Iowa Public Employees' Retirement System et al v. Bank of America Corporation et al
Plaintiff: Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association and Torus Capital, LLC
Defendant: J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Securities LLC, Goldman Sachs Execution & Clearing, L.P., UBS Financial Services Inc., EquiLend Holdings LLC, Credit Suisse Group AG, Credit Suisse First Boston Next Fund, Inc., J.P. Morgan Chase Bank, N.A., Goldman Sachs & Co. LLC, UBS AG, Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., J.P. Morgan Prime, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prime Dealer Services Corp., The Goldman Sachs Group, Inc., Strategic Investments I, Inc., Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, UBS Group AG, EquiLend Europe Limited, Credit Suisse AG, UBS Americas Inc., UBS Securities LLC, J.P. Morgan Chase & Co., Credit Suisse Securities (USA) LLC, EquiLend LLC, Morgan Stanley, UBS Asset Management (US) Inc., Merrill Lynch Professional Clearing Corp., J.P. Morgan Institutional Investments Inc., UBS Investment Bank, Credit Suisse Prime Securities Services (USA) LLC, UBS Fund Services (USA) LLC and Morgan Stanley Distribution, Inc.
Petitioner: SL-X IP S.A.R.L., SL-x Trading Europe Ltd., SL-x Technology UK Ltd., SL-x Technology USA LLC and SL-x Trading USA LLC
Interested Party: Schonfeld Strategic Advisors LLC and Two Sigma Investments, LP
Case Number: 1:2017cv06221
Filed: August 16, 2017
Court: US District Court for the Southern District of New York
Office: Foley Square Office
Presiding Judge: Katherine Polk Failla
Referring Judge: Analisa Torres
Nature of Suit: Anti-Trust
Cause of Action: 15:2
Jury Demanded By: Both
Docket Report

This docket was last retrieved on June 2, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
May 1, 2020 Filing 296 JOINT LETTER MOTION for Extension of Time addressed to Judge Katherine Polk Failla from Daniel L. Brockett, Michael B. Eisenkraft, Richard F. Schwed,Jason M. Hall, Robert Y. Sperling, Henry Liu, Michael A. Paskin, Alan J. Brudner, Alexis Collins dated May 1, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Proposed Fourth Amended Civil Case Management Plan and Scheduling Order, #2 Exhibit B - Redline).(Brockett, Daniel)
May 1, 2020 Filing 295 NOTICE OF APPEARANCE by Nicholas Gerschman on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Gerschman, Nicholas)
April 24, 2020 Filing 294 NOTICE OF APPEARANCE by David Tyler Adams on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC..(Adams, David)
March 27, 2020 Opinion or Order Filing 293 THIRD AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c) Amended pleadings may not be filed and additional parties may not be joined except with leave of the Court. Any motion to amend pleadings or to join additional parties shall be filed no later than 3 months from the date of the prior Case Management Order dated November 15, 2018, unless good cause is shown under Fed. R. Civ. P. 16(b)(4). All expert discovery, including reports, production of underlying documents, and depositions, shall be conducted in accordance with a schedule to be issued following a ruling on Plaintiffs' motion for class certification. Plaintiffs' motion for class certification and supporting expert reports are due: December 21, 2020. Defendants' deadline to depose Plaintiffs' class certification experts: March 5, 2021. Defendants' opposition to class certification and supporting expert reports are due: April 9, 2021. Plaintiffs' deadline to depose Defendants' class certification experts: June 14, 2021. Plaintiffs' reply in support of class certification: July 16, 2021. Depositions of fact witnesses shall be completed by July 30, 2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. (Motions due by 12/21/2020. Responses due by 4/9/2021 Replies due by 7/16/2021. Deposition due by 4/21/2021.) (Signed by Judge Katherine Polk Failla on 3/27/2020) (rro)
March 27, 2020 Set/Reset Hearings: Pretrial Conference set for 8/11/2020 at 02:00 PM in Courtroom 618, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla. (ks)
March 27, 2020 Opinion or Order Filing 292 ORDER granting #291 Letter Motion for Extension of Time to Amend. Application GRANTED. The Court will endorse the Third Amended Case Management Plan under separate cover. The pretrial conference currently scheduled for May 19, 2020, is hereby ADJOURNED to August 11, 2020, at 2:00 p.m. in Courtroom 618 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York. SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/27/2020) (ks)
March 26, 2020 Filing 291 JOINT LETTER MOTION for Extension of Time to Amend the Case Schedule addressed to Judge Katherine Polk Failla from Daniel L. Brockett, Michael B. Eisenkraft, Richard F. Schwed,Jason M. Hall, Robert Y. Sperling, Richard C. Pepperman, II, Henry Liu, Michael A. Paskin, Alan J. Brudner, Alexis Collins dated March 26, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Proposed New Case Management Schedule, #2 Exhibit B - Redline).(Brockett, Daniel)
March 17, 2020 Filing 290 LETTER addressed to Judge Katherine Polk Failla from Jason M. Hall dated March 17, 2020 re: Notice Of Intent To Share Data With Experts. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC. (Attachments: #1 Exhibit A-2 - Notice of Availability of Expert Identity and Data Security Protocol Information).(Hall, Jason)
March 11, 2020 Opinion or Order Filing 289 ORDER FOR ADMISSION PRO HAC VICE granting #288 Motion for Benjamin C. Levine to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 288. (Signed by Judge Katherine Polk Failla on 3/11/2020) (mro)
March 10, 2020 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #288 MOTION for Benjamin C. Levine to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-19065439. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
March 10, 2020 Filing 288 MOTION for Benjamin C. Levine to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-19065439. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit Affidavit in Support of Motion for Admission Pro Hac Vice, #2 Exhibit Certificate of Admission in Illinois, #3 Exhibit Proposed Order).(Levine, Benjamin)
March 9, 2020 LETTERS ROGATORY ISSUED on March 9, 2020, and picked up by WINSTON & STRAWN LLP, to obtain evidence on Julian Pittam and Charlotte Clout in the United Kingdo, Royal Courts of Justice, London. (km)
March 6, 2020 Opinion or Order Filing 287 MEMO ENDORSEMENT on re: #285 MOTION for Issuance of Letters Rogatory as to Julian Pittam and Charlotte Clout in Great Britain , by Defendants filed by Goldman Sachs & Co. LLC. ENDORSEMENT: SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/6/2020) (rro) Transmission to Orders and Judgments Clerk for processing.
March 6, 2020 Opinion or Order Filing 286 MEMO ENDORSEMENT granting #285 Motion for Issuance of Letters Rogatory. ENDORSEMENT: SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/6/2020) (rro) Transmission to Orders and Judgments Clerk for processing.
February 27, 2020 Filing 285 MOTION for Issuance of Letters Rogatory as to Julian Pittam and Charlotte Clout in Great Britain , by Defendants. Document filed by Goldman Sachs & Co. LLC. (Attachments: #1 Exhibit 1 - Defendants' proposed Letter of Request regarding Mr. Pittam, #2 Exhibit 2 - Defendants' proposed Letter of Request regarding Ms. Clout).(Mastoris, George)
February 25, 2020 Filing 284 LETTER addressed to Judge Katherine Polk Failla from Peter G. Wilson dated 2/25/20 re: Notice Of Intent To Share Data With Experts. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit A-2).(Wilson, Peter)
February 24, 2020 LETTERS ROGATORY ISSUED on February 24, 2020, and picked up by Covington & Burling LLP, and to obtain evidence on Marc Gerstein in London; to obtain evidence on Lynden Howie in London and to obtain evidence on Ricardo Caupers in London.(km)
February 24, 2020 Filing 283 MEMO ENDORSEMENT on #281 granting #275 Motion for Issuance of Letters Rogatory. ENDORSEMENT: Application DENIED. The Court will issue the Requests for Judicial Assistance as they appear as exhibits to Defendants' February 14, 2020 motion for the issuance of letters rogatory. (Dkt. #275). However, Plaintiffs and Defendants are directed to coordinate with non-parties SL-x IP S.a.r.l, SL-x Technology UK Limited, SL-x Trading Europe Limited, SL-x Technology USA LLC, and SL-x Trading USA LLC (collectively "SL-x") to ensure that SL-x is able to participate in the depositions of Marc Gerstein, Lynden Howie, and Ricardo Caupers. (Signed by Judge Katherine Polk Failla on 2/24/2020) (rro) Transmission to Orders and Judgments Clerk for processing. Modified on 2/25/2020 (rro).
February 21, 2020 Filing 282 LETTER addressed to Judge Katherine Polk Failla from Michael Mitchell dated February 21, 2020 re: Data Production. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit A-2).(Mitchell, Michael)
February 21, 2020 Filing 281 RESPONSE to Motion re: #275 MOTION for Issuance of Letters Rogatory as to Marc Gerstein, Lynden Howie, and Ricardo Caupers in Great Britain . . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC..(Mandel, Evan)
February 21, 2020 Opinion or Order Filing 280 ORDER denying #273 Motion to Compel. The Court is in receipt of Defendants' letter motion to compel Plaintiffs to provide additional responses to Defendants' first interrogatory ("Interrogatory One") (Dkt. #272, 273), and Plaintiffs' letter in opposition (Dkt. #276). The parties' dispute is, in essence, a disagreement over the proper interpretation of the Court's November 6, 2019 Order, in which the Court ordered Plaintiffs to comply with Defendants' Interrogatory One insofar "as it requests that Plaintiffs provide the names of individuals who are mentioned, but not named, in the Amended Complaint, and to whom specific statements are attributed in the Amended Complaint." (Dkt. #240). Plaintiffs' proposed construction of the Court's November 6, 2019 Order is correct. Defendants have not provided the Court with sufficient justification for it to reconsider the scope of that Order. Accordingly, Defendants' motion to compel is DENIED. (Signed by Judge Katherine Polk Failla on 2/21/2020) (rro)
February 21, 2020 Filing 279 LETTER addressed to Judge Katherine Polk Failla from John S. Playforth dated February 21, 2020 re: Notice of intent to share data designated as "Highly Confidential Data.". Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A-2 - Notice of Availability of Expert Identity and Data Security Protocol Information).(Playforth, John)
February 20, 2020 Filing 278 LETTER addressed to Judge Katherine Polk Failla from Robert Y. Sperling dated February 20, 2020 re: Notice of intent to share data designated as "Highly Confidential Data" with experts. Document filed by Goldman Sachs & Co. LLC. (Attachments: #1 Exhibit A-2 - Notice of Availability of Expert Identity and Data Security Protocol Information).(Sperling, Robert)
February 20, 2020 Filing 277 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 20, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit A-2 Notice of Availability of Expert Identity and Data Security Protocol Information).(Paskin, Michael)
February 14, 2020 Filing 276 RESPONSE re: #273 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1 - Letter).(Brockett, Daniel)
February 14, 2020 Filing 275 MOTION for Issuance of Letters Rogatory as to Marc Gerstein, Lynden Howie, and Ricardo Caupers in Great Britain . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit 1 - M. Gerstein proposed Hague Convention letter of request, #2 Exhibit 2 - L. Howie proposed Hague Convention letter of request, #3 Exhibit 3 - R. Caupers proposed Hague Convention letter of request).(Playforth, John)
February 12, 2020 Opinion or Order Filing 274 ORDER granting #272 LETTER MOTION for Leave to File Redacted and Under Seal Exhibits to Defendants' Motion to Compel Plaintiffs' Response to Interrogatory No. 1. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 2/12/2020) (jca)
February 11, 2020 Filing 273 ***SELECTED PARTIES*** LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., Iowa Public Employees' Retirement System, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Los Angeles County Employees Retirement Association, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC, UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2)Motion or Order to File Under Seal: #272 .(Paskin, Michael)
February 11, 2020 Filing 272 LETTER MOTION for Leave to File Redacted and Under Seal Exhibits to Defendants' Motion to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc...(Paskin, Michael)
February 11, 2020 Filing 271 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated February 11, 2020. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2).(Paskin, Michael)
January 31, 2020 Opinion or Order Filing 270 ORDER granting #268 Letter Motion for Extension of Time. The Court takes notice of the Merrill Lynch Defendants' substantial efforts to comply with the Court's Order of December 26, 2019 (Dkt. #260), and understands that a sizable production will be made to Plaintiffs by the January 31, 2020 deadline. In light of this, the Merrill Lynch Defendants' application for a two-week extension of time to finish their production of responsive documents is hereby GRANTED. Application GRANTED. (Signed by Judge Katherine Polk Failla on 1/31/2020) (rro)
January 29, 2020 Set/Reset Deadlines: Deposition due by 6/14/2021. Fact Discovery due by 5/1/2020. Motions due by 12/21/2020. Responses due by 3/5/2021 Replies due by 7/16/2021. (rro)
January 29, 2020 Opinion or Order Filing 269 SECOND AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER granting #267 Letter Motion for Extension of Time. All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). Amended pleadings may not be filed and additional parties may not be joined except with leave of the Court. Any motion to amend pleadings or to join additional parties shall be filed no later than 3 months from the date of the prior Case Management Order dated November 15, 2018, unless good cause is shown under Fed. R. Civ. P. 16(b)(4). All fact discovery shall be completed no later than May 1, 2020. All expert discovery, including reports, production of underlying documents, and depositions, shall be conducted in accordance with a schedule to be issued following a ruling on Plaintiffs' motion for class certification. Plaintiffs' motion for class certification and supporting expert reports are due: December 21, 2020. Defendants' deadline to depose Plaintiffs' class certification experts: March 5, 2021. Defendants' opposition to class certification and supporting expert reports are due: April 9, 2021. Plaintiffs' deadline to depose Defendants' class certification experts: June 14, 2021. Plaintiffs' reply in support of class certification: July 16, 2021. Depositions of fact witnesses shall be completed by May 1, 2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. (Signed by Judge Katherine Polk Failla on 1/29/2020) (rro)
January 29, 2020 Filing 268 LETTER MOTION for Extension of Time to complete production of P&L-related materials addressed to Judge Katherine Polk Failla from Richard F. Schwed dated January 29, 2020. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Schwed, Richard)
January 24, 2020 Filing 267 LETTER MOTION for Extension of Time addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated January 24, 2020. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order Proposed Second Amended Case Management Plan)(Brockett, Daniel)
January 23, 2020 Opinion or Order Filing 266 ORDER FOR ADMISSION PRO HAC VICE granting #265 Motion for Michaela C. Holcombe to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 265. SO ORDERED. (Signed by Judge Katherine Polk Failla on 1/23/2020) (rro)
January 22, 2020 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #265 MOTION for Michaela C. Holcombe to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18564773. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
January 22, 2020 Filing 265 MOTION for Michaela C. Holcombe to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18564773. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Affidavit Of Michaela C. Holcombe In Support, #2 Certificate Of Good Standing, #3 Proposed Order)(Holcombe, Michaela)
January 17, 2020 Filing 264 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated January 17, 2020 re: Data Production Status Update. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
January 17, 2020 LETTERS ROGATORY ISSUED on January 17, 2020, and picked up by Covington & Burling, LLP, to obtain documents and testimony from Peter Finchel and Nazaar Molokhia in the United Kingdom. (km)
January 17, 2020 Filing 263 MEMO ENDORSEMENT granting #262 Motion for Issuance of Letters Rogatory. ENDORSEMENT: For substantially the same reasons provided in Defendants' motion for the issuance of letters rogatory, Defendants' motion is hereby GRANTED. The letters rogatory shall issue under separate cover. (Signed by Judge Katherine Polk Failla on 1/17/2020) (rro) Transmission to Orders and Judgments Clerk for processing.
January 7, 2020 Filing 262 MOTION for Issuance of Letters Rogatory as to Peter Fenichel and Nazaar Molokhia in Great Britain . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit 1 - P. Fenichel proposed Hague Convention letter of request, #2 Exhibit 2 - N. Molokhia proposed Hague Convention letter of request)(Liu, Henry)
December 26, 2019 Opinion or Order Filing 261 ORDER granting in part and denying in part #229 Motion for Protective Order; granting in part and denying in part #229 Motion to Quash. SL-x's motion is granted in part: Defendants shall bear the reasonable expenses of SL-x's compliance with Defendants' third-party subpoenas, with two caveats: (i) should the motion to dismiss be denied in SL-x's suits against Defendants, SL-x IP S.A.R.L. v. Bank of America Corporation et al., No. 18 Civ. 10179 (RJS), and SL-x Trading Europe Limited et al., v. Bank of America Corporation et al., No. 19 Civ. 4885 (RJS) (collectively, the "SL-x Actions"), SL-x must repay Defendants for any discovery costs advanced in this litigation; and (ii) if it comes to light that SL-x has a monetary interest in the outcome of this litigation, the Court will reconsider this Order. The Court concludes on this record that (i) SL-x is a third party to this litigation and (ii) compliance with Defendants' subpoenas would require significant expense. Thus, the Court grants SL-x's motion to shift costs, with two caveats outlined in the next two paragraphs. In so doing, the Court understands that the parties have significantly narrowed the scope of discoverable materials and expects that SL-x's discovery costs will be reduced accordingly. The Court also expects that Defendants and SL-x will engage in further good-faith negotiations concerning the appropriate limits for discovery, and reasonable fees for complying with that discovery. The Court will resolve all discovery fee disputes as they arise. Similarly, if the parties cannot agree to reasonable attorneys' fees after they have been incurred, the Court will determine reasonable attorneys' fees on motion practice. The first caveat to the grant of SL-x's cost-shifting motion is, perhaps, the most significant. The Court understands that Judge Sullivan may well deny the pending motion to dismiss the SL-x Actions, in which case those matters will proceed to discovery. If this does happen, this Court will order SL-x to repay Defendants any discovery costs advanced up until that point in time. That is because if SL-x is permitted to proceed to discovery in the actions that it initiated, it will no doubt be required to produce to Defendants the same discoverable materials that have been requested from it here. In that event, the costs of complying with third-party discovery in this action will no longer be significant, because SL-x would have been required to incur those same costs in furtherance of its own litigation. Second, if, after the parties engage in further discovery, it comes to light that SL-x does have a monetary interest in the outcome of this suit that is unrelated to its own pending SL-x Actions, the Court will reconsider this Order. The Clerk of Court is directed to terminate the motion pending at docket entry 229. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/27/19) (yv)
December 26, 2019 Opinion or Order Filing 260 ORDER granting #254 Letter Motion to Compel. Accordingly, Plaintiffs' application is GRANTED. Merrill Lynch shall produce the data in question on or before January 31, 2020. If objections by putative class members, similar to those which are the subject of ongoing negotiations (see Dkt. #256 at 2-3), will inhibit production of the data by that date, the parties are instructed to inform the Court of such on or before January 17, 2020. (Signed by Judge Katherine Polk Failla on 12/26/2019) (rro)
December 17, 2019 Filing 259 SEALED DOCUMENT placed in vault.(rz)
December 16, 2019 Opinion or Order Filing 258 ORDER granting #255 Letter Motion for Leave to File Document. Application Granted. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/13/2019) (rro) Transmission to Sealed Records Clerk for processing.
December 11, 2019 Filing 257 LETTER REPLY to Response to Motion addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 11, 2019 re: #254 LETTER MOTION to Compel Merrill Lynch to Produce Profit and Loss Data addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Eisenkraft, Michael)
December 10, 2019 Filing 256 LETTER RESPONSE to Motion addressed to Judge Katherine Polk Failla from Richard F. Schwed dated December 10, 2019 re: #254 LETTER MOTION to Compel Merrill Lynch to Produce Profit and Loss Data addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. . Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Schwed, Richard)
December 5, 2019 Filing 255 LETTER MOTION for Leave to File Redacted and Under Seal Plaintiffs' Letter Motion to Compel Merrill Lynch's Production of Profit and Loss Data and Associated Exhibits addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Eisenkraft, Michael)
December 5, 2019 Filing 254 LETTER MOTION to Compel Merrill Lynch to Produce Profit and Loss Data addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated December 5, 2019. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Declaration of Michael B. Eisenkraft, #2 Exhibit A (Sealed), #3 Exhibit B (Redacted), #4 Exhibit C (Redacted), #5 Exhibit D (Redacted), #6 Exhibit E, #7 Exhibit F, #8 Exhibit G (Sealed), #9 Exhibit H (Sealed), #10 Exhibit I)(Eisenkraft, Michael)
December 5, 2019 Filing 253 MEMO ENDORSEMENT on re: #252 Letter, filed by J.P. Morgan Strategic Securities Lending Corp., J.P. Morgan Securities LLC, J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc. ENDORSEMENT: The Court will consider Defendants' supplemental argument as it deems appropriate in resolving the cost-shifting motion. (Signed by Judge Katherine Polk Failla on 12/5/2019) (rro)
December 4, 2019 Filing 252 LETTER addressed to Judge Katherine Polk Failla from Henry B. Liu dated December 4, 2019 re: Translation of French Language Document. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
November 27, 2019 Filing 251 DECLARATION of Evan Mandel in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Attachments: #1 Exhibit A. Correspondence, #2 Exhibit B. Correspondence)(Glunt, Robert)
November 27, 2019 Filing 250 DECLARATION of Gary Pritchard in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
November 27, 2019 Filing 249 REPLY MEMORANDUM OF LAW in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x. . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
November 26, 2019 Filing 248 SEALED DOCUMENT placed in vault.(rz)
November 22, 2019 Opinion or Order Filing 247 ORDER granting #245 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/22/2019) (rro) Transmission to Sealed Records Clerk for processing.
November 21, 2019 Filing 246 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated November 21, 2019 Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A-2 Notice of Availability of Expert Identity and Data Security Protocol Information)(Brockett, Daniel)
November 20, 2019 Filing 245 LETTER MOTION for Leave to File Certain Exhibits Under Seal and Redacted Brief addressed to Judge Katherine Polk Failla from Henry B. Liu dated November 20, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
November 20, 2019 Filing 244 DECLARATION of Robert S. Day in Opposition re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A: P. Fenichel Email 8/31/17, #2 Exhibit B: R. Glunt Ltr. 9/12/19, #3 Exhibit C: SL-x Search Term Report, #4 Exhibit D: R. Glunt Ltr. 8/13/19, #5 Exhibit E: SL-x IP S.a r.L. company profile, #6 Exhibit F: P. Fenichel Email 10/4/11, #7 Exhibit G: Pls.' Resp. to Interrog. No. 1, #8 Exhibit H: Pls.' privilege log, #9 Exhibit I: P. Fenichel Email 9/16/17, #10 Exhibit J: R. Glunt Email 9/12/19, #11 Exhibit K: R. Glunt Email 10/1/19)(Liu, Henry)
November 20, 2019 Filing 243 MEMORANDUM OF LAW in Opposition re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x. . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Liu, Henry)
November 6, 2019 Filing 242 SEALED DOCUMENT placed in vault.(rz)
November 6, 2019 Opinion or Order Filing 241 ORDER granting #239 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/5/2019) (kv)
November 6, 2019 Opinion or Order Filing 240 ORDER denying #222 Letter Motion to Compel; granting #233 Letter Motion to Compel. Thus, Plaintiffs are ORDERED to comply with Defendants' Interrogatory One, in so far as it requests that Plaintiffs provide the names of individuals who are mentioned, but not named, in the Amended Complaint, and to whom specific statements are attributed in the Amended Complaint. Further, and as requested by Interrogatory One, Plaintiffs shall indicate which statement is attributable to which individual. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/5/2019) (kv)
November 4, 2019 Filing 239 LETTER MOTION for Leave to File Redacted and Under Seal Exhibits to Plaintiffs' Letter Response in Opposition to Defendants' Letter Motion to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated November 4, 2019. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Eisenkraft, Michael)
November 4, 2019 Filing 238 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft & Daniel L. Brockett dated November 4, 2019 re: #233 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated October 30, 2019. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit A - Chart (Redacted), #2 Exhibit B - Declaration of Michael B. Eisenkraft, #3 Exhibit B1 (Sealed), #4 Exhibit B2 (Sealed), #5 Exhibit B3 (Sealed), #6 Exhibit B4 (Sealed), #7 Exhibit B5 (Sealed), #8 Exhibit B6 (Sealed), #9 Exhibit B7 (Sealed), #10 Exhibit B8 (Sealed), #11 Exhibit B9 (Sealed), #12 Exhibit B10 (Sealed), #13 Exhibit B11 (Sealed), #14 Exhibit B12 (Sealed), #15 Exhibit B13 (Sealed), #16 Exhibit B14 (Sealed), #17 Exhibit B15 (Sealed), #18 Exhibit B16 (Sealed), #19 Exhibit B17 (Sealed), #20 Exhibit B18 (Sealed), #21 Exhibit B19 (Sealed), #22 Exhibit B20 (Sealed), #23 Exhibit B21 (Sealed), #24 Exhibit B22 (Sealed))(Eisenkraft, Michael)
November 4, 2019 Filing 237 SEALED DOCUMENT placed in vault.(rz)
October 31, 2019 Opinion or Order Filing 236 ORDER granting #234 Letter Motion for Leave to File Document. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/31/2019) (ks)
October 31, 2019 Filing 235 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Evan Mandel dated October 31, 2019 re: #222 LETTER MOTION to Compel SL-x to produce documents during the pendency of its forthcoming motion to shift costs addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 28, 2019. . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Attachments: #1 Exhibit A., #2 Exhibit B., #3 Exhibit C.)(Glunt, Robert)
October 30, 2019 Filing 234 LETTER MOTION for Leave to File Exhibits 3 and 4 to Defendants' Motion to Compel Plaintiffs' Response to Interrogatory No. 1 Under Seal addressed to Judge Katherine Polk Failla from Michael A. Paskin dated October 30, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
October 30, 2019 Filing 233 LETTER MOTION to Compel Plaintiffs' Response to Interrogatory No. 1 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated October 30, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6)(Paskin, Michael)
October 30, 2019 Filing 232 DECLARATION of Evan Mandel in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (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.)(Glunt, Robert)
October 30, 2019 Filing 231 DECLARATION of Gary Pritchard in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x.. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
October 30, 2019 Filing 230 MEMORANDUM OF LAW in Support re: #229 MOTION for Protective Order requiring prepayment of costs or in the alternative. MOTION to Quash Third Party Subpoenas served on SL-x. . Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Glunt, Robert)
October 30, 2019 Filing 229 MOTION for Protective Order requiring prepayment of costs or in the alternative., MOTION to Quash Third Party Subpoenas served on SL-x. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC.(Glunt, Robert)
October 30, 2019 Opinion or Order Filing 228 SUPPLEMENTAL STIPULATED PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material...This confidentiality agreement does not bind the Court or any of its personnel. The Court can modify this stipulation at any time. The Court will retain jurisdiction over the terms and conditions of this agreement only for the pendency of this litigation. Any party wishing to make redacted or sealed submissions shall comply with Rule 6(A) of this Court's Individual Rules of Civil Procedure. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/30/2019) (jca)
October 30, 2019 Opinion or Order Filing 227 ORDER FOR ADMISSION PRO HAC VICE granting #224 MOTION for Rylee K. Sommers-Flanagan to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 224. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/30/2019) (jca)
October 29, 2019 Filing 226 FILING ERROR - DUPLICATE DOCUMENT/WRONG EVENT SELECTED (SEE #225 Proposed Protective Order) - LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated October 29, 2019 re: Supplemental Protective Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1)(Brockett, Daniel) Modified on 10/31/2019 (db).
October 29, 2019 Filing 225 PROPOSED PROTECTIVE ORDER. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order Proposed Supplemental Protective Order) (Mach, Daniel)
October 29, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #224 MOTION for Rylee K. Sommers-Flanagan 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)
October 29, 2019 Filing 224 MOTION for Rylee K. Sommers-Flanagan to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Text of Proposed Order, #3 Certificate of Good Standing (MT), #4 Certificate of Good Standing (DC))(Sommers-Flanagan, Rylee)
October 29, 2019 Filing 223 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Rylee K. Sommers-Flanagan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17851439. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Schonfeld Strategic Advisors LLC. (Attachments: #1 Affidavit, #2 Text of Proposed Order, #3 Certificate of Good Standing (DC), #4 Certificate of Good Standing (MT))(Sommers-Flanagan, Rylee) Modified on 10/29/2019 (bcu).
October 28, 2019 Filing 222 LETTER MOTION to Compel SL-x to produce documents during the pendency of its forthcoming motion to shift costs addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 28, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
October 24, 2019 Opinion or Order Filing 221 ORDER FOR ADMISSION PRO HAC VICE granting #220 Motion for DAVID O. FISHER to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry220. (Signed by Judge Katherine Polk Failla on 10/24/2019) (tn)
October 23, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #220 MOTION for David O. Fisher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17821074. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
October 23, 2019 Filing 220 MOTION for David O. Fisher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17821074. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Certificate of Good Standing (TX), #3 Text of Proposed Order)(Fisher, David)
October 23, 2019 Opinion or Order Filing 219 MEMO ENDORSED ORDER granting #216 Motion to Withdraw as Attorney. ENDORSEMENT: IT IS SO ORDERED. Attorney Austin Lewis Raynor terminated. (Signed by Judge Katherine Polk Failla on 10/23/2019) (rj)
October 23, 2019 Opinion or Order Filing 218 MEMO ENDORSEMENT on MOTION TO WITHDRAW AS COUNSEL. ENDORSEMENT: Application granted. So ordered. Granting #217 Motion to Withdraw as Attorney. Attorney Ryan Ashby Shores terminated. (Signed by Judge Katherine Polk Failla on 10/23/2019) (rjm)
October 22, 2019 Filing 217 MOTION for Ryan A. Shores to Withdraw as Attorney . Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Shores, Ryan)
October 22, 2019 Filing 216 MOTION for Austin L. Raynor to Withdraw as Attorney . Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P..(Raynor, Austin)
October 10, 2019 Filing 215 SEALED DOCUMENT placed in vault.(mhe)
October 9, 2019 Set/Reset Deadlines: Motions due by 10/30/2019. Responses due by 11/20/2019. Replies due by 11/27/2019. (rjm)
October 9, 2019 Opinion or Order Filing 214 SCHEDULING ORDER. The Court is in receipt of an October 1, 2019 letter from Third Parties SL-x IP S.a.r.l, SL-x Technology UK Limited, SL-x Trading Europe Limited, SL-x Technology USA LLC, and SL-x Trading USA LLC (together, "SL-x)", requesting a pre-motion conference to discuss SL-x's anticipated motion for a protective order to shift the costs of complying with Defendants' subpoenas to Defendants. (Dkt. #209). The Court is also in receipt of Defendants' October 4, 2019 letter in opposition. (Dkt. #211). The Court concludes that more robust briefing concerning SL-x's anticipated motion for a protective order would be beneficial in this instance. Accordingly, SL-x's request to file a motion for a protective order to shift subpoena-compliance costs to Defendants is GRANTED. SL-x shall file their motion and supporting papers on or before October 30, 2019. Defendants shall file their opposition papers on or before November 20, 2019. And SL-x shall file their reply papers, if any, on or before November 27, 2019. The parties are instructed that the substantive portions of their briefs are to be no more than fifteen double-spaced pages. So ordered. Granting #209 LETTER MOTION for Local Rule 37.2 Conference regarding Third Party Subpoenas addressed to Judge Katherine Polk Failla from Evan Mandel dated October 1, 2019. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Signed by Judge Katherine Polk Failla on 10/9/2019) (rjm)
October 8, 2019 Opinion or Order Filing 213 ORDER granting #212 Letter Motion for Leave to File Document. Application GRANTED. Exhibit D to Defendants' letter opposing the request for cost shifting may be filed under seal. (Signed by Judge Katherine Polk Failla on 10/8/2019) (rro) Transmission to Sealed Records Clerk for processing.
October 4, 2019 Filing 212 LETTER MOTION for Leave to File Exhibit D to Defendants' Response to SL-x's October 1, 2019 Letter Under Seal addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 4, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
October 4, 2019 Filing 211 LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from Henry B. Liu dated October 4, 2019 re: #209 LETTER MOTION for Local Rule 37.2 Conference regarding Third Party Subpoenas addressed to Judge Katherine Polk Failla from Evan Mandel dated October 1, 2019. Defendants' response to SL-x's October 1, 2019 Letter.. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A - Declaration of Robert S. Day in support of Defendants' opposition to SL-x's request for cost shifting under Rule 45, #2 Exhibit B - Transcript of Jan. 10, 2018 Hearing, #3 Exhibit C - SL-x's proposed Cost Payment Stipulation, #4 Exhibit D - Pls' Sept. 12, 2019 Privilege Log (excerpted) [SEALED], #5 Exhibit E - R. Day and R. Glunt email exchange re: SL-x's requests for costs under Rule 45)(Liu, Henry)
October 1, 2019 NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Sarah L. Cave. Please note that this is a reassignment of the designation only. (laq)
October 1, 2019 Filing 210 FIRST RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Schonfeld Strategic Advisors LLC.(Peckman, Mark)
October 1, 2019 Filing 209 LETTER MOTION for Local Rule 37.2 Conference regarding Third Party Subpoenas addressed to Judge Katherine Polk Failla from Evan Mandel dated October 1, 2019. Document filed by SL-X IP S.A.R.L., SL-x Technology UK Ltd., SL-x Technology USA LLC, SL-x Trading Europe Ltd., SL-x Trading USA LLC. (Attachments: #1 Exhibit A. Third Party Subpoenas, #2 Exhibit B. Correspondence re Request to Lift Stay, #3 Exhibit C. Objections and Responses, #4 Exhibit D. Correspondence re Cost Shifting)(Glunt, Robert)
September 30, 2019 Filing 208 NOTICE OF APPEARANCE by Michael Stuart Scheinkman on behalf of Two Sigma Investments, LP. (Scheinkman, Michael)
September 26, 2019 Filing 207 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated September 26, 2019 re: Status of Prime Broker Defendants' Transactional Data Productions. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
September 26, 2019 Opinion or Order Filing 206 ORDER FOR ADMISSION PRO HAC VICE granting #205 Motion for Mark Peckman to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry197. (Signed by Judge Katherine Polk Failla on 9/26/2019) (rro)
September 25, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #205 MOTION for Mark Peckman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17661754. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 25, 2019 Filing 205 MOTION for Mark Peckman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17661754. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Schonfeld Strategic Advisors LLC. (Attachments: #1 Affidavit Affidavit, #2 Exhibit NJ Certificate of Good Standing, #3 Text of Proposed Order Text of Proposed Order)(Peckman, Mark)
September 25, 2019 Filing 204 NOTICE OF APPEARANCE by George Eric Mastoris on behalf of Goldman Sachs & Co. LLC. (Mastoris, George)
September 17, 2019 Filing 203 NOTICE OF APPEARANCE by Matthew Alan Kelly on behalf of Two Sigma Investments, LP. (Kelly, Matthew)
September 17, 2019 Filing 202 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Two Sigma Investments, LP.(Portnoy, Lawrence)
September 17, 2019 Filing 201 NOTICE OF APPEARANCE by Lawrence Jay Portnoy on behalf of Two Sigma Investments, LP. (Portnoy, Lawrence)
September 17, 2019 Opinion or Order Filing 200 ORDER FOR ADMISSION PRO HAC VICE granting #197 Motion for Daniel McCuaig to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 197. (Signed by Judge Katherine Polk Failla on 9/17/2019) (rro)
September 17, 2019 Filing 199 LETTER addressed to Judge Katherine Polk Failla from Lawrence Portnoy dated September 17, 2019 re: Response on behalf of 22 Firms to Plaintiffs' September 13, 2019 Letter. Document filed by Two Sigma Investments, LP. (Attachments: #1 Exhibit 1 - Email dated 09/10/2019)(Portnoy, Lawrence)
September 16, 2019 Filing 198 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated September 16, 2019 re: Response on behalf of Prime Broker Defendants to Plaintiffs' September 13, 2019 Letter. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
September 16, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #197 MOTION for Daniel McCuaig to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
September 16, 2019 Pro Hac Vice Fee Paid electronically via Pay.gov: for #197 MOTION for Daniel McCuaig to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee $ 200.00. Pay.gov receipt number ANYSDC-17607732, paid on 9/16/2019. (wb)
September 16, 2019 Filing 197 MOTION for Daniel McCuaig to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Certificate of Good Standing (DC), #3 Text of Proposed Order)(McCuaig, Daniel)
September 13, 2019 Filing 196 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated September 13, 2019 re: Data Productions. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
September 12, 2019 Filing 195 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated September 12, 2019 re: Status of Prime Broker Defendants' Transactional Data Productions. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
September 12, 2019 Filing 194 NOTICE OF CHANGE OF ADDRESS by Neil Swartzberg on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. New Address: Pearson Simon & Warshaw, LLP, 350 Sansome Street, Suite 680, San Francisco, CA, USA 94104, (415) 433-9000. (Swartzberg, Neil)
September 5, 2019 Filing 193 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated September 5, 2019 re: Delayed Data Production. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
August 30, 2019 Filing 192 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated August 30, 2019 re: Status of Prime Broker Defendants' Transactional Data Productions. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
August 6, 2019 Filing 191 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank of America Corporation, Corporate Parent NB Holdings Corporation, Other Affiliate Berkshire Hathaway Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated; Corporate Parent Merrill Lynch, Pierce, Fenner & Smith Incorporated for Merrill Lynch Professional Clearing Corp.; Corporate Parent Merrill Lynch International, LLC, Corporate Parent NB Holdings Corporation for Merrill Lynch L.P. Holdings, Inc.. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Hakki, Adam)
July 31, 2019 Opinion or Order Filing 190 AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a United States Magistrate judge, including motions and trial. 28 U.S.C. 636(c). Class certification shall be governed by the following deadlines: Plaintiffs' motion for class certification and supporting expert reports are due: July 31, 2020. Defendants' deadline to depose Plaintiffs' class certification experts: September 11, 2020. Defendants' opposition to class certification and supporting expert reports are due: October 30, 2020. Plaintiffs' deadline to depose Defendants' class certification experts: December 23, 2020. Plaintiffs' reply in support of class certification: January 29, 2021. Depositions of fact witnesses shall be completed by 5/1/2020. Fact Discovery due by 5/1/2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. (Signed by Judge Katherine Polk Failla on 7/30/2019) (mro)
July 29, 2019 Filing 189 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated July 29, 2019 re: Certification Extension. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Brockett, Daniel)
July 26, 2019 Opinion or Order Filing 188 ORDER granting #187 Motion to Withdraw as Attorney. The motion for an order directing the withdrawal of Kuntal Cholera as counsel for J.P. Morgan Chase Bank, N.A., J.P. Morgan Securities LLC, J.P. Morgan Prime, Inc., J.P. Morgan Strategic Securities Lending Corp., and for Kuntal Cholera to be removed from this action's CM/ECF service list for this matter, is GRANTED. (Attorney Kuntal Cholera terminated.) (Signed by Judge Katherine Polk Failla on 7/26/2019) (rro)
July 25, 2019 Filing 187 MOTION for Kuntal V. Cholera to Withdraw as Attorney . Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Text of Proposed Order)(Cholera, Kuntal)
July 1, 2019 Filing 186 LETTER addressed to Judge Katherine Polk Failla from Damaris Hernandez dated July 1, 2019 re: the Court's June 20, 2018 Order. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Hernandez, Damaris)
June 20, 2019 Opinion or Order Filing 185 MEMO ENDORSEMENT on re: #184 Letter, filed by Morgan Stanley & Co. LLC, Strategic Investments I, Inc., Prime Dealer Services Corp. ENDORSEMENT: The Court is in receipt of Plaintiffs' letter of June 14, 2019, (Dkt. #182), and Defendants' letters of June 17, 2019, (Dkt. #183), and June 19, 2019, (Dkt. #184). The Court takes notice of the parties' agreement regarding a disclosure schedule for transactional data discovery. Accordingly, it is hereby ORDERED that: the parties will resolve disputes related to transactional data and inventory by June 24, 2019; Defendants shall provide any available codebook, manual, or dictionary for each database that has been disclosed by June 24, 2019; Defendants shall advise Plaintiffs and the Court of the date on which they intend to complete their production of the agreed-to data by July 1, 2019. SO ORDERED. (Signed by Judge Katherine Polk Failla on 6/20/2019) (jca)
June 19, 2019 Filing 184 LETTER addressed to Judge Katherine Polk Failla from Damaris Hernandez dated June 19, 2019 re: Defendants' Letter Response to Plaintiffs' June 14, 2019 Letter. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Hernandez, Damaris)
June 17, 2019 Filing 183 LETTER addressed to Judge Katherine Polk Failla from Lauren Rosenberg dated June 17, 2019 re: Plaintiffs' letter dated June 14, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Rosenberg, Lauren)
June 14, 2019 Filing 182 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated June 14, 2019 re: Status Update. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
June 4, 2019 Filing 181 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 5/17/19 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)
June 4, 2019 Filing 180 TRANSCRIPT of Proceedings re: conference held on 5/17/2019 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Lisa Smith, (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 6/25/2019. Redacted Transcript Deadline set for 7/5/2019. Release of Transcript Restriction set for 9/3/2019.(McGuirk, Kelly)
May 21, 2019 Filing 179 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/30/19 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)
May 21, 2019 Filing 178 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/30/2019 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Kelly Surina, (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 6/11/2019. Redacted Transcript Deadline set for 6/21/2019. Release of Transcript Restriction set for 8/19/2019.(McGuirk, Kelly)
May 17, 2019 Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 5/17/2019. Attorneys Joshua Rand and Dan Mach representing Plaintiffs present. Attorney Lauren Rosenberg present. (Court Reporter Lisa Smith) (tn)
May 16, 2019 Filing 177 LETTER addressed to Judge Katherine Polk Failla from Damaris Hernandez dated May 16, 2019 re: Plaintiffs' letter dated May 14, 2019. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Hernandez, Damaris)
May 15, 2019 Opinion or Order Filing 176 MEMO ENDORSEMENT on re: #175 Letter, filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: The Court is in receipt of the parties' status update regarding the parties' data negotiations. (Dkt. #175). The parties are hereby ORDERED to appear for a telephone conference regarding the status update on May 17, 2019, at 3:30 p.m. The dial-in information is as follows: At 3:30 p.m. the parties shall call (888) 363-4749 and enter access code 6624801. Please note, the conference will not be available prior to 3:30 p.m. SO ORDERED. (Telephone Conference set for 5/17/2019 at 03:30 PM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 5/15/2019) (rro)
May 14, 2019 Filing 175 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisencraft dated May 14, 2019 re: Status. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
April 30, 2019 Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 4/30/2019. (Court Reporter Kelly Surina) (tn)
April 26, 2019 Opinion or Order Filing 174 MEMO ENDORSEMENT on re: #173 Letter, filed by Strategic Investments I, Inc., Prime Dealer Services Corp. ENDORSEMENT: The Court is in receipt of Plaintiffs' letter dated April 22, 2019 (Dkt. #172), and Defendants' response on today's date (Dkt. #173). The parties are hereby ORDERED to appear for a telephone conference regarding the discovery dispute, at noon on Tuesday, April 30, 2019. The dial-in information is as follows: At noon, the parties shall call (888) 363-4749 and enter access code 6624801. Please note, the conference will not be available prior to noon. (Telephone Conference set for 4/30/2019 at 12:00 PM before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 4/26/2019) (rro)
April 25, 2019 Filing 173 LETTER addressed to Judge Katherine Polk Failla from Michael A. Paskin dated April 25, 2019 re: Response on behalf of all Defendants to Plaintiffs' April 22, 2019 Letter Motion. Document filed by Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
April 22, 2019 Filing 172 LETTER addressed to Judge Katherine Polk Failla from Michael Eisenkraft and Daniel Brockett dated April 22, 2019 re: Discovery Dispute with Defendants. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Eisenkraft, Michael)
April 3, 2019 Opinion or Order Filing 171 ORDER FOR ADMISSION PRO HAC VICE: granting #170 Motion for Neil Swartzberg to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 170. And as set forth herein. SO ORDERED. (Signed by Judge Katherine Polk Failla on 4/03/2019) (ama)
April 3, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #170 MOTION for Neil Swartzberg to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16610431. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
April 2, 2019 Filing 170 MOTION for Neil Swartzberg to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16610431. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit of Neil Swartzberg, #2 Text of Proposed Order)(Swartzberg, Neil)
April 2, 2019 Opinion or Order Filing 169 MEMO ENDORSEMENT on re: #168 Letter, filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 4/2/2019) (ne)
April 1, 2019 Filing 168 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated April 1, 2019 re: Discovery Dispute with JPMorgan. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
March 26, 2019 Opinion or Order Filing 167 ORDER: granting #166 Letter Motion for Extension of Time to File Response/Reply. Application Granted. SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/26/2019) (ama)
March 26, 2019 Filing 166 LETTER MOTION for Extension of Time to File Response/Reply as to #165 Letter, addressed to Judge Katherine Polk Failla from Robert D. Wick dated March 26, 2019. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Wick, Robert)
March 25, 2019 Filing 165 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated March 25, 2019 re: Discovery Dispute with JPMorgan. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Brockett, Daniel)
March 15, 2019 Opinion or Order Filing 164 ORDER granting #163 Motion to Withdraw as Attorney. Plaintiffs' motion for an order directing the withdrawal of Thomas Popejoy as counsel for Plaintiffs is GRANTED. The Clerk of Court is directed to terminate the motion at docket entry 163. SO ORDERED. (Attorney Thomas Popejoy terminated.) (Signed by Judge Katherine Polk Failla on 3/15/2019) (rro)
March 14, 2019 Filing 163 MOTION for Thomas Popejoy to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Text of Proposed Order Proposed Order)(Popejoy, Thomas)
March 5, 2019 Opinion or Order Filing 162 ORDER FOR ADMISSION PRO HAC VICE granting #159 Motion for Michael H. Pearson to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry 159. (Signed by Judge Katherine Polk Failla on 3/4/2019) (rro)
March 4, 2019 Filing 161 NOTICE OF APPEARANCE by Eva W. Cole on behalf of Goldman Sachs & Co. LLC. (Cole, Eva)
March 4, 2019 Opinion or Order Filing 160 ORDER granting #158 Motion for Clifford H. Pearson to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of the Court, including the Rules governing discipline of attorneys. The Clerk of Court is directed to terminate the motion at docket entry 158. SO ORDERED. (Signed by Judge Katherine Polk Failla on 3/4/2019) (kv)
March 1, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #159 MOTION for Michael Harrison Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16428128. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
March 1, 2019 Filing 159 MOTION for Michael Harrison Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16428128. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit of Michael H. Pearson, #2 Text of Proposed Order)(Pearson, Michael)
March 1, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #158 MOTION for Clifford Harris Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16426739. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
March 1, 2019 Filing 158 MOTION for Clifford Harris Pearson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16426739. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit of Clifford H. Pearson, #2 Text of Proposed Order)(Pearson, Clifford)
February 22, 2019 Opinion or Order Filing 157 ORDER FOR ADMISSION PRO HAC VICE granting #156 Motion for Nicola A. Bunick to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the motion at docket entry156.SO ORDERED. (Signed by Judge Katherine Polk Failla on 2/21/2019) (rro)
February 20, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #156 MOTION for Nicola A. Bunick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16376518. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
February 20, 2019 Filing 156 MOTION for Nicola A. Bunick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16376518. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Attachments: #1 Affidavit Of Nicola A. Bunick In Support, #2 Certificates Of Good Standing, #3 Proposed Order)(Bunick, Nicola)
February 4, 2019 Filing 155 NOTICE OF APPEARANCE by David Leray on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Leray, David)
January 25, 2019 Filing 154 NOTICE OF APPEARANCE by Daniel Paul Mach on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Mach, Daniel)
January 22, 2019 Filing 153 NOTICE OF APPEARANCE by Deborah K. Brown on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brown, Deborah)
January 3, 2019 Opinion or Order Filing 152 ORDER FOR ADMISSION PRO HAC VICE granting #151 Motion for Austin Lewis Raynor to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 1/3/2019) (rro)
January 2, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #151 MOTION for Austin Lewis Raynor to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16127783. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
January 2, 2019 Filing 151 MOTION for Austin Lewis Raynor to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16127783. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P.. (Attachments: #1 Affidavit, #2 Exhibit Virginia Certificate of Good Standing, #3 Exhibit DC Certificate of Good Standing, #4 Text of Proposed Order)(Raynor, Austin)
January 2, 2019 Opinion or Order Filing 150 STIPULATED PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Katherine Polk Failla on 1/2/2019) (mml)
December 28, 2018 Filing 149 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 28, 2018 re: Jointly Proposed Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1-Proposed Order)(Brockett, Daniel)
December 21, 2018 Filing 148 NOTICE OF APPEARANCE by Michael Patrick Mitchell on behalf of Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Mitchell, Michael)
December 18, 2018 Opinion or Order Filing 147 STIPULATION AND ORDER REGARDING THE PRODUCTION OF DISCOVERY MATERIAL: Discovery requests and subpoenas served in the Action may call for the production of electronically stored information. Accordingly, the Parties hereby stipulate to and petition the Court to enter the following Stipulated Order Regarding the Production of Discovery Material (Order). This protocol governs discovery of ESI in the Action and incorporates the Federal Rules of Civil Procedure and the Local Rules for the Southern District of New York regarding the management of ESI, and, as set forth herein, supplements those sources of authority. The protocol is intended to be and should be construed in a manner consistent with those Federal and Local Rules. The failure of this protocol to address any particular issue is without prejudice to any position that a Party may take on that issue and further set forth in this Order. SO ORDERED. This Order does not bind the Court or its staff. The Court will retain jurisdiction to enforce this Order only for the pendency of this litigation. (Signed by Judge Katherine Polk Failla on 12/18/2018) (rro)
December 18, 2018 Opinion or Order Filing 146 ORDER granting #144 Letter Motion for Extension of Time. Application GRANTED. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/18/2018) (rro)
December 18, 2018 Filing 145 NOTICE OF APPEARANCE by Jonathan David Thier on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC. (Thier, Jonathan)
December 17, 2018 Filing 144 LETTER MOTION for Extension of Time Regarding Dkt. 143 addressed to Judge Katherine Polk Failla from Michael A. Paskin dated December 17, 2018. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Paskin, Michael)
December 17, 2018 Filing 143 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 17, 2018 re: Proposed Protective Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1 Plaintiffs' proposed protective order, #2 Exhibit 2 Redline proposed protective order)(Brockett, Daniel)
December 17, 2018 Filing 142 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 17, 2018 re: Stipulation and Proposed Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1 Stipulation and [Proposed] Order)(Brockett, Daniel)
December 5, 2018 Filing 141 NOTICE OF CHANGE OF ADDRESS by David I. Gelfand on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. New Address: Cleary Gottlieb Steen & Hamilton LLP, 2112 Pennsylvania Avenue NW, Suite 1000, Washington, DC, United States 20037, (202) 974-1500. (Gelfand, David)
December 5, 2018 Filing 140 NOTICE OF CHANGE OF ADDRESS by Alexis L. Collins on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. New Address: Cleary Gottlieb Steen & Hamilton LLP, 2112 Pennsylvania Avenue, NW, Suite 1000, Washington, DC, 20037, (202) 974-1500. (Collins, Alexis)
December 3, 2018 Filing 139 NOTICE OF APPEARANCE by Alice Buttrick on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Buttrick, Alice)
November 26, 2018 Filing 138 NOTICE OF APPEARANCE by Seth C. Farber on behalf of Goldman Sachs & Co. LLC. (Farber, Seth)
November 15, 2018 Opinion or Order Filing 137 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This Civil Case Management Plan (the "Plan") is submitted by the parties in accordance with Fed. R. Civ. P. 26(f)(3). All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). All Fact Discovery due by 5/1/2020. Motions due by 3/20/2020. Responses due by 6/18/2020 Replies due by 9/16/2020. Deposition due by 7/30/2020. This case is to be tried to a jury. Counsel for the parties have conferred and the present best estimate of the length of trial is four weeks. The next Pretrial Conference set for 5/19/2020 at 03:00 PM in Courtroom 618 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York 10007, before Judge Katherine Polk Failla. Given the extended schedule proposed by the parties, the Court will not further extend any of these deadlines. And as set forth herein. SO ORDERED. (Signed by Judge Katherine Polk Failla on 11/15/2018) (ama)
November 9, 2018 Filing 136 JOINT LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated November 9, 2018 re: Proposed Civil Case Management Plan and Scheduling Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit 1 - Proposed Civil Case Management Plan and Scheduling Order)(Brockett, Daniel)
November 2, 2018 Filing 135 NOTICE OF CHANGE OF ADDRESS by Sarah Katherine Weber on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. New Address: Katten Muchin Rosenman LLP, 525 W. Monroe Street, Chicago, Illinois, USA 60661, 312-902-5251. (Weber, Sarah)
October 26, 2018 Filing 134 ANSWER to #73 Amended Complaint,,,,, with JURY DEMAND. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Slifkin, Daniel)
October 26, 2018 Filing 133 ANSWER to #73 Amended Complaint,,,,,. Document filed by Merrill Lynch L.P. Holdings, Inc., Merrill Lynch Professional Clearing Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Hakki, Adam)
October 26, 2018 Filing 132 ANSWER to #73 Amended Complaint,,,,,. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Prime Securities Services (USA) LLC, Credit Suisse Securities (USA) LLC.(Ramesh, Sheila)
October 26, 2018 Filing 131 ANSWER to #73 Amended Complaint,,,,, with JURY DEMAND. Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P..(Pepperman, Richard)
October 26, 2018 Filing 130 ANSWER to #73 Amended Complaint,,,,, with JURY DEMAND. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Gelfand, David)
October 26, 2018 Filing 129 ANSWER to #73 Amended Complaint,,,,,. Document filed by UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC.(Brudner, Alan)
October 26, 2018 Filing 128 ANSWER to #73 Amended Complaint,,,,,. Document filed by J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Liu, Henry)
October 16, 2018 Opinion or Order Filing 127 ORDER FOR ADMISSION PRO HAC VICE granting #126 Motion for Emmy L. Levens to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 10/16/2018) (rro)
October 16, 2018 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #126 MOTION for Emmy L. Levens to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15749720. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
October 15, 2018 Filing 126 MOTION for Emmy L. Levens to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15749720. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Affidavit, #2 Certificate of Good Standing - DC, #3 Certificate of Good Standing - Illinois, #4 Text of Proposed Order)(Levens, Emmy)
October 15, 2018 Filing 125 NOTICE OF APPEARANCE by Alan J. Brudner on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Brudner, Alan)
October 15, 2018 Filing 124 NOTICE OF APPEARANCE by Sarah Katherine Weber on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Securities LLC. (Weber, Sarah)
September 27, 2018 Opinion or Order Filing 123 OPINION AND ORDER re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. filed by Morgan Stanley & Co. LLC, Strategic Investments I, Inc., Prime Dealer Services Corp., #106 MOTION to Dismiss the Amended Complaint. filed by EquiLend LLC, EquiLend Holdings LLC, EquiLend Europe Limited. For the reasons set forth above, Defendants' motions to dismiss areDENIED. Defendants are hereby directed to file an Answer to the Amended Complaint by October 26, 2018. The Parties are directed to file a proposed case management plan by November 9, 2018.The Clerk of Court is directed to terminate the motions at Docket Entries 106 and 109. SO ORDERED. (Credit Suisse AG answer due 10/26/2018; Credit Suisse First Boston Next Fund, Inc. answer due 10/26/2018; Credit Suisse Prime Securities Services (USA) LLC answer due 10/26/2018; Credit Suisse Securities (USA) LLC answer due 10/26/2018; EquiLend Europe Limited answer due 10/26/2018; EquiLend Holdings LLC answer due 10/26/2018; EquiLend LLC answer due 10/26/2018; Goldman Sachs & Co. LLC answer due 10/26/2018; Goldman Sachs Execution & Clearing, L.P. answer due 10/26/2018; J.P. Morgan Chase & Co. answer due 10/26/2018; J.P. Morgan Chase Bank, N.A. answer due 10/26/2018; J.P. Morgan Prime, Inc. answer due 10/26/2018; J.P. Morgan Securities LLC answer due 10/26/2018; J.P. Morgan Strategic Securities Lending Corp. answer due 10/26/2018; Merrill Lynch L.P. Holdings, Inc. answer due 10/26/2018; Merrill Lynch Professional Clearing Corp. answer due 10/26/2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 10/26/2018; Morgan Stanley & Co. LLC answer due 10/26/2018; Prime Dealer Services Corp. answer due 10/26/2018; Strategic Investments I, Inc. answer due 10/26/2018; UBS AG answer due 10/26/2018; UBS Americas Inc. answer due 10/26/2018; UBS Financial Services Inc. answer due 10/26/2018; UBS Securities LLC answer due 10/26/2018.) (Signed by Judge Katherine Polk Failla on 9/27/2018) (rro)
July 26, 2018 Opinion or Order Filing 122 ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL #121 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the motion for David A. Young to withdraw as counsel for Plaintiffs Iowa Public Employees Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, and Los Angeles County Employees Retirement Association is granted, and Mr. Young's appearance is withdrawn as of the date of this Order. The Clerk is directed to remove Mr. Young from the CM/ECF service list for this action. (As further set forth in this Order.) Attorney David A. Young terminated (Signed by Judge Katherine Polk Failla on 7/26/2018) (cf)
July 25, 2018 Filing 121 MOTION for David A. Young to Withdraw as Attorney . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Text of Proposed Order)(Young, David)
June 1, 2018 Filing 120 LETTER addressed to Judge Katherine Polk Failla from Michael B. Eisenkraft dated June 1, 2018 re: Plaintiffs' response to Defendants' May 29, 2018 letter (ECF No. 119). Document filed by Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association.(Eisenkraft, Michael)
June 1, 2018 Filing 119 NOTICE OF APPEARANCE by Peter George Safirstein on behalf of Torus Capital, LLC. (Safirstein, Peter)
May 29, 2018 Filing 118 LETTER addressed to Judge Katherine Polk Failla from all defendants dated May 29, 2018 re: bringing to the Court's attention Judge Engelmayer's recent Opinion & Order in In Re Interest Rate Swaps Antitrust Litigation dated May 23, 2018. Document filed by Morgan Stanley. (Attachments: #1 Judge Engelmayer's recent Opinion & Order)(Slifkin, Daniel)
April 20, 2018 Opinion or Order Filing 117 ORDER FOR ADMISSION PRO HAC VICE: granting #116 Motion for Jeremy D. Andersen to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Katherine Polk Failla on 4/20/2018) (js)
April 20, 2018 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #116 MOTION for Jeremy D. Andersen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14969881. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
April 20, 2018 Filing 116 MOTION for Jeremy D. Andersen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14969881. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Attachments: #1 Affidavit, #2 Proposed Order, #3 Certificate of Good Standing)(Andersen, Jeremy)
March 30, 2018 Filing 115 REPLY MEMORANDUM OF LAW in Support re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Slifkin, Daniel)
March 30, 2018 Filing 114 REPLY MEMORANDUM OF LAW in Support re: #106 MOTION to Dismiss the Amended Complaint. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
March 2, 2018 Filing 113 MEMORANDUM OF LAW in Opposition re: #106 MOTION to Dismiss the Amended Complaint. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
March 2, 2018 Filing 112 MEMORANDUM OF LAW in Opposition re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. . Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
January 26, 2018 Filing 111 DECLARATION of Lauren M. Rosenberg in Support re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants.. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Slifkin, Daniel)
January 26, 2018 Filing 110 JOINT MEMORANDUM OF LAW in Support re: #109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. . Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Slifkin, Daniel)
January 26, 2018 Filing 109 JOINT MOTION to Dismiss all claims by Prime Broker Defendants. Document filed by Morgan Stanley & Co. LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Slifkin, Daniel)
January 26, 2018 Filing 108 DECLARATION of Laurence J. Marshall in Support re: #106 MOTION to Dismiss the Amended Complaint.. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
January 26, 2018 Filing 107 MEMORANDUM OF LAW in Support re: #106 MOTION to Dismiss the Amended Complaint. . Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
January 26, 2018 Filing 106 MOTION to Dismiss the Amended Complaint. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Gelfand, David)
January 26, 2018 Opinion or Order Filing 105 STIPULATION AND ORDER REGARDING VOLUNTARY DISMISSAL OF DEFENDANTS BANK OF AMERICA CORPORATION; CREDIT SUISSE GROUP AG; THE GOLDMAN SACHS GROUP, INC.; J.P. MORGAN CHASE & CO.; MORGAN STANLEY; MORGAN STANLEY CAPITAL MANAGEMENT, LLC; AND UBS GROUP AG: IT IS HEREBY STIPULATED AND AGREED: Pursuant to Federal Rule of Civil Procedure 41(a)(1), Plaintiffs hereby voluntarily dismiss all claims against Defendants Bank of America Corporation; Credit Suisse Group AG; The Goldman Sachs Group, Inc.; J.P. Morgan Chase & Co.; Morgan Stanley; Morgan Stanley Capital Management, LLC; and UBS Group AG without prejudice to their inclusion at a later time should evidence arise in discovery or otherwise that reveals information contrary to the above-referenced representations of counsel, and the Parties agree that any statute of limitations, statute of repose, or other time-related defense or claim shall be tolled as to these dismissed Defendants only as if the claims were filed on August 16, 2017, the filing date of the Original Complaint. The Clerk of Court is directed to terminate only those parties listed in Paragraph 1 above. IT IS SO ORDERED. (Credit Suisse Group AG, J.P. Morgan Chase & Co., The Goldman Sachs Group, Inc., Morgan Stanley, Morgan Stanley Capital Management, LLC, UBS AG, UBS Group AG, and Bank of America Corporation terminated.) (Signed by Judge Katherine Polk Failla on 1/25/2018) (anc) Modified on 1/26/2018 (anc).
January 25, 2018 Filing 104 NOTICE OF APPEARANCE by Lauren Michelle Rosenberg on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Rosenberg, Lauren)
January 17, 2018 Filing 103 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 1/10/18 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 17, 2018 Filing 102 TRANSCRIPT of Proceedings re: CONFERENCE held on 1/10/2018 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Kristen Carannante, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/7/2018. Redacted Transcript Deadline set for 2/20/2018. Release of Transcript Restriction set for 4/17/2018.(McGuirk, Kelly)
January 16, 2018 Filing 101 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank Of America Corporation, Corporate Parent Merrill Lynch, Pierce, Fenner & Smith Incorporated, Corporate Parent NB Holdings Corporation for Merrill Lynch Professional Clearing Corp.. Document filed by Merrill Lynch Professional Clearing Corp..(Hakki, Adam)
January 12, 2018 Filing 100 MEMO ENDORSEMENT on re: #99 Letter, filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC, Orange County Employees Retirement System. ENDORSEMENT: Application GRANTED. (Signed by Judge Katherine Polk Failla on 1/12/2018) (kgo)
January 12, 2018 Filing 99 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett & Michael B. Eisenkraft dated January 12, 2018 re: Clarification of January 10, 2018 Scheduling Order. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
January 10, 2018 Opinion or Order Filing 98 SCHEDULING ORDER: Following the initial pretrial and pre-motion conference on January 10, 2018, the Court enters the following order: 1. Defendants' opening briefs in support of their motions to dismiss are due on January 26, 2018. The Bank of America/Merrill Lynch, Credit Suisse, Goldman Sachs, J.P. Morgan, Morgan Stanley, and UBS Defendants will file a joint brief, not to exceed 50 pages. The EquiLend Defendants may file a separate supplemental brief not to exceed 15 pages. 2. Plaintiffs' opposition brief is due on March 2, 2018, and will not exceed 50 pages. 3. Defendants' reply brief in support of their motions is due on March 30, 2018. The Bank of America/Merrill Lynch, Credit Suisse, Goldman Sachs, J.P. Morgan, Morgan Stanley, and UBS Defendants will file a joint brief, not to exceed 25 pages. The EquiLend Defendants may file a separate supplemental brief not to exceed 7 pages. Motions due by 1/26/2018. Responses due by 3/2/2018 Replies due by 3/30/2018. (Signed by Judge Katherine Polk Failla on 1/10/2018) (kgo)
January 9, 2018 Filing 97 NOTICE OF APPEARANCE by Daniel Lawrence Brockett on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
January 9, 2018 Filing 96 NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Washer, Herbert)
January 9, 2018 Filing 95 NOTICE OF APPEARANCE by Jason Michael Hall on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Hall, Jason)
January 9, 2018 Filing 94 NOTICE OF APPEARANCE by Sheila Chithran Ramesh on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Ramesh, Sheila)
January 9, 2018 Filing 93 NOTICE OF APPEARANCE by Margaret Ann Barone on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Barone, Margaret)
January 9, 2018 Filing 92 NOTICE OF APPEARANCE by Maxwell Paden Deabler-Meadows on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Deabler-Meadows, Maxwell)
January 9, 2018 Filing 91 NOTICE OF APPEARANCE by Elai E. Katz on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Katz, Elai)
January 9, 2018 Filing 90 NOTICE OF APPEARANCE by Thomas Lepri on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Lepri, Thomas)
January 9, 2018 Filing 89 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG for Credit Suisse Prime Securities Services (USA) LLC. Document filed by Credit Suisse Prime Securities Services (USA) LLC.(Januszewski, David)
January 9, 2018 Filing 88 NOTICE OF APPEARANCE by David George Januszewski on behalf of Credit Suisse Prime Securities Services (USA) LLC. (Januszewski, David)
January 9, 2018 Filing 87 NOTICE OF APPEARANCE by Thomas Popejoy on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Popejoy, Thomas)
January 9, 2018 Filing 86 NOTICE OF APPEARANCE by Steig Olson on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Olson, Steig)
January 9, 2018 Filing 85 NOTICE OF APPEARANCE by Sascha Nicholas Rand on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Rand, Sascha)
January 5, 2018 Filing 84 NOTICE OF APPEARANCE by Maaren Alia Shah on behalf of Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Shah, Maaren)
January 5, 2018 Opinion or Order Filing 83 STIPULATION AND ORDER REGARDING SERVICE, SCHEDULE GOVERNING, AND VOLUNTARY DISMISSAL OF ADDITIONAL DEFENDANTS: Pursuant to Federal Rule of Civil Procedure 41(a)(1), Plaintiffs hereby voluntarily dismiss all claims against Defendants J.P. Morgan Institutional Investments Inc.; Morgan Stanley Distribution, Inc.; UBS Investment Bank; UBS Asset Management (US) Inc.; and UBS Fund Services (USA) LLC without prejudice to their inclusion at a later time should evidence arise in discovery or otherwise that reveals information contrary to the above-referenced representations of counsel, and the Parties agree that any statute of limitations, statute of repose, or other time-related defense or claim shall be tolled as to the dismissed Defendants only as if the claims were filed on November 17, 2017, the original filing date of the Amended Complaint; The undersigned counsel agree to accept service of process in the above-captioned lawsuit on behalf of their respective clients, expressly reserving the right to contest whether any party in the Amended Complaint is properly named, and without waiver of any defenses, including those related to personal jurisdiction and venue. All Defendants shall be governed by the existing schedule established by the Court's September 20, 2017 Order. The Clerk of Court is directed to terminate only those parties named in Paragraph 1, above. UBS Asset Management (US) Inc., UBS Fund Services (USA) LLC, UBS Investment Bank, J.P. Morgan Institutional Investments Inc. and Morgan Stanley Distribution, Inc. terminated. (Signed by Judge Katherine Polk Failla on 1/5/2018) (mro)
January 4, 2018 Filing 82 JOINT LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett, Michael B. Eisenkraft, Adam S. Hakki, David G. Januszewski, David L. Gelfand, Robert Y. Sperling, Robert D. Wick, Daniel Slifkin and David C. Bohan dated January 4, 2018 re: Brief Statement Pursuant to the Court's September 20, 2017 Order (Dkt. 42). Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
December 20, 2017 Filing 81 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett and Michael B. Eisenkraft dated December 20, 2017 re: Plaintiffs' Response to Defendants' December 13, 2017 Pre-Motion Letter (ECF No. 79). Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC.(Brockett, Daniel)
December 18, 2017 Opinion or Order Filing 80 SCHEDULING ORDER: The initial pretrial and pre-motion conference scheduled for January 10, 2018, at 10:00 a.m. will take place in Courtroom 318 of the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York. Initial Conference set for 1/10/2018 at 10:00 AM in Courtroom 318, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla. (Signed by Judge Katherine Polk Failla on 12/18/2017) (js)
December 13, 2017 Filing 79 LETTER addressed to Judge Katherine Polk Failla from Daniel Slifkin, Michael Paskin and Damaris Hernandez on behalf of all Defendants dated December 13, 2017 re: the principal bases for Defendants' anticipated motion to dismiss. Document filed by Morgan Stanley.(Slifkin, Daniel)
December 6, 2017 Filing 78 NOTICE OF APPEARANCE by Peter Ginewicz Wilson on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (Wilson, Peter)
November 21, 2017 Filing 77 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Torus Capital, LLC.(Brockett, Daniel)
November 21, 2017 Filing 76 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Los Angeles County Employees Retirement Association.(Brockett, Daniel)
November 20, 2017 Filing 75 ELECTRONIC SUMMONS ISSUED as to Credit Suisse Prime Securities Services (USA) LLC, J.P. Morgan Institutional Investments Inc., Merrill Lynch Professional Clearing Corp., Morgan Stanley Distribution, Inc., UBS Asset Management (US) Inc., UBS Fund Services (USA) LLC, UBS Investment Bank. (pc)
November 17, 2017 Filing 74 REQUEST FOR ISSUANCE OF SUMMONS as to Merrill Lynch Professional Clearing Corp.; Credit Suisse Prime Securities Services (USA) LLC; J.P. Morgan Institutional Investments Inc.; Morgan Stanley Distribution, Inc.; UBS Investment Bank; UBS Asset Management (US) Inc.; UBS Fund Services (USA) LLC, re: #73 Amended Complaint,,,,,. Document filed by Iowa Public Employees' Retirement System, Los Angeles County Employees Retirement Association, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association, Torus Capital, LLC. (Brockett, Daniel)
November 17, 2017 Filing 73 AMENDED COMPLAINT amending #1 Complaint,,,, against Bank of America Corporation, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., The Goldman Sachs Group, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC, Merrill Lynch Professional Clearing Corp., Credit Suisse Prime Securities Services (USA) LLC, J.P. Morgan Institutional Investments Inc., Morgan Stanley Distribution, Inc., UBS Investment Bank, UBS Asset Management (US) Inc., UBS Fund Services (USA) LLC with JURY DEMAND.Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association, Los Angeles County Employees Retirement Association, Torus Capital, LLC. Related document: #1 Complaint,,,,.(Brockett, Daniel)
November 1, 2017 Filing 72 NOTICE OF APPEARANCE by Robert White Cobbs on behalf of Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Cobbs, Robert)
October 11, 2017 Filing 71 NOTICE OF APPEARANCE by Alexis L. Collins on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Collins, Alexis)
October 11, 2017 Filing 70 NOTICE OF APPEARANCE by David I. Gelfand on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Gelfand, David)
October 5, 2017 Filing 69 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS Americas Inc. for UBS Financial Services Inc.. Document filed by UBS Financial Services Inc..(Bohan, David)
October 5, 2017 Filing 68 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS Americas Inc. for UBS Securities LLC. Document filed by UBS Securities LLC.(Bohan, David)
October 5, 2017 Filing 67 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC for UBS Americas Inc.. Document filed by UBS Americas Inc..(Bohan, David)
October 5, 2017 Filing 66 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS Group AG for UBS AG. Document filed by UBS AG.(Bohan, David)
October 5, 2017 Filing 65 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by UBS Group AG.(Bohan, David)
October 5, 2017 Filing 64 NOTICE OF APPEARANCE by David Charles Bohan on behalf of UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (Bohan, David)
October 5, 2017 Opinion or Order Filing 63 ORDER FOR ADMISSION PRO HAC VICE granting #62 Motion for Ryan A. Shores to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 10/5/2017) (rjm)
October 5, 2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #62 MOTION for Ryan A. Shores to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14209343. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
October 5, 2017 Filing 62 MOTION for Ryan A. Shores to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14209343. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: #1 Exhibit A, #2 Text of Proposed Order, #3 Exhibit C)(Shores, Ryan)
October 4, 2017 Filing 61 NOTICE OF APPEARANCE by Christopher James Bateman on behalf of Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Bateman, Christopher)
September 29, 2017 Opinion or Order Filing 60 ORDER FOR ADMISSION PRO HAC VICE: The motion of David I. Gelfand, for admission to practice Pro Hac Vice in the above captionedaction is granted. granting #57 Motion for David I. Gelfand to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/29/2017) (js)
September 29, 2017 Opinion or Order Filing 59 ORDER FOR ADMISSION PRO HAC VICE: The motion of Alexis L. Collins for admission to practice Pro Hac Vice in the above captioned action is granted. granting #58 Motion for Alexis L. Collins to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/29/2017) (js)
September 28, 2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #58 MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff., #57 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 28, 2017 Filing 58 MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Collins Declaration, #2 DC Good Standing Certificate, #3 Text of Proposed Order)(Collins, Alexis)
September 28, 2017 Filing 57 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Gelfand Declaration, #2 Maryland Good Standing Certificate, #3 DC Good Standing Certificate, #4 Text of Proposed Order)(Gelfand, David)
September 28, 2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #56 MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179541. Motion and supporting papers to be.. The filing is deficient for the following reason(s): PRO HAC VICE IS INCOMPLETE DUE TO THE MISSING CERTIFICATE OF GOOD STANDING FROM THE DISTRICT OF COLUMBIA AND MISSING AFFIDAVIT/DECLARATION PURSUANT TO LOCAL RULE 1.3.;. 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.. (ma)
September 28, 2017 Filing 56 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Alexis L. Collins to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179541. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Collins, Alexis) Modified on 9/28/2017 (ma).
September 28, 2017 Filing 55 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Northern Trust Corporation, Other Affiliate J.P. Morgan Clearing Corp., Other Affiliate Credit Suisse First Boston Next Fund, Inc., Other Affiliate Merrill Lynch L.P. Holdings Inc., Other Affiliate J.P. Morgan Strategic Securities Lending Corp., Other Affiliate Strategic Investments I, Inc., Other Affiliate Goldman Sachs PSI Global Holdings, LLC, Other Affiliate BlackRock Asset Management International Inc., Other Affiliate SSB Investments, Inc., Other Affiliate UBS Americas Inc. for EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Boccuzzi, Carmine)
September 28, 2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #53 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179321. Motion and supporting papers to be r.. The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Maryland and Columbia; Attorney Affidavit/Declaration missing. Please Read Local Rule 1.3. ;. 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)
September 28, 2017 Filing 54 DECLARATION of David I. Gelfand, dated September 28, 2017 in Support re: #53 MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179321. Motion and supporting papers to be r. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Attachments: #1 Maryland Good Standing Certificate, #2 DC Good Standing Certificate)(Gelfand, David)
September 28, 2017 Filing 53 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for David I. Gelfand to Appear Pro Hac Vice , dated September 28, 2017, with [Proposed] Order for Admission Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-14179321. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC.(Gelfand, David) Modified on 9/28/2017 (bcu).
September 28, 2017 Filing 52 NOTICE OF APPEARANCE by Carmine D. Boccuzzi, Jr on behalf of EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC. (Boccuzzi, Carmine)
September 27, 2017 Filing 51 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent JPMorgan Chase & Co. for J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp..(Wick, Robert)
September 25, 2017 Opinion or Order Filing 50 ORDER FOR ADMISSION PRO HAC VICE granting #46 Motion for Kuntal V. Cholera to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 Opinion or Order Filing 49 ORDER FOR ADMISSION PRO HAC VICE granting #44 Motion for Henry Liu to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 Opinion or Order Filing 48 ORDER FOR ADMISSION PRO HAC VICE granting #45 Motion for John S. Playforth to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 Opinion or Order Filing 47 ORDER FOR ADMISSION PRO HAC VICE granting #43 Motion for Robert D. Wick to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 9/25/2017) (mro)
September 25, 2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #46 MOTION for Kuntal V. Cholera to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160204. Motion and supporting papers to be reviewed by Clerk's Office staff., #43 MOTION for Robert D. Wick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160031. Motion and supporting papers to be reviewed by Clerk's Office staff., #45 MOTION for John S. Playforth to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160162. Motion and supporting papers to be reviewed by Clerk's Office staff., #44 MOTION for Henry Liu to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160110. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 22, 2017 Filing 46 MOTION for Kuntal V. Cholera to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160204. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit B, Proposed Order, #3 Exhibit C, Affidavit of Kuntal V. Cholera)(Cholera, Kuntal)
September 22, 2017 Filing 45 MOTION for John S. Playforth to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160162. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit B, Proposed Order, #3 Exhibit C, Affidavit of John S. Playforth)(Playforth, John)
September 22, 2017 Filing 44 MOTION for Henry Liu to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160110. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit Proposed Order, #3 Exhibit Affidavit of Henry Liu)(Liu, Henry)
September 22, 2017 Filing 43 MOTION for Robert D. Wick to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14160031. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp.. (Attachments: #1 Exhibit A, Certificate of Good Standing, #2 Exhibit B, Proposed Order, #3 Exhibit C, Affidavit of Robert D. Wick)(Wick, Robert)
September 20, 2017 Opinion or Order Filing 42 NOTICE OF INITIAL PRETRIAL CONFERENCE: Defendants will file a pre-motion letter(s) concerning any contemplated motion(s) to dismiss, in accordance with the Courts Individual Rule of Practice 4(A), no later than December 13, 2017. IT IS FURTHER ORDERED that by January 4, 2018, the parties jointly submit a letter, not to exceed five pages, providing the following information in separate paragraphs: as further set forth in this order. ( Amended Pleadings due by 11/17/2017., Responses due by 3/2/2018, Replies due by 3/30/2018.) Initial Conference set for 1/10/2018 at 10:00 AM in Courtroom 618, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla. (Signed by Judge Katherine Polk Failla on 9/20/2017) (js)
September 20, 2017 ***DELETED DOCUMENT. Deleted document number #42 Notice of initial Pretrial Conference. The document was incorrectly filed in this case. (js)
September 20, 2017 Set/Reset Deadlines: Bank of America Corporation answer due 1/26/2018; Credit Suisse AG answer due 1/26/2018; Credit Suisse First Boston Next Fund, Inc. answer due 1/26/2018; Credit Suisse Group AG answer due 1/26/2018; Credit Suisse Securities (USA) LLC answer due 1/26/2018; EquiLend Europe Limited answer due 1/26/2018; EquiLend Holdings LLC answer due 1/26/2018; EquiLend LLC answer due 1/26/2018; Goldman Sachs & Co. LLC answer due 1/26/2018; Goldman Sachs Execution & Clearing, L.P. answer due 1/26/2018; J.P. Morgan Chase & Co. answer due 1/26/2018; J.P. Morgan Chase Bank, N.A. answer due 1/26/2018; J.P. Morgan Prime, Inc. answer due 1/26/2018; J.P. Morgan Securities LLC answer due 1/26/2018; J.P. Morgan Strategic Securities Lending Corp. answer due 1/26/2018; Merrill Lynch L.P. Holdings, Inc. answer due 1/26/2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 1/26/2018; Morgan Stanley answer due 1/26/2018; Morgan Stanley & Co. LLC answer due 1/26/2018; Morgan Stanley Capital Management, LLC answer due 1/26/2018; Prime Dealer Services Corp. answer due 1/26/2018; Strategic Investments I, Inc. answer due 1/26/2018; The Goldman Sachs Group, Inc. answer due 1/26/2018; UBS AG answer due 1/26/2018; UBS Americas Inc. answer due 1/26/2018; UBS Financial Services Inc. answer due 1/26/2018; UBS Group AG answer due 1/26/2018; UBS Securities LLC answer due 1/26/2018. Amended Pleadings due by 11/17/2017. Responses due by 3/2/2018 (js)
September 20, 2017 Opinion or Order Filing 41 ORDER FOR ADMISSION PRO HAC VICE granting #31 Motion for Kit A. Pierson to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Katherine Polk Failla on 9/20/2017) (ras)
September 20, 2017 Opinion or Order Filing 40 ORDER FOR ADMISSION TO PRACTICE PRO HAC VICE granting #30 Motion for Robert Y. Sperling to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice pro hac vice as counsel for Defendants The Goldman Sachs Group, Inc.; Goldman Sachs & Co. LLC; and Goldman Sachs Execution & Clearing, L.P. in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Katherine Polk Failla on 9/20/2017) (ras)
September 19, 2017 Filing 39 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Merrill Lynch International Incorporated, Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Corporation for Merrill Lynch L.P. Holdings, Inc.. Document filed by Merrill Lynch L.P. Holdings, Inc..(Hakki, Adam)
September 19, 2017 Filing 38 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Corporation for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Document filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated.(Hakki, Adam)
September 19, 2017 Filing 37 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Bank of America Corporation.(Hakki, Adam)
September 19, 2017 Filing 36 NOTICE OF APPEARANCE by Richard Franklin Schwed on behalf of Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Schwed, Richard)
September 19, 2017 Filing 35 NOTICE OF APPEARANCE by Margaret Ann Barone on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Barone, Margaret)
September 19, 2017 Filing 34 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of Bank of America Corporation, Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Hakki, Adam)
September 19, 2017 Filing 33 NOTICE OF APPEARANCE by Andrew Hunter Reynard on behalf of Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Reynard, Andrew)
September 19, 2017 Filing 32 NOTICE OF APPEARANCE by Richard C. Pepperman, II on behalf of Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Pepperman, Richard)
September 19, 2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #31 MOTION for Kit A. Pierson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff., #30 MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143606. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
September 19, 2017 Filing 31 MOTION for Kit A. Pierson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Pierson, Kit)
September 19, 2017 Filing 30 MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143606. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Attachments: #1 Declaration and certificate of good standing, #2 Text of Proposed Order)(Sperling, Robert)
September 19, 2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #27 MOTION for Kit A. Pierson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143151. 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 Oregon;. 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)
September 19, 2017 Filing 29 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman Sachs & Co. LLC. Document filed by Goldman Sachs & Co. LLC, The Goldman Sachs Group, Inc..(Yablon, Staci)
September 19, 2017 Filing 28 NOTICE OF APPEARANCE by Staci Lynn Yablon on behalf of Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., The Goldman Sachs Group, Inc.. (Yablon, Staci)
September 19, 2017 Filing 27 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Kit A. Pierson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14143151. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Exhibit Certificate of Good Standing, #4 Affidavit, #5 Text of Proposed Order)(Pierson, Kit) Modified on 9/19/2017 (wb).
September 18, 2017 Opinion or Order Filing 26 ORDER FOR ADMISSION PRO HAC VICE granting #12 Motion for Richard A. Koffman to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Katherine Polk Failla on 9/18/17) (yv)
September 18, 2017 Opinion or Order Filing 25 ORDER FOR ADMISSION PRO HAC VICE granting #13 Motion for David A. Young to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, includingthe Rules governing discipline of attorneys. (Signed by Judge Katherine Polk Failla on 9/18/17) (yv)
September 18, 2017 Filing 24 NOTICE OF APPEARANCE by Sheila Chithran Ramesh on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Ramesh, Sheila)
September 18, 2017 Filing 23 NOTICE OF APPEARANCE by Elai E. Katz on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Katz, Elai)
September 18, 2017 Filing 22 NOTICE OF APPEARANCE by Jason Michael Hall on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Hall, Jason)
September 18, 2017 Filing 21 NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Washer, Herbert)
September 18, 2017 Filing 20 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG for Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Securities (USA) LLC. Document filed by Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC.(Januszewski, David)
September 18, 2017 Filing 19 NOTICE OF APPEARANCE by David George Januszewski on behalf of Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC. (Januszewski, David)
September 18, 2017 Filing 18 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group, Inc. for Prime Dealer Services Corp., Strategic Investments I, Inc.; Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley, Corporate Parent Morgan Stanley Capital Management, LLC, Other Affiliate Mitsubishi UFJ Financial Group, Inc. for Morgan Stanley & Co. LLC; Other Affiliate Mitsubishi UFJ Financial Group, Inc. for Morgan Stanley; Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group, Inc., for Morgan Stanley Capital Management, LLC. Document filed by Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc..(Slifkin, Daniel)
September 18, 2017 Filing 17 LETTER addressed to Judge Katherine Polk Failla from Daniel L. Brockett dated September 18, 2017 re: Proposed schedule for filing an Amended Complaint. Document filed by Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Stipulation And (Proposed) Order)(Brockett, Daniel)
September 18, 2017 Filing 16 NOTICE OF APPEARANCE by Damaris Hernandez on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Hernandez, Damaris)
September 18, 2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #12 MOTION for Richard A. Koffman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138735. Motion and supporting papers to be reviewed by Clerk's Office staff., #13 MOTION for David A. Young to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138942. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
September 18, 2017 Filing 15 NOTICE OF APPEARANCE by Michael A Paskin on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Paskin, Michael)
September 18, 2017 Filing 14 NOTICE OF APPEARANCE by Daniel Slifkin on behalf of Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc.. (Slifkin, Daniel)
September 18, 2017 Filing 13 MOTION for David A. Young to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138942. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Young, David)
September 18, 2017 Filing 12 MOTION for Richard A. Koffman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138735. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Koffman, Richard)
September 18, 2017 Opinion or Order Filing 11 ORDER granting #10 Motion for Julie Goldsmith Reiser to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (AH)
September 18, 2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #10 MOTION for Julie Goldsmith Reiser to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138563. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
September 18, 2017 Filing 10 MOTION for Julie Goldsmith Reiser to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14138563. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Iowa Public Employees' Retirement System. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Exhibit Certificate of Good Standing, #3 Affidavit, #4 Text of Proposed Order)(Reiser, Julie)
August 30, 2017 NOTICE OF CASE REASSIGNMENT to Judge Katherine Polk Failla. Judge Analisa Torres is no longer assigned to the case. (bcu)
August 18, 2017 Opinion or Order Filing 9 INITIAL PRETRIAL CONFERENCE ORDER: Initial Conference set for 11/1/2017 at 11:20 AM in Courtroom 15D, 500 Pearl Street, New York, NY 10007 before Judge Analisa Torres. (As further set forth in this Order.) (Signed by Judge Analisa Torres on 8/18/2017) (cf)
August 17, 2017 Filing 8 ELECTRONIC SUMMONS ISSUED as to Bank of America Corporation, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., The Goldman Sachs Group, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (kl)
August 17, 2017 Case Designated ECF. (kl)
August 17, 2017 Magistrate Judge Henry B. Pitman is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (kl)
August 17, 2017 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Analisa Torres. 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. (kl)
August 17, 2017 Filing 7 NOTICE OF APPEARANCE by Michael Benjamin Eisenkraft on behalf of Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Eisenkraft, Michael)
August 16, 2017 Filing 6 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Sonoma County Employees' Retirement Association.(Brockett, Daniel)
August 16, 2017 Filing 5 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Orange County Employees Retirement System.(Brockett, Daniel)
August 16, 2017 Filing 4 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Iowa Public Employees' Retirement System.(Brockett, Daniel)
August 16, 2017 Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Bank of America Corporation; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Merrill Lynch L.P. Holdings, Inc.; Credit Suisse AG; Credit Suisse Group AG; Credit Suisse Securities (USA) LLC; Credit Suisse First Boston Next Fund, Inc.; The Goldman Sachs Group, Inc.; Goldman Sachs & Co. LLC; Goldman Sachs Execution & Clearing, L.P.; J.P. Morgan Chase & Co.; J.P. Morgan Securities LLC; J.P. Morgan Prime, Inc.; J.P. Morgan Strategic Securities Lending Corp.; J.P. Morgan Chase Bank, N.A.; Morgan Stanley; Morgan Stanley Capital Management, LLC; Morgan Stanley & Co. LLC; Prime Dealer Services Corp.; Strategic Investments I, Inc.; UBS Group AG; UBS AG; UBS Americas Inc.; UBS Securities LLC; UBS Financial Services Inc.; EquiLend LLC; EquiLend Europe Limited; EquiLend Holdings LLC, re: #1 Complaint,,,,. Document filed by Iowa Public Employees' Retirement System, Orange County Employees Retirement System, Sonoma County Employees' Retirement Association. (Brockett, Daniel)
August 16, 2017 Filing 2 CIVIL COVER SHEET filed. (Brockett, Daniel)
August 16, 2017 Filing 1 COMPLAINT against Bank of America Corporation, Credit Suisse AG, Credit Suisse First Boston Next Fund, Inc., Credit Suisse Group AG, Credit Suisse Securities (USA) LLC, EquiLend Europe Limited, EquiLend Holdings LLC, EquiLend LLC, Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P., J.P. Morgan Chase & Co., J.P. Morgan Chase Bank, N.A., J.P. Morgan Prime, Inc., J.P. Morgan Securities LLC, J.P. Morgan Strategic Securities Lending Corp., Merrill Lynch L.P. Holdings, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Morgan Stanley & Co. LLC, Morgan Stanley Capital Management, LLC, Prime Dealer Services Corp., Strategic Investments I, Inc., The Goldman Sachs Group, Inc., UBS AG, UBS Americas Inc., UBS Financial Services Inc., UBS Group AG, UBS Securities LLC. (Filing Fee $ 400.00, Receipt Number 0208-14024250)Document filed by Orange County Employees Retirement System, Iowa Public Employees' Retirement System, Sonoma County Employees' Retirement Association.(Brockett, Daniel)

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Search for this case: Iowa Public Employees' Retirement System et al v. Bank of America Corporation et al
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Defendant: J.P. Morgan Strategic Securities Lending Corp.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: J.P. Morgan Securities LLC
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Goldman Sachs Execution & Clearing, L.P.
Represented By: Richard C. Pepperman, II
Represented By: Austin Lewis Raynor
Represented By: Robert Y. Sperling
Represented By: Staci Lynn Yablon
Represented By: Andrew Hunter Reynard
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Defendant: UBS Financial Services Inc.
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
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Defendant: EquiLend Holdings LLC
Represented By: Alexis L. Collins
Represented By: David I. Gelfand
Represented By: Carmine D. Boccuzzi, Jr
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Defendant: Credit Suisse Group AG
Represented By: Margaret Ann Barone
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
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Defendant: Credit Suisse First Boston Next Fund, Inc.
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
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Defendant: J.P. Morgan Chase Bank, N.A.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Goldman Sachs & Co. LLC
Represented By: Richard C. Pepperman, II
Represented By: Austin Lewis Raynor
Represented By: Seth C. Farber
Represented By: Robert Y. Sperling
Represented By: Staci Lynn Yablon
Represented By: Andrew Hunter Reynard
Represented By: Eva W. Cole
Represented By: George Eric Mastoris
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Defendant: UBS AG
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
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Defendant: Bank of America Corporation
Represented By: Adam Selim Hakki
Represented By: Ryan Ashby Shores
Represented By: Richard Franklin Schwed
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Defendant: Merrill Lynch L.P. Holdings, Inc.
Represented By: Adam Selim Hakki
Represented By: Ryan Ashby Shores
Represented By: Michael Patrick Mitchell
Represented By: Richard Franklin Schwed
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Defendant: J.P. Morgan Prime, Inc.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Represented By: Adam Selim Hakki
Represented By: Ryan Ashby Shores
Represented By: Michael Patrick Mitchell
Represented By: Richard Franklin Schwed
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Defendant: Prime Dealer Services Corp.
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: The Goldman Sachs Group, Inc.
Represented By: Richard C. Pepperman, II
Represented By: Robert Y. Sperling
Represented By: Staci Lynn Yablon
Represented By: Andrew Hunter Reynard
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Defendant: Strategic Investments I, Inc.
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: Morgan Stanley & Co. LLC
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: Morgan Stanley Capital Management, LLC
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: UBS Group AG
Represented By: David Charles Bohan
Represented By: Peter Ginewicz Wilson
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Defendant: EquiLend Europe Limited
Represented By: Alexis L. Collins
Represented By: David I. Gelfand
Represented By: Carmine D. Boccuzzi, Jr
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Defendant: Credit Suisse AG
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
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Defendant: UBS Americas Inc.
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
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Defendant: UBS Securities LLC
Represented By: Nicola Bunick
Represented By: Alan J. Brudner
Represented By: David Charles Bohan
Represented By: Sarah Katherine Weber
Represented By: Peter Ginewicz Wilson
Represented By: Michaela Holcombe
Represented By: Benjamin Levine
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Defendant: J.P. Morgan Chase & Co.
Represented By: John S. Playforth
Represented By: Robert D. Wick
Represented By: Kuntal Cholera
Represented By: Henry Liu
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Defendant: Credit Suisse Securities (USA) LLC
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
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Defendant: EquiLend LLC
Represented By: Alexis L. Collins
Represented By: David I. Gelfand
Represented By: Carmine D. Boccuzzi, Jr
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Defendant: Morgan Stanley
Represented By: Michael A Paskin
Represented By: Lauren Michelle Rosenberg
Represented By: Damaris Hernandez
Represented By: Daniel Slifkin
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Defendant: UBS Asset Management (US) Inc.
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Defendant: Merrill Lynch Professional Clearing Corp.
Represented By: Adam Selim Hakki
Represented By: Michael Patrick Mitchell
Represented By: Richard Franklin Schwed
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Defendant: J.P. Morgan Institutional Investments Inc.
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Defendant: UBS Investment Bank
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Defendant: Credit Suisse Prime Securities Services (USA) LLC
Represented By: Margaret Ann Barone
Represented By: Jason Michael Hall
Represented By: Jonathan David Thier
Represented By: Herbert Scott Washer
Represented By: Sheila Chithran Ramesh
Represented By: Elai E. Katz
Represented By: David George Januszewski
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Defendant: UBS Fund Services (USA) LLC
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Defendant: Morgan Stanley Distribution, Inc.
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Plaintiff: Iowa Public Employees' Retirement System
Represented By: Daniel Lawrence Brockett
Represented By: Michael Benjamin Eisenkraft
Represented By: Kit A. Pierson
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Christopher James Bateman
Represented By: Steig Olson
Represented By: Julie Goldsmith Reiser
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Robert White Cobbs
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Richard A. Koffman
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
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Plaintiff: Orange County Employees Retirement System
Represented By: Daniel Lawrence Brockett
Represented By: Michael Benjamin Eisenkraft
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Christopher James Bateman
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Robert White Cobbs
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
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Plaintiff: Sonoma County Employees' Retirement Association
Represented By: Daniel Lawrence Brockett
Represented By: Michael Benjamin Eisenkraft
Represented By: Kit A. Pierson
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Christopher James Bateman
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Robert White Cobbs
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Richard A. Koffman
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
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Plaintiff: Los Angeles County Employees Retirement Association
Represented By: Daniel Lawrence Brockett
Represented By: Thomas Lepri
Represented By: Alice Buttrick
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Emmy L Levens
Represented By: Deborah K. Brown
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: David A. Young
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Michael Benjamin Eisenkraft
Represented By: Rylee Sommers-Flanagan
Represented By: Daniel McCuaig
Represented By: David Fisher
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
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Plaintiff: Torus Capital, LLC
Represented By: Daniel Lawrence Brockett
Represented By: Thomas Lepri
Represented By: David Leray
Represented By: Thomas Popejoy
Represented By: Peter George Safirstein
Represented By: Maaren Alia Shah
Represented By: Sascha Nicholas Rand
Represented By: Deborah K. Brown
Represented By: Steig Olson
Represented By: Clifford H. Pearson
Represented By: Michael H. Pearson
Represented By: Jeremy Daniel Andersen
Represented By: Neil Swartzberg
Represented By: Maxwell Paden Deabler-Meadows
Represented By: Daniel Paul Mach
Represented By: Michael Benjamin Eisenkraft
Represented By: David Tyler Adams
Represented By: Nicholas Gerschman
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Interested party: Schonfeld Strategic Advisors LLC
Represented By: Rylee Sommers-Flanagan
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Interested party: Two Sigma Investments, LP
Represented By: Lawrence Jay Portnoy
Represented By: Michael Stuart Scheinkman
Represented By: Matthew Alan Kelly
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Petitioner: SL-X IP S.A.R.L.
Represented By: Robert Allen Glunt
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Petitioner: SL-x Trading Europe Ltd.
Represented By: Robert Allen Glunt
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Petitioner: SL-x Technology UK Ltd.
Represented By: Robert Allen Glunt
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Petitioner: SL-x Technology USA LLC
Represented By: Robert Allen Glunt
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Petitioner: SL-x Trading USA LLC
Represented By: Robert Allen Glunt
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