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 114 |
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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| 113 |
Filed: 10/9/2015, Entered: None |
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ORDER FOR ADMISSION PRO HAC VICE granting 112 Motion for William J. Kolasky to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 10/8/2015) (mro) (Entered: 10/09/2015)
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| 112 |
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 0208-11445648. 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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| 111 |
Filed: 9/25/2015, Entered: None |
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LETTER addressed to Judge Paul G. Gardephe from Daniel L. Brockett dated September 25, 2015 re: Whether JPML Motion to Transfer Should Impact Lead Counsel Briefing Deadlines. Document filed by Cleveland Bakers and Teamsters Health and Welfare Fund, Cleveland Bakers and Teamsters Pension Fund, MASTERINVEST Kapitalanlage GmbH, Cleveland Bakers and Teamsters Health and Welfare Fund.Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Brockett, Daniel) (Entered: 09/25/2015)
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| 110 |
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..Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Sperling, Robert) (Entered: 09/25/2015)
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| 109 |
Filed: 9/25/2015, Entered: None |
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LETTER addressed to Judge Paul G. Gardephe from Gregory S. Asciola dated 09/25/2015 re: Informing the judge that a JPML Motion to Transfer was filed on 9/24/2015 which nay impact pending litigation dates including due date of 10/1/2015 for lead plaintiff motions. Document filed by State-Boston Retirement System, Arkansas Teacher Retirement System. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Asciolla, Gregory) (Entered: 09/25/2015)
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| 108 |
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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| 107 |
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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| 106 |
Filed: 9/16/2015, Entered: None |
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NOTICE OF APPEARANCE by Lawrence Alan Sucharow on behalf of State-Boston Retirement System, Arkansas Teacher Retirement System. Filed In Associated Cases: 1:15-cv-05794-PGG et al.(Sucharow, Lawrence) (Entered: 09/16/2015)
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| 105 |
Filed: 9/3/2015, Entered: None |
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ORDER granting (131 in case number 15cv6474) Motion to Consolidate Cases: On August 31, 2015, Plaintiffs in the above-captioned actions submitted letters requesting that this Court consolidate these actions pursuant to Federal Rule of Civil Procedure 42(a). See No. 15 Civ. 5794 (PGG), Dkt. No. 121; No. 15 Civ. 5807 (PGG), Dkt. No. 178; No. 15 Civ. 5830 (PGG), Dkt. No. 109; No. 15 Civ. 5843 (PGG), Dkt. No. 98; No. 15 Civ. 5931 (PGG), Dkt. No. 97; No. 15 Civ. 5939 (PGG), Dkt. No. 129; No. 15 Civ. 5957 (PGG), Dkt. No. 153; No. 15 Civ. 6003 (PGG), Dkt. No. 82; 15 Civ. 6072 (PGG), Dkt. No. 81; 15 Civ. 6129 (PGG), Dkt. No. 147; No. 15 Civ. 6139 (PGG), Dkt. No. 102; No. 15 Civ. 6474 (PGG), Dkt. No. 131; No. 15 Civ. 6782 (PGG), Dkt. No. 35. Those applications are granted. The Clerk of the Court is directed to consolidate the above-captioned actions under the first case filed, 15 Civ. 5794 (PGG), and to terminate the motion (No. 15 Civ. 6474, Dkt. No. 131). It is further ORDERED that motions for appointment of lead plaintiff and lead counsel shall be filed by October 1, 2015. Opposition to any motions for appointment of lead plaintiff and lead counsel shall be filed by October 22, 2015. It is further ORDERED that the initial pre-trial conferences previously scheduled for October 8, 2015 in the following matters are adjourned sine die: State Boston Retirement System v. Bank of Nova Scotia, New York Agency et al., No. 15 Civ. 5794 (PGG); Beaver County Employees' Retirement Fund et al. v. Bank of Nova Scotia, New York Agency et al., No. 15 Civ. 5807 (PGG); Arkansas Teacher Retirement System v. Bank of Nova Scotia, New York Agency et al., No. 15 Civ. 5830 (PGG). (Signed by Judge Paul G. Gardephe on 9/2/2015) (tn) (Entered: 09/03/2015)
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| 104 |
Filed: 9/1/2015, Entered: None |
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ORDER FOR ADMISSION PRO HAC VICE granting 101 Motion for Melanie L. Katsur to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 9/01/2015) (ama) (Entered: 09/01/2015)
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| 103 |
Filed: 8/31/2015, Entered: None |
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NOTICE OF APPEARANCE by Jeffrey H. Knox on behalf of Deutsche Bank Securities Inc.. (Knox, Jeffrey) (Entered: 08/31/2015)
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| 102 |
Filed: 8/31/2015, Entered: None |
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LETTER addressed to Judge Paul G. Gardephe from Linda P. Nussbaum dated August 31, 2015 re: August 27 Order re consolidation. Document filed by Michael St. John(on behalf of all those similarly situated). (Attachments: # 1 Exhibit Schedule of Related Actions)(Nussbaum, Linda) (Entered: 08/31/2015)
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| 101 |
Filed: 8/27/2015, Entered: None |
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MOTION for Melanie L. Katsur to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11327933. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS Securities LLC. (Attachments: # 1 Certificates of Good Standing, # 2 Proposed Order)(Katsur, Melanie) (Entered: 08/27/2015)
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| 100 |
Filed: 8/27/2015, Entered: None |
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ORDER: Each party will make a submission by September 3, 2015, addressing whether the above-captioned cases should be consolidated. SO ORDERED. (Signed by Judge Paul G. Gardephe on 8/27/2015) (ama) (Entered: 08/27/2015)
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| 99 |
Filed: 8/26/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Daiwa Securities Group, Inc., Corporate Parent Daiwa Capital Markets America Holdings Inc., Corporate Parent Daiwa International Holdings Inc. for Daiwa Capital Markets America Inc.. Document filed by Daiwa Capital Markets America Inc..(Naftalis, Gary) (Entered: 08/26/2015)
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| 98 |
Filed: 8/26/2015, Entered: None |
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NOTICE OF APPEARANCE by Tobias B. Jacoby on behalf of Daiwa Capital Markets America Inc.. (Jacoby, Tobias) (Entered: 08/26/2015)
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| 97 |
Filed: 8/26/2015, Entered: None |
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NOTICE OF APPEARANCE by Alan Roy Friedman on behalf of Daiwa Capital Markets America Inc.. (Friedman, Alan) (Entered: 08/26/2015)
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| 96 |
Filed: 8/26/2015, Entered: None |
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NOTICE OF APPEARANCE by Gary P. Naftalis on behalf of Daiwa Capital Markets America Inc.. (Naftalis, Gary) (Entered: 08/26/2015)
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| 95 |
Filed: 8/25/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Cantor Fitzgerald & Co..(Popok, Michael) (Entered: 08/25/2015)
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| 94 |
Filed: 8/25/2015, Entered: None |
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NOTICE OF APPEARANCE by Michael Steven Popok on behalf of Cantor Fitzgerald & Co.. (Popok, Michael) (Entered: 08/25/2015)
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| 93 |
Filed: 8/25/2015, Entered: None |
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NOTICE OF APPEARANCE by David A. Paul on behalf of Cantor Fitzgerald & Co.. (Paul, David) (Entered: 08/25/2015)
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| 92 |
Filed: 8/25/2015, 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: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED: 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. 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. 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. The parties will submit the joint letter as directed in the Pretrial Conference Notice. 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 consolidated and any lead and liaison counsel have been identified for the proceedings, the time for submitting the proposed Case Management Plan specified in the Court's Pretrial Conference Notice. SO ORDERED. (Signed by Judge Paul G. Gardephe on 8/24/2015) (ama) (Entered: 08/25/2015)
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| 91 |
Filed: 8/24/2015, Entered: None |
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NOTICE OF APPEARANCE by Sophie Charlotte Rohnke on behalf of RBC Capital Markets LLC. (Rohnke, Sophie) (Entered: 08/24/2015)
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| 90 |
Filed: 8/24/2015, 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: 08/24/2015)
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| 89 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by Jennifer Kennedy Park on behalf of HSBC Securities (USA) Inc.. (Park, Jennifer) (Entered: 08/21/2015)
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| 88 |
Filed: 8/21/2015, Entered: None |
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FILING ERROR - NOT ALL CORPORATE PARENTS/OTHER AFFILIATES WERE ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent HSBC Holdings plc for HSBC Securities (USA) Inc.. Document filed by HSBC Securities (USA) Inc..(Liman, Lewis) Modified on 8/24/2015 (lb). (Entered: 08/21/2015)
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| 87 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by Lewis J. Liman on behalf of HSBC Securities (USA) Inc.. (Liman, Lewis) (Entered: 08/21/2015)
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| 86 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by Breon Stacey Peace on behalf of HSBC Securities (USA) Inc.. (Peace, Breon) (Entered: 08/21/2015)
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| 85 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by Mark David Villaverde on behalf of Commerz Markets LLC. (Villaverde, Mark) (Entered: 08/21/2015)
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| 84 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by Sean Miles Murphy on behalf of Commerz Markets LLC. (Murphy, Sean) (Entered: 08/21/2015)
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| 83 |
Filed: 8/21/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Commerzbank AG for Commerz Markets LLC. Document filed by Commerz Markets LLC.(Gelfand, David) (Entered: 08/21/2015)
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| 82 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by David Robert Gelfand on behalf of Commerz Markets LLC. (Gelfand, David) (Entered: 08/21/2015)
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| 81 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by Bradley J. Demuth on behalf of Michael St. John(individually). (Demuth, Bradley) (Entered: 08/21/2015)
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| 80 |
Filed: 8/21/2015, Entered: None |
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NOTICE OF APPEARANCE by David J. Yeres on behalf of BMO Capital Markets Corp.. (Yeres, David) (Entered: 08/21/2015)
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| 79 |
Filed: 8/20/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BAC North America Holding Company, Corporate Parent Bank Of America Corporation, Corporate Parent NB Holdings Corporation for Merrill Lynch Pierce, Fenner & Smith Incorporated. Document filed by Merrill Lynch Pierce, Fenner & Smith Incorporated.(Boyle, Nicholas) (Entered: 08/20/2015)
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| 78 |
Filed: 8/20/2015, Entered: None |
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NOTICE OF APPEARANCE by Nicholas James Boyle on behalf of Merrill Lynch Pierce, Fenner & Smith Incorporated. (Boyle, Nicholas) (Entered: 08/20/2015)
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| 77 |
Filed: 8/19/2015, 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: 08/19/2015)
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| 76 |
Filed: 8/19/2015, Entered: None |
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NOTICE OF APPEARANCE by Kenneth Anthony Gallo on behalf of Morgan Stanley & Co, LLC. (Gallo, Kenneth) (Entered: 08/19/2015)
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| 75 |
Filed: 8/19/2015, Entered: None |
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NOTICE OF APPEARANCE by Susanna Michele Buergel on behalf of Morgan Stanley & Co, LLC. (Buergel, Susanna) (Entered: 08/19/2015)
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| 74 |
Filed: 8/19/2015, Entered: None |
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NOTICE OF APPEARANCE by Richard A. Rosen on behalf of Morgan Stanley & Co, LLC. (Rosen, Richard) (Entered: 08/19/2015)
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| 73 |
Filed: 8/19/2015, Entered: None |
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NOTICE OF APPEARANCE by Brad Scott Karp on behalf of Morgan Stanley & Co, LLC. (Karp, Brad) (Entered: 08/19/2015)
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| 72 |
Filed: 8/19/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Limestone Merger Sub, LLC, Corporate Parent JefferiesGroup LLC, Corporate Parent Leucadia National Corporation for Jefferies LLC. Document filed by Jefferies LLC.(Schacter, Kenneth) (Entered: 08/19/2015)
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| 71 |
Filed: 8/19/2015, Entered: None |
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NOTICE OF APPEARANCE by Kenneth Ian Schacter on behalf of Jefferies LLC. (Schacter, Kenneth) (Entered: 08/19/2015)
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| 70 |
Filed: 8/18/2015, 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: 08/18/2015)
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| 69 |
Filed: 8/17/2015, Entered: None |
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ORDER ON MOTION TO ADMIT COUNSEL PRO HAC VICE granting 37 Motion for Elizabeth P. Papez to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/17/2015) (kgo) (Entered: 08/17/2015)
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| 68 |
Filed: 8/17/2015, Entered: None |
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ORDER FOR ADMISSION PRO HAC VICE granting 35 Motion for Joel S. Sanders to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/17/2015) (kgo) (Entered: 08/17/2015)
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| 67 |
Filed: 8/17/2015, Entered: None |
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ORDER ON MOTION TO ADMIT COUNSEL PRO HAC VICE granting 36 Motion for Robert Y. Sperling to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/17/2015) (kgo) (Entered: 08/17/2015)
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| 66 |
Filed: 8/17/2015, 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: 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. The parties will submit the joint letter as directed in the Court's July 29, 2015 Notice of Pretrial Conference in State~Boston (the "Pretrial Conference Notice"). 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 consolidated and any lead and liaison counsel have been identified for the proceedings, the time for submitting the proposed Case Management Plan specified in the Court's Pretrial Conference Notice. (As is further set forth in this Order.) (Signed by Judge Paul G. Gardephe on 8/17/2015) (spo) (Entered: 08/17/2015)
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| 65 |
Filed: 8/17/2015, Entered: None |
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NOTICE OF APPEARANCE by Paul Madison Eckles on behalf of Citigroup Global Markets Inc.. (Eckles, Paul) (Entered: 08/17/2015)
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| 64 |
Filed: 8/17/2015, Entered: None |
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NOTICE OF APPEARANCE by Shepard Goldfein on behalf of Citigroup Global Markets Inc.. (Goldfein, Shepard) (Entered: 08/17/2015)
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| 63 |
Filed: 8/17/2015, 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: 08/17/2015)
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| 62 |
Filed: 8/17/2015, 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: 08/17/2015)
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| 61 |
Filed: 8/17/2015, Entered: None |
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NOTICE OF APPEARANCE by Jay B. Kasner on behalf of Citigroup Global Markets Inc.. (Kasner, Jay) (Entered: 08/17/2015)
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| 60 |
Filed: 8/17/2015, Entered: None |
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NOTICE OF APPEARANCE by Amanda Flug Davidoff on behalf of Nomura Securities International Inc. (Davidoff, Amanda) (Entered: 08/17/2015)
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| 59 |
Filed: 8/17/2015, Entered: None |
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NOTICE OF APPEARANCE by Steven Lyon Holley on behalf of Nomura Securities International Inc. (Holley, Steven) (Entered: 08/17/2015)
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| 58 |
Filed: 8/14/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate 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: 08/14/2015)
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| 57 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by John Joseph Hughes, III on behalf of Bank of Nova Scotia, New York Agency. (Hughes, John) (Entered: 08/14/2015)
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| 56 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Richard C. Pepperman, II on behalf of Bank of Nova Scotia, New York Agency. (Pepperman, Richard) (Entered: 08/14/2015)
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| 55 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Edward Nathaniel Moss on behalf of TD Securities (USA) LLC. (Moss, Edward) (Entered: 08/14/2015)
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| 54 |
Filed: 8/14/2015, 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 for TD Securities (USA) LLC. Document filed by TD Securities (USA) LLC.(Miller, Pamela) (Entered: 08/14/2015)
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| 53 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Pamela Addison Miller on behalf of TD Securities (USA) LLC. (Miller, Pamela) (Entered: 08/14/2015)
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| 52 |
Filed: 8/14/2015, 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: 08/14/2015)
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| 51 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Melissa Carrie King on behalf of RBS Securities Inc.. (King, Melissa) (Entered: 08/14/2015)
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| 50 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Greg Donald Andres on behalf of RBS Securities Inc.. (Andres, Greg) (Entered: 08/14/2015)
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| 49 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Joel Murray Cohen on behalf of RBS Securities Inc.. (Cohen, Joel) (Entered: 08/14/2015)
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| 48 |
Filed: 8/14/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent DB USA Corporation, Corporate Parent Deutsche Bank AG, Corporate Parent DB U.S. Financial Markets Holding Corporation for Deutsche Bank Securities Inc.. Document filed by Deutsche Bank Securities Inc..(Rice, Thomas) (Entered: 08/14/2015)
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| 47 |
Filed: 8/14/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent JP Morgan Chase & Co. for JP Morgan Securities LLC. Document filed by JP Morgan Securities LLC.(Gimbel, Mark) (Entered: 08/14/2015)
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| 46 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Todd Steven Fishman on behalf of SG Americas Securities LLC. (Fishman, Todd) (Entered: 08/14/2015)
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Request |
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| 45 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Mark Putnam Gimbel on behalf of JP Morgan Securities LLC. (Gimbel, Mark) (Entered: 08/14/2015)
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Request |
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| 44 |
Filed: 8/14/2015, 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: 08/14/2015)
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Request |
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| 43 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by David C. Esseks on behalf of SG Americas Securities LLC. (Esseks, David) (Entered: 08/14/2015)
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Request |
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| 42 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Jonathan Lucas Shapiro on behalf of Goldman, Sachs & Co.. (Shapiro, Jonathan) (Entered: 08/14/2015)
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Request |
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| 41 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Stephen Ehrenberg on behalf of Goldman, Sachs & Co.. (Ehrenberg, Stephen) (Entered: 08/14/2015)
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Request |
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| 40 |
Filed: 8/14/2015, 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: 08/14/2015)
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Request |
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| 39 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Penny Shane on behalf of Goldman, Sachs & Co.. (Shane, Penny) (Entered: 08/14/2015)
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Request |
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| 38 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Susannah Providence Torpey on behalf of Goldman, Sachs & Co.. (Torpey, Susannah) (Entered: 08/14/2015)
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Request |
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| 37 |
Filed: 8/14/2015, Entered: None |
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MOTION for Elizabeth P. Papez to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11276289. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman, Sachs & Co.. (Attachments: # 1 Exhibit Ex. A - Certificates of Good Standing, # 2 Text of Proposed Order)(Papez, Elizabeth) (Entered: 08/14/2015)
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Request |
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| 36 |
Filed: 8/14/2015, Entered: None |
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MOTION for Robert Y. Sperling to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11276201. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Goldman, Sachs & Co.. (Attachments: # 1 Exhibit Ex. A - Certificate of Good Standing, # 2 Text of Proposed Order)(Sperling, Robert) (Entered: 08/14/2015)
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Request |
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| 35 |
Filed: 8/14/2015, Entered: None |
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MOTION for Joel S. Sanders to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11275863. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by UBS Securities LLC. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Sanders, Joel) (Entered: 08/14/2015)
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Request |
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| 34 |
Filed: 8/14/2015, 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.(Kirsch, Mark) (Entered: 08/14/2015)
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Request |
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| 33 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Gabrielle Frances Levin on behalf of UBS Securities LLC. (Levin, Gabrielle) (Entered: 08/14/2015)
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Request |
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| 32 |
Filed: 8/14/2015, Entered: None |
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NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of UBS Securities LLC. (Kirsch, Mark) (Entered: 08/14/2015)
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Request |
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| 31 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Patrick Joseph Campbell on behalf of Deutsche Bank Securities Inc.. (Campbell, Patrick) (Entered: 08/13/2015)
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Request |
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| 30 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Omari Largos Royter Mason on behalf of Deutsche Bank Securities Inc.. (Mason, Omari) (Entered: 08/13/2015)
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Request |
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| 29 |
Filed: 8/13/2015, Entered: None |
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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: 08/13/2015)
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Request |
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| 28 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Shannon Price Torres on behalf of Deutsche Bank Securities Inc.. (Torres, Shannon) (Entered: 08/13/2015)
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Request |
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| 27 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by David Elbaum on behalf of Deutsche Bank Securities Inc.. (Elbaum, David) (Entered: 08/13/2015)
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Request |
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| 26 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by John Davis Friel on behalf of BMO Capital Markets Corp.. (Friel, John) (Entered: 08/13/2015)
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Request |
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| 25 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by David J. Woll on behalf of Deutsche Bank Securities Inc.. (Woll, David) (Entered: 08/13/2015)
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Request |
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| 24 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Leah Friedman on behalf of RBC Capital Markets LLC. (Friedman, Leah) (Entered: 08/13/2015)
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Request |
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| 23 |
Filed: 8/13/2015, 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: 08/13/2015)
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Request |
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| 22 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Marshall Howard Fishman on behalf of RBC Capital Markets LLC. (Fishman, Marshall) (Entered: 08/13/2015)
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Request |
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| 21 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Thomas C. Rice on behalf of Deutsche Bank Securities Inc.. (Rice, Thomas) (Entered: 08/13/2015)
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Request |
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| 20 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Robert G. Houck on behalf of BMO Capital Markets Corp.. (Houck, Robert) (Entered: 08/13/2015)
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Request |
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| 19 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Joanna Shally on behalf of Mizuho Securities USA, Inc.. (Shally, Joanna) (Entered: 08/13/2015)
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Request |
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| 18 |
Filed: 8/13/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Credit Suisse Group AG for Credit Suisse Securities USA LLC. Document filed by Credit Suisse Securities USA LLC.(Januszewski, David) (Entered: 08/13/2015)
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Request |
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| 17 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by David George Januszewski on behalf of Credit Suisse Securities USA LLC. (Januszewski, David) (Entered: 08/13/2015)
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Request |
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| 16 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Krista Ann Friedrich on behalf of Credit Suisse Securities USA LLC. (Friedrich, Krista) (Entered: 08/13/2015)
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Request |
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| 15 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Jerome Steven Fortinsky on behalf of Mizuho Securities USA, Inc.. (Fortinsky, Jerome) (Entered: 08/13/2015)
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Request |
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| Save 25% on a pre-paid one year subscription. |
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| 14 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Elai E. Katz on behalf of Credit Suisse Securities USA LLC. (Katz, Elai) (Entered: 08/13/2015)
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Request |
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| 13 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Herbert Scott Washer on behalf of Credit Suisse Securities USA LLC. (Washer, Herbert) (Entered: 08/13/2015)
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Request |
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| 12 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Thorn Rosenthal on behalf of Credit Suisse Securities USA LLC. (Rosenthal, Thorn) (Entered: 08/13/2015)
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Request |
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| 11 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Stuart Jay Baskin on behalf of Mizuho Securities USA, Inc.. (Baskin, Stuart) (Entered: 08/13/2015)
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Request |
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| 10 |
Filed: 8/13/2015, Entered: None |
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RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent BNP Paribas for BNP Paribas Securities Corp.. Document filed by BNP Paribas Securities Corp..(Hakki, Adam) (Entered: 08/13/2015)
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Request |
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| 9 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by James Patrick Tallon, II on behalf of BNP Paribas Securities Corp.. (Tallon, James) (Entered: 08/13/2015)
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Request |
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| 8 |
Filed: 8/13/2015, Entered: None |
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NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of BNP Paribas Securities Corp.. (Hakki, Adam) (Entered: 08/13/2015)
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Request |
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| 7 |
Filed: 8/7/2015, Entered: None |
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NOTICE OF APPEARANCE by Matthew Alexander Schwartz on behalf of Barclays Capital Inc.. (Schwartz, Matthew) (Entered: 08/07/2015)
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Request |
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| 6 |
Filed: 8/7/2015, Entered: None |
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NOTICE OF APPEARANCE by Kathleen Suzanne McArthur on behalf of Barclays Capital Inc.. (McArthur, Kathleen) (Entered: 08/07/2015)
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Request |
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| 5 |
Filed: 8/7/2015, Entered: None |
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FILING ERROR - NOT ALL CORPORATE PARENTS/OTHER AFFILIATES WERE ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Barclays Group U.S., Inc., Corporate Parent BARCLAYS BANK PLC for Barclays Capital Inc.. Document filed by Barclays Capital Inc..(Braff, David) Modified on 8/11/2015 (ldi). (Entered: 08/07/2015)
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Request |
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| 4 |
Filed: 8/7/2015, Entered: None |
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NOTICE OF APPEARANCE by David Harold Braff on behalf of Barclays Capital Inc.. (Braff, David) (Entered: 08/07/2015)
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Request |
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| 3 |
Filed: 8/5/2015, Entered: None |
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STATEMENT OF RELATEDNESS re: that this action be filed as related to 1:15-cv-5794. Document filed by Michael St. John.(Nussbaum, Linda) (Entered: 08/05/2015)
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Request |
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| 2 |
Filed: 8/5/2015, Entered: None |
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CIVIL COVER SHEET filed. (Nussbaum, Linda) (Entered: 08/05/2015)
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Request |
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| 1 |
Filed: 8/5/2015, Entered: None |
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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., Commerz Markets LLC, Credit Suisse Securities USA LLC, Daiwa Capital Markets America Inc., Deutsche Bank Securities Inc., Goldman, Sachs & Co., HSBC Securities (USA) Inc., JP 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 0208-11240006)Document filed by Michael St. John.(Nussbaum, Linda) (Entered: 08/05/2015)
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Request |
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