Harrington Global Opportunity Fund, Limited v. CIBC World Markets Corp. et al
Plaintiff: HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED
Defendant: UBS Financial Services, Inc., JOHN 1-10 DOES, CIBC World Markets Inc., Merrill Lynch Canada Inc., CORMARK SECURITIES, INC., Merrill Lynch Professional Clearing Corp., CIBC World Markets Corp., SG AMERICAS SECURITIES, LLC,, TD SECURITIES(USA) LLC, SOCIETE GENERALE CAPITALE CANADA, INC., UBS SECURITIES CANADA, INC., Bank of America Securities, Inc., TD SECURITIES, INC.,, SG Americas Securities, LLC, TD Securities, Inc., TD Securities (USA) LLC, and John Does 1 through 10
Case Number: 1:2021cv00761
Filed: January 27, 2021
Court: US District Court for the Southern District of New York
Presiding Judge: Lorna G Schofield
Nature of Suit: Other Statutory Actions
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on March 31, 2021. A more recent docket listing may be available from PACER.

Date Filed Document Text
March 25, 2021 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #50 MOTION for Benjamin Welsh Turner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24309080. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
March 25, 2021 Filing 50 MOTION for Benjamin Welsh Turner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24309080. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS Financial Services, Inc., UBS Securities Canada, Inc.. (Attachments: #1 Affidavit of Benjamin W. Turner, #2 Certificate of Good Standing, #3 Text of Proposed Order).(Turner, Ben)
March 25, 2021 Filing 49 LETTER MOTION for Leave to File Motion to Dismiss addressed to Judge Lorna G. Schofield from David Lesser dated March 25, 2021. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Lesser, David)
March 25, 2021 Filing 48 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Merrill Lynch Canada Holdings Company, Other Affiliate Bank of America Corporation, Other Affiliate Merrill Lynch International, LLC, Other Affiliate Merrill Lynch International, LLC, Other Affiliate BofA Securities, Inc., Other Affiliate Berkshire Hathaway Inc., Other Affiliate NB Holdings Corporation for Merrill Lynch Canada Inc.; Corporate Parent BofA Securities, Inc. for Merrill Lynch Professional Clearing Corp.. Document filed by Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp...(Rudzin, Abby)
March 25, 2021 Filing 47 NOTICE OF APPEARANCE by Brad Michael Elias on behalf of Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp...(Elias, Brad)
March 25, 2021 Filing 46 NOTICE OF APPEARANCE by Abby Faith Rudzin on behalf of Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp...(Rudzin, Abby)
March 24, 2021 Filing 45 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS Americas Inc. for UBS Financial Services, Inc.; Corporate Parent UBS AG, Corporate Parent UBS Group AG, Corporate Parent UBS Holding Canada Ltd. for UBS Securities Canada, Inc.. Document filed by UBS Financial Services, Inc., UBS Securities Canada, Inc...(Zimmerman, Laura)
March 24, 2021 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Laura Rose Zimmerman to RE-FILE Document #42 Rule 7.1 Corporate Disclosure Statement. ERROR(S): Not All Corporate Parents/Other affiliates were added. Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). (ldi)
March 23, 2021 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #44 MOTION for Michael David Hidalgo to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24296004. Motion and supporting papers to be reviewed by Clerk's Office staff., #43 MOTION for Perrie Michael Weiner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24295977. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
March 23, 2021 Filing 44 MOTION for Michael David Hidalgo to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24296004. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS Financial Services, Inc., UBS Securities Canada, Inc.. (Attachments: #1 Affidavit of Michael Hidalgo, #2 Certificate of Good Standing, #3 Text of Proposed Order).(Hidalgo, Michael)
March 23, 2021 Filing 43 MOTION for Perrie Michael Weiner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24295977. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS Financial Services, Inc., UBS Securities Canada, Inc.. (Attachments: #1 Affidavit of Perrie Weiner, #2 Certificate of Good Standing, #3 Text of Proposed Order).(Weiner, Perrie)
March 23, 2021 Filing 42 FILING ERROR - NOT ALL CORPORATE PARENTS/OTHER AFFILIATES WERE ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS Americas Inc. for UBS Financial Services, Inc.; Corporate Parent UBS Holding Canada Ltd. for UBS Securities Canada, Inc.. Document filed by UBS Financial Services, Inc., UBS Securities Canada, Inc...(Zimmerman, Laura) Modified on 3/24/2021 (ldi).
March 23, 2021 Filing 41 NOTICE OF APPEARANCE by Aleesha Fowler on behalf of UBS Financial Services, Inc., UBS Securities Canada, Inc...(Fowler, Aleesha)
March 23, 2021 Filing 40 NOTICE OF APPEARANCE by Laura Rose Zimmerman on behalf of UBS Financial Services, Inc., UBS Securities Canada, Inc...(Zimmerman, Laura)
March 23, 2021 Opinion or Order Filing 39 ORDER granting #28 Motion for William Walsh to Appear Pro Hac Vice; granting #29 Motion for Stephen Senderowitz to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
March 12, 2021 Filing 38 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Canadian Imperial Bank of Commerce for CIBC World Markets Corp., CIBC World Markets Inc.. Document filed by CIBC World Markets Corp., CIBC World Markets Inc...(Hauser, Sandra)
March 8, 2021 Filing 37 NOTICE OF APPEARANCE by Alexander Kaim Bussey on behalf of SG Americas Securities, LLC, Societe Generale Capitale Canada, Inc...(Bussey, Alexander)
March 8, 2021 Filing 36 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Societe Generale SA for SG Americas Securities, LLC, Societe Generale Capitale Canada, Inc.. Document filed by SG Americas Securities, LLC, Societe Generale Capitale Canada, Inc...(Fishman, Todd)
March 8, 2021 Filing 35 NOTICE OF APPEARANCE by Todd Steven Fishman on behalf of SG Americas Securities, LLC, Societe Generale Capitale Canada, Inc...(Fishman, Todd)
March 5, 2021 Filing 34 AFFIDAVIT OF SERVICE of Summons and Complaint,. TD Securities, Inc. served on 2/16/2021, answer due 3/9/2021. Service was accepted by Jackie Gordon, in charge. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
March 5, 2021 Filing 33 AFFIDAVIT OF SERVICE of Summons and Complaint,. UBS Securities Canada, Inc. served on 2/4/2021, answer due 2/25/2021. Service was accepted by Shwetha Venkataranaiah, in charge. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
March 5, 2021 Filing 32 AFFIDAVIT OF SERVICE of Summons and Complaint,. CIBC World Markets Inc. served on 2/19/2021, answer due 3/12/2021. Service was accepted by Rose Pacita, agent. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
March 5, 2021 Filing 31 AFFIDAVIT OF SERVICE of Summons and Complaint,. Societe Generale Capitale Canada, Inc. served on 2/4/2021, answer due 2/25/2021. Service was accepted by Louise Frost, person in charge. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
March 5, 2021 Filing 30 AFFIDAVIT OF SERVICE of Summons and Complaint,. Cormark Securities, Inc. served on 2/5/2021, answer due 2/26/2021. Service was accepted by Claudio Celenza, person in charge. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
March 5, 2021 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #28 MOTION for William Walsh to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff., #29 MOTION for Stephen Senderowitz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
March 4, 2021 Filing 29 MOTION for Stephen Senderowitz to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by CIBC World Markets Corp., CIBC World Markets Inc.. (Attachments: #1 Affidavit of Stephen Senderowitz, #2 Certificate of Good Standing, #3 Text of Proposed Order).(Senderowitz, Stephen)
March 4, 2021 Filing 28 MOTION for William Walsh to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by CIBC World Markets Corp., CIBC World Markets Inc.. (Attachments: #1 Affidavit of William Walsh in Support of Motion for Pro Hac Vice, #2 Certificate of Good Standing, #3 Text of Proposed Order).(Walsh, William)
March 4, 2021 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #26 MOTION for Stephen Senderowitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24181197. Motion and supporting papers to be reviewed by Clerk's Office staff. The filing is deficient for the following reason(s): Affidavit is not Notarized. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (aea)
March 4, 2021 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #27 MOTION for William E. Walsh to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24181205. Motion and supporting papers to be reviewed by Clerk's Office staff. The filing is deficient for the following reason(s): Affidavit is not Notarized;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (aea)
March 3, 2021 Filing 27 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for William E. Walsh to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24181205. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by CIBC World Markets Corp., CIBC World Markets Inc.. (Attachments: #1 Affidavit In Support of Motion for Admission Pro Hac Vice of William E. Wlash, #2 Exhibit #1, #3 Text of Proposed Order).(Walsh, William) Modified on 3/4/2021 (aea).
March 3, 2021 Filing 26 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Stephen Senderowitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24181197. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by CIBC World Markets Corp., CIBC World Markets Inc.. (Attachments: #1 Affidavit in Support of Motion For Admission Pro Hac Vice, #2 Certificate of Good Standing, #3 Text of Proposed Order).(Senderowitz, Stephen) Modified on 3/4/2021 (aea).
February 26, 2021 Filing 25 NOTICE OF APPEARANCE by Sandra Denise Hauser on behalf of CIBC World Markets Corp., CIBC World Markets Inc...(Hauser, Sandra)
February 24, 2021 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #20 MOTION for Ardalan Attar to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
February 23, 2021 Opinion or Order Filing 24 ORDER granting #20 Motion for Ardalan Attar to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
February 23, 2021 Filing 23 NOTICE OF APPEARANCE by Jenny Ross Aquines Pelaez on behalf of TD Securities (USA) LLC,, TD Securities, Inc...(Pelaez, Jenny)
February 23, 2021 Filing 22 NOTICE OF APPEARANCE by David Sapir Lesser on behalf of TD Securities (USA) LLC,, TD Securities, Inc...(Lesser, David)
February 23, 2021 Filing 21 NOTICE OF APPEARANCE by Jamie Stephen Dycus on behalf of TD Securities (USA) LLC,, TD Securities, Inc...(Dycus, Jamie)
February 23, 2021 Filing 20 MOTION for Ardalan Attar to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Harrington Global Opportunity Fund, Limited. (Attachments: #1 Affidavit, #2 Exhibit certificates of good standing, #3 Text of Proposed Order).(Pollack, Alan)
February 23, 2021 Filing 19 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Toronto-Dominion Bank for TD Securities, Inc.; Corporate Parent Toronto Dominion Holdings (U.S.A.), Inc., Other Affiliate The Toronto-Dominion Bank, Other Affiliate TD Group US Holdings LLC for TD Securities (USA) LLC,. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Lesser, David)
February 23, 2021 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #18 MOTION for Ardalan Attar to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24052432. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of Texas;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (wb)
February 23, 2021 Filing 18 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Ardalan Attar to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-24052432. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Harrington Global Opportunity Fund, Limited. (Attachments: #1 Affidavit affidavit of Ardalan Attar, #2 Exhibit, #3 Text of Proposed Order).(Pollack, Alan) Modified on 2/23/2021 (wb).
February 22, 2021 Filing 17 AFFIDAVIT OF SERVICE of Summons and Complaint,. Merrill Lynch Canada Inc. served on 2/12/2021, answer due 3/5/2021. Service was accepted by Pelan Lateef, Agent. Document filed by Harrington Global Opportunity Fund, Limited..(Ennis, Felicia)
February 22, 2021 Set/Reset Deadlines: Service due by 3/18/2021. (cf)
February 22, 2021 Opinion or Order Filing 16 ORDER granting in part and denying in part #15 Letter Motion for Extension of Time to Answer re #15 JOINT LETTER MOTION for Extension of Time to File Answer on behalf of all defendants addressed to Judge Lorna G. Schofield from David Sapir Lesser dated February 19, 2021. The application is GRANTED in part. The deadline for Defendants to answer, move or otherwise respond to the Complaint is adjourned sine die pending service of the Complaint on all named Defendants. By March 18, 2021, Plaintiff shall serve the Complaint on all named Defendants and file proof of service on the docket. By March 25, 2021, Defendants shall file any pre-motion letter in support of a motion to dismiss in accordance with the Individual Rules. By April 1, 2021, Plaintiffs shall file a response per the Individual Rules. The parties shall propose a schedule by which the named Defendants shall answer, move or otherwise respond to the Complaint in their April 1, 2021, joint pre-conference letter. (Signed by Judge Lorna G. Schofield on 2/22/2021) (cf)
February 19, 2021 Filing 15 JOINT LETTER MOTION for Extension of Time to File Answer on behalf of all defendants addressed to Judge Lorna G. Schofield from David Sapir Lesser dated February 19, 2021. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Lesser, David)
February 16, 2021 Opinion or Order Filing 14 ORDER: It is hereby ORDERED that a conference will be held at April 8, 2021 at 11:00 a.m. The conference will be telephonic. (As further set forth in this Order.) Initial Conference set for 4/8/2021 at 11:00 AM before Judge Lorna G. Schofield. (Signed by Judge Lorna G. Schofield on 2/16/2021) (nb)
February 11, 2021 Filing 13 AFFIDAVIT OF SERVICE of Summons and Complaint,. Bank of America Securities, Inc. served on 2/4/2021, answer due 2/25/2021. Service was accepted by Nikita Verma, Manager. Document filed by Harrington Global Opportunity Fund, Limited..(Ennis, Felicia)
February 11, 2021 Filing 12 AFFIDAVIT OF SERVICE of Summons and Complaint,. SG Americas Securities, LLC served on 2/1/2021, answer due 2/22/2021. Service was accepted by Sue Zouky, Authorized Agent, NY Department of State. Document filed by Harrington Global Opportunity Fund, Limited..(Ennis, Felicia)
February 11, 2021 Filing 11 AFFIDAVIT OF SERVICE of Summons and Complaint,. UBS Financial Services, Inc. served on 2/1/2021, answer due 2/22/2021. Service was accepted by Sue Zouky, Authorized Agent, NY Department of State. Document filed by Harrington Global Opportunity Fund, Limited..(Ennis, Felicia)
February 11, 2021 Filing 10 AFFIDAVIT OF SERVICE of Summons and Complaint,. TD Securities (USA) LLC, served on 2/1/2021, answer due 2/22/2021. Service was accepted by Sue Zouky, Authorized Agent, NY Department of State. Document filed by Harrington Global Opportunity Fund, Limited..(Ennis, Felicia)
February 11, 2021 Filing 9 AFFIDAVIT OF SERVICE of Summons and Complaint,. Merrill Lynch Professional Clearing Corp. served on 2/1/2021, answer due 2/22/2021. Service was accepted by Sue Zouky, Authorized Agent, NY Department of State. Document filed by Harrington Global Opportunity Fund, Limited..(Ennis, Felicia)
February 11, 2021 Filing 8 AFFIDAVIT OF SERVICE of Summons and Complaint,. CIBC World Markets Corp. served on 2/1/2021, answer due 2/22/2021. Service was accepted by Sue Zouky, Authorized Agent, NY Department of State. Document filed by Harrington Global Opportunity Fund, Limited..(Ennis, Felicia)
January 29, 2021 Filing 7 ELECTRONIC SUMMONS ISSUED as to Bank of America Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., Cormark Securities, Inc., John Does 1 through 10, Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp., SG Americas Securities, LLC, Societe Generale Capitale Canada, Inc., TD Securities (USA) LLC,, TD Securities, Inc., UBS Financial Services, Inc., UBS Securities Canada, Inc...(pc)
January 28, 2021 Filing 6 REQUEST FOR ISSUANCE OF SUMMONS as to CIBC World Markets Corp., CIBC World Markets Inc.,Bank of America Securities, Inc., Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp., TD Securities, Inc., TD Securities (USA) LLC, Cormark Securities, Inc., UBS Financial Services, Inc., UBS Securities Canada, Inc., Societe Generale Capitale Canada, Inc., SG Americas Securities, LLC, John Does 1 through 10, re: #5 Complaint,. Document filed by Harrington Global Opportunity Fund, Limited. (Attachments: #1 Appendix names and addresses of all defendants).(Pollack, Alan)
January 28, 2021 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Alan Marshall Pollack to RE-FILE Document No. #1 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; the caption listed on the summons PDF must exactly match the caption on the pleading. If the entire caption does not fit, list the leading party followed by 'et al.' Each of the parties as to whom the summons is being requested must be listed in the as to docket entry text. The summons request must be linked to the pleading. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (dnh)
January 28, 2021 Case Designated ECF. (dnh)
January 28, 2021 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. (dnh)
January 28, 2021 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Lorna G. Schofield. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. 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 #https://nysd.uscourts.gov/rules/ecf-related-instructions..(dnh)
January 28, 2021 ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Alan Marshall Pollack. The following case opening statistical information was erroneously selected/entered: Arbitration code e (Exempt). The following correction(s) have been made to your case entry: the Arbitration code has been deleted. (dnh)
January 28, 2021 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Alan Marshall Pollack. The party information for the following party/parties has been modified: CORMARK SECURITIES, INC., JOHN 1-10 DOES, SG AMERICAS SECURITIES, LLC,, SOCIETE GENERALE CAPITALE CANADA, INC., TD SECURITIES(USA) LLC, TD SECURITIES, INC., UBS SECURITIES CANADA, INC., HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error; party name was entered in all caps. (dnh)
January 28, 2021 Civil Case Opening Fee Paid electronically via Pay.gov: for #5 Complaint,. Filing fee $ 402.00. Pay.gov receipt number ANYSDC-23718599, paid on 01/27/2021..(dnh)
January 28, 2021 Filing 5 COMPLAINT against Bank of America Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., CORMARK SECURITIES, INC., JOHN 1-10 DOES, Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp., SG AMERICAS SECURITIES, LLC,, SOCIETE GENERALE CAPITALE CANADA, INC., TD SECURITIES(USA) LLC, TD SECURITIES, INC.,, UBS Financial Services, Inc., UBS SECURITIES CANADA, INC.. Document filed by HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED..(Pollack, Alan)
January 27, 2021 Filing 4 NOTICE OF APPEARANCE by Felicia Sue Ennis on behalf of HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED..(Ennis, Felicia)
January 27, 2021 Filing 3 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED..(Pollack, Alan)
January 27, 2021 Filing 2 CIVIL COVER SHEET filed..(Pollack, Alan)
January 27, 2021 Filing 1 FILING ERROR SUMMONS NOT LINKED TO CORRESPONDING PLEADING- REQUEST FOR ISSUANCE OF SUMMONS as to all named parties except "John Does", re: Complaint. Document filed by HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED..(Pollack, Alan) Modified on 1/28/2021 (dnh).

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Search for this case: Harrington Global Opportunity Fund, Limited v. CIBC World Markets Corp. et al
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Defendant: UBS Financial Services, Inc.
Represented By: Ben Turner
Represented By: Laura Rose Zimmerman
Represented By: Perrie M. Weiner
Represented By: Michael D Hidalgo
Represented By: Aleesha Fowler
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Defendant: JOHN 1-10 DOES
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Defendant: CIBC World Markets Inc.
Represented By: Sandra Denise Hauser
Represented By: Stephen J. Senderowitz
Represented By: William Walsh
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Defendant: Merrill Lynch Canada Inc.
Represented By: Abby Faith Rudzin
Represented By: Brad Michael Elias
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Defendant: CORMARK SECURITIES, INC.
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Defendant: Merrill Lynch Professional Clearing Corp.
Represented By: Abby Faith Rudzin
Represented By: Brad Michael Elias
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Defendant: CIBC World Markets Corp.
Represented By: Sandra Denise Hauser
Represented By: Stephen J. Senderowitz
Represented By: William Walsh
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Defendant: SG AMERICAS SECURITIES, LLC,
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Defendant: TD SECURITIES(USA) LLC
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Defendant: SOCIETE GENERALE CAPITALE CANADA, INC.
Represented By: Alexander Kaim Bussey
Represented By: Todd Steven Fishman
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Defendant: UBS SECURITIES CANADA, INC.
Represented By: Ben Turner
Represented By: Laura Rose Zimmerman
Represented By: Perrie M. Weiner
Represented By: Michael D Hidalgo
Represented By: Aleesha Fowler
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Defendant: Bank of America Securities, Inc.
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Defendant: TD SECURITIES, INC.,
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Defendant: SG Americas Securities, LLC
Represented By: Alexander Kaim Bussey
Represented By: Todd Steven Fishman
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Defendant: TD Securities, Inc.
Represented By: Jamie Stephen Dycus
Represented By: Jenny Ross Aquines Pelaez
Represented By: David Sapir Lesser
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Defendant: TD Securities (USA) LLC,
Represented By: Jamie Stephen Dycus
Represented By: Jenny Ross Aquines Pelaez
Represented By: David Sapir Lesser
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Defendant: John Does 1 through 10
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Plaintiff: HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED
Represented By: Felicia Sue Ennis
Represented By: Alan Marshall Pollack
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