Federal Energy Regulatory Commission v. Barclays Bank PLC et al

Filing 35

STIPULATION and ORDER signed by District Judge Troy L. Nunley on 10/29/13 ORDERING that Barclays and the Individual Traders will be deemed to have accepted service of the petition as of 10/15/13 and waive any and all defenses regarding service of process; the deadline to answer or otherwise respond is extended to 12/16/13; FERC will have 60 days thereafter to respond or oppose any motion filed; any reply to the response due 35 days thereafter. (Manzer, C)

1 FEDERAL ENERGY REGULATORY COMMISSION
NORMAN C. BAY
2 Director, Office of Enforcement
WESLEY J. HEATH
3 [e-mail]
TODD L. BRECHER
4 [e-mail]
EMILY C. SCRUGGS
5 [e-mail]
Office of Enforcement
st
6 888 1 Street, N.E.
Washington, DC 20426
[phone]
7 Telephone:
8 Attorneys for FEDERAL ENERGY
REGULATORY COMMISSION
9
Please see continuation page for a complete
10 list of the parties and their respective counsel.
11

IN THE UNITED STATES DISTRICT COURT

12

FOR THE EASTERN DISTRICT OF CALIFORNIA

13
14 FEDERAL ENERGY REGULATORY
COMMISSION,
15
Petitioner,
16
v.
17
BARCLAYS BANK PLC; DANIEL BRIN;
18 SCOTT CONNELLY; KAREN LEVINE; and
RYAN SMITH,
19
Respondents.1
20

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CASE NO.: 2:13-cv-02093-TLN-DAD
JOINT STIPULATION AND ORDER
RE: ACCEPTANCE OF SERVICE AND
EXTENSION OF
PLEADING/BRIEFING SCHEDULE
Presiding:
Courtroom:
Trial Date:

Hon. Troy L. Nunley
2
None Set

21
22
23
1
Barclays Bank PLC (“Barclays”) and the individual traders named herein,
24 Daniel Brin, Scott Connelly, Karen Levine and Ryan Smith (collectively, the “Individual Traders”)
specifically challenge, and reserve all rights with respect to, the Federal Energy Regulatory
25 Commission’s (“FERC”) characterization of its initial pleading as a “Petition” as opposed to a
“Complaint” and its characterization of the parties as “Petitioner” and “Respondents” as opposed to
26 “Plaintiff” and “Defendants.” Barclays and the Individual Traders note that to date there has been
no adversary proceeding where Barclays and the Individual Traders conducted discovery nor has
27 there been a merits determination by an administrative law judge after a hearing or trial. Barclays’
and the Individual Traders’ position is that this Court is required to assess the factual and legal
28 issues raised by FERC’s claims de novo. See 16 U.S.C. § 823b(d)(3)(B).
1

STIPULATION AND [PROPOSED] ORDER RE: ACCEPTANCE
OF SERVICE AND EXTENSION OF PLEADING/BRIEFING SCHEDULE

1

CONTINUATION SHEET: PARTIES AND THEIR RESPECTIVE COUNSEL

2 THOMAS J. NOLAN (SBN 66992)
[e-mail]
3 SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
300 South Grand Avenue
4 Los Angeles, California 90071-3144
Telephone:
[phone]
Facsimile:
[phone]
5
6 JAY B. KASNER (Pro Hac Vice Application pending)
[e-mail]
7 STEVEN R. GLASER (Pro Hac Vice Application pending)
[e-mail]
8 SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
4 Times Square
9 New York, New York 10036
Telephone:
[phone]
Facsimile:
[phone]
10
11 PATRICK FITZGERALD (Pro Hac Vice Application pending)
[e-mail]
12 SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
155 North Wacker Drive
13 Chicago, Illinois 60606
Telephone:
[phone]
Facsimile:
[phone]
14
15 JOHN N. ESTES III (Pro Hac Vice Application pending)
[e-mail]
16 SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
1440 New York Avenue, N.W.
17 Washington, D.C. 20005
Telephone:
[phone]
Facsimile:
[phone]
18
19 GREGORY A. MARKEL (Pro Hac Vice Application pending)
[e-mail]
20 JASON M. HALPER (Pro Hac Vice Application pending)
[e-mail]
21 CADWALADER, WICKERSHAM & TAFT LLP
One World Financial Center
22 New York, New York 10281
Telephone:
[phone]
Facsimile:
[phone]
23
24 PAUL J. PANTANO JR. (Pro Hac Vice Application pending)
[e-mail]
25 CADWALADER, WICKERSHAM & TAFT LLP
700 Sixth Street, N.W.
26 Washington, D.C. 20001
Telephone:
[phone]
Facsimile:
[phone]
27
28 Attorneys for BARCLAYS BANK PLC
1
STIPULATION AND ORDER RE: ACCEPTANCE
OF SERVICE AND EXTENSION OF PLEADING/BRIEFING SCHEDULE

1 SUSAN L. GERMAISE (SBN 176595)
[e-mail]
2 McGUIREWOODS LLP
1800 Century Park East, 8th Floor
3 Los Angeles, California 90067
Telephone:
[phone]
4 Facsimile:
[phone]
5 TODD MULLINS (Pro Hac Vice Application pending)
[e-mail]
6 McGUIREWOODS, LLP
2001 K Street, N.W.
7 Washington, D.C. 20006-1040
Telephone:
[phone]
8 Facsimile:
[phone]
9 ALLISON D. CHARNEY (Pro Hac Vice Application pending)
[e-mail]
10 McGUIREWOODS LLP
1345 Avenue of the Americas, 7th Floor
11 New York, New York 10105
Telephone:
[phone]
12 Facsimile:
[phone]
13 Attorneys for DANIEL BRIN
and SCOTT CONNELLY
14
KRYSTAL N. BOWEN (SBN 163972)
15 [e-mail]
BINGHAM McCUTCHEN LLP
16 Three Embarcadero Center
San Francisco, California 94111
17 Telephone:
[phone]
Facsimile:
[phone]
18
MICHAEL L. SPAFFORD (Pro Hac Vice Application pending)
19 [e-mail]
J. BUB WINDLE (Pro Hac Vice Application pending)
20 [e-mail]
BINGHAM McCUTCHEN LLP
21 2020 K Street, N.W.
Washington, D.C. 20006
22 Telephone:
[phone]
Facsimile:
[phone]
23
Attorneys for KAREN LEVINE
24 and RYAN SMITH
25
26
27
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2
STIPULATION AND ORDER RE: ACCEPTANCE
OF SERVICE AND EXTENSION OF PLEADING/BRIEFING SCHEDULE

1

The Federal Energy Regulatory Commission, on the one hand, and Barclays and the

2 Individual Traders, on the other hand, (collectively the “Parties”) by and through their respective
3 counsel, hereby stipulate and agree as follows:
4

WHEREAS, FERC filed a “Petition For An Order Affirming The Federal Energy

5 Regulatory Commission’s July 16, 2013 Order Assessing Civil Penalties Against Barclays Bank
6 PLC, Daniel Brin, Scott Connelly, Karen Levine, And Ryan Smith” (the “Petition”) in this action
7 on October 9, 2013;
8

WHEREAS, there have been no previous time modifications in this action by stipulation or

9 Court order extending Barclays’ and the Individual Traders’ time to respond to the Petition;
10

WHEREAS, the Parties have conferred to discuss service of process of the Petition and

11 agreed upon a resolution that would avoid the costs associated with service of process in exchange
12 for an agreed upon extended timeline for Barclays and the Individual Traders to move, answer, or
13 otherwise respond to the Petition and for an extended timeline for any responses and replies
14 thereto;
15

WHEREAS, Barclays and the Individual Traders agree to accept service of process

16 through their attorneys and waive any defenses they may have as to the method, manner, or
17 effectiveness of service of process;
18

WHEREAS, the Parties agree, however, that in doing so Barclays and the Individual

19 Traders do not waive but specifically reserve any and all other defenses available to them
20 including, but not limited to, any and all defenses related to jurisdiction and venue;
21

WHEREAS, in exchange for Barclays’ and the Individual Traders’ agreement to accept

22 service of process through their attorneys, the Parties have agreed that Barclays’ and the Individual
23 Traders’ time to move, answer, or otherwise respond to the Petition shall be extended until and
24 including December 16, 2013;
25

WHEREAS, the Parties have agreed that FERC will have sixty (60) days from the date the

26 final response to the Petition from Barclays or the Individual Traders is served to respond to or
27 oppose any motion that is filed;
28
3
STIPULATION AND ORDER RE: ACCEPTANCE
OF SERVICE AND EXTENSION OF PLEADING/BRIEFING SCHEDULE

1

WHEREAS, the Parties have agreed that Barclays and the Individual Traders will have up

2 to thirty-five (35) days from the service of FERC’s opposition or response to file any reply briefs;
3

WHEREAS, nothing in this Stipulation shall preclude Barclays and the Individual Traders

4 from raising any and all other defenses in answering, moving to dismiss, or otherwise responding
5 to the Petition;
6

NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED by and between

7 the Parties, through their undersigned counsel of record, subject to the approval of the Court, as
8 follows:
9

1.

Barclays and the Individual Traders will be deemed to have accepted service of the

10 Petition through their attorneys as of October 15, 2013 and waive any and all defenses they may
11 have as to the method, manner, or effectiveness of service of process.
12

2.

Barclays and the Individual Traders do not waive but specifically reserve any and

13 all other defenses available to them including, but not limited to, any and all defenses related to
14 jurisdiction and venue.
15

3.

Barclays’ and the Individual Traders’ deadline to move, answer, or otherwise

16 respond to the Petition will be extended until and including December 16, 2013.
17

4.

FERC will have sixty (60) days from the date the last filed response to the Petition

18 is served by Barclays or the Individual Traders to respond to or oppose any motion that is filed.
19

5.

The deadline for any reply to a FERC response will be extended to thirty-five (35)

20 days from the date of service of such response.
21

6.

Nothing in this Stipulation shall preclude Barclays and the Individual Traders from

22 raising any and all other defenses in answering, moving to dismiss, or otherwise responding to the
23 Petition.
24
25

IT IS SO STIPULATED.

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27
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4
STIPULATION AND ORDER RE: ACCEPTANCE
OF SERVICE AND EXTENSION OF PLEADING/BRIEFING SCHEDULE

1

DATED: October 24, 2013
FEDERAL ENERGY REGULATORY COMMISSION

2

By:

3
4

/s/
WESLEY J. HEATH
Attorneys for FEDERAL ENERGY REGULATORY
COMMISSION

5
6
7

DATED: October 24, 2013
SKADDEN, ARPS, SLATE, MEAGHER & FLOM, LLP

8

By:

9
10

/s/
Thomas J. Nolan
Attorneys for BARCLAYS BANK PLC

11
12

DATED: October 24, 2013
CADWALADER, WICKERSHAM & TAFT LLP

13

By:

14
15

/s/
Gregory A. Markel
Attorneys for BARCLAYS BANK PLC

16
17

DATED: October 24, 2013
McGUIREWOODS, LLP

18

By:

19
20

Attorneys for DANIEL BRIN and SCOTT
CONNELLY

21
22
23
24
25
26

/s/
Todd Mullins

DATED: October 24, 2013
BINGHAM McCUTCHEN LLP
By:

/s/
Michael L. Spafford
Attorneys for KAREN LEVINE
and RYAN SMITH

27
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5
STIPULATION AND ORDER RE: ACCEPTANCE
OF SERVICE AND EXTENSION OF PLEADING/BRIEFING SCHEDULE

1
2

[PROPOSED] ORDER
Pursuant to the stipulation of the parties, and for good cause appearing, it is hereby

3 ORDERED that:
4

1.

Barclays and the Individual Traders will be deemed to have accepted service of the

5 Petition For An Order Affirming The Federal Energy Regulatory Commission’s July 16, 2013
6 Order Assessing Civil Penalties Against Barclays Bank PLC, Daniel Brin, Scott Connelly,
7 Karen Levine, And Ryan Smith (the “Petition”) through their attorneys as of October 15, 2013 and
8 waive any and all defenses they may have as to the method, manner, or effectiveness of service of
9 process.
10

2.

Barclays and the Individual Traders do not waive but specifically reserve any and

11 all other defenses available to them including, but not limited to, any and all defenses related to
12 jurisdiction and venue.
13

3.

Barclays’ and the Individual Traders’ deadline to move, answer, or otherwise

14 respond to the Petition will be extended until and including December 16, 2013.
15

4.

FERC will have sixty (60) days from the date the last filed response to the Petition

16 is served by Barclays or the Individual Traders to respond to or oppose any motion that is filed.
17

5.

The deadline for any reply to a FERC response will be extended to thirty-five (35)

18 days from the date of service of such response.
19

6.

Nothing in this Stipulation shall preclude Barclays and the Individual Traders from

20 raising any and all other defenses in answering, moving to dismiss, or otherwise responding to the
21 Petition.
22

IT IS SO ORDERED.

23
24 DATED: October 29, 2013
25
26
27

Troy L. Nunley
United States District Judge

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6
STIPULATION AND ORDER RE: ACCEPTANCE
OF SERVICE AND EXTENSION OF PLEADING/BRIEFING SCHEDULE