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189 |
Filed: 1/29/2020, Entered: None |
Letter |
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Request |
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188 |
Filed: 1/15/2020, Entered: None |
Letter |
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Request |
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187 |
Filed: 1/14/2020, Entered: None |
Appear Pro Hac Vice |
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Request |
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186 |
Filed: 12/17/2019, Entered: None |
Notice of Attorney Withdrawal |
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Request |
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176 |
Filed: 12/20/2018, Entered: None |
Withdraw as Attorney |
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MOTION to Withdraw as Attorney by Aegis Capital Corp.. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Clinton, Shayne) (Entered: 12/20/2018)
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Request |
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175 |
Filed: 12/10/2018, Entered: None |
Order |
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ORDER: This action will remain STAYED until completion of the parties' settlement negotiations. The parties are ORDERED to file a joint status report on the progress of negotiations at sixty (60) day intervals following the entry of this order. Signed by Chief District Judge Thomas A Varlan on 12/10/18. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR, ) Modified to reflect copy mailed to Scott Boruff and Gerald Hannahs on 12/10/2018 (JBR). (Entered: 12/10/2018)
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Request |
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174 |
Filed: 12/3/2018, Entered: None |
Unknown Document Type |
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STATUS REPORT Joint Status Report by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 12/03/2018)
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Request |
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173 |
Filed: 11/16/2018, Entered: None |
Status report |
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STATUS REPORT Joint Status Report by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 11/16/2018)
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Request |
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172 |
Filed: 9/14/2018, Entered: None |
Order |
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ORDER: The Court finds that additional time would be beneficial in pursuit of settlement. As such, this action will remain STAYED until December 3, 2018. The parties are ORDERED to file a joint status report on the progress of negotiations on or about November 16, 2018. Signed by Chief District Judge Thomas A. Varlan on 9/14/18. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(ADA) (Entered: 09/14/2018)
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Request |
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171 |
Filed: 9/7/2018, Entered: None |
Status report |
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STATUS REPORT Joint Status Report by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 09/07/2018)
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Request |
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170 |
Filed: 8/9/2018, Entered: None |
Order on Motion to stay |
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ORDER granting (168) Motion to Stay in case 3:15-cv-00545-TAV-DCP; granting (161) Motion to Stay in case 3:15-cv-00546-TAV-DCP; granting (166) Motion to Stay in case 3:16-cv-00232-TAV-DCP. This action is hereby STAYED until October 1, 2018. Signed by Chief District Judge Thomas A Varlan on 8/9/18. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP (JBR) (Entered: 08/09/2018)
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Request |
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169 |
Filed: 8/9/2018, Entered: None |
transcript |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Motion Hearing Proceedings held on 06/22/2018, before Judge Debra C. Poplin. Court Reporter/Transcriber Rebekah Lockwood, Telephone number (865) 210-6698. Tape Number: Knox-DCR_3-15cv545-3-15-cv-546-3-16-cv-232_20180622_085239.dcr. NOTICE RE REDACTION OF TRANSCRIPTS: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. The policy is located on our website at http://www.tned.uscourts.gov/electronic-case-filing 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.. Redaction Request due 8/30/2018. Redacted Transcript Deadline set for 9/10/2018. Release of Transcript Restriction set for 11/7/2018. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(RML, ) (Entered: 08/09/2018)
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Request |
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168 |
Filed: 8/8/2018, Entered: None |
Motion To Stay |
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Joint MOTION to Stay Temporarily Stay Case for 30 Days Pending Mediation by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. (Attachments: # 1 [Proposed] Order)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 08/08/2018)
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Request |
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167 |
Filed: 8/6/2018, Entered: None |
Report and Recommendations |
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REPORT AND RECOMMENDATION re (123 in 3:15-cv-00546-TAV-DCP, 128 in 3:16-cv-00232-TAV-DCP, 130 in 3:15-cv-00545-TAV-DCP) MOTION to Certify Class filed by Kenneth Gaynor, Christopher R Vorrath, Gabriel R Hull, Marcia Goldberg. Signed by Magistrate Judge Debra C Poplin on 8/6/18. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR) Modified to reflect copy mailed to Gerald Hannahs and Scott Boruff on 8/6/2018 (JBR). (Entered: 08/06/2018)
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Request |
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166 |
Filed: 6/25/2018, Entered: None |
Reply to Response to motion |
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REPLY to Response to Motion re (157 in 3:15-cv-00545-TAV-DCP, 150 in 3:15-cv-00546-TAV-DCP, 155 in 3:16-cv-00232-TAV-DCP) MOTION to Compel Third-Party KPMG LLP to Produce Documents filed by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 06/25/2018)
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Request |
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165 |
Filed: 6/22/2018, Entered: None |
Motion Hearing |
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Minute Entry for proceedings held before Magistrate Judge Debra C Poplin: Motion Hearing held on 6/22/2018 re (123 in 3:15-cv-00546-TAV-DCP, 128 in 3:16-cv-00232-TAV-DCP, 130 in 3:15-cv-00545-TAV-DCP) MOTION to Certify Class filed by Kenneth Gaynor, Christopher R Vorrath, Gabriel R Hull, Marcia Goldberg. The parties presented for a motion hearing to address Plaintiffs Motion to Certify Class. Argument heard by counsel. Counsel for the Plaintiff submitted two exhibits to the Court. The Court took this matter under advisement. Order to follow. (Court Reporter DCR) (RLK) (Entered: 06/22/2018)
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Request |
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164 |
Filed: 6/18/2018, Entered: None |
Reply to Response to motion |
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REPLY to Response to Motion re (148 in 3:15-cv-00546-TAV-DCP, 155 in 3:15-cv-00545-TAV-DCP, 153 in 3:16-cv-00232-TAV-DCP) MOTION to Remand filed by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 06/18/2018)
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Request |
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163 |
Filed: 6/18/2018, Entered: None |
response in opposition to motion |
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RESPONSE in Opposition re (155 in 3:16-cv-00232-TAV-DCP) MOTION to Compel Third-Party KPMG LLP to Produce Documents filed by KPMG LLC. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Davidson, Paul) (Entered: 06/18/2018)
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Request |
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162 |
Filed: 6/15/2018, Entered: None |
Notice - Other |
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NOTICE of Joinder and Joinder by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson re (160 in 3:15-cv-00545-TAV-DCP) Response in Opposition to Motion, Joinder Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Fitzsimmons, Amanda) Modified text on 6/18/2018 (JBR). (Entered: 06/15/2018)
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Request |
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161 |
Filed: 6/15/2018, Entered: None |
Notice - Other |
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NOTICE of Joinder and Joinder by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson re (159 in 3:15-cv-00545-TAV-DCP) Response in Opposition to Motion, Joinder Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Fitzsimmons, Amanda) Modified text on 6/18/2018 (JBR). (Entered: 06/15/2018)
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Request |
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160 |
Filed: 6/15/2018, Entered: None |
response in opposition to motion |
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RESPONSE in Opposition re (154 in 3:16-cv-00232-TAV-DCP) MOTION to Stay this Action Pending Adjudication of Lead Plaintiffs' Renewed Motion to Remand filed by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Polk, S.) (Entered: 06/15/2018)
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Request |
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159 |
Filed: 6/15/2018, Entered: None |
response in opposition to motion |
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RESPONSE in Opposition re (153 in 3:16-cv-00232-TAV-DCP) MOTION to Remand filed by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Polk, S.) (Entered: 06/15/2018)
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Request |
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158 |
Filed: 6/13/2018, Entered: None |
Order |
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ORDER: In light of the parties' agreement, the Court GRANTS the parties' motion [Doc. 154 ]. It is ORDERED that the jury trial in this matter, previously scheduled for December 10, 2018, is CANCELED and RESCHEDULED for March 11, 2019, at 9:00 a.m., and the final pretrial conference, previously scheduled for December 3, 2018, is CANCELED and RESCHEDULED for March 4, 2019, at 2:00 p.m. Signed by Chief District Judge Thomas A Varlan on 6/13/18. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR) Modified to reflect copy mailed to Gerald Hannahs and Scott Boruff on 6/13/2018 (JBR). (Entered: 06/13/2018)
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Request |
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157 |
Filed: 6/11/2018, Entered: None |
Motion to Compel |
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MOTION to Compel Third-Party KPMG LLP to Produce Documents by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Wood, Christopher) (Entered: 06/11/2018)
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Request |
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156 |
Filed: 6/1/2018, Entered: None |
Motion To Stay |
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MOTION to Stay this Action Pending Adjudication of Lead Plaintiffs' Renewed Motion to Remand by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 06/01/2018)
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Request |
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155 |
Filed: 6/1/2018, Entered: None |
Motion to remand |
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MOTION to Remand by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 06/01/2018)
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Request |
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154 |
Filed: 5/8/2018, Entered: None |
Motion for Miscellaneous Relief |
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Joint MOTION to Modify Scheduling Order by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. (Attachments: # 1 Other Proposed Order)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 05/08/2018)
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Request |
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153 |
Filed: 5/1/2018, Entered: None |
Order on Motion for Leave to Appear Pro Hac Vice |
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ORDER granting (151) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/content/attorney-ecf-registration-form; granting (152) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/content/attorney-ecf-registration-form in case 3:15-cv-00545-TAV-DCP; granting (144) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/content/attorney-ecf-registration-form; granting (145) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/content/attorney-ecf-registration-form in case 3:15-cv-00546-TAV-DCP; granting (149) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/content/attorney-ecf-registration-form; granting (150) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/content/attorney-ecf-registration-form in case 3:16-cv-00232-TAV-DCP. Signed by Magistrate Judge Debra C. Poplin on 5/1/2018. (This entry constitutes the complete Order of the Court.) Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP (AGA) Modified to reflect copy mailed to Amanda Catherine Fitzsimmons and Edward Dean Totino on 5/1/2018 (JBR). (Entered: 05/01/2018)
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Request |
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152 |
Filed: 4/27/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice Amanda Catherine Fitzsimmons ( Filing fee $ 90 receipt number 0649-3660028.) by David M. Hall, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson, Bob G. Gower. (Attachments: # 1 Affidavit Amanda Catherine Fitzsmmons, # 2 Other Certificate Fitzsimmons)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Marcum, Stephen) (Entered: 04/27/2018)
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Request |
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151 |
Filed: 4/27/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice Edward Dean Totino ( Filing fee $ 90 receipt number 0649-3660021.) by David M. Hall, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson, Bob G. Gower, Joseph T. Leary. (Attachments: # 1 Affidavit Edward D. Totino, # 2 Other Certificate Totino)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Marcum, Stephen) (Entered: 04/27/2018)
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Request |
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150 |
Filed: 3/8/2018, Entered: None |
Notice of Attorney Withdrawal |
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Notice of Attorney Withdrawal Attorney Sean R Crain terminated. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Piazza, Michael) (Entered: 03/08/2018)
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Request |
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149 |
Filed: 2/26/2018, Entered: None |
Order on Motion for Leave to Appear Pro Hac Vice |
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ORDER granting (145) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00545-TAV-DCP; granting (138) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00546-TAV-DCP; granting (143) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:16-cv-00232-TAV-DCP. Signed by Magistrate Judge Debra C. Poplin on 2/26/2018. (This entry constitutes the complete Order of the Court.) Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP (AGA) Modified to reflect copy mailed to Scott Boruff, Gerald Hannahs and Constantine P. Economides on 2/26/2018 (JBR). (Entered: 02/26/2018)
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Request |
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148 |
Filed: 2/26/2018, Entered: None |
Order Referring Motion |
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ORDER REFERRING MOTION: (123 in 3:15-cv-00546-TAV-DCP, 128 in 3:16-cv-00232-TAV-DCP, 130 in 3:15-cv-00545-TAV-DCP) MOTION to Certify Class filed by Kenneth Gaynor, Christopher R Vorrath, Gabriel R Hull, Marcia Goldberg. Signed by Chief District Judge Thomas A Varlan on 2/26/18. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR) Modified to reflect copy mailed to Scott Boruff and Gerald Hannahs on 2/26/2018 (JBR). (Entered: 02/26/2018)
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Request |
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147 |
Filed: 2/23/2018, Entered: None |
Affidavit in Support of Motion |
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AFFIDAVIT in Support re (123 in 3:15-cv-00546-TAV-DCP, 130 in 3:15-cv-00545-TAV-DCP, 128 in 3:16-cv-00232-TAV-DCP) MOTION to Certify Class Declaration of Stephen R. Astley in Support of Lead Plaintiffs' Reply in Further Support for Class Certification filed by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. (Attachments: # 1 Exhibit A - Pricing History, # 2 Exhibit B - Goldberg Deposition Excerpts, # 3 Exhibit C - Gaynor Deposition Excerpts, # 4 Exhibit D - Vorrath Deposition Excerpts, # 5 Exhibit E - Law360 Article)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 02/23/2018)
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Request |
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146 |
Filed: 2/23/2018, Entered: None |
Reply to Response to motion |
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REPLY to Response to Motion re (123 in 3:15-cv-00546-TAV-DCP, 128 in 3:16-cv-00232-TAV-DCP, 130 in 3:15-cv-00545-TAV-DCP) MOTION to Certify Class filed by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Astley, Stephen) (Entered: 02/23/2018)
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Request |
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145 |
Filed: 2/23/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice for Constantine P. Economides ( Filing fee $ 90 receipt number 0649-3611175.) by Kenneth Gaynor, Marcia Goldberg. (Attachments: # 1 Other Certificate of Service, # 2 Other Certificate of Good Standing)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Wood, Christopher) (Entered: 02/23/2018)
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Request |
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144 |
Filed: 2/20/2018, Entered: None |
Order on Motion for Leave to Appear Pro Hac Vice |
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ORDER granting (143) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00545-TAV-DCP; granting (136) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00546-TAV-DCP; granting (141) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:16-cv-00232-TAV-DCP. Signed by Magistrate Judge Debra C. Poplin on 2/20/2018. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP. (This entry constitutes the complete Order of the Court.) (AGA) Modified on 2/21/2018 to note c/m to Kirby Hsu DLA Piper LLP 2000 Avenue of the Stars Suite 400 North Tower Los Angeles, CA 90067(ADA). (Entered: 02/20/2018)
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Request |
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143 |
Filed: 2/19/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice Kirby Hsu ( Filing fee $ 90 receipt number 0649-3606367.) by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson. (Attachments: # 1 Affidavit Kirby Hsu)Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(Marcum, Stephen) (Entered: 02/19/2018)
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Request |
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142 |
Filed: 2/15/2018, Entered: None |
Order on motion for extension of time to file Response/Reply |
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ORDER granting (141) Unopposed Motion to Extend Time for Lead Plaintiffs to File Their Reply in Support of Class Certification in case 3:15-cv-00545-TAV-DCP. Lead Plaintiffs shall file their reply on or before February 23, 2018. Signed by Magistrate Judge Debra C. Poplin on 2/15/2018. (This entry constitutes the complete Order of the Court.) Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP (Poplin, Debra) Modified to reflect copy mailed to Scott Boruff and Gerald Hannahs on 2/16/2018 (JBR). (Entered: 02/15/2018)
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Request |
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141 |
Filed: 2/12/2018, Entered: None |
Motion for Extension of Time to File Response/Reply |
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Unopposed MOTION for Extension of Time to File Response/Reply by Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. (Attachments: # 1 Exhibit Proposed Order)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Astley, Stephen) (Entered: 02/12/2018)
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Request |
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140 |
Filed: 2/9/2018, Entered: None |
response in opposition to motion |
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JOINT BRIEF IN OPPOSITION TO (123 in 3:15-cv-00546-TAV-CCS, 130 in 3:15-cv-00545-TAV-CCS, 128 in 3:16-cv-00232-TAV-CCS) MOTION to Certify Class filed by Aegis Capital Corp., Dominick & Dominick, LLC, Bob G. Gower, David M. Hall, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., Joseph T. Leary, MLV & Co. LLC, Maxim Group LLC, Merrill A. McPeak, Deloy Miller, National Securities Corporation, Northland Capital Markets, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson. (Attachments: # 1 Appendix of Exhibits to Defendants' Joint Brief in Opposition to Plaintiffs' Motion for Class Certification, # 2 Exhibit A through H to Appendix, # 3 Request for Judicial Notice in Support of Defendants' Opposition to Plaintiff's Motion for Class Certification)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Piazza, Michael) Modified text on 2/12/2018 (ADA). (Entered: 02/09/2018)
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Request |
 |
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139 |
Filed: 2/6/2018, Entered: None |
Stipulation of Dismissal |
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STIPULATION of Dismissal Party Lead Plaintiff Gabriel R. Hull by Kenneth Gaynor, Marcia Goldberg, Gabriel R Hull, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Astley, Stephen) (Entered: 02/06/2018)
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Request |
 |
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138 |
Filed: 1/30/2018, Entered: None |
Order on Motion for Leave to Appear Pro Hac Vice |
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ORDER granting (134) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00545-TAV-CCS. Signed by Magistrate Judge C. Clifford Shirley, Jr., on 1/30/2018. (This entry constitutes the complete Order of the Court.) Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (AGA) (copy mailed) Modified text on 1/31/2018 (JBR). (Entered: 01/30/2018)
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Request |
 |
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137 |
Filed: 1/29/2018, Entered: None |
protective order |
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STIPULATED PROTECTIVE ORDER. Signed by Chief District Judge Thomas A Varlan on 1/29/18. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR) (copy mailed to Scott Boruff and Gerald Hannahs) Modified text on 1/29/2018 (JBR). (Entered: 01/29/2018)
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Request |
 |
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136 |
Filed: 1/25/2018, Entered: None |
NOTICE of Deficiency (Not Pro Hac) |
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Administrative Notice to Stephen Astley (128 in 3:15-cv-00546-TAV-CCS, 133 in 3:16-cv-00232-TAV-CCS, 135 in 3:15-cv-00545-TAV-CCS) Stipulation: You must re-file Doc. 135 with a joint motion and the proposed agreed order as an attachment. (See ECF Rule 4.8) Requirements due by 1/30/2018. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR) (Entered: 01/25/2018)
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Request |
 |
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135 |
Filed: 1/24/2018, Entered: None |
stipulation |
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STIPULATION [Proposed] Stipulated Protective Order by Marcia Goldberg, Gabriel R Hull, Christopher R Vorrath, Kenneth Gaynor. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Astley, Stephen) (Entered: 01/24/2018)
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Request |
 |
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134 |
Filed: 1/23/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice for Bailie L. Heikkinen ( Filing fee $ 90 receipt number 0649-3584162.) by Kenneth Gaynor, Marcia Goldberg. (Attachments: # 1 Other Certificate of Service, # 2 Other Certificate of Good Standing)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Wood, Christopher) (Entered: 01/23/2018)
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Request |
 |
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133 |
Filed: 1/22/2018, Entered: None |
Order on Motion for Leave to Appear Pro Hac Vice |
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ORDER granting (125) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (126) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (127) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (129) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00545-TAV-CCS; granting (118) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (119) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (120) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (122) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00546-TAV-CCS; granting (123) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (124) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (125) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php; granting (127) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:16-cv-00232-TAV-CCS. Signed by Magistrate Judge C. Clifford Shirley, Jr., on 1/22/2018. (This entry constitutes the complete Order of the Court.) Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (AGA) (copy mailed to Gerald Hannahs, Melissa Fox, Lawrence Polk, Scott Boruff, Sean Crain) Modified text on 1/23/2018 (JBR). (Entered: 01/22/2018)
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Request |
 |
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132 |
Filed: 1/19/2018, Entered: None |
Affidavit in Support of Motion |
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AFFIDAVIT in Support re (130 in 3:15-cv-00545-TAV-CCS) MOTION to Certify Class Declaration of Stephen R. Astley in Support of Lead Plaintiffs' Motion for Class Certification filed by Kenneth Gaynor, Marcia Goldberg, Gabriel R Hull, Christopher R Vorrath. (Attachments: # 1 Exhibit A - Goldberg Declaration, # 2 Exhibit B - Gaynor Declaration, # 3 Exhibit C - Hull Declaration, # 4 Exhibit D - Vorrath Declaration, # 5 Exhibit E - Goldberg Trading Confirmation, # 6 Exhibit F - Robbins Geller Firm Resume, # 7 Exhibit G - Barrett Johnston Firm Resume)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Astley, Stephen) (Entered: 01/19/2018)
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Request |
 |
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131 |
Filed: 1/19/2018, Entered: None |
memorandum in support of motion |
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MEMORANDUM in Support of Motion re (130 in 3:15-cv-00545-TAV-CCS) MOTION to Certify Class filed by Kenneth Gaynor, Marcia Goldberg, Gabriel R Hull, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Astley, Stephen) (Entered: 01/19/2018)
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Request |
 |
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130 |
Filed: 1/19/2018, Entered: None |
motion to certify class |
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MOTION to Certify Class by Kenneth Gaynor, Marcia Goldberg, Gabriel R Hull, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Astley, Stephen) (Entered: 01/19/2018)
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Request |
 |
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129 |
Filed: 1/18/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice Sean Crain ( Filing fee $ 90 receipt number 0649-3579869.) by David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson, Bob G. Gower. (Attachments: # 1 Affidavit Sean Crain)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Marcum, Stephen) (Entered: 01/18/2018)
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Request |
 |
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128 |
Filed: 1/4/2018, Entered: None |
Order on Motion to withdraw as attorney |
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ORDER granting 124 Motion to Withdraw as Attorney. Attorneys Steven Farina, Margaret Keeley, Amanda MacDonald, and Katherine Turner and the law firm of Williams & Connolly, LLP are RELIEVED of their duties as counsel in this matter, and Attorneys S. Lawrence Polk, Stacy MacGavin Mohr, and Melissa Fox and the law firm of Eversheds Sutherland LLP are hereby SUBSTITUTED as counsel of record for the Underwriter Defendants. Signed by Magistrate Judge C Clifford Shirley, Jr on 1/4/18. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (JBR) (Entered: 01/04/2018)
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Request |
 |
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127 |
Filed: 1/4/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3570616.) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Clinton, Shayne) (Entered: 01/04/2018)
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Request |
 |
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126 |
Filed: 1/4/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3570603.) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Clinton, Shayne) (Entered: 01/04/2018)
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Request |
 |
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125 |
Filed: 1/4/2018, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3570578.) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Clinton, Shayne) (Entered: 01/04/2018)
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Request |
 |
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124 |
Filed: 1/3/2018, Entered: None |
Motion to withdraw as attorney |
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MOTION to Withdraw as Attorney and Entry of Appearance of Substitute Counsel by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Clinton, Shayne) (Entered: 01/03/2018)
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Request |
 |
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123 |
Filed: 12/6/2017, Entered: None |
Mail returned |
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MAIL RETURNED as Undeliverable. Reason: Forward time expired. Mail sent to Scott Boruff re (115 in 3:15-cv-00546-TAV-CCS, 115 in 3:15-cv-00546-TAV-CCS, 122 in 3:15-cv-00545-TAV-CCS, 122 in 3:15-cv-00545-TAV-CCS, 120 in 3:16-cv-00232-TAV-CCS, 120 in 3:16-cv-00232-TAV-CCS) Order Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(KMK, ) (Entered: 12/06/2017)
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Request |
 |
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122 |
Filed: 11/30/2017, Entered: None |
Order |
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ORDER: The Amended Joint Discovery Plan and Joint Motion to Modify Scheduling Order [Doc. 121 ] is GRANTED IN PART AND DENIED IN PART. Final Pretrial Conference reset for 12/3/2018 01:30 PM in Courtroom 4 - Knoxville before Chief District Judge Thomas A Varlan. Jury Trial reset for 12/10/2018 09:00 AM in Courtroom 4 - Knoxville before Chief District Judge Thomas A Varlan. The parties' Joint Motion to Modify Scheduling Order [Doc. 116 ] is DENIED AS MOOT. Signed by Magistrate Judge C Clifford Shirley, Jr on 11/30/17. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR) Modified to reflect copy mailed to Scott Boruff on 11/30/2017 (JBR). (Entered: 11/30/2017)
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Request |
 |
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121 |
Filed: 11/14/2017, Entered: None |
Motion for Miscellaneous Relief |
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MOTION Amended Joint Discovery Plan and Joint Motion to Modify Scheduling Order by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets. (Attachments: # 1 Proposed Order)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Phillips, W) (Entered: 11/14/2017)
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Request |
 |
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120 |
Filed: 11/13/2017, Entered: None |
Order Referring Motion |
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ORDER REFERRING MOTION: (116 in 3:15-cv-00545-TAV-CCS, 110 in 3:15-cv-00546-TAV-CCS, 115 in 3:16-cv-00232-TAV-CCS) MOTION. Signed by Chief District Judge Thomas A Varlan on 11/13/17. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR) Modified to reflect copy mailed to Scott Boruff and Gerald Hannahs on 11/13/2017 (JBR). (Entered: 11/13/2017)
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Request |
 |
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119 |
Filed: 10/18/2017, Entered: None |
Order on Motion for Leave to Appear Pro Hac Vice |
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ORDER granting (117) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00545-TAV-CCS. Signed by Magistrate Judge C. Clifford Shirley, Jr., on 10/18/2017. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS. (This entry constitutes the complete Order of the Court.) (AGA) Modified to reflect copy mailed to Katherine Turner on 10/19/2017 (JBR). (Entered: 10/18/2017)
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Request |
 |
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118 |
Filed: 10/16/2017, Entered: 10/16/2017 |
Answer to amended complaint |
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First Amended ANSWER to 92 Amended Complaint by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson.(Piazza, Michael)
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Request |
 |
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117 |
Filed: 10/16/2017, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3515301.) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit 1 - Certificates of Good Standing)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Phillips, W) (Entered: 10/16/2017)
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Request |
 |
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116 |
Filed: 10/5/2017, Entered: None |
Motion for Miscellaneous Relief |
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JOINT MOTION TO MODIFY SCHEDULING ORDER and REPORT of Rule 26(f) Planning Meeting. (Attachments: # 1 Exhibit Joint Discovery Plan, # 2 Exhibit Proposed Discovery Schedule, # 3 Exhibit Proposed Order)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Reise, Jack) Modified text on 10/6/2017 (ABF). Modified on 11/2/2017 (KMK): show as pending motion. (Entered: 10/05/2017)
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Request |
 |
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115 |
Filed: 10/3/2017, Entered: None |
Order on Motion for Leave to Appear Pro Hac Vice |
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ORDER granting (110) Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php in case 3:15-cv-00545-TAV-CCS. Signed by Magistrate Judge C. Clifford Shirley, Jr., on 10/3/2017. (This entry constitutes the complete Order of the Court.) Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (AGA) Modified to reflect copy mailed to Michael Piazza on 10/3/2017 (JBR). (Entered: 10/03/2017)
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Request |
 |
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114 |
Filed: 9/25/2017, Entered: None |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by MLV & Co. LLC identifying Corporate Parent FBR Capital Market Holdings, Inc., Corporate Parent BRC Merger Sub, LLC, Corporate Parent B. Riley Financial, Inc. for MLV & Co. LLC, MLV & Co. LLC, MLV & Co. LLC. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) (Entered: 09/25/2017)
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Request |
 |
|
|
113 |
Filed: 9/25/2017, Entered: None |
Suggestion of Bankruptcy |
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SUGGESTION OF BANKRUPTCY Upon the Record as to Williams Financial Group by Williams Financial Group. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) (Entered: 09/25/2017)
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Request |
 |
|
|
112 |
Filed: 9/25/2017, Entered: 9/25/2017 |
Answer to amended complaint |
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ANSWER to 92 Amended Complaint by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group.(Keeley, Margaret)
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Request |
 |
|
|
111 |
Filed: 9/25/2017, Entered: 9/25/2017 |
Answer to amended complaint |
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ANSWER to 92 Amended Complaint by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson.(Marcum, Stephen)
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Request |
 |
|
|
110 |
Filed: 9/25/2017, Entered: None |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3499208.) by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson. (Attachments: # 1 Other USDC Certificate, # 2 Other CA Certificate, # 3 Affidavit)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Marcum, Stephen) (Entered: 09/25/2017)
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Request |
 |
|
|
109 |
Filed: 9/22/2017, Entered: None |
Answer to amended complaint |
|
ANSWER to 92 Amended Complaint by Gerald Hannahs. (Attachments: # 1 Other Cover Letter) (JBR) (Entered: 09/22/2017)
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Request |
 |
|
|
108 |
Filed: 8/23/2017, Entered: None |
Order on Motion for extension of time to answer |
|
ORDER granting (107) Motion for Extension of Time to Answer in case 3:15-cv-00545-TAV-CCS; granting (104) Motion for Extension of Time to Answer in case 3:15-cv-00546-TAV-CCS; granting (109) Motion for Extension of Time to Answer in case 3:16-cv-00232-TAV-CCS. The Defendants SHALL file a response to the Complaint on or before September 25, 2017, and the parties SHALL conduct their Rule 26(f) conference on or before September 25, 2017. Signed by Magistrate Judge C Clifford Shirley, Jr on 8/23/17. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (JBR) Modified to reflect copy mailed to Scott Boruff on 8/23/2017 (JBR). (Entered: 08/23/2017)
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Request |
 |
|
|
107 |
Filed: 8/21/2017, Entered: None |
Motion for Extension of Time to File Answer |
|
Joint MOTION for Extension of Time to File Answer and to Postpone Rule 26(f) Conference by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit Proposed Order)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) (Entered: 08/21/2017)
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Request |
 |
|
|
106 |
Filed: 8/11/2017, Entered: None |
Order on Motion to Dismiss |
|
MEMORANDUM OPINION AND ORDER granting in part and denying in part (95) Motion to Dismiss; granting in part and denying in part (96) Motion to Dismiss for Failure to State a Claim; granting in part and denying in part (99) Motion to Dismiss in case 3:15-cv-00545-TAV-CCS; granting in part and denying in part (92) Motion to Dismiss; granting in part and denying in part (93) Motion to Dismiss for Failure to State a Claim; granting in part and denying in part (96) Motion to Dismiss in case 3:15-cv-00546-TAV-CCS; granting in part and denying in part (97) Motion to Dismiss; granting in part and denying in part (98) Motion to Dismiss for Failure to State a Claim; granting in part and denying in part (101) Motion to Dismiss in case 3:16-cv-00232-TAV-CCS. Signed by Chief District Judge Thomas A Varlan on 8/11/17. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (JBR) Modified to reflect copy mailed to Scott Boruff on 8/11/2017 (JBR). (Entered: 08/11/2017)
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|
Request |
 |
|
|
105 |
Filed: 4/22/2017, Entered: None |
Reply to Response to motion |
|
REPLY to Response to Motion re (99 in 3:15-cv-00545-TAV-CCS, 96 in 3:15-cv-00546-TAV-CCS, 101 in 3:16-cv-00232-TAV-CCS) MOTION to Dismiss [Plaintiff's Master Consolidated Complaint] filed by Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Weber, Robert) (Entered: 04/22/2017)
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Request |
 |
|
|
104 |
Filed: 4/21/2017, Entered: None |
Reply to Response to motion |
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REPLY BRIEF in support of (98 in 3:16-cv-00232-TAV-CCS, 96 in 3:15-cv-00545-TAV-CCS, 93 in 3:15-cv-00546-TAV-CCS) MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) Modified text on 4/21/2017 (ADA). (Entered: 04/21/2017)
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|
Request |
 |
|
|
103 |
Filed: 4/7/2017, Entered: None |
Affidavit |
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AFFIDAVIT re (102 in 3:15-cv-00545-TAV-CCS) Response in Opposition to Motion, Declaration of Jack Reise in Support of Lead Plaintiffs Omnibus Opposition to Defendants Motion to Dismiss by Kenneth Gaynor, Marcia Goldberg, Gabriel R Hull, Christopher R Vorrath. (Attachments: # 1 Exhibit A September 28, 2012 Prospectus Supplement, # 2 Exhibit B September 26, 2013 Prospectus Supplement, # 3 Exhibit C December 10, 2014 10-Q, # 4 Exhibit D February 13, 2013 Prospectus Supplement, # 5 Exhibit E Complaint, Case No. 11-00386, # 6 Exhibit F Answer, Case No. 11-00386, # 7 Exhibit G July 14, 2014 10-K, # 8 Exhibit H Registration Statement, # 9 Exhibit I September 10, 2012 10-Q, # 10 Exhibit J December 10, 2012 10-Q, # 11 Exhibit K March 12, 2013 10-Q, # 12 Exhibit L July 15, 2013 10-K, # 13 Exhibit M September 9, 2013 10-Q, # 14 Exhibit N May 8, 2013 Prospectus Supplement, # 15 Exhibit O August 21, 2014 Prospectus Supplement, # 16 Exhibit P Shareholders' Agreement, # 17 Exhibit Q Catherine Rector Employment Agreement)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Reise, Jack) (Entered: 04/07/2017)
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Request |
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102 |
Filed: 4/7/2017, Entered: None |
response in opposition to motion |
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RESPONSE in Opposition re (99 in 3:15-cv-00545-TAV-CCS) MOTION to Dismiss [Plaintiff's Master Consolidated Complaint], (96 in 3:15-cv-00545-TAV-CCS) MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM Lead Plaintiffs Omnibus Opposition to Defendants Motions to Dismiss filed by Kenneth Gaynor, Marcia Goldberg, Gabriel R Hull, Christopher R Vorrath. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Reise, Jack) (Entered: 04/07/2017)
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Request |
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101 |
Filed: 2/22/2017, Entered: None |
Notice - Other |
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NOTICE by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group re (99 in 3:15-cv-00545-TAV-CCS) MOTION to Dismiss [Plaintiff's Master Consolidated Complaint] Notice of Joinder Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) (Entered: 02/22/2017)
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Request |
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100 |
Filed: 2/22/2017, Entered: None |
NOTICE of Deficiency (Not Pro Hac) |
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INFORMATIONAL ONLY - Administrative Notice to Margaret Keeley re ( 96 in 3:15-cv-00545-TAV-CCS, 98 in 3:16-cv-00232-TAV-CCS, 93 in 3:15-cv-00546-TAV-CCS) MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM: During docketing Memorandums/Affidavits, etc. in support of motions in consolidated cases, you must select/check the box for the motion from the lead case. ECF will automatically select that motion from each consolidated case. Should you have questions, please do not hesitate to contact the Clerk's Office. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR) (Entered: 02/22/2017)
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Request |
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99 |
Filed: 2/21/2017, Entered: None |
Motion to Dismiss |
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MOTION to Dismiss [Plaintiff's Master Consolidated Complaint] by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Catherine A. Rector, William B. Richardson, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson. (Attachments: # 1 Other Memorandum of Points and Authorities, # 2 Other Declaration of Robert D. Weber, # 3 Exhibit Exhibits to A through K to Weber Declaration, # 4 Other Request for Judicial Notice)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Weber, Robert) (Entered: 02/21/2017)
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Request |
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98 |
Filed: 2/21/2017, Entered: None |
Affidavit in Support of Motion |
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AFFIDAVIT in Support re (98 in 3:16-cv-00232-TAV-CCS) MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P, # 17 Exhibit Q, # 18 Exhibit R)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) Modified event on 2/22/2017 (JBR, ). (Entered: 02/21/2017)
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Request |
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97 |
Filed: 2/21/2017, Entered: None |
memorandum in support of motion |
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MEMORANDUM in Support of Motion re (98 in 3:16-cv-00232-TAV-CCS) MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) Modified event on 2/22/2017 (JBR, ). (Entered: 02/21/2017)
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Request |
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96 |
Filed: 2/21/2017, Entered: None |
Motion to Dismiss for Failure to State a Claim |
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MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) (Entered: 02/21/2017)
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Request |
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95 |
Filed: 2/16/2017, Entered: None |
Motion to Dismiss |
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MOTION to Dismiss and Answer of Separate Defendant Gerald Hannahs to Master Consolidated Complaint by Gerald Hannahs. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR) (Entered: 02/17/2017)
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Request |
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94 |
Filed: 2/15/2017, Entered: None |
Unknown Document Type |
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ORDER granting (93) Motion for Leave to File Excess Pages in case 3:15-cv-00545-TAV-CCS; granting (90) Motion for Leave to File Excess Pages in case 3:15-cv-00546-TAV-CCS; granting (95) Motion for Leave to File Excess Pages in case 3:16-cv-00232-TAV-CCS. Signed by Chief District Judge Thomas A Varlan on 2/15/17. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (JBR) Modified to reflect c/m on 2/15/2017 (JBR). (Entered: 02/15/2017)
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Request |
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93 |
Filed: 2/6/2017, Entered: None |
Unknown Document Type |
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Joint MOTION for Leave to File Excess Pages by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit Proposed Order to Grant Motion to Exceed Page Limitation)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) (Entered: 02/06/2017)
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Request |
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92 |
Filed: 1/5/2017, Entered: 1/5/2017 |
Amended Complaint |
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AMENDED COMPLAINT/MASTER CONSOLIDATED COMPLAINT against All Defendants., filed by Kenneth Gaynor, Christopher R Vorrath, Marcia Goldberg and Gabriel R. Hull.(Reise, Jack) Modified text on 1/6/2017 (JBR).
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Request |
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91 |
Filed: 12/27/2016, Entered: None |
Unknown Document Type |
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ORDER granting (86) Motion to Appoint Counsel in case 3:15-cv-00545-TAV-CCS; granting (84) Motion to Appoint Counsel in case 3:15-cv-00546-TAV-CCS; granting (88) Motion to Appoint Counsel in case 3:16-cv-00232-TAV-CCS. Signed by Magistrate Judge C Clifford Shirley, Jr on 12/27/16. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS (JBR) Modified to reflect c/m on 12/27/2016 (JBR). (Entered: 12/27/2016)
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Request |
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90 |
Filed: 11/21/2016, Entered: None |
Unknown Document Type |
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NOTICE by Kenneth Gaynor of Filing Correspondence Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Astley, Stephen) (Entered: 11/21/2016)
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Request |
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89 |
Filed: 11/10/2016, Entered: None |
Unknown Document Type |
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NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings held on 10/25/2016, before Judge C. Clifford Shirley. Court Reporter/Transcriber TGrandchamp, Telephone number 6308420030. NOTICE RE REDACTION OF TRANSCRIPTS: The parties have seven (7) calendar days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. The policy is located on our website at www.tned.uscourts.gov. 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.. Redaction Request due 12/1/2016. Redacted Transcript Deadline set for 12/12/2016. Release of Transcript Restriction set for 2/8/2017. (TSG, ) (Entered: 11/10/2016)
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Request |
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88 |
Filed: 11/8/2016, Entered: None |
Unknown Document Type |
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AFFIDAVIT re (88 in 3:16-cv-00232-TAV-CCS, 84 in 3:15-cv-00546-TAV-CCS, 86 in 3:15-cv-00545-TAV-CCS) MOTION to Appoint Counsel and Lead Plaintiff, (89 in 3:16-cv-00232-TAV-CCS, 85 in 3:15-cv-00546-TAV-CCS, 87 in 3:15-cv-00545-TAV-CCS) Memorandum in Support of Motion, for Appointment as Lead Plaintiff and Approval of Selection of Counsel by Gabriel R Hull, Kenneth Gaynor, Christopher R Vorrath, Marcia Goldberg. (Attachments: # 1 Exhibit A- Combined Loss Chart, # 2 Exhibit B- Certifications, # 3 Exhibit C- RGRD Resume, # 4 Exhibit D- Barrett Johnston Resume)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Reise, Jack) (Entered: 11/08/2016)
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Request |
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87 |
Filed: 11/8/2016, Entered: None |
Unknown Document Type |
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MEMORANDUM in Support of Motion re (84 in 3:15-cv-00546-TAV-CCS, 86 in 3:15-cv-00545-TAV-CCS, 88 in 3:16-cv-00232-TAV-CCS) MOTION to Appoint Counsel and Lead Plaintiff filed by Gabriel R Hull, Kenneth Gaynor, Christopher R Vorrath, Marcia Goldberg. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Reise, Jack) (Entered: 11/08/2016)
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Request |
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86 |
Filed: 11/8/2016, Entered: None |
Unknown Document Type |
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MOTION to Appoint Counsel and Lead Plaintiff by Gabriel R Hull, Kenneth Gaynor, Marcia Goldberg, Christopher R Vorrath. (Attachments: # 1 Other [Proposed] Order)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Reise, Jack) (Entered: 11/08/2016)
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Request |
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85 |
Filed: 11/7/2016, Entered: None |
Unknown Document Type |
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NOTICE by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group Notice of Consent (Attachments: # 1 Exhibit Exhibit A, # 2 Exhibit Exhibit B)Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(Keeley, Margaret) (Entered: 11/07/2016)
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Request |
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84 |
Filed: 11/7/2016, Entered: 11/7/2016 |
Order on Motion to consolidate cases |
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MEMORANDUM AND ORDER. Signed by Magistrate Judge C Clifford Shirley, Jr on 11/7/16. (JBR)
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Request |
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83 |
Filed: 11/2/2016, Entered: 11/2/2016 |
Notice - Other |
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NOTICE by Kenneth Gaynor of Filing Correspondence (Astley, Stephen)
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Request |
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82 |
Filed: 10/28/2016, Entered: 10/28/2016 |
Court Reporter Notes |
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COURT REPORTER NOTES OF PROCEEDINGS filed by TGrandchamp of Status Conference before Judge C. Clifford Shirley, Jr. on 10/25/2016. In accordance with 28 U.S.C. Section 753(b), I certify that these original notes are a true and correct record of proceedings in the United States District Court for the Eastern District of TN before Judge C. Clifford Shirley, Jr. on 10/25/2016. By s/ TGrandchamp. (Court Reporter Notes are viewable by court staff only). (TSG, )
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Request |
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81 |
Filed: 10/25/2016, Entered: None |
Unknown Document Type |
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Minute Entry for proceedings held before Magistrate Judge C Clifford Shirley, Jr: Status Conference held on 10/25/2016. The parties presented before the Court for a scheduled Status Conference. The parties advised the Court as to the status of this case. Counsel and the Court addressed consolidation of these matters, and a schedule for filing an amended complaint and dispositive motions. All deadlines will be contained within an order to follow. (Court Reporter Terri Grandchamp) (RLK) (Entered: 10/26/2016)
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Request |
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Save 25% on a pre-paid one year subscription. |
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80 |
Filed: 10/12/2016, Entered: None |
Unknown Document Type |
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ORDER granting 79 Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php. Signed by Magistrate Judge C. Clifford Shirley, Jr., on 10/12/2016. (This entry constitutes the complete Order of the Court.) (AGA) Modified to reflect c/m on 10/13/2016 (JBR). (Entered: 10/12/2016)
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Request |
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79 |
Filed: 10/10/2016, Entered: 10/10/2016 |
Motion for Leave to Appear Pro Hac Vice |
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MOTION for Leave to Appear Pro Hac Vice for Stephen Richard Astley ( Filing fee $ 90 receipt number 0649-3228777.) by Kenneth Gaynor. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Miles, Timothy)
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Request |
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78 |
Filed: 10/6/2016, Entered: 10/6/2016 |
Motion for Extension of Time |
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Joint MOTION for Extension of Time to File Joint Motion to Postpone Rule 26(f) Conference by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit Proposed Order)(Keeley, Margaret)
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Request |
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77 |
Filed: 9/30/2016, Entered: None |
Unknown Document Type |
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RESPONSE to Motion re 62 MOTION to Consolidate Cases Gaynor v. Miller et al., Goldberg v. Miller et al., and Hull v. Miller et al. filed by Kenneth Gaynor. (Reise, Jack) (Entered: 09/30/2016)
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Request |
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76 |
Filed: 9/21/2016, Entered: 9/21/2016 |
Order Governing Depositions |
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Order Governing Depositions. Signed by Chief District Judge Thomas A Varlan on 9/21/16. (JBR) Modified to reflect c/m on 9/21/2016 (JBR).
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Request |
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75 |
Filed: 9/21/2016, Entered: 9/21/2016 |
Scheduling Order |
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SCHEDULING ORDER: Jury Trial set for 1/16/2018 at 9:00 AM in Courtroom 4 - Knoxville before Chief District Judge Thomas A Varlan. Final Pretrial Conference set for 1/8/2018 at 2:00 PM in Courtroom 4 - Knoxville before Chief District Judge Thomas A Varlan. Signed by Chief District Judge Thomas A Varlan on 9/21/16. (JBR) Modified to reflect c/m on 9/21/2016 (JBR).
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Request |
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74 |
Filed: 9/15/2016, Entered: 9/15/2016 |
Motion for Extension of Time to File Answer |
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Joint MOTION for Extension of Time to File Answer (Joint Motion to Set Briefing Schedule and Postpone Responsive Pleading Deadline) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit Proposed Order)(MacDonald, Amanda)
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Request |
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73 |
Filed: 9/8/2016, Entered: None |
Unknown Document Type |
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MEMORANDUM AND ORDER denying (29) Motion to Remand in case 3:15-cv-00545-TAV-CCS; and denying (32) Motion to Remand in case 3:15-cv-00546-TAV-CCS. Signed by Chief District Judge Thomas A Varlan on 9/8/16. (JBR) (Entered: 09/08/2016)
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Request |
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72 |
Filed: 8/5/2016, Entered: None |
Unknown Document Type |
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MEMORANDUM AND ORDER granting in part and denying in part 69 Motion to Withdraw as Attorney. Attorneys Leibowitz, Hemmelgarn, Tindell, and the Leibowitz Law Firm, PLLC, are RELIEVED of their duties as counsel in this case. Defendant Boruff is hereby ADMONISHED that his is DEEMED to be proceeding pro se. Signed by Magistrate Judge C Clifford Shirley, Jr on 8/5/16. (c/m to Defendant Boruff) (JBR) (Entered: 08/05/2016)
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Request |
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71 |
Filed: 7/22/2016, Entered: None |
Unknown Document Type |
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ORDER: The following Motions are HELD IN ABEYANCE: (1.) Gaynor v. Miller, 3:15-cv-545. Plaintiffs Motion for Order Deeming Defendant Gerald Hannahs Served, or in the alternative, to Extend Time to Serve, and Memorandum in Support Thereof 54 ; Defendants Motion and Incorporated Memorandum of Law in Support of Consolidation of Related Actions 62 . (2.) Goldberg v. Miller, 3:15-cv-546: Plaintiffs Motion for Order Deeming Defendant Gerald Hannahs Served, or in the alternative, to Extend Time to Serve, and Memorandum in Support Thereof 55 ; Defendants Motion and Incorporated Memorandum of Law in Support of Consolidation of Related Actions 62 . (3.) Cosby v. Miller, 3:16-cv-121: Joint Motion for Scheduling Order 10 and Motion for Appointment of Co-Lead Plaintiffs and Approval of Their Selection of Lead Counsel 11 .(4.) Hull v. Miller, 3:16-cv-232: Joint Motion to Postpone Responsive Pleading Deadline 45 and Defendants Motion and Incorporated Memorandum of Law in Support of Consolidation of Related Actions 61 . With respect to the Stipulated Briefing Scheduling Regarding Underwriter Defendants Motion for Consolidation of Related Actions filed in Gaynor, Goldberg, and Hull [Docs. 66, 66, 63], respectively, the Court GRANTS IN PART AND DENIES IN PART the Stipulation. The Court grants the Stipulation to the extent it requests that the Plaintiffs Response be filed after the Motions to Remand are ruled upon. The briefing schedule will be determined after the Motions to Remand are ruled upon.Signed by Magistrate Judge C Clifford Shirley, Jr on 7/22/16. (ABF) (Entered: 07/22/2016)
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Request |
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70 |
Filed: 7/21/2016, Entered: None |
Unknown Document Type |
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RESPONSE to Motion re 69 MOTION to Withdraw as Attorney for Defendant Scott Boruff filed by Kenneth Gaynor. (Reise, Jack) (Entered: 07/21/2016)
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Request |
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69 |
Filed: 7/19/2016, Entered: None |
Unknown Document Type |
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MOTION to Withdraw as Attorney by Scott M. Boruff. (Leibowitz, Lawrence) (Entered: 07/19/2016)
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Request |
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68 |
Filed: 7/18/2016, Entered: None |
Unknown Document Type |
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Plaintiff's Response to Supplemental Memorandum of Law of Underwriter Defendants In Opposition to Plaintiffs Motion to Remand filed by Kenneth Gaynor re 67 (Attachments: # 1 Exhibit Cyan CA Superior Court Case Docket)(Reise, Jack) Modified text on 7/18/2016 (JBR). (Entered: 07/18/2016)
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Request |
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67 |
Filed: 7/7/2016, Entered: None |
Unknown Document Type |
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Supplemental Memorandum of Law of Underwriter Defendants in Opposition to Plaintiff's Motion to Remand re 29 by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Keeley, Margaret) (Entered: 07/07/2016)
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Request |
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66 |
Filed: 6/28/2016, Entered: None |
Unknown Document Type |
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STIPULATED BRIEFING SCHEDULE re 62 MOTION to Consolidate Cases Gaynor v. Miller et al., Goldberg v. Miller et al., and Hull v. Miller et al. Stipulated Briefing Schedule Regarding Underwriter Defendants Motion for Consolidation of Related Actions by Kenneth Gaynor. (Attachments: # 1 Other [Proposed] Order)(Reise, Jack) Modified text on 6/29/2016 (JBR). (Entered: 06/28/2016)
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Request |
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65 |
Filed: 6/27/2016, Entered: None |
Unknown Document Type |
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ORDER REFERRING MOTION: (62 in 3:15-cv-00546-TAV-CCS) MOTION to Consolidate Cases Gaynor v. Miller et al., Goldberg v. Miller et al., and Hull v. Miller et al. filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Williams Financial Group, Ladenburg Thalmann & Co. Inc., (62 in 3:15-cv-00545-TAV-CCS) MOTION to Consolidate Cases Gaynor v. Miller et al., Goldberg v. Miller et al., and Hull v. Miller et al. filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Ladenburg Thalmann & Co. Inc., Williams Financial Group, (61 in 3:16-cv-00232-TAV-CCS) MOTION to Consolidate Cases Gaynor v. Miller et al., Goldberg v. Miller et al., and Hull v. Miller et al. filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Ladenburg Thalmann & Co. Inc. Signed by Chief District Judge Thomas A Varlan on 6/27/16. (JBR) (Entered: 06/27/2016)
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Request |
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64 |
Filed: 6/15/2016, Entered: None |
Unknown Document Type |
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REPLY to 63 Response re 61 Notice Regarding Gerald Hannahs (Keeley, Margaret) Modified event and text on 6/16/2016 (JBR). (Entered: 06/15/2016)
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Request |
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63 |
Filed: 6/13/2016, Entered: None |
Unknown Document Type |
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RESPONSE re 61 Notice (Other), filed by Kenneth Gaynor (Attachments: # 1 Exhibit Summons and Proof of Service)(Reise, Jack) Modified text on 7/18/2016 (JBR). (Entered: 06/13/2016)
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Request |
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62 |
Filed: 6/13/2016, Entered: None |
Unknown Document Type |
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MOTION to Consolidate Cases Gaynor v. Miller et al., Goldberg v. Miller et al., and Hull v. Miller et al. by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Keeley, Margaret) (Entered: 06/13/2016)
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Request |
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61 |
Filed: 6/8/2016, Entered: None |
Unknown Document Type |
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NOTICE Regarding Gerald Hannahs by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group (Keeley, Margaret) Modified text on 6/9/2016 (JBR). (Entered: 06/08/2016)
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Request |
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60 |
Filed: 5/26/2016, Entered: None |
Unknown Document Type |
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ORDER re [Doc. 59] Order to Show Cause is hereby VACATED. This entry constitutes the complete order of the Court. There is no document attached to this entry. Signed by Chief District Judge Thomas A. Varlan on 05/26/16. (LPG) (Entered: 05/26/2016)
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Request |
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59 |
Filed: 5/24/2016, Entered: None |
Unknown Document Type |
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ORDER TO SHOW CAUSE: Plaintiffs are hereby ORDERED, within twenty-one (21) days from the date of this order, to show cause why the case against defendant David J. Voyticky should not be dismissed for failure to prosecute. Signed by Chief District Judge Thomas A Varlan on 5/24/16. (JBR) (Entered: 05/24/2016)
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Request |
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58 |
Filed: 4/1/2016, Entered: 4/1/2016 |
Notice - Other |
|
NOTICE Regarding David J. Voyticky by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group (Attachments: # 1 Exhibit Declaration of Patrice McNicoll)(Keeley, Margaret) Modified text on 4/4/2016 (JBR).
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Request |
 |
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57 |
Filed: 4/1/2016, Entered: 4/1/2016 |
Order Reassigning Case |
|
ORDER REASSIGNING CASE. Magistrate Judge H Bruce Guyton no longer assigned to case. Case reassigned to Magistrate Judge C Clifford Shirley, Jr for all further proceedings. Signed by Chief District Judge Thomas A Varlan on 4/1/16. (JBR)
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Request |
 |
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56 |
Filed: 3/31/2016, Entered: 3/31/2016 |
Order |
|
ORDER Regarding Related Cases. The Clerk of Court SHALL refer Gaynor v. Miller, No. 3:15-cv-545 to the Chief District Judge for reassignment. However, consolidation is not ordered. Signed by Magistrate Judge C Clifford Shirley, Jr on 3/31/16. (JBR)
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Request |
 |
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55 |
Filed: 3/11/2016, Entered: 3/11/2016 |
Order Referring Motion |
|
ORDER REFERRING MOTION: Pursuant to 28 U.S.C. ?? 636(b), it is hereby ORDERED that Plaintiff's Motion for Order Deeming Defendant Gerald Hannahs Served or, in the Alternative, to Extend Time to Serve, and Memorandum in Support Thereof [Doc. 54 ] is hereby REFERRED to Magistrate Judge H. Bruce Guyton, for his consideration and determination or report and recommendation, as may be appropriate. Signed by Chief District Judge Thomas A Varlan on 3/11/16. (JBR) Modified to reflect c/m on 3/11/2016 (JBR).
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Request |
 |
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54 |
Filed: 3/8/2016, Entered: 3/8/2016 |
Motion for Miscellaneous Relief |
|
MOTION FOR ORDER DEEMING DEFENDANT GERALD HANNAHS SERVED OR, IN THE ALTERNATIVE, TO EXTEND TIME TO SERVE, AND MEMORANDUM IN SUPPORT THEREOF by Kenneth Gaynor. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Reise, Jack)
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Request |
 |
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53 |
Filed: 3/7/2016, Entered: 3/7/2016 |
Summons issued |
|
Summons Issued as to Gerald Hannahs. (JBR)
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Request |
 |
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52 |
Filed: 3/4/2016, Entered: 3/4/2016 |
Notice - Other |
|
NOTICE by Kenneth Gaynor FOR ISSUANCE OF FEDERAL SUMMONS FOR DEFENDANT GERALD HANNAHS (Attachments: # 1 Summons Gerald Hannahs)(Reise, Jack)
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Request |
 |
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51 |
Filed: 3/4/2016, Entered: 3/4/2016 |
Summons Returned Executed (non-USA) |
|
SUMMONS Returned Executed by Kenneth Gaynor. David J. Voyticky served on 3/2/2016. (Miles, Timothy)
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Request |
 |
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50 |
Filed: 2/12/2016, Entered: 2/12/2016 |
Reply to Response to motion |
|
REPLY to Response to Motion re 29 MOTION to Remand and Incorporated Memorandum of Law filed by Kenneth Gaynor. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Reise, Jack)
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Request |
 |
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49 |
Filed: 2/12/2016, Entered: 2/12/2016 |
Summons issued |
|
Summons Issued as to David J. Voyticky. (ABF)
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Request |
 |
|
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48 |
Filed: 2/11/2016, Entered: 2/11/2016 |
Notice - Other |
|
NOTICE by Kenneth Gaynor Notice For Issuance Of Federal Summons For Defendant David Voyticky (Attachments: # 1 Summons for David Voyticky)(Miles, Timothy)
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Request |
 |
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47 |
Filed: 2/1/2016, Entered: None |
Unknown Document Type |
|
ORDER granting 39 Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php. Signed by Magistrate Judge H. Bruce Guyton on 2/1/2016. (ARG) (Entered: 02/01/2016)
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Request |
 |
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46 |
Filed: 2/1/2016, Entered: None |
Unknown Document Type |
|
ORDER granting 38 Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php. Signed by Magistrate Judge H. Bruce Guyton on 2/1/2016. (ARG) (Entered: 02/01/2016)
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Request |
 |
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45 |
Filed: 2/1/2016, Entered: None |
Unknown Document Type |
|
ORDER granting 30 Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php. Signed by Magistrate Judge H. Bruce Guyton on 2/1/2016. (ARG) Modified to reflect c/m on 2/2/2016 (JBR). (Entered: 02/01/2016)
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Request |
 |
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44 |
Filed: 1/29/2016, Entered: 1/29/2016 |
response in opposition to motion |
|
RESPONSE in Opposition re 29 MOTION to Remand and Incorporated Memorandum of Law filed by Scott M. Boruff. (Leibowitz, Lawrence)
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|
Request |
 |
|
|
43 |
Filed: 1/29/2016, Entered: 1/29/2016 |
response in opposition to motion |
|
RESPONSE in Opposition re 29 MOTION to Remand and Incorporated Memorandum of Law filed by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Keeley, Margaret)
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|
Request |
 |
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|
42 |
Filed: 1/29/2016, Entered: 1/29/2016 |
response in opposition to motion |
|
RESPONSE in Opposition re 29 MOTION to Remand and Incorporated Memorandum of Law filed by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, Marceau N. Schlumberger, Charles M. Stivers, Don A. Turkleson. (Weber, Robert)
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|
Request |
 |
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41 |
Filed: 1/15/2016, Entered: 1/15/2016 |
supplement |
|
SUPPLEMENT to 39 MOTION for Leave to Appear Pro Hac Vice Robert Weber ( Filing fee $ 90 receipt number 0649-3007599.) by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, Marceau N. Schlumberger, Don A. Turkleson. (Marcum, Stephen)
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|
Request |
 |
|
|
40 |
Filed: 1/15/2016, Entered: 1/15/2016 |
NOTICE of Deficiency (Not Pro Hac) |
|
Administrative Notice to Counsel re 39 MOTION for Leave to Appear Pro Hac Vice Robert Weber: No motion for admission pro hac vice was attached. Please file a motion for admission pro hac vice using the "Other Filings/Other Documents/Supplement" event. Requirements due by 1/20/2016. (JBR)
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|
Request |
 |
|
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39 |
Filed: 1/15/2016, Entered: 1/15/2016 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice Robert Weber ( Filing fee $ 90 receipt number 0649-3007599.) by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, Marceau N. Schlumberger, Don A. Turkleson. (Attachments: # 1 Affidavit affidavit)(Marcum, Stephen)
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|
Request |
 |
|
|
38 |
Filed: 1/15/2016, Entered: 1/15/2016 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice Perrie M. Weiner ( Filing fee $ 90 receipt number 0649-3007582.) by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, Marceau N. Schlumberger, Don A. Turkleson. (Attachments: # 1 Affidavit Affidavit)(Marcum, Stephen)
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|
Request |
 |
|
|
37 |
Filed: 1/14/2016, Entered: 1/14/2016 |
Notice - Other |
|
NOTICE by Bob G. Gower, David M. Hall, Joseph T. Leary, Merrill A. McPeak, Deloy Miller, Catherine A. Rector, Marceau N. Schlumberger, Don A. Turkleson of Consent to Removal (Marcum, Stephen)
|
|
Request |
 |
|
|
36 |
Filed: 1/14/2016, Entered: 1/14/2016 |
Notice of Appearance |
|
NOTICE of Appearance by Stephen A Marcum on behalf of David M. Hall, Deloy Miller (Marcum, Stephen)
|
|
Request |
 |
|
|
35 |
Filed: 1/14/2016, Entered: 1/14/2016 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by I-Bankers Securities, Inc.. (Keeley, Margaret)
|
|
Request |
 |
|
|
34 |
Filed: 1/14/2016, Entered: 1/14/2016 |
Notice - Other |
|
NOTICE Regarding Failure to Serve David J. Voyticky filed by MLV & Co. LLC for David J. Voyticky (Attachments: # 1 Exhibit Proof of Service of David J. Voyticky, # 2 Exhibit Photograph of Text Message from David J. Voyticky)(Keeley, Margaret) Modified text and filer info on 1/14/2016 (JBR).
|
|
Request |
 |
|
|
33 |
Filed: 1/14/2016, Entered: 1/14/2016 |
Notice of Appearance |
|
NOTICE of Appearance by Stephen A Marcum on behalf of Bob G. Gower, Joseph T. Leary, Merrill A. McPeak, Catherine A. Rector, Marceau N. Schlumberger, Don A. Turkleson (Marcum, Stephen)
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|
Request |
 |
|
|
32 |
Filed: 1/13/2016, Entered: 1/13/2016 |
Notice of Consent/Nonconsent |
|
NOTICE OF CONSENT TO REMOVAL by Scott M. Boruff (Leibowitz, Lawrence)
|
|
Request |
 |
|
|
31 |
Filed: 1/12/2016, Entered: 1/12/2016 |
Notice - Other |
|
NOTICE of Consent to Removal filed by MLV & Co. LLC for Paul W. Boyd and William B. Richardson (Attachments: # 1 Exhibit Consent of William B. Richardson, # 2 Exhibit Consent of Paul W. Boyd)(MacDonald, Amanda) Modified text and filer info on 1/14/2016 (JBR).
|
|
Request |
 |
|
|
30 |
Filed: 1/8/2016, Entered: 1/8/2016 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice for Jack Reise ( Filing fee $ 90 receipt number 0649-3002605.) by Kenneth Gaynor. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Miles, Timothy)
|
|
Request |
 |
|
|
29 |
Filed: 1/8/2016, Entered: 1/8/2016 |
Motion to remand |
|
MOTION to Remand and Incorporated Memorandum of Law by Kenneth Gaynor. (Martin, Jerry)
|
|
Request |
 |
|
|
28 |
Filed: 1/8/2016, Entered: 1/8/2016 |
order on motion for miscellaneous relief |
|
ORDER granting 22 Joint Motion to Set Briefing Schedule and to Postpone Responsive Pleading Deadline. Signed by Chief District Judge Thomas A Varlan on 1/8/16. (JBR)
|
|
Request |
 |
|
|
27 |
Filed: 1/8/2016, Entered: 1/8/2016 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by Williams Financial Group. (Keeley, Margaret)
|
|
Request |
 |
|
|
26 |
Filed: 1/8/2016, Entered: 1/8/2016 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by National Securities Corporation identifying Corporate Parent National Holdings Corporation for National Securities Corporation. (Keeley, Margaret)
|
|
Request |
 |
|
|
25 |
Filed: 1/8/2016, Entered: 1/8/2016 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by Maxim Group LLC. (Keeley, Margaret)
|
|
Request |
 |
|
|
24 |
Filed: 1/8/2016, Entered: 1/8/2016 |
Notice - Other |
|
NOTICE by I-Bankers Securities, Inc., Maxim Group LLC, National Securities Corporation, Williams Financial Group re 1 Notice of Removal, Notice of Joinder and Consent (Keeley, Margaret)
|
|
Request |
 |
|
|
23 |
Filed: 1/7/2016, Entered: 1/7/2016 |
Notice of Appearance |
|
NOTICE of Appearance by Lawrence P Leibowitz on behalf of Scott M. Boruff (Leibowitz, Lawrence)
|
|
Request |
 |
|
|
22 |
Filed: 1/4/2016, Entered: 1/4/2016 |
Motion for Miscellaneous Relief |
|
Joint MOTION To Set Briefing Schedule and Postpone Responsive Pleading Deadline by Aegis Capital Corp., Scott M. Boruff, Dominick & Dominick, LLC, Bob G. Gower, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., Joseph T. Leary, MLV & Co. LLC, Maxim Group LLC, Merrill A. McPeak, National Securities Corporation, Northland Capital Markets, Catherine A. Rector, Marceau N. Schlumberger, Don A. Turkleson, Williams Financial Group. (Phillips, W)
|
|
Request |
 |
|
|
21 |
Filed: 12/31/2015, Entered: None |
Unknown Document Type |
|
ORDER granting 18 Motion for Leave to Appear Pro Hac Vice and granting 19 Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php. Signed by Magistrate Judge H. Bruce Guyton on 12/31/15. (This entry constitutes the complete Order of the Court.) (LWM) Modified to reflect c/m on 12/31/2015 (JBR). (Entered: 12/31/2015)
|
|
Request |
 |
|
|
20 |
Filed: 12/30/2015, Entered: 12/30/2015 |
Notice - Other |
|
NOTICE by Kenneth Gaynor of Withdrawal of William Margrabe as Counsel of Record for the Plaintiff (Miles, Timothy)
|
|
Request |
 |
|
|
19 |
Filed: 12/28/2015, Entered: 12/28/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice for Mary K. Blasy ( Filing fee $ 90 receipt number 0649-2994203.) by Kenneth Gaynor. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Miles, Timothy)
|
|
Request |
 |
|
|
18 |
Filed: 12/28/2015, Entered: 12/28/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice for Samuel H. Rudman ( Filing fee $ 90 receipt number 0649-2994183.) by Kenneth Gaynor. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Miles, Timothy)
|
|
Request |
 |
|
|
17 |
Filed: 12/23/2015, Entered: None |
Unknown Document Type |
|
ORDER granting 14 Motion for Extension of Time to File. Signed by Magistrate Judge H. Bruce Guyton on 12/23/15. (This entry constitutes the complete Order of the Court.) (LWM) Modified to reflect c/m on 12/28/2015 (JBR). (Entered: 12/23/2015)
|
|
Request |
 |
|
|
16 |
Filed: 12/23/2015, Entered: None |
Unknown Document Type |
|
ORDER granting: 15 Motion for Leave to Appear Pro Hac Vice; 9 Motion for Leave to Appear Pro Hac Vice; 10 Motion for Leave to Appear Pro Hac Vice; 11 Motion for Leave to Appear Pro Hac Vice; 12 Motion for Leave to Appear Pro Hac Vice; and 13 Motion for Leave to Appear Pro Hac Vice. You MUST register as a CM/ECF user here: http://www.tned.uscourts.gov/RegistrationForm.php. Signed by Magistrate Judge H. Bruce Guyton on 12/23/15. (This entry constitutes the complete Order of the Court.) (LWM) Modified to reflect c/m on 12/28/2015 (JBR). (Entered: 12/23/2015)
|
|
Request |
 |
|
|
15 |
Filed: 12/22/2015, Entered: 12/22/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice for Curtis V. Trinko ( Filing fee $ 90 receipt number 0649-2992002.) by Kenneth Gaynor. (Attachments: # 1 Other Certificate of Service, # 2 Other Certificate of Good Standing)(Miles, Timothy)
|
|
Request |
 |
|
|
14 |
Filed: 12/21/2015, Entered: 12/21/2015 |
Motion for Extension of Time |
|
MOTION for Extension of Time to File Pro Hac Vice Applications by Kenneth Gaynor. (Johnston, Douglas)
|
|
Request |
 |
|
|
13 |
Filed: 12/21/2015, Entered: 12/21/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice for Steven M. Farina ( Filing fee $ 90 receipt number 0649-2991488.) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit 1 - Certificates of Good Standing)(Phillips, W)
|
|
Request |
 |
|
|
12 |
Filed: 12/21/2015, Entered: 12/21/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice for Amanda M. MacDonald ( Filing fee $ 90 receipt number 0649-2991486.) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit 1 - Certificates of Good Standing)(Phillips, W)
|
|
Request |
 |
|
|
11 |
Filed: 12/21/2015, Entered: 12/21/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice for Margaret A. Keeley ( Filing fee $ 90 receipt number 0649-2991465.) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit 1 - Certificates of Good Standing)(Phillips, W)
|
|
Request |
 |
|
|
10 |
Filed: 12/21/2015, Entered: 12/21/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice Christopher Martin Wood by Kenneth Gaynor. (Attachments: # 1 Other Certificate of Service)(Wood, Christopher) Modified on 12/22/2015 (KMK): no filing fee required - pending admission application on file.
|
|
Request |
 |
|
|
9 |
Filed: 12/21/2015, Entered: 12/21/2015 |
Motion for Leave to Appear Pro Hac Vice |
|
MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-2990991.) by Kenneth Gaynor. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Martin, Jerry)
|
|
Request |
 |
|
|
8 |
Filed: 12/15/2015, Entered: 12/15/2015 |
stipulation |
|
STIPULATION Extending Time for Responsive Pleading by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Phillips, W)
|
|
Request |
 |
|
|
7 |
Filed: 12/11/2015, Entered: 12/11/2015 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by Dominick & Dominick, LLC identifying Corporate Parent DM Trust for Dominick & Dominick, LLC. (Phillips, W)
|
|
Request |
 |
|
|
6 |
Filed: 12/10/2015, Entered: 12/10/2015 |
NOTICE of Deficiency (Not Pro Hac) |
|
Administrative Notice to Counsel requirements due by 12/20/2015. (BJL, ) Modified on 12/10/2015 (BJL, ).*Mailed to Attorneys Curtis V Trinko, Mary K Blasy, Samuel H Rudman, and William Margrabe. (Main Document 6 replaced on 12/10/2015 to correct typo) (BJL, ). Modified on 12/10/2015 (BJL, ).
|
|
Request |
 |
|
|
5 |
Filed: 12/10/2015, Entered: 12/10/2015 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by Northland Capital Markets identifying Corporate Parent Northland Capital Holdings, Inc. for Northland Capital Markets. (Phillips, W)
|
|
Request |
 |
|
|
4 |
Filed: 12/10/2015, Entered: 12/10/2015 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by MLV & Co. LLC identifying Corporate Parent FBR Capital Markets Holdings, Inc., Corporate Parent FBR & Co. for MLV & Co. LLC. (Phillips, W)
|
|
Request |
 |
|
|
3 |
Filed: 12/10/2015, Entered: 12/10/2015 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by Ladenburg Thalmann & Co. Inc. identifying Corporate Parent Ladenburg Thalmann Financial Services Inc. for Ladenburg Thalmann & Co. Inc.. (Phillips, W)
|
|
Request |
 |
|
|
2 |
Filed: 12/10/2015, Entered: 12/10/2015 |
Certificate of Corporate Interest |
|
Certificate of Corporate Interest by Aegis Capital Corp. identifying Corporate Parent Aegis Capital Holdings Corp. for Aegis Capital Corp.. (Phillips, W)
|
|
Request |
 |
|
|
1 |
Filed: 12/9/2015, Entered: 12/9/2015 |
Notice of Removal |
|
NOTICE OF REMOVAL from Morgan County Circuit Court, case number 2015-cv-34. (Filing fee $ 400 receipt number 0649-2981580), filed by Northland Capital Markets, Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Aegis Capital Corp. (Attachments: # 1 Exhibit A-Summons, Complaint, Requests for Production of Documents, # 2 Exhibit B-Civil Cover Sheet, # 3 Other Civil Cover Sheet)(Phillips, W) Modified filers per counsel on 12/10/2015 (JBR).
|
|
Request |
 |
|
|
|
Filed: 6/19/2018, Entered: None |
Notice of hearing |
|
|
|
Request |
 |
|
|
|
Filed: 6/19/2018, Entered: None |
Unknown Document Type |
|
NOTICE of Hearing: Motion Hearing reset for 6/22/2018 at 9:00 AM in Courtroom 3B - Knoxville before Magistrate Judge Debra C Poplin. Note this is a change as to the time only. Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR) Modified to reflect copy mailed to Gerald Hannahs and Scott Boruff on 6/19/2018 (JBR).
|
|
Request |
 |
|
|
|
Filed: 5/25/2018, Entered: None |
Notice of hearing |
|
|
|
Request |
 |
|
|
|
Filed: 5/25/2018, Entered: None |
Unknown Document Type |
|
NOTICE of Hearing: Motion Hearing set to address Plaintiff's Motion to Certify Class for 6/22/2018 at 9:30 AM in Courtroom 3B - Knoxville, before Magistrate Judge Debra C Poplin. (RLK)
|
|
Request |
 |
|
|
|
Filed: 4/30/2018, Entered: None |
|
|
|
|
Request |
 |
|
|
|
Filed: 4/30/2018, Entered: None |
Unknown Document Type |
|
Clerk's Verification of PHV Requirements is complete regarding document: (152 in 3:15-cv-00545-TAV-DCP, 150 in 3:16-cv-00232-TAV-DCP, 145 in 3:15-cv-00546-TAV-DCP) MOTION for Leave to Appear Pro Hac Vice Amanda Catherine Fitzsimmons ( Filing fee $ 90 receipt number 0649-3660028.) filed by Marceau N. Schlumberger, Don A. Turkleson, Deloy Miller, Charles M. Stivers, Merrill A. McPeak, Catherine A. Rector, William B. Richardson, Bob G. Gower, David M. Hall, (149 in 3:16-cv-00232-TAV-DCP, 151 in 3:15-cv-00545-TAV-DCP, 144 in 3:15-cv-00546-TAV-DCP) MOTION for Leave to Appear Pro Hac Vice Edward Dean Totino ( Filing fee $ 90 receipt number 0649-3660021.) filed by Marceau N. Schlumberger, Don A. Turkleson, Charles M. Stivers, Deloy Miller, Merrill A. McPeak, William B. Richardson, Catherine A. Rector, Joseph T. Leary, Bob G. Gower, David M. Hall Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR)
|
|
Request |
 |
|
|
|
Filed: 2/26/2018, Entered: None |
Unknown Document Type |
|
Clerk's Verification of PHV Requirements is complete regarding document: (143 in 3:16-cv-00232-TAV-DCP) MOTION for Leave to Appear Pro Hac Vice for Constantine P. Economides ( Filing fee $ 90 receipt number 0649-3611175.) filed by Kenneth Gaynor, Marcia Goldberg Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR)
|
|
Request |
 |
|
|
|
Filed: 2/26/2018, Entered: None |
|
|
|
|
Request |
 |
|
|
|
Filed: 2/20/2018, Entered: None |
Unknown Document Type |
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Clerk's Verification of PHV Requirements is complete regarding document: (141 in 3:16-cv-00232-TAV-DCP, 143 in 3:15-cv-00545-TAV-DCP, 136 in 3:15-cv-00546-TAV-DCP) MOTION for Leave to Appear Pro Hac Vice Kirby Hsu ( Filing fee $ 90 receipt number 0649-3606367.) filed by Marceau N. Schlumberger, Don A. Turkleson, Deloy Miller, Charles M. Stivers, Merrill A. McPeak, William B. Richardson, Catherine A. Rector, Bob G. Gower, Joseph T. Leary, David M. Hall Associated Cases: 3:15-cv-00545-TAV-DCP, 3:15-cv-00546-TAV-DCP, 3:16-cv-00232-TAV-DCP(JBR)
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Filed: 2/20/2018, Entered: None |
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Filed: 2/16/2018, Entered: None |
Add and Terminate Judges |
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Filed: 2/16/2018, Entered: None |
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Magistrate Judge Debra C Poplin added. Magistrate Judge C Clifford Shirley, Jr no longer assigned to case. (RLK)
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Filed: 1/24/2018, Entered: None |
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Filed: 1/24/2018, Entered: None |
Unknown Document Type |
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Clerk's Verification of PHV Requirements is complete regarding document: (132 in 3:16-cv-00232-TAV-CCS, 127 in 3:15-cv-00546-TAV-CCS, 134 in 3:15-cv-00545-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice for Bailie L. Heikkinen ( Filing fee $ 90 receipt number 0649-3584162.) filed by Kenneth Gaynor, Marcia Goldberg Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR)
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Filed: 1/19/2018, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: (127 in 3:16-cv-00232-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice Sean Crain ( Filing fee $ 90 receipt number 0649-3579869.) filed by Marceau N. Schlumberger, Don A. Turkleson, Deloy Miller, Charles M. Stivers, Merrill A. McPeak, William B. Richardson, Catherine A. Rector, Bob G. Gower, Joseph T. Leary, David M. Hall Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR)
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Filed: 1/19/2018, Entered: None |
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Filed: 1/4/2018, Entered: None |
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Filed: 1/4/2018, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: (123 in 3:16-cv-00232-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3570578.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Ladenburg Thalmann & Co. Inc., (125 in 3:16-cv-00232-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3570616.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Ladenburg Thalmann & Co. Inc., (124 in 3:16-cv-00232-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3570603.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Ladenburg Thalmann & Co. Inc. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR, )
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Filed: 12/6/2017, Entered: None |
Docket Annotation |
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Filed: 12/6/2017, Entered: None |
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Address for Scott Boruff updated pursuant to the usps return label on 123 and subsequently confirmed with Mr. Boruff via telephone. Document 122 RE-MAILED on 12/06/2017 to Mr. Boruff at his new address of 3847 River Vista Way, Louisville, TN 37777. (Former Address: 5628 Lyons View Pike, Knoxville, TN 37919) Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(KMK, )
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Save 25% on a pre-paid one year subscription. |
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Filed: 10/17/2017, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: (116 in 3:16-cv-00232-TAV-CCS, 117 in 3:15-cv-00545-TAV-CCS, 111 in 3:15-cv-00546-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3515301.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Williams Financial Group, Ladenburg Thalmann & Co. Inc. Associated Cases: 3:16-cv-00232-TAV-CCS, 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS(ABF)
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Filed: 10/17/2017, Entered: None |
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Filed: 10/17/2017, Entered: None |
Unknown Document Type |
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Clerk's Verification of PHV Requirements is complete regarding document: (116 in 3:16-cv-00232-TAV-CCS, 117 in 3:15-cv-00545-TAV-CCS, 111 in 3:15-cv-00546-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3515301.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Williams Financial Group, Ladenburg Thalmann & Co. Inc. Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR)
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Filed: 9/26/2017, Entered: None |
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Filed: 9/26/2017, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: (111 in 3:16-cv-00232-TAV-CCS) MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number 0649-3499208.) filed by Marceau N. Schlumberger, Don A. Turkleson, Charles M. Stivers, Merrill A. McPeak, Catherine A. Rector, William B. Richardson, Bob G. Gower, Joseph T. Leary, David M. Hall Associated Cases: 3:15-cv-00545-TAV-CCS, 3:15-cv-00546-TAV-CCS, 3:16-cv-00232-TAV-CCS(JBR)
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Filed: 10/11/2016, Entered: None |
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Filed: 10/11/2016, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 79 MOTION for Leave to Appear Pro Hac Vice for Stephen Richard Astley ( Filing fee $ 90 receipt number 0649-3228777.) filed by Kenneth Gaynor (JBR)
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Filed: 9/22/2016, Entered: None |
Notice of hearing |
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Filed: 9/22/2016, Entered: None |
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NOTICE of Hearing: Status Conference set for 10/25/2016 at 1:30 PM in Courtroom 3B - Knoxville, before Magistrate Judge C Clifford Shirley Jr. The parties are directed to email a one page summary of the issues that need to be addressed by the Court. Also, the parties should be prepared to address questions regarding service. The one page summary shall be due on or before Noon, Friday, October 21, 2016, and emailed to Holly_Nease@tned.uscourts.gov.(RLK)
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Filed: 1/15/2016, Entered: None |
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Filed: 1/15/2016, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 38 MOTION for Leave to Appear Pro Hac Vice Perrie M. Weiner ( Filing fee $ 90 receipt number 0649-3007582.) filed by Marceau N. Schlumberger, Don A. Turkleson, Deloy Miller, Merrill A. McPeak, Catherine A. Rector, Joseph T. Leary, Bob G. Gower, David M. Hall (JBR)
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Filed: 1/15/2016, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 39 MOTION for Leave to Appear Pro Hac Vice Robert Weber ( Filing fee $ 90 receipt number 0649-3007599.) filed by Marceau N. Schlumberger, Don A. Turkleson, Deloy Miller, Merrill A. McPeak, Catherine A. Rector, Joseph T. Leary, Bob G. Gower, David M. Hall (JBR)
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Filed: 1/11/2016, Entered: None |
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Filed: 1/11/2016, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 30 MOTION for Leave to Appear Pro Hac Vice for Jack Reise ( Filing fee $ 90 receipt number 0649-3002605.) filed by Kenneth Gaynor (JBR)
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Filed: 1/5/2016, Entered: None |
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According to the records of the Court, Attorney Robert David Weber is not admitted to practice in this Court. If a Motion to Appear Pro Hac Vice pursuant to E.D. Tenn. L.R. 83.5(b) is not filed within 10 days, this matter will be referred to a judicial officer. PHV requirements due by 1/15/2016. (JBR)
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Filed: 1/5/2016, Entered: None |
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Filed: 12/29/2015, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 19 MOTION for Leave to Appear Pro Hac Vice for Mary K. Blasy ( Filing fee $ 90 receipt number 0649-2994203.) filed by Kenneth Gaynor, 18 MOTION for Leave to Appear Pro Hac Vice for Samuel H. Rudman ( Filing fee $ 90 receipt number 0649-2994183.) filed by Kenneth Gaynor (JBR)
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Filed: 12/29/2015, Entered: None |
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Filed: 12/22/2015, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 10 MOTION for Leave to Appear Pro Hac Vice Christopher Martin Wood filed by Kenneth Gaynor as to Kenneth Gaynor (KMK, )
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Filed: 12/22/2015, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 11 MOTION for Leave to Appear Pro Hac Vice for Margaret A. Keeley ( Filing fee $ 90 receipt number 0649-2991465.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Williams Financial Group, Ladenburg Thalmann & Co. Inc. (KMK, )
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Filed: 12/22/2015, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 12 MOTION for Leave to Appear Pro Hac Vice for Amanda M. MacDonald ( Filing fee $ 90 receipt number 0649-2991486.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Williams Financial Group, Ladenburg Thalmann & Co. Inc. (KMK, )
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Filed: 12/22/2015, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 9 MOTION for Leave to Appear Pro Hac Vice Jerry Martin (Filing fee $ 90 receipt number 0649-2990991.) filed by Kenneth Gaynor (KMK, )
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Filed: 12/22/2015, Entered: None |
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Filed: 12/22/2015, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 13 MOTION for Leave to Appear Pro Hac Vice for Steven M. Farina ( Filing fee $ 90 receipt number 0649-2991488.) filed by I-Bankers Securities, Inc., Northland Capital Markets, Dominick & Dominick, LLC, National Securities Corporation, Maxim Group LLC, Aegis Capital Corp., MLV & Co. LLC, Williams Financial Group, Ladenburg Thalmann & Co. Inc. (KMK, )
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Filed: 12/22/2015, Entered: None |
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Clerk's Verification of PHV Requirements is complete regarding document: 15 MOTION for Leave to Appear Pro Hac Vice for Curtis V. Trinko ( Filing fee $ 90 receipt number 0649-2992002.) filed by Kenneth Gaynor (KMK, )
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Filed: 12/9/2015, Entered: None |
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Filed: 12/9/2015, Entered: None |
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Chief District Judge Thomas A Varlan and Magistrate Judge H Bruce Guyton added. (BJL, )
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