`
`No. 16-373
`
`IN THE
`
`
`CALIFORNIA PUBLIC EMPLOYEES’ RETIREMENT SYSTEM,
`Petitioner,
`
`
`
`
`
`
`
`
`v.
`
`ANZ SECURITIES, INC., ET AL.,
`Respondents.
`
`On Writ of Certiorari
`to the United States Court of Appeals
`for the Second Circuit
`
`
`JOINT APPENDIX
`
`
`Thomas C. Goldstein
`GOLDSTEIN & RUSSELL, P.C.
`7475 Wisconsin Ave.
`Suite 850
`Bethesda, MD 20814
`(202) 362-0636
`tg@goldsteinrussell.com
`
`Counsel of Record
` for Petitioners
`
`Victor L. Hou
`CLEARY GOTTLIEB STEEN
`& HAMILTON LLP
`One Liberty Plaza
`New York, NY 10006
`(212) 225-2000
`vhou@cgsh.com
`
`Counsel of Record
` for Respondents
`
`
`
`Petition for a Writ of Certiorari Filed September 22, 2016
`Certiorari granted January 13, 2017
`
`
`
`
`
`
`
`
`
`TABLE OF CONTENTS
`Relevant Docket Entries
`(Court Of Appeals) ................................................ 1
`Relevant Docket Entries
`(CalPERS District Court Docket) ......................... 7
`Relevant Docket Entries
`(MDL Docket) ...................................................... 22
`Excerpts From Third Amended Class Action
`Complaint For Violations Of The Securities
`Laws ..................................................................... 50
`Excerpts From CalPERS’s Complaint For
`Violation Of The Federal Securities Laws ........ 67
`Excerpts From Judgment And Order Approving
`Settlement Between Lead Class Plaintiffs
`And The Settling Underwriter Defendants ....... 80
`Excerpts From Notice Of Pendency Of Class
`Action And Proposed Settlement With The
`Settling Underwriter Defendants, Settlement
`Fairness Hearing And Motion For Attorneys’
`Fees And Reimbursement Of Litigation
`Expenses .............................................................. 89
`
`
`
`
`
`
`
`
`
`
`
`1
`RELEVANT DOCKET ENTRIES
`(COURT OF APPEALS)
`
`UNITED STATES COURT OF APPEALS
`FOR THE SECOND CIRCUIT
`
`Case No. 15-1879
`
`
`
`
`
`
`
`Date
`06/11/2015
`
`06/11/2015
`
`06/11/2015
`
`06/11/2015
`
`09/17/2015
`
` 2
`
`
` 3
`
`
`Docket Text
`#
` 1 NOTICE OF CIVIL APPEAL, with
`district court docket, on behalf of
`Appellant
`California
`Public
`Employees’ Retirement System,
`FILED.
`[1531725]
`[15-1879]
`[Entered: 06/12/2015 03:09 PM]
`DISTRICT COURT ORDER, dated
`08/09/2013, RECEIVED.[1531729]
`[15-1879]
`[Entered:
`06/12/2015
`03:13 PM]
`DISTRICT COURT ORDER, dated
`10/15/2012, RECEIVED.[1531731]
`[15-1879]
`[Entered:
`06/12/2015
`03:13 PM]
`DISTRICT COURT ORDER, dated
`05/12/2015, RECEIVED.[1531733]
`[15-1879]
`[Entered:
`06/12/2015
`03:14 PM]
`BRIEF & SPECIAL APPENDIX, on
`behalf of Appellant California Public
`Employees’ Retirement System,
`FILED. Service date 09/17/2015 by
`
` 4
`
`
` 40
`
`
`
`
` 41
`
`
` 42
`
`
`2
`[15-1879]
`[1601395]
`CM/ECF.
`[Entered: 09/17/2015 08:58 PM]
`JOINT APPENDIX, volume 1 of 3,
`(pp. 1-286), on behalf of Appellant
`California
`Public
`Employees’
`Retirement System, FILED. Service
`date
`09/17/2015
`by
`CM/ECF.[1601396]
`[15-1879]
`[Entered: 09/17/2015 09:03 PM]
`JOINT APPENDIX, volume 2 of 3,
`(pp. 287-572), on behalf of Appellant
`California
`Public
`Employees’
`Retirement System, FILED. Service
`date
`09/17/2015
`by
`CM/ECF.[1601397]
`[15-1879]
`[Entered: 09/17/2015 09:05 PM]
`JOINT APPENDIX, volume 3 of 3,
`(pp. 573-824), on behalf of Appellant
`California
`Public
`Employees’
`Retirement System, FILED. Service
`date
`09/17/2015
`by
`CM/ECF.[1601398]
`[15-1879]
`[Entered: 09/17/2015 09:06 PM]
` 63 BRIEF, on behalf of Appellee HVB
`Capital Markets,
`Inc., FILED.
`Service date 10/19/2015 by CM/ECF.
`[1649161]
`[15-1879]
`[Entered:
`11/23/2015 04:16 PM]
` 67 BRIEF, on behalf of Appellee ANZ
`Securities, Inc., Bankia, S.A., BBVA
`Securities
`Inc., BMO Capital
`Markets Corp., Fortis Securities,
`
` 43
`
`
`
`
`09/17/2015
`
`09/17/2015
`
`09/17/2015
`
`11/23/2015
`
`12/17/2015
`
`
`
`
`
`3
`LLC, BNP Paribas S.A., BNY
`Mellon Capital Markets, LLC, CIBC
`World Markets Corp., Citigroup
`Global Markets Inc., Daiwa Capital
`Markets Europe Limited, DZ
`Financial Markets LLC, HSBC
`Securities (USA) Inc., ING Financial
`Markets LLC, Mizuho Securities
`USA, Inc., Muriel Siebert & Co.,
`Inc., National Australia Capital
`Markets, LLC, Natixis Bleichroeder
`Incorporated, RBC Capital Markets
`Corporation, Greenwich Capital
`Markets, Inc., RBS WCS Holding
`Company, Santander
`Investment
`Securities Inc., Scotia Capital (USA)
`Inc.,
`SG Americas
`Securities
`Holdings, LLC, Sovereign Securities
`Corporation, LLC, Suntrust Capital
`Markets, Inc., Utendahl Capital
`Partners,
`L.P., Wells
`Fargo
`Securities, LLC and Wachovia
`Capital Markets, LLC, FILED.
`Service date 12/17/2015 by CM/ECF.
`[1667173]
`[15-1879]
`[Entered:
`12/17/2015 06:57 PM]
` 81 REPLY BRIEF,
`of
`on behalf
`Appellant
`California
`Public
`Employees’ Retirement System,
`FILED. Service date 01/28/2016 by
`CM/ECF.
`[1694146]
`[15-1879]
`[Entered: 01/28/2016 06:04 PM]
`
`
`01/28/2016
`
`
`
`
`
`4
`
`to
`
`NOTICE,
`
` 87 ARGUMENT
`attorneys/parties,
`[15-
`TRANSMITTED.[1723352]
`1879] [Entered: 03/09/2016 04:30
`PM]
` 92 FRAP
`dated
`LETTER,
`28(j)
`03/25/2016, on behalf of Appellee
`ANZ Securities, Inc., Bankia, S.A.,
`BMO Capital Markets Corp., BNP
`Paribas S.A., BNY Mellon Capital
`Markets, LLC, CIBC World Markets
`Corp., Citigroup Global Markets
`Inc., Daiwa Capital Markets Europe
`Limited, DZ Financial Markets
`LLC, HSBC Securities (USA) Inc.,
`ING Financial Markets LLC,
`Mizuho Securities USA, Inc., Muriel
`Siebert & Co.,
`Inc., National
`Australia Capital Markets, LLC,
`Natixis Bleichroeder Incorporated,
`RBC Capital Markets Corporation,
`RBS WCS Holding Company,
`Santander
`Investment Securities
`Inc., Scotia Capital (USA) Inc., SG
`Americas Securities Holdings, LLC,
`Sovereign Securities Corporation,
`LLC, Suntrust Capital Markets,
`Inc., Utendahl Capital Partners,
`L.P. and Wells Fargo Securities,
`LLC, RECEIVED. Service date
`03/25/2016 by CM/ECF.[1736757]
`[15-1879]
`[Entered:
`03/25/2016
`05:16 PM]
`
`
`
`03/09/2016
`
`03/25/2016
`
`
`
`
`
`05/23/2016
`
`04/21/2016
`
`5
` 95 CASE, before RKW, RCW, GEL,
`C.JJ., HEARD.[1755283] [15-1879]
`[Entered: 04/21/2016 11:29 AM]
` 97 FRAP
`28(j)
`LETTER,
`dated
`05/23/2016, on behalf of Appellee
`ANZ Securities, Inc., Bankia, S.A.,
`BMO Capital Markets Corp., BNP
`Paribas S.A., BNY Mellon Capital
`Markets, LLC, CIBC World Markets
`Corp., Citigroup Global Markets
`Inc., Daiwa Capital Markets Europe
`Limited, DZ Financial Markets
`LLC, HSBC Securities (USA) Inc.,
`ING Financial Markets LLC,
`Mizuho Securities USA, Inc., Muriel
`Siebert & Co.,
`Inc., National
`Australia Capital Markets, LLC,
`Natixis Bleichroeder Incorporated,
`RBC Capital Markets Corporation,
`RBS WCS Holding Company,
`Santander
`Investment Securities
`Inc., Scotia Capital (USA) Inc., SG
`Americas Securities Holdings, LLC,
`Sovereign Securities Corporation,
`LLC, Suntrust Capital Markets,
`Inc., Utendahl Capital Partners,
`L.P. and Wells Fargo Securities,
`LLC, RECEIVED. Service date
`05/23/2016 by CM/ECF.[1777916]
`[15-1879]
`[Entered:
`05/23/2016
`03:22 PM]
`07/08/2016 102 SUMMARY
`AND
`ORDER
`JUDGMENT, affirming the district
`
`
`
`
`
`6
`court judgment, by RKW, RCW,
`GEL, FILED.[1810638]
`[15-1879]
`[Entered: 07/08/2016 09:25 AM]
`07/29/2016 104 JUDGMENT
`MANDATE,
`ISSUED.[1828352]
`[15-1879]
`[Entered: 07/29/2016 10:11 AM]
`09/26/2016 106 U.S. SUPREME COURT NOTICE of
`writ of certiorari
`filing, dated
`09/22/2016, U.S. Supreme Court
`docket
`#
`16-373,
`RECEIVED.[1870898]
`[15-1879]
`[Entered: 09/26/2016 03:22 PM]
`01/17/2017 107 U.S. SUPREME COURT NOTICE,
`dated 01/13/2017, U.S. Supreme
`Court docket # 16-373, stating the
`petition for writ of certiorari is
`granted
`limited
`to Question 1
`presented
`by
`the
`petition,
`RECEIVED.[1948921]
`[15-1879]
`[Entered: 01/17/2017 03:35 PM]
`
`
`
`
`
`
`
`
`
`7
`RELEVANT DOCKET ENTRIES
`(CALPERS DISTRICT COURT DOCKET)
`
`UNITED STATES DISTRICT COURT
`SOUTHERN DISTRICT OF NEW YORK
`
`CASE #: 1:11-cv-01281-LAK
`
`Docket Text
`#
`Date
`02/07/2011 1 COMPLAINT for Violation of the
`Federal Securities Laws & Demand
`for Jury Trial -[Summons Issued]
`against ABN Amro Inc., Michael L.
`Ainslie,
`John F. Akers, Anz
`Securities, Inc., BBVA Securities Inc.,
`BNP Paribas S.A., BNY Capital
`Markets, Inc., Roger S. Berlind, CIBC
`World Markets Corp., Cabrera
`Capital Markets, LLC, Caja De
`Ahorros Y Monte De Piedad De
`Madrid, Erin M. Callan, Citigroup
`Global Markets Inc., Thomas H.
`Cruikshank, DZ Financial Markets
`LLC, Daiwa Securities SMBC Europe
`Limited, Marsha Johnson Evans,
`Fortis Securities LLC, Richard S.
`Fuld, Jr, Sir Christopher Gent,
`Greenwich Capital Markets, Inc.,
`HSBC Securities (USA) Inc., HVB
`Capital Markets, Inc., Harris Nesbitt
`Corp., Roland A. Hernandez, ING
`Financial Markets LLC, Henry
`Kaufman, Loop Capital Markets,
`LLC, M.R. Beal & Company, John D.
`
`
`
`
`
`8
`Financial
`Mellon
`Macomber,
`Markets, LLC, Mizuho Securities
`USA Inc., Muriel Siebert & Co., Inc.,
`Natexis Bleichroeder Inc., National
`Australia Capital Markets, LLC,
`Christopher M. O’Meara, RBC
`Capital Markets Corporation, SG
`Americas Securities, LLC, Santander
`Investment Securities Inc., Scotia
`Capital
`(USA)
`Inc.,
`Sovereign
`Securities
`Corporation,
`LLC,
`Suntrust Capital Markets, Inc., The
`Williams Capital Group, L.P.,
`Utendahl Capital Partners, L.P.,
`Wachovia Capital Markets, LLC &
`Wells Fargo Securities, LLC, [Filing
`Fee:
`$350.00, Receipt Number
`34611056001] Filed by Plaintiff The
`California
`Public
`Employees’
`Retirement System.
`(tn, COURT
`STAFF) (Filed on 2/7/2011) (tnS, ).
`(Additional attachment(s) added on
`2/24/2011: # 1 Complaint)
`(tnS,
`).
`[Transferred
`from
`California
`Northern on 2/25/2011.] (Entered:
`02/08/2011)
`02/24/2011 5 CONDITIONAL TRANSFER ORDER
`(CTO-14) by The United States
`Judicial Panel
`on Multidistrict
`Litigation TRANSFERRING CASE to
`the United States District Court for
`the Sourthern District of New York,
`MDL No. 2017.
`(tnS,)
`(Filed on
`2/24/2011)
`[Transferred
`from
`
`
`
`
`
`9
`California Northern on 2/25/2011.]
`(Entered: 02/24/2011)
`10/07/2011 14 AMENDED
`FOR
`COMPLAINT
`VIOLATION OF THE FEDERAL
`SECURITIES
`LAWS
`amending 1 Complaint against ABN
`AMRO Inc., ANZ Securities, Inc.,
`Michael L. Ainslie, John F. Akers,
`BBVA Securities Inc., BNP Paribas
`S.A., BNY Capital Markets, Inc.,
`Roger S. Berlind, CIBC World
`Markets Corp., Cabrera Capital
`Markets, LLC, Caja de Ahorros y
`Monte de Piedad de Madrid, Erin M.
`Callan, Citigroup Global Markets
`Inc., Thomas H. Cruikshank, DZ
`Financial Markets LLC, Daiwa
`Securities SMBC Europe Limited,
`Marsha
`Johnson Evans, Fortis
`Securities LLC, Richard S. Fuld, Jr,
`Sir Christopher Gent, Greenwich
`Capital Markets,
`Inc., HSBC
`Securities (USA) Inc., HVB Capital
`Markets, Inc., Harris Nesbitt Corp.,
`Roland A. Hernandez, Ing Financial
`Markets LLC, Henry Kaufman, Loop
`Capital Markets, LLC, M.R. Beal &
`Company, John D. Macomber, Mellon
`Financial Markets, LLC, Mizuho
`Securities USA Inc., Muriel Siebert &
`Co., Inc., Natexis Bleichroeder Inc.,
`National Australia Capital Markets,
`LLC, Christopher M. O’Meara, RBC
`Capital Markets Corporation, SG
`
`
`
`
`
`10
`Americas Securities, LLC, Santander
`Investment Securities Inc., Scotia
`Capital
`(USA)
`Inc.,
`Sovereign
`Securities
`Corporation,
`LLC,
`Suntrust Capital Markets, Inc., The
`Williams Capital Group, L.P.,
`Utendahl Capital Partners, L.P.,
`Wachovia Capital Markets, LLC,
`Wells Fargo Securities, LLC with
`JURY DEMAND.Document filed by
`The California Public Employees’
`Retirement
`System.
`Related
`document: 1 Complaint filed by The
`California
`Public
`Employees’
`Retirement System.(lmb) (Entered:
`10/14/2011)
`01/06/2012 28 MOTION to Dismiss / Notice of
`Motion by Bank Defendants
`to
`Dismiss Plaintiff’s Second Amended
`Complaint, dated January 6, 2012.
`Document filed by ABN AMRO Inc.,
`ANZ
`Securities,
`Inc.,
`BBVA
`Securities Inc., BMO Capital Markets
`Corp., BNP Paribas S.A., BNY
`Capital Markets, Inc., CIBC World
`Markets Corp., Caja de Ahorros y
`Monte de Piedad de Madrid,
`Citigroup Global Markets Inc., DZ
`Financial Markets LLC, Daiwa
`Securities SMBC Europe Limited,
`Fortis
`Securities, LLC, HSBC
`Securities (USA) Inc., Ing Financial
`Markets LLC, Loop Capital Markets,
`LLC, Mellon Financial Markets, LLC,
`
`
`
`
`
`11
`Mizuho Securities USA, Inc., Muriel
`Siebert & Co.,
`Inc., National
`Australia Capital Markets, LLC,
`Natixis Bleichroeder
`Inc., RBC
`Capital Markets
`Corp.,
`RBS
`Greenwich Capital, SG Americas
`Securities
`LLC,
`Santander
`Investment Securities Inc., Scotia
`Capital
`(USA)
`Inc.,
`Sovereign
`Securities Corporation LLC, Suntrust
`Capital Markets,
`Inc., Utendahl
`Capital Partners, L.P., Wachovia
`Capital Markets LLC, Wells Fargo
`Securities, LLC. Responses due by
`2/6/2012Filed In Associated Cases:
`1:09-md-02017-LAK, 1:11-cv-01281-
`LAK(Lowenthal, Mitchell) (Entered:
`01/06/2012)
`01/06/2012 29 MEMORANDUM OF LAW
`in
`Support re: (28 in 1:11-cv-01281-LAK,
`557 in 1:09-md-02017-LAK) MOTION
`to Dismiss / Notice of Motion by
`Bank Defendants
`to Dismiss
`Plaintiff’s
`Second
`Amended
`Complaint, dated January 6, 2012..
`Document filed by ABN AMRO Inc.,
`ANZ
`Securities,
`Inc.,
`BBVA
`Securities Inc., BMO Capital Markets
`Corp., BNP Paribas S.A., BNY
`Capital Markets, Inc., CIBC World
`Markets Corp., Caja de Ahorros y
`Monte de Piedad de Madrid,
`Citigroup Global Markets Inc., DZ
`Financial Markets LLC, Daiwa
`
`
`
`
`
`12
`Securities SMBC Europe Limited,
`Fortis
`Securities, LLC, HSBC
`Securities (USA) Inc., Ing Financial
`Markets LLC, Loop Capital Markets,
`LLC, Mellon Financial Markets, LLC,
`Mizuho Securities USA, Inc., Muriel
`Siebert & Co.,
`Inc., National
`Australia Capital Markets, LLC,
`Natixis Bleichroeder
`Inc., RBC
`Capital Markets
`Corp.,
`RBS
`Greenwich Capital, SG Americas
`Securities
`LLC,
`Santander
`Investment Securities Inc., Scotia
`Capital
`(USA)
`Inc.,
`Sovereign
`Securities Corporation LLC, Suntrust
`Capital Markets,
`Inc., Utendahl
`Capital Partners, L.P., Wachovia
`Capital Markets LLC, Wells Fargo
`Securities, LLC. Filed In Associated
`Cases: 1:09-md-02017-LAK, 1:11-cv-
`01281-LAK(Lowenthal,
`Mitchell)
`(Entered: 01/06/2012)
`01/06/2012 34 DECLARATION
`of Brendan H.
`Gibbon in Support re: (574 in 1:09-
`md-02017-LAK, 103 in 1:09-cv-01239-
`LAK, 85 in 1:09-cv-03476-LAK, 86 in
`1:09-cv-03474-LAK, 56
`in 1:09-cv-
`06040-LAK, 86 in 1:09-cv-03475-LAK,
`89 in 1:09-cv-01944-LAK, 54 in 1:09-
`cv-06652-LAK, 93 in 1:09-cv-01238-
`LAK) MOTION to Dismiss / Notice of
`Motion by Bank Defendants
`to
`Dismiss Plaintiffs’ Consolidated First
`Amended Complaint, dated January
`
`
`
`13
`6, 2012., (75 in 1:09-cv-01231-LAK,
`75 in 1:09-cv-01237-LAK, 78 in 1:09-
`cv-01235-LAK, 76 in 1:09-cv-01230-
`LAK, 587 in 1:09-md-02017-LAK, 77
`in 1:09-cv-01232-LAK) MOTION to
`Dismiss / Notice of Motion by Bank
`Defendants
`to Dismiss Plaintiffs’
`Consolidated
`First
`Amended
`Complaint, dated January 6, 2012.,
`(145 in 1:09-cv-02363-LAK, 575 in
`1:09-md-02017-LAK) MOTION
`to
`Dismiss Plaintiffs’ Second Amended
`Complaint.,
`(52
`in 1:09-cv-07877-
`LAK, 80 in 1:09-cv-01946-LAK, 51 in
`1:09-cv-07878-LAK, 568 in 1:09-md-
`02017-LAK, 77 in 1:09-cv-03467-LAK,
`76 in 1:09-cv-03468-LAK, 74 in 1:09-
`cv-03478-LAK)
`MOTION
`to
`Dismiss /Notice of Motion by Bank
`Defendants
`to Dismiss Plaintiffs’
`Consolidated
`First
`Amended
`Complaint, dated January 6, 2012.,
`(28 in 1:11-cv-01281-LAK, 557 in
`1:09-md-02017-LAK) MOTION
`to
`Dismiss / Notice of Motion by Bank
`Defendants
`to Dismiss Plaintiff’s
`Second Amended Complaint, dated
`January 6, 2012., (49 in 1:09-cv-
`06041-LAK, 571 in 1:09-md-02017-
`LAK) MOTION to Dismiss Plaintiff’s
`Amended Complaint., (570 in 1:09-
`md-02017-LAK, 25 in 1:11-cv-03892-
`LAK) MOTION to Dismiss / Notice of
`Motion by Bank Defendants
`to
`
`
`
`
`
`14
`Amended
`Plaintiff’s
`Dismiss
`Complaint, dated January 6, 2012..
`Document filed by A.G. Edwards &
`Sons, Inc., ABN AMRO Holding N.V.,
`ABN AMRO Inc., ANZ Securities,
`Inc., BBVA Securities Inc., BMO
`Capital Markets Corp., BNP Paribas
`S.A., BNY Capital Markets, Inc.,
`BNY Mellon Capital Markets, LLC,
`Banc of America Securities LLC,
`Banca IMI, S.p.A., CIBC World
`Markets Corp., Caja de Ahorros y
`Monte de Piedad de Madrid, Calyon
`Securities
`(USA)
`Inc., Citigroup
`Global Markets Inc., Commerzbank
`Capital Markets Corp., Countrywide
`Securities Corp., DZ Financial
`Markets LLC, Daiwa Securities
`SMBC Europe Limited, Edward D.
`Jones & Co., L.P., Fidelity Capital
`Markets Services, Fortis Securities,
`LLC, HSBC Securities (USA) Inc.,
`Hypo Capital Markets, Inc., Ing
`Financial Markets LLC, LaSalle
`Financial Services, inc., Loop Capital
`Markets, LLC, Mellon Financial
`Markets, LLC, Merrill Lynch, Pierce,
`Fenner & Smith,
`Inc., Mizuho
`Securities USA, Inc., Morgan Stanley
`& Co. Inc., Muriel Siebert & Co., Inc.,
`National Australia Bank Limited,
`National Australia Capital Markets,
`LLC, Natixis Bleichroeder Inc., RBC
`Capital Markets
`Corp.,
`RBS
`
`
`
`
`
`
`
`15
`Greenwich Capital, Raymond James
`& Associates, Inc., SG Americas
`Securities
`LLC,
`Santander
`Investment Securities Inc., Scotia
`Capital (USA) Inc., Siebert Capital
`Markets,
`Sovereign
`Securities
`Corporation
`LLC,
`Standard
`Chartered Bank, Suntrust Capital
`Markets, Inc., UBS Securities LLC,
`Utendahl Capital Partners, L.P.,
`Wachovia Capital Markets LLC,
`Wells Fargo Securities, LLC, Zions
`Direct, Inc., UBS Investment Bank,
`Wachovia Securities. (Attachments:
`# 1 Exhibits 1-19, # 2 Exhibits 20-28,
`# 3 Exhibits 29-34, # 4 Exhibits 35-
`39, # 5 Exhibits 40-41, # 6 Exhibits
`42-44)Filed In Associated Cases: 1:09-
`md-02017-LAK et al.(Cooper, Roger)
`(Entered: 01/06/2012)
`02/13/2012 44 MEMORANDUM OF LAW
`in
`Opposition re: (35 in 1:11-cv-01281-
`LAK, 623
`in 1:09-md-02017-LAK)
`MOTION to Dismiss --Motions
`to
`Dismiss and Joinders in Motions to
`Dismiss Certain Individual Actions.,
`(596
`in
`1:09-md-02017-LAK)
`MOTION to Dismiss / Notice of
`Motion by HVB Capital Markets Inc.
`to Dismiss Certain
`Individual
`Actions., (42 in 1:11-cv-01281-LAK)
`MOTION to Dismiss / Notice of
`Motion by HVB Capital Markets Inc.
`to Dismiss Certain
`Individual
`
`
`
`
`
`16
`document was
`“This
`Actions;
`previously served and filed in 09-MD-
`2017 on 1/6/12 and is now being
`docketed in this action”., (28 in 1:11-
`cv-01281-LAK, 557 in 1:09-md-02017-
`LAK) MOTION to Dismiss / Notice of
`Motion by Bank Defendants
`to
`Dismiss Plaintiff’s Second Amended
`Complaint, dated January 6, 2012.,
`(40 in 1:11-cv-01281-LAK, 659 in
`1:09-md-02017-LAK) MOTION
`to
`Dismiss - Joinder
`to
`the Bank
`Defendants’ Motion
`to Dismiss
`Plaintiffs’
`Second
`Amended
`Complaint. Plaintiff
`CalPERS’s
`Opposition to All Defendants’ Motions
`to Dismiss. Document filed by The
`California
`Public
`Employees’
`Retirement
`System.
`Filed
`In
`Associated Cases: 1:09-md-02017-
`LAK,
`1:11-cv-01281-LAK(Egler,
`Thomas) (Entered: 02/13/2012)
`03/05/2012 49 REPLY MEMORANDUM OF LAW in
`Support / Bank Defendants’ Reply
`Memorandum of Law in Further
`Support of Their Motion to Dismiss
`Plaintiffs’
`Second
`Amended
`Complaint, dated March 5, 2012 re
`557
`, 558 and 705 in case no.
`09MD2017. Document filed by ABN
`AMRO Inc., ANZ Securities, Inc.,
`BBVA Securities Inc., BMO Capital
`Markets Corp., BNP Paribas S.A.,
`BNY Mellon Capital Markets, LLC,
`
`
`
`
`
`17
`CIBC World Markets Corp., Caja de
`Ahorros y Monte de Piedad de
`Madrid, Citigroup Global Markets
`Inc., DZ Financial Markets LLC,
`Daiwa Securities SMBC Europe
`Limited, Fortis Securities, LLC,
`HSBC Securities (USA) Inc., Ing
`Financial Markets LLC, Loop Capital
`Markets, LLC, Mellon Financial
`Markets, LLC, Mizuho Securities
`USA, Inc., Muriel Siebert & Co., Inc.,
`National Australia Capital Markets,
`LLC, Natixis Bleichroeder Inc., RBC
`Capital Markets
`Corp.,
`RBS
`Greenwich Capital, SG Americas
`Securities
`LLC,
`Santander
`Investment Securities Inc., Scotia
`Capital
`(USA)
`Inc.,
`Sovereign
`Securities Corporation LLC, Suntrust
`Capital Markets,
`Inc., Utendahl
`Capital Partners, L.P., Wachovia
`Capital Markets LLC, Wells Fargo
`Securities, LLC. Filed In Associated
`Cases: 1:09-md-02017-LAK, 1:11-cv-
`01281-LAK(Hou, Victor)
`(Entered:
`03/05/2012)
`12/18/2012 79 PRETRIAL ORDER NO. 51 (Calpers
`- Motion to Dismiss): granting (557)
`Motion to Dismiss in case 1:09-md-
`02017-LAK-GWG; granting; Motion
`to Dismiss in case 1:11-cv-01281-
`LAK. As further set forth in this
`Order, the motions of the Bank
`Defendants,
`joined
`in by Beal,
`
`
`
`
`
`18
`Cabrera, and Williams (MDL Dkt.
`557) and E&Y (MDL Dkt. 623) to
`dismiss the complaint are granted to
`the extent that they rest on alleged
`misstatements and omissions as to
`which this Court previously held the
`third amended complaint in the class
`action
`insufficient
`in Lehman
`Equity/Debt, and denied in all other
`respects. The denial
`is without
`prejudice
`to
`renewal after
`the
`disposition of IFM, save that E&Y’s
`motion with respect to the claim
`based on the May 2008 offering is
`rejected with prejudice. This order
`terminates MDL Dkt. 557. It does not
`terminate MDL Dkt. 596 or MDL
`Dkt. 623, as they remain pending in
`certain respects to other cases. The
`parties shall submit, on or before
`January 3, 2013, an agreed form of
`order
`implementing
`the decision.
`(Signed by Judge Lewis A. Kaplan on
`12/18/2012) Filed
`In Associated
`Cases:
`1:09-md-02017-LAK-GWG,
`1:11-cv-01281-LAK(ja)
`(Entered:
`12/18/2012)
`07/09/2013 108 PRETRIAL ORDER NO. 70 (Calpers-
`Renewed Motion to Dismiss): Plaintiff
`California
`Public
`Employees’
`Retirement System (“Calpers”) shall
`file a brief not to exceed 10 pages on
`or before July 19, 2013 showing cause
`why the claims asserted
`in
`its
`
`
`
`
`
`19
`complaint in connection with the May
`2008 offering of Lehman 7.5% notes
`should not be dismissed as time-
`barred following the Second Circuit’s
`decision in In re Indymac Mortgage-
`Backed Sec. Litig., No. 11-2998-cv(L).
`Defendants may
`file
`a
`reply
`memorandum not to exceed 5 pages
`no later than July 26, 2013. (Signed
`by Judge Lewis A. Kaplan on
`7/9/2013) Filed In Associated Cases:
`1:09-md-02017-LAK-GWG,
`1:11-cv-
`01281-LAK(mro)
`(Entered:
`07/11/2013)
`07/19/2013 111 RESPONSE re: (1254 in 1:09-md-
`02017-LAK-GWG)
`Pretrial
`Order,,, Plaintiff’s
`Response
`to
`Pretrial Order No. 70. Document filed
`by The California Public Employees’
`Retirement
`System.
`Filed
`In
`Associated Cases: 1:09-md-02017-
`LAK-GWG, 1:11-cv-01281-LAK(Egler,
`Thomas) (Entered: 07/19/2013)
`07/25/2013 112 REPLY MEMORANDUM OF LAW
`re:
`(1261
`in 1:09-md-02017-LAK-
`GWG) Response, /Defendants’ Reply
`Memorandum of Law in Response to
`Pretrial Order Number 70 and in
`Support of their Renewed Motion to
`Dismiss
`Plaintiff’s
`Time-Barred
`Securities Act Claims, dated July 25,
`2013. Document
`filed by Bank
`Defendants.
`(Attachments:
`
`
`
`
`
`20
`# 1 Exhibit A)Filed In Associated
`Cases:
`1:09-md-02017-LAK-GWG,
`1:11-cv-01281-LAK(Lowenthal,
`Mitchell) (Entered: 07/25/2013)
`08/09/2013 114 PRETRIAL ORDER NO. 73 (Calpers-
`Response to Pretrial Order No. 70):
`The Bank Defendants’ motion to
`dismiss the complaint (MDL Dkt. 557
`and 11 Civ. 1281 Dkt. 28)
`is
`reinstated and granted as to all
`Securities Act claims for all securities
`except those issued in the May 2008
`offering substantially for the reasons
`stated
`in movants’
`response
`to
`Pretrial Order No. 70 (MDL Dkt.
`1265 and 11 Civ. 1281 Dkt 112).
`Motions terminated: (28 in 1:11-cv-
`01281-LAK, 557 in 1:09-md-02017-
`LAK-GWG) MOTION to Dismiss /
`Notice of Motion by Bank Defendants
`to Dismiss
`Plaintiff’s
`Second
`Amended Complaint, dated January
`6, 2012.
`filed by DZ Financial
`Markets LLC, BMO Capital Markets
`Corp., Caja de Ahorros y Monte de
`Piedad de Madrid, RBC Capital
`Markets Corp., RBS Greenwich
`Capital,
`Sovereign
`Securities
`Corporation LLC, BNP Paribas S.A.,
`National Australia Capital Markets,
`LLC, CIBC World Markets Corp.,
`Scotia Capital (USA) Inc., Daiwa
`Securities SMBC Europe Limited, Ing
`Financial Markets LLC, BNY Capital
`
`
`
`
`
`21
`Inc., HSBC Securities
`Markets,
`Inc., Mellon
`Financial
`(USA)
`Markets, LLC, Citigroup Global
`Markets Inc., Wells Fargo Securities,
`LLC, Fortis Securities, LLC, ABN
`AMRO
`Inc.,
`Suntrust Capital
`Markets, Inc., BBVA Securities Inc.,
`Natixis Bleichroeder
`Inc., ANZ
`Securities,
`Inc.,
`Loop Capital
`Markets, LLC, Wachovia Capital
`Markets LLC, Mizuho Securities
`USA, Inc., Santander Investment
`Securities Inc., Muriel Siebert & Co.,
`Inc., SG Americas Securities LLC,
`Utendahl Capital Partners, L.P.
`(Signed by Judge Lewis A. Kaplan on
`8/9/2013) Filed In Associated Cases:
`1:09-md-02017-LAK-GWG,
`1:11-cv-
`01281-LAK(mro)
`(Entered:
`08/12/2013)
`
`
`
`
`
`
`
`
`
`
`
`22
`RELEVANT DOCKET ENTRIES
`(MDL DOCKET)
`
`UNITED STATES DISTRICT COURT
`SOUTHERN DISTRICT OF NEW YORK
`
`CASE #: 1:09-md-02017-LAK-GWG
`
`Docket Text
`#
`Date
`01/09/2009 1 PRETRIAL ORDER NO. 1 (Initial
`Case Management Order)... The
`following actions are consolidated
`for all pretrial purposes with 08
`Civ. 5523 (LAK): 08 Civ. 5523, 08
`Civ. 8225, 08 Civ. 9404, 08 Civ.
`9578, 08 Civ. 9793, 08 Civ. 10008,
`08 Civ. 10058, and 08 Civ. 10206.
`They are referred to collectively as
`In re Lehman Brothers Equity/Debt
`Securities Litigation. The following
`actions are consolidated
`for all
`purposes into 08 Civ. 6762 (LAK),
`and the caption of that action is
`amended to be In re Lehman
`Brothers
`Mortgage-Backed
`Securities Litigation: 08 Civ. 6762
`and 08 Civ. 10686. In re Lehman
`Brothers Equity/Debt Securities
`Litigation (08 Civ. 5523 (LAK)), In
`re Lehman Brothers Mortgage-
`Backed Securities Litigation (08
`Civ. 6762) (LAK) and In re Lehman
`Brothers ERISA Litigation (08 Civ.
`
`
`
`23
`5598 (LAK)) are consolidated for
`discovery purposes. The Clerk will
`maintain a master docket and case
`file under the style In re Lehman
`Brothers Securities and ERISA
`Litigation to which he shall assign
`a file number in the “MD” series...
`There shall be a single consolidated
`amended complaint in each of In re
`Lehman Brothers Equity/Debt
`Securities Litigation and In re
`Lehman Brothers Mortgage-Backed
`Securities Litigation, each of which
`shall be served and filed no later
`than 45 days after the date hereof.
`Defendants thereafter shall answer,
`move or otherwise response thereto
`no later than 45 days later... This
`order resolves, and the clerk shall
`terminate, the following motions:
`(Case No. followed by Document
`Item(s): 08 Civ. 5523 9, 14, 17, 19,
`22, 26; 08 Civ. 6762, 21; 08 Civ.
`8225 40, 44, 47, 50, 60, 71; 08 Civ.
`9404 14, 18, 21, 23, 26, 30; 08 Civ.
`9578 9, 14, 17, 19, 22, 26; 08 Civ.
`9793 16; 08 Civ. 10008 2, 8; 08 Civ.
`10058 4, 8, 11, 13, 16, 20; 08 Civ.
`10206 5, 9, 17... and as further set
`forth in said Pretrial Order No. 1.
`(Signed by Judge Lewis A. Kaplan
`on 1/9/09) Filed In Associated
`Cases:
`1:21-mc-00104-LAK
`et
`al.(rjm) (Entered: 01/12/2009)
`
`
`
`
`
`
`
`24
`02/23/2009 30 SECOND
`AMENDED
`CONSOLIDATED CLASS ACTION
`COMPLAINT FOR VOILATIONS
`OF THE FEDERAL SECURITIES
`LAWS
`(Jury Trial demanded).
`Entered as Doc. No. 89 in Case No.
`08cv5523, amending 52 Amended
`Complaint, against
`Ian Lowitt,
`Michael L. Ainslie, John F. Akers,
`Roger S. Berlind, Thomas H.
`Cruikshank, Marsha
`Johnson
`Evans, Christopher Gent, Roland A.
`Hernandez, Henry Kaufman, John
`d. Macomber, ABN AMRO Holding
`N.V., ANZ Securities, Inc., Banc of
`America Securities LLC, BBVA
`Securities
`Inc., BNY Capital
`Markets,
`Inc., Cabrera Capital
`Markets, LLC, Caja de Ahorros y
`Monte de Piedad de Madrid, CIBC
`World Markets Corp., Citigroup
`Global Markets
`Inc., Daiwa
`Securities SMBC Europe Limited,
`DnB NOR Markets, DZ Financial
`Markets LLC, RBS Greenwich
`Capital, Harris Nesbitt Corp., HVB
`Capital Markets, Inc., Loop Capital
`Markets, LLC, Mellon Financial
`Markets, LLC, Merrill Lynch,
`Pierce, Fenner & Smith
`Inc.,
`Mizuho Securities USA,
`Inc.,
`Morgan Stanley & Co.
`Inc.,
`nabCapital Securities, LLC, RBC
`Dain Rauscher Inc., Santander
`
`
`
`25
`Investment Securities Inc., Siebert
`Capital Markets, SG Corporate &
`Investment Banking, Sovereign
`Securities
`Corporation,
`LLC,
`SunTrust Robinson Humphrey,
`Inc., UBS Securities LLC, Utendahl
`Capital Partners, L.P., Wachovia
`Capital Markets, LLC, Wells Fargo
`Securities, LLC, William Capital
`Group, L.P., Richard S. Fuld, Jr,
`Christopher M. O’Meara, Joseph M.
`Gregory, Erin Callan.Document
`filed by Rick Fleischman, Stephen
`Gott, Island Medical Group, Karim
`Kano, Michael Karfunkel, Marsha
`Kosseff, Ann Lee, Francisco Perez,
`Ronald
`Profili,
`Shea-Edwards
`Limited Partnership, Fred Telling,
`Grace Wang, Zahniser Trust,
`Northern
`Ireland
`Local
`Governmental
`Officers
`Superannuation
`Committee,
`Alameda
`County
`Employees’
`Retirement
`Association,
`Government of Guam Retirement
`Fund, Operating Engineers Local 3
`Trust Fund, Police and Fire
`Retirement System of the City of
`Detroit, Teamsters Allied Benefit
`Funds,
`American
`European
`Insurance Company,
`Inter-Local
`Pension
`Fund
`Graphic
`Communications Conference of the
`International
`Brotherhood
`of
`
`
`
`
`
`26
`Teamsters, Brockton Contributory
`Retirement
`System,
`Belmont
`Holdings Corp., The City
`of
`Edinburgh
`Council
`as
`Administering Authority of
`the
`Lothian Pension Fund. Related
`document:
`52
`Amended
`Complaint,,,,,,,, filed by American
`European
`Insurance Company,
`Government of Guam Retirement
`Fund, Marsha Kosseff, Inter-Local
`Pension
`Fund
`Graphic
`Communications Conference of the
`International
`Brotherhood
`of
`Teamsters, The City of Edinburgh
`Council as Administering Authority
`of
`the Lothian Pension Fund,
`Teamsters Allied Benefit Funds,
`Alameda
`County
`Employees’
`Retirement Association, Police and
`Fire Retirement System of the City
`of Detroit, Operating Engineers
`Local 3 Trust Fund, Northern
`Ireland
`Local
`Governmental
`Officers
`Superannuation
`Committee, Fire & Police Pension
`Association
`of Colorado
`and
`Brockton Contributory Retirement
`System.(rjm) Modified on 3/4/2009
`(rjm).
`(Additional attachment(s)
`added on 3/11/2009: # 1 Appendix
`Appendix A, # 2 Appendix Appendix
`B) (ad). (Entered: 03/04/2009)
`
`
`
`
`
`
`
`27
`04/23/2010 278 THIRD AMENDED COMPLAINT
`amending 89 (in Case No. 08-5523)
`Amended Complaint against Ernst
`& Young LLP, Ian Lowitt, Michael
`L. Ainslie, John F. Akers, Roger S.
`Berlind, Thomas H. Cruikshank,
`Marsha
`Johnson
`Evans,
`Christopher Gent, Roland A.
`Hernandez, Henry Kaufman, John
`d. Macomber, ABN AMRO Holding
`N.V., ANZ Securities, Inc., Banc of
`America Securities LLC, BBVA
`Securities
`Inc., BNY Capital
`Markets,
`Inc., Cabrera Capital
`Markets, LLC, Caja de Ahorros y
`Monte de Piedad de Madrid, CIBC
`World Markets Corp., Citigroup
`Global Markets
`Inc., Daiwa
`Securities SMBC Europe Limited,
`DnB NOR Markets, DZ Financial
`Markets LLC, RBS Greenwich
`Capital, Harris Nesbitt Corp., HVB
`Capital Markets, Inc., Loop Capital
`Markets, LLC, Mellon Financial
`Markets, LLC, Merrill Lynch,
`Pierce, Fenner & Smith
`Inc.,
`Mizuho Securities USA,
`Inc.,
`Morgan Stanley & Co.
`Inc.,
`nabCapital Securities, LLC, RBC
`Dain Rauscher Inc., Santander
`Investment Securities Inc., Siebert
`Capital Markets, SG Corporate &
`Investment Banking, Sovereign
`Securities
`Corporation,
`LLC,
`
`
`
`28
`SunTrust Robinson Humphrey,
`Inc., UBS Securities LLC, Utendahl
`Capital Partners, L.P., Wachovia
`Capital Markets, LLC, Wells Fargo
`Securities, LLC, William Capital
`Group, L.P., M.R. Beal & Company,
`BNP Paribas S.A., Charles Schwab
`& Co., Inc., Commerzbank Capital
`Markets Corp., Edward D. Jones &
`Co., L.P., Fidelity Capital Markets
`Services, HSBC Securities (USA)
`Inc., Incapital LLC, Ing Financial
`Markets LLC, Muriel Siebert & Co.,
`Inc., Natixis Bleichroeder
`Inc.,
`Raymond James & Associates, Inc.,
`Scotia Capital
`(USA) Inc., SG
`Americas Securities LLC, TD
`Securities
`(USA) LLC, UBS
`Financial Services
`Inc., BNY
`Mellon Capital Markets, LLC,
`Calyon Securities USA Inc, DnB
`NOR Markets Inc, BMO Capital
`Markets Corp, National Australia
`Bank Limited, RBC Capital
`Markets Corp., Wachovia Securities
`LLC, The Williams Capital Group
`LP, Lehman Brothers Holdings,
`Inc., Richard
`S.
`Fuld,
`Jr,
`Christopher M. O’Meara, A.G.
`Edwards & Sons, Inc., Cabrera
`Capital Markets LLC, DnB NOR
`Markets Inc., Fortis Securities,
`LLC, BMO Capital Markets Corp.,
`HSBC Securities (USA) Inc., Merrill
`
`
`
`
`
`29
`Lynch, Pierce, Fenner & Smith,
`Inc., Scotia Capital (USA) Inc.,
`Sovereign Securities Corporation
`LLC, Standard Chartered Bank
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