Ford v. ProShares Trust II et al
Plaintiff: David A. Ford
Defendant: SG Americas Securities, LLC, Jefferies LLC, Virtu Financial BD LLC, Knight Execution & Clearing Services, LLC, Deutsche Bank Securities Inc., Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., ProShares Trust II, J.P. Morgan Securities LLC, Barclays Capital Inc., Todd B. Johnson, Banca IMI Securities Corp., Michael L. Sapir, Merrill Lynch Professional Clearing Corp., UBS Securities LLC, Louis M. Mayberg, BNP Paribas Securities Corp., ProShare Capital Management LLC, Edward Karpowicz, HRT Financial LLC, Nomura Securities International, Inc., Wedbush Securities, Inc., Timber Hill, LLC,, Mizuho Securities USA LLC, Newedge USA LLC, ABN AMRO Clearing Chicago LLC, RBC Capital Markets, LLC and Leon Fidel
Petitioner: Stacy Smith, Fei Liu, Kershner Trading Group, LLC, Emre Enginarlar, Anthony Ludovici, Thomas Butler, III, Great Point Capital LLC, Lisa Ludovici and Dibyendu Basu
Case Number: 1:2019cv00886
Filed: January 29, 2019
Court: US District Court for the Southern District of New York
Presiding Judge: Ronnie Abrams
Referring Judge: Denise L Cote
Nature of Suit: Securities/Commodities
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on January 3, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
September 10, 2019 Opinion or Order Filing 144 ORDER:On September 6, 2019, plaintiff filed an amended complaint. Accordingly, it is hereby ORDERED that an answer to the amended complaint or a motion to dismiss the amended complaint shall be filed by September 27, 2019. If a motion to dismiss the amended complaint is filed, any opposition is due October 18. A reply, if any, is due November 1. At the time any reply is served, the moving party shall supply Chambers with two (2) courtesy copies of all motion papers by mailing or delivering them to the United States Courthouse, 500 Pearl Street, New York, New York. (Signed by Judge Denise L. Cote on 9/10/2019) (gr)
September 6, 2019 Filing 143 SECOND AMENDED COMPLAINT amending #132 Amended Complaint,, against ABN AMRO Clearing Chicago LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., J.P. Morgan Securities LLC, Todd B. Johnson, Edward Karpowicz, Knight Execution & Clearing Services, LLC, Louis M. Mayberg, Merrill Lynch Professional Clearing Corp., Newedge USA LLC, ProShare Capital Management LLC, ProShares Trust II, SG Americas Securities, LLC, Michael L. Sapir, Virtu Financial BD LLC with JURY DEMAND.Document filed by Anthony Ludovici, Lisa Ludovici, Thomas Butler, III. Related document: #132 Amended Complaint,,.(Boardman, Erin)
August 2, 2019 Filing 142 LETTER addressed to Judge Denise L. Cote from Robert A. Skinner dated August 2, 2019 re: Request for oral argument on the Defendants' Motion to Dismiss the Consolidated Amended Complaint. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir.(Skinner, Robert)
August 2, 2019 Filing 141 JOINDER to join re: #136 MOTION to Dismiss . . Document filed by ABN AMRO Clearing Chicago LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., J.P. Morgan Securities LLC, Knight Execution & Clearing Services, LLC, Merrill Lynch Professional Clearing Corp., Newedge USA LLC, SG Americas Securities, LLC, Virtu Financial BD LLC.(Hakki, Adam)
August 2, 2019 Filing 140 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir.(Skinner, Robert)
August 2, 2019 Filing 139 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir.(Skinner, Robert)
August 2, 2019 Filing 138 DECLARATION of Amy D. Roy in Support re: #136 MOTION to Dismiss .. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir. (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)(Roy, Amy)
August 2, 2019 Filing 137 MEMORANDUM OF LAW in Support re: #136 MOTION to Dismiss . . Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir. (Skinner, Robert)
August 2, 2019 Filing 136 MOTION to Dismiss . Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir.(Skinner, Robert)
August 1, 2019 Filing 135 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Coporation, Corporate Parent BofA Securities, Inc., Other Affiliate Berkshire Hathaway Inc. for Merrill Lynch Professional Clearing Corp.. Document filed by Merrill Lynch Professional Clearing Corp..(Hakki, Adam)
July 30, 2019 Opinion or Order Filing 134 ORDER granting #133 ProShares defendants' Letter Motion for Leave to File Excess Pages. (Signed by Judge Denise L. Cote on 7/29/2019) (gr)
July 29, 2019 Filing 133 JOINT LETTER MOTION for Leave to File Excess Pages for the parties' briefing on the motion to dismiss the consolidated amended complaint addressed to Judge Denise L. Cote from Amy D. Roy dated July 29, 2019. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir.(Roy, Amy)
June 21, 2019 Filing 132 AMENDED COMPLAINT amending #1 Complaint,,, against ABN AMRO Clearing Chicago LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., J.P. Morgan Securities LLC, Todd B. Johnson, Edward Karpowicz, Knight Execution & Clearing Services, LLC, Louis M. Mayberg, Merrill Lynch Professional Clearing Corp., Newedge USA LLC, ProShare Capital Management LLC, ProShares Trust II, SG Americas Securities, LLC, Michael L. Sapir, Virtu Financial BD LLC with JURY DEMAND.Document filed by Anthony Ludovici, Lisa Ludovici, Thomas Butler, III. Related document: #1 Complaint,,,.(Boardman, Erin)
June 5, 2019 Opinion or Order Filing 131 ORDER granting #130 Motion for Lucas E. Gilmore to Appear Pro Hac Vice (HEREBY ORDERED by Judge Denise L. Cote)(Text Only Order) (gr)
June 4, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #130 MOTION for Lucas E. Gilmore to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number BNYSDC-17015181. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
June 4, 2019 Filing 130 MOTION for Lucas E. Gilmore to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number BNYSDC-17015181. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Butler, III, Anthony Ludovici, Lisa Ludovici. (Attachments: #1 Affidavit of Lucas E. Gilmore In Support of His Motion to Appear Pro Hac Vice, #2 Certificate of Good Standing, #3 Text of Proposed Order)(Gilmore, Lucas)
May 30, 2019 Filing 129 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/29/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 30, 2019 Filing 128 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/29/2019 before Judge Denise L. Cote. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/20/2019. Redacted Transcript Deadline set for 7/1/2019. Release of Transcript Restriction set for 8/28/2019.(McGuirk, Kelly)
May 16, 2019 Filing 127 NOTICE OF APPEARANCE by Lindsay La Marca on behalf of Thomas Butler, III, Anthony Ludovici, Lisa Ludovici. (La Marca, Lindsay)
May 14, 2019 Filing 126 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/29/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
May 14, 2019 Filing 125 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/29/2019 before Judge Denise L. Cote. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/4/2019. Redacted Transcript Deadline set for 6/14/2019. Release of Transcript Restriction set for 8/12/2019.(McGuirk, Kelly)
May 10, 2019 Filing 124 DECLARATION of Eitan Kimelman in Support re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel .. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Lieberman, Jeremy)
May 2, 2019 Filing 123 NOTICE OF APPEARANCE by Avital Orly Malina on behalf of Thomas Butler, III, Anthony Ludovici, Lisa Ludovici. (Malina, Avital)
May 2, 2019 Filing 122 NOTICE OF APPEARANCE by Erin Whitney Boardman on behalf of Thomas Butler, III, Anthony Ludovici, Lisa Ludovici. (Boardman, Erin)
April 29, 2019 Opinion or Order Filing 121 ORDER OF CONSOLIDATION: Having received motions for consolidation, and finding that the actions involve common questions of law and fact, it is hereby ORDERED that the Clerk of Court shall consolidate the above actions under the docket number of the lead case 19cv0886. (Signed by Judge Denise L. Cote on 4/29/2019) (jca)
April 29, 2019 Opinion or Order Filing 120 CASE MANAGEMENT ORDER: Lead Plaintiff shall file an amended complaint for this action and any actions subsequently consolidated with it on or before June 21, 2019. Defendants shall file an answer to the amended complaint or a motion to dismiss the amended complaint by August 2, 2019. If a motion to dismiss the amended complaint is filed, any amended complaint must be filed by September 6, 2019. It is unlikely that Lead Plaintiff will be granted any further opportunities to amend. If Lead Plaintiff elects not to further amend, it shall file its opposition to the motion to dismiss on or before September 6, 2019. Defendants shall file their reply to the opposition(s) to the motion to dismiss on or before September 27, 2019. Defendants shall supply the Court with two courtesy copies of the motion papers at the time the reply is served. (And as further set forth in this Order). (Amended Pleadings due by 6/21/2019, Responses due by 9/6/2019, Replies due by 9/27/2019.) (Signed by Judge Denise L. Cote on 4/29/2019) (jca)
April 29, 2019 Minute Entry for proceedings held before Judge Denise L. Cote: Pretrial Conference held on 4/29/2019. (Court Reporter Tom Murray) (gr)
April 26, 2019 Filing 119 NOTICE OF APPEARANCE by Vincent Michael Serra on behalf of Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Serra, Vincent)
April 26, 2019 Opinion or Order Filing 118 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL FOR VIRTU FINANCIAL BD LLC AND KNIGHT EXECUTION & CLEARING SERVICES LLC: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned and pursuant to Local Civil Rule 1.4, that the law firm of Shearman & Sterling LLP hereby is substituted in place and in the stead of the law firm of Paul, Weiss, Rifkind, Wharton & Garrison LLP as counsel of record for defendants Vittu Financial BD LLC and Knight Execution & Clearing Services LLC (n/k/a "Virtu Americas LLC") in the above-captioned action. A supporting declaration is attached pursuant to Local Civil Rule 1.4. PLEASE TAKE NOTICE that all pleadings, notices of hearing, and other filings in this matter should be served upon the undersigned incoming counsel at the address set forth below. SO ORDERED. Attorney Adam Selim Hakki,Daniel Craig Lewis,Agnes Dunogue for Knight Execution & Clearing Services, LLC,Adam Selim Hakki,Daniel Craig Lewis,Agnes Dunogue for Virtu Financial BD LLC added. Attorney Audra Jan Soloway; Andrew Garry Gordon and Daniel Shiah Sinnreich terminated. (Signed by Judge Denise L. Cote on 4/26/2019) (jca)
April 25, 2019 Opinion or Order Filing 117 ORDER granting #115 Motion for Steve W. Berman to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Denise L. Cote)(Text Only Order) (gr)
April 25, 2019 Opinion or Order Filing 116 ORDER granting #112 Motion for Danielle s. Myers to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Denise L. Cote)(Text Only Order) (gr)
April 25, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #115 MOTION for Steve W. Berman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16765049. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
April 25, 2019 Filing 115 MOTION for Steve W. Berman to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16765049. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Attachments: #1 Affidavit of Steve W. Berman in Support of Motion to Appear Pro Hac Vice, #2 Exhibit Certificates of Good Standing, #3 Text of Proposed Order)(Berman, Steve)
April 25, 2019 Filing 114 PROPOSED ORDER FOR SUBSTITUTION OF ATTORNEY. Document filed by Knight Execution & Clearing Services, LLC, Virtu Financial BD LLC. (Attachments: #1 Declaration of Adam S. Hakki Pursuant to Local Civil Rule 1.4) (Hakki, Adam)
April 25, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #112 MOTION for Danielle s. Myers to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16761519. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
April 24, 2019 Filing 113 FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED ORDER. Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. Related Document Number: #112 . (Myers, Danielle) Proposed Order to be reviewed by Clerk's Office staff. Modified on 4/25/2019 (wb).
April 24, 2019 Filing 112 MOTION for Danielle s. Myers to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16761519. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Attachments: #1 Affidavit in Suppport of Motion for Admission Pro Hac Vice for Danielle S. Myers, #2 Certificate of Good Standing, #3 Text of Proposed Order)(Myers, Danielle)
April 22, 2019 Filing 111 NOTICE OF APPEARANCE by Nicholas Ian Porritt on behalf of Great Point Capital LLC. (Porritt, Nicholas)
April 19, 2019 Filing 110 ENDORSED LETTER addressed to Judge Denise L. Cote from David A. Rosenfeld and Steve W. Berman dated 04/18/19 re: Request to allow Robbins Geller partner Danielle S. Myers and Hagens Berman partner Reed R. Kathrein to attend the 4/29/19 Conference. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 4/19/2019) (gr)
April 18, 2019 Filing 109 LETTER addressed to Judge Denise L. Cote from David A. Rosenfeld and Steve W. Berman dated 04/18/19 re: Appearances at 4/29/19 Conference. Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith.(Rosenfeld, David)
April 18, 2019 Filing 108 NOTICE OF APPEARANCE by Eitan Kimelman on behalf of Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Kimelman, Eitan)
April 18, 2019 Filing 107 NOTICE of Errata re: #85 Declaration in Support of Motion,. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Attachments: #1 Exhibit C - Loss Chart)(Lieberman, Jeremy)
April 18, 2019 Filing 106 NOTICE OF APPEARANCE by Peretz Bronstein on behalf of Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Bronstein, Peretz)
April 17, 2019 Filing 105 REPLY MEMORANDUM OF LAW in Support re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel . . Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Attachments: #1 Declaration of Eitan Kimelman, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Lieberman, Jeremy)
April 17, 2019 Filing 104 REPLY MEMORANDUM OF LAW in Support re: #82 MOTION to Consolidate Cases 1:19-cv-00886; 1:19-cv-01840; 1:19-cv-01955 . MOTION to Appoint Thomas Butler, III, Fei Liu, Stacy Smith, Anthony Ludovici, Lisa Ludovici to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Rosenfeld, David)
April 17, 2019 Filing 103 DECLARATION of Adam M. Apton in Support re: #74 MOTION to Consolidate Cases 19-cv-1840, 19-cv-1955 . MOTION to Appoint Great Point Capital LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Great Point Capital LLC. (Attachments: #1 Exhibit Prospectus (excerpts), #2 Exhibit FINRA BrokerCheck)(Apton, Adam)
April 17, 2019 Filing 102 REPLY MEMORANDUM OF LAW in Support re: #74 MOTION to Consolidate Cases 19-cv-1840, 19-cv-1955 . MOTION to Appoint Great Point Capital LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Great Point Capital LLC. (Apton, Adam)
April 17, 2019 Filing 101 DECLARATION of Eitan Kimelman in Support of the Motion of The ProShares Short VIX Investor Group for Consolidation, Appointment as Lead Plaintiff and Approval of Lead Counsel in Support re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel .. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Lieberman, Jeremy)
April 17, 2019 Filing 100 REPLY MEMORANDUM OF LAW in Support re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel . Memorandum of Law: (1) in Further Support of Motion of The ProShares Short VIX Investor Group for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel, and (2) in Opposition to Competing Motions. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Lieberman, Jeremy)
April 16, 2019 Opinion or Order Filing 99 ORDER granting #98 Motion for Reed R. Kathrein to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Denise L. Cote)(Text Only Order) (gr)
April 15, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #98 MOTION for Reed R. Kathrein to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16695533. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
April 15, 2019 Filing 98 MOTION for Reed R. Kathrein to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16695533. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Attachments: #1 Affidavit, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order)(Kathrein, Reed)
April 10, 2019 Filing 97 DECLARATION of David A. Rosenfeld in Opposition re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel ., #74 MOTION to Consolidate Cases 19-cv-1840, 19-cv-1955 . MOTION to Appoint Great Point Capital LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel ., #78 MOTION to Consolidate Cases 19-cv-0886, 19-cv-1840, 19-cv-1955 . MOTION to Appoint Kershner Trading Group, LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Attachments: #1 Exhibit 1 - Great Point Capital FINRA Report, #2 Exhibit 2 - Screenshots of Great Point Capital website, #3 Exhibit 3 - Kershner Trading Group FINRA Report, #4 Exhibit 4 - Kershner Securities FINRA Report, #5 Exhibit 5 - SmartMoney.com article, #6 Exhibit 6 - Dept. of Market Regulation v. Great Point Capital Complaint, #7 Exhibit 7 - Shaffer v. Digital Generation Lead Plaintiff Order, #8 Exhibit 8 - Michael S. Olson FINRA Report, #9 Exhibit 9 - Pomerantz press release, #10 Exhibit 10 - Pomerantz certification form)(Rosenfeld, David)
April 10, 2019 Filing 96 MEMORANDUM OF LAW in Opposition re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel ., #74 MOTION to Consolidate Cases 19-cv-1840, 19-cv-1955 . MOTION to Appoint Great Point Capital LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel ., #78 MOTION to Consolidate Cases 19-cv-0886, 19-cv-1840, 19-cv-1955 . MOTION to Appoint Kershner Trading Group, LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Rosenfeld, David)
April 10, 2019 Filing 95 MEMORANDUM OF LAW in Opposition re: #82 MOTION to Consolidate Cases 1:19-cv-00886; 1:19-cv-01840; 1:19-cv-01955 . MOTION to Appoint Thomas Butler, III, Fei Liu, Stacy Smith, Anthony Ludovici, Lisa Ludovici to serve as lead plaintiff(s) . MOTION to Appoint Counsel ., #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel ., #78 MOTION to Consolidate Cases 19-cv-0886, 19-cv-1840, 19-cv-1955 . MOTION to Appoint Kershner Trading Group, LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Great Point Capital LLC. (Apton, Adam)
April 10, 2019 Filing 94 DECLARATION of Jeremy A. Lieberman in Further Support of Motion of The Proshares Short VIX Investor Group and in Opposition to Competing Motions in Opposition re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel .. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Lieberman, Jeremy)
April 10, 2019 Filing 93 RESPONSE in Opposition to Motion re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel . Memorandum of Law: (1) in Further Support of Motion of The Proshares Short VIX Investor Group for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel, and (2) in Opposition to Competing Motions. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Lieberman, Jeremy)
April 10, 2019 Filing 92 LETTER addressed to Judge Denise L. Cote from Barbara Hart dated April 10, 2019 re: the Lead Plaintiff Motion of Kershner Trading Group, LLC. Document filed by Kershner Trading Group, LLC.(Hart, Barbara)
April 5, 2019 Opinion or Order Filing 91 ORDER: The above-captioned cases having been reassigned to this Court on April 4, 2019, it is hereby ORDERED that the time of the April 29, 2019 conference is moved from 9 a.m. to 10 a.m. in Courtroom 18B, 500 Pearl Street. Prior to the date of the conference, all parties must send the Court one copy of all pleadings. All pretrial conferences must be attended by the attorney who will serve as principal trial counsel. IT IS FURTHER ORDERED that the briefing schedule on the pending lead plaintiff motions filed on April 1 shall remain unchanged. (Signed by Judge Denise L. Cote on 4/5/2019) (gr)
April 5, 2019 Filing 90 LETTER MOTION to Compel Letter Requesting Court Guidance on Lead Plaintiff Briefing Schedule and Oral Argument addressed to Judge Denise L. Cote from David A. Rosenfeld dated April 5, 2019. Document filed by Thomas Butler, III, David A. Ford, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith.(Rosenfeld, David)
April 4, 2019 NOTICE OF CASE REASSIGNMENT to Judge Denise L. Cote. Judge Ronnie Abrams is no longer assigned to the case. (bcu)
April 3, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #89 Proposed Order was reviewed and approved as to form. (km)
April 2, 2019 Filing 89 PROPOSED ORDER. Document filed by Stacy Smith. Related Document Number: #82 . (Rosenfeld, David) Proposed Order to be reviewed by Clerk's Office staff.
April 2, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #87 Proposed Order was reviewed and approved as to form. (dt)
April 2, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #77 Proposed Order was reviewed and approved as to form. (dt)
April 2, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #88 Proposed Order was reviewed and approved as to form. (dt)
April 2, 2019 Filing 88 PROPOSED ORDER. Document filed by Kershner Trading Group, LLC. Related Document Number: #78 . (Hart, Barbara) Proposed Order to be reviewed by Clerk's Office staff.
April 2, 2019 Filing 87 PROPOSED ORDER. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. Related Document Number: #81 . (Lieberman, Jeremy) Proposed Order to be reviewed by Clerk's Office staff.
April 2, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED ORDER. Notice to attorney david Rosenfeld DO NOt RE-FILE Document No. #82 MOTION to Consolidate Cases 1:19-cv-00886; 1:19-cv-01840; 1:19-cv-01955 . MOTION to Appoint Thomas Butler, III, Fei Liu, Stacy Smith, Anthony Ludovici, Lisa Ludovici to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. The filing is deficient for the following reason(s): the wrong event type was used to file the proposed order; Separately file the Proposed Order using the event type Proposed Order found under the event list Proposed Orders, also separately file the Order in the other 2 actions 19cv1840 and 19cv1955. (dt)
April 2, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED ORDER. Notice to attorney Jeremy Lieberman DO NOT RE-FILE Document No. #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel .. The filing is deficient for the following reason(s): the wrong event type was used to file the proposed order; Separately file the Proposed Order using the event type Proposed Order found under the event list Proposed Orders, also separately file the Order in the other 2 actions 19cv1840 and 19cv1955. (dt) Modified on 4/2/2019 (dt). Please disregard previous notices.
April 2, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED ORDER. Notice to attorney Barbara Hart DO NOT RE-FILE Document No. #78 MOTION to Consolidate Cases 19-cv-0886, 19-cv-1840, 19-cv-1955 . MOTION to Appoint Kershner Trading Group, LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel . The filing is deficient for the following reason(s): the wrong event type was used to file the proposed order; Separately file the Proposed Order using the event type Proposed Order found under the event list Proposed Orders, also separately file the Order in the other 2 actions 19cv1840 and 19cv1955. (dt)
April 2, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED ORDER. Notice to attorney Adam Apton to FILE Document No. #77 Proposed Order. The filing is deficient for the following reason(s): Seperately file the Order in the other 2 actions 19cv1840 and 19cv1955. File the document using the event type Proposed Order found under the event list Proposed Orders. (dt)
April 1, 2019 Filing 86 DECLARATION of David A. Rosenfeld in Support re: #82 MOTION to Consolidate Cases 1:19-cv-00886; 1:19-cv-01840; 1:19-cv-01955 . MOTION to Appoint Thomas Butler, III, Fei Liu, Stacy Smith, Anthony Ludovici, Lisa Ludovici to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Attachments: #1 Exhibit A - PSLRA Notice, #2 Exhibit B - Certifications, #3 Exhibit C - Estimate of losses, #4 Exhibit D - Assignments, #5 Exhibit E - Joint Declaration, #6 Exhibit F - Robbins Geller Rudman & Dowd LLP firm resume, #7 Exhibit G - Hagens Berman Sobol Shapiro LLP firm resume)(Rosenfeld, David)
April 1, 2019 Filing 85 DECLARATION of Jeremy A. Lieberman in Support re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel .. Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Attachments: #1 Exhibit A - Press Release, #2 Exhibit B - Certifications, #3 Exhibit C - Loss Chart, #4 Exhibit D - Firm Resume)(Lieberman, Jeremy)
April 1, 2019 Filing 84 MEMORANDUM OF LAW in Support re: #82 MOTION to Consolidate Cases 1:19-cv-00886; 1:19-cv-01840; 1:19-cv-01955 . MOTION to Appoint Thomas Butler, III, Fei Liu, Stacy Smith, Anthony Ludovici, Lisa Ludovici to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Thomas Butler, III, Fei Liu, Anthony Ludovici, Lisa Ludovici, Stacy Smith. (Rosenfeld, David)
April 1, 2019 Filing 83 MEMORANDUM OF LAW in Support re: #81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 . MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) . MOTION to Approve Counsel . . Document filed by Dibyendu Basu, Emre Enginarlar, Leon Fidel. (Lieberman, Jeremy)
April 1, 2019 Filing 82 MOTION to Consolidate Cases 1:19-cv-00886; 1:19-cv-01840; 1:19-cv-01955 ., MOTION to Appoint Thomas Butler, III, Fei Liu, Stacy Smith, Anthony Ludovici, Lisa Ludovici to serve as lead plaintiff(s) ., MOTION to Appoint Counsel . Document filed by Thomas Butler, III, Fei Liu, Stacy Smith, Anthony Ludovici, Lisa Ludovici. (Attachments: #1 Text of Proposed Order)(Rosenfeld, David)
April 1, 2019 Filing 81 MOTION to Consolidate Cases 19-cv-01840 and 19-cv-01955 ., MOTION to Appoint Emre Enginarlar, Leon Fidel, and Dibyendu Basu to serve as lead plaintiff(s) ., MOTION to Approve Counsel . Document filed by Emre Enginarlar, Leon Fidel, Dibyendu Basu. (Attachments: #1 Text of Proposed Order)(Lieberman, Jeremy)
April 1, 2019 Filing 80 DECLARATION of Barbara Hart in Support re: #78 MOTION to Consolidate Cases 19-cv-0886, 19-cv-1840, 19-cv-1955 . MOTION to Appoint Kershner Trading Group, LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Kershner Trading Group, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)(Hart, Barbara)
April 1, 2019 Filing 79 MEMORANDUM OF LAW in Support re: #78 MOTION to Consolidate Cases 19-cv-0886, 19-cv-1840, 19-cv-1955 . MOTION to Appoint Kershner Trading Group, LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Kershner Trading Group, LLC. (Hart, Barbara)
April 1, 2019 Filing 78 MOTION to Consolidate Cases 19-cv-0886, 19-cv-1840, 19-cv-1955 ., MOTION to Appoint Kershner Trading Group, LLC to serve as lead plaintiff(s) ., MOTION to Appoint Counsel . Document filed by Kershner Trading Group, LLC. (Attachments: #1 Text of Proposed Order)(Hart, Barbara)
April 1, 2019 Filing 77 PROPOSED ORDER. Document filed by Great Point Capital LLC. Related Document Number: #74 . (Apton, Adam) Proposed Order to be reviewed by Clerk's Office staff.
April 1, 2019 Filing 76 DECLARATION of Adam M. Apton in Support re: #74 MOTION to Consolidate Cases 19-cv-1840, 19-cv-1955 . MOTION to Appoint Great Point Capital LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Great Point Capital LLC. (Attachments: #1 Exhibit Certification, #2 Exhibit Loss Chart, #3 Exhibit Notice, #4 Exhibit Resume)(Apton, Adam)
April 1, 2019 Filing 75 MEMORANDUM OF LAW in Support re: #74 MOTION to Consolidate Cases 19-cv-1840, 19-cv-1955 . MOTION to Appoint Great Point Capital LLC to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Great Point Capital LLC. (Apton, Adam)
April 1, 2019 Filing 74 MOTION to Consolidate Cases 19-cv-1840, 19-cv-1955 ., MOTION to Appoint Great Point Capital LLC to serve as lead plaintiff(s) ., MOTION to Appoint Counsel . Document filed by Great Point Capital LLC.(Apton, Adam)
March 19, 2019 Opinion or Order Filing 73 ORDER: Accordingly, it is hereby: ORDERED that, no later than March 22, 2019, Plaintiff shall inform the Court whether he intends to file notice of this action pursuant to 15 U.S.C. 78u-4(a)(3)(A)(i) or whether he believes further notice is not required under 78u-4(a)(3)(A)(ii). If Plaintiff intends to rely on the notice filed in the Related Action, briefing on the appointment of lead plaintiff and lead counsel shall adhere to the schedule set in the Related Action. See 19-CV-319, Dkt. 5. IT IS FURTHER ORDERED that Plaintiff shall participate in the conference in the Related Action, which has been scheduled for April 29, 2019 at 9 a.m. in Courtroom 1506 of the United States Courthouse, 40 Foley Square, New York, New York 10007 to consider any motions for appointment of lead plaintiff and lead counsel and for consolidation. IT IS FURTHER ORDERED that Plaintiff shall promptly serve a copy of this Order on each of the Defendants. SO ORDERED. (Status Conference set for 4/29/2019 at 09:00 AM in Courtroom 1506, 40 Centre Street, New York, NY 10007 before Judge Ronnie Abrams.) (Signed by Judge Ronnie Abrams on 3/19/2019) (anc)
March 18, 2019 Opinion or Order Filing 72 ORDER: The conference in this case to consider the motions for appointment of lead plaintiff, lead counsel, and for consolidation scheduled for May 1, 2019 is hereby rescheduled to take place on Monday, April 29, 2019, at 9 a.m. SO ORDERED. (Signed by Judge Ronnie Abrams on 3/18/2019) Set Deadlines/Hearing as to ( Motion Hearing set for 4/29/2019 at 09:00 AM before Judge Ronnie Abrams.) (ks)
March 18, 2019 Opinion or Order Filing 71 ORDER: It is hereby: ORDERED that, no later than March 22, 2019, Plaintiff shall inform the Court whether he intends to file notice of this action pursuant to 15 U.S.C. 78u-4(a) (3)(A)(i) or whether he believes further notice is not required under 78u-4(a)(3)(A)(ii). If Plaintiff intends to rely on the notice filed in the Related Action, briefing on the appointment of lead plaintiff and lead counsel shall adhere to the schedule set in the Related Action. See 19-CV-886, Dkt. 10. IT IS FURTHER ORDERED that Plaintiff shall participate in the conference in the Related Action, which has been scheduled for April 29, 2019 at 9 a.m. in Courtroom 1506 of the United States Courthouse, 40 Foley Square, New York, New York 10007 to consider any motions for appointment of lead plaintiff and lead counsel and for consolidation. IT IS FURTHER ORDERED that Plaintiff shall promptly serve a copy of this Order on each of the Defendants. SO ORDERED. (Signed by Judge Ronnie Abrams on 3/18/2019) ( Status Conference set for 4/29/2019 at 09:00 AM in Courtroom 1506, 40 Centre Street, New York, NY 10007 before Judge Ronnie Abrams.) (ks)
March 4, 2019 Opinion or Order Filing 70 ORDER granting #65 Motion for Elissa C. Reidy to Appear Pro Hac Vice (HEREBY ORDERED by Judge Ronnie Abrams)(Text Only Order) (arc)
March 1, 2019 Filing 69 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent DB USA Corporation (previously doing business as Taunus Corporation), Corporate Parent Deutsche Bank A.G., Corporate Parent DB U.S. Financial Markets Holding Corporation for Deutsche Bank Securities Inc.; Corporate Parent Merrill Lynch, Pierce, Fenner & Smith Incorporated, Corporate Parent BAC North America Holding Company, Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Corporation for Merrill Lynch Professional Clearing Corp.; Corporate Parent Wedbush Capital for Wedbush Securities, Inc.; Corporate Parent Nomura Holdings, Inc., Corporate Parent Nomura Holding America Inc. for Nomura Securities International, Inc.; Corporate Parent Barclays PLC for Barclays Capital Inc.; Corporate Parent ABN AMRO Bank N.V., Corporate Parent ABN AMRO Group N.V., Corporate Parent ABN AMRO Clearing Bank N.V. for ABN AMRO Clearing Chicago LLC; Corporate Parent Jeffries Group LLC, Corporate Parent Jefferies Financial Group Inc. for Jefferies LLC; Corporate Parent Mizuho Americas LLC, Corporate Parent Mizuho Financial Group, Inc. for Mizuho Securities USA LLC; Corporate Parent JPMorgan Chase & Co., Corporate Parent J.P. Morgan Broker-Dealer Holdings Inc. for J.P. Morgan Securities LLC ; Corporate Parent Royal Bank of Canada for RBC Capital Markets, LLC; Corporate Parent Societe Generale, Other Affiliate Newedge USA, LLC for SG Americas Securities, LLC; Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS Americas Inc. for UBS Securities LLC; Corporate Parent Credit Suisse AG, Corporate Parent Credit Suisse AG, Cayman Islands Branch, Corporate Parent Credit Suisse Group AG, Corporate Parent Credit Suisse (USA), Inc., Corporate Parent Credit Suisse Holdings (USA), Inc. for Credit Suisse Securities (USA) LLC; Corporate Parent BNP Paribas for BNP Paribas Securities Corp.; Corporate Parent Intesa Sanpaolo SpA, Corporate Parent Banca IMI SpA for Banca IMI Securities Corp.; Corporate Parent Hudson River Trading LLC for HRT Financial LLC; Corporate Parent Interactive Brokers Group, Inc., Corporate Parent IBG LLC, Corporate Parent IBG Holdings LLC for Timber Hill, LLC,; Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co.. Document filed by ABN AMRO Clearing Chicago LLC, BNP Paribas Securities Corp., Banca IMI Securities Corp., Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, J.P. Morgan Securities LLC, Jefferies LLC, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, SG Americas Securities, LLC, Timber Hill, LLC,, UBS Securities LLC, Wedbush Securities, Inc..(Hakki, Adam)
March 1, 2019 Filing 68 NOTICE OF APPEARANCE by Agnes Dunogue on behalf of ABN AMRO Clearing Chicago LLC, BNP Paribas Securities Corp., Banca IMI Securities Corp., Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, J.P. Morgan Securities LLC, Jefferies LLC, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, SG Americas Securities, LLC, Timber Hill, LLC,, UBS Securities LLC, Wedbush Securities, Inc.. (Dunogue, Agnes)
March 1, 2019 Filing 67 NOTICE OF APPEARANCE by Daniel Craig Lewis on behalf of ABN AMRO Clearing Chicago LLC, BNP Paribas Securities Corp., Banca IMI Securities Corp., Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, J.P. Morgan Securities LLC, Jefferies LLC, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, SG Americas Securities, LLC, Timber Hill, LLC,, UBS Securities LLC, Wedbush Securities, Inc.. (Lewis, Daniel)
March 1, 2019 Filing 66 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of ABN AMRO Clearing Chicago LLC, BNP Paribas Securities Corp., Banca IMI Securities Corp., Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, J.P. Morgan Securities LLC, Jefferies LLC, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, SG Americas Securities, LLC, Timber Hill, LLC,, UBS Securities LLC, Wedbush Securities, Inc.. (Hakki, Adam)
March 1, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #65 MOTION for Elissa C. Reidy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16429579. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
March 1, 2019 Filing 65 MOTION for Elissa C. Reidy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16429579. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir.(Reidy, Elissa)
February 28, 2019 Filing 64 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Virtu Financial, Inc. for Knight Execution & Clearing Services, LLC, Virtu Financial BD LLC. Document filed by Knight Execution & Clearing Services, LLC, Virtu Financial BD LLC.(Gordon, Andrew)
February 28, 2019 Filing 63 NOTICE OF APPEARANCE by Daniel Shiah Sinnreich on behalf of Knight Execution & Clearing Services, LLC, Virtu Financial BD LLC. (Sinnreich, Daniel)
February 28, 2019 Filing 62 NOTICE OF APPEARANCE by Audra Jan Soloway on behalf of Knight Execution & Clearing Services, LLC, Virtu Financial BD LLC. (Soloway, Audra)
February 28, 2019 Filing 61 NOTICE OF APPEARANCE by Andrew Garry Gordon on behalf of Knight Execution & Clearing Services, LLC, Virtu Financial BD LLC. (Gordon, Andrew)
February 28, 2019 Opinion or Order Filing 60 STIPULATION AND ORDER CONCERNING TIME TO RESPOND TO COMPLAINT: as follows: 1. The undersigned attorneys accept service of the summons and complaint in this action on behalf of their respective clients as of the date of this stipulation, without waiver of, or prejudice to, any of their rights or defenses (other than improper service), including, but not limited to, with respect to personal jurisdiction. 2. Within 14 days after the Court enters an order appointing lead plaintiff and lead counsel, lead plaintiff shall notify defendants whether it will file an amended or consolidated complaint, and shall file any such amended or consolidated complaint within 60 days after the Court enters such an order. 3. Defendants shall respond to the complaint within 45 days after the Court appointed lead plaintiff notifies them that it does not intend to file an amended or consolidated complaint, except that in the event that lead plaintiff files an amended or consolidated complaint, defendants shall respond to the amended or consolidated complaint within 60 days of the filing of that amended or consolidated complaint. 4. In the event that defendants file one or more motions to dismiss the complaint or amended or consolidated complaint, lead plaintiff shall have 60 days to serve its opposition, and defendants shall have 35 days thereafter to serve their reply or replies. IT IS SO STIPULATED. IT IS SO ORDERED. (Signed by Judge Ronnie Abrams on 2/28/2019) (ks)
February 28, 2019 Opinion or Order Filing 59 ORDER granting #58 Motion for Amy D. Roy to Appear Pro Hac Vice (HEREBY ORDERED by Judge Ronnie Abrams)(Text Only Order) (arc)
February 28, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #58 MOTION for Amy D. Roy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16419352. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
February 28, 2019 Filing 58 MOTION for Amy D. Roy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16419352. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir. (Attachments: #1 Declaration of Amy D. Roy in Support, #2 MA SJC Certificate of Good Standing, #3 ME SJC Certificate of Good Standing, #4 Text of Proposed Order)(Roy, Amy)
February 28, 2019 Opinion or Order Filing 57 ORDER granting #54 Motion for Jessica M. Bergin to Appear Pro Hac Vice (HEREBY ORDERED by Judge Ronnie Abrams)(Text Only Order) (arc)
February 28, 2019 Opinion or Order Filing 56 ORDER granting #53 Motion for Robert A. Skinner to Appear Pro Hac Vice (HEREBY ORDERED by Judge Ronnie Abrams)(Text Only Order) (arc)
February 27, 2019 Filing 55 PROPOSED STIPULATION AND ORDER. Document filed by David A. Ford. (Rudman, Samuel)
February 27, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #54 MOTION for Jessica M. Bergin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16412671. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma)
February 27, 2019 Filing 54 MOTION for Jessica M. Bergin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16412671. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir. (Attachments: #1 Declaration of Jessica M. Bergin in Support, #2 MA SJC Certificate of Good Standing, #3 Text of Proposed Order)(Bergin, Jessica)
February 27, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #53 MOTION for Robert A. Skinner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16412550. 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, 2019 Filing 53 MOTION for Robert A. Skinner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16412550. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Todd B. Johnson, Edward Karpowicz, Louis M. Mayberg, ProShare Capital Management LLC, ProShares Trust II, Michael L. Sapir. (Attachments: #1 Declaration of Robert A. Skinner in Support, #2 MA SJC Certificate of Good Standing, #3 Text of Proposed Order)(Skinner, Robert)
February 22, 2019 Filing 52 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Wedbush Securities, Inc. on 2/13/2019. Service was accepted by Sangra Monteagudo, Legal Dept.. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 51 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Virtu Financial BD LLC on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 50 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on UBS Securities LLC on 2/13/2019. Service was accepted by Jane Doe (name refused per company policy), Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 49 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Timber Hill, LLC on 2/14/2019. Service was accepted by Arnold Feist, Chief Compliance Officer. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 48 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on SG Americas Securities, LLC on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 47 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on RBC Capital Markets, LLC on 2/13/2019. Service was accepted by Lynanne Gares, Person Authorized to Accept Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 46 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Nomura Securities International, Inc. on 2/13/2019. Service was accepted by Nancy Prahofer, Managing Director. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 45 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Newedge USA LLC on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 44 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Mizuho Securities USA LLC on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 43 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Merrill Lynch Professional Clearing Corp. on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 42 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Knight Execution & Clearing Services, LLC on 2/13/2019. Service was accepted by Lynanne Gares, Person Authorized to Accept Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 41 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on J.P. Morgan Securities LLC on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 40 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Jefferies, LLC on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 39 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on HRT Financial LLC on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 38 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Goldman Sachs & Co. on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 37 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Deutsche Bank Securities, Inc. on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 36 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Credit Suisse Securities (USA) LLC on 2/13/2019. Service was accepted by Lynanne Gares, Person Authorized to Accept Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 35 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on BNP Paribas Securities Corp. on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 34 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Barclays Capital Inc. on 2/13/2019. Service was accepted by Sattie Jairam, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 33 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on Banca IMI Securities Corp. on 2/13/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 32 AFFIDAVIT OF SERVICE of 2/6/2019 Order of Judge Ronnie Abrams (Dkt. No. 8) served on ABN Amro Clearing Chicago LLC on 2/13/2019. Service was accepted by Megan Flaherty, Agent for Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 31 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Wedbush Securities, Inc. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Sangra Monteagudo, Legal Dept.. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 30 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Timber Hill, LLC, served on 2/14/2019, answer due 3/7/2019. Service was accepted by Arnold Feist, Chief Compliance Officer. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 29 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. ABN AMRO Clearing Chicago LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Megan Flaherty, Agent for Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 28 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Nomura Securities International, Inc. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Nancy Prahofer, Managing Director. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 27 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Barclays Capital Inc. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Sattie Jairam, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 26 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Virtu Financial BD LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 25 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. UBS Securities LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Jane Doe (name refused per company policy), Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 24 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Merrill Lynch Professional Clearing Corp. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 23 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. SG Americas Securities, LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 22 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Knight Execution & Clearing Services, LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Lynanne Gares, Person Authorized to Accept Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 21 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. RBC Capital Markets, LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Lynanne Gares, Person Authorized to Accept Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 20 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. J.P. Morgan Securities LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 19 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Jefferies LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 18 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Newedge USA LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 17 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. HRT Financial LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 16 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Mizuho Securities USA LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 15 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Goldman, Sachs & Co. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 14 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Deutsche Bank Securities Inc. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 13 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Credit Suisse Securities (USA) LLC served on 2/13/2019, answer due 3/6/2019. Service was accepted by Lynanne Gares, Person Authorized to Accept Service. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 12 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. BNP Paribas Securities Corp. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 22, 2019 Filing 11 AFFIDAVIT OF SERVICE of Summons and Complaint,,,. Banca IMI Securities Corp. served on 2/13/2019, answer due 3/6/2019. Service was accepted by Amy McLaren, Service of Process Intake Clerk. Document filed by David A. Ford. (Rudman, Samuel)
February 6, 2019 ***DELETED DOCUMENT. Deleted document number #11 MEMO ENDORSEMENT. The document was incorrectly filed in this case. (ks)
February 6, 2019 Opinion or Order Filing 10 MEMO ENDORSEMENT on re: #9 Letter re: Clarifying that the PSLRA Notice was published on 1/29/2019 filed by David A. Ford. ENDORSEMENT: Plaintiff is correct. Motions to serve as lead plaintiff in this matter shall be due on April 1, 2019. Oppositions, if any, shall be due by April 10, 2019, and replies, if any, shall be due by April 17, 2019. As previously scheduled, see Dkt. 8, the Court will hold a conference on Wednesday, May 1, 2019, to consider the motions for appointment of lead plaintiff and lead counsel and for consolidation. SO ORDERED. (Signed by Judge Ronnie Abrams on 2/6/2019) (rj)
February 6, 2019 Filing 9 LETTER addressed to Judge Ronnie Abrams from Samuel H. Rudman dated 2/6/2019 re: Clarifying that the PSLRA Notice was published on 1/29/2019. Document filed by David A. Ford.(Rudman, Samuel)
February 6, 2019 Set/Reset Deadlines as to Motion Hearing set for 5/1/2019 at 01:00 PM in Courtroom 1506, 40 Centre Street, New York, NY 10007 before Judge Ronnie Abrams. (rj)
February 6, 2019 Opinion or Order Filing 8 ORDER: The Court is in receipt of the notice Plaintiff circulated under 78u-4(a)(3)(A) of the Private Securities Litigation Reform Act on February 5, 2019. Accordingly, motions to serve as lead plaintiff shall be submitted no later than April 6, 2019, or 60 days after the date on which the notice was published. See 15 U.S.C. 78u-4(a)(3)(A)(i). Oppositions, if any, shall be due April 16, 2019, and replies, if any, shall be due April 22, 2019. The Court will hold a conference on Wednesday, May 1, 2019, at 1:00 p.m. in Courtroom 1506 of the United States Courthouse, 40 Foley Square, New York, New York 10007, to consider motions for appointment of lead plaintiff and lead counsel and for consolidation. The named plaintiff shall serve a copy of this Order on each Defendant and file proof of service no later than February 27, 2019. SO ORDERED. Motions due by 4/6/2019., Responses due by 4/16/2019, Replies due by 4/22/2019. (Signed by Judge Ronnie Abrams on 2/6/2019) (rj)
February 5, 2019 Filing 7 NOTICE of Published Notice advising members of the purported class about the action, pursuant to the Court's 2/4/2019 Order re: #6 Order,,,. Document filed by David A. Ford. (Rudman, Samuel)
February 4, 2019 Opinion or Order Filing 6 ORDER: Plaintiff shall file a copy of the notice on ECF once it is published. Members of the purported class shall have until 60 days from Plaintiff's publishing of the required notice to move the Court to serve as lead plaintiffs. Once Plaintiff has provided the Court with a copy of its notice, the Court shall set a conference to consider any motions for appointment of lead plaintiff and lead counsel and for consolidation. That conference shall be held within 90 days of the notice's publication. Upon scheduling the conference, the Court will also set a deadline for the service and filing of the oppositions to any motion for appointment of lead plaintiff. Plaintiff shall promptly serve a copy of this Order on each of the defendants. (As further set forth in this Order.) (Signed by Judge Ronnie Abrams on 2/4/2019) (cf)
January 31, 2019 Filing 5 ELECTRONIC SUMMONS ISSUED as to ABN AMRO Clearing Chicago LLC, BNP Paribas Securities Corp., Banca IMI Securities Corp., Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, J.P. Morgan Securities LLC, Jefferies LLC, Todd B. Johnson, Edward Karpowicz, Knight Execution & Clearing Services, LLC, Louis M. Mayberg, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC, Newedge USA LLC, Nomura Securities International, Inc., ProShare Capital Management LLC, ProShares Trust II, RBC Capital Markets, LLC, SG Americas Securities, LLC, Michael L. Sapir, Timber Hill, LLC,, UBS Securities LLC, Virtu Financial BD LLC, Wedbush Securities, Inc.. (dnh)
January 30, 2019 Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to ProShares Trust II, ProShare Capital Management LLC, Todd B. Johnson, Edward Karpowicz, Michael L. Sapir, Louis M. Mayberg, ABN AMRO Clearing Chicago LLC, Banca IMI Securities Corp., Barclays Capital Inc., BNP Paribas Securities Corp., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, Jefferies LLC, J.P. Morgan Securities LLC, Knight Execution & Clearing Services, LLC, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC., Newedge USA LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, SG Americas Securities, LLC, Timber Hill, LLC, UBS Securities LLC, Virtu Financial BD LLC, Wedbush Securities, Inc., re: #1 Complaint,,,. Document filed by David A. Ford. (Rudman, Samuel)
January 30, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Samuel Howard Rudman to RE-FILE Document No. #3 Request for Issuance of Summons. The filing is deficient for the following reason(s): the PDF attached to the docket entry for the issuance of summons is not correct; if all of the parties do not fit in the caption exactly as it reads on the pleading list the leading party followed by 'et al'. 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. (dnh)
January 30, 2019 Case Designated ECF. (dnh)
January 30, 2019 Magistrate Judge Henry B. Pitman is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (dnh)
January 30, 2019 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Ronnie Abrams. 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. (dnh)
January 30, 2019 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Samuel Howard Rudman. The party information for the following party/parties has been modified: David A. Ford. The information for the party/parties has been modified for the following reason/reasons: party text was omitted. (dnh)
January 29, 2019 Filing 3 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to ProShares Trust II, ProShare Capital Management LLC, Todd B. Johnson, Edward Karpowicz, Michael L. Sapir, Louis M. Mayberg, ABN AMRO Clearing Chicago LLC, Banca IMI Securities Corp., Barclays Capital Inc., BNP Paribas Securities Corp., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, Jefferies LLC, J.P. Morgan Securities LLC, Knight Execution & Clearing Services, LLC, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC, Newedge USA LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, SG Americas Securities, LLC, Timber Hill, LLC, UBS Securities LLC, Virtu Financial BD LLC, Wedbush Securities, Inc., re: #1 Complaint,,,. Document filed by David A. Ford. (Rudman, Samuel) Modified on 1/30/2019 (dnh).
January 29, 2019 Filing 2 CIVIL COVER SHEET filed. (Rudman, Samuel)
January 29, 2019 Filing 1 COMPLAINT against ABN AMRO Clearing Chicago LLC, BNP Paribas Securities Corp., Banca IMI Securities Corp., Barclays Capital Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., Goldman, Sachs & Co., HRT Financial LLC, J.P. Morgan Securities LLC, Jefferies LLC, Todd B. Johnson, Edward Karpowicz, Knight Execution & Clearing Services, LLC, Louis M. Mayberg, Merrill Lynch Professional Clearing Corp., Mizuho Securities USA LLC, Newedge USA LLC, Nomura Securities International, Inc., ProShare Capital Management LLC, ProShares Trust II, RBC Capital Markets, LLC, SG Americas Securities, LLC, Michael L. Sapir, Timber Hill, LLC,, UBS Securities LLC, Virtu Financial BD LLC, Wedbush Securities, Inc.. (Filing Fee $ 400.00, Receipt Number ANYSDC-16262761)Document filed by David A. Ford.(Rudman, Samuel)

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Search for this case: Ford v. ProShares Trust II et al
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Defendant: SG Americas Securities, LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Jefferies LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Virtu Financial BD LLC
Represented By: Daniel Shiah Sinnreich
Represented By: Audra Jan Soloway
Represented By: Andrew Garry Gordon
Represented By: Adam Selim Hakki
Represented By: Agnes Dunogue
Represented By: Daniel Craig Lewis
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Defendant: Knight Execution & Clearing Services, LLC
Represented By: Daniel Shiah Sinnreich
Represented By: Audra Jan Soloway
Represented By: Andrew Garry Gordon
Represented By: Adam Selim Hakki
Represented By: Agnes Dunogue
Represented By: Daniel Craig Lewis
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Defendant: Deutsche Bank Securities Inc.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Credit Suisse Securities (USA) LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Goldman, Sachs & Co.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: ProShares Trust II
Represented By: Jessica M. Bergin
Represented By: Amy D. Roy
Represented By: Elissa C. Reidy
Represented By: Robert A. Skinner
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Defendant: J.P. Morgan Securities LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Barclays Capital Inc.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Todd B. Johnson
Represented By: Jessica M. Bergin
Represented By: Amy D. Roy
Represented By: Elissa C. Reidy
Represented By: Robert A. Skinner
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Defendant: Banca IMI Securities Corp.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Michael L. Sapir
Represented By: Jessica M. Bergin
Represented By: Amy D. Roy
Represented By: Elissa C. Reidy
Represented By: Robert A. Skinner
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Defendant: Merrill Lynch Professional Clearing Corp.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: UBS Securities LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Louis M. Mayberg
Represented By: Jessica M. Bergin
Represented By: Amy D. Roy
Represented By: Elissa C. Reidy
Represented By: Robert A. Skinner
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Defendant: BNP Paribas Securities Corp.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: ProShare Capital Management LLC
Represented By: Jessica M. Bergin
Represented By: Amy D. Roy
Represented By: Elissa C. Reidy
Represented By: Robert A. Skinner
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Defendant: Edward Karpowicz
Represented By: Jessica M. Bergin
Represented By: Amy D. Roy
Represented By: Elissa C. Reidy
Represented By: Robert A. Skinner
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Defendant: HRT Financial LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Nomura Securities International, Inc.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Wedbush Securities, Inc.
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Timber Hill, LLC,
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Mizuho Securities USA LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Newedge USA LLC
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Defendant: ABN AMRO Clearing Chicago LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: RBC Capital Markets, LLC
Represented By: Adam Selim Hakki
Represented By: Daniel Craig Lewis
Represented By: Agnes Dunogue
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Defendant: Leon Fidel
Represented By: Jeremy Alan Lieberman
Represented By: Peretz Bronstein
Represented By: Eitan Kimelman
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Plaintiff: David A. Ford
Represented By: Samuel Howard Rudman
Represented By: David Avi Rosenfeld
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Petitioner: Stacy Smith
Represented By: David Avi Rosenfeld
Represented By: Reed R. Kathrein
Represented By: Danielle Suzanne Myers
Represented By: Steve W. Berman
Represented By: Vincent Michael Serra
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Petitioner: Fei Liu
Represented By: David Avi Rosenfeld
Represented By: Reed R. Kathrein
Represented By: Danielle Suzanne Myers
Represented By: Steve W. Berman
Represented By: Vincent Michael Serra
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Petitioner: Kershner Trading Group, LLC
Represented By: Barbara J. Hart
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Petitioner: Emre Enginarlar
Represented By: Jeremy Alan Lieberman
Represented By: Peretz Bronstein
Represented By: Eitan Kimelman
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Petitioner: Anthony Ludovici
Represented By: David Avi Rosenfeld
Represented By: Reed R. Kathrein
Represented By: Danielle Suzanne Myers
Represented By: Steve W. Berman
Represented By: Vincent Michael Serra
Represented By: Erin Whitney Boardman
Represented By: Avital Orly Malina
Represented By: Lindsay La Marca
Represented By: Lucas E. Gilmore
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Petitioner: Thomas Butler, III
Represented By: David Avi Rosenfeld
Represented By: Reed R. Kathrein
Represented By: Danielle Suzanne Myers
Represented By: Steve W. Berman
Represented By: Vincent Michael Serra
Represented By: Erin Whitney Boardman
Represented By: Avital Orly Malina
Represented By: Lindsay La Marca
Represented By: Lucas E. Gilmore
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Petitioner: Great Point Capital LLC
Represented By: Adam M. Apton
Represented By: Nicholas Ian Porritt
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Petitioner: Lisa Ludovici
Represented By: David Avi Rosenfeld
Represented By: Reed R. Kathrein
Represented By: Danielle Suzanne Myers
Represented By: Steve W. Berman
Represented By: Vincent Michael Serra
Represented By: Erin Whitney Boardman
Represented By: Avital Orly Malina
Represented By: Lindsay La Marca
Represented By: Lucas E. Gilmore
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Petitioner: Dibyendu Basu
Represented By: Jeremy Alan Lieberman
Represented By: Peretz Bronstein
Represented By: Eitan Kimelman
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