Read Brigham, et al. v. Royal Bank of Canada, et al. 08-CV-4431-U.S. District Court Civil Docket text version

US District Court Civil Docket as of 06/02/2009 Retrieved from the court on Monday, June 08, 2009

U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:08-cv-04431-WHP

Brigham v. Royal Bank of Canada et al Assigned to: Judge William H. Pauley, III Cause: 15:78m(a) Securities Exchange Act

Date Filed: 05/12/2008 Date Terminated: 06/02/2009 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Plaintiff Eugene F. Brigham Individually and as Trustee of the Eugene F. Brigham Trust, the Katherine L. Brigham Special Trust and the Laura H. Brigham Special Trust, and on behalf of all others similarly situated represented by A.J. De Bartolomeo Girard Gibbs, L.L.P. 601 California Street Suite 1400 San Francisco , CA 94108 (415) 981-4800 Fax: (415) 981-4846 LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Aaron Michael Sheanin Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco , CA 94108 (415)-981-4800 Fax: (415)-981-4846 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Christina H. C. Sharp Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco , CA 94108 (415)-981-4800 Fax: (415)-981-4846 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Christopher Adam Seeger

Seeger Weiss LLP One William Street, 10th Floor New York , NY 10004 212-584-0700 Fax: 212-584-0799 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel Charles Girard Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco , CA 94108 (415)-981-4800 Fax: (415)-981-4846 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED David R. Buchanan Seeger Weiss LLP One William Street, 10th Floor New York , NY 10004 (212)-584-0700 Fax: (212)-584-0799 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Jonathan K. Levine Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco , CA 94108 415-981-4800 Fax: 415-981-4846 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Norman E. Siegel Stueve Siegel Hanson LLP 460 Nichols Road Suite 200 Kansas , MO 64112 (816) 714-7112 Fax: (816) 714-7101 Email: [email protected] LEAD ATTORNEY PRO HAC VICE

ATTORNEY TO BE NOTICED Stephen A. Weiss Seeger Weiss LLP One William Street, 10th Floor New York , NY 10004 (212) 584-0700 Fax: (212) 584-0799 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

V. Defendant Royal Bank of Canada represented by George S. Canellos Milbank, Tweed, Hadley & McCloy LLP(NYC) 1 Chase Manhattan Plaza New York , NY 10005 (212)-530-5174 Fax: (212)-822-5174 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Sean Miles Murphy Milbank, Tweed, Hadley & McCloy LLP(NYC) 1 Chase Manhattan Plaza New York , NY 10005 (212)-530-5688 Fax: (212)-822-5688 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Defendant RBC Dain Rauscher Inc. represented by George S. Canellos (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Sean Miles Murphy (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant RBC Capital Markets Corporation represented by George S. Canellos (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Sean Miles Murphy (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed 05/12/2008

# 1

Docket Text COMPLAINT against RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada. (Filing Fee $ 350.00, Receipt Number 650398)Document filed by Eugene F. Brigham.(rdz) (Entered: 05/13/2008) SUMMONS ISSUED as to RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada. (rdz) (Entered: 05/13/2008) Magistrate Judge Theodore H. Katz is so designated. (rdz) (Entered: 05/13/2008) Case Designated ECF. (rdz) (Entered: 05/13/2008)

05/12/2008 05/12/2008 05/12/2008 06/02/2008 06/02/2008 06/02/2008 06/02/2008 06/06/2008

2 MOTION for Christine H.C.Sharp to Appear Pro Hac Vice. Document filed by Eugene F. Brigham.(dle) (Entered: 06/03/2008) 3 MOTION for A. J. De Bartolomeo to Appear Pro Hac Vice. Document filed by Eugene F. Brigham.(dle) (Entered: 06/03/2008)

4 MOTION for Aaron M. Sheanin to Appear Pro Hac Vice. Document filed by Eugene F. Brigham.(dle) (Entered: 06/03/2008) 5 MOTION for Daniel C. Girard to Appear Pro Hac Vice. Document filed by Eugene F. Brigham.(dle) (Entered: 06/03/2008) CASHIERS OFFICE REMARK on 4 Motion to Appear Pro Hac Vice, 2 Motion to Appear Pro Hac Vice, 3 Motion to Appear Pro Hac Vice, 5 Motion to Appear Pro Hac Vice in the amount of $100.00, paid on 06/02/2008, Receipt Number 652831. (jd) (Entered: 06/06/2008) 6 NOTICE OF APPEARANCE by Sean Miles Murphy on behalf of RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada (Murphy, Sean) (Entered: 06/17/2008) NOTICE OF APPEARANCE by George S. Canellos on behalf of RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada (Canellos, George) (Entered: 06/17/2008) RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Royal Bank of

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Canada as Corporate Parent. Document filed by RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada.(Murphy, Sean) (Entered: 06/17/2008) 06/17/2008 9 AFFIDAVIT OF SERVICE on 6/17/08. Service was made by Mail. Document filed by RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada. (Pater, Joshua) (Entered: 06/17/2008) STIPULATION AND PROPOSED ORDER It is hereby stipulated and agreed by and between the undersigned counsel for the parties herein that defendants time to answer, move or otherwise respond to the complaint is adjourned without date, pending appointment of lead plaintiff and filing an amended complaint. (Signed by Judge William H. Pauley, III on 6/27/08) (mme) (Entered: 06/30/2008) ORDER GRANTING ADMISSION PRO HAC VICE granting 3 Motion for A.J. De Bartolomeo to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 7/8/08) (mme) (Entered: 07/10/2008) Transmission to Attorney Admissions Clerk. Transmitted re: 11 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 07/10/2008) 12 ORDER GRANTING ADMISSION PRO HAC VICE granting 2 Motion for Christina H. C. Sharp to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 7/8/08) (mme) (Entered: 07/10/2008) Transmission to Attorney Admissions Clerk. Transmitted re: 12 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 07/10/2008) 13 ORDER GRANTING ADMISSION PRO HAC VICE 4 Motion for Aaron M. Sheanin to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 7/8/08) (mme) (Entered: 07/10/2008) Transmission to Attorney Admissions Clerk. Transmitted re: 13 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 07/10/2008) 14 ORDER GRANTING ADMISSION PRO HAC VICE 5 Motion for Daniel C. Girard to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 7/8/08) (mme) (Entered: 07/10/2008) Transmission to Attorney Admissions Clerk. Transmitted re: 14 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 07/10/2008) 15 MOTION to Appoint Eugene F. Brigham to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Eugene F. Brigham. (Attachments: # 1 Text of Proposed Order)(Levine, Jonathan) (Entered: 07/11/2008) MEMORANDUM OF LAW in Support re: 15 MOTION to Appoint Eugene F. Brigham to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Eugene F. Brigham. (Levine, Jonathan) (Entered: 07/11/2008) DECLARATION of Jonathan K. Levine in Support re: 15 MOTION to Appoint Eugene

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F. Brigham to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Eugene F. Brigham. (Levine, Jonathan) (Entered: 07/11/2008) 07/15/2008 18 ENDORSED LETTER addressed to William H. Pauley from Jonathan K. Levine dated 7/11/2008 re: Requesting leave to from complying with the Court's Individual Practices that require the parties to have a pre-motion conference. ENDORSEMENT: Application Granted. (Signed by Judge William H. Pauley, III on 7/14/2008) (jpo) (Entered: 07/15/2008) RESPONSE in Support re: 15 MOTION to Appoint Eugene F. Brigham to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Eugene F. Brigham. (Levine, Jonathan) (Entered: 07/28/2008) CERTIFIED TRUE COPY OF MDL ORDER FROM THE MDL PANEL DENYING TRANSFER....that the motion, pursuant to 28 U.S.C. 1407(c), for transfer of the action to the United States District Court - Southern District of New York, be, and the same hereby is denied. (Signed by MDL Panel on 10/9/08) (laq) (Entered: 10/20/2008) ORDER: Because no other member of the proposed class has moved to appointed as lead plaintiff, Brigham has the largest financial interest in the relief sought. In addition, this Court has no reason to doubt that Brigham satisfies the typicality and adequacy requirements under Fed. R. Civ. P. 23. Accordingly, the Court appoints Brigham as lead plaintiff. (Signed by Judge William H. Pauley, III on 10/16/2008) (jfe) (Entered: 10/16/2008) RESPONSE in Support re: 15 MOTION to Appoint Eugene F. Brigham to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Eugene F. Brigham. (Attachments: # 1 Text of Proposed Order)(Sheanin, Aaron) (Entered: 10/31/2008) ORDER APPOINTING EUGENE F. BRIGHAM AS LEAD PLAINTIFF AND APPROVING LEAD PLAINTIFF'S SELECTION OF COUNSEL granting 15 Motion to Appoint Counsel. The law firm of Girard Gibbs LLP is APPOINTED to serve as Lead Counsel for the Class, pursuant to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. 78u-4(a)(3)(B), as amended by the Private Securities Litigation Reform Act of 1995, in this action. Lead Counsel is responsible for all aspects of pretrial preparation and trial. Lead Counsel is authorized to delegate specific tasks to other counsel in a manner to ensure that pretrial preparation for the plaintiffs is conducted efficiently and effectively. (Signed by Judge William H. Pauley, III on 11/10/08) (tro) (Entered: 11/12/2008)

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10/31/2008

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01/27/2009

24 ORDER that the Court will hold a conference in this action on 1/30/09 at 2:00 pm. ( Status Conference set for 1/30/2009 at 02:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 1/23/09) Copies sent by Chambers.(cd) (Entered: 01/27/2009) 25 MOTION for Discovery Notice of Lead Plaintiff's Motion to Partially Lift the PSLRA Discovery Stay. Document filed by Eugene F. Brigham. (Attachments: # 1 Text of Proposed Order)(Sheanin, Aaron) (Entered: 02/13/2009) MEMORANDUM OF LAW in Support re: 25 MOTION for Discovery Notice of Lead Plaintiff's Motion to Partially Lift the PSLRA Discovery Stay.. Document filed by Eugene F. Brigham. (Sheanin, Aaron) (Entered: 02/13/2009)

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DECLARATION of Aaron M. Sheanin in Support re: 25 MOTION for Discovery Notice of Lead Plaintiff's Motion to Partially Lift the PSLRA Discovery Stay.. Document filed by Eugene F. Brigham. (Sheanin, Aaron) (Entered: 02/13/2009) SCHEDULING ORDER NO. 1: Lead Plaintiff shall file and serve his motion to partially lift the PSLRA discovery stay by 2/13/09. Defendants shall file and serve their opposition to the motion by 3/13/09. Lead Plaintiff shall file and serve his reply on the motion by 3/27/09. The Court will hold oral argument on 4/3/09 at 11:15 a.m. (Signed by Judge William H. Pauley, III on 2/13/09) (dle) (Entered: 02/17/2009)

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02/19/2009 03/13/2009

29 TRANSCRIPT of proceedings held on 1/30/09 before Judge William H. Pauley, III. (ama) (Entered: 02/27/2009) 30 RESPONSE in Opposition re: 25 MOTION for Discovery Notice of Lead Plaintiff's Motion to Partially Lift the PSLRA Discovery Stay.. Document filed by RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada. (Pater, Joshua) (Entered: 03/13/2009) DECLARATION of Joshua R. Pater in Opposition re: 25 MOTION for Discovery Notice of Lead Plaintiff's Motion to Partially Lift the PSLRA Discovery Stay.. Document filed by RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada. (Pater, Joshua) (Entered: 03/13/2009) CERTIFICATE OF SERVICE of Response In Opposition served on A.J. De Bartolomeo on 3/13/09. Service was made by Mail. Document filed by RBC Dain Rauscher Inc., RBC Capital Markets Corporation, Royal Bank of Canada. (Pater, Joshua) (Entered: 03/13/2009) REPLY MEMORANDUM OF LAW in Support re: 25 MOTION for Discovery Notice of Lead Plaintiff's Motion to Partially Lift the PSLRA Discovery Stay.. Document filed by Eugene F. Brigham. (Sheanin, Aaron) (Entered: 03/27/2009) MEMORANDUM AND ORDER denying 25 Motion for Discovery; Brigham's motion to lift the PSLRA stay of discovery so that Plaintiffs can obtain information RBC produced to the Regulators is denied. (Signed by Judge William H. Pauley, III on 4/7/09) (cd) (Entered: 04/07/2009) STIPULATION AND ORDER: It is hereby stipulated and agreed by and between the patties that Lead Plaintiff shall, within 30 days of entry of this Order, file an amended complaint or otherwise advise the Court and Defendants as to how Lead Plaintiff plans to to proceed in this action. (Signed by Judge William H. Pauley, III on 4/28/2009) (jpo) (Entered: 04/29/2009)

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36 TRANSCRIPT of proceedings held on 4/3/09 before Judge William H. Pauley, III. (tro) (Entered: 05/04/2009) 37 ORDER GRANTING REQUEST FOR VOLUNTARY DISMISSAL OF ACTION PURSUANT TO FED. R. CIV. P. 41(a)(2): Lead Plaintiffs request for voluntary dismissal without prejudice pursuant to Federal Rule of Civil Procedure 41(a)(2) is hereby GRANTED. (Signed by Judge William H. Pauley, III on 5/29/2009) (jfe) (Entered: 06/02/2009)

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