IN RE BARCLAYS BANK PLC SECURITIES LITIGATION

No. 17-3293-cv.

IN RE: BARCLAYS BANK PLC SECURITIES LITIGATION. DENNIS ASKELSON, Plaintiff-Appellant, MARSHALL FREIDUS, on behalf of himself and all others similarly situated, STEWART THOMPSON AND SHARON THOMPSON, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, DORA L. MAHBOUBI, LARRY MORRISON, individually and on behalf of all others similarly situated, JEFFREY LEFCOURT, on behalf of himself and all others similarly situated, BEVERLY PELLEGRINI, on behalf of herself and all others similarly situated, and ALFRED FAIT, on behalf of himself and all others similarly situated, Plaintiffs, v. BARCLAYS BANK PLC, BARCLAYS PLC, JOHN SILVESTER VARLEY, ROBERT EDWARD DIAMOND, JR., SIR RICHARD BROADBENT, RICHARD LEIGH CLIFFORD, DAME SANDRA J.N. DAWSON, SIR ANDREW LIKIERMAN, SIR NIGEL RUDD, STEPHEN GEORGE RUSSELL, JOHN MICHAEL SUNDERLAND, BARCLAYS CAPITAL SECURITIES LIMITED, CITIGROUP GLOBAL MARKETS, INC., MERRILL LYNCH, PIERCE, FENNER, & SMITH INCORPORATED, WACHOVIA CAPITAL MARKETS, LLC, MORGAN STANLEY & CO. LLC, UBS SECURITIES LLC, RBC DAIN RAUSCHER, INC., MARCUS AGIUS, CHRISTOPHER LUCAS, GARY A. HOFFMAN, FREDERIK SEEGERS, DAVID G. BOOTH, FULVIO CONTI, DANIEL CRONJE, BANC OF AMERICA SECURITIES, LLC, Defendants-Appellees, MATTHEW WILLIAM BARRETT, NAGUIB KHERAJ, A.G. EDWARDS & SONS, INC., BNP PARIBAS SECURITIES CORP., GOLDMAN, SACHS & CO., KEYBANC CAPITAL MARKETS INC., SUNTRUST CAPITAL MARKETS, INC., WELLS FARGO SECURITIES, LLC, Defendants.

United States Court of Appeals, Second Circuit.

November 20, 2018.


Attorney(s) appearing for the Case

JOSEPH D. DALEY ( Lucas F. Olts , on the brief), Robbins Geller Rudman & Dowd LLP, San Diego, CA.,

Andrew L. Zivitz , Sharan Nirmul , Richard A. Russo, Jr. , Kessler Topaz Meltzer and Check, LLP, Radnor, PA. for Appellant.

MICHAEL T. TOMAINO, JR. ( Thomas C. White , on the brief), Sullivan & Cromwell LLP, New York, NY, for Appellees Barclays Bank PLC, Barclays PLC, John Silvester Varley, Robert Edward Diamond, Jr., Sir Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Sir Andrew Likierman, Sir Nigel Rudd, Stephen George Russell, John Michael Sunderland, Marcus Agius, Christopher Lucas, Gary A. Hoffman, Frederik Seegers, David G. Booth, Fulvio Conti, and Daniel Cronje, for Appellees.

Jay B. Kasner , Scott D. Musoff , Patrick G. Rideout , Skadden, Arps, Slate, Meagher & Flom LLP, New York, NY, for Appellees Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. LLC, UBS Securities LLC, RBC Dain Rauscher Inc., Banc of America Securities, LLC.

PRESENT: PIERRE N. LEVAL, SUSAN L. CARNEY, , KATHERINE POLK FAILLA,


AMENDED SUMMARY ORDER

RULINGS BY SUMMARY ORDER DO NOT HAVE PRECEDENTIAL EFFECT. CITATION TO A SUMMARY ORDER FILED ON OR AFTER JANUARY 1, 2007, IS PERMITTED AND IS GOVERNED BY FEDERAL RULE OF APPELLATE PROCEDURE 32.1 AND THIS COURT'S LOCAL RULE 32.1.1. WHEN CITING A SUMMARY ORDER IN A DOCUMENT FILED WITH THIS COURT, A PARTY MUST CITE EITHER THE FEDERAL APPENDIX OR AN ELECTRONIC DATABASE (WITH THE NOTATION "SUMMARY ORDER"). A PARTY CITING...

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