Case Details

CourtSouthern District of New York
Docket number1:09-cv-01989
Date case filed2009-03-04
Date case closed2017-09-14
Date of latest filing2016-08-19
Assigned toJudge Paul A. Crotty
Case cause15:78m(a) Securities Exchange Act
Nature of suit850 Securities/Commodities
Jury demandPlaintiff
Demand
JurisdictionFederal Question

Case Parties

Party: Marshall Freidus
Party type: Lead Plaintiff
on behalf of himself and all others similarly situated
Attorney name: Andrew J. Brown
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (San Diego)
600 West Broadway
San Diego, CA 92101
619-231-1058
Fax: 619-231-7423
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Andrew L Zivitz
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP
280 King of Prussia Road
Radnor, PA 19087
(610)-667-7706
Fax: (610)-667-7056
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Eric I. Niehaus
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (San Diego)
655 West Broadway
Suite 1900
San Diego, CA 92101
(619) 231-1058
Fax: (619) 231-7423
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Lucas F. Olts
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (San Diego)
655 West Broadway
Suite 1900
San Diego, CA 92101
619 213 1058
Fax: 619 231 7423
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Margaret E. Onasch
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP
280 King of Prussia Road
Radnor, PA 19087
(610) 667-7706
Fax: (610) 667-7056
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Samuel Howard Rudman
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (LI)
58 South Service Road
Suite 200
Melville, NY 11747
(631) 367-7100
Fax: (631) 367-1173
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Sharan Nirmul
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP
280 King of Prussia Road
Radnor, PA 19087
(610)-667-7706
Fax: (610)-667-7056
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Catherine J. Kowalewski
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (San Diego)
655 West Broadway
Suite 1900
San Diego, CA 92101
(619) 231-1058
Fax: (619) 231-7423
ATTORNEY TO BE NOTICED

Attorney name: Christopher D. Stewart
Attorney Contact:
Robbins Geller Rudman & Dowd LLP
655 West Broadway, Suite 1900
San Diego, CA 92101
619-231-1058
Fax: 619-231-7423
Email: [email protected]
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Darren J. Robbins
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (SANDIEGO)
655 West Broadway
Suite 1900
San Diego, CA 92101
619-231-1058
Fax: 619-231-7423
Email: [email protected]
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: David Avi Rosenfeld
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (LI)
58 South Service Road
Suite 200
Melville, NY 11747
631-367-7100
Fax: 631-367-1173
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: David C. Walton
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (SANDIEGO)
655 West Broadway
Suite 1900
San Diego, CA 92101
619-231-1058
ATTORNEY TO BE NOTICED

Attorney name: Erik D. Peterson
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP (San Francisco)
One Sansome St. #1850
San Francisco, CA 94104
(415) 400-3000
Fax: (415) 400-3001
Email: [email protected]
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Joshua E. D'Ancona
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP (PA)
280 King of Prussia Road
Radnor, PA 19087
(610) 667-7706
Fax: (610) 667-7056
Email: [email protected]
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Ramzi Abadou
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP (San Francisco)
One Sansome St. #1850
San Francisco, CA 94104
(415) 400-3000
Fax: (415) 400-3001
Email: [email protected]
TERMINATED: 01/08/2014 PRO HAC VICE
Party: Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust
Party type: Lead Plaintiff
Attorney name: Andrew J. Brown
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Andrew L Zivitz
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Eric I. Niehaus
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Lucas F. Olts
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Margaret E. Onasch
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Sharan Nirmul
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Catherine J. Kowalewski
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Christopher D. Stewart
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Darren J. Robbins
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: David Avi Rosenfeld
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: David C. Walton
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Erik D. Peterson
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Joshua E. D'Ancona
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Ramzi Abadou
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Samuel Howard Rudman
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Dora L. Mahboubi
Party type: Lead Plaintiff
Attorney name: Andrew J. Brown
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Andrew L Zivitz
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Eric I. Niehaus
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Lucas F. Olts
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Margaret E. Onasch
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Sharan Nirmul
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Catherine J. Kowalewski
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Christopher D. Stewart
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Darren J. Robbins
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: David Avi Rosenfeld
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: David C. Walton
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Erik D. Peterson
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE

Attorney name: Joshua E. D'Ancona
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Ramzi Abadou
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Samuel Howard Rudman
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Larry Morrison
Party type: Consolidated Plaintiff
Individually and on behalf of all others similarly situated
Attorney name: Andrew J. Brown
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Eric I. Niehaus
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Lucas F. Olts
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Samuel Howard Rudman
Attorney Contact:
Robbins Geller Rudman & Dowd LLP(LI)
58 South Service Road
Suite 200
Melville, NY 11747
(631) 367-7100
Fax: (631) 367-1173
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Catherine J. Kowalewski
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Christopher D. Stewart
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Darren J. Robbins
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: David Avi Rosenfeld
Attorney Contact:
Robbins Geller Rudman & Dowd LLP(LI)
58 South Service Road
Suite 200
Melville, NY 11747
631-367-7100
Fax: 631-367-1173
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: David C. Walton
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Erik D. Peterson
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Joshua E. D'Ancona
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Ramzi Abadou
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Jeffrey Lefcourt
Party type: Consolidated Plaintiff
on behalf of himself and all others similarly situated
Attorney name: Joshua E. D'Ancona
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Beverly Pellegrini
Party type: Consolidated Plaintiff
on behalf of herself and all others similarly situated
Attorney name: Andrew J. Brown
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Eric I. Niehaus
Attorney Contact:
(See above for address)
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Lucas F. Olts
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Samuel Howard Rudman
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Catherine J. Kowalewski
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Christopher D. Stewart
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Darren J. Robbins
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: David Avi Rosenfeld
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: David C. Walton
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Erik D. Peterson
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Joshua E. D'Ancona
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Ramzi Abadou
Attorney Contact:
(See above for address)
TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Alfred Fait
Party type: Consolidated Plaintiff
on behalf of himself and all others similarly situated
Attorney name: Christopher D. Stewart
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Kevin S. Sciarani
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Sharan Nirmul
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Joshua E. D'Ancona
Attorney Contact:
(See above for address)
PRO HAC VICE ATTORNEY TO BE NOTICED
Party: Barclays Bank PLC
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
Sullivan & Cromwell, LLP (NYC)
125 Broad Street
New York, NY 10004
(212) 558-4000 x1627
Fax: (212) 558-3588
Email: [email protected]
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
Sullivan and Cromwell, LLP(NYC)
125 Broad Street
New York, NY 10004
212-558-4705
Fax: 212-558-3333
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
Sullivan & Cromwell, LLP(NYC)
125 Broad Street
New York, NY 10004
(212)-558-3181
Fax: (212)-558-4927
Email: [email protected]
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
Sullivan & Cromwell, LLP(NYC)
125 Broad Street
New York, NY 10004
(212) 558-4377
Fax: (212) 558-3588
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
Nelson Mullins Riley & Scarborough LLP
280 Park Ave 15 Floor West
New York, NY 10017
(646) 428-2600
Fax: (646) 428-2610
Email: [email protected]
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
Sullivan and Cromwell, LLP(NYC)
125 Broad Street
New York, NY 10004
(212) 558-4715
Fax: (212) 558-3588
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
Sullivan & Cromwell, LLP(NYC)
125 Broad Street
New York, NY 10004
(212)-558-3551
Fax: (212)-558-3588
Email: [email protected]
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
Sullivan and Cromwell, LLP(NYC)
125 Broad Street
New York, NY 10004
(212)-558-3166
Fax: (212)-291-9210
Email: [email protected]
ATTORNEY TO BE NOTICED
Party: Barclays PLC
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Matthew William Barrett
Party type: Defendant
TERMINATED: 09/15/2014
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: John Silvester Varley
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Naguib Kheraj
Party type: Defendant
TERMINATED: 09/15/2014
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Robert Edward Diamond, Jr.
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Sir. Richard Broadbent
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Richard Leigh Clifford
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Dame Sandra J.N. Dawson
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Sir. Andrew Likierman
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Sir. Nigel Rudd
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Stephen George Russell
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: John Michael Sunderland
Party type: Defendant
Attorney name: Christopher Andrew Perrin
Attorney Contact:
(See above for address)
TERMINATED: 05/03/2010

Attorney name: David Harold Braff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Barclays Capital Securities Limited
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
Skadden, Arps, Slate, Meagher & Flom LLP (NYC)
Four Times Square
New York, NY 10036
212 735 3000
Fax: 212 735 2000
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
Skadden, Arps, Slate, Meagher & Flom, LLP (IL)
155 North Wacker Drive
Suite 2700
Chicago, IL 60606-1720
(212) 735-3605
Fax: (917)-777-3605
Email: [email protected]
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
Skadden, Arps, Slate, Meagher & Flom LLP (NYC)
Four Times Square
New York, NY 10036
212-735-3000
Fax: 212-735-2000
Email: [email protected]
ATTORNEY TO BE NOTICED
Party: Citigroup Global Markets Inc.
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
(See above for address)
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Merrill Lynch, Pierce, Fenner & Smith, Incorporated
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
(See above for address)
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Wachovia Capital Markets, LLC
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
(See above for address)
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Morgan Stanley & Co. Incorporated
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
(See above for address)
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: UBS Securities LLC
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
(See above for address)
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: A.G. Edwards & Sons, Inc.
Party type: Defendant
TERMINATED: 09/27/2013
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: BNP Paribas Securities Corp.
Party type: Defendant
TERMINATED: 09/27/2013
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Goldman, Sachs & Co.
Party type: Defendant
TERMINATED: 09/27/2013
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: KeyBanc Capital Markets
Party type: Defendant
TERMINATED: 09/27/2013
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: RBC Dain Rauscher Inc.
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
(See above for address)
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Suntrust Capital Markets, Inc.
Party type: Defendant
TERMINATED: 09/27/2013
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Wells Fargo Securities, LLC
Party type: Defendant
TERMINATED: 09/27/2013
Attorney name: Jay B. Kasner
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Scott D. Musoff
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Mr. Jerry Goodman
Party type: Movant
Attorney name: Russell David Paul
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED
Party: Mr. Martin S Ettin
Party type: Movant
Attorney name: Russell David Paul
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED
Party: Martin S Ettin
Party type: Movant
Attorney name: Russell David Paul
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED
Party: Marcus Agius
Party type: Defendant
Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Dr. Christopher Lucas
Party type: Defendant
Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Gary A. Hoffman
Party type: Defendant
Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Frederik Seegers
Party type: Defendant
Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: David G. Booth
Party type: Defendant
Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Fulvio Conti
Party type: Defendant
Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Daniel Cronje
Party type: Defendant
Attorney name: Joshua John Fritsch
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2015

Attorney name: Matthew Alain Peller
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Menachem David Possick
Attorney Contact:
(See above for address)
TERMINATED: 06/02/2017

Attorney name: Michael Thomas Tomaino , Jr
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Thomas Charles White
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED

Attorney name: Yavar Bathaee
Attorney Contact:
(See above for address)
ATTORNEY TO BE NOTICED
Party: Banc of America Securities LLC
Party type: Defendant
Attorney name: Jay B. Kasner
Attorney Contact:
Skadden, Arps, Slate, Meagher & Flom LLP (NYC)
Four Times Square
42nd floor
New York, NY 10036
212 735 3000
Fax: 212 735 2000
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Gary John Hacker
Attorney Contact:
(See above for address)
TERMINATED: 01/11/2016

Attorney name: Scott D. Musoff
Attorney Contact:
Skadden, Arps, Slate, Meagher & Flom LLP (NYC)
Four Times Square
42nd floor
New York, NY 10036
212-735-3000
Fax: 212-735-2000
Email: [email protected]
ATTORNEY TO BE NOTICED
Party: Dennis Askelson
Party type: Lead Plaintiff
Attorney name: Andrew J. Brown
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Andrew L Zivitz
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Christopher D. Stewart
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Jonathan Flexer Neumann
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP (PA)
280 King of Prussia Road
Radnor, PA 19087
(610)-667-7706
Fax: (610)-667-7056
Email: [email protected]
LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Attorney name: Kevin S. Sciarani
Attorney Contact:
Robbins Geller Rudman & Dowd LLP (SANDIEGO)
655 West Broadway
Suite 1900
San Diego, CA 92101
(619) 231-1058
Fax: (619) 231-7423
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Michelle M. Newcomer
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP (PA)
280 King of Prussia Road
Radnor, PA 19087
610 667 7706
Fax: 610 667 7056
Email: [email protected]
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Sharan Nirmul
Attorney Contact:
(See above for address)
LEAD ATTORNEY ATTORNEY TO BE NOTICED

Attorney name: Richard A Russo , Jr
Attorney Contact:
Kessler Topaz Meltzer & Check, LLP (PA)
280 King of Prussia Road
Radnor, PA 19087
610 667 7706
Fax: 610 667 7056
Email: [email protected]
ATTORNEY TO BE NOTICED

Case Docket

Docket
Item
Date FiledDocument
Available
Short
Description
Long Description
12009-03-04 ComplaintCOMPLAINT against Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley. (Filing Fee $ 350.00, Receipt Number 680317)Document filed by Marshall Freidus.(ama) (ama). (Entered: 03/07/2009)
22009-04-09 Stipulation and OrderSTIPULATION AND ORDER: I. Service of the complaint filed with the Court on March 4, 2009 (the "Original Complaint") upon defendants Barclays Bank plc, Matthew William Barrett, John Silvester Varley, Naguib Kheraj, Robert Edward Diamond, Jr., Sir Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Sir Andrew Likierman, Sir Nigel Rudd, Stephen George Russell and John Michael Sunderland (collectively, the "Barclays Defendants") shall be effectuated by delivering a copy of the Original Complaint by electronic mail and overnight courier to the undersigned counsel for the Barclays Defendants at Sullivan & Cromwell LLP.2. Neither the Barclays Defendants nor any other defendant shall berequired to respond to the Original Complaint (by motion, answer or otherwise).3. Within forty-five (45) days after entry of an Order appointing LeadPlaintiff and Lead Plaintiff's Counsel, Lead Plaintiff shall either (a) file and serve an Amended Complaint (the "Amended Complaint") or (b) advise the Barclays Defendants and all other defendants that Lead Plaintiff will proceed with the Original Complaint. 4. Service of the Amended Complaint upon the Barclays Defendants shall be effectuated by delivering a copy of the Amended Complaint by electronic mail and overnight courier to the undersigned counsel for the Barclays Defendants at Sullivan & Cromwell LLP. All other provisions as set forth in this order. So Ordered. (Signed by Judge Paul A. Crotty on 4/9/09) (js) (Entered: 04/09/2009)
32009-04-21 Notice of AppearanceNOTICE OF APPEARANCE by David Harold Braff on behalf of Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley (Braff, David) (Entered: 04/21/2009)
42009-04-21 Rule 7.1 Corporate Disclosure StatementRULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Barclays PLC.(Braff, David) (Entered: 04/21/2009)
52009-04-21 Rule 7.1 Corporate Disclosure StatementRULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Barclays PLC as Corporate Parent. Document filed by Barclays Bank PLC.(Braff, David) (Entered: 04/21/2009)
62009-04-21 Notice of AppearanceNOTICE OF APPEARANCE by Michael Thomas Tomaino, Jr on behalf of Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley (Tomaino, Michael) (Entered: 04/21/2009)
72009-04-21 Notice of AppearanceNOTICE OF APPEARANCE by Christopher Andrew Perrin on behalf of Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley (Perrin, Christopher) (Entered: 04/21/2009)
82009-05-04 Motion to Appoint Lead Plaintiff(s)FILING ERROR DEFICIENT DOCKET ENTRY MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Text of Proposed Order)(Paul, Russell) Modified on 5/5/2009 (jar). (Entered: 05/04/2009)
92009-05-04 Memorandum of Law in Support of MotionFILING ERROR DEFICIENT DOCKET ENTRY MEMORANDUM OF LAW in Support re: 8 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s).. Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Exhibit Decl. of Russell D. Paul with Exhs. A-E, # 2 Exhibit F Part 1, # 3 Exhibit F part 2)(Paul, Russell) Modified on 5/5/2009 (jar). (Entered: 05/04/2009)
102009-05-04 Motion to Appoint CounselMOTION to Appoint Counsel., MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus. (Attachments: # 1 Exhibit A)(Rosenfeld, David) (Entered: 05/04/2009)
112009-05-04 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s).. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, Marshall Freidus. (Rosenfeld, David) (Entered: 05/04/2009)
122009-05-04 Declaration in Support of MotionDECLARATION of David A. Rosenfeld in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s).. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, Marshall Freidus. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Rosenfeld, David) (Entered: 05/04/2009)
132009-05-06 Motion to Appoint Lead Plaintiff(s)MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Text of Proposed Order)(Paul, Russell) (Entered: 05/06/2009)
142009-05-06 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Affidavit Decl. of Russell D. Paul with Exhs. A-E, # 2 Exhibit F part 1, # 3 Exhibit F part 2)(Paul, Russell) (Entered: 05/06/2009)
152009-05-21 Response to MotionRESPONSE to Motion re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s)., 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Jerry Goodman, Martin S Ettin. (Paul, Russell) (Entered: 05/21/2009)
162009-05-21 Memorandum of Law in Opposition to MotionMEMORANDUM OF LAW in Opposition re: 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus. (Rosenfeld, David) (Entered: 05/21/2009)
172009-05-28 Notice of AppearanceNOTICE OF APPEARANCE by Jay B. Kasner on behalf of Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC (Kasner, Jay) (Entered: 05/28/2009)
182009-05-28 Rule 7.1 Corporate Disclosure StatementRULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Wells Fargo & Company, Barclays PLC, BNP Paribas, Citigroup, Inc., The Goldman Sachs Group, Inc., KeyCorp, Bank of America Corporation, Morgan Stanley, Royal Bank of Canada, SunTrust Banks, Inc. andUBS AG as Corporate Parent. Document filed by Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC.(Kasner, Jay) (Entered: 05/28/2009)
192009-05-28 Notice of AppearanceNOTICE OF APPEARANCE by Scott D. Musoff on behalf of Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC (Musoff, Scott) (Entered: 05/28/2009)
202009-06-01 Reply to Response to MotionREPLY to Response to Motion re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s).. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, Marshall Freidus, Martin S Ettin. (Rosenfeld, David) (Entered: 06/01/2009)
212009-09-01 Motion to Appear Pro Hac ViceMOTION for Erik D. Peterson to Appear Pro Hac Vice. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus.(dle) (Entered: 09/03/2009)
222009-09-01 Motion to Appear Pro Hac ViceMOTION for Ramzi Abadou to Appear Pro Hac Vice. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus.(dle) (Entered: 09/03/2009)
232009-09-08 Order on Motion to Appear Pro Hac ViceORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting 21 Motion for Erik D. Peterson to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 9/8/2009) (tve) Modified on 9/9/2009 (tve). (Entered: 09/09/2009)
242009-09-08 Order on Motion to Appear Pro Hac ViceORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting 22 Motion for Ramzi Abadou to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 9/8/2009) (tve) (Entered: 09/09/2009)
252009-11-20 Endorsed LetterENDORSED LETTER addressed to Judge Paul A. Crotty from David A. Rosenfeld dated November 19, 2009 re: While a competing motion had previously been filed by Jerry Goodman, on behalf of AKLS Capital LP (Goodman), and Martin Ethn (Ettin), Messrs. Goodman and Ettin have since acknowledged that they do not have the largest financial interest in this litigation and now support the appointment of Freidus, Thompson and Mahboubi as Lead Plaintiffs. See Docket Entry #15. In light of the foregoing, we do not believe that oral argument on the pending motions for consolidation, appointment of lead plaintiff and approval of lead counsel, which has been set for November 24, 2009 at 2:00 p.m., is necessary. The parties have also already agreed to a schedule for the filing of a consolidated amended complaint and briefing on Defendants anticipated motion to dismiss, which was approved of by the Court in an Order dated April 9, 2009. See Docket Entry #2.2 Nevertheless, if the Court would like for us to appear for the scheduled hearing next Tuesday, we are happy to do so. We have spoken with counsel for Defendants and they do not oppose this requested adjournment. ENDORSEMENT: The November 24, 2009 oral argument is adjourned. The motion for consolidation appointment of lead plaintiff and selection of counsel is approved. The lead plaintiff should submit an Order, on notice, for Courts approval. SO ORDERED. (Signed by Judge Paul A. Crotty on November 20, 2009) (mov) (Entered: 11/20/2009)
262009-12-01 Notice (Other)FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - NOTICE of OF PROPOSED ORDER CONSOLIDATING RELATED ACTIONS, APPOINTING LEAD PLAINTIFF AND APPROVING SELECTION OF LEAD COUNSEL. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus. (Attachments: # 1 Exhibit A)(Rosenfeld, David) Modified on 12/2/2009 (kco). (Entered: 12/01/2009)
272009-12-09 OrderORDER CONSOLIDATING THE RELATED ACTIONS, APPOINTING LEAD PLAINTIFF AND APPROVING LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL: 1. Pursuant to FRCP 42(a), the above-captioned actions, and any subsequently filed or transferred actions on behalf of purchasers of securities issued by Barclays Bank Pic related to the claims asserted in these actions, are consolidated for all purposes; 2. This action shall be captioned "In re Barclays Bank Pic SecuritiesLitigation" and the file shall be maintained under Master File No. 09cv1989 (PAC); 3. Freidus, Thompson and Mahboubi are hereby appointed Lead Plaintiff for the Class pursuant to Section 27 of the Securities Act of 1933 (15 USC § 77z-1(a)(3)(B)); 4. Coughlin Stoia Geller Rudman & Robbins LLP and Barroway Topaz Kessler Meltzer & Check, LLP are hereby approved as Lead Counsel; 5. Lead Counsel shall have authority to speak for, and enter into agreementson behalf of, plaintiffs in all matters regarding pretrial procedures, discovery, and settlement negotiations. Lead Counsel shall manage the prosecution of this litigation to avoid duplicative or unproductive activities. Lead Counsel shall be responsible for coordination of all activities and appearances on behalf of plaintiffs and for dissemination of notices and orders. Lead Counsel shall be responsible for communications with the Court. Lead Counsel shall maintain a master service list of all parties and counsel.Defendants' counsel may rely upon agreements made with Lead Counsel. Suchagreements shall be binding on all plaintiffs; and 6. Pursuant to the Court's April 9, 2009, Order (Docket # 2), within forty-five (45) days after entry of the instant Order, Lead Plaintiff shall file and serve a consolidated complaint (the "Consolidated Complaint"). Defendants' responses (by motion, answer or otherwise) to the Consolidated Complaint shall be due forty-five (45) days after service of the Consolidated Complaint. If any of the defendants respond to the Consolidated Complaint by motion, Lead Plaintiff's opposition to such motion shall be due forty-five (45) days after service of the motion, and the moving defendants' reply papers shall be due thirty (30) days after service of the opposition. *7. The Clerk of Court shall close: 09cv2326; 09cv2668; 09cv3608; and 09cv3949. *-As Amended by Judge Paul A. Crotty. (Signed by Judge Paul A. Crotty on 12/9/09) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(db) (Entered: 12/09/2009)
282010-01-15 Motion to Appear Pro Hac ViceMOTION for Lucas F. Olts to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(mbe) (Entered: 01/20/2010)
292010-01-15 Motion to Appear Pro Hac ViceMOTION for Eric I. Niehaus to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(mbe) (Entered: 01/20/2010)
302010-01-15 Motion to Appear Pro Hac ViceMOTION for Andrew J. Brown to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(mbe) (Entered: 01/20/2010)
312010-01-21 Stipulation and OrderSTIPULATION AND ORDER, that: 1. Lead Plaintiffs shall file their Consolidated Complaint on or before February 12, 2010. 2. Defendants shall answer, move or otherwise respond to the Consolidated Complaint on or before April 1, 2010. 3. In the event Defendants file motions to dismiss the Consolidated Complaint, Lead Plaintiffs shall file papers in opposition to the motions on or before May 19, 2010. 4. Defendants shall file any reply papers on or before June 21, 2010. 5. By entering into this Stipulation Defendants do not waive, and expressly reserve, any and all defense based on lack or insufficiency of service of process and lack of personal jurisdiction. (Signed by Judge Paul A. Crotty on 1/21/10). (pl) (Entered: 01/21/2010)
322010-01-21 Order on Motion to Appear Pro Hac ViceORDER granting (30) Motion for Andrew J. Brown to Appear Pro Hac Vice for Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus in case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 1/21/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)
332010-01-21 Order on Motion to Appear Pro Hac ViceORDER granting (29) Motion for Eric I. Niehaus to Appear Pro Hac Vice for Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus in case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 1/21/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)
342010-01-21 Order on Motion to Appear Pro Hac ViceORDER granting (28) Motion for Lucas F. Olts to Appear Pro Hac Vice for Lucas F. Olts Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidusin case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 1/21/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)
352010-01-28 Notice of Change of AddressNOTICE OF CHANGE OF ADDRESS by Erik D. Peterson on behalf of Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus. New Address: Barroway Topaz Kessler Meltzer & Check, LLP, 580 California Street, Suite 1750, San Francisco, CA, 94104, (415) 400-3000. (Peterson, Erik) (Entered: 01/28/2010)
362010-02-12 Amended ComplaintCONSOLIDATED AMENDED COMPLAINT amending 1 Complaint against Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley.Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus. Related document: 1 Complaint filed by Marshall Freidus.(mbe) (Entered: 02/17/2010)
372010-03-16 Stipulation and OrderSTIPULATION AND ORDER, defendants shall answer/move to the Consolidated Complaint on or before 4/19/10. ( Motion due by 4/19/2010. Reply due by 7/9/2010. Lead plaintiffs Response due by 6/7/2010) (Signed by Judge Paul A. Crotty on 3/16/10) (cd) (Entered: 03/16/2010)
382010-03-17 Motion to Appear Pro Hac ViceMOTION for Joshua E. D'Ancona to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus, Larry Morrison, Jeffrey Lefcourt, Beverly Pellegrini, Alfred Fait, Larry Morrison, Larry Morrison, Jeffrey Lefcourt, Beverly Pellegrini, Beverly Pellegrini, Alfred Fait, Alfred Fait.Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(mro) (Entered: 03/19/2010)
392010-03-22 Order on Motion to Appear Pro Hac ViceORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting (38) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-01989-PAC; granting (22) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-02326-PAC; granting (20) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-02668-PAC; granting (21) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-03608-PAC; granting (20) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-03949-PAC. (Signed by Judge Paul A. Crotty on 3/22/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jpo) (Entered: 03/22/2010)
402010-03-25 Notice (Other)NOTICE of Firm Name Change. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus. (Brown, Andrew) (Entered: 03/25/2010)
412010-04-19 Motion to DismissMOTION to Dismiss Consolidated Amended Complaint. Document filed by Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary Hoffman, Frederik Seegers, David Booth, Fulvio Conti, Daniel Cronje, Sandra J.N. Dawson, John Varley, Robert E. Diamond, Jr, Leigh Clifford, Dame Sandra Dawson, Stephen Russell, John Sunderland, Gary A. Hoffman, David G. Booth. Responses due by 6/7/2010Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Braff, David) (Entered: 04/19/2010)
422010-04-19 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: (24 in 1:09-cv-02326-PAC, 22 in 1:09-cv-03949-PAC, 41 in 1:09-cv-01989-PAC, 22 in 1:09-cv-02668-PAC, 23 in 1:09-cv-03608-PAC) MOTION to Dismiss. the Consolidated Amended Complaint. Document filed by Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary Hoffman, Frederik Seegers, David Booth, Fulvio Conti, Daniel Cronje, Sandra J.N. Dawson, John Varley, Robert E. Diamond, Jr, Leigh Clifford, Dame Sandra Dawson, Stephen Russell, John Sunderland, Gary A. Hoffman, David G. Booth. Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Braff, David) (Entered: 04/19/2010)
432010-04-19 Declaration in Support of MotionDECLARATION of Christopher A. Perrin in Support re: (22 in 1:09-cv-03949-PAC, 22 in 1:09-cv-02668-PAC, 23 in 1:09-cv-03608-PAC, 24 in 1:09-cv-02326-PAC, 41 in 1:09-cv-01989-PAC) MOTION to Dismiss.. Document filed by Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary Hoffman, Frederik Seegers, David Booth, Fulvio Conti, Daniel Cronje, Sandra J.N. Dawson, John Varley, Robert E. Diamond, Jr, Leigh Clifford, Dame Sandra Dawson, Stephen Russell, John Sunderland, Gary A. Hoffman, David G. Booth. (Attachments: # 1 Exhibit Ex. A, # 2 Exhibit Ex. B, # 3 Exhibit Ex. C, # 4 Exhibit Ex. D, # 5 Exhibit Ex. E, # 6 Exhibit Ex. F, # 7 Exhibit Ex. G, # 8 Exhibit Ex. H, # 9 Exhibit Ex. I, # 10 Exhibit Ex. J, # 11 Exhibit Ex. K, # 12 Exhibit Ex. L, # 13 Exhibit Ex. M, # 14 Exhibit Ex. N, # 15 Exhibit Ex. O, # 16 Exhibit Ex. P, # 17 Exhibit Ex. Q, # 18 Exhibit Ex. R, # 19 Exhibit Ex. S, # 20 Exhibit Ex. T, # 21 Exhibit Ex. U, # 22 Exhibit Ex. V, # 23 Exhibit Ex. W)Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Braff, David) (Entered: 04/19/2010)
442010-04-19 Motion to DismissMOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint. Document filed by Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC.(Kasner, Jay) (Entered: 04/19/2010)
452010-04-19 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint.. Document filed by Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC. (Kasner, Jay) (Entered: 04/19/2010)
462010-04-19 Rule 7.1 Corporate Disclosure StatementSUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Wells Fargo & Company as Corporate Parent. Document filed by Wells Fargo Securities, LLC.(Musoff, Scott) (Entered: 04/19/2010)
472010-06-01 Stipulation and OrderSTIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys for the Lead Plaintiffs and for Defendants, and subject to the approval of the Court, that: Lead Plaintiffs shall file papers in opposition to the motions to dismiss on or before June 25, 2010. Defendants shall file any reply papers on or before August 3, 2010. (Signed by Judge Paul A. Crotty on 6/1/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jfe) (Entered: 06/01/2010)
482010-06-23 Endorsed LetterENDORSED LETTER addressed to Judge Paul A. Crotty from Erik Peterson dated 6/22/2010 re: Counsel requests permission to file a consolidated opposition memorandum 35 pages in length. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul A. Crotty on 6/23/2010) (tro) (Entered: 06/23/2010)
492010-06-25 Response in Opposition to MotionRESPONSE in Opposition re: 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint., 41 MOTION to Dismiss Consolidated Amended Complaint.. Document filed by Martin S Ettin, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus. (Abadou, Ramzi) (Entered: 06/25/2010)
502010-08-03 Reply Memorandum of Law in Support of MotionREPLY MEMORANDUM OF LAW in Support re: 41 MOTION to Dismiss Consolidated Amended Complaint.. Document filed by Barclays Bank PLC, Barclays PLC, Matthew William Barrett, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Naguib Kheraj, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary A. Hoffman, Frederik Seegers, David G. Booth, Fulvio Conti, Daniel Cronje. (Tomaino, Michael) (Entered: 08/03/2010)
512010-08-03 Reply Memorandum of Law in Support of MotionREPLY MEMORANDUM OF LAW in Support re: 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint.. Document filed by A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Barclays Capital Securities Limited, Citigroup Global Markets Inc., Goldman, Sachs & Co., KeyBanc Capital Markets, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Kasner, Jay) (Entered: 08/03/2010)
522011-01-04 TranscriptTRANSCRIPT of proceedings held on 12/15/2010 before Judge Paul A. Crotty. (ja) (nd). (Entered: 01/04/2011)
532011-01-05 Order on Motion to DismissORDER: For the foregoing reasons, Defendants' motion to dismiss is GRANTED in its entirety. The Clerk of Court is directed to enter judgment and to close this case. (Signed by Judge Paul A. Crotty on 1/5/2011) (jfe) (Entered: 01/05/2011)
542011-01-07 Clerk's JudgmentCLERK'S JUDGMENT That for the reasons stated in the Court's Order dated January 5, 2011, defendants motion to dismiss is granted in its entirety; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 1/7/11) (Attachments: # 1 Notice of Right to Appeal)Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(dt) (Entered: 01/07/2011)
552011-01-14 Motion to Appear Pro Hac ViceMOTION for Christopher D. Stewart to Appear Pro Hac Vice. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(mbe) (Entered: 01/25/2011)
562011-01-26 Order on Motion to Appear Pro Hac ViceORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, granting 55 Motion for Christopher D. Stewart to Appear Pro Hac Vice as counsel for plaintiffs. (Signed by Judge Paul A. Crotty on 1/26/2011) (lnl) (Entered: 01/26/2011)
572011-02-04 Motion for ReconsiderationMOTION for Reconsideration of the Court's January 5, 2011 Order. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Attachments: # 1 Text of Proposed Order)(Abadou, Ramzi) (Entered: 02/04/2011)
582011-02-04 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 57 MOTION for Reconsideration of the Court's January 5, 2011 Order.. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Attachments: # 1 Exhibit 1)(Abadou, Ramzi) (Entered: 02/04/2011)
592011-02-18 Memorandum of Law in Opposition to MotionJOINT MEMORANDUM OF LAW in Opposition re: 57 MOTION for Reconsideration of the Court's January 5, 2011 Order.. Document filed by A.G. Edwards & Sons, Inc., Marcus Agius, BNP Paribas Securities Corp., Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Goldman, Sachs & Co., Gary A. Hoffman, KeyBanc Capital Markets, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, Suntrust Capital Markets, Inc., UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Braff, David) (Entered: 02/18/2011)
602011-02-25 Reply Memorandum of Law in Support of MotionREPLY MEMORANDUM OF LAW in Support re: 57 MOTION for Reconsideration of the Court's January 5, 2011 Order.. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Abadou, Ramzi) (Entered: 02/25/2011)
612011-05-31 Order on Motion for ReconsiderationORDER denying 57 Motion for Reconsideration (Signed by Judge Paul A. Crotty on May 31, 2011) (mov) (Entered: 05/31/2011)
622011-06-28 Notice of AppealNOTICE OF APPEAL from 61 Order on Motion for Reconsideration, 53 Order on Motion to Dismiss, 54 Clerk's Judgment,. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, and named plaintiffs (Dennis Askelson, Alfred Fait and Martin Ettin). Filing fee $ 455.00, receipt number 465401010292. [This document relates to: ALL ACTIONS]. (nd) (Entered: 06/29/2011)
632011-10-03 Stipulation and OrderSTIPULATION AND ORDER: Now, therefore, it is hereby stipulated and agreed by and between the undersigned attorneys for the Lead Plaintiffs and for Defendants, and subject to the approval of the Court, that the following document (a copy of which is attached hereto) will be added to the record: the February 7, 2011, e-mail from Katherine Nguyen of the Barroway Topaz firm to the Chambers of The Honorable Paul A. Crotty, with attached "redline" comparison showing the differences between Lead Plaintiffs' Consolidated Amended Complaint and Lead Plaintiffs' proposed Second Consolidated Amended Complaint. (Signed by Judge Paul A. Crotty on 10/3/2011) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(js) (Entered: 10/04/2011)
642013-08-19 USCA OrderOPINION of USCA as to 62 Notice of Appeal, filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus USCA Case Number 11-2665-cv. The judgment of the District Court dismissing the Serious 2, 3, and 4 offering claims as time-barred is affirmed. The judgment dismissing Lead Plaintiffs' Series 5 offering claims is reversed and the case is remanded to the District Court so that Lead Plaintiffs may file an amended complaint consistent with this opinion. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 8/19/2013. (nd) (Entered: 08/20/2013)
652013-09-11 USCA MandateMANDATE of USCA (Certified Copy) as to 62 Notice of Appeal, filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus USCA Case Number 11-2665. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED in part, REVERSED in part, and the case is REMANDED accordance with the 64 opinion of this court. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 09/11/2013. (nd) (Entered: 09/12/2013)
662013-09-16 Amended ComplaintSECOND CONSOLIDATED AMENDED COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES LAWS: amending 36 Amended Complaint, against A.G. Edwards & Sons, Inc., Marcus Agius, BNP Paribas Securities Corp., Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Goldman, Sachs & Co., Gary A. Hoffman, KeyBanc Capital Markets, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, Suntrust Capital Markets, Inc., UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC with JURY DEMAND.Document filed by Marshall Freidus, Dora L. Mahboubi, Beverly Pellegrini, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Larry Morrison. Related document: 36 Amended Complaint, filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(ama) (sdi). (Entered: 09/17/2013)
672013-09-25 Notice of Voluntary DismissalDOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Brown, Andrew) Modified on 9/26/2013 (jno). (Entered: 09/25/2013)
682013-09-27 Notice of Voluntary Dismissal - SignedNOTICE OF VOLUNTARY DISMISSAL: Pursuant to Rule 41(a)(1)(A)(i) plaintiffs hereby dismiss with prejudice all claims asserted in the above-captioned action against defendants A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, SunTrust Capital Markets, Inc. and Wells Fargo Securities LLC. No opposing party has filed either an answer or a motion for summary judgment. (Signed by Judge Paul A. Crotty on 9/27/2013) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(rsh) (Entered: 09/27/2013)
692013-10-03 Notice of AppearanceNOTICE OF APPEARANCE by Menachem David Possick on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Possick, Menachem) (Entered: 10/03/2013)
702013-10-08 Stipulation and OrderSTIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the attorneys for the undersigned parties, subject to the approval of the Court, as follows: Defendants shall have until November 4, 2013 to answer, move or otherwise respond to the Second Amended Complaint. Marcus Agius answer due 11/4/2013; Banc of America Securities LLC answer due 11/4/2013; Barclays Bank PLC answer due 11/4/2013; Barclays Capital Securities Limited answer due 11/4/2013; Barclays PLC answer due 11/4/2013; Matthew William Barrett answer due 11/4/2013; David G. Booth answer due 11/4/2013; Richard Broadbent answer due 11/4/2013; Citigroup Global Markets Inc. answer due 11/4/2013; Richard Leigh Clifford answer due 11/4/2013; Fulvio Conti answer due 11/4/2013; Daniel Cronje answer due 11/4/2013; Dame Sandra J.N. Dawson answer due 11/4/2013; Robert Edward Diamond, Jr answer due 11/4/2013; Goldman, Sachs & Co. answer due 11/4/2013; Gary A. Hoffman answer due 11/4/2013; KeyBanc Capital Markets answer due 11/4/2013; Naguib Kheraj answer due 11/4/2013; Andrew Likierman answer due 11/4/2013; Christopher Lucas answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith, Incorporated answer due 11/4/2013; Morgan Stanley & Co. Incorporated answer due 11/4/2013; RBC Dain Rauscher Inc. answer due 11/4/2013; Nigel Rudd answer due 11/4/2013; Stephen George Russell answer due 11/4/2013; Frederik Seegers answer due 11/4/2013; John Michael Sunderland answer due 11/4/2013; Suntrust Capital Markets, Inc. answer due 11/4/2013; UBS Securities LLC answer due 11/4/2013; John Silvester Varley answer due 11/4/2013; Wachovia Capital Markets, LLC answer due 11/4/2013; Wells Fargo Securities, LLC answer due 11/4/2013; Banc of America Securities, LLC answer due 11/4/2013; Barclays Capital, Inc. answer due 11/4/2013; David Booth answer due 11/4/2013; Citigroup Global Markets, Incorporated answer due 11/4/2013; Leigh Clifford answer due 11/4/2013; Dame Sandra Dawson answer due 11/4/2013; Deutsche Bank Securities, Incorporated answer due 11/4/2013; Robert E. Diamond, Jr answer due 11/4/2013; Gary Hoffman answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith, Incorporated answer due 11/4/2013; Morgan Stanley & Co., Incorporated answer due 11/4/2013; RBC Capital Markets Corporation answer due 11/4/2013; Stephen Russell answer due 11/4/2013; Sun Trust Robinson Humphrey answer due 11/4/2013; John Sunderland answer due 11/4/2013; UBS Securities, LLC answer due 11/4/2013; John Varley answer due 11/4/2013; Ernst & Young LLP answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 11/4/2013; Pricewatherhouse Coopers answer due 11/4/2013; RBC Dain Rauscher answer due 11/4/2013; Banc of America Securities LLC answer due 11/4/2013; Citigroup Global Markets, Inc. answer due 11/4/2013; PricewaterhouseCoopers, LLP answer due 11/4/2013; RBC Dain Rauscher, Inc. answer due 11/4/2013; Sandra J.N. Dawson answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 11/4/2013; UBS Securities L.L.C. answer due 11/4/2013; Wachovia Capital Markets, L.L.C. answer due 11/4/2013. (Signed by Judge Paul A. Crotty on 10/8/2013) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(rsh) (Entered: 10/08/2013)
712013-10-30 Stipulation and OrderSTIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the attorneys for the undersigned parties, subject to the approval of the Court, as follows: Defendants shall move to dismiss or otherwise respond to the Second Amended Complaint on or before November 4, 2013. Plaintiffs shall serve and file their oppositions to the motions on or before December 20, 2013. Defendants shall serve and file their reply on or before January 13, 2014. Due to the parties' agreement to the above briefing schedule for Defendants' motions to dismiss the Second Amended Complaint, the parties further agree, subject to the approval of the Court, to dispense with pre-motion letters and a pre-motion conference. (Motions due by 11/4/2013., Responses due by 12/20/2013, Replies due by 1/13/2014.) (Signed by Judge Paul A. Crotty on 10/30/2013) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(rsh) (Entered: 10/30/2013)
722013-11-04 Motion to DismissMOTION to Dismiss the Second Consolidated Amended Complaint. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. Responses due by 12/20/2013(Possick, Menachem) (Entered: 11/04/2013)
732013-11-04 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Possick, Menachem) (Entered: 11/04/2013)
742013-11-04 Declaration in Support of MotionDECLARATION of M. David Possick in Support re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Possick, Menachem) (Entered: 11/04/2013)
752013-12-13 Motion to Appear Pro Hac ViceMOTION for Andrew L. Zivitz to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9172280. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Zivitz, Andrew) (Entered: 12/13/2013)
762013-12-13 Motion to Appear Pro Hac ViceMOTION for Margaret E. Onasch to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9172431. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Onasch, Margaret) (Entered: 12/13/2013)
772013-12-13 Order on Motion to Appear Pro Hac ViceORDER granting 75 Motion for Andrew L. Zivitz to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 12/13/2013)
782013-12-13 Order on Motion to Appear Pro Hac ViceORDER granting 76 Motion for Margaret E. Onasch to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 12/13/2013)
792013-12-20 Notice of AppearanceNOTICE OF APPEARANCE by Sharan Nirmul on behalf of Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Nirmul, Sharan) (Entered: 12/20/2013)
802013-12-20 Memorandum of Law in Opposition to MotionMEMORANDUM OF LAW in Opposition re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Zivitz, Andrew) (Entered: 12/20/2013)
812014-01-07 Motion to Withdraw as AttorneyMOTION for Ramzi Abadou and Erik D. Peterson to Withdraw as Attorney s. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Nirmul, Sharan) (Entered: 01/07/2014)
822014-01-08 Order on Motion to Withdraw as AttorneyORDER granting 81 Motion to Withdraw as Attorney. Attorney Ramzi Abadou and Erik D. Peterson terminated (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 01/08/2014)
832014-01-13 Reply Memorandum of Law in Support of MotionREPLY MEMORANDUM OF LAW in Support re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Possick, Menachem) (Entered: 01/13/2014)
842014-06-02 Order on Motion to DismissORDER denying 72 Motion to Dismiss: Accordingly, the Barclays and Underwriter Defendants' motion to dismiss the Second Consolidated Amended Complaint is DENIED. Since all class members were previously given notice of the opportunity to move for appointment as lead plaintiff, there is no need for the Court to re-open the process by ordering a new notice period. See In re NYSE Specialists Sec. Litig., 240 F.R.D. 128, 143 (S.D.N.Y. 2007). Plaintiffs Askelson and Fait, however, should move to be appointed lead plaintiffs, and for withdrawal of the remaining Lead Plaintiffs, by June 13, 2014. Defendants' opposition should be filed by June 27, 2014, and Plaintiffs' reply by July 3,2013. Briefing should be limited to 5 pages for the motion and opposition, and 3 pages for the reply. (Signed by Judge Paul A. Crotty on 5/30/2014) (tn) (Entered: 06/02/2014)
852014-06-13 Motion for Miscellaneous ReliefMOTION to Modify December 9, 2009 Order . Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Brown, Andrew) (Entered: 06/13/2014)
862014-06-13 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 85 MOTION to Modify December 9, 2009 Order . . Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Brown, Andrew) (Entered: 06/13/2014)
872014-06-17 Stipulation and OrderSTIPULATION AND ORDER: that the time for Defendants to serve and filed their Answers to the Second Amended Complaint is extended through and including 7/21/2014. By entering into this Stipulation, the Parties do not waive, and expressly preserve, all rights, claims and defenses in this Action, including with respect to issues addressed in the June 2 Order. Marcus Agius answer due 7/21/2014; Barclays Bank PLC answer due 7/21/2014; Barclays Capital Securities Limited answer due 7/21/2014; Barclays PLC answer due 7/21/2014; Matthew William Barrett answer due 7/21/2014; David G. Booth answer due 7/21/2014; Richard Broadbent answer due 7/21/2014; Citigroup Global Markets Inc. answer due 7/21/2014; Richard Leigh Clifford answer due 7/21/2014; Fulvio Conti answer due 7/21/2014; Daniel Cronje answer due 7/21/2014; Dame Sandra J.N. Dawson answer due 7/21/2014; Robert Edward Diamond, Jr answer due 7/21/2014; Gary A. Hoffman answer due 7/21/2014; Naguib Kheraj answer due 7/21/2014; Andrew Likierman answer due 7/21/2014; Christopher Lucas answer due 7/21/2014; Merrill Lynch, Pierce, Fenner & Smith, Incorporated answer due 7/21/2014; Morgan Stanley & Co. Incorporated answer due 7/21/2014; RBC Dain Rauscher Inc. answer due 7/21/2014; Nigel Rudd answer due 7/21/2014; Stephen George Russell answer due 7/21/2014; Frederik Seegers answer due 7/21/2014; John Michael Sunderland answer due 7/21/2014; UBS Securities LLC answer due 7/21/2014; John Silvester Varley answer due 7/21/2014; Wachovia Capital Markets, LLC answer due 7/21/2014. (Signed by Judge Paul A. Crotty on 6/17/2014) (tn) (Entered: 06/17/2014)
882014-06-27 Response to MotionRESPONSE to Motion re: 85 MOTION to Modify December 9, 2009 Order . Defendants' Response to Plaintiffs' Motion to Modify December 9, 2009 Order by Appointing and Withdrawing Lead Plaintiffs. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Fritsch, Joshua) (Entered: 06/27/2014)
892014-06-27 Notice of AppearanceNOTICE OF APPEARANCE by Joshua John Fritsch on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Fritsch, Joshua) (Entered: 06/27/2014)
902014-07-03 Reply Memorandum of Law in Support of MotionREPLY MEMORANDUM OF LAW in Support re: 85 MOTION to Modify December 9, 2009 Order . . Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Brown, Andrew) (Entered: 07/03/2014)
912014-07-09 Order on Motion for Miscellaneous ReliefORDER granting 85 Motion: The Court GRANTS the request and ORDERS that Plaintiffs Dennis Askelson and Alfred Fait be appointed lead plaintiffs and that Freidus, Thompson, and Mahboui be removed as lead plaintiffs. (Signed by Judge Paul A. Crotty on 7/9/2014) (tn) (Entered: 07/09/2014)
922014-07-21 Answer to Amended ComplaintANSWER to 66 Amended Complaint,,,,,. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Kasner, Jay) (Entered: 07/21/2014)
932014-07-25 Answer to Amended ComplaintANSWER to 66 Amended Complaint,,,,,. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Fritsch, Joshua) (Entered: 07/25/2014)
942014-09-11 Stipulation of Voluntary DismissalFILING ERROR - DEFICIENT DOCKET ENTRY - FILER ERROR - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, Prejudice prejudice against the defendant(s) All Parties and Without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Barclays PLC, Stephen George Russell, Daniel Cronje, Christopher Lucas, John Michael Sunderland, Nigel Rudd, Dame Sandra J.N. Dawson, Naguib Kheraj, Robert Edward Diamond, Jr, Gary A. Hoffman, Marcus Agius, Richard Leigh Clifford, Frederik Seegers, Barclays Bank PLC, John Silvester Varley, Richard Broadbent, Andrew Likierman, Matthew William Barrett, David G. Booth, Fulvio Conti.(Fritsch, Joshua) Modified on 9/11/2014 (kj). (Entered: 09/11/2014)
952014-09-11 Stipulation of Voluntary DismissalDOCUMENT REFERRED TO JUDGE FOR APPROVAL - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) Naguib Kheraj, Matthew William Barrett and without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Naguib Kheraj, Matthew William Barrett.(Fritsch, Joshua) Modified on 9/12/2014 (km). (Entered: 09/11/2014)
962014-09-15 Stipulation and Order of Voluntary DismissalSTIPULATION OF DISMISSAL WITH PREJUDICE AS TO: BARRETT AND KHERAJ: IT IS HEREBY STIPULATED AND AGREED by and between the attorneys for the undersigned Parties that any and all claims asserted against defendants Matthew William Barrett and Naguib Kheraj in the Action are hereby voluntarily dismissed, with prejudice, and without costs to any Party., Matthew William Barrett and Naguib Kheraj terminated. (Signed by Judge Paul A. Crotty on 9/15/2014) (lmb) (Entered: 09/15/2014)
972014-10-21 Scheduling OrderCIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. § 636(c). This case is to be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is: four weeks. Motions due by 3/6/2015. Deposition due by 9/18/2015. Fact Discovery due by 9/18/2015. Expert Discovery due by 2/23/2016. Status Conference set for 2/10/2015 at 04:00 PM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. (Signed by Judge Paul A. Crotty on 10/21/2014) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(lmb) (Entered: 10/21/2014)
982015-02-03 Protective OrderSTIPULATION AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Paul A. Crotty on 2/3/2015) (lmb) (Entered: 02/03/2015)
992015-02-03 Stipulation and OrderSTIPULATION AND ORDER REGARDING ESI PROTOCOL: This Stipulation and Order Regarding the Format of Document Productions ("ESI Protocol") shall govern the parties in the above-captioned action (the "Action"). This ESI Protocol governs only the form of production. The parties agree to meet and confer and reach an agreement for a separate protocol regarding (1) sources of discoverable information; (2) search methodology; and (3) any other culling methods. If there is an objection based upon undue burden, the parties agree that the grounds for such objection should be supported by specific information. The parties will not seek court intervention without first attempting to resolve any disagreements in good faith, based upon all available information as further set forth in this order. (Signed by Judge Paul A. Crotty on 2/3/2015) (lmb) (Entered: 02/03/2015)
1002015-02-18 Motion to Appear Pro Hac ViceMOTION for Jonathan F. Neumann to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10606637. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Neumann, Jonathan) (Entered: 02/18/2015)
1012015-02-23 Order on Motion to Appear Pro Hac ViceORDER granting 100 Motion for Jonathan F. Neumann to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 02/23/2015)
1022015-03-06 Motion to Certify ClassMOTION to Certify Class . Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Text of Proposed Order)(Stewart, Christopher) (Entered: 03/06/2015)
1032015-03-06 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 102 MOTION to Certify Class . . Document filed by Dennis Askelson, Alfred Fait. (Stewart, Christopher) (Entered: 03/06/2015)
1042015-03-06 Declaration in Support of MotionDECLARATION of Christopher D. Stewart in Support re: 102 MOTION to Certify Class .. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Stewart, Christopher) (Entered: 03/06/2015)
1052015-03-09 Notice of AppearanceNOTICE OF APPEARANCE by Gary John Hacker on behalf of Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Hacker, Gary) (Entered: 03/09/2015)
1062015-04-15 Motion to Appear Pro Hac ViceMOTION to Appear Pro Hac Vice for Michelle M. Newcomer. Filing fee $ 200.00, receipt number 0208-10817694. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Newcomer, Michelle) (Entered: 04/15/2015)
1072015-04-16 Order on Motion to Appear Pro Hac ViceORDER granting 106 Motion for Michelle M. Newcomer to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 04/16/2015)
1082015-05-05 Motion for ConferenceLETTER MOTION for Conference addressed to Judge Paul A. Crotty from Sharan Nirmul dated May 5, 2015. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Text of Proposed Order)(Nirmul, Sharan) (Entered: 05/05/2015)
1092015-05-08 LetterLETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. and Jay B. Kasner dated May 8, 2015 re: Response to Plaintiffs' Letter dated May 5, 2015. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC.(Tomaino, Michael) (Entered: 05/08/2015)
1102015-05-13 Endorsed LetterENDORSED LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino and Jay B. Kasner dated May 8, 2015 re: response to 5-5-15 letter. ENDORSEMENT: The Court directs that the parties proceed as follows: (1) plaintiff should move to add Mr. Spindel as a party - plaintiff; (2) the parties should meet and confer on a motion schedule (along the lines suggested at pg 3*); (3) when this issue is decided, the plaintiff may move for class certification. So Ordered. (Signed by Judge Paul A. Crotty on 5-13-15) (mov) (Entered: 05/13/2015)
1112015-05-15 Motion to Appear Pro Hac ViceMOTION for Kevin S. Sciarani to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Certificate of Good Standing, # 2 Order)(Sciarani, Kevin) (Entered: 05/15/2015)
1122015-05-18 Order on Motion to Appear Pro Hac ViceORDER granting 111 Motion for Kevin S. Sciarani to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 05/18/2015)
1132015-05-19 Stipulation and OrderSTIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys for the parties, subject to the approval of the Court, that: 1. Plaintiff shall have until May 22, 2015 to move to add Mr. Spindel as a party-plaintiff to this action; 2. Defendants shall have until June 5, 2015 to oppose or otherwise respond to plaintiffs' motion; and 3. Plaintiff shall have until June 12, 2015 to reply or otherwise respond to defendants' opposition., ( Motions due by 5/22/2015., Responses due by 6/5/2015., Replies due by 6/12/2015.) (Signed by Judge Paul A. Crotty on 5/19/2015) (lmb) (Entered: 05/19/2015)
1142015-05-22 Motion to Add Party(ies)FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Add Paul Spindel as a Named Plaintiff. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Declaration of Sharan Nirmul in Support of Lead Plaintiffs' Motion to Add Paul Spindel as a Named Plaintiff, # 2 Exhibit A, # 3 Exhibit B)(Nirmul, Sharan) Modified on 5/25/2015 (db). (Entered: 05/22/2015)
1152015-05-26 Motion to Add Party(ies)MOTION to Add Paul Spindel as a Named Plaintiff. Document filed by Dennis Askelson, Alfred Fait.(Nirmul, Sharan) (Entered: 05/26/2015)
1162015-05-26 Declaration in Support of MotionDECLARATION in Support re: 115 MOTION to Add Paul Spindel as a Named Plaintiff.. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Nirmul, Sharan) (Entered: 05/26/2015)
1172015-06-01 Motion to Withdraw as AttorneyMOTION for Joshua J. Fritsch to Withdraw as Attorney . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 06/01/2015)
1182015-06-02 Order on Motion to Withdraw as AttorneyMEMO ENDORSEMENT granting (117) Motion to Withdraw as Attorney. SO ORDERED. Attorney Joshua John Fritsch terminated in case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 6/2/2015) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC (kko) (Entered: 06/02/2015)
1192015-06-05 Memorandum of Law in Opposition to MotionJOINT MEMORANDUM OF LAW in Opposition re: 115 MOTION to Add Paul Spindel as a Named Plaintiff. . Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Tomaino, Michael) (Entered: 06/05/2015)
1202015-06-12 Reply Memorandum of Law in Support of MotionREPLY MEMORANDUM OF LAW in Support re: 115 MOTION to Add Paul Spindel as a Named Plaintiff. . Document filed by Dennis Askelson, Alfred Fait. (Stewart, Christopher) (Entered: 06/12/2015)
1212015-06-15 Notice of AppearanceNOTICE OF APPEARANCE by Matthew Alain Peller on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Peller, Matthew) (Entered: 06/15/2015)
1222015-06-15 Notice of AppearanceNOTICE OF APPEARANCE by Thomas Charles White on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (White, Thomas) (Entered: 06/15/2015)
1232015-06-15 Notice of AppearanceNOTICE OF APPEARANCE by Yavar Bathaee on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Bathaee, Yavar) (Entered: 06/15/2015)
1242015-07-07 Stipulation and OrderSTIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the parties to the above-captioned action, through their undersigned counsel, subject to approval of the Court, that the following limitations shall govern the depositions of fact witnesses in this action: 1. Plaintiffs shall be permitted to take no more than a total of 25 depositions of the following: (i) defendants; (ii) current or former employees or directors of defendants; and (iii) third parties. 2. Defendants shall be permitted to take no more than a total of 25 depositions of the following: (i) plaintiffs; and (ii) third parties. 3. The parties do not waive their right to seek leave of the Court to take additional depositions. (Signed by Judge Paul A. Crotty on 7/7/2015) (lmb) Modified on 7/8/2015 (lmb). (Entered: 07/07/2015)
1252015-08-04 LetterLETTER addressed to Judge Paul A. Crotty from Andrew J. Brown dated August 4, 2015 re: Revised Scheduling Order. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Text of Proposed Order [Proposed] Revised Scheduling Order)(Brown, Andrew) (Entered: 08/04/2015)
1262015-08-05 Scheduling OrderREVISED SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S. C. §636(c). This case is to be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is: four (4) weeks. Deposition due by 11/17/2015. Fact Discovery due by 11/17/2015. Expert Discovery due by 4/25/2016. Status Conference set for 4/14/2016 at 03:00 PM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. (Signed by Judge Paul A. Crotty on 8/5/2015) (lmb) (Entered: 08/05/2015)
1272015-08-17 Motion to Appear Pro Hac ViceMOTION for Richard A. Russo, Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11285147. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Russo, Richard) (Entered: 08/17/2015)
1282015-08-17 Order on Motion to Appear Pro Hac ViceORDER granting 127 Motion for Richard A. Russo, Jr to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 08/17/2015)
1292015-09-08 LetterLETTER addressed to Judge Paul A. Crotty from Lucas F. Olts dated September 8, 2015 re: Pre-Motion Conference. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Exhibit A)(Olts, Lucas) (Entered: 09/08/2015)
1302015-09-10 Sealed DocumentSEALED DOCUMENT placed in vault.(rz) (Entered: 09/10/2015)
1312015-09-11 LetterLETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated September 11, 2015 re: Plaintiffs' September 8, 2015 Letter. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 09/11/2015)
1322015-09-15 LetterLETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated September 15, 2015 re: Plaintiffs' September 10, 2015 Letter. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 09/15/2015)
1332015-09-17 Memo EndorsementMEMO ENDORSEMENT on re: 129 Letter filed by Dennis Askelson, Alfred Fait. ENDORSEMENT: The request for a pre-motion conference is DENIED, in light of defendants' letter of 9/11/2015. The 10 requested depositions have been or will be produced and the exhibits need to be produced only to the extent relevant, without prejudice to providing if need can be shown. (Signed by Judge Paul A. Crotty on 9/16/2015) (lmb) (Entered: 09/17/2015)
1342015-09-17 Endorsed LetterENDORSED LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul dated 9/10/2015 re: We write on behalf of Lead Plaintiffs ("Plaintiffs") pursuant to Rule 3.C of Your Honor's Individual Practices and FED. R. CIV. P. 26(b), to request a pre-motion conference or for leave to file a motion to compel Barclays to produce documents responsive to Lead Plaintiffs' First and Second Requests for Production (the "Document Requests"), from the files of seven Barclays employees (the "New Custodians"). ENDORSEMENT: This letter application will be considered as a motion to compel further discovery. It is DENIED as untimely, inappropriate (the 60 day extension was granted finish depositions not to embark on a new document discovery exercise) and burdensome in light of the massive document process in this 6 year old case. (Signed by Judge Paul A. Crotty on 9/16/2015) (lmb) (Entered: 09/17/2015)
1352015-11-04 Sealed DocumentSEALED DOCUMENT placed in vault.(mps) (Entered: 11/04/2015)
1362015-11-09 LetterLETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated November 9, 2015 re: Plaintiffs November 4, 2015 Letter. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) Modified on 11/13/2015 (db). Modified on 11/13/2015 (db). (Entered: 11/09/2015)
1372015-11-09 LetterLETTER addressed to Judge Paul A. Crotty from Scott D. Musoff dated November 9, 2015 re: Plaintiffs' November 4, 2015 Letter. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC.(Musoff, Scott) (Entered: 11/09/2015)
1382015-11-17 Endorsed LetterENDORSED LETTER addressed to Judge Paul A. Crotty from Sharen Nimul dated 11-4-15 re: pre-motion conference request or leave to file a motion for issuance of a letter requesting judicial assistance pursuant to the Hague Convention. ENDORSEMENT: The Court will treat this request as an application for the issuance of a letter requesting judicial assistance. The request is denied as untimely and it smacks of last minute gamesmanship in light of the 11/17 discovery cutoff. So Ordered. (Signed by Judge Paul A. Crotty on 11-17-15) (mov) (Entered: 11/17/2015)
1392015-11-18 Suggestion of DeathSUGGESTION OF DEATH upon the record as to Alfred Fait Under Fed. R. Civ. P. 25(a)(1). Document filed by Dennis Askelson(Sciarani, Kevin) (Entered: 11/18/2015)
1402015-11-19 Memorandum & OpinionOPINION & ORDER re: 115 MOTION to Add Paul Spindel as a Named Plaintiff. filed by Dennis Askelson, Alfred Fait. Lead Plaintiffs' motion to add Paul Spindel as a named plaintiff is DENIED. Lead Plaintiff Askelson may move for class certification in accordance with the procedures as set forth in the Revised Scheduling Order. See Dkt. 126 at 8. The Clerk is directed to terminate the motion at Docket 115. (As further set forth in this Order) (Signed by Judge Paul A. Crotty on 11/19/2015) (lmb) Modified on 11/19/2015 (lmb). (Entered: 11/19/2015)
1412015-12-09 Motion to Certify ClassMOTION to Certify Class . Document filed by Dennis Askelson. (Attachments: # 1 Text of Proposed Order)(Zivitz, Andrew) (Entered: 12/09/2015)
1422015-12-09 Memorandum of Law in Support of MotionMEMORANDUM OF LAW in Support re: 141 MOTION to Certify Class . Redacted. Document filed by Dennis Askelson. (Zivitz, Andrew) (Entered: 12/09/2015)
1432015-12-09 Declaration in Support of MotionDECLARATION of Richard A. Russo, Jr. in Support re: 141 MOTION to Certify Class .. Document filed by Dennis Askelson. (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, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33)(Russo, Richard) (Entered: 12/09/2015)
1442015-12-09 Sealed DocumentSEALED DOCUMENT placed in vault.(rz) (Entered: 12/10/2015)
1452016-01-07 Notice (Other)NOTICE of Withdrawal of Appearance of Gary J. Hacker as Counsel. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Hacker, Gary) (Entered: 01/07/2016)
1462016-01-11 Stipulation and OrderSTIPULATION AND ORDER: Defendants shall have until February 19, 2016 to oppose or otherwise respond to Lead Plaintiff's Motion for Class Certification [Dkt. No. 141); and Lead Plaintiff shall have until April 4, 2016 to reply or otherwise respond to Defendants' opposition. Set Deadlines/Hearing as to 141 MOTION to Certify Class: Responses due by 2/19/2016, Replies due by 4/4/2016. (Signed by Judge Paul A. Crotty on 1/11/2016) (tn) (Entered: 01/11/2016)
1472016-01-11 Memo EndorsementMEMO ENDORSEMENT on re: 145 Notice (Other), filed by Wachovia Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, Banc of America Securities LLC, RBC Dain Rauscher Inc., UBS Securities LLC, Barclays Capital Securities Limited. ENDORSEMENT: Application granted. The Clerk of Court is directed to update the case & docket accordingly. Attorney Gary John Hacker terminated. (Signed by Judge Paul A. Crotty on 1/11/2016) ***As per chambers, filed in 09cv1989 only. (tn) (Entered: 01/11/2016)
1482016-02-19 Memorandum of Law in Opposition to MotionJOINT MEMORANDUM OF LAW in Opposition re: 141 MOTION to Certify Class . . Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Tomaino, Michael) (Entered: 02/19/2016)
1492016-02-19 Declaration in Opposition to MotionDECLARATION of Thomas C. White in Opposition re: 141 MOTION to Certify Class .. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, 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, # 10 Exhibit 10)(White, Thomas) (Entered: 02/19/2016)
1502016-03-23 LetterLETTER addressed to Judge Paul A. Crotty from Andrew L. Zivitz dated March 23, 2016 re: Scheduling. Document filed by Dennis Askelson.(Zivitz, Andrew) (Entered: 03/23/2016)
1512016-03-24 Memo EndorsementMEMO ENDORSEMENT on re: 150 Letter filed by Dennis Askelson. ENDORSEMENT: Application GRANTED. SO ORDERED. (Signed by Judge Paul A. Crotty on 3/24/2016) (cf) (Entered: 03/24/2016)
1522016-04-04 Reply Memorandum of Law in Support of MotionREPLY MEMORANDUM OF LAW in Support re: 141 MOTION to Certify Class . . Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 04/04/2016)
1532016-04-04 Declaration in Support of MotionDECLARATION of Sharan Nirmul in Support re: 141 MOTION to Certify Class .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit Exhibit A)(Nirmul, Sharan) (Entered: 04/04/2016)
1542016-04-08 LetterLETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated April 8, 2016 re: Defendants' Request to File Sur-Reply. Document filed by Barclays Bank PLC, Barclays PLC, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 04/08/2016)
1552016-04-11 LetterLETTER addressed to Judge Paul A. Crotty from Andrew L. Zivitz dated April 11, 2016 re: Defendant's April 8, 2016 Letter. Document filed by Dennis Askelson.(Zivitz, Andrew) (Entered: 04/11/2016)
1562016-04-12 Memo EndorsementMEMO ENDORSEMENT on re: 154 Letter, filed by Christopher Lucas, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Barclays PLC, Richard Leigh Clifford, John Silvester Varley, John Michael Sunderland, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Fulvio Conti, Nigel Rudd. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul A. Crotty on 4/12/2016) (tn) (Entered: 04/12/2016)
1572016-04-14 Response in Opposition to MotionRESPONSE in Opposition to Motion re: 141 MOTION to Certify Class . . Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Tomaino, Michael) (Entered: 04/14/2016)
1582016-04-14 Declaration in Opposition to MotionDECLARATION of Matthew A. Peller in Opposition re: 141 MOTION to Certify Class .. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1)(Peller, Matthew) (Entered: 04/14/2016)
1592016-05-16 LetterFILING ERROR - DEFICIENT DOCKET ENTRY (SEE 160 Letter) - LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated May 16, 2016 re: U.S. Supreme Court Decision in Spokeo, Inc. v. Robins. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit Supreme Court Opinion - Spokeo, Inc. v Robbins)(Tomaino, Michael) Modified on 5/16/2016 (db). (Entered: 05/16/2016)
1602016-05-16 LetterLETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated May 16, 2016 re: Suprme Court Opinion - Spokeo, Inc. v Robins. Document filed by Barclays Bank PLC, Barclays PLC, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit Supreme Court Opinion - Spokeo, Inc. v Robins)(Tomaino, Michael) (Entered: 05/16/2016)
1612016-05-26 TranscriptTRANSCRIPT of Proceedings re: conference corrected held on 5/17/2016 before Judge Paul A. Crotty. Court Reporter/Transcriber: Lisa Picciano Fellis, (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 6/20/2016. Redacted Transcript Deadline set for 6/30/2016. Release of Transcript Restriction set for 8/29/2016.(McGuirk, Kelly) (Entered: 05/26/2016)
1622016-05-26 Notice of Filing TranscriptNOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference corrected proceeding held on 5/17/2016 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) (Entered: 05/26/2016)
1632016-06-02 TranscriptTRANSCRIPT of Proceedings re: conference corrected held on 5/17/2016 before Judge Paul A. Crotty. Court Reporter/Transcriber: Lisa Picciano Fellis, (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 6/27/2016. Redacted Transcript Deadline set for 7/8/2016. Release of Transcript Restriction set for 9/5/2016.(McGuirk, Kelly) (Entered: 06/02/2016)
1642016-06-02 Notice of Filing TranscriptNOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference corrected proceeding held on 5/17/16 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) (Entered: 06/02/2016)
1652016-06-09 Memorandum & OpinionOPINION & ORDER re: 141 MOTION to Certify Class . filed by Dennis Askelson. The Court grants the motion for class certification, appoints Dennis Askelson to represent the class, and appoints Kessler Topaz and Robbins Geller as co-class counsel. Along with the issuance of this Opinion & Order, the Court will endorse the proposed order (Dkt. 141, Ex. 1). The parties are directed to appear at a status conference on July 27, 2016 at 11:15 am. The Clerk is directed to terminate the motion at Docket 141. (As further set forth in this order) (Signed by Judge Paul A. Crotty on 6/9/2016) (lmb) (Entered: 06/09/2016)
1662016-06-09 OrderORDER GRANTING LEAD PLAINTIFFS' MOTION FOR CLASS CERTIFICATION re: 141 MOTION to Certify Class . filed by Dennis Askelson. IT IS HEREBY ORDERED that this matter is certified as a Class action, plaintiff Askelson is appointed as class representative to represent the Class defined above, and Kessler Topaz and Robbins Geller are appointed co-class counsel. (Signed by Judge Paul A. Crotty on 6/9/2016) (lmb) (Entered: 06/09/2016)
1672016-07-27 Scheduling OrderAMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. This case is to be tried to a jury. Counsel for the parties have conferred and their best estimate of the length of the trial is: four (4) weeks. Motions due by 9/30/2016. Responses due by 11/23/2016. Replies due by 12/21/2016. (Signed by Judge Paul A. Crotty on 7/27/2016) (lmb) (Entered: 07/27/2016)
1682016-08-19 TranscriptTRANSCRIPT of Proceedings re: CONFERENCE held on 7/27/2016 before Judge Paul A. Crotty. Court Reporter/Transcriber: Patricia Nilsen, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/12/2016. Redacted Transcript Deadline set for 9/22/2016. Release of Transcript Restriction set for 11/21/2016.(McGuirk, Kelly) (Entered: 08/19/2016)
1692016-08-19 Notice of Filing TranscriptNOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/27/16 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) (Entered: 08/19/2016)
1702016-09-15 CONSENT LETTER MOTION for Extension of Time re: Summary Judgment Briefing addressed to Judge Paul A. Crotty from Scott D. Musoff dated September 15, 2016. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Musoff, Scott) (Entered: 09/15/2016)
1712016-09-16 ORDER granting 170 Letter Motion for Extension of Time. Motions for summary due by 10/21/2016. Briefs in opposition to the motions for summary judgment due by: 12/14/2016. Reply briefs in support of motions for summary judgment due by: 1/11/2017. The footnote in re Daubert motions is also adopted. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 09/16/2016)
1722016-10-04 LETTER MOTION for Leave to File Excess Pages re: Summary Judgment Briefing addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated October 4, 2016. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 10/04/2016)
1732016-10-05 ORDER granting 172 Letter Motion for Leave to File Excess Pages (Signed by Judge Paul A. Crotty on 10-5-16) (Crotty, Paul) (Entered: 10/05/2016)
1742016-10-21 SEALED DOCUMENT placed in vault.(rz) (Entered: 10/21/2016)
1752016-10-21 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . Document filed by Dennis Askelson.(Brown, Andrew) (Entered: 10/21/2016)
1762016-10-21 MOTION to Preclude Expert Report and Testimony of John C. Coates IV. Document filed by Dennis Askelson.(Nirmul, Sharan) (Entered: 10/21/2016)
1772016-10-21 MEMORANDUM OF LAW in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . . Document filed by Dennis Askelson. (Brown, Andrew) (Entered: 10/21/2016)
1782016-10-21 MEMORANDUM OF LAW in Support re: 176 MOTION to Preclude Expert Report and Testimony of John C. Coates IV. Redacted Public Version. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 10/21/2016)
1792016-10-21 DECLARATION of Andrew J. Brown in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A - filed under seal, # 2 Exhibit B -filed under seal, # 3 Exhibit C - filed under seal, # 4 Exhibit D - filed under seal, # 5 Exhibit E - filed under seal)(Brown, Andrew) (Entered: 10/21/2016)
1802016-10-21 DECLARATION of Sharan Nirmul in Support re: 176 MOTION to Preclude Expert Report and Testimony of John C. Coates IV.. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A (Filed Under Seal), # 2 Exhibit B (Filed Under Seal), # 3 Exhibit C (Filed Under Seal), # 4 Exhibit D (Filed Under Seal), # 5 Exhibit E (Filed Under Seal), # 6 Exhibit F (Filed Under Seal))(Nirmul, Sharan) (Entered: 10/21/2016)
1812016-10-21 MOTION for Summary Judgment . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 10/21/2016)
1822016-10-21 RULE 56.1 STATEMENT. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 10/21/2016)
1832016-10-21 MOTION for Summary Judgment . Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Musoff, Scott) (Entered: 10/21/2016)
1842016-10-21 DECLARATION of Scott D. Musoff in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 (Filed Under Seal), # 2 Exhibit 2 (Filed Under Seal), # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15)(Musoff, Scott) (Entered: 10/21/2016)
1852016-10-21 DECLARATION of Richard Doyle in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 8 (Filed under Seal))(Musoff, Scott) (Entered: 10/21/2016)
1862016-10-21 DECLARATION of Ken Harris in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)
1872016-10-21 DECLARATION of Carolyn Coan Hurley in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 9 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)
1882016-10-21 DECLARATION of Andrew R. Karp in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)
1892016-10-21 MEMORANDUM OF LAW in Support re: 183 MOTION for Summary Judgment . (Redacted). Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)
1902016-10-21 RULE 56.1 STATEMENT. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)
1912016-10-21 DECLARATION of David Ludwick, Esq in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)
1922016-10-21 DECLARATION of Kathryn McLeland in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)
1932016-10-21 DECLARATION of Jack D. McSpadden in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 59 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)
1942016-10-21 MEMORANDUM OF LAW in Support re: 181 MOTION for Summary Judgment . . Document filed by Marcus Agius, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Robert Edward Diamond, Jr, Stephen George Russell, John Silvester Varley. (White, Thomas) (Entered: 10/21/2016)
1952016-10-21 DECLARATION of Yurij Slyz in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 5 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)
1962016-10-21 DECLARATION of Sophia Vonta in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 5 (Filed Under Seal))(Musoff, Scott) (Entered: 10/22/2016)
1972016-10-22 DECLARATION of Thomas C White in Support re: 181 MOTION for Summary Judgment .. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit 1A, # 2 Exhibit 1B, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5, # 7 Exhibit 6, # 8 Exhibit 7, # 9 Exhibit 8, # 10 Exhibit 9, # 11 Exhibit 10, # 12 Exhibit 11, # 13 Exhibit 12, # 14 Exhibit 13, # 15 Exhibit 14, # 16 Exhibit 15, # 17 Exhibit 16, # 18 Exhibit 17, # 19 Exhibit 18, # 20 Exhibit 19, # 21 Exhibit 20, # 22 Exhibit 21, # 23 Exhibit 22, # 24 Exhibit 23, # 25 Exhibit 24, # 26 Exhibit 25, # 27 Exhibit 26, # 28 Exhibit 27, # 29 Exhibit 28, # 30 Exhibit 29, # 31 Exhibit 30A, # 32 Exhibit 30B, # 33 Exhibit 31, # 34 Exhibit 32, # 35 Exhibit 33, # 36 Exhibit 34, # 37 Exhibit 35, # 38 Exhibit 36, # 39 Exhibit 37, # 40 Exhibit 38, # 41 Exhibit 39, # 42 Exhibit 40, # 43 Exhibit 41, # 44 Exhibit 42, # 45 Exhibit 43, # 46 Exhibit 44, # 47 Exhibit 45, # 48 Exhibit 46, # 49 Exhibit 47, # 50 Exhibit 48, # 51 Exhibit 49, # 52 Exhibit 50, # 53 Exhibit 51, # 54 Exhibit 52, # 55 Exhibit 53, # 56 Exhibit 54, # 57 Exhibit 55, # 58 Exhibit 56, # 59 Exhibit 57, # 60 Exhibit 58, # 61 Exhibit 59, # 62 Exhibit 60, # 63 Exhibit 61)(Tomaino, Michael) (Entered: 10/22/2016)
1982016-10-21 SEALED DOCUMENT placed in vault.(rz) (Entered: 10/24/2016)
1992016-10-21 SEALED DOCUMENT placed in vault.(mps) (Entered: 10/24/2016)
2002016-10-21 SEALED DOCUMENT placed in vault.(mps) (Entered: 10/24/2016)
2012016-11-22 MANDATE of USCA (Certified Copy) USCA Case Number 16-2276.. Petitioners move pursuant to Federal Rule of Civil Procedure 23(f) for leave to appeal the district court's order granting Respondents motion for class certification. Petitioners also request leave to file a reply in further support of their Rule 23(f) petition. Upon due consideration, it is hereby ORDERED that the request to file a reply is GRANTED, and the proposed reply has been considered, but the Rule 23(f) petition is DENIED because an immediate appeal is unwarranted. See Sumitomo Copper Litig. v. Credit Lyonnais Rouse, Ltd., 262 F.3d 134, 139-40 (2d Cir. 2001).. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 11/22/2016. (nd) (Entered: 11/22/2016)
2022016-11-29 JOINT LETTER addressed to Judge Paul A. Crotty from All Counsel dated 11/29/2016 re: Agreement to Withdraw Without Prejudice Pending Motion to Preclude Expert Report and Testimony of John C. Coates IV [Dkt. No. 176]. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 11/29/2016)
2032016-11-30 MEMO ENDORSEMENT on re: 202 Joint Letter withdrawing 176 Motion to Preclude. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul A. Crotty on 11/30/2016) (kl) (Entered: 11/30/2016)
2042016-12-01 NOTICE of Withdrawal Without Prejudice of Lead Plaintiff's Motion to Exclude the Expert Report and Testimony of John C. Coates IV re: 176 MOTION to Preclude Expert Report and Testimony of John C. Coates IV.. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/01/2016)
2052016-12-14 MEMORANDUM OF LAW in Opposition re: 181 MOTION for Summary Judgment . (Redacted). Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/14/2016)
2062016-12-14 DECLARATION of Thomas C. White in Opposition re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3 (FILED UNDER SEAL), # 4 Exhibit 4 (FILED UNDER SEAL), # 5 Exhibit 5 (FILED UNDER SEAL), # 6 Exhibit 6 (FILED UNDER SEAL))(Tomaino, Michael) (Entered: 12/14/2016)
2072016-12-14 MEMORANDUM OF LAW in Opposition re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 12/14/2016)
2082016-12-14 DECLARATION of Allan W. Kleidon, Ph.D. in Opposition re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 12/14/2016)
2092016-12-14 MEMORANDUM OF LAW in Opposition re: 183 MOTION for Summary Judgment . Plaintiff's Memorandum of Law in Opposition to the Underwriter Defendants' Motion for Summary Judgment [Redacted]. Document filed by Dennis Askelson. (Brown, Andrew) (Entered: 12/14/2016)
2102016-12-14 RULE 56.1 STATEMENT. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/14/2016)
2112016-12-14 DECLARATION of Andrew J. Brown in Opposition re: 183 MOTION for Summary Judgment .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5 - 70 [Filed Under Seal])(Brown, Andrew) (Entered: 12/14/2016)
2122016-12-14 DECLARATION of Sharan Nirmul in Opposition re: 181 MOTION for Summary Judgment .. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/14/2016)
2132016-12-14 RULE 56.1 STATEMENT. Document filed by Dennis Askelson. (Brown, Andrew) (Entered: 12/15/2016)
2142016-12-15 DECLARATION of Sharan Nirmul in Opposition re: 181 MOTION for Summary Judgment .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2 (Filed Under Seal), # 3 Exhibit 3, # 4 Exhibit 4 (Filed Under Seal), # 5 Exhibit 5 Part 1, # 6 Exhibit 5 Part 2, # 7 Exhibit 6 (Filed Under Seal), # 8 Exhibit 7, # 9 Exhibit 8, # 10 Exhibit 9-36 (Filed Under Seal), # 11 Exhibit 37, # 12 Exhibit 38 (Filed Under Seal), # 13 Exhibit 39, # 14 Exhibit 40, # 15 Exhibits 41-49 (Filed Under Seal), # 16 Exhibit 50, # 17 Exhibits 51-52 (Filed Under Seal), # 18 Exhibit 53, # 19 Exhibit 54 (Filed Under Seal), # 20 Exhibit 55, # 21 Exhibit 56, # 22 Exhibit 57, # 23 Exhibit 58, # 24 Exhibits 59-63 (Filed Under Seal), # 25 Exhibit 64, # 26 Exhibit 65, # 27 Exhibit 66 (Filed Under Seal), # 28 Exhibit 67, # 29 Exhibits 68-70 (Filed Under Seal), # 30 Exhibit 71, # 31 Exhibits 72-82 (Filed Under Seal), # 32 Exhibit 83, # 33 Exhibit 84, # 34 Exhibit 85, # 35 Exhibit 86 Part 1, # 36 Exhibit 86 Part 2, # 37 Exhibit 86 Part 3, # 38 Exhibit 87, # 39 Exhibit 88, # 40 Exhibit 89, # 41 Exhibit 90, # 42 Exhibits 91-99 (Filed Under Seal), # 43 Exhibit 100, # 44 Exhibit 101, # 45 Exhibit 102, # 46 Exhibits 103-167 (Filed Under Seal), # 47 Exhibit 168, # 48 Exhibit 169, # 49 Exhibit 170 (Filed Under Seal), # 50 Exhibit 171, # 51 Exhibit 172, # 52 Exhibit 173, # 53 Exhibit 174, # 54 Exhibit 175 (Filed Under Seal), # 55 Exhibit 176, # 56 Exhibit 177, # 57 Exhibit 178, # 58 Exhibit 179, # 59 Exhibit 180, # 60 Exhibit 181, # 61 Exhibit 182, # 62 Exhibit 183, # 63 Exhibit 184, # 64 Exhibit 185, # 65 Exhibit 186, # 66 Exhibit 187, # 67 Exhibit 188, # 68 Exhibit 189, # 69 Exhibit 190, # 70 Exhibit 191, # 71 Exhibit 192, # 72 Exhibit 193, # 73 Exhibit 194, # 74 Exhibit 195, # 75 Exhibit 196, # 76 Exhibit 197, # 77 Exhibit 198, # 78 Exhibit 199, # 79 Exhibit 200, # 80 Exhibit 201, # 81 Exhibit 202, # 82 Exhibit 203, # 83 Exhibit 204, # 84 Exhibit 205, # 85 Exhibit 206, # 86 Exhibit 207, # 87 Exhibit 208, # 88 Exhibit 209, # 89 Exhibit 210, # 90 Exhibit 211, # 91 Exhibit 212, # 92 Exhibit 213, # 93 Exhibit 214, # 94 Exhibit 215, # 95 Exhibit 216 (Filed Under Seal), # 96 Exhibit 217, # 97 Exhibit 218, # 98 Exhibit 219, # 99 Exhibit 220, # 100 Exhibit 221, # 101 Exhibit 222, # 102 Exhibit 223-224 (Filed Under Seal), # 103 Exhibit 225, # 104 Exhibit 226 (Filed Under Seal), # 105 Exhibit 227, # 106 Exhibit 228-231 (Filed Under Seal), # 107 Exhibit 232, # 108 Exhibit 233-234 (Filed Under Seal))(Nirmul, Sharan) (Entered: 12/15/2016)
2152016-12-14 SEALED DOCUMENT placed in vault.(mps) (Entered: 12/15/2016)
2162016-12-14 SEALED DOCUMENT placed in vault.(mps) (Entered: 12/15/2016)
2172016-12-15 SEALED DOCUMENT placed in vault.(rz) (Entered: 12/15/2016)
2182016-12-23 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Conference addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated December 23, 2016. Document filed by Dennis Askelson.(Brown, Andrew) Modified on 12/27/2016 (db). (Entered: 12/23/2016)
2192016-12-27 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated December 23, 2016 re: plaintiff's intention to move to strike the Declaration of Allan W. Kleidon, Ph.D.. Document filed by Dennis Askelson.(Brown, Andrew) (Entered: 12/27/2016)
2202016-12-29 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated December 29, 2016 re: Plaintiff's December 23, 2016 Letter. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 12/29/2016)
2212017-01-03 MEMO ENDORSEMENT on re: 219 Letter filed by Dennis Askelson. ENDORSEMENT: Filing a motion to strike a 4 page declaration in a battle that has been going on for 7 years does not seem to be a wise expenditure of resources. Plaintiff will have an opportunity to rebut Kleidon's declaration in plaintiffs forthcoming reply brief in the Daubert Motion. The application is denied. So Ordered. (Signed by Judge Paul A. Crotty on 1/3/2017) (mov) (Entered: 01/03/2017)
2222017-01-11 REPLY MEMORANDUM OF LAW in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . . Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 01/11/2017)
2232017-01-11 REPLY MEMORANDUM OF LAW in Support re: 183 MOTION for Summary Judgment . (Redacted). Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 01/11/2017)
2242017-01-11 DECLARATION of Sharan Nirmul, dated January 11, 2017 in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Nirmul, Sharan) (Entered: 01/11/2017)
2252017-01-11 REPLY re: 213 Rule 56.1 Statement (Redacted). Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 01/11/2017)
2262017-01-11 DECLARATION of Matthew A. Peller in Support re: 181 MOTION for Summary Judgment .. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Tomaino, Michael) (Entered: 01/11/2017)
2272017-01-11 RULE 56.1 STATEMENT. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 01/11/2017)
2282017-01-11 REPLY MEMORANDUM OF LAW in Support re: 181 MOTION for Summary Judgment . . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 01/11/2017)
2292017-01-11 SEALED DOCUMENT placed in vault.(rz) (Entered: 01/12/2017)
2302017-01-11 SEALED DOCUMENT placed in vault.(rz) (Entered: 01/12/2017)
2312017-02-02 MOTION to Approve Form and Manner of Class Notice . Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Text of Proposed Order)(Zivitz, Andrew) (Entered: 02/02/2017)
2322017-02-02 JOINT LETTER addressed to Judge Paul A. Crotty from Counsel for all parties dated February 2, 2017 re: Class Notice. Document filed by Dennis Askelson.(Zivitz, Andrew) (Entered: 02/02/2017)
2332017-03-13 LETTER MOTION for Extension of Time re: Stipulation and Protective Order addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated 3/13/2017. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 03/13/2017)
2342017-03-13 ORDER granting 233 Letter Motion for Extension of Time. REMARK: The extension to 4/4/2017 is granted. SO ORDERED. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 03/13/2017)
2352017-04-04 LETTER MOTION for Extension of Time re: Stipulation and Protective Order addressed to Judge Paul A. Crotty from Scott D. Musoff dated 04/04/2017. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Musoff, Scott) (Entered: 04/04/2017)
2362017-04-05 ORDER granting 235 Letter Motion for Extension of Time. REMARK: Extension to 4/18/2017 is granted. SO ORDERED. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 04/05/2017)
2372017-04-24 ORDER GRANTING LEAD PLAINTIFF'S UNOPPOSED MOTION TO APPROVE THE FORM AND MANNER OF CLASS NOTICE granting 231 Motion to Approve. IT IS HEREBY ORDERED that the Motion is granted. The Court hereby amends the definition of the Class certified by the Order Granting Lead Plaintiffs' Motion for Class Certification dated June 9, 2016 (ECF No. 166) to exclude certain persons and entities. Accordingly, the Class is defined as: All persons or entities who purchased or otherwise acquired American Depositary Shares, Series 5, representing non-cumulative callable, dollar preference shares of Barclays, Series 5, pursuant or traceable to the public offering that commenced on or about April 8, 2008; and as further set forth herein. IT IS SO ORDERED. (Signed by Judge Paul A. Crotty on 4/24/2017) (anc) Modified on 4/26/2017 (anc). (Entered: 04/25/2017)
2382017-05-12 STIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys for the Parties, subject to the approval of the Court, that: 1. The MSJ Documents, which are listed below in paragraph 2, shall no longer be maintained under seal in the Court files; and 2. The Clerk of the Court is directed to unseal the MSJ Documents, as further set forth in this order. (Signed by Judge Paul A. Crotty on 5/12/2017) (ap) (Entered: 05/12/2017)
2392017-05-12 THE BARCLAYS DEFENDANTS' LOCAL RULE 56.1 STATEMENT OF MATERIAL FACTS AS TO WHICH THERE IS NO GENUINE ISSUE TO BE TRIED. This document was previously filed under seal in envelope doc. no. 198. Entry in this case only, as per Chambers. (rjm). (Entered: 05/22/2017)
2402017-05-12 DECLARATION OF THOMAS C. WHITE. This document was previously filed under seal in envelope doc. no. 198. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2412017-05-22 MEMORANDUM OF LAW IN SUPPORT OF THE BARCLAYS DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 198. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2422017-05-12 PLAINTIFF'S MEMORANDUM OF LAW IN OPPOSITION TO THE BARCLAYS DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 215. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2432017-05-12 PLAINTIFF'S RESPONSE TO THE BARCLAYS DEFENDANTS' LOCAL RULE 56.1 STATEMENT AND COUNTERSTATEMENT OF ADDITIONAL MATERIAL FACTS. This document was previously filed under seal in envelope doc. no. 215. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2442017-05-12 PLAINTIFF'S RESPONSE TO UNDERWRITER DEFENDANTS' LOCAL RULE 56.1 STATEMENT; FURTHER STATEMENT OF UNDISPUTED FACTS IN OPPOSITION TO THE UNDERWRITER DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 216. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2452017-05-12 DECLARATION OF ANDREW J. BROWN IN SUPPORT OF PLAINTIFF'S OPPOSITION TO UNDERWRITER DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 216. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2462017-05-12 PLAINTIFF'S MEMORANDUM OF LAW IN OPPOSITION TO THE UNDERWRITER DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 216. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2472017-05-12 THE UNDERWRITER DEFENDANTS' REPLY TO PLAINTIFF'S RESPONSES TO THEIR LOCAL RULE 56.1 STATEMENT AND RESPONSE TO PLAINTIFF'S ADDITIONAL STATEMENT OF FACTS. This document was previously filed under seal in envelope doc. no. 229. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2482017-05-12 REPLY MEMORANDUM IN FURTHER SUPPORT OF THE BARCLAYS DEFENDANTS MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 230. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2492017-05-12 THE BARCLAYS DEFENDANTS' REPLY AND OBJECTIONS TO "PLAINTIFF'S RESPONSE TO THE BARCLAYS DEFENDANTS' LOCAL RULE 56.1 STATEMENT AND COUNTERSTATEMENT OF ADDITIONAL MATERIAL FACTS." This document was previously filed under seal in envelope doc. no. 230. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)
2502017-05-30 MOTION for Menachem David Possick to Withdraw as Attorney . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 05/30/2017)
2512017-06-02 MEMO ENDORSED ORDER granting 250 Motion to Withdraw as Attorney. ENDORSEMENT: Request granted. SO ORDERED. (Attorney Menachem David Possick terminated.) (Signed by Judge Paul A. Crotty on 6/2/17) (yv) (Entered: 06/02/2017)
2522017-06-06 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul dated June 6, 2017 re: Class Notice opt-out deadline. Document filed by Dennis Askelson.(Nirmul, Sharan) (Entered: 06/06/2017)
2532017-06-27 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated June 27, 2017 re: 6/21/2017 2d Cir. decision in Stadnick v. Vivint Solar, Inc.. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit Stadnick v. Vivint Solar, Inc.)(Tomaino, Michael) (Entered: 06/27/2017)
2542017-07-05 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated July 5, 2017 re: response to defendants' June 27, 2017 letter re 2d Cir. decision in Vivent. Document filed by Dennis Askelson.(Brown, Andrew) (Entered: 07/05/2017)
2552017-07-31 DECLARATION of Carole K. Sylvester, on Behalf of Gilardi & Co. LLC in Support re: 231 MOTION to Approve Form and Manner of Class Notice .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Niehaus, Eric) (Entered: 07/31/2017)
2562017-08-01 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated August 1, 2017 re: 7/7/2017 2d Cir. decision in In re Petrobras.. Document filed by Dennis Askelson.(Nirmul, Sharan) (Entered: 08/01/2017)
2572017-08-03 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. and Jay B. Kasner dated August 3, 2017 re: Plaintiff's August 1, 2017 Letter. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC.(Tomaino, Michael) (Entered: 08/03/2017)
2582017-09-13 OPINION & ORDER re: 183 MOTION for Summary Judgment . filed by Wachovia Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, Banc of America Securities LLC, RBC Dain Rauscher Inc., UBS Securities LLC, Barclays Capital Securities Limited, 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . filed by Dennis Askelson, 181 MOTION for Summary Judgment . filed by Christopher Lucas, David G. Booth, Richard Leigh Clifford, John Silvester Varley, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Gary A. Hoffman, Daniel Cronje, Stephen George Russell, Marcus Agius, Dame Sandra J.N. Dawson, Andrew Likierman, Barclays PLC, John Michael Sunderland, Frederik Seegers, Fulvio Conti. The Court GRANTS Barclays' and Underwriters' motions for summary judgment (ECF 181 and ECF 183); and DENIES Plaintiff's motion to exclude expert the opinions of Allan W. Kleidon, Ph.D. (ECF 175). The Clerk of Court is directed to enter judgment in favor of Defendants, terminate all open motions, and close this action. (Signed by Judge Paul A. Crotty on 9/13/2017) (kgo) (Entered: 09/13/2017)
2592017-09-14 CLERK'S JUDGMENT: That for the reasons stated in the Court's Opinion and Order dated July 13, 2017, Barclays' and Underwriters' motions for summary judgment is granted and Plaintiff's motion to exclude expert the opinion of Allan W. Kleindon, PhD is denied; judgment is hereby entered in favor of Defendants and this action is closed. (Signed by Clerk of Court Ruby Krajick on 09/14/2017) (Attachments: # 1 Notice of Right to Appeal, # 2 Notice of Right to Appeal)(dt) (Entered: 09/14/2017)
2602017-10-12 NOTICE OF APPEAL from 259 Clerk's Judgment,, 258 Memorandum & Opinion,,,,,. Document filed by Dennis Askelson. Filing fee $ 505.00, receipt number 0208-14238537. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Brown, Andrew) (Entered: 10/12/2017)