Gotham Diversified Neutral Master Fund, LP et al v. Chicago Bridge & Iron Company N.V. et al
| Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Diversified Neutral Master Fund, LP, Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Neutral Fund, Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Penguin Fund, LP and Gotham Targeted Neutral Master Fund, LP |
| Westley S. Stockton, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V. and Philip K. Asherman |
| 1:2018cv09927 |
| October 26, 2018 |
| US District Court for the Southern District of New York |
| Lorna G Schofield |
| Securities/Commodities |
| Both |
Docket Report
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Filing 71
Objection re: (45 in 1:19-cv-01750-LGS, 76 in 1:18-cv-09928-LGS, 70 in 1:18-cv-09927-LGS) Suggestion of Bankruptcy, . Document filed by Appaloosa Investment L.P. I, CB LITIGATION RECOVERY I, LLC, Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP, Appaloosa Investment L.P. I, Appaloosa Investment L.P. I, Palomino Master Ltd.. Filed In Associated Cases: 1:18-cv-09927-LGS, 1:18-cv-09928-LGS, 1:19-cv-01750-LGS(Rolnick, Lawrence)
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Filing 70
SUGGESTION OF BANKRUPTCY upon the record for McDermott International, Inc. and Certain of its Affiliates and Notice of Automatic Stay of Proceedings. Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton (Attachments: #1 Exhibit A, #2 Exhibit B)Filed In Associated Cases: 1:18-cv-09927-LGS, 1:18-cv-09928-LGS, 1:19-cv-01750-LGS(Sterling, David)
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Filing 69
SPECIAL MASTER ORDER #7: On balance, defendants have met their burden. This is a very complex cases with millions of dollars at stake and many difficult issues on which expert testimony will be helpful. Given the amount of resources already expended during the discovery phase, an additional deposition or two is not a great burden or expense when taken in context. For these reasons, I conclude that a second deposition of the expert following each report should be permitted. SO ORDERED. (Signed by Judge Lorna G. Schofield on 12/9/2019) (rro)
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Filing 68
SPECIAL MASTER REPORT AND RECOMMENDATION REGARDING CLASS CERTIFICATION AND APPOINTMENT OF CLASS REPRESENTATIVES AND CLASS COUNSEL: In accordance with that rationale, Defendants have only been able to prove, by a preponderance of the evidence, the absence of price impact as to misrepresentations #8-10, and have also proved that corrective disclosure #7 failed to provide any new information to the market.270 As to all of the others, the Defendants have failed to carry their burden. As a result, Plaintiffs have satisfied the predominance requirement. For all of these reasons I again respectfully recommend that the Motion be granted. A class should be certified for the period October 30, 2013 through and including June 23, 2015;271 ALSAR Ltd. Partnership and Ironworkers Local 40, 361, and 417 Union Security Funds and Iron Workers Local 580 Joint Funds should be appointed as class representatives; and Kahn Swick & Foti should be appointed as class counsel. (As further set forth in this Order.) (Signed by Judge Shira A. Scheindlin on 10/16/2019) (cf) Modified on 10/23/2019 (cf). Modified on 11/20/2019 (cf).
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Filing 67
ORDER: ORDERED that the Clerk of Court shall consolidate case 18 Civ. 9927 (as lead case for the Direct Actions) with cases 18 Civ. 9928 and 19 Civ. 1750. All filings made after the issuance of this Order in connection with the Direct Actions shall be entered in the docket of the lowest-numbered case, 18 Civ. 9927. After consolidation, the Clerk of Court shall amend the caption of this consolidated action to be: Gotham Diversified Neutral Master Fund, LP, et al. v. Chicago Bridge & Iron Company N.V. The Clerk of Court is further directed to close the higher-numbered cases, 18 Civ. 9928 and 19 Civ. 1750. It is further ORDERED that this consolidated action is stayed pending a determination of the motion for class certification -- currently referred to Special Master Scheindlin -- by this Court. It is further ORDERED that, following a decision by this Court on the motion for class certification, the parties shall submit a joint letter, not to exceed two pages, with proposed next steps, if any, for this consolidated action. (As further set forth in this Order.) (Signed by Judge Lorna G. Schofield on 10/16/2019) Filed In Associated Cases: 1:18-cv-09927-LGS, 1:18-cv-09928-LGS, 1:19-cv-01750-LGS(cf)
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Minute Entry for proceedings held before Judge Lorna G. Schofield: Initial Pretrial Conference held on 10/15/2019. (jcs)
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Filing 66
AMENDED ANSWER to #1 Complaint,,, with JURY DEMAND. Document filed by Ronald A. Ballschmiede. (Leahy, James)
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Filing 65
STIPULATION AND ORDER REGARDING STAY: IT IS HEREBY STIPULATED AND AGREED, by and among the undersigned counsel for the parties, as follows: All discovery and other pretrial proceedings in the Direct Actions are hereby stayed until 30 days after entry of an order on any motions for summary judgment filed by Defendants in the Class Action, or an order resolving the Class Action, whichever occurs sooner. Fact discovery taken in the Class Action shall be deemed as if taken in the Direct Actions. (As further set forth in this Order.) Plaintiffs are not waiving any rights, subject to the stay. (Signed by Judge Lorna G. Schofield on 10/3/2019) (cf)
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Filing 64
LETTER addressed to Judge Lorna G. Schofield from David D. Sterling and James R. Leahy dated October 2, 2019 re: Response to the Courts September 18, 2019 Order. Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton.(Sterling, David)
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Filing 63
LETTER addressed to Judge Lorna G. Schofield from Thomas E. Redburn, Jr. dated October 2, 2019 re: the Courts September 18, 2019 Order. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Attachments: #1 Text of Proposed Order - Stipulation and Order)(Redburn, Thomas)
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Filing 62
ORDER: WHEREAS, on September 13, 2019, Defendants filed an answer to Plaintiffs' complaint in each of the CB, Gotham and Appaloosa Actions; it is hereby ORDERED that by October 2, 2019, the parties shall file three letters one from the CB, Gotham and Appaloosa Plaintiffs, collectively; one from the Class Plaintiffs and one from Defendants. The letters shall state the parties respective positions on (1) consolidation or coordination of the actions with each other and/or the Class Action, (2) referral of any or all of the actions to Special Master Scheindlin and (3) any other proposals for next steps. It is further ORDERED that counsel in the remaining related cases -- the Class Action, the Gotham Action, the Appaloosa Action and the CB Action -- shall attend a conference (already scheduled as an initial pretrial conference in the CB Action) at 10:40 a.m. on October 15, 2019, to discuss the progress of these matters. (As further set forth in this Order.) (Initial Conference set for 10/15/2019 at 10:40 AM before Judge Lorna G. Schofield.) (Signed by Judge Lorna G. Schofield on 9/18/2019) (cf)
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Filing 61
ANSWER to #1 Complaint,,, with JURY DEMAND. Document filed by Philip K. Asherman, Chicago Bridge & Iron Company N.V., Westley S. Stockton.(Sterling, David)
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Filing 60
ANSWER to #1 Complaint,,, with JURY DEMAND. Document filed by Ronald A. Ballschmiede.(Leahy, James)
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Filing 59
ORDER granting #58 Letter Motion for Extension of Time to Answer re #1 Complaint. Application GRANTED. The deadline to respond to the Complaint is hereby extended from September 6 to September 13, 2019. Philip K. Asherman answer due 9/13/2019; Ronald A. Ballschmiede answer due 9/13/2019; Chicago Bridge & Iron Company N.V. answer due 9/13/2019; Westley S. Stockton answer due 9/13/2019. (Signed by Judge Lorna G. Schofield on 9/4/2019) (kv)
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Filing 58
CONSENT LETTER MOTION for Extension of Time to File Answer to Plaintiffs Complaints addressed to Judge Lorna G. Schofield from David D. Sterling dated September 3, 2019. Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton.(Sterling, David)
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Filing 57
OPINION AND ORDER re: (39 in 1:18-cv-09927-LGS) MOTION to Dismiss with Prejudice Pursuant to Rule 12(b)(6). filed by Westley S. Stockton, Chicago Bridge & Iron Company N.V., Philip K. Asherman, Ronald A. Ballschmiede, (45 in 1:18-cv-09928-LGS) MOTION to Dismiss with Prejudice Pursuant to Rule 12(b)(6). filed by Westley S. Stockton, Chicago Bridge & Iron Company N.V., Philip K. Asherman, Ronald A. Ballschmiede. For the foregoing reasons, Defendants partial motion to dismiss is GRANTED as to the 18 claim and DENIED as to the common law fraud claim. The Clerk of Court is respectfully directed to close the motion at Docket Number 39 in 19 Civ. 9927 and Docket Number 45 in 19 Civ. 9928. (As further set forth in this Order.) (Signed by Judge Lorna G. Schofield on 8/23/2019) (cf)
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Filing 56
SPECIAL MASTER ORDER # 5: The first round of in camera privilege review resulted in Special Master Order #3, issued on or about April 23, 2019. The parties agreed to apply those rulings to the remaining document productions. Nonetheless, the Plaintiffs challenged approximately 53 documents that Defendants then submitted for in camera review. I have now completed my review of those documents. Set forth below is a list of the rulings on each docun1ent and attached hereto as Exhibit A is a narrative description of the reasoning supporting each ruling. I note, however, that in a few instances (marked with an asterisk) I would consider further argument if either party wishes reconsideration of those particular rulings. (As further set forth in this Order.) (Signed by Special Master Shira Scheindlin on 7/17/2019) (cf)
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Filing 55
SPECIAL MASTER ORDER #6: The first round of in camera privilege review resulted in Special Master Order #3, issued on or about April 23, 2019. The parties agreed to apply those rulings to the re1naining docu1nent productions. The second and third round of privilege review resulted in the in camera review of an additional 53 docun1ents. That review resulted in Special Master Order # 5, issued on or about July 17, 2019. I have now completed my review of the final round of in camera review. Set forth below is a list of the rulings on each docu1nent with an occasional brief explanation relating to that ruling. (As further set forth in this Order.) (Signed by Special Master Shira Scheindlin on 8/15/2019) (cf)
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Filing 54
SPECIAL MASTER ORDER # 4: The first round of in camera privilege review resulted in Special Master Order #3, issued on or about April 23, 2019. The parties agreed to apply those rulings to the remaining document productions. Nonetheless, the Plaintiffs challenged approximately 53 documents that Defendants then submitted for in camera review. I have now completed my review of those documents. Set forth below is a list of the rulings on each document and attached hereto as Exhibit A is a narrative description of the reasoning supporting each ruling. I note, however, that in a few instances (marked with an asterisk) I would consider further argument if either party wishes reconsideration of those particular rulings. (As further set forth in this Order.) (Signed by Judge Shira A. Scheindlin, Special Master on 7/17/2019) (cf)
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Filing 53
SPECIAL MASTER ORDER #3: With these guiding principles in mind I reviewed each of the documents submitted in camera. The individual rulings are set forth in Exhibit A. Defendants are directed to immediately produce the documents (or the portions of documents) that I have determined are not privileged, subject only to a request for very limited reconsideration by either party in the event a party concludes that there has been a serious mistake of fact or law. Defendants are also reminded that it is now their obligation to apply these rulings and the enunciated principles of law to the remainder of the privilege log. (As further set forth in this Order.) (Signed by Judge Shira A. Scheindlin on 4/24/2019) (cf)
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Filing 52
REPLY MEMORANDUM OF LAW in Support re: #39 MOTION to Dismiss with Prejudice Pursuant to Rule 12(b)(6). . Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Sterling, David)
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Filing 51
MEMORANDUM OF LAW in Opposition re: #39 MOTION to Dismiss with Prejudice Pursuant to Rule 12(b)(6). . Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Rolnick, Lawrence)
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Filing 50
NOTICE OF APPEARANCE by Jennifer Ann Randolph on behalf of Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Randolph, Jennifer)
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Filing 49
SPECIAL MASTER ORDER #2, Because none of the issues discussed at the hearing raised dispositive issues, all of the issues are resolved by this Order rather than by a Report and Recommendation. Of the roughly 1200 documents removed by Respondents from the Privilege Log, Plaintiffs will identify which documents they request that Defendants review once again by March 6, 2019. Defendants must complete that review and advise Plaintiffs of the result by March 13, 2019. Of the roughly 3,000 documents where Defendants provided a description of the alleged privilege (beyond the previous reliance solely on metadata), Plaintiffs will identify those documents as to which they request a further description of alleged privilege by March 13, 2019. Defendants must respond by March 27, 2019. The Special Master will conduct an in camera review of a 5 to 10 percent sampling of the documents as to which Plaintiffs challenge the assertion of privilege. Once the sample is identified, Defendants are to provide those documents to the Special Master in un-redacted form. Plaintiffs and Defendants may submit a short letter stating their position with respect to the assertion of privilege or to subject matter waiver. Obviously, Plaintiffs will not have the benefit of reviewing the content of the redacted or withheld documents. The Defendants may produce a redacted letter to Plaintiffs if the full content of the letter would reveal privileged information. The Special Master will make every effort to provide rulings on the documents reviewed in camera by April 8, 2019. Ten days after receipt of the Special Master's ruling on the sample set, Defendants must apply those rulings to the remainder of the withheld or redacted documents and supplement their production of documents accordingly. Plaintiffs will submit 12 to 15 unique letters to the Special Master on the subject matter waiver issue by March 4, 2019. Counsel will provide the Special Master with a schedule of depositions. Counsel may bring any dispute that arises during depositions to the attention of the Special Master by telephone, email or a letter, whichever he or she deems appropriate. Plaintiffs must make any objections to the Phase 2 Privilege Log (which is due March 15, 2019), on or before March 21, 2019. Defendants must respond by April 4, 2019. If no attorney is identified with respect to any entry on the Log, Defendants must provide a description of the person that would support the claim of privilege (e.g. accountant, interpreter, regulator, etc.) and as further set forth in this Order. Defendants will review their files to determine if they can locate any correspondence with the vendor that hosted the Georgia Power databases to determine if there is any indication as to the vendor's general practice regarding the disposition of a database at the conclusion of an assignment. A response to the search must be submitted by March 8, 2019. If still not satisfied with the results of the search, Plaintiffs may take a one hour telephone deposition of the vendor pursuant to a Rule 45 subpoena, which will not be counted against the cap on the number of depositions, limited to the issue of the vendor's standard practice on preservation of documents or databases at the conclusion of an assignment. With respect to the Validation Protocol, Plaintiffs will identify which custodians are to be prioritized for review (identifying no more than 5 custodians) by March 13, 2019. Defendants must respond by March 29, 2019. If documents are identified as responsive, Defendants must produce those documents as soon as possible. The next conference with the Special Master will be held on April 10, 2019 at 10:30 a.m. An agenda should be submitted in advance of the conference. The parties are reminded that they may request the assistance of the Special Master at any time prior to that date should they need such assistance. So Ordered. (Status Conference set for 4/10/2019 at 10:30 AM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 3/6/19) (yv)
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Filing 48
NOTICE OF APPEARANCE by Nicole Shirley Bakare on behalf of Ronald A. Ballschmiede. (Bakare, Nicole)
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Filing 47
NOTICE OF APPEARANCE by James Russell Leahy on behalf of Ronald A. Ballschmiede. (Leahy, James)
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Filing 46
ORDER granting #32 Motion for James R. Leahy to Appear Pro Hac Vice; granting #37 Motion for Rebeca A. Huddle to Appear Pro Hac Vice; and granting #42 Motion for Nicole S. Bakare to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs) Modified on 2/1/2019 (jcs).
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Filing 45
SPECIAL MASTER AMENDED ORDER #1: The parties have agreed to the following briefing schedule forPlaintiffs' anticipated motion for class certification: Movingpapers February 4, 2019; Opposition April 9, 2019; Reply May31, 2019, Surreply if Plaintiffs do not address price impact intheir opening brief July 2, 2019. The parties will meet and confer to adopt a discovery schedule with respect to the issue of class certification. The discovery cut off is extended to August 30, 2019. This date will only be further extended if a party can show very good cause for one final extension. The next conference with the Special Master is scheduled for March 1, 2019 at 10:30 a.m. The parties are reminded that they may request the assistance of the Special Master at any time prior to that date should they need such assistance. (As further set forth in this Order.) (Discovery due by 8/30/2019., Motions due by 2/4/2019., Responses due by 4/9/2019, Replies due by 5/31/2019., Surreplies due by 7/2/2019., Status Conference set for 3/1/2019 at 10:30 AM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 1/30/2019) (cf)
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Filing 44
MEMO ENDORSEMENT granting #43 Motion to Withdraw as Attorney. ENDORSEMENT: Application GRANTED. Attorney Douglas W Henkin terminated (Signed by Judge Lorna G. Schofield on 1/31/2019) (cf)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #42 MOTION for Nicole S. Bakare to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16268008. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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Filing 43
MOTION for Douglas W. Henkin to Withdraw as Attorney . Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton.(Sterling, David)
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Filing 42
MOTION for Nicole S. Bakare to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16268008. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ronald A. Ballschmiede. (Attachments: #1 Affidavit of Nicole S. Bakare, #2 Exhibit A - Certificate of Good Standing, #3 Text of Proposed Order Granting Pro Hac Vice Admission)(Bakare, Nicole)
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Filing 41
DECLARATION of Amy Pharr Hefley in Support re: #39 MOTION to Dismiss with Prejudice Pursuant to Rule 12(b)(6).. Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Sterling, David)
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Filing 40
MEMORANDUM OF LAW in Support re: #39 MOTION to Dismiss with Prejudice Pursuant to Rule 12(b)(6). . Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Sterling, David)
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Filing 39
MOTION to Dismiss with Prejudice Pursuant to Rule 12(b)(6). Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton. Responses due by 3/15/2019(Sterling, David)
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Filing 38
MEMO ENDORSEMENT on re: #36 Letter, filed by Gotham Penguin Fund, LP, Gotham Customized Strategies II, LP, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Targeted Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Diversified Neutral Master Fund, LP, Gotham Neutral Fund, Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Absolute Return Fund. ENDORSEMENT: Defendants shall file their motion to dismiss on January 29, 2019. Plaintiffs' opposition shall be filed no later than March 15, 2019. Defendants' reply shall be filed by April 15, 2019. SO ORDERED. (Signed by Judge Lorna G. Schofield on 1/28/2019) ( Motions due by 1/29/2019., Responses due by 3/15/2019, Replies due by 4/15/2019.) (ks)
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Filing 37
MOTION for Rebeca A. Huddle to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16251101. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Philip K. Asherman, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Attachments: #1 Text of Proposed Order)(Huddle, Rebeca)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #37 MOTION for Rebeca A. Huddle to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16251101. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
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Filing 36
LETTER addressed to Judge Lorna G. Schofield from Thomas E. Redburn Jr. dated January 25, 2019 re: Defendants 1/18/2019 letter. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP.(Redburn, Thomas)
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Filing 35
NOTICE OF APPEARANCE by Brian C. Kerr on behalf of Philip K. Asherman, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Kerr, Brian)
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Filing 34
SPECIAL MASTER ORDER # 1: Plaintiffs' anticipated motion for class certification: Moving papers February 4, 2019; Opposition April 9, 2019; Reply May 31, 2019, Surreply if Plaintiffs do not address price impact in their opening brief July 2, 2019. The parties will meet and confer to adopt a discovery schedule with respect to the issue of class certification. The discovery cut off is extended to August 30, 2019. The next conference with the Special Master is scheduled for March 1, 2019 at 10:30 a.m.; and as further set forth in this Order. So Ordered. (Discovery due by 8/30/2019. Motions due by 2/4/2019. Responses due by 4/9/2019. Replies due by 5/31/2019. Surreplies due by 7/2/2019. Status Conference set for 3/1/2019 at 10:30 AM before Judge Shira A. Scheindlin.) (Signed by Judge Shira A. Scheindlin on 1/22/2019) (anc)
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Filing 33
MEMO ENDORSEMENT on re: #31 Pre-Motion Letter, filed by Westley S. Stockton, Chicago Bridge & Iron Company N.V., Philip K. Asherman, Ronald A. Ballschmiede. ENDORSEMENT: By January 25, 2019, Plaintiffs shall file a response letter in accordance with the Court's Individual Rule III.A.1, including whether Plaintiffs would like to amend to attempt to cure the alleged deficiencies identified by Defendants. SO ORDERED. (Signed by Judge Lorna G. Schofield on 1/22/19) (yv)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #32 MOTION for James R. Leahy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16215948. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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Filing 32
MOTION for James R. Leahy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16215948. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ronald A. Ballschmiede. (Attachments: #1 Affidavit in Support of Admission Pro Hac Vice, #2 Exhibit A - Certificate of Good Standing from Texas, #3 Text of Proposed Order Granting Motion for Admission Pro Hac Vice)(Leahy, James)
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Filing 31
LETTER addressed to Judge Lorna G. Schofield from Amy Pharr Hefley dated January 18, 2019 re: Pre-Motion Letter Pursuant to Rule III.C.2 of the Courts Individual Rules and Procedures. Document filed by Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton.(Henkin, Douglas)
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Filing 30
NOTICE OF APPEARANCE by Robert Allen Horowitz on behalf of Ronald A. Ballschmiede. (Horowitz, Robert)
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Filing 29
ORDER granting #26 Motion for David D. Sterling to Appear Pro Hac Vice; granting #27 Motion for Amy Pharr Hefley to Appear Pro Hac Vice; granting #28 Motion for Sarah Coble to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
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Filing 28
MOTION for Sarah Coble to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16043928. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Philip K. Asherman, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Attachments: #1 Text of Proposed Order)(Coble, Sarah)
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Filing 27
MOTION for Amy Pharr Hefley to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16043828. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Philip K. Asherman, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Attachments: #1 Text of Proposed Order)(Hefley, Amy)
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Filing 26
MOTION for David D. Sterling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16043742. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Philip K. Asherman, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Attachments: #1 Text of Proposed Order)(Sterling, David)
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Filing 25
NOTICE OF APPEARANCE by Douglas W Henkin on behalf of Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Henkin, Douglas)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #27 MOTION for Amy Pharr Hefley to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16043828. Motion and supporting papers to be reviewed by Clerk's Office staff., #28 MOTION for Sarah Coble to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16043928. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #26 MOTION for David D. Sterling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16043742. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
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Filing 24
WAIVER OF SERVICE RETURNED EXECUTED. Philip K. Asherman waiver sent on 11/30/2018, answer due 1/29/2019. Document filed by Gotham Absolute Return Fund; Gotham Customized Strategies II, LP; Gotham Enhanced Return Fund; Gotham Hedged Value Strategies 115/65 (Master), L.P.; Gotham Enhanced Long Master Fund, LP; Gotham Neutral Fund; Gotham Targeted Neutral Master Fund, LP; Gotham Diversified Neutral Master Fund, LP; Gotham Hedged Value Strategies 140/40 (Master), L.P.; Gotham Penguin Fund, LP. (Rolnick, Lawrence)
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Filing 23
WAIVER OF SERVICE RETURNED EXECUTED. Westley S. Stockton waiver sent on 11/30/2018, answer due 1/29/2019. Document filed by Gotham Absolute Return Fund; Gotham Customized Strategies II, LP; Gotham Enhanced Return Fund; Gotham Hedged Value Strategies 115/65 (Master), L.P.; Gotham Enhanced Long Master Fund, LP; Gotham Neutral Fund; Gotham Targeted Neutral Master Fund, LP; Gotham Diversified Neutral Master Fund, LP; Gotham Hedged Value Strategies 140/40 (Master), L.P.; Gotham Penguin Fund, LP. (Rolnick, Lawrence)
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Filing 22
WAIVER OF SERVICE RETURNED EXECUTED. Ronald A. Ballschmiede waiver sent on 11/30/2018, answer due 1/29/2019. Document filed by Gotham Absolute Return Fund; Gotham Customized Strategies II, LP; Gotham Enhanced Return Fund; Gotham Hedged Value Strategies 115/65 (Master), L.P.; Gotham Enhanced Long Master Fund, LP; Gotham Neutral Fund; Gotham Targeted Neutral Master Fund, LP; Gotham Diversified Neutral Master Fund, LP; Gotham Hedged Value Strategies 140/40 (Master), L.P.; Gotham Penguin Fund, LP. (Rolnick, Lawrence)
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Filing 21
WAIVER OF SERVICE RETURNED EXECUTED. Chicago Bridge & Iron Company N.V. waiver sent on 11/30/2018, answer due 1/29/2019. Document filed by Gotham Absolute Return Fund; Gotham Customized Strategies II, LP; Gotham Enhanced Return Fund; Gotham Hedged Value Strategies 115/65 (Master), L.P.; Gotham Enhanced Long Master Fund, LP; Gotham Neutral Fund; Gotham Targeted Neutral Master Fund, LP; Gotham Diversified Neutral Master Fund, LP; Gotham Hedged Value Strategies 140/40 (Master), L.P.; Gotham Penguin Fund, LP. (Rolnick, Lawrence)
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Filing 20
LETTER addressed to Judge Lorna G. Schofield from Thomas E. Redburn Jr. dated November 28, 2018 re: Special Master. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP.(Redburn, Thomas)
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Filing 19
ORDER granting #17 Motion for Thomas E. Redburn Jr. to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
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Filing 18
ORDER: WHEREAS, the Court is considering the appointment of a special master to oversee and coordinate discovery in these actions; it is hereby ORDERED that by November 28, 2018, plaintiffs in 18 Civ. 9927 and 18 Civ. 9928 shall file a letter stating their position on the appointment of a special master to oversee discovery. The letter may suggest candidates for appointment, preferably former federal district court judges and magistrate judges, and may append a proposed form of order. ORDERED that the following conferences are adjourned sine die: November 20, 2018, at 11:00 a.m. in 18 Civ. 9927 and 18 Civ. 9928 and November 27, 2018, at 11:00 a.m. in 17 Civ. 1580. (As further set forth in this Order.) (Signed by Judge Lorna G. Schofield on 11/16/2018) (cf)
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Filing 17
MOTION for Thomas E. Redburn Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15901678. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Attachments: #1 Exhibit A - NJ Certificate of Good Standing, #2 Affidavit of Thomas E. Redburn Jr., #3 Text of Proposed Order)(Redburn, Thomas)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #17 MOTION for Thomas E. Redburn Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-15901678. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
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Filing 16
LETTER addressed to Judge Lorna G. Schofield from Thomas E. Redburn Jr. dated November 9, 2018 re: 11/1/2018 Order Concerning Direct Actions. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP.(Redburn, Thomas)
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Filing 15
NOTICE OF APPEARANCE by Richard A Bodnar on behalf of Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Bodnar, Richard)
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Filing 14
NOTICE OF APPEARANCE by Brandon Michael Fierro on behalf of Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Fierro, Brandon)
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Filing 13
ORDER: WHEREAS, on October 26, 2018, two actions were filed as related to 17-cv-1580 In Re Chicago Bridge & Iron Company, N.V. Securities Litigation; it is hereby ORDERED that by November 9, 2018, plaintiffs in the related cases 18-cv-9927 Gotham Diversified Neutral Master Fund, LP et al v. Chicago Bridge & Iron Company N.V. et al., and 18-cv-9928 Appaloosa Investment L.P. I et al v. Chicago Bridge & Iron Company N.V. et al., shall file a joint letter stating how they propose to proceed and whether they intend to seek lead plaintiff status. ORDERED that by November 12, 2018, counsel for lead plaintiff and defendants in 17-cv-1580 shall file a joint status letter in accordance with the Court's Individual Rule IV.A.2. ORDERED that by November 16, 2018, any responses to the November 9 letters above shall be filed. ORDERED that a conference will be held in the above captioned cases on November 20, 2018, at 11:00 a.m. to discuss this matter. (As further set forth in this Order.) (Status Conference set for 11/20/2018 at 11:00 AM before Judge Lorna G. Schofield.) (Signed by Judge Lorna G. Schofield on 11/1/2018) (cf)
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CASE ACCEPTED AS RELATED. Create association to 1:17-cv-01580-LGS-OTW. Notice of Assignment to follow. (wb)
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NOTICE OF CASE REASSIGNMENT to Judge Lorna G. Schofield. Judge Unassigned is no longer assigned to the case. (wb)
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Magistrate Judge Ona T. Wang 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. (wb)
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Filing 12
ELECTRONIC SUMMONS ISSUED as to Westley S. Stockton. (jgo)
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Filing 11
ELECTRONIC SUMMONS ISSUED as to Ronald A. Ballschmiede. (jgo)
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Filing 10
ELECTRONIC SUMMONS ISSUED as to Philip K. Asherman. (jgo)
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Filing 9
ELECTRONIC SUMMONS ISSUED as to Chicago Bridge & Iron Company N.V.. (jgo)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (jgo)
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Case Designated ECF. (jgo)
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CASE REFERRED TO Judge Lorna G. Schofield as possibly related to 17-cv-1580. (jgo)
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***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Lawrence M. Rolnick. The party information for the following party/parties has been modified: Gotham Absolute Return Fund; Gotham Enhanced Return Fund; Gotham Neutral Fund. The information for the party/parties has been modified for the following reason/reasons: party text was omitted;. (jgo)
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Filing 8
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP.(Rolnick, Lawrence)
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Filing 7
REQUEST FOR ISSUANCE OF SUMMONS as to Wesley S. Stockton, re: #1 Complaint,,,. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Rolnick, Lawrence)
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Filing 6
REQUEST FOR ISSUANCE OF SUMMONS as to Ronald A. Ballschmiede, re: #1 Complaint,,,. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Rolnick, Lawrence)
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Filing 5
REQUEST FOR ISSUANCE OF SUMMONS as to Philip K. Asherman, re: #1 Complaint,,,. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Rolnick, Lawrence)
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Filing 4
REQUEST FOR ISSUANCE OF SUMMONS as to Chicago Bridge & Iron Company N.V., re: #1 Complaint,,,. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP. (Rolnick, Lawrence)
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Filing 3
RELATED CASE AFFIRMATION of Lawrence Rolnick re: that this action be filed as related to 1:17-cv-01580. Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Enhanced Long Master Fund, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Neutral Fund, Gotham Penguin Fund, LP, Gotham Targeted Neutral Master Fund, LP.(Rolnick, Lawrence)
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Filing 2
CIVIL COVER SHEET filed. (Rolnick, Lawrence)
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Filing 1
COMPLAINT against Philip K. Asherman, Ronald A. Ballschmiede, Chicago Bridge & Iron Company N.V., Westley S. Stockton. (Filing Fee $ 400.00, Receipt Number ANYSDC-15819164)Document filed by Gotham Absolute Return Fund, Gotham Customized Strategies II, LP, Gotham Enhanced Return Fund, Gotham Hedged Value Strategies 115/65 (Master), L.P., Gotham Enhanced Long Master Fund, LP, Gotham Neutral Fund, Gotham Targeted Neutral Master Fund, LP, Gotham Diversified Neutral Master Fund, LP, Gotham Hedged Value Strategies 140/40 (Master), L.P., Gotham Penguin Fund, LP. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I, #10 Exhibit J)(Rolnick, Lawrence)
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