SVB Financial Group v. UBS Securities LLC
Adversary Proceeding
Lead BK case is: 1:23-bk-10367
Lead BK case is: 1:23-bk-10367
| New York Southern Bankruptcy Court | |
| Chapter 11 | |
| Judge: | Martin Glenn |
| Case #: | 1:23-ap-01091 |
| Nature of Suit | 71 Bankruptcy - Injunctive relief - imposition of stay |
| Case Filed: | Apr 06, 2023 |
| Terminated: | Jun 14, 2023 |
| Last checked: Friday Apr 07, 2023 1:27 PM EDT |
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Defendant
UBS Securities LLC
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Represented By
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Plaintiff
SVB Financial Group
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Represented By
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GPO
Apr 14 2023
Memorandum Opinion, Signed on 4/14/2023, Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities LLC. (related document(s)8) (Anderson, Deanna) |
| Docket last updated: 03/11/2025 1:08 PM EDT |
| Wednesday, June 14, 2023 | ||
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misc
Close Adversary Proceeding
Wed 06/14 4:03 PM
Adversary Case 1:23-ap-1091 Closed. This Adversary Proceeding is Closed Subject to the Filing of a Notice of Appeal Within Fourteen (14) Days of the Entry of the Order Terminating this Adversary Proceeding. (Anderson, Deanna) |
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| Monday, June 05, 2023 | ||
| 31 | 31
2
pgs
misc
Stipulation
Mon 06/05 2:50 PM
Stipulation /Joint Stipulation of Dismissal with Prejudice Filed by Vincent Edward Lazar on behalf of SVB Financial Group. (Lazar, Vincent) |
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| Thursday, June 01, 2023 | ||
| 30 | 30
misc
Certificate of Mailing - Ntc Of Transmittal Of ROA To USDC SDNY
Fri 06/02 12:12 AM
Certificate of Mailing Re: Notice Of Transmittal Of Record Of Appeal To USDC SDNY . Notice Date 06/01/2023. (Admin.) |
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| Tuesday, May 30, 2023 | ||
| 29 | 29
appeal
Notice, Transmittal Of Record Of Appeal To USDC SDNY (BNC)
Tue 05/30 1:39 PM
Notice of Transmittal of Record of Appeal. All documents have been filed with the United States District Court for the Southern District of New York. Record of Appeal is Complete and Available Electronically under Civil Case Number 23-cv-3714 assigned to the Honorable Denise L. Cote. Check the District Court Docket Sheet for the Briefing Schedule. (Rouzeau, Anatin) |
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| Thursday, May 18, 2023 | ||
| 28 | 28
misc
Transcript
Fri 05/26 3:09 PM
Transcript regarding Hearing Held on 5/17/2023 at 11:02 AM RE: Pre-Trial Conference; Retention Application for Jenner & Block. Remote electronic access to the transcript is restricted until 8/16/2023. The transcript may be viewed at the Bankruptcy Court Clerks Office. [Transcription Service Agency: eScrfibers, LLC.]. (See the Courts Website for contact information for the Transcription Service Agency.) . Notice of Intent to Request Redaction Deadline Due By 5/25/2023. Statement of Redaction Request Due By 6/8/2023. Redacted Transcript Submission Due By 6/20/2023. Transcript access will be restricted through 8/16/2023. (Ortiz, Carmen) |
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| Tuesday, May 16, 2023 | ||
| 27 | 27
appeal
Counter Designation (appellee)
Tue 05/16 1:04 PM
Counter Designation (appellee) SVB Financial Group filed by Vincent Edward Lazar on behalf of SVB Financial Group. (Lazar, Vincent) |
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| Wednesday, May 03, 2023 | ||
| 26 | 26
appeal
Civil Cover Sheet
Wed 05/03 5:26 PM
Civil Cover Sheet from U.S. District Court, Case Number: 23-cv-3714 Judge Denise L. Cote (Rouzeau, Anatin) |
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| Tuesday, May 02, 2023 | ||
| 25 | 25
appeal
Designation of Contents (appellant)
Tue 05/02 3:50 PM
Designation of Contents (appellant). of Record on Appeal , Statement of Issues Presented on Appeal filed by Carl W Mills IV on behalf of UBS Securities LLC. (Mills, Carl) |
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| Monday, April 24, 2023 | ||
| 24 | 24
appeal
Notice, Appeal (fee)
Mon 04/24 4:26 PM
Notice of Appeal filed by Carl W Mills IV on behalf of UBS Securities LLC. (Mills, Carl) |
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crditcrd
Auto - docket of credit card
Mon 04/24 5:10 PM
Receipt of Notice of Appeal([LINK 23-01091 mg] ) [appeal,97] ( 298.00) Filing Fee. Receipt number A16175393. Fee amount 298.00. (U.S. Treasury) |
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| Friday, April 21, 2023 | ||
| 23 | 23
order
Motion, Preliminary Injunction
Fri 04/21 11:45 AM
Order, Signed on 4/21/2023, Granting SVB Financial's Motion for Entry of an Order Preliminarily Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities, LLC . (Anderson, Deanna) |
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| Monday, April 17, 2023 | ||
| 21 | 21
order
Motion, Intervene
Mon 04/17 2:18 PM
Order, Signed on 4/17/2023, Granting the Unopposed Motion to Intervene by the Official Committee of Unsecured Creditors . (Anderson, Deanna) |
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| Friday, April 14, 2023 | ||
| 22 | 22
misc
Transcript
Fri 04/21 9:44 AM
Transcript regarding Hearing Held on 4/12/2023 at 3:00 PM RE: Motion for Preliminary Injunction Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities LLC; Motion to Intervene by Official Committee of Unsecured Creditors. Remote electronic access to the transcript is restricted until 7/13/2023. The transcript may be viewed at the Bankruptcy Court Clerks Office. [Transcription Service Agency: eScr i ber s, LLC.]. (See the Courts Website for contact information for the Transcription Service Agency.) . Notice of Intent to Request Redaction Deadline Due By 4/21/2023. Statement of Redaction Request Due By 5/5/2023. Redacted Transcript Submission Due By 5/15/2023. Transcript access will be restricted through 7/13/2023. (Ortiz, Carmen) |
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| 20 | 20
26
pgs
order
Written Opinion
Fri 04/14 12:04 PM
Memorandum Opinion, Signed on 4/14/2023, Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities LLC. (Anderson, Deanna) |
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| Thursday, April 13, 2023 | ||
| 19 | 19
2
pgs
misc
Letter
Thu 04/13 9:12 AM
Letter Attaching Indemnification Documents Filed by Vincent Edward Lazar on behalf of SVB Financial Group.(Lazar, Vincent) |
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Att: 1
68 pgs
Exhibit A
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Att: 2
Exhibit B
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| Tuesday, April 11, 2023 | ||
| 18 | 18
ans
Response
Tue 04/11 3:56 PM
Response Joinder of Official Committee of Unsecured Creditors to SVB Financials Corrected Motion for Entry of an Order Preliminarily Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities filed by James Savin on behalf of OFFICIAL COMMITTEE OF UNSECURED CREDITORS. (Savin, James) |
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| 17 | 17
notice
Notice, Hearing
Tue 04/11 3:52 PM
Notice of Hearing on Unopposed Motion to Intervene by the Official Committee of Unsecured Creditors filed by James Savin on behalf of OFFICIAL COMMITTEE OF UNSECURED CREDITORS. with hearing to be held on 4/12/2023 at 03:00 PM at Courtroom 523 (MG) Objections due by 4/12/2023, (Savin, James) |
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| 16 | 16
motion
Motion, Intervene
Tue 04/11 3:50 PM
Motion to Intervene Unopposed Motion to Intervene by Official Committee of Unsecured Creditors filed by James Savin on behalf of OFFICIAL COMMITTEE OF UNSECURED CREDITORS. with hearing to be held on 4/12/2023 at 03:00 PM at Courtroom 523 (MG) Responses due by 4/12/2023, (Savin, James) |
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| 15 | 15
misc
Affidavit
Tue 04/11 3:46 PM
Affidavit Mills Declaration in Support of UBS Opposition Filed by Carl W Mills IV on behalf of UBS Securities LLC.(Mills, Carl) |
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Att: 1
Exhibit A to Mills Declaration
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Att: 2
Exhibit B to Mills Declaration
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Att: 3
Exhibit C to Mills Declaration
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Att: 4
Exhibit D to Mills Declaration
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Att: 5
Exhibit E to Mills Declaration
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Att: 6
Exhibit F to Mills Declaration
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| 14 | 14
answer
Opposition Brief
Tue 04/11 3:41 PM
Opposition Brief UBS Opposition to SVB FG's Motion for Preliminary Injunction filed by Carl W Mills IV on behalf of UBS Securities LLC. (Mills, Carl) |
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| 13 | 13
misc
Corporate Ownership Statement
Tue 04/11 3:32 PM
Corporate Ownership Statement of UBS Securities LLC . Corporate parents added to case: UBS Group AG. Filed by Carl W Mills IV on behalf of UBS Securities LLC. (Mills, Carl) |
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| Monday, April 10, 2023 | ||
| 12 | 12
notice
Notice, Appearance in Adversary Proceeding
Mon 04/10 5:19 PM
Notice of Appearance in Adversary Proceeding filed by William Maguire on behalf of UBS Securities LLC. (Maguire, William) |
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| 11 | 11
notice
Notice, Appearance in Adversary Proceeding
Mon 04/10 4:14 PM
Notice of Appearance in Adversary Proceeding filed by Carl W Mills IV on behalf of UBS Securities LLC. (Mills, Carl) |
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| Friday, April 07, 2023 | ||
| 10 | 10
order
Scheduling Order
Fri 04/07 10:27 AM
Scheduling Order signed on 4/7/2023 for SVB Financial's Motion For Entry Of An Order Preliminarily Enjoining Certain Pending Arbitration Proceedings Commenced By UBS Securities LLC. Hybrid Hearing to be held on 4/12/2023 at 03:00 PM at Courtroom 523 (MG). The Hearing will take place in a hybrid fashion both in person and via Zoom for Government. (Anderson, Deanna) |
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| 9 | 9
order
Application, Pro Hac Vice
Fri 04/07 8:55 AM
Order, Signed on 4/7/2023, Granting Application for Pro Hac Vice Admission of Landon S. Raiford . (Anderson, Deanna) |
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| Thursday, April 06, 2023 | ||
| 8 | 8
motion
Motion, Preliminary Injunction
Thu 04/06 7:48 PM
Amendment to Motion for Preliminary Injunction / Corrected Motion for Preliminary Injunction Enjoining Certain Pending Arbitration Proceedings Commenced filed by Vincent Edward Lazar on behalf of SVB Financial Group. with hearing to be held on 4/12/2023 at 03:00 PM at Courtroom 523 (MG) Responses due by 4/11/2023, (Lazar, Vincent) |
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| 7 | 7
12
pgs
cmp
Amended Complaint
Thu 04/06 7:31 PM
Amended Complaint against UBS Securities LLC / Corrected Complaint for Injunctive Relief Filed by Vincent Edward Lazar on behalf of SVB Financial Group. (Lazar, Vincent) |
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| 6 | 6
cmp
Auto Summons and Notice of Pre-Trial Conference
Thu 04/06 3:03 PM
Summons with Notice of Pre-Trial Conference issued by Clerk's Office with Pre-Trial Conference set for 5/18/2023 at 10:00 AM at Videoconference (ZoomGov) (MG), Answer due by 5/8/2023, (Ramos, Jonathan) |
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| 5 | 5
motion
Application, Pro Hac Vice Admission
Thu 04/06 2:47 PM
Application for Pro Hac Vice Admission of Landon S. Raiford filed by Vincent Edward Lazar on behalf of SVB Financial Group. (Lazar, Vincent) |
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Att: 1
Proposed Order Granting Admission to Practice, Pro Hac Vice
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| 4 | 4
answer
Declaration
Thu 04/06 2:43 PM
Declaration of William C. Kosturos in Support of SVB Financial's Motion for Entry of an Order Preliminarily Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities LLC filed by Vincent Edward Lazar on behalf of SVB Financial Group. (Lazar, Vincent) |
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| 3 | 3
answer
Declaration
Thu 04/06 2:41 PM
Declaration of Steven P. Heineman in Support of SVB Financial's Motion for Entry of an Order Preliminarily Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities LLC filed by Vincent Edward Lazar on behalf of SVB Financial Group. (Lazar, Vincent) |
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| 2 | 2
motion
Motion, Preliminary Injunction
Thu 04/06 2:37 PM
(See Document No. 8 for Amendment) Motion for Preliminary Injunction Enjoining Certain Pending Arbitration Proceedings Commenced by UBS Securities LLC filed by Vincent Edward Lazar on behalf of SVB Financial Group with hearing to be held on 4/12/2023 at 03:00 PM at Courtroom 523 (MG) Responses due by 4/11/2023,. (Lazar, Vincent) Modified on 4/7/2023 (Bush, Brent) |
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| 1 | 1
cmp
Complaint (fee)
Thu 04/06 2:26 PM
(See Document No. 7 for Amended Complaint) Adversary case 23-01091 Complaint against UBS Securities LLC /Complaint for Injunctive Relief (Fee Amount $ 350.). Nature(s) of Suit: (71 (Injunctive relief - reinstatement of stay)) Filed by Vincent Edward Lazar on behalf of SVB Financial Group. (Lazar, Vincent) Modified on 4/7/2023 (Bush, Brent) |
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crditcrd
Auto - docket of credit card
Thu 04/06 2:27 PM
Receipt of Complaint([LINK 23-01091 mg] ) [cmp,cmp] ( 350.00) Filing Fee. Receipt number A16155057. Fee amount 350.00. (U.S. Treasury) |
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crditcrd
Auto - docket of credit card
Thu 04/06 2:48 PM
Receipt of Application for Pro Hac Vice Admission([LINK 23-01091 mg] ) [motion,122] ( 200.00) Filing Fee. Receipt number A16155093. Fee amount 200.00. (U.S. Treasury) |
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