This case was last updated from U.S. District Courts on 06/29/2022 at 04:06:46 (UTC).

IN RE DIDI GLOBAL INC. SECURITIES LITIGATION

Case Summary

On July 6th, 2021, Plaintiff Rafaela Espinal (“Plaintiff”), on behalf of himself and all others similarly situated, represented by Gregory B. Linkh of Glancy Prongay & Murray LLP, filed a Finance - Security/Commodity/Exchange lawsuit against  DiDi Global INC. F/K/A Xiaoju Kuaizhi INC. (“DIDI”), Will W. Cheng (“Cheng”), Alan Y. Zhuo (“Zhuo”) (collectively, with Cheng, the “Exchange Act Individual Defendants”), Jean Q. Liu (“Liu”), Stephen J. Zhu (“Zhu”), Zhiyi Chen (“Chen”), Martin Chi Ping Lau (“Lau”), Kentaro Matsui (“Matsui”), Adrian Perica (“Perica”), Daniel Y. Zhang (“Zhang”) (Cheng, Zhuo, Liu, Zhu, Chen, Lau, Matsui, Perica, and Zhang collectively, the “Individual Defendants”). Plaintiff also filed this suit against Goldman Sachs (Asia) L.L.C. (“Goldman Sachs”), Morgan Stanley & Co. LLC (“Morgan Stanley”), J.P. Morgan Securities LLC (“J.P. Morgan”), BofA Securities, Inc. (“BofA”), Barclays Capital Inc. (“Barclays”), China Renaissance Securities (Hong Kong) Limited (“China Renaissance”), China International Capital Corporation Hong Kong Securities Limited (“China International”), Citigroup Global Markets Inc. (“Citigroup”), Guotai Junan Securities (Hong Kong) Limited (“Guotai”),  HSBC Securities (USA) Inc. (“HSBC”), UBS Securities LLC (“UBS”), BOCI Asia Limited (“BOCI”), OCOM International Securities Limited (“BOCOM”), CCB International Capital Limited (“CCB”),  CLSA Limited (“CLSA”), CMB International Capital Limited (“CMB”), Futu Inc. (“Futu”), ICBC International Securities Limited (“ICBC”), Mizuho Securities USA LLC (“Mizuho”), Tiger Brokers (NZ) Limited (“Tiger Brokers”) (Goldman Sachs, Morgan Stanley, J.P. Morgan, BofA, Barclays, China Renaissance, China International, Citigroup, Guotai, HSBC, UBS, BOCI, BOCOM, CCB, CLSA, CMB, Futu, ICBC, Mizuho, and Tiger Brokers collectively, the “Underwriter Defendants”). Plaintiff seeks damages, as well as other relief, for Defendant’s alleged violations of U.S. Securities Acts. This case was filed in U.S. District Court in the Southern District of New York with Judge Lewis A. Kaplan presiding.

Plaintiff brings this case on behalf of himself and all others who, “purchased or otherwise acquired DiDi: (a) ADSs issued in connection with the Company’s IPO; and/or (b) securities between June 30, 2021 and July 2, 2021, inclusive, and who were damaged thereby (the “Class”).”       

In his complaint, Plaintiff alleged that, “DiDi purports to be the world’s largest mobility technology platform. Its four key components are: shared mobility, auto solutions, electronic mobility, and autonomous driving. The Company claims to be the “go-to brand in China for shared mobility,” offering a range of services including ride hailing, taxi hailing, chauffeur, and hitch.” Plaintiff also alleged that, “On June 30, 2021, the Company filed its prospectus on Form 424B4 with the SEC, which forms part of the Registration Statement. In the IPO, the Company sold approximately 316,800,000 shares at a price of $14.00 per share. Four ADSs represent one Class A ordinary share. The Company received proceeds of approximately $4,331.6 million from the Offering, net of underwriting discounts and commissions. The proceeds from the IPO were purportedly to be used to invest in the Company’s technology capabilities, grow its presence in certain international markets, introduce new products and expand existing offerings, and general corporate purposes.”

Plaintiff further alleged that, “On June 30, 2021, the Company filed its prospectus on Form 424B4 with the SEC, which forms part of the Registration Statement. In the IPO, the Company sold approximately 316,800,000 shares at a price of $14.00 per share. Four ADSs represent one Class A ordinary share. The Company received proceeds of approximately $4,331.6 million from the Offering, net of underwriting discounts and commissions. The proceeds from the IPO were purportedly to be used to invest in the Company’s technology capabilities, grow its presence in certain international markets, introduce new products and expand existing offerings, and general corporate purposes.” Plaintiff then alleged that, “The Registration Statement was materially false and misleading and omitted to state: (1) that DiDi’s apps did not comply with applicable laws and regulations governing privacy protection and the collection of personal information; (2) that, as a result, the Company was reasonably likely to incur scrutiny from the Cyberspace Administration of China; (3) that the CAC had already warned DiDi to delay its IPO to conduct a self-examination of its network security; (4) that, as a result of the foregoing, DiDi’s apps were reasonably likely to be taken down from app stores in China, which would have an adverse effect on its financial results and operations; and (5) that, as a result of the foregoing, Defendants’ positive statements about the Company’s business, operations, and prospects, were materially misleading and/or lacked a reasonable basis.”

There are four claims for relief laid down by the Plaintiff. The claims alleged are Violation of Section 11 of the Securities Act (Against All Defendants), Violation of Section 15 of the Securities Act (Against the Individual Defendants), Violation of Section 10(b) of The Exchange Act and Rule 10b-5 Promulgated Thereunder (Against DiDi and the Exchange Act Individual Defendants), Violation of Section 20(a) of The Exchange Act (Against the Exchange Act Individual Defendants).

In his prayer for relief, the Plaintiff has requested that the Court  determine that this action is a proper class action under Rule 23 of the Federal Rules of Civil Procedure and award; compensatory damages in favor of Plaintiff and the other Class members against all defendants, jointly and severally, for all damages sustained as a result of Defendants’ wrongdoing, in an amount to be proven at trial, including interest thereon; reasonable costs and expenses incurred in this action, including counsel fees and expert fees; and such other and further relief as the Court may deem just and proper.     

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Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    1:21-CV-05807

  • Filing Date:

    07/06/2021

  • Case Status:

    Pending - Other Pending

  • Case Type:

    Finance - Security/Commodity/Exchange

Judge Details

Presiding Judge

Lewis A. Kaplan

 

Party Details

Plaintiff

RAFAELA ESPINAL

Defendants

DIDI GLOBAL INC. F/K/A XIAOJU KUAIZHI INC.

WILL WEI CHENG

ALAN YUE ZHUO

JEAN QING LIU

STEPHEN JINGSHI ZHU

ZHIYI CHEN

MARTIN CHI PING LAU

KENTARO MATSUI

ADRIA PERICA

DANIEL YONG ZHANG

GOLDMAN SACHS (ASIA) L.L.C.

MORGAN STANLEY & CO. LLC

J.P. MORGAN SECURITIES LLC

BOFA SECURITIES, INC.

BARCLAYS CAPITAL INC.

CHINA RENAISSANCE SECURITIES (HONG KONG) LIMITED

CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED

CITIGROUP GLOBAL MARKETS INC.

GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED

29 More Parties Available

Attorney/Law Firm Details

Plaintiff Attorney

Gregory Bradley Linkh

Attorney at Glancy Prongay & Murray LLP

230 Park Avenue, Suite 358

New York, NY 10169

Other Attorneys

Jeffrey Philip Campisi

Attorney at Kaplan Fox & Kilsheimer LLP (NYC)

850 Third Avenue, 14Th Floor

New York, NY 10022

James Michael LoPiano

Attorney at Pomerantz LLP

600 Third Ave, 20Th Floor

New York, NY 10016

Gary Steven Graifman

Attorney at Kantrowitz Goldhamer & Graifman, P.C.

747 Chestnut Ridge Road

Chestnut Ridge, NY 10977

Shannon Lee Hopkins

Attorney at Levi & Korsinsky, LLP

1111 Summer Street, Suite 403

Stamford, CT 06905

Daniel Isaac Tyre-Karp

Attorney at The Rosen Law Firm

275 Madison Avenue, Ste 40Th Floor

New York, NY 10016

Jing Chen

Attorney at The Rosen Law Firm, P.A.

275 Madison Avenue, 40Th Floor

New York, NY 10033

Laurence Matthew Rosen

Attorney at The Rosen Law Firm, P.A.

275 Madison Avenue, 40Th Floor

New York, NY 10016-1101

Phillip C. Kim

Attorney at The Rosen Law Firm

275 Madison Avenue, 40Th Floor

New York, NY 10016

Nathaniel A. Tarnor

Attorney at Hagens Berman Sobol Shapiro LLP

322 8Th Avenue, Suite 802

New York, NY 10001

Kim Elaine Miller

Attorney at Kahn Swick & Foti, LLC

250 Park Avenue, Suite 2040

New York, NY 10177

Joseph Alexander Hood, II

Attorney at Pomerantz LLP

600 Third Avenue

New York, NY 10016

David Avi Rosenfeld

Attorney at Robbins Geller Rudman & Dowd LLP (LI)

58 South Service Road, Suite 200

Melville, NY 11747

Constantine Philip Economides

Attorney at Roche Freedman LLP

1 Se 3Rd Ave., Suite 1240

Miami, FL 33131

Francis Paul McConville

Attorney at Labaton & Sucharow LLP (NYC)

140 Broadway, 34Th Floor

New York, NY 10005

Michael Charles Griffin

Attorney at Skadden, Arps, Slate, Meagher & Flom LLP

One Manhattan West

New York, NY 10001-8602

Renita Sharma

Attorney at Quinn Emanuel Urquhart & Sullivan LLP

51 Madison Avenue, 22Nd Floor

New York, NY 10010

Richard Corey Worcester

Attorney at Quinn Emanuel Urquhart & Sullivan LLP

51 Madison Avenue, 22Nd Floor

New York, NY 10010

Robert Alexander Fumerton

Attorney at Skadden, Arps, Slate, Meagher & Flom LLP

One Manhattan West

New York, NY 10001-8602

Scott D. Musoff

Attorney at Skadden, Arps, Slate, Meagher & Flom LLP

One Manhattan West

New York, NY 10001-8602

4 More Attorneys Available

 

Court Documents

#118

(#118) PROPOSED STIPULATION AND ORDER. Document filed by Junhong Cao..(Rosen, Laurence) (Entered: 06/24/2022)

117 #3

Exhibit C - April 12, 2021 Revolving Facility Agreement

117 #2

Exhibit B Form of Employment Agreement

117 #1

Exhibit A Second Amended Complaint With Attached Exhibits

117 #117

Main Document

#116

(#116) MEMORANDUM OF LAW in Support re: #115 MOTION to Dismiss the Second Amended Complaint. . Document filed by Barclays Capital Inc., Bofa Securities, Inc., China Renaissance Securities (US) Inc., Citigroup Global Markets Inc., Goldman Sachs (ASIA) L.L.C., HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, UBS Securities LLC..(Rosenberg, Jonathan) (Entered: 06/03/2022)

#115

(#115) MOTION to Dismiss the Second Amended Complaint. Document filed by Barclays Capital Inc., Bofa Securities, Inc., China Renaissance Securities (US) Inc., Citigroup Global Markets Inc., Goldman Sachs (ASIA) L.L.C., HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, UBS Securities LLC..(Rosenberg, Jonathan) (Entered: 06/03/2022)

114 #3

Exhibit C to Worcester Declaration

114 #2

Exhibit B to Worcester Declaration

114 #114

Main Document

#6

(#6) MEMORANDUM OF LAW in Support re: #5 MOTION to Consolidate Cases 1:21-cv-05807, 1:21-cv-05973, and 1:21-cv-06603 . MOTION to Appoint Fah Liew to serve as lead plaintiff(s) . MOTION to Appoint Counsel Levi & Korsinsky, LLP. . Document filed by Fah Liew..(Hopkins, Shannon) (Entered: 09/06/2021)

5 #1

Text of Proposed Order

5 #5

Main Document

#20

(#119) STIPULATION AND ORDER REGARDING BRIEFING SCHEDULE FOR DEFENDANTS' MOTIONS TO DISMISS THE CONSOLIDATED SECOND AMENDED COMPLAINT, IT IS HEREBY STIPULATED AND AGREED, subject to the Court's approval: 1. The Individual Defendants shall file their motions to dismiss by July 22, 2022; 2. By August 1, 2022, after reviewing the Individual Defendants' motions to dismiss, the parties will agree upon and jointly file a stipulation concerning omnibus briefing and a request for the enlargement of pages for consolidated opposition and reply papers with respect to all Defendants' motions dismiss. 3. Plaintiffs shall file opposition papers to all Defendants' motions to dismiss by August 22,2022;and 4. All Defendants shall file replies in further support of the motions to dismiss by October 3, 2022. SO ORDERED. ( Motions due by 7/22/2022., Responses due by 8/22/2022, Replies due by 10/3/2022.) (Signed by Judge Lewis A. Kaplan on 6/27/22) Filed In Associated Cases: 1:21-cv-05807-LAK, 1:21-cv-05973-LAK, 1:21-cv-06603-LAK, 1:21-cv-07550-LAK (yv) (Entered: 06/27/2022)

#4

#3

#2

#1

186 More Documents Available
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Docket Entries

  • 06/27/2022
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  • Docket(#119) STIPULATION AND ORDER REGARDING BRIEFING SCHEDULE FOR DEFENDANTS' MOTIONS TO DISMISS THE CONSOLIDATED SECOND AMENDED COMPLAINT, IT IS HEREBY STIPULATED AND AGREED, subject to the Court's approval: 1. The Individual Defendants shall file their motions to dismiss by July 22, 2022; 2. By August 1, 2022, after reviewing the Individual Defendants' motions to dismiss, the parties will agree upon and jointly file a stipulation concerning omnibus briefing and a request for the enlargement of pages for consolidated opposition and reply papers with respect to all Defendants' motions dismiss. 3. Plaintiffs shall file opposition papers to all Defendants' motions to dismiss by August 22,2022;and 4. All Defendants shall file replies in further support of the motions to dismiss by October 3, 2022. SO ORDERED. ( Motions due by 7/22/2022., Responses due by 8/22/2022, Replies due by 10/3/2022.) (Signed by Judge Lewis A. Kaplan on 6/27/22) Filed In Associated Cases: 1:21-cv-05807-LAK, 1:21-cv-05973-LAK, 1:21-cv-06603-LAK, 1:21-cv-07550-LAK (yv) (Entered: 06/27/2022)

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  • 06/24/2022
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  • Docket(#118) PROPOSED STIPULATION AND ORDER. Document filed by Junhong Cao..(Rosen, Laurence) (Entered: 06/24/2022)

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  • 06/03/2022
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  • Docket(#117) DECLARATION of Jonathan Rosenberg, Esq. in Support re: #115 MOTION to Dismiss the Second Amended Complaint.. Document filed by Barclays Capital Inc., Bofa Securities, Inc., China Renaissance Securities (US) Inc., Citigroup Global Markets Inc., Goldman Sachs (ASIA) L.L.C., HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, UBS Securities LLC. (Attachments: #1 Exhibit A Second Amended Complaint With Attached Exhibits, #2 Exhibit B Form of Employment Agreement, #3 Exhibit C - April 12, 2021 Revolving Facility Agreement).(Rosenberg, Jonathan) (Entered: 06/03/2022)

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  • 06/03/2022
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  • Docket(#116) MEMORANDUM OF LAW in Support re: #115 MOTION to Dismiss the Second Amended Complaint. . Document filed by Barclays Capital Inc., Bofa Securities, Inc., China Renaissance Securities (US) Inc., Citigroup Global Markets Inc., Goldman Sachs (ASIA) L.L.C., HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, UBS Securities LLC..(Rosenberg, Jonathan) (Entered: 06/03/2022)

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  • 06/03/2022
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  • Docket(#115) MOTION to Dismiss the Second Amended Complaint. Document filed by Barclays Capital Inc., Bofa Securities, Inc., China Renaissance Securities (US) Inc., Citigroup Global Markets Inc., Goldman Sachs (ASIA) L.L.C., HSBC Securities (USA) Inc., J.P. Morgan Securities LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, UBS Securities LLC..(Rosenberg, Jonathan) (Entered: 06/03/2022)

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  • 06/03/2022
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  • Docket(#114) DECLARATION of Corey Worcester in Support re: #112 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint on Behalf of Defendant DiDi Global Inc... Document filed by Didi Global Inc.. (Attachments: #1 Exhibit A to Worcester Declaration, #2 Exhibit B to Worcester Declaration, #3 Exhibit C to Worcester Declaration, #4 Exhibit D to Worcester Declaration).(Worcester, Richard) (Entered: 06/03/2022)

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  • 06/03/2022
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  • Docket(#113) MEMORANDUM OF LAW in Support re: #112 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint on Behalf of Defendant DiDi Global Inc.. . Document filed by Didi Global Inc...(Worcester, Richard) (Entered: 06/03/2022)

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  • 06/03/2022
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  • Docket(#112) MOTION to Dismiss the Consolidated Second Amended Class Action Complaint on Behalf of Defendant DiDi Global Inc.. Document filed by Didi Global Inc...(Worcester, Richard) (Entered: 06/03/2022)

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  • 05/11/2022
  • DocketSet/Reset Deadlines: Responses due by 7/7/2022 Replies due by 8/5/2022. (mml) (Entered: 05/11/2022)

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  • 05/11/2022
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  • Docket(#111) ORDER granting #108 Letter Motion for Extension of Time. Approved. SO ORDERED. Motions due by 6/3/2022. (Signed by Judge Lewis A. Kaplan on 5/11/2022) (mml) (Entered: 05/11/2022)

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110 More Docket Entries
  • 09/06/2021
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  • Docket(#6) MEMORANDUM OF LAW in Support re: #5 MOTION to Consolidate Cases 1:21-cv-05807, 1:21-cv-05973, and 1:21-cv-06603 . MOTION to Appoint Fah Liew to serve as lead plaintiff(s) . MOTION to Appoint Counsel Levi & Korsinsky, LLP. . Document filed by Fah Liew..(Hopkins, Shannon) (Entered: 09/06/2021)

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  • 09/06/2021
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  • Docket(#5) MOTION to Consolidate Cases 1:21-cv-05807, 1:21-cv-05973, and 1:21-cv-06603 ., MOTION to Appoint Fah Liew to serve as lead plaintiff(s) ., MOTION to Appoint Counsel Levi & Korsinsky, LLP. Document filed by Fah Liew. (Attachments: #1 Text of Proposed Order).(Hopkins, Shannon) (Entered: 09/06/2021)

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  • 07/07/2021
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  • Docket(#4) ELECTRONIC SUMMONS ISSUED as to Barclays Capital Inc., Bocci Asia Limited, Bocom International Securities Limited, Bofa Securities, Inc., CCB International Capital Limited, CLSA Limited, CMB International Capital Limited, Zhiyi Chen, Will Wei Cheng, China International Capital Corporation Hong Kong Securities Limited, China Renaissance Securities (Hong Kong) Limited, Citigroup Global Markets Inc., Didi Global Inc., Futu Inc., Goldman Sachs (ASIA) L.L.C., Guotai Junan Securities (Hong Kong) Limited, HSBC Securities (USA) Inc., ICBC International Securities Limited, J.P. Morgan Securities LLC, Jean Qing Liu, Kentaro Matsui, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, Adria Perica, Martin Chi Ping Lau, Tiger Brokers (NZ) Limited, UBS Securities LLC, Daniel Yong Zhang, Stephen Jingshi Zhu, Alan Yue Zhuo..(jgo) (Entered: 07/07/2021)

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  • 07/07/2021
  • DocketCase Designated ECF. (jgo) (Entered: 07/07/2021)

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  • 07/07/2021
  • DocketMagistrate Judge Debra C. Freeman is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (jgo) (Entered: 07/07/2021)

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  • 07/07/2021
  • DocketCASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Lewis A. Kaplan. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #https://nysd.uscourts.gov/rules/ecf-related-instructions..(jgo) (Entered: 07/07/2021)

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  • 07/07/2021
  • Docket***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Gregory Bradley Linkh. The party information for the following party/parties has been modified: RAFAELA ESPINAL; DIDI GLOBAL INC. F/K/A XIAOJU KUAIZHI INC.; WILL WEI CHENG; ALAN YUE ZHUO; JEAN QING LIU; STEPHEN JINGSHI ZHU; ZHIYI CHEN; MARTIN CHI PING LAU; KENTARO MATSUI; ADRIA PERICA; DANIEL YONG ZHANG; GOLDMAN SACHS (ASIA) L.L.C.; MORGAN STANLEY & CO. LLC; J.P. MORGAN SECURITIES LLC; BOFA SECURITIES, INC.; BARCLAYS CAPITAL INC.; CHINA RENAISSANCE SECURITIES (HONG KONG) LIMITED; CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED; CITIGROUP GLOBAL MARKETS INC.; GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED; HSBC SECURITIES (USA) INC.; UBS SECURITIES LLC; BOCCI ASIA LIMITED; BOCOM INTERNATIONAL SECURITIES LIMITED; CCB INTERNATIONAL CAPITAL LIMITED; CLSA LIMITED; CMB INTERNATIONAL CAPITAL LIMITED; FUTU INC.; ICBC INTERNATIONAL SECURITIES LIMITED; MIZUHO SECURITIES USA LLC; TIGER BROKERS (NZ) LIMITED. The information for the party/parties has been modified for the following reason/reasons: party name was entered in all caps; party text was omitted;. (jgo) (Entered: 07/07/2021)

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  • 07/06/2021
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  • Docket(#3) CIVIL COVER SHEET filed..(Linkh, Gregory) (Entered: 07/06/2021)

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  • 07/06/2021
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  • Docket(#2) REQUEST FOR ISSUANCE OF SUMMONS as to DIDI GLOBAL INC. F/K/A XIAOJU KUAIZHI INC., WILL WEI CHENG, ALAN YUE ZHUO, JEAN QING LIU, STEPHEN JINGSHI ZHU, ZHIYI CHEN, MARTIN CHI PING LAU, KENTARO MATSUI, ADRIA PERICA, DANIEL YONG ZHANG, GOLDMAN SACHS (ASIA) L.L.C., MORGAN STANLEY & CO. LLC, J.P. MORGAN SECURITIES LLC, BOFA SECURITIES, INC., BARCLAYS CAPITAL INC., CHINA RENAISSANCE SECURITIES (HONG KONG) LIMITED, CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED, CITIGROUP GLOBAL MARKETS INC., GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED, HSBC SECURITIES (USA) INC., UBS SECURITIES LLC, BOCCI ASIA LIMITED, BOCOM INTERNATIONAL SECURITIES LIMITED, CCB INTERNATIONAL CAPITAL LIMITED, CLSA LIMITED, CMB INTERNATIONAL CAPITAL LIMITED, FUTU INC., ICBC INTERNATIONAL SECURITIES LIMITED, MIZUHO SECURITIES USA LLC, and TIGER BROKERS (NZ) LIMITED, re: #1 Complaint,,,. Document filed by RAFAELA ESPINAL..(Linkh, Gregory) (Entered: 07/06/2021)

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  • 07/06/2021
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  • Docket(#1) COMPLAINT against BARCLAYS CAPITAL INC., BOCCI ASIA LIMITED, BOCOM INTERNATIONAL SECURITIES LIMITED, BOFA SECURITIES, INC., CCB INTERNATIONAL CAPITAL LIMITED, ZHIYI CHEN, WILL WEI CHENG, CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED, CHINA RENAISSANCE SECURITIES (HONG KONG) LIMITED, CITIGROUP GLOBAL MARKETS INC., CLSA LIMITED, CMB INTERNATIONAL CAPITAL LIMITED, DIDI GLOBAL INC. F/K/A XIAOJU KUAIZHI INC., FUTU INC., GOLDMAN SACHS (ASIA) L.L.C., GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED, HSBC SECURITIES (USA) INC., ICBC INTERNATIONAL SECURITIES LIMITED, J.P. MORGAN SECURITIES LLC, JEAN QING LIU, KENTARO MATSUI, MIZUHO SECURITIES USA LLC, MORGAN STANLEY & CO. LLC, ADRIA PERICA, MARTIN CHI PING LAU, TIGER BROKERS (NZ) LIMITED, UBS SECURITIES LLC, DANIEL YONG ZHANG, STEPHEN JINGSHI ZHU, ALAN YUE ZHUO. (Filing Fee $ 402.00, Receipt Number ANYSDC-24760424)Document filed by RAFAELA ESPINAL..(Linkh, Gregory) (Entered: 07/06/2021)

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