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Date Filed
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#
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Docket Text
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06/16/2008
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1
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CERTIFIED TRUE COPY
OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL... transferring this
action from the United States District Court - that pursuant to 28 U.S.C.
1407, the actions listed on the attached schedule A and pending in the
Southern District of Texas, case nos. 4:07-4089 and 4:08-333 and the same
hereby are, transferred to the Southern District of New York, with the
consent of that court, assigned to the Honorable Judge Richard J. Holwell,
for coordinated or consolidated pretrial proceedings with the actions pending
in that district and listed on Schedule A. (Signed by MDL Panel on 6/16/08)
(rjm) (Entered: 06/19/2008)
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06/16/2008
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Magistrate Judge Douglas F. Eaton is so designated. (rjm)
(Entered: 06/19/2008)
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06/16/2008
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CASES ORIGINATING FROM THE SOUTHERN DISTRICT OF NEW
YORK: 1:07-cv-8488((RJH),
1:07-cv-9319(RJH), 1:07-cv-9687(AKH), 1:08-cv-0265(RJH). (rjm) (Entered: 06/19/2008)
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07/30/2008
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2
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STIPULATION AND ORDER
EXTENDING DEADLINE FOR FILING OF CLASS PLAINTIFFS' MOTION FOR CLASS
CERTIFICATION... Class Plaintiffs' deadline for submitting Motion for class
certification is due by (extended to) 9/30/2008).
This Document relates to 07-8488, 07-9319, 07-9687, 08-0265. (Signed by Judge
Richard J. Holwell on 7/30/08)
(rjm) (Entered: 07/30/2008)
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09/25/2008
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3
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CERTIFIED TRUE COPY
OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL (CTO-2)...
transferring this action from the United States District Court - that
pursuant to 28 U.S.C. 1407, the actions listed on the attached schedule A and
pending in the District of other than the SDNY, and the same hereby are,
transferred to the Southern District of New York, with the consent of that
court, assigned to the Honorable Judge Richard J. Holwell, for coordinated or
consolidated pretrial proceedings with the actions pending in that district
and listed on Schedule A. (Signed by MDL Panel on 9/4/08) (rjm) (Entered:
09/26/2008)
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10/06/2008
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4
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REVISED SCHEDULING STIPULATION AND
ORDER: It is hereby stipulated and agreed by and between the parties that State
Street shall file response to Consolidated
Amended Complaint filed Class Plaintiffs by 10/17/2008. All parties shall complete document productions
in response to initial document request by 12/19/2008. Class plaintiffs shall file a motion for
class certification by 12/1/2008.
Fact depositions concerning the merits of actions shall not commence until January 1, 2009. Rule 30(b)(c)
depositions on document issues may pursue. All parties appear before the
Court for status conference 4/3/2009
at 11 a.m. Rule 26(a)(2)
disclosures due June 29, 2009.
Expert discovery completion is June
29, 2009, for delivery of initial expert reports, July 27, 2009, for delivery of any
rebuttal reports, and 8/28/2009,
for completion of expert discovery, including depositions. Dispositive
motions are due 9/7/2009.
Pretrial order due 9/14/2009.
Trial Ready date 9/28/2009
(Signed by Judge Richard J. Holwell on 10/3/2008) (jpo) (Entered: 10/07/2008)
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10/17/2008
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5
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CERTIFIED TRUE COPY
OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL... transferring this
action from the United States District Court - that pursuant to 28 U.S.C.
1407, the actions listed on the attached schedule A and pending in the
District of other than the SDNY, and the same hereby are, transferred to the
Southern District of New York, with the consent of that court, assigned to
the Honorable Judge Richard J. Holwell, for coordinated or consolidated
pretrial proceedings with the actions pending in that district and listed on
Schedule A. (Signed by MDL Panel on 10/16/08) (rjm) (Entered: 10/23/2008)
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10/24/2008
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6
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ORDER that the Court's Order of October 9, 2008 in 08 Civ.
7934 5
is vacated; and it is further ORDERED that case number 08 Civ. 7934 be
coordinated with Multidistrict Litigation No. 1945 for pretrial purposes
only; and it is further ORDERED that case number 08 Civ. 8235 be coordinated
with Multidistrict Litigation No. 1945 for pretrial purposes only. This
Document relates to MDL 1945, 07-8488, 08-7934, 08-8235. (Signed by Judge
Richard J. Holwell on 10/22/08)
(rjm) (Entered: 10/27/2008)
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10/28/2008
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7
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NOTICE of Non-Opposition. Document filed by Anatoly
Alexander. (Attachments: # 1
Exhibit Proposed Order)(Kaufman, Evan) (Entered: 10/28/2008)
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10/28/2008
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8
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DECLARATION of Evan J. Kaufman in Support re: (7 in 1:08-md-01945-RJH) Notice (Other).
Document filed by Anatoly Alexander. (Attachments: # 1
Exhibit 1, # 2
Exhibit 2, # 3
Exhibit 3, # 4
Exhibit 4, # 5
Exhibit 5)Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08920-RJH(Kaufman, Evan) (Entered: 10/28/2008)
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11/05/2008
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9
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ORDER CORRECTING OPINION The final sentence of the first
full paragraph on page 10 of the Court's September 30, 2008 opinion is
amended to read: Furthermore, the agreement between Prudential and the Plans,
pursuant to which the Loan amount is transferred to the Separate Accounts,
indicates that if a recovery is obtained in litigation, repayment will be
made from the Separate Accounts and that Prudential has no claim for
repayment from and no security interest in any other asset of the Separate
Accounts. (Siegel Decl. Ex. C at 2.) (Signed by Judge Richard J. Holwell on 10/30/08) (rjm) (Entered: 11/07/2008)
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11/05/2008
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10
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STIPULATION AND ORDER
EXTENDING TIME TO RESPOND TO COUNTERCLAIMS It is hereby stipulated and agreed
that Prudential Retirement Insurance and Annuity Company (PRIAC), the
plaintiff/counterclaimant defendant in the above captioned action shall not
be required to move, answer, or otherwise respond to any of the counterclaims
filed in the above styled action until November 26, 2008. By entering in to
this stipulation, FRIAC does not waive any defenses that otherwise could be
asserted through a motion pursuant to Fed. R. Civ. P. 12 or otherwise.
(Signed by Judge Richard J. Holwell on 10/31/08) (rjm) (Entered: 11/07/2008)
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11/10/2008
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11
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STIPULATION AND ORDER:
Named Plaintiffs in the above-captioned action shall not be required to move,
answer, or otherwise respond to the State Street Class Counterclaim filed in
this action until 11/26/08.
(Signed by Judge Richard J. Holwell on 11/6/08) Filed In Associated Cases: 1:07-cv-08488-RJH,
1:07-cv-09319-RJH, 1:07-cv-09687-RJH, 1:08-cv-00265-RJH (tro) (Entered:
11/10/2008)
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01/06/2009
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12
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STIPULATION AND ORDER
EXTENDING TIME FOR STATE STREET
TO OPPOSE LEAD CLASS PLAINTIFFS' MOTION FOR CLASS CERTIF1CATION. IT IS HEREBY
STIPULATED AND AGREED, as evidenced by the
signature of counsel hereto, and subject to Court approval, that: State
Street shall not be required to serve its opposition to the Class
Certification Motion until and including January 28, 2009. Plaintiffs shall
not be required to serve any reply in support of the Class Certification
Motion until and including February
27, 2009. The parties further agree to work together in good
faith regarding additional extensions of time if the discovery schedule or
other circumstances warrant. Relates to 08md1945, 07-8488, 07-9319, 07-9687,
08-0265., Set Deadlines/Hearing as to (105
in 1:07-cv-08488-RJH) MOTION to Certify Class. (Responses due
by 1/28/2009, Replies due
by 2/27/2009.) (Signed by
Judge Richard J. Holwell on 1/6/09)
(rjm) (Entered: 01/07/2009)
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01/06/2009
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13
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NOTICE OF MOTION for ADMISSION PRO HAC VICE OF Michael S.
Hines. Document filed by Lynn L. Anderson, Steven J. Mastrovich, William L.
Marshall, Patrick J. Riley, Bruce D. Taber, Richard D. Shirk, Henry W. Todd.
Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH(rjm)
(Entered: 02/03/2009)
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01/06/2009
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14
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NOTICE OF MOTION FOR ADMISSION PRO HAC VICE OF Peter
Simshauser. Document filed by Lynn L. Anderson, Steven J. Mastrovich, William
L. Marshall, Patrick J. Riley, Bruce D. Taber, Richard D. Shirk, Henry W.
Todd. Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH(rjm) (Entered: 02/03/2009)
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02/10/2009
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15
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ORDER granting 14
Motion for Peter Simshauser to Appear Pro Hac Vice for Lynn L. Anderson,
Steven J. Mastrovich, William L. Marshall, Patrick J. Riley, Bruce D. Taber,
Richard D. Shirk, Henry W. Todd. SO ORDERED. (Signed by Judge Richard J.
Holwell on 2/9/2009) (jmi)
(Entered: 02/11/2009)
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02/10/2009
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16
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ORDER granting 13
Motion for Michael S. Hines to Appear Pro Hac Vice for Lynn L. Anderson,
Steven J. Mastrovich, William L. Marshall, Patrick J. Riley, Bruce D. Taber,
Richard D. Shirk, Henry W. Todd.(Signed by Judge Richard J. Holwell on
2/9/2009) (jmi) (Entered: 02/11/2009)
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02/10/2009
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Transmission to Attorney Admissions Clerk. Transmitted re:
16
Order on Motion to Appear Pro Hac Vice, 15
Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. (jmi) (Entered: 02/11/2009)
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02/11/2009
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17
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CERTIFIED TRUE COPY
OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL... transferring this
action from the United States District Court - that pursuant to 28 U.S.C.
1407, the actions listed on the attached schedule A and pending in the
District of Massachusetts, C.A. No. 1:08-11422, and the same hereby are,
transferred to the Southern District of New York, with the consent of that
court, assigned to the Honorable Judge Richard J. Holwell, for coordinated or
consolidated pretrial proceedings with the actions pending in that district and
listed on Schedule A. (Signed by MDL Panel on 2/10/09) (rjm) (Entered:
02/11/2009)
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02/13/2009
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20
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AMENDED COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES
LAWS against State Street Global Advisors,
SSGA Funds, Lynn L. Anderson, Peter G. Leahy, William L. Marshall, Steven J.
Mastrovich, Patrick J. Riley, James Ross, Richard D. Shirk, Mark E. Swanson, Bruce
D. Taber, Henry W. Todd, State Street Bank and Trust Co. Fixed Income Funds
Investment Litigation.Document filed by Ning Yu, Karen Adams, Margaret
Callan, Warren Cohen, Alan Kober, Nashua Corporation Pension Plan Committee,
John L. Patenaude, Anatoly Alexander.(ae) (Entered: 02/17/2009)
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02/13/2009
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21
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AMENDED COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES
LAWS against Patrick J. Riley, James Ross,
Richard D. Shirk, Mark E. Swanson, Bruce D. Taber, Henry W. Todd, State
Street Bank and Trust Co. Fixed Income Funds Investment Litigation, State
Street Global Advisors, SSGA Funds, Lynn L. Anderson, Peter G. Leahy, William
L. Marshall, Steven J. Mastrovich.Document filed by Plumbers and Steamfitters
Union Local No. 10 Health & Welfare Fund.(ae) (Entered: 02/17/2009)
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02/13/2009
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22
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MOTION for Jerome C. Katz to Appear Pro Hac Vice. Document
filed by State Street Bank and Trust Co. Fixed Income Funds Investment
Litigation, State Street Global Advisors, State Street Corp., State Street
Bank and Trust Company, State Street Global Advisors, Inc..Filed In
Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE,
1:08-cv-08920-RJH-DFE(jmi) (Entered: 02/20/2009)
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02/17/2009
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18
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NOTICE of Withdrawal of Olivia S. Choe. Document filed by
State Street Bank and Trust Co. Fixed Income Funds Investment Litigation.
(Choe, Olivia) (Entered: 02/17/2009)
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02/17/2009
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19
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NOTICE of Withdrawal of Olivia S. Choe in all related
cases. Document filed by State Street Bank and Trust Co. Fixed Income Funds
Investment Litigation, State Street Corp., State Street Global Advisors,
State Street Bank and Trust Company, State Street Global Advisors, Inc..
Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH,
1:08-cv-08920-RJH, 1:09-cv-01241-RJH(Choe, Olivia) (Entered: 02/17/2009)
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03/02/2009
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23
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CERTIFIED TRUE COPY
OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL (CTO-4)...
transferring this action from the United States District Court - that
pursuant to 28 U.S.C. 1407, the actions listed on the attached schedule A and
pending in the District other than the SDNY, and the same hereby are,
transferred to the Southern District of New York, with the consent of that
court, assigned to the Honorable Judge Richard J. Holwell, for coordinated or
consolidated pretrial proceedings with the actions pending in that district
and listed on Schedule A. (Signed by MDL Panel on 2/12/09) (rjm) (Entered:
03/03/2009)
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03/11/2009
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24
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MOTION to Dismiss Class Action Securities Complaints.
Document filed by Mark E. Swanson, SSGA Funds, Peter G. Leahy, State Street
Corp., James E. Ross, State Street Global Advisors.Filed In Associated Cases:
1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE(Donovan, John) (Entered: 03/11/2009)
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03/11/2009
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25
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DECLARATION of Robert A. Skinner in Support re: (32 in 1:08-cv-08235-RJH-DFE) MOTION to
Dismiss.. Document filed by SSGA Funds, Peter G. Leahy, State Street Corp.,
Mark E. Swanson, James E. Ross, State Street Global Advisors. (Attachments: #
1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C, # 4
Exhibit D, # 5
Exhibit E, # 6
Exhibit F, # 7
Exhibit G)Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-08235-RJH-DFE(Donovan, John) (Entered: 03/11/2009)
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03/11/2009
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26
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MEMORANDUM OF LAW in Support re: (32 in 1:08-cv-08235-RJH-DFE, 24 in 1:08-md-01945-RJH) MOTION to
Dismiss.. Document filed by SSGA Funds, Peter G. Leahy, State Street Corp.,
Mark E. Swanson, James E. Ross, State Street Global Advisors. (Attachments: #
1
Exhibit 1, # 2
Exhibit 2)Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-08235-RJH-DFE(Donovan, John) (Entered: 03/11/2009)
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03/11/2009
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27
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MOTION to Dismiss Amended Complaints. Document
filed by Patrick J. Riley, Richard D. Shirk, Bruce D. Taber, Henry W. Todd,
Lynn L. Anderson, William L. Marshall, Steven J. Mastrovich.Filed In
Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE(Dougherty, Thomas)
(Entered: 03/11/2009)
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03/11/2009
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28
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MEMORANDUM OF LAW in Support re: (27 in 1:08-md-01945-RJH, 36 in 1:08-cv-08235-RJH-DFE) MOTION to
Dismiss Amended Complaints.. Document filed by Patrick J. Riley,
Richard D. Shirk, Bruce D. Taber, Henry W. Todd, Lynn L. Anderson, William L.
Marshall, Steven J. Mastrovich. (Attachments: # 1
Exhibit A, # 2
Exhibit B)Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-08235-RJH-DFE(Dougherty, Thomas) (Entered: 03/11/2009)
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03/11/2009
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29
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STIPULATION AND ORDER
REGARDING BRIEFING SCHEDULE FOR DEFENDANTS' MOTIONS TO DISMISS CLASS ACTION
SECURITIES COMPLAINTS as evidenced by the signature of counsel hereto, and
subject to Court approval, that: ( Motions due by 3/11/2009, Replies due by
4/20/2009, Responses due by 4/6/2009.) SO ORDERED. (Signed by Judge Richard
J. Holwell on 3/10/2009)
(jmi) (Entered: 03/12/2009)
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03/17/2009
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30
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ENDORSED LETTER addressed to Judge Richard J. Holwell from
Robert A. Skinner dated 3/16/09 re: Defendant State Street's Memorandum of
Law in Opposition to Class Certification is due to the Court on March 25,
2009. Pursuant to Rule 3(C) of your Individual Practices, State Street
respectfully requests a page limit increase for its Memorandum of Law from
the current 25 pages to 40 pages. While we have made every effort to comply
with the 25 page limit, we believe an increase is necessary to allow State
Street to fully address the complex class certification issues in this
matter. Counsel for Class Plaintiffs have been consulted and do not oppose
this request, provided that Class Plaintiffs are granted an equivalent page
limit (i.e., up to 40 pages) for their Reply brief. State Street is in
agreement. ENDORSEMENT: So Ordered. Relates to 08md1945, 07-8488. (Signed by
Judge Richard J. Holwell on 3/16/09) (rjm) (Entered: 03/17/2009)
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03/17/2009
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31
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ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE. Upon the
motion of defendants State Street Bank and Trust Company and State Street
Global Advisors, Inc. ("State Street") pursuant to Rule l.3 of the
Local Civil Rules, for an order admitting Daniel J. Maher and Lila A. Palmer
pro hac vice for all purposes on behalf of State Street in these actions, and
for good cause shown, it is hereby ORDERED that the motion is GRANTED in all
respects. Relates to 08md1945, 07-8488, 08-8920, 08-8235. Attorney Daniel J. Maher
for State Street Bank and Trust Co. Fixed Income Funds Investment Litigation,
State Street Global Advisors, State Street Bank and Trust Company and State
Street Global Advisors, Inc., Lila A. Palmer for State Street Bank and Trust
Co. Fixed Income Funds Investment Litigation, State Street Global Advisors,
State Street Bank and Trust Company and State Street Global Advisors, Inc.
admitted Pro Hac Vice. (Signed by Judge Richard J. Holwell on 3/16/09) Filed
In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE,
1:08-cv-08920-RJH-DFE(rjm) (Entered: 03/17/2009)
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03/17/2009
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Transmission to Attorney Admissions Clerk. Transmitted re:
(38 in 1:08-cv-08235-RJH-DFE,
8 in 1:08-cv-08920-RJH-DFE,
31 in 1:08-md-01945-RJH)
Order Admitting Attorney Pro Hac Vice,,,,, to the Attorney Admissions Clerk
for updating of Attorney Information. Filed In Associated Cases:
1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE, 1:08-cv-08920-RJH-DFE(rjm)
(Entered: 03/17/2009)
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03/17/2009
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32
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SCHEDULING ORDER: The status conference scheduled for
Friday, April 3, 2009, at 11 :00 a.m., is adjourned sine die. SO ORDERED.
(Signed by Judge Richard J. Holwell on 3/17/2009) Filed In Associated Cases:
1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE, 1:08-cv-08920-RJH-DFE,
1:09-cv-01241-RJH, 1:09-cv-01899-RJH(jmi) (Entered: 03/18/2009)
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03/20/2009
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33
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NOTICE OF APPEARANCE by Lila A. Palmer on behalf of State
Street Global Advisors, Inc., State Street Bank and Trust Company Filed In
Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE,
1:08-cv-08920-RJH-DFE, 1:09-cv-01241-RJH, 1:09-cv-01899-RJH(Palmer, Lila)
(Entered: 03/20/2009)
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03/23/2009
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34
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MEMORANDUM AND ORDER.
Accordingly, I decline to require State Street to identify or attempt to
produce any memos or transcripts of interviews. I hereby direct State Street
to serve updated answers, by March 26, 2009, to Plaintiffs' interrogatories
that asked State Street to identify any depositions of current or former
employees of State Street taken by any regulator relating to any
investigation of the fixed-income funds at issue in this litigation. I
further direct State Street to use its best efforts to procure the transcript
of each such deposition, and to produce it to Plaintiffs by April 2, 2009.
Plaintiffs shall, within 14 days of receipt, reimburse State Street for all
fees paid by State Street to obtain such transcripts. If, after March 26,
2009, any regulator takes a deposition of any current or former employee of
State Street relating to any investigation of the fixed-income funds at issue
in this litigation, then State Street shall, within two business days,
identify that deposition to Plaintiffs and, if requested by Plaintiffs, State
Street shall immediately use its best efforts to procure the transcript of
such deposition and to produce it to Plaintiffs. Again, Plaintiffs shall,
within 14 days of receipt, reimburse State Street for all fees paid by State
Street to obtain such transcripts. (Signed by Magistrate Judge Douglas F.
Eaton on 3/23/09) (rjm) (Entered: 03/23/2009)
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03/24/2009
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35
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NOTICE OF APPEARANCE by Daniel J. Maher on behalf of State
Street Bank and Trust Co. Fixed Income Funds Investment Litigation, State
Street Global Advisors Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-08235-RJH-DFE, 1:08-cv-08920-RJH-DFE, 1:09-cv-01241-RJH,
1:09-cv-01899-RJH(Maher, Daniel) (Entered: 03/24/2009)
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03/24/2009
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36
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MOTION for Deborah A. Ellingboe to Appear Pro Hac Vice.
Document filed by Apogee Enterprises, Inc.Filed In Associated Cases:
1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE, 1:09-cv-01899-RJH(rjm) (Entered:
03/25/2009)
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03/24/2009
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37
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MOTION for Justin P. Krypel to Appear Pro Hac Vice.
Document filed by Apogee Enterprises, Inc. Filed In Associated Cases:
1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE, 1:09-cv-01899-RJH(rjm) (Entered:
03/25/2009)
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03/24/2009
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42
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MOTION for Steven L. Severson to Appear Pro Hac Vice.
Document filed by Apogee Enterprises, Inc..Filed In Associated Cases:
1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE, 1:09-cv-01899-RJH(jmi) (Entered:
03/30/2009)
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03/31/2009
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43
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MEMORANDUM AND ORDER.
Accordingly, with respect to Discovery Category 1 listed, I deny State
Street's motion to compel except that I direct the Plaintiffs to produce the
following additional documents to State Street by April 21, 2009: Documents
sufficient to show, on a quarterly basis from January 1, 2004 through
December 31, 2008, (i) the identity and the dollar value of each fixed income
Investment fund held by each of the plans at issue, and (ii) the total dollar
value of the total assets held by each such plan. Any and all documents
generated from October 1, 2006 to December 31, 2007, including any
communications or investment research, concerning use or proposed use of
mortgage-backed securities, swaps, stock options, option contracts, futures
contracts, derivatives, leverage, and/or alpha drivers in any fixed income
investment fund held by any of the plans at issue, regardless of whether that
investment fund was managed by State Street... Accordingly, with respect to
Discovery Category 3 listed, I direct AGMA and NEEW to serve, by April 3,
2009, (a) designations identifying a witness or witnesses to testify on the
matters set forth in State Street's Rule 30 (b) (6) notices, and (b) a list
of at least three dates when each such witness will be available for
deposition... and as further set forth in said Memorandum and Order. (Signed
by Magistrate Judge Douglas F. Eaton on 3/31/09) Filed In Associated Cases:
1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE(rjm) (Entered: 03/31/2009)
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04/02/2009
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44
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MEMORANDUM AND ORDER. I
rule as follows: As to Source A, Plaintiffs may select any five custodians
out of the 94, and a time span for each such custodian. For each custodian,
the maximum time span shall be 120 days, which may be tailored to each
custodian and may be divided into a maximum of four segments. Within 60 days
after receiving these selections, State Street must provide Plaintiffs with
all documents from the local hard drives for those custodians during those
time spans, along with (a) a privilege log describing specifically each
document (or portion) that has been withheld on the ground of privilege or
trade secret, and (b) an affidavit describing generally any documents that
have been withheld on the ground that they do not meet the broad definition
of relevance set forth In Rule 26 (b). As to Source B (which I find to be the
source most likely to yield important evidence), Plaintiffs may select any
four custodians out of the seven, and a time span for each such custodian.
For each custodian, the maximum time span shall be 120 days, which may be
tailored to each custodian and may be divided into a maximum of four
segments. Within 60 days after receiving these selections, State Street must
provide Plaintiffs with all digital audio recordings for those custodians
during those time spans, along with (a) a privilege log describing
specifically each conversation (or portion) that has been withheld on the
ground of privilege or trade secret, and (b) an affidavit describing (with
some reasonable specificity) any conversations that have been withheld on the
ground that they do not meet the broad definition of relevance set forth in
Rule 26(b). As to Source C, Plaintiffs may select any four custodians out of
the 17, and a time span for each such custodian. For each custodian, the
maximum time span shall be 120 days, which may be tailored to each custodian
and may be divided into a maximum of four segments. Within 90 (ninety) days
after receiving these selections, State Street must provide Plaintiffs with
all documents from the Bloomberg messaging system for those custodians during
those time spans, along with (a) a privilege log describing specifically each
document (or portion) that has been withheld on the ground of privilege or
trade secret, and (b) an affidavit describing generally any documents that
have been withheld on the ground that they do not meet the broad definition
of relevance set forth in Rule 26(b). After the Plaintiffs have reviewed the
sample from any particular Source, the parties shall meet and confer and
attempt to reach a compromise on any further requests with respect to that
Source. If they are unable to reach a compromise, then they should send me a
single joint letter devoted to one or more of the three Sources. At that
juncture, I may come to agree with State Street that we have gone beyond the
point of diminishing marginal returns. If I disagree, then I may consider
speeding up further discovery with an order of non-waiver and clawback
pursuant to Rule 502(d) of the Federal Rules of Evidence... and as further
set forth. (Signed by Magistrate Judge Douglas F. Eaton on 4/2/09) Filed In
Associated Cases: 1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE(rjm) (Entered:
04/02/2009)
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04/03/2009
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45
|
NOTICE OF APPEARANCE by Lewis Richard Clayton on behalf of
ING Institutional Plan Services LLC
(Clayton, Lewis) (Entered: 04/03/2009)
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04/03/2009
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46
|
NOTICE OF APPEARANCE by Jonathan Hillel Hurwitz on behalf
of ING Institutional Plan Services LLC
(Hurwitz, Jonathan) (Entered: 04/03/2009)
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|
04/03/2009
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47
|
NOTICE OF APPEARANCE by Aliza Jordana Balog on behalf of ING
Institutional Plan Services LLC (Balog, Aliza) (Entered: 04/03/2009)
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|
04/03/2009
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48
|
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying ING
Groep NY as Corporate Parent. Document filed by ING
Institutional Plan Services LLC.(Clayton, Lewis) (Entered: 04/03/2009)
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04/03/2009
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49
|
MOTION for John R. Nelson to Appear Pro Hac Vice. Document
filed by Memorial Hermann Health Care System, The Health Professionals
Insurance Company, Ltd.Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(rjm) (Entered: 04/06/2009)
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|
04/03/2009
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50
|
MOTION for Charles R. Parker to Appear Pro Hac Vice.
Document filed by Memorial Hermann Health Care System, The Health
Professionals Insurance Company, Ltd. Filed In Associated Cases:
1:08-md-01945-RJH, 1:08-cv-05440-RJH-DFE(rjm) (Entered: 04/06/2009)
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04/03/2009
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51
|
MOTION for Sarah A. Tubbs to Appear Pro Hac Vice. Document
filed by Memorial Hermann Health Care System, The Health Professionals
Insurance Company, Ltd. Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(rjm) (Entered: 04/06/2009)
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04/06/2009
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52
|
ORDER. It is hereby ordered that attorneys admitted to
practice and in good standing in any United States District Court are
admitted pro hac vice in this litigation. Association of local co-counsel is
not required. (Signed by Judge Richard J. Holwell on 4/3/09) Filed In
Associated Cases: 1:08-md-01945-RJH et al.(rjm) (Entered: 04/06/2009)
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04/06/2009
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53
|
MEMORANDUM OF LAW in Opposition re: (32 in 1:08-cv-08235-RJH-DFE, 24 in 1:08-md-01945-RJH) MOTION to
Dismiss., (27 in 1:08-md-01945-RJH,
36 in 1:08-cv-08235-RJH-DFE)
MOTION to Dismiss Amended Complaints.. Document filed by Plumbers and
Steamfitters Union Local No. 10 Health & Welfare Fund, Anatoly Alexander.
Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE(Kaufman,
Evan) (Entered: 04/06/2009)
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|
04/06/2009
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54
|
DECLARATION of Evan J. Kaufman in Opposition re: (32 in 1:08-cv-08235-RJH-DFE, 24 in 1:08-md-01945-RJH) MOTION to
Dismiss., (27 in 1:08-md-01945-RJH,
36 in 1:08-cv-08235-RJH-DFE)
MOTION to Dismiss Amended Complaints.. Document filed by Plumbers and
Steamfitters Union Local No. 10 Health & Welfare Fund, Anatoly Alexander.
(Attachments: # 1
Exhibit A, # 2
Exhibit B, # 3
Exhibit C, # 4
Exhibit D, # 5
Exhibit E, # 6
Exhibit F, # 7
Exhibit G)Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-08235-RJH-DFE(Kaufman, Evan) (Entered: 04/06/2009)
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04/07/2009
|
55
|
MEMORANDUM OF LAW in Opposition re: (124 in 1:07-cv-08488-RJH-DFE) MOTION
to Dismiss PLAINTIFF PLAN
TRUSTEE/TRUSTEE COUNTERCLAIM DEFENDANTS MOTION TO DISMISS SSGAS COUNTERCLAIMS..
Document filed by State Street Bank and Trust Company, State Street Global
Advisors, Inc.. Filed In Associated Cases: 1:08-md-01945-RJH et al.(Wolkoff,
Harvey) (Entered: 04/07/2009)
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|
04/07/2009
|
56
|
DECLARATION of Robert A Skinner in Opposition re: (124 in 1:07-cv-08488-RJH-DFE) MOTION
to Dismiss PLAINTIFF PLAN
TRUSTEE/TRUSTEE COUNTERCLAIM DEFENDANTS MOTION TO DISMISS SSGAS COUNTERCLAIMS..
Document filed by State Street Bank and Trust Company, State Street Global
Advisors, Inc.. (Attachments: # 1
Exhibit 1, # 2
Exhibit 2, # 3
Exhibit 3)Filed In Associated Cases: 1:08-md-01945-RJH et al.(Wolkoff,
Harvey) (Entered: 04/07/2009)
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04/08/2009
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57
|
MEMORANDUM AND ORDER...
Regarding the procedures to be followed that shall govern the handling of
this action with regards to joint letter dated April 1, 2009 from Mr. Burford
on behalf of plaintiff Houston Police Officers' Pension System
("HPOPS") and from Mr. Skinner on behalf of defendants State Street
Bank and Trust Company and State Street Global Advisors, Inc. (collectively,
"State Street"). Relates to 08md1945, 08-5442 (incorrectly listed
case no. 08cv0333 on document as relevant case). (Signed by Magistrate Judge
Douglas F. Eaton on 4/8/09) (rjm) . (Entered: 04/08/2009)
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|
04/09/2009
|
58
|
MEMORANDUM AND ORDER...
Regarding the procedures to be followed that shall govern the handling of this
action with regards to the joint letter dated April 3, 2009 from Mr. Loeser
on behalf of the ERISA Class Plaintiffs and from Mr, Skinner on behalf of
defendants State Street Bank and Trust Company and State Street Global
Advisors, Inc, (collectively, "State Street"). (Signed by
Magistrate Judge Douglas F. Eaton on 4/9/09) Filed In Associated Cases:
1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE(rjm) (Entered: 04/09/2009)
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|
04/13/2009
|
59
|
MEMORANDUM AND ORDER...
Regarding the procedures to be followed that shall govern the handling of
this action with regards to the joint letter dated April 3, 2009 from Mr.
Schallert on ("PRIAC") and from Mr. Skinner on behalf of defendants
State Street Bank and Trust Company and State Street Global Advisors, Inc,
(collectively, "State Street"). (Signed by Magistrate Judge Douglas
F. Eaton on 4/13/09) Filed In Associated Cases: 1:08-md-01945-RJH,
1:07-cv-08488-RJH-DFE(rjm) (Entered: 04/13/2009)
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|
04/14/2009
|
72
|
NOTICE OF APPEARANCE by Caren S. Sweetland on behalf of
Houston Police Officers Pension System Filed In Associated Cases:
1:08-md-01945-RJH, 1:08-cv-05442-RJH-DFE(rjm) (Entered: 04/30/2009)
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|
04/16/2009
|
60
|
NOTICE OF APPEARANCE by John Robert Nelson on behalf of
Memorial Hermann Health Care System Filed In Associated Cases:
1:08-md-01945-RJH, 1:08-cv-05440-RJH-DFE(Nelson, John) (Entered: 04/16/2009)
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|
04/16/2009
|
61
|
NOTICE OF APPEARANCE by John Robert Nelson on behalf of
Memorial Hermann Health Care System, The Health Professionals Insurance
Company, Ltd. Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(Nelson, John) (Entered: 04/16/2009)
|
|
04/17/2009
|
65
|
NOTICE OF APPEARANCE by Tracy D. Larson on behalf of
Houston Police Officers Pension System. Relates to 08md1945, 08-5442. (rjm)
(Entered: 04/21/2009)
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|
04/20/2009
|
62
|
REPLY MEMORANDUM OF LAW in Support re: (36 in 1:08-cv-08235-RJH-DFE) MOTION to
Dismiss.. Document filed by Patrick J. Riley, Richard D. Shirk, Bruce D.
Taber, Henry W. Todd, Lynn L. Anderson, William L. Marshall, Steven J.
Mastrovich. Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-08235-RJH-DFE(Dougherty, Thomas) (Entered: 04/20/2009)
|
|
04/20/2009
|
63
|
REPLY MEMORANDUM OF LAW in Support re: (32 in 1:08-cv-08235-RJH-DFE, 24 in 1:08-md-01945-RJH) MOTION to
Dismiss.. Document filed by SSGA Funds, Peter G. Leahy, State Street Corp.,
Mark E. Swanson, James E. Ross, State Street Global Advisors. Filed In
Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE(Donovan, John)
(Entered: 04/20/2009)
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|
04/21/2009
|
64
|
NOTICE OF APPEARANCE by Charles R. Parker on behalf of
Memorial Hermann Health Care System, The Health Professionals Insurance
Company, Ltd. Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(Parker, Charles) (Entered: 04/21/2009)
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|
04/22/2009
|
66
|
NOTICE OF APPEARANCE by Thomas E. Lent on behalf of F.W.
Webb Company, Robert A. Mucciarone, Charles Slattery, III,
Edward Welch, F.W. Webb Company Savings and Profit Sharing Plan Committee,
F.W. Webb Company Savings& Profit Sharing Plan Filed In Associated Cases:
1:08-md-01945-RJH, 1:09-cv-01241-RJH(Lent, Thomas) (Entered: 04/22/2009)
|
|
04/23/2009
|
67
|
NOTICE OF APPEARANCE by David E. Lurie on behalf of F.W.
Webb Company, Robert A. Mucciarone, Charles Slattery, III,
Edward Welch, F.W. Webb Company Savings and Profit Sharing Plan Committee,
F.W. Webb Company Savings& Profit Sharing Plan Filed In Associated Cases:
1:08-md-01945-RJH, 1:09-cv-01241-RJH(Lurie, David) (Entered: 04/23/2009)
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|
04/24/2009
|
68
|
NOTICE OF APPEARANCE by Gordon Eng on behalf of Prudential
Retirement Insurance and Annuity Company Filed In Associated Cases:
1:08-md-01945-RJH et al.(Eng, Gordon) (Entered: 04/24/2009)
|
|
04/24/2009
|
69
|
NOTICE OF APPEARANCE by Karen Elise Friedman on behalf of
F.W. Webb Company, Robert A. Mucciarone, Charles Slattery, III,
Edward Welch, F.W. Webb Company Savings and Profit Sharing Plan Committee,
F.W. Webb Company Savings& Profit Sharing Plan Filed In Associated Cases:
1:08-md-01945-RJH, 1:09-cv-01241-RJH(Friedman, Karen) (Entered: 04/24/2009)
|
|
04/24/2009
|
70
|
NOTICE OF APPEARANCE by Sarah A Tubbs on behalf of
Memorial Hermann Health Care System, The Health Professionals Insurance
Company, Ltd. Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(Tubbs, Sarah) (Entered: 04/24/2009)
|
|
04/28/2009
|
71
|
NOTICE OF APPEARANCE by Jeremy N Klatell on behalf of
Prudential Retirement Insurance and Annuity Company Filed In Associated
Cases: 1:08-md-01945-RJH et al.(Klatell, Jeremy) (Entered: 04/28/2009)
|
|
05/14/2009
|
|
CASHIERS OFFICE REMARK in the amount of $50.00, paid on
04/17/2009, Receipt Number 684568. PRO HAC VICE PAYMENT FOR TRACY LARSEN AND
CAREN SWEETLAND. (jd) (Entered: 05/14/2009)
|
|
05/14/2009
|
|
CASHIERS OFFICE REMARK in the amount of $25.00, paid on
04/21/2009, Receipt Number 685299. PAYMENT PRO HAC VICE FOR ROBERT BURTERD
(jd) (Entered: 05/14/2009)
|
|
05/19/2009
|
73
|
NOTICE OF APPEARANCE by Felicia H. Ellsworth on behalf of ING
Institutional Plan Services LLC Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-08235-RJH-DFE, 1:08-cv-08920-RJH-DFE, 1:09-cv-01241-RJH,
1:09-cv-01899-RJH(rjm) (Entered: 05/22/2009)
|
|
05/22/2009
|
74
|
MEMORANDUM AND ORDER.
Regarding the procedures to be followed that shall govern the handling of the
two issues concerning: 1. Whether discovery relating to the S&gA Yield
Plus Fund should proceed pending the resolution of the Defendants' motions to
dismiss. 2. Whether the F.W. Webb Plaintiffs may later redepose all State
Street witnesses who are deposed in the unregistered fund cases, and as
further set forth. (Signed by Magistrate Judge Douglas F. Eaton on 5/21/09)
Filed In Associated Cases: 1:08-md-01945-RJH, 1:09-cv-01241-RJH(rjm)
(Entered: 05/22/2009)
|
|
06/02/2009
|
75
|
NOTICE OF APPEARANCE by Grant J. Harvey on behalf of
Houston Police Officers Pension System Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05442-RJH-DFE(rjm) (Entered: 06/03/2009)
|
|
07/17/2009
|
76
|
MEMORANDUM AND ORDER.
In today's Memorandum and Order, I am responding to a joint letter dated June
16, 2009, this one from Mr. Nelson and Mr. Skinner. Mr. Nelson writes on
behalf of two of the plaintiffs, Memorial Hermann Healthcare System and
Health Professionals Insurance Company, Ltd. (collectively, "Memorial
Hermann"). Mr. Skinner writes on behalf of defendants State Street Bank
and Trust Company and State Street Global Advisors, Inc. (collectively,
"State Street") and on behalf of Beth Anne Flynn. Ms. Flynn was
employed by State Street until August 23, 2007. From 2004 to August 15, 2007,
or perhaps a few days later, her duties as a "relationship manager"
included communicating with Lynn DeBlance of Memorial Hermann regarding
Memorial Hermann's investments in certain investment funds managed by State
Street, including the Limited Duration Bond Fund ("LDBF") Mr.
DeBlance testified that during that whole time he found her to be capable,
competent, attentive, and responsive to questions. However, he has now
learned that, as of the summer of 2007, State Street's internal documents
showed that the LDBF had become comprised almost entirely of subprime
securities. He believes that Ms. Flynn was inattentive in one of two ways,
either inattentive to the internal documents or inattentive in failing to
communicate this information to him, even though she actively communicated
other information to him. Mr. Nelson writes to me: "There must be an
explanation for that communication breakdown. The jury will want to know
it." His theory is that Ms. Flynn was distracted because, from February
2007 until the summer of 2007, she was lining up a new job with her current
employer. On May 1, 2009, he took her deposition. On May 29, his law firm
served her current employer with a subpoena for "Any and all documents,
whether in electronic or hard copy format,... relating to discussing, sent
to, or received from your employee Beth Anne C. Flynn before August 23, 2007,
or her first day of employment with [you], whichever is earlier." Ms.
Flynn requests me to quash the subpoena. I hereby grant that request. This
subpoena is not quite as annoying as the ones I quashed in Gambale v.
Deutsche Bank AG, 2003 WL 115221 (S.D.N.Y. Jan. 10, 2003), but once again the
dispositive factor is the weakness of the claims as to relevance. Pursuant to
Rule 26 (b) (2) (C) (iii), I find that the burden and expense (of causing Ms.
Flynn's current employer to review its e-mail systems and its pre-employment
files concerning Ms. Flynn) outweigh the likely benefit of the proposed
discovery. Documents "relating to" Ms. Flynn or
"discussing" her, but not sent to her or received from her, have
none of the relevance theorized by Mr. Nelson. Moreover, they might well
include candid comments from persons who interviewed her for the job and are
now her co-workers. I turn now to the portion of the subpoena that seeks
documents "sent to, or received from" Ms. Flynn before she began
employment with her current employer. Even assuming that some of those
documents may have been distracting, it is extremely unlikely that they
distracted her for days and days. If they distracted her for a few hours here
or a few hours there, Memorial Hermann cannot plausibly claim that this could
have caused any of the damages it has alleged. I fail to see anything distracting
about the process of changing from one job to a roughly similar job (in this
case, both located in the same city). By the summer of 2007, Ms. Flynn had
the job offer and was planning to leave State Street. If anything, this might
give her more independence from State Street and hence more motivation to
relay unvarnished information about State Street during her conversations
with its clients. If State Street were to subpoena letters and e-mails sent
to, or received by, Mr. DeBlance, on a theory that his attention may have
been distracted by other offers of employment, he would similarly have good
grounds to quash such a subpoena. (Signed by Magistrate Judge Douglas F.
Eaton on 7/10/09) Filed In Associated Cases: 1:08-md-01945-RJH,
1:07-cv-08488-RJH-DFE(rjm) (Entered: 07/17/2009)
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|
07/22/2009
|
77
|
ENDORSED LETTER addressed to Judge Richard J. Holwell from
Edwin G. Schallert dated 7/17/09 re: On behalf of the parties in the cases
consolidated in MDL 1945 that are subject to the current scheduling order
dated May 11, 2009 (the Scheduling Order), and thus specifically excluding
parties in the F W Webb (09 CV 1241), Ning Yu (08 CV 8235), and Plumbers and
Steamfitters Union Local No. 10 (08 CV 7934) matters, we respectfully request
that Your Honor enter an order granting a 60 day extension of time for all
unexpired deadlines in the Scheduling Order. All parties have consented to
this extension and further agreed that, except as to the Apogee (09 CV 1899)
matter, this will be the final extension of the fact discovery deadline
requested by any party. The new deadlines would be as follows: Fact discovery
completed by: Tuesday, November 10, 2009. Rule 26(a)(2) disclosures:
Wednesday, November 25, 2009. Expert discovery completion date: Wednesday,
November 25, 2009, for delivery of initial expert reports. Wednesday,
December 23, 2009, for delivery of any rebuttal reports. Tuesday, January 26,
2010, for completion of expert discovery, including depositions. Date for
filing dispositive motions: Friday, February 5, 2010. Date for filing a
pretrial order: Friday, February 12, 2010. Date when cases will be ready for
trial: Monday, March 1, 2010. ENDORSEMENT: Application granted., (Deposition
due by 1/26/2010., Discovery due by 1/26/2010., Motions due by 2/5/2010.,
Pretrial Order due by 2/12/2010., Ready for Trial by 3/1/2010.) (Signed by
Judge Richard J. Holwell on 7/21/09) Filed In Associated Cases:
1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE(rjm) (Entered: 07/23/2009)
|
|
07/23/2009
|
78
|
STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated
and agreed by and between the parties and/or their respective counsel(s) that
the above-captioned action is voluntarily dismissed, WITH prejudice against
the defendant(s) Cambridge Financial Services Inc., Ernest A. Liebre pursuant
to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document
filed by Memorial Hermann Health Care System, The Health Professionals
Insurance Company, Ltd.. (Attachments: # 1
Text of Proposed Order PROPOSED ORDER)Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(Nelson, John) (Entered: 07/23/2009)
|
|
08/04/2009
|
79
|
ORDER. IT IS ORDERED THAT Defendants Cambridge Financial
Services, Inc. and Ernest A. Liebre are hereby dismissed with prejudice from
Plaintiffs Second Amended Complaint pursuant to Rule 41(a) of the Federal
Rules of Civil Procedure, with each party to bear its own costs and
attorneys' fees. (Signed by Judge Richard J. Holwell on 8/4/09) Filed In
Associated Cases: 1:08-md-01945-RJH, 1:08-cv-05440-RJH-DFE(rjm) (Entered:
08/04/2009)
|
|
08/17/2009
|
80
|
ENDORSED LETTER addressed to Judge Richard J. Holwell from
Robert A. Skinner dated 4/6/09 re: State Street respectfully requests that
the Court enter an order permanently sealing the docket entries e-filed on
March 25, 2009 corresponding to the above-listed documents on dockets
08-md-01945-RJH, 07-cv-8488-RJH, and all associated dockets. ENDORSEMENT: So
Ordered. (Signed by Judge Richard J. Holwell on 8/14/09) Filed In Associated
Cases: 1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE(rjm) Modified on 8/20/2009
(rjm). (Entered: 08/17/2009)
|
|
10/29/2009
|
81
|
MEMORANDUM AND ORDER. I
direct Mr. Franey to review the 3-day transcript, and to sign it in front of
a notary public, and to sign a statement listing any changes in form or
substance and listing the reason for making each change, and to serve the
transcript and the statement no later than November 12, 2009. I hereby permit
defense counsel to serve Mr. Franey with additional questions in written
form, up to a maximum of 30 questions (including the sub-parts of any
questions). I direct Mr. Franey to serve signed, sworn answers to such
questions within 14 days after his attorney receives such questions. In all
other respects, I deny the relief requested by the defendants in the October
20 joint letter. (Signed by Magistrate Judge Douglas F. Eaton on 10/28/09) (rjm)
(Entered: 10/29/2009)
|
|
11/10/2009
|
82
|
NOTICE OF APPEARANCE by Mark Samuel Reich on behalf of
Plumbers and Steamfitters Union Local No. 10 Health & Welfare Fund,
Anatoly Alexander (Reich, Mark) (Entered: 11/10/2009)
|
|
11/16/2009
|
83
|
ENDORSED LETTER addressed to Judge Richard J. Holwell from
Edwin G. Schallert dated 11/2/09 re: request that Your Honor enter an order
granting an extension of time for all unexpired deadlines in the Scheduling
Order except for the fact discovery deadline. All parties other than the
parties in the excluded matters noted above have consented to this extension
and further agreed that the final fact discovery deadline will remain
November 10, 2009, except for certain fact depositions that the parties may
mutually agree to or as otherwise ordered by the Court. The parties in the
Apogee matter will submit a separate letter to Your Honor regarding scheduling
in that matter. The new deadlines would be as follows: Rule 26(a)(2)
disclosures: Friday, January 15, 2010. Expert discovery completion date:
Friday, January 15, 2010, for delivery of initial expert reports. Friday,
February 19, 2010, for delivery of any rebuttal reports. Friday, March 19,
2010, for completion of expert discovery, including depositions. Date for
filing dispositive motions: Friday, March 26, 2010. Date for filing a
pretrial order: Monday, April 12, 2010. Date when cases will be ready for
trial: Friday April 16, 2010. ENDORSEMENT: So Ordered., (Expert Discovery
Completion due by 3/19/2010., Dispositive Motions due by 3/26/2010., Pretrial
Order due by 4/12/2010., Ready for Trial by 4/16/2010.) (Signed by Judge
Richard J. Holwell on 11/16/09) Filed In Associated Cases: 1:08-md-01945-RJH,
1:07-cv-08488-RJH-DFE(rjm) (Entered: 11/17/2009)
|
|
11/16/2009
|
84
|
ENDORSED LETTER addressed to Judge Richard J. Holwell from
Jonathan H. Hurwitz dated 11/9/09 re: request that Your Honor enter an order
extending the time for all unexpired deadlines in the current scheduling
order signed by Your Honor on July 21, 2009 in MDL 1945 (the "Scheduling
Order") with respect to the Apogee matter only. As Your Honor is aware,
the Apogee matter was commenced in the District of Minnesota on January 26,
2009. and was transferred to this Court by the MDL Panel on March 2, 2009,
after discovery in the MDL proceeding was well underway. For that reason, the
Scheduling Order expressly contemplates a request by the parties in that
matter for a further extension of fact discovery beyond that applicable to
the other matters in the MDL proceeding. All parties to the Apogee matter
have consented to this extension, as well as to the below schedule for expert
discovery, which does not affect the proposed expert discovery schedule
submitted on November 2, 2009, by the other parties in the MDL. Fact discovery
completion date: Monday, February 15, 2010. Rule 26(a)(2) disclosures:
Monday, April 5, 2010. Expert discovery completion date: Monday, April 5,
2010, for delivery of initial expert reports. Wednesday, May 5, 2010, for
delivery of any rebuttal reports. Wednesday June 2, 2010, for completion of
expert discovery, including depositions. Date for filing dispositive motions:
Friday, June 11, 2010. Date for filing a pretrial order: Friday, June 18,
2010. Date when cases will be ready for trial: Wednesday July 7, 2010.
ENDORSEMENT: So Ordered., (Expert Discovery due by 6/2/2010., Dispositive
Motions due by 6/11/2010., Pretrial Order due by 6/18/2010., Ready for Trial
by 7/7/2010.) (Signed by Judge Richard J. Holwell on 11/16/09) Filed In
Associated Cases: 1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE(rjm) (Entered:
11/17/2009)
|
|
11/17/2009
|
85
|
ORDER FOR ADMISSION OF SARAH A. TUBBS PRO HAC VICE.
granting (51) Motion for Sarah A. Tubba to Appear Pro Hac Vice in case
1:08-md-01945-RJH; granting (24) Motion for Sarah A. Tubba to Appear Pro Hac
Vice in case 1:08-cv-05440-RJH-DFE. (Signed by Judge Richard J. Holwell on
11/11/09) Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(rjm) (Entered: 11/17/2009)
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11/17/2009
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Transmission to Attorney Admissions Clerk. Transmitted re:
(85 in 1:08-md-01945-RJH,
41 in 1:08-cv-05440-RJH-DFE)
Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(rjm) (Entered: 11/17/2009)
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11/17/2009
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86
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ORDER FOR ADMISSION OF JOHN R. NELSON PRO HAC VICE.
granting (49) Motion for John R. Nelson to Appear Pro Hac Vice in case
1:08-md-01945-RJH; granting (22) Motion for John R. Nelson to Appear Pro Hac
Vice in case 1:08-cv-05440-RJH-DFE. (Signed by Judge Richard J. Holwell on
11/11/09) Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(rjm) (Entered: 11/17/2009)
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11/17/2009
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Transmission to Attorney Admissions Clerk. Transmitted re:
(86 in 1:08-md-01945-RJH,
42 in 1:08-cv-05440-RJH-DFE)
Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(rjm) (Entered: 11/17/2009)
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11/17/2009
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87
|
ORDER FOR ADMISSION OF CHARLES R. PARKER PRO HAC VICE.
granting (50) Motion for CHARLES R. PARKER to Appear Pro Hac Vice in case
1:08-md-01945-RJH; granting (23) Motion for CHARLES R. PARKER to Appear Pro
Hac Vice in case 1:08-cv-05440-RJH-DFE. (Signed by Judge Richard J. Holwell
on 11/11/09) Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(rjm) (Entered: 11/17/2009)
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11/17/2009
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Transmission to Attorney Admissions Clerk. Transmitted re:
(87 in 1:08-md-01945-RJH,
43 in 1:08-cv-05440-RJH-DFE)
Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for
updating of Attorney Information. Filed In Associated Cases:
1:08-md-01945-RJH, 1:08-cv-05440-RJH-DFE(rjm) (Entered: 11/17/2009)
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11/19/2009
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88
|
MEMORANDUM AND ORDER. I
hereby adjourn the return date on each of those subpoenas from November 20 to
November 30, 2009. I am still considering the arguments made by PRIAC and by
State Street. I plan to issue a second order concerning those subpoenas within
the next few days. (Signed by Magistrate Judge Douglas F. Eaton on 11/19/09)
Filed In Associated Cases: 1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE(rjm)
(Entered: 11/19/2009)
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11/23/2009
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89
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MEMORANDUM AND ORDER...
I hereby direct State Street and PRIAC to jointly inform each of these
subpoena recipients that, by the Order of this Court, it may voluntarily
produce the documents described in the subpoena served on it but that it is
not compelled to do so. On or before November 30, 2009, each subpoena
recipient shall notify lawyers for State Street (by email to
Iila.palmer@ropesgray.com) and PRIAC (by email to jnklatell@debevoise.com)
whether it intends to voluntarily produce the documents described in the
subpoena or already has produced those documents. (Signed by Magistrate Judge
Douglas F. Eaton on 11/23/09) Filed In Associated Cases: 1:08-md-01945-RJH,
1:07-cv-08488-RJH-DFE(rjm) (Entered: 12/07/2009)
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11/23/2009
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90
|
MEMORANDUM AND ORDER. I
hereby direct that CitiStreet must, as soon as possible but no later than
December 11, 2009, produce to Apogee (under an appropriate confidentiality
designation) all documents generated from January 1, 2007 through September
30, 2007 concerning any CitiStreet client's (a) requests to withdraw from the
Bond Market Fund CMB1 and/or CM29, and/or
(b) communications with CitiStreet or State Street concerning how much advance
notice would be required for the CitiStreet client to withdraw from Bond
Market Fund CMB1 and/or CM29... As for the
status of all document production by CitiStreet, CitiStreet will be sending
me an updated status report on or before December 4, 2009. I prefer to
receive it by fax (unless it is more than 20 pages long); a hand delivery to
the courthouse usually takes an extra day to reach me, and as further set
forth in said Memorandum and Order. Copies of this Memorandum and Order will
be sent by electronic filing to all counsel, and by fax. (Signed by
Magistrate Judge Douglas F. Eaton on 11/20/09) Filed In Associated Cases:
1:08-md-01945-RJH, 1:09-cv-01899-RJH(rjm) (Entered: 12/08/2009)
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12/08/2009
|
91
|
MOTION to Dismiss the Complaint. Document filed by ING
Institutional Plan Services LLC.(Hurwitz, Jonathan) (Entered: 12/08/2009)
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|
12/08/2009
|
92
|
MEMORANDUM OF LAW in Support re: 91
MOTION to Dismiss the Complaint. (Redacted Version). Document
filed by ING Institutional Plan Services
LLC. (Hurwitz, Jonathan) (Entered: 12/08/2009)
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|
12/08/2009
|
93
|
DECLARATION of Jonathan Hurwitz (Redacted Version) in
Support re: 91
MOTION to Dismiss the Complaint.. Document filed by ING
Institutional Plan Services LLC. (Hurwitz, Jonathan) (Entered: 12/08/2009)
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12/09/2009
|
94
|
ENDORSED LETTER addressed to Magistrate Judge Douglas F.
Eaton from Jonathan H. Hurwitz dated 12/8/09 re: I write on behalf of
defendant ING Institutional Plan Services
LLC (f/k/a CitiStreet LLC ("CitiStreet") concerning the letters to
Your Honor from the parties in the Apogee matter on December 4, 2009. At Your
Honor's suggestion, we have conferred with counsel for Apogee regarding the
discovery matters addressed in the parties' letter and have reached agreement
on the schedule reflected below. ENDORSEMENT: I accept this revised schedule
because of the administrative errors by CitiStreets law firm and by our
Courts docket clerks. I direct CitiStreet to fax me a status report by noon
on 12/21/09, demonstrating that CitiStreet has made maximum efforts to supply
all of the documents governed by my 11/20/09 order as soon as possible and
(in the case of the fifth custodian) by December 23 or 24 if possible. (Signed by
Magistrate Judge Douglas F. Eaton on 12/8/09) Filed In Associated Cases:
1:08-md-01945-RJH, 1:09-cv-01899-RJH(rjm) (Entered: 12/09/2009)
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12/21/2009
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95
|
ORDER: NOW THEREFORE,
it is hereby AGREED and ORDERED that absent further stipulated agreement of
the parties, the STIPULATED ORDER, electronically filed on October 20, 2008
shall govern discovery in the Apogee Matte. So Ordered (Signed by Judge
Richard J. Holwell on 12/18/09) (js) Modified on 12/31/2009 (js). (Entered:
12/21/2009)
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12/21/2009
|
96
|
ORDER: that absent further stipulated agreement of the
parties, the STIPULATED ORDER, electronically filed on 10/20/08 shall govern
discovery in the Apogee Matter. (Signed by Judge Richard J. Holwell on
12/18/09) (ae) (Entered: 12/21/2009)
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|
01/15/2010
|
97
|
REPLY MEMORANDUM OF LAW in Support re: (26 in 1:09-cv-01899-RJH) MOTION to
Dismiss the Complaint., (91 in 1:08-md-01945-RJH)
MOTION to Dismiss the Complaint. (Redacted Version). Document
filed by ING Institutional Plan Services
LLC. Filed In Associated Cases: 1:08-md-01945-RJH, 1:09-cv-01899-RJH(Hurwitz,
Jonathan) (Entered: 01/15/2010)
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01/19/2010
|
98
|
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) Bruce D.
Taber, Richard D. Shirk, Henry W. Todd, Mark E. Swanson, James E. Ross, Peter
G. Leahy, State Street Corporation, State Street Global Advisors, SSGA Funds,
Lynn L. Anderson, Steven J. Mastrovich, William L. Marshall, Patrick J.
Riley. Relates to 08md1945, 08-7934. (Signed by Judge Richard J. Holwell on
1/15/10) (rjm) (Entered: 01/20/2010)
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01/20/2010
|
99
|
SEALED DOCUMENT placed in vault.(nm) (Entered: 01/20/2010)
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|
01/27/2010
|
100
|
MOTION for Leave to File Third Amended Complaint. Document
filed by Memorial Hermann Health Care System, The Health Professionals
Insurance Company, Ltd..Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(Nelson, John) (Entered: 01/27/2010)
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|
01/27/2010
|
101
|
MEMORANDUM OF LAW in Support re: (100 in 1:08-md-01945-RJH, 45 in 1:08-cv-05440-RJH-DFE) MOTION
for Leave to File Third Amended Complaint.. Document filed by Memorial Hermann
Health Care System, The Health Professionals Insurance Company, Ltd..
(Attachments: # 1
EXHIBITS)Filed In Associated Cases: 1:08-md-01945-RJH,
1:08-cv-05440-RJH-DFE(Nelson, John) (Entered: 01/27/2010)
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01/27/2010
|
102
|
DECLARATION of JOHN R NELSON in Support re: (100 in 1:08-md-01945-RJH, 45 in 1:08-cv-05440-RJH-DFE) MOTION
for Leave to File Third Amended Complaint.. Document filed by Memorial
Hermann Health Care System, The Health Professionals Insurance Company, Ltd..
Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-05440-RJH-DFE(Nelson,
John) (Entered: 01/27/2010)
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02/09/2010
|
103
|
NOTICE of Statement of Plaintiff Houston Police Officers'
Pension System Regarding Proposed Settlement of the ERISA Class Action.
Document filed by Houston Police Officers Pension System. Filed In Associated
Cases: 1:08-md-01945-RJH, 1:08-cv-05442-RJH-DFE(Harvey, Grant) (Entered:
02/09/2010)
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02/19/2010
|
104
|
ORDER GRANTING LEAD COUNSELS APPLICATION FOR ATTORNEYS'
FEES AND REIMBURSEMENT OF LITIGATION
EXPENSES. 1. This Order incorporates by reference the definitions in the
Stipulation And Agreement of Settlement (the "Stipulation"), and
all capitalized terms used, but not defined herein, shall have the same
meanings as set forth in the Stipulation; 2. This Court has jurisdiction over
the subject matter of the litigation and over all parties to this litigation,
including all members of the Class; 3. The Court hereby finds and concludes
that due and adequate notice was directed to the Class, advising the Class of
the attorneys' fees and expense reimbursement requested by Co-Lead Counsel
and the Class' right to object thereto, and a full and fair opportunity was
accorded to all Class Members to be heard with respect to the request; 4. The
Fee and Expenses Application filed in connection with the Settlement is
hereby GRANTED; 5. The objections, if any, to the Fee and Expenses
Application are overruled. 6. The Court hereby awards attorneys' fees of 25%
of the Settlement Fund payable to Co-Lead Counsel Bernstein Litowitz Berger
& Grossmann LLP, Keller Rohrback LLP, and Berman DeValerio ("Co-Lead
Counsel"). The Court also awards Co-Lead Counsel reimbursement of
litigation expenses in the amount of $1,544,072.43 payable to Co- Lead
Counsel. The Court awards interest on the attorneys' fees and the expenses
awarded, calculated from the date of funding at the same rate as earned by
the Settlement Fund. 7. Pursuant to the Stipulation, the attorneys' fees and
expenses and interest, as awarded by the Court, shall be paid to Co-Lead
Counsel from the Settlement Fund immediately upon award, notwithstanding the
existence of any timely filed objections thereto, or potential for appeal
therefrom, or collateral attack on the Settlement or any part thereof. 8. The
Court finds that an award of attorneys' fees of 25% of the Settlement Fund is
fair and reasonable and consistent with the Second Circuit's awards utilizing
the "percentage of recovery" method applicable for common fund
cases; and in consideration of the following factors, among others: the
approval of the fee request by the Lead Plaintiffs; the work performed; the
litigation risks faced; the results achieved; and the skill required and the
quality of the representation by Co-Lead Counsel. 9. The Court further finds
that the request for reimbursement of litigation expenses is reasonable in
light of Co-Lead Counsel's prosecution of this action again the Defendants on
behalf of the Class. 10. There being no just reason for delay in the entry of
this Order, the Court hereby orders the immediate entry of this Order by the
Clerk of the Court, as expressly directed pursuant to Rule 54(b) of the
Federal Rules of Civil Procedure. granting (187) Motion for Attorney Fees in
case 1:07-cv-08488-RJH-DFE. (Signed by Judge Richard J. Holwell on 2/19/10)
Filed In Associated Cases: 1:08-md-01945-RJH, 1:07-cv-08488-RJH-DFE,
1:07-cv-09319-RJH-DFE, 1:07-cv-09687-RJH-DFE, 1:08-cv-00265-RJH-DFE(rjm)
(Entered: 02/22/2010)
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03/03/2010
|
105
|
CLERK'S JUDGMENT That for the reasons stated in the Court's
Memorandum Opinion and Order dated February
22, 2010, defendants' motions to dismiss the complaint is
granted, and those claims are dismissed with prejudice; accordingly, the case
(08 Civ. 8235) is closed. (Signed by J. Michael McMahon, clerk on 3/3/10) (Attachments: # 1
notice of right to appeal)Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-08235-RJH-DFE(ml) (Entered: 03/03/2010)
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|
03/04/2010
|
106
|
MOTION for Leave to File Sur-Reply in Opposition to
Plaintiff's Motion for Leave to File Third Amended Complaint. Document filed
by State Street Bank and Trust Company. (Attachments: # 1
Exhibit 1 (part 1 of 2), # 2
Exhibit 1 (part 2 of 2))Filed In Associated Cases: 1:08-md-01945-RJH, 1:08-cv-05440-RJH-DFE(Skinner,
Robert) (Entered: 03/04/2010)
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