Xu v. Direxion Shares ETF Trust et al
| Lee Xu, Stephen M Szymanski, ROBERT K. WOLVINGTON, ELLIOTT D. FELLMAN and JIGISHABEN V. PATEL |
| Direxion Shares ETF Trust, Rafferty Asset Management, LLC, Direxion Family of Investment Companies, Daniel O'Neill, Daniel J. Byrne, Gerald E. Shanley, III, Jacob C. Gaffey, Patrick J. Rudnick, Angela Brickl, Todd Kellerman, Paul Brigandi, Tony Ng, Michael Rafferty, Kathleen Rafferty, U.S. Bancorp Fund Services, LLC, Foreside Fund Services, LLC, Direxion Advisors, LLC and Kathleen Rafferty Hay |
| 1:2022cv05090 |
| June 16, 2022 |
| US District Court for the Southern District of New York |
| Valerie E Caproni |
| Securities/Commodities |
| Plaintiff |
Docket Report
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This docket was last retrieved on August 28, 2023. A more recent docket listing may be available from PACER.
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Filing 140
CLERK'S JUDGMENT re: #139 Memorandum & Opinion in favor of Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Rafferty Asset Management, LLC, U.S. Bancorp Fund Services, LLC, Angela Brickl, Daniel O'Neill, Daniel J. Byrne, Gerald E. Shanley, III, Jacob C. Gaffey, Kathleen Rafferty Hay, Michael Rafferty, Patrick J. Rudnick, Paul Brigandi, Todd Kellerman, Tony Ng against ELLIOTT D. FELLMAN, JIGISHABEN V. PATEL, Lee Xu, ROBERT K. WOLVINGTON, Stephen M Szymanski. It is hereby ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Opinion and Order dated August 25, 2023, Defendants' motion to dismiss is GRANTED as to all claims; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 8/28/2023) (Attachments: #1 Appeal Package) (km)
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Terminate Transcript Deadlines (km)
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Filing 139
OPINION AND ORDER re: #118 MOTION to Dismiss the Third Amended Complaint filed by Direxion Shares ETF Trust, Michael Rafferty, Daniel O'Neill, Kathleen Rafferty Hay, Rafferty Asset Management, LLC, Direxion Advisors, LLC, Todd Kellerman, U.S. Bancorp Fund Services, LLC, Foreside Fund Services, LLC, Paul Brigandi, Gerald E. Shanley, III, Daniel J. Byrne, Jacob C. Gaffey, Tony Ng, Direxion Family of Investment Companies, Angela Brickl, Patrick J. Rudnick. For the foregoing reasons, Defendants' motion to dismiss is GRANTED as to all claims. The Clerk of Court is respectfully directed to terminate all open motions and to CLOSE this case. SO ORDERED. (Signed by Judge Valerie E. Caproni on 8/25/2023) (vfr) Transmission to Orders and Judgments Clerk for processing.
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Filing 138
ORDER TO WITHDRAW MARGARET HAGGERTY AS COUNSEL FOR DEFENDANT FORESIDE FUND SERVICES, LLP granting #137 Motion to Withdraw as Attorney. Before the Court is the Motion to Withdraw Margaret Haggerty as counsel for Defendant Foreside Fund Services, LLC. Having reviewed and considered the Motion, and for good cause shown, IT IS SO ORDERED that the Motion to Withdraw Margaret Haggerty as Counsel of Record is GRANTED. SO ORDERED. Attorney Margaret Haggerty terminated. (Signed by Judge Valerie E. Caproni on 8/24/2023) (tg)
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Filing 137
MOTION for Margaret Haggerty to Withdraw as Attorney . Document filed by Foreside Fund Services, LLC. (Attachments: #1 Proposed Order Proposed Order).(Goldfarb, James)
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Filing 136
REPLY MEMORANDUM OF LAW in Support re: #118 MOTION to Dismiss the Third Amended Complaint. . Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 135
TRANSCRIPT of Proceedings re: CONFERENCE held on 3/22/2023 before Judge Valerie E. Caproni. Court Reporter/Transcriber: Sharonda Jones, (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 4/24/2023. Redacted Transcript Deadline set for 5/4/2023. Release of Transcript Restriction set for 7/3/2023..(McGuirk, Kelly)
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Filing 134
TRANSCRIPT of Proceedings re: CONFERENCE held on 3/22/2023 before Judge Valerie E. Caproni. Court Reporter/Transcriber: Sharonda Jones, (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 4/24/2023. Redacted Transcript Deadline set for 5/4/2023. Release of Transcript Restriction set for 7/3/2023..(McGuirk, Kelly)
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Filing 133
ORDER denying #116 Letter Motion for Leave to File Document; denying #122 Motion to Amend/Correct #116 FIFTH LETTER MOTION for Leave to File Third Amendment Nunc Pro Tunc adding additional 4 parties addressed to Judge Valerie E. Caproni from LEE XU dated 01/09/2023., #122 MOTION to Amend/Correct #110 Amended Complaint,, Plaintiffs'.FIRST MOTION for Leave to File Fourth Amended Class Action Complaint ., #131 CROSS LETTER MOTION for Conference re: #125 Reply Memorandum of Law in Support of Motion,, #120 Declaration in Support of Motion,, #119 Memorandum of Law in Support of Motion,, Plaintiffs addressed to Judge Valerie E. Caproni from Lee ; denying #122 Letter Motion for Leave to File Document; withdrawing #131 Letter Motion for Conference re: #116 FIFTH LETTER MOTION for Leave to File Third Amendment Nunc Pro Tunc adding additional 4 parties addressed to Judge Valerie E. Caproni from LEE XU dated 01/09/2023., #122 MOTION to Amend/Correct #110 Amended Complaint,, Plaintiffs'.FIRST MOTION for Leave to File Fourth Amended Class Action Complaint ., #131 CROSS LETTER MOTION for Conference re: #125 Reply Memorandum of Law in Support of Motion,, #120 Declaration in Support of Motion,, #119 Memorandum of Law in Support of Motion,, Plaintiffs addressed to Judge Valerie E. Caproni from Lee. IT IS HEREBY ORDERED that, for the reasons stated at the conference, Plaintiffs' motion to amend the complaint, Dkts. 116 and 122, is DENIED; Plaintiffs' Cross-Motion to disqualify counsel for Defendants, Dkt. 131, is WITHDRAWN. IT IS FURTHER ORDERED that Defendants' Reply in Support of the Motion to Dismiss, Dkt. 127, is due by no later than April 5, 2023. IT IS FURTHER ORDERED that, other than Defendants' anticipated reply, no further briefs or motions may be filed in this case without leave of Court. The Clerk of Court is respectfully directed to terminate the open motions at docket entries 116, 122, and 131. SO ORDERED. (Signed by Judge Valerie E. Caproni on 3/22/2023) (tg)
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Minute Entry for proceedings held before Judge Valerie E. Caproni: Status Conference held on 3/22/2023. Attorney Lee Xu present as plaintiff. Attorney James Goldfarb present for Defendant Foreside Fund Services, LLC. Attorneys Ethan Fitzgerald and Robert Skinner present for remaining defendants. Court Reporter Sharonda Jones present. (anc)
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Filing 132
ORDER granting #130 Letter Motion to Adjourn Conference. Application GRANTED. The conference scheduled for March 17, 2023, is hereby ADJOURNED to Wednesday, March 22, 2023 at 1:30 p.m. in Courtroom 443 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York, 10007. SO ORDERED. Status Conference set for 3/22/2023 at 01:30 PM in Courtroom 443, 40 Centre Street, New York, NY 10007 before Judge Valerie E. Caproni. (Signed by Judge Valerie E. Caproni on 3/15/2023) (tg)
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Filing 131
CROSS LETTER MOTION for Conference re: #125 Reply Memorandum of Law in Support of Motion,, #120 Declaration in Support of Motion,, #119 Memorandum of Law in Support of Motion,, Plaintiffs addressed to Judge Valerie E. Caproni from Lee Xu dated March 15, 2023. Document filed by ELLIOTT D. FELLMAN, JIGISHABEN V. PATEL, Stephen M Szymanski, ROBERT K. WOLVINGTON, Lee Xu(on Behalf of Himself And all Others Similarly Situated,). Return Date set for 3/22/2023 at 02:30 PM. (Attachments: #1 Exhibit Defendant attorney J. William Piereson's online public profile).(Xu, Lee)
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Filing 130
LETTER MOTION to Adjourn Conference scheduled for March 17, 2023 addressed to Judge Valerie E. Caproni from Amy D. Roy dated March 15, 2023. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 129
ORDER granting #128 Letter Motion for Conference re: #128 LETTER MOTION for Conference regarding Defendants' forthcoming motion to strike Plaintiffs' Memorandum of Law in Further Support of their Motion for Leave to File a Fourth Amended Complaint and in Opposition to Defendants' Motion t. The parties are required to appear for an in-person conference on Friday, March 17, 2023 at 2:30 p.m. in Courtroom 443 of the Thurgood Marshall Courthouse, 40 Foley Square, New York, New York, 10007. If the parties are unavailable at this time, Plaintiff must meet and confer with Defendants and propose alternative, mutually convenient times/dates to hold the conference. Any such proposal must be submitted to the Court by no later than March 15, 2023. SO ORDERED. Status Conference set for 3/17/2023 at 02:30 PM in Courtroom 443, 40 Centre Street, New York, NY 10007 before Judge Valerie E. Caproni. (Signed by Judge Valerie E. Caproni on 3/14/2023) (tg)
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Filing 128
LETTER MOTION for Conference regarding Defendants' forthcoming motion to strike Plaintiffs' Memorandum of Law in Further Support of their Motion for Leave to File a Fourth Amended Complaint and in Opposition to Defendants' Motion to Dismiss the Third Amended Complaint, ECF No. 126, addressed to Judge Valerie E. Caproni from Amy D. Roy dated March 14, 2023. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 127
AMENDED MEMORANDUM OF LAW in Opposition re: #118 MOTION to Dismiss the Third Amended Complaint., #122 MOTION to Amend/Correct #110 Amended Complaint,, Plaintiffs'.FIRST MOTION for Leave to File Fourth Amended Class Action Complaint . . Document filed by ELLIOTT D. FELLMAN, JIGISHABEN V. PATEL, Stephen M Szymanski, ROBERT K. WOLVINGTON, Lee Xu(on Behalf of Himself And all Others Similarly Situated,)..(Xu, Lee)
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Filing 126
MEMORANDUM OF LAW in Opposition re: #118 MOTION to Dismiss the Third Amended Complaint., #122 MOTION to Amend/Correct #110 Amended Complaint,, Plaintiffs'.FIRST MOTION for Leave to File Fourth Amended Class Action Complaint . . Document filed by ELLIOTT D. FELLMAN, JIGISHABEN V. PATEL, Stephen M Szymanski, ROBERT K. WOLVINGTON, Lee Xu(on Behalf of Himself And all Others Similarly Situated,)..(Xu, Lee)
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Filing 125
REPLY MEMORANDUM OF LAW in Support re: #118 MOTION to Dismiss the Third Amended Complaint. Defendants' Memoranand in Opposition to Plaintiffs' Motion for Leave to File Fourth Amended Complaint. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 124
PROPOSED ORDER. Document filed by Stephen M Szymanski, Lee Xu(on Behalf of Himself And all Others Similarly Situated,). Related Document Number: #122 ..(Xu, Lee) Proposed Order to be reviewed by Clerk's Office staff.
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED ORDER. Notice to attorney Lee Xu to RE-FILE Document No. #123 Proposed Order. The filing is deficient for the following reason(s): the documents need to be filed separately. (km)
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***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #124 Proposed Order was reviewed and approved as to form. (km)
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Filing 123
FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED ORDER. Document filed by Stephen M Szymanski, Lee Xu(on Behalf of Himself And all Others Similarly Situated,). (Attachments: #1 Exhibit Motion for Leave to file Fourth Amended Complaint, #2 Exhibit Notice of Fourth Amended Class Action Complaint, #3 Exhibit Memo of Law for Fourth Amended Class Action Complaint, #4 Exhibit the Fourth Amended Class Action Complaint, #5 Exhibit Redlined Fourth Amended Class Action Complaint) Related Document Number: #122 ..(Xu, Lee) Proposed Order to be reviewed by Clerk's Office staff. Modified on 2/13/2023 (km).
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Filing 122
MOTION to Amend/Correct #110 Amended Complaint,, Plaintiffs'., FIRST MOTION for Leave to File Fourth Amended Class Action Complaint . ( Return Date set for 2/28/2023 at 10:00 AM.) Document filed by Stephen M Szymanski, Lee Xu(on Behalf of Himself And all Others Similarly Situated,), ROBERT K. WOLVINGTON, ELLIOTT D. FELLMAN, JIGISHABEN V. PATEL. (Attachments: #1 Supplement Notice of Motion for Leave to file Fourth Amended Complaint, #2 Supplement Memo of Law for Motion for Leave to file Fourth Amended Complaint, #3 Supplement Proposed Order for Motion for Leave to file Fourth Amended Complaint, #4 Exhibit the Fourth Amended Class Action Complaint, #5 Exhibit Redlined Fourth Amended Class Action Complaint).(Xu, Lee)
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Filing 121
ORDER GRANTING MOTION TO APPEAR PRO HAC VICE granting #117 Motion for J. William Piereson to Appear Pro Hac Vice. SO ORDERED. (Signed by Judge Valerie E. Caproni on 1/23/2023) (vfr)
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Filing 120
DECLARATION of Amy D. Roy in Support re: #118 MOTION to Dismiss the Third Amended Complaint.. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9).(Roy, Amy)
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Filing 119
MEMORANDUM OF LAW in Support re: #118 MOTION to Dismiss the Third Amended Complaint. . Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 118
MOTION to Dismiss the Third Amended Complaint. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #117 MOTION for J. William Piereson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27225758. 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 117
MOTION for J. William Piereson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27225758. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit Declaration in Support, #2 Exhibit MA Certificate of Good Standing, #3 Exhibit NY Certificate of Good Standing, #4 Text of Proposed Order Proposed Order).(Piereson, J.)
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Filing 116
FIFTH LETTER MOTION for Leave to File Third Amendment Nunc Pro Tunc adding additional 4 parties addressed to Judge Valerie E. Caproni from LEE XU dated 01/09/2023. Document filed by Stephen M Szymanski, Lee Xu(on Behalf of Himself And all Others Similarly Situated,)..(Xu, Lee)
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Filing 115
MEMO ENDORSEMENT granting #114 Motion to Withdraw as Attorney. ENDORSEMENT: Application GRANTED. The Clerk of Court is respectfully directed to terminate Jessica M. Bergin as counsel for Defendants. SO ORDERED. Attorney Jessica M. Bergin terminated. (Signed by Judge Valerie E. Caproni on 1/5/2023) (tg)
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Filing 114
MOTION for Jessica M. Bergin to Withdraw as Attorney . Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Bergin, Jessica)
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Minute Entry for proceedings held before Judge Valerie E. Caproni: Telephone Conference held on 12/14/2022. Attorney Lee Xu present for the plaintiffs. Attorney Amy Roy present for the defendants. AT&T Recorded. (anc)
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Filing 113
ORDER denying as moot #107 Motion to Dismiss. IT IS HEREBY ORDERED that the Joint Stipulation, Dkt. 105, is VACATED. IT IS FURTHER ORDERED that the Court grants Plaintiff Xu leave nunc pro tunc to file the Third Amended Complaint. Plaintiffs may not file any further amendments to the complaint without leave of Court. IT IS FURTHER ORDERED that Defendants' pending Motion to Dismiss, Dkt. 107, is DENIED as moot. IT IS FURTHER ORDERED that Defendants' deadline to move, answer, or otherwise respond to the Third Amended Complaint is January 20, 2023; Plaintiffs' deadline to oppose any motion to dismiss is February 10, 2023; Defendants' Reply is due February 24, 2023. SO ORDERED. (Signed by Judge Valerie E. Caproni on 12/14/2022) (tg)
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Set/Reset Deadlines: Responses due by 2/10/2023 Replies due by 2/24/2023. (tg)
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Filing 112
ORDER granting #111 Letter Motion for Conference re: #111 LETTER MOTION for Conference regarding defendants' forthcoming motion to strike the Third Amended Complaint addressed to Judge Valerie E. Caproni from Amy D. Roy dated December 12, 2022. Application GRANTED. The parties shall appear for a teleconference on Wednesday, December 14, 2022 at 1:30 p.m. by dialing 1-888-363-4749, using the access code 3121171, and the security code 5090. All attendees are advised to mute their phones when not speaking and to self-identify each time they speak. Recording or rebroadcasting the proceeding is strictly prohibited by law. SO ORDERED. Telephone Conference set for 12/14/2022 at 01:30 PM before Judge Valerie E. Caproni. (Signed by Judge Valerie E. Caproni on 12/12/2022) (tg)
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Filing 111
LETTER MOTION for Conference regarding defendants' forthcoming motion to strike the Third Amended Complaint addressed to Judge Valerie E. Caproni from Amy D. Roy dated December 12, 2022. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 110
THIRD AMENDED COMPLAINT amending #100 Amended Complaint,,, against Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC with JURY DEMAND.Document filed by Lee Xu, Stephen M Szymanski. Related document: #100 Amended Complaint,,,. (Attachments: #1 Exhibit Amended Complaints redlined comparing with prior complaint).(Xu, Lee)
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Filing 109
DECLARATION of Amy D. Roy in Support re: #107 MOTION to Dismiss Defendants Motion to Dismiss the Second Amended Complaint.. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit Ex. 01_2020-02-28 Direxion 485BPOS, #2 Exhibit Ex. 02_2020-02-28 NUGT 497K, #3 Exhibit Ex. 03_2020-03-20 Direxion 497, #4 Exhibit Ex. 04_2020-03-27 Direxion 497, #5 Exhibit Ex. 05_2020-04-08 Direxion 497, #6 Exhibit Ex. 06_2020-12-30 Direxion 485APOS, #7 Exhibit Ex. 07_2021-02-28 Direxion 485BPOS, #8 Exhibit Ex. 08_2021-02-28 NUGT 497K, #9 Exhibit Ex. 09_2020-04-01 Prospectus 497).(Roy, Amy)
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Filing 108
MEMORANDUM OF LAW in Support re: #107 MOTION to Dismiss Defendants Motion to Dismiss the Second Amended Complaint. . Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 107
MOTION to Dismiss Defendants Motion to Dismiss the Second Amended Complaint. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 106
ORDER granting #104 Letter Motion for Leave to File Excess Pages. Application GRANTED. While the Court appreciates that Plaintiff is proceeding pro se, see Pl. Letter, Dkt. 105, a 5-page enlargement of Defendants' motion and reply papers is reasonable in light of the number of parties and claims at issue. Accordingly, Defendants' memorandum of law in support of its anticipated Motion to Dismiss may not exceed 30 pages; if Plaintiff opposes the Motion to Dismiss, the page-limit for Plaintiff's Opposition is similarly enlarged to no more than 30 pages. Defendants' Reply, if any, may not exceed 15 pages. SO ORDERED. (Signed by Judge Valerie E. Caproni on 11/10/2022) (tg)
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Filing 105
Vacated as per Judge's Order dated 12/14/2022, Doc. # 113 LETTER RESPONSE in Opposition to Motion addressed to Judge Valerie E. Caproni from LEE XU dated 11/08/2022 re: #104 LETTER MOTION for Leave to File Excess Pages for defendants' briefing on their forthcoming motion to dismiss the second amended complaint addressed to Judge Valerie E. Caproni from Amy D. Roy dated November 7, 2022. . Document filed by Lee Xu(on Behalf of Himself And all Others Similarly Situated,)..(Xu, Lee) Modified on 12/14/2022 (tg).
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Filing 104
LETTER MOTION for Leave to File Excess Pages for defendants' briefing on their forthcoming motion to dismiss the second amended complaint addressed to Judge Valerie E. Caproni from Amy D. Roy dated November 7, 2022. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 103
STIPULATION AND ORDER CONCERNING TIME TO RESPOND TO SECOND AMENDED COMPLAINT: NOW, THEREFORE, the parties, through their undersigned counsel, hereby stipulate and agree as follows: 1. In light of the Second Amended Complaint eliminating all class allegations from this action, Defendants' motion to disqualify Plaintiff from serving as class counsel in this action (ECF No. 82) is moot, the PSLRA notice window for any member of the putative class to move the Court to serve as lead plaintiff is terminated, and the Stipulation and Order dated July 29, 2022 (ECF No. 78) is vacated; 2. Consistent with the Court's July 29, 2022 Stipulation and Order regarding the deadline for Defendants' response to an amended class action complaint, Defendants waive service of the Second Amended Complaint and shall respond to the Second Amended Complaint within 60 days of Plaintiff's receipt of written consent to file the Second Amended Complaint, or on or before Monday, November 14, 2022; and 3. In the event that Defendants file any motions to dismiss the Second Amended Complaint, Plaintiff shall have 60 days, or on or before Friday, January 13, 2023 to serve its opposition, and Defendants shall have 35 days, or on or before Friday, February 17, 2023 to serve any replies. IT IS SO STIPULATED. SO ORDERED. Motions terminated: #82 MOTION to Disqualify Plaintiff Lee Xu from Serving as Class Counsel. filed by Direxion Shares ETF Trust, Michael Rafferty, Daniel O'Neill, Kathleen Rafferty Hay, Rafferty Asset Management, LLC, Direxion Advisors, LLC, Todd Kellerman, U.S. Bancorp Fund Services, LLC, Foreside Fund Services, LLC, Paul Brigandi, Gerald E. Shanley, III, Daniel J. Byrne, Jacob C. Gaffey, Tony Ng, Direxion Family of Investment Companies, Angela Brickl, Patrick J. Rudnick.Angela Brickl answer due 11/14/2022; Paul Brigandi answer due 11/14/2022; Daniel J. Byrne answer due 11/14/2022; Direxion Advisors, LLC answer due 11/14/2022; Direxion Family of Investment Companies answer due 11/14/2022; Direxion Shares ETF Trust answer due 11/14/2022; Foreside Fund Services, LLC answer due 11/14/2022; Jacob C. Gaffey answer due 11/14/2022; Todd Kellerman answer due 11/14/2022; Tony Ng answer due 11/14/2022; Daniel O'Neill answer due 11/14/2022; Michael Rafferty answer due 11/14/2022; Rafferty Asset Management, LLC answer due 11/14/2022; Kathleen Rafferty Hay answer due 11/14/2022; Patrick J. Rudnick answer due 11/14/2022; Gerald E. Shanley, III answer due 11/14/2022; U.S. Bancorp Fund Services, LLC answer due 11/14/2022. (Signed by Judge Valerie E. Caproni on 9/15/2022) (tg) Modified on 9/20/2022 (tg).
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Filing 102
EXHIBIT TO PLEADING re: #100 Amended Complaint,,,. Document filed by Lee Xu..(Xu, Lee)
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Filing 101
LETTER addressed to Judge Valerie E. Caproni from Amy D. Roy dated September 13, 2022 re: Stipulation and Proposed Order Concerning Time to Respond to Second Amended Complaint. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit - Joint Stipulation).(Roy, Amy)
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Filing 100
SECOND AMENDED COMPLAINT amending #95 Amended Complaint,, #94 Amended Complaint, #99 Amended Complaint,,, #1 Complaint, against Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC with JURY DEMAND.Document filed by Lee Xu. Related document: #95 Amended Complaint,, #94 Amended Complaint, #99 Amended Complaint,,, #1 Complaint,. (Attachments: #1 Exhibit redlined version of amended pleading comparing to the original Complaint, #2 Exhibit opposing party's written consent).(Xu, Lee) Modified on 9/13/2022 (jgo). Modified on 9/14/2022 (gp).
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Lee Xu to RE-FILE re: Document No. #99 Amended Complaint. The filing is deficient for the following reason(s): Court's leave has not been granted, A First Amended Complaint has been filed (Doc. 95); the order granting permission to file the pleading was not attached; all of the parties listed on the pleading were not entered on CM ECF; the wrong filer/filers were selected for the pleading. 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. (vf)
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Filing 99
FILING ERROR - DEFICIENT PLEADING - FILER ERROR - FIRST AMENDED COMPLAINT amending #95 Amended Complaint,, #94 Amended Complaint, #1 Complaint, against Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC with JURY DEMAND.Document filed by Lee Xu. Related document: #95 Amended Complaint,, #94 Amended Complaint, #1 Complaint,. (Attachments: #1 Exhibit redlined version of the proposed amended pleading comparing to the original version of the pleading).(Xu, Lee) Modified on 9/12/2022 (vf).
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Filing 98
LETTER addressed to Judge Valerie E. Caproni from Amy D. Roy dated September 8, 2022 re: As cover for Stipulation and [Proposed] Order Concerning Time to Respond to First Amended Complaint. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Text of Proposed Order Stipulation and [Proposed Order]).(Roy, Amy)
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Filing 97
THIRD LETTER addressed to Judge Valerie E. Caproni from Lee Xu dated 09/08/2022 re: Amend the Complaint with Defendants' consent under FRCP15(a)(2). Document filed by Lee Xu..(Xu, Lee)
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Filing 96
ORDER TO SHOW CAUSE IT IS HEREBY ORDERED that no later than September 16, 2022, Plaintiff must show cause for why the FAC should not be stricken for being out of time. SO ORDERED. (Signed by Judge Valerie E. Caproni on 9/2/2022) (jca)
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Filing 95
FIRST AMENDED COMPLAINT amending #94 Amended Complaint, against Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC with JURY DEMAND.Document filed by Lee Xu. Related document: #94 Amended Complaint,..(Xu, Lee)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Lee Xu to RE-FILE Document No. #94 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. (pc)
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Filing 94
FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR -FIRST AMENDED COMPLAINT amending #1 Complaint, against All Defendants with JURY DEMAND.Document filed by Lee Xu. Related document: #1 Complaint,..(Xu, Lee) Modified on 8/29/2022 (pc).
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Filing 93
STIPULATION AND ORDER CONCERNING INITIAL PRETRIAL CONFERENCE AND CASE MANAGEMENT PLAN: The Court has already entered an Order regarding the timing of Defendants' responses to the complaint (ECF No. 78), and pursuant to the PSLRA, there is an automatic stay of all discovery and other proceedings in this action through the resolution of any motion(s) to dismiss filed by Defendants; and The IPTC currently scheduled for August 26, 2022 and the current deadline to submit a joint letter, Civil Case Management Plan, and Scheduling Order by August 18, 2022 are adjourned. Within 14 days after a final decision by the Court denying any motion(s) to dismiss, the parties shall meet and confer regarding case management and file a joint letter, Civil Case Management Plan, and Scheduling Order in compliance with the Court's Individual Practices in Civil Cases, including, if necessary, a proposed alternative date for the IPTC. SO ORDERED. (Signed by Judge Valerie E. Caproni on 8/22/2022) (rro)
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Filing 92
REPLY MEMORANDUM OF LAW in Support re: #82 MOTION to Disqualify Plaintiff Lee Xu from Serving as Class Counsel. . Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 91
LETTER addressed to Judge Valerie E. Caproni from Amy D. Roy dated August 12, 2022 re: The Parties' Joint Stipulation and [Proposed] Order Concerning Initial Pretrial Conference and Case Management Plan. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit - Stipulation and [Proposed] Order).(Roy, Amy)
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Filing 90
NOTICE OF APPEARANCE by Margaret Haggerty on behalf of Foreside Fund Services, LLC..(Haggerty, Margaret)
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Filing 89
FIRST MEMORANDUM OF LAW in Opposition re: #82 MOTION to Disqualify Plaintiff Lee Xu from Serving as Class Counsel. . Document filed by Lee Xu. (Attachments: #1 Affidavit Plaintiff's Affidavit in Support of Opposition to D's Motion).(Xu, Lee)
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Filing 88
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent U.S. Bancorp for U.S. Bancorp Fund Services, LLC. Document filed by U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 87
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Rafferty Asset Management, LLC..(Roy, Amy)
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Filing 86
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust..(Roy, Amy)
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Filing 85
AFFIDAVIT of Angela Brickl in Support re: #82 MOTION to Disqualify Plaintiff Lee Xu from Serving as Class Counsel.. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 84
AFFIDAVIT of Amy D. Roy in Support re: #82 MOTION to Disqualify Plaintiff Lee Xu from Serving as Class Counsel.. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 83
MEMORANDUM OF LAW in Support re: #82 MOTION to Disqualify Plaintiff Lee Xu from Serving as Class Counsel. . Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 82
MOTION to Disqualify Plaintiff Lee Xu from Serving as Class Counsel. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Roy, Amy)
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Filing 81
ORDER granting #66 Motion for Jessica M. Bergin to Appear Pro Hac Vice. (Signed by Judge Valerie E. Caproni on 7/29/2022) (ate)
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Filing 80
ORDER granting #65 Motion for Robert A. Skinner to Appear Pro Hac Vice. (Signed by Judge Valerie E. Caproni on 7/29/2022) (ate)
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Filing 79
ORDER granting #64 Motion for Amy D. Roy to Appear Pro Hac Vice. (Signed by Judge Valerie E. Caproni on 7/29/2022) (ate)
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Filing 78
STIPULATION AND ORDER CONCERNING TIME TO RESPOND TO COMPLAINT: Now, therefore, the parties, through their undersigned counsel, hereby stipulate and agree as follows: 1. Within 14 days after the Court enters an order appointing lead plaintiff and lead counsel, lead plaintiff shall notify Defendants whether it will file an amended or consolidated complaint, and shall file any such amended or consolidated complaint within 60 days after the Court enters such an order. 2. Defendants shall respond to the complaint within 45 days after lead plaintiff notifies them that it does not intend to file an amended or consolidated complaint, except that in the event that lead plaintiff files an amended or consolidated complaint, Defendants shall respond to the amended or consolidated complaint within 60 days after the filing of that amended or consolidated complaint. 3. In the event that Defendants file any motions to dismiss the complaint or amended or consolidated complaint, lead plaintiff shall have 60 days to serve its opposition, and Defendants shall have 35 days thereafter to serve any replies. 4. This stipulation is without prejudice to, and does not waive, any party's rights in respect of the appointment of or opposition to lead plaintiff or counsel. SO ORDERED. (Signed by Judge Valerie E. Caproni on 7/29/2022) (ate)
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Filing 77
MEMO ENDORSEMENT on re: #76 Letter Extend time to Notice Class under PSLRA Section 27(a)(3)(A)(i) filed by Lee Xu. ENDORSEMENT : Application GRANTED. Plaintiff's deadline to publish notice pursuant to the PSLRA is extended to August 5, 2022. SO ORDERED. (Signed by Judge Valerie E. Caproni on 7/29/22) (yv)
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Filing 76
THIRD LETTER addressed to Judge Valerie E. Caproni from Lee Xu dated 07/29/2022 re: Extend time to Notice Class under PSLRA Section 27(a)(3)(A)(i). Document filed by Lee Xu..(Xu, Lee)
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Filing 75
LETTER addressed to Judge Valerie E. Caproni from Amy D. Roy dated 7/28/2022 re: Stipulation and Proposed Order Concerning Time to Respond to Complaint. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit Joint Stipulation).(Roy, Amy)
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Filing 74
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Foreside Financial Group, LLC for Foreside Fund Services, LLC. Document filed by Foreside Fund Services, LLC..(Goldfarb, James)
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Filing 73
MEMO ENDORSEMENT on re: #72 Letter filed by Lee Xu. ENDORSEMENT: Application DENIED without prejudice. Pursuant to Rule 2(C) of the Court's Individual Practices, requests for adjournment must indicate whether opposing counsel consents to the request. SO ORDERED. (Signed by Judge Valerie E. Caproni on 7/27/2022) (vfr)
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Filing 72
SECOND LETTER addressed to Judge Valerie E. Caproni from Lee Xu, Esq. dated 07/22/2022 re: Extend time to notice class under PSLRA Section 27(a)(3)(A)(i). Document filed by Lee Xu..(Xu, Lee)
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Filing 71
NOTICE OF APPEARANCE by Cameron S. Matheson on behalf of Foreside Fund Services, LLC..(Matheson, Cameron)
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Filing 70
NOTICE OF APPEARANCE by James K. Goldfarb on behalf of Foreside Fund Services, LLC..(Goldfarb, James)
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Filing 69
FIRST LETTER addressed to Judge Valerie E. Caproni from Lee Xu, Esq. dated 07/22/2022 re: Plaintiff's reply to Defendant's moot opposition. Document filed by Lee Xu..(Xu, Lee)
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Filing 68
DECLARATION of Amy D. Roy in Opposition re: #62 Affirmation, #61 Proposed Clerk's Certificate of Default, #60 FIRST MOTION for Default Judgment as to Direxion Shares ETF Trust and Rafferty Asset Management, LLC.. Document filed by Direxion Shares ETF Trust, Rafferty Asset Management, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B).(Roy, Amy)
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Filing 67
RESPONSE re: #62 Affirmation, #61 Proposed Clerk's Certificate of Default, #60 FIRST MOTION for Default Judgment as to Direxion Shares ETF Trust and Rafferty Asset Management, LLC. . Document filed by Direxion Shares ETF Trust, Rafferty Asset Management, LLC..(Roy, Amy)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #64 MOTION for Amy D. Roy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26442420. 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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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #65 MOTION for Robert A. Skinner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26442462. 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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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #66 MOTION for Jessica M. Bergin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26442467. 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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***NOTICE TO ATTORNEY REGARDING REJECTION OF PROPOSED CLERK'S CERTIFICATE OF DEFAULT. Notice to Attorney Lee Xu re:document #61 Proposed Clerk's Certificate of Default was rejected by the Clerk's Office for the following reason(s): the pleading was improperly served. Please refile the Proposed Clerk's Certificate of Default after the pleading has been properly served. (km)
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Filing 66
MOTION for Jessica M. Bergin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26442467. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit Declaration in Support, #2 Exhibit Certificate of Good Standing).(Bergin, Jessica)
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Filing 65
MOTION for Robert A. Skinner to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26442462. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit Declaration in Support, #2 Exhibit Certificate of Good Standing).(Skinner, Robert)
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Filing 64
MOTION for Amy D. Roy to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26442420. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Attachments: #1 Exhibit Declaration in Support, #2 Exhibit Certificate of Good Standing, #3 Exhibit Certificate of Good Standing).(Roy, Amy)
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Filing 63
NOTICE OF APPEARANCE by Ethan Robert Fitzgerald on behalf of Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Michael Rafferty, Rafferty Asset Management, LLC, Kathleen Rafferty Hay, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC..(Fitzgerald, Ethan)
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Filing 62
AFFIRMATION of Lee Xu re: #61 Proposed Clerk's Certificate of Default against Direxion Shares ETF Trust and Rafferty Asset Management, LLC. Document filed by Lee Xu. (Attachments: #1 Exhibit D-1, #2 Exhibit D-2, #3 Exhibit D-3).(Xu, Lee)
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Filing 61
FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED CLERK'S CERTIFICATE OF DEFAULT. Document filed by Lee Xu..(Xu, Lee) Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers). Modified on 7/21/2022 (km).
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Filing 60
FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - FIRST MOTION for Default Judgment as to Direxion Shares ETF Trust and Rafferty Asset Management, LLC. Document filed by Lee Xu. Responses due by 8/3/2022 Return Date set for 8/11/2022 at 10:00 AM. (Attachments: #1 Exhibit D-1, #2 Exhibit D-2, #3 Exhibit D-3).(Xu, Lee) Modified on 7/21/2022 (lb).
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Filing 59
AFFIDAVIT OF SERVICE of Summons and Complaint,. Foreside Fund Services, LLC served on 6/29/2022, answer due 7/20/2022. Service was made by By certified mail with return receipt requested by depositing same in sealed envelope with postage prepaid thereon, in an official depository of USPS within the State of New York on the last known address of the defendant. Document filed by Lee Xu..(Xu, Lee)
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Filing 58
AFFIDAVIT OF SERVICE of Summons and Complaint,. U.S. Bancorp Fund Services, LLC served on 6/29/2022, answer due 7/20/2022. Service was made by By certified mail with return receipt requested by depositing same in sealed envelope with postage prepaid thereon, in an official depository of USPS within the State of New York on the last known address of the defendant. Document filed by Lee Xu..(Xu, Lee)
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Filing 57
AFFIDAVIT OF SERVICE of Summons and Complaint,. Rafferty Asset Management, LLC served on 6/27/2022, answer due 7/18/2022. Service was made by By certified mail with return receipt requested by depositing same in sealed envelope with postage prepaid thereon, in an official depository of USPS within the State of New York on the last known address of the defendant. Document filed by Lee Xu..(Xu, Lee)
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Filing 56
AFFIDAVIT OF SERVICE of Summons and Complaint,. Direxion Shares ETF Trust served on 6/27/2022, answer due 7/18/2022. Service was made by By certified mail with return receipt requested by depositing same in sealed envelope with postage prepaid thereon, in an official depository of USPS within the State of New York on the last known address of the defendant. Document filed by Lee Xu..(Xu, Lee)
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Filing 55
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Lee Xu..(Xu, Lee)
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Filing 54
WAIVER OF SERVICE RETURNED EXECUTED. Tony Ng waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 53
WAIVER OF SERVICE RETURNED EXECUTED. Todd Kellerman waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 52
WAIVER OF SERVICE RETURNED EXECUTED. Paul Brigandi waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 51
WAIVER OF SERVICE RETURNED EXECUTED. Patrick J. Rudnick waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 50
WAIVER OF SERVICE RETURNED EXECUTED. Michael Rafferty waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 49
WAIVER OF SERVICE RETURNED EXECUTED. Kathleen Rafferty Hay waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 48
WAIVER OF SERVICE RETURNED EXECUTED. Gerald E. Shanley, III waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 47
WAIVER OF SERVICE RETURNED EXECUTED. Direxion Family of Investment Companies waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 46
WAIVER OF SERVICE RETURNED EXECUTED. Direxion Advisors, LLC waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 45
WAIVER OF SERVICE RETURNED EXECUTED. Daniel O'Neill waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 44
WAIVER OF SERVICE RETURNED EXECUTED. Daniel J. Byrne waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 43
WAIVER OF SERVICE RETURNED EXECUTED. Angela Brickl waiver sent on 7/5/2022, answer due 9/6/2022. Document filed by Lee Xu..(Xu, Lee)
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Filing 42
NOTICE OF INITIAL PRETRIAL CONFERENCE: Initial Conference set for 8/26/2022 at 10:00 AM in Courtroom 443, 40 Centre Street, New York, NY 10007 before Judge Valerie E. Caproni. (Signed by Judge Valerie E. Caproni on 7/15/2022) (tg)
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Filing 41
ELECTRONIC SUMMONS ISSUED as to Gerald E. Shanley, III..(lal)
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Filing 40
REQUEST FOR ISSUANCE OF SUMMONS as to Gerald E. Shanley, III, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 39
ELECTRONIC AMENDED SUMMONS ISSUED as to Michael Rafferty. (sj)
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Filing 38
ELECTRONIC AMENDED SUMMONS ISSUED as to Rafferty Asset Management, LLC. (sj)
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Filing 37
ELECTRONIC SUMMONS ISSUED as to Direxion Advisors, LLC. (sj)
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Filing 36
ELECTRONIC SUMMONS ISSUED as to Direxion Family of Investment Companies. (sj)
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Filing 35
ELECTRONIC SUMMONS ISSUED as to Michael Rafferty. (sj)
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Filing 34
ELECTRONIC SUMMONS ISSUED as to Kathleen Rafferty Hay. (sj)
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Filing 33
ELECTRONIC SUMMONS ISSUED as to Tony Ng. (sj)
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Filing 32
ELECTRONIC SUMMONS ISSUED as to Paul Brigandi..(sj)
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Filing 31
ELECTRONIC SUMMONS ISSUED as to Todd Kellerman. (sj)
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Filing 30
ELECTRONIC SUMMONS ISSUED as to Patrick J. Rudnick. (sj)
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Filing 29
ELECTRONIC SUMMONS ISSUED as to Angela Brickl. (sj)
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Filing 28
ELECTRONIC SUMMONS ISSUED as to Jacob C. Gaffey..(sj)
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Filing 27
ELECTRONIC SUMMONS ISSUED as to Daniel J. Byrne. (sj)
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Filing 26
ELECTRONIC SUMMONS ISSUED as to Daniel O'Neill..(sj)
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Filing 25
ELECTRONIC SUMMONS ISSUED as to U.S. Bancorp Fund Services, LLC..(jgo)
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Filing 24
ELECTRONIC SUMMONS ISSUED as to Rafferty Asset Management, LLC..(jgo)
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Filing 23
ELECTRONIC SUMMONS ISSUED as to Foreside Fund Services, LLC..(jgo)
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Filing 22
ELECTRONIC SUMMONS ISSUED as to Direxion Shares ETF Trust..(jgo)
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Filing 21
REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Michael Rafferty, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 20
REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Rafferty Asset Management, LLC, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 19
REQUEST FOR ISSUANCE OF SUMMONS as to Direxion Advisors, LLC, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 18
REQUEST FOR ISSUANCE OF SUMMONS as to Direxion Family of Investment Companies, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 17
REQUEST FOR ISSUANCE OF SUMMONS as to Kathleen Rafferty Hay, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 16
REQUEST FOR ISSUANCE OF SUMMONS as to Michael Rafferty, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 15
REQUEST FOR ISSUANCE OF SUMMONS as to Tony Ng, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 14
REQUEST FOR ISSUANCE OF SUMMONS as to Paul Brigandi, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 13
REQUEST FOR ISSUANCE OF SUMMONS as to Todd Kellerman, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 12
REQUEST FOR ISSUANCE OF SUMMONS as to Angela Brickl, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 11
REQUEST FOR ISSUANCE OF SUMMONS as to Patrick J. Rudnick, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 10
REQUEST FOR ISSUANCE OF SUMMONS as to Jacob C. Gaffey, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 9
FILING ERROR - DEFICIENT SUMMONS REQUEST As To - REQUEST FOR ISSUANCE OF SUMMONS as to Gerald E. Shanley, re: #1 Complaint. Document filed by Lee Xu..(Xu, Lee) Modified on 6/22/2022 (sj).
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Filing 8
REQUEST FOR ISSUANCE OF SUMMONS as to Daniel J. Byrne, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 7
REQUEST FOR ISSUANCE OF SUMMONS as to Daniel O'Neill, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 6
REQUEST FOR ISSUANCE OF SUMMONS as to U.S. Bancorp Fund Services, LLC, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 5
REQUEST FOR ISSUANCE OF SUMMONS as to Foreside Fund Services, LLC, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 4
REQUEST FOR ISSUANCE OF SUMMONS as to Rafferty Asset Management, LLC, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 3
REQUEST FOR ISSUANCE OF SUMMONS as to Direxion Shares ETF Trust, re: #1 Complaint,. Document filed by Lee Xu..(Xu, Lee)
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Filing 2
CIVIL COVER SHEET filed..(Xu, Lee)
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***NOTICE TO ATTORNEY TO ELECTRONICALLY FILE CIVIL COVER SHEET. Notice to Attorney Lee Xu. Attorney must electronically file the Civil Cover Sheet. Use the event type Civil Cover Sheet found under the event list Other Documents. (gp)
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***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Lee Xu. The party information for the following party/parties has been modified: Kathleen Rafferty Hay. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error. (gp)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Valerie E. Caproni. 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..(gp)
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Magistrate Judge Robert W. Lehrburger 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. (gp)
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Case Designated ECF. (gp)
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Filing 1
COMPLAINT against Angela Brickl, Paul Brigandi, Daniel J. Byrne, Direxion Advisors, LLC, Direxion Family of Investment Companies, Direxion Shares ETF Trust, Foreside Fund Services, LLC, Jacob C. Gaffey, Todd Kellerman, Tony Ng, Daniel O'Neill, Kathleen Rafferty, Michael Rafferty, Rafferty Asset Management, LLC, Patrick J. Rudnick, Gerald E. Shanley, III, U.S. Bancorp Fund Services, LLC. (Filing Fee $ 402.00, Receipt Number ANYSDC-26294921)Document filed by Lee Xu..(Xu, Lee)
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