US
District Court Civil Docket as of 01/09/2012
Retrieved from the court on January 11, 2012
Southern District of New York (
CIVIL DOCKET FOR CASE #:
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Cause:
15:78m(a) Securities Exchange Act |
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Lead
Plaintiff |
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Robert
Berzin
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represented by |
Aaron
Michael Sheanin |
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Lead
Plaintiff |
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Colin
Wilson
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represented by |
Aaron
Michael Sheanin |
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Lead
Plaintiff |
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Ronald
Levy |
represented by |
Aaron
Michael Sheanin |
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Lead
Plaintiff |
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Michael
Bonde
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represented by |
Aaron
Michael Sheanin |
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Plaintiff
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Frederick
Burton
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represented by |
Christopher
Adam Seeger |
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Movant
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Gerald
Wendel
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represented by |
Aaron
Michael Sheanin |
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Defendant
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Merrill
Lynch & Co., Inc. |
represented by |
Jay
B. Kasner |
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Defendant
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Merrill
Lynch
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represented by |
Jay
B. Kasner |
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Defendant
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Pierce,
Fenner & Smith Inc. |
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Defendant
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Merrill
Lynch, Pierce, Fenner & Smith Incorporated |
represented by |
Jay
B. Kasner |
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Date
Filed |
# |
Docket
Text |
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COMPLAINT
against Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner &
Smith Inc. (Filing Fee $ 350.00, Receipt Number 645856)Document filed by
Frederick Burton.(jeh) (Entered: |
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SUMMONS
ISSUED as to Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner
& Smith Inc. (jeh) (Entered: 03/27/2008) |
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Magistrate
Judge Douglas F. Eaton is so designated. (jeh) (Entered: |
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Case
Designated ECF. (jeh) (Entered: |
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RULE 7.1
CORPORATE DISCLOSURE STATEMENT. Identifying Merrill Lynch & Co., Inc. as
Corporate Parent. Document filed by Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Merrill Lynch & Co., Inc..(Kasner, Jay) (Entered: |
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NOTICE
OF APPEARANCE by Jay B. Kasner on behalf of Merrill Lynch, Pierce, Fenner
& Smith Incorporated, Merrill Lynch & Co., Inc. (Kasner, Jay)
(Entered: 04/01/2008) |
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NOTICE
OF APPEARANCE by Scott D. Musoff on behalf of Merrill Lynch, Pierce, Fenner
& Smith Incorporated, Merrill Lynch & Co., Inc. (Musoff, Scott)
(Entered: 04/01/2008) |
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MEMORANDUM,
the parties are informed that the law firm in which my husband is a partner,
Cahill Gordon & Reindel LLP, from time to time represents Merrill Lynch
and/or its affiliates, and he works on those matters. (Signed by Judge
Loretta A. Preska on |
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CORRECTED
MEMORANDUM: The parties are informed that the law firm in which my husband is
a partner, Cahill Gordon & Reindel LLP, from time to time represents
Merrill Lynch and/or its affiliates, and does not work on those matters.
(Signed by Judge Loretta A. Preska on |
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ORDER:
Having reviewed Mr. Girard's letter of April 16, Mr. Kasner's letter April 17
and Mr. Korsinky's letter of April 17, counsel's attention is directed to the
Corrected Memorandum in |
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LETTER
addressed to Judge Loretta A Preska from Eduard Korsinsky dated 4/17/2008 re:
Informing the Court that Mr. Stanton does not waive recusal under Section 28
U.S.C. 445(a) in response to the Court's March 31, 2008 Memorandum. Document
filed by Frederick Burton.(jpo) (Entered: |
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LETTER
addressed to Judge Loretta A. Preska from Daniel C. Girard dated |
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LETTER
addressed to Judge Loretta A. Preska from Jay B. Kasner dated |
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AFFIDAVIT
OF SERVICE of Summons and Complaint. Merrill Lynch, Pierce, Fenner &
Smith Incorporated served on |
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STIPULATION
AND ORDER, that defendants' time to answer the complaint is extended to 60
days after the service of a consolidated amended complaint. To the extent
that defendants deem the amended consolidated complaint to be deficient, they
shall so notify plaintiff, describing the perceived deficiencies. Plaintiff
shall, within a week thereof, inform defendants whether he wishes to stand on
the amended complaint or amend one final time. If plaintiff decides to stand
on the amended consolidated complaint, no further amendments shall be
permitted. (Signed by Judge Loretta A. Preska on |
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MOTION
for Norman E. Siegel to Appear Pro Hac Vice. Document filed by Frederick
Burton.(dle) (Entered: |
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CASHIERS
OFFICE REMARK on 13
Motion to Appear Pro Hac Vice in the amount of $25.00, paid on |
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ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 13 Motion for
Norman E. Siegel to Appear Pro Hac Vice. (Signed by Judge Loretta A. Preska
on |
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Transmission
to Attorney Admissions Clerk. Transmitted re: 14 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of
Attorney Information. (mme) (Entered: |
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MOTION
to Consolidate Cases., MOTION to Appoint Gerald Wendel and Robert Berzin to
serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by
Frederick Burton. (Attachments: # 1 Text of Proposed
Order)(Levine, Jonathan) (Entered: |
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MEMORANDUM
OF LAW in Support re: 15
MOTION to Consolidate Cases. MOTION to Appoint Gerald Wendel and Robert
Berzin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document
filed by Frederick Burton. (Levine, Jonathan) (Entered: |
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DECLARATION
of Jonathan K. Levine in Support re: 15 MOTION to
Consolidate Cases. MOTION to Appoint Gerald Wendel and Robert Berzin to serve
as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Frederick
Burton. (Levine, Jonathan) (Entered: |
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MOTION
for Daniel C. Girard to Appear Pro Hac Vice. Document filed by Frederick
Burton.(dle) (Entered: |
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MOTION
for A.J. De Bartolomeo to Appear Pro Hac Vice. Document filed by Frederick
Burton.(dle) (Entered: |
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MOTION
for Christina H.C. Sharp to Appear Pro Hac Vice. Document filed by Frederick
Burton.(dle) (Entered: |
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MOTION
for Aaron M. Sheanin to Appear Pro Hac Vice. Document filed by Frederick
Burton.(dle) (Entered: |
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CASHIERS
OFFICE REMARK on 21
Motion to Appear Pro Hac Vice, 19 Motion to Appear
Pro Hac Vice, 18
Motion to Appear Pro Hac Vice, 20 Motion to Appear
Pro Hac Vice in the amount of $100.00, paid on 06/02/2008, Receipt Number
652827. (jd) (Entered: |
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ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 18 Motion for
Daniel C. Girard to Appear Pro Hac Vice. (Signed by Judge Loretta A. Preska
on |
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Transmission
to Attorney Admissions Clerk. Transmitted re: 22 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of
Attorney Information. (mme) (Entered: |
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ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 19 Motion for A.J.
De Bartolomeo to Appear Pro Hac Vice. (Signed by Judge Loretta A. Preska on |
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Transmission
to Attorney Admissions Clerk. Transmitted re: 23 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of
Attorney Information. (mme) (Entered: |
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ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 20 Motion for
Christina H. C. Sharp to Appear Pro Hac Vice. (Signed by Judge Loretta A.
Preska on |
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Transmission
to Attorney Admissions Clerk. Transmitted re: 24 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of
Attorney Information. (mme) (Entered: |
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RESPONSE
to Motion re: 15
MOTION to Consolidate Cases. MOTION to Appoint Gerald Wendel and Robert
Berzin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document
filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill
Lynch & Co., Inc.. (Attachments: # 1 Certificate of
Service)(Kasner, Jay) (Entered: |
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RESPONSE
in Support re: 15
MOTION to Consolidate Cases. MOTION to Appoint Gerald Wendel and Robert
Berzin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document
filed by Gerald Wendel. (Levine, Jonathan) (Entered: |
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DECLARATION
of Aaron M. Sheanin in Support re: 15 MOTION to
Consolidate Cases. MOTION to Appoint Gerald Wendel and Robert Berzin to serve
as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Gerald
Wendel. (Levine, Jonathan) (Entered: |
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REPLY
MEMORANDUM OF LAW in Support re: 15 MOTION to
Consolidate Cases. MOTION to Appoint Gerald Wendel and Robert Berzin to serve
as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Gerald
Wendel. (Levine, Jonathan) (Entered: |
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ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 21 Motion for Aaron
M. Sheanin to Appear Pro Hac Vice. Aaron M. Sheanin is admitted to practice
as counsel for Plaintiff, Fredrick Burton in captioned case. (Signed by Judge
Loretta A. Preska on |
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Transmission
to Attorney Admissions Clerk. Transmitted re: 29 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of
Attorney Information. (tro) (Entered: |
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CERTIFIED
TRUE COPY OF MDL ORDER FROM THE MDL PANEL DENYING TRANSFER....that the
motion, pursuant to 28 U.S.C. 1407(c), for transfer of the action to the
United States District Court - Southern District of New York, be, and the
same hereby is denied. (Signed by MDL Panel on |
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ORDER:
To the extent that defendants believe that the complaint insufficient, they
shall so inform plaintiff by letter, detailing all perceived deficiencies.
Plaintiff shall then inform the Court whether he wishes to stand on the
present complaint, without further amendment, or file an amended complaint
with the understanding that no further amendments will be permitted thereafter.
Counsel shall confer and agree upon a proposed schedule. (Signed by Judge
Loretta A. Preska on |
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STIPULATION
AND ORDER CONSOLIDATING ACTIONS, APPOINTING GERALD WENDEL AND ROBERT BERZIN
AS LEAD PLAINTIFF, AND APPROVING THEIR SELECTION OF COUNSEL:The Motion of
Gerald Wendel and Robert Berzin for Consolidation of Actions, Appointment as
Lead Plaintiff, and Approval of Selection Of Counsel is GRANTED. The
above-captioned actions are consolidated for all purposes under the caption
In re Merrill Lynch Auction Rate Securities Litigation, Master Case File No.
08-cv-3037 (LAP). Gerald Wendel and Robert Berzin are hereby APPOINTED to
serve as Lead Plaintiff in the consolidated action, pursuant to Section
2ID(a)(3)(B) of the Securities Exchange Act of 1934 ("Exchange
Act"), 15 U.S.C. § 78u-4(a)(3)(B), as amended by the PSLRA. The law firm
of Girard Gibbs LLP is hereby APPOINTED to serve as Lead Counsel for the
Class in the consolidated action, pursuant to Section 2ID(a)(3)(B) of the
Exchange Act, 15 U.S.C. § 78u-4(a)(3)(B), as amended by the PSLRA. Unless
otherwise ordered by the Court, Lead Plaintiff shall file an amended
consolidated complaint within 45 days of the entry of this stipulation as an
order of the Court.(Signed by Judge Loretta A. Preska on 10/26/2008) Filed In
Associated Cases: 1:08-cv-03037-LAP, 1:08-cv-03054-LAP(jpo) (Entered:
10/31/2008) |
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ENDORSED
LETTER addressed to Judge Loretta A. Preska from Daniel C. Girard dated
12/8/08 re: Counsel requests that the Court endorse this letter, thereby
clarifying that its October 30 Order applies to Lead Plaintiffs consolidated
complaints filed in the underlying cases. ENDORSEMENT: The complaint referred
to in the October 30 order was indeed the yet-to-be-filed consolidated
amended complaint. The Court regrets the confusion. To the extent that
defendants wish to reference their November 19 letter when writing about the
consolidated amended complaint, of course, they may do so. (Signed by Judge
Loretta A. Preska on |
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CONSOLIDATED
CLASS ACTION AMENDED COMPLAINT amending 1 Complaint against
Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch &
Co., Inc. Document filed by Robert Berzin, Gerald Wendel. Related document: 1 Complaint filed
by Frederick Burton.(dle) (Entered: |
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SUPPLEMENTAL
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Bank of |
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STIPULATION
AND ORDER: On or before |
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Amended
Pleadings due by |
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ENDORSED
LETTER addressed to Judge Loretta A. Preska from Aaron M. Sheanin dated
1/20/09 re: that in accordance with the Court's Order signed January 7, 2009,
Defendants shall move, answer or otherwise respond to the Consolidated
Complaint on or before February 27, 2009. ENDORSEMENT: So Ordered. (Signed by
Judge Loretta A. Preska on |
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ENDORSED
LETTER addressed to Judge Loretta A. Preska from Jay B. Kasner dated 2/20/09
re: Permission to file an opening memorandum in support of their motion to
dismiss the consolidated class action complaint of no more than 50 pages.
ENDORSEMENT: Granted. Counsel are reminded that the memorandum shall be in 12
point type, both text and footnotes, with normal margins. SO ORDERED. (Signed
by Judge Loretta A. Preska on |
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ENDORSED
LETTER addressed to Judge Loretta A. Preska from Daniel C. Girard dated
2/23/09 re: counsel for lead plaintiffs request that the Court grant
plaintiffs an equal number of pages for their opposition brief as the Court
allows defendants for their opening brief. ENDORSEMENT: So Ordered. (Signed
by Judge Loretta A. Preska on |
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MOTION
to Dismiss Plaintiffs' Consolidated Class Action Complaint. Document
filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill
Lynch & Co., Inc..(Kasner, Jay) (Entered: |
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MEMORANDUM
OF LAW in Support re: 40
MOTION to Dismiss Plaintiffs' Consolidated Class Action Complaint..
Document filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated,
Merrill Lynch & Co., Inc.. (Kasner, Jay) (Entered: |
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DECLARATION
of Jay B. Kasner in Support re: 40 MOTION to
Dismiss Plaintiffs' Consolidated Class Action Complaint.. Document
filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill
Lynch & Co., Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C
(Redacted), # 4
Exhibit D, # 5
Exhibit E, # 6
Exhibit F, # 7
Exhibit G, # 8
Exhibit H, # 9
Exhibit I, # 10
Exhibit J, # 11
Exhibit K, # 12
Exhibit L, # 13
Exhibit M, # 14
Exhibit N, # 15
Exhibit O, # 16
Exhibit P, # 17
Exhibit Q, # 18
Exhibit R, # 19
Exhibit S, # 20
Exhibit T, # 21
Exhibit U)(Kasner, Jay) (Entered: |
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STIPULATION
AND ORDER AND REVISED SCHEDULING ORDER: It is hereby stipulated and agreed by
the parties, by and through their undersigned counsel, that: Lead Plaintiffs'
deadline to server any opposition to Defendant's motion to dismiss shall be on
or before |
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ENDORSED
LETTER addressed to Judge Loretta A. Preska from Daniel C. Girard dated
4/17/09 re: submission of proposed procedural steps: Lead Plaintiffs do not
intend to respond toe Defendants' Motion to dismiss the current consolidated
class action complaint; Lead Plaintiffs' counsel will instead transmit a
proposed First Amended Consolidated Complaint to Merrill's counsel no later
than May 8, 2009. In the event that Lead Plaintiffs do not provide Merrill's
counsel with a proposed first Amended Consolidated complaint on or before |
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05/22/2009 |
FIRST
AMENDED CONSOLIDATED CLASS ACTION COMPLAINT amending 34 Amended
Complaint, against Merrill Lynch, Pierce, Fenner & Smith Incorporated,
Merrill Lynch & Co., Inc..Document filed by Colin Wilson, Ronald Levy,
Michael Bonde. Related document: 34 Amended
Complaint, filed by Robert Berzin, Gerald Wendel.(dle) (Entered: 05/22/2009) |
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06/08/2009 |
ORDER:
Any party who objects to Gerald Wendel and Robert Berzin's withdrawal as Lead
Plaintiffs in this action and the substitution of Colin Wilson, Ronald Levy,
and Michael Bonde as Lead Plaintiffs, as requested in Mr. Girard's May 22
letter (attached), shall so inform the Court by letter no later than June 15,
2009. (Signed by Judge Loretta A. Preska on 6/8/2009) Filed In Associated
Cases: 1:08-cv-03037-LAP, 1:08-cv-03054-LAP(jfe) (Entered: 06/08/2009) |
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06/12/2009 |
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CASE
ACCEPTED AS RELATED. Create association to 1:09-md-02030-LAP. (rdz) (Entered:
06/12/2009) |
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06/12/2009 |
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CONSOLIDATED
MEMBER CASE: Create association to 1:09-md-02030-LAP.. (rdz) (Entered:
06/12/2009) |
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06/12/2009 |
CERTIFIED
TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL... that
pursuant to 28 U.S.C. 1407, the action(s) listed... and pending... be, and
the same hereby are, transferred to the Southern District of New York and,
with consent of that court, assigned to the Honorable Loretta A. Preska, for
coordinated or consolidated pretrial proceedings with the actions pending in
that district... (Signed by MDL Panel on 6/10/09) (rdz) (rdz). (Entered:
06/12/2009) |
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06/19/2009 |
ORDER
GRANTING WITHDRAWAL AND SUBSTITUTION OF LEAD PLAINTIFF. IT IS HEREBY ORDERED
THAT: 1. The request of Gerald Wendel and Robert Berzin to withdraw as Lead
Plaintiffs in this action is GRANTED, and Mr. Wendel's and Mr. Berzin's
claims are dismissed without prejudice; 2. Plaintiffs Colin Wilson, Ronald
Levy, and Michael Bonde are SUBSTITUTED and APPOINTED to serve as Lead
Plaintiffs in the above-captioned action, pursuant to Section 21D(a)(3)(B) of
the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. §
78u-4(a)(3)(B), as amended by the PSLRA; and 3. Mr. Wilson, Mr. Levy and Mr.
Bonde select Girard Gibbs LLP to serve as Lead Counsel for the Class pursuant
to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. § 78u4(a)(3)(B), as
amended by the PSLRA, and that selection is hereby APPROVED. (Signed by Judge
Loretta A. Preska on 6/17/09) Filed In Associated Cases: 1:09-md-02030-LAP,
1:08-cv-03037-LAP(rjm) (Entered: 06/22/2009) |
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07/07/2009 |
ENDORSED
LETTER addressed to Judge Loretta A. Preska from Richard A. Getty dated
7/2/2009 re: Requesting that a status conference be held on July 22, 2009 at
4:00 p.m.. ENDORSEMENT: Counsel shall appear, either in person or by
telephone, for a conference on July 22 at 4:00 p.m. Counsel shall confer and
inform the Court by letter in advance of the items they wish to discuss.
(Signed by Judge Loretta A. Preska on 7/6/2009) (jpo) (Entered: 07/07/2009) |
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07/22/2009 |
ENDORSED
LETTER addressed to Judge Loretta A. Preska from Daniel C. Girard dated
7/20/09 re: I write to advise the Court that, unless the Court wishes
otherwise. I plan to attend the status conference scheduled for July 22,
2009, at 4:00 p.m. telephonically. I understand that counsel for all other
parties will appear at the conference in person. ENDORSEMENT: So Ordered.,
(Status Conference set for 7/22/2009 at 04:00 PM before Judge Loretta A.
Preska., Telephone Conference set for 7/22/2009 at 04:00 PM before Judge
Loretta A. Preska.) (Signed by Judge Loretta A. Preska on 7/21/09) Filed In
Associated Cases: 1:09-md-02030-LAP et al.(rjm) (Entered: 07/22/2009) |
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07/22/2009 |
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Minute
Entry for proceedings held before Judge Loretta A. Preska: Pretrial
Conference held on 7/22/2009. Associated Cases: 1:08-cv-03037-LAP,
1:08-cv-03054-LAP(tro) (Entered: 07/29/2009) |
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07/24/2009 |
MOTION
to Dismiss Lead Plaintiffs' "First Amended Consolidated Class Action
Complaint". Document filed by Merrill Lynch, Pierce, Fenner &
Smith Incorporated, Merrill Lynch & Co., Inc., Merrill Lynch, IN RE:
Merrill Lynch & Co., Inc., Auction Rate Securities (ARS) Marketing
Litigation, Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner
& Smith Incorporated. Responses due by 8/28/2009 (Attachments: # 1 Exhibit First
Amended Consolidated Class Action Complaint For Violations of The Federal
Securities Laws)Filed In Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(Kasner,
Jay) (Entered: 07/24/2009) |
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07/24/2009 |
DECLARATION
of Jay B. Kasner in Support re: (10 in 1:09-md-02030-LAP, 51 in
1:08-cv-03037-LAP) MOTION to Dismiss Lead Plaintiffs' "First Amended
Consolidated Class Action Complaint".. Document filed by Merrill
Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch & Co.,
Inc., Merrill Lynch, IN RE: Merrill Lynch & Co., Inc., Auction Rate
Securities (ARS) Marketing Litigation, Merrill Lynch, Merrill Lynch &
Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated.
(Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C, # 4
Exhibit D, # 5
Exhibit E, # 6
Exhibit F, # 7
Exhibit G, # 8
Exhibit H, # 9
Exhibit I, # 10
Exhibit J, # 11
Exhibit K, # 12
Exhibit L, # 13
Exhibit M, # 14
Exhibit N, # 15
Exhibit O, # 16
Exhibit P, # 17
Exhibit Q, # 18
Exhibit R, # 19
Exhibit S, # 20
Exhibit T, # 21
Exhibit U, # 22
Exhibit V)Filed In Associated Cases: 1:09-md-02030-LAP,
1:08-cv-03037-LAP(Kasner, Jay) (Entered: 07/24/2009) |
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07/24/2009 |
MEMORANDUM
OF LAW in Support re: (10 in 1:09-md-02030-LAP, 51 in 1:08-cv-03037-LAP)
MOTION to Dismiss Lead Plaintiffs' "First Amended Consolidated Class
Action Complaint".. Document filed by Merrill Lynch, Pierce, Fenner
& Smith Incorporated, Merrill Lynch & Co., Inc., Merrill Lynch, IN
RE: Merrill Lynch & Co., Inc., Auction Rate Securities (ARS) Marketing
Litigation, Merrill Lynch, Merrill Lynch & Co., Inc., Merrill Lynch,
Pierce, Fenner & Smith Incorporated. Filed In Associated Cases:
1:09-md-02030-LAP, 1:08-cv-03037-LAP(Kasner, Jay) (Entered: 07/24/2009) |
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08/18/2009 |
STIPULATION
AND REVISED SCHEDULING ORDER. THEREFORE, IT IS HEREBY STIPULATED AND AGREED
by the parties, by and through their undersigned counsel in each of the
above-captioned actions, that: A. In re Merrill Lynch Auction Rate Securities
Litigation,1:08-cv-3037 LAP: 1. Lead Plaintiffs shall file their opposition
papers to the motion to dismiss on or before August 28, 2009 and their
memorandum of law shall not exceed 50 pages; and 2. Merrill Lynch shall file
its reply papers in further support of their motion to dismiss the Class
Action on or before September 25, 2009 and their reply memorandum of law
shall not exceed 25 pages. B. Community Trust Bank, Inc. v. Merrill Lynch,
Pierce, Fennel' & Smith, Inc., 1:09-cv-05403-LAP: 1. Merrill Lynch shall
inform Community Trust Bank, Inc. ("Community Trust") by letter of
any deficiencies in its first amended complaint ((CT-FAC) filed on February
23, 2009) no later than August 24, 2009; 2. Community Trust shall decide
whether to stand on its CT-FAC or amend by September 21, 2009, and if it
decides to file a second amended complaint ("CT-SAC"), to do so by
that date; 3. Merrill Lynch shall move, answer or otherwise plead in response
to the CT-FAC (or, if Community Trust decides to amend, the CT-SAC) on or
before October 21, 2009; 4. If Merrill Lynch files a motion to dismiss on or
before that date, Community Trust shall file its opposition papers to that
motion on or before November 20, 2009; 5. Merrill Lynch shall file its reply
papers in further support of the motion to dismiss on or before December 11,
2009; and 6. The parties in the Community Trust Bank. matter agree to
cooperate and adjust these deadlines if counsel's schedules make that
necessary. C. Louisiana Stadium & Exposition District, et al. v.
Financial Guaranty Ins. Co., et al.,1:09cv-05404-LAP: 1. Louisiana Stadium
& Exposition District and the State of Louisiana (together LSED) shall
file a second amended complaint no later than 45 days from the date of this
Stipulation; 2. Defendants Merrill Lynch, Financial Guaranty Insurance Co.
and FGIC Corporation (together the "LA-Defendants") shall inform
LSED by letter of any deficiencies in the second amended complaint no later
than 10 business days after LSED files its second amended complaint; 3.
Within five business days of receiving the LA-Defendants' letters, LSED shall
inform LA-Defendants whether LSED intends to stand on the second amended
complaint, without further amendment, or file a third amended complaint with
the understanding that no further amendments will be allowed; 4. If LSED
intends to file a third amended complaint, it shall do so no later than 45
days after the date upon which it informs the LA-Defendants of its intention
to file a third amended complaint; 5. The LSED will wait to file its Motion
to Remand the LSED's claims against Financial Guaranty Insurance Co. and FGIC
back to the United States District Court for the Eastern District of
Louisiana until after the LSED either files its third amended complaint or
informs LA-Defendants that it intends to stand on its second amended
complaint without further amendment; 6. If LSED files a Motion to Remand,
Financial Guaranty Insurance Co. and FGIC Corporation shall have 30 days to
file their opposition papers following which LSED shall have two weeks to
file its reply; 7. LA-Defendants shall move, answer or otherwise plead with
regard to the second amended complaint or third amended complaint, as
applicable, no later than 45 days after either (1) LSED informs the
LA-Defendants of its intention to stand on the second amended complaint, or
(2) LSED files a third amended complaint; 8. If one or more of the
LA-Defendants file a motion to dismiss or motion for judgment on the
pleadings, LSED shall file its opposition papers no later than 45 days after
the moving LA-Defendants file their motions to dismiss or for judgment on the
pleadings; and 9. LA-Defendants shall file their reply papers in support of
their motions no later than 30 days after LSED files its opposition papers.
D. The Cooperative Bank, etal. v. Merrill Lynch, Pierce, Fenner & Smith,
Inc.,1 :09-cv-05405-LAP: 1. The Cooperative Bank and Belgrade Avenue
Securities Corporation (the "CB-Plaintiffs") shall file an amended
complaint (the "CB-Amended Complaint") no later than August 21,
2009; 2. Merrill Lynch shall move, answer or otherwise plead in response to
the CB-Amended Complaint on or before September 30, 2009. Any memorandum of
law in support of a motion to dismiss, if made, shall not exceed 35 pages; 3.
If a motion to dismiss is filed, CB-Plaintiffs shall file their opposition
papers on or before October 30, 2009 and their memorandum of law shall not
exceed 35 pages; and 4. Merrill Lynch shall file its reply papers in further
support of the motion on or before November 17, 2009 and its memorandum of
law shall not exceed 15 pages. (Signed by Judge Loretta A. Preska on 8/17/09)
Filed In Associated Cases: 1:09-md-02030-LAP et al.(rjm) (Entered:
08/18/2009) |
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08/18/2009 |
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Set/Reset
Deadlines as to 51
MOTION to Dismiss. Responses due by 8/28/2009 Replies due by 9/25/2009. (rjm)
(Entered: 08/18/2009) |
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08/21/2009 |
ORDER
Pursuant to Rule 1.4 of the Rules of Procedure of the Judicial Panel on
Multidistrict Litigation, "[e]very member in good standing of the Bar of
any district court of the United States is entitled without condition to
practice before the Judicial Panel on Multidistrict Litigation. Any attorney
of record in any action transferred under Section 1407 may continue to represent
his or her client in any district court of the United States to which such
action is transferred. Parties to any action transferred under Section 1407
are not required to obtain local counsel in the district to which such action
is transferred." Attorneys who wish to be admitted pro hac vice in this
matter are directed to file a certificate of good standing with the Clerk of
the Court. Assuming prior or contemporaneous filing of a notice of
appearance, the date of filing of this certificate of good standing will be
the appropriate date to be used in assigning an ECF password to the filer. SO
ORDERED (Signed by Judge Loretta A. Preska on 8/20/2009) Filed In Associated
Cases: 1:09-md-02030-LAP et al. (jmi) (Entered: 08/21/2009) |
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08/28/2009 |
MEMORANDUM
OF LAW in Opposition re: 51 MOTION to
Dismiss.. Document filed by Michael Bonde. (Sheanin, Aaron) (Entered:
08/28/2009) |
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09/21/2009 |
MOTION
for Rachel E. Schwartz to Appear Pro Hac Vice. Document filed by Frederick
Burton.(mro) (Entered: 09/22/2009) |
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09/24/2009 |
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CASHIERS
OFFICE REMARK on 57
Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 09/18/2009,
Receipt Number 700284. (jd) (Entered: 09/24/2009) |
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09/24/2009 |
ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, that RACHEL E. SCHWARTZ is
admitted to practice pro hac vice as counsel for Pivot Point Master Capital
LP in the above captioned case in the United States District Court for the
Southern District of New York. (Signed by Judge Loretta A. Preska on 9/22/09)
(pl) Modified on 9/24/2009 (pl). (Entered: 09/24/2009) |
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09/24/2009 |
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Transmission
to Attorney Admissions Clerk. Transmitted re: 58 Order on Motion
to Appear Pro Hac Vice,, to the Attorney Admissions Clerk for updating of
Attorney Information. (pl) (Entered: 09/24/2009) |
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09/25/2009 |
REPLY
MEMORANDUM OF LAW in Support re: (10 in 1:09-md-02030-LAP, 51 in
1:08-cv-03037-LAP) MOTION to Dismiss Lead Plaintiffs' "First Amended
Consolidated Class Action Complaint".. Document filed by Merrill
Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith
Incorporated. Filed In Associated Cases: 1:09-md-02030-LAP,
1:08-cv-03037-LAP(Kasner, Jay) (Entered: 09/25/2009) |
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09/25/2009 |
DECLARATION
of Jay B. Kasner in Support re: (10 in 1:09-md-02030-LAP, 51 in
1:08-cv-03037-LAP) MOTION to Dismiss Lead Plaintiffs' "First Amended
Consolidated Class Action Complaint".. Document filed by Merrill
Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith
Incorporated. Filed In Associated Cases: 1:09-md-02030-LAP,
1:08-cv-03037-LAP(Kasner, Jay) (Entered: 09/25/2009) |
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11/23/2009 |
ENDORSED
LETTER addressed to Judge Loretta A. Preska from Aaron M. Sheanin dated
11/13/09 re: Lead Plaintiffs respectfully request leave to file a six page
surreply memorandum in opposition to Defendants motion to dismiss. The
proposed surreply addresses the recent decision in In Re Citigroup Auction
Rate Securities Litigation, No. 08 Civ. 3095(LTS)(FM), 2009 U.S. Dist. LEXIS
83046 (S.D.N.Y. Sep. 11, 2009). ENDORSEMENT: Granted. So Ordered. (Signed by
Judge Loretta A. Preska on 11/20/09) Filed In Associated Cases:
1:09-md-02030-LAP, 1:08-cv-03037-LAP(rjm) (Entered: 11/23/2009) |
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12/07/2009 |
ENDORSED
LETTER addressed to Chief Judge Loretta A. Preska from Aaron M. Sheanin dated
12/4/09 re: While we disagree with the substantive arguments and other
assertions in Defendants' December 1 letter, we have no objection to
Defendants' filing a further three page sur-surreply brief. ENDORSEMENT:
Defendants may file a three-page sur-surreply. (Signed by Judge Loretta A.
Preska on 12/3/09) Filed In Associated Cases: 1:09-md-02030-LAP,
1:08-cv-03037-LAP(rjm) (Entered: 12/07/2009) |
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12/08/2009 |
BRIEF
re: (10 in 1:09-md-02030-LAP, 51 in 1:08-cv-03037-LAP) MOTION to Dismiss Lead
Plaintiffs' "First Amended Consolidated Class Action Complaint".
( Defendants' Response to Lead Plaintiffs' Surreply Memorandum Of Law In
Opposition To Defendants' Motion To Dismiss Lead Plaintiffs' "First
Amended Consolidated Class Action Complaint" ). Document filed by
Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch &
Co., Inc..Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(Kasner, Jay)
(Entered: 12/08/2009) |
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01/15/2010 |
ORDER.
The parties are informed that the law firm in which my husband is a partner,
Cahill Gordon & Reindel LLP, from time to time represents The McGraw-Hill
Companies and/or its affiliates in actions asserting claims similar to those
alleged in this case. With a single de minimus exception, my husband has not
worked on these matters. (Signed by Judge Loretta A. Preska on 1/14/10) Filed
In Associated Cases: 1:09-md-02030-LAP et al.(rjm) (Entered: 01/15/2010) |
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03/02/2010 |
ORDER.
Oral argument will be held on March 23, 2010 at 4:30 p.m. in Courtroom 12A on
the Defendants' motion to dismiss, and as further set forth... Counsel shall
notify the Court and opposing counsel no later than March 16 of all authority
they plan to discuss at oral argument. (Oral Argument set for 3/23/2010 at
04:30 PM in Courtroom 12A, 500 Pearl Street, New York, NY 10007 before Judge
Loretta A. Preska.) (Signed by Judge Loretta A. Preska on 3/2/10) Filed In
Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(rjm) (Entered:
03/02/2010) |
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03/05/2010 |
ENDORSED
LETTER addressed to Judge Loretta A. Preska from Aaron M. Sheanin dated
3/5/10 re: We write to respectfully inquire whether the Court's calendar
would allow for continuance of the hearing to Thursday, March 25, 2010 (at
4:00 pm.) at any time convenient for the Court. ENDORSEMENT: So Ordered.,
(Oral Argument set for 3/25/2010 at 04:00 PM before Judge Loretta A. Preska.)
(Signed by Judge Loretta A. Preska on 3/5/10) Filed In Associated Cases:
1:09-md-02030-LAP, 1:08-cv-03037-LAP(rjm) (Entered: 03/05/2010) |
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03/16/2010 |
NOTICE
of Authority Pursuant to March 2, 2010 Order. Document filed by Merrill Lynch
& Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated.
Filed In Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(Kasner, Jay)
(Entered: 03/16/2010) |
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03/16/2010 |
NOTICE
of of Authorities Pursuant to March 2, 2010 Order re: (65 in
1:08-cv-03037-LAP, 65 in 1:08-cv-03037-LAP) Order, Set
Deadlines/Hearings,,,,. Document filed by Michael Bonde. Filed In Associated
Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(Sheanin, Aaron) (Entered:
03/16/2010) |
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03/19/2010 |
NOTICE of
Additional Authority. Document filed by Merrill Lynch & Co., Inc.,
Merrill Lynch, Pierce, Fenner & Smith Incorporated. Filed In Associated
Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(Kasner, Jay) (Entered:
03/19/2010) |
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03/24/2010 |
NOTICE
of Additional Authority. Document filed by Merrill Lynch & Co., Inc.,
Merrill Lynch, Pierce, Fenner & Smith Incorporated. (Attachments: # 1 Exhibit A, # 2 Exhibit B)Filed
In Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(Kasner, Jay)
(Entered: 03/24/2010) |
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03/24/2010 |
NOTICE
OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has
been redesignated to Magistrate Judge James L. Cott. Please note that this is
a reassignment of the designation only. (ldi) (Entered: 03/25/2010) |
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03/31/2010 |
OPINION
AND ORDER: For reasons further set forth in said Order, the Defendants'
motion to dismiss the Complaint [dkt. no. 51.] is GRANTED. Prior to the
filing of the motion to dismiss, Plaintiffs were given the opportunity to
correct deficiencies pointed out by Defendants. Plaintiffs availed themselves
of this opportunity prior to serving the First Amended Consolidated Class
Action Complaint with the understanding that no further amendments would be
permitted. In addition, the grounds for dismissal set forth above demonstrate
that further amendment would be futile. Accordingly, the dismissal is with
prejudice. The Clerk of the Court shall mark this action closed and all
pending motions denied as moot. (51 in 1:08-cv-03037-LAP) MOTION to Dismiss
filed by IN RE: Merrill Lynch & Co., Inc., Auction Rate Securities (ARS)
Marketing Litigation, Merrill Lynch, Pierce, Fenner & Smith Incorporated,
Merrill Lynch & Co., Inc., Merrill Lynch. (Signed by Judge Loretta A.
Preska on 3/31/10) Filed In Associated Cases: 1:09-md-02030-LAP,
1:08-cv-03037-LAP(db) Modified on 4/13/2010 (db). (Entered: 03/31/2010) |
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03/31/2010 |
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Transmission
to Judgments and Orders Clerk. Transmitted re: (113 in 1:09-md-02030-LAP, 72
in 1:08-cv-03037-LAP) Memorandum & Opinion, to the Judgments and Orders
Clerk. Filed In Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(db)
(Entered: 03/31/2010) |
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03/31/2010 |
CLERK'S
JUDGMENT That for the reasons stated in the Court's Opinion and Order dated
March 31, 2010, defendants' motion to dismiss the complaint is granted with
prejudice; accordingly, the case is closed and all pending motions denied as
moot. (Signed by J. Michael McMahon, clerk on 3/31/10) (Attachments: # 1 notice of right
to appeal)Filed In Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(ml)
(Entered: 03/31/2010) |
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04/02/2010 |
74 |
TRANSCRIPT
of proceedings held on March 25, 2010 2:40 p.m. before Judge Loretta A.
Preska. (ajc) (Entered: 04/02/2010) |
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04/14/2010 |
75 |
TRANSCRIPT
of proceedings held on March 25, 2010 2:40 p.m. before Judge Loretta A.
Preska. (ajc) (Entered: 04/15/2010) |
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04/22/2010 |
NOTICE
OF APPEAL from (73 in 1:08-cv-03037-LAP, 114 in 1:09-md-02030-LAP) Clerk's
Judgment. Document filed by Colin Wilson. Filing fee $ 455.00, receipt number
E 901479. Filed In Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(nd)
(Entered: 04/23/2010) |
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04/23/2010 |
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Transmission
of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals
re: (76 in 1:08-cv-03037-LAP, 134 in 1:09-md-02030-LAP) Notice of Appeal.
Filed In Associated Cases: 1:09-md-02030-LAP, 1:08-cv-03037-LAP(nd) (Entered:
04/23/2010) |
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04/26/2010 |
77 |
TRANSCRIPT
of proceedings held on march 25, 2010 2:40 p.m. before Judge Loretta A.
Preska. (ajc) (Entered: 04/29/2010) |
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05/14/2010 |
RESPONSE
in Opposition re: (152 in 1:09-md-02030-LAP, 20 in 1:09-cv-05403-LAP) MOTION
to Remand Motion for Suggestion of Remand to the United States District
Court for the Eastern District of Kentucky. Defendant's Response in
Opposition to Plaintiff's Motion for a Suggestion of Remand to the United
States District Court for the Eastern District of Kentucky. Document
filed by Merrill Lynch, Pierce, Fenner & Smith Incorporated. Filed In
Associated Cases: 1:09-md-02030-LAP et al.(Burkhalter, Carl) (Entered:
05/14/2010) |
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MANDATE
of USCA (Certified Copy) as to (76 in |
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