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In Re Redback Networks, Inc. Securities Litigation 03-CV-05642

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In Re Redback Networks, Inc. Securities Litigation 03-CV-05642 1 Stuart M. Grant (pro hac vice) John C. Kairis (pro hac vice) 2 Lauren E. Wagner (pro hac vice) Kimberly L. Wierzel (pro hac vice) 3 Grant & Eisenhofer P.A. Chase Manhattan Centre 4 1201 North Market Street Wilmington, DE 19801 5 Tel: 302.622.7000 Fax: 302.622.7100 6 Merrill Glen Emerick (State Bar No. 117248) 7 Anderlini, Finkelstein, Emerick & Smoot 400 S. El Camino Real - Suite 700 8 San Mateo, CA 94402 9 Attorneys for Lead Plaintiff The Connecticut Retirement Plans and Trust Funds 10 IN THE UNITED STATES DISTRICT COURT 11 FOR THE NORTHERN DISTRICT OF CALIFORNIA SAN JOSE DIVISION 12 13 IN RE REDBACK NETWORKS, INC. Case Number C 03-05642 JF SECURITIES LITIGATION 14 This Document Relates to: All Actions 15 FOURTH AMENDED CONSOLIDATED COMPLAINT FOR VIOLATION OF 16 THE FEDERAL SECURITIES LAWS 17 CLASS ACTION 18 19 DEMAND FOR JURY TRIAL 20 21 22 23 24 25 26 27 28 FOURTH AMENDED CONSOLIDATED COMPLAINT FOR VIOLATION OF THE FEDERAL SECURITIES LAWS Case Number C 03-05642 JF 1 TABLE OF CONTENTS Page 2 I. NATURE AND SUMMARY OF THE ACTION...............................................................5 3 II. The Parties...........................................................................................................................8 4 Lead Plaintiff .......................................................................................................................8 5 Non-Party Redback Networks, Inc. .....................................................................................9 6 Individual Defendants..........................................................................................................9 7 PricewaterhouseCoopers LLP............................................................................................16 8 Non-Party Pankaj Patel......................................................................................................17 9 Non-Party Marc B. Weisberg ............................................................................................17 10 Jurisdiction And Venue......................................................................................................17 11 III. Defendants’ Fraudulent Scheme and Deceitful Course of Business .................................18 12 Undisclosed Pre-IPO Stock Bribes ....................................................................................19 13 Redback’s Illicit Agreement With Weisberg And Qwest..................................................21 14 Redback’s Undisclosed Relationship With Qwest ............................................................22 15 The Broadband Office Warrant .........................................................................................28 16 Redback’s Scheme Continues............................................................................................29 17 Material Delay of the New SmartEdge™ Router ..............................................................39 18 The Williams Deal .............................................................................................................45 19 Redback Uses Artificially-Inflated Stock For A Third Acquisition ..................................45 20 Redback’s SMS™ 10000 Operational Product’s Problems Continued In 21 2001 And 2002.......................................................................................................46 22 Qwest’s Illicit Practices Begin To Come To Light............................................................47 23 IV. Defendants’ False and Misleading Statements ..................................................................49 24 Defendants’ Pre-Class Period False and Misleading Statements ......................................49 25 Defendants’ False And Misleading Statements During The Class Period ........................53 26 Without the Sales From Bribery and Quid Pro Quo Transactions with Qwest Redback Descends Into Bankruptcy and Investors Begin to 27 Learn Why ...........................................................................................................106 28 FOURTH AMENDED CONSOLIDATED COMPLAINT FOR VIOLATION 2 OF THE FEDERAL SECURITIES LAWS Case Number C 03-05642 JF 1 V. Redback’s Fraudulent Accounting Practices ...................................................................112 2 Generally Accepted Accounting Principles (“GAAP”)...................................................112 3 SEC Regulations ..............................................................................................................112 4 Redback’s Financial Disclosures Violated GAAP And SEC Regulations ......................114 5 The Overall Impact Of The GAAP And SEC Rules Violations......................................124 6 VI. Scienter ............................................................................................................................125 7 Pierre R. Lamond.............................................................................................................127 8 Vinod Khosla ...................................................................................................................129 9 Promod Haque .................................................................................................................132 10 Kevin DeNuccio...............................................................................................................135 11 Vivek Ragavan.................................................................................................................136 12 Dennis Barsema ...............................................................................................................139 13 Gaurav Garg.....................................................................................................................140 14 William H. Kurtz .............................................................................................................142 15 Craig Gentner...................................................................................................................143 16 Randall Kruep ..................................................................................................................144 17 Dennis P. Wolf.................................................................................................................146 18 Thomas L. Cronan, III .....................................................................................................146 19 PwC’s Scienter And False And Misleading Audit Reports.............................................151 20 PwC’s Audits Of Redback Failed To Comply With GAAS............................................156 21 VII. Loss Causation.................................................................................................................166 22 VIII. Inapplicability Of Statutory Safe Harbor.........................................................................171 23 IX. Applicability of Presumption of Reliance: Fraud-On-The-Market 24 Doctrine............................................................................................................................173 25 X. Class Action Allegations..................................................................................................173 26 FIRST CAUSE OF ACTION ..........................................................................................176 27 SECOND CAUSE OF ACTION .....................................................................................178 28 THIRD CAUSE OF ACTION.........................................................................................181 FOURTH AMENDED CONSOLIDATED COMPLAINT FOR VIOLATION 3 OF THE FEDERAL SECURITIES LAWS Case Number C 03-05642 JF 1 FOURTH CAUSE OF ACTION .....................................................................................183 2 FIFTH CAUSE OF ACTION ..........................................................................................184 3 SIXTH CAUSE OF ACTION .........................................................................................186 4 PRAYER FOR RELIEF ..................................................................................................187 5 JURY TRIAL DEMANDED...........................................................................................188 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 FOURTH AMENDED CONSOLIDATED COMPLAINT FOR VIOLATION 4 OF THE FEDERAL SECURITIES LAWS Case Number C 03-05642 JF 1 Lead Plaintiff, Connecticut Retirement Plans and Trust Funds (the “Connecticut 2 Retirement Fund” or “Lead Plaintiff” or “Plaintiff”), individually and on behalf of all others that 3 purchased or otherwise acquired the common stock (“Plaintiffs”) of Redback Networks, Inc. 4 (“Redback” or the “Company”) between and including November 27, 1999 and October 10, 5 2003 (the “Class Period”), alleges the following upon information and belief, except as to those 6 allegations concerning the Connecticut Retirement Fund, which are alleged based upon personal 7 knowledge. Plaintiffs’ information and belief are based upon, among other things, the 8 investigation conducted by and through Plaintiffs’ attorneys, which included: (a) a review and 9 analysis of Redback’s filings with the United States Securities and Exchange Commission (the 10 “SEC”); (b) review and analysis of press releases, public statements, news articles and other 11 publications disseminated by or concerning Redback or the defendants; (c) review and analysis 12 of Redback’s analyst conference calls; (d) review
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