Anthony O. Corso Living Trust v. KCG Americas LLC, et al.
Federal Civil Lawsuit Ohio Northern District Court, Case No. 1:14-cv-01087

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No Logo Anthony O. Corso Living Trust, Plaintiff

Toggle Switch Represented by Peiffer Rosca Wolf Abdullah Carr & Kane, LLP

Name Phone Fax E-Mail
Space James P. Booker +1 216 589 9280 +1 888 411 0038 jbooker@praclawfirm.com
Space Joseph C. Peiffer +1 504 586 5259 +1 888 411 0038 jpeiffer@prwlegal.com
Space Alan L. Rosca +1 216 589 9280 +1 888 411 0038 arosca@prwlegal.com
No Logo Charles C. Corso, Plaintiff
No Logo Charles Galanti, Plaintiff

Toggle Switch Represented by Goldman Scarlato and Karon, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Paul J. Scarlato +1 484 342 0700 +1 484 580 8747 scarlato@gskplaw.com

Toggle Switch Represented by Peiffer Rosca Wolf Abdullah Carr & Kane, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED James P. Booker +1 216 589 9280 +1 888 411 0038 jbooker@praclawfirm.com
LEAD ATTORNEY Joseph C. Peiffer +1 504 586 5259 +1 888 411 0038 jpeiffer@prwlegal.com
ATTORNEY TO BE NOTICED Alan L. Rosca +1 216 589 9280 +1 888 411 0038 arosca@prwlegal.com

Toggle Switch Represented by Ste. 200

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Daniel R. Karon +1 216 622 1851 +1 216 241 8175 dkaron@karonllc.com
No Logo Dennis Spitz, Plaintiff
No Logo JAMES P. CAMPBELL, Plaintiff
No Logo James P. Campbell Revocable Living Trust, Plaintiff
No Logo Kirk Aduddell, Plaintiff

Toggle Switch Represented by Goldman Scarlato and Karon, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Paul J. Scarlato +1 484 342 0700 +1 484 580 8747 scarlato@gskplaw.com

Toggle Switch Represented by Peiffer Rosca Wolf Abdullah Carr & Kane, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED James P. Booker +1 216 589 9280 +1 888 411 0038 jbooker@praclawfirm.com
LEAD ATTORNEY Joseph C. Peiffer +1 504 586 5259 +1 888 411 0038 jpeiffer@prwlegal.com
ATTORNEY TO BE NOTICED Alan L. Rosca +1 216 589 9280 +1 888 411 0038 arosca@prwlegal.com

Toggle Switch Represented by Ste. 200

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Daniel R. Karon +1 216 622 1851 +1 216 241 8175 dkaron@karonllc.com
No Logo MICHAEL MOORE, Plaintiff
No Logo Renate Freed, Plaintiff
No Logo Roland D. Kushmore, Plaintiff
No Logo Roland F. and Dolcy J. Kushmore Revocable Living Trust, Plaintiff
No Logo Rui Wang, Plaintiff
No Logo Ruth Stephens, Plaintiff
No Logo Stanley Weindorf, Plaintiff
No Logo Stuart Spiteri, Plaintiff
No Logo Thomas Basdekis, Plaintiff
No Logo Thomas Chesnick, Plaintiff
No Logo Thomas Cole, Plaintiff
No Logo Ying Zhu-Wang, Plaintiff
v.
No Logo Archipelago Trading Services, Inc., Defendant
No Logo Automated Trading Desk Financial Services, LLC, Defendant
No Logo BTIG, LLC, Defendant
No Logo Canaccord Genuity Inc., Defendant
Citadel Securities LLC Citadel Securities LLC, Defendant
Citigroup Global Markets, Inc. Citigroup Global Markets, Inc., Defendant
No Logo Collins Stewart Inc., Defendant
No Logo E-Trade Capital Markets LLC, Defendant
No Logo G1 Execution Services LLC, Defendant
No Logo John Does, Defendant
No Logo KCG Americas LLC, Defendant
No Logo Maxim Group LLC, Defendant
No Logo Pershing LLC, Defendant
UBS Securities LLC UBS Securities LLC, Defendant
No Logo Vfinance Investments Inc, Defendant

Toggle Switch Represented by Thompson Hine, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Richard Anthony De Palma +1 212 344 5680 +1 212 344 6101 Richard.DePalma@thompsonhine.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED BARRY M. KAZAN +1 212 908 3921 Barry.Kazan@ThompsonHine.com
ATTORNEY TO BE NOTICED Brian J. Lamb +1 216 566 5500 +1 216 566 5800 brian.lamb@thompsonhine.com
ATTORNEY TO BE NOTICED Thomas M Ritzert +1 216 566 5782 +1 216 566 5800 thomas.ritzert@thompsonhine.com
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Legal Document (Payment Possibly Required) 146 Filed: 8/20/2015, Entered: None Judgment
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    Blank 146 Court Filing
    Judgment signed by Judge James S. Gwin on 8/20/15. The Court, having issued its Opinion and Order on defendants' motion for summary judgment, grants the motion and terms this action under Federal Rule of Civil Procedure 58. (Related Doc. 145 ) (M,G) (Entered: 08/20/2015)
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      Legal Document (Payment Possibly Required) 145 Filed: 8/20/2015, Entered: None memorandum opinion and order
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        Opinion and Order signed by Judge James S. Gwin on 8/20/15 granting defendants' motion for summary judgment on the remaining Section 12(a)(1) claims. (Related Docs. 135 , 142 ) (M,G) (Entered: 08/20/2015)
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          Blank 144 Filed: 7/16/2015, Entered: None
          Reply memorandum in further support of 142 Accelerated Motion for summary judgment on stipulated facts filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc., KCG Americas LLC, UBS Securities LLC. (Lamb, Brian) Modified text on 7/21/2015 (H,KR). (Entered: 07/16/2015)
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            Blank 143 Filed: 7/9/2015, Entered: None
            Response to Defendant's 142 Accelerated Motion for summary judgment on stipulated facts filed by Anthony O. Corso Living Trust, Stuart Spiteri. (Rosca, Alan) Modified text on 7/10/2015 (M,TL). (Entered: 07/09/2015)
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              Legal Document (Payment Possibly Required) 142 Filed: 6/25/2015, Entered: None SUMMARY JUDGMENT
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                Legal Document (Payment Possibly Required) 142
                Motion for summary judgment filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc., KCG Americas LLC, UBS Securities LLC. (Attachments: # 1 Brief in Support Memorandum in Support of Defendants' Accelerated Motion for Summary Judgment on Stipulated Facts)(Lamb, Brian) (Entered: 06/25/2015)
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                  Legal Document (Payment Possibly Required) 141 Filed: 6/18/2015, Entered: None
                  Joint Stipulated Facts for Defendants' Accelerated Motion for Summary Judgment filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc., KCG Americas LLC, UBS Securities LLC. (Attachments: # 1 Exhibit A - Spreadsheet Summary)(Lamb, Brian) (Entered: 06/18/2015)
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                    Legal Document (Payment Possibly Required) 140 Filed: 6/4/2015, Entered: None Order on Motion for Conference
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                      Blank 140 Court Filing
                      Order signed by Judge James S. Gwin on 6/4/15. The Court grants the parties' joint motion to permit defendants to file an accelerated motion for summary judgment on stipulated facts. The Court sets the following schedule: stipulated facts to be filed by 6/18/15; defendants to file motion for summary judgment by 6/25/15; lead plaintiff to file, by 7/9/15, a response to the summary judgment motion or notice that it does not intend to file a response; if a response is filed then the defendants will, by 7/16/15, file a reply or file a notice that they do not intend to file a reply. The Court stays all other case management deadlines pending resolution of the accelerated motion for summary judgment. Defendants will be permitted to file a subsequent motion for summary judgment on other issues or defenses if the accelerated summary judgment motion is denied or if granted and subsequently vacated or reversed. (Related Doc. 139 ) (M,G) Modified text and regenerated NEF on 6/4/2015 (M,G). (Entered: 06/04/2015)
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                        Legal Document (Payment Possibly Required) 139 Filed: 6/1/2015, Entered: None Leave
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                          Legal Document (Payment Possibly Required) 139
                          Joint Motion for leave to File an Accelerated Motion for Summary Judgment on Stipulated Facts, or Alternatively, for a Status Conference filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc., KCG Americas LLC, UBS Securities LLC. (Attachments: # 1 Proposed Order)(Lamb, Brian) (Entered: 06/01/2015)
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                            Legal Document (Payment Possibly Required) 138 Filed: 5/18/2015, Entered: None
                            Answer to 135 Third Amended complaint, filed by UBS Securities LLC. (Lamb, Brian) Modified text on 5/19/2015 (M,TL). (Entered: 05/18/2015)
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                              Legal Document (Payment Possibly Required) 137 Filed: 5/18/2015, Entered: None
                              Answer to 135 Third Amended complaint, filed by KCG Americas LLC. (Lamb, Brian) Modified text on 5/19/2015 (M,TL). (Entered: 05/18/2015)
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                                Legal Document (Payment Possibly Required) 136 Filed: 5/18/2015, Entered: None
                                Answer to 135 Third Amended Complaint, filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc. (Lamb, Brian) Modified text on 5/19/2015 (M,TL). (Entered: 05/18/2015)
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                                  Legal Document (Payment Possibly Required) 135 Filed: 4/29/2015, Entered: None Amended Complaint
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                                    Legal Document (Payment Possibly Required) 135
                                    Third Amended complaint against All Defendants. Filed by James P. Campbell Revocable Living Trust, Thomas Cole, Stuart Spiteri, Charles C. Corso, Anthony O. Corso Living Trust, Charles Galanti, Ying Zhu-Wang, Renate Freed, Kirk Aduddell, Rui Wang, Thomas Chesnick, Roland F. and Dolcy J. Kushmore Revocable Living Trust, James P. Campbell, Dennis Spitz, Michael Moore, Stanley Weindorf, Ruth Stephens, Thomas Basdekis, Roland D. Kushmore. (Rosca, Alan) (Entered: 04/29/2015)
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                                      Legal Document (Payment Possibly Required) 134 Filed: 4/29/2015, Entered: None memorandum opinion and order
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                                        Blank 134 Court Filing
                                        Opinion and Order signed by Judge James S. Gwin on 4/29/15 granting plaintiffs' motion to file a third amended complaint. The third amended complaint shall be filed upon receipt of this order. As plaintiffs acknowledge, the Court's order on defendants' motions to dismiss the second amended complaint continues to govern. Accordingly, the only active claims will be the Section 12(a)(1) claims of Plaintiffs Corso and Spiteri. (Related Doc. 129 ) (M,G) (Entered: 04/29/2015)
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                                          Blank 133 Filed: 3/30/2015, Entered: None
                                          Reply memorandum of law in support of 129 Motion for leave to file a third amended complaint filed by Charles C. Corso, Stuart Spiteri. (Rosca, Alan) Modified text on 3/31/2015 (H,KR). (Entered: 03/30/2015)
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                                            Blank 132 Filed: 3/23/2015, Entered: None
                                            Defendant's Omnibus Memorandum Of Law in Opposition to Plaintiff's 129 Motion for leave to file a third amended complaint filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc., UBS Securities LLC. (Lamb, Brian) Modified text to remove duplicate wording on 3/24/2015 (M,TL). (Entered: 03/23/2015)
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                                              Blank 131 Filed: 3/11/2015, Entered: None
                                              Response to 130 Notice of Intent to File Opposition to 129 Plaintiffs' Motion for leave to file a third amended complaint filed by Charles C. Corso, Stuart Spiteri. (Rosca, Alan) Modified text and added link on 3/12/2015 (H,KR). (Entered: 03/11/2015)
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                                                Blank 130 Filed: 3/10/2015, Entered: None
                                                Notice of Intent to File Opposition to 129 Plaintiffs' Motion for leave to file a third amended complaint filed by Automated Trading Desk Financial Services, LLC, Canaccord Genuity Inc., Citigroup Global Markets Inc., Collins Stewart Inc., UBS Securities LLC, VFinance Investments, Inc.. (Lamb, Brian) Modified text and added link on 3/12/2015 (H,KR). (Entered: 03/10/2015)
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                                                  Legal Document (Payment Possibly Required) 129 Filed: 3/9/2015, Entered: None Leave
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                                                    Legal Document (Payment Possibly Required) 129
                                                    Motion for leave to amend filed by Charles C. Corso, Stuart Spiteri. (Attachments: # 1 Brief in Support Plaintiffs' Memo of Law in Support of Motion, # 2 Exhibit Third Amended Complaint, # 3 Affidavit Declaration of Alan Rosca in Support of Plaintiffs' Motion for Leave to Amend, # 4 Exhibit Ex A to Rosca Declaration - Corso Trade Confirmations, # 5 Exhibit Ex B to Rosca Declaration - Spiteri Trade Confirmations, # 6 Exhibit Ex C to Rosca Declaration - Article titled "Stock Settlement: Why You Need to Understand the T+3 Timeline", # 7 Proposed Order Proposed Order)(Rosca, Alan) (Entered: 03/09/2015)
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                                                      Legal Document (Payment Possibly Required) 128 Filed: 3/2/2015, Entered: None Order
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                                                        Blank 128 Court Filing
                                                        Order signed by Judge James S. Gwin on 3/2/15. The Court, having entered its Opinion and Order on the motions to dismiss, now supplements the dates in the Case Management Plan/Order entered 9/29/14 as follows: dispositive discovery due by 9/28/15; dispositive motions to be filed by 10/13/15 with responses due 11/3/15 and replies due 11/13/15; all discovery due by 1/26/16; final pretrial conference set for 3/2/16 at 12:15 p.m., Chambers 18A (Cleveland) and jury trial assigned for 3/7/16 at 8:00 a.m., Courtroom 18A (Cleveland); class certification discovery deadline is 7/27/15; class certification motion to be filed by 8/10/15 with response due 8/31/15 and reply due 9/10/15. Counsel shall take note that the 11/12/15 status conference set for 4:00 p.m., remains as earlier assigned. (Related Doc. 73 ) (M,G) (Entered: 03/02/2015)
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                                                          Legal Document (Payment Possibly Required) 127 Filed: 2/26/2015, Entered: None memorandum opinion and order
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                                                            Legal Document (Payment Possibly Required) 127 Court Filing
                                                            Opinion and Order signed by Judge James S. Gwin on 2/26/15. The Court, as set forth in this entry, grants in part and denies in part defendants' motions to dismiss. (Related Docs. 102 , 103 ) (M,G) (Entered: 02/26/2015)
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                                                              Blank 126 Filed: 2/13/2015, Entered: None Court Filing
                                                              Non-Appeal Transcript Order Form for proceedings held on 2/9/15 before Judge James S. Gwin, Court Reporter: Susan Trischan. Requested completion date: 2/11/15 filed by KCG Americas LLC. (Ritzert, Thomas) (Entered: 02/13/2015)
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                                                                Legal Document (Payment Possibly Required) 125 Filed: 2/11/2015, Entered: None Court Filing
                                                                Transcript of Motion Hearing held on February 9, 2015 before Judge James S. Gwin. To obtain a bound copy of this transcript please contact court reporter Sue Trischan at 216-357-7087. [68 pages] Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Parties requesting that privacy information be redacted must file a notice of intent to redact with the court by 2/18/2015. Redaction Request due 3/4/2015. Redacted Transcript Deadline set for 3/16/2015. Release of Transcript Restriction set for 5/12/2015. (T,S) (Entered: 02/11/2015)
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                                                                  Blank 124 Filed: 2/9/2015, Entered: None Court Filing
                                                                  Minutes of oral arguments on pending motions to dismiss before Judge James S. Gwin on 2/9/15. (Court Reporter: S. Trischan; Time: 1 hr. 16 min.) (Related Docs. 102 , 103 ) (M,G) (Entered: 02/09/2015)
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                                                                    Blank 123 Filed: 2/6/2015, Entered: None
                                                                    Illinois Defendants Notice of Withdrawal of Argument in Section II.B.2 of Their Motion to Dismiss Plaintiffs State Law Claims filed by Citadel Securities LLC, E-Trade Capital Markets LLC, G1 Execution Services, LLC. Related document(s) 103 .(Malina, Steven) (Entered: 02/06/2015)
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                                                                      Legal Document (Payment Possibly Required) 122 Filed: 1/29/2015, Entered: None Court Filing
                                                                      IMPORTANT: Notice that the status conference set for 2/9/15 at 4:00 p.m., is converted to an oral argument on the pending motions to dismiss. The hearing will be conducted on the same date, 2/9/15, but is rescheduled to 2:30 p.m., Courtroom 18A (Cleveland) before Judge James S. Gwin. (Related Docs. 102 , 103 ) (M,G) (Entered: 01/29/2015)
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                                                                        Legal Document (Payment Possibly Required) 121 Filed: 12/19/2014, Entered: None Leave
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                                                                          Legal Document (Payment Possibly Required) 121
                                                                          Motion for leave Motion and Supporting Memorandum of law for Leave to File, Instanter, a Sur-Sur-Reply in Support of Omnibus Motions to Dismiss Plaintiffs' Section 12(a)(1) and State Law Claims filed by Archipelago Trading Services, Inc., Automated Trading Desk Financial Services, LLC, BTIG, LLC, Canaccord Genuity Inc., Citadel Securities LLC, Citigroup Global Markets Inc., Collins Stewart Inc., John Does, E-Trade Capital Markets LLC, G1 Execution Services, LLC, KCG Americas LLC, Maxim Group LLC, Pershing LLC, UBS Securities LLC, VFinance Investments, Inc.. (Attachments: # 1 Exhibit A - Defendants' Sur-Sur-Reply Memorandum of Law in Further Support of their Motion to Dismiss Plaintiffs' Section 12(a)(1) and State Law Claims, # 2 Declaration of Michael Modeski)(Wallace, David) (Entered: 12/19/2014)
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                                                                            Blank 120 Filed: 12/16/2014, Entered: None
                                                                            Sur-Reply to 102 & 103 Motions to dismiss plaintiffs' Section 12(a)(1) and state-law claims filed by all plaintiffs. (Rosca, Alan) Modified text on 12/17/2014 (S,HR). (Entered: 12/16/2014)
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                                                                              Legal Document (Payment Possibly Required) 119 Filed: 12/15/2014, Entered: None Order
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                                                                                Legal Document (Payment Possibly Required) 118 Filed: 12/4/2014, Entered: None
                                                                                Omnibus Reply in further support of 102 omnibus Motion to dismiss plaintiffs' Section 12(a)(1) claims filed by Automated Trading Desk Financial Services, LLC, Canaccord Genuity Inc., Citigroup Global Markets Inc., Collins Stewart Inc., KCG Americas LLC, UBS Securities LLC, VFinance Investments, Inc. (Attachments: # 1 Exhibit Declaration of Michael V. Rella)(Lamb, Brian) Modified text on 12/8/2014 (S,HR). (Entered: 12/04/2014)
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                                                                                  Blank 117 Filed: 12/4/2014, Entered: None
                                                                                  Reply in further support of 103 omnibus Motion to dismiss for failure to state a claim filed by all defendants. (Doran, Brett) Modified text on 12/8/2014 (S,HR). (Entered: 12/04/2014)
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                                                                                    Legal Document (Payment Possibly Required) 116 Filed: 11/24/2014, Entered: None
                                                                                    Memorandum in Opposition to 103 omnibus Motion to dismiss for failure to state a claim filed by all plaintiffs. (Rosca, Alan) Modified text on 12/8/2014 (S,HR). (Entered: 11/24/2014)
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                                                                                      Legal Document (Payment Possibly Required) 115 Filed: 11/24/2014, Entered: None
                                                                                      Opposition to 102 Motion to dismiss Defendants' Omnibus Motion to Dismiss Plaintiffs' Section 12(a)(1) Claims filed by All Plaintiffs. (Attachments: # 1 Supplement Rosca Declaration, # 2 Exhibit A, Complaint from case 13cv4609 (Southern District of New York case), # 3 Exhibit B, Memorandum in support of Temporary Restraining Order (Southern District of New York case), # 4 Exhibit C, Certification filed in case 13cv4609 (Southern District of New York case)) (Rosca, Alan). Modified on 11/25/2014 to add descriptive text to exhibits (H,SP). (Entered: 11/24/2014)
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                                                                                        Legal Document (Payment Possibly Required) 114 Filed: 11/4/2014, Entered: None Extension (Other)
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                                                                                          Legal Document (Payment Possibly Required) 113 Filed: 10/24/2014, Entered: None
                                                                                          Attorney Appearance by Barry M. Kazan filed by on behalf of VFinance Investments, Inc.. (Kazan, Barry) (Entered: 10/24/2014)
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                                                                                            Legal Document (Payment Possibly Required) 112 Filed: 10/24/2014, Entered: None
                                                                                            Attorney Appearance by Richard A. De Palma filed by on behalf of VFinance Investments, Inc.. (De Palma, Richard) (Entered: 10/24/2014)
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                                                                                              Legal Document (Payment Possibly Required) 111 Filed: 10/23/2014, Entered: None
                                                                                              Answer to 62 Amended complaint, and Affirmative Defenses, And Other Defenses filed by UBS Securities LLC. (Lamb, Brian) Modified text on 10/24/2014 (H,SP). (Entered: 10/23/2014)
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                                                                                                Legal Document (Payment Possibly Required) 110 Filed: 10/23/2014, Entered: None
                                                                                                Answer to 62 Amended complaint,, Affirmative Defenses And Other Defenses filed by E-Trade Capital Markets LLC, G1 Execution Services, LLC. (Doran, Brett) (Entered: 10/23/2014)
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                                                                                                  Legal Document (Payment Possibly Required) 109 Filed: 10/23/2014, Entered: None
                                                                                                  Answer to 62 Amended complaint, and Affirmative Defenses And Other Defenses filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc.. (Lamb, Brian) Modified text on 10/24/2014 (H,SP). (Entered: 10/23/2014)
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                                                                                                    Legal Document (Payment Possibly Required) 108 Filed: 10/23/2014, Entered: None
                                                                                                    Answer to 62 Amended complaint, and Affirmative Defenses And Other Defenses filed by Canaccord Genuity Inc., Collins Stewart Inc.. (Lamb, Brian) Modified text on 10/24/2014 (H,SP). (Entered: 10/23/2014)
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                                                                                                      Legal Document (Payment Possibly Required) 107 Filed: 10/23/2014, Entered: None
                                                                                                      Answer to 62 Amended complaint, and Affirmative Defenses, And Other Defenses filed by KCG Americas LLC. (Lamb, Brian) Modified text on 10/24/2014 (H,SP). (Entered: 10/23/2014)
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                                                                                                        Legal Document (Payment Possibly Required) 106 Filed: 10/23/2014, Entered: None
                                                                                                        Answer to 62 Amended complaint,, filed by BTIG, LLC. (McKay, Hugh) (Entered: 10/23/2014)
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                                                                                                          Legal Document (Payment Possibly Required) 105 Filed: 10/23/2014, Entered: None
                                                                                                          Answer to 62 Amended complaint, and Affirmative Defenses And Other Defenses filed by VFinance Investments, Inc.. (Lamb, Brian) Modified text on 10/24/2014 (H,SP). (Entered: 10/23/2014)
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                                                                                                            Legal Document (Payment Possibly Required) 104 Filed: 10/23/2014, Entered: None
                                                                                                            Answer to 62 Amended complaint,, filed by Citadel Securities LLC. (Tarkington, Donald) (Entered: 10/23/2014)
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                                                                                                              Legal Document (Payment Possibly Required) 103 Filed: 10/23/2014, Entered: None Dismiss for Failure to State a Claim
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                                                                                                                Legal Document (Payment Possibly Required) 102 Filed: 10/23/2014, Entered: None
                                                                                                                Omnibus Motion to dismiss Plaintiffs' Section 12(a)(1) Claims filed by Automated Trading Desk Financial Services, LLC, Canaccord Genuity Inc., Citigroup Global Markets Inc., Collins Stewart Inc., KCG Americas LLC, UBS Securities LLC, VFinance Investments, Inc.. (Attachments: # 1 Brief in Support) (Lamb, Brian). Modified text on 10/24/2014 (H,SP). (Entered: 10/23/2014)
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                                                                                                                  Legal Document (Payment Possibly Required) 101 Filed: 10/23/2014, Entered: None
                                                                                                                  Answer to 62 Amended complaint,, filed by Pershing LLC. (Wallace, David) (Entered: 10/23/2014)
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                                                                                                                    Legal Document (Payment Possibly Required) 100 Filed: 10/23/2014, Entered: None
                                                                                                                    Answer to 62 Amended complaint,, filed by Maxim Group LLC. (Wallace, David) (Entered: 10/23/2014)
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                                                                                                                      Legal Document (Payment Possibly Required) 99 Filed: 10/21/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                        Legal Document (Payment Possibly Required) 98 Filed: 10/21/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                          Legal Document (Payment Possibly Required) 97 Filed: 10/21/2014, Entered: None Order on Motion to Extend Deadlines
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                                                                                                                            Legal Document (Payment Possibly Required) 96 Filed: 10/20/2014, Entered: None Order on Motion to Lift Stay
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                                                                                                                              Legal Document (Payment Possibly Required) 95 Filed: 10/20/2014, Entered: None Court Filing
                                                                                                                              Order and Notice of Party Dismissal signed by Judge James S. Gwin on 10/20/14 approving the dismissal without prejudice of Defendant Archipelago Trading Services, Inc. (Related Doc. 89 ) (M,G) (Entered: 10/20/2014)
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                                                                                                                                Legal Document (Payment Possibly Required) 94 Filed: 10/17/2014, Entered: None Continue
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                                                                                                                                  Legal Document (Payment Possibly Required) 93 Filed: 10/17/2014, Entered: None
                                                                                                                                  Attorney Appearance by Thomas M. Ritzert filed by on behalf of VFinance Investments, Inc.. (Ritzert, Thomas) (Entered: 10/17/2014)
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                                                                                                                                    Legal Document (Payment Possibly Required) 92 Filed: 10/17/2014, Entered: None
                                                                                                                                    Corporate Disclosure Statement identifying Corporate Parent National Holdings Corporation for VFinance Investments, Inc. filed by VFinance Investments, Inc.. (Lamb, Brian) (Entered: 10/17/2014)
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                                                                                                                                      Legal Document (Payment Possibly Required) 91 Filed: 10/17/2014, Entered: None
                                                                                                                                      Attorney Appearance by Brian J. Lamb filed by on behalf of VFinance Investments, Inc.. (Lamb, Brian) (Entered: 10/17/2014)
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                                                                                                                                        Legal Document (Payment Possibly Required) 90 Filed: 10/16/2014, Entered: None Lift Stay
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                                                                                                                                          Legal Document (Payment Possibly Required) 89 Filed: 10/16/2014, Entered: None
                                                                                                                                          Notice of Dismissal Under FRCP 41(a)(1) filed by Kirk Aduddell, Anthony O. Corso Living Trust, Thomas Basdekis, James P. Campbell, Thomas Chesnick, Thomas Cole, Charles C. Corso, Renate Freed, Charles Galanti, James P. Campbell Revocable Living Trust, Roland D. Kushmore, Michael Moore, Roland F. and Dolcy J. Kushmore Revocable Living Trust, Stuart Spiteri, Dennis Spitz, Ruth Stephens, Rui Wang, Stanley Weindorf, Ying Zhu-Wang. (Rosca, Alan) (Entered: 10/16/2014)
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                                                                                                                                            Legal Document (Payment Possibly Required) 88 Filed: 10/9/2014, Entered: None Order on Motion for Order
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                                                                                                                                              Return of Service by personal service executed upon VFinance Investments, Inc. on 9/30/2014, filed on behalf of All Plaintiffs (Booker, James) (Entered: 10/08/2014)
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                                                                                                                                                      Return of Service by personal service executed upon E-Trade Capital Markets LLC on 8/7/2014, filed on behalf of All Plaintiffs (Booker, James) (Entered: 10/08/2014)
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                                                                                                                                                        Return of Service by personal service executed upon Collins Stewart Inc. on 8/6/2014, filed on behalf of All Plaintiffs (Booker, James) (Entered: 10/08/2014)
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                                                                                                                                                          Legal Document (Payment Possibly Required) 81 Filed: 10/8/2014, Entered: None
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                                                                                                                                                            Legal Document (Payment Possibly Required) 80 Filed: 10/8/2014, Entered: None
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                                                                                                                                                              Legal Document (Payment Possibly Required) 79 Filed: 10/8/2014, Entered: None
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                                                                                                                                                                    Legal Document (Payment Possibly Required) 76 Filed: 10/8/2014, Entered: None
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                                                                                                                                                                      Legal Document (Payment Possibly Required) 75 Filed: 10/2/2014, Entered: None Order
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                                                                                                                                                                        Legal Document (Payment Possibly Required) 74 Filed: 9/30/2014, Entered: None
                                                                                                                                                                        Attorney Appearance by Aaron M. Herzig filed by on behalf of Maxim Group LLC, Pershing LLC. (Herzig, Aaron) (Entered: 09/30/2014)
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                                                                                                                                                                          Legal Document (Payment Possibly Required) 73 Filed: 9/29/2014, Entered: None Case Management Conference Plan/Order
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                                                                                                                                                                            Legal Document (Payment Possibly Required) 72 Filed: 9/26/2014, Entered: None Court Filing
                                                                                                                                                                            Minutes of case management conference before Judge James S. Gwin on 9/26/14. (Court Reporter: none; Time: 46 min.) (M,G) (Entered: 09/26/2014)
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                                                                                                                                                                              Legal Document (Payment Possibly Required) 71 Filed: 9/26/2014, Entered: None
                                                                                                                                                                              Preliminary Estimate of the amount of fees and expenses filed by Lead Plaintiff.(S,R) (Entered: 09/26/2014)
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                                                                                                                                                                                Legal Document (Payment Possibly Required) 70 Filed: 9/25/2014, Entered: None
                                                                                                                                                                                Attorney Appearance by Brian J. Lamb filed by on behalf of UBS Securities LLC. (Lamb, Brian) (Entered: 09/25/2014)
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                                                                                                                                                                                  Legal Document (Payment Possibly Required) 69 Filed: 9/25/2014, Entered: None
                                                                                                                                                                                  Attorney Appearance by Thomas M. Ritzert filed by on behalf of UBS Securities LLC. (Ritzert, Thomas) (Entered: 09/25/2014)
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                                                                                                                                                                                    Legal Document (Payment Possibly Required) 68 Filed: 9/25/2014, Entered: None
                                                                                                                                                                                    Original Summons issued to counsel for service upon Archipelago Trading Services, Inc., VFinance Investments, Inc.. (H,SP) (Entered: 09/25/2014)
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                                                                                                                                                                                      Legal Document (Payment Possibly Required) 67 Filed: 9/24/2014, Entered: None
                                                                                                                                                                                      Praecipe for issuance of Original Summons filed by All Plaintiffs. (Attachments: # 1 Summons for Archipelago, # 2 Summons for VFinance) (Booker, James). Modified on 9/25/2014 to remove double wording (H,SP). (Entered: 09/24/2014)
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                                                                                                                                                                                        Legal Document (Payment Possibly Required) 66 Filed: 9/23/2014, Entered: None
                                                                                                                                                                                        Report of Parties' Planning Meeting , parties do not consent to this case being assigned to the magistrate judge, filed by All Plaintiffs. (Booker, James) (Entered: 09/23/2014)
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                                                                                                                                                                                          Legal Document (Payment Possibly Required) 65 Filed: 9/23/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                            Legal Document (Payment Possibly Required) 64 Filed: 9/23/2014, Entered: None
                                                                                                                                                                                            Attorney Appearance by Michael J. Zbiegien, Jr filed by on behalf of Maxim Group LLC, Pershing LLC. (Zbiegien, Michael) (Entered: 09/23/2014)
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                                                                                                                                                                                              Legal Document (Payment Possibly Required) 63 Filed: 9/22/2014, Entered: None
                                                                                                                                                                                              Attorney Appearance by Tracey L. Turnbull filed by on behalf of BTIG, LLC. (Turnbull, Tracey) (Entered: 09/22/2014)
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                                                                                                                                                                                                Legal Document (Payment Possibly Required) 62 Filed: 9/18/2014, Entered: None Amended Complaint
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                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 61 Filed: 9/18/2014, Entered: None Order on Motion to Continue
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                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 60 Filed: 9/16/2014, Entered: None Continue
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                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 59 Filed: 9/16/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 58 Filed: 9/15/2014, Entered: None Order on Motion for Appointment of Counsel
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                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 57 Filed: 9/15/2014, Entered: None Order on Motion to Clarify
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                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 56 Filed: 9/12/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 56
                                                                                                                                                                                                              Motion for attorney Fraser L. Hunter Jr. to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6730086, filed by Defendant UBS Securities LLC. (Attachments: # 1 Exhibit A - Declaration of Fraser L. Hunter Jr. in Support of Motion for Admission Pro Hac Vice)(Jones, Katharine) (Entered: 09/12/2014)
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                                                                                                                                                                                                                Blank 55 Filed: 9/11/2014, Entered: None
                                                                                                                                                                                                                Corporate Disclosure Statement filed by E-Trade Capital Markets LLC. (Doran, Brett) (Entered: 09/11/2014)
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                                                                                                                                                                                                                  Blank 54 Filed: 9/11/2014, Entered: None
                                                                                                                                                                                                                  Corporate Disclosure Statement filed by G1 Execution Services, LLC. (Doran, Brett) (Entered: 09/11/2014)
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                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 53 Filed: 9/10/2014, Entered: None Clarify
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                                                                                                                                                                                                                      Joint Motion to clarify Joint Motion for Clarification as to the Court's August 27, 2014 Orders filed by Automated Trading Desk Financial Services, LLC, Canaccord Genuity Inc., Citigroup Global Markets Inc., Collins Stewart Inc., KCG Americas LLC. Related document(s) 28 , 26 . (Lamb, Brian) (Entered: 09/10/2014)
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                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 52 Filed: 9/9/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 52
                                                                                                                                                                                                                          Motion for attorney Jamie S. Dycus to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6724660, filed by Defendant UBS Securities LLC. (Attachments: # 1 Exhibit A - Declaration of Jamie S. Dycus in Support of Motion for Admission Pro Hac Vice)(Jones, Katharine) (Entered: 09/09/2014)
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                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 51 Filed: 9/9/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 51
                                                                                                                                                                                                                              Motion for attorney David S. Lesser to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6724608, filed by Defendant UBS Securities LLC. (Attachments: # 1 Exhibit Declaration of David S. Lesser In Support of Motion For Admission Pro Hac Vice)(Jones, Katharine) (Entered: 09/09/2014)
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                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 50 Filed: 9/8/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                  Motion for attorney Jonathan Hughes to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6721033, filed by Defendant BTIG, LLC. (Attachments: # 1 Affidavit Affidavit of Jonathan Hughes in support of his motion for pro hac admission)(McKay, Hugh) (Entered: 09/08/2014)
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                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 49 Filed: 9/8/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 49
                                                                                                                                                                                                                                      Motion for attorney Jeremy Kamras to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6721022, filed by Defendant BTIG, LLC. (Attachments: # 1 Affidavit Affidavit of Jeremy Kamras in support of his motion for pro hac admission)(McKay, Hugh) (Entered: 09/08/2014)
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                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 48 Filed: 9/8/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 48
                                                                                                                                                                                                                                          Motion for attorney Kenneth G. Hausman to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6720998, filed by Defendant BTIG, LLC. (Attachments: # 1 Affidavit Affidavit of Kenneth G. Hausman in support of his motion for pro hac admission)(McKay, Hugh) (Entered: 09/08/2014)
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                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 47 Filed: 9/5/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 47
                                                                                                                                                                                                                                              Motion for Admission of Matthew J. Singer Pro Hac Vice Filing fee $ 120, receipt number 0647-6720166, filed by Defendant Citadel Securities LLC. (Attachments: # 1 Exhibit Affidavit in Support of Motion for Pro Hac Vice)(O'Neill, William) (Entered: 09/05/2014)
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                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 46 Filed: 9/5/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                  Motion for Admission of Donald Tarkington, Esq. Pro Hac Vice Filing fee $ 120, receipt number 0647-6719542, filed by Defendant Citadel Securities LLC. (Attachments: # 1 Exhibit Affidavit in Support of Motion for Pro Hac Vice)(O'Neill, William) (Entered: 09/05/2014)
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                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 45 Filed: 9/5/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                      Motion for Admission of Brian E. Cohen, Esq. Pro Hac Vice Filing fee $ 120, receipt number 0647-6719538, filed by Defendant Citadel Securities LLC. (Attachments: # 1 Exhibit Affidavit in Support of Motion for Pro Hac Vice)(O'Neill, William) (Entered: 09/05/2014)
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                                                                                                                                                                                                                                                        Blank 44 Filed: 9/3/2014, Entered: None
                                                                                                                                                                                                                                                        Corporate Disclosure Statement identifying Corporate Parent The Bank of New York Mellon for Pershing LLC filed by Pershing LLC. (Wallace, David) (Entered: 09/03/2014)
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                                                                                                                                                                                                                                                          Blank 43 Filed: 9/3/2014, Entered: None
                                                                                                                                                                                                                                                          Attorney Appearance of David H. Wallace and Russell S. Sayre, and Substitution of Counsel filed on behalf of Maxim Group LLC. (Wallace, David) Modified text on 9/4/2014 (H,SP). (Entered: 09/03/2014)
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                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 42 Filed: 9/3/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                              Motion for attorney Anthony S. Fiotto, Esq. to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6714735, filed by Canaccord Genuity Inc., Collins Stewart Inc.. (Attachments: # 1 Affidavit of Anthony S. Fiotto)(Lamb, Brian) (Entered: 09/03/2014)
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                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 41 Filed: 9/2/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                  Motion for attorney William J. Harrington, Esq. to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6713253, filed by Canaccord Genuity Inc., Collins Stewart Inc.. (Attachments: # 1 Exhibit A - Declaration of William J Harrington, # 2 Exhibit B - Certificate of Good Standing)(Lamb, Brian) (Entered: 09/02/2014)
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                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 40 Filed: 8/29/2014, Entered: None Appear Pro Hac Vice
                                                                                                                                                                                                                                                                    FILING ERROR. SEE 59 FOR AMENDED MOTION. Motion for attorney Kurt A. Kappes to Appear Pro Hac Vice. Filing fee $ 120, receipt number 14660071871, filed by E-Trade Capital Markets LLC, G1 Execution Services, LLC. (Attachments: # 1 Exhibit A Certificate of Service)(S,R) Per filer, marked filing error.(S,HR). (Entered: 09/02/2014)
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                                                                                                                                                                                                                                                                      Motion for attorney Kurt A. Kappes to Appear Pro Hac Vice. Filing fee $ 120, receipt number 14660071871, filed by E-Trade Capital Markets LLC, G1 Execution Services, LLC. (Attachments: # 1 Exhibit A Certificate of Service)(S,R) (Entered: 09/02/2014)
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                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 39 Filed: 8/29/2014, Entered: None Appear Pro Hac Vice
                                                                                                                                                                                                                                                                        Motion for attorney Brett Michael Doran to Appear Pro Hac Vice. Filing fee $ 120, receipt number 14660071871871, filed by E-Trade Capital Markets LLC, G1 Execution Services, LLC. (Attachments: # 1 Exhibit A Certificate of Admission)(S,R) Modified text on 9/2/2014 (S,R). (Entered: 09/02/2014)
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                                                                                                                                                                                                                                                                          Motion for attorney Brett Michael Doran to Appear Pro Hac Vice. Filing fee $ 120, receipt number 14660071871871, filed by E-Trade Capital Markets LLC, G1 Execution Services, LLC. (Attachments: # 1 Exhibit A Certificate of Admission)(S,R) Modified text on 9/2/2014 (S,R). (Entered: 09/02/2014)
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                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 38 Filed: 8/29/2014, Entered: None Appear Pro Hac Vice
                                                                                                                                                                                                                                                                            Motion for attorney Steven M. Malina to Appear Pro Hac Vice. Filing fee $ 120, receipt number 14660071871, filed by E-Trade Capital Markets LLC, G1 Execution Services, LLC. (Attachments: # 1 Exhibit A Certificate of Admission)(S,R) (Entered: 09/02/2014)
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                                                                                                                                                                                                                                                                              Motion for attorney Steven M. Malina to Appear Pro Hac Vice. Filing fee $ 120, receipt number 14660071871, filed by E-Trade Capital Markets LLC, G1 Execution Services, LLC. (Attachments: # 1 Exhibit A Certificate of Admission)(S,R) (Entered: 09/02/2014)
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                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 37 Filed: 8/28/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                  Motion for attorney Elizabeth J. Stewart, Esq. to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6709204, filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc.. (Attachments: # 1 Affidavit of Elizabeth J. Stewart)(Lamb, Brian) (Entered: 08/28/2014)
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                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 36 Filed: 8/28/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                      Motion for attorney Agnes Dunogue, Esq. to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6709194, filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc.. (Attachments: # 1 Affidavit of Agnes Dunogue)(Lamb, Brian) (Entered: 08/28/2014)
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                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 35 Filed: 8/28/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                          Motion for attorney Adam S. Hakki, Esq. to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6709166, filed by Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc.. (Attachments: # 1 Affidavit of Adam S. Hakki)(Lamb, Brian) (Entered: 08/28/2014)
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                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 34 Filed: 8/28/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                              Motion for attorney Paul J. Scarlato to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6708791, filed by Plaintiff Anthony O. Corso Living Trust. (Attachments: # 1 Affidavit)(Karon, Daniel) (Entered: 08/28/2014)
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                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 33 Filed: 8/28/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                                  Motion for attorney Russell S. Sayre to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6707379, filed by Defendant Pershing LLC. (Attachments: # 1 Exhibit A - Affidavit of Russell S. Sayre)(Wallace, David) (Entered: 08/28/2014)
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                                                                                                                                                                                                                                                                                                    Blank 32 Filed: 8/28/2014, Entered: None
                                                                                                                                                                                                                                                                                                    Attorney Appearance by Daniel R. Karon filed by on behalf of Anthony O. Corso Living Trust. (Karon, Daniel) (Entered: 08/28/2014)
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                                                                                                                                                                                                                                                                                                      Blank 31 Filed: 8/27/2014, Entered: None
                                                                                                                                                                                                                                                                                                      Corporate Disclosure Statement filed by Citadel Securities LLC. (Armstrong, Jennifer) (Entered: 08/27/2014)
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                                                                                                                                                                                                                                                                                                        Blank 30 Filed: 8/27/2014, Entered: None
                                                                                                                                                                                                                                                                                                        Attorney Appearance by David H. Wallace filed by on behalf of Pershing LLC. (Wallace, David) (Entered: 08/27/2014)
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                                                                                                                                                                                                                                                                                                          Blank 29 Filed: 8/27/2014, Entered: None
                                                                                                                                                                                                                                                                                                          Attorney Appearance by Brendan M. Mewhinney filed by on behalf of All Plaintiffs. (Mewhinney, Brendan) (Entered: 08/27/2014)
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                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 28 Filed: 8/27/2014, Entered: None Case Management Conference Scheduling Order
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                                                                                                                                                                                                                                                                                                              Blank 28 Court Filing
                                                                                                                                                                                                                                                                                                              Case Management Conference Scheduling Order signed by Judge James S. Gwin on 8/27/14 setting a conference for 9/26/14 at 8:30 a.m., Chambers 18A (Cleveland). IMPORTANT: The parties are advised to carefully read this Order. The Court requires the attendance of (1) all parties, (2) lead counsel and (3) a representative with full authority for settlement purposes. (M,G) (Entered: 08/27/2014)
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                                                                                                                                                                                                                                                                                                                Blank 27 Filed: 8/27/2014, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                Magistrate Consent Package issued on behalf of Judge James S. Gwin on 8/27/14. (M,G) (Entered: 08/27/2014)
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                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 26 Filed: 8/27/2014, Entered: None Order on Motion for Order
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                                                                                                                                                                                                                                                                                                                    Blank 26 Court Filing
                                                                                                                                                                                                                                                                                                                    Order signed by Judge James S. Gwin on 8/27/14. Leave is granted for the filing of a second amended complaint by 9/18/14; defendants area required to file an answer to the second amended complaint and the Court will not consider a motion to dismiss to be a responsive pleading to the second amended complaint. Motions to dismiss are to be filed within five weeks of the filing of the second amended complaint, responses shall be due within 30 days of the filing of the motion and replies are due one week from the filing of the responses. (Related Doc. 22 ) (M,G) (Entered: 08/27/2014)
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                                                                                                                                                                                                                                                                                                                      Blank 25 Filed: 8/26/2014, Entered: None
                                                                                                                                                                                                                                                                                                                      Attorney Appearance by William J. O'Neill and Jennifer D. Armstrong filed by on behalf of Citadel Securities LLC. (O'Neill, William) (Entered: 08/26/2014)
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                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 24 Filed: 8/26/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 24
                                                                                                                                                                                                                                                                                                                          Motion for attorney Joseph C. Lombard to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6703882, filed by Defendant KCG Americas LLC. (Attachments: # 1 Affidavit Lombard Affidavit)(Lamb, Brian) (Entered: 08/26/2014)
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                                                                                                                                                                                                                                                                                                                            Blank 23 Filed: 8/26/2014, Entered: None
                                                                                                                                                                                                                                                                                                                            Corporate Disclosure Statement filed by BTIG, LLC. (McKay, Hugh) (Entered: 08/26/2014)
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                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 22 Filed: 8/22/2014, Entered: None Order
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                                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 21 Filed: 8/22/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 20 Filed: 8/22/2014, Entered: None Appear Pro Hac Vice
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                                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 19 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                    Corporate Disclosure Statement identifying Corporate Parent UBS AG, Corporate Parent UBS Americas Inc. for UBS Securities LLC filed by UBS Securities LLC. (Jones, Katharine) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 18 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                      Attorney Appearance by Katharine Szczepanik Jones filed by on behalf of UBS Securities LLC. (Jones, Katharine) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 17 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                        Attorney Appearance by Thomas M. Ritzert filed on behalf of Automated Trading Desk Financial Services, LLC, Canaccord Genuity Inc., Citigroup Global Markets Inc., Collins Stewart Inc., KCG Americas LLC, Maxim Group LLC. (Ritzert, Thomas) Modified on 8/25/2014 to remove double wording (H,SP). (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 16 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                          Corporate Disclosure Statement identifying Corporate Parent KCG Holdings, Inc. for KCG Americas LLC filed by KCG Americas LLC. (Lamb, Brian) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 15 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                            Corporate Disclosure Statement identifying Corporate Parent Canaccord Genuity Group, Inc. for Collins Stewart Inc. filed by Collins Stewart Inc.. (Lamb, Brian) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 14 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                              Corporate Disclosure Statement identifying Corporate Parent Citigroup Financial Products Inc. for Citigroup Global Markets Inc. filed by Citigroup Global Markets Inc.. (Lamb, Brian) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 13 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                Corporate Disclosure Statement identifying Corporate Parent Canaccord Genuity Group, Inc. for Canaccord Genuity Inc. filed by Canaccord Genuity Inc.. (Lamb, Brian) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 12 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                  Corporate Disclosure Statement identifying Corporate Parent Citigroup Inc. for Automated Trading Desk Financial Services, LLC filed by Automated Trading Desk Financial Services, LLC. (Lamb, Brian) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 11 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                    Corporate Disclosure Statement identifying Corporate Parent Maxim Partners LLC for Maxim Group LLC filed by Maxim Group LLC. (Lamb, Brian) (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 10 Filed: 8/22/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                      Attorney Appearance by Brian J. Lamb filed on behalf of Automated Trading Desk Financial Services, LLC, Canaccord Genuity Inc., Citigroup Global Markets Inc., Collins Stewart Inc., KCG Americas LLC, Maxim Group LLC. (Lamb, Brian) Modified on 8/25/2014 to remove double wording (H,SP). (Entered: 08/22/2014)
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                                                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 9 Filed: 8/5/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                        Original Summons issued to counsel for service upon Automated Trading Desk Financial Services, LLC, BTIG, LLC, Canaccord Genuity Inc., Citadel Securities LLC, Citigroup Global Markets Inc., Collins Stewart Inc., E-Trade Capital Markets LLC, G1 Execution Services, LLC, Maxim Group LLC, Pershing LLC, UBS Securities LLC. (Related document(s) 6 ) (H,SP) (Entered: 08/05/2014)
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                                                                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 8 Filed: 8/4/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                          Praecipe for issuance of Original Summons, filed by All Plaintiffs. (Attachments: # 1 Summons for Automated Trading Desk Financial Services, LLC, # 2 Summons for BTIG, LLC, # 3 Summons for Canaccord Genuity Inc., # 4 Summons for Citadel Securities LLC, # 5 Summons for Citigroup Global Market Inc., # 6 Summons for Collins Stewart Inc., # 7 Summons for E-Trade Capital Markets, LLC, # 8 Summons for G1 Executioni Services, LLC, # 9 Summons for Maxim Group LLC, # 10 Summons for Pershing LLC, # 11 Summons for UBS Securities, LLC) (Booker, James). Modified on 8/5/2014 to remove double wording (H,SP). (Entered: 08/04/2014)
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                                                                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 7 Filed: 7/21/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                            Motion for appointment of Lead Plaintiff and Approval of Lead counsel, filed by Anthony O. Corso Living Trust, Charles C. Corso. (Attachments: # 1 Memorandum of Law in Support, # 2 Exhibit Declaration of Alan Rosca, # 3 Proposed Order, # 4 Exhibit A - PSLRA Certification, # 5 Exhibit B - Notice of Pendency, # 6 Exhibit C - Peiffer Rosca Bio, # 7 Exhibit D - Goldman Scarlato Resume) (Booker, James). Modified text on 7/23/2014, counsel notified that filer should be same as s/signature, NEF regenerated (H,SP). (Entered: 07/21/2014)
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                                                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 6 Filed: 6/24/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                              Amended complaint adding new party defendants Automated Trading Desk Financial Services, LLC, Citigroup Global Markets Inc., Citadel Securities LLC, G1 Execution Services, LLC, E-Trade Capital Markets LLC, BTIG, LLC, Canaccord Genuity Inc., Collins Stewart Inc., Pershing LLC, Maxim Group LLC, UBS Securities LLC, and John Does 1 through 12 against All Defendants and adding new party plaintiff(s) Roland F. and Dolcy J. Kushmore Revocable Living Trust, by and through Roland D. Kushmore, Trustee, Dennis Spitz, Thomas Basdekis, Stanley Weindorf, Thomas Cole, Renate Freed, Rui Wang, Ying Zhu-Wang, Ruth Stephens, James P. Campbell Revocable Living Trust, by and through James P. Campbell, Trustee, Michael Moore, Stuart Spiteri, and Thomas Chesnick, Individually and on Behalf of All Others Similarly Situated. Filed by Anthony O. Corso Living Trust, Charles C. Corso. (Attachments: # 1 Supplement PSLRA Certifications) (Rosca, Alan) (Entered: 06/24/2014)
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                                                                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 5 Filed: 5/28/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                                Motion for attorney Joseph C. Peiffer to Appear Pro Hac Vice. Filing fee $ 120, receipt number 0647-6563977, filed by Anthony O. Corso Living Trust, Charles C. Corso. (Attachments: # 1 Exhibit A - Proposed Order Admitting Joseph C. Peiffer to Appear and Participate Pro Hac Vice, # 2 Exhibit B - LA Certificate of Good Standing)(Rosca, Alan) (Entered: 05/28/2014)
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                                                                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 4 Filed: 5/27/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                                  Original Summons issued to counsel for service upon KCG Americas LLC. (H,SP) (Entered: 05/27/2014)
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                                                                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 3 Filed: 5/23/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                                    Praecipe for issuance of Original Summons . filed by All Plaintiffs. Related document(s) 1 . (Attachments: # 1 Summons)(Rosca, Alin) (Entered: 05/23/2014)
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                                                                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 2 Filed: 5/21/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                                      Magistrate Consent Form issued. No summons provided, no summons issued. (C,BA) (Entered: 05/21/2014)
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                                                                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 1 Filed: 5/20/2014, Entered: None
                                                                                                                                                                                                                                                                                                                                                                        Complaint with jury demand against KCG Americas LLC. Filing fee paid $400, Receipt number 0647-6553270. Filed by Anthony O. Corso Living Trust & Charles C. Corso. (Attachments: # 1 Supplement Corso PSLRA Signed Certification, # 2 Civil Cover Sheet, # 3 Supplement Attachment for Civil Cover Sheet) (Rosca, Alin). Modified on 5/27/2014 (H,SP). (Entered: 05/20/2014)
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