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09-35262.Pdf FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT VANESSA 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 No. 09-35262 AMERICA CORPORATION, a Delaware D.C. No. 2:07-cv- corporation, successor in interest 01549-JLR 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) LITIGATION 821 822 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA SIMMONDS, Plaintiff-Appellant, v. DEUTSCHE BANK SECURITIES INC.; FOUNDRY NETWORKS INC., Nominal No. 09-35280 Defendant, a Delaware D.C. Nos. corporation; MERRILL LYNCH 2:07-cv-01566-JLR PIERCE FENNER & SMITH 2:07-cv-01549-JLR INCORPORATED; J.P. MORGAN SECURITIES INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS, Plaintiff-Appellant, v. MERRILL LYNCH & CO. INC., Defendant, and No. 09-35282 D.C. Nos. FINISAR CORPORATION, Nominal Defendant, a Delaware 2:07-cv-01567-JLR 2:07-cv-01549-JLR corporation; MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED; J.P. MORGAN SECURITIES INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION SIMMONDS v. CREDIT SUISSE SECURITIES 823 VANESSA SIMMONDS, Plaintiff-Appellant, v. MORGAN STANLEY & CO., No. 09-35285 INCORPORATED; LEHMAN BROTHERS, D.C. Nos. INC.; BANK OF AMERICA 2:07-cv-01568-JLR CORPORATION; ROBERTSON 2:07-cv-01549-JLR STEPHENS, INC.; AVANEX CORPORATION, Defendants-Appellees. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS, Plaintiff-Appellant, v. CREDIT SUISSE GROUP, a global bank headquartered in Zurich, Switzerland formerly known as Credit Suisse First Boston No. 09-35286 Corporation; BANK OF AMERICA D.C. Nos. CORPORATION, a Delaware 2:07-cv-01576-JLR corporation, successor in interest 2:07-cv-01549-JLR to BancBoston Robertson Stephens, Inc.; TIVO INC., Nominal Defendant, a Delaware corporation; ROBERTSON STEPHENS, INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION 824 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA 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 No. 09-35288 D.C. Nos. Stephens, Inc.; ROBERTSON STEPHENS INC., a Massachusetts 2:07-cv-01569-JLR corporation, 2:07-cv-01549-JLR Defendants-Appellees, and TURNSTONE SYSTEMS, INC., a Delaware corporation, Defendant. In Re: SECTION 16(b) LITIGATION SIMMONDS v. CREDIT SUISSE SECURITIES 825 VANESSA SIMMONDS, Plaintiff-Appellant, v. GOLDMAN SACHS & CO., “Goldman Sachs”; CREDIT SUISSE SECURITIES (USA) LLC, “Credit Suisse” formerly known as Credit Suisse No. 09-35289 First Boston Corporation; BANK OF D.C. Nos. AMERICA CORPORATION, a Delaware 2:07-cv-01577-JLR corporation, successor in interest 2:07-cv-01549-JLR to BancBoston Robertson Stephens, Inc.; ROBERTSON STEPHENS, INC.; JUNIPER NETWORKS INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION 826 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA SIMMONDS, Plaintiff-Appellant, v. MORGAN STANLEY & CO., No. 09-35290 INCORPORATED; DEUTSCHE BANK D.C. Nos. SECURITIES, INC.; MERRILL LYNCH, 2:07-cv-01570-JLR PIERCE, FENNER & SMITH 2:07-cv-01549-JLR INCORPORATED; ARIBA INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS, Plaintiff-Appellant, v. No. 09-35292 MORGAN STANLEY & CO., D.C. Nos. INCORPORATED; CITIGROUP GLOBAL 2:07-cv-01571-JLR MARKETS, INC.; AKAMAI 2:07-cv-01549-JLR TECHNOLOGIES, INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION SIMMONDS v. CREDIT SUISSE SECURITIES 827 VANESSA SIMMONDS, Plaintiff-Appellant, v. GOLDMAN SACHS GROUP INC., a Delaware corporation; JPMORGAN CHASE & CO., a Delaware corporation, successor in interest to Hambrecht & Quist LLC, No. 09-35293 Defendants, D.C. Nos. and 2:07-cv-01578-JLR 2:07-cv-01549-JLR KANA 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) LITIGATION 828 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA SIMMONDS, Plaintiff-Appellant, v. MORGAN STANLEY, a Delaware corporation, successor in interest to Morgan Stanley Dean Witter, Defendant, and SILICON LABORATORIES INC., No. 09-35297 Nominal Defendant, a Delaware D.C. Nos. corporation; MORGAN STANLEY & 2:07-cv-01590-JLR CO. INCORPORATED; LEHMAN 2:07-cv-01549-JLR 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) LITIGATION SIMMONDS v. CREDIT SUISSE SECURITIES 829 VANESSA SIMMONDS, Plaintiff-Appellant, v. GOLDMAN SACHS GROUP INC., a Delaware corporation, Defendant, and BANK OF AMERICA CORPORATION, a No. 09-35300 Delaware corporation, successor in D.C. Nos. interest to BancBoston Robertson 2:07-cv-01593-JLR Stephens, Inc.; PALM INC., 2:07-cv-01549-JLR 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) LITIGATION 830 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA SIMMONDS, Plaintiff-Appellant, v. GOLDMAN SACHS GROUP INC., Defendant, and No. 09-35301 BANK OF AMERICA CORPORATION, a D.C. Nos. Delaware corporation, successor in 2:07-cv-01594-JLR interest to BancBoston Robertson 2:07-cv-01549-JLR Stephens, Inc.; MAXYGEN INC., Nominal Defendant, a Delaware corporation; GOLDMAN SACHS & CO.; ROBERTSON STEPHENS, INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION SIMMONDS v. CREDIT SUISSE SECURITIES 831 VANESSA SIMMONDS, Plaintiff-Appellant, v. CREDIT SUISSE GROUP, a global bank headquartered in Zurich, Switzerland FKA Credit Suisse First Boston Corporation; BANK OF No. 09-35302 AMERICA CORPORATION, a Delaware D.C. No. corporation, successor in interest 2:07-cv-01575-JLR to BancBoston Robertson Stephens, Inc.; SILICON IMAGE, INC., Nominal Defendant, a Delaware corporation; ROBERTSON STEPHENS, INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION 832 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA SIMMONDS, Plaintiff-Appellant, v. GOLDMAN SACHS GROUP INC., a Delaware corporation, No. 09-35303 Defendant, D.C. Nos. and 2:07-cv-01595-JLR 2:07-cv-01549-JLR STREET.COM INC.; GOLDMAN SACHS & CO.; J.P. MORGAN SECURITIES INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS, Plaintiff-Appellant, v. BANK OF AMERICA CORPORATION, a Delaware corporation, successor in interest to BancBoston Robertson No. 09-35306 Stephens, Inc.; CRITICAL PATH, D.C. No. INC., Nominal Defendant, a 2:07-cv-01582-JLR California corporation; ROBERTSON STEPHENS, INC.; J.P. MORGAN SECURITIES, INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION SIMMONDS v. CREDIT SUISSE SECURITIES 833 VANESSA SIMMONDS, Plaintiff-Appellant, v. BANK OF AMERICA CORPORATION, a Delaware corporation, successor in No. 09-35307 interest to BancBoston Robertson D.C. Nos. Stephens, Inc.; CONCUR 2:07-cv-01585-JLR TECHNOLOGIES, INC., a Delaware 2:07-cv-01549-JLR corporation; ROBERTSON STEPHENS, INC.; J.P. MORGAN SECURITIES, INC., Defendants-Appellees. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS, Plaintiff-Appellant, v. CREDIT SUISSE GROUP, a global bank headquartered in Zurich, Switzerland; SOURCEFORGE, INC., Nominal Defendant, a Delaware No. 09-35308 corporation, FKA VA Linux Systems, Inc.; LEHMAN BROTHERS, D.C. No. INC., 2:07-cv-01583-JLR Defendants-Appellees, JAMES W. GIDDENS, Trustee for the Liquidation of the Business of Lehman Brothers, Inc., Trustee-Appellee. In Re: SECTION 16(b) LITIGATION 834 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA SIMMONDS, Plaintiff-Appellant, v. No. 09-35309 GOLDMAN SACHS & CO.; J.P. D.C. Nos. MORGAN SECURITIES, INC.; RED 2:07-cv-01587-JLR HAT, INC., a Delaware corporation, 2:07-cv-01549-JLR Defendants-Appellees. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS, Plaintiff-Appellant, v. CREDIT SUISSE GROUP, a global No. 09-35310 bank headquartered in Zurich, D.C. No. Switzerland; SELECTICA, INC., 2:07-cv-01584-JLR Nominal Defendant, a Delaware corporation, Defendants-Appellees. In Re: SECTION 16(b) LITIGATION SIMMONDS v. CREDIT SUISSE SECURITIES 835 VANESSA SIMMONDS Plaintiff-Appellant, v. CREDIT SUISSE GROUP SECURITIES (USA) LLC, a Delaware limited liability company; BANK OF No. 09-35312 AMERICA CORPORATION, a Delaware D.C. Nos. corporation; ROBERTSON STEPHENS, 2:07-cv-01579-JLR INC., a Massachusetts corporation, 2:07-cv-01549-JLR Defendants-Appellees, and INTERWOVEN, INC., Defendant. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS Plaintiff-Appellant, v. MORGAN STANLEY & CO., No. 09-35313 INCORPORATED; J.P. MORGAN D.C. Nos. SECURITIES, INC.; VIGNETTE 2:07-cv-01588-JLR CORPORATION, a Delaware 2:07-cv-01549-JLR corporation, Defendants-Appellees. In Re: SECTION 16(b) LITIGATION 836 SIMMONDS v. CREDIT SUISSE SECURITIES VANESSA SIMMONDS, Plaintiff-Appellant, v. MORGAN STANLEY & CO., No. 09-35314 INCORPORATED; J.P. MORGAN D.C. Nos. SECURITIES, INC.; LEHMAN 2:07-cv-01589-JLR BROTHERS, INC.; SYCAMORE 2:07-cv-01549-JLR NETWORKS, INC., a Delaware corporation, Defendants-Appellees. In Re: SECTION 16(b) LITIGATION VANESSA SIMMONDS, Plaintiff-Appellant, v. CREDIT SUISSE GROUP SECURITIES (USA) LLC, a Delaware limited liability company; BANK
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