Securities and Exchange Commission v. Rio Tinto PLC et al

Justia Dockets & Filings Second Circuit New York Southern District Securities and Exchange Commission v. Rio Tinto PLC et al

Securities and Exchange Commission v. Rio Tinto PLC et al

Plaintiff:	Securities and Exchange Commission
Defendant:	Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited and Rio Tinto PLC
Case Number:	1:2017cv07994
Filed:	October 17, 2017
Court:	US District Court for the Southern District of New York
Office:	Foley Square Office
Presiding Judge:	Debra C Freeman
Referring Judge:	Analisa Torres
Nature of Suit:	Securities/Commodities
Cause of Action:	15 U.S.C. § 77
Jury Demanded By:	Both

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Docket Report

This docket was last retrieved on November 20, 2023. A more recent docket listing may be available from PACER.

Date Filed	Document Text
April 7, 2020	Filing 185 MEMORANDUM OF LAW in Opposition re: #181 MOTION for Reconsideration of Order Granting Motion to Dismiss [ECF No. 135]. Opposition submitted by all Defendants. Document filed by Rio Tinto Limited, Rio Tinto PLC..(Kirsch, Mark)
April 7, 2020	Filing 184 MEMORANDUM OF LAW in Opposition re: #179 MOTION Fed. R. Civ. P. 72 Objections to Magistrate Judge Order Denying Leave to Amend Complaint. Opposition submitted by all Defendants. Document filed by Rio Tinto Limited, Rio Tinto PLC..(Kirsch, Mark)
March 26, 2020	Filing 183 SCHEDULING ORDER: The Court finds that there is good cause to adopt the parties' proposed schedule. Accordingly, it is hereby, SO ORDERED. Expert Discovery due by 6/26/2020. (Signed by Magistrate Judge Debra C. Freeman on 3/26/2020) Copies to: All Counsel (via ECF). (kv)
March 24, 2020	Filing 182 MEMORANDUM OF LAW in Support re: #181 MOTION for Reconsideration of Order Granting Motion to Dismiss [ECF No. 135]. . Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order).(Bednar, Thomas)
March 24, 2020	Filing 181 MOTION for Reconsideration of Order Granting Motion to Dismiss [ECF No. 135]. Document filed by Securities and Exchange Commission..(Bednar, Thomas)
March 24, 2020	Filing 180 MEMORANDUM OF LAW in Support re: #179 MOTION Fed. R. Civ. P. 72 Objections to Magistrate Judge Order Denying Leave to Amend Complaint. . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A Chart of Amended Allegations).(Bednar, Thomas)
March 24, 2020	Filing 179 MOTION Fed. R. Civ. P. 72 Objections to Magistrate Judge Order Denying Leave to Amend Complaint. Document filed by Securities and Exchange Commission..(Bednar, Thomas)
March 19, 2020	Filing 178 PROPOSED SCHEDULING ORDER. Document filed by Rio Tinto Limited, Rio Tinto PLC..(Conn, Jennifer)
March 13, 2020	Filing 177 MEMO ENDORSEMENT on re: #176 Letter filed by Securities and Exchange Commission. ENDORSEMENT: GRANTED. - By March 24, 2020, the SEC shall file its motion for reconsideration and any objections to Judge Freeman's order on the motion to amend. - By April 7, 2020, Defendants shall file their opposition. - By April 14, 2020, the SEC shall file its reply, if any. (Motions due by 3/24/2020., Responses due by 4/7/2020, Replies due by 4/14/2020.) (Signed by Judge Analisa Torres on 3/13/2020) (cf)
March 12, 2020	Filing 176 LETTER addressed to Judge Analisa Torres from Thomas A. Bednar dated March 12, 2020 re: Request for Briefing Schedule. Document filed by Securities and Exchange Commission..(Bednar, Thomas)
March 9, 2020	Filing 175 MEMORANDUM & ORDER denying #161 Motion to Amend/Correct. For all of the foregoing reasons, the SEC's motion for leave to amend the Complaint (Dkt. 161) is denied. The Clerk of Court is directed to close Dkt. 161 on the Docket of this action. (Signed by Magistrate Judge Debra C. Freeman on 3/9/2020) (mro)
March 5, 2020	Filing 174 ORDER granting #173 Letter Motion for Extension of Time. The SEC may have until 4/3/20 to serve rebuttal expert reports, and until 4/10/20 to serve the rebuttal report of Dr. Metz. (HEREBY ORDERED by Magistrate Judge Debra Freeman)(Text Only Order) (Freeman, Debra)
March 5, 2020	Filing 173 CONSENT LETTER MOTION for Extension of Time for the SEC to Serve Expert Rebuttal Reports addressed to Magistrate Judge Debra C. Freeman from Dean M. Conway dated March 5, 2020. Document filed by Securities and Exchange Commission..(Conway, Dean)
February 7, 2020	Filing 172 ORDER granting #171 Letter Motion for Extension of Time to File. Defendants' deadline to serve rebuttal and opening expert reports is extended to 2/21/20; the SEC's deadline to serve rebuttal expert reports is extended to 3/23/20. (HEREBY ORDERED by Magistrate Judge Debra Freeman)(Text Only Order) (Freeman, Debra)
January 30, 2020	Filing 171 CONSENT LETTER MOTION for Extension of Time to File / extension to serve rebuttals and expert reports addressed to Magistrate Judge Debra C. Freeman from all Defendants dated January 30, 2020. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Zweifach, Lawrence)
December 9, 2019	Filing 170 SCHEDULING ORDER re: #167 Letter, filed by Rio Tinto PLC, Rio Tinto Limited. It is hereby ORDERED as follows: 1. At this time, the parties are directed to limit their expert reports to the claims and defenses currently extant in this case. 2. With the limitation set forth in paragraph 1, above, the SEC's opening expert reports shall be served no later than December 20, 2019; Defendants' rebuttal and opening expert reports shall be served no later than February 7, 2020; and the SEC's rebuttal reports shall be served no later than March 9, 2020. 3. Expert depositions, as well as the submission of summary judgment motions, shall be stayed pending the Court's resolution of the pending motion to amend. If, as a result of the Court's ruling on that motion, new claims are added to the action, then the parties should confer in good faith, at that time, regarding a proposed schedule for the service of supplemental reports, expert depositions, and summary judgment motions, and, within one week of that ruling, should jointly submit such a proposed schedule to this Court for its consideration. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 12/9/2019) Copies to All counsel (via ECF). (kv)
December 5, 2019	Filing 169 ORDER granting #168 Motion for Fernando Campoamor Sanchez to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (JT)
December 5, 2019	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #168 MOTION for Fernando Campoamor Sanchez 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)
December 4, 2019	Filing 168 MOTION for Fernando Campoamor Sanchez to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Declaration and Certificate, #2 Text of Proposed Order Proposed Order)(Campoamor Sanchez, Fernando)
November 13, 2019	Filing 167 JOINT LETTER addressed to Judge Analisa Torres from Jennifer L. Conn, Thomas A. Bednar, Peter J. Romatowski and Walter G. Ricciardi dated November 13, 2019 re: joint status letter. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Exhibit A - Proposed Scheduling Order, #2 Exhibit B - Proposed Scheduling Order)(Conn, Jennifer)
July 29, 2019	Filing 166 REPLY MEMORANDUM OF LAW in Support re: #161 FIRST MOTION to Amend/Correct the Complaint. . Document filed by Securities and Exchange Commission. (Bednar, Thomas)
July 24, 2019	Filing 165 DECLARATION of RICHARD W. GRIME in Opposition re: #161 FIRST MOTION to Amend/Correct the Complaint.. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Exhibit 1 - Email, #2 Exhibit 2 - Email, #3 Exhibit 3 - Email, #4 Exhibit 4 - Email, #5 Exhibit 5 - Transcript, #6 Exhibit 6 - Transcript, #7 Exhibit 7 - Email, #8 Exhibit 8 - Annual Report, #9 Exhibit 9 - Email, #10 Exhibit 10 - Monthly Report, #11 Exhibit 11 - Email)(Kirsch, Mark)
July 22, 2019	Filing 164 FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT #165) - DECLARATION of RICHARD W. GRIME in Opposition re: #161 FIRST MOTION to Amend/Correct the Complaint.. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Exhibit 1 - Email, #2 Exhibit 2 - Email, #3 Exhibit 3 - Email, #4 Exhibit 4 - Email, #5 Exhibit 5 - Transcript, #6 Exhibit 6 - Transcript, #7 Exhibit 7 - Email, #8 Exhibit 8 - Annual Report, #9 Exhibit 9 - Email, #10 Exhibit 10 - Monthly Report, #11 Exhibit 11 - Email)(Kirsch, Mark) Modified on 7/26/2019 (lb).
July 22, 2019	Filing 163 MEMORANDUM OF LAW in Opposition re: #161 FIRST MOTION to Amend/Correct the Complaint. - DEFENDANTS' CONSOLIDATED BRIEF IN OPPOSITION TO PLAINTIFF'S MOTION FOR LEAVE TO AMEND THE COMPLAINT. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Kirsch, Mark)
July 8, 2019	Filing 162 MEMORANDUM OF LAW in Support re: #161 FIRST MOTION to Amend/Correct the Complaint. . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Proposed Amended Complaint, #2 Exhibit Chart of Examples of Allegations in Proposed Amended Complaint, #3 Text of Proposed Order)(Bednar, Thomas)
July 8, 2019	Filing 161 FIRST MOTION to Amend/Correct the Complaint. Document filed by Securities and Exchange Commission.(Bednar, Thomas)
July 2, 2019	Filing 160 MEMO ENDORSEMENT on re: #159 Letter filed by Rio Tinto PLC, Rio Tinto Limited. The parties submit that the best course is to submit a further joint status letter after briefing on the SEC's motion for leave to amend its complaint is completed, see Judge Torres' Order at ECF No. 154, by which time the parties hope to have all remaining depositions of fact witnesses scheduled. ENDORSEMENT: granted. So Ordered. (Signed by Magistrate Judge Debra C. Freeman on 7/2/2019) (js)
June 14, 2019	Filing 159 JOINT LETTER addressed to Magistrate Judge Debra C. Freeman from Jennifer L. Conn dated June 14, 2019 re: Joint Status Report. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Conn, Jennifer)
June 3, 2019	Filing 158 MEMO ENDORSEMENT on re: #157 Letter filed by Securities and Exchange Commission. ENDORSEMENT: Parties to submit an updated status letter no later than 6/14/2019. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 6/3/2019) (kv)
May 24, 2019	Filing 157 JOINT LETTER addressed to Magistrate Judge Debra C. Freeman from Thomas A. Bednar dated May 24, 2019 re: Joint Status Report. Document filed by Securities and Exchange Commission.(Bednar, Thomas)
May 14, 2019	Filing 156 MEMO ENDORSEMENT on re: #155 Letter filed by Rio Tinto PLC, Rio Tinto Limited. ENDORSEMENT: Granted. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 5/14/2019) (kv)
May 10, 2019	Filing 155 JOINT LETTER addressed to Magistrate Judge Debra C. Freeman from All Parties dated May 10, 2019 re: Joint Status Report. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Conn, Jennifer)
May 7, 2019	Filing 154 ORDER: Having reviewed the parties' joint letter dated May 3, 2019, ECF No. 153, it is hereby ORDERED that: 1. By July 8, 2019, Plaintiff shall file its motion for leave to amend the complaint; 2. By July 22, 2019, Defendants shall file their opposition; and 3. By July 29, 2019, Plaintiff shall file its reply, if any. The Court understands Plaintiff's request to seek leave to file a motion to amend, or, in the alternative, a motion for reconsideration. Because the Court agrees with Plaintiff that "the most efficient course" is to allow Plaintiff to seek leave to amend its complaint, ECF No. 153 at 4, the Court does not set a briefing schedule on this alternative motion. ( Motions due by 7/8/2019., Responses due by 7/22/2019, Replies due by 7/29/2019.) (Signed by Judge Analisa Torres on 5/7/2019) (mro)
May 3, 2019	Filing 153 JOINT LETTER addressed to Judge Analisa Torres from All Parties dated May 3, 2019 re: Joint Status Report. Document filed by Securities and Exchange Commission.(Bednar, Thomas)
April 19, 2019	Filing 152 ORDER GRANTING DISCOVERY DEADLINE granting #151 Letter Motion for Extension of Time to Complete Discovery. So Ordered. (Signed by Magistrate Judge Debra C. Freeman on 4/19/2019) (js)
April 18, 2019	Filing 151 JOINT LETTER MOTION for Extension of Time to Complete Discovery addressed to Magistrate Judge Debra C. Freeman from Thomas Bednar on behalf of all parties dated April 18, 2019. Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order)(Bednar, Thomas)
April 8, 2019	Filing 150 ANSWER to #1 Complaint with JURY DEMAND. Document filed by Guy Robert Elliott.(Ricciardi, Walter)
April 8, 2019	Filing 149 ANSWER to #1 Complaint with JURY DEMAND. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Kirsch, Mark)
April 8, 2019	Filing 148 ANSWER to #1 Complaint with JURY DEMAND. Document filed by Thomas Albanese.(Lejnieks, Kristen)
April 5, 2019	Filing 147 ORDER denying without prejudice to renewal #139 Letter Motion for Leave to File Document; denying without prejudice to renewal #140 Letter Motion for Leave to File Document. 1. Plaintiff's request to file a motion to amend its complaint or, in the alternative, to file a motion for reconsideration is DENIED without prejudice to renewal; and 2. By May 3, 2019, the parties shall file a joint status letter updating the Court as to the status of the production of the additional documents and what motions the parties seek to file at that time. (As further set forth in this Order.) The Clerk of Court is directed to terminate the motions at ECF Nos. 139 and 140. (Signed by Judge Analisa Torres on 4/5/2019) (cf)
April 5, 2019	Filing 146 LETTER addressed to Judge Analisa Torres from Jennifer L. Conn dated April 5, 2019 re: Opposition to Plaintiff's Letter Dkt. No. 145 re Leave to File Motion for Leave to File Amended Complaint. Document filed by Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC.(Conn, Jennifer)
April 3, 2019	Filing 145 LETTER addressed to Judge Analisa Torres from Thomas A. Bednar dated April 3, 2019 re: Response to Defendants' Letter #144 in Opposition to Pre-Motion Letters re: Amending the Complaint. Document filed by Securities and Exchange Commission.(Bednar, Thomas)
April 2, 2019	Filing 144 LETTER RESPONSE in Opposition to Motion addressed to Judge Analisa Torres from Jennifer L. Conn dated April 2, 2019 re: #140 SUPPLEMENTAL LETTER MOTION for Leave to File Motion for Leave to File Amended Complaint addressed to Judge Analisa Torres from Gregory N. Miller dated March 27, 2019., #139 LETTER MOTION for Leave to File Motion to Amend Complaint addressed to Judge Analisa Torres from Gregory N. Miller dated March 26, 2019. . Document filed by Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC. (Conn, Jennifer)
March 29, 2019	Filing 143 ORDER granting #137 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the noticed request to withdraw Tyson Lies as counsel for Tom Albanese is granted, and the appearance of Mr. Lies is withdrawn as of the date of this Order. SO ORDERED. Attorney Tyson Mark Lies terminated. (Signed by Magistrate Judge Debra C. Freeman on 3/29/2019) (kv)
March 29, 2019	Filing 142 ORDER granting #141 Letter Motion for Extension of Time to Answer. As they requested, and without opposition, Defendants may have until 4/8/2019 to answer the operative Complaint. In light of the SEC's request for leave to file a motion to amend their pleading, however (Dkts. 139, 140), the parties should confer as to whether it would make sense for the answer deadline to be extended further. If so, they should submit a proposed stipulation to that effect. (HEREBY ORDERED by Magistrate Judge Debra Freeman)(Text Only Order) (Freeman, Debra) Modified on 3/29/2019 (aba).
March 27, 2019	Filing 141 LETTER MOTION for Extension of Time to File Answer - requested by all Defendants addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Zweifach dated March 27, 2019. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Zweifach, Lawrence)
March 27, 2019	Filing 140 SUPPLEMENTAL LETTER MOTION for Leave to File Motion for Leave to File Amended Complaint addressed to Judge Analisa Torres from Gregory N. Miller dated March 27, 2019. Document filed by Securities and Exchange Commission. (Attachments: #1 Supplement)(Miller, Gregory)
March 26, 2019	Filing 139 LETTER MOTION for Leave to File Motion to Amend Complaint addressed to Judge Analisa Torres from Gregory N. Miller dated March 26, 2019. Document filed by Securities and Exchange Commission. Return Date set for 4/2/2019 at 05:00 PM.(Miller, Gregory)
March 25, 2019	Filing 138 DECLARATION of Jacqueline Vallette in Support re: #137 MOTION for Tyson Lies to Withdraw as Attorney .. Document filed by Thomas Albanese. (Vallette, Jacqueline)
March 25, 2019	Filing 137 MOTION for Tyson Lies to Withdraw as Attorney . Document filed by Thomas Albanese. (Attachments: #1 Text of Proposed Order)(Vallette, Jacqueline)
March 20, 2019	Filing 136 ORDER GRANTING WITHDRAW AS COUNSEL, granting #132 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the noticed request to withdraw Caitlin J. Halligan and Michael Springer as counsel for Rio Tinto plc and Rio Tinto Limited is granted, and the appearances of Ms. Halligan and Mr. Springer are withdrawn as of the date of this Order. SO ORDERED. Attorney Caitlin Joan Halligan and Michael Springer terminated (Signed by Magistrate Judge Debra C. Freeman on 3/20/2019) (kv)
March 18, 2019	Filing 135 ORDER granting in part and denying in part #70 Motion to Dismiss. For the reasons stated above, Defendants' motion to dismiss the complaint is GRANTED in part and DENIED in part, as follows: Claim One: the motion is DENIED insofar as the SEC alleges violations of Section 10(b) of the Exchange Act and Rule 10b5(b) by Albanese and Rio Tinto with respect to the Albanese Statements, and GRANTED in all other respects; Claim Two: the motion is GRANTED; Claim Three: the motion is DENIED insofar as the SEC seeks injunctive relief against Rio Tinto under Section 17(a)(2) of the Securities Act with respect to the HY 2012 Report, and GRANTED in all other respects; Claim Four: the motion is GRANTED; Claim Five: the motion is DENIED insofar as the SEC alleges violations of Section 13(a) and Rules 12b20 and 13a16 with respect to the HY 2012 Report, and GRANTED in all other respects; Claim Six: the motion is GRANTED; Claim Seven: the motion is DENIED insofar as the SEC alleges that Rio Tinto violated Section 13(b)(2)(A) of the Exchange Act with respect to the HY 2012 Report, and GRANTED in all other respects; Claim Eight: the motion is DENIED; Claim Nine: the motion is GRANTED; Claim Ten: the motion is DENIED; Claim Eleven: the motion is GRANTED; and Claim Twelve: the motion is GRANTED. Disgorgement: Additionally, the Court DENIES Defendants' request to strike disgorgement as a remedy from the complaint. The Clerk of Court is directed to terminate the motion at ECF No. 70. (As further set forth in this Order.) (Signed by Judge Analisa Torres on 3/18/2019) (cf)
March 14, 2019	Filing 134 NOTICE OF APPEARANCE by Aric Hugo Wu on behalf of Rio Tinto Limited, Rio Tinto PLC. (Wu, Aric)
March 14, 2019	Filing 133 DECLARATION of LAWRENCE J. ZWEIFACH in Support re: #132 MOTION for CAITLIN J. HALLIGAN and MICHAEL SPRINGER to Withdraw as Attorney .. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Zweifach, Lawrence)
March 14, 2019	Filing 132 MOTION for CAITLIN J. HALLIGAN and MICHAEL SPRINGER to Withdraw as Attorney . Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Text of Proposed Order)(Zweifach, Lawrence)
February 12, 2019	Filing 131 ORDER re: #130 Status Report filed by Securities and Exchange Commission. Accordingly, it is hereby, ORDERED, that the close of fact discovery is hereby extended to April 29, 2019. SO ORDERED. (Fact Discovery due by 4/29/2019.) (Signed by Magistrate Judge Debra C. Freeman on 2/12/2019) Copies to All counsel via (ECF). (kv)
February 11, 2019	Filing 130 STATUS REPORT. on Behalf of All Parties Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order)(Bednar, Thomas)
January 16, 2019	Filing 129 ORDER ENTERING PARTIAL STAY granting #128 Letter Motion to Stay. ORDERED, that all discovery among the parties or that is directed at persons or entities in the United States is stayed pending further order of this Court; and it is further, ORDERED, that the parties shall continue to proceed with foreign discovery, including but not limited to discovery requests now pending in foreign courts, and it is further, ORDERED, that within two weeks of the date when the SEC resumes normal operations, the parties shall submit a joint status report advising the Court on the status of discovery and requesting new deadlines, if applicable. The length of any proposed deadline extensions should not exceed the length of the lapse in government appropriations to the SEC. (This resolves Dkt. 128). (Signed by Magistrate Judge Debra C. Freeman on 1/16/2019) (mml)
January 10, 2019	Filing 128 LETTER MOTION to Stay Domestic Discovery addressed to Magistrate Judge Debra C. Freeman from Thomas A. Bednar dated January 10, 2019. Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Entering Partial Stay)(Bednar, Thomas)
December 4, 2018	Filing 127 STIPULATED ORDER REGARDING LETTERS OF REQUEST RELATING TO PRICEWATERHOUSECOOPERS SOUTH AFRICA: Based upon the stipulations set forth in the Parties' letter dated November 13, 2018, and in light of the Honourable Justice Lamont's request that this Court provide confirmation of its willingness to accept evidence obtained via the South African Foreign Courts Evidence Act ("FCEA"), IT IS ORDERED that no objection to the admissibility or authenticity of evidence obtained from PricewaterhouseCoopers South Africa shall be premised solely upon use of the legal process afforded by the FCEA rather than that provided by the Hague Convention. Further, this Court has no objection to the South African court suspending its consideration of the Hague Convention Letter of Request and granting the FCEA application. Motions terminated: #124 JOINT LETTER MOTION for Discovery Seeking Proposed Stipulated Order Regarding Letters of Request Relating to PricewaterhouseCoopers South Africa addressed to Magistrate Judge Debra C. Freeman from Kristen A. Lejnieks dated Nov. 13, 2018. filed by Thomas Albanese. (Signed by Magistrate Judge Debra C. Freeman on 12/4/2018) (kv)
November 19, 2018	Filing 126 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF APPEARANCE AND ORDER: re: #125 Proposed Order for Withdrawal of Attorney filed by Rio Tinto PLC, Rio Tinto Limited. ENDORSEMENT: SO ORDERED., Attorney Jane Elizabeth Bobet terminated. (Signed by Magistrate Judge Debra C. Freeman on 11/19/2018) (ama)
November 14, 2018	Filing 125 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Exhibit Bobet Declaration in Support of Notice of Withdrawal) (Bobet, Jane)
November 13, 2018	Filing 124 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - JOINT LETTER MOTION for Discovery Seeking Proposed Stipulated Order Regarding Letters of Request Relating to PricewaterhouseCoopers South Africa addressed to Magistrate Judge Debra C. Freeman from Kristen A. Lejnieks dated Nov. 13, 2018. Document filed by Thomas Albanese. (Attachments: #1 Text of Proposed Order Prop. Stip. Order regarding letters of request relating to PricewaterhouseCoopers South Africa)(Lejnieks, Kristen) Modified on 12/20/2018 (ldi).
November 13, 2018	Filing 123 NOTICE OF APPEARANCE by Geoffrey Alan David on behalf of Rio Tinto Limited, Rio Tinto PLC. (David, Geoffrey)
November 8, 2018	Filing 122 ORDER FOR ADMISSION PRO HAC VICE granting #121 Motion for Tyson Lies to Appear Pro Hac Vice. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 11/8/2018) (jca)
November 7, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #121 MOTION for Tyson Lies to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15873405. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
November 6, 2018	Filing 121 MOTION for Tyson Lies to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15873405. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Albanese. (Attachments: #1 Affidavit, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order)(Lies, Tyson)
October 23, 2018	Filing 120 ORDER FOR ADMISSION PRO HAC VICE granting #119 Motion for N. Scott Fletcher to Appear Pro Hac Vice. (Signed by Magistrate Judge Debra C. Freeman on 10/23/2018) (rj) Modified on 10/25/2018 (rj).
October 17, 2018	Filing 119 MOTION for N. Scott Fletcher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15763190. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Albanese. (Attachments: #1 Text of Proposed Order)(Fletcher, Norman)
October 17, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #119 MOTION for N. Scott Fletcher to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15763190. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
October 16, 2018	Filing 118 ORDER FOR ADMISSION PRO HAC VICE granting #117 Motion for Melissa Lim to Appear Pro Hac Vice. (Signed by Magistrate Judge Debra C. Freeman on 10/16/2018) (jca)
October 15, 2018	Filing 117 MOTION for Melissa Lim to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15747738. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Albanese. (Attachments: #1 Affidavit, #2 Exhibit Certificates of Good Standing, #3 Text of Proposed Order)(Lim Patterson, Melissa)
October 15, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #117 MOTION for Melissa Lim to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15747738. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
October 12, 2018	Filing 116 ORDER terminating #92 Letter Motion for Discovery. (This Court approved the proposed letters of request and provided the signed originals to the Clerk of Court for processing.) (HEREBY ORDERED by Magistrate Judge Debra Freeman)(Text Only Order) (Freeman, Debra)
October 9, 2018	Filing 115 ORDER FOR ADMISSION PRO HAC VICE granting #113 Motion for Jacqueline Vallette to Appear Pro Hac Vice. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 10/9/2018) (ne)
October 9, 2018	Filing 114 ORDER granting in part and denying in part #95 Letter Motion for Local Rule 37.2 Conference; denying #99 Letter Motion for Discovery; denying #100 Letter Motion for Discovery. The Court determines good cause exists for entry of an order under Federal Rule of Civil Procedure 26(c) sequestering certain witnesses from those portions of depositions taken to preserve trial testimony. The SEC's other requests are denied. The SEC has demonstrated good cause with respect to the depositions of at least some foreign non-resident witnesses in this case. At the same time, the SEC has not demonstrated good cause for sequestering witnesses from discovery depositions. Accordingly, Plaintiff's request is GRANTED IN PART and DENIED IN PART, and it is further, ORDERED that foreign non-resident witnesses shall not read the testimony given in an earlier witness deposition in this case, nor otherwise be informed about such testimony if that testimony is attributed to a specific witness, nor shall the depositions of foreign non-resident witnesses be conducted with any persons present other than the foreign non-resident witness, counsel for the foreign non-resident witness, Defendants, Defendants' counsel, Plaintiff's counsel, expert witnesses, if any, and the court reporter, videographer, officer administering oaths, any judicial officer, or any other personnel required for recording the testimony; and it is further, ORDERED that the SEC is to provide copies of this Order to all counsel for non-resident witnesses who have been identified as witnesses scheduled for deposition in this case; and it is further, ORDERED that this Order shall not apply to any portion of a foreign non-resident deposition taken for purposes of discovery, and so designated in advance by the party seeking such discovery. If a party disputes the designation of a portion of the deposition as for discovery purposes and the parties cannot in good faith resolve the dispute, the Court will rule on whether that portion of the deposition is exempt from witness sequestration. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 10/9/2018) (ne)
October 1, 2018	Filing 113 MOTION for Jacqueline Vallette to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Albanese. (Attachments: #1 Affidavit In support of Motion, #2 Exhibit Certificates of Good Standing, #3 Text of Proposed Order)(Vallette, Jacqueline)
October 1, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #113 MOTION for Jacqueline Vallette 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. (jc)
September 28, 2018	***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #111 Proposed Order was reviewed and approved as to form. (dt)
September 27, 2018	Filing 112 LETTER addressed to Magistrate Judge Debra C. Freeman from Caitlin J. Halligan dated September 27, 2018 re: proposed order on discovery issue. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Text of Proposed Order)(Halligan, Caitlin)
September 27, 2018	Filing 111 PROPOSED ORDER. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Halligan, Caitlin) Proposed Order to be reviewed by Clerk's Office staff.
September 27, 2018	Filing 110 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Discovery Hearing proceeding held on 9/17/2018 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.(aea)
September 27, 2018	Filing 109 TRANSCRIPT of Proceedings re: Discovery Hearing held on 9/17/2018 before Magistrate Judge Debra C. Freeman. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/18/2018. Redacted Transcript Deadline set for 10/29/2018. Release of Transcript Restriction set for 12/26/2018. (Attachments: #1 2nd Transcript (Went back on Record))(aea)
September 26, 2018	Filing 108 LETTER addressed to Magistrate Judge Debra C. Freeman from Thomas A. Bednar dated September 26, 2018 re: Supplemental Authority Regarding Witness Sequestration. Document filed by Securities and Exchange Commission.(Bednar, Thomas)
September 25, 2018	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #107 MOTION for Jacqueline Vallette to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15610670. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of California and Texas;. 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 24, 2018	Filing 107 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Jacqueline Vallette to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15610670. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Albanese. (Attachments: #1 Affidavit In Support of Motion for Admission Pro Hac Vice, #2 Exhibit Certificates of Good Standing, #3 Text of Proposed Order Proposed Order for Admission Pro Hac Vice)(Vallette, Jacqueline) Modified on 9/25/2018 (wb).
September 20, 2018	Filing 106 LETTER addressed to Magistrate Judge Debra C. Freeman from Caitlin J. Halligan dated September 20, 2018 re: response to the Court's request for additional authorities. Document filed by Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC.(Halligan, Caitlin)
September 17, 2018	Minute Entry for proceedings held before Magistrate Judge Debra C. Freeman: Discovery Hearing held via telephone on 9/17/2018. (aba)
September 7, 2018	Filing 105 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Zweifach, Walter Ricciardi, Peter J. Romatowski and Gregory N. Miller dated September 7, 2018 re: Joint Status Report. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Zweifach, Lawrence)
August 31, 2018	Filing 104 LETTER REPLY to Response to Motion addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 31, 2018 re: #100 LETTER MOTION for Discovery Conference addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 27, 2018. . Document filed by Securities and Exchange Commission. (Miller, Gregory)
August 31, 2018	Filing 103 LETTER REPLY to Response to Motion addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 31, 2018 re: #99 LETTER MOTION for Discovery Conference addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 27, 2018. . Document filed by Securities and Exchange Commission. (Miller, Gregory)
August 31, 2018	LETTERS ROGATORY ISSUED on August 31, 2018, and picked up by Jones Day and to obtain the testimony of PricewaterhouseCoopers Australia; and to obtain evidence in the possession of PwC in the United Kingdom, London; and to obtain the testimony of PricewaterhouseCoopers South Africa, in South Africa. (km)
August 30, 2018	Filing 102 LETTER RESPONSE to Motion addressed to Magistrate Judge Debra C. Freeman from Walter G. Ricciardi dated August 30, 2018 re: #99 LETTER MOTION for Discovery Conference addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 27, 2018. . Document filed by Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC. (Ricciardi, Walter)
August 30, 2018	Filing 101 LETTER RESPONSE in Opposition to Motion addressed to Magistrate Judge Debra C. Freeman from Jennifer L. Conn dated August 30, 2018 re: #100 LETTER MOTION for Discovery Conference addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 27, 2018. . Document filed by Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC. (Conn, Jennifer)
August 27, 2018	Filing 100 LETTER MOTION for Discovery Conference addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 27, 2018. Document filed by Securities and Exchange Commission.(Miller, Gregory)
August 27, 2018	Filing 99 LETTER MOTION for Discovery Conference addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated August 27, 2018. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Encl.1, #2 Exhibit Encl. 2, #3 Exhibit Encl. 3, #4 Exhibit Encl. 4, #5 Exhibit Encl. 5, #6 Exhibit Encl. 6, #7 Exhibit Encl. 7, #8 Exhibit Encl. 8, #9 Exhibit Encl. 9, #10 Exhibit Encl. 10)(Miller, Gregory)
August 23, 2018	Filing 98 LETTER RESPONSE to Motion addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Zweifach dated August 23, 2018 re: #95 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Debra C. Freeman from Dean M. Conway dated August 15, 2018. . Document filed by Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC. (Zweifach, Lawrence)
August 17, 2018	Filing 97 NOTICE OF APPEARANCE by Avi Weitzman on behalf of Rio Tinto Limited, Rio Tinto PLC. (Weitzman, Avi)
August 16, 2018	Filing 96 ORDER deferring ruling on #95 Letter Motion for Local Rule 37.2 Conference. Within one week of the date of this Order, Defendants are directed to inform the Court, in writing, of their positions with respect to the proposed protective order sequestering foreign, non-resident, non-party witnesses from the depositions of other such witnesses. If Defendants do not oppose the entry of such a protective order as a general matter, but object to certain terms proposed by Plaintiff, then they should make this clear in their submissions. (HEREBY ORDERED by Magistrate Judge Debra Freeman)(Text Only Order) (Freeman, Debra)
August 15, 2018	Filing 95 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Debra C. Freeman from Dean M. Conway dated August 15, 2018. Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Proposed Protective Order)(Conway, Dean)
July 31, 2018	Filing 94 DECLARATION of Kristen A. Lejnieks in Support re: #92 MOTION for Discovery Requesting International Judicial Assistance.. Document filed by Thomas Albanese. (Attachments: #1 Exhibit UK Letter of Request, #2 Exhibit Aus Letter of Request, #3 Exhibit SA Letter of Request - Hague, #4 Exhibit SA Letter of Request - Foreign Courts Evidence Act, #5 Exhibit Hughes Interview, #6 Exhibit Lambert Interview, #7 Exhibit Alfieri Email, #8 Exhibit Davies Email, #9 Exhibit Tonelli Email)(Lejnieks, Kristen)
July 31, 2018	Filing 93 MEMORANDUM OF LAW in Support re: #92 MOTION for Discovery Requesting International Judicial Assistance. . Document filed by Thomas Albanese. (Lejnieks, Kristen)
July 31, 2018	Filing 92 MOTION for Discovery Requesting International Judicial Assistance. Document filed by Thomas Albanese.(Lejnieks, Kristen)
June 25, 2018	Filing 91 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Case Management Conference proceeding held on 06/06/2018 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.(mhe)
June 25, 2018	Filing 90 TRANSCRIPT of Proceedings re: Case Management Conference held on 6/6/2018 before Magistrate Judge Debra C. Freeman. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. 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 7/16/2018. Redacted Transcript Deadline set for 7/26/2018. Release of Transcript Restriction set for 9/24/2018.(mhe)
June 6, 2018	Minute Entry for proceedings held before Magistrate Judge Debra C. Freeman: Case Management Conference held via telephone on 6/6/2018, ( Joint Status Report due by 9/7/2018). (aba)
June 5, 2018	Filing 89 LETTER addressed to Magistrate Judge Debra C. Freeman from Lawrence J. Zweifach dated June 5, 2018 re: letter in response to Plaintiff's June 4, 2018 letter. Document filed by Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC.(Zweifach, Lawrence)
June 4, 2018	Filing 88 LETTER addressed to Magistrate Judge Debra C. Freeman from Gregory N. Miller dated June 4, 2018 re: Informational Letter on Status of Discovery. Document filed by Securities and Exchange Commission.(Miller, Gregory)
May 10, 2018	Filing 87 LETTER addressed to Judge Analisa Torres from Martin Totaro dated May 10, 2018 re: Response to May 9 Supplemental Authority Letter filed by Defendants (Doc. 86). Document filed by Securities and Exchange Commission.(Totaro, Martin)
May 9, 2018	Filing 86 LETTER addressed to Judge Analisa Torres from Lawrence J. Zweifach dated May 9, 2018 re: supplemental authority. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Exhibit A- Martin v. Quartermain- Summary Order)(Zweifach, Lawrence)
May 2, 2018	Filing 85 NOTICE OF APPEARANCE by Jane Elizabeth Bobet on behalf of Rio Tinto Limited, Rio Tinto PLC. (Bobet, Jane)
May 2, 2018	Filing 84 NOTICE OF APPEARANCE by Jonathan S. Sack on behalf of Rio Tinto Limited, Rio Tinto PLC. (Sack, Jonathan)
May 2, 2018	Filing 83 NOTICE OF APPEARANCE by Jeremy H. Temkin on behalf of Rio Tinto Limited, Rio Tinto PLC. (Temkin, Jeremy)
April 2, 2018	Filing 82 PROTECTIVE ORDER:...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Magistrate Judge Debra C. Freeman on 4/2/2018) (ap)
March 26, 2018	Filing 81 REPLY MEMORANDUM OF LAW in Support re: #70 MOTION to Dismiss / NOTICE OF DEFENDANTS' CONSOLIDATED MOTION TO DISMISS THE COMPLAINT. . Document filed by Rio Tinto Limited, Rio Tinto PLC. (Kirsch, Mark)
March 19, 2018	Filing 80 MEMORANDUM OF LAW in Opposition re: #70 MOTION to Dismiss / NOTICE OF DEFENDANTS' CONSOLIDATED MOTION TO DISMISS THE COMPLAINT. . Document filed by Securities and Exchange Commission. (Miller, Gregory)
March 19, 2018	Filing 79 DECLARATION of Gregory N. Miller in Opposition re: #70 MOTION to Dismiss / NOTICE OF DEFENDANTS' CONSOLIDATED MOTION TO DISMISS THE COMPLAINT.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Miller Decl. 1-IAS 36, #2 Exhibit Miller Decl. 2-May 11, 2012 meeting notes, #3 Exhibit Miller Decl. 3-Post Effective Amend No. 1 to Rio Tinto Form F-3, #4 Exhibit Miller Decl. 4-Form F-3 Instructions, #5 Exhibit Miller Decl. 5-Oct. 9, 2012 Investor Seminar PPT, #6 Exhibit Miller Decl. 6-Aug. 8, 2012 Rio Tinto Media Release)(Miller, Gregory)
March 19, 2018	Filing 78 JOINT LETTER addressed to Magistrate Judge Debra C. Freeman from Jennifer L. Conn, Gregory N. Miller, Kristen A. Lejnieks and Theodore V. Wells, Jr. dated March 16, 2018 re: proposed protective order. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Text of Proposed Order)(Conn, Jennifer)
March 13, 2018	Filing 77 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a initial pretrial conference proceeding held on 3/6/2018 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.(rro)
March 13, 2018	Filing 76 TRANSCRIPT of Proceedings re: initial pretrial conference held on 3/6/2018 before Magistrate Judge Debra C. Freeman. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. 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 4/3/2018. Redacted Transcript Deadline set for 4/13/2018. Release of Transcript Restriction set for 6/11/2018.(rro)
March 8, 2018	Filing 75 SCHEDULING ORDER: Motions due by 9/7/2018. Fact Discovery due by 3/29/2019. Telephone Conference set for 6/6/2018 at 10:00 AM before Magistrate Judge Debra C. Freeman, and as further set forth in this order. (Signed by Magistrate Judge Debra C. Freeman on 3/8/2018) (ap) Modified on 3/9/2018 (ap).
March 6, 2018	Minute Entry for proceedings held before Magistrate Judge Debra C. Freeman: Initial Pretrial Conference held on 3/6/2018, ( Telephone Conference set for 6/6/2018 at 10:00 AM before Magistrate Judge Debra C. Freeman). (aba)
March 6, 2018	Filing 74 DECLARATION of Jennifer L. Conn in Support re: #70 MOTION to Dismiss / NOTICE OF DEFENDANTS' CONSOLIDATED MOTION TO DISMISS THE COMPLAINT.. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29, #30 Exhibit 30)(Conn, Jennifer)
March 6, 2018	Filing 73 JOINT LETTER addressed to Magistrate Judge Debra C. Freeman from Jennifer L. Conn, Thomas A. Bednar, Kristen A. Lejnieks and Walter G. Ricciardi dated March 5, 2018 re: request for a protective order. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Text of Proposed Order)(Conn, Jennifer)
March 6, 2018	Filing 72 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE #74 Declaration) - DECLARATION of JENNIFER L. CONN in Support re: #70 MOTION to Dismiss / NOTICE OF DEFENDANTS' CONSOLIDATED MOTION TO DISMISS THE COMPLAINT.. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15a, #16 Exhibit 15b, #17 Exhibit 16, #18 Exhibit 17, #19 Exhibit 18, #20 Exhibit 19, #21 Exhibit 20, #22 Exhibit 21, #23 Exhibit 22, #24 Exhibit 23, #25 Exhibit 24, #26 Exhibit 25, #27 Exhibit 26, #28 Exhibit 27, #29 Exhibit 28, #30 Exhibit 29, #31 Exhibit 30)(Conn, Jennifer) Modified on 3/8/2018 (db).
March 6, 2018	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Jennifer Laurie Conn to RE-FILE Document #69 JOINT LETTER MOTION to Seal Document / Request for Protective Order addressed to Magistrate Judge Debra C. Freeman from Jennifer L. Conn, Thomas A. Bednar, Kristen A. Lejnieks and Walter G. Ricciardi dated March 5, 2018. Use the event type Letter found under the event list Other Documents. (db)
March 5, 2018	Filing 71 MEMORANDUM OF LAW in Support re: #70 MOTION to Dismiss / NOTICE OF DEFENDANTS' CONSOLIDATED MOTION TO DISMISS THE COMPLAINT. . Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Appendix)(Kirsch, Mark)
March 5, 2018	Filing 70 MOTION to Dismiss / NOTICE OF DEFENDANTS' CONSOLIDATED MOTION TO DISMISS THE COMPLAINT. Document filed by Rio Tinto Limited, Rio Tinto PLC. Responses due by 3/19/2018(Kirsch, Mark)
March 5, 2018	Filing 69 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - JOINT LETTER MOTION to Seal Document / Request for Protective Order addressed to Magistrate Judge Debra C. Freeman from Jennifer L. Conn, Thomas A. Bednar, Kristen A. Lejnieks and Walter G. Ricciardi dated March 5, 2018. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Text of Proposed Order)(Conn, Jennifer) Modified on 3/6/2018 (db).
March 5, 2018	Filing 68 NOTICE OF APPEARANCE by Thomas A Bednar on behalf of Securities and Exchange Commission. (Bednar, Thomas)
February 28, 2018	Filing 67 ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE: granting #66 Motion for Thomas A. Bednar to Appear Pro Hac Vice. (Signed by Magistrate Judge Debra C. Freeman on 2/28/2018) (ap)
February 28, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #66 MOTION for Thomas A. Bednar to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
February 27, 2018	Filing 66 MOTION for Thomas A. Bednar to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Declaration of Thomas A. Bednar, #2 Exhibit D.C. Certificate of Good Standing, #3 Exhibit Virginia Certificate of Good Standing, #4 Text of Proposed Order)(Bednar, Thomas)
February 20, 2018	Filing 65 ORDER granting #64 Motion for KELLAM M. CONOVER to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (DN)
February 16, 2018	Filing 64 MOTION for KELLAM M. CONOVER to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14711993. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Declaration of Kellam M. Conover, #2 Exhibit A - Certificate of Good Standing - California, #3 Exhibit B - Certificate of Good Standing - District of Columbia, #4 Text of Proposed Order)(Conover, Kellam)
February 16, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #64 MOTION for KELLAM M. CONOVER to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14711993. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
February 5, 2018	Filing 63 ORDER: By March 5, 2018, Defendants shall file their motions to dismiss. By March 19, 2018, Plaintiff shall file its opposition in a brief no longer than either (1) 60 pages, if Defendants file a consolidated brief, or (2) 45 pages, if Defendants file individual briefs. By March 26, 2018, Defendants shall file either (1) a consolidated reply no longer than 30 pages, or (2) individual replies no longer than 8 pages each. (As further set forth in this Order.) (Motions due by 3/5/2018., Responses due by 3/19/2018, Replies due by 3/26/2018.) (Signed by Judge Analisa Torres on 2/5/2018) (cf)
February 1, 2018	Filing 62 NOTICE OF APPEARANCE by Livia Fine on behalf of Guy Robert Elliott. (Fine, Livia)
January 29, 2018	Filing 61 ORDER granting #59 Motion for Martin Totaro to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (DN)
January 26, 2018	Filing 60 SCHEDULING ORDER: Initial Conference set for 3/6/2018 at 11:00 AM in Courtroom 17A, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Debra C. Freeman; and as further set forth in this Order. SO ORDERED. (Signed by Magistrate Judge Debra C. Freeman on 1/26/2018) (anc)
January 26, 2018	Filing 59 MOTION for Martin Totaro to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit, #2 Exhibit, #3 Text of Proposed Order)(Totaro, Martin)
January 26, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #59 MOTION for Martin Totaro 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. (ma)
January 25, 2018	Filing 58 NOTICE OF APPEARANCE by Kristen Allyssa Lejnieks on behalf of Thomas Albanese. (Lejnieks, Kristen)
January 23, 2018	Filing 57 LETTER addressed to Judge Analisa Torres from Gregory N. Miller dated Jan. 23, 2018 re: Response to Elliott Jan.16 Pre-Motion Letter. Document filed by Securities and Exchange Commission.(Miller, Gregory)
January 23, 2018	Filing 56 LETTER addressed to Judge Analisa Torres from Gregory N. Miller dated Jan. 23, 2018 re: Response to Albanese Jan. 16 Pre-Motion Letter. Document filed by Securities and Exchange Commission.(Miller, Gregory)
January 23, 2018	Filing 55 LETTER addressed to Judge Analisa Torres from Gregory N. Miller dated Jan. 23, 2018 re: Response to Rio Tinto Jan. 16 Pre-Motion Letter. Document filed by Securities and Exchange Commission.(Miller, Gregory)
January 16, 2018	Filing 54 LETTER addressed to Judge Analisa Torres from Peter J. Romatowski dated January 16, 2018 re: pre-motion letter for anticipated motion to dismiss. Document filed by Thomas Albanese.(Romatowski, Peter)
January 16, 2018	Filing 53 LETTER addressed to Judge Analisa Torres from Walter G. Ricciardi dated 1/16/18 re: Pre-Motion Letter. Document filed by Guy Robert Elliott.(Ricciardi, Walter)
January 16, 2018	Filing 52 LETTER addressed to Judge Analisa Torres from Lawrence J. Zweifach dated January 16, 2018 re: pre-motion letter for anticipated motion to dismiss. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Zweifach, Lawrence)
January 11, 2018	Filing 51 NOTICE OF APPEARANCE by David Ronald Woodcock on behalf of Thomas Albanese. (Woodcock, David)
December 20, 2017	Filing 50 ORDER granting #49 Motion for David Ronald Woodcock to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (DN)
December 20, 2017	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #49 FIRST MOTION for David Ronald Woodcock to Appear Pro Hac Vice on behalf of Tom Albanese. Filing fee $ 200.00, receipt number 0208-14493598. Motion and supporting papers to be reviewed by Clerk's Office staff.>/FO. The document has been reviewed and there are no deficiencies. (bcu)
December 19, 2017	Filing 49 FIRST MOTION for David Ronald Woodcock to Appear Pro Hac Vice on behalf of Tom Albanese. Filing fee $ 200.00, receipt number 0208-14493598. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Albanese. (Attachments: #1 Affidavit Affidavit of David Woodcock in Support of Motion for Admission Pro Hac Vice, #2 Exhibit Certificate of Good Standing from the District of Columbia Court of Appeals for David Woodcock, #3 Exhibit Certificate of Good Standing from the Supreme Court of Texas for David Woodcock, #4 Text of Proposed Order Proposed Order for Admission Pro Hac Vice)(Woodcock, David)
December 15, 2017	NOTICE OF REASSIGNMENT OF A REFERRAL TO ANOTHER MAGISTRATE JUDGE. The referral in the above entitled action has been reassigned to Magistrate Judge Debra C. Freeman, for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Magistrate Judge Gabriel W. Gorenstein no longer referred to the case. (wb)
December 15, 2017	NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Debra Freeman. Please note that this is a reassignment of the designation only. (wb)
December 14, 2017	Filing 48 ORDER: Having referred the case to the Honorable Gabriel W. Gorenstein for general pretrial, the initial pretrial conference scheduled for December 20, 2017 is ADJOURNED sine die. (Signed by Judge Analisa Torres on 12/14/2017) (cf)
December 14, 2017	Filing 47 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Gabriel W. Gorenstein. (Signed by Judge Analisa Torres on 12/14/2017) (cf)
December 13, 2017	Filing 46 NOTICE OF APPEARANCE by Peter J. Romatowski on behalf of Thomas Albanese. (Romatowski, Peter)
December 13, 2017	Filing 45 LETTER addressed to Judge Analisa Torres from Gregory N. Miller dated December 13, 2017 re: Joint Status Letter. Document filed by Securities and Exchange Commission.(Miller, Gregory)
December 12, 2017	Filing 44 ORDER granting #43 Motion for Dean Michael Conway to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (DN)
December 12, 2017	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #43 MOTION for Dean Michael Conway 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)
December 11, 2017	Filing 43 MOTION for Dean Michael Conway to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Declaration of Dean M. Conway, #2 Exhibit A: Certificates of Good Standing for District of Columbia and State of Florida, #3 Text of Proposed Order)(Conway, Dean)
December 7, 2017	Filing 42 NOTICE OF APPEARANCE by Geoffrey Rogers Chepiga on behalf of Guy Robert Elliott. (Chepiga, Geoffrey)
December 7, 2017	Filing 41 NOTICE OF APPEARANCE by Walter G. Ricciardi on behalf of Guy Robert Elliott. (Ricciardi, Walter)
December 7, 2017	Filing 40 NOTICE OF APPEARANCE by Theodore Von Wells, Jr on behalf of Guy Robert Elliott. (Wells, Theodore)
November 27, 2017	Filing 39 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Shining Prospect Pte. Ltd, Other Affiliate Aluminum Corporation of China Limited for Rio Tinto PLC. Document filed by Rio Tinto PLC.(Zweifach, Lawrence)
November 27, 2017	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Lawrence Jay Zweifach to RE-FILE Document #36 Rule 7.1 Corporate Disclosure Statement. ERROR(S): Corporate Parents were not added. Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). YOU MUST SELECT THE SEARCH BUTTON. Select the correct name or create a new corporate parent. Add the Corporate Parent(s) or Affiliate(s) one party name at a time. (lb)
November 22, 2017	Filing 38 NOTICE OF CHANGE OF ADDRESS by Michael Springer on behalf of Rio Tinto Limited, Rio Tinto PLC. New Address: Gibson, Dunn & Crutcher LLP, 200 Park Avenue, New York, New York, USA 10166, 212-351-4000. (Springer, Michael)
November 22, 2017	Filing 37 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Rio Tinto Limited.(Zweifach, Lawrence)
November 22, 2017	Filing 36 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Rio Tinto PLC.(Zweifach, Lawrence) Modified on 11/27/2017 (lb).
November 22, 2017	Filing 35 NOTICE OF APPEARANCE by Michael Springer on behalf of Rio Tinto Limited, Rio Tinto PLC. (Springer, Michael)
November 22, 2017	Filing 34 NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of Rio Tinto Limited, Rio Tinto PLC. (Kirsch, Mark)
November 22, 2017	Filing 33 NOTICE OF APPEARANCE by Lawrence Jay Zweifach on behalf of Rio Tinto Limited, Rio Tinto PLC. (Zweifach, Lawrence)
November 22, 2017	Filing 32 NOTICE OF APPEARANCE by Jennifer Laurie Conn on behalf of Rio Tinto Limited, Rio Tinto PLC. (Conn, Jennifer)
November 22, 2017	Filing 31 NOTICE OF APPEARANCE by Caitlin Joan Halligan on behalf of Rio Tinto Limited, Rio Tinto PLC. (Halligan, Caitlin)
November 20, 2017	Filing 30 NOTICE OF CHANGE OF ADDRESS by Richard W. Grime on behalf of Rio Tinto Limited, Rio Tinto PLC. New Address: Gibson, Dunn & Crutcher LLP, 1050 Connecticut Avenue, NW, Washington, D.C., District of Columbia, USA 20036, 202-955-8500. (Grime, Richard)
November 15, 2017	Filing 29 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Dean M. Conway to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Declaration of Dean M. Conway, #2 Exhibit A: Certificates of Good Standing, #3 Text of Proposed Order)(Conway, Dean) Modified on 11/15/2017 (wb).
November 15, 2017	Filing 28 ORDER granting #25 Motion for Gregory Nelson Miller to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (DN)
November 15, 2017	Filing 27 ORDER granting #24 Motion for Richard W. Grime to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (DN)
November 15, 2017	Filing 26 ORDER granting #23 Motion for Alexander W. Mooney to Appear Pro Hac Vice (HEREBY ORDERED by Judge Analisa Torres)(Text Only Order) (DN)
November 15, 2017	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #25 MOTION for Gregory Nelson Miller 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)
November 15, 2017	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #2 Civil Cover Sheet, #29 MOTION for Dean M. Conway to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Florida;. 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)
November 14, 2017	Filing 25 MOTION for Gregory Nelson Miller to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. Return Date set for 11/17/2017 at 09:00 AM. (Attachments: #1 Affidavit Decl. of Gregory N. Miller, #2 Exhibit 1-Fla Sup Ct Cert of Good Standing, #3 Exhibit 2-Va Sup Ct Cert of Good Standing, #4 Text of Proposed Order Granting Pro Hac Motion)(Miller, Gregory)
November 13, 2017	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #24 MOTION for RICHARD W. GRIME to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14351212. Motion and supporting papers to be reviewed by Clerk's Office staff., #23 MOTION for ALEXANDER W. MOONEY to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14351181. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
November 10, 2017	Filing 24 MOTION for RICHARD W. GRIME to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14351212. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Declaration of Richard W. Grime, #2 Exhibit A - Certificate of Good Standing, District of Columbia, #3 Text of Proposed Order)(Grime, Richard)
November 10, 2017	Filing 23 MOTION for ALEXANDER W. MOONEY to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14351181. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Rio Tinto Limited, Rio Tinto PLC. (Attachments: #1 Declaration of Alexander W. Mooney, #2 Exhibit A - Certificate of Good Standing, District of Columbia, #3 Exhibit B - Certificate of Good Standing, New York, #4 Text of Proposed Order)(Mooney, Alexander)
November 3, 2017	Filing 22 ORDER granting #21 Letter Motion for Extension of Time to Answer. GRANTED. Thomas Albanese answer due 1/16/2018; Guy Robert Elliott answer due 1/16/2018; Rio Tinto Limited answer due 1/16/2018; Rio Tinto PLC answer due 1/16/2018 (Signed by Judge Analisa Torres on 11/3/2017) (cf)
November 2, 2017	Filing 21 LETTER MOTION for Extension of Time to File Answer re: #1 Complaint - requested by all defendants addressed to Judge Analisa Torres from Lawrence J. Zweifach dated November 2, 2017. Document filed by Rio Tinto Limited, Rio Tinto PLC.(Zweifach, Lawrence)
November 2, 2017	Filing 20 WAIVER OF SERVICE RETURNED EXECUTED. Guy Robert Elliott waiver sent on 10/18/2017, answer due 12/18/2017. Document filed by Securities and Exchange Commission. (Cave, David)
November 2, 2017	Filing 19 WAIVER OF SERVICE RETURNED EXECUTED. Rio Tinto Limited waiver sent on 10/18/2017, answer due 12/18/2017; Rio Tinto PLC waiver sent on 10/18/2017, answer due 12/18/2017. Document filed by Securities and Exchange Commission. (Cave, David)
October 25, 2017	Filing 18 WAIVER OF SERVICE RETURNED EXECUTED. Thomas Albanese waiver sent on 10/17/2017, answer due 12/18/2017. Document filed by Securities and Exchange Commission. (Cave, David)
October 20, 2017	Filing 17 ORDER: To conserve resources, to promote judicial efficiency, and in an effort to achieve a faster disposition of this matter, it is hereby ORDERED that the parties discuss whether they are willing to consent, under 28 U.S.C. 636(c), to conducting all further proceedings before the assigned Magistrate Judge. If any party does not consent to conducting all further proceedings before the assigned Magistrate Judge, the parties must file a joint letter, by December 13, 2017, advising the Court that the parties do not consent, but without disclosing the identity of the party or parties who do not consent. The parties are free to withhold consent without negative consequences. (As further set forth in this Order.) (Signed by Judge Analisa Torres on 10/20/2017) (cf)
October 20, 2017	Filing 16 INITIAL PRETRIAL CONFERENCE ORDER: Initial Conference set for 12/20/2017 at 10:20 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 10/20/2017) (cf)
October 19, 2017	Filing 15 ELECTRONIC SUMMONS ISSUED as to Rio Tinto PLC. (vf)
October 19, 2017	Filing 14 ELECTRONIC SUMMONS ISSUED as to Rio Tinto Limited. (vf)
October 19, 2017	Filing 13 ELECTRONIC SUMMONS ISSUED as to Guy Robert Elliott. (vf)
October 19, 2017	Filing 12 ELECTRONIC SUMMONS ISSUED as to Thomas Albanese. (vf)
October 18, 2017	Filing 11 REQUEST FOR ISSUANCE OF SUMMONS as to Rio Tinto plc, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David)
October 18, 2017	Filing 10 REQUEST FOR ISSUANCE OF SUMMONS as to Rio Tinto Limited, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David)
October 18, 2017	Filing 9 REQUEST FOR ISSUANCE OF SUMMONS as to Guy Robert Elliott, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David)
October 18, 2017	Filing 8 REQUEST FOR ISSUANCE OF SUMMONS as to Thomas Albanese, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David)
October 18, 2017	Filing 7 NOTICE OF CHANGE OF ADDRESS by David Mark Cave on behalf of Securities and Exchange Commission. New Address: U.S. Securities and Exchange Commission, 100 F Street, N.E., Division of Enforcement, Washington, DC, USA 20549, 202-551-4694. (Cave, David)
October 18, 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)
October 18, 2017	Magistrate Judge Gabriel W. Gorenstein 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)
October 18, 2017	Case Designated ECF. (kl)
October 18, 2017	***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney David Mark Cave to RE-FILE Document No. #6 Request for Issuance of Summons, #4 Request for Issuance of Summons, #5 Request for Issuance of Summons, #3 Request for Issuance of Summons. The filing is deficient for the following reason(s): PARTY U.S. SECURITIES AND EXCHANGE COMMISSION IS INCORRECT. PARTY MUST MATCH HOW IT APPEARS ON THE CAPTION OF THE INITIAL PLEADING. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (kl)
October 17, 2017	Filing 6 FILING ERROR - DEFICIENT SUMMONS REQUEST - PARTY NAME/CAPTION ERROR REQUEST FOR ISSUANCE OF SUMMONS as to Rio Tinto plc, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David) Modified on 10/18/2017 (kl).
October 17, 2017	Filing 5 FILING ERROR - DEFICIENT SUMMONS REQUEST - PARTY NAME/CAPTION ERROR REQUEST FOR ISSUANCE OF SUMMONS as to Rio Tinto Limited, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David) Modified on 10/18/2017 (kl).
October 17, 2017	Filing 4 FILING ERROR - DEFICIENT SUMMONS REQUEST - PARTY NAME/CAPTION ERROR REQUEST FOR ISSUANCE OF SUMMONS as to Guy Elliott, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David) Modified on 10/18/2017 (kl).
October 17, 2017	Filing 3 FILING ERROR - DEFICIENT SUMMONS REQUEST - PARTY NAME/CAPTION ERROR REQUEST FOR ISSUANCE OF SUMMONS as to Thomas Albanese, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Cave, David) Modified on 10/18/2017 (kl).
October 17, 2017	Filing 2 CIVIL COVER SHEET filed. (Cave, David)
October 17, 2017	Filing 1 COMPLAINT against Thomas Albanese, Guy Robert Elliott, Rio Tinto Limited, Rio Tinto PLC. Document filed by Securities and Exchange Commission.(Cave, David)

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Search for this case: Securities and Exchange Commission v. Rio Tinto PLC et al
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Defendant: Thomas Albanese
Represented By:	Norman Scott Fletcher
Represented By:	Peter J. Romatowski
Represented By:	Tyson Mark Lies
Represented By:	David Ronald Woodcock
Represented By:	Jacqueline Vallette
Represented By:	Kristen Allyssa Lejnieks
Represented By:	Melissa Lim Patterson
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Defendant: Guy Robert Elliott
Represented By:	Theodore Von Wells, Jr
Represented By:	Livia Fine
Represented By:	Walter G. Ricciardi
Represented By:	Geoffrey Rogers Chepiga
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Defendant: Rio Tinto Limited
Represented By:	Avi Weitzman
Represented By:	Michael Springer
Represented By:	Jonathan S. Sack
Represented By:	Aric Hugo Wu
Represented By:	Kellam Conover
Represented By:	Alexander W. Mooney
Represented By:	Caitlin Joan Halligan
Represented By:	Jeremy H. Temkin
Represented By:	Mark Adam Kirsch
Represented By:	Jane Elizabeth Bobet
Represented By:	Richard W. Grime
Represented By:	Jennifer Laurie Conn
Represented By:	Geoffrey Alan David
Represented By:	Lawrence Jay Zweifach
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Defendant: Rio Tinto PLC
Represented By:	Avi Weitzman
Represented By:	Michael Springer
Represented By:	Jonathan S. Sack
Represented By:	Aric Hugo Wu
Represented By:	Kellam Conover
Represented By:	Alexander W. Mooney
Represented By:	Caitlin Joan Halligan
Represented By:	Jeremy H. Temkin
Represented By:	Mark Adam Kirsch
Represented By:	Jane Elizabeth Bobet
Represented By:	Richard W. Grime
Represented By:	Jennifer Laurie Conn
Represented By:	Geoffrey Alan David
Represented By:	Lawrence Jay Zweifach
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Plaintiff: Securities and Exchange Commission
Represented By:	David Mark Cave
Represented By:	Dean Michael Conway
Represented By:	Gregory Nelson Miller
Represented By:	Martin Totaro
Represented By:	Thomas A Bednar
Represented By:	Fernando Campoamor Sanchez
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