Harrington Global Opportunity Fund, Limited v. CIBC World Markets Corp. et al

Justia Dockets & Filings Second Circuit New York Southern District Harrington Global Opportunity Fund, Limited v. CIBC World Markets Corp. et al

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,, John Does 1 through 10 and BofA Securities, Inc.
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

RSS Track this Docket

Docket Report

This docket was last retrieved on May 3, 2024. A more recent docket listing may be available from PACER.

Date Filed	Document Text
August 15, 2022	Filing 120 ORDER granting in part and denying in part #116 Letter Motion for Extension of Time to Complete Discovery. Plaintiffs' request to compel discovery of Defendants' customers' trading activity is DENIED. Plaintiffs have not explained how any attempt to replace John Doe Defendants at this stage would not be barred by the 5-year statute of repose for securities fraud claims. 28 U.S.C. section 1658(b)(2); Barrow v. Wethersfield Police Dep't, 66 F.3d 466, 468 (2d Cir. 1995); accord Ceara v. Deacon, 916 F.3d 2018, 211-213 (2d Cir. 2019) (reaffirming Barrow). Thus, any discovery for that purpose would be unduly burdensome. Plaintiffs also have not articulated any plausible theory under which any currently named Defendant is liable for their customers' trading activity. The allegations of the Amended Complaint to which Plaintiffs cite allege only the obvious fact that the named Defendants execute trades for customers, not that those trades give rise to liability. Plaintiffs' argument that they require discovery in order to assess the relevance of discovery is too speculative, even under the permissive relevance standard of Rule 26. See, e.g., Bridges v. Corr. Servs., No. 17 Civ. 2220, 2020 WL 6899695, at *4 (S.D.N.Y. Nov. 24, 2020) ("While Rule 26(b)(1) provides for broad discovery, courts should not grant discovery requests based on pure speculation that amount to nothing more than a 'fishing expedition'...." (internal quotation marks omitted)) Plaintiffs' request for an extension of the deadline for document discovery, including from third parties, which will not affect the deposition deadline or the ultimate fact discovery deadline, is GRANTED. (Signed by Judge Lorna G. Schofield on 8/15/2022) (tg) Modified on 8/23/2022 (tg).
August 15, 2022	Filing 119 AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. See 28 U.S.C. 636(c). The parties have conferred pursuant to Fed. R. Civ. P. 26(f). Settlement discussions have not taken place. No additional parties may be joined after August 15, 2022 without leave of Court. Amended pleadings may not be filed without leave of Court. This case is to be tried to a jury. Defendants' request for a phased discovery process is DENIED because the efficiency gains of such an approach are too uncertain in this case to warrant any delay invited by phased discovery. No extensions will be granted absent extraordinary circumstances. To join the conference, the parties shall call (888) 363-4749 and use Access Code 558-3333. The time of the conference is approximate, but the parties shall be ready to proceed at that time. The parties shall file a proposed electronic discovery protocol and confidentiality agreement as soon as possible and no later than April 6, 2022. Joinder of Parties due by 8/15/2022. Fact Discovery due by 12/15/2022. Expert Discovery due by 3/30/2023. Estimate length of trial 2 weeks. Telephone Conference set for 4/19/2023 at 04:20 PM before Judge Lorna G. Schofield. (Signed by Judge Lorna G. Schofield on 8/15/2022) (tg) Modified on 8/23/2022 (tg).
August 12, 2022	Filing 118 LETTER addressed to Judge Lorna G. Schofield from Sandra D. Hauser dated August 12, 2022 re: Response to MOTION for Extension of Time to Complete Discovery [dkt 116]. Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., Merrill Lynch Canada Inc., TD Securities (USA) LLC,, TD Securities, Inc...(Hauser, Sandra)
August 8, 2022	Filing 117 MEMO ENDORSEMENT on re: #116 LETTER MOTION for Extension of Time to Complete Discovery addressed to Judge Lorna G. Schofield from Alan M. Pollack dated August 5, 2022. filed by Harrington Global Opportunity Fund, Limited. Defendants shall file a responsive letter, not to exceed three pages, by August 12, 2022. So Ordered., ( Responses due by 8/12/2022) (Signed by Judge Lorna G. Schofield on 8/8/22) (yv)
August 5, 2022	Filing 116 LETTER MOTION for Extension of Time to Complete Discovery addressed to Judge Lorna G. Schofield from Alan M. Pollack dated August 5, 2022. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
July 21, 2022	Filing 115 JOINT LETTER addressed to Judge Lorna G. Schofield from Jamie S. Dycus dated July 21, 2022 re: Status. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Dycus, Jamie)
June 6, 2022	Filing 114 JOINT LETTER addressed to Judge Lorna G. Schofield from Jamie S. Dycus dated June 6, 2022 re: Status. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Dycus, Jamie)
April 22, 2022	Filing 113 JOINT LETTER addressed to Judge Lorna G. Schofield from Jamie S. Dycus dated April 22, 2022 re: Status. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Dycus, Jamie)
April 21, 2022	Filing 112 NOTICE OF APPEARANCE by Madison Kelley on behalf of Harrington Global Opportunity Fund, Limited..(Kelley, Madison)
April 12, 2022	Filing 111 PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... The parties are directed to follow the Court's Individual Rule I.D.3 regarding motions for approval of sealed or redacted filings. So Ordered. (Signed by Judge Lorna G. Schofield on 4/12/2022) (tg)
April 12, 2022	Filing 110 ELECTRONIC DISCOVERY STIPULATION AND ORDER: Plaintiff Harrington Global Opportunity Fund, Limited ("Plaintiff") and Defendants BofA Securities, Inc.; CIBC World Markets Corp.; CIBC World Markets Inc.; Merrill Lynch Canada, Inc.; TD Securities, Inc.; and TD Securities (USA) LLC (collectively, "Defendants"), by and through their undersigned counsel, have stipulated and agreed to give effect to this Stipulation Establishing Electronic Discovery Protocol ("Protocol") as set forth below to facilitate discovery. As further set forth by this Order. So Ordered. (Signed by Judge Lorna G. Schofield on 4/12/2022) (tg)
April 11, 2022	Filing 109 PROPOSED PROTECTIVE ORDER. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Dycus, Jamie)
April 11, 2022	Filing 108 PROPOSED STIPULATION AND ORDER. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Dycus, Jamie)
April 7, 2022	Filing 107 ORDER granting in part and denying in part #106 Letter Motion for Extension of Time to File. This application is untimely but nevertheless GRANTED in part and DENIED in part. The deadline for the parties to file a Proposed Protective Order, ESI Protocol, and Rule 26(a)(1) disclosures is extended to April 11, 2022, nunc pro tunc. As stated in the Order at Dkt. No. 102, no further extensions of the deadlines in that Order will be granted absent extraordinary circumstances, which do not include the need to meet and confer.. (Signed by Judge Lorna G. Schofield on 4/7/2022) (kv)
April 6, 2022	Filing 106 JOINT LETTER MOTION for Extension of Time to File Proposed Protective Order, ESI and Initial Rule 26 Disclosures addressed to Judge Lorna G. Schofield from Alan M. Pollack dated April 6. 2022. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
March 28, 2022	Filing 105 ANSWER to #63 Amended Complaint,,. Document filed by CIBC World Markets Corp., CIBC World Markets Inc...(Hauser, Sandra)
March 28, 2022	Filing 104 ANSWER to #63 Amended Complaint,,. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Dycus, Jamie)
March 28, 2022	Filing 103 ANSWER to #63 Amended Complaint,,. Document filed by BofA Securities, Inc., Merrill Lynch Canada Inc...(Rudzin, Abby)
March 7, 2022	Filing 102 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This Civil Case Management Plan is submitted by the parties in accordance with Fed. R. Civ. P. 26(f)(3). All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. See 28 U.S.C. 636(c). Joinder of Parties due by 8/15/2022. Deposition due by 3/30/2023. All Fact Discovery due by 12/15/2022. Depositions pursuant to Fed. R. Civ. P. 30, 31 shall be completed by December 15, 2022. All Expert Discovery due by 3/30/2023. This case is to be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is 2 weeks. Defendants' request for a phased discovery process is DENIED because the efficiency gains of such an approach are too uncertain in this case to warrant any delay invited by phased discovery. Every 45 days beginning April 22, 2022 the parties shall submit a joint status letter. By January 13, 2023 the parties shall submit a joint status letter. A Pre-Motion Conference set for 4/19/2023 at 04:20 PM before Judge Lorna G. Schofield. A party wishing to file a summary judgment or other dispositive motion shall file a pre-motion letter at least two weeks before the conference and in the form provided in the Court's Individual Rule III.A.1. Any party wishing to oppose shall file a responsive letter as provided in the same Individual Rule. The motion will be discussed at the conference. To join the conference, the parties shall call (888) 363-4749 and use Access Code 558-3333. The time of the conference is approximate, but the parties shall be ready to proceed at that time. No extensions will be granted absent extraordinary circumstances. The parties shall file a proposed electronic discovery protocol and confidentiality agreement as soon as possible and no later than April 6, 2022. And as set forth herein. (Signed by Judge Lorna G. Schofield on 3/07/2022) (ama)
March 7, 2022	Filing 101 ORDER: It is hereby ORDERED that the March 9, 2022, initial pretrial conference is cancelled. If the parties believe that a conference would nevertheless be useful, they should inform the court immediately so the conference can be reinstated. The case management plan and scheduling order will issue in a separate order. The parties' attention is particularly directed to the provisions for periodic status letters, and the need for a pre-motion letter to avoid cancellation of the final conference and setting of a trial date. ORDERED, regarding settlement discussions, if and when the parties are ready to proceed with a settlement conference with the assigned Magistrate Judge or mediation in the Court's mediation program, they shall file a joint letter on ECF requesting a referral. The parties should be aware fact and expert discovery deadlines will not be extended absent extraordinary circumstances. (Signed by Judge Lorna G. Schofield on 3/07/2022) (ama)
March 4, 2022	Filing 100 LETTER addressed to Judge Lorna G. Schofield from Alan M. Pollack dated March 4, 2022 re: response to defendants' letter dated March 2. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
March 3, 2022	Filing 99 NOTICE of Firm Name Change. Document filed by Harrington Global Opportunity Fund, Limited..(Attar, Ardalan)
March 2, 2022	Filing 98 LETTER addressed to Judge Lorna G. Schofield from Saudra D. Hauser dated March 02, 2022 re: Proposed Case Management Plan (ECF No. 96). Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp., TD Securities (USA) LLC,, TD Securities, Inc...(Hauser, Sandra)
February 28, 2022	Filing 97 ORDER: It is hereby ORDERED that by March 2, 2022, Defendants shall file a letter not to exceed three pages explaining (i) the unique complexities or other exceptional circumstances warranting a lengthy discovery period and (ii) the basis for phased discovery. By March 4, 2022, Plaintiff shall file a letter not to excee three pages responding to Defendants' letter. It is further ORDERED that an initial pretrial conference will be held on March 9, 2022, at 4:20 p.m. The conference will be telephonic. The parties shall call 888-363-4749 and use access code 558-3333. Initial Conference set for 3/9/2022 at 4:20 PM before Judge Lorna G. Schofield. (Signed by Judge Lorna G. Schofield on 2/28/2022) (vfr)
February 25, 2022	Filing 96 PROPOSED CASE MANAGEMENT PLAN. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
February 25, 2022	Filing 95 ORDER denying #93 Motion for Reconsideration re #93 MOTION for Reconsideration re; #88 Memorandum & Opinion, NOTICE OF THE CIBC DEFENDANTS MOTION FOR RECONSIDERATION OF THE COURTS FEBRUARY 9, 2022 OPINION AND ORDER. filed by CIBC World Markets Inc., CIBC World Markets Corp., #88 Memorandum & Opinion.It is hereby ORDERED that the CIBC Defendants' motion for reconsideration is DENIED. The Clerk of Court is respectfully directed to close the motion at Dkt. No. 93. (Signed by Judge Lorna G. Schofield on 2/24/2022) (tro)
February 23, 2022	Filing 94 MEMORANDUM OF LAW in Support re: #93 MOTION for Reconsideration re; #88 Memorandum & Opinion,,,,,, Add and Terminate Parties,,,,, NOTICE OF THE CIBC DEFENDANTS MOTION FOR RECONSIDERATION OF THE COURTS FEBRUARY 9, 2022 OPINION AND ORDER. THE CIBC DEFENDANTS MEMORANDUM OF LAW IN SUPPORT OF THEIR MOTION FOR RECONSIDERATION OF THE COURTS FEBRUARY 9, 2022 OPINION AND ORDER. Document filed by CIBC World Markets Corp., CIBC World Markets Inc...(Hauser, Sandra)
February 23, 2022	Filing 93 MOTION for Reconsideration re; #88 Memorandum & Opinion,,,,,, Add and Terminate Parties,,,,, NOTICE OF THE CIBC DEFENDANTS MOTION FOR RECONSIDERATION OF THE COURTS FEBRUARY 9, 2022 OPINION AND ORDER. Document filed by CIBC World Markets Corp., CIBC World Markets Inc...(Hauser, Sandra)
February 23, 2022	Filing 92 ORDER granting #90 Letter Motion for Extension of Time to File. Application GRANTED. The parties shall file the Joint Proposed Plan by February 25, 2022. No further extensions will be granted. (Signed by Judge Lorna G. Schofield on 2/23/22) (yv)
February 23, 2022	Filing 91 MEMO ENDORSEMENT granting #89 Motion to Withdraw as Attorney. ENDORSEMENT: Application GRANTED. The Clerk of Court is respectfully directed to terminate William E. Walsh as counsel for Defendants CIBC World Markets Corp. and CIBC World Markets Inc. Attorney William Walsh terminated. (Signed by Judge Lorna G. Schofield on 2/23/2022) (tg)
February 23, 2022	Filing 90 CONSENT LETTER MOTION for Extension of Time to File Case Management Plan addressed to Judge Lorna G. Schofield from Alan M. Pollack dated February 23, 2022. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
February 22, 2022	Filing 89 MOTION for William E. Walsh to Withdraw as Attorney . Document filed by CIBC World Markets Corp., CIBC World Markets Inc...(Walsh, William)
February 9, 2022	Filing 88 OPINION AND ORDER: For the foregoing reasons, Defendants' motion to dismiss is GRANTED IN PART and DENIED IN PART. The following claims are dismissed pursuant to Rule 12(b)(6): all claims against the Short Selling Defendants, UBS US, UBS Canada, Merrill Pro, SocGn US and SocGn Canada; the claims related to short selling against Merrill US, Merrill Canada, John Doe U.S. and John Doe Canada and all of the common law claims. The surviving claims are the 9(a) and 10(b) claims related to spoofing against CIBC US, Merrill US, TD US, CIBC Canada, TD Canada, Merrill Canada, John Doe U.S. and John Doe Canada. The Clerk of Court is respectfully directed to close the motion at Docket No. 72 and to terminate UBS US, UBS Canada, Merrill Pro, SocGn US and SocGn Canada from this case. re: #72 MOTION to Dismiss the Amended Complaint. filed by TD Securities (USA) LLC,, TD Securities, Inc., SG Americas Securities, LLC, (Signed by Judge Lorna G. Schofield on 2/9/2022) Merrill Lynch Professional Clearing Corp., Societe Generale Capitale Canada, Inc., BofA Securities, Inc., Merrill Lynch Canada Inc.., UBS Financial Services, Inc., UBS Securities Canada, Inc., Merrill Lynch Professional Clearing Corp. and Societe Generale Capitale Canada, Inc. terminated. (ks)
July 26, 2021	Filing 87 REPLY MEMORANDUM OF LAW in Support re: #72 MOTION to Dismiss the Amended Complaint. . Document filed by BofA Securities, Inc., Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp...(Rudzin, Abby)
July 13, 2021	Filing 86 LETTER RESPONSE to Motion addressed to Judge Lorna G. Schofield from Alan M. Pollack dated July 13, 2021 re: #83 LETTER MOTION for Leave to File Supplemental Declaration of Lisa Petrelli addressed to Judge Lorna G. Schofield from Perrie Weiner dated July 9, 2021. . Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
July 12, 2021	Filing 85 DECLARATION of Lisa Petrelli in Support re: #72 MOTION to Dismiss the Amended Complaint., #83 LETTER MOTION for Leave to File Supplemental Declaration of Lisa Petrelli addressed to Judge Lorna G. Schofield from Perrie Weiner dated July 9, 2021.. Document filed by UBS Securities Canada, Inc...(Turner, Ben)
July 12, 2021	Filing 84 ORDER granting #83 Letter Motion for Leave to File Document. Defendant UBS Securities Canada's application is GRANTED. Defendant should file the supplemental declaration by July 14, 2021. The supplemental declaration will be considered if after reviewing the parties' papers it is appropriate to do so. ( Signed by Judge Lorna G. Schofield on 7/12/2021) (cf) Modified on 7/12/2021 (cf).
July 9, 2021	Filing 83 LETTER MOTION for Leave to File Supplemental Declaration of Lisa Petrelli addressed to Judge Lorna G. Schofield from Perrie Weiner dated July 9, 2021. Document filed by UBS Securities Canada, Inc...(Turner, Ben)
July 9, 2021	Filing 82 MEMORANDUM OF LAW in Opposition re: #72 MOTION to Dismiss the Amended Complaint. . Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
June 8, 2021	Filing 81 NOTICE OF APPEARANCE by William Joseph Martin on behalf of BofA Securities, Inc., Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp...(Martin, William)
June 8, 2021	Filing 80 ORDER: It is hereby ORDERED that in the event Defendants' motion to dismiss is denied, Defendants shall have 45 days to file an Answer to the Amended Complaint; it is further ORDERED that fourteen days after the Court's decision on the motion to dismiss, if necessary, the parties shall submit a joint Proposed Case Management Plan and Scheduling Order in the form available at the Court's website (http://nysd.uscourts.gov/judge/Schofield). (As further set forth in this Order.) (Signed by Judge Lorna G. Schofield on 6/8/2021) (cf)
June 7, 2021	Filing 79 NOTICE OF APPEARANCE by Leron Thumim on behalf of Harrington Global Opportunity Fund, Limited..(Thumim, Leron)
June 7, 2021	Filing 78 DECLARATION of Lisa Petrelli in Support re: #72 MOTION to Dismiss the Amended Complaint.. Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., 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...(Rudzin, Abby)
June 7, 2021	Filing 77 DECLARATION of George Stratis in Support re: #72 MOTION to Dismiss the Amended Complaint.. Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., 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...(Rudzin, Abby)
June 7, 2021	Filing 76 DECLARATION of Benoit Carignan in Support re: #72 MOTION to Dismiss the Amended Complaint.. Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., 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...(Rudzin, Abby)
June 7, 2021	Filing 75 DECLARATION of Gaylen Duncan in Support re: #72 MOTION to Dismiss the Amended Complaint.. Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., 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...(Rudzin, Abby)
June 7, 2021	Filing 74 DECLARATION of Christopher Climo in Support re: #72 MOTION to Dismiss the Amended Complaint.. Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., 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...(Rudzin, Abby)
June 7, 2021	Filing 73 MEMORANDUM OF LAW in Support re: #72 MOTION to Dismiss the Amended Complaint. . Document filed by BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets Inc., 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...(Rudzin, Abby)
June 7, 2021	Filing 72 MOTION to Dismiss the Amended Complaint. Document filed by BofA Securities, Inc., 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...(Rudzin, Abby)
June 4, 2021	Filing 71 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent NB Holdings Corporation, Other Affiliate Bank Of America Corporation, Other Affiliate Berkshire Hathaway Inc. for BofA Securities, Inc.. Document filed by BofA Securities, Inc...(Rudzin, Abby)
June 4, 2021	Filing 70 NOTICE OF APPEARANCE by Abby Faith Rudzin on behalf of BofA Securities, Inc...(Rudzin, Abby)
June 2, 2021	Filing 69 NOTICE of Withdrawal of Attorney. Document filed by Merrill Lynch Canada Inc., Merrill Lynch Professional Clearing Corp...(Elias, Brad)
June 2, 2021	Filing 68 ORDER granting #67 Letter Motion for Leave to File Excess Pages. The application is GRANTED. Defendants' brief in support of the motion shall not exceed 30 pages. Plaintiffs' opposition shall not exceed 30 pages. Defendants' reply shall not exceed 15 pages. (Signed by Judge Lorna G. Schofield on 6/2/2021) (cf)
June 1, 2021	Filing 67 JOINT LETTER MOTION for Leave to File Excess Pages addressed to Judge Lorna G. Schofield from David Lesser dated June 1, 2021. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Lesser, David)
May 14, 2021	Filing 66 ORDER granting #65 Letter Motion for Extension of Time. The application is GRANTED. By June 7, 2021, Defendants shall file their motion to dismiss. By July 9, 2021, Plaintiff shall file its opposition. By July 26, 2021, Defendants shall file their reply. SO ORDERED (Motions due by 6/7/2021.) (Signed by Judge Lorna G. Schofield on 5/14/2021) (rro)
May 14, 2021	Set/Reset Deadlines: Responses due by 7/9/2021 Replies due by 7/26/2021. (rro)
May 13, 2021	Filing 65 JOINT LETTER MOTION for Extension of Time addressed to Judge Lorna G. Schofield from David Lesser dated May 13, 2021. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Lesser, David)
May 7, 2021	Filing 64 ORDER: WHEREAS, Defendant filed a pre-motion letter for a motion to dismiss Plaintiff's Amended Complaint (Dkt. No. 61). Plaintiff opposes (Dkt. No. 62). It is hereby ORDERED that by May 28, 2021, Defendant shall file its motion to dismiss. By June 18, 2021, Plaintiff shall file its opposition. By June 25, 2021, Defendant shall file its reply. All submissions shall be per the Individual Rules. ( Motions due by 5/28/2021., Responses due by 6/18/2021, Replies due by 6/25/2021.) (Signed by Judge Lorna G. Schofield on 5/7/2021) (cf)
May 6, 2021	Filing 63 AMENDED COMPLAINT amending #56 Amended Complaint,, against BofA Securities, Inc., CIBC World Markets Corp., CIBC World Markets 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. with JURY DEMAND.Document filed by Harrington Global Opportunity Fund, Limited. Related document: #56 Amended Complaint,,. (Attachments: #1 Exhibit stipulation permitting amended complaint).(Pollack, Alan)
May 6, 2021	Filing 62 LETTER RESPONSE to Motion addressed to Judge Lorna G. Schofield from Alan M. Pollack dated May 6, 2021 re: #61 LETTER MOTION for Conference re: Motion to Dismiss addressed to Judge Lorna G. Schofield from David Lesser dated April 29, 2021. . Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
April 29, 2021	Filing 61 LETTER MOTION for Conference re: Motion to Dismiss addressed to Judge Lorna G. Schofield from David Lesser dated April 29, 2021. Document filed by TD Securities (USA) LLC,, TD Securities, Inc...(Lesser, David)
April 29, 2021	Filing 60 ORDER granting #43 Motion for Perrie Michael Weiner to Appear Pro Hac Vice; granting #44 Motion for Michael David Hidalgo to Appear Pro Hac Vice; and granting #50 Motion for Benjamin Welsh Turner to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
April 28, 2021	Filing 59 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED by and between the attorneys for the undersigned parties that: 1. Bank of America Securities Inc. was named as a Defendant in the original Complaint in this action 2. There is no corporate entity known as Bank of America Securities Inc. 3. Plaintiff has agreed to drop Bank of America Securities, Inc. as a party to this action and has asserted no claim against Bank of America Securities Inc. in the Amended Complaint; 4. Plaintiff seeks to add BofA Securities Inc. as a party to this action and has pleaded claims against BofA Securities, Inc. in the Amended Complaint; 5. BofA Securities Inc. through its undersigned counsel, does not object to being added as a party to this action and has agreed to accept service of the Amended Complaint on the date this Stipulation is executed. SO ORDERED., BofA Securities, Inc. added. Bank of America Securities, Inc. terminated. (Signed by Judge Lorna G. Schofield on 4/28/2021) (nb)
April 27, 2021	Filing 58 PROPOSED STIPULATION AND ORDER. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
April 23, 2021	Filing 57 JOINT STIPULATION AND ORDER FOR DISMISSAL OF CORMARK SECURITIES, INC. WITHOUT PREJUDICE: NOW, THEREFORE, THE UNDERSIGNED STIPULATE AND AGREE AS FOLLOWS: Pursuant to Rule 41(a)(2) of the Federal Rules of Civil Procedure, Plaintiff's claims against Cormark are hereby dismissed without prejudice, each party to bear its own attorneys' fees and costs. (As further set forth in this Order.) Cormark Securities, Inc. terminated. (Signed by Judge Lorna G. Schofield on 4/23/2021) (cf)
April 23, 2021	***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Alan Marshall Pollack to RE-FILE re: Document No. #56 Amended Complaint. The filing is deficient for the following reason(s): all of the parties listed on the pleading were not entered on CM ECF; add party BOFA Securities, Inc. the wrong party/parties whom the pleading is against were selected; do not select Bank of America Securities, Inc.; the pleading was filed incorrectly on the due date, therefore new Court's leave must be granted. Docket the event type Add Party to Pleading found under the event list Complaints and Other Initiating Documents.. Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. File the Exhibit to Pleading event found under the event list Other Documents and attach either opposing party's written consent or Court's leave. (jgo)
April 23, 2021	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Alan Pollack to RE-FILE Document #55 Stipulation of Voluntary Dismissal. Use the event type proposed orders, proposed stipulation and order. The document also needs to have handwritten signatures. (km)
April 22, 2021	Filing 56 FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR - AMENDED COMPLAINT amending #5 Complaint, against Bank of America Securities, Inc., CIBC World Markets Corp., CIBC World Markets 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. with JURY DEMAND.Document filed by Harrington Global Opportunity Fund, Limited. Related document: #5 Complaint,..(Pollack, Alan) Modified on 4/23/2021 (jgo).
April 22, 2021	Filing 55 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Cormark Securities, Inc. and without costs pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Harrington Global Opportunity Fund, Limited. Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers)...(Pollack, Alan) Modified on 4/23/2021 (km).
April 5, 2021	Filing 54 NOTICE OF APPEARANCE by Ardalan Attar on behalf of Harrington Global Opportunity Fund, Limited..(Attar, Ardalan)
April 5, 2021	Filing 53 NOTICE OF APPEARANCE by James W. Christian on behalf of Harrington Global Opportunity Fund, Limited..(Christian, James)
March 31, 2021	Set/Reset Deadlines: Service due by 4/22/2021. (cf)
March 31, 2021	Filing 52 ORDER granting in part and denying in part #51 Letter Motion for Extension of Time to File. The application is GRANTED in part. By April 22, 2021, Plaintiff shall serve its amended Complaint. By April 29, 2021, Defendants shall jointly file any pre-motion letter for a motion to dismiss the amended Complaint, and by May 6, 2021, Plaintiff shall file any response. All submissions will be per the Individual Rules. The April 1, 2021, deadline for Plaintiff's response to Defendants' March 25, 2021, pre-motion letter (Dkt. No. 49) is cancelled. The initial pretrial conference scheduled for April 8, 2021, is adjourned sine die. (Signed by Judge Lorna G. Schofield on 3/31/2021) (cf)
March 30, 2021	Filing 51 CONSENT LETTER MOTION for Extension of Time to File amended complaint and motion to dismiss addressed to Judge Lorna G. Schofield from Alan Pollack dated March 30, 2021. Document filed by Harrington Global Opportunity Fund, Limited..(Pollack, Alan)
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 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 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	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	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 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 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. #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 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 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	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	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 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 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	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 22, 2021	Set/Reset Deadlines: Service due by 3/18/2021. (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	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	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 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	***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	Case Designated ECF. (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 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	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 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).

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System

Search for this case: Harrington Global Opportunity Fund, Limited v. CIBC World Markets Corp. et al
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Web	[ Unicourt \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
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
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: JOHN 1-10 DOES
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: CIBC World Markets Inc.
Represented By:	Sandra Denise Hauser
Represented By:	Stephen J. Senderowitz
Represented By:	William Walsh
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: Merrill Lynch Canada Inc.
Represented By:	Abby Faith Rudzin
Represented By:	Brad Michael Elias
Represented By:	William Joseph Martin
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: CORMARK SECURITIES, INC.
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: Merrill Lynch Professional Clearing Corp.
Represented By:	Abby Faith Rudzin
Represented By:	Brad Michael Elias
Represented By:	William Joseph Martin
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: CIBC World Markets Corp.
Represented By:	Sandra Denise Hauser
Represented By:	Stephen J. Senderowitz
Represented By:	William Walsh
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: SG AMERICAS SECURITIES, LLC,
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: TD SECURITIES(USA) LLC
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: SOCIETE GENERALE CAPITALE CANADA, INC.
Represented By:	Alexander Kaim Bussey
Represented By:	Todd Steven Fishman
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
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
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: Bank of America Securities, Inc.
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: TD SECURITIES, INC.,
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: SG Americas Securities, LLC
Represented By:	Alexander Kaim Bussey
Represented By:	Todd Steven Fishman
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: TD Securities, Inc.
Represented By:	Jamie Stephen Dycus
Represented By:	Jenny Ross Aquines Pelaez
Represented By:	David Sapir Lesser
Represented By:	Jenny Pelaez
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: TD Securities (USA) LLC,
Represented By:	Jamie Stephen Dycus
Represented By:	Jenny Ross Aquines Pelaez
Represented By:	David Sapir Lesser
Represented By:	Jenny Pelaez
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: John Does 1 through 10
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Defendant: BofA Securities, Inc.
Represented By:	Abby Faith Rudzin
Represented By:	William Joseph Martin
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]
Plaintiff: HARRINGTON GLOBAL OPPORTUNITY FUND, LIMITED
Represented By:	Felicia Sue Ennis
Represented By:	Alan Marshall Pollack
Represented By:	Ardalan Attar
Represented By:	James W. Christian
Represented By:	Leron Thumim
Represented By:	Madison Kelley
Search News	[ Google News \| Marketwatch \| Wall Street Journal \| Financial Times \| New York Times ]
Search Finance	[ Google Finance \| Yahoo Finance \| Hoovers \| SEC Edgar Filings ]
Search Web	[ Unicourt \| Justia Dockets \| Legal Web \| Google \| Bing \| Yahoo \| Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.

Why Is My Information Online?