Wu et al v. Prudential Financial, Inc. et al

Federal Civil Lawsuit Illinois Northern District Court, Case No. 1:15-cv-02238
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Last Updated July 26, 2017 at 7:33 PM EDT (8.8 years ago) Update UpdateSpaceE-Mail Alert AlertsSpaceJump Jump
Summary

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Parties
No Logo Christine T. Wu, Plaintiff

Represented by Hagens Berman Sobol Shapiro LLP

Name Phone Fax E-Mail
Space Christine T. Wu +1 630 747 8137 christinetnwu@gmail.com
No Logo Michael H. Wu, Plaintiff

Represented by Hagens Berman Sobol Shapiro LLP

Name Phone Fax E-Mail
Space Michael H. Wu +1 630 747 0394 mhw2000usa@gmail.com
v.
Citigroup Global Markets, Inc. Citigroup Global Markets, Inc., Defendant
No Logo John P. Havens, Defendant
No Logo John Robert Strangfeld, Jr., Defendant

Represented by Scarf Banks Marmor LLC

Name Phone Fax E-Mail
Space George D Sax +1 312 726 6000 gsax@scharfbanks.com

Represented by Scharf Banks Marmor LLC

Name Phone Fax E-Mail
Space Stephanie Ann Scharf +1 312 726 6000 +MDL TER MINATED sscharf@scharfbanks.com
No Logo LSV Asset Management, Defendant

Represented by Winston & Strawn, LLP

Name Phone Fax E-Mail
Space Norman K. Beck +1 312 558 5600 nbeck@winston.com
Space Cristina Covarrubias +1 312 558 9504 ccovarrubias@winston.com
No Logo Mark Brown Grier, Defendant

Represented by Scarf Banks Marmor LLC

Name Phone Fax E-Mail
Space George D Sax +1 312 726 6000 gsax@scharfbanks.com

Represented by Scharf Banks Marmor LLC

Name Phone Fax E-Mail
Space Stephanie Ann Scharf +1 312 726 6000 +MDL TER MINATED sscharf@scharfbanks.com
No Logo Marsico Capital Management, LLC, Defendant

Represented by Winston & Strawn, LLP

Name Phone Fax E-Mail
Space Norman K. Beck +1 312 558 5600 nbeck@winston.com
Space Cristina Covarrubias +1 312 558 9504 ccovarrubias@winston.com
No Logo Pruco Life Insurance Company, Defendant

Represented by Scarf Banks Marmor LLC

Name Phone Fax E-Mail
Space George D Sax +1 312 726 6000 gsax@scharfbanks.com

Represented by Scharf Banks Marmor LLC

Name Phone Fax E-Mail
Space Stephanie Ann Scharf +1 312 726 6000 +MDL TER MINATED sscharf@scharfbanks.com
No Logo Prudential Financial, Inc., Defendant
Officer/Director, Havenwood Ventures Inc
Officer/Director, Tortoise Mlp Corp.

Represented by Scarf Banks Marmor LLC

Name Phone Fax E-Mail
Space George D Sax +1 312 726 6000 gsax@scharfbanks.com

Represented by Scharf Banks Marmor LLC

Name Phone Fax E-Mail
Space Stephanie Ann Scharf +1 312 726 6000 +MDL TER MINATED sscharf@scharfbanks.com
No Logo Richard J. Carbone, Defendant

Represented by Scarf Banks Marmor LLC

Name Phone Fax E-Mail
Space George D Sax +1 312 726 6000 gsax@scharfbanks.com

Represented by Scharf Banks Marmor LLC

Name Phone Fax E-Mail
Space Stephanie Ann Scharf +1 312 726 6000 +MDL TER MINATED sscharf@scharfbanks.com
No Logo T ROWE PRICE ASSOCIATES Inc., Defendant

Represented by Rock Fusco & Connelly, LLC

Name Phone Fax E-Mail
Space Brandon A Carnes +1 312 494 1000 bcarnes@rfclaw.com
Space Patrick W. Chinnery +1 312 494 1000 pchinnery@rockfuscoconnelly.com
Space Matthew Patrick Connelly +1 312 494 1000 +1 312 494 1001 mpc@rockfuscoconnelly.com
No Logo William Blair And Company, LLC, Defendant

Represented by Winston & Strawn, LLP

Name Phone Fax E-Mail
Space Norman K. Beck +1 312 558 5600 nbeck@winston.com
Space Cristina Covarrubias +1 312 558 9504 ccovarrubias@winston.com
Attributes
Timeline
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Legal Document (Payment Possibly Required) 76 Filed: 8/26/2015, Entered: None Order on Motion to Withdraw as Attorney
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Legal Document (Payment Possibly Required) 72 Filed: 8/21/2015, Entered: None Withdraw as Attorney
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Legal Document (Payment Possibly Required) 71 Filed: 8/21/2015, Entered: None Withdraw as Attorney
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Legal Document (Payment Possibly Required) 70 Filed: 8/18/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 68 Filed: 7/29/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 67 Filed: 7/29/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 62 Filed: 7/24/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 56 Filed: 6/26/2015, Entered: None Order on Motion to Set Aside
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Legal Document (Payment Possibly Required) 55 Filed: 6/19/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 51 Filed: 6/18/2015, Entered: None Set Aside
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Legal Document (Payment Possibly Required) 50 Filed: 6/18/2015, Entered: None Set Aside
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Legal Document (Payment Possibly Required) 48 Filed: 5/21/2015, Entered: None Judgment - AO450
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Legal Document (Payment Possibly Required) 47 Filed: 5/21/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 46 Filed: 5/21/2015, Entered: None Order on Motion to Seal
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Legal Document (Payment Possibly Required) 41 Filed: 5/13/2015, Entered: None Dismiss for Failure to State a Claim
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Legal Document (Payment Possibly Required) 39 Filed: 5/12/2015, Entered: None Seal
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Legal Document (Payment Possibly Required) 35 Filed: 5/7/2015, Entered: None Dismiss for Failure to State a Claim
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Legal Document (Payment Possibly Required) 32 Filed: 5/4/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 31 Filed: 5/1/2015, Entered: None Unknown Document Type
NOTICE of Motion by Norman K. Beck for presentment of motion to dismiss 28 before Honorable Milton I. Shadur on 5/18/2015 at 09:15 AM. (Beck, Norman) (Entered: 05/01/2015)
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Legal Document (Payment Possibly Required) 30 Filed: 5/1/2015, Entered: None Unknown Document Type
NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by Richard J. Carbone, Mark Brown Grier, Pruco Life Insurance Company, Prudential Financial, Inc., John Robert Strangfeld, Jr (Sax, George) (Entered: 05/01/2015)
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Blank 29 Filed: 5/1/2015, Entered: None Unknown Document Type
MEMORANDUM by LSV Asset Management, Marsico Capital Management LLC, William Blair & Company LLC in support of motion to dismiss 28 and for assessment of costs under Rule 41(D) (Attachments: # 1 Exhibit A-E)(Beck, Norman) (Entered: 05/01/2015)
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Legal Document (Payment Possibly Required) 28 Filed: 5/1/2015, Entered: None Dismiss
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Legal Document (Payment Possibly Required) 27 Filed: 5/1/2015, Entered: None Unknown Document Type
NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by William Blair & Company LLC (Beck, Norman) (Entered: 05/01/2015)
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Legal Document (Payment Possibly Required) 26 Filed: 5/1/2015, Entered: None Unknown Document Type
NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by Marsico Capital Management LLC (Beck, Norman) (Entered: 05/01/2015)
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Legal Document (Payment Possibly Required) 25 Filed: 5/1/2015, Entered: None Unknown Document Type
NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by LSV Asset Management (Beck, Norman) (Entered: 05/01/2015)
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Legal Document (Payment Possibly Required) 24 Filed: 5/1/2015, Entered: None Unknown Document Type
EXHIBIT by Defendants Richard J. Carbone, Mark Brown Grier, Pruco Life Insurance Company, Prudential Financial, Inc., John Robert Strangfeld, Jr regarding memorandum in support of motion, 22 , notice of motion 23 , MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM 20 (Attachments: # 1 Exhibit B-Brochure, # 2 Exhibit C-Prospectus 1 of 4, # 3 Exhibit C-Prospectus 2 of 4, # 4 Exhibit C-Prospectus 3 of 4, # 5 Exhibit C-Prospectus 4 of 4, # 6 Exhibit D-Application, # 7 Exhibit E-Transcript, # 8 Exhibit F-Registration Statement)(Sax, George) (Entered: 05/01/2015)
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Legal Document (Payment Possibly Required) 23 Filed: 5/1/2015, Entered: None Unknown Document Type
Amended NOTICE of Motion by George D Sax for presentment of Motion to Dismiss for Failure to State a Claim 20 before Honorable Milton I. Shadur on 5/18/2015 at 09:15 AM. (Sax, George) (Entered: 05/01/2015)
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Legal Document (Payment Possibly Required) 22 Filed: 4/30/2015, Entered: None Unknown Document Type
MEMORANDUM by Richard J. Carbone, Mark Brown Grier, Pruco Life Insurance Company, Prudential Financial, Inc., John Robert Strangfeld, Jr in support of Motion to Dismiss for Failure to State a Claim 20 (Attachments: # 1 Appendix Unreported Cases)(Sax, George) (Entered: 04/30/2015)
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Legal Document (Payment Possibly Required) 21 Filed: 4/30/2015, Entered: None Unknown Document Type
NOTICE of Motion by George D Sax for presentment of Motion to Dismiss for Failure to State a Claim 20 before Honorable Milton I. Shadur on 5/6/2015 at 09:15 AM. (Sax, George) (Entered: 04/30/2015)
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Legal Document (Payment Possibly Required) 20 Filed: 4/30/2015, Entered: None Dismiss for Failure to State a Claim
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Legal Document (Payment Possibly Required) 19 Filed: 4/9/2015, Entered: None Unknown Document Type
WAIVER OF SERVICE returned executed by Christine T. Wu, Michael H. Wu. Richard J. Carbone waiver sent on 3/16/2015, answer due 5/15/2015; Mark Brown Grier waiver sent on 3/16/2015, answer due 5/15/2015; Pruco Life Insurance Company waiver sent on 3/16/2015, answer due 5/15/2015; Prudential Financial, Inc. waiver sent on 3/16/2015, answer due 5/15/2015; John Robert Strangfeld, Jr waiver sent on 3/16/2015, answer due 5/15/2015. (Attachments: # 1 Waiver of Service Executed - John Robert Stranfeld, Jr., # 2 Waiver of Service Executed - Mark Brown Grier, # 3 Waiver of Service Executed - Richard J. Carbone, # 4 Waiver of Service Executed - Pruco Life Insurance Company)(sxw, ) (Entered: 04/13/2015)
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Legal Document (Payment Possibly Required) 18 Filed: 4/9/2015, Entered: None Unknown Document Type
WAIVER OF SERVICE returned executed by Citigroup Global Markets, Inc.. Citigroup Global Markets, Inc. waiver sent on 3/16/2015, answer due 5/15/2015. (Bahcall, Miriam) (Entered: 04/09/2015)
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Legal Document (Payment Possibly Required) 17 Filed: 4/9/2015, Entered: None Unknown Document Type
WAIVER OF SERVICE returned executed by John P. Havens. John P. Havens waiver sent on 3/16/2015, answer due 5/15/2015. (Bahcall, Miriam) (Entered: 04/09/2015)
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Legal Document (Payment Possibly Required) 16 Filed: 3/24/2015, Entered: None
NOTICE of Filing by Christine T. Wu, Michael H. Wu re: 15 . (sxw) (Entered: 03/25/2015)
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Legal Document (Payment Possibly Required) 15 Filed: 3/25/2015, Entered: None Amended Complaint
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Blank 15 Filed: 3/24/2015, Entered: None
AMENDED Complaint by Christine T. Wu, Michael H. Wu against all Defendants; (Exhibits). (sxw) (Entered: 03/25/2015)
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Legal Document (Payment Possibly Required) 14 Filed: 3/25/2015, Entered: None
ATTORNEY Appearance for Defendants Richard J. Carbone, Mark Brown Grier, Pruco Life Insurance Company, Prudential Financial, Inc., John Robert Strangfeld, Jr by George D Sax (Sax, George) (Entered: 03/25/2015)
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Legal Document (Payment Possibly Required) 13 Filed: 3/25/2015, Entered: None
ATTORNEY Appearance for Defendants Richard J. Carbone, Mark Brown Grier, Pruco Life Insurance Company, Prudential Financial, Inc., John Robert Strangfeld, Jr by Stephanie Ann Scharf (Scharf, Stephanie) (Entered: 03/25/2015)
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Legal Document (Payment Possibly Required) 12 Filed: 3/23/2015, Entered: None
WAIVER OF SERVICE returned executed by Christine T. Wu, Michael H. Wu. LSV Asset Management waiver sent on 3/16/2015, answer due 5/15/2015; Marsico Capital Management LLC waiver sent on 3/16/2015, answer due 5/15/2015; T. Rowe Price Associates, Inc. waiver sent on 3/16/2015, answer due 5/15/2015; William Blair & Company LLC waiver sent on 3/16/2015, answer due 5/15/2015. (Attachments: # 1 Waiver of Service of Marisco Capital Management LLC, # 2 Waiver of Service of William Blair & Company LLC, # 3 Waiver of Service of T. Rowe Price Associates, Inc.) (sxw) (Entered: 03/25/2015)
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Legal Document (Payment Possibly Required) 11 Filed: 3/25/2015, Entered: None
ATTORNEY Appearance for Defendants LSV Asset Management, Marsico Capital Management LLC, William Blair & Company LLC by Cristina Covarrubias (Covarrubias, Cristina) (Entered: 03/25/2015)
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Legal Document (Payment Possibly Required) 10 Filed: 3/25/2015, Entered: None
ATTORNEY Appearance for Defendants LSV Asset Management, Marsico Capital Management LLC, William Blair & Company LLC by Norman K. Beck (Beck, Norman) (Entered: 03/25/2015)
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Legal Document (Payment Possibly Required) 9 Filed: 3/23/2015, Entered: None memorandum opinion and order
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Legal Document (Payment Possibly Required) 8 Filed: 3/17/2015, Entered: None
ATTORNEY Appearance for Defendant T. Rowe Price Associates, Inc. by Brandon Allen Carnes (Carnes, Brandon) (Entered: 03/17/2015)
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Legal Document (Payment Possibly Required) 7 Filed: 3/17/2015, Entered: None
ATTORNEY Appearance for Defendant T. Rowe Price Associates, Inc. by Patrick William Chinnery (Chinnery, Patrick) (Entered: 03/17/2015)
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Legal Document (Payment Possibly Required) 6 Filed: 3/17/2015, Entered: None
ATTORNEY Appearance for Defendant T. Rowe Price Associates, Inc. by Matthew Patrick Connelly (Connelly, Matthew) (Entered: 03/17/2015)
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Legal Document (Payment Possibly Required) 5 Filed: 3/13/2015, Entered: None
PRO SE Appearance by Plaintiff Christine T. Wu. (sxw) (Entered: 03/17/2015)
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Legal Document (Payment Possibly Required) 4 Filed: 3/13/2015, Entered: None
PRO SE Appearance by Plaintiff Michael H. Wu. (sxw) (Entered: 03/17/2015)
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Legal Document (Payment Possibly Required) 2 Filed: 3/13/2015, Entered: None
CIVIL Cover Sheet. (sxw) (Entered: 03/17/2015)
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Legal Document (Payment Possibly Required) 1 Filed: 3/17/2015, Entered: None Complaint
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Blank 1 Filed: 3/13/2015, Entered: None
COMPLAINT filed by Christine T. Wu, Michael H. Wu; Jury Demand; (Exhibits). (sxw) (Entered: 03/17/2015)
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