Gaynor v. Miller (TV2)

Federal Civil Lawsuit Tennessee Eastern District Court, Case No. 3:15-cv-00545
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Last Updated January 29, 2020 at 3:42 PM EST (5 years ago) Update UpdateSpaceE-Mail Alert AlertsSpaceJump Jump
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Parties
No Logo Kenneth Gaynor, Plaintiff

Represented by Bank of America Plaza

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Douglas S. Johnston, Jr. +1 615 244 2202 +2523 252 252 3798 djohnston@barrettjohnston.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Gerald E. Martin +1 615 244 2202 +1 615 252 3798 jmartin@barrettjohnston.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Timothy L. Miles +1 615 244 2202 +2523 252 252 3798 tmiles@barrettjohnston.com

Represented by Gardner Cornell, P.C.

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Christopher Martin Wood +1 415 288 4545 +1 415 288 4534 cwood@csgrr.com

Represented by Law Offices Of Curtis V. Trinko, Llp

Name Phone Fax E-Mail
TERMINATED: 12/31/2015, LEAD ATTORNEY William Margrabe +1 212 490 9550 +1 212 986 0158
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Curtis V. Trinko +1 212 490 9550

Represented by Robbins Geller Rudman & Dowd LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Mary K. Blasy +1 631 367 7100 +1 631 367 1173 mblasy@rgrdlaw.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Samuel Howard Rudman +1 631 367 7100 +1 631 367 1173 srudman@rgrdlaw.com

Represented by Tomberlin, Timothy A.

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Jack Reise +1 561 750 3000 +7503 750 750 3364 jreise@rgrdlaw.com
v.
No Logo Aegis Capital Corp., Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Jeffrey P. Yarbro +1 615 742 7793 jyarbro@bassberry.com

Represented by Bass, Barry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Shayne R Clinton +1 865 521 6200 +1 865 521 6234 sclinton@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo Bob G. Gower, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Catherine A. Rector, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Charles M. Stivers, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com
No Logo David J. Voyticky, Defendant
No Logo David M. Hall, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Deloy Miller, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Dominick & Dominick, LLC, Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Jeffrey P. Yarbro +1 615 742 7793 jyarbro@bassberry.com

Represented by Bass, Barry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Shayne R Clinton +1 865 521 6200 +1 865 521 6234 sclinton@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo Don A. Turkleson, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Gerald Hannahs, Defendant
No Logo I-Bankers Securities, Inc., Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo Joseph T. Leary, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Ladenburg Thalmann & Co. Inc., Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Jeffrey P. Yarbro +1 615 742 7793 jyarbro@bassberry.com

Represented by Bass, Barry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Shayne R Clinton +1 865 521 6200 +1 865 521 6234 sclinton@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo Marceau N. Schlumberger, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Maxim Group LLC, Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo Merrill A. McPeak, Defendant

Represented by DLA Piper (US) LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Robert David Weber +1 310 595 3000 +1 310 595 3309 robert.weber@dlapiper.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Perrie M. Weiner +1 310 595 3024 perrie.weiner@dlapiper.com

Represented by Marcum & Petroff, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Stephen A Marcum +1 423 663 9755 +1 423 663 2111 smarcum@marcumlaw.net
No Logo Mlv & Co. Llc, Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Jeffrey P. Yarbro +1 615 742 7793 jyarbro@bassberry.com

Represented by Bass, Barry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Shayne R Clinton +1 865 521 6200 +1 865 521 6234 sclinton@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo National Securities Corporation, Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo Northland Capital Markets, Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Jeffrey P. Yarbro +1 615 742 7793 jyarbro@bassberry.com

Represented by Bass, Barry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Shayne R Clinton +1 865 521 6200 +1 865 521 6234 sclinton@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
No Logo Paul W. Boyd, Defendant
No Logo Scott M. Boruff, Defendant

Represented by Leibowitz Law Firm, PLLC

Name Phone Fax E-Mail
TERMINATED: 08/05/2016, LEAD ATTORNEY Jennifer Knapp Hemmelgarn +1 865 637 1809 +1 865 637 9276 jlk@leibowitzfirm.com
TERMINATED: 08/05/2016, LEAD ATTORNEY Lawrence P Leibowitz +1 865 637 1809 lpl@leibowitz-cohen.com
TERMINATED: 08/05/2016, LEAD ATTORNEY Brandon James Tindell +1 865 637 1809 bjt@leibowitzfirm.com

Represented by Scott M. Boruff

Name Phone Fax E-Mail
Space Scott M. Boruff +1 865 237 4448
No Logo William B. Richardson, Defendant
No Logo Williams Financial Group, Defendant

Represented by Bass Berry & Sims, PLC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED W. Brantley Phillips, Jr. +Pleas eus eavalid +Pleas eus eavalid bphillips@bassberry.com

Represented by Williams & Connolly, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Steven M.. Farina +1 202 434 5000 +1 202 434 5029 sfarina@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Margaret A. Keeley +1 202 434 5137 +1 202 434 5029 mkeeley@wc.com
LEAD ATTORNEY, PRO HAC VICE, ATTORNEY TO BE NOTICED Amanda M. MacDonald +1 202 434 5416 +1 202 434 5029 amacdonald@wc.com
Attributes
Citation Section 28 U.S.C. § 1442
Nature of Suit 850 - Other Statutes: Securities/Commodities/Exchange
Timeline
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Legal Document (Payment Possibly Required) 189 Filed: 1/29/2020, Entered: None Letter
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Legal Document (Payment Possibly Required) 188 Filed: 1/15/2020, Entered: None Letter
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Legal Document (Payment Possibly Required) 187 Filed: 1/14/2020, Entered: None Appear Pro Hac Vice
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Legal Document (Payment Possibly Required) 186 Filed: 12/17/2019, Entered: None Notice of Attorney Withdrawal
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Legal Document (Payment Possibly Required) 176 Filed: 12/20/2018, Entered: None Withdraw as Attorney
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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Legal Document (Payment Possibly Required) 175 Filed: 12/10/2018, Entered: None OrderCourt Filing
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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Legal Document (Payment Possibly Required) 174 Filed: 12/3/2018, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 173 Filed: 11/16/2018, Entered: None Status report
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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Legal Document (Payment Possibly Required) 172 Filed: 9/14/2018, Entered: None OrderCourt Filing
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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Legal Document (Payment Possibly Required) 171 Filed: 9/7/2018, Entered: None Status report
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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Legal Document (Payment Possibly Required) 170 Filed: 8/9/2018, Entered: None Order on Motion to stayCourt Filing
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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Legal Document (Payment Possibly Required) 169 Filed: 8/9/2018, Entered: None transcriptCourt Filing
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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Legal Document (Payment Possibly Required) 168 Filed: 8/8/2018, Entered: None Motion To Stay
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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Legal Document (Payment Possibly Required) 167 Filed: 8/6/2018, Entered: None Report and RecommendationsCourt Filing
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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Legal Document (Payment Possibly Required) 166 Filed: 6/25/2018, Entered: None Reply to Response to motion
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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Legal Document (Payment Possibly Required) 165 Filed: 6/22/2018, Entered: None Motion HearingCourt Filing
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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Legal Document (Payment Possibly Required) 164 Filed: 6/18/2018, Entered: None Reply to Response to motion
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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Legal Document (Payment Possibly Required) 163 Filed: 6/18/2018, Entered: None response in opposition to motion
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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Legal Document (Payment Possibly Required) 162 Filed: 6/15/2018, Entered: None Notice - Other
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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Legal Document (Payment Possibly Required) 161 Filed: 6/15/2018, Entered: None Notice - Other
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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Legal Document (Payment Possibly Required) 160 Filed: 6/15/2018, Entered: None response in opposition to motion
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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Legal Document (Payment Possibly Required) 159 Filed: 6/15/2018, Entered: None response in opposition to motion
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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Legal Document (Payment Possibly Required) 158 Filed: 6/13/2018, Entered: None OrderCourt Filing
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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Legal Document (Payment Possibly Required) 157 Filed: 6/11/2018, Entered: None Motion to Compel
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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Legal Document (Payment Possibly Required) 156 Filed: 6/1/2018, Entered: None Motion To Stay
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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Legal Document (Payment Possibly Required) 155 Filed: 6/1/2018, Entered: None Motion to remand
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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Legal Document (Payment Possibly Required) 154 Filed: 5/8/2018, Entered: None Motion for Miscellaneous Relief
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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Legal Document (Payment Possibly Required) 153 Filed: 5/1/2018, Entered: None Order on Motion for Leave to Appear Pro Hac ViceCourt Filing
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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Legal Document (Payment Possibly Required) 152 Filed: 4/27/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 151 Filed: 4/27/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 150 Filed: 3/8/2018, Entered: None Notice of Attorney Withdrawal
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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Legal Document (Payment Possibly Required) 149 Filed: 2/26/2018, Entered: None Order on Motion for Leave to Appear Pro Hac ViceCourt Filing
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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Legal Document (Payment Possibly Required) 148 Filed: 2/26/2018, Entered: None Order Referring MotionCourt Filing
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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Legal Document (Payment Possibly Required) 147 Filed: 2/23/2018, Entered: None Affidavit in Support of Motion
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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Legal Document (Payment Possibly Required) 146 Filed: 2/23/2018, Entered: None Reply to Response to motion
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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Legal Document (Payment Possibly Required) 145 Filed: 2/23/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 144 Filed: 2/20/2018, Entered: None Order on Motion for Leave to Appear Pro Hac ViceCourt Filing
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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Legal Document (Payment Possibly Required) 143 Filed: 2/19/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 142 Filed: 2/15/2018, Entered: None Order on motion for extension of time to file Response/ReplyCourt Filing
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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Legal Document (Payment Possibly Required) 141 Filed: 2/12/2018, Entered: None Motion for Extension of Time to File Response/Reply
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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Legal Document (Payment Possibly Required) 140 Filed: 2/9/2018, Entered: None response in opposition to motion
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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Legal Document (Payment Possibly Required) 139 Filed: 2/6/2018, Entered: None Stipulation of Dismissal
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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Legal Document (Payment Possibly Required) 138 Filed: 1/30/2018, Entered: None Order on Motion for Leave to Appear Pro Hac ViceCourt Filing
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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Legal Document (Payment Possibly Required) 137 Filed: 1/29/2018, Entered: None protective orderCourt Filing
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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Legal Document (Payment Possibly Required) 136 Filed: 1/25/2018, Entered: None NOTICE of Deficiency (Not Pro Hac)
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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Legal Document (Payment Possibly Required) 135 Filed: 1/24/2018, Entered: None stipulation
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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Legal Document (Payment Possibly Required) 134 Filed: 1/23/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 133 Filed: 1/22/2018, Entered: None Order on Motion for Leave to Appear Pro Hac ViceCourt Filing
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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Legal Document (Payment Possibly Required) 132 Filed: 1/19/2018, Entered: None Affidavit in Support of Motion
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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Legal Document (Payment Possibly Required) 131 Filed: 1/19/2018, Entered: None memorandum in support of motion
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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Legal Document (Payment Possibly Required) 130 Filed: 1/19/2018, Entered: None motion to certify class
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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Legal Document (Payment Possibly Required) 129 Filed: 1/18/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 128 Filed: 1/4/2018, Entered: None Order on Motion to withdraw as attorneyCourt Filing
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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Legal Document (Payment Possibly Required) 127 Filed: 1/4/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 126 Filed: 1/4/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 125 Filed: 1/4/2018, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 124 Filed: 1/3/2018, Entered: None Motion to withdraw as attorney
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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Legal Document (Payment Possibly Required) 123 Filed: 12/6/2017, Entered: None Mail returned
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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Legal Document (Payment Possibly Required) 122 Filed: 11/30/2017, Entered: None OrderCourt Filing
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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Legal Document (Payment Possibly Required) 121 Filed: 11/14/2017, Entered: None Motion for Miscellaneous Relief
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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Legal Document (Payment Possibly Required) 120 Filed: 11/13/2017, Entered: None Order Referring MotionCourt Filing
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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Legal Document (Payment Possibly Required) 119 Filed: 10/18/2017, Entered: None Order on Motion for Leave to Appear Pro Hac ViceCourt Filing
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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Legal Document (Payment Possibly Required) 118 Filed: 10/16/2017, Entered: 10/16/2017 Answer to amended complaint
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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Legal Document (Payment Possibly Required) 117 Filed: 10/16/2017, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 116 Filed: 10/5/2017, Entered: None Motion for Miscellaneous Relief
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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Legal Document (Payment Possibly Required) 115 Filed: 10/3/2017, Entered: None Order on Motion for Leave to Appear Pro Hac ViceCourt Filing
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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 113 Filed: 9/25/2017, Entered: None Suggestion of Bankruptcy
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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Legal Document (Payment Possibly Required) 112 Filed: 9/25/2017, Entered: 9/25/2017 Answer to amended complaint
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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Legal Document (Payment Possibly Required) 111 Filed: 9/25/2017, Entered: 9/25/2017 Answer to amended complaint
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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Legal Document (Payment Possibly Required) 110 Filed: 9/25/2017, Entered: None Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 108 Filed: 8/23/2017, Entered: None Order on Motion for extension of time to answerCourt Filing
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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 106 Filed: 8/11/2017, Entered: None Order on Motion to DismissCourt Filing
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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 104 Filed: 4/21/2017, Entered: None Reply to Response to motion
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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Legal Document (Payment Possibly Required) 103 Filed: 4/7/2017, Entered: None Affidavit
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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Legal Document (Payment Possibly Required) 102 Filed: 4/7/2017, Entered: None response in opposition to motion
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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Legal Document (Payment Possibly Required) 101 Filed: 2/22/2017, Entered: None Notice - Other
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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Legal Document (Payment Possibly Required) 100 Filed: 2/22/2017, Entered: None NOTICE of Deficiency (Not Pro Hac)
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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Legal Document (Payment Possibly Required) 99 Filed: 2/21/2017, Entered: None Motion to Dismiss
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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Legal Document (Payment Possibly Required) 98 Filed: 2/21/2017, Entered: None Affidavit in Support of Motion
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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Legal Document (Payment Possibly Required) 97 Filed: 2/21/2017, Entered: None memorandum in support of motion
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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Legal Document (Payment Possibly Required) 96 Filed: 2/21/2017, Entered: None Motion to Dismiss for Failure to State a Claim
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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Legal Document (Payment Possibly Required) 95 Filed: 2/16/2017, Entered: None Motion to Dismiss
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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Legal Document (Payment Possibly Required) 94 Filed: 2/15/2017, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 93 Filed: 2/6/2017, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 92 Filed: 1/5/2017, Entered: 1/5/2017 Amended Complaint
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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Legal Document (Payment Possibly Required) 91 Filed: 12/27/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 90 Filed: 11/21/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 89 Filed: 11/10/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 88 Filed: 11/8/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 87 Filed: 11/8/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 86 Filed: 11/8/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 85 Filed: 11/7/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 84 Filed: 11/7/2016, Entered: 11/7/2016 Order on Motion to consolidate casesCourt Filing
MEMORANDUM AND ORDER. Signed by Magistrate Judge C Clifford Shirley, Jr on 11/7/16. (JBR)
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Legal Document (Payment Possibly Required) 83 Filed: 11/2/2016, Entered: 11/2/2016 Notice - Other
NOTICE by Kenneth Gaynor of Filing Correspondence (Astley, Stephen)
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Legal Document (Payment Possibly Required) 82 Filed: 10/28/2016, Entered: 10/28/2016 Court Reporter NotesCourt Filing
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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Legal Document (Payment Possibly Required) 81 Filed: 10/25/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 80 Filed: 10/12/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 79 Filed: 10/10/2016, Entered: 10/10/2016 Motion for Leave to Appear Pro Hac Vice
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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Legal Document (Payment Possibly Required) 78 Filed: 10/6/2016, Entered: 10/6/2016 Motion for Extension of Time
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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Legal Document (Payment Possibly Required) 77 Filed: 9/30/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 76 Filed: 9/21/2016, Entered: 9/21/2016 Order Governing DepositionsCourt Filing
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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Legal Document (Payment Possibly Required) 75 Filed: 9/21/2016, Entered: 9/21/2016 Scheduling OrderCourt Filing
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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Legal Document (Payment Possibly Required) 74 Filed: 9/15/2016, Entered: 9/15/2016 Motion for Extension of Time to File Answer
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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Legal Document (Payment Possibly Required) 73 Filed: 9/8/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 72 Filed: 8/5/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 71 Filed: 7/22/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 70 Filed: 7/21/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 69 Filed: 7/19/2016, Entered: None Unknown Document Type
MOTION to Withdraw as Attorney by Scott M. Boruff. (Leibowitz, Lawrence) (Entered: 07/19/2016)
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Legal Document (Payment Possibly Required) 68 Filed: 7/18/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 67 Filed: 7/7/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 66 Filed: 6/28/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 65 Filed: 6/27/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 64 Filed: 6/15/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 63 Filed: 6/13/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 62 Filed: 6/13/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 61 Filed: 6/8/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required) 60 Filed: 5/26/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 59 Filed: 5/24/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 57 Filed: 4/1/2016, Entered: 4/1/2016 Order Reassigning CaseCourt Filing
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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Legal Document (Payment Possibly Required) 56 Filed: 3/31/2016, Entered: 3/31/2016 OrderCourt Filing
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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Legal Document (Payment Possibly Required) 55 Filed: 3/11/2016, Entered: 3/11/2016 Order Referring MotionCourt Filing
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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 53 Filed: 3/7/2016, Entered: 3/7/2016 Summons issued
Summons Issued as to Gerald Hannahs. (JBR)
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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 49 Filed: 2/12/2016, Entered: 2/12/2016 Summons issued
Summons Issued as to David J. Voyticky. (ABF)
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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 47 Filed: 2/1/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 46 Filed: 2/1/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 45 Filed: 2/1/2016, Entered: None Unknown Document TypeCourt Filing
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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 35 Filed: 1/14/2016, Entered: 1/14/2016 Certificate of Corporate Interest
Certificate of Corporate Interest by I-Bankers Securities, Inc.. (Keeley, Margaret)
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Legal Document (Payment Possibly Required) 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).
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Legal Document (Payment Possibly Required) 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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Legal Document (Payment Possibly Required) 32 Filed: 1/13/2016, Entered: 1/13/2016 Notice of Consent/Nonconsent
NOTICE OF CONSENT TO REMOVAL by Scott M. Boruff (Leibowitz, Lawrence)
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Legal Document (Payment Possibly Required) 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).
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 28 Filed: 1/8/2016, Entered: 1/8/2016 order on motion for miscellaneous reliefCourt Filing
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)
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Legal Document (Payment Possibly Required) 27 Filed: 1/8/2016, Entered: 1/8/2016 Certificate of Corporate Interest
Certificate of Corporate Interest by Williams Financial Group. (Keeley, Margaret)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 25 Filed: 1/8/2016, Entered: 1/8/2016 Certificate of Corporate Interest
Certificate of Corporate Interest by Maxim Group LLC. (Keeley, Margaret)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 21 Filed: 12/31/2015, Entered: None Unknown Document TypeCourt Filing
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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 17 Filed: 12/23/2015, Entered: None Unknown Document TypeCourt Filing
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)
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Legal Document (Payment Possibly Required) 16 Filed: 12/23/2015, Entered: None Unknown Document TypeCourt Filing
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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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.
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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, ).
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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)
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Legal Document (Payment Possibly Required) 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).
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Legal Document (Payment Possibly Required)  Filed: 6/19/2018, Entered: None Notice of hearing
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Legal Document (Payment Possibly Required)  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).
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Legal Document (Payment Possibly Required)  Filed: 5/25/2018, Entered: None Notice of hearing
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Legal Document (Payment Possibly Required)  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)
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Legal Document (Payment Possibly Required)  Filed: 4/30/2018, Entered: None
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Legal Document (Payment Possibly Required)  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)
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Legal Document (Payment Possibly Required)  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)
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Legal Document (Payment Possibly Required)  Filed: 2/26/2018, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 2/20/2018, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 2/20/2018, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 2/16/2018, Entered: None Add and Terminate Judges
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Legal Document (Payment Possibly Required)  Filed: 2/16/2018, Entered: None Unknown Document Type
Magistrate Judge Debra C Poplin added. Magistrate Judge C Clifford Shirley, Jr no longer assigned to case. (RLK)
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Legal Document (Payment Possibly Required)  Filed: 1/24/2018, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 1/24/2018, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 1/19/2018, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 1/19/2018, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 1/4/2018, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 1/4/2018, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/6/2017, Entered: None Docket Annotation
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Legal Document (Payment Possibly Required)  Filed: 12/6/2017, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 10/17/2017, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 10/17/2017, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 10/17/2017, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 9/26/2017, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 9/26/2017, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 10/11/2016, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 10/11/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 9/22/2016, Entered: None Notice of hearing
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Legal Document (Payment Possibly Required)  Filed: 9/22/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 1/15/2016, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 1/15/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 1/15/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 1/11/2016, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 1/11/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 1/5/2016, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 1/5/2016, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 12/29/2015, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/29/2015, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 12/22/2015, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/22/2015, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/22/2015, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/22/2015, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/22/2015, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 12/22/2015, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/22/2015, Entered: None Unknown Document Type
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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Legal Document (Payment Possibly Required)  Filed: 12/9/2015, Entered: None
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Legal Document (Payment Possibly Required)  Filed: 12/9/2015, Entered: None Unknown Document Type
Chief District Judge Thomas A Varlan and Magistrate Judge H Bruce Guyton added. (BJL, )
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