Simmonds v. Credit Suisse Securities (USA) LLC

Decision Date25 January 2011
Docket Number09–35302,09–35307,09–35393,09–35339,09–35355,09–35290,09–35357,09–35317,09–35327,09–35288,09–35346,09–35314,09–35313,09–35292,09–35312,09–35352,09–35369,09–35371,09–35293,09–35306,09–35300,09–35348,09–35391,09–35365,09–35377.,09–35316,09–35394,09–35301,09–35363,09–35347,09–35328,09–35398,09–35368,09–35326,09–35367,09–35358,09–35381,09–35325,09–35289,09–35286,09–35350,09–35387,09–35280,09–35322,09–35382,09–35324,09–35308,09–35351,09–35397,09–35315,09–35303,09–35364,09–35310,09–35374,09–35337,09–35404,09–35297,09–35344,09–35370,09–35321,Nos. 09–35262,09–35395,09–35323,09–35380,09–35334,09–35333,09–35373,09–35335,09–35383,09–35399,09–35390,09–35320,09–35345,09–35400,09–35375,09–35309,09–35405,09–35318,09–35384,09–35285,09–35366,09–35349,09–35282,09–35331,s. 09–35262
Citation638 F.3d 1072
CourtU.S. Court of Appeals — Ninth Circuit
PartiesVanessa SIMMONDS, Plaintiff–Appellant,v.CREDIT SUISSE SECURITIES (USA) LLC; JPMorgan Chase & Co., a Delaware corporation, successor in interest to Hambrecht & Quist and Chase Securities Inc.; Bank of America Corporation, a Delaware corporation, successor in interest to Fleetboston Robertson Stephens, Inc.; Onvia Inc., a Delaware corporation formerly known as Onvia.com Inc.; Robertson Stephens, Inc.; J.P. Morgan Securities Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Deutsche Bank Securities Inc.; Foundry Networks Inc., Nominal Defendant, a Delaware corporation; Merrill Lynch Pierce Fenner & Smith Incorporated; J.P. Morgan Securities Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Merrill Lynch & Co. Inc., Defendant,andFinisar Corporation, Nominal Defendant, a Delaware corporation; Merrill Lynch Pierce Fenner & Smith Incorporated; J.P. Morgan Securities Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; Lehman Brothers, Inc.; Bank of America Corporation; Robertson Stephens, Inc.; Avanex Corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group, a global bank headquartered in Zurich, Switzerland formerly known as Credit Suisse First Boston Corporation; Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Tivo Inc., Nominal Defendant, a Delaware corporation; Robertson Stephens, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs & Co., a New York limited partnership; Bank of America Corporation, a Delaware corporation, successor in interest to FleetBoston Robertson Stephens, Inc.; Robertson Stephens Inc., a Massachusetts corporation, Defendants–Appellees,andTurnstone Systems, Inc., a Delaware corporation, Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs & Co., “Goldman Sachs”; Credit Suisse Securities (USA) LLC, “Credit Suisse” formerly known as Credit Suisse First Boston Corporation; Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Robertson Stephens, Inc.; Juniper Networks Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; Deutsche Bank Securities, Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Ariba Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; Citigroup Global Markets, Inc.; Akamai Technologies, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs Group Inc., a Delaware corporation; JPMorgan Chase & Co., a Delaware corporation, successor in interest to Hambrecht & Quist LLC, Defendants,andKana Software Inc., Nominal Defendant, a Delaware corporation formerly known as Kana Communications Inc.; Goldman Sachs & Co.; J.P. Morgan Securities Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley, a Delaware corporation, successor in interest to Morgan Stanley Dean Witter, Defendant,andSilicon Laboratories Inc., Nominal Defendant, a Delaware corporation; Morgan Stanley & Co. Incorporated; Lehman Brothers Inc.; Citigroup Global Markets, Inc., Defendants–Appellees,James W. Giddens, Trustee for the Liquidation of the Business of Lehman Brothers Inc., Trustee–Appellee.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs Group Inc., a Delaware corporation, Defendant,andBank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Palm Inc., Nominal Defendant, a Delaware corporation; Goldman Sachs & Co.; Morgan Stanley & Co. Incorporated; Merrill Lynch Pierce Fenner & Smith Incorporated; Robertson Stephens, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs Group Inc., Defendant,andBank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Maxygen Inc., Nominal Defendant, a Delaware corporation; Goldman Sachs & Co.; Robertson Stephens, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group, a global bank headquartered in Zurich, Switzerland FKA Credit Suisse First Boston Corporation; Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Silicon Image, Inc., Nominal Defendant, a Delaware corporation; Robertson Stephens, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs Group Inc., a Delaware corporation, Defendant,andStreet.com Inc.; Goldman Sachs & Co.; J.P. Morgan Securities Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Critical Path, Inc., Nominal Defendant, a California corporation; Robertson Stephens, Inc.; J.P. Morgan Securities, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Concur Technologies, Inc., a Delaware corporation; Robertson Stephens, Inc.; J.P. Morgan Securities, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group, a global bank headquartered in Zurich, Switzerland; Sourceforge, Inc., Nominal Defendant, a Delaware corporation, FKA VA Linux Systems, Inc.; Lehman Brothers, Inc., Defendants–Appellees,James W. Giddens, Trustee for the Liquidation of the Business of Lehman Brothers, Inc., Trustee–Appellee.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs & Co.; J.P. Morgan Securities, Inc.; Red Hat, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group, a global bank headquartered in Zurich, Switzerland; Selectica, Inc., Nominal Defendant, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group Securities (USA) LLC, a Delaware limited liability company; Bank of America Corporation, a Delaware corporation; Robertson Stephens, Inc., a Massachusetts corporation, Defendants–Appellees,andInterwoven, Inc., Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; J.P. Morgan Securities, Inc.; Vignette Corporation, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; J.P. Morgan Securities, Inc.; Lehman Brothers, Inc.; Sycamore Networks, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group Securities (USA) LLC, a Delaware limited liability company; Bank of America Corporation, a Delaware corporation; Robertson Stephens, Inc.; J.P. Morgan Securities Inc., a Delaware corporation, Defendants–Appellees,andOpenwave Systems, Inc., a California corporation, Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group Securities (USA) LLC, a Delaware limited liability company; Bank of America Corporation, a Delaware corporation; Robertson Stephens, Inc., Defendants–Appellees,andInformatica Corporation, a Delaware corporation, Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,Credit Suisse Group Securities (USA) LLC, a Delaware limited liability company; Bank of America Corporation, a Delaware corporation; Robertson Stephens, Inc., a Massachusetts corporation; Merrill Lynch, Pierce, Fenner & Smith Incorporated, a Delaware corporation; Citigroup Global Markets Inc., a New York corporation, Defendants–Appellees,andIntersil Corporation, a Delaware corporation, Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,Goldman Sachs Group Inc., Defendant,andBank of America Corporation, a Delaware corporation, successor in interest to Fleetboston Robertson Stephens, Inc.; Sonus Networks Inc., a Delaware corporation; Goldman Sachs & Co.; Lehman Brothers Inc.; Robertson Stephens, Inc.; J.P. Morgan Securities Inc., Defendants–Appellees,James W. Giddens, Trustee for the Liquidation of the Business of Lehman Brothers Inc., Trustee–Appellee.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; J.P. Morgan Securities, Inc., a Delaware corporation; Lehman Brothers, Inc., a Delaware corporation, Defendants–Appellees,andAvici Systems, Inc., a Delaware corporation, Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Priceline.com Inc., a Delaware corporation; Morgan Stanley & Co. Incorporated; Merrill Lynch Pierce Fenner & Smith Incorporated; Robertson Stephens, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs & Co.; Lehman Brothers, Inc.; J.P. Morgan Securities, Inc.; Marvell Technology Group, Ltd., a Bermuda corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; Merrill Lynch Pierce Fenner & Smith Incorporated; Perot Systems Corporation, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group, a global bank headquartered in Zurich, Switzerland; Deutsche Bank AG, a global bank headquartered in Frankfurt, Germany; Lehman Brothers Holdings, Inc., a Delaware corporation; Airspan Networks, Inc., Nominal Defendant, a Washington corporation; Deutsche Bank Securities, Inc.; Lehman Brothers, Inc., Defendants–Appellees,andJames W. Giddens, Trustee for the Liquidation of the Business of Lehman Brothers, Inc., Trustee–Appellee.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs & Co.; Bank of America Corporation, a Delaware corporation, successor in interest BancBoston Robertson Stephens Inc.; Robertson Stephens, Inc.; Insweb Corporation, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co., Incorporated; Deutsche Bank Securities, Inc.; AsiaInfo Holdings, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc. and FleetBoston Robertson Stephens, Inc.; Robertson Stephens, Inc.; J.P. Morgan Securities, Inc.; Keynote Systems, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Robertson Stephens, Inc.; J.P. Morgan Securities Inc.; Digimarc Corporation, Nominal Defendant, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs & Co.; Bear Stearns & Co., Inc.; Deutsche Bank Securities, Inc.; Tibco Software, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Martha Stewart Living Omnimedia Inc., a Delaware corporation; Morgan Stanley & Co. Incorporated; Merrill Lynch Pierce Fenner & Smith Incorporated, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Group, a global bank headquartered in Zurich, Switzerland; Audible Inc., a Delaware corporation; J.P. Morgan Securities Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Goldman Sachs & Co., a New York limited partnership; Merrill Lynch Pierce Fenner & Smith Incorporated, a Delaware corporation; Bank of America Corporation, a Delaware corporation, Robertson Stephens, Inc., a Massachusetts corporation, Defendants–Appellees,andSaba Software, Inc., a Delaware corporation, Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co. Incorporated, a Delaware corporation; Deutsche Bank Securities Inc., a Delaware corporation; Citigroup Global Markets, Inc., a New York corporation, Defendants–Appellees,andTransmeta Corporation, a Delaware corporation, Defendant.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Capstone Turbine Corporation, a Delaware corporation; Goldman Sachs & Co.; Merrill Lynch Pierce Fenner & Smith Incorporated; Morgan Stanley & Co. Incorporated, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co. Incorporated; Brocade Communications Systems Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to Robertson Stephens, Inc.; J.P. Morgan Securities Inc.; Robertson Stephens, Inc.; Oplink Communications, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Robertson Stephens, Inc.; J.P. Morgan Securities Inc.; Navasite, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co. Incorporated, a Delaware corporation; Deutsche Bank Securities, Inc., a Delaware corporation; Aspect Medical Systems, Inc., Nominal Defendant, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Robertson Stephens, Inc.; Bear Stearns & Co., Inc.; Packeteer, Inc., Nominal Defendant, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to Fleetboston Robertson Stephens, Inc.; Robertson Stephens, Inc.; Omnivision Technologies, Inc., a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Securities (USA), LLC; Occam Networks, Inc., a Delaware corporation, FKA Accelerated Networks, Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.J.P. Morgan Securities Inc.; Bear Stearns & Co., Inc.; Bank of America Corporation, a Delaware corporation, successor in interest to Bancboston Robertson Stephens, Inc.; Robertson Stephens, Inc.; Immersion Corporation, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Morgan Stanley & Co. Incorporated, a Delaware corporation; Credit Suisse Securities (USA), LLC; J.P. Morgan Securities, Inc.; Internap Network Services Corporation, Nominal Defendant, a Delaware corporation, Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Microtune Inc., a Delaware corporation; Goldman Sachs & Co.; J.P. Morgan Securities Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to BancBoston Robertson Stephens, Inc.; Morgan Stanley & Co. Incorporated; Robertson Stephens, Inc.; Extreme Networks Inc., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Bank of America Corporation, a Delaware corporation, successor in interest to Robertson Stephens, Inc.; J.P. Morgan Securities Inc.; Robertson Stephens, Inc.; Cosine Communications Inc., a Delaware corporation; Goldman Sachs & Co., Defendants–Appellees.In re Section 16(b) LitigationVanessa Simmonds, Plaintiff–Appellant,v.Credit Suisse Securities (USA) LLC; Credit Suisse Securities (USA) LLC; J.P. Morgan Securities Inc.; Bank of America Corporation, a Delaware corporation, successor in interest to Fleetboston Robertson Stephens, Inc.; Robertson Stephens, Inc., Defendants–Appellants.In re Section 16(b) Litigation.

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