US-Klage der IKB Deutsche Industriebank AG

25.Januar 2010 , Antrag der KB Deutsche Industriebank AG auf Durchführung des Beweisverfahrens gegen die  Putnam Advisory Company, LLC; United States District Court, District of Massachusetts (Boston), CIVIL DOCKET FOR CASE #: 1:10-mc-10024-RWZ.

Die IKB hat dieses Verfahren eingeleitet, um von Putnam Informationen zu erhalten, die  die IKB zur Verteidigung in einem im High Court of Justice in London, England, gegen die  Klage der  Calyon Credit Agricole CIB gegen die IKB benötigt. Die IKB nutzt die bestehende und interessante Möglichkeit des US-Zivilprozessrechtes ( APPLICATION FOR ORDER TO TAKE DISCOVERY PURSUANT TO 28 U.S.C. 6 1782) für ausländische Firmen, um an in den USA befindliche Unterlagen und Auskünfte heranzukommen, die in einem Verfahren außerhalb der USA, hier in England, von Nutzen sein sollen. Der High Court hat der IKB nicht erlaubt, im englischen Verfahren derartige Unterlagen / Auskünfte von Putnam zu erlangen, da Putnam nicht Partei im dortigen Verfahren gegen die IKB ist (“ IKB is not attempting to circumvent the requirements of the High Court, the English courts are receptive to this form of discovery, and the discovery sought is not unduly burdensome or intrusive.“).

Fakten zum Beweisverlangen: “ IKB’s application relates to litigation it is defending in the High Court of Justice in London, England (the „U.K. Litigation“). French bank Calyon Credit Agricole CIB („Calyon“) brought the U.K. litigation against IKB with respect to Calyon’s participation in a transaction known as Havenrock 11. Calyon claims in the U.K. Litigation that it incurred damages when it honored contractual commitments arising under a Put Option Agreement that IKB (allegedly) fraudulently induced Calyon to execute in connection with Havenrock 11. In defending Calyon’s allegations, IKB has raised defenses relating to-among other things-the various risks Calyon knowingly assumed in executing the Put Option Agreement and other Havenrock agreements. Among those risks are those associated with certain collateralized debt obligation („CDO“) assets that Calyon structured, arranged and marketed-many of which ultimately became the subject of Calyon’s obligations under the Put Option Agreement. JKB now seeks discovery from an entity-Putnam-that acted as collateral manager for a portion of those same CDO assets. IKB believes Putnam had substantial dealings with Calyon regarding its CDO business, including the structuring of those CDO assets and the analysis of the risks inherent in such investments.


Begründung und Erfüllung der Voraussetzungen des IKB’Antrags gemäß US-Zivilpozessrecht:
“  IKB’s application meets all of the statutory and discretionary requirements necessary to obtain discovery under Section 1782. As to the statutory requirements, IKB seeks discovery (i) from an entity (Putnam) whose headquarters are located in this district, (ii) for IKB’s use in defending a proceeding (the U.K. Litigation), (iii) that is pending in a foreign tribunal (London’s High Court of Justice), (iv) in which IKB (as defendant) is an interested party. IKB’s application also meets the discretionary factors enunciated by the Supreme Court in Intel Corp. v. Advanced Micro Devices, Inc. and its progeny: (i) Putnam is not a party to the U.K. Litigation; (ii) the English courts are receptive to-and actually encourage-discovery under Section 1782 and IKB’s application is not an attempt to circumvent the High Court of Justice’s proof-gathering requirements; and (iii) the discovery sought is neither unduly burdensome nor overly intrusive.“

Bereits am 26.Januar 2010 wurde dem Antrag stattgegeben.

Verfahrensdokumente IKB Memo ito support the Order, IKB Application for Order to take discovery, IKB – Order Granting Motion

Date Filed # Docket Text
01/25/2010 1// <![CDATA[
//
Application for Order to Take Discovery Pursuant to 28 USC 1782 by IKB Deutsche Industriebank AG.(Cummings, Mary) (Entered: 01/26/2010)
01/25/2010 2// <![CDATA[
//
MEMORANDUM in Support re 1 Application for Order to Take Discovery filed by IKB Deutsche Industriebank AG. (Cummings, Mary) (Entered: 01/26/2010)
01/25/2010 3// <![CDATA[
//
DECLARATION of Conrad Walker re 1 Application for Order to Take Discovery by IKB Deutsche Industriebank AG. (Attachments: # 1 Exhibits Pages 1-50, # 2 Exhibits Pages 51-100, # 3 Exhibits Pages 101-166)(Cummings, Mary) (Entered: 01/26/2010)
01/26/2010 ELECTRONIC NOTICE of Case Assignment. Judge Rya W. Zobel assigned to case. If the trial Judge issues an Order of Reference of any matter in this case to a Magistrate Judge, the matter will be transmitted to Magistrate Judge Leo T. Sorokin (Cummings, Mary) (Entered: 01/26/2010)
01/26/2010 4// <![CDATA[
//
CORPORATE DISCLOSURE STATEMENT by IKB Deutsche Industriebank AG. (Cummings, Mary) (Entered: 01/26/2010)
01/26/2010 5// <![CDATA[
//
Proposed Document(s) submitted by IKB Deutsche Industriebank AG. Document received: Order for Discovery w/subpoenas. (Cummings, Mary) (Entered: 01/26/2010)
01/26/2010 6// <![CDATA[
//
Judge Rya W. Zobel: ORDER entered granting 1 Motion for Discovery. Subpoenas sent back to counsel for her signature. (Urso, Lisa) (Entered: 01/26/2010)
01/28/2010 Filing fee/payment: $ 39.00, receipt number BST015014 for 1 MOTION for Discovery (Russo, Patricia) (Entered: 01/28/2010)
Dieser Beitrag wurde unter Allgemein veröffentlicht. Setze ein Lesezeichen auf den Permalink.

Schreibe einen Kommentar

Deine E-Mail-Adresse wird nicht veröffentlicht. Erforderliche Felder sind mit * markiert