US
District Court Civil Docket as of
Retrieved from the court on
|
Cause: 15:78m(a) Securities Exchange Act |
|
|
Lead Plaintiff |
|
|
|
Edward Taras |
represented by |
Daniel Charles Girard |
|
|
|
|
|
Lead Plaintiff |
|
|
|
David Neu |
represented by |
Aaron Michael Sheanin |
|
|
|
|
|
Lead Plaintiff |
|
|
|
Charles H. Dutcher |
represented by |
Aaron Michael Sheanin |
|
|
|
|
|
Lead Plaintiff |
|
|
|
Ann Elston |
represented by |
Aaron Michael Sheanin |
|
|
|
|
|
Lead Plaintiff |
|
|
|
William Baumel |
represented by |
Aaron Michael Sheanin |
|
|
|
|
|
Plaintiff |
|
|
|
David Chandler |
represented by |
Christopher Adam Seeger |
|
|
|
|
|
Plaintiff |
|
|
|
David |
represented by |
Christopher Adam Seeger |
|
|
|
|
|
Plaintiff |
|
|
|
Shelly Chandler |
represented by |
Christopher Adam Seeger |
|
|
|
|
|
Plaintiff |
|
|
|
Shelly Chandler |
represented by |
Christopher Adam Seeger |
|
|
|
|
|
Plaintiff |
|
|
|
Robert Bee |
represented by |
Daniel Charles Girard |
|
|
|
|
|
Plaintiff |
|
|
|
Larry S. Watanabe |
represented by |
Daniel Charles Girard |
|
|
|
|
|
Plaintiff |
|
|
|
David Ghiz |
represented by |
Daniel Charles Girard |
|
|
|
|
|
Plaintiff |
|
|
|
M. Richard Goldberg |
represented by |
Daniel Charles Girard |
|
|
|
|
|
Plaintiff |
|
|
|
Chandler Group |
represented by |
Christopher Lometti |
|
|
|
|
|
Plaintiff |
|
|
|
Neu Group |
represented by |
Aaron Michael Sheanin |
|
|
|
|
|
|
|
|
|
Consolidated Plaintiff |
|
|
|
Ricardo L. Sanchez |
represented by |
Eduard Korsinsky |
|
|
|
|
|
|
|
|
|
Defendant |
|
|
|
UBS AG |
represented by |
William F. Sullivan |
|
|
|
|
|
Defendant |
|
|
|
UBS Securities LLC. |
represented by |
Howard M. Privette |
|
|
|
|
|
Defendant |
|
|
|
UBS Financial Services Inc., |
represented by |
Howard M. Privette |
|
|
|
|
|
Defendant |
|
|
|
David Shulman |
represented by |
Robert James Anello |
|
|
|
|
|
Defendant |
|
|
|
Joseph Scoby |
represented by |
Andrew M. Genser |
|
|
|
|
|
Defendant |
|
|
|
Marcel Rohner |
represented by |
William F. Sullivan |
|
|
|
|
|
Defendant |
|
|
|
Marten Hoekstra |
represented by |
William F. Sullivan |
|
|
|
|
|
Movant |
|
|
|
|
represented by |
Joseph Peter Guglielmo |
|
|
|
|
|
Movant |
|
|
|
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit Living Trust |
represented by |
|
|
|
|
|
|
Movant |
|
|
|
Steven Oppenheimer |
represented by |
James Henry Glavin |
|
|
|
|
|
Interested Party |
|
|
|
Ronald D. Kassover |
represented by |
Samuel P. Sporn |
|
|
|
|
|
Date Filed |
# |
Docket Text |
|
|
COMPLAINT against UBS Securities LLC.,
UBS Financial Services Inc. UBS AG. (Filing Fee $ 350.00, Receipt Number
645599)Document filed by David Chandler(Individually), David Chandler(As
Trustees of the Chandler Trust Dated |
|
|
|
|
SUMMONS ISSUED as to UBS Securities LLC.,
UBS Financial Services Inc., UBS AG. (js) (Entered: |
|
|
|
Case Designated ECF. (js) (Entered: |
|
|
|
Magistrate Judge Theodore H. Katz is so designated. (js)
(Entered: |
|
|
ORDER: A Status Conference shall be held on |
|
|
|
FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU -
NOTICE of of Related Cases. Document filed by UBS Securities LLC., UBS
Financial Services Inc., UBS AG. (Choa, Jonathan) Modified on |
|
|
|
|
***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE
ERROR. Note to Attorney Jonathan Andrew Choa to RE-FILE Document 3
Notice (Other). Use the document type Sratement of Relatedness found under
the document list Other Documents. (db) (Entered: |
|
|
STATEMENT OF RELATEDNESS PURSUANT TO LOCAL RULE 1.6 re: that this action be filed as related to 08cv2753. Document filed by UBS Securities LLC., UBS Financial Services Inc.,, UBS AG.(Choa, Jonathan) (Entered: 04/18/2008) |
|
|
|
NOTICE OF CASE REASSIGNMENT to Judge Lawrence M. McKenna.
Judge Denise L. Cote is no longer assigned to the case. (laq) (Entered: |
|
|
|
AFFIDAVIT OF SERVICE of Summons and Complaint,. UBS Securities LLC. served on |
|
|
|
MOTION for James Wareham, William Sullivan, Howard
Privette, John Durrant to Appear Pro Hac Vice. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,.(dle) (Entered: |
|
|
|
STIPULATION AND ORDER: Defendants, including all
defendants both named and unnamed, need not answer, move against or otherwise
respond to any complaint in this and any related Exchange Act actions until
60 days after a consolidated complaint is filed by lead plaintiff and lead
plaintiff and lead plaintiff counsel as appointed by the Court, as set forth
herein. (Signed by Judge Lawrence M. McKenna on |
|
|
|
|
CASHIERS OFFICE REMARK on 7
Motion to Appear Pro Hac Vice in the amount of $100.00, paid on |
|
|
ORDER granting 7
Motion for John S. Durrant, Howard M. Privette, William F. Sullivan, and
James D. Wareham to Appear Pro Hac Vice for defendants UBS Securiteis LLC and
UBS Financial Services. (Signed by Judge Lawrence M. McKenna on |
|
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
9
Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (cd) (Entered: |
|
|
|
Minute Entry for proceedings held before Judge Lawrence M.
McKenna: All parties present. Upon the filing of an Amended Complaint by
Plaintiff, Ronald D. Kassover, the defendants shall file a Motion to Dismiss
the Amended Complaint of Plaintiff, Ronald D. Kassover, on notice.
Plaintiffs' |
|
|
RULE 7.1 CORPORATE DISCLOSURE STATEMENT.
Identifying UBS AG as Corporate Parent. Document filed by UBS Securities
LLC., UBS Financial Services Inc.,.(Sullivan, William) (Entered: |
|
|
|
STATEMENT OF RELATEDNESS PURSUANT TO LOCAL RULE 1.6 re:
that this action be filed as related to 08cv4352. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,.(Choa, Jonathan) (Entered: |
|
|
|
NOTICE of STIPULATION REQUESTING CONSOLIDATION OF RELATED
CASES. Document filed by David Chandler(Individually),
Shelly Chandler(Individually). (Levine, Jonathan) (Entered: |
|
|
|
STIPULATION AND ORDER OF CONSOLIDATION OF RELATED CASES:
The Chandler and Sanchez actions are hereby consolidated for all purposes, including
discovery, pretrial proceedings, trial proceedings, and post-trial
proceedings, pursuant to Rule 42(a) of the F.R.C.P. This action shall be
captioned " In re UBS Auction Rate Securities
Litigation," and the files of this action shall be maintained in one
file under Master File No. 08-CV-2967. Any other actions now pending or
hereafter filed in this District, or transferred to this District, which
arise out of common alleged facts and include the same alleged claims against
Defendants as alleged in the |
|
|
|
MOTION to Appoint UBS ARS Group to serve as lead
plaintiff(s), Approval of Lead Plaintiffs' Selection of Lead Counsel, and
Consolidation of Related Actions. Document filed by Randolph Bonnist and UBS
ARS Group. (Attachments: # 1
Text of Proposed Order)(Guglielmo, Joseph) Modified on |
|
|
|
MEMORANDUM OF LAW in Support re: 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval of Lead Plaintiffs' Selection of
Lead Counsel, and Consolidation of Related Actions. MOTION to Appoint UBS
ARS Group to serve as lead plaintiff(s) ,
Approval of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of
Related Actions.. Document filed by Randolph Bonnist. (Guglielmo, Joseph)
(Entered: |
|
|
|
DECLARATION of Michael J. Flannery in Support re: 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval of Lead Plaintiffs' Selection of
Lead Counsel, and Consolidation of Related Actions. MOTION to Appoint UBS
ARS Group to serve as lead plaintiff(s) ,
Approval of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of
Related Actions.. Document filed by Randolph Bonnist. (Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C, # 4
Exhibit D)(Guglielmo, Joseph) (Entered: |
|
|
|
FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU -
NOTICE of Motion to Appoint Sanchez Group as lead plaintiff and Levi &
Korsinsky as lead counsel. Document filed by Ricardo L. Sanchez.
(Attachments: # 1
Text of Proposed Order Order to Appoint Sanchez Group as lead plaintiff and
Levi & Korsinsky as lead counsel)(Monteverde, Juan) Modified on |
|
|
|
MOTION to Appoint Counsel Levi & Korsinsky, LLP as
lead counsel. Document filed by Ricardo L. Sanchez.(Monteverde, Juan)
(Entered: |
|
|
|
MEMORANDUM OF LAW in Support re: 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel.. Document filed by Ricardo L. Sanchez. (Attachments: # 1
Text of Proposed Order [PROPOSED] ORDER APPOINTING THE SANCHEZ GROUP AS LEAD
PLAINTIFF AND APPROVING ITS SELECTION OF LEAD COUNSEL FOR THE
CLASS)(Monteverde, Juan) (Entered: |
|
|
|
DECLARATION of Joseph E. Levi in Support re: 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel.. Document filed by Ricardo L. Sanchez. (Monteverde,
Juan) (Entered: |
|
|
|
MOTION to Appoint Aric A. Streit and Mary Streit, as
Trustees for the Benefit of The Streit Living Trust to serve as lead
plaintiff(s). Document filed by Aric A. Streit and Mary Streit, as Trustees
for the Benefit of The Streit Living Trust. (Attachments: # 1
Exhibit Proposed Order)( |
|
|
|
MEMORANDUM OF LAW in Support re: 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)..
Document filed by Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust. ( |
|
|
|
DECLARATION of Kent A. Bronson in Support re: 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)..
Document filed by Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust. (Attachments: # 1
Exhibit A - Certification, # 2
Exhibit B - Notice, # 3
Exhibit C - Milberg Resume, # 4
Exhibit D - Shohet Resume)( |
|
|
|
MOTION to Appoint Steven Oppenheimer to serve as lead
plaintiff(s). Document filed by Steven Oppenheimer. (Attachments: # 1
Text of Proposed Order Proposed Order)(Glavin, James) (Entered: |
|
|
|
DECLARATION of James Henry Glavin IV in Support re: 24 MOTION to Appoint Steven Oppenheimer to serve as lead plaintiff(s).. Document filed by Steven Oppenheimer. (Attachments: # 1 Exhibit Ex. A, # 2 Exhibit Ex. B, # 3 Exhibit Ex. C, # 4 Exhibit Ex. D)(Glavin, James) (Entered: 05/20/2008) |
|
|
|
MEMORANDUM OF LAW in Support re: 24
MOTION to Appoint Steven Oppenheimer to serve as lead plaintiff(s).. Document filed by Steven Oppenheimer. (Glavin, James)
(Entered: |
|
|
|
MOTION to Consolidate Cases 08-CV-04352., MOTION to
Appoint THE CHANDLER GROUP to serve as lead plaintiff(s).,
MOTION to Appoint Counsel. Document filed by David Chandler(As
Trustees of the Chandler Trust Dated |
|
|
|
MEMORANDUM OF LAW in Support re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s).. Document filed by
David Chandler(As Trustees of the Chandler Trust
Dated |
|
|
|
DECLARATION of JONATHAN K. LEVINE in Support re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s).. Document filed by
David Chandler(As Trustees of the Chandler Trust
Dated |
|
|
|
RESPONSE to Motion re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s)., 24
MOTION to Appoint Steven Oppenheimer to serve as lead plaintiff(s)., 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)., 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel..
Document filed by Randolph Bonnist. (Guglielmo, Joseph) (Entered: |
|
|
|
DECLARATION of Michael J. Flannery in Support re: 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval of Lead Plaintiffs' Selection of
Lead Counsel, and Consolidation of Related Actions. MOTION to Appoint UBS
ARS Group to serve as lead plaintiff(s) ,
Approval of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of
Related Actions.. Document filed by Randolph Bonnist. (Attachments: # 1
Exhibit A)(Guglielmo, Joseph) (Entered: |
|
|
|
MOTION for Norman E. Siegel and Matthew L. Dameron to
Appear Pro Hac Vice. Document filed by David Chandler(Individually), David
Chandler(As Trustees of the Chandler Trust Dated |
|
|
|
|
CASHIERS OFFICE REMARK on 32
Motion to Appear Pro Hac Vice, in the amount of $50.00, paid on |
|
|
WAIVER OF SERVICE RETURNED EXECUTED. UBS AG waiver sent on
|
|
|
|
ORDER granting 32
Motion for Norman E. Siegel and Matthew L. Dameron to Appear Pro Hac Vice.
(Signed by Judge Lawrence M. McKenna on |
|
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
34
Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (jpo) (Entered: |
|
|
MOTION for Christina H.C. Sharp to Appear Pro Hac Vice.
Document filed by David Chandler(Individually), David Chandler(As Trustees of
the Chandler Trust Dated |
|
|
|
MOTION for A.J. De Bartolomeo to Appear Pro Hac Vice.
Document filed by David Chandler(Individually), David Chandler(As Trustees of
the Chandler Trust Dated |
|
|
|
MOTION for Aaron M. Sheanin to Appear Pro Hac Vice.
Document filed by David Chandler(Individually), David Chandler(As Trustees of
the Chandler Trust Dated |
|
|
|
MOTION for Daniel C. Girard to Appear Pro Hac Vice. Document filed by David Chandler(Individually), David Chandler(As Trustees of the Chandler Trust Dated 12/28/05 and on behalf of All Others Similarly Situated), Shelly Chandler(Individually), Shelly Chandler(As Trustees of the Chandler Trust Dated 12/28/05, And On Behalf of All Others Similarly Situated).(dle) (Entered: 06/09/2008) |
|
|
06/09/2008 |
MEMORANDUM OF LAW in Opposition re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s)., 32
MOTION for Norman E. Siegel and Matthew L. Dameron to Appear Pro Hac Vice., 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval
of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of Related
Actions. MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) ,
Approval of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of
Related Actions., 24
MOTION to Appoint Steven Oppenheimer to serve as lead plaintiff(s)., 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)., 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel..
Document filed by Ronald D. Kassover. (Schirripa, Frank) (Entered: |
|
|
|
DECLARATION of Joel P. Laitman in Opposition re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s)., 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval
of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of Related
Actions. MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) ,
Approval of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of
Related Actions., 24
MOTION to Appoint Steven Oppenheimer to serve as lead plaintiff(s)., 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)., 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel..
Document filed by Ronald D. Kassover. (Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C)(Schirripa, Frank) (Entered: |
|
|
|
MEMORANDUM OF LAW in Opposition re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s)., 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval
of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of Related
Actions. MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval of Lead Plaintiffs' Selection of
Lead Counsel, and Consolidation of Related Actions., 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)., 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel..
Document filed by Steven Oppenheimer. (D'Agnenica, Jason) (Entered: |
|
|
|
RESPONSE to Motion re: ( |
|
|
|
MEMORANDUM OF LAW in Opposition re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s)., 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval
of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of Related
Actions. MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) ,
Approval of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of
Related Actions., 24
MOTION to Appoint Steven Oppenheimer to serve as lead plaintiff(s)., 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel..
Document filed by Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust. ( |
|
|
|
DECLARATION of JEROME M. CONGRESS in Opposition re: 27 MOTION to Consolidate
Cases 08-CV-04352. MOTION to Appoint THE CHANDLER GROUP to serve as lead
plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint THE CHANDLER GROUP
to serve as lead plaintiff(s)., 24
MOTION to Appoint Steven Oppenheimer to serve as lead plaintiff(s)., 18
MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel., 14
MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval
of Lead Plaintiffs' Selection of Lead Counsel, and Consolidation of Related
Actions. MOTION to Appoint UBS ARS Group to serve as lead plaintiff(s) , Approval of Lead Plaintiffs' Selection of
Lead Counsel, and Consolidation of Related Actions.. Document filed by
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust. (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)( |
|
|
|
ORDER granting 35
Motion for Christina H.C. Sharp to Appear Pro Hac Vice. (Signed by Judge
Lawrence M. McKenna on |
|
|
|
ORDER granting 36
Motion for A.J. De Bartolomeo to Appear Pro Hac Vice. (Signed by Judge
Lawrence M. McKenna on |
|
|
|
ORDER granting 37
Motion for Aaron M. Sheanin to Appear Pro Hac Vice. (Signed by Judge Lawrence
M. McKenna on |
|
|
|
ORDER granting 38
Motion for Daniel C. Girard to Appear Pro Hac Vice. (Signed by Judge Lawrence
M. McKenna on |
|
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
46
Order on Motion to Appear Pro Hac Vice, 45
Order on Motion to Appear Pro Hac Vice, 47
Order on Motion to Appear Pro Hac Vice, 48
Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (jfe) (Entered: |
|
|
MOTION for Jeff Westerman to Appear Pro Hac Vice. Document
filed by David Chandler(Individually), David Chandler(As Trustees of the
Chandler Trust Dated |
|
|
|
MOTION for George A. Shohet to Appear Pro Hac Vice.
Document filed by David Chandler(Individually), David Chandler(As Trustees of
the Chandler Trust Dated |
|
|
|
ENDORSED LETTER addressed to Judge Lawrence M. McKenna
from Jerome M. Congress dated 6/13/08 re: Counsel requests leave to file a
reply memorandum of law in further support of the Streits' motion of no more
than 15 pages. ENDORSEMENT: Granted. So ordered. (Signed by Judge Lawrence M.
McKenna on |
|
|
|
PROPOSED] ORDER ON ADMISSION TO PRACTICE PRO HAC VICE.
Attorney George A. Shohet is admitted Pro Hac Vice on behalf of plaintiffs.
(Signed by Judge Lawrence M. McKenna on |
|
|
|
[PROPOSED] ORDER ON ADMISSION TO PRACTICE PRO HAC VICE
Attorney George A. Shohet for David Chandler and Shelly Chandler admitted Pro
Hac Vice. (Signed by Judge Lawrence M. McKenna on |
|
|
|
PROPOSED ORDER ON ADMISSION TO PRACTICE PRO HAC VICE.
Attorney Jeff S. Westerman for David Chandler and Shelly Chandler admitted
Pro Hac Vice. (Signed by Judge Lawrence M. McKenna on |
|
|
|
|
CASHIERS OFFICE REMARK on 48
Order on Motion to Appear Pro Hac Vice, 46
Order on Motion to Appear Pro Hac Vice, 45
Order on Motion to Appear Pro Hac Vice, 47
Order on Motion to Appear Pro Hac Vice in the amount of $100.00, paid on
06/06/2008, Receipt Number 653292. (jd) (Entered: |
|
|
|
CASHIERS OFFICE REMARK on 49
Motion to Appear Pro Hac Vice, 50
Motion to Appear Pro Hac Vice, in the amount of $50.00, paid on |
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
52
Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (mme) (Entered: |
|
|
REPLY MEMORANDUM OF LAW in Support re: ( |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: ( |
|
|
|
DECLARATION of Aaron M. Sheanin in Support re: ( |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)..
Document filed by Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust. (Congress, Jerome) (Entered: |
|
|
|
DECLARATION of JEROME M. CONGRESS in Support re: 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)..
Document filed by Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust. (Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C, # 4
Exhibit D)(Congress, Jerome) (Entered: |
|
|
|
|
***DELETED DOCUMENT. Deleted document number 58
motion. The document was incorrectly filed in this case. (dle) (Entered: |
|
|
|
***DELETED DOCUMENT. Deleted document number 59
motion. The document was incorrectly filed in this case. (dle) (Entered: |
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
58
Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (mme) (Entered: |
|
|
RESPONSE in Support re: 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s). Defendants' Supplemental
Response in Support of Consolidation. Document filed by UBS Securities
LLC., UBS Financial Services Inc.,, UBS AG.
(Sullivan, William) (Entered: |
|
|
|
DECLARATION of William F. Sullivan in Support re: 21
MOTION to Appoint Aric A. Streit and Mary Streit, as Trustees for the Benefit
of The Streit Living Trust to serve as lead plaintiff(s). MOTION to Appoint
Aric A. Streit and Mary Streit, as Trustees for the Benefit of The Streit
Living Trust to serve as lead plaintiff(s)..
Document filed by UBS Securities LLC., UBS Financial Services Inc.,, UBS AG. (Attachments: # 1
Exhibit A)(Sullivan, William) (Entered: |
|
|
|
MOTION to Consolidate Cases 08-cv-2753, 08-cv-2967 For
Limited Pre-trial Coordination, and to Appoint Schoengold Sporn Laitman &
Lometti, P.C. as Interim Class Counsel with respect to the Investment
Advisers Act of 1940 and common law claims. Document filed by Ronald D.
Kassover.(Schirripa, Frank) (Entered: |
|
|
|
MEMORANDUM OF LAW in Support re: 61
MOTION to Consolidate Cases 08-cv-2753, 08-cv-2967 For Limited Pre-trial
Coordination, and to Appoint Schoengold Sporn Laitman & Lometti, P.C. as
Interim Class Counsel with respect to the Investment Advisers Act of 1940 and
common law claims.. Document filed by Ronald D. Kassover. (Schirripa,
Frank) (Entered: |
|
|
|
DECLARATION of Frank R. Schirripa in Support re: 61
MOTION to Consolidate Cases 08-cv-2753, 08-cv-2967 For Limited Pre-trial
Coordination, and to Appoint Schoengold Sporn Laitman & Lometti, P.C. as
Interim Class Counsel with respect to the Investment Advisers Act of 1940 and
common law claims.. Document filed by Ronald D. Kassover. (Attachments: #
1
Exhibit Ex. A - June 29, 2008 |
|
|
|
ENDORSED LETTER addressed to Judge Lawrence M. McKenna
from Joel P. Laitman dated 7/8/2008 re: Counsel writes in opposition to
defendant's UBS AG's and UBS Financial Services's, Inc., request, seeking to
defer filing their motion to dismiss. ENDORSEMENT: The above action (08 Civ.
2753) and 08 Civ. 2967, 08 Civ. 3082, 08 Civ. 4352 and 08 Civ. 5251 are
stayed pending decision on all outstanding motions for consolidation and
appointment of lead plaintiff and or interim counsel. The stay will expire 10
business days following decision on such matter. So Ordered. (Signed by Judge
Lawrence M. McKenna on |
|
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
58
Order Admitting Attorney Pro Hac Vice, 52
Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (mme) (Entered: |
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
65
Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (mme) (Entered: |
|
|
ORDER: The motion for its consolidation with the present
matter is granted. The Streit case, insofar as it alleges claims under the
Securities Exchange Act, is also consolidated with the present matter for
substantially the same reasons given as to the Bonnist case; insofar as the
Streit case alleges claims under the Investment Advisors Act and state law, a
limited consolidation, as in the case of Kassover, is granted. Accordingly,
the Court finds that the Chandler Group is presumed to be the most adequate
plaintiff. The Chandler Group is appointed as lead plaintiff as to all claims
brought under the Securities Exchange Act. The Chandler Groups selections --
Girard Gibbs L.L.P., (Lead Counsel), Stueve Siegel Hanson L.L.P., (Co-Lead
Counsel) and Seeger Weiss L.L.P., (Liaison Counsel) -- are therefore
appointed as counsel for Securities Exchange Act claims. Counsel in the
Kassover case did the initial work on those claims, and it makes sense that
they should remain responsible for prosecuting those claims. Those counsel
--Schoengold Sporn Laitman & Lometti -- are appointed as interim class
counsel for Investment Advisors Act and state law claims. (Signed by Judge Lawrence
M. McKenna on |
|
|
|
STIPULATION & ORDER: Lead Plaintiff shall file the
consolidated amended complaint in this action on or before |
|
|
|
CONSOLIDATED CLASS ACTION AMENDED COMPLAINT amending 1
Complaint, against David Shulman, Joseph Scoby, Marcel Rohner, Marten
Hoekstra, UBS Securities LLC., UBS Financial Services Inc.,, UBS AG.Document
filed by Robert Bee, Edward Taras, Larry S. Watanabe, David Ghiz, M. Richard
Goldberg, David Chandler(Individually), David Chandler(As Trustees of the
Chandler Trust Dated 12/28/05 and on behalf of All Others Similarly
Situated), Shelly Chandler(Individually), Shelly Chandler(As Trustees of the
Chandler Trust Dated 12/28/05, And On Behalf of All Others Similarly
Situated). Related document: 1
Complaint, filed by Shelly Chandler, David Chandler.(dle)
(dle). (Entered: |
|
|
|
|
Minute Entry for proceedings held before Judge Lawrence M.
McKenna: Status Conference held on |
|
|
|
***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney
Christopher Seeger and David Buchanan for noncompliance with Section (14.3)
of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the
PDF for Document 68
Amended Complaint,, to:
case_openings@nysd.uscourts.gov. (dle) (Entered: |
|
|
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 |
|
|
|
MOTION to Expedite Motion for Supplemental Notice.
Document filed by Robert Bee, Edward Taras, Larry S. Watanabe, M. Richard
Goldberg.(Siegel, Norman) (Entered: |
|
|
|
MEMORANDUM OF LAW in Support re: 69
MOTION to Expedite Motion for Supplemental Notice..
Document filed by Robert Bee, Edward Taras, Larry S. Watanabe, M. Richard
Goldberg. (Siegel, Norman) (Entered: |
|
|
|
DECLARATION of Norman E. Siegel in Support re: 69
MOTION to Expedite Motion for Supplemental Notice..
Document filed by Robert Bee, Edward Taras, Larry S. Watanabe, M. Richard
Goldberg. (Attachments: # 1
Exhibit A, # 2
Exhibit B, Part 1, # 3
Exhibit B, Part 2, # 4
Exhibit C, # 5
Exhibit D, # 6
Exhibit E)(Siegel, Norman) (Entered: |
|
|
|
ENDORSED LETTER addressed to Judge Lawrence M. Mckenna
from William F. Sullivan dated 10/17/2008 re: Accordingly, a supplemental
notice is unnecessary as no class has been certified and seeks to do noting
more than delay and jeopardize UBS's implementation of a carefully negotiated
regulatory settlement. There is no basis for plaintiffs'
motion nor any need for an expedited hearing. ENDORSEMENT: Defendants
are to respond to plaintiffs motion by |
|
|
|
CROSS MOTION to Expedite Motion for Further
Supplemental Notice and Related Relief. Document filed by Ronald D.
Kassover.(Schirripa, Frank) (Entered: |
|
|
|
MEMORANDUM OF LAW in Support re: 74
CROSS MOTION to Expedite Motion for Further Supplemental Notice and
Related Relief.. Document filed by Ronald D.
Kassover. (Schirripa, Frank) (Entered: |
|
|
|
DECLARATION of Joel P. Laitman in Support re: 74 CROSS MOTION to Expedite Motion for Further Supplemental Notice and Related Relief.. Document filed by Ronald D. Kassover. (Attachments: # 1 Exhibit Ex. A - IAA/State Law Amended Complaint, # 2 Exhibit Ex. B - Further Supplemental Notice, # 3 Exhibit Ex. C - UBS Press Release Aug. 8, 2008, # 4 Exhibit Ex. D - SEC Press Release dated Aug. 8, 2008, # 5 Exhibit Ex. E - UBS Prospectus dated Oct. 7, 2008, # 6 Exhibit Ex. F - UBS Press Release dated Oct. 16, 2008)(Schirripa, Frank) (Entered: 10/20/2008) |
|
|
|
ENDORSED LETTER addressed to Judge Lawrence M. McKenna
from William F. Sullivan dated 10/21/08 re: UBS AG, UBS Securities LLC, and
UBS Financial Services, Inc. request an extension of time until 10/24/08 to
respond to the 10/20/08 Motion to Expedite. ENDORSEMENT: Granted. Plaintiff
to reply by |
|
|
|
MEMORANDUM OF LAW in Opposition re: 69
MOTION to Expedite Motion for Supplemental Notice..
Document filed by UBS Securities LLC., UBS Financial Services Inc.,, UBS AG. (Sullivan, William) (Entered: |
|
|
|
DECLARATION of William F. Sullivan in Opposition re: 69
MOTION to Expedite Motion for Supplemental Notice..
Document filed by UBS Securities LLC., UBS Financial Services Inc.,, UBS AG. (Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C)(Sullivan, William) (Entered: |
|
|
|
NOTICE OF APPEARANCE by Christopher Lometti on behalf of Ronald D. Kassover Filed In Associated Cases: 1:08-cv-02967-LMM, 1:08-cv-03082-LMM(Lometti, Christopher) (Entered: 10/22/2008) |
|
|
|
CERTIFICATE OF SERVICE of Summons and Amended Complaint,,. Service was accepted by Chris Hass. Document
filed by David Chandler(Individually), David
Chandler(As Trustees of the Chandler Trust Dated 12/28/05 and on behalf of
All Others Similarly Situated), Robert Bee, Edward Taras, Larry S. Watanabe,
David Ghiz, M. Richard Goldberg, Shelly Chandler(Individually), Shelly
Chandler(As Trustees of the Chandler Trust Dated 12/28/05, And On Behalf of
All Others Similarly Situated). (Weiss, Stephen) (Entered: |
|
|
|
WAIVER OF SERVICE RETURNED EXECUTED. David Shulman waiver
sent on |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 69
MOTION to Expedite Motion for Supplemental Notice..
Document filed by Robert Bee, Edward Taras, Larry S. Watanabe, David Ghiz, M.
Richard Goldberg. (Siegel, Norman) (Entered: |
|
|
|
DECLARATION of Norman E. Siegel in Support re: 69
MOTION to Expedite Motion for Supplemental Notice..
Document filed by Robert Bee, Edward Taras, Larry S. Watanabe, M. Richard
Goldberg. (Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C, # 4
Exhibit D)(Siegel, Norman) (Entered: |
|
|
|
MEMORANDUM AND ORDER For the reasons set forth in this
order, the Lead plaintiffs expedited motion is denied..
(Signed by Judge Lawrence M. McKenna on |
|
|
|
MEMORANDUM OF LAW in Opposition re: 74
CROSS MOTION to Expedite Motion for Further Supplemental Notice and Related
Relief.. Document filed by UBS Securities LLC.,
UBS Financial Services Inc.,, UBS AG. (Sullivan,
William) (Entered: |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 74
CROSS MOTION to Expedite Motion for Further Supplemental Notice and
Related Relief.. Document filed by Ronald D.
Kassover. (Rehns, Daniel) (Entered: |
|
|
|
DECLARATION of Joel P. Laitman in Support re: 74
CROSS MOTION to Expedite Motion for Further Supplemental Notice and
Related Relief.. Document filed by Ronald D.
Kassover. (Attachments: # 1
Exhibit A - Supplemental Notice)(Rehns, Daniel) (Entered: |
|
|
|
ENDORSED LETTER addressed to Judge Lawrence M. McKenna
from Aaron M. Sheanin dated |
|
|
|
MEMORANDUM AND ORDER, the expedited cross-motion of interim
class counsel for Investment Advisors Act and state law claims in this
putative class action, for an order directing defendants to pay the cost of
the issuance of a revised Supplemental Notice, extending the deadline for
responding to the UBS offer, permitting for a period holders of Auction Rate
Securities to withdraw acceptance of the UBS offer, and staying the effective
date of the UBS settlement until the resolution of motions regarding
supplemental notice, is denied, for substantially the same reasons as given
for the denial of the related motion by lead plaintiffs. (Signed by Judge
Lawrence M. McKenna on |
|
|
|
MOTION for Discovery Notice of Lead Plaintiffs' Motion
to Partially Lift the PSLRA Discovery Stay. Document filed by David Chandler(Individually). (Attachments: # 1
Text of Proposed Order)(Sheanin, Aaron) (Entered: |
|
|
|
MEMORANDUM OF LAW in Support re: 91
MOTION for Discovery Notice of Lead Plaintiffs' Motion to Partially Lift
the PSLRA Discovery Stay.. Document filed by
David Chandler(Individually). (Sheanin, Aaron)
(Entered: |
|
|
|
DECLARATION of Aaron M. Sheanin in Support re: 91
MOTION for Discovery Notice of Lead Plaintiffs' Motion to Partially Lift
the PSLRA Discovery Stay.. Document filed by
David Chandler(Individually). (Attachments: # 1
Exhibit A-D, # 2
Exhibit E (part 1 of 2), # 3
Exhibit E (Part 2 of 2), # 4
Exhibit F-K, # 5
Exhibit L (part 1 of 2), # 6
Exhibit L (part 2 of 2))(Sheanin, Aaron) (Entered: |
|
|
|
STIPULATION AND ORDER: It is hereby Stipulated and agreed
that defendant's UBS Securities LLC., UBS Financial Services, Inc., UBS AG
Marten Hoeklra, and Joseph Scoby shall have through and until |
|
|
|
STIPULATION AND ORDER, that Defendants
UBS Securities LLC. UBS Financial Services, Inc, UBS AG, Marten
Hoekstra,and Joseph Scoby shall have through and until November 25, 2008, in
which to answer, move against, or otherwise respond to the consolidated
amended complaint; may file a joint memorandum of law in support of UBS's
anticipated motion to dismiss of up to forty (40) pages in length; Lead
Plaintiff may file a joint memorandum of law in opposition to UBS's
anticipated joint to dismiss of up to forty (40) pages in length; and UBS may
file a joint reply memorandum of up to twenty (20) pages in length.
Additional relief as set forth in this Order. Defendants UBS Securities LLC,
UBS Financial Services, Inc., and UBS AG (UBS) (Signed by Judge Lawrence M.
McKenna on |
|
|
|
ENDORSED LETTER addressed to Judge Lawrence M. McKenna
from William F. Sullivan dated 10/31/08 re: Counsel for plaintiff writes
regarding both parties agreement that UBS should have until November 12, 2008
to file an answering memorandum of law and Lead Plaintiffs should have until
November 19, 2008 to file a reply in support of their motion. The parties
request that the Court approve this stipulated briefing schedule.
ENDORSEMENT: Approved. So Ordered. ( Replies due by |
|
|
|
NOTICE OF APPEARANCE by Thomas Matthew Keane on behalf of
David Shulman (Keane, Thomas) (Entered: |
|
|
|
MEMORANDUM OF LAW in Opposition re: 91
MOTION for Discovery Notice of Lead Plaintiffs' Motion to Partially Lift
the PSLRA Discovery Stay.. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,, UBS
AG. (Sullivan, William) (Entered: |
|
|
|
DECLARATION of William F. Sullivan in Opposition re: 91
MOTION for Discovery Notice of Lead Plaintiffs' Motion to Partially Lift
the PSLRA Discovery Stay.. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,, UBS
AG. (Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C)(Sullivan, William) (Entered: |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 91
MOTION for Discovery Notice of Lead Plaintiffs' Motion to Partially Lift
the PSLRA Discovery Stay.. Document filed by
David Chandler(Individually). (Sheanin, Aaron)
(Entered: |
|
|
|
NOTICE OF APPEARANCE by Judith Leonore Mogul on behalf of David Shulman Filed In Associated Cases: 1:08-cv-02967-LMM, 1:08-cv-03082-LMM(Mogul, Judith) (Entered: 11/20/2008) |
|
|
|
NOTICE OF APPEARANCE by Robert James Anello on behalf of David Shulman Filed In Associated Cases: 1:08-cv-02967-LMM, 1:08-cv-03082-LMM(Anello, Robert) (Entered: 11/21/2008) |
|
|
|
ORDER: Defendants' motion for dismissal is scheduled to be
served and filed on |
|
|
|
|
Set Deadlines/Hearings: Motions due by |
|
|
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss the
Amended Class Action Complaint. Document filed by David Shulman.
(Attachments: # 1
Memorandum of Law)Filed In Associated Cases: |
|
|
|
NOTICE OF APPEARANCE by Andrew M. Genser on behalf of Joseph Scoby Filed In Associated Cases: 1:08-cv-02967-LMM, 1:08-cv-03082-LMM(Genser, Andrew) (Entered: 11/25/2008) |
|
|
|
MOTION to Dismiss Consolidated Class Action Complaint.
Document filed by Joseph Scoby.Filed In Associated Cases: |
|
|
|
MEMORANDUM OF LAW in Support re: ( |
|
|
|
DECLARATION of John Hartman, Esq. in Support re: ( |
|
|
|
NOTICE OF APPEARANCE by William F. Sullivan on behalf of UBS Securities LLC., UBS Financial Services Inc.,, Marten Hoekstra, UBS AG (Sullivan, William) (Entered: 11/25/2008) |
|
|
|
MOTION to Dismiss Amended Consolidated Class Action Complaint for Violations of the Federal Securities Laws. Document filed by UBS Securities LLC., UBS Financial Services Inc.,, Marten Hoekstra, UBS AG.(Sullivan, William) (Entered: 11/25/2008) |
|
|
|
MEMORANDUM OF LAW in Support re: 110
MOTION to Dismiss Amended Consolidated Class Action Complaint for
Violations of the Federal Securities Laws..
Document filed by UBS Securities LLC., UBS Financial Services Inc.,, Marten Hoekstra, UBS AG. (Sullivan, William) (Entered: |
|
|
|
DECLARATION of William F. Sullivan in Support re: 110
MOTION to Dismiss Amended Consolidated Class Action Complaint for
Violations of the Federal Securities Laws..
Document filed by UBS Securities LLC., UBS Financial Services Inc.,, Marten Hoekstra, UBS AG. (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)(Sullivan, William) (Entered: |
|
|
|
AFFIDAVIT OF SERVICE of Notice of Motion to Dismiss
Consolidated Class Action Complaint and Supporting Papers served on Carey and
Danis, LLC; and Law Offices of George A. Shohet on |
|
|
|
MOTION to Dismiss The Amended Class Action Complaint.
Document filed by David Shulman.Filed In Associated Cases: |
|
|
|
MEMORANDUM OF LAW in Support re: ( |
|
|
|
AFFIDAVIT OF SERVICE of Notice of Motion to Dismiss
Amended Class Action Complaint and Memorandum of Law served on A.J. De
Bartolomeo, Jeff S. Westerman, Joseph E. Levi, and George A. Shohet, Esq. on |
|
|
|
NOTICE of of Withdrawal of Joseph P. Guglielmo. Document
filed by Randolph Bonnist. (Guglielmo, Joseph) (Entered: |
|
|
|
RULE 7.1 CORPORATE DISCLOSURE STATEMENT.
No Corporate Parent. Document filed by UBS AG.(Sullivan, William) (Entered: |
|
|
|
NOTICE OF APPEARANCE by William F. Sullivan on behalf of
Marcel Rohner (Sullivan, William) (Entered: |
|
|
|
STIPULATION & ORDER, Defendant Marcel Rohner shall
answer, move against, or otherwise respond to the Complaint on or before |
|
|
|
MOTION to Dismiss the Amended Consolidated Class Action
Complaint. Document filed by Marcel Rohner. Responses due by |
|
|
|
MEMORANDUM OF LAW in Support re: 121
MOTION to Dismiss the Amended Consolidated Class Action Complaint.. Document filed by Marcel Rohner. (Sullivan, William)
(Entered: |
|
|
|
MEMORANDUM OF LAW in Opposition re: 121
MOTION to Dismiss the Amended Consolidated Class Action Complaint., 110
MOTION to Dismiss Amended Consolidated Class Action Complaint for
Violations of the Federal Securities Laws.. Document filed by David Chandler(Individually). (Sheanin, Aaron) (Entered: |
|
|
|
MEMORANDUM OF LAW in Opposition re: 114
MOTION to Dismiss The Amended Class Action Complaint., 106
MOTION to Dismiss Consolidated Class Action Complaint.. Document filed
by David Chandler(Individually). (Sheanin, Aaron)
(Entered: |
|
|
|
REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY
DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil
Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that
the above-captioned action is voluntarily dismissed, Without prejudice
against the defendant(s) all defendants. Document filed by Edward Taras.
(Sharp, Christina) Modified on |
|
|
|
|
***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR
APPROVAL. Note to Attorney Christina Sharp Document 125
Notice of Voluntary Dismissal, was referred to Judge Lawrence M. McKenna for
approval. (dt) (Entered: |
|
|
REPLY MEMORANDUM OF LAW in Support re: ( |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: ( |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 121
MOTION to Dismiss the Amended Consolidated Class Action Complaint., 110
MOTION to Dismiss Amended Consolidated Class Action Complaint for
Violations of the Federal Securities Laws.. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,,
Marcel Rohner, Marten Hoekstra, UBS AG. (Sullivan, William) (Entered: |
|
|
|
|
CASHIERS OFFICE REMARK in the amount of $75.00, paid on |
|
|
MEMORANDUM AND ORDER: For the foregoing reasons,
Defendants' Motion to Dismiss is GRANTED. Plaintiffs may replead (if they can
do so consistently with Federal Rule of Civil Procedure 11) within 20 days of
the date hereof. SO ORDERED. (Signed by Judge Lawrence M. McKenna on |
|
|
|
|
Transmission to Judgments and Orders Clerk. Transmitted
re: ( |
|
|
MOTION for John F. Hartmann and Paul Helms to Appear Pro
Hac Vice. Document filed by Joseph Scoby.Filed In Associated Cases: |
|
|
|
ORDER ADMITTING ATTORNEY John F. Hartman PRO HAC VICE for
defendant Joseph Scoby. (Signed by Judge Lawrence M. McKenna on |
|
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
( |
|
|
STIPULATION AND ORDER that Lead Plaintiffs' deadline to
file the First Amended Consolidated Class Action Complaint is extended to |
|
|
|
|
CASHIERS OFFICE REMARK on 131
Motion to Appear Pro Hac Vice in the amount of $50.00, paid on |
|
|
FIRST AMENDED CONSOLIDATED CLASS ACTION COMPLAINT amending 68 Amended Complaint, against UBS Securities LLC., UBS Financial Services Inc.,, David Shulman, Joseph Scoby, Marcel Rohner, Marten Hoekstra, UBS AG.Document filed by David Neu, Charles H. Dutcher, Ann Elston, William Baumel. Related document: 68 Amended Complaint,, filed by Shelly Chandler, Edward Taras, Robert Bee, David Chandler, Larry S. Watanabe, M. Richard Goldberg, David Ghiz.(dle) (Entered: 05/11/2009) |
|
|
|
ORDER: Movant Joseph P. Guglielmo's Motion to Withdraw as
Counsel is GRANTED, and Movant is terminated as counsel in this proceeding.
(Signed by Judge Lawrence M. McKenna on |
|
|
|
MOTION to Substitute Party. Old Party: David Chandler,
Shelly Chandler, Robert Bee, Edward Taras, Larry S. Watanabe, David Ghiz and
M. Richard Goldberg, New Party: David Neu, Charles H. Dutcher, Ann Elston and
William Baumel., MOTION to Withdraw Chandler Group. Document filed by
Chandler Group. (Attachments: # 1
Text of Proposed Order)(Girard, Daniel) (Entered: |
|
|
|
MEMORANDUM OF LAW in Support re: 135 MOTION to Substitute
Party. Old Party: David Chandler, Shelly Chandler, Robert Bee, Edward Taras,
Larry S. Watanabe, David Ghiz and M. Richard Goldberg, New Party: David Neu,
Charles H. Dutcher, Ann Elston and William Baumel. MOTION to Withdraw Chandler
Group.. Document filed by Chandler Group.
(Girard, Daniel) (Entered: |
|
|
|
DECLARATION of Daniel C. Girard in Support re: 135 MOTION to Substitute
Party. Old Party: David Chandler, Shelly Chandler, Robert Bee, Edward Taras,
Larry S. Watanabe, David Ghiz and M. Richard Goldberg, New Party: David Neu,
Charles H. Dutcher, Ann Elston and William Baumel. MOTION to Withdraw Chandler
Group.. Document filed by Chandler Group.
(Girard, Daniel) (Entered: |
|
|
|
MEMO ENDORSEMENT on MOTION OF THE CHANDLER GROUP TO
WITHDRAW AND SUBSTITUTE LEAD PLAINTIFF. ENDORSEMENT: The above-captioned
motion having been filed, defendants may respond formerly, and plaintiffs
reply. Defendants' time to respond to the already filed First Amended
Consolidated Class Action Complaint is extended to 30 days after a decision
on the above-captioned motion. (Signed by Judge Lawrence M. McKenna on |
|
|
|
STIPULATION & ORDER; On or before June 15, 2009,
Defendants shall file an opposition to the Motion of the Chandler Group to
Withdraw and Substitute Lead Plaintiff on or before June 15, 2009; On or
before June 26, 2009, Lead Plaintiffs shall file a reply in support of the
Motion of the Chandler Group to Withdraw and Substitute Lead Plaintiff. It is
so ordered. (Signed by Judge Lawrence M. McKenna on |
|
|
|
MEMORANDUM OF LAW in Opposition re: 135 MOTION to Substitute
Party. Old Party: David Chandler, Shelly Chandler, Robert Bee, Edward Taras,
Larry S. Watanabe, David Ghiz and M. Richard Goldberg, New Party: David Neu,
Charles H. Dutcher, Ann Elston and William Baumel. MOTION to Withdraw Chandler
Group.. Document filed by UBS Securities LLC.,
UBS Financial Services Inc.,, Marcel Rohner, Marten
Hoekstra, UBS AG. (Sullivan, William) (Entered: |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 135 MOTION to Substitute
Party. Old Party: David Chandler, Shelly Chandler, Robert Bee, Edward Taras,
Larry S. Watanabe, David Ghiz and M. Richard Goldberg, New Party: David Neu,
Charles H. Dutcher, Ann Elston and William Baumel. MOTION to Withdraw Chandler
Group.. Document filed by Chandler Group.
(Girard, Daniel) (Entered: |
|
|
|
DECLARATION of Daniel C. Girard in Support re: 135 MOTION to Substitute
Party. Old Party: David Chandler, Shelly Chandler, Robert Bee, Edward Taras,
Larry S. Watanabe, David Ghiz and M. Richard Goldberg, New Party: David Neu,
Charles H. Dutcher, Ann Elston and William Baumel. MOTION to Withdraw Chandler
Group.. Document filed by Chandler Group.
(Girard, Daniel) (Entered: |
|
|
|
JOINDER to join re: 135
MOTION to Substitute Party. Old Party: David Chandler, Shelly Chandler,
Robert Bee, Edward Taras, Larry S. Watanabe, David Ghiz and M. Richard
Goldberg, New Party: David Neu, Charles H. Dutcher, Ann Elston and William
Baumel. MOTION to Withdraw Chandler Group..
Document filed by Neu Group.(Girard, Daniel) (Entered: |
|
|
|
MEMORANDUM AND ORDER, that any party who objects to the
withdrawal of David Chandler, Shelly Chandler, Robert Bee, Edward Taras,
Larry S. Watanabe, David Ghiz and M. Richard Goldberg as Lead Plaintiffs in
this action and the substitution of David Neu, Charles H. Dutcher, III, Ann
Elston, and William Baumel as Lead Plaintiffs or who wishes to apply for
appointment as lead counsel shall so inform the Court by letter no later than
twenty one days from the date of this Order. (Signed by Judge Lawrence M.
McKenna on |
|
|
|
ORDER: The request of David Chandler, Shelly Chandler,
Robert Bee, Larry S. Watanabe, David Ghiz and M. Richard Goldbers to withdraw
as Lead Plaintiffs in this action is GRANTED, and the claims of the members
of the Chandler Group are dismissed without prejudice. Plaintiffs David Neu,
Charles H. Dutcher, III, Ann Elston and William Baumel (collectively, the
"Neu Group") are hereby SUBSTITUTED and APPOINTED to serve as Lead
Plaintiffs in above-captioned action, pursuant to Section 21D(a)(3)(B) of the
Exchange Act, 15 U.S.C. § 78u-4(a)(3)(B), as amended by the PSLRA. The
Court previously appointed the law firms of Girard Gibbs LLP, Stueve Siegel
Hanson LLP, and Seeger Weiss LLP to serve as Lead Counsel, Co-Lead Counsel,
and Liaison Counsel for the Class, respectively, pursuant to Section
21D(a)(3)(B) of the Exchange Act, 15 U.S.c. § 78u-4(a)(3)(B), as amended
by the PSLRA. The Neu Group's selection of the same firms to serve as counsel
for claims asserted under the Exchange Act is hereby APPROVED. Pursuant to
the Court's |
|
|
|
NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure,
plaintiff Edward Taras and or their counsel(s), hereby give notice that the
above-captioned action is voluntarily dismissed without prejudice against the
defendant(s) UBS Securities LLC., UBS Financial Services Inc.,, David
Shulman, Joseph Scoby, Marcel Rohner, Marten Hoekstra, UBS AG, UBS Securities
L.L.C., UBS Financial Services, Inc.. ENDORSEMENT: So ordered. (This order
applies only to Mr. Taras individual claims) (Signed by Judge Lawrence M.
McKenna on |
|
|
|
STIPULATION & ORDER; On or before |
|
|
|
MOTION to Dismiss first amended consolidated class
action complaint. Document filed by Joseph Scoby.Filed In Associated
Cases: |
|
|
|
MEMORANDUM OF LAW in Support re: ( |
|
|
|
MOTION to Dismiss the First Amended Consolidated Class
Action Complaint. Document filed by David Shulman. Responses due by
10/2/2009Filed In Associated Cases: |
|
|
|
DECLARATION of Robert J. Anello in Support re: ( |
|
|
|
MEMORANDUM OF LAW in Support re: ( |
|
|
|
MOTION to Dismiss First Amended Cons. Document
filed by UBS Securities LLC., UBS Financial Services Inc.,,
Marcel Rohner, Marten Hoekstra, UBS AG. Responses due by |
|
|
|
MEMORANDUM OF LAW in Support re: 153
MOTION to Dismiss First Amended Cons.. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,,
Marcel Rohner, Marten Hoekstra, UBS AG. (Sullivan, William) (Entered: |
|
|
|
DECLARATION of William F. Sullivan in Support re: 153
MOTION to Dismiss First Amended Cons.. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,,
Marcel Rohner, Marten Hoekstra, UBS AG. (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)(Sullivan, William) (Entered: |
|
|
|
MOTION for Matthew L. Dameron to Withdraw as Attorney.
Document filed by Chandler Group.(Dameron, Matthew) (Entered: |
|
|
|
ORDER granting (156) Motion to Withdraw as Attorney.
Attorney Matthew L. Dameron terminated in case 1:08-cv-02967-LMM. (Signed by
Judge Lawrence M. McKenna on 9/8) Filed In Associated Cases:
1:08-cv-02967-LMM, |
|
|
|
STIPULATION: On or before |
|
|
|
MOTION to Strike Document No. [151 and 155] , Declaration of Robert J. Anello and Exhibits
F-N and T to the Declaration of William F. Sullivan. Document filed by
Neu Group. (Attachments: # 1
Text of Proposed Order)(Sheanin, Aaron) (Entered: |
|
|
|
MEMORANDUM OF LAW in Support re: 159
MOTION to Strike Document No. [151 and 155] ,
Declaration of Robert J. Anello and Exhibits F-N and T to the Declaration of
William F. Sullivan.. Document filed by Neu Group. (Sheanin, Aaron)
(Entered: |
|
|
|
MEMORANDUM OF LAW in Opposition re: 153
MOTION to Dismiss First Amended Cons.. Document filed by Neu Group.
(Sheanin, Aaron) (Entered: |
|
|
|
DECLARATION of Aaron M. Sheanin in Opposition re: 153
MOTION to Dismiss First Amended Cons.. Document filed by Neu Group.
(Sheanin, Aaron) (Entered: |
|
|
|
MEMORANDUM OF LAW in Opposition re: 148
MOTION to Dismiss first amended consolidated class action complaint., 150
MOTION to Dismiss the First Amended Consolidated Class Action Complaint..
Document filed by Neu Group. (Sheanin, Aaron) (Entered: |
|
|
|
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION. that
upon the motion of Stephen A. Weiss, attorney for the Plaintiffs, and said
sponsor of attorney's affidavit in support; that BARRETT J. VAHLE is admitted
to practice pro hac vice as counsel for Plaintiffs in the above captioned
case in the United States District Court for the Southern District of New
York. Additional relief as set forth in this Order. (Signed by Judge Lawrence
M. McKenna on |
|
|
|
MOTION for Barrett J. Vahle to Appear Pro Hac Vice. Document filed by David Neu, Charles H. Dutcher, William Baumel, Chandler Group, Neu Group, Ricardo L. Sanchez.(mro) (Entered: 10/21/2009) |
|
|
|
|
Transmission to Attorney Admissions Clerk. Transmitted re:
165
Order Admitting Attorney Pro Hac Vice,, to the
Attorney Admissions Clerk for updating of Attorney Information. (pl)
(Entered: |
|
|
STIPULATION AND ORDER, 1. On or before |
|
|
|
|
CASHIERS OFFICE REMARK on 166
Motion to Appear Pro Hac Vice in the amount of $25.00, paid on |
|
|
ORDER that the following counsel hereby withdraws his
appearance in the above-captioned action and requests that no further notices
be given to or required of him in the action, and that no documents or other
pleadings in the action be served upon him. (Signed by Judge Lawrence M.
McKenna on |
|
|
|
NOTICE OF APPEARANCE by Samuel P. Sporn on behalf of
Ronald D. Kassover (Sporn, Samuel) (Entered: |
|
|
|
FILING ERROR - DEFICIENT DOCKET ENTRY - REPLY MEMORANDUM
OF LAW in Support re: ( |
|
|
|
DECLARATION of John F. Hartmann in Support re: ( |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: ( |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: ( |
|
|
|
MEMORANDUM OF LAW in Opposition re: ( |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 153
MOTION to Dismiss First Amended Cons.. Document filed by UBS
Securities LLC., UBS Financial Services Inc.,,
Marcel Rohner, Marten Hoekstra, UBS AG. (Sullivan, William) (Entered: |
|
|
|
MEMORANDUM OF LAW in Opposition re: 159
MOTION to Strike Document No. [151 and 155] ,
Declaration of Robert J. Anello and Exhibits F-N and T to the Declaration of
William F. Sullivan.. Document filed by UBS Securities LLC., UBS
Financial Services Inc.,, Marcel Rohner, Marten
Hoekstra, UBS AG. (Sullivan, William) (Entered: |
|
|
|
REPLY MEMORANDUM OF LAW in Support re: 159
MOTION to Strike Document No. [151 and 155] ,
Declaration of Robert J. Anello and Exhibits F-N and T to the Declaration of
William F. Sullivan.. Document filed by Neu Group. (Sheanin, Aaron)
(Entered: |
|
|
|
NOTICE OF VOLUNTARY DISMISSAL OF LEAD PLAINTIFF WILLIAM
BAUMEL PURSUANT TO FRCP 41(a)(1): Lead plaintiff William Baumel, as trustee
of the William Baumel and Jill Baumel Trust U/A Dtd. 10/02/2001, hereby
voluntarily dismisses his claims against defendants in this action pursuant
to FRCP 41(a)(1)(A)(i) without prejudice. (Signed by Judge Lawrence M.
McKenna on |
|
|
|
NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule
41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and
or their counsel(s), hereby give notice that the above-captioned action is
voluntarily dismissed without prejudice as to claims by plaintiff Ann Elston
against defendants. (Signed by Judge Lawrence M. McKenna on |
Note: Links in this
docket are stored in the PACER system (Public Access to Court
Electronic Records). PACER is a service of United States
Judiciary. To view and retrieve the linked documents from PACER, you must be a
registered user. To register, fill out one of the registration forms available on the PACER site. The United States
Congress has given the Judicial Conference of the