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 196 |
Filed: 4/30/2021, Entered: None |
Rule 7.1 Corporate Disclosure Statement |
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| 135 |
Filed: 10/15/2015, Entered: None |
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ORDER: Accordingly, the Clerk of the Court is directed to consolidate the above-captioned actions under Case No. 15 Civ. 5794 (PGG). SO ORDERED. (Signed by Judge Paul G. Gardephe on 10/15/2015) Filed In Associated Cases: 1:15-cv-05794-PGG et al.(ama) (Entered: 10/15/2015)
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Request |
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| 134 |
Filed: 10/9/2015, Entered: None |
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ORDER ON MOTION FOR ADMISSION PRO HAC VICE granting 121 Motion for Brian O. O'Mara to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 10/8/2015) (mro) (Entered: 10/09/2015)
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| 133 |
Filed: 10/9/2015, Entered: None |
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ORDER ON MOTION FOR ADMISSION PRO HAC VICE granting 122 Motion for David W. Mitchell to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 10/8/2015) (mro) (Entered: 10/09/2015)
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| 132 |
Filed: 10/9/2015, Entered: None |
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ORDER FOR ADMISSION PRO HAC VICE granting 124 Motion for William J. Kolasky to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 10/08/2015) (ama) (Entered: 10/09/2015)
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| 131 |
Filed: 10/6/2015, Entered: None |
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NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of UBS Securities LLC. (Kirsch, Mark) (Entered: 10/06/2015)
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| 130 |
Filed: 10/6/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent UBS AG, Corporate Parent UBS Americas, Inc., Other Affiliate UBS Group AG for UBS Securities LLC. Document filed by UBS Securities LLC.(Levin, Gabrielle) (Entered: 10/06/2015)
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| 129 |
Filed: 10/6/2015, Entered: None |
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NOTICE OF APPEARANCE by Gabrielle Frances Levin on behalf of UBS Securities LLC. (Levin, Gabrielle) (Entered: 10/06/2015)
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| 128 |
Filed: 10/5/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Nomura Holdings, Inc., Corporate Parent Nomura Holding America Inc. for Nomura Securities International, Inc.. Document filed by Nomura Securities International, Inc..(Holley, Steven) (Entered: 10/05/2015)
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| 127 |
Filed: 10/5/2015, Entered: None |
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NOTICE OF APPEARANCE by Steven Lyon Holley on behalf of Nomura Securities International, Inc.. (Holley, Steven) (Entered: 10/05/2015)
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| 126 |
Filed: 10/5/2015, Entered: None |
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NOTICE OF APPEARANCE by Amanda Flug Davidoff on behalf of Nomura Securities International, Inc.. (Davidoff, Amanda) (Entered: 10/05/2015)
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| 125 |
Filed: 10/2/2015, Entered: None |
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ORDER: The Clerk of the Court is directed to consolidate the above-captioned action under Case No. 15 Civ. 5794 (PGG). (Signed by Judge Paul G. Gardephe on 9/30/2015) (spo) (Entered: 10/02/2015)
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| 124 |
Filed: 9/29/2015, Entered: None |
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MOTION for William J. Kolasky to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11445879. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Cantor Fitzgerald & Co.. (Attachments: # 1 Exhibit 1 - Certificate of Good Standing, # 2 Text of Proposed Order)(Kolasky, William) (Entered: 09/29/2015)
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| 123 |
Filed: 9/28/2015, Entered: None |
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LETTER addressed to Judge Paul G. Gardephe from Patrick J. Coughlin dated September 28, 2015 re: Your Honor's September 24, 2015 letter. Document filed by Employees Retirement System of Rhode Island.(Coughlin, Patrick) (Entered: 09/28/2015)
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| 122 |
Filed: 9/25/2015, Entered: None |
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MOTION for David W. Mitchell to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11435715. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Employees Retirement System of Rhode Island. (Attachments: # 1 Exhibit A - Certificate of Good Standing, # 2 Text of Proposed Order)(Mitchell, David) (Entered: 09/25/2015)
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| 121 |
Filed: 9/25/2015, Entered: None |
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MOTION for Brian O. O'Mara to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11435705. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Employees Retirement System of Rhode Island. (Attachments: # 1 Exhibit A - Certificate of Good Standing, # 2 Text of Proposed Order)(O'Mara, Brian) (Entered: 09/25/2015)
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| 120 |
Filed: 9/25/2015, Entered: None |
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NOTICE OF APPEARANCE by Matthew Alexander Schwartz on behalf of Barclays Capital Inc.. (Schwartz, Matthew) (Entered: 09/25/2015)
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| 119 |
Filed: 9/25/2015, Entered: None |
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LETTER addressed to Judge Paul G. Gardephe from Robert Y. Sperling dated 9/25/2015 re: 9/3/2015 consolidation order, and Court's 9/24/2015 request for parties' positions on consolidation, on behalf of all Defendants. Document filed by Goldman, Sachs & Co..(Sperling, Robert) (Entered: 09/25/2015)
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| 118 |
Filed: 9/24/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley Capital Management, LLC, Corporate Parent Morgan Stanley Domestic Holdings, Inc., Corporate Parent Morgan Stanley, Other Affiliate Mitsubishi UFJ Financial Group, Inc., 7-1 Marunouchi 2-chrome, Chiyoda-ku, Tokyo 100-8330 for Morgan Stanley & Co. LLC. Document filed by Morgan Stanley & Co. LLC.(Karp, Brad) (Entered: 09/24/2015)
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| 117 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Kenneth Anthony Gallo on behalf of Morgan Stanley & Co. LLC. (Gallo, Kenneth) (Entered: 09/24/2015)
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| 116 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Susanna Michele Buergel on behalf of Morgan Stanley & Co. LLC. (Buergel, Susanna) (Entered: 09/24/2015)
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| 115 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Richard A. Rosen on behalf of Morgan Stanley & Co. LLC. (Rosen, Richard) (Entered: 09/24/2015)
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| 114 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Brad Scott Karp on behalf of Morgan Stanley & Co. LLC. (Karp, Brad) (Entered: 09/24/2015)
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| 113 |
Filed: 9/24/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent TD Holdings II Inc., Other Affiliate The Toronto-Dominion Bank, Other Affiliate Toronto Dominion Holdings (U.S.A.), Inc. for TD Securities (USA) LLC. Document filed by TD Securities (USA) LLC.(Miller, Pamela) (Entered: 09/24/2015)
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| 112 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Pamela Addison Miller on behalf of TD Securities (USA) LLC. (Miller, Pamela) (Entered: 09/24/2015)
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| 111 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Edward Nathaniel Moss on behalf of TD Securities (USA) LLC. (Moss, Edward) (Entered: 09/24/2015)
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| 110 |
Filed: 9/24/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Cantor Fitzgerald & Co..(Popok, Michael) (Entered: 09/24/2015)
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| 109 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Michael Steven Popok on behalf of Cantor Fitzgerald & Co.. (Popok, Michael) (Entered: 09/24/2015)
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| 108 |
Filed: 9/24/2015, Entered: None |
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NOTICE OF APPEARANCE by David A. Paul on behalf of Cantor Fitzgerald & Co.. (Paul, David) (Entered: 09/24/2015)
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| 107 |
Filed: 9/24/2015, Entered: None |
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STIPULATION SETTING TIME FOR DEFENDANTS TO ANSWER, MOVE, OR OTHERWISE RESPOND TO THE COMPLAINT AND FOR THE PARTIES TO PROPOSE CERTAIN CASE MANAGEMENT DATES: IT IS HEREBY STIPULATED AND AGREED: 1. The undersigned counsel accept service of the complaint in the above-captioned lawsuit on behalf of their respective clients, expressly reserving the right to contest whether any party in the complaint is properly named, and without waiver of any defenses, including those related to personal jurisdiction and venue, except as to the sufficiency of process and the service of process. 2. Defendants' time to answer, move or otherwise respond to the complaint is hereby suspended until such time as the United States District Court for the Southern District of New York or any other court to which the case is assigned enters an order coordinating or consolidating the foregoing cases and any Related Actions, provided that: upon resolution of proceedings concerning coordination or consolidation of the foregoing cases and any Related Actions, the parties shall confer in good faith regarding a proposed schedule for filing and responding to any consolidated complaint. 3. If Defendants' time to answer, move, or otherwise respond to a complaint in any Related Action or other pending action is not similarly suspended pending the coordination or consolidation proceedings, the parties shall meet and confer in good faith concerning the schedule in this action, with each side preserving all rights to apply to this Court or any other Court of competent jurisdiction for appropriate relief. 4. The undersigned counsel further agree, subject to the approval of the Court, to extend, until at least 60 days after the foregoing cases and any Related Actions have been coordinated or consolidate and any lead and liaison counsel have been identified for the proceedings, the time for submitting the proposed Case Management Plan specific in the Court's Pretrial Conference Notice. (As further set forth in this Stipulation.) (Signed by Judge Paul G. Gardephe on 9/24/2015) (mro) Modified on 9/24/2015 (mro). (Entered: 09/24/2015)
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| 106 |
Filed: 9/24/2015, Entered: None |
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ORDER: The parties will make a submission by September 28, 2015, addressing whether they object to the consolidation of the above-captioned cases with fourteen related class actions under Case No. 15 Civ. 5794 (PGG). (Signed by Judge Paul G. Gardephe on 9/24/2015) (mro) (Entered: 09/24/2015)
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| 105 |
Filed: 9/23/2015, Entered: None |
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NOTICE OF APPEARANCE by Malik Havalic on behalf of Cantor Fitzgerald & Co.. (Havalic, Malik) (Entered: 09/23/2015)
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| 104 |
Filed: 9/23/2015, Entered: None |
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NOTICE OF APPEARANCE by Ethan Edward Litwin on behalf of Cantor Fitzgerald & Co.. (Litwin, Ethan) (Entered: 09/23/2015)
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| 103 |
Filed: 9/22/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Jefferies Group LLC, Corporate Parent Limestone Merger Sub LLC, Corporate Parent Leucadia National Corporation for Jefferies LLC. Document filed by Jefferies LLC.(Schacter, Kenneth) (Entered: 09/22/2015)
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| 102 |
Filed: 9/22/2015, Entered: None |
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NOTICE OF APPEARANCE by Kenneth Ian Schacter on behalf of Jefferies LLC. (Schacter, Kenneth) (Entered: 09/22/2015)
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| 101 |
Filed: 9/22/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Royal Bank of Scotland Group PLC for RBS Securities Inc.. Document filed by RBS Securities Inc..(Cohen, Joel) (Entered: 09/22/2015)
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| 100 |
Filed: 9/22/2015, Entered: None |
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NOTICE OF APPEARANCE by Melissa Carrie King on behalf of RBS Securities Inc.. (King, Melissa) (Entered: 09/22/2015)
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| 99 |
Filed: 9/22/2015, Entered: None |
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NOTICE OF APPEARANCE by Greg Donald Andres on behalf of RBS Securities Inc.. (Andres, Greg) (Entered: 09/22/2015)
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| 98 |
Filed: 9/22/2015, Entered: None |
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NOTICE OF APPEARANCE by Joel Murray Cohen on behalf of RBS Securities Inc.. (Cohen, Joel) (Entered: 09/22/2015)
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| 97 |
Filed: 9/22/2015, Entered: None |
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NOTICE OF APPEARANCE by Todd Steven Fishman on behalf of SG Americas Securities, LLC. (Fishman, Todd) (Entered: 09/22/2015)
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| 96 |
Filed: 9/22/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Societe Generale for SG Americas Securities, LLC. Document filed by SG Americas Securities, LLC.(Esseks, David) (Entered: 09/22/2015)
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| 95 |
Filed: 9/22/2015, Entered: None |
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NOTICE OF APPEARANCE by David C. Esseks on behalf of SG Americas Securities, LLC. (Esseks, David) (Entered: 09/22/2015)
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| 94 |
Filed: 9/18/2015, Entered: None |
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NOTICE OF APPEARANCE by Randi Dawn Bandman on behalf of Employees Retirement System of Rhode Island. (Bandman, Randi) (Entered: 09/18/2015)
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| 93 |
Filed: 9/18/2015, Entered: None |
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NOTICE OF APPEARANCE by Patrick Joseph Coughlin on behalf of Employees Retirement System of Rhode Island. (Coughlin, Patrick) (Entered: 09/18/2015)
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| 92 |
Filed: 9/17/2015, Entered: None |
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ORDER ON MOTION TO ADMIT COUNSEL PRO HAC VICE granting 89 Motion for Elizabeth P. Papez to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 9/17/2015) (ama) (Entered: 09/17/2015)
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| 91 |
Filed: 9/17/2015, Entered: None |
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ORDER ON MOTION TO ADMIT COUNSEL PRO HAC VICE granting 88 Motion for Robert Y. Sperling to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 9/17/2015) (ama) (Entered: 09/17/2015)
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| 90 |
Filed: 9/11/2015, Entered: None |
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NOTICE OF APPEARANCE by Susannah Providence Torpey on behalf of Goldman, Sachs & Co.. (Torpey, Susannah) (Entered: 09/11/2015)
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| 89 |
Filed: 9/11/2015, Entered: None |
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MOTION for Elizabeth P. Papez to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11378419. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman, Sachs & Co.. (Attachments: # 1 Ex. A - Certificates of Good Standing, # 2 Text of Proposed Order)(Papez, Elizabeth) (Entered: 09/11/2015)
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| 88 |
Filed: 9/11/2015, Entered: None |
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MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11378308. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman, Sachs & Co.. (Attachments: # 1 Ex. A - Certificate of Good Standing, # 2 Text of Proposed Order)(Sperling, Robert) (Entered: 09/11/2015)
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| 87 |
Filed: 9/11/2015, Entered: None |
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NOTICE OF APPEARANCE by Jonathan Lucas Shapiro on behalf of Goldman, Sachs & Co.. (Shapiro, Jonathan) (Entered: 09/11/2015)
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| 86 |
Filed: 9/11/2015, Entered: None |
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NOTICE OF APPEARANCE by Stephen Ehrenberg on behalf of Goldman, Sachs & Co.. (Ehrenberg, Stephen) (Entered: 09/11/2015)
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| 85 |
Filed: 9/11/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent The Goldman Sachs Group, Inc. for Goldman, Sachs & Co.. Document filed by Goldman, Sachs & Co..(Shane, Penny) (Entered: 09/11/2015)
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| 84 |
Filed: 9/11/2015, Entered: None |
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NOTICE OF APPEARANCE by Penny Shane on behalf of Goldman, Sachs & Co.. (Shane, Penny) (Entered: 09/11/2015)
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| 83 |
Filed: 9/10/2015, Entered: None |
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NOTICE OF APPEARANCE by Kathleen Suzanne McArthur on behalf of Barclays Capital Inc.. (McArthur, Kathleen) (Entered: 09/10/2015)
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| 82 |
Filed: 9/10/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BARCLAYS BANK PLC, Corporate Parent Barclays Group U.S., Inc. for Barclays Capital Inc.. Document filed by Barclays Capital Inc..(Braff, David) (Entered: 09/10/2015)
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| 81 |
Filed: 9/10/2015, Entered: None |
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NOTICE OF APPEARANCE by David Harold Braff on behalf of Barclays Capital Inc.. (Braff, David) (Entered: 09/10/2015)
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| 80 |
Filed: 9/10/2015, Entered: None |
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NOTICE OF APPEARANCE by John D. Friel on behalf of BMO Capital Markets Corp.. (Friel, John) (Entered: 09/10/2015)
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| 79 |
Filed: 9/10/2015, Entered: None |
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NOTICE OF APPEARANCE by David J. Yeres on behalf of BMO Capital Markets Corp.. (Yeres, David) (Entered: 09/10/2015)
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| 78 |
Filed: 9/10/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Bank of Montreal for BMO Capital Markets Corp.. Document filed by BMO Capital Markets Corp..(Houck, Robert) (Entered: 09/10/2015)
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| 77 |
Filed: 9/10/2015, Entered: None |
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NOTICE OF APPEARANCE by Robert G. Houck on behalf of BMO Capital Markets Corp.. (Houck, Robert) (Entered: 09/10/2015)
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| 76 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Sophie Charlotte Rohnke on behalf of RBC Capital Markets, LLC. (Rohnke, Sophie) (Entered: 09/09/2015)
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| 75 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Leah Friedman on behalf of RBC Capital Markets, LLC. (Friedman, Leah) (Entered: 09/09/2015)
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| 74 |
Filed: 9/9/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Royal Bank of Canada for RBC Capital Markets, LLC. Document filed by RBC Capital Markets, LLC.(Fishman, Marshall) (Entered: 09/09/2015)
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| 73 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Marshall Howard Fishman on behalf of RBC Capital Markets, LLC. (Fishman, Marshall) (Entered: 09/09/2015)
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| 72 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Patrick Joseph Campbell on behalf of Deutsche Bank Securities Inc.. (Campbell, Patrick) (Entered: 09/09/2015)
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| 71 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Omari Largos Royter Mason on behalf of Deutsche Bank Securities Inc.. (Mason, Omari) (Entered: 09/09/2015)
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| 70 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Shannon Price Torres on behalf of Deutsche Bank Securities Inc.. (Torres, Shannon) (Entered: 09/09/2015)
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| 69 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by David Elbaum on behalf of Deutsche Bank Securities Inc.. (Elbaum, David) (Entered: 09/09/2015)
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| 68 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Jeffrey H. Knox on behalf of Deutsche Bank Securities Inc.. (Knox, Jeffrey) (Entered: 09/09/2015)
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| 67 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by David J. Woll on behalf of Deutsche Bank Securities Inc.. (Woll, David) (Entered: 09/09/2015)
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| 66 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Thomas C. Rice on behalf of Deutsche Bank Securities Inc.. (Rice, Thomas) (Entered: 09/09/2015)
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| 65 |
Filed: 9/9/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent DB US Financial Markets Holding Corporation, Corporate Parent DB USA Corporation, Corporate Parent Deutsche Bank AG for Deutsche Bank Securities Inc.. Document filed by Deutsche Bank Securities Inc..(Rice, Thomas) (Entered: 09/09/2015)
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| 64 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Paul Madison Eckles on behalf of Citigroup Global Markets Inc.. (Eckles, Paul) (Entered: 09/09/2015)
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| 63 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Shepard Goldfein on behalf of Citigroup Global Markets Inc.. (Goldfein, Shepard) (Entered: 09/09/2015)
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| 62 |
Filed: 9/9/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Citigroup Inc., Other Affiliate Citigroup Global Markets Holdings Inc., Other Affiliate Citigroup Financial Products, Inc. for Citigroup Global Markets Inc.. Document filed by Citigroup Global Markets Inc..(Kasner, Jay) (Entered: 09/09/2015)
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| 61 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Jay B. Kasner on behalf of Citigroup Global Markets Inc.. (Kasner, Jay) (Entered: 09/09/2015)
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| 60 |
Filed: 9/9/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent HSBC Markets (USA) Inc., Corporate Parent HSBC Holdings plc, Corporate Parent HSBC North America Holdings Inc. for HSBC Securities (USA) Inc.. Document filed by HSBC Securities (USA) Inc..(Liman, Lewis) (Entered: 09/09/2015)
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| 59 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Lewis J. Liman on behalf of HSBC Securities (USA) Inc.. (Liman, Lewis) (Entered: 09/09/2015)
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| 58 |
Filed: 9/9/2015, Entered: None |
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NOTICE OF APPEARANCE by Jennifer Kennedy Park on behalf of HSBC Securities (USA) Inc.. (Park, Jennifer) (Entered: 09/09/2015)
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| 57 |
Filed: 9/9/2015, Entered: None |
|
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NOTICE OF APPEARANCE by Breon Stacey Peace on behalf of HSBC Securities (USA) Inc.. (Peace, Breon) (Entered: 09/09/2015)
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Request |
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| 56 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to HSBC Securities (USA) Inc.. (dgo) (Entered: 09/09/2015)
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Request |
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| 55 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to Goldman, Sachs & Co.. (dgo) (Entered: 09/09/2015)
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|
Request |
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| 54 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to Deutsche Bank Securities Inc.. (dgo) (Entered: 09/09/2015)
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|
Request |
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| 53 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to Daiwa Capital Markets America Inc.. (dgo) (Entered: 09/09/2015)
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|
Request |
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| 52 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to Credit Suisse Securities (USA) LLC. (dgo) (Entered: 09/09/2015)
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Request |
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| 51 |
Filed: 9/9/2015, Entered: None |
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ELECTRONIC SUMMONS ISSUED as to UBS Securities LLC. (pc) (Entered: 09/09/2015)
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Request |
|
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| 50 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to TD Securities (USA) LLC. (pc) (Entered: 09/09/2015)
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|
Request |
|
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| 49 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to SG Americas Securities, LLC. (pc) (Entered: 09/09/2015)
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Request |
|
|
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| 48 |
Filed: 9/9/2015, Entered: None |
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ELECTRONIC SUMMONS ISSUED as to RBS Securities Inc.. (pc) (Entered: 09/09/2015)
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|
Request |
|
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| 47 |
Filed: 9/9/2015, Entered: None |
|
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ELECTRONIC SUMMONS ISSUED as to RBC Capital Markets, LLC. (pc) (Entered: 09/09/2015)
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|
Request |
|
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| 46 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Countrywide Securities Corporation. (dgo) (Entered: 09/09/2015)
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|
Request |
|
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| 45 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Nomura Securities International, Inc.. (pc) (Entered: 09/09/2015)
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|
Request |
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| 44 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Morgan Stanley & Co. LLC. (pc) (Entered: 09/09/2015)
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|
Request |
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| 43 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Mizuho Securities USA Inc.. (pc) (Entered: 09/09/2015)
|
|
Request |
|
|
|
| 42 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Merrill Lynch, Pierce, Fenner & Smith Incorporated. (pc) (Entered: 09/09/2015)
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|
Request |
|
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| 41 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to J.P. Morgan Securities LLC. (pc) (Entered: 09/09/2015)
|
|
Request |
|
|
|
| 40 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Citigroup Global Markets Inc.. (dgo) (Entered: 09/09/2015)
|
|
Request |
|
|
|
| 39 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Cantor Fitzgerald & Co.. (dgo) (Entered: 09/09/2015)
|
|
Request |
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| 38 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to BNP Paribas Securities Corp.. (dgo) (Entered: 09/09/2015)
|
|
Request |
|
|
|
| 37 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to BMO Capital Markets Corp.. (dgo) (Entered: 09/09/2015)
|
|
Request |
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|
|
| Save 25% on a pre-paid one year subscription. |
|
|
| 36 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Barclays Capital Inc.. (dgo) (Entered: 09/09/2015)
|
|
Request |
|
|
|
| 35 |
Filed: 9/9/2015, Entered: None |
|
|
ELECTRONIC SUMMONS ISSUED as to Bank of Nova Scotia New York Agency. (dgo) (Entered: 09/09/2015)
|
|
Request |
|
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| 34 |
Filed: 9/8/2015, Entered: None |
|
|
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate The Bank of Nova Scotia for Bank of Nova Scotia New York Agency. Document filed by Bank of Nova Scotia New York Agency.(Pepperman, Richard) (Entered: 09/08/2015)
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Request |
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| 33 |
Filed: 9/8/2015, Entered: None |
|
|
NOTICE OF APPEARANCE by John Joseph Hughes, III on behalf of Bank of Nova Scotia New York Agency. (Hughes, John) (Entered: 09/08/2015)
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Request |
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| 32 |
Filed: 9/8/2015, Entered: None |
|
|
NOTICE OF APPEARANCE by Richard C. Pepperman, II on behalf of Bank of Nova Scotia New York Agency. (Pepperman, Richard) (Entered: 09/08/2015)
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|
Request |
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|
|
| 31 |
Filed: 9/8/2015, Entered: None |
|
|
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Mizuho Bank, Ltd., Corporate Parent Mizuho Financial Group, Inc., Corporate Parent Mizuho Securities Co., Ltd. for Mizuho Securities USA Inc.. Document filed by Mizuho Securities USA Inc..(Fortinsky, Jerome) (Entered: 09/08/2015)
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|
Request |
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|
| 30 |
Filed: 9/8/2015, Entered: None |
|
|
NOTICE OF APPEARANCE by Joanna Shally on behalf of Mizuho Securities USA Inc.. (Shally, Joanna) (Entered: 09/08/2015)
|
|
Request |
|
|
|
| 29 |
Filed: 9/8/2015, Entered: None |
|
|
NOTICE OF APPEARANCE by John A. Nathanson on behalf of Mizuho Securities USA Inc.. (Nathanson, John) (Entered: 09/08/2015)
|
|
Request |
|
|
|
| 28 |
Filed: 9/8/2015, Entered: None |
|
|
NOTICE OF APPEARANCE by Jerome Steven Fortinsky on behalf of Mizuho Securities USA Inc.. (Fortinsky, Jerome) (Entered: 09/08/2015)
|
|
Request |
|
|
|
| 27 |
Filed: 9/8/2015, Entered: None |
|
|
NOTICE OF APPEARANCE by Stuart Jay Baskin on behalf of Mizuho Securities USA Inc.. (Baskin, Stuart) (Entered: 09/08/2015)
|
|
Request |
|
|
|
| 26 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to UBS Securities LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 25 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to TD Securities (USA) LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 24 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to SG Americas Securities, LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 23 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to RBS Securities Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 22 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to RBC Capital Markets, LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 21 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Nomura Securities International, Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 20 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Morgan Stanley & Co. LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 19 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Mizuho Securities USA Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 18 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Merrill Lynch, Pierce, Fenner & Smith Incorporated, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 17 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to J.P. Morgan Securities LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 16 |
Filed: 9/4/2015, Entered: None |
|
|
FILING ERROR - DEFICIENT PLEADING - FILER ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Jefferies LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) Modified on 9/9/2015 (dgo). (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 15 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to HSBC Securities (USA) Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 14 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Goldman, Sachs & Co., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 13 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Deutsche Bank Securities Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 12 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Daiwa Capital Markets America Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 11 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Credit Suisse Securities (USA) LLC, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 10 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Countrywide Securities Corporation, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 9 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Citigroup Global Markets Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 8 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Cantor Fitzgerald & Co., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 7 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to BNP Paribas Securities Corp., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 6 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to BMO Capital Markets Corp., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 5 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Barclays Capital Inc., re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 4 |
Filed: 9/4/2015, Entered: None |
|
|
REQUEST FOR ISSUANCE OF SUMMONS as to Bank of Nova Scotia New York Agency, re: 1 Complaint,,,. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 3 |
Filed: 9/4/2015, Entered: None |
|
|
RELATED CASE AFFIRMATION of Samuel H. Rudman re: that this action be filed as related to 15-cv-05794. Document filed by Employees Retirement System of Rhode Island, Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated.(Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
|
|
| 2 |
Filed: 9/4/2015, Entered: None |
|
|
CIVIL COVER SHEET filed. (Rudman, Samuel) (Entered: 09/04/2015)
|
|
|
|
|
|
| 1 |
Filed: 9/4/2015, Entered: None |
|
|
COMPLAINT against BMO Capital Markets Corp., BNP Paribas Securities Corp., Bank of Nova Scotia New York Agency, Barclays Capital Inc., Cantor Fitzgerald & Co., Citigroup Global Markets Inc., Countrywide Securities Corporation, Credit Suisse Securities (USA) LLC, Daiwa Capital Markets America Inc., Deutsche Bank Securities Inc., Goldman, Sachs & Co., HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, Jefferies LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mizuho Securities USA Inc., Morgan Stanley & Co. LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, RBS Securities Inc., SG Americas Securities, LLC, TD Securities (USA) LLC, UBS Securities LLC. (Filing Fee $ 400.00, Receipt Number 0208-11354609)Document filed by Employees Retirement System of Rhode Island, Individually and on Behalf of All Others Similarly Situated, Employees Retirement System of Rhode Island.(Rudman, Samuel) (Entered: 09/04/2015)
|
|
Request |
|
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