U.S. District Court Southern District of New York (Foley...

Click here to load reader

  • date post

    16-Aug-2020
  • Category

    Documents

  • view

    1
  • download

    0

Embed Size (px)

Transcript of U.S. District Court Southern District of New York (Foley...

  • US District Court Civil Docket as of June 10, 2014 Retrieved from the court on June 11, 2014

    U.S. District Court Southern District of New York (Foley Square)

    CIVIL DOCKET FOR CASE #: 1:14-cv-02811-JMF

    City of Providence, Rhode Island v. Bats Global Markets, Inc. et Date Filed: 04/18/2014 al Jury Demand: None Assigned to: Judge Jesse M. Furman Nature of Suit: 850 Related Cases: 1:14-cv-03133-JMF Securities/Commodities

    1:14-cv-03608-JMF Jurisdiction: Federal Question

    Cause: 15:78m(a) Securities Exchange Act

    Plaintiff

    City of Providence, Rhode Island represented by Andrew J. Brown individually and on behalf of all others Robbins Geller Rudman & Dowd LLP similarly situated (San Diego)

    600 West Broadway San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

    Brian O. O'Mara Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: (619) 231-7423 Email: [email protected] ATTORNEY TO BE NOTICED

    David W. Mitchell Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA 92101 (619)-231-1058 Fax: (619)-231-231-7423 Email: [email protected]

  • PRO HAC VICE ATTORNEY TO BE NOTICED

    Patrick Joseph Coughlin Robbins Geller Rudman & Dowd LLP 655 West Broadway Suite 1900 San Diego, CA 92101 (619)-231-1058 Fax: (619)-685-6920 Email: [email protected] ATTORNEY TO BE NOTICED

    Randi Dawn Bandman Robbins Geller Rudman & Dowd LLP (LA) 9601 Wilshire Boulevard Suite 510 Los Angeles, CA 90210 (310)-859-3100 Fax: (310)-278-2148 Email: [email protected] ATTORNEY TO BE NOTICED

    Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] ATTORNEY TO BE NOTICED

    V.

    Defendant

    Box Options Exchange L.L.C.

    Defendant

    Chicago Board Options Exchange, Inc. represented by Stacie Rachel Hartman Schiff Hardin LLP (Chicago) 6600 Sears Tower Chicago, IL 60606 (312) 258-5607 Fax: (312) 258-5700 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

  • Defendant

    Chicago Stock Exchange, Inc. represented by Seth L. Levine Levine Lee LLP 666 Fifth Avenue New York, NY 10103 (212) 223-4400 Fax: (212) 223-4425 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Christos Papapetrou Levine Lee LLP 666 Fifth Avenue New York, NY 10103 212-257-4400 Fax: 212-223-4425 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    C2 Options Exchange, Inc. represented by Stacie Rachel Hartman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Defendant

    Direct Edge ECN, L.L.C. represented by James Alwin Murphy Murphy & McGonigle, P.C. 4870 Sadler Road, Ste. 301 Glen Allen, VA 23060 (804)-762-5330 Fax: (804)-762-5360 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Joseph C. Lombard Murphy & McGonigle PC 555 13th Street NW, 410W Washington, DC 20004 (202)-661-7028 Email: [email protected] ATTORNEY TO BE NOTICED

    Theodore R. Snyder Murphy & McGonigle, P.C. 1185 Avenue of the Americas, 21st Floor New York, NY 10036 212-880-3976

  • Fax: 212-880-3998 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    International Securities Exchange represented by James Alwin Murphy Holdings, Inc. (See above for address)

    LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Joseph C. Lombard (See above for address) ATTORNEY TO BE NOTICED

    Theodore R. Snyder (See above for address) ATTORNEY TO BE NOTICED

    Defendant

    The Nasdaq Stock Market L.L.C. represented by Douglas Randall Cox Gibson, Dunn & Crutcher, LLP (DC) 1050 Connecticut Avenue, N.W. Washington, DC 20036 (202)-955-8500 Fax: (202)-530-9539 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Defendant

    Nasdaq OMX BX, Inc.

    Defendant

    National Stock Exchange, Inc.

    Defendant

    New York Stock Exchange, L.L.C.

    Defendant

    NYSE Arca, Inc.

    Defendant

    Onechicago, L.L.C.

    Defendant

    Bank of America Corporation

    represented by Douglas Randall Cox (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

    represented by David Sapir Lesser

  • Wilmer Cutler Pickering Hale & Dorr LLP (NYC) 7 World Trade Center New York, NY 10007 212-230-8851 Fax: 212-230-8888 Email: [email protected] ATTORNEY TO BE NOTICED

    Fraser Lee Hunter , Jr Wilmer Cutler Pickering Hale & Dorr LLP (NYC) 7 World Trade Center New York, NY 10007 212-230-8882 Fax: 212-230-8888 Email: [email protected] ATTORNEY TO BE NOTICED

    Jamie Stephen Dycus Wilmer Cutler Pickering Hale and Dorr LLP (NYC) 7 World Trade Center 250 Greenwich St. New York, NY 10007 (212) 230-8800 Fax: (212) 230-8888 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    Barclays Plc

    Defendant

    Citigroup Inc. represented by Adam Selim Hakki Shearman & Sterling LLP (NY) 599 Lexington Avenue New York, NY 10022 (212)-848-4924 Fax: (646)-848-4924 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Agnes Dunogue Simpson Thacher & Bartlett LLP (NY) 425 Lexington Avenue New York, NY 10017 (212) 455-2000 Fax: (212) 455-2502

  • Email: [email protected] ATTORNEY TO BE NOTICED

    Mark D. Lanpher Shearman & Sterling LLP (DC) 801 Pennsylvania Avenue, NW Washington, DC 20004 (202) 508-8120 Fax: (202) 661-7321 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    Credit Suisse Group AG

    Defendant

    Deutsche Bank AG represented by Charles Alan Gilman Cahill Gordon & Reindel LLP 80 Pine Street New York, NY 10005 212-701-3000 Fax: 212-269-5420 Email: [email protected] ATTORNEY TO BE NOTICED

    David George Januszewski Cahill Gordon & Reindel LLP 80 Pine Street New York, NY 10005 212-701-3000 Fax: 212-269-5420 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    The Goldman Sachs Group, Inc. represented by Robert Joseph Giuffra , Jr. Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-3121 Fax: (212)-558-3588 Email: [email protected] ATTORNEY TO BE NOTICED

    Stephen Ehrenberg Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212) 558-3269 Fax: (212) 558-3588

  • Email: [email protected] ATTORNEY TO BE NOTICED

    Thomas Charles White Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-3551 Fax: (212)-558-3588 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    JPMorgan Chase & Co. represented by Boris Zeldin Proskauer Rose LLP (NY) 11 Times Square New York, NY 10036 (212)-969-3000 Fax: (212)-969-2900 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Brian Lawrence Friedman Proskauer Rose LLP (NY) 11 Times Square New York, NY 10036 (212) 969-3000 Fax: (212) 969-2900 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Harry Frischer Proskauer Rose LLP (NY) 11 Times Square New York, NY 10036 212-969-3680 Fax: 212-969-2900 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Stephen Leonard Ratner Proskauer Rose LLP (NY) 11 Times Square New York, NY 10036 212-969-3000 Fax: 212-969-2900 Email: [email protected]

  • LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Defendant

    Morgan Stanley & Co L.L.C. represented by Matthew Joseph Laroche Milbank Tweed Hadley & McCloy LLP One Chase Manhattan Plaza New York, NY 10005 212-530-5684 Fax: 212-822-5684 Email: [email protected] ATTORNEY TO BE NOTICED

    Scott Alexander Edelman Milbank, Tweed, Hadley & McCloy LLP (NYC) 1 Chase Manhattan Plaza New York, NY 10005 (212) 530-5149 Fax: (212) 822-5149 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    UBS AG represented by David Charles Bohan Katten Muchin Rosenman,LLP(NYC) 575 Madison Avenue New York, NY 10022 (312)-902-5200 Fax: (312)-577-4734 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Allison Michele Wuertz Katten Muchin Rosenman 575 Madison Avenue New York, NY 10022 (212)-940-6675 Fax: (212)-940-8776 Email: [email protected] ATTORNEY TO BE NOTICED

    William Michael Regan Katten Muchin Rosenman,LLP(NYC) 575 Madison Avenue New York, NY 10022 (212)-940-8800 Fax: (212)-940-8776 Email: [email protected]

  • ATTORNEY TO BE NOTICED

    Defendant

    The Charles Schwab Corporation represented by Dorothy Jane Spenner Sidley Austin LLP (NY) 787 Seventh Avenue New York, NY 10019 212-839-5300 Fax: 212-839-5407 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Sara B. Brody Sidley Austin LLP (SF) 555 California Street San Francisco, CA 94104 (415) 772-1200 Fax: (415) 772-7400 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Defendant

    E*Trade Financial Corporation represented by Faith E. Gay Quinn Emanuel 51 Madison Avenue, 22nd Floor New York, NY 10010 212-849-7220 Fax: 212-849-7100 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Julia Marie Beskin Quinn Emanuel Urquhart & Sullivan LLP 51 Madison Avenue 22nd Floor New York, NY 10010 212-849-7000 Fax: 212-849-7100 Email: [email protected] ATTORNEY TO BE NOTICED

    Marc Laurence Greenwald Quinn Emanuel Urquhart & Sullivan LLP 51 Madison Avenue 22nd Floor New York, NY 10010 (212)8489-7000 x7140

  • Fax: (212)849-7100 Email: [email protected] ATTORNEY TO BE NOTICED

    Richard Corey Worcester Quinn Emanuel Urquhart & Sullivan LLP 51 Madison Avenue 22nd Floor New York, NY 10010 212-849-7000 Fax: 212-849-7100 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    FMR, L.L.C. represented by Jay B. Kasner Skadden, Arps, Slate, Meagher & Flom LLP (NYC) Four Times Square New York, NY 10036 212 735 3000 Fax: 212 735 2000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Jeremy A. Berman Skadden, Arps, Slate, Meagher & Flom LLP (NYC) Four Times Square New York, NY 10036 212-735-2032 Fax: 917-777-2032 Email: [email protected] ATTORNEY TO BE NOTICED

    Scott D. Musoff Skadden, Arps, Slate, Meagher & Flom LLP (NYC) Four Times Square New York, NY 10036 212-735-3000 Fax: 212-735-2000 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    Fidelity Brokerage Services, L.L.C. represented by Jay B. Kasner

  • (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Jeremy A. Berman (See above for address) ATTORNEY TO BE NOTICED

    Scott D. Musoff (See above for address) ATTORNEY TO BE NOTICED

    Defendant

    Scottrade Financial Services, Inc.

    Defendant

    TD Ameritrade Holding Corporation represented by Alfred Robert Pietrzak Sidley Austin LLP (NY) 787 Seventh Avenue New York, NY 10019 (212)-839-5300 Fax: (212)-839-5599 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Alex Jason Kaplan Sidley Austin LLP (NY) 787 Seventh Avenue New York, NY 10019 (212) 839-5839 Fax: (212) 839-5599 Email: [email protected] ATTORNEY TO BE NOTICED

    Jackie Adeline Lu Sidley Austin LLP(NY) 787 Seventh Avenue New York, NY 10019 (212)-839-5515 Fax: (212)-839-5599 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    DRW Holdings, L.L.C.

    Defendant

    GTS Securities, L.L.C. represented by Mark S. Mandel Foley & Lardner, LLP

  • 90 Park Avenue New York, NY 10016 212-682-7474 Fax: 212-687-2329 Email: [email protected] ATTORNEY TO BE NOTICED

    Stephen P Bedell Foley & Lardner LLP (Chicago) 321 North Clark Street, Suite 2800 Chicago, IL 60654 (312)-832-4374 Email: [email protected] ATTORNEY TO BE NOTICED

    Thomas Paul Krebs Foley & Lardner 321 North Clark Street Suite 2800 Chicago, IL 60610 (312)-832-4547 Fax: 312-832-4700 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    Hudson River Trading L.L.C. represented by Mark S. Mandel (See above for address) ATTORNEY TO BE NOTICED

    Stephen P Bedell (See above for address) ATTORNEY TO BE NOTICED

    Thomas Paul Krebs (See above for address) ATTORNEY TO BE NOTICED

    Defendant

    Jump Trading, L.L.C. represented by Peter Nicholas Flocos K&L Gates LLP (NYC) 599 Lexington Avenue New York, NY 10022-6030 (212)-536-4025 Fax: (212)-536-3901 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Jonathan Neil Eisenberg

  • K&L Gates (DC) 1601 K. Street, N.W. Washington, DC 20006 (202)-778-9348 Fax: (202)-778-9100 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

    Defendant

    KCG Holdings, Inc. represented by Lewis J. Liman Cleary Gottlieb One Liberty Plaza New York, NY 10006 212-225-2000 Fax: 212-225-3499 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Mitchell A. Lowenthal Cleary Gottlieb One Liberty Plaza New York, NY 10006 212-225-2000 Fax: 212-225-3499 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    Quantlab Financial L.L.C. represented by Joe Wesley Earnhardt Cravath, Swaine & Moore LLP 825 8th Avenue New York, NY 10024 212 474 1138 Fax: 212 474 3700 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Richard W Clary Cravath, Swaine & Moore LLP 825 Eighth Avenue New York, NY 10019 (212) 474-1000 Fax: (212) 474-3700 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

  • Alexander Virgil Maugeri Cravath, Swaine & Moore LLP 825 Eighth Avenue New York, NY 10019 (914)-844-2615 Fax: (212)-474-3700 Email: [email protected] ATTORNEY TO BE NOTICED

    Daniel Alexander Richards Cravath, Swaine & Moore LLP 825 Eighth Avenue New York, NY 10019 (212) 474-1634 Fax: (212) 474-3700 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    Tower Research Capital L.L.C. represented by Mark S. Mandel (See above for address) ATTORNEY TO BE NOTICED

    Stephen P Bedell (See above for address) ATTORNEY TO BE NOTICED

    Thomas Paul Krebs (See above for address) ATTORNEY TO BE NOTICED

    Defendant

    Tradebot Systems, Inc. represented by Angus White Dwyer Spencer Fane Britt& Browne LLP 1000 Walnut Street, Suite 1400 Kansas City, MO 64106-2140 816-474-8100 Fax: 816-474-3216 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Arnold Richard Kaplan Spencer Fane Britt & Browne LLP 1700 Lincoln Street, Suite 2000 Denver, CO 80203-4554 (303)-839-3809 Fax: (303)-839-3838 Email: [email protected]

  • ATTORNEY TO BE NOTICED

    James Loyd Gattis Spencer Fane Britt& Browne LLP 1000 Walnut Street, Suite 1400 Kansas City, MO 64106-2140 (816)-474-8100 Fax: (816)-474-3216 Email: [email protected] ATTORNEY TO BE NOTICED

    Stuart Harris Pack Spencer Fane Britt & Browne LLP 1700 Lincoln Street, Suite 2000 Denver, CO 80203-4554 (303)-839-3825 Fax: (303)-839-3838 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

    Defendant

    Tradeworx Inc. represented by Holly H. Smith Sutherland Asbill & Brennan LLP (DC) 700 Sixth St. NW, Suite 700 Washington, DC 20001 (202)-383-0245 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Thomas Bundy Sutherland Asbill & Brennan LLP 700 Sixth Street, Nw, Suite 700 Washington, DC 20001-3980 (202)-383-0716 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Defendant

    Virtu Financial Inc. represented by Andrew Garry Gordon Paul, Weiss, Rifkind, Wharton & Garrison LLP 1285 Avenue of the Americas New York, NY 10019 212-373-3553 Fax: 212-373-2037 Email: [email protected]

  • LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Daniel Jonathan Kramer Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY) 1285 Avenue of the Americas New York, NY 10019 (212)-373-3020 Fax: (212)-492-0020 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Ankush Khardori Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY) 1285 Avenue of the Americas New York, NY 10019 (212)-373-3421 Fax: (212)-492-0421 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    Chopper Trading, L.L.C. represented by Dean N. Panos Jenner & Block 353 North Clark Street Chicago, IL 60654 (312)-923-2765 Fax: (312)-840-7765 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

    Howard Steven Suskin Jenner & Block LLP (Chicago) 353 N. Clark Street Chicago, IL 60654 (312)-923-2604 Fax: (312)-840-7604 Email: [email protected] ATTORNEY TO BE NOTICED

    Defendant

    NASDAQ OMX PHLX LLC

    represented by Douglas Randall Cox (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

  • represented by John Andrew Valentine Wilmer Cutler Pickering Hale & Dorr, L.L.P. (NY) 1875 Pennsylvania Ave Washington, DC, NW 20006 (202)-663-6131 Fax: (202)-663-6363 Email: [email protected] ATTORNEY TO BE NOTICED

    represented by James Alwin Murphy (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

    Defendant

    Citadel LLC

    Defendant

    Bats Global Markets, Inc.

    Joseph C. Lombard (See above for address) ATTORNEY TO BE NOTICED

    Theodore R. Snyder (See above for address) ATTORNEY TO BE NOTICED

    Date Filed

    # Docket Text

    04/18/2014

    1 CIVIL COVER SHEET filed. (laq) (Entered: 04/22/2014)

    04/18/2014 2 COMPLAINT against Bank of America Corporation, Barclays Plc, Bars Global Markets, Inc., Box Options Exchange L.L.C., C2 Options Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Chopper Trading, L.L.C., Citigroup Inc., Credit Suisse Group AG, DRW Holdings, L.L.C., Deutsche Bank AG, Direct Edge ECN, L.L.C., ETrade Financial Corporation, FMR, L.L.C., Fidelity Brokerage Services, L.L.C., GTS Securities, L.L.C., Hudson River Trading L.L.C., International Securities Exchange Holdings, Inc., JPMorgan Chase & Co., Jump Trading, L.L.C., KCG Holdings, Inc., Morgan Stanley & Co L.L.C., NYSE Arca, Inc., Nasdaq OMX BX, Inc., National Stock Exchange, Inc., New York Stock Exchange, L.L.C., Onechicago, L.L.C., Quantlab Financial L.L.C., Scottrade Financial Services, Inc., TD Ameritrade Holding Corporation, The Charles Schwab Corporation, The Goldman Sachs Group, Inc., The Nasdaq Stock Market L.L.C., Tower Research Capital L.L.C., Tradebot Systems, Inc., Tradeworx Inc., UBS AG, Virtu Financial Inc.. (Filing Fee $ 350.00, Receipt Number 1092916)Document filed by City of Providence, Rhode Island.(laq) (laq). (Entered: 04/22/2014)

    04/18/2014 SUMMONS ISSUED as to Bank of America Corporation, Barclays Plc, Bats Global Markets, Inc., Box Options Exchange L.L.C., C2 Options Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Chopper Trading, L.L.C., Citigroup Inc., Credit Suisse Group AG, DRW Holdings, L.L.C., Deutsche Bank AG, Direct Edge ECN, L.L.C., ETrade Financial Corporation, FMR, L.L.C.,

  • 04/18/2014

    04/18/2014

    04/18/2014 3

    Fidelity Brokerage Services, L.L.C., GTS Securities, L.L.C., Hudson River Trading L.L.C., International Securities Exchange Holdings, Inc., JPMorgan Chase & Co., Jump Trading, L.L.C., KCG Holdings, Inc., Morgan Stanley & Co L.L.C., NYSE Arca, Inc., Nasdaq OMX BX, Inc., National Stock Exchange, Inc., New York Stock Exchange, L.L.C., Onechicago, L.L.C., Quantlab Financial L.L.C., Scottrade Financial Services, Inc., TD Ameritrade Holding Corporation, The Charles Schwab Corporation, The Goldman Sachs Group, Inc., The Nasdaq Stock Market L.L.C., Tower Research Capital L.L.C., Tradebot Systems, Inc., Tradeworx Inc., UBS AG, Virtu Financial Inc.. (laq) Modified on 5/5/2014 (mqu). (Entered: 04/22/2014)

    Magistrate Judge Andrew J. Peck is so designated. (laq) (Entered: 04/22/2014)

    Case Designated ECF. (laq) (Entered: 04/22/2014)

    STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (laq) (Entered: 04/22/2014)

    04/23/2014 4 NOTICE of of Dismissal of OneChicago, LLC Without Prejudice. Document filed by I City of Providence, Rhode Island. (Coughlin, Patrick) (Entered: 04/23/2014)

    04/24/2014 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Brian O. O'Mara for noncompliance with Section 14.3 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 2 Complaint,,,, to: [email protected] . (laq) (Entered: 04/24/2014)

    05/13/2014

    05/13/2014

    05/13/2014

    05/13/2014

    5 CONSENT LETTER MOTION for Extension of Time to File Answer addressed to Judge Kimba M. Wood from David S. Lesser dated 05/13/2014. Document filed by Bank of America Corporation.(Lesser, David) (Entered: 05/13/2014)

    6 NOTICE OF APPEARANCE by David Sapir Lesser on behalf of Bank of America Corporation. (Lesser, David) (Entered: 05/13/2014)

    7 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Bank of America Corporation.(Lesser, David) (Entered: 05/13/2014)

    8 NOTICE OF APPEARANCE by Fraser Lee Hunter, Jr on behalf of Bank of America Corporation. (Hunter, Fraser) (Entered: 05/13/2014)

    05/13/2014

    9 NOTICE OF APPEARANCE by Jamie Stephen Dycus on behalf of Bank of America Corporation. (Dycus, Jamie) (Entered: 05/13/2014)

  • 05/13/2014

    05/13/2014

    05/13/2014

    10 NOTICE OF APPEARANCE by Jay B. Kasner on behalf of FMR, L.L.C., Fidelity Brokerage Services, L.L.C.. (Kasner, Jay) (Entered: 05/13/2014)

    11 NOTICE OF APPEARANCE by Scott D. Musoff on behalf of FMR, L.L.C., Fidelity

    i Brokerage Services, L.L.C.. (Musoff, Scott) (Entered: 05/13/2014)

    12 NOTICE OF APPEARANCE by Jeremy A. Berman on behalf of FMR, L.L.C., Fidelity Brokerage Services, L.L.C.. (Berman, Jeremy) (Entered: 05/13/2014)

    05/13/2014 13 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent FMR LLC for Fidelity Brokerage Services, L.L.C.; Corporate Parent None for FMR, L.L.C.. Document filed by FMR, L.L.C., Fidelity Brokerage Services, L.L.C..(Kasner, Jay) (Entered: 05/13/2014)

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    05/14/2014

    NOTICE OF CASE REASSIGNMENT to Judge Richard M. Berman. Judge Kimba M. Wood is no longer assigned to the case. (pgu) (Entered: 05/14/2014)

    14 NOTICE OF APPEARANCE by Charles Alan Gilman on behalf of Deutsche Bank AG. (Gilman, Charles) (Entered: 05/14/2014)

    15 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Deutsche Bank AG.(Gilman, Charles) (Entered: 05/14/2014)

    16 NOTICE OF APPEARANCE by David George Januszewski on behalf of Deutsche Bank AG. (Januszewski, David) (Entered: 05/14/2014)

    NOTICE OF CASE REASSIGNMENT to Judge Jesse M. Furman. Judge Richard M. Berman is no longer assigned to the case. (pgu) (Entered: 05/14/2014)

    17 NOTICE OF APPEARANCE by David Charles Bohan on behalf of UBS AG. (Bohan, David) (Entered: 05/14/2014)

    18 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by UBS AG.(Bohan, David) (Entered: 05/14/2014)

    19 NOTICE OF APPEARANCE by Daniel Jonathan Kramer on behalf of Virtu Financial Inc.. (Kramer, Daniel) (Entered: 05/14/2014)

    20 NOTICE OF APPEARANCE by Andrew Garry Gordon on behalf of Virtu Financial Inc.. (Gordon, Andrew) (Entered: 05/14/2014)

    21 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by JPMorgan Chase & Co..(Ratner, Stephen) (Entered: 05/14/2014)

    22 NOTICE OF APPEARANCE by Ankush Khardori on behalf of Virtu Financial Inc.. (Khardori, Ankush) (Entered: 05/14/2014)

    23 NOTICE OF APPEARANCE by Stephen Leonard Ratner on behalf of JPMorgan Chase & Co.. (Ratner, Stephen) (Entered: 05/14/2014)

    24 NOTICE OF APPEARANCE by Brian Lawrence Friedman on behalf of JPMorgan Chase & Co.. (Friedman, Brian) (Entered: 05/14/2014)

    25 NOTICE OF APPEARANCE by Harry Frischer on behalf of JPMorgan Chase & Co.. (Frischer, Harry) (Entered: 05/14/2014)

  • 05/14/2014 26 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent VFH Parent, LLC, Corporate Parent Virtu Financial, LLC for Virtu Financial Inc.. Document filed by Virtu Financial Inc..(Kramer, Daniel) (Entered: 05/14/2014)

    05/14/2014 27 NOTICE OF APPEARANCE by Boris Zeldin on behalf of JPMorgan Chase & Co.. (Zeldin, Boris) (Entered: 05/14/2014)

    05/14/2014 28 NOTICE OF APPEARANCE by Scott Alexander Edelman on behalf of Morgan Stanley & Co L.L.C.. (Edelman, Scott) (Entered: 05/14/2014)

    05/14/2014 29 NOTICE OF APPEARANCE by Matthew Joseph Laroche on behalf of Morgan Stanley & Co L.L.C.. (Laroche, Matthew) (Entered: 05/14/2014)

    05/14/2014 30 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Morgan Stanley, Other Affiliate Morgan Stanley Capital Management, LLC, Other Affiliate Morgan Stanley Domestic Holdings Inc for Morgan Stanley & Co L.L.C.. Document filed by Morgan Stanley & Co L.L.C..(Edelman, Scott) (Entered: 05/14/2014)

    05/14/2014 31 NOTICE OF APPEARANCE by James Alwin Murphy on behalf of Bats Global Markets, Inc.. (Murphy, James) (Entered: 05/14/2014)

    05/14/2014 32 NOTICE OF APPEARANCE by Theodore R. Snyder on behalf of Bats Global Markets, Inc.. (Snyder, Theodore) (Entered: 05/14/2014)

    05/14/2014 33 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Bats Global Markets, Inc..(Murphy, James) (Entered: 05/14/2014)

    05/14/2014 34 NOTICE OF APPEARANCE by James Alwin Murphy on behalf of Direct Edge ECN, L.L.C.. (Murphy, James) (Entered: 05/14/2014)

    05/14/2014 35 NOTICE OF APPEARANCE by Theodore R. Snyder on behalf of Direct Edge ECN, L.L.C.. (Snyder, Theodore) (Entered: 05/14/2014)

    05/14/2014 36 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Direct Edge Holdings, LLC for Direct Edge ECN, L.L.C.. Document filed by Direct Edge ECN, L.L.C..(Murphy, James) (Entered: 05/14/2014)

    05/14/2014 37 NOTICE OF APPEARANCE by James Alwin Murphy on behalf of International Securities Exchange Holdings, Inc.. (Murphy, James) (Entered: 05/14/2014)

    05/14/2014 38 NOTICE OF APPEARANCE by Theodore R. Snyder on behalf of International Securities Exchange Holdings, Inc.. (Snyder, Theodore) (Entered: 05/14/2014)

    05/14/2014 39 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Deutsche Borse AG, Corporate Parent Eurex Frankfurt AG, Corporate Parent U.S. Exchange Holdings Inc., Corporate Parent Eurex Zurich AG, Corporate Parent Eurex Global Derivatives AG for International Securities Exchange Holdings, Inc.. Document filed by International Securities Exchange Holdings, Inc..(Murphy, James) (Entered: 05/14/2014)

    05/15/2014 40 ORDER granting 5 Letter Motion for Extension of Time to Answer. The proposed schedule is hereby adopted as an order of the Court. In addition, no later than May 30, 2014, Plaintiff shall advise the Court in writing of the date and manner in which it published the notice required by 15 U.S.C. § 78u-4(a)(3)(A)(i). The Clerk of Court is

  • directed to terminate Docket No. 5. (Signed by Judge Jesse M. Furman on 5/15/2014) (lmb) (Entered: 05/15/2014)

    05/15/2014

    05/15/2014

    05/15/2014

    41 NOTICE OF APPEARANCE by Angus White Dwyer on behalf of Tradebot Systems, Inc.. (Dwyer, Angus) (Entered: 05/15/2014)

    42 NOTICE OF APPEARANCE by Dorothy Jane Spenner on behalf of The Charles Schwab Corporation. (Spenner, Dorothy) (Entered: 05/15/2014)

    43 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by The Charles Schwab Corporation.(Spenner, Dorothy) (Entered: 05/15/2014)

    05/15/2014 44 MOTION for Stuart H. Pack to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9678557. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Tradebot Systems, Inc.. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order Proposed Order for Admission Pro Hac Vice)(Pack, Stuart) (Entered: 05/15/2014)

    05/15/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 44 MOTION for Stuart H. Pack to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9678557. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 05/15/2014)

    05/15/2014 45 MOTION for Arnold R. Kaplan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9679168. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Tradebot Systems, Inc.. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order Proposed Order Motion for Admission Pro Hac Vice)(Kaplan, Arnold) (Entered: 05/15/2014)

    05/15/2014

    46 NOTICE OF APPEARANCE by Lewis J. Liman on behalf of KCG Holdings, Inc.. (Liman, Lewis) (Entered: 05/15/2014)

    05/15/2014

    47 NOTICE OF APPEARANCE by Mitchell A. Lowenthal on behalf of KCG Holdings, Inc.. (Lowenthal, Mitchell) (Entered: 05/15/2014)

    05/15/2014 48 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Jefferies LLC for KCG Holdings, Inc.. Document filed by KCG Holdings, Inc..(Lowenthal, Mitchell) (Entered: 05/15/2014)

    05/16/2014 49 ORDER granting 44 Motion for Stuart H. Pack to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/16/2014)

    05/16/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 45 MOTION for Arnold R. Kaplan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9679168. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 05/16/2014)

    05/16/2014 50 NOTICE OF APPEARANCE by Alfred Robert Pietrzak on behalf of TD Ameritrade Holding Corporation. (Pietrzak, Alfred) (Entered: 05/16/2014)

  • 05/16/2014 51 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Toronto-Dominion Bank for TD Ameritrade Holding Corporation. Document filed by TD Ameritrade Holding Corporation.(Pietrzak, Alfred) (Entered: 05/16/2014)

    05/16/2014 52 NOTICE OF APPEARANCE by Alex Jason Kaplan on behalf of TD Ameritrade Holding Corporation. (Kaplan, Alex) (Entered: 05/16/2014)

    05/16/2014 53 NOTICE OF APPEARANCE by Jackie Adeline Lu on behalf of TD Ameritrade Holding Corporation. (Lu, Jackie) (Entered: 05/16/2014)

    05/16/2014 54 MOTION for James Loyd Gattis III to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Tradebot Systems, Inc.. (Attachments: # 1 Certificate of Good Standing-MO, # 2 Certificate of Good Standing-KS, # 3 Text of Proposed Order Order for Admission Pro Hac Vice)(Gattis, James) (Entered: 05/16/2014)

    05/16/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 54 MOTION for James Loyd Gattis III to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 05/16/2014)

    05/16/2014 55 ORDER granting 54 Motion for James Loyd Gattis III to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/16/2014)

    05/16/2014 56 NOTICE OF APPEARANCE by James Loyd Gattis on behalf of Tradebot Systems, Inc.. (Gattis, James) (Entered: 05/16/2014)

    05/16/2014 57 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Tradebot Systems, Inc..(Dwyer, Angus) (Entered: 05/16/2014)

    05/16/2014 58 NOTICE OF APPEARANCE by Stuart Harris Pack on behalf of Tradebot Systems, Inc.. (Pack, Stuart) (Entered: 05/16/2014)

    05/16/2014 59 NOTICE OF APPEARANCE by Peter Nicholas Flocos on behalf of Jump Trading, L.L.C.. (Flocos, Peter) (Entered: 05/16/2014)

    05/16/2014 60 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Jump Trading Holdings, LLC, Corporate Parent Jump Financial, LLC for Jump Trading, L.L.C.. Document filed by Jump Trading, L.L.C..(Flocos, Peter) (Entered: 05/16/2014)

    05/16/2014 61 NOTICE OF APPEARANCE by Stacie Rachel Hartman on behalf of C2 Options Exchange, Inc., Chicago Board Options Exchange, Inc.. (Hartman, Stacie) (Entered: 05/16/2014)

    05/16/2014 62 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - RULE 7.1 CORPORATE DISCLOSURE STATEMENT.. Document filed by C2 Options Exchange, Inc., Chicago Board Options Exchange, Inc..(Hartman, Stacie) Modified on 5/19/2014 (lb). (Entered: 05/16/2014)

    05/19/2014 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Stacie Rachel Hartman to RE-FILE Document 62 Rule 7.1 Corporate Disclosure Statement,. ERROR(S):

  • Corporate Parents were not added. Please re-file these documents and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). YOU MUST SELECT THE SEARCH BUTTON. Select the correct name or create a new corporate parent. Add the corporate parent. (lb) (Entered: 05/19/2014)

    05/19/2014

    63 NOTICE OF APPEARANCE by Seth L. Levine on behalf of Chicago Stock Exchange, Inc.. (Levine, Seth) (Entered: 05/19/2014)

    05/19/2014 64 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent CHX Holdings, Inc. for Chicago Stock Exchange, Inc.. Document filed by Chicago Stock Exchange, Inc..(Levine, Seth) (Entered: 05/19/2014)

    05/19/2014 65 NOTICE OF APPEARANCE by Christos Papapetrou on behalf of Chicago Stock I Exchange, Inc.. (Papapetrou, Christos) (Entered: 05/19/2014)

    05/19/2014 66 ORDER granting 45 Motion for Arnold R. Kaplan to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/19/2014)

    05/19/2014 67 NOTICE OF APPEARANCE by Arnold Richard Kaplan on behalf of Tradebot Systems, Inc.. (Kaplan, Arnold) (Entered: 05/19/2014)

    05/19/2014 68 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent CBOE Holdings, Inc. for C2 Options Exchange, Inc., Chicago Board Options Exchange, Inc.. Document filed by C2 Options Exchange, Inc., Chicago Board Options Exchange, Inc..(Hartman, Stacie) (Entered: 05/19/2014)

    05/19/2014

    05/19/2014

    05/19/2014

    69 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Sara Beth Brody to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9688849. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by The Charles Schwab Corporation. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order Proposed Order)(Brody, Sara) Modified on 5/19/2014 (sdi). (Entered: 05/19/2014)

    >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. 69 MOTION for Sara Beth Brody to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9688849. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): Missing Certificate of Good Standing. Missing Certificate of Good Standing from the Supreme Court of California with Clerk of Court's Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (sdi) (Entered: 05/19/2014)

    70 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for SARA BETH BRODY to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by The Charles Schwab Corporation. (Attachments: # 1 CERTIFICATE OF GOOD STANDING, # 2 Text of Proposed Order PROPOSED ORDER)(Brody, Sara) Modified on 5/20/2014 (sdi). (Entered: 05/19/2014)

    05/19/2014 71 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Thomas R.

  • Bundy, III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208- 9689711. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Tradeworx Inc.. (Attachments: # 1 Exhibit Good Standing Certificate)(Bundy, Thomas) Modified on 5/20/2014 (sdi). (Entered: 05/19/2014)

    05/19/2014 72 MOTION for Holly H. Smith to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9689757. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Tradeworx Inc.. (Attachments: # 1 Exhibit Good Standing Certificate)(Smith, Holly) (Entered: 05/19/2014)

    05/19/2014 73 MOTION for Andrew J. Brown to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9690096. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by City of Providence, Rhode Island.(Brown, Andrew) (Entered: 05/19/2014)

    05/20/2014 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. 70 MOTION for SARA BETH BRODY to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): Missing Certificate of Good Standing. Missing Certificate of Good Standing from the Supreme Court of California with Clerk of Court's Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (sdi) (Entered: 05/20/2014)

    05/20/2014 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. 71 MOTION for Thomas R. Bundy, III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9689711. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): Missing Certificate of Good Standing. Missing Certificate of Good Standing from the Supreme Court of New Jersey with Clerk of Court's Signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (sdi) (Entered: 05/20/2014)

    05/20/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 72 MOTION for Holly H. Smith to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9689757. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 05/20/2014)

    05/20/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 73 MOTION for Andrew J. Brown to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9690096. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 05/20/2014)

    05/20/2014 74 ORDER granting 72 Motion for Holly H. Smith to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/20/2014)

    05/20/2014 75 ORDER granting 73 Motion for Andrew J. Brown to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse)

  • (Entered: 05/20/2014)

    05/20/2014 76 MOTION for Joseph C. Lombard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9692542. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Bats Global Markets, Inc., Direct Edge ECN, L.L.C., International Securities Exchange Holdings, Inc.. (Attachments: # 1 Certificate of Good Standing - MD, # 2 Certificate of Good Standing - D.C., # 3 Text of Proposed Order, Proposed Order for Admission Pro Hac Vice)(Lombard, Joseph) (Entered: 05/20/2014)

    05/20/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 76 MOTION for Joseph C. Lombard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9692542. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 05/20/2014)

    05/20/2014 77 NOTICE OF APPEARANCE by Richard W Clary on behalf of Quantlab Financial L.L.C.. (Clary, Richard) (Entered: 05/20/2014)

    05/20/2014 78 NOTICE OF APPEARANCE by Joe Wesley Earnhardt on behalf of Quantlab Financial L.L.C.. (Earnhardt, Joe) (Entered: 05/20/2014)

    05/20/2014 79 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Quantlab Holdings, LLC for Quantlab Financial L.L.C.. Document filed by Quantlab Financial L.L.C..(Clary, Richard) (Entered: 05/20/2014)

    05/20/2014 80 NOTICE OF APPEARANCE by Daniel Alexander Richards on behalf of Quantlab Financial L.L.C.. (Richards, Daniel) (Entered: 05/20/2014)

    05/21/2014 81 ORDER granting 76 Motion for Joseph C. Lombard to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/21/2014)

    05/21/2014 82 NOTICE OF CHANGE OF ADDRESS by Angus White Dwyer on behalf of Tradebot Systems, Inc.. New Address: Spencer Fane Britt & Browne LLP, 1000 Walnut St., Suite 1400, Kansas City, MO, USA 64106, 816-474-8100. (Dwyer, Angus) (Entered: 05/21/2014)

    05/21/2014 83 MOTION for Thomas R. Bundy, III to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Tradeworx Inc.. (Attachments: # 1 Exhibit Good Standing Certificates)(Bundy, Thomas) (Entered: 05/21/2014)

    05/21/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 83 MOTION for Thomas R. Bundy, III to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 05/21/2014)

    05/21/2014 84 NOTICE OF APPEARANCE by Mark S. Mandel on behalf of GTS Securities, L.L.C., Hudson River Trading L.L.C., Tower Research Capital L.L.C.. (Mandel, Mark) (Entered: 05/21/2014)

    05/21/2014 85 NOTICE OF CHANGE OF ADDRESS by Seth L. Levine on behalf of Chicago Stock Exchange, Inc.. New Address: Levine Lee LLP, 666 Fifth Avenue, 35th Floor, New

  • York, New York, USA 10103, 212-223-4400. (Levine, Seth) (Entered: 05/21/2014)

    05/22/2014

    86 NOTICE OF APPEARANCE by Allison Michele Wuertz on behalf of UBS AG. (Wuertz, Allison) (Entered: 05/22/2014)

    05/22/2014 87 ORDER granting 83 Motion for Thomas R. Bundy, III to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/22/2014)

    05/22/2014

    05/22/2014

    05/22/2014

    05/22/2014

    05/22/2014

    88 NOTICE OF APPEARANCE by Adam Selim Hakki on behalf of Citigroup Inc.. (Hakki, Adam) (Entered: 05/22/2014)

    89 NOTICE OF APPEARANCE by Mark D. Lanpher on behalf of Citigroup Inc.. (Lanpher, Mark) (Entered: 05/22/2014)

    90 NOTICE OF APPEARANCE by Agnes Dunogue on behalf of Citigroup Inc.. (Dunogue, Agnes) (Entered: 05/22/2014)

    91 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Citigroup Inc..(Hakki, Adam) (Entered: 05/22/2014)

    92 ORDER VACATING DESIGNATION OF CASE FOR INCLUSION IN PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES: This case was previously designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the "Pilot Project"). IT IS HEREBY ORDERED that such designation is vacated. SO ORDERED. (Signed by Judge Jesse M. Furman on 5/22/2014) (kgo) (Entered: 05/22/2014)

    05/22/2014 93 NOTICE OF CHANGE OF ADDRESS by Jackie Adeline Lu on behalf of TD Ameritrade Holding Corporation. New Address: Sidley Austin LLP, 787 7th Avenue, New York, New York, USA 10019, 212 839 5300. (Lu, Jackie) (Entered: 05/22/2014)

    05/22/2014

    05/27/2014

    94 NOTICE OF APPEARANCE by Alexander Virgil Maugeri on behalf of Quantlab Financial L.L.C.. (Maugeri, Alexander) (Entered: 05/22/2014)

    95 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Amend/Correct Notice Regarding Deficient Motion to Appear Pro Hac vice,, Notice Regarding Deficient Motion to Appear Pro Hac vice,, . Document filed by The Charles Schwab Corporation. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order for Pro Hac Vice Admission)(Brody, Sara) Modified on 5/29/2014 (sdi). (Entered: 05/27/2014)

    05/27/2014 96 MOTION for Dean N. Panos to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9713648. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Chopper Trading, L.L.C.. (Attachments: # 1 Exhibit A - Certificate of Good Standing, # 2 Text of Proposed Order, # 3 Certificate of Service)(Panos, Dean) (Entered: 05/27/2014)

    05/27/2014 97 MOTION for Howard S. Suskin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9713712. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Chopper Trading, L.L.C.. (Attachments: # 1 Exhibit A - Certificate of Good Standing, # 2 Text of Proposed Order, # 3 Certificate of Service)(Suskin, Howard) (Entered: 05/27/2014)

  • 05/27/2014

    05/27/2014

    05/27/2014

    05/27/2014

    05/27/2014

    98 NOTICE OF APPEARANCE by Faith E. Gay on behalf of ETrade Financial Corporation. (Gay, Faith) (Entered: 05/27/2014)

    99 NOTICE OF APPEARANCE by Marc Laurence Greenwald on behalf of ETrade Financial Corporation. (Greenwald, Marc) (Entered: 05/27/2014)

    100 NOTICE OF APPEARANCE by Richard Corey Worcester on behalf of ETrade Financial Corporation. (Worcester, Richard) (Entered: 05/27/2014)

    101 NOTICE OF APPEARANCE by Julia Marie Beskin on behalf of ETrade Financial Corporation. (Beskin, Julia) (Entered: 05/27/2014)

    102 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by ETrade Financial Corporation.(Gay, Faith) (Entered: 05/27/2014)

    05/27/2014 103 NOTICE OF CHANGE OF ADDRESS by Julia Marie Beskin on behalf of ETrade Financial Corporation. New Address: Quinn Emanuel Urquhart & Sullivan LLP, 51 Madison Avenue, 22nd Floor, New York, NY, USA 10010, 212-849-7000. (Beskin, Julia) (Entered: 05/27/2014)

    05/28/2014 104 NOTICE OF CHANGE OF ADDRESS by Mark S. Mandel on behalf of GTS Securities, L.L.C., Hudson River Trading L.L.C., Tower Research Capital L.L.C.. New Address: Foley & Lardner LLP, 90 Park Avenue, New York, New York, USA 10016, 2126827474. (Mandel, Mark) (Entered: 05/28/2014)

    05/28/2014 105 MOTION for Stephen Patrick Bedell to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9717469. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by GTS Securities, L.L.C., Hudson River Trading L.L.C., Tower Research Capital L.L.C..(Bedell, Stephen) (Entered: 05/28/2014)

    05/28/2014 106 MOTION for Thomas Paul Krebs to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9717511. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by GTS Securities, L.L.C., Hudson River Trading L.L.C., Tower Research Capital L.L.C..(Krebs, Thomas) (Entered: 05/28/2014)

    05/28/2014 107 NOTICE OF APPEARANCE by Douglas Randall Cox on behalf of Nasdaq OMX BX, Inc., The Nasdaq Stock Market L.L.C., NASDAQ OMX PHLX LLC. (Cox, Douglas) (Entered: 05/28/2014)

    05/28/2014 108 AFFIDAVIT OF SERVICE. Bats Global Markets, Inc. served on 4/28/2014, answer due 5/19/2014. Service was accepted by Buffee Boggs-Gillihan. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 109 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent NASDAQ OMX Group, Inc. for NASDAQ OMX PHLX LLC, Nasdaq OMX BX, Inc., The Nasdaq Stock Market L.L.C.. Document filed by NASDAQ OMX PHLX LLC, Nasdaq OMX BX, Inc., The Nasdaq Stock Market L.L.C..(Cox, Douglas) (Entered: 05/28/2014)

    05/28/2014 110 AFFIDAVIT OF SERVICE. Box Options Exchange L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Beth Mahon. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

  • 05/28/2014 111 AFFIDAVIT OF SERVICE. Chicago Board Options Exchange, Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Joseph Green, IP Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 112 AFFIDAVIT OF SERVICE. Chicago Stock Exchange, Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by James Ongena, General Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 113 AFFIDAVIT OF SERVICE. C2 Options Exchange, Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Joseph Green, IP Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 114 AFFIDAVIT OF SERVICE. Direct Edge ECN, L.L.C. served on 4/25/2014, answer due 5/16/2014. Service was accepted by Chris Solgan, Corporate Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 115 AFFIDAVIT OF SERVICE. International Securities Exchange Holdings, Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Samir Patel, Assistant General Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 116 AFFIDAVIT OF SERVICE. The Nasdaq Stock Market L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Venu Palaparthi, Vice President. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 117 AFFIDAVIT OF SERVICE. Nasdaq OMX BX, Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Venu Palaparthi, Vice President. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 118 AFFIDAVIT OF SERVICE. NASDAQ OMX PHLX LLC served on 4/30/2014, answer due 5/21/2014. Service was accepted by Amy McLaren. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 119 AFFIDAVIT OF SERVICE. National Stock Exchange, Inc. served on 4/25/2014, answer due 5/16/2014. Service was accepted by Mary Paterson. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 120 AFFIDAVIT OF SERVICE. New York Stock Exchange, L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Matthew R. Rivera, Paralegal. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 121 AFFIDAVIT OF SERVICE. NYSE Arca, Inc. served on 4/30/2014, answer due 5/21/2014. Service was accepted by Elena Boutokova. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 122 AFFIDAVIT OF SERVICE. Bank of America Corporation served on 4/24/2014, answer due 5/15/2014. Service was accepted by Paula Schmitt. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 123 AFFIDAVIT OF SERVICE. Citigroup Inc. served on 4/24/2014, answer due

  • 5/15/2014. Service was accepted by Fern Strauss, Vice President. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 124 AFFIDAVIT OF SERVICE. Deutsche Bank AG served on 4/24/2014, answer due 5/15/2014. Service was accepted by Diana Hui, Paralegal. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 125 AFFIDAVIT OF SERVICE. The Goldman Sachs Group, Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Joanne Cook, Vice President. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 126 AFFIDAVIT OF SERVICE. JPMorgan Chase & Co. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Siobhan Florvil, Legal Specialist II. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 127 AFFIDAVIT OF SERVICE. Morgan Stanley & Co L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Lawrence Barbot, Director. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014

    05/28/2014

    05/28/2014

    128 AFFIDAVIT OF SERVICE. UBS AG served on 4/24/2014, answer due 5/15/2014. Service was accepted by Michele Taylor. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    129 NOTICE OF APPEARANCE by John Andrew Valentine on behalf of Citadel LLC. (Valentine, John) (Entered: 05/28/2014)

    130 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Citadel LLC.(Valentine, John) (Entered: 05/28/2014)

    05/28/2014 131 AFFIDAVIT OF SERVICE. The Charles Schwab Corporation served on 4/24/2014, answer due 5/15/2014. Service was accepted by Charles Gomez, Legal Specialist. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 132 AFFIDAVIT OF SERVICE. ETrade Financial Corporation served on 4/24/2014, answer due 5/15/2014. Service was accepted by Melodie Strawn, Senior Executive Assistant to the President. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 133 AFFIDAVIT OF SERVICE. FMR, L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Monica Barbosa, Legal Analyst. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 134 AFFIDAVIT OF SERVICE. Fidelity Brokerage Services, L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Wayne Shepard. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 135 AFFIDAVIT OF SERVICE. Scottrade Financial Services, Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Mack McCain, Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 136 AFFIDAVIT OF SERVICE. TD Ameritrade Holding Corporation served on

  • 4/24/2014, answer due 5/15/2014. Service was accepted by Nicole Neumann, Senior Analyst of Regulatory Compliance. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 137 AFFIDAVIT OF SERVICE. Citadel LLC served on 4/24/2014, answer due 5/15/2014. Service was accepted by Shawn Faga, General Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 138 AFFIDAVIT OF SERVICE. DRW Holdings, L.L.C. served on 4/25/2014, answer due 5/16/2014. Service was accepted by Kevin O'Brien, Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 139 AFFIDAVIT OF SERVICE. GTS Securities, L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Patrick Romanello, Chief Compliance Officer. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 140 AFFIDAVIT OF SERVICE. Hudson River Trading L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Sylvia Mrozweski. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 141 AFFIDAVIT OF SERVICE. Jump Trading, L.L.C. served on 4/25/2014, answer due 5/16/2014. Service was accepted by Desiree Desalle, Attorney. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 142 AFFIDAVIT OF SERVICE. KCG Holdings, Inc. served on 4/25/2014, answer due 5/16/2014. Service was accepted by Thomas Merritt, Senior Managing Director. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 143 AFFIDAVIT OF SERVICE. Quantlab Financial L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Tim McInturf, Executive Vice President & General Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 144 AFFIDAVIT OF SERVICE. Tower Research Capital L.L.C. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Alex O'Conner. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 145 AFFIDAVIT OF SERVICE. Tradebot Systems, Inc. served on 4/28/2014, answer due 5/19/2014. Service was accepted by Benton Chan, Compliance Officer. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 146 AFFIDAVIT OF SERVICE. Tradeworx Inc. served on 4/28/2014, answer due 5/19/2014. Service was accepted by Sattie Jairam. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 147 AFFIDAVIT OF SERVICE. Virtu Financial Inc. served on 4/24/2014, answer due 5/15/2014. Service was accepted by Justin Waldie, General Counsel. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

    05/28/2014 148 AFFIDAVIT OF SERVICE. Chopper Trading, L.L.C. served on 4/30/2014, answer due 5/21/2014. Service was accepted by Elena Boutokova. Document filed by City of Providence, Rhode Island. (Blasy, Mary) (Entered: 05/28/2014)

  • 05/29/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 106 MOTION for Thomas Paul Krebs to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9717511. Motion and supporting papers to be reviewed by Clerk's Office staff., 97 MOTION for Howard S. Suskin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9713712. Motion and supporting papers to be reviewed by Clerk's Office staff., 96 MOTION for Dean N. Panos to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208- 9713648. Motion and supporting papers to be reviewed by Clerk's Office staff., 105 MOTION for Stephen Patrick Bedell to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9717469. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 05/29/2014)

    05/29/2014 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. 95 MOTION to Amend/Correct Notice Regarding Deficient Motion to Appear Pro Hac vice,, Notice Regarding Deficient Motion to Appear Pro Hac vice,, .. The filing is deficient for the following reason(s): the Wrong Event Type was selected. Use the event type Appear Pro Hac Vice. Re-file the document and select the appropriate Motion event. (sdi) (Entered: 05/29/2014)

    05/29/2014 149 ORDER granting 96 , 97 , 105 , and 106 Motions to Appear Pro Hac Vice as to Thomas Paul Krebs, Stephen Patrick Bedell, Howard S. Suskin, and Dean N. Panos. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/29/2014)

    05/29/2014 150 MOTION for Sara B. Brody to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by The Charles Schwab Corporation. (Attachments: # 1 Exhibit Good Standing Certificate, # 2 Text of Proposed Order for pro hac vice admission)(Brody, Sara) (Entered: 05/29/2014)

    05/29/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 150 MOTION for Sara B. Brody to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 05/29/2014)

    05/30/2014 151 ORDER granting 150 Motion for Sara B. Brody to Appear Pro Hac Vice (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 05/30/2014)

    05/30/2014 152 NOTICE OF APPEARANCE by Sara B. Brody on behalf of The Charles Schwab Corporation. (Brody, Sara) (Entered: 05/30/2014)

    05/30/2014 153 MOTION for Jonathan N. Eisenberg to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9728641. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jump Trading, L.L.C.. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Eisenberg, Jonathan) (Entered: 05/30/2014)

    05/30/2014 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 153 MOTION for Jonathan N. Eisenberg to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-9728641. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are

  • no deficiencies. (sdi) (Entered: 05/30/2014)

    05/30/2014 154 NOTICE of Response to May 15, 2014 Court Order re: 40 Order on Motion for Extension of Time to Answer,. Document filed by City of Providence, Rhode Island. (Attachments: # 1 Exhibit A)(Brown, Andrew) (Entered: 05/30/2014)

    06/02/2014 155 ORDER granting 153 Motion for Jonathan N. Eisenberg to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse) (Entered: 06/02/2014)

    06/03/2014

    156 NOTICE OF APPEARANCE by Jonathan Neil Eisenberg on behalf of Jump Trading, L.L.C.. (Eisenberg, Jonathan) (Entered: 06/03/2014)

    06/03/2014

    157 NOTICE of Dismissal of BOX Options Exchange LLC Without Prejudice. Document filed by City of Providence, Rhode Island. (Coughlin, Patrick) (Entered: 06/03/2014)

    06/05/2014 158 NOTICE OF APPEARANCE by Robert Joseph Giuffra, Jr on behalf of The Goldman Sachs Group, Inc.. (Giuffra, Robert) (Entered: 06/05/2014)

    06/05/2014

    06/05/2014

    06/05/2014

    06/10/2014

    159 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by The Goldman Sachs Group, Inc..(Giuffra, Robert) (Entered: 06/05/2014)

    160 NOTICE OF APPEARANCE by Stephen Ehrenberg on behalf of The Goldman Sachs Group, Inc.. (Ehrenberg, Stephen) (Entered: 06/05/2014)

    161 NOTICE OF APPEARANCE by Thomas Charles White on behalf of The Goldman Sachs Group, Inc.. (White, Thomas) (Entered: 06/05/2014)

    162 NOTICE OF APPEARANCE by William Michael Regan on behalf of UBS AG. (Regan, William) (Entered: 06/10/2014)

    06/10/2014 163 ORDER: Plaintiff's counsel has notified the Court that the required notice was published on April 18, 2014. (Docket No. 154). Members of the purported class therefore have until June 17, 2014, to move the Court to serve as lead plaintiffs. Accordingly, it is hereby ORDERED that a conference shall be held on July 9, 2014, at 3:30 p.m. in Courtroom 1105 of the Thurgood Marshall Courthouse, 40 Centre Street, New York, New York to consider any motions for appointment of lead plaintiff and lead counsel and for consolidation. It is further ORDERED that opposition to any motion for appointment of lead plaintiff shall be served and filed by July 1, 2014. It is further ORDERED that the named plaintiffs shall promptly serve a copy of this Order on any and all defendants who have not yet entered a notice of appearance in these actions. ( Motions due by 6/17/2014., Responses due by 7/1/2014) (Signed by Judge Jesse M. Furman on 6/10/2014) (mro) (Entered: 06/10/2014)

    06/10/2014 Set/Reset Deadlines Motion Hearing set for 7/9/2014 at 03:30 PM in Courtroom 1105, 40 Centre Street, New York, NY 10007 before Judge Jesse M. Furman. (mro) (Entered: 06/10/2014)

    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