Capstone Turbine IPO, et al v. Capstone Turbine, et al

Federal Civil Lawsuit New York Southern District Court, Case No. 1:01-cv-11220
District Judge Shira A. Scheindlin, presiding
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District Judge Shira A. Scheindlin
Last Updated January 13, 2017 at 6:07 AM EST (8.2 years ago) Update UpdateSpaceE-Mail Alert AlertsSpaceJump Jump
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Parties
No Logo Ralph C. Harrison, Plaintiff

Represented by Bernstein Liebhard LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Stanley D Bernstein , +1 212 779 1414 +7793 779 779 3218 bernstein@bernlieb.com

Represented by Milberg LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Melvyn I Weiss +1 212 594 5300 +1 212 868 1229 mweiss@milbergweiss.com
v.
No Logo Ake Almgren, Defendant
No Logo Capstone Turbine Corp., Defendant

Represented by Morrison & Foerster, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Matthew Mark D'Amore +1 212 468 8000 +1 212 903 7820 mdamore@mofo.com
Citigroup Global Markets, Inc. Citigroup Global Markets, Inc., Defendant
The Goldman Sachs Group, Inc. The Goldman Sachs Group, Inc., Defendant
Officially listed as "Goldman Sachs & Co., Inc."

Represented by Sullivan & Cromwell LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Gandolfo V. Diblasi +1 212 558 4992 +5583 558 558 3588 diblasig@sullcrom.com
LEAD ATTORNEY John Louis Hardiman +1 212 558 4070 +1 212 558 3588 hardimanj@sullcrom.com
LEAD ATTORNEY David Maxwell James Rein +1 212 558 3035 +1 212 558 3588 reind@sullcrom.com
LEAD ATTORNEY Penny Shane +1 212 558 4000 +1 212 558 3588 shanep@sullcrom.com
No Logo Jeffrey Watts, Defendant
Merrill Lynch, Pierce, Fenner & Smith, Inc. 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, Mlgpe Ltd
Merrill Lynch GP Inc. Officer/Director, Merrill Lynch GP Inc.
Officer/Director, Merrill Lynch & Co Inc
Officer/Director, Merrill Lynch Group, Inc
Hertz Global Holdings Inc Officer/Director, Hertz Global Holdings Inc
Merrill Lynch International Officer/Director, Merrill Lynch International
Officer/Director, Merrill Lynch Trust Co Fsb
Officer/Director, Infospace.com, Inc.
Officer/Director, Fund Asset Management Lp
Officer/Director, New BlackRock, Inc.
Officer/Director, Princeton Administrators Lp
Officer/Director, NATIONSBANK CORP
Bank of America, NA Officer/Director, Bank of America, NA
Officer/Director, Blue Ridge Investments, LLC
Officer/Director, Gabelli Utility Fund
Officer/Director, Pimco High Income Fund
Officer/Director, Koll Real Estate Group Inc
Officer/Director, Uslife Income Fund Inc
Officer/Director, Muniholdings Fund Inc
Officer/Director, Munienhanced Fund Inc
Officer/Director, Muniyield Quality Fund Inc
Officer/Director, Munivest Fund II Inc

Represented by Goodwin Procter, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Mark Holland +1 212 813 8800 +1 212 355 3333 mholland@goodwinlaw.com
Morgan Stanley & Company Inc. Morgan Stanley & Company Inc., Defendant
Officially listed as "Morgan Stanley & Co."
Director, Toy Biz, Inc.
Officer/Director, Pagemart Wireless, Inc.
Officer/Director, Vital Images, Inc.
Officer/Director, Xcyte Therapies, Inc.
Officer/Director, Websense, Inc.
Officer/Director, Silgan Holdings Inc.
Officer/Director, Msci Inc.
Officer/Director, Allegiance Telecom, Inc.
Officer/Director, Wci Communities, Inc.
Officer/Director, Gramercy Capital Corp.
Officer/Director, Discover Financial Services
Officer/Director, Cadiz Land Co Inc
Officer/Director, Ivf America Inc /de
Officer/Director, Jefferson Smurfit Corp /de/
Officer/Director, Imre Corp
Officer/Director, Uniholding Corp
Officer/Director, Cardiac Pathways Corp
Officer/Director, Impsat Corp
Officer/Director, Allscripts Inc /il
Officer/Director, Allscripts Holding Inc
Officer/Director, Psf Group Holdings Inc
Officer/Director, Acquicor Technology Inc
Officer/Director, Constant Contact, Inc.
Officer/Director, Big Entertainment, Inc.
Officer/Director, Pilgrim Prime Rate Trust
Officer/Director, Digitalglobe, Inc.
Officer/Director, Remec, Inc.
Officer/Director, Golden Tan, Inc
Officer/Director, Ms Holdings Inc
Officer/Director, NB Telecom, Inc.
Officer/Director, Pioneer High Income Trust
Officer/Director, Muniyield Quality Fund Inc
Officer/Director, Lazarus Industries Inc
Officer/Director, Pacholder Fund Inc
Officer/Director, Texas Industries, Inc.
Officer/Director, Innocoll Holdings plc
Officer/Director, Visions In Glass Inc
Officer/Director, Bloom Energy Corp
Officer/Director, Leisure Acquisition Corp.
Officer/Director, Rps Realty Trust
Officer/Director, Symix Systems, Inc.
Officer/Director, Cfw Communications Co
Officer/Director, Saratogo Holdings I Inc
Officer/Director, Municipal Partners Fund Inc

Represented by Kirkland & Ellis LLP

Name Phone Fax E-Mail
LEAD ATTORNEY Andrew Brian Clubok +1 202 879 5173 +1 202 879 5200 aclubok@kirkland.com
Attributes
Citation Section 15 U.S.C. § 77
Nature of Suit 850 - Other Statutes: Securities/Commodities/Exchange
Timeline
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Legal Document (Payment Possibly Required) 44 Filed: 11/5/2012, Entered: None Court Filing
ORDER RE: CLAIMANTS SEEKING COURT REVIEW OF THE REJECTION OF THEIR PROOFS OF CLAIM: The POCs submitted by the following claimants who have requested this Court's review, are hereby finally REJECTED: Joan Rodriguez, 5165197; Charles E. Herbert, P.E., 1765520; Sumana S. Rockich IRA, 30012298; Sumana S. Rockich & Michael Rockich, JT, 30012244. (Signed by Judge Shira A. Scheindlin on 10/23/2012) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(ft) (Entered: 11/07/2012)
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Legal Document (Payment Possibly Required) 43 Filed: 10/17/2012, Entered: None
DECLARATION of Stephen J Cirami in Opposition re: responses receied on plaintiffs' motion to approve rejection of certain claimants who have disputed the rejection of their claims. Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(cd) (Entered: 10/19/2012)
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Legal Document (Payment Possibly Required) 42 Filed: 10/17/2012, Entered: None
DECLARATION of George A Bauer in Opposition to answering submission from Charles A Herbert, P.E. Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(cd) (Entered: 10/19/2012)
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Legal Document (Payment Possibly Required) 41 Filed: 10/10/2012, Entered: None
DECLARATION of Stephen J. Cirami in Support re: (58 in 1:01-cv-11249-SAS, 60 in 1:01-cv-10753-SAS, 41 in 1:01-cv-10988-SAS, 39 in 1:01-cv-09883-SAS, 58 in 1:01-cv-06873-SAS, 27 in 1:06-cv-12881-SAS, 37 in 1:01-cv-10799-SAS, 97 in 1:01-cv-06001-SAS, 66 in 1:01-cv-08404-SAS, 45 in 1:01-cv-10901-SAS, 22 in 1:01-cv-09190-SAS, 26 in 1:06-cv-10230-SAS, 37 in 1:01-cv-11219-SAS, 38 in 1:01-cv-10942-SAS, 61 in 1:01-cv-10838-SAS, 49 in 1:01-cv-10576-SAS, 43 in 1:01-cv-10683-SAS, 39 in 1:01-cv-10105-SAS, 28 in 1:01-cv-06780-SAS, 57 in 1:01-cv-09748-SAS, 74 in 1:01-cv-00242-SAS, 27 in 1:06-cv-14287-SAS, 27 in 1:06-cv-14202-SAS, 78 in 1:01-cv-03857-SAS, 33 in 1:01-cv-09619-SAS, 55 in 1:01-cv-02359-SAS, 54 in 1:01-cv-06288-SAS, 36 in 1:01-cv-10800-SAS, 64 in 1:01-cv-07048-SAS, 51 in 1:01-cv-06277-SAS, 61 in 1:01-cv-09417-SAS, 46 in 1:01-cv-10053-SAS, 48 in 1:01-cv-09504-SAS, 51 in 1:01-cv-06820-SAS, 36 in 1:01-cv-10108-SAS, 41 in 1:01-cv-09411-SAS, 22 in 1:01-cv-09191-SAS, 37 in 1:01-cv-10839-SAS, 58 in 1:01-cv-05258-SAS, 72 in 1:01-cv-02261-SAS, 68 in 1:01-cv-03020-SAS, 38 in 1:01-cv-11220-SAS, 60 in 1:01-cv-02858-SAS, 6319 in 1:21-mc-00092-SAS-HBP, 37 in 1:01-cv-09741-SAS, 27 in 1:06-cv-14286-SAS) MOTION iohkjm.. Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(pl) (Entered: 10/16/2012)
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Legal Document (Payment Possibly Required) 40 Filed: 10/10/2012, Entered: None
JOINT DECLARATION of Stanley D. Bernstein and Ariana J. Tadler in Support re: (58 in 1:01-cv-11249-SAS, 60 in 1:01-cv-10753-SAS, 41 in 1:01-cv-10988-SAS, 39 in 1:01-cv-09883-SAS, 58 in 1:01-cv-06873-SAS, 27 in 1:06-cv-12881-SAS, 37 in 1:01-cv-10799-SAS, 97 in 1:01-cv-06001-SAS, 66 in 1:01-cv-08404-SAS, 45 in 1:01-cv-10901-SAS, 22 in 1:01-cv-09190-SAS, 26 in 1:06-cv-10230-SAS, 37 in 1:01-cv-11219-SAS, 38 in 1:01-cv-10942-SAS, 61 in 1:01-cv-10838-SAS, 49 in 1:01-cv-10576-SAS, 43 in 1:01-cv-10683-SAS, 39 in 1:01-cv-10105-SAS, 28 in 1:01-cv-06780-SAS, 57 in 1:01-cv-09748-SAS, 74 in 1:01-cv-00242-SAS, 27 in 1:06-cv-14287-SAS, 27 in 1:06-cv-14202-SAS, 78 in 1:01-cv-03857-SAS, 33 in 1:01-cv-09619-SAS, 55 in 1:01-cv-02359-SAS, 54 in 1:01-cv-06288-SAS, 36 in 1:01-cv-10800-SAS, 64 in 1:01-cv-07048-SAS, 51 in 1:01-cv-06277-SAS, 61 in 1:01-cv-09417-SAS, 46 in 1:01-cv-10053-SAS, 48 in 1:01-cv-09504-SAS, 51 in 1:01-cv-06820-SAS, 36 in 1:01-cv-10108-SAS, 41 in 1:01-cv-09411-SAS, 22 in 1:01-cv-09191-SAS, 37 in 1:01-cv-10839-SAS, 58 in 1:01-cv-05258-SAS, 72 in 1:01-cv-02261-SAS, 68 in 1:01-cv-03020-SAS, 38 in 1:01-cv-11220-SAS, 60 in 1:01-cv-02858-SAS, 6319 in 1:21-mc-00092-SAS-HBP, 37 in 1:01-cv-09741-SAS, 27 in 1:06-cv-14286-SAS) MOTION iohkjm.. Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(pl) (Entered: 10/16/2012)
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Legal Document (Payment Possibly Required) 39 Filed: 10/10/2012, Entered: None
MEMORANDUM OF LAW in Support by Members of Plaintiffs' Executive Committee: re: MOTION ENTRY OF THE PROPOSED CLASS DISTRIBUTION ORDER. Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(pl) Modified on 10/16/2012 (pl). (Entered: 10/16/2012)
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Legal Document (Payment Possibly Required) 38 Filed: 10/10/2012, Entered: None
NOTICE OF MOTION AND MOTION FOR ENTRY OF THE PROPOSED CLASS DISTRIBUTION ORDER BY Members of Plaintiffs' Executive Committee: Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(pl) Modified on 10/16/2012 (pl). (Entered: 10/16/2012)
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Legal Document (Payment Possibly Required) 37 Filed: 10/12/2012, Entered: None
MEMORANDUM OF LAW in Support OF Charles A. Herbert, P.E. re: (25 in 1:06-cv-14287-SAS) MOTION to Approve FOR AN ORDER APPROVING PROOF OF CLAIM WHERE THE CLAIMANT DISPUTES THE REJECTION AND HAS REQUESTED THE COURT'S REVIEW OF SUCH REJECTION.. Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(pl) (Entered: 10/15/2012)
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Legal Document (Payment Possibly Required) 36 Filed: 10/12/2012, Entered: None
MOTION FOR AN ORDER APPROVING PROOF OF CLAIM WHERE THE CLAIMANT DISPUTES THE REJECTION AND HAS REQUESTED THE COURT'S REVIEW OF SUCH REJECTION. Document filed by Stanley E. O'Neal.Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(pl) (Entered: 10/15/2012)
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Legal Document (Payment Possibly Required) 35 Filed: 10/5/2012, Entered: None Court Filing
ORDER GRANTING PERMISSION TO SUBMIT CD-ROM COPY OF EXHIBIT B TO THE DECLARATION OF STEPHEN J. CIRAMI: It is hereby ORDERED, that the Clerk of Court is directed to accept for filing and docket a CD-ROM or other digital storage device that contains a digital copy of Exhibits B-1 (Authorized Claimants) and B-2 (Rejected Claimants) to the Declaration of Stephen J. Cirami, Senior Vice President, Operations, of The Garden City Group, Inc. (Signed by Judge Shira A. Scheindlin on 10/5/2012) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(lmb) (Entered: 10/09/2012)
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Legal Document (Payment Possibly Required) 34 Filed: 4/12/2012, Entered: None Court Filing
ORDER FOR RELEASE OF FUNDS POSTED TO SATISFY RULE 7 BOND TO SETTLING OBJECTIONS granting (6302) Motion for Release of Funds in case 1:21-mc-00092-SAS-HBP. IT IS HEREBY ORDERED that within ten (10) calendar days of this order the clerk shall release to Jeffrey Weinstein, on behalf of the Movants, the $25,000 deposited with the cashier's office under Objectors Receipt Number 909152. The clerk's check for $25,000 should be made payable to "Jeffrey Weinstein" and mailed to Jeffrey Weinstein, 518 East Tyler Street, Athens, Texas, 75751. IT IS FURTHER ORDERED that the Movants are hereby relieved of their joint and several obligation to post a bond. Movants are to pay their own fees and costs in the action. The Clerk of the Court is directed to close this motion [Docket No. 6302]. (Signed by Judge Shira A. Scheindlin on 4/12/2012) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(mro) Modified on 4/13/2012 (mro). (Entered: 04/12/2012)
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Legal Document (Payment Possibly Required) 33 Filed: 2/9/2012, Entered: None Court Filing
ADMINISTRATIVE ORDER AUTHORIZING CLAIMS ADMINISTRATOR TO PROCESS CLAIMS SUBMITTED PRIOR TO ENTRY OF THIS ORDER AND TO STOP PROCESSING ANY NEW PROOFS OF CLAIM: The Claims Administrator is authorized to process all Proofs of Claim it received on or before entry of this Order; and it is further ORDERED, that any Proofs of Claim received by the Claims Administrator after entry of this Order shall not be processed, may not be accepted and shall be returned by the Claims Administrator to the sender together with a notice stating that "The Court has entered an Order providing that no Proof of Claim submitted after the date of entry of this Order may be accepted for any reason whatsoever" and it is further ORDERED, that the Claims Administrator is directed to include a notice on the www.iposecuritieslitigationsettlement.com website stating that no Proof of Claim submitted after the date ofentry of this Order may be accepted for any reason whatsoever; and it is further ORDERED, that the Claims Administrator is directed to promptly conclude the processing of all Proofs of Claim received on or before entry of this Order; and it is further ORDERED, that, upon the Claims Administrator's conclusion of the processing of the Proofs of Claim submitted or before entry of this Order, Plaintiffs' Executive Committee shall move for the Class Distribution Order contemplated in paragraph 14 of the Stipulation; and it is further ORDERED, that this Court retain jurisdiction over any further application or matter which may arise in connection with the administration an Settlement of this litigation. (Signed by Judge Shira A. Scheindlin on 2/9/2012) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(ft) (Entered: 02/09/2012)
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Legal Document (Payment Possibly Required) 32 Filed: 8/16/2011, Entered: None
PLAINTIFF'S REPLY TO PRO SE OBJECTOR JAMES J. HAYES'S AUGUST 8, 2011 SUBMISSION. Document filed by the plaintiffs. (Received in the night deposit box on 8/16/11 at 11:18 pm) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(mro) (Entered: 08/17/2011)
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Legal Document (Payment Possibly Required) 31 Filed: 8/5/2011, Entered: None
DECLARATION of Christian Siebott in Support of Plaintiffs' Response to this Court's July 20, 2011 Order addressing whether Pro Se objector James J. Hayes is a class member. Document filed by the plaintiffs. (Received in the night deposit box on 8/5/11 at 11:13pm) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(mro) (Entered: 08/08/2011)
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Legal Document (Payment Possibly Required) 30 Filed: 8/5/2011, Entered: None
PLAINTIFFS' RESPONSE TO THIS COURT'S JULY 20, 2011 ORDER ADDRESSING WHETHER PRO SE OBJECTOR JAMES J. HAYES IS A CLASS MEMBER. Document filed by the plaintiffs. (Received in the night deposit box on 8/5/11 at 11:13pm)Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(mro) (Entered: 08/08/2011)
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Legal Document (Payment Possibly Required) 29 Filed: 7/20/2011, Entered: None Court Filing
ORDER: If Hayes is directed to submit any further support he wishes to be considered on the question of whether he is a class member, i.e., a "person...[who] purchased or otherwise acquired the securities of [Specific Issuer] during the Class Period and [was] damaged thereby," by the close of business on July 29, 2011. If Hayes makes any further submissions he shall simultaneously serve Plaintiffs' Executive Committee by email or by overnight express mail. Any party who wises to respond to Hayes's submissions to date or in response to this Order shall do so by the close of business on August 5, 2011. (Signed by Judge Shira A. Scheindlin on 7/20/2011) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(tro) (Entered: 07/21/2011)
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Legal Document (Payment Possibly Required) 28 Filed: 7/8/2011, Entered: None Court Filing
OPINION AND ORDER #100514. For the foregoing reasons, total fees shall be allocated according to the methodology described herein and in the amounts included in the attached Spreadsheet. Expenses and interest shall be allocated according to Exhibit A of the Proposal. The Objectors are directed to file their Objections and any responses thereto. The Clerk of the Court is then directed to close these motions. (Signed by Judge Shira A. Scheindlin on 7/8/11) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(djc) (Entered: 07/12/2011)
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Legal Document (Payment Possibly Required) 27 Filed: 6/15/2011, Entered: None Court Filing
ORDER Plaintiffs' Executive Committee ("EC") is hereby ordered to prepare a spreadsheet showing the allocation of total fees of $170,084,950.00 based on the "revised adjusted lodestars" of both the EC and non-EC law firms. This spreadsheet must be submitted to the Court by close of business Monday, June 20, 2011. (Signed by Judge Shira A. Scheindlin on 6/15/11); Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(djc) (Entered: 06/15/2011)
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Legal Document (Payment Possibly Required) 26 Filed: 1/13/2011, Entered: None Court Filing
ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Fred Taylor Isquith dated 12/17/10 re: We respectfully request a pre-motion conference for an Order directing Piven not to bring claims relating to his entitlement to fees in the IPO Litigation other than before Your Honor. ENDORSEMENT: To the extent that the law firm of Brower Piven, P.C. is directly seeking attorney's fees related to its work in the IPO litigation, such claim will be heard by Judge Scheindlin. But any disputes between Brower Piven and Wolf Haldenstein arising out of any alleged contract or agreement between those parties will be heard by Judge Sullivan. So ordered. (Signed by Judge Shira A. Scheindlin on 12/23/10) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(rjm) (Entered: 01/13/2011)
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Legal Document (Payment Possibly Required) 25 Filed: 1/7/2011, Entered: None Court Filing
ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Fred Taylor Isquith dated 12/17/2010 re: Requesting a pre-motion conference for an Order directing Piven not to bring claims relating to his entitlement to fees in the IPO Litigation other than before Your Honor. ENDORSEMENT: To the extent that the law firm of Brower Piven P.C. is directly seeking attorneys fees related to its work in the IPO litigation, such claims will be heard by Judge Scheindlin. But any disputes between Brower Piven and Wolf Haldenstein arriving out of any alleged contract or agreement between those parties will be heard by Judge Sullivan. (Signed by Judge Shira A. Scheindlin on 12/23/2010) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(jpo) (Entered: 01/07/2011)
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Legal Document (Payment Possibly Required) 24 Filed: 12/23/2010, Entered: None Court Filing
ENDORSED LETTER addressed to Judge Shira A. Scheindlin from Fred Taylor Isquith dated 12/17/10 re: Request for a pre-motion conference for an Order directing Piven not to bring claims relating to his entitlement to fees in the IPQ Litigation other than before Your Honor. ENDORSEMENT: To the extent that the law firm Brower Piven PC is directly seeking attorneys' fees related to its work in the IPO litigation, such caim will be heard by Judge Sheindlin. But only disputes between Brower Piven and Wolf Halderstein arising out of any alleged contract or agreement between those parties will be heard by Judge Sullivan. So Ordered. (Signed by Judge Shira A. Scheindlin on 12/23/10) Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(db) Modified on 1/13/2011 (db). (Entered: 12/28/2010)
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Legal Document (Payment Possibly Required) 23 Filed: 4/14/2010, Entered: None
RESPONSE to Discovery Request from Baum.Document filed by Lester Baum.Associated Cases: 1:21-mc-00092-SAS-HBP et al.(Greene, Leland) (Entered: 04/14/2010)
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Legal Document (Payment Possibly Required) 22 Filed: 4/14/2010, Entered: None
NOTICE OF APPEARANCE by Leland L. Greene on behalf of Lester Baum Filed In Associated Cases: 1:21-mc-00092-SAS-HBP et al.(Greene, Leland) (Entered: 04/14/2010)
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Legal Document (Payment Possibly Required) 21 Filed: 11/30/2009, Entered: None Court Filing
ORDER AND FINAL JUDGMENT, Settleing action. (Signed by Judge Shira A. Scheindlin on 11/24/09) (Attachments: # 1 Notice of Right to Appeal)(dt) (Entered: 11/30/2009)
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Legal Document (Payment Possibly Required) 20 Filed: 2/9/2009, Entered: None Court Filing
STIPULATION AND ORDER; on 5/13/08, the court issued and filed an Opinion and order granting in part and denying in part the motion of the underwriters to strike class allegations from the complaints in twenty-six non-focus cases pursuant to Fed. R. Civ. P. 23(d)(1)(D). The court directed that withing 21 days of the Opinion and Order, "plaintiffs shall notify defendants and the Court of the identity of the putative class representatives for each proposed class in each of the 18 cases and the basis for each putative representative's claim, and shall indicate whether these putative representatives are members of the proposed classes." Plaintiffs' time to disclose the required information is extended through and including 3/6/09. (Signed by Judge Shira A. Scheindlin on 2/11/09) Filed In Associated Cases: 1:21-mc-00092-SAS et al.(sac) (Entered: 02/13/2009)
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Legal Document (Payment Possibly Required) 19 Filed: 10/28/2008, Entered: None Court Filing
STIPULATION AND ORDER; on 5/13/08, the court issued and filed an Opinion and Order granting in part and denying in part the motion of the underwriters to strike class allegations from the complaints in twenty-six non-focus cases. The court directed that within twenty-one days of the Opinion and Order, "plaintiffs shall notify defendants and the Court of the identity of the putative class representatives for each proposed class in each of the eighteen cases and the basis for each putative representative's claim, and shall indicate whether these putative representatives are members of the proposed classes." Plaintiffs' time to disclose the required information is extended through and including 1/30/09. (Signed by Judge Shira A. Scheindlin on 10/28/08) Filed In Associated Cases: 1:21-mc-00092-SAS et al.(sac) (Entered: 10/29/2008)
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Legal Document (Payment Possibly Required) 18 Filed: 8/25/2008, Entered: None Court Filing
STIPULATION AND ORDER; on 5/13/08, the Court issued and filed an Opinion and Order granting in part and denying in part the motion of the underwriters to strike class allegations from the complaints in 26 non-focus cases. The Court directed that within 21 days of the Opinion and Order, "plaintiffs shall notify defendants and the Court of the identity of the putative class representatives for each proposed class in each of the 18 cases and the basis for each putative representative's claim, and shall indicate whether putative representatives are members of the proposed classes." Plaintiffs' time to disclose the required information is extended through and including 10/30/08. (Signed by Judge Shira A. Scheindlin on 8/25/08) Filed In Associated Cases: 1:21-mc-00092-SAS et al.(sac) (Entered: 08/25/2008)
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Legal Document (Payment Possibly Required) 17 Filed: 7/17/2008, Entered: None Court Filing
STIPULATION AND ORDER; on 5/13/08, the Court issued and filed an Opinion and Order granting in part and denying in part the motion of the underwriters to strike class allegations from the complaints in 26 non-focus cases. The Court directed that within 21 days of the Opinion and Order, "plaintiffs shall notify defendants and the Court of the identity of the putative class representatives for each proposed class in each of the 18 cases and the basis for each putative representative's claim, and shall indicate whether putative representatives are members of the proposed classes." The Plaintiffs' time to disclose the required information is extended through and including 8/22/08. (Signed by Judge Shira A. Scheindlin on 7/16/08) Filed In Associated Cases: 1:21-mc-00092-SAS et al.(sac) (Entered: 07/17/2008)
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Legal Document (Payment Possibly Required) 16 Filed: 6/4/2008, Entered: None Court Filing
STIPULATION AND ORDER; on 5/13/08, the Court issued and filed an Opinion and Order granting in part and denying in part the motion of the underwriters to strike class allegations from the complaints in twenty-six non-focus cases. Plaintiffs' time to disclose the required information is extended through and including 7/15/08. (Signed by Judge Shira A. Scheindlin on 6/4/08) This Document Relates to: 01cv3020; 01cv5258; 01cv6277; 01cv6820; 01cv6873; 01cv9411; 01cv9504; 01cv9741; 01cv9748; 01cv9619; 01cv9883; 01cv10053; 01cv10105; 01cv10108; 01cv10576; 01cv10683; 01cv10753; 01cv10799; 01cv10838; 01cv10839; 01cv10901; 01cv10942; 01cv10988; 01cv11219; 01cv11220; 01cv11249. (sac) (Entered: 06/05/2008)
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Legal Document (Payment Possibly Required) 15 Filed: 8/13/2003, Entered: None
ANSWER to Amended Class Action Complaint. Document filed by Citigroup Global Markets, Inc.. Related document: 9 Amended Complaint filed by Ralph C. Harrison.(sac, ) (Entered: 03/31/2004)
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Legal Document (Payment Possibly Required) 14 Filed: 7/29/2003, Entered: None
ANSWER by Morgan Stanley & Co. to [9-1] amended complaint . (Attorney Andrew B. Clubok from the Firm: Kirkland & Ellis, LLP) (sac) (Entered: 10/20/2003)
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Legal Document (Payment Possibly Required) 13 Filed: 7/22/2003, Entered: None
ANSWER by Goldman Sachs & Co. to [9-1] amended complaint . (Attorney Penny Shane from the Firm: Sullivan & Cromwell, LLP). (sac) (Entered: 09/18/2003)
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Legal Document (Payment Possibly Required) 12 Filed: 7/22/2003, Entered: None
ANSWER by Merrill Lynch, Inc. to [9-1] amended complaint . (Attorney Mark Holland from the Firm: Clifford Chance US, LLP). (sac) (Entered: 09/16/2003)
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Legal Document (Payment Possibly Required) 11 Filed: 11/26/2002, Entered: None Court Filing
STIPULATION AND ORDER, substituting Morrison & Foerster LLP in place of Brobeck, Phleger & Harrison, LLP as counsel for deft Capstone Turbine Corp. ( signed by Judge Shira A. Scheindlin ) (sac) (Entered: 03/13/2003)
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Legal Document (Payment Possibly Required) 10 Filed: 1/15/2003, Entered: None
NOTICE of REGISTRATION AND FIRM NAME CHANGE by Goldman Sachs & Co. Re: Sullivan & Cromwell LLP. (jw) (Entered: 03/06/2003)
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Legal Document (Payment Possibly Required) 9 Filed: 4/19/2002, Entered: None
AMENDED COMPLAINT by Ralph C. Harrison amending [1-1] complaint ; Summons issued. (ac) (Entered: 07/19/2002)
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Legal Document (Payment Possibly Required) 8 Filed: 3/7/2002, Entered: None
RULE 1.9 CERTIFICATE filed by Capstone Turbine. (sac) (Entered: 03/11/2002)
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Legal Document (Payment Possibly Required) 7 Filed: 2/25/2002, Entered: None
DECLARATION of Samuel H. Rudman by Ralph C. Harrison in support Re: [5-1] motion for an order, appointing Movant as Lead Pltff, [5-2] motion for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel. (sac) (Entered: 03/08/2002)
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Legal Document (Payment Possibly Required) 6 Filed: 2/25/2002, Entered: None
MEMORANDUM OF LAW by Ralph C. Harrison in support of [5-1] motion for an order, appointing Movant as Lead Pltff, [5-2] motion for an order, approving Movant's selection of the IPO Securities Litigation Pltffs' Executive Committee to serve as Lead Counsel. (sac) (Entered: 03/08/2002)
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Legal Document (Payment Possibly Required) 5 Filed: 2/25/2002, Entered: None
NOTICE OF MOTION by Ralph C. Harrison 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. (rec'd in the night deposit box on 2/25/02 at 11:14 p.m.) (sac) (Entered: 03/08/2002)
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Legal Document (Payment Possibly Required) 4 Filed: 1/9/2002, Entered: None
RULE 1.9 CERTIFICATE filed by Goldman Sachs & Co. (sac) (Entered: 02/12/2002)
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Legal Document (Payment Possibly Required) 3 Filed: 1/4/2002, Entered: None
RULE 1.9 CERTIFICATE filed by Merrill Lynch, Inc. (sac) (Entered: 01/30/2002)
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Legal Document (Payment Possibly Required) 2 Filed: 1/4/2002, Entered: None
RULE 1.9 CERTIFICATE filed by Morgan Stanley & Co. . (gmo) (Entered: 01/21/2002)
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Legal Document (Payment Possibly Required) 1 Filed: 12/6/2001, Entered: None
COMPLAINT filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). FILING FEE $ 150.00 RECEIPT # 424573. (db) (Entered: 12/13/2001)
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