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Beverly Pellegrini, Et Al. V. Barclays Bank PLC, Et Al. 09-CV-3608-Class

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Beverly Pellegrini, Et Al. V. Barclays Bank PLC, Et Al. 09-CV-3608-Class t - It 't Rlirr (4 A Tr)1,THE JS 44C/SDNY CIVIL COVER SHEET 3608 REV. 1/2008 The JS-44 civil cover sheet and the Information contained herein neither replace nor supplement the filing and service of pleadings or other papers as required by law, except as provided by local rules of court. This form, approved by the Judicial Conference of the United States in September 1974, is required for use of the Clerk of Court for the purpose of initiating the civil docket sheet. PLAINTIFFS DEFENDANTS Beverly Pellegrini, on Behalf of Herself and All Others Barclays Bank PLC, et al. Similarly Situated • ATTORNEYS (FIRM NAME, ADDRESS, AND TELEPHONE NUMBER) ATTORNEYS (IF KNOWN) Girard Gibbs LLP, Jonathan K. Levine, Daniel C. Girard, Elizabeth C. Pritzker, Aaron M. Sheanin 711 Third Avenue New York. NY 10017 Phone: (212) 867-1721 a CAUSE OF ACTION (CITE THE U.S. CIVIL STATUTE UNDER WHICH YOU ARE FILING AND WRITE A BRIEF STATEMENT OF CAUSE) (DO NOT CITE JURISDICTIONAL STATUTES UNLESS DIVERSITY) 15 U.S.C. §§ 77k, 77I(a)(2), and 770 Has this or a similar case been previously filed in SDNY at any time? No? 151 Yes? 0 Judge Previously Assigned If yes, was this case Vol.0 Invol. 0 Dismissed. No 0 Yes 0 If yes, give date & Case No. (PLACE AN (x) IN ONE BOX ONLY) NATURE OF SUIT TORTS ACTIONS UNDER STATUTES CONTRACT PERSONAL INJURY PERSONAL INJURY FORFEITURE/PENALTY BANKRUPTCY OTHER STATUTES • [ 1110 INSURANCE 1310 AIRPLANE 1 1362 PERSONAL INJURY - 1 j 610 AGRICULTURE [ )422 APPEAL 1400 STATE [ ] 120 MARINE 1315 AIRPLANE PRODUCT MED MALPRACTICE ( 1620 OTHER FOOD & 28 USC 158 REAPPORTIONMENT ( 1130 MILLER ACT LIABILITY [ 1365 PERSONAL INJURY DRUG [ ] 423 WITHDRAWAL 1410 ANTITRUST ( 1140 NEGOTIABLE ) 320 ASSAULT, LIBEL & PRODUCT LIABILITY [ ] 625 DRUG RELATED 28 USC 157 11430 BANKS & BANKING INSTRUMENT SLANDER [ 1368 ASBESTOS PERSONAL SEIZURE OF 1450 COMMERCE [ ] 150 RECOVERY OF 1330 FEDERAL INJURY PRODUCT PROPERTY 1460 DEPORTATION OVERPAYMENT & EMPLOYERS LIABILITY 21 USC 881 PROPERTY RIGHTS 1470 RACKETEER INFLU- ENFORCEMENT LIABILITY [ 1630 LIQUOR LAWS ENCED & CORRUPT OF JUDGMENT 1340 MARINE PERSONAL PROPERTY ( 1640 RR & TRUCK [ 1 820 COPYRIGHTS ORGANIZATION ACT [ 1151 MEDICARE ACT ] 345 MARINE PRODUCT [ )650 AIRLINE REGS [ 1830 PATENT (RICO) [ 1152 RECOVERY OF LIABILITY 1 1370 OTHER FRAUD [ 1660 OCCUPATIONAL [ 1840 TRADEMARK 1480 CONSUMER CREDIT DEFAULTED 1 350 MOTOR VEHICLE [ 1371 TRUTH IN LENDING SAFETY/HEALTH 1490 CABLE/SATELLITE TV STUDENT LOANS ] 355 MOTOR VEHICLE [ 1380 OTHER PERSONAL [ 1690 OTHER ] 810 SELECTIVE SERVICE (EXCL VETERANS) PRODUCT LIABILITY PROPERTY DAMAGE SOCIAL SECURITY 54 850 SECURITIES/ [ 1153 RECOVERY OF ] 360 OTHER PERSONAL ( 1 385 PROPERTY DAMAGE COMMODITIES/ OVERPAYMENT INJURY PRODUCT LIABILITY LABOR 1 ) 861 HIA (1395ff) EXCHANGE OF VETERAN'S [ 1862 BLACK LUNG (923) 1875 CUSTOMER BENEFITS [ 1710 FAIR LABOR [ 1863 DIWC/DIWW (405(g)) CHALLENGE [ 1160 STOCKHOLDERS STANDARDS ACT [ 1864 SSID TITLE XVI 12 USC 3410 SUITS [ 1720 LABOR/MGMT [ 1865 RSI (405(g)) 1)890 OTHER STATUTORY [ 1190 OTHER RELATIONS ACTIONS CONTRACT 1 ] 730 LABOR/MGMT ] 891 AGRICULTURAL ACTS [ 1195 CONTRACT REPORTING & FEDERAL TAX SUITS 1892 ECONOMIC PRODUCT ACTIONS UNDER STATUTES DISCLOSURE ACT STABILIZATION ACT LIABILITY [ ] 740 RAILWAY LABOR ACT [(870 TAXES (U.S. Plaintiff or ((893 ENVIRONMENTAL [ 1196 FRANCHISE CIVIL RIGHTS PRISONER PETITIONS ( ) 790 OTHER LABOR Defendant) MATTERS LITIGATION [ 1871 IRS-THIRD PARTY 1 1894 ENERGY [ 1441 VOTING ( 1510 MOTIONS TO [ ] 791 EMPL RET INC 26 USC 7609 ALLOCATION ACT [ ] 442 EMPLOYMENT VACATE SENTENCE SECURITY ACT 1895 FREEDOM OF REAL PROPERTY 1 1443 HOUSING/ 28 USC 2255 INFORMATION ACT ACCOMMODATIONS [ 1530 HABEAS CORPUS IMMIGRATION 1 1900 APPEAL OF FEE 1210 LAND [ 1444 WELFARE [ 1535 DEATH PENALTY DETERMINATION CONDEMNATION [ 1445 AMERICANS WITH [ 1540 MANDAMUS & OTHER 1 ] 462 NATURALIZATION UNDER EQUAL 1220 FORECLOSURE DISABILITIES- [ [550 CIVIL RIGHTS APPLICATION ACCESS TO JUSTICE 1230 RENT LEASE & EMPLOYMENT 1 1 555 PRISON CONDITION [ 1463 HABEAS CORPUS- 1 1950 CONSTITUTIONALITY EJECTMENT [ 1446 AMERICANS WITH ALIEN DETAINEE OF STATE STATUTES 1240 TORTS TO LAND DISABILITIES -OTHER 1 ] 465 OTHER IMMIGRATION ] 245 TORT PRODUCT 1 1440 OTHER CIVIL RIGHTS ACTIONS LIABILITY ] 290 ALL OTHER REAL PROPERTY , • 1 t 'LI Check if demanded in complaint: CHECK IF THIS IS A CLASS ACTION DO YOU CLAIM THIS CASE IS RELATED TO A CIVIL CASE NOW PENDING IN S.D.N.Y.? 13 UNDER F.R.C.P. 23 IF SO, STATE: DEMAND $ OTHER JUDGE DOCKET NUMBER Check YES only if demanded in complaint JURY DEMAND: E YES El NO NOTE: Please submit at the time of filing an explanation of why cases are deemed related. f (PLACE AN x IN ONE BOX ONL Y) ORIGIN 151 1 Original 0 2a. Removed from 0 3 Remanded from 0 4 Reinstated or 0 5 Transferred from 0 6 Multidistrict 0 7 Appeal to District Proceeding State Court Appellate Court Reopened (Specify District) Litigation Judge from 0 2b.Removed from Magistrate Judge State Court AND Judgment at least one party is pro se. (PLACE AN x IN ONE BOX ONL Y) BASIS OF JURISDICTION IF DIVERSITY, INDICATE 0 1 U.S. PLAINTIFF 0 2 U.S. DEFENDANT al 3 FEDERAL QUESTION 04 DIVERSITY CITIZENSHIP BELOW. (U.S. NOT A PARTY) (28 USC 1322, 1441) CITIZENSHIP OF PRINCIPAL PARTIES (FOR DIVERSITY CASES ONLY) (Place an [X] in one box for Plaintiff and one box for Defendant) PTF DEF PTF DEF PTF DEF CITIZEN OF THIS STATE ( 11 ( 11 CITIZEN OR SUBJECT OF A [ ] 3 [ ] 3 INCORPORATED and PRINCIPAL PLACE ( 15 [ ] 5 FOREIGN COUNTRY OF BUSINESS IN ANOTHER STATE CITIZEN OF ANOTHER STATE 1 12 [ ] 2 INCORPORATED or PRINCIPAL PLACE [ 14 [ 14 FOREIGN NATION [ 16 1 16 OF BUSINESS IN THISSTATE PLAINTIFF(S) ADDRESS(ES) AND COUNTY(IES) Beverly Pellegrini (Fresno County) 0/0 GIRARD GIBBS LLP 601 CALIFORNIA STREET, 14TH FLOOR SAN FRANCISCO, CA 94108 DEFENDANT(S) ADDRESS(ES) AND COUNTY(IES) DEFENDANT(S) ADDRESS UNKNOWN REPRESENTATION IS HEREBY MADE THAT, AT THIS TIME, I HAVE BEEN UNABLE, WITH REASONABLE DILIGENCE, TO ASCERTAIN THE RESIDENCE ADDRESSES OF THE FOLLOWING DEFENDANTS: Check one: THIS ACTION SHOULD BE ASSIGNED TO: 111 WHITE PLAINS MANHATTAN (DO NOT check either box if this a PRIS•NER PETITION.) DATE SIG ATUR OF AT ORNEY • RECORD ADMITTEQ PATIJYTHIS DISTRICT 4 &AI% ( DM Eexo. March yr. 1989 RECEIPT # rikey B Cod L- 39-0) Magistrate Judge is to be designated by the Clerk of the Court. Magistrate Judge is so Designated. J. Michael McMahon, Clerk of Court by _ _ _ Deputy Clerk, DATED UNITED STATES DISTRICT COURT (NEW YORK SOUTHERN) „.„ UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK BEVERLY PELLEGRINI, on Behalf of 139 CIV 3608 Herself and All Others Similarly Situated, Plaintiff, CLASS ACTION COMPLAINT FOR VIOLATION OF THE FEDERAL vs. SECURITIES LAWS BARCLAYS BANK PLC, BARCLAYS PLC, BARCLAYS CAPITAL, INC., JURY TRIAL DEMANDED MARCUS AGIUS, JOHN VARLEY, CHRISTOPHER LUCAS, GARY HOFFMAN, ROBERT E. DIAMOND, JR., FREDERIK SEEGERS, DAVID BOOTH, SIR RICHARD BROADBENT, LEIGH CLIFFORD, FULVIO CONTI, DR. DANIEL CRONJE, PROFESSOR DAME SANDRA DAWSON, SIR ANDREW LIKIERMAN, SIR NIGEL RUDD, STEPHEN RUSSELL, SIR JOHN SUNDERLAND, BARCLAYS CAPITAL SECURITIES LIMITED, CITIGROUP GLOBAL MARKETS, , INCORPORATED, MERRILL LYNCH, PIERCE, FENNER & SMITH, • INCORPORATED, UBS SECURITIES, LLC, WACHOVIA CAPITAL MARKETS, LLC, MORGAN STANLEY & CO, INCORPORATED, BANC OF AMERICA . .• SECURITIES, LLC, RBC CAPITAL --4 MARKETS CORPORATION, DEUTSCHE BANK SECURITIES, INCORPORATED, SUN TRUST ROBINSON HUMPHREY, and WELLS FARGO SECURITIES, LLC, Defendants. Plaintiff Beverly Pellegrini, by her undersigned counsel, alleges the following based upon personal knowledge as to her own acts and upon the investigation of her counsel, which includes, among other things, a review of: (a) public statements, presentations and marketing materials by 1 Barclays Bank PLC ("Barclays Bank" or the "Company"); (b) Securities and Exchange Commission ("SEC") filings made by Barclays Bank, other brokerages, financial services firms and investment companies; (c) securities analysts' reports, press releases and media reports; and (d) interviews with purchasers of the subject securities and other knowledgeable individuals. INTRODUCTION 1. This is a class action under Sections 11, 12(a)(2) and 15 of the Securities Act of 1933 (the "Securities Act") on behalf of all purchasers of Barclays Bank Series 5 American Depositary Shares ("ADSs") issued and/or traceable to the false and misleading Registration Statement and Prospectus (filed by Barclays Bank with the SEC on August 31, 2007) (the "Registration Statement") and Prospectus Supplement (filed by Barclays Bank with the SEC on April 9, 2008) (collectively the Registration Statement, Prospectus and Prospectus Supplement are referred to as the "Prospectus") in connection with the Company's initial public offering of approximately 100 million shares of Series 5 ADSs, which became effective on April 11, 2008 (the "Offering"). 2. This action asserts strict liability claims under the Securities Act against Barclays Bank, its directors and the investment banks which underwrote the Offering (collectively, "defendants"). 3. Barclays Bank, including its subsidiaries, is a major global financial services provider in retail and commercial banking, credit cards, investment banking, wealth management and investment management services. Based in the United Kingdom, Barclays Bank operates through a global network of branches, offices and subsidiaries in numerous countries, including the United States. Barclay Bank's United States operations are headquartered in New York, New York. 4. Defendants consummated the Offering pursuant to a false and misleading Registration Statement and Prospectus, selling approximately 106 million Series 5 ADSs at $25 per share (which included an over-allotment option to underwriters to purchase up to an additional 15 million ADSs), for proceeds of approximately $2.65 billion. The Registration 2 Statement and Prospectus reference and expressly incorporate Barclays Bank's financial results for 2006 and 2007, including the Company's 2006 Form 20-F filing with the SEC. This 20-F filing reports increases in annual profit before tax of 35% for Barclays Bank, and 55 °A for Barclays Capital, Inc.
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