Risley v. Universal Navigation Inc. et al
| Nessa Risley |
| Universal Navigation Inc. dba Uniswap Labs, Hayden Adams, Paradigm Operations LP, AH Capital Management, L.L.C. dba Andreessen Horowitz, Union Square Ventures, LLC, Universal Navigation Inc. doing business as Uniswap Labs, Hayden Z. Adams, AH Capital Management, L.L.C doing business as Andreessen Horowitz and Uniswap Foundation |
| James Freeland, Robert Scott, Annie Venesky, Andrew Cardis and Dean Meyers |
| 1:2022cv02780 |
| April 4, 2022 |
| US District Court for the Southern District of New York |
| Katherine Polk Failla |
| Securities/Commodities |
| 28 U.S.C. § 1331 sv Fed. Question: Securities Violation |
| Plaintiff |
Docket Report
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This docket was last retrieved on September 28, 2023. A more recent docket listing may be available from PACER.
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Filing 93
NOTICE OF APPEAL from #90 Memorandum & Opinion,,, #91 Clerk's Judgment,,,. Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit..(Serritella, James)
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Appeal Fee Paid electronically via Pay.gov: for #93 Notice of Appeal. Filing fee $ 505.00. Pay.gov receipt number ANYSD C-28348949, paid on 9/27/2023. (tp)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT APPEAL. Notice to attorney James Serritella to RE-FILE Document No. #92 Notice of Appeal. The filing is deficient for the following reason(s): the order/judgment being appealed was not selected. Re-file the appeal using the event type Notice of Appeal found under the event list Appeal Documents - attach the correct signed PDF - select the correct named filer/filers - select the correct order/judgment being appealed - Do Not Pay the Appeal Fee Again. (tp)
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Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for #93 Notice of Appeal, filed by James Freeland, Dean Meyers, Annie Venesky, Andrew Cardis, Nessa Risley, Robert Scott were transmitted to the U.S. Court of Appeals. (tp)
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Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: #93 Notice of Appeal. (tp)
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Filing 92
FILING ERROR - NO ORDER SELECTED FOR APPEAL - NOTICE OF APPEAL. Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky. Filing fee $ 505.00, receipt number ANYSDC-28348949. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit..(Serritella, James) Modified on 9/28/2023 (tp).
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Filing 91
CLERK'S JUDGMENT re: #90 Memorandum & Opinion in favor of AH Capital Management, L.L.C, Paradigm Operations LP, Union Square Ventures, LLC, Uniswap Foundation, Universal Navigation Inc., Hayden Z. Adams against Andrew Cardis, Annie Venesky, Dean Meyers, James Freeland, Nessa Risley, Robert Scott. It is hereby ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Opinion and Order dated August 29, 2023, Defendants' motions to dismiss are GRANTED. In particular, the Court has dismissed Plaintiffs' federal claims with prejudice, and dismissed Plaintiffs' state-law claims without prejudice to their refiling in state court. Because the Court has dismissed the action, it has declined to certify the class; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 8/30/2023) (Attachments: #1 Appeal Package) (km)
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Terminate Transcript Deadlines (km)
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Filing 90
OPINION AND ORDER re: #66 MOTION to Dismiss the Amended Complaint. filed by Universal Navigation Inc., Hayden Z. Adams, #73 MOTION to Dismiss the First Amended Complaint. filed by Uniswap Foundation, #69 MOTION to Dismiss The Amended Complaint. filed by AH Capital Management, L.L.C, Union Square Ventures, LLC, Paradigm Operations LP. For the foregoing reasons, Defendants' motions to dismiss are GRANTED. In particular, the Court dismisses Plaintiffs' federal claims with prejudice, and dismisses Plaintiffs' state-law claims without prejudice to their refiling in state court. Because the Court dismisses the action, it declines to certify the class. The Clerk of Court is instructed to terminate all pending motions, adjourn all remaining deadlines, and close this case. SO ORDERED. (Signed by Judge Katherine Polk Failla on 8/29/2023) (tg) Transmission to Orders and Judgments Clerk for processing.
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Filing 89
LETTER addressed to Judge Katherine Polk Failla from James R. Serritella dated August 21, 2023 re: Loon v. Dep't of Treasury decision. Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky. (Attachments: #1 Exhibit Loon v. Dep't of Treasury decision).(Serritella, James)
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Filing 88
RESPONSE re: #87 Letter, / Response to Plaintiffs' Notice of Supplemental Authority. Document filed by Hayden Z. Adams, Union Square Ventures, LLC, Universal Navigation Inc...(Greenfield, Elliot)
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Filing 87
LETTER addressed to Judge Katherine Polk Failla from James R. Serritella dated April 10, 2023 re: Sarcuni v. bZx DA decision. Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky. (Attachments: #1 Exhibit Sarcuni v. bZx DA decision).(Serritella, James)
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Filing 86
REPLY MEMORANDUM OF LAW in Support re: #73 MOTION to Dismiss the First Amended Complaint. . Document filed by Uniswap Foundation..(Gottlieb, Jason)
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Filing 85
REPLY MEMORANDUM OF LAW in Support re: #69 MOTION to Dismiss The Amended Complaint. . Document filed by AH Capital Management, L.L.C, Paradigm Operations LP, Union Square Ventures, LLC..(Drylewski, Alexander)
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Filing 84
REPLY MEMORANDUM OF LAW in Support re: #66 MOTION to Dismiss the Amended Complaint. . Document filed by Hayden Z. Adams, Universal Navigation Inc...(Greenfield, Elliot)
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Filing 83
DECLARATION of James R. Serritella in Opposition re: #69 MOTION to Dismiss The Amended Complaint., #66 MOTION to Dismiss the Amended Complaint., #73 MOTION to Dismiss the First Amended Complaint.. Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky. (Attachments: #1 Exhibit A How Swap Tokens Post, #2 Exhibit B Screenshot of the Auto Router third-party API, #3 Exhibit C A Legal Framework for Decentralized Autonomous Organizations, #4 Exhibit D Analyzing Voting Power in Decentralized Governance: Who Controls DAOs?, #5 Exhibit E v3 Core Use License, #6 Exhibit F Introducing Permit2 & Universal Router Post, #7 Exhibit G Report: 97.7% of tokens launched on Uniswap are rug pulls, #8 Exhibit H WSJ Article, #9 Exhibit I v1 Whitepaper).(Serritella, James)
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Filing 82
MEMORANDUM OF LAW in Opposition re: #66 MOTION to Dismiss the Amended Complaint., #73 MOTION to Dismiss the First Amended Complaint., #69 MOTION to Dismiss The Amended Complaint. . Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky..(Serritella, James)
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Filing 81
ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting #79 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that Aram M. Boghosian is withdrawn as counsel of record in this action and that such withdrawal is effective immediately; and IT IS FURTHER ORDERED that Aram M. Boghosian be removed from all service lists for these proceedings, including the CM/ECF electronic notification list. The Court wishes Mr. Boghosian luck in his career. The Clerk of Court is directed to terminate Mr. Boghosian from this docket and terminate the pending motion at docket number 79. Attorney Aram Boghosian terminated. (Signed by Judge Katherine Polk Failla on 2/2/2023) (rro)
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Filing 80
ORDER FOR ADMISSION PRO HAC VICE granting #78 Motion for Justin Stone to Appear Pro Hac Vice. The motion of Justin Stone for admission to practice pro hac vice in the above-captioned action is granted. IT IS HEREBY ORDERED that Applicant is admitted to practice pro hac vice in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Katherine Polk Failla on 2/1/23) (yv)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #78 MOTION for Justin Stone to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27274888. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sac)
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Filing 79
MOTION for Aram M. Boghosian to Withdraw as Attorney . Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky. (Attachments: #1 Affidavit of James Serritella, #2 Exhibit Proposed Order).(Serritella, James)
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Filing 78
MOTION for Justin Stone to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27274888. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky. (Attachments: #1 Affidavit of Justin Stone, #2 Exhibit 1 - Certificate of Good Standing, #3 Exhibit 2 - Proposed Order).(Stone, Justin)
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Filing 77
NOTICE OF APPEARANCE by Charles Claudio Simpkins on behalf of Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky..(Simpkins, Charles)
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Filing 76
NOTICE OF CHANGE OF ADDRESS by Brandon Richard Fetzer on behalf of Hayden Z. Adams, Union Square Ventures, LLC, Universal Navigation Inc.. New Address: Debevoise & Plimpton LLP, 66 Hudson Boulevard, New York, New York, 10001, (212)-909-6000..(Fetzer, Brandon)
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Filing 75
ORDER: The Court is in receipt of Defendants AH Capital Management, L.L.C., Paradigm Operations LP, and Union Square Ventures, LLC (the "VC Defendants")'s request for oral argument concerning the VC Defendants' Motion to Dismiss. If the Court determines that oral argument would be useful, it will promptly reach out to the parties. SO ORDERED. (Signed by Judge Katherine Polk Failla on 12/22/2022) (vfr)
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Filing 74
MEMORANDUM OF LAW in Support re: #73 MOTION to Dismiss the First Amended Complaint. . Document filed by Uniswap Foundation..(Gottlieb, Jason)
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Filing 73
MOTION to Dismiss the First Amended Complaint. Document filed by Uniswap Foundation..(Gottlieb, Jason)
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Filing 72
NOTICE OF APPEARANCE by Vani Upadhyaya on behalf of Uniswap Foundation..(Upadhyaya, Vani)
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Filing 71
DECLARATION of Susan E. Engel in Support re: #69 MOTION to Dismiss The Amended Complaint.. Document filed by AH Capital Management, L.L.C, Paradigm Operations LP, Union Square Ventures, LLC. (Attachments: #1 Exhibit 6 - February 11, 2021 Tweets, #2 Exhibit 7 - "Introducing Uni" Page).(Drylewski, Alexander)
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Filing 70
MEMORANDUM OF LAW in Support re: #69 MOTION to Dismiss The Amended Complaint. . Document filed by AH Capital Management, L.L.C, Paradigm Operations LP, Union Square Ventures, LLC..(Drylewski, Alexander)
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Filing 69
MOTION to Dismiss The Amended Complaint. Document filed by AH Capital Management, L.L.C, Paradigm Operations LP, Union Square Ventures, LLC..(Drylewski, Alexander)
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Filing 68
DECLARATION of Brandon Fetzer in Support re: #66 MOTION to Dismiss the Amended Complaint.. Document filed by Hayden Z. Adams, Universal Navigation Inc.. (Attachments: #1 Exhibit 1 - v2 Whitepaper, #2 Exhibit 2 - How Uniswap Works, #3 Exhibit 3 - Pools, #4 Exhibit 4 - July 24, 2021 Tweets, #5 Exhibit 5 - Token Access on app.uniswap.org).(Fetzer, Brandon)
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Filing 67
MEMORANDUM OF LAW in Support re: #66 MOTION to Dismiss the Amended Complaint. . Document filed by Hayden Z. Adams, Universal Navigation Inc...(Greenfield, Elliot)
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Filing 66
MOTION to Dismiss the Amended Complaint. Document filed by Hayden Z. Adams, Universal Navigation Inc...(Greenfield, Elliot)
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Filing 65
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/9/2022 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)
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Filing 64
TRANSCRIPT of Proceedings re: CONFERENCE held on 11/9/2022 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Sara Beiter, (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 12/20/2022. Redacted Transcript Deadline set for 12/30/2022. Release of Transcript Restriction set for 2/27/2023..(McGuirk, Kelly)
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Filing 63
ORDER GRANTING MOTION TO ADMIT COUNSEL PRO HAC VICE granting #62 Motion for Peter Trombly to Appear Pro Hac Vice. (Signed by Judge Katherine Polk Failla on 11/22/2022) (rro)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #62 MOTION for Peter A. Trombly to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26984546. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sgz)
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Filing 62
MOTION for Peter A. Trombly to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26984546. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by AH Capital Management, L.L.C. (Attachments: #1 Affidavit Declaration of Peter A. Trombly in Support of Motion to Admit Counsel Pro Hac Vice, #2 Exhibit Exhibit A - Certificate of Good Standing, #3 Text of Proposed Order Text of Proposed Order Granting Motion to Admit Counsel Pro Hac Vice).(Trombly, Peter)
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Minute Entry for proceedings held before Judge Katherine Polk Failla: Pre-Motion Conference held on 11/9/2022. Attorneys James Serritella, Aram M. Boghosian, Christopher J. McNamara, and Michael C. Ward, representing Lead Plaintiffs present. Attorneys Jason P. Gottlieb and Michael Andrew Mix representing Defendant Uniswap Foundation present. Attorney Elliot Greenfield representing Defendant Defendant Universal Navigation Inc. present. Attorneys Elliot Greenfield, Alexander C. Drylewski, Tansy Woan, Susan Elisabeth Engel, and Peter Trombly, representing the VC Defendants present. See Scheduling Order dated 11/9/2022. (Court Reporter Sara Beiter) (tn)
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Filing 61
SCHEDULING ORDER: As discussed at the parties' conference with the Court in this matter on November 9, 2022, the parties are directed to comply with the following briefing schedule and page limits: Defendants' three separate motions to dismiss shall be due on December 21, 2022, and are to be no longer than 25 pages each. Plaintiffs' omnibus opposition brief shall be due on February 6, 2023, and is to be no longer than 65 pages. Defendants' reply briefs, if any, shall be due on February 28, 2023, and are to be no longer than 10 pages each.SO ORDERED. Motions due by 12/21/2022. Responses due by 2/6/2023 Replies due by 2/28/2023. (Signed by Judge Katherine Polk Failla on 11/9/2022) (rro)
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Filing 60
LETTER RESPONSE in Opposition to Motion addressed to Judge Katherine Polk Failla from James R. Serritella and Christopher J. McNamara dated November 4, 2022 re: #56 LETTER MOTION for Conference addressed to Judge Katherine Polk Failla from Jason Gottlieb dated October 26, 2022., #54 JOINT LETTER MOTION for Conference addressed to Judge Katherine Polk Failla from Alexander C. Drylewski, Susan E. Engel and Elliot Greenfield dated October 26, 2022., #52 LETTER MOTION for Conference / Letter Requesting Pre-Motion Conference Regarding Motion to Dismiss addressed to Judge Katherine Polk Failla from Elliot Greenfield dated October 26, 2022. . Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky..(Serritella, James)
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NOTICE OF PUBLIC REMOTE ACCESS re: #59 Order on Motion for Extension of Time: The conference scheduled to for 11/9/2022 will be held via video conference with public audio access at (646) 453-4442, Conference ID: 286 133 307#. Instructions to video participants will be sent separately in advance of the conference. ***No PDF is attached to this entry. (tn)
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Filing 59
ORDER granting #58 Letter Motion for Extension of Time. Application GRANTED. Plaintiff's deadline to respond to Defendants' respective pre-motion letters (Dkt. #52, 54, 56) is hereby adjourned to November 4, 2022. Furthermore, Plaintiff may file a single, five-page, omnibus response to Defendants' letters rather than responding to each individually. A pre-motion conference is hereby scheduled for November 9, 2022 at 10:30 a.m. SO ORDERED. (Signed by Judge Katherine Polk Failla on 10/28/2022) (rro)
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Filing 58
LETTER MOTION for Extension of Time to Respond to Defendants' Pre-Motion Letters addressed to Judge Katherine Polk Failla from James R. Serritella dated October 28, 2022. Document filed by Andrew Cardis, James Freeland, Dean Meyers, Nessa Risley, Robert Scott, Annie Venesky..(Serritella, James)
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Set/Reset Deadlines: ( Responses due by 11/4/2022), Set/Reset Hearings:( Pre-Motion Conference set for 11/9/2022 at 10:30 AM before Judge Katherine Polk Failla.) (rro)
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Filing 57
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Uniswap Foundation..(Gottlieb, Jason)
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Filing 56
LETTER MOTION for Conference addressed to Judge Katherine Polk Failla from Jason Gottlieb dated October 26, 2022. Document filed by Uniswap Foundation..(Gottlieb, Jason)
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Filing 55
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Union Square Ventures, LLC..(Greenfield, Elliot)
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Filing 54
JOINT LETTER MOTION for Conference addressed to Judge Katherine Polk Failla from Alexander C. Drylewski, Susan E. Engel and Elliot Greenfield dated October 26, 2022. Document filed by AH Capital Management, L.L.C, Paradigm Operations LP, Union Square Ventures, LLC..(Drylewski, Alexander)
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Filing 53
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Universal Navigation Inc...(Greenfield, Elliot)
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Filing 52
LETTER MOTION for Conference / Letter Requesting Pre-Motion Conference Regarding Motion to Dismiss addressed to Judge Katherine Polk Failla from Elliot Greenfield dated October 26, 2022. Document filed by Hayden Z. Adams, Universal Navigation Inc...(Greenfield, Elliot)
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Filing 51
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by AH Capital Management, L.L.C..(Naftalis, Benjamin)
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Filing 50
NOTICE OF APPEARANCE by Jason P. Gottlieb on behalf of Uniswap Foundation..(Gottlieb, Jason)
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Filing 49
NOTICE OF APPEARANCE by Michael Andrew Mix on behalf of Uniswap Foundation..(Mix, Michael)
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Filing 48
ELECTRONIC SUMMONS ISSUED as to Uniswap Foundation..(jgo)
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Filing 47
REQUEST FOR ISSUANCE OF SUMMONS as to Uniswap Foundation, re: #46 Amended Complaint,. Document filed by Hayden Z. Adams, Andrew Cardis, James Freeland, Nessa Risley, Robert Scott, Annie Venesky..(Serritella, James)
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Filing 46
FIRST AMENDED COMPLAINT amending #45 Amended Complaint, against AH Capital Management, L.L.C, Hayden Z. Adams, Paradigm Operations LP, Union Square Ventures, LLC, Uniswap Foundation, Universal Navigation Inc. with JURY DEMAND.Document filed by Annie Venesky, James Freeland, Nessa Risley, Dean Meyers, Robert Scott, Andrew Cardis. Related document: #45 Amended Complaint,..(Serritella, James)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney James Rocco Serritella to RE-FILE Document No. #45 Amended Complaint. The filing is deficient for the following reason(s): the All Defendant radio button was selected;. 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. (jgo)
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Filing 45
FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR FIRST AMENDED COMPLAINT amending #1 Complaint, against All Defendants with JURY DEMAND.Document filed by Annie Venesky, James Freeland, Nessa Risley, Dean Meyers, Robert Scott, Andrew Cardis. Related document: #1 Complaint,..(Serritella, James) Modified on 9/27/2022 (jgo).
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Filing 44
STIPULATION AND ORDER SETTING DEADLINES FOR FILING OF AMENDED COMPLAINT AND DEFENDANTS' RESPONSE: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by counsel for the parties listed below, that: 1. Plaintiff shall file an amended complaint on or before September 26, 2022. 2. Defendants shall move or otherwise respond to the amended complaint on or before October 26, 2022. 3. To the extent any Defendant files a pre-motion letter in accordance with Rule 4.A of the Court's Individual Rules of Practice, any responsive correspondence from Lead Plaintiffs shall be filed on or before October 31, 2022. 4. By entering into this stipulation, Defendants do not waive any defenses that otherwise could be asserted through a motion pursuant to Fed. R. Civ. P. 12 or otherwise. SO ORDERED this 16th day of August, 2022. ( Amended Pleadings due by 9/26/2022.) (Signed by Judge Katherine Polk Failla on 8/16/2022) (vfr)
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Filing 43
PROPOSED STIPULATION AND ORDER. Document filed by Hayden Z. Adams, Union Square Ventures, LLC, Universal Navigation Inc...(O'Connor, Maeve)
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Filing 42
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a REMOTE MOTION HEARING proceeding held on 7/29/2022 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... (js)
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Filing 41
TRANSCRIPT of Proceedings re: REMOTE MOTION HEARING held on 7/29/2022 before Judge Katherine Polk Failla. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. 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 8/23/2022. Redacted Transcript Deadline set for 9/2/2022. Release of Transcript Restriction set for 10/31/2022. (js)
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Filing 40
ORDER APPOINTING LEAD PLAINTIFFS AND APPROVING SELECTION OF CO-LEAD COUNSEL granting #26 Motion to Appoint Nessa Risley, James Freeland, Robert Scott, Annie Venesky, Andrew Cardis, and Dean Meyers as Lead Plaintiff(s). Having considered the Motion, and the materials submitted in support thereof, the Motion is GRANTED. IT IS HEREBY ORDERED THAT: 1.Nessa Risley, James Freeland, Robert Scott, Annie Venesky, Andrew Cardis, and Dean Meyers are appointed lead plaintiffs in the above-captioned action. 2.The Court designates the law firms Kim & Serritella LLP and Barton LLP as co-lead counsel in this action. 3.Co-Lead counsel shall be generally responsible for coordinating activities during pretrial proceedings and shall: a. Determine and present (in briefs, oral argument, or other fashion as may be appropriate, personally or by a designee) to the Court and opposing parties, the position of lead plaintiffs and the proposed class on all matters arising during pretrial proceedings; b. Coordinate the conduct of discovery on behalf of lead plaintiffs and the proposed class consistent with the requirements of Rule 26 of the Federal Rules of Civil Procedure, including preparation of interrogatories and requests for production of documents and the examination of witnesses in depositions; c. Conduct settlement negotiations on behalf of lead plaintiffs and the proposed class; d. Enter into stipulations with opposing counsel as necessary for the conduct of the litigation; e. Prepare the case for and conduct trial; and f. Perform such other duties as may be incidental to the proper coordination of pretrial and trial activities or as authorized by future order of the Court. 4. All securities class actions raising similar claims subsequently filed in, or transferred to the United States District Court for the Southern District of New York shall be consolidated into this action, and this Order shall apply to every such action, absent any further order of the Court.. (Signed by Judge Katherine Polk Failla on 7/29/2022) (kv)
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Minute Entry for proceedings held before Judge Katherine Polk Failla: Telephone Conference held on 7/29/2022. Attorneys Christopher James McNamara, Michael Christopher Ward, Aram Boghosian, and James Rocco Serritella representing Plaintiff present. Attorneys Elliot Greenfield and Brandon Richard Fetzer representing Universal Defendants present. Attorneys Alexander C. Drylewski, Tansy Woan and Samantha Kaplan representing Defendant Paradigm present. Attorney Susan Elisabeth Engel and Julia Rose Miller representing Defendant AH Capital present. Kim & Serritella LLP and Barton LLP are appointed interim co-lead counsel. (Court Reporter recorded) (tn)
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Filing 39
ORDER GRANTING MOTION TO ADMIT COUNSEL PRO HAC VICE granting #34 Motion for Julia R. Miller to Appear Pro Hac Vice. The Clerk of Court is directed to terminate the pending motion at docket number 34. (Signed by Judge Katherine Polk Failla on 7/28/2022) (rro)
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Filing 38
ORDER: The conference regarding the unopposed motion to appoint lead plaintiffs and to approve their selection of co-lead counsel, currently scheduled for July 29, 2022, at 3:00 p.m., will instead take place via telephone conference on July 29, 2022, at 12:00 p.m. The dial-in information is as follows: At 12:00 p.m., the parties shall call (888) 363-4749 and enter access code 5123533. Please note, the conference will not be available prior to 12:00 p.m. SO ORDERED. Telephone Conference set for 7/29/2022 at 12:00 PM before Judge Katherine Polk Failla. (Signed by Judge Katherine Polk Failla on 7/27/2022) (rro)
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Filing 37
NOTICE OF APPEARANCE by Brandon Richard Fetzer on behalf of Hayden Z. Adams, Union Square Ventures, LLC, Universal Navigation Inc...(Fetzer, Brandon)
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Filing 36
NOTICE OF APPEARANCE by Elliot Greenfield on behalf of Hayden Z. Adams, Union Square Ventures, LLC, Universal Navigation Inc...(Greenfield, Elliot)
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Filing 35
NOTICE OF APPEARANCE by Maeve L. O'Connor on behalf of Hayden Z. Adams, Union Square Ventures, LLC, Universal Navigation Inc...(O'Connor, Maeve)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #34 MOTION for Julia R. Miller to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26466164. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sgz)
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Filing 34
MOTION for Julia R. Miller to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26466164. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by AH Capital Management, L.L.C. (Attachments: #1 Affidavit / Declaration of Julia R. Miller in Support of Motion to Admit Counsel Pro Hac Vice, #2 Exhibit A - Certificate of Good Standing, #3 Text of Proposed Order Granting Motion to Admit Counsel Pro Hac Vice).(Miller, Julia)
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Filing 33
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Paradigm Operations LP..(Drylewski, Alexander)
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Filing 32
NOTICE OF APPEARANCE by Tansy Woan on behalf of Paradigm Operations LP..(Woan, Tansy)
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Filing 31
NOTICE OF APPEARANCE by Alexander C Drylewski on behalf of Paradigm Operations LP..(Drylewski, Alexander)
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***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #30 Proposed Order was reviewed and approved as to form. (km)
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Filing 30
PROPOSED ORDER. Document filed by Nessa Risley. Related Document Number: #26 ..(Serritella, James) Proposed Order to be reviewed by Clerk's Office staff.
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Filing 29
DECLARATION of Christopher J. McNamara in Support re: #26 MOTION to Appoint Nessa Risley, James Freeland, Robert Scott, Annie Venesky, Andrew Cardis and Dean Meyers to serve as lead plaintiff(s) and to approve their selection of co-lead counsel.. Document filed by Nessa Risley. (Attachments: #1 Exhibit A - Barton LLP Firm Resume).(Serritella, James)
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Filing 28
DECLARATION of James R. Serritella in Support re: #26 MOTION to Appoint Nessa Risley, James Freeland, Robert Scott, Annie Venesky, Andrew Cardis and Dean Meyers to serve as lead plaintiff(s) and to approve their selection of co-lead counsel.. Document filed by Nessa Risley. (Attachments: #1 Exhibit 1 - Certification of Nessa Risley, #2 Exhibit 2 - Certification of James Freeland, #3 Exhibit 3 - Certification of Robert Scott, #4 Exhibit 4 - Certification of Annie Venesky, #5 Exhibit 5 - Certification of Andrew Cardis, #6 Exhibit 6 - Certification of Dean Meyers, #7 Exhibit 7 - Kim & Serritella LLP Firm Resume, #8 Exhibit 8 - Business Wire Notice).(Serritella, James)
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Filing 27
MEMORANDUM OF LAW in Support re: #26 MOTION to Appoint Nessa Risley, James Freeland, Robert Scott, Annie Venesky, Andrew Cardis and Dean Meyers to serve as lead plaintiff(s) and to approve their selection of co-lead counsel. . Document filed by Nessa Risley..(Serritella, James)
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Filing 26
MOTION to Appoint Nessa Risley, James Freeland, Robert Scott, Annie Venesky, Andrew Cardis and Dean Meyers to serve as lead plaintiff(s) and to approve their selection of co-lead counsel. Document filed by Nessa Risley..(Serritella, James)
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Filing 25
NOTICE OF APPEARANCE by Aram Boghosian on behalf of Nessa Risley..(Boghosian, Aram)
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Filing 24
NOTICE OF APPEARANCE by Douglas Kent Yatter on behalf of AH Capital Management, L.L.C..(Yatter, Douglas)
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Filing 23
NOTICE OF APPEARANCE by Benjamin Naftalis on behalf of AH Capital Management, L.L.C..(Naftalis, Benjamin)
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Filing 22
NOTICE OF APPEARANCE by Susan Elisabeth Engel on behalf of AH Capital Management, L.L.C..(Engel, Susan)
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Filing 21
STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINT: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by counsel for the parties listed below, that: 1. Defendants are under no current obligation to answer or otherwise respond to the complaint and, unless otherwise ordered by the Court, Defendants may defer any answer or other response until after an order is entered regarding the Court's appointment of a Lead Plaintiff and approval of Lead Plaintiffs selection of Lead Counsel pursuant to the PSLRA. 2. No more than fifteen (15) days after the Lead Plaintiff has been appointed and Lead Counsel approved by the Court in accordance with the PSLRA, counsel for Defendants and Lead Counsel shall confer and submit a proposed schedule for the filing of a consolidated or amended complaint and Defendants' response thereto or, alternatively, if Lead Plaintiff confirms that she does not intend to further amend the complaint in this action at that time, then the parties shall confer and submit a proposed schedule for the filing of Defendants' response to the operative complaint. 3. By entering into this stipulation, Defendants do not waive any defenses that otherwise could be asserted through a motion pursuant to Fed. R. Civ. P. 12 or otherwise. SO ORDERED. (Signed by Judge Katherine Polk Failla on 4/21/2022) (va)
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Filing 20
PROPOSED STIPULATION AND ORDER. Document filed by Hayden Z. Adams, Union Square Ventures, LLC, Universal Navigation Inc...(O'Connor, Maeve)
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Filing 19
ORDER: Plaintiff's counsel published the required notice on April 8, 2022. Members of the purported class therefore have until June 7, 2022 to move theCourt to serve as lead plaintiffs. Accordingly, it is hereby: ORDERED that opposition to any motion for appointment of lead plaintiff shall be served and filed by July 7, 2022. IT IS FURTHER ORDERED that a conference shall be held at 3:00 p.m. on July 29, 2022, in Courtroom 618, Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York to consider any motions forappointment of lead plaintiff and lead counsel and for consolidation. IT IS FURTHER ORDERED that the named plaintiffs shall promptly serve a copy of this Order on each of the defendants. SO ORDERED., ( Motions due by 6/7/2022., Responses due by 7/7/2022, Status Conference set for 7/29/2022 at 03:00 PM in Courtroom 618, 40 Centre Street, New York, NY 10007 before Judge Katherine Polk Failla.) (Signed by Judge Katherine Polk Failla on 4/13/2022) (ama)
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Filing 18
NOTICE OF APPEARANCE by Roger E. Barton on behalf of Nessa Risley..(Barton, Roger)
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Filing 17
LETTER addressed to Judge Katherine Polk Failla from James R. Serritella dated April 13, 2022 re: Response to the Court's Order dated April 12, 2022. Document filed by Nessa Risley. (Attachments: #1 Exhibit Business Wire Press Release).(Serritella, James)
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Filing 16
ORDER. It is hereby ORDERED that no later than April 24, 2022, Plaintiffs shall advise the Court in writing of the date and manner in which they published this notice. SO ORDERED. (Signed by Judge Katherine Polk Failla on 4/12/22) (yv)
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Filing 15
ELECTRONIC SUMMONS ISSUED as to Hayden Z. Adams..(sj)
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Filing 14
NOTICE OF APPEARANCE by Michael Christopher Ward on behalf of Nessa Risley..(Ward, Michael)
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Filing 13
NOTICE OF APPEARANCE by Christopher James McNamara on behalf of Nessa Risley..(McNamara, Christopher)
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Filing 12
REQUEST FOR ISSUANCE OF SUMMONS as to Hayden Z. Adams, re: #1 Complaint,. Document filed by Nessa Risley..(Serritella, James)
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Filing 11
ELECTRONIC SUMMONS ISSUED as to Universal Navigation Inc...(pc)
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Filing 10
ELECTRONIC SUMMONS ISSUED as to Union Square Ventures, LLC..(pc)
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Filing 9
ELECTRONIC SUMMONS ISSUED as to Paradigm Operations LP..(pc)
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Filing 8
ELECTRONIC SUMMONS ISSUED as to AH Capital Management, L.L.C..(pc)
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***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney James Rocco Serritella. The following case opening statistical information was erroneously selected/entered: Fee Status code due (due);. The following correction(s) have been made to your case entry: the Fee Status code has been modified to pd (paid);. (pc)
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***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney James Rocco Serritella. The party information for the following party/parties has been modified: Universal Navigation Inc. dba Uniswap Labs, AH Capital Management, L.L.C. dba Andreessen Horowitz, Hayden Adams, Nessa Risley. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error; party text was omitted; alias party name was omitted;. (pc)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney James Rocco Serritella to RE-FILE Document No. #4 Request for Issuance of Summons. The filing is deficient for the following reason(s): Party name on the docket entry needs to exactly match the complaint caption title (middle initial is missing);. 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. (pc)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Katherine Polk Failla. 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..(pc)
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Magistrate Judge Ona T. Wang is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (pc)
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Case Designated ECF. (pc)
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Filing 7
REQUEST FOR ISSUANCE OF SUMMONS as to Union Square Ventures, LLC, re: #1 Complaint,. Document filed by Nessa Risley..(Serritella, James)
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Filing 6
REQUEST FOR ISSUANCE OF SUMMONS as to AH Capital Management, L.L.C. dba Andreessen Horowitz, re: #1 Complaint,. Document filed by Nessa Risley..(Serritella, James)
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Filing 5
REQUEST FOR ISSUANCE OF SUMMONS as to Paradigm Operations LP, re: #1 Complaint,. Document filed by Nessa Risley..(Serritella, James)
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Filing 4
FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST As To - REQUEST FOR ISSUANCE OF SUMMONS as to Hayden Adams, re: #1 Complaint,. Document filed by Nessa Risley..(Serritella, James) Modified on 4/5/2022 (pc).
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Filing 3
REQUEST FOR ISSUANCE OF SUMMONS as to Universal Navigation Inc. dba Uniswap Labs, re: #1 Complaint,. Document filed by Nessa Risley..(Serritella, James)
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Filing 2
CIVIL COVER SHEET filed..(Serritella, James)
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Filing 1
COMPLAINT against AH Capital Management, L.L.C. dba Andreessen Horowitz, Hayden Adams, Paradigm Operations LP, Union Square Ventures, LLC, Universal Navigation Inc. dba Uniswap Labs. (Filing Fee $ 402.00, Receipt Number ANYSDC-25959696)Document filed by Nessa Risley..(Serritella, James)
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