Proctor, III et al v. JP Morgan Chase & Co. et al
| Synova Asset Management, LLC and Charles Herbert Proctor, III |
| J.P. Morgan Clearing Corp., J.P Morgan Securities LLC, J.P. Morgan Futures, Inc., JP Morgan Chase & Co and John Does #1-50 |
| Breakwater Trading LLC |
| 1:2020cv05360 |
| July 13, 2020 |
| US District Court for the Southern District of New York |
| Paul A Engelmayer |
| Securities/Commodities |
| Plaintiff |
Docket Report
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| Filing 52 RESPONSE in Support of Motion re: #45 MOTION to Appoint Counsel Lowey Dannenberg P.C. and Kirby McInerney LLP as Interim Co-Lead Counsel and Consolidate Related Cases. . Document filed by Charles Herbert Proctor, III, Synova Asset Management, LLC..(Lerner, Karen) |
| Filing 51 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERNECE proceeding held on 8/13/2020 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly) |
| Filing 50 TRANSCRIPT of Proceedings re: CONFERENCE held on 8/13/2020 before Judge Paul A. Engelmayer. Court Reporter/Transcriber: Andrew Walker, (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 9/24/2020. Redacted Transcript Deadline set for 10/5/2020. Release of Transcript Restriction set for 12/2/2020..(McGuirk, Kelly) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #48 Proposed Order was reviewed and approved as to form. (dt) |
| Filing 49 MEMORANDUM OF LAW in Support re: #45 MOTION to Appoint Counsel Lowey Dannenberg P.C. and Kirby McInerney LLP as Interim Co-Lead Counsel and Consolidate Related Cases. . Document filed by Charles Herbert Proctor, III, Synova Asset Management, LLC..(Fata, Anthony) |
| Filing 48 PROPOSED ORDER. Document filed by Charles Herbert Proctor, III, Synova Asset Management, LLC. Related Document Number: #45 ..(Lerner, Karen) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 47 DECLARATION of Karen M. Lerner in Support re: #45 MOTION to Appoint Counsel Lowey Dannenberg P.C. and Kirby McInerney LLP as Interim Co-Lead Counsel and Consolidate Related Cases.. Document filed by Charles Herbert Proctor, III, Synova Asset Management, LLC. (Attachments: #1 Exhibit A - Lowey Resume, #2 Exhibit B - Kirby Resume, #3 Exhibit C - Billing and Expense Protocol, #4 Exhibit D - Breakwater LLC, #5 Exhibit E - Endeavor LLC, #6 Exhibit F - WSJ Article).(Lerner, Karen) |
| Filing 46 MEMORANDUM OF LAW in Support re: #45 MOTION to Appoint Counsel Lowey Dannenberg P.C. and Kirby McInerney LLP as Interim Co-Lead Counsel and Consolidate Related Cases. . Document filed by Charles Herbert Proctor, III, Synova Asset Management, LLC..(Lerner, Karen) |
| Filing 45 MOTION to Appoint Counsel Lowey Dannenberg P.C. and Kirby McInerney LLP as Interim Co-Lead Counsel and Consolidate Related Cases. Document filed by Charles Herbert Proctor, III, Synova Asset Management, LLC..(Lerner, Karen) |
| Filing 44 MEMO ENDORSEMENT on re: [25 in 1:20-cv-03515-PAE et al] Letter. ENDORSEMENT; The Court adopts the proposed schedule and sets September 4, 2020 as the due date for any responses to motions to consolidate or motions to appoint lead counsel. (Motions due by 8/21/2020. Responses due by 9/4/2020) (Signed by Judge Paul A. Engelmayer on 8/13/2020) (jwh) |
| Filing 43 JOINT LETTER addressed to Judge Paul A. Engelmayer from Counsel for All Parties dated August 11, 2020 re: Response to Court's Order of August 5, 2020. Document filed by Charles Herbert Proctor, III, Synova Asset Management, LLC..(Lerner, Karen) |
Filing 42
ORDER: The Court understands that all related cases involving common allegations of spoofing or market manipulation by the JPMorgan Chase & Co. defendants are now before this Court. The Court's judgment is that a brief telephone conference is warranted, before the Court sets a schedule for next steps in the case. The Court schedules such a conference for Thursday, August 13, 2020, at 10 a.m. The parties are to call into the Court's dedicated conference line at (888) 363-4749, and enter Access Code 468-4906, followed by the pound (#) key. Counsel are directed to review the Court's Emergency Individual Rules and Practices in Light of COVID-19, found at https://nysd.uscourts.gov/hon-paul-engelmayer, for the Court's procedures for telephonic conferences and for instructions for communicating with Chambers. (As further set forth herein this Order.) ( Telephone Conference set for 8/13/2020 at 10:00 AM before Judge Paul A. Engelmayer.) (Signed by Judge Paul A. Engelmayer on 8/5/2020) (va)
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Filing 41
ORDER: The Court understands that all related cases involving common allegations of spoofing or market manipulation by the JPMorgan Chase & Co. defendants are now before this Court. The Court's judgment is that a brief telephone conference is warranted, before the Court sets a schedule for next steps in the case. The Court schedules such a conference for Thursday, August 13, 2020, at 10 a.m. The parties are to call into the Court's dedicated conference line at (888) 363-4749, and enter Access Code 468-4906, followed by the pound (#) key. Counsel are directed to review the Court's Emergency Individual Rules and Practices in Light of COVID-19. In advance of the conference, the Court directs that counsel for plaintiffs and defendants confer as to an orderly schedule in the case and file a joint letter on the docket of each related case setting forth the parties' proposals as to the schedule. Counsels' joint letter is due by 5 p.m. on Tuesday, August 11, 2020, and as further set forth in this order. (Telephone Conference set for 8/13/2020 at 10:00 AM before Judge Paul A. Engelmayer.) (Signed by Judge Paul A. Engelmayer on 8/5/2020) (jwh)
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| Filing 40 NOTICE OF APPEARANCE by Peter Anthony Barile, III on behalf of Charles Herbert Proctor, III, Synova Asset Management, LLC..(Barile, Peter) |
| Filing 39 LETTER addressed to Judge Paul A. Engelmayer from Linda P. Nussbaum dated July 16, 2020 re: Illinois Counsel's Letter of July 15, 2020. Document filed by Breakwater Trading LLC..(Nussbaum, Linda) |
| Filing 38 LETTER MOTION to Expedite Schedule for Motions to Consolidate and Appoint Interim Lead Counsel addressed to Judge Paul A. Engelmayer from Karen Lerner dated July 15, 2020. Document filed by Charles Herbert Proctor, III..(Lerner, Karen) |
| CASE ACCEPTED AS RELATED. Create association to 1:20-cv-03515-PAE. Notice of Assignment to follow. (wb) |
| NOTICE OF CASE REASSIGNMENT to Judge Paul A. Engelmayer. Judge Unassigned is no longer assigned to the case..(wb) |
| Magistrate Judge James L. Cott 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: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (wb) |
| Filing 37 CASE TRANSFERRED IN from the United States District Court - District of Illinois Northern; Case Number: 1:20-cv-02666. Original file certified copy of transfer order and docket entries received. (sjo) |
| Case Designated ECF. (sjo) |
| CASE REFERRED TO Judge Paul A. Engelmayer as possibly related to 1:20-cv-3515. (sjo) |
| NOTE TO OUT OF STATE ATTORNEYS: Please visit the Court's website at https://nysd.uscourts.gov/ for information regarding admission to the S.D.N.Y. Bar and the CM/ECF Rules & Filing Instructions. (sjo) |
| Filing 36 TRANSFERRED to the USDC Southern District of New York the electronic record. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 35 MINUTE entry before the Honorable Steven C. Seeger: Defendants' Agreed Motion for Transfer of This Action to United States District Court for Southern District of New York (Dckt. No. #34 ) is hereby granted. The Clerk is directed to transfer this action to the Southern District of New York forthwith. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 34 MOTION by Defendants J.P. Morgan Clearing Corp., J.P. Morgan Futures, Inc., J.P. Morgan Securities LLC, JP Morgan Chase & Co. to transfer case - Defendants' Agreed Motion for Transfer of This Action to United States District Court for Southern District of New York (Attachments: #1 Exhibit Attachment - Stipulation and [Proposed] Order to Transfer Venue to the United States District Court for the Southern District of New York)(Page, Mark) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 33 MOTION of Plaintiff Breakwater Trading LLC for the transfer to and consolidation or coordination of related actions in the Southern District of New York. (Attachments) (ph, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 32 MINUTE entry before the Honorable Steven C. Seeger: The Court grants the Motion for Leave to Appear Pro Hac Vice. (Dckt. No. #31 ) Attorney Robert A. Sacks is added as counsel for J.P. Morgan Clearing Corp., J.P. Morgan Futures, Inc., J.P. Morgan Securities LLC and JP Morgan Chase & Co. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 31 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-17159102. (Sacks, Robert) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 30 MINUTE entry before the Honorable Steven C. Seeger: The Court grants both Motions for Leave to Appear Pro Hac Vice. (Dckt. No. #27 and #28 ) Attorney Amanda Flug Davidoff and Akash M. Toprani are added as counsel for J.P. Morgan Clearing Corp., J.P. Morgan Futures, Inc., J.P. Morgan Securities LLC and JP Morgan Chase & Co. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 29 MINUTE entry before the Honorable Steven C. Seeger: Defendants' Unopposed Motion for Extensions of Time (Dckt. No. #26 ) is hereby granted. Plaintiff in a related action filed a motion before the MDL panel to transfer, consolidate, or coordinate this case with other Treasuries Futures Spoofing Actions in the SDNY. The Court extends the deadline for Defendants to respond to the complaint. Defendants must file an answer or otherwise respond to the complaint no later than 45 days after the filing of a consolidated amended complaint, unless an earlier date is set for JP Morgan to respond to the complaints in any of the Treasuries Futures Spoofing Actions. If there is an earlier due date in one of those Actions, then that earlier due date shall be the due date in this case, too. The parties shall file a joint initial status report and a proposed scheduling order 45 days after the filing of a consolidated amended complaint if the actions are consolidated before this Court. Defenses except insufficiency of service of process are preserved. The parties shall preserve documents as required by the Federal Rules. The parties shall keep this Court informed about the status of the motion before the MDL panel as appropriate. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 28 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-17152102. (Toprani, Akash) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 27 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-17152081. (Davidoff, Amanda) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 26 MOTION by Defendants J.P. Morgan Clearing Corp., J.P. Morgan Futures, Inc., J.P. Morgan Securities LLC, JP Morgan Chase & Co. for extension of time - Defendants' Unopposed Motion for Extensions of Time to File Response to Plaintiffs' Complaint and to File Status Report (Page, Mark) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 25 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by J.P. Morgan Clearing Corp., J.P. Morgan Futures, Inc., J.P. Morgan Securities LLC, JP Morgan Chase & Co. (Page, Mark) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 24 ATTORNEY Appearance for Defendants J.P. Morgan Clearing Corp., J.P. Morgan Futures, Inc., J.P. Morgan Securities LLC, JP Morgan Chase & Co. by Suyash Agrawal (Agrawal, Suyash) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 23 ATTORNEY Appearance for Defendants J.P. Morgan Clearing Corp., J.P. Morgan Futures, Inc., J.P. Morgan Securities LLC, JP Morgan Chase & Co. by Mark W. Page (Page, Mark) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 22 MINUTE entry before the Honorable Steven C. Seeger: The status hearing previously set for July 22, 2020 is stricken. The parties shall file a Joint Initial Status Report on the docket and shall submit a Word version of the proposed scheduling order to the Court's proposed order inbox by July 17, 2020. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
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Filing 21
ORDER ORDER Fourth Amended General Order 20-0012 IN RE: CORONAVIRUS COVID-19 PUBLIC EMERGENCY Signed by the Chief Judge Rebecca R. Pallmeyer on May 26, 2020. This Order does not extend or modify any deadlines set in civil cases. For non-emergency motions, no motion may be noticed for presentment on a date earlier than July 15, 2020. See attached Order. Signed by the Honorable Rebecca R. Pallmeyer on 5/26/2020: Mailed notice. (docket11, ) [Transferred from Illinois Northern on 7/13/2020.]
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| Filing 20 ATTORNEY Appearance for Plaintiffs Charles Herbert Proctor, III, Synova Asset Management, LLC by Raymond P Girnys (Girnys, Raymond) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 19 ATTORNEY Appearance for Plaintiffs Charles Herbert Proctor, III, Synova Asset Management, LLC by Johnathan Seredynski (Seredynski, Johnathan) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 18 ATTORNEY Appearance for Plaintiffs Charles Herbert Proctor, III, Synova Asset Management, LLC by Vincent Briganti (Briganti, Vincent) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 17 MINUTE entry before the Honorable Steven C. Seeger: The motions to appear pro hac vice (Dckt. No. #14 , #15 , and #16 ) are granted. Attorney Vincent Briganti, Raymond P Girnys and Johnathan Seredynski are added as counsel for Charles Herbert Proctor, III and Seredynski for Synova Asset Management, LLC. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 16 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-17002336. (Seredynski, Johnathan) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 15 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-17002305. (Girnys, Raymond) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 14 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-17002276. (Briganti, Vincent) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 13 MINUTE entry before the Honorable Steven C. Seeger: Motion to appear pro hac vice (Dckt. No. #11 ) is hereby granted. Attorney David Kovel is added as counsel for Charles Herbert Proctor, III and Synova Asset Management, LLC. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 12 ATTORNEY Appearance for Plaintiffs Charles Herbert Proctor, III, Synova Asset Management, LLC by Anthony Epifanio Maneiro (Maneiro, Anthony) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 11 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-16996847. (Kovel, David) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 10 MINUTE entry before the Honorable Steven C. Seeger: Motion for leave to appear pro hac vice (Dckt. No. #9 ) is granted. Attorney Karen M. Lerner for Charles Herbert Proctor, III and Synova Asset Management, LLC has been added. Mailed notice. (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 9 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752-16992558. (Lerner, Karen) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 8 ATTORNEY Appearance for Plaintiffs Charles Herbert Proctor, III, Synova Asset Management, LLC by Christopher Phillip Taylor Tourek (Tourek, Christopher) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 7 ATTORNEY Appearance for Plaintiffs Charles Herbert Proctor, III, Synova Asset Management, LLC by Anthony F. Fata (Fata, Anthony) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 6 CIVIL Cover Sheet (Fata, Anthony) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 4 NOTICE TO THE PARTIES - The Court is participating in the Mandatory Initial Discovery Pilot (MIDP). The key features and deadlines are set forth in this Notice which includes a link to the (MIDP) Standing Order and a Checklist for use by the parties. In cases subject to the pilot, all parties must respond to the mandatory initial discovery requests set forth in the Standing Order before initiating any further discovery in this case. Please note: The discovery obligations in the Standing Order supersede the disclosures required by Rule 26(a)(1). Any party seeking affirmative relief must serve a copy of the following documents (Notice of Mandatory Initial Discovery and the Standing Order) on each new party when the Complaint, Counterclaim, Crossclaim, or Third-Party Complaint is served. (kp, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 3 MINUTE entry before the Honorable Steven C. Seeger: An initial status hearing is set for July 22, 2020 at 9:00 a.m. Counsel must read the Standing Order entitled "Initial Status Conferences and Joint Initial Status Reports" on the Court's website. At least two weeks before the hearing, the parties must discuss settlement in good faith, and make a serious attempt to resolve this case amicably. The parties also must confer as required by Rule 26(f) about the nature, scope, and duration of discovery. The parties must submit two documents to the Court before the initial status hearing. First, the parties must file the Joint Initial Status Report under Rule 26(f) by July 17, 2020. A Word version of the Joint Initial Status Report is available on the Court's website. Second, the parties must submit a Word version of a proposed Scheduling Order under Rule 16(b) to the Court's proposed order inbox. Please note that the parties must file the Joint Initial Status Report on the Court's docket, but must email (i.e., not file on the docket) the proposed Scheduling Order to the Court's proposed order inbox. The initial status hearing will be the scheduling conference contemplated by Rule 16(b). Lead counsel for the parties must participate in the initial status conference. Counsel must be prepared to discuss the status of settlement, as well as the proposed discovery plan. Plaintiff must serve this Order on all other parties. If the defendant has not been served with process by one week before the initial status hearing, plaintiff's counsel must contact the Courtroom Deputy at jessica_j_ramos@ilnd.uscourts.gov to reschedule the initial status hearing. Plaintiff should not file the Joint Initial Status Report before the defendant(s) has been served with process. All counsel of record must read and comply with this Court's Standing Orders on its webpage. Please pay special attention to the Standing Orders about Depositions and Discovery. Status hearing set for 7/22/2020 at 09:00 AM.Mailed notice (jjr, ) [Transferred from Illinois Northern on 7/13/2020.] |
| CASE ASSIGNED to the Honorable Steven C. Seeger. Designated as Magistrate Judge the Honorable M. David Weisman. Case assignment: Random assignment. (txl, ) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 2 CIVIL Cover Sheet (Fata, Anthony) [Transferred from Illinois Northern on 7/13/2020.] |
| Filing 1 COMPLAINT filed by Charles Herbert Proctor, III, Synova Asset Management, LLC; Jury Demand. Filing fee $ 400, receipt number 0752-16983074.(Fata, Anthony) [Transferred from Illinois Northern on 7/13/2020.] |
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Filing 5
ORDER Third Amended General Order 20-0012 IN RE: CORONAVIRUS COVID-19 PUBLIC EMERGENCY Signed by the Chief Judge Rebecca R. Pallmeyer on April 24, 2020. All open cases are impacted by this Third Amended General Order. Parties are must carefully review all obligations under this Order, including the requirement listed in paragraph number 5 to file a joint written status report in most civil cases. See attached Order. Signed by the Honorable Rebecca R. Pallmeyer on 4/24/2020: Mailed notice (ec, ) [Transferred from Illinois Northern on 7/13/2020.]
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