioned matter. No substitution counsel is necessary as said Defendant is represented by Goodwin Procter LLP. Defendant is aware of and consents to my withdrawal. So ordered. Attorney Sophie-Charlotte Rohnke terminated. (Signed by Judge Lewis A. Kaplan on 3/27/2017) (rjm)
March 27, 2017 Opinion or Order Filing 144 NOTICE OF WITHDRAWAL OF ELIZABETH M. ZITO. The undersigned counsel for Defendant Royal Bank of Canada hereby requests that the Court withdraw my appearance in the above-captioned matter. No substitution counsel is necessary as said Defendant is represented by Goodwin Procter LLP. Defendant is aware of and consents to my withdrawal. So ordered. Attorney Elizabeth M. Zito terminated. (Signed by Judge Lewis A. Kaplan on 3/27/2017) (rjm)
March 24, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #142 MOTION for Jon R. Roellke to Appear Pro Hac Vice for defendants Morgan Stanley and Morgan Stanley Australia Limited. Filing fee $ 200.00, receipt number 0208-13459503. Motion and supporting papers to be reviewed by C. The document has been reviewed and there are no deficiencies. (ma)
March 24, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #143 MOTION for Anthony Van Vuren to Appear Pro Hac Vice for defendants Morgan Stanley and Morgan Stanley Australia Limited. Filing fee $ 200.00, receipt number 0208-13459582. Motion and supporting papers to be reviewed b. The document has been reviewed and there are no deficiencies. (ma)
March 23, 2017 Opinion or Order Filing 143 MOTION for Anthony Van Vuren to Appear Pro Hac Vice for defendants Morgan Stanley and Morgan Stanley Australia Limited. Filing fee $ 200.00, receipt number 0208-13459582. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Morgan Stanley, Morgan Stanley Australia Limited. (Attachments: #1 Declaration In Support Of Motion For Admission Pro Hac Vice, #2 Certificates of Good Standing, #3 Proposed Order)(Van Vuren, Anthony)
March 23, 2017 Opinion or Order Filing 142 MOTION for Jon R. Roellke to Appear Pro Hac Vice for defendants Morgan Stanley and Morgan Stanley Australia Limited. Filing fee $ 200.00, receipt number 0208-13459503. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Morgan Stanley, Morgan Stanley Australia Limited. (Attachments: #1 Declaration In Support Of Motion For Admission Pro Hac Vice, #2 Certificates of Good Standing, #3 Proposed Order)(Roellke, Jon) Modified on 3/24/2017 (ma). Modified on 3/24/2017 (ma).
March 23, 2017 Opinion or Order Filing 141 NOTICE of Withdrawal. Document filed by Royal Bank of Canada. (Zito, Elizabeth)
March 23, 2017 Opinion or Order Filing 140 NOTICE of Withdrawal. Document filed by Royal Bank of Canada. (Rohnke, Sophie-Charlotte)
March 3, 2017 Opinion or Order Filing 139 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent NEX Group plc for ICAP plc. Document filed by ICAP plc.(Gaither, H.)
March 3, 2017 Opinion or Order Filing 138 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Exco Overseas Limited, Other Affiliate TP ICAP plc, Other Affiliate Schroders PLC for ICAP Australia Pty Ltd.. Document filed by ICAP Australia Pty Ltd..(Gaither, H.)
February 27, 2017 Opinion or Order Filing 137 DECLARATION of Paul Szalajko in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Morgan Stanley Australia Limited. (Schacter, Kenneth)
February 24, 2017 Opinion or Order Filing 136 DECLARATION of Stephen H. O. Clarke in Support re: #132 MOTION to Dismiss the Amended Class Action Complaint.. Document filed by National Australia Bank Limited. (Attachments: #1 Index, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5, #7 Exhibit 6, #8 Exhibit 7, #9 Exhibit 8, #10 Exhibit 9, #11 Exhibit 10, #12 Exhibit 11, #13 Exhibit 12, #14 Exhibit 13, #15 Exhibit 14_1, #16 Exhibit 14_2, #17 Exhibit 15, #18 Exhibit 16, #19 Exhibit 17, #20 Exhibit 18, #21 Exhibit 19, #22 Exhibit 20, #23 Exhibit 21, #24 Exhibit 22, #25 Exhibit 23, #26 Exhibit 24, #27 Exhibit 25, #28 Exhibit 26, #29 Exhibit 27, #30 Exhibit 28, #31 Exhibit 29, #32 Exhibit 30, #33 Exhibit 31, #34 Exhibit 32)(Braff, David)
February 24, 2017 Opinion or Order Filing 135 SUPPLEMENTAL MEMORANDUM OF LAW in Support re: #132 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Credit Suisse AG, Credit Suisse Group AG, Morgan Stanley, Morgan Stanley Australia Limited. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 134 MEMORANDUM OF LAW in Support re: #132 MOTION to Dismiss the Amended Class Action Complaint. . Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation. (Braff, David)
February 24, 2017 Opinion or Order Filing 133 DECLARATION of Paul Szalajko in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Morgan Stanley Australia Limited. (Schacter, Kenneth)
February 24, 2017 Opinion or Order Filing 132 MOTION to Dismiss the Amended Class Action Complaint. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation.(Braff, David)
February 24, 2017 Opinion or Order Filing 131 DECLARATION of David Alexander McLean in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Westpac Banking Corporation. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 130 DECLARATION of John Connors in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by UBS AG. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 129 DECLARATION of Paul Haddow in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Tullett Prebon (Australia) Pty Ltd.. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 128 DECLARATION of Phillip Price in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Tullett Prebon PLC. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 127 DECLARATION of William Gougherty in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by RBS Group (Australia) Pty Limited, RBS N.V., The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 126 DECLARATION of Paul Serritella in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Royal Bank of Canada. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 125 DECLARATION of Louise Thomson in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by National Australia Bank Limited. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 124 DECLARATION of Matthew Gummer in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Macquarie Group Ltd.. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 123 DECLARATION of Matthew Gummer in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Macquarie Bank Ltd.. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 122 DECLARATION of Kevin P. McKendry in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by LLoyds Bank PLC, Lloyds Banking Group plc. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 121 DECLARATION of Bradley Howell in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by ICAP Australia Pty Ltd.. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 120 DECLARATION of Deborah Abrehart in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by ICAP plc. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 119 DECLARATION of Robert Agati in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by HSBC Bank Australia Limited. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 118 DECLARATION of Mark Chambers in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by HSBC Holdings plc. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 117 DECLARATION of Stela C. Tipi in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Deutsche Bank AG. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 116 DECLARATION of Joseph P. Randazzo in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Deutsche Bank AG. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 115 DECLARATION of Daniel Klay in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Credit Suisse Group AG. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 114 DECLARATION of Daniel Klay in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Credit Suisse AG. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 113 DECLARATION of Mark Robert Alexander in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Commonwealth Bank of Australia. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 112 DECLARATION of Julie Lauck in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by BNP Paribas, S.A.. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 111 DECLARATION of Brian James Maddigan in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue.. Document filed by Australia and New Zealand Banking Group Ltd.. (Januszewski, David)
February 24, 2017 Opinion or Order Filing 110 MEMORANDUM OF LAW in Support re: #109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue. . Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation. (Attachments: #1 Exhibit Amended Class Action Complaint)(Januszewski, David)
February 24, 2017 Opinion or Order Filing 109 MOTION to Dismiss for Lack of Jurisdiction //Lack of Personal Jurisdiction and Improper Venue. Document filed by Australia and New Zealand Banking Group Ltd., BNP Paribas, S.A., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, LLoyds Bank PLC, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, Westpac Banking Corporation.(Januszewski, David)
February 24, 2017 Opinion or Order Filing 108 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)
February 24, 2017 Opinion or Order Filing 107 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent RBS Group for RBS Group (Australia) Pty Limited, The Royal Bank of Scotland PLC; Corporate Parent No Corporate Parent for The Royal Bank of Scotland Group PLC; Corporate Parent RBS Holdings N.V., Other Affiliate RFS Holdings B.V., Other Affiliate RBS Group for RBS N.V.. Document filed by RBS Group (Australia) Pty Limited, RBS N.V., The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC.(Lesser, David)
February 24, 2017 Opinion or Order Filing 106 NOTICE OF APPEARANCE by Jamie Stephen Dycus on behalf of RBS Group (Australia) Pty Limited, RBS N.V., The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC. (Dycus, Jamie)
February 24, 2017 Opinion or Order Filing 105 NOTICE OF APPEARANCE by David Sapir Lesser on behalf of RBS Group (Australia) Pty Limited, RBS N.V., The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC. (Lesser, David)
February 24, 2017 Opinion or Order Filing 104 NOTICE OF APPEARANCE by Fraser Lee Hunter, Jr on behalf of RBS Group (Australia) Pty Limited, RBS N.V., The Royal Bank of Scotland Group PLC, The Royal Bank of Scotland PLC. (Hunter, Fraser)
February 23, 2017 Opinion or Order Filing 103 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by BNP Paribas, S.A..(Obie, Stephen)
February 23, 2017 Opinion or Order Filing 102 NOTICE OF APPEARANCE by Stephen Jay Obie on behalf of BNP Paribas, S.A.. (Obie, Stephen)
February 23, 2017 Opinion or Order Filing 101 NOTICE OF APPEARANCE by Jayant W. Tambe on behalf of BNP Paribas, S.A.. (Tambe, Jayant)
February 23, 2017 Opinion or Order Filing 100 NOTICE OF APPEARANCE by Kelly A. Carrero on behalf of BNP Paribas, S.A.. (Carrero, Kelly)
February 22, 2017 Opinion or Order Filing 99 NOTICE OF APPEARANCE by Timothy Gray Cameron on behalf of Westpac Banking Corporation. (Cameron, Timothy)
February 22, 2017 Opinion or Order Filing 98 NOTICE OF APPEARANCE by Michael A Paskin on behalf of Westpac Banking Corporation. (Paskin, Michael)
February 22, 2017 Opinion or Order Filing 97 NOTICE OF APPEARANCE by Daniel Slifkin on behalf of Westpac Banking Corporation. (Slifkin, Daniel)
February 22, 2017 Opinion or Order Filing 96 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate J.P. Morgan Nominees Australia Ltd., Other Affiliate HSBC Custody Nominees (Australia) Limited for Westpac Banking Corporation. Document filed by Westpac Banking Corporation.(Slifkin, Daniel)
February 21, 2017 Opinion or Order Filing 95 ORDER granting in part and denying in part #94 Letter Motion for Leave to File Excess Pages. Granted to the extent of 45 pages. Otherwise denied. (Signed by Judge Lewis A. Kaplan on 2/20/2017) (cla) Modified on 2/23/2017 (cla).
February 17, 2017 Opinion or Order Filing 94 LETTER MOTION for Leave to File Excess Pages addressed to Judge Lewis A. Kaplan from Matthew J. Porpora dated February 17, 2017. Document filed by National Australia Bank Limited.(Porpora, Matthew)
February 17, 2017 Opinion or Order Filing 93 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by National Australia Bank Limited.(Braff, David)
February 17, 2017 Opinion or Order Filing 92 NOTICE OF APPEARANCE by Stephen Hendrix Oliver Clarke on behalf of National Australia Bank Limited. (Clarke, Stephen)
February 17, 2017 Opinion or Order Filing 91 NOTICE OF APPEARANCE by Matthew Joseph Porpora on behalf of National Australia Bank Limited. (Porpora, Matthew)
February 17, 2017 Opinion or Order Filing 90 NOTICE OF APPEARANCE by David Harold Braff on behalf of National Australia Bank Limited. (Braff, David)
February 16, 2017 Opinion or Order Filing 89 ORDER ON MOTION TO APPEAR PRO HAC VICE granting #88 Motion for Thomas J. Perrelli to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 2/16/2017) (cla)
February 15, 2017 Opinion or Order Filing 88 MOTION for Thomas J. Perrelli to Appear Pro Hac Vice (CORRECTED). Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Deutsche Bank AG. (Attachments: #1 Exhibit A - Declaration in Support, #2 Exhibit B - Certificate of Good Standing (District of Columbia), #3 Exhibit C - Certificate of Good Standing (Virginia), #4 Proposed Order)(Perrelli, Thomas)
February 15, 2017 Opinion or Order Filing 87 ORDER ON MOTION TO APPEAR PRO HAC VICE granting #84 Motion for Emma P. Simson to Appear Pro Hac Vice. (Signed by Judge Lewis A. Kaplan on 2/15/2017) (cla)
February 15, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #88 MOTION for Thomas J. Perrelli to Appear Pro Hac Vice (CORRECTED). Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
February 8, 2017 Opinion or Order Filing 86 NOTICE OF APPEARANCE by Marshall Howard Fishman on behalf of RBC Capital Markets LLC. (Fishman, Marshall)
February 8, 2017 Opinion or Order Filing 85 NOTICE OF APPEARANCE by Christine Vanessa Sama on behalf of RBC Capital Markets LLC. (Sama, Christine)
February 8, 2017 Opinion or Order Filing 84 MOTION for Emma P. Simson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Deutsche Bank AG. (Attachments: #1 Exhibit A - Declaration in Support, #2 Exhibit B - Certificate of Good Standing (District of Columbia), #3 Exhibit C - Certificate of Good Standing (Maryland), #4 Proposed Order)(Simson, Emma)
February 8, 2017 Opinion or Order Filing 83 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Thomas J. Perrelli to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Deutsche Bank AG. (Attachments: #1 Exhibit A - Declaration in Support, #2 Exhibit B - Certificate of Good Standing (District of Columbia), #3 Exhibit C - Certificate of Good Standing (Virginia), #4 Proposed Order)(Perrelli, Thomas) Modified on 2/8/2017 (bcu).
February 8, 2017 Opinion or Order >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #83 MOTION for Thomas J. Perrelli to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Virginia;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu)
February 8, 2017 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #84 MOTION for Emma P. Simson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
February 6, 2017 Opinion or Order Filing 82 NOTICE OF APPEARANCE by Eamonn Wesley Campbell on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Campbell, Eamonn)
February 6, 2017 Opinion or Order Filing 81 NOTICE OF APPEARANCE by Christine Vanessa Sama on behalf of Royal Bank of Canada. (Sama, Christine)
February 3, 2017 Opinion or Order Filing 80 ORDER RE SCHEDULING AND INITIAL PRETRIAL CONFERENCE: Initial Conference set for 3/2/2017 at 11:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Lewis A. Kaplan. As further set forth in this Order. (Signed by Judge Lewis A. Kaplan on 2/2/2017) (anc)
February 2, 2017 Opinion or Order >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #78 MOTION for Emma P. Simson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13269334. Motion and supporting papers to be reviewed by Clerk's Office staff., #77 MOTION for Thomas J. Perrelli to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13269303. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): Pursuant to rule 1.3. please attach and affadavit or Declaration of the Attorney;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)
February 1, 2017 Opinion or Order Filing 79 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Deutsche Bank AG.(Ascher, Stephen)
February 1, 2017 Opinion or Order Filing 78 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Emma P. Simson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13269334. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Deutsche Bank AG. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Text of Proposed Order)(Simson, Emma) Modified on 2/2/2017 (wb).
February 1, 2017 Opinion or Order Filing 77 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Thomas J. Perrelli to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13269303. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Deutsche Bank AG. (Attachments: #1 Exhibit A, #2 Text of Proposed Order)(Perrelli, Thomas) Modified on 2/2/2017 (wb).
February 1, 2017 Opinion or Order Filing 76 NOTICE OF APPEARANCE by Andrew Joshua Lichtman on behalf of Deutsche Bank AG. (Lichtman, Andrew)
February 1, 2017 Opinion or Order Filing 75 NOTICE OF APPEARANCE by Stephen Louis Ascher on behalf of Deutsche Bank AG. (Ascher, Stephen)
January 24, 2017 Opinion or Order Filing 74 NOTICE OF CHANGE OF ADDRESS by Marshall Howard Fishman on behalf of RBC Capital Markets LLC, Royal Bank of Canada. New Address: Goodwin Procter LLP, The New York Times Building, 620 Eighth Avenue, New York, NY, USA 10018, (212) 813-8800. (Fishman, Marshall)
January 5, 2017 Opinion or Order Filing 73 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS Group AG for UBS AG. Document filed by UBS AG.(Sullivan, Peter)
December 23, 2016 Opinion or Order Filing 72 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Chiyoda-ku, Corporate Parent Tokyo 100-8330, Corporate Parent Mistubishi UFJ Financial Group, Inc. 7-1 Marunouchi 2-chome for Morgan Stanley. Document filed by Morgan Stanley.(Schacter, Kenneth)
December 23, 2016 Opinion or Order ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Kenneth Ian Schacter to RE-FILE Document #67 Rule 7.1 Corporate Disclosure Statement. ERROR(S): Corporate Parents were not added. Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). YOU MUST SELECT THE SEARCH BUTTON. Select the correct name or create a new corporate parent. Add the Corporate Parent(s) or Affiliate(s) one party name at a time. (lb)
December 22, 2016 Opinion or Order Filing 71 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Macquarie Group Limited for Macquarie Bank Ltd.. Document filed by Macquarie Bank Ltd., Macquarie Group Ltd..(Paparella, Christopher)
December 22, 2016 Opinion or Order Filing 70 NOTICE OF APPEARANCE by Marc Alan Weinstein on behalf of Macquarie Bank Ltd., Macquarie Group Ltd.. (Weinstein, Marc)
December 22, 2016 Opinion or Order Filing 69 NOTICE OF APPEARANCE by Christopher Martin Paparella on behalf of Macquarie Bank Ltd., Macquarie Group Ltd.. (Paparella, Christopher)
December 22, 2016 Opinion or Order Filing 68 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, Corporate Parent Morgan Stanley International Incorporated for Morgan Stanley Australia Limited. Document filed by Morgan Stanley Australia Limited.(Schacter, Kenneth)
December 22, 2016 Opinion or Order Filing 67 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Morgan Stanley.(Schacter, Kenneth) Modified on 12/23/2016 (lb).
December 22, 2016 Opinion or Order Filing 66 NOTICE OF APPEARANCE by Kenneth Ian Schacter on behalf of Morgan Stanley, Morgan Stanley Australia Limited. (Schacter, Kenneth)
December 20, 2016 Opinion or Order Filing 65 ELECTRONIC SUMMONS ISSUED as to LLoyds Bank PLC, Lloyds TSB Bank PLC, Australia, Royal Bank of Scotland PLC, The Royal Bank of Scotland PLC. (dgo)
December 20, 2016 Opinion or Order Filing 64 NOTICE OF APPEARANCE by Lee Jason Lefkowitz on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Lefkowitz, Lee)
December 19, 2016 Opinion or Order Filing 63 FIRST AMENDED COMPLAINT amending #60 Amended Complaint,,,,,, against Australia and New Zealand Banking Group Ltd., BNP Paribas, Australia Branch, BNP Paribas, S.A., Bank of New Zealand, Citibank N.A., Australia Branch, Citibank, N.A., Citigroup Inc., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, Deutsche Bank AG, Australia Branch, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., JPMorgan Chase Bank, N.A. Australia, John Does Nos. 1-50, LLoyds Bank PLC, Lloyds Banking Group plc, Lloyds TSB Bank PLC, Australia, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBC Capital Markets LLC, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Canada, Australia Branch, Royal Bank of Scotland PLC, The Royal Bank of Scotland Group PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, UBS AG, Australia Branch, Westpac Banking Corporation, The Royal Bank of Scotland PLC, JPMorgan Chase Bank, N.A. Australia Branch with JURY DEMAND.Document filed by FrontPoint Financial Services Fund, L.P., Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., Sonterra Capital Master Fund, Ltd., FrontPoint Financial Horizons Fund, L.P.. Related document: #60 Amended Complaint,,,,,, filed by FrontPoint Financial Services Fund, L.P., Richard Dennis, Sonterra Capital Master Fund, Ltd., FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P..(Briganti, Vincent)
December 19, 2016 Opinion or Order Filing 62 MEMO ENDORSEMENT granting #52 Motion for Nowell D. Bamberger to Appear Pro Hac Vice. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 12/19/2016) (cla) Modified on 1/30/2017 (cla).
December 19, 2016 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Vincent Briganti to RE-FILE re: Document No. #60 Amended Complaint,,,,,,. The filing is deficient for the following reason(s): all of the parties listed on the pleading were not entered on CM ECF; the wrong party/parties whom the pleading is against were selected; Add The Royal Bank of Scotland PLC to the docket. Docket the event type Add Party to Pleading found under the event list Complaints and Other Initiating Documents.. Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (dgo)
December 16, 2016 Opinion or Order Filing 61 REQUEST FOR ISSUANCE OF SUMMONS as to The Royal Bank of Scotland Plc, RBC Capital Markets LLC, Lloyds Bank plc, Lloyds TSB Bank plc, Australia, re: #60 Amended Complaint,,,,,,. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Attachments: #1 Appendix ScheduleA)(Briganti, Vincent)
December 16, 2016 Opinion or Order Filing 60 FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERRORFIRST AMENDED COMPLAINT amending #1 Complaint,,,, against Australia and New Zealand Banking Group Ltd., BNP Paribas, Australia Branch, BNP Paribas, S.A., Bank of New Zealand, Citibank N.A., Australia Branch, Citibank, N.A., Citigroup Inc., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, Deutsche Bank AG, Australia Branch, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., JPMorgan Chase Bank, N.A. Australia, John Does Nos. 1-50, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Canada, Australia Branch, The Royal Bank of Scotland Group PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, UBS AG, Australia Branch, Westpac Banking Corporation, Royal Bank of Scotland PLC, LLoyds Bank PLC, RBC Capital Markets LLC, Lloyds TSB Bank PLC, Australia with JURY DEMAND.Document filed by FrontPoint Financial Services Fund, L.P., Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., Sonterra Capital Master Fund, Ltd., FrontPoint Financial Horizons Fund, L.P.. Related document: #1 Complaint,,,, filed by FrontPoint Financial Services Fund, L.P., Richard Dennis, Sonterra Capital Master Fund, Ltd., FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P..(Briganti, Vincent) Modified on 12/19/2016 (dgo).
December 16, 2016 Opinion or Order Filing 59 NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of UBS AG. (Kirsch, Mark)
December 16, 2016 Opinion or Order Filing 58 NOTICE OF APPEARANCE by Peter Sullivan on behalf of UBS AG. (Sullivan, Peter)
December 16, 2016 Opinion or Order Filing 57 NOTICE OF APPEARANCE by Jefferson Eliot Bell on behalf of UBS AG. (Bell, Jefferson)
December 16, 2016 Opinion or Order Filing 56 NOTICE OF APPEARANCE by Eric Jonathan Stock on behalf of UBS AG. (Stock, Eric)
December 14, 2016 Opinion or Order Filing 55 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by HSBC Holdings plc.(Liman, Lewis)
December 14, 2016 Opinion or Order Filing 54 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate HSBC Holdings plc for HSBC Bank Australia Limited. Document filed by HSBC Bank Australia Limited.(Liman, Lewis)
December 14, 2016 Opinion or Order Filing 53 NOTICE OF APPEARANCE by Roland Raymond St. Louis, III on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (St. Louis, Roland)
December 14, 2016 Opinion or Order Filing 52 MOTION for Nowell D. Bamberger to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13097338. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by HSBC Bank Australia Limited, HSBC Holdings plc. (Attachments: #1 Certificates of Good Standing, #2 Text of Proposed Order)(Bamberger, Nowell)
December 14, 2016 Opinion or Order Filing 51 NOTICE OF APPEARANCE by Breon Stacey Peace on behalf of HSBC Bank Australia Limited, HSBC Holdings plc. (Peace, Breon)
December 14, 2016 Opinion or Order Filing 50 NOTICE OF APPEARANCE by Jennifer Kennedy Park on behalf of HSBC Bank Australia Limited, HSBC Holdings plc. (Park, Jennifer)
December 14, 2016 Opinion or Order Filing 49 NOTICE OF APPEARANCE by Lewis J. Liman on behalf of HSBC Bank Australia Limited, HSBC Holdings plc. (Liman, Lewis)
December 14, 2016 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #52 MOTION for Nowell D. Bamberger to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13097338. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jcu)
December 13, 2016 Opinion or Order Filing 48 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent JPMorgan Chase & Co. for JPMorgan Chase Bank, N.A.. Document filed by JPMorgan Chase & Co., JPMorgan Chase Bank, N.A..(Gluckow, Paul)
December 12, 2016 Opinion or Order Filing 47 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG for Credit Suisse AG. Document filed by Credit Suisse AG, Credit Suisse Group AG.(Washer, Herbert)
December 12, 2016 Opinion or Order Filing 46 NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Credit Suisse AG, Credit Suisse Group AG. (Washer, Herbert)
December 12, 2016 Opinion or Order Filing 45 NOTICE OF APPEARANCE by David George Januszewski on behalf of Credit Suisse AG, Credit Suisse Group AG. (Januszewski, David)
December 12, 2016 Opinion or Order Filing 44 NOTICE OF APPEARANCE by Elai E. Katz on behalf of Credit Suisse AG, Credit Suisse Group AG. (Katz, Elai)
December 12, 2016 Opinion or Order Filing 43 NOTICE OF APPEARANCE by Sheila Chithran Ramesh on behalf of Credit Suisse AG, Credit Suisse Group AG. (Ramesh, Sheila)
December 8, 2016 Opinion or Order Filing 42 NOTICE OF APPEARANCE by Rachel Serenity Sparks Bradley on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Sparks Bradley, Rachel)
December 8, 2016 Opinion or Order Filing 41 NOTICE OF APPEARANCE by Michael Steven Carnevale on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Carnevale, Michael)
December 8, 2016 Opinion or Order Filing 40 NOTICE OF APPEARANCE by Omari Largos Royter Mason on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Mason, Omari)
December 8, 2016 Opinion or Order Filing 39 NOTICE OF APPEARANCE by Alexander Nuo Li on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Li, Alexander)
December 8, 2016 Opinion or Order Filing 38 NOTICE OF APPEARANCE by Francis John Acott on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Acott, Francis)
December 8, 2016 Opinion or Order Filing 37 NOTICE OF APPEARANCE by Abram Jeremy Ellis on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Ellis, Abram)
December 8, 2016 Opinion or Order Filing 36 NOTICE OF APPEARANCE by Paul Christopher Gluckow on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Gluckow, Paul)
December 8, 2016 Opinion or Order Filing 35 NOTICE OF APPEARANCE by Thomas C. Rice on behalf of JPMorgan Chase & Co., JPMorgan Chase Bank, N.A.. (Rice, Thomas)
December 1, 2016 Opinion or Order Filing 34 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Exco Overseas Limited for ICAP Australia Pty Ltd.. Document filed by ICAP Australia Pty Ltd..(Fraser, Brian)
December 1, 2016 Opinion or Order Filing 33 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Schroders PLC for ICAP plc. Document filed by ICAP plc.(Fraser, Brian)
December 1, 2016 Opinion or Order Filing 32 NOTICE OF APPEARANCE by H. Rowan Gaither, IV on behalf of ICAP Australia Pty Ltd., ICAP plc. (Gaither, H.)
December 1, 2016 Opinion or Order Filing 31 NOTICE OF APPEARANCE by Shari A. Brandt on behalf of ICAP Australia Pty Ltd., ICAP plc. (Brandt, Shari)
December 1, 2016 Opinion or Order Filing 30 NOTICE OF APPEARANCE by Brian S. Fraser on behalf of ICAP Australia Pty Ltd., ICAP plc. (Fraser, Brian)
November 30, 2016 Opinion or Order Filing 29 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Schroders plc for Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC. Document filed by Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC.(Davis, Harry)
November 30, 2016 Opinion or Order Filing 28 NOTICE OF APPEARANCE by Brian Theodore Kohn on behalf of Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC. (Kohn, Brian)
November 30, 2016 Opinion or Order Filing 27 NOTICE OF APPEARANCE by Harry Simeon Davis on behalf of Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC. (Davis, Harry)
November 29, 2016 Opinion or Order Filing 26 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Lloyds Banking Group plc.(Gottridge, Marc)
November 29, 2016 Opinion or Order Filing 25 NOTICE OF APPEARANCE by Benjamin Andrew Fleming on behalf of Lloyds Banking Group plc. (Fleming, Benjamin)
November 29, 2016 Opinion or Order Filing 24 NOTICE OF APPEARANCE by Kevin Timothy Baumann on behalf of Lloyds Banking Group plc. (Baumann, Kevin)
November 29, 2016 Opinion or Order Filing 23 NOTICE OF APPEARANCE by Lisa Jean Fried on behalf of Lloyds Banking Group plc. (Fried, Lisa)
November 29, 2016 Opinion or Order Filing 22 NOTICE OF APPEARANCE by Marc Joel Gottridge on behalf of Lloyds Banking Group plc. (Gottridge, Marc)
November 22, 2016 Opinion or Order Filing 21 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Commonwealth Bank of Australia.(Scott, Jeffrey)
November 22, 2016 Opinion or Order Filing 20 NOTICE OF APPEARANCE by Mark Aaron Popovsky on behalf of Commonwealth Bank of Australia. (Popovsky, Mark)
November 22, 2016 Opinion or Order Filing 19 NOTICE OF APPEARANCE by Jeffrey T. Scott on behalf of Commonwealth Bank of Australia. (Scott, Jeffrey)
November 22, 2016 Opinion or Order Filing 18 NOTICE OF APPEARANCE by Sophie-Charlotte Rohnke on behalf of Royal Bank of Canada. (Rohnke, Sophie-Charlotte)
November 22, 2016 Opinion or Order Filing 17 NOTICE OF APPEARANCE by Elizabeth M. Zito on behalf of Royal Bank of Canada. (Zito, Elizabeth)
November 22, 2016 Opinion or Order Filing 16 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Royal Bank of Canada.(Fishman, Marshall)
November 22, 2016 Opinion or Order Filing 15 NOTICE OF APPEARANCE by Marshall Howard Fishman on behalf of Royal Bank of Canada. (Fishman, Marshall)
November 21, 2016 Opinion or Order Filing 14 LETTER addressed to Judge Lewis A. Kaplan from Barry Washor dated 11/1/2016 re: No objection to your Honor presiding over the above-referenced matter. (cla)
November 21, 2016 Opinion or Order Filing 13 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Australia and New Zealand Banking Group Ltd..(Shane, Penny)
November 21, 2016 Opinion or Order Filing 12 NOTICE OF APPEARANCE by Penny Shane on behalf of Australia and New Zealand Banking Group Ltd.. (Shane, Penny)
November 21, 2016 Opinion or Order Filing 11 NOTICE OF APPEARANCE by Corey Omer on behalf of Australia and New Zealand Banking Group Ltd.. (Omer, Corey)
November 21, 2016 Opinion or Order Filing 10 NOTICE OF APPEARANCE by Christopher Michael Viapiano on behalf of Australia and New Zealand Banking Group Ltd.. (Viapiano, Christopher)
November 16, 2016 Opinion or Order Filing 9 STIPULATION AND ORDER REGARDING SERVICE AND TIME TO RESPOND TO THE COMPLAINT: IT IS HEREBY STIPULATED AND AGREED as follows: Subject to the provisions set forth in paragraph 4 below and the reservation of rights contained in paragraph 5 below, the Stipulating Defendants agree to waive service of the Summons and Complaint. Plaintiffs may file an Amended Complaint on or before December 16, 2016. The time for the Stipulating Defendants to move against, answer, or otherwise respond to the Complaint or, if an Amended Complaint is filed, the Amended Complaint is extended to and includes February 24, 2017. If one or more of the Stipulating Defendants move to dismiss the Complaint or Amended Complaint, Plaintiffs shall respond on or before April 28, 2017. The Stipulating Defendants may file replies on their motion(s) on or before May 25, 2017. Discovery is stayed pending the resolution of the Stipulating Defendants' forthcoming motion(s) to dismiss; except that if any Stipulating Defendant moves to dismiss the Amended Complaint on the ground that this Court lacks personal jurisdiction as to it pursuant to Rule 12(b)(2) of the Federal Rules of Civil Procedure, Plaintiffs may seek leave of Court to conduct jurisdictional discovery with respect to that Stipulating Defendant and additional time to file their opposition(s) to the Rule 12(b)(2) motion(s) to dismiss in order to conduct such discovery, as further set out in the order. (Australia and New Zealand Banking Group Ltd. answer due 2/24/2017; BNP Paribas, S.A. answer due 2/24/2017; Citibank, N.A. answer due 2/24/2017; Citigroup Inc. answer due 2/24/2017; Credit Suisse AG answer due 2/24/2017; Credit Suisse Group AG answer due 2/24/2017; Deutsche Bank AG answer due 2/24/2017; HSBC Bank Australia Limited answer due 2/24/2017; HSBC Holdings plc answer due 2/24/2017; ICAP Australia Pty Ltd. answer due 2/24/2017; ICAP plc answer due 2/24/2017; JPMorgan Chase & Co. answer due 2/24/2017; JPMorgan Chase Bank, N.A. answer due 2/24/2017; Lloyds Banking Group plc answer due 2/24/2017; Macquarie Bank Ltd. answer due 2/24/2017; Macquarie Group Ltd. answer due 2/24/2017; Morgan Stanley answer due 2/24/2017; Morgan Stanley Australia Limited answer due 2/24/2017; RBS Group (Australia) Pty Limited answer due 2/24/2017; RBS N.V. answer due 2/24/2017; Royal Bank of Canada answer due 2/24/2017; The Royal Bank of Scotland Group PLC answer due 2/24/2017; Tullett Prebon (Australia) Pty Ltd. answer due 2/24/2017; Tullett Prebon PLC answer due 2/24/2017; UBS AG answer due 2/24/2017; Westpac Banking Corporation answer due 2/24/2017.) (Amended Pleadings due by 12/16/2016., Responses due by 4/28/2017, Replies due by 5/25/2017.) (Signed by Judge Lewis A. Kaplan on 11/16/2016) (cla)
August 18, 2016 Opinion or Order Filing 8 ELECTRONIC SUMMONS ISSUED as to Australia and New Zealand Banking Group Ltd., BNP Paribas, Australia Branch, Citibank, N.A., Citigroup Inc., Credit Suisse AG, Deutsche Bank AG, HSBC Holdings plc, ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., Lloyds Banking Group plc, Macquarie Bank Ltd., Morgan Stanley Australia Limited, RBS N.V., Royal Bank of Canada, Australia Branch, Tullett Prebon PLC, UBS AG. (rch)
August 17, 2016 Opinion or Order Filing 7 NOTICE OF APPEARANCE by Christian Levis on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Levis, Christian)
August 17, 2016 Opinion or Order Filing 6 NOTICE OF APPEARANCE by Raymond Peter Girnys on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Girnys, Raymond)
August 17, 2016 Opinion or Order Filing 5 NOTICE OF APPEARANCE by Peter Dexter St. Phillip, Jr on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (St. Phillip, Peter)
August 17, 2016 Opinion or Order Filing 4 NOTICE OF APPEARANCE by Geoffrey Milbank Horn on behalf of Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Horn, Geoffrey)
August 17, 2016 Opinion or Order Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Australia and New Zealand Banking Group Ltd., BNP Paribas, Australia Branch, BNP Paribas, S.A., Bank of New Zealand, Citibank N.A., Australia Branch, Citibank, N.A., Citigroup Inc., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, Deutsche Bank AG, Australia Branch, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., JPMorgan Chase Bank, N.A. Australia, John Does Nos. 1-50, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Canada, Australia Branch, The Royal Bank of Scotland Group PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, UBS AG, Australia Branch, Westpac Banking Corporation., re: #1 Complaint,,,,. Document filed by Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. (Briganti, Vincent)
August 17, 2016 Opinion or Order Filing 2 CIVIL COVER SHEET filed. (Attachments: #1 Appendix Schedule A to Civil Cover Sheet)(Briganti, Vincent)
August 17, 2016 Opinion or Order ***NOTICE TO ATTORNEY TO ELECTRONICALLY FILE CIVIL COVER SHEET. Notice to Attorney Vincent Briganti. Attorney must electronically file the Civil Cover Sheet. Use the event type Civil Cover Sheet found under the event list Other Documents. (rch)
August 17, 2016 Opinion or Order ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Vincent Briganti. The party information for the following party/parties has been modified: FrontPoint Asian Event Driven Fund, L.P., FrontPoint Financial Horizons Fund, L.P., FrontPoint Financial Services Fund, L.P., Sonterra Capital Master Fund, Ltd.. The information for the party/parties has been modified for the following reason/reasons: party text was omitted. (rch)
August 17, 2016 Opinion or Order ***NOTICE TO ATTORNEY REGARDING CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Vincent Briganti. The following case opening statistical information was erroneously selected/entered: County code New York;. The following correction(s) have been made to your case entry: the County code has been modified to XX Out of State;. (rch)
August 17, 2016 Opinion or Order Case Designated ECF. (rch)
August 17, 2016 Opinion or Order CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Lewis A. Kaplan. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (rch)
August 17, 2016 Opinion or Order Magistrate Judge Gabriel W. Gorenstein is so designated. (rch)
August 16, 2016 Opinion or Order Filing 1 COMPLAINT against Australia and New Zealand Banking Group Ltd., BNP Paribas, Australia Branch, BNP Paribas, S.A., Bank of New Zealand, Citibank N.A., Australia Branch, Citibank, N.A., Citigroup Inc., Commonwealth Bank of Australia, Credit Suisse AG, Credit Suisse Group AG, Deutsche Bank AG, Deutsche Bank AG, Australia Branch, HSBC Bank Australia Limited, HSBC Holdings plc, ICAP Australia Pty Ltd., ICAP plc, JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., JPMorgan Chase Bank, N.A. Australia, John Does Nos. 1-50, Lloyds Banking Group plc, Macquarie Bank Ltd., Macquarie Group Ltd., Morgan Stanley, Morgan Stanley Australia Limited, National Australia Bank Limited, RBS Group (Australia) Pty Limited, RBS N.V., Royal Bank of Canada, Royal Bank of Canada, Australia Branch, The Royal Bank of Scotland Group PLC, Tullett Prebon (Australia) Pty Ltd., Tullett Prebon PLC, UBS AG, UBS AG, Australia Branch, Westpac Banking Corporation. (Filing Fee $ 400.00, Receipt Number 0208-12658758)Document filed by FrontPoint Financial Services Fund, L.P., Richard Dennis, FrontPoint Asian Event Driven Fund, L.P., Sonterra Capital Master Fund, Ltd., FrontPoint Financial Horizons Fund, L.P..(Briganti, Vincent)

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System

Search for this case: Dennis et al v. JPMorgan Chase & Co. et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Dennis
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: FrontPoint Asian Event Driven Fund, L.P.
Represented By: Geoffrey Milbank Horn
Represented By: Raymond Peter Girnys
Represented By: Christian Levis
Represented By: Christopher Lovell
Represented By: Margaret Ciavarella MacLean
Represented By: Vincent Briganti
Represented By: Peter Dexter St. Phillip, Jr
Represented By: Lee Jason Lefkowitz
Represented By: Edward Y. Kroub
Represented By: Sitso W. Bediako
Represented By: Roland Raymond St. Louis, III
Represented By: Charles Z Kopel
Represented By: Christopher Michael McGrath
Represented By: Peter Anthony Barile, III
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Sonterra Capital Master Fund, Ltd.
Represented By: Geoffrey Milbank Horn
Represented By: Raymond Peter Girnys
Represented By: Christian Levis
Represented By: Christopher Lovell
Represented By: Margaret Ciavarella MacLean
Represented By: Vincent Briganti
Represented By: Peter Dexter St. Phillip, Jr
Represented By: Lee Jason Lefkowitz
Represented By: Edward Y. Kroub
Represented By: Sitso W. Bediako
Represented By: Roland Raymond St. Louis, III
Represented By: Charles Z Kopel
Represented By: Christopher Michael McGrath
Represented By: Peter Anthony Barile, III
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Richard Dennis
Represented By: Geoffrey Milbank Horn
Represented By: Raymond Peter Girnys
Represented By: Christian Levis
Represented By: Christopher Lovell
Represented By: Margaret Ciavarella MacLean
Represented By: Vincent Briganti
Represented By: Peter Dexter St. Phillip, Jr
Represented By: Lee Jason Lefkowitz
Represented By: Edward Y. Kroub
Represented By: Sitso W. Bediako
Represented By: Roland Raymond St. Louis, III
Represented By: Amir Alimehri
Represented By: Charles Z Kopel
Represented By: Christopher Michael McGrath
Represented By: Peter Anthony Barile, III
Represented By: Travis Carter
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: FrontPoint Financial Services Fund, L.P.
Represented By: Geoffrey Milbank Horn
Represented By: Raymond Peter Girnys
Represented By: Christian Levis
Represented By: Christopher Lovell
Represented By: Margaret Ciavarella MacLean
Represented By: Vincent Briganti
Represented By: Peter Dexter St. Phillip, Jr
Represented By: Lee Jason Lefkowitz
Represented By: Edward Y. Kroub
Represented By: Sitso W. Bediako
Represented By: Roland Raymond St. Louis, III
Represented By: Charles Z Kopel
Represented By: Christopher Michael McGrath
Represented By: Peter Anthony Barile, III
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: FrontPoint Financial Horizons Fund, L.P.
Represented By: Geoffrey Milbank Horn
Represented By: Raymond Peter Girnys
Represented By: Christian Levis
Represented By: Christopher Lovell
Represented By: Margaret Ciavarella MacLean
Represented By: Vincent Briganti
Represented By: Peter Dexter St. Phillip, Jr
Represented By: Lee Jason Lefkowitz
Represented By: Edward Y. Kroub
Represented By: Sitso W. Bediako
Represented By: Roland Raymond St. Louis, III
Represented By: Charles Z Kopel
Represented By: Christopher Michael McGrath
Represented By: Peter Anthony Barile, III
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Orange County Employees Retirement System
Represented By: Vincent Briganti
Represented By: Patrick Thomas Egan
Represented By: Todd Seaver
Represented By: Carl Hammarskjold
Represented By: Amir Alimehri
Represented By: Christopher Lovell
Represented By: Christopher Michael McGrath
Represented By: Peter Anthony Barile, III
Represented By: Travis Carter
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: JPMorgan Chase & Co
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: JPMorgan Chase Bank, N.A. Australia
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: BNP Paribas, Australia Branch
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: The Royal Bank of Scotland PLC
Represented By: Fraser Lee Hunter, Jr
Represented By: Jamie Stephen Dycus
Represented By: David Sapir Lesser
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Royal Bank of Scotland PLC
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: LLoyds Bank PLC
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: HSBC Holdings plc
Represented By: Jennifer Kennedy Park
Represented By: Breon Stacey Peace
Represented By: Charity Eunah Lee
Represented By: Nowell D. Bamberger
Represented By: Lewis J. Liman
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Credit Suisse Group AG
Represented By: Jason Michael Hall
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Adam Shawn Mintz
Represented By: Elai Katz
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: RBC Capital Markets LLC
Represented By: Elizabeth M. Zito
Represented By: Marshall Howard Fishman
Represented By: Christine Vanessa Sama
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Royal Bank of Canada
Represented By: Elizabeth M. Zito
Represented By: Marshall Howard Fishman
Represented By: Sophie-Charlotte Rohnke
Represented By: Christine Vanessa Sama
Represented By: Melissa Lee Brumer
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Citibank N.A., Australia Branch
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: RBS Group (Australia) Pty Limited
Represented By: Fraser Lee Hunter, Jr
Represented By: Jamie Stephen Dycus
Represented By: David Sapir Lesser
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: UBS AG
Represented By: Eric Jonathan Stock
Represented By: Mark Adam Kirsch
Represented By: Peter Sullivan
Represented By: Jefferson Eliot Bell
Represented By: Alison Leigh Wollin
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Citibank, N.A.
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: JPMorgan Chase & Co.
Represented By: Omari Largos Royter Mason
Represented By: Thomas C. Rice
Represented By: Alan Craig Turner
Represented By: Eamonn Wesley Campbell
Represented By: Paul Christopher Gluckow
Represented By: Rachel Serenity Sparks Bradley
Represented By: Jonathan Thomas Menitove
Represented By: Alexander Nuo Li
Represented By: Michael Steven Carnevale
Represented By: Abram Jeremy Ellis
Represented By: Isaac Martin Rethy
Represented By: Mary Beth Forshaw
Represented By: Francis John Acott
Represented By: Sarah Emily Phillips
Represented By: Michael Carnevale
Represented By: Rachel Sparks Bradley
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: ICAP plc
Represented By: Shari A. Brandt
Represented By: H. Rowan Gaither, IV
Represented By: Brian S. Fraser
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Deutsche Bank AG
Represented By: Andrew Joshua Lichtman
Represented By: Emma P. Simson
Represented By: Thomas J. Perrelli
Represented By: Stephen Louis Ascher
Represented By: Jason Craig Hegt
Represented By: Richard David Owens
Represented By: William Oliver Reckler
Represented By: Sharon Michelle Casola
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Macquarie Group Ltd.
Represented By: Marc Alan Weinstein
Represented By: Christopher Martin Paparella
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Bank of New Zealand
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: UBS AG, Australia Branch
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: JPMorgan Chase Bank, N.A.
Represented By: Omari Largos Royter Mason
Represented By: Thomas C. Rice
Represented By: Alan Craig Turner
Represented By: Eamonn Wesley Campbell
Represented By: Paul Christopher Gluckow
Represented By: Rachel Serenity Sparks Bradley
Represented By: Jonathan Thomas Menitove
Represented By: Alexander Nuo Li
Represented By: Michael Steven Carnevale
Represented By: Abram Jeremy Ellis
Represented By: Isaac Martin Rethy
Represented By: Mary Beth Forshaw
Represented By: Francis John Acott
Represented By: Sarah Emily Phillips
Represented By: Michael Carnevale
Represented By: Rachel Sparks Bradley
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: ICAP Australia Pty Ltd.
Represented By: Shari A. Brandt
Represented By: H. Rowan Gaither, IV
Represented By: Brian S. Fraser
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: RBS N.V.
Represented By: Fraser Lee Hunter, Jr
Represented By: Jamie Stephen Dycus
Represented By: David Sapir Lesser
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Royal Bank of Canada, Australia Branch
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: HSBC Bank Australia Limited
Represented By: Jennifer Kennedy Park
Represented By: Breon Stacey Peace
Represented By: Charity Eunah Lee
Represented By: Nowell D. Bamberger
Represented By: Lewis J. Liman
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: National Australia Bank Limited
Represented By: David Harold Braff
Represented By: Stephen Hendrix Oliver Clarke
Represented By: Matthew Joseph Porpora
Represented By: Jonathan Sloan Carter
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Tullett Prebon PLC
Represented By: Harry Simeon Davis
Represented By: Brian Theodore Kohn
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Credit Suisse AG
Represented By: Jason Michael Hall
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
Represented By: Adam Shawn Mintz
Represented By: Elai Katz
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Citigroup Inc.
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: The Royal Bank of Scotland Group PLC
Represented By: Fraser Lee Hunter, Jr
Represented By: Jamie Stephen Dycus
Represented By: David Sapir Lesser
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Australia and New Zealand Banking Group Ltd.
Represented By: Penny Shane, II
Represented By: Corey Omer
Represented By: Christopher Michael Viapiano
Represented By: Elizabeth A Cassady
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Macquarie Bank Ltd.
Represented By: Marc Alan Weinstein
Represented By: Christopher Martin Paparella
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: John Does Nos. 1-50
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: JPMorgan Chase Bank, N.A. Australia Branch
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Lloyds Banking Group plc
Represented By: Kevin Timothy Baumann
Represented By: Marc Joel Gottridge
Represented By: Benjamin Andrew Fleming
Represented By: Lisa Jean Fried
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Westpac Banking Corporation
Represented By: Timothy Gray Cameron
Represented By: Michael A Paskin
Represented By: Daniel Slifkin
Represented By: Lauren Michelle Rosenberg
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Deutsche Bank AG, Australia Branch
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Morgan Stanley Australia Limited
Represented By: Anthony R. Van Vuren
Represented By: Jon Randall Roellke
Represented By: Kenneth Ian Schacter
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Commonwealth Bank of Australia
Represented By: Jeffrey T. Scott
Represented By: Mark Aaron Popovsky
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Morgan Stanley
Represented By: Anthony R. Van Vuren
Represented By: Jon Randall Roellke
Represented By: Kenneth Ian Schacter
Represented By: Elizabeth Irene Buechner
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Tullett Prebon (Australia) Pty Ltd.
Represented By: Harry Simeon Davis
Represented By: Brian Theodore Kohn
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Lloyds TSB Bank PLC, Australia
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: BNP Paribas, S.A.
Represented By: Kelly A. Carrero
Represented By: Jayant W. Tambe
Represented By: Stephen Jay Obie
Represented By: Kurt Michael Gosselin
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.

Why Is My Information Online?