United States District Court Eastern District of Pennsylvania (Philadelphia) CIVIL DOCKET FOR CASE #: 2:99-cv RBS

Transcription

1 US District Court Civil Docket as of 04/04/2003 United States District Court Eastern District of Pennsylvania (Philadelphia) CIVIL DOCKET FOR CASE #: 2:99-cv RBS RAVENS, et al v. REPUBLIC NEW YORK, et al Assigned to: JUDGE R. BARCLAY SURRICK Demand: $0 Cause: 15:78m(a) Securities Exchange Act Plaintiff GEETA RAVENS individually and on behalf of all others similarly situated Date Filed: 10/07/1999 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by MARC TOPAZ SCHIFFRIN AND CRAIG THREE BALA PLAZA EAST SUITE 400 BALA CYNWYD, PA TEL Fax: FAX MARC WILLNER SCHIFFRIN & BARROWAY, LLP THREE BALA PLAZA EAST SUITE 400 BALA CYNWYD, PA STUART L. BERMAN THREE BALA PLAZA EAST SUITE 400 BALA CYNWYD, PA V. Defendant REPUBLIC NEW YORK CORPORATION represented by ABBE F. FLETMAN WOLF BLOCK SCHORR & SOLIS - COHEN LLP

2 1650 ARCH STREET PHILADELPHIA, PA Fax: CHRISTOPHER H. LUNDING CLEARY GOTTLIEB STEEN & HAMILTON ONE LIBERTY PLAZA NEW YORK, NY DAVID E. BRODSKY CLEARY GOTTLIEB STEEN & HAMILTON ONE LIBERTY PLAZA NEW YORK, NY JENNIFER L. KROMAN CLEARY GOTTLIEB STEEN & HAMILTON ONE LIBERTY PLAZA NEW YORK, NY JOEL M. SWEET U.S. ATTORNEY'S OFFICE 615 CHESTNUT STREET SUITE 1250 PHILADELPHIA, PA Fax: MAITE AQUINO SULLIVAN & CROMWELL 125 BROAD STREET NEW YORK, NY TEL

3 RICHARD F. ZIEGLER CLEARY, GOTTLIEB, STEEN & HAMILTON 153 EAST 53rd STREET CITIGROUP CENTER, 38th FL. NEW YORK, NY TEL Defendant REPUBLIC NEW YORK SECURITIES CORPORATION represented by ABBE F. FLETMAN CHRISTOPHER H. LUNDING DAVID E. BRODSKY JENNIFER L. KROMAN MAITE AQUINO RICHARD F. ZIEGLER Defendant WILLIAM H. ROGERS represented by JAMES G. WILES LAW OFFICES OF JAMES G. WILES 795 RIVER ROAD YARDLEY, PA 19067

4 LOUIS CHARLES SHAPIRO SHAPIRO & SHAPIRO 1063 E. LANDIS AVE. P.O. BOX 787 VINELAND, NJ Defendant HSBC USA, INC. represented by ABBE F. FLETMAN CHRISTOPHER H. LUNDING DAVID E. BRODSKY JENNIFER L. KROMAN JOEL M. SWEET RICHARD F. ZIEGLER

5 Date Filed # Docket Text 10/07/ Complaint. filing fee $ 150 receipt # (mrs) (Entered: 10/08/1999) 10/07/1999 Summons(es) issued Forwarded to: 3 originals mailed to counsel 10/08/99 (mrs) (Entered: 10/08/1999) 10/07/1999 Demand for jury trial by PLAINTIFF GEETA RAVENS. (mrs) (Entered: 10/08/1999) 10/07/1999 Special Case Management Track. (mrs) (Entered: 10/08/1999) 10/21/ Praecipe by PLAINTIFF GEETA RAVENS to issue alias summons. (adr) (Entered: 10/21/1999) 10/21/1999 One original Alias Summons(es) issued as to deft Republic New York Corporation. Forwarded to: counsel 10/21/99 (adr) (Entered: 10/21/1999) 10/22/ Affidavit of: Curtis Lizenbaum re: served summons and complaint upon DEFENDANT WILLIAM H. ROGERS. Served by: personal service on 10/18/99. (adr) (Entered: 10/22/1999) 10/28/ Affidavit of: Carlo Jean-Francois re: served summons and complaint upon Mr. Yoba on behalf of DEFENDANT REPUBLIC NEW YORK. Served by: personal service on 10/19/99. (adr) (Entered: 10/28/1999) 11/08/ Appearance of JAMES G. WILES for DEFENDANT WILLIAM H. ROGERS, Certificate of Service. (af) (Entered: 11/09/1999) 11/10/ STIPULATION AND ORDER THAT THE TIME FOR DEFTS, REPUBLIC NEW YORK CORPORATION AND NEW YORK SECURITIES CORPORATION TO ANSWER, MOVE AGAINST OR OTHERWISE RESPOND TO THE COMPLAINT IS EXTENDED UNTIL 30 DAYS AFTER THE LATER OF (a) THE APPOINTMENT OF LEAD PLFF OR (b) THE FILING OF AN AMENDED COMPLAINT. (SIGNED BY JUDGE JAY C. WALDMAN) 11/10/99 ENTERED AND COPIES MAILED AND FAXED. (adr) (Entered: 11/10/1999) 11/12/ STIPULATION AND ORDER THAT THE TIME FOR WILLIAM H. ROGERS TO ANSWER, THE COMPLAINT IS EXTENDED UNTIL 30 DAYS AFTER THE LATER OF (a) THE APPOINTMENT OF LEAD PLAINTIFF OR (b) THE FILING OF AN AMENDED COMPLAINT IN THIS ACTION ETC ( SIGNED BY JUDGE JAY C. WALDMAN ) 11/12/99 ENTERED AND COPIES MAILED (ph) (Entered: 11/12/1999) 12/06/ MOTION by PLAINTIFF GEETA RAVENS FOR APPOINTMENT OF LEAD COUNSEL, MEMORANDUM, CERTIFICATE OF SERVICE. (adr) (Entered: 12/07/1999) 07/11/ Letter dated 12/21/99 from Louis Charles Shapiro to Mr. Topaz re: Plaintiff's Motion for Appointment of Lead Plaintiff and Lead Counsel is unopposed. (td) (Entered: 07/11/2000)

6 07/28/ ORDER, REASSIGNING FROM THE CALENDAR OF JUDGE JAY C. WALDMAN TO THE CALENDAR OF JUDGE RICHARD B. SURRICK. ( SIGNED BY CLERK OF COURT MICHAEL E. KUNZ ) 7/28/00 ENTERED AND COPIES MAILED AND FAXED. (ph) (Entered: 07/28/2000) 08/03/ ORDER THAT COUNSEL SHALL SUBMIT A JOINT STATUS REPORT SETTING FORTH THE FOLLOWING: A BRIEF NARRATIVE OF THE CASE; A LIST OF OUTSTANDING DISPOSITIVE MOTIONS CURRENTLY PENDING; A STATEMENT REGARDING THE POSSIBILITY OF SETTLEMENT. (SIGNED BY JUDGE R. B. SURRICK) 8/4/00 ENTERED AND COPIES MAILED AND FAXED. (dt) (Entered: 08/04/2000) 09/01/ ORDER GRANTING PLAINTIFF'S MOTION FOR APPOINTMENT OF LEAD COUNSEL; PLAINTIFF GEETA RAVENS IS APPOINTED TO SERVE AS LEAD PLAINTIFF IN THIS ACTION, THE LAW FIRMS SCHIFFRIN & BARROWAY, LLP AND SHALOV STONE & BONNER ARE HEREBY APPOINTED AS CO LEAD COUNSEL FOR THE CLASS; PLAINTIFF SHALL CAUSE AN AMENDED COMPLAINT TO BE FILED WITHIN 45 DAYS OF THE DATE OF ENTRY OF THE ORDER; DEFENDANTS SHALL ANSWER OR OTHERWISE MOVE WITH RESPECT TO THE AMENDED COMPLAINT WITHIN 45 DAYS OF RECEIPT OF THE AMENDED COMPLAINT ( SIGNED BY JUDGE R. B. SURRICK ) 9/5/00 ENTERED AND COPIES MAILED AND FAXED 9/1/00. (ph) (Entered: 09/05/2000) 10/19/ Amended complaint by PLAINTIFF GEETA RAVENS, amending complaint against HSBC USA, INC., Certificate of Service. (ph) (Entered: 10/20/2000) 10/19/2000 Summons(es) issued on amended complaint Forwarded to: S. Berman, Esq. 10/20/00 (ph) (Entered: 10/20/2000) 11/03/ Waiver of Service Returned Executed as to DEFENDANT HSBC USA, INC. 10/25/00 Answer due on 12/24/00 for HSBC USA, INC.. (ph) (Entered: 11/03/2000) 11/13/ STIPULATION AND ORDER THAT DEFENDANTS SHALL MOVE TO DISMISS THE AMENDED COMPLAINT ON OR BEFORE 1/16/01; PLAINTIFF SHALL SERVE PAPERS IN OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS ON OR BEFORE 2/20/01; DEFENDANTS SHALL SERVE REPLY PAPERS IN SUPPORT OF THEIR MOTIONS TO DISMISS ON OR BEFORE 3/6/01 ETC ( SIGNED BY JUDGE R. B. SURRICK ) 11/14/00 ENTERED AND COPIES MAILED AND FAXED 11/13/00. (ph) (Entered: 11/14/2000) 11/13/2000 Letter to atty. RICHARD F. ZIEGLER re: L.R and (ph) (Entered: 11/14/2000) 01/16/ MOTION BY DEFENDANT REPUBLIC SECURITIES, DEFENDANT REPUBLIC NEW YORK, DEFENDANT HSBC USA, INC. TO DISMISS THE AMENDED COMPLAINT, MEMORANDUM, DECLARATION OF JENNIFER L. KROMAN, CERTIFICATE OF SERVICE. (rp) Modified on 01/17/2001 (Entered: 01/17/2001) 01/16/ MOTION by DEFENDANT WILLIAM H. ROGERS TO DISMISS,

7 MEMORANDUM, CERTIFICATE OF SERVICE. (np) (Entered: 01/17/2001) 01/22/ UNOPPOSED MOTION BY DEFENDANT REPUBLIC SECURITIES, DEFENDANT REPUBLIC NEW YORK, DEFENDANT HSBC INC., FOR CHRISTOPHER H. LUNDING, RICHARD F. ZIEGLER, DAVID E. BRODSKY AND JENNIFER L. KROMAN TO APPEAR PRO HAC VICE, AFFIDAVIT IN SUPPORT, DECLARATIONS OF CHRISTOPHER H. LUNDING, RICHARD F. ZIEGLER, DAVID E. BRODSKY AND JENNIFER L. KROMAN, CERTIFICATE OF SERVICE. (dt) Modified on 03/23/2001 (Entered: 01/23/2001) 01/24/ ORDER GRANTING REPUBLIC NEW YORK CORPORATION, REPUBLIC NEW YORK SECURITIES CORPORATION AND HSBC USA, INC'S MOTION FOR CHRISTOPHER H. LUNDING, RICHARD F. ZIEGLER, DAVID E. BRODSKY AND JENNIFER L. KROMAN TO APPEAR PRO HAC VICE ( SIGNED BY JUDGE R. B. SURRICK ) 1/25/01 ENTERED AND COPIES MAILED AND FAXED 1/24/01. (ph) (Entered: 01/25/2001) 02/21/ STIPULATION AND ORDER THAT THE DUE DATE FOR PLFFS' PAPERS IN OPPOSITION TO THE DEFTS' MOTIONS TO DISMISS SHALL BE 3/6/01 AND THE DUE DATE FOR DEFTS' REPLY PAPERS IN SUPPORT OF THEIR MOTIONS TO DISMISS SHALL BE 3/27/01. ( SIGNED BY JUDGE R. B. SURRICK ) 2/21/01 ENTERED AND COPIES MAILED AND FAXED. (gn) (Entered: 02/21/2001) 03/08/ Memorandum by PLAINTIFF GEETA RAVENS in opposition to defendants REPUBLIC NEW YORK CORP., REPUBLIC NEW YORK SECURITIES CORP. and HSBC USA, INC.'S MOTION TO DISMISS THE AMENDED COMPLAINT, Certificate of Service. (ph) (Entered: 03/08/2001) 03/08/ Memorandum by PLAINTIFF GEETA RAVENS in opposition to WILLIAM H. ROGERS' MOTION TO DISMISS, Certificate of Service. (ph) (Entered: 03/08/2001) 03/22/ ORDER THAT THE DOCKET ENTRY FOR 1/22/01, BE AMENDED TO REFLECT THAT THE PRO HAC VICE MOTION FILED ON THAT DATE ON BEHALF OF DEFENDANTS REPUBLIC NEW YORK CORP; REPUBLIC NEW YORK SECURITIES CORP AND HSBC USA, INC., NEITHER CHRISTOPHER H. LUNDING, RICHARD F. ZIEGLER, DAVID E BORDSKY NOR JENNIFER L. KROMAN REPRESENTS DEFENDANT WILLIAM H. ROGERS ( SIGNED BY JUDGE R. B. SURRICK ) 3/23/01 ENTERED AND COPIES MAILED AND FAXED 3/22/01. (ph) (Entered: 03/23/2001) 03/27/ Reply Memorandum by DEFENDANT REPUBLIC SECURITIES, DEFENDANT REPUBLIC NEW YORK, DEFENDANT HSBC USA, INC. in support of MOTION TO DISMISS THE AMENDED COMPLAINT, Certificate of Service. (ph) (Entered: 03/28/2001) 10/17/ Notice of temporary change of address by CHRISTOPHER H. LUNDING, RICHARD F. ZIEGLER, JENNIFER L. KROMAN, DAVID E. BRODSKY, Certificate of service (ph) Modified on 10/18/2001 (Entered: 10/18/2001) 11/05/ Notice of change of address of Shalov Stone & Bonner LLP, Certificate of service (ph) (Entered: 11/08/2001)

8 12/21/ Notice by RICHARD V. CONZA, ESQ. of return of CLEARY, GOTTLIEB, STEEN & HAMILTON to One Liberty Plaza address, Certificate of Service. (md) (Entered: 12/24/2001) 04/24/ MEMORANDUM AND ORDER THAT THE ROGERS MOTION TO DISMISS IS GRANTED, AND ALL CLAIMS AGAINST ROGERS IN AMENDED COMPLAINT ARE DISMISSED; THE REPUBLIC MOTION TO DISMISS THE AMENDED COMPLAINT IS GRANTED IN PART AND DENIED IN PART, ALL CLAIMS IN THE AMENDED COMPLAINT AGAINST DEFENDANT REPUBLIC NEW YORK SECURITIES CORP. ARE DISMISSED. WITH RESPECT TO DEFENDANTS' REPUBLIC NEW YORK CORP. AND HSBC USA, INC. COUNT II OF THE AMENDED COMPLAINT IS DISMISSED, IN ALL OTHER RESPECTS THE MOTION IS DENIED. ( SIGNED BY JUDGE R. B. SURRICK ) 4/25/02 ENTERED AND COPIES MAILED. FAXED BY CHAMBERS 4/24/02. (afm) (Entered: 04/25/2002) 05/10/ STIPULATION AND ORDER, RESET ANSWER DUE FOR 6/7/02 FOR HSBC USA, INC., REPUBLIC NEW YORK FOR THE AMENDED COMPLAINT ( SIGNED BY JUDGE R. B. SURRICK ) 5/13/02 ENTERED AND COPIES FAXED 5/10/02. (ph) (Entered: 05/13/2002) 05/24/ MOTION by PLAINTIFF GEETA RAVENS TO CERTIFY CLASS ACTION, MEMORANDUM, CERTIFICATE OF SERVICE. (ph) (Entered: 05/24/2002) 06/07/ Answer by REPUBLIC NEW YORK, HSBC USA, INC. to amended complaint, Certificate of Service. (ph) (Entered: 06/10/2002) 06/14/ STIPULATION AND ORDER, SET SCHEDULING ORDER DEADLINES: DISCOVERY RELATED TO CLASS CERTIFICATION BY 7/30/02 ;, RESPONSE TO MOTION SET TO 8/29/02 FOR MOTION TO CERTIFY CLASS ACTION ETC ( SIGNED BY JUDGE R. B. SURRICK ) 6/17/02 ENTERED AND COPIES FAXED. (ph) (Entered: 06/17/2002) 08/01/ STIPULATION AND ORDER, RESPONSE TO MOTION RESET TO 10/4/02 FOR MOTION TO CERTIFY CLASS ACTION ; PLAINTIFFS MAY FILE A REPLY BRIEF IN SUPPORT OF MOTION ON OR BEFORE 10/25/02; PLAINTIFF SHALL PROVIDE THE DOCUMENTS REQUESTED IN DEFENDANT'S FIRST REQUEST TO PRODUCE DOCUMENTS BY 8/9/02 ETC ( SIGNED BY JUDGE R. B. SURRICK ) 8/2/02 ENTERED AND COPIES MAILED (ph) (Entered: 08/02/2002) 08/30/ MOTION by DEFENDANT REPUBLIC NEW YORK CORPORATION, DEFENDANT HSBC USA, INC. TO COMPEL THE PRODUCTION OF DOCUMENTS ; TO COMPEL PLAINTIFF TO APPEAR AT DEPOSITION and FOR ENTRY OF AN AMENDED SCHEDULING ORDER, MEMORANDUM, CERTIFICATE OF COUNSEL, CERTIFICATE OF SERVICE. (mbh) (Entered: 09/03/2002) 09/17/ Plaintiff's Memorandum of Law in Opposition to Defendants' Motion to Compel, Certificate of Service, Affidavit, Certificate of Service. (dt) (Entered: 09/17/2002) 09/20/ ORDER GRANTING DEFENDANTS' MOTION TO COMPEL THE PRODUCTION OF DOCUMENTS; GRANTING MOTION TO COMPEL

9 PLAINTIFF TO APPEAR AT DEPOSITION WITHIN 30 DAYS OF THE DATE OF THIS ORDER; GRANTING MOTION FOR ENTRY OF AN AMENDED SCHEDULING ORDER; DEFENDANTS SHALL SERVE THEIR RESPONSE TO PLAINTIFF'S MOTION FOR CLASS CERTIFICATION WITHIN 45 DAYS FROM THE ENTRY OF THIS ORDER ( SIGNED BY JUDGE R. B. SURRICK ) 9/23/02 ENTERED AND COPIES MAILED AND FAXED 9/20/02. (ph) (Entered: 09/23/2002) 10/21/ MOTION by DEFENDANT REPUBLIC NEW YORK CORPORATION, DEFENDANT HSBC USA, INC. TO DISMISS PURSUANT TO F.R.C.P. 41(b), MEMORANDUM, CERTIFICATE OF SERVICE. (mbh) (Entered: 10/22/2002) 11/04/ Memorandum by DEFENDANT REPUBLIC SECURITIES, DEFENDANT REPUBLIC NEW YORK in opposition to MOTION TO CERTIFY CLASS ACTION, Certificate of Service. (ph) (Entered: 11/05/2002) 11/04/ MOTION by PLAINTIFF GEETA RAVENS FOR LEAVE TO PROVIDE NOTICE TO THE CLASS, MEMORANDUM, CERTIFICATE OF SERVICE. (ph) (Entered: 11/05/2002) 11/18/ Memorandum by DEFENDANT REPUBLIC NEW YORK, DEFENDANT HSBC USA, INC. in opposition to MOTION FOR LEAVE TO PROVIDE NOTICE TO THE CLASS, Certificate of Service. (ph) (Entered: 11/19/2002) 01/17/ MEMORANDUM AND ORDER DENYING PLAINTIFF'S MOTION FOR LEAVE TO PROVIDE NOTICE TO THE CLASS; DENYING DEFENDANTS' MOTION TO DISMISS PURSUANT TO F.R.C.P. 41(b); DENYING PLAINTIFF'S MOTION TO CERTIFY CLASS ACTION ( SIGNED BY JUDGE R. B. SURRICK ) 1/21/03 ENTERED AND COPIES MAILED (ph) (Entered: 01/21/2003) 03/07/ MOTION by DEFENDANT REPUBLIC NEW YORK, DEFENDANT HSBC USA, INC. TO DISMISS, MEMORANDUM, CERTIFICATE OF SERVICE. (ph) (Entered: 03/10/2003) 03/25/ ORDER DISMISSING ACTION WITH PREJUDICE PURSUANT TO LOCAL RULE 41.1(b). SIGNED BY JUDGE R. B. SURRICK 3/25/03 ENTERED AND COPIES MAILED (ph) (Entered: 03/25/2003) 03/25/2003 Case closed (kv) (Entered: 03/26/2003) 04/04/ ORDER THAT THE COURT'S ORDER OF 3/25/03 IS VACATED AND THIS CASE IS DISMISSED WITH PREJUDICE, PURSUANT TO AGREEMENT OF COUNSEL WITHOUT COSTS ( SIGNED BY JUDGE R. B. SURRICK ) 4/7/03 ENTERED AND COPIES MAILED (ph) (Entered: 04/07/2003) 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