Vanessa Simmonds v. Credit Suisse Securities (usa) LLC

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 No. 09-35262
interest to Hambrecht & Quist and No. 09-35363
Chase Securities Inc.; BANK OF D.C. No. 2:07-cv-
AMERICA CORPORATION, a Delaware  01549-JLR
corporation, successor in interest Western District of
to Fleetboston Robertson Stephens, Washington,
Inc.; ONVIA INC., a Delaware Seattle
corporation formerly known as
Onvia.com Inc.; ROBERTSON
STEPHENS, INC.; J.P. MORGAN
SECURITIES INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1477

-- 1 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
DEUTSCHE BANK SECURITIES INC.; No. 09-35280 FOUNDRY NETWORKS INC., Nominal D.C. Nos. Defendant, a Delaware  2:07-cv-01566-JLR corporation; MERRILL LYNCH
2:07-cv-01549-JLR PIERCE FENNER & SMITH
INCORPORATED; J.P. MORGAN
SECURITIES INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
MERRILL LYNCH & CO. INC.,
Defendant, No. 09-35282
and No. 09-35375
FINISAR CORPORATION, Nominal  D.C. Nos.
Defendant, a Delaware 2:07-cv-01567-JLR
corporation; MERRILL LYNCH 2:07-cv-01549-JLR
PIERCE FENNER & SMITH
INCORPORATED; J.P. MORGAN
SECURITIES INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1478 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 2 of 35 --

 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-JLRCORPORATION; ROBERTSON 2:07-cv-01549-JLRSTEPHENS, 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 No. 09-35286Credit Suisse First Boston No. 09-35367Corporation; BANK OF AMERICA
 CORPORATION, a Delaware D.C. Nos.
corporation, successor in interest 2:07-cv-01576-JLR
to BancBoston Robertson 2:07-cv-01549-JLR
Stephens, Inc.; TIVO INC., Nominal
Defendant, a Delaware
corporation; ROBERTSON STEPHENS,
INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1479 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 3 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
GOLDMAN SACHS & CO., a New
York limited partnership; BANK OF
AMERICA CORPORATION, a Delaware
corporation, successor in interest No. 09-35288 to FleetBoston Robertson D.C. Nos. Stephens, Inc.; ROBERTSON  2:07-cv-01569-JLR STEPHENS INC., a Massachusetts 2:07-cv-01549-JLR corporation,
Defendants-Appellees,
and
TURNSTONE SYSTEMS, INC., a
Delaware corporation,
Defendant.
In Re: SECTION 16(b) LITIGATION 
1480 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 4 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
GOLDMAN SACHS & CO., “Goldman
Sachs”; CREDIT SUISSE SECURITIES
(USA) LLC, “Credit Suisse” No. 09-35289 formerly known as Credit Suisse D.C. Nos. First Boston Corporation; BANK OF  2:07-cv-01577-JLR AMERICA CORPORATION, a Delaware 2:07-cv-01549-JLR corporation, successor in interest
to BancBoston Robertson
Stephens, Inc.; ROBERTSON
STEPHENS, INC.; JUNIPER NETWORKS
INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1481 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 5 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v. No. 09-35290
MORGAN STANLEY & CO., No. 09-35381
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
No. 09-35364 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 
1482 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 6 of 35 --

 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.
 2:07-cv-01578-JLR and 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 
1483 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 7 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
MORGAN STANLEY, a Delaware
corporation, successor in interest
to Morgan Stanley Dean Witter,
Defendant,
and
No. 09-35297SILICON LABORATORIES INC., No. 09-35373Nominal Defendant, a Delaware D.C. Nos.  corporation; MORGAN STANLEY & 2:07-cv-01590-JLRCO. INCORPORATED; LEHMAN 2:07-cv-01549-JLRBROTHERS 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 
1484 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 8 of 35 --

 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 
1485 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 9 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
GOLDMAN SACHS GROUP INC.,
Defendant,
No. 09-35301 and No. 09-35374
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 
1486 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 10 of 35 --

 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 
1487 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 11 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
GOLDMAN SACHS GROUP INC., a No. 09-35303 Delaware corporation, No. 09-35391 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 No. 09-35306interest to BancBoston Robertson
 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 
1488 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 12 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a No. 09-35307 Delaware corporation, successor in D.C. Nos. interest to BancBoston Robertson  2:07-cv-01585-JLR Stephens, Inc.; CONCUR
2:07-cv-01549-JLR TECHNOLOGIES, INC., a Delaware
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  D.C. No. Systems, Inc.; LEHMAN BROTHERS, 2:07-cv-01583-JLR 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 
1489 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 13 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
No. 09-35309 v. No. 09-35369
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.
No. 09-35310CREDIT SUISSE GROUP, a global No. 09-35368bank headquartered in Zurich, Switzerland; SELECTICA, INC., D.C. No.
Nominal Defendant, a Delaware 2:07-cv-01584-JLR
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1490 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 14 of 35 --

 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. No. 09-35313
MORGAN STANLEY & CO., No. 09-35370
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 
1491 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 15 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
No. 09-35314 MORGAN STANLEY & CO., No. 09-35371 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 OF
AMERICA CORPORATION, a Delaware No. 09-35315
corporation; ROBERTSON STEPHENS,  D.C. No. INC.; J.P. MORGAN SECURITIES INC., 2:07-cv-01580-JLR a Delaware corporation,
Defendants-Appellees,
and
OPENWAVE SYSTEMS, INC., a
California corporation,
Defendant.
In Re: SECTION 16(b) LITIGATION 
1492 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 16 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
CREDIT SUISSE GROUP SECURITIES
(USA) LLC, a Delaware limited
liability company; BANK OF
No. 09-35316 AMERICA CORPORATION, a Delaware D.C. Nos. corporation; ROBERTSON STEPHENS,  2:07-cv-01581-JLR INC., 2:07-cv-01549-JLR Defendants-Appellees,
and
INFORMATICA CORPORATION, a
Delaware corporation,
Defendant.
In Re: SECTION 16(b) LITIGATION 
1493 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 17 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
CREDIT SUISSE GROUP SECURITIES
(USA) LLC, a Delaware limited
liability company; BANK OF
AMERICA CORPORATION, a Delaware
corporation; ROBERTSON STEPHENS, No. 09-35317 INC., a Massachusetts corporation; No. 09-35365 MERRILL LYNCH, PIERCE, FENNER &
D.C. Nos.  SMITH INCORPORATED, a Delaware 2:07-cv-01572-JLR corporation; CITIGROUP GLOBAL
2:07-cv-01549-JLR MARKETS INC., a New York
corporation,
Defendants-Appellees,
and
INTERSIL CORPORATION, a Delaware
corporation,
Defendant.
In Re: SECTION 16(b) LITIGATION 
1494 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 18 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
GOLDMAN SACHS GROUP INC.,
Defendant,
and
BANK OF AMERICA CORPORATION, a
Delaware corporation, successor in
interest to Fleetboston Robertson No. 09-35318
Stephens, Inc.; SONUS NETWORKS No. 09-35393
INC., a Delaware corporation; D.C. Nos. 
GOLDMAN SACHS & CO.; LEHMAN 2:07-cv-01597-JLR
BROTHERS INC.; ROBERTSON 2:07-cv-01549-JLR
STEPHENS, INC.; J.P. MORGAN
SECURITIES 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 
1495 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 19 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
MORGAN STANLEY & CO.,
INCORPORATED; J.P. MORGAN
SECURITIES, INC., a Delaware No. 09-35320
corporation; LEHMAN BROTHERS, No. 09-35366
 INC., a Delaware corporation, D.C. No.
Defendants-Appellees, 2:07-cv-01573-JLR
and
AVICI SYSTEMS, INC., a Delaware
corporation,
Defendant.
In Re: SECTION 16(b) LITIGATION 
1496 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 20 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a
Delaware corporation, successor in No. 09-35321
interest to BancBoston Robertson No. 09-35397
Stephens, Inc.; PRICELINE.COM INC., D.C. Nos. a Delaware corporation; MORGAN 2:07-cv-01598-JLR
STANLEY & CO. INCORPORATED; 2:07-cv-01549-JLR
MERRILL LYNCH PIERCE FENNER &
SMITH INCORPORATED; ROBERTSON
STEPHENS, INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
No. 09-35322 GOLDMAN SACHS & CO.; LEHMAN
D.C. Nos. BROTHERS, INC.; J.P. MORGAN  2:07-cv-01632-JLR SECURITIES, INC.; MARVELL
2:07-cv-01549-JLR TECHNOLOGY GROUP, LTD., a
Bermuda corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1497 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 21 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
No. 09-35323 MORGAN STANLEY & CO., No. 09-35404 INCORPORATED; MERRILL LYNCH
D.C. Nos.  PIERCE FENNER & SMITH
2:07-cv-01631-JLR INCORPORATED; PEROT SYSTEMS
2:07-cv-01549-JLR CORPORATION, a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1498 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 22 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
CREDIT SUISSE GROUP, a global
bank headquartered in Zurich,
Switzerland; DEUTSCHE BANK AG,
a global bank headquartered in
Frankfurt, Germany; LEHMAN
BROTHERS HOLDINGS, INC., a
Delaware corporation; AIRSPAN No. 09-35324
NETWORKS, INC., Nominal  D.C. No. Defendant, a Washington 2:07-cv-01638-JLR corporation; DEUTSCHE BANK
SECURITIES, INC.; LEHMAN
BROTHERS, INC.,
Defendants-Appellees,
and
JAMES W. GIDDENS, Trustee for the
Liquidation of the Business of
Lehman Brothers, Inc.,
Trustee-Appellee.
In Re: SECTION 16(b) LITIGATION 
1499 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 23 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
GOLDMAN SACHS & CO.; BANK OF
No. 09-35325 AMERICA CORPORATION, a Delaware D.C. Nos. corporation, successor in interest  2:07-cv-01630-JLR BancBoston Robertson Stephens 2:07-cv-01549-JLR Inc.; ROBERTSON STEPHENS, INC.;
INSWEB CORPORATION, a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v. No. 09-35326
MORGAN STANLEY & CO., No. 09-35405
INCORPORATED; DEUTSCHE BANK D.C. Nos. SECURITIES, INC.; ASIAINFO 2:07-cv-01633-JLR
HOLDINGS, INC., a Delaware 2:07-cv-01549-JLR
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1500 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 24 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a
Delaware corporation, successor in No. 09-35328 interest to BancBoston Robertson D.C. Nos. Stephens, Inc. and FleetBoston  2:07-cv-01634-JLR Roberton Stephens, Inc.; 2:07-cv-01549-JLR ROBERTSON STEPHENS, INC.; J.P.
MORGAN SECURITIES, INC.; KEYNOTE
SYSTEMS, INC., a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a
Delaware corporation, successor in No. 09-35327
interest to BancBoston Robertson No. 09-35382
 Stephens, Inc.; ROBERTSON D.C. No.
STEPHENS, INC.; J.P. MORGAN 2:07-cv-01652-JLR
SECURITIES INC.; DIGIMARC
CORPORATION, Nominal Defendant,
a Delaware corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1501 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 25 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
No. 09-35331 GOLDMAN SACHS & CO.; BEAR
D.C. Nos. STEARNS & CO., INC.; DEUTSCHE  2:07-cv-01635-JLR BANK SECURITIES, INC.; TIBCO
2:07-cv-11549-JLR SOFTWARE, INC., a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
No. 09-35333 MARTHA STEWART LIVING
No. 09-35380 OMNIMEDIA INC., a Delaware D.C. Nos.  corporation; MORGAN STANLEY & 2:07-cv-01605-JLR CO. INCORPORATED; MERRILL LYNCH
2:07-cv-01549-JLR PIERCE FENNER & SMITH
INCORPORATED,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1502 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 26 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v. No. 09-35334
CREDIT SUISSE GROUP, a global No. 09-35383
bank headquartered in Zurich, D.C. Nos. Switzerland; AUDIBLE INC., a 2:07-cv-01623-JLR
Delaware corporation; J.P. 2:07-cv-01549-JLR
MORGAN SECURITIES INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
GOLDMAN SACHS & CO., a New
York limited partnership; MERRILL
LYNCH PIERCE FENNER & SMITH
INCORPORATED, a Delaware No. 09-35335
corporation; BANK OF AMERICA No. 09-35377
CORPORATION, a Delaware D.C. Nos. corporation, ROBERTSON STEPHENS, 2:07-cv-01637-JLR
INC., a Massachusetts corporation, 2:07-cv-01549-JLR
Defendants-Appellees,
and
SABA SOFTWARE, INC., a Delaware
corporation,
Defendant.
In Re: SECTION 16(b) LITIGATION 
1503 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 27 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
MORGAN STANLEY & CO.
INCORPORATED, a Delaware
corporation; DEUTSCHE BANK
SECURITIES INC., a Delaware No. 09-35337
corporation; CITIGROUP GLOBAL D.C. Nos.
 MARKETS, INC., a New York 2:07-cv-01636-JLR
corporation, 2:07-cv-01549-JLR
Defendants-Appellees,
and
TRANSMETA CORPORATION, a
Delaware corporation,
Defendant.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
No. 09-35339 CAPSTONE TURBINE CORPORATION, a No. 09-35395 Delaware corporation; GOLDMAN
D.C. Nos.  SACHS & CO.; MERRILL LYNCH
2:07-cv-01624-JLR PIERCE FENNER & SMITH
2:07-cv-01549-JLR INCORPORATED; MORGAN STANLEY &
CO. INCORPORATED,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1504 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 28 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v. No. 09-35344
MORGAN STANLEY & CO. D.C. Nos.
 INCORPORATED; BROCADE 2:07-cv-01626-JLR
COMMUNICATIONS SYSTEMS INC., a 2:07-cv-01549-JLR
Delaware corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a No. 09-35345
Delaware corporation, successor in No. 09-35399
interest to Robertson Stephens, D.C. Nos. Inc.; J.P. MORGAN SECURITIES INC.; 2:07-cv-01667-JLR
ROBERTSON STEPHENS, INC.; OPLINK 2:07-cv-01549-JLR
COMMUNICATIONS, INC., a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1505 SIMMONDS v. CREDIT SUISSE SECURITIES

-- 29 of 35 --

 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a No. 09-35346Delaware corporation, successor in No. 09-35398interest to BancBoston Robertson Stephens, Inc.; ROBERTSON D.C. No.
STEPHENS, INC.; J.P. MORGAN 2:07-cv-01666-JLR
SECURITIES INC.; NAVASITE, INC., a
Delaware corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
MORGAN STANLEY & CO. No. 09-35347INCORPORATED, a Delaware No. 09-35394corporation; DEUTSCHE BANK SECURITIES, INC., a Delaware D.C. No.
corporation; ASPECT MEDICAL 2:07-cv-01655-JLR
SYSTEMS, INC., Nominal Defendant,
a Delaware corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1506 SIMMONDS v. CREDIT SUISSE SECURITIES

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 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a
Delaware corporation, successor in No. 09-35348
interest to BancBoston Robertson No. 09-35387
 Stephens, Inc.; ROBERTSON D.C. No.
STEPHENS, INC.; BEAR STEARNS & 2:07-cv-01654-JLR
CO., INC.; PACKETEER, INC.,
Nominal Defendant, a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a No. 09-35349 Delaware corporation, successor in D.C. Nos. interest to Fleetboston Robertson  2:07-cv-01668-JLR Stephens, Inc.; ROBERTSON
2:07-cv-01549-JLR STEPHENS, INC.; OMNIVISION
TECHNOLOGIES, INC., a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1507 SIMMONDS v. CREDIT SUISSE SECURITIES

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 VANESSA SIMMONDS,
Plaintiff-Appellant,
v. No. 09-35350
No. 09-35400 CREDIT SUISSE SECURITIES (USA), D.C. Nos.  LLC; OCCAM NETWORKS, INC., a 2:07-cv-01669-JLR Delaware corporation, FKA 2:07-cv-01549-JLR Accelerated Networks, Inc.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
J.P. MORGAN SECURITIES INC.; BEAR
STEARNS & CO., INC.; BANK OF
No. 09-35351 AMERICA CORPORATION, a Delaware D.C. Nos. corporation, successor in interest  2:07-cv-01670-JLR to Bancboston Robertson 2:07-cv-01549-JLR Stephens, Inc.; ROBERTSON
STEPHENS, INC.; IMMERSION
CORPORATION, a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1508 SIMMONDS v. CREDIT SUISSE SECURITIES

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 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
MORGAN STANLEY & CO.
INCORPORATED, a Delaware No. 09-35352
corporation; CREDIT SUISSE No. 09-35384
 SECURITIES (USA), LLC; J.P. D.C. No.
MORGAN SECURITIES, INC.; INTERNAP 2:07-cv-01653-JLR
NETWORK SERVICES CORPORATION,
Nominal Defendant, a Delaware
corporation,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v. No. 09-35355
MICROTUNE INC., a Delaware  D.C. No.
corporation; GOLDMAN SACHS & 2:07-cv-01627-JLR
CO.; J.P. MORGAN SECURITIES INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1509 SIMMONDS v. CREDIT SUISSE SECURITIES

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 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a No. 09-35357 Delaware corporation, successor in D.C. Nos. interest to BancBoston Robertson  2:07-cv-01628-JLR Stephens, Inc.; MORGAN STANLEY
2:07-cv-01549-JLR & CO. INCORPORATED; ROBERTSON
STEPHENS, INC.; EXTREME NETWORKS
INC.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
 VANESSA SIMMONDS,
Plaintiff-Appellant,
v.
BANK OF AMERICA CORPORATION, a No. 09-35358 Delaware corporation, successor in No. 09-35390 interest to Robertson Stephens, D.C. Nos.  Inc.; J.P. MORGAN SECURITIES INC.; 2:07-cv-01629-JLR ROBERTSON STEPHENS, INC.; COSINE
2:07-cv-01549-JLR COMMUNICATIONS INC., a Delaware
corporation; GOLDMAN SACHS &
CO.,
Defendants-Appellees.
In Re: SECTION 16(b) LITIGATION 
1510 SIMMONDS v. CREDIT SUISSE SECURITIES

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 VANESSA SIMMONDS,
Plaintiff-Appellee,
v.
CREDIT SUISSE SECURITIES (USA) No. 09-35363LLC; CREDIT SUISSE SECURITIES D.C. Nos.(USA) LLC; J.P. MORGAN 2:07-cv-01549-JLR  SECURITIES INC.; BANK OF AMERICA 2:07-cv-01549-JLRCORPORATION, a Delaware
corporation, successor in interest ORDER
to Fleetboston Robertson Stephens,
Inc.; ROBERTSON STEPHENS, INC.,
Defendants-Appellants.
In Re: SECTION 16(b) LITIGATION 
Filed December 2, 2010
Amended January 18, 2011
Second Amendment January 25, 2011
Before: Sidney R. Thomas and Milan D. Smith, Jr.,
Circuit Judges, and Michael R. Hogan, District Judge.*
ORDER
The Opinion filed on December 2, 2010 and the Order and
Amended Opinion filed on January 18, 2011 are amended to
list the case numbers of the cross-appeals, as shown in the
captions listed above.
*The Honorable Michael R. Hogan, United States District Judge for the
District of Oregon, sitting by designation.
1511 SIMMONDS v. CREDIT SUISSE SECURITIES

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