US District Court Civil Docket as of September 30, 2009
Retrieved from the court on October
1, 2009
|
Cause:
15:78m(a) Securities Exchange Act |
|
|
Plaintiff
|
|
|
|
Alfred
Fait |
represented by |
Samuel
Howard Rudman |
|
Plaintiff
|
||
|
Alfred
Fait |
represented by |
Samuel
Howard Rudman |
|
Plaintiff
|
||
|
Howard
M. Rensin |
represented by |
David
Avi Rosenfeld |
|
|
||
|
Defendant
|
||
|
Regions
Financial Corporation
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Regions
Financing Trust III
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
C.
Dowd Ritter
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Samuel
W. Bartholomew, Jr.
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
George
W. Bryan |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
David
J. Cooper |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Earnest
W. Deavenport |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Don
DeFosset |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
James
R. Malone |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Susan
W. Matlock
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Charles
D. McCrary
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Claude
B. Nielsen
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Jorge
M. Perez |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Lee
J. Styslinger, III |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
Spence
L. Wilson |
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
John
R. Roberts
|
represented by |
David
Bruce Tulchin |
|
Defendant
|
||
|
UBS
Securities LLC
|
represented by |
Bradley
Jay Butwin |
|
Defendant
|
||
|
Citigroup
Global Markets, Inc.
|
represented by |
Bradley
Jay Butwin |
|
Defendant
|
||
|
Merrill
Lynch, Pierce, Fenner & Smith Incorporated |
represented by |
Bradley
Jay Butwin |
|
Defendant
|
||
|
Wachovia
Capital Markets, LLC
|
represented by |
Bradley
Jay Butwin |
|
Defendant
|
||
|
Morgan
Stanley & Co. Incorporated |
represented by |
Bradley
Jay Butwin |
|
Defendant
|
||
|
Morgan
Keagan & Company, Inc. |
represented by |
Bradley
Jay Butwin |
|
Defendant
|
||
|
Ernst
& Young LLP
|
represented by |
Justin
Bishop Grewell |
|
Movant |
||
|
Trustee
Howard M. Rensin |
represented by |
David
Avi Rosenfeld |
|
Date
Filed |
# |
Docket
Text |
|
04/01/2009 |
COMPLAINT
against Regions Financial Corporation, Regions Financing Trust III, C. Dowd
Ritter, Samuel W. Bartholomew, Jr, George W. Bryan,
David J. Cooper, Earnest W. Deavenport, Don DeFosset, James R. Malone, Susan W. Matlock, Charles D.
McCrary, Claude B. Nielsen, Jorge M. Perez, Lee J. Styslinger,
III, Spence L. Wilson, John R. Roberts, UBS Securities LLC, Citigroup Global
Markets, Inc., Merrill Lynch, Pierce, Fenner &
Smith Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co.
Incorporated, Morgan Keagan & Company, Inc.,
Ernst & Young LLP. (Filing Fee $ 350.00, Receipt Number 683116)Document
filed by Alfred Fait(Individually), Alfred Fait(on
behalf of all others similarly situated).(ama) (ama). (Entered: 04/06/2009) |
|
|
04/01/2009 |
|
SUMMONS
ISSUED as to Regions Financial Corporation, Regions Financing Trust III, C.
Dowd Ritter, Samuel W. Bartholomew, Jr, George W.
Bryan, David J. Cooper, Earnest W. Deavenport, Don DeFosset, James R. Malone, Susan W. Matlock, Charles D.
McCrary, Claude B. Nielsen, Jorge M. Perez, Lee J. Styslinger,
III, Spence L. Wilson, John R. Roberts, UBS Securities LLC, Citigroup Global
Markets, Inc., Merrill Lynch, Pierce, Fenner &
Smith Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co.
Incorporated, Morgan Keagan & Company, Inc.,
Ernst & Young LLP. (ama) (Entered: 04/06/2009) |
|
04/01/2009 |
|
Magistrate
Judge Frank Maas is so designated. (ama) (Entered:
04/06/2009) |
|
04/01/2009 |
|
Case
Designated ECF. (ama) (Entered: 04/06/2009) |
|
04/09/2009 |
NOTICE
OF CASE REASSIGNMENT due to a Judge's Recusal to
Judge Lewis A. Kaplan. Judge Richard M. Berman is no longer assigned to the
case. (rdz) (Entered: 04/13/2009) |
|
|
04/27/2009 |
ORDER
FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 5/29/2009 at
10:00 AM in Courtroom 12D, 500 Pearl Street, New York, NY 10007 before Judge
Lewis A. Kaplan. (Signed by Judge Lewis A. Kaplan on 4/27/09) (db) (Entered:
04/27/2009) |
|
|
04/28/2009 |
STIPULATION
AND ORDER: The time for plaintiff, or the individual or entity appointed lead
plaintiff in accordance with 15 U.S.C. section 78u-4(a)(3), to file any
consolidated amended complaint in this action is extended through and
including sixty (60) days after entry of the order appointing lead plaintiff
and approving of selection of lead counsel. The time for defendants to
answer, move or otherwise respond to a consolidated amended complaint is
extended through and including sixty (60) days after the service and filing
of a consolidated amended complaint by lead plaintiff in this action. (Signed
by Judge Lewis A. Kaplan on 4/28/2009) (rw)
(Entered: 04/28/2009) |
|
|
05/05/2009 |
NOTICE
OF APPEARANCE by Bradley Jay Butwin on behalf of
UBS Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Capital
Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc. (Butwin,
Bradley) (Entered: 05/05/2009) |
|
|
05/05/2009 |
RULE
7.1 CORPORATE DISCLOSURE STATEMENT. Document filed
by UBS Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch, Pierce,
Fenner & Smith Incorporated, Wachovia Capital
Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc..(Butwin, Bradley) (Entered: 05/05/2009) |
|
|
05/05/2009 |
NOTICE
OF APPEARANCE by William Joseph Sushon on behalf of
UBS Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Capital
Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc. (Sushon,
William) (Entered: 05/05/2009) |
|
|
05/05/2009 |
NOTICE
OF APPEARANCE by Mark Scott Germann on behalf of
UBS Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Capital
Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc. (Germann,
Mark) (Entered: 05/05/2009) |
|
|
05/05/2009 |
NOTICE
OF APPEARANCE by Jonathan Rosenberg on behalf of UBS Securities LLC,
Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner
& Smith Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley &
Co. Incorporated, Morgan Keagan & Company, Inc.
(Rosenberg, Jonathan) (Entered: 05/05/2009) |
|
|
05/28/2009 |
NOTICE
of Substitution of Attorney. Old Attorney: Bradley J. Butwin,
Jonathan Rosenberg, William J. Sushon, Mark S. Germann, New Attorney: Scott A. Edelman, Douglas W. Henkin, Address: Milbank, Tweed, Hadley & McCloy LLP, One Chase Manhattan Plaza, New York, New
York, USA 10005, 212-530-5000. Document filed by UBS Securities LLC,
Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner
& Smith Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley &
Co. Incorporated, Morgan Keagan & Company, Inc.. (Henkin, Douglas)
(Entered: 05/28/2009) |
|
|
05/28/2009 |
DECLARATION
of /Douglas W. Henkin in Support re: 10 Notice of
Substitution of Attorney,,. Document filed by UBS
Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Capital
Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc.. (Henkin, Douglas) (Entered: 05/28/2009) |
|
|
05/29/2009 |
NOTICE
OF APPEARANCE by Claire Elizabeth Hunter on behalf of Regions Financial
Corporation, Regions Financing Trust III, C. Dowd Ritter, Samuel W.
Bartholomew, Jr, George W. Bryan, David J. Cooper,
Earnest W. Deavenport, Don DeFosset,
James R. Malone, Susan W. Matlock, Charles D. McCrary, Claude B. Nielsen,
Jorge M. Perez, Lee J. Styslinger, III, Spence L.
Wilson, John R. Roberts (Hunter, Claire) (Entered: 05/29/2009) |
|
|
05/29/2009 |
RULE
7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate
Parent. Document filed by Regions Financial Corporation.(Hunter, Claire)
(Entered: 05/29/2009) |
|
|
05/29/2009 |
RULE
7.1 CORPORATE DISCLOSURE STATEMENT. Identifying
Regions Financial Corporation as Corporate Parent. Document filed by Regions
Financing Trust III.(Hunter, Claire) (Entered: 05/29/2009) |
|
|
05/29/2009 |
NOTICE
OF APPEARANCE by William J. Snipes on behalf of Regions Financial
Corporation, Regions Financing Trust III, C. Dowd Ritter, Samuel W.
Bartholomew, Jr, George W. Bryan, David J. Cooper,
Earnest W. Deavenport, Don DeFosset,
James R. Malone, Susan W. Matlock, Charles D. McCrary, Claude B. Nielsen,
Jorge M. Perez, Lee J. Styslinger, III, Spence L.
Wilson, John R. Roberts (Snipes, William) (Entered: 05/29/2009) |
|
|
05/29/2009 |
|
Minute
Entry for proceedings held before Judge Lewis A. Kaplan: Interim Pretrial
Conference held on 5/29/2009. (ama) (Entered:
06/12/2009) |
|
06/01/2009 |
MOTION
to Consolidate Cases 1:09-cv-03161, 1:09-cv-03976., MOTION to Appoint Howard
M. Rensin, Trustee to serve as lead plaintiff(s).,
MOTION to Appoint Counsel. Document filed by Howard M. Rensin.
(Attachments: # 1
Text of Proposed Order)(Rosenfeld, David) (Entered: 06/01/2009) |
|
|
06/01/2009 |
MEMORANDUM
OF LAW in Support re: 16 MOTION to Consolidate
Cases 1:09-cv-03161, 1:09-cv-03976. MOTION to Appoint Howard M. Rensin, Trustee to serve as lead plaintiff(s). MOTION to
Appoint Counsel. MOTION to Appoint Howard M. Rensin,
Trustee to serve as lead plaintiff(s).. Document
filed by Howard M. Rensin. (Rosenfeld, David)
(Entered: 06/01/2009) |
|
|
06/01/2009 |
DECLARATION
of David A. Rosenfeld in Support re: 16 MOTION to Consolidate Cases 1:09-cv-03161, 1:09-cv-03976.
MOTION to Appoint Howard M. Rensin, Trustee to
serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint
Howard M. Rensin, Trustee to serve as lead
plaintiff(s).. Document filed by Howard M. Rensin. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit
D)(Rosenfeld, David) (Entered: 06/01/2009) |
|
|
06/09/2009 |
NOTICE
OF APPEARANCE by Douglas W. Henkin on behalf of UBS
Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Capital
Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc. (Henkin,
Douglas) (Entered: 06/09/2009) |
|
|
06/09/2009 |
NOTICE
OF APPEARANCE by Scott Alexander Edelman on behalf of UBS Securities LLC,
Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner
& Smith Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley &
Co. Incorporated, Morgan Keagan & Company, Inc.
(Edelman, Scott) (Entered: 06/09/2009) |
|
|
06/15/2009 |
NOTICE
OF APPEARANCE by Mauricio Alejandro Espana on
behalf of Ernst & Young LLP (Espana, Mauricio)
(Entered: 06/15/2009) |
|
|
06/17/2009 |
NOTICE
of Non-Opposition re: 16 MOTION to Consolidate
Cases 1:09-cv-03161, 1:09-cv-03976. MOTION to Appoint Howard M. Rensin, Trustee to serve as lead plaintiff(s). MOTION to
Appoint Counsel. MOTION to Appoint Howard M. Rensin,
Trustee to serve as lead plaintiff(s).. Document
filed by Howard M. Rensin. (Attachments: # 1 Text of Proposed
Order)(Rosenfeld, David) (Entered: 06/17/2009) |
|
|
06/29/2009 |
ORDER
granting (16) Motion to Consolidate Cases 09-3161 (as Lead Case) with
09-3976; granting (16) Motion to Appoint Trustee Howard M. Rensin as Lead Plaintiff(s); granting (16) Motion to
Appoint Counsel in case 1:09-cv-03161-LAK. Plaintiff's motion to consolidate
09 Civ. 3976 with and into 09 Civ. 3161, to appoint a lead plaintiff and to
appoint lead counsel is granted [09 Civ. 3161 docket item 16] in ail respects, save the it is denied as moot insofar as it
seeks consolidation. SO ORDERED. (Signed by Judge Lewis A. Kaplan on
6/29/2009) Filed In Associated Cases: 1:09-cv-03161-LAK, 1:09-cv-03976-LAK(jmi) (Entered: 06/30/2009) |
|
|
06/29/2009 |
MOTION
for Stanley J. Parzen, John J. Tharp Jr. and J. Bishop
Grewell to Appear Pro Hac
Vice. Document filed by Ernst & Young LLP.(dle)
(Entered: 06/30/2009) |
|
|
06/30/2009 |
25 |
TRANSCRIPT
of proceedings held on May 29, 2009 10:55 a.m. before Judge Lewis A. Kaplan.
(bw) (Entered: 07/06/2009) |
|
07/07/2009 |
MEMO
ENDORSEMENT on re: 24
Motion for Stanley J. Parzen, John J. Tharp Jr. and
J. Bishop Grewell to Appear Pro Hac
Vice. ENDORSEMENT: Granted. (Signed by Judge Lewis A. Kaplan on 7/6/2009) (jfe) (Entered: 07/07/2009) |
|
|
07/07/2009 |
|
Transmission
to Attorney Admissions Clerk. Transmitted re: 26 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions
Clerk for updating of Attorney Information. (jfe)
(Entered: 07/07/2009) |
|
07/07/2009 |
|
Transmission
to Attorney Admissions Clerk. Transmitted re: 26 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions
Clerk for updating of Attorney Information. (jfe)
(Entered: 07/07/2009) |
|
07/08/2009 |
|
CASHIERS
OFFICE REMARK on 24
Motion to Appear Pro Hac Vice in the amount of $75.00,
paid on 06/29/2009, Receipt Number 692955. (jd)
(Entered: 07/08/2009) |
|
07/15/2009 |
MOTION
for Andrew J. Brown to Appear Pro Hac Vice.
Document filed by Alfred Fait(Individually), Alfred Fait(on behalf of all
others similarly situated).(mro) (Entered:
07/17/2009) |
|
|
07/15/2009 |
MOTION
for Eric I. Niehaus to Appear Pro Hac Vice. Document filed by Alfred Fait(Individually),
Alfred Fait(on behalf of all others similarly situated).(mro)
(Entered: 07/17/2009) |
|
|
07/15/2009 |
MOTION
for Lucas F. Olts to Appear Pro Hac
Vice. Document filed by Alfred Fait(Individually), Alfred Fait(on behalf of
all others similarly situated).(mro) (Entered:
07/17/2009) |
|
|
07/21/2009 |
MEMO
ENDORSED granting 28
Motion for Eric I. Niehaus to Appear Pro Hac Vice for Alfred Fait (Individually), Alfred Fait (on
behalf of all others similarly situated). (Signed by Judge Lewis A. Kaplan on
7/20/2009) (jmi) (Entered: 07/22/2009) |
|
|
07/21/2009 |
MEMO
ENDORSED granting 29
Motion for Lucas F. Olts to Appear Pro Hac Vice for Alfred Fait (Individually), Alfred Fait (on
behalf of all others similarly situated). (Signed by Judge Lewis A. Kaplan on
7/20/2009) (jmi) (Entered: 07/22/2009) |
|
|
07/21/2009 |
MEMO
ENDORSED granting 27
Motion for Andrew J. Brown to Appear Pro Hac Vice
for Alfred Fait (Individually), Alfred Fait (on behalf of all others similarly
situated). (Signed by Judge Lewis A. Kaplan on 7/20/2009) (jmi) (Entered: 07/22/2009) |
|
|
07/21/2009 |
|
Transmission
to Attorney Admissions Clerk. Transmitted re: 30 Order on Motion
to Appear Pro Hac Vice, 32 Order on Motion
to Appear Pro Hac Vice, 31 Order on Motion
to Appear Pro Hac Vice, to the Attorney Admissions
Clerk for updating of Attorney Information. (jmi)
(Entered: 07/22/2009) |
|
07/24/2009 |
|
CASHIERS
OFFICE REMARK on 27
Motion to Appear Pro Hac Vice, 29 Motion to Appear
Pro Hac Vice, 28 Motion to Appear
Pro Hac Vice in the amount of $75.00, paid on
07/16/2009, Receipt Number 694369. (jd) (Entered: 07/24/2009) |
|
07/27/2009 |
MEMO
ENDORSEMENT re: NOTICE OF SUBSTITUTION OF COUNSEL: That the attorneys of
record for Defendants UBS Securities LLC, Citigroup Global Markets Inc.,
Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co.,
Incorporated, and Morgan Keegan & Company, Inc. have changed, and that
Scott A. Edelman and Douglas W. Henkin of Milbank,
Tweed, Hadley & McCloy LLP, One Chase Manhattan
Plaza, New York, New York 10005, (212) 530-5000, are to be substituted as
attorneys for such defendants in theplace of
O'Melveny & Myers LLP. 0' Melveny & Myers
LLP hereby withdraws from resenting Defendants VBS Securitics
llC, Citigroup Global Markets Inc., Merrill Lynch,
Pierce, Fenner & Smith Incorporated, Wachovia
Capital Markets, LLC, Morgan Stanley & Co., Incorporated, and Morgan
Keegan & Company, Inc. in this action. The parties are requested to serve
copies of all future.tiled papers on Milbank,
Tweed, Hadley & McCloy
LLP. ENDORSEMENT: SO ORDERED. Attorney Douglas W. Henkin
for UBS Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch,
Pierce, Fenner & Smith Incorporated, Wachovia
Capital Markets, LLC, Morgan Stanley & Co. Incorporated and Morgan Keagan & Company, Inc. added. Attorney Jonathan
Rosenberg; William Joseph Sushon; Bradley Jay Butwin and Mark Scott Germann
terminated. (Signed by Judge Lewis A. Kaplan on 7/27/09) (db) (Entered:
07/27/2009) |
|
|
08/28/2009 |
FIRST
AMENDED COMPLAINT amending 1 Complaint against
Regions Financial Corporation, Regions Financing Trust III, C. Dowd Ritter,
Howard M. Rensin, Samuel W. Bartholomew, Jr, George W. Bryan, David J. Cooper, Earnest W. Deavenport, Don DeFosset, James
R. Malone, Susan W. Matlock, Charles D. McCrary, Claude B. Nielsen, Jorge M.
Perez, Lee J. Styslinger, III, Spence L. Wilson,
John R. Roberts, UBS Securities LLC, Citigroup Global Markets, Inc., Merrill
Lynch, Pierce, Fenner & Smith Incorporated,
Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc., Ernst & Young LLP.Document filed by Alfred Fait(Individually), Alfred
Fait(on behalf of all others similarly situated). Related document: 1 Complaint filed
by Alfred Fait.(mbe) (ama). (Entered: 08/31/2009) |
|
|
10/27/2009 |
MOTION
to Dismiss the First Amended Complaint. Document filed by Regions
Financial Corporation, Regions Financing Trust III, C. Dowd Ritter, Samuel W.
Bartholomew, Jr, George W. Bryan, David J. Cooper,
Earnest W. Deavenport, Don DeFosset,
James R. Malone, Susan W. Matlock, Charles D. McCrary, Claude B. Nielsen,
Jorge M. Perez, Lee J. Styslinger, III, Spence L.
Wilson, John R. Roberts.(Hunter, Claire) (Entered: 10/27/2009) |
|
|
10/27/2009 |
MEMORANDUM
OF LAW in Support re: 35
MOTION to Dismiss the First Amended Complaint..
Document filed by Regions Financial Corporation, Regions Financing Trust III,
C. Dowd Ritter, Samuel W. Bartholomew, Jr, George
W. Bryan, David J. Cooper, Earnest W. Deavenport,
Don DeFosset, James R. Malone, Susan W. Matlock,
Charles D. McCrary, Claude B. Nielsen, Jorge M. Perez, Lee J. Styslinger, III, Spence L. Wilson, John R. Roberts.
(Hunter, Claire) (Entered: 10/27/2009) |
|
|
10/27/2009 |
DECLARATION
of Claire E. Hunter in Support re: 35 MOTION to
Dismiss the First Amended Complaint..
Document filed by Regions Financial Corporation, Regions Financing Trust III,
C. Dowd Ritter, Samuel W. Bartholomew, Jr, George
W. Bryan, David J. Cooper, Earnest W. Deavenport,
Don DeFosset, James R. Malone, Susan W. Matlock,
Charles D. McCrary, Claude B. Nielsen, Jorge M. Perez, Lee J. Styslinger, III, Spence L. Wilson, John R. Roberts.
(Attachments: # 1
Exhibit A-B, # 2
Exhibit C, # 3
Exhibit D, # 4
Exhibit E-G, # 5
Exhibit H-J, # 6
Exhibit K-S, # 7
Exhibit T-Z, # 8
Exhibit AA-GG)(Hunter, Claire) (Entered: 10/27/2009) |
|
|
10/27/2009 |
AFFIDAVIT
OF SERVICE. Document filed by Regions Financial Corporation, Regions
Financing Trust III, C. Dowd Ritter, Samuel W. Bartholomew, Jr, George W. Bryan, David J. Cooper, Earnest W. Deavenport, Don DeFosset, James
R. Malone, Susan W. Matlock, Charles D. McCrary, Claude B. Nielsen, Jorge M.
Perez, Lee J. Styslinger, III, Spence L. Wilson,
John R. Roberts. (Hunter, Claire) (Entered: 10/27/2009) |
|
|
10/27/2009 |
MOTION
to Dismiss. Document filed by Ernst & Young LLP.(Parzen,
Stanley) (Entered: 10/27/2009) |
|
|
10/27/2009 |
MEMORANDUM
OF LAW in Support re: 39
MOTION to Dismiss.. Document filed by Ernst &
Young LLP. (Parzen, Stanley) (Entered: 10/27/2009) |
|
|
10/27/2009 |
DECLARATION
of J. Bishop Grewell in Support re: 39 MOTION to
Dismiss.. Document filed by Ernst & Young LLP.
(Attachments: # 1
Exhibit 1 Part 1, # 2
Exhibit 1 Part 2, # 3
Exhibit 2, # 4
Exhibit 3 Part 1, # 5
Exhibit 3 Part 2, # 6
Exhibit 4)(Parzen, Stanley) (Entered: 10/27/2009) |
|
|
10/27/2009 |
JOINDER
to join re: 36
Memorandum of Law in Support of Motion, 35 MOTION to
Dismiss the First Amended Complaint. Joinder
of the Underwriter Defendants to the Regions Parties' Motion to Dismiss the
First Amended Complaint and the Memorandum in Support Thereof. Document
filed by UBS Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch,
Pierce, Fenner & Smith Incorporated, Wachovia
Capital Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc..(Henkin, Douglas) (Entered: 10/27/2009) |
|
|
10/27/2009 |
CERTIFICATE
OF SERVICE. Document filed by UBS Securities LLC, Citigroup Global Markets,
Inc., Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co.
Incorporated, Morgan Keagan & Company, Inc.. (Henkin, Douglas)
(Entered: 10/27/2009) |
|
|
11/02/2009 |
CORRECTED
1RST AMENDED COMPLAINT amending 34 Amended
Complaint, against Regions Financial Corporation, Regions Financing Trust
III, C. Dowd Ritter, Samuel W. Bartholomew, Jr,
George W. Bryan, David J. Cooper, Earnest W. Deavenport,
Don DeFosset, James R. Malone, Susan W. Matlock,
Charles D. McCrary, Claude B. Nielsen, Jorge M. Perez, Lee J. Styslinger, III, Spence L. Wilson, John R. Roberts, UBS
Securities LLC, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Capital
Markets, LLC, Morgan Stanley & Co. Incorporated, Ernst & Young LLP.Document filed by Alfred Fait(Individually), Howard
M. Rensin, Alfred Fait(on behalf of all others
similarly situated). Related document: 34 Amended
Complaint,,, filed by Alfred Fait.(ama) (Entered:
11/03/2009) |
|
|
11/12/2009 |
ENDORSED
LETTER addressed to Judge Lewis A. Kaplan from Douglas W. Henkin
dated 11/6/2009 re: Requesting that the Your Honor so order this letter to
permit the clerk's office to correct the docket so that our addresses are
listed as set forth in this letter. ENDORSEMENT: SO ORDERED. (Signed by Judge
Lewis A. Kaplan on 11/12/2009) (jpo) (Entered:
11/12/2009) |
|
|
12/07/2009 |
ENDORSED
LETTER addressed to Judge Lewis A. Kaplan from Eric I. Niehaus
dated 12/3/09 re: Lead Plaintiff requests that it be permitted to file a
consolidated opposition memorandum 45 pages in length. ENDORSEMENT: Granted,. (Signed by Judge Lewis A. Kaplan on 12/7/09) (djc) (Entered: 12/07/2009) |
|
|
12/21/2009 |
MEMORANDUM
OF LAW in Opposition re: 35 MOTION to
Dismiss the First Amended Complaint., 39 MOTION to
Dismiss.. Document filed by Howard M. Rensin.
(Brown, Andrew) (Entered: 12/21/2009) |
|
|
12/22/2009 |
NOTICE
OF APPEARANCE by David Bruce Tulchin on behalf of
Regions Financial Corporation, Regions Financing Trust III, C. Dowd Ritter,
Samuel W. Bartholomew, Jr, George W. Bryan, David
J. Cooper, Earnest W. Deavenport, Don DeFosset, James R. Malone, Susan W. Matlock, Charles D.
McCrary, Claude B. Nielsen, Jorge M. Perez, Lee J. Styslinger,
III, Spence L. Wilson, John R. Roberts (Tulchin,
David) (Entered: 12/22/2009) |
|
|
01/20/2010 |
REPLY
MEMORANDUM OF LAW in Support re: 35 MOTION to
Dismiss the First Amended Complaint..
Document filed by Regions Financial Corporation, Regions Financing Trust III,
C. Dowd Ritter, Samuel W. Bartholomew, Jr, George
W. Bryan, David J. Cooper, Earnest W. Deavenport,
Don DeFosset, James R. Malone, Susan W. Matlock,
Charles D. McCrary, Claude B. Nielsen, Jorge M. Perez, Lee J. Styslinger, III, Spence L. Wilson, John R. Roberts.
(Hunter, Claire) (Entered: 01/20/2010) |
|
|
01/20/2010 |
JOINDER
to join re: 49
Reply Memorandum of Law in Support of Motion,.
Document filed by UBS Securities LLC, Citigroup Global Markets, Inc., Merrill
Lynch, Pierce, Fenner & Smith Incorporated,
Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, Morgan Keagan & Company, Inc..(Henkin, Douglas) (Entered: 01/20/2010) |
|
|
01/20/2010 |
CERTIFICATE
OF SERVICE. Document filed by UBS Securities LLC, Citigroup Global Markets,
Inc., Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co.
Incorporated, Morgan Keagan & Company, Inc.. (Henkin, Douglas)
(Entered: 01/20/2010) |
|
|
01/20/2010 |
REPLY
MEMORANDUM OF LAW in Support re: 39 MOTION to
Dismiss.. Document filed by Ernst & Young LLP.
(Tharp, John) (Entered: 01/20/2010) |
|
|
03/02/2010 |
ENDORSED
LETTER addressed to Judge Lewis A. Kaplan from William J. Snipes dated
2/25/10 re: counsel requests that Claire Hunter be withdrawn as counsel for
the named defendants: Regions Financial Corporation, Regions Financing Trust
III, C. Dowd Ritter, Samuel W. Bartholomew, Jr., George W. Bryan, David J.
Cooper, Earnest W. Deavenport, Jr., Don DeFosset, James R. Malone, Susan W. Matlock, Charles D.
McCrary, Claude B. Nielson, Jorge M. Perez, Lee J. Styslinger,
III, Spence L. Wilson, and John R. Roberts. ENDORSEMENT: Granted. (Signed by
Judge Lewis A. Kaplan on 3/2/10) (djc) Modified on
3/2/2010 (djc). (Entered: 03/02/2010) |
|
|
03/24/2010 |
NOTICE
of Firm Name Change. Document filed by Howard M. Rensin.
(Brown, Andrew) (Entered: 03/24/2010) |
|
|
05/10/2010 |
MEMORANDUM
OPINION; #98931 Defendants motions to dismiss the amended complaint [DI 35,
39] are granted. (Signed by Judge Lewis A. Kaplan on 5/10/10) (pl) Modified
on 5/12/2010 (ajc). (Entered: 05/10/2010) |
|
|
05/10/2010 |
|
Transmission
to Judgments and Orders Clerk. Transmitted re: 55 Memorandum &
Opinion, to the Judgments and Orders Clerk. (pl) (Entered: 05/10/2010) |
|
05/11/2010 |
ORDER:
For the reasons stated in the Court's May 10, 2010 Memorandum Opinion [DI
55], all claims against defendants Merrill Lynch, Pierce, Fenner
& Smith Incorporated, UBS Securities LLC, Citigroup Global Markets Inc.,
Wachovia Capital Markets, LLC, Morgan Stanley & Co., Incorporated, and
Morgan Keegan & Company, Inc., which joined in the Regions Defendants'
Motion to Dismiss the Amended Complaint [DI 35, 42], are dismissed. SO
ORDERED. (Signed by Judge Lewis A. Kaplan on 5/11/2010) (tve)
(Entered: 05/11/2010) |
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 United States, the judicial
governing body of the U.S. Federal Courts, authority to impose user fees for
electronic access to case information. For more information visit the PACER
site at http://pacer.psc.uscourts.gov/pacerdesc.html