Saba Software IPO, et al v. Saba Software, Inc., et al

Federal Civil Lawsuit New York Southern District Court, Case No. 1:01-cv-10754
District Judge Shira A. Scheindlin, presiding

Last Updated September 8, 2017 at 12:15 AM EDT (7.6 years ago)

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Parties

Bob McKee, Plaintiff

▼ Represented by Bernstein Liebhard LLP

Name	Phone	Fax	E-Mail

Stanley D Bernstein ,	+1 212 779 1414	+7793 779 779 3218	bernstein@bernlieb.com
Menachem E. Lifshitz	+1 212 779 1414		lifshitz@bernlieb.com

▼ Represented by Law Offices of John P. Gustafson

Name	Phone	Fax	E-Mail

Howard Barry Sirota	+1 212 425 9055	+1 212 425 9055	howard.sirota@gmail.com

▼ Represented by McGuinn Hillsman & Palefsky

Name	Phone	Fax	E-Mail

Aaron Lee Brody	+1 212 687 7230	+1 212 490 2022	ssbny@aol.com

▼ Represented by Meiselman Denlea Packman Carton & Eberz, PC

Name	Phone	Fax	E-Mail

Robert Jeffrey Berg	+1 212 779 1414	+1 212 779 3218	rberg@mdpcelaw.com

▼ Represented by Milberg LLP

Name	Phone	Fax	E-Mail

Melvyn I Weiss	+1 212 594 5300	+1 212 868 1229	mweiss@milbergweiss.com

▼ Represented by Schiffrin & Barroway, LLP

Name	Phone	Fax	E-Mail

Richard S. Schiffrin	+1 610 667 7706	+ 610 667 7056

▼ Represented by Wolf Haldenstein Adler Freeman & Herz, LLP

Name	Phone	Fax	E-Mail

Frederick Taylor Isquith, Sr	+1 212 545 4600	+1 212 545 4653	isquith@whafh.com

John Paul Smith, Plaintiff

Banc Of America Securities LLC, Defendant

▼ Represented by O'Melveny & Myers LLP

Name	Phone	Fax	E-Mail

Brendan Joseph Dowd	+1 212 326 2000	+1 212 326 2061	bdowd@omm.com
Andrew Jay Frackman	+1 212 326 2000	+1 212 326 2061	afrackman@omm.com
Jeehae Jennifer Koh	+1 212 326 2194	+1 212 326 2061	jkoh@omm.com
Matthew Joseph Merrick	+1 212 326 4450	+1 212 326 2061	mmerrick@omm.com

▼ Represented by Weil Gotshal & Manges LLP

Name	Phone	Fax	E-Mail

Jonathan D. Polkes	+1 212 504 6021	+1 212 504 6666	jonathan.polkes@weil.com

The Goldman Sachs Group, Inc., Defendant
Officially listed as "Goldman, Sachs & Co."

▼ Represented by Sullivan & Cromwell LLP

Name	Phone	Fax	E-Mail

Gandolfo V. Diblasi	+1 212 558 4992	+5583 558 558 3588	diblasig@sullcrom.com
John Louis Hardiman	+1 212 558 4070	+1 212 558 3588	hardimanj@sullcrom.com
David Maxwell James Rein	+1 212 558 3035	+1 212 558 3588	reind@sullcrom.com
Penny Shane	+1 212 558 4000	+1 212 558 3588	shanep@sullcrom.com

Merrill Lynch, Pierce, Fenner & Smith, Inc., Defendant
Officially listed as "Merrill Lynch, Pierce, Fenner & Smith Incorporated"

Officer/Director, Cumulus Media Inc.

Officer/Director, Chart Industries, Inc.

Officer/Director, Lodgian, Inc.

Officer/Director, Ml Global Private Equity Fund L.p.

Officer/Director, Ml Global Private Equity Partners L.p.

Officer/Director, Mlgpe Ltd

Officer/Director, Merrill Lynch GP Inc.

Officer/Director, Merrill Lynch & Co Inc

Officer/Director, Merrill Lynch Group, Inc

Officer/Director, Hertz Global Holdings Inc

Officer/Director, Merrill Lynch International

Officer/Director, Delphi Automotive Systems Corp

Officer/Director, Merrill Lynch Trust Co Fsb

Officer/Director, Merrill Lynch Financial Markets, Inc.

Officer/Director, Infospace.com, Inc.

Officer/Director, Fund Asset Management Lp

Officer/Director, Merrill Lynch Investment Managers Lp

Officer/Director, New BlackRock, Inc.

Officer/Director, Princeton Administrators Lp

Officer/Director, First Trust Four Corners Senior Floating Rate Income Fund II

Officer/Director, BlackRock Preferred & Equity Advantage Trust

Officer/Director, NATIONSBANK CORP

Officer/Director, Mbia Capital Claymore Managed Duration National Municipal Tr

Officer/Director, Tortoise MLP Investment CORP

Officer/Director, Gabelli Dividend & Income Trust

Officer/Director, Blackrock Municipal 2018 Term Trust

Officer/Director, Alliance New York Municipal Income Fund

Officer/Director, Bank of America, NA

Officer/Director, Federated Municipal Income Fund

Officer/Director, Blue Ridge Investments, LLC

Officer/Director, Tropicana Las Vegas Hotel & Casino, Inc.

Officer/Director, Putnam Municipal Opportunities Trust

Officer/Director, Neuberger Berman Intermediate Municipal Fund Inc

Officer/Director, Blackrock New York Municipal 2018 Term Trust

Officer/Director, Gabelli Utility Fund

Officer/Director, Muniholdings New Jersey Insured Fund Inc

Officer/Director, Pimco High Income Fund

Officer/Director, Pioneer Municipal Advantage Trust

Officer/Director, Dreyfus Municipal Infrastructure Fund, Inc.

Officer/Director, Federated Intermediate Municipal Income Fund

Officer/Director, Koll Real Estate Group Inc

Officer/Director, Real Estatefor Lease Com Inc

Officer/Director, Uslife Income Fund Inc

Officer/Director, Muniholdings Fund Inc

Officer/Director, Muniholdings New York Fund Inc

Officer/Director, Muniholdings California Fund Inc

Officer/Director, Muniholdings Insured Fund Inc/nj

Officer/Director, Eaton Vance Ohio Municipal Income Trust

Officer/Director, Eaton Vance Massachusetts Municipal Income Trust

Officer/Director, Blackrock Pennsylvania Strategic Municipal Trust

Officer/Director, Cohen & Steers Advantage Income Fund Inc

Officer/Director, Blackrock Municipal Income Trust

Officer/Director, Alliance National Municipal Income Fund

Officer/Director, Blackrock New Jersey Municipal Bond Trust

Officer/Director, Calamos Convertible Opportunities & Income Fund

Officer/Director, Blackrock California Municipal Income Trust II

Officer/Director, Blackrock New York Municipal Income Trust II

Officer/Director, Blackrock Municipal 2022 Term Trust

Officer/Director, Eaton Vance Insured Ohio Municipal Bond Fund I

Officer/Director, Preferred Income Strategies Fund Inc

Officer/Director, Preferred & Corporate Income Strategies Fund Inc

Officer/Director, Muni Intermediate Duration Fund Inc

Officer/Director, Muni New York Intermediate Duration Fund Inc

Officer/Director, Dreman Claymore Dividend & Income Fund

Officer/Director, Advent/Claymore Global Convertible Securities & Income Fund

Officer/Director, Munienhanced Fund Inc

Officer/Director, Nuveen New York Performance Plus Municipal Fund Inc

Officer/Director, Nuveen California Municipal Market Opportunity Fund Inc

Officer/Director, Nuveen New York Investment Quality Municipal Fund Inc

Officer/Director, Nuveen New Jersey Investment Quality Municipal Fund Inc

Officer/Director, Nuveen California Select Quality Income Municipal Fund Inc

Officer/Director, Nuveen New York Select Quality Municipal Fund Inc

Officer/Director, Nuveen Quality Income Municipal Fund Inc

Officer/Director, Muniyield New York Insured Fund Inc

Officer/Director, Muniyield New Jersey Fund Inc

Officer/Director, Nuveen Premium Income Municipal Fund 2 Inc

Officer/Director, Muniyield Quality Fund II Inc

Officer/Director, Muniyield Quality Fund Inc

Officer/Director, Muniyield Michigan Insured Fund Inc

Officer/Director, Van Kampen Merritt Massachusetts Value Municipal Income Trus

Officer/Director, Muniyield New Jersey Insured Fund Inc

Officer/Director, Duff & Phelps Utility & Corporate Bond Trust Inc

Officer/Director, Preferred Income Management Fund Inc

Officer/Director, Nuveen Premium Income Municipal Fund 4 Inc

Officer/Director, Munivest Fund II Inc

Officer/Director, Nuveen Virginia Premium Income Municipal Fund

Officer/Director, Municipal Advantage Fund Inc

Officer/Director, American Municipal Income Portfolio Inc

Officer/Director, Muniyield Arizona Fund II Inc

Officer/Director, Eaton Vance New York Municipal Income Trust

▼ Represented by Goodwin Procter, LLP

Name	Phone	Fax	E-Mail

Mark Holland	+1 212 813 8800	+1 212 355 3333	mholland@goodwinlaw.com

Robertson Stephens, Inc., Defendant

U.S. Bancorp Piper Jaffray, Inc., Defendant

▼ Represented by Foley & Lardner, LLP

Name	Phone	Fax	E-Mail

Dean M. Jeske	+1 312 832 4500	+1 312 832 4700	djeske@foley.com

Attributes

Citation	Unknown
Nature of Suit	850 - Other Statutes: Securities/Commodities/Exchange

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30	Filed: 1/13/2010, Entered: None
	ORDER AND FINAL JUDGMENT settling action as to 01 Civ. 10754. (Signed by Judge Shira A. Scheindlin on 11/24/09) (Attachments: # 1 notice of right to appeal)(ml) (Entered: 01/13/2010)
	Request

29	Filed: 7/23/2003, Entered: None
	ANSWER by U.S. Bancorp Piper to [20-1] amended complaint . (Attorney Dean M. Jeske from the Firm: Foley & Lardner). (sac) (Entered: 09/19/2003)
	Request

28	Filed: 7/22/2003, Entered: None
	ANSWER by Merrill Lynch to [20-1] amended complaint . (Attorney Mark Holland from the Firm: Clifford Chance US, LLP). (sac) (Entered: 09/15/2003)
	Request

27	Filed: 7/22/2003, Entered: None
	ANSWER by Goldman, Sachs & Co. to [20-1] amended complaint. (Attorney Penny Shane from the Firm: Sullivan & Cromwell, LLP). (sac) (Entered: 08/21/2003)
	Request

26	Filed: 7/21/2003, Entered: None
	ANSWER by Robertson Stephens to [20-1] amended complaint. (Attorney Brendan Joseph Dowd from the O'Melveny & Myers, LLP)... rec'd in the night deposit box on 7/21/03 at 7:09 p.m. (sac) (Entered: 08/19/2003)
	Request

25	Filed: 7/21/2003, Entered: None
	ANSWER by Banc of America LLC to [20-1] amended complaint. (Attorney Jonathan D. Polkes from the Firm: Cadwalader, Wickersham & Taft, LLP). (sac) (Entered: 08/04/2003)
	Request

24	Filed: 2/28/2003, Entered: None
	STIPULATION AND ORDER OF SUBSTITUTION OF ATTY AND NOTICE OF APPEARANCE; substituting Cadwalader, Wickersham & Taft (Jonathan D. Polkes appearing) in place of Brobeck, Phleger & Harrison LLP (Kenneth J. King appearing) as attys for deft Banc of America Securities LLC in this action. ( signed by Judge Shira A. Scheindlin ) (sac) (Entered: 03/31/2003)
	Request

23	Filed: 1/15/2003, Entered: None
	NOTICE of REGISTRATION AND FIRM NAME CHANGE by Goldman, Sachs & Co. Re: Sullivan & Cromwell, LLP. (gf) (Entered: 03/07/2003)
	Request

22	Filed: 6/10/2002, Entered: None
	AFFIDAVIT OF SERVICE of S&C as to Merrill Lynch by Mark Holland on 3/7/02. (sac) (Entered: 07/26/2002)
	Request

21	Filed: 5/17/2002, Entered: None
	AFFIDAVIT OF SERVICE of S&C as to U.S. Bancorp Piper by Denise Hammond, managing agent, on 4/5/02. (sac) (Entered: 07/22/2002)
	Request

20	Filed: 4/19/2002, Entered: None
	AMENDED COMPLAINT by John Paul Smith amending [1-1] complaint ; Summons issued. (ac) (Entered: 07/18/2002)
	Request

19	Filed: 4/19/2002, Entered: None
	AFFIDAVIT OF SERVICE of S&C as to Terry Carlitz by Erin Jang, co-worker, on 3/15/02. (sac) (Entered: 05/14/2002)
	Request

18	Filed: 4/19/2002, Entered: None
	AFFIDAVIT OF SERVICE of S&C as to Bobby Yazdani by Erin Jang, co-worker, on 3/15/02. (sac) (Entered: 05/14/2002)
	Request

17	Filed: 4/19/2002, Entered: None
	AFFIDAVIT OF SERVICE of S&C as to Saba Software, Inc. by Erin Jang on 3/15/02. (sac) (Entered: 05/14/2002)
	Request

16	Filed: 4/12/2002, Entered: None
	RULE 1.9 CERTIFICATE filed by Saba Software, Inc. (sac) (Entered: 05/07/2002)
	Request

15	Filed: 4/2/2002, Entered: None
	AFFIDAVIT OF SERVICE of S&C as to Goldman, Sachs & Co. by Patricia A. McGraw on 3/13/02. (sac) (Entered: 04/10/2002)
	Request

14	Filed: 3/15/2002, Entered: None
	Letter filed by Merrill Lynch Pierce addressed to Mark Holland, dated 3/7/02; Re: counsel Gregory M. Egleston, has accepted service on behalf of Merill Lynch & Co. and Merill Lynch, Pierce, Fenner & Smith, Inc. this this IPO Action, 21 mc 92. (sac) (Entered: 04/05/2002)
	Request

13	Filed: 3/5/2002, Entered: None
	WAIVER OF SERVICE of Summons & Complaint returned executed as to Saba Software, Inc. mailed on 2/8/02. Answer due on 4/9/02 for Saba Software, Inc. (sac) (Entered: 03/11/2002)
	Request

12	Filed: 3/5/2002, Entered: None
	WAIVER OF SERVICE of Summons & Complaint returned executed as to Bobby Yazdani mailed on 2/8/02. Answer due on 4/9/02 for Bobby Yazdani. (sac) (Entered: 03/11/2002)
	Request

11	Filed: 3/5/2002, Entered: None
	WAIVER OF SERVICE of Summons & Complaint returned executed as to Terry Carlitz mailed on 2/8/02. Answer due on 4/9/02 for Terry Carlitz. (sac) (Entered: 03/11/2002)
	Request

10	Filed: 2/21/2002, Entered: None
	WAIVER OF SERVICE of Summons & Complaint returned executed as to O'Melveny & Myers, LLP mailed on 2/8/02. (sac) (Entered: 03/08/2002)
	Request

9	Filed: 2/21/2002, Entered: None
	WAIVER OF SERVICE of Summons & Complaint returned executed as to O'Melveny & Myers LLP mailed on 2/8/02. (sac) (Entered: 03/08/2002)
	Request

8	Filed: 1/29/2002, Entered: None
	DECLARATION of Darren J. Check by John Paul Smith in support Re: [6-1] motion for an order, appointing Movant as Lead Pltff, [6-2] motion for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel. (sac) (Entered: 02/27/2002)
	Request

7	Filed: 1/29/2002, Entered: None
	MEMORANDUM OF LAW by John Paul Smith in support of [6-1] motion for an order, appointing Movant as Lead Pltff, [6-2] motion for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel. (01 Civ. 10754) (sac) (Entered: 02/27/2002)
	Request

6	Filed: 1/29/2002, Entered: None
	NOTICE OF MOTION by John Paul Smith for an order, appointing Movant as Lead Pltff ; for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel ; Return date not indicated. (sac) (Entered: 02/27/2002)
	Request

5	Filed: 1/7/2002, Entered: None
	RULE 1.9 CERTIFICATE filed by Robertson Stephens. (sac) (Entered: 02/07/2002)
	Request

4	Filed: 1/9/2002, Entered: None
	RULE 1.9 CERTIFICATE filed by Goldman, Sachs & Co. (moc) (Entered: 01/31/2002)
	Request

3	Filed: 1/4/2002, Entered: None
	RULE 1.9 CERTIFICATE filed by Merrill Lynch. (sac) (Entered: 01/30/2002)
	Request

2	Filed: 1/4/2002, Entered: None
	RULE 1.9 CERTIFICATE filed by Banc of America LLC. (sac) (Entered: 01/24/2002)
	Request

1	Filed: 11/28/2001, Entered: None
	CLASS ACTION COMPLAINT filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). FILING FEE $ 150.00 RECEIPT # 423969. (kkc) (Entered: 12/04/2001)
	Request From Archives (Scanning Fees/Delay May Apply)

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