U.S. District Court District of Nebraska (8 Omaha)...

US District Court Civil Docket as of February 27, 2019 Retrieved from the court on February 27, 2019

U.S. District Court District of Nebraska (8 Omaha)

CIVIL DOCKET FOR CASE #: 8:14-cv-00396-JFB-SMB

Ford v. TD Ameritrade Holding Corporation, et al Assigned to: Senior Judge Joseph F. Bataillon Referred to: Magistrate Judge Susan M. Bazis Case in other court: USCA-8th Circuit, 18-03689 New Jersey, 3:14-cv-05738 Cause: 15:78m(a) Securities Exchange Act

Date Filed: 12/02/2014 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Plaintiff Gerald J. Klein on behalf of himself and all similarly situated

represented by Christopher J. Kupka LEVI, KORSINSKY LAW FIRM - NEW YORK 55 Broadway 10th Floor New York, NY 10006 (212) 363-7500 Fax: (866) 367-6510 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Eduard Korsinsky LEVI, KORSINSKY LAW FIRM - NEW YORK 55 Broadway 10th Floor New York, NY 10006 (202) 363-7500 Fax: (866) 367-6510 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Gregory C. Scaglione KOLEY, JESSEN LAW FIRM 1125 South 103rd Street Suite 800, One Pacific Place Omaha, NE 68124 (402) 390-9500 Fax: (402) 390-9005

Email: [email protected] ATTORNEY TO BE NOTICED Joseph J. DePalma LITE, DEPALMA LAW FIRM - NEWARK 570 Broad Street Suite 1201 Newark, NJ 07102 (973) 623-3000 Fax: (973) 623-0858 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Katrina Carroll LITE, DEPALMA LAW FIRM - CHICAGO 211 West Wacker Drive Suite 500 Chicago, IL 60606 (312) 750-1591 Fax: (973) 623-0858 Email: [email protected] TERMINATED: 04/29/2015 PRO HAC VICE Nancy A. Kulesa LEVI, KORSINSKY LAW FIRM - STAMFORD 1111 Summer Street Suite 403 Stamford, CT 06905 (203) 992-4523 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Nicholas Porritt LEVI, KORSINSKY LAW FIRM - WASHINGTON 1101 30th Street N.W. Suite 115 Washington, DC 20007 (202) 524-4290 Fax: (202) 333-2121 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Patrice D. Ott KOLEY, JESSEN LAW FIRM 1125 South 103rd Street Suite 800, One Pacific Place Omaha, NE 68124 (402) 390-9500 Fax: (402) 390-9005 Email: [email protected] ATTORNEY TO BE NOTICED Sebastiano Tornatore LEVI, KORSINSKY LAW FIRM - STAMFORD 1111 Summer Street Suite 403 Stamford, CT 06905 (203) 992-4523 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Plaintiff Roderick Ford represented by Christopher J. Kupka

(See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Eduard Korsinsky (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Gregory C. Scaglione (See above for address) ATTORNEY TO BE NOTICED Joseph J. DePalma (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Katrina Carroll (See above for address) TERMINATED: 04/29/2015 PRO HAC VICE Nancy A. Kulesa (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Nicholas Porritt (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Patrice D. Ott (See above for address) ATTORNEY TO BE NOTICED Sebastiano Tornatore (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

V.

Defendant TD Ameritrade Holding Corporation represented by A. Robert Pietrzak

SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY 10019 (212) 839-5300 Fax: (212) 839-5599 Email: [email protected] TERMINATED: 01/29/2019 PRO HAC VICE Alex J. Kaplan SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY 10019 (212) 839-5300 Fax: (212) 839-5599 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Daniel A. McLaughlin SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY 10019 (212) 839-5300 Fax: (212) 839-5599 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Donald A. Robinson ROBINSON, WETTRE LAW FIRM One Newark Center 19th Floor Newark, NJ 07102 (973) 690-5400 Fax: (973) 466-2760 TERMINATED: 12/09/2014 Eamon P. Joyce SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY 10019 (212) 839-5300 Fax: (212) 838-5599 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Jackie A. Lu SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY 10019 (212) 839-5300 Fax: (212) 839-5599 Email: [email protected] TERMINATED: 07/12/2016 PRO HAC VICE Jon Muenz SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY 10019 (212) 839-5901 Fax: (212) 839-5599 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Leda D. Wettre ROBINSON, WETTRE LAW FIRM One Newark Center 19th Floor Newark, NJ 07102 (973) 690-5400 Fax: (973) 466-2760

TERMINATED: 12/09/2014 Thomas H. Dahlk KUTAK, ROCK LAW FIRM - OMAHA 1650 Farnam Street Omaha, NE 68102-2186 (402) 346-6000 Fax: (402) 346-1148 Email: [email protected] ATTORNEY TO BE NOTICED Victoria H. Buter KUTAK, ROCK LAW FIRM - OMAHA 1650 Farnam Street Omaha, NE 68102-2186 (402) 346-6000 Fax: (402) 346-1148 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant TD Ameritrade, Inc. represented by A. Robert Pietrzak

(See above for address) TERMINATED: 01/29/2019 PRO HAC VICE Alex J. Kaplan (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Daniel A. McLaughlin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Donald A. Robinson (See above for address) TERMINATED: 12/09/2014 Eamon P. Joyce (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Jackie A. Lu (See above for address) TERMINATED: 07/12/2016 PRO HAC VICE

Jon Muenz (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Leda D. Wettre (See above for address) TERMINATED: 12/09/2014 Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED Victoria H. Buter (See above for address) ATTORNEY TO BE NOTICED

Defendant Fredric Tomczyk represented by A. Robert Pietrzak

(See above for address) TERMINATED: 01/29/2019 PRO HAC VICE Alex J. Kaplan (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Daniel A. McLaughlin (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Donald A. Robinson (See above for address) TERMINATED: 12/09/2014 Eamon P. Joyce (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Jackie A. Lu (See above for address) TERMINATED: 07/12/2016 PRO HAC VICE Jon Muenz (See above for address) PRO HAC VICE

ATTORNEY TO BE NOTICED Leda D. Wettre (See above for address) TERMINATED: 12/09/2014 Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED Victoria H. Buter (See above for address) ATTORNEY TO BE NOTICED

Movant Kwok L. Shum TERMINATED: 11/15/2016

represented by Christopher J. Kupka (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Eduard Korsinsky (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Gregory C. Scaglione (See above for address) ATTORNEY TO BE NOTICED Joseph J. DePalma (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Katrina Carroll (See above for address) TERMINATED: 04/29/2015 PRO HAC VICE Nancy A. Kulesa (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Sebastiano Tornatore (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

V.

Interested Party PSLRA Class represented by Gregory C. Scaglione

(See above for address) ATTORNEY TO BE NOTICED

Date Filed # Docket Text

09/15/2014 1 COMPLAINT against FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. ( Filing and Admin fee $ 400 receipt number 5931693) with JURY DEMAND, filed by GERALD J. KLEIN. (Attachments: # 1 Certification, # 2 Civil Cover Sheet, # 3 Certification of Non-Arbitrability)(mak) [Transferred from New Jersey on 12/2/2014.] (Entered: 09/16/2014)

09/16/2014 2 SUMMONS ISSUED as to FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. Issued By *Marlene Kalbach* (mak) [Transferred from New Jersey on 12/2/2014.] (Entered: 09/16/2014)

10/02/2014 3 NOTICE of Appearance by DONALD A. ROBINSON on behalf of FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014)

10/02/2014 4 SUMMONS Returned Executed by GERALD J. KLEIN. TD AMERITRADE, INC. served on 9/22/2014, answer due 10/14/2014. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014)

10/02/2014 5 SUMMONS Returned Executed by GERALD J. KLEIN. FREDRIC TOMCZYK served on 9/22/2014, answer due 10/14/2014. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014)

10/02/2014 6 SUMMONS Returned Executed by GERALD J. KLEIN. TD AMERITRADE HOLDING CORPORATION served on 9/22/2014, answer due 10/14/2014. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014)

10/08/2014 7 Letter from Donald Robinson to Judge Shipp re proposed Consent Scheduling Order. (Attachments: # 1 Proposed Consent Scheduling Order)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/08/2014)

10/09/2014 8 CONSENT SCHEDULING ORDER: Ordering that the time for Defendants to answer, move or otherwise respond to the Complaint is adjourned; Ordering that within 60 days of appointment of lead plaintiff and lead counsel, lead Plaintiff shall file an Amended Complaint or notify defendants that it intends to rest on initial

complaint; Ordering that Defendants then have 60 days to answer, move or otherwise respond to the Complaint. Signed by Magistrate Judge Lois H. Goodman on 10/9/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/09/2014)

10/17/2014 9 APPLICATION/PETITION for pro hac vice admissions (with consent) for by FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC.. (Attachments: # 1 Declaration of Donald Robinson, # 2 Declaration of A. Robert Pietrzak, # 3 Declaration of Alex J. Kaplan, # 4 Declaration of Jackie A. Lu, # 5 Text of Proposed Order)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/17/2014)

10/20/2014 10 ORDER granting leave to appear pro hac vice as to A. Rovert Pietrzak, Esq., Alex J. Kaplan, Esq. and Jackie A. Lu, Esq. Signed by Magistrate Judge Lois H. Goodman on 10/20/2014. (eaj) Modified on 10/29/2014 (dm). [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014)

10/20/2014 11 NOTICE of Appearance by LEDA DUNN WETTRE on behalf of FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. (WETTRE, LEDA) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014)

10/20/2014 12 Notice of Request by Pro Hac Vice A. Robert Pietrzak, Esq. to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number 0312-6000430.) (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014)

10/20/2014 13 Notice of Request by Pro Hac Vice Alex J. Kaplan, Esq. to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number 0312-6000433.) (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014)

10/20/2014 14 Notice of Request by Pro Hac Vice Jackie A. Lu, Esq. to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number 0312-6000437.) (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014)

10/21/2014 Pro Hac Vice counsel, ALEX J. KAPLAN, JACKIE A LU and A. ROBERT PIETRZAK, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R. 101.1, only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/21/2014)

10/21/2014 15 NOTICE of Appearance by KATRINA CARROLL on behalf of GERALD J. KLEIN (CARROLL, KATRINA) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/21/2014)

10/22/2014 16 APPLICATION/PETITION for Pro Hac Vice Admission of Nancy A. Kulesa and Christopher J. Kupka for by GERALD J. KLEIN. (Attachments: # 1 Certification of Joseph J. DePalma,

# 2 Certification of Nancy A. Kulesa, # 3 Certification Christopher J. Kupka, # 4 Text of Proposed Order)(DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/22/2014)

10/27/2014 17 ORDER granting leave to appear pro hac vice as to Nancy A. Kulesa and Christopher J. Kupka. Signed by Magistrate Judge Lois H. Goodman on 10/24/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/27/2014)

11/07/2014 18 Corporate Disclosure Statement by TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC.. (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/07/2014)

11/07/2014 19 MOTION to Transfer Case to District of Nebraska by FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC.. (Attachments: # 1 Brief In Support of Motion to Transfer, # 2 Declaration of Donald Robinson, # 3 Exhibit A to Robinson Declaration, # 4 Exhibit B to Robinson Declaration, # 5 Exhibit C to Robinson Declaration, # 6 Exhibit D to Robinson Declaration, # 7 Exhibit E to Robinson Declaration, # 8 Exhibit F to Robinson Declaration, # 9 Exhibit G to Robinson Declaration, # 10 Exhibit H to Robinson Declaration, # 11 Exhibit I to Robinson Declaration, # 12 Exhibit J to Robinson Declaration, # 13 Exhibit K to Robinson Declaration, # 14 Exhibit L to Robinson Declaration, # 15 Declaration of Felix Davidson, # 16 Text of Proposed Order)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/07/2014)

11/10/2014 Set Deadlines as to 19 MOTION to Transfer Case to District of Nebraska . Motion set for 12/1/2014 before Judge Michael A. Shipp. The motion will be decided on the papers. No appearances required unless notified by the court. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/10/2014)

11/14/2014 20 Letter from Joseph J. DePalma enclosing Joint Stipulation and Order Amending Briefing Schedule. (Attachments: # 1 Joint Stipulation and Order Amending Briefing Schedule on Defendants' Motion to Transfer)(DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/14/2014)

11/17/2014 21 JOINT STIPULATION AND ORDER Amending Briefing Schedule on Defendants' Motion to Transfer. Signed by Judge Michael A. Shipp on 11/17/2014. (mmh) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/17/2014)

11/17/2014 Reset Deadlines as to 19 MOTION to Transfer Case to District of Nebraska . Motion reset for 12/15/2014 before Judge Michael A. Shipp. The motion will be decided on

the papers. No appearances required unless notified by the court. (mmh) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/17/2014)

11/17/2014 22 MOTION to Appoint Lead Plaintiff Notice of Motion of The Shum Group for Appointment as Lead Plaintiff and Approval of Selection of Counsel by Kwok L. Shum, RODERICK FORD. (Attachments: # 1 Brief Memorandum of Law in Support of Motion of The Shum Group For Appointment as Lead Plaintiff and Approval of Selection of Counsel, # 2 Declaration of Joseph J. DePalma, # 3 Exhibit A, # 4 Exhibit B, # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E, # 8 Text of Proposed Order)(DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/17/2014)

11/18/2014 Set Deadlines as to 22 MOTION to Appoint Lead Plaintiff Notice of Motion of The Shum Group for Appointment as Lead Plaintiff and Approval of Selection of Counsel. Motion set for 12/15/2014 before Judge Michael A. Shipp. The motion will be decided on the papers. No appearances required unless notified by the court. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/18/2014)

11/19/2014 Pro Hac Vice fee received as to Nancy A. Kulesa and Christopher J. Kupka: $ 300, receipt number TRE049785 (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014)

11/19/2014 23 Notice of Request by Pro Hac Vice NANCY A. KULESA to receive Notices of Electronic Filings. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014)

11/19/2014 24 Notice of Request by Pro Hac Vice CHRISTOPHER J. KUPKA to receive Notices of Electronic Filings. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014)

11/19/2014 Pro Hac Vice counsel, NANCY A. KULESA and CHRISTOPHER J. KUPKA, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R. 101.1, only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014)

11/24/2014 25 Letter from Donald Robinson to Judge Shipp on behalf of all parties. (Attachments: # 1 Text of Proposed Order re Motion to Transfer, # 2 Text of Proposed Order re Appointing Lead Counsel)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/24/2014)

12/02/2014 26 ORDER granting 19 Defendants' Motion to Transfer Case to NEBRASKA (USCA Electronically Notified). Signed by Judge Michael A. Shipp on 12/1/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 12/02/2014)

12/02/2014 27 ORDER granting 22 the Shum Groups Motion Appoint Lead Plaintiff; Law Firm Levi & Korsinsky LLP to serve as Lead Counsel and Lite DePalma Greenberg, LLC

to serve as Liaison Counsel.. Signed by Judge Michael A. Shipp on 12/1/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 12/02/2014)

12/02/2014 28 Case transferred in from District of New Jersey; Case Number 3:14-cv-05738. Original electronic file received. (Entered: 12/02/2014)

12/03/2014 29 TEXT NOTICE OF JUDGES ASSIGNED: Senior Judge Joseph F. Bataillon and Magistrate Judge Thomas D. Thalken assigned. (GJG) (Entered: 12/03/2014)

12/03/2014 30 ATTORNEY LETTER by Clerk that Attorney Robert A. Pietrzak has not registered for admittance to practice. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 31 ATTORNEY LETTER by Clerk that Attorney Jackie A. Lu has not registered for admittance to practice. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 32 ATTORNEY LETTER by Clerk that Attorney Alex Kaplan has not registered for admittance to practice. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 33 NOTICE of Appearance by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk (Buter, Victoria) (Entered: 12/03/2014)

12/03/2014 34 NOTICE of Appearance by Attorney Thomas H. Dahlk on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk (Dahlk, Thomas) (Entered: 12/03/2014)

12/03/2014 35 ATTORNEY LETTER by Clerk that Attorney Leda D. Wettre has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 36 ATTORNEY LETTER by Clerk that Attorney Sebastiano Tornatore has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 37 ATTORNEY LETTER by Clerk that Attorney Donald A. Robinson has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 38 ATTORNEY LETTER by Clerk that Attorney Christopher J. Kupka has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will

be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 39 ATTORNEY LETTER by Clerk that Attorney Nancy A. Kulesa has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 40 ATTORNEY LETTER by Clerk that Attorney Eduard Korisnsky has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 41 ATTORNEY LETTER by Clerk that Attorney Joseph J. DePalma has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 42 ATTORNEY LETTER by Clerk that Attorney Katrina Carroll has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014)

12/03/2014 43 TEXT NOTICE REGARDING CORPORATE DISCLOSURE STATEMENT by Deputy Clerk as to Defendants TD Ameritrade Holding Corporation,and TD Ameritrade, Inc. Pursuant to Fed. R. Civ. P. 7.1, non-governmental corporate parties are required to file Corporate Disclosure Statements (Statements). The parties shall use the form Corporate Disclosure Statement, available on the Web site of the court at http://www.ned.uscourts.gov/forms/. If you have not filed your Statement, you must do so within 15 days of the date of this notice. If you have already filed your Statement in this case, you are reminded to file a Supplemental Statement within a reasonable time of any change in the information that the statement requires.(GJG) (Entered: 12/03/2014)

12/09/2014 44 CORPORATE DISCLOSURE STATEMENT pursuant to Fed. R. Civ. P. 7.1 by Attorney Victoria H. Buter on behalf of Defendants Fredric Tomczyk, TD Ameritrade, Inc., TD Ameritrade Holding Corporation.(Buter, Victoria) (Entered: 12/09/2014)

12/09/2014 45 APPLICATION/ORDER admitting pro hac vice Attorney Alex J. Kaplan for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc. and Fredric Tomczyk. Ordered by Deputy Clerk. (MKR) (Entered: 12/09/2014)

12/09/2014 46 APPLICATION/ORDER admitting pro hac vice Attorney Robert A. Pietrzak for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. Ordered by Deputy Clerk. (MKR, (Entered: 12/09/2014)

12/09/2014 47 APPLICATION/ORDER admitting pro hac vice Attorney Jackie A. Lu for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc. and Fredric Tomczyk. Ordered by Deputy Clerk. (MKR) (Entered: 12/09/2014)

12/09/2014 48 MOTION to Withdraw as Attorney on Behalf of Donald A. Robinson and Leda D. Wettre by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/09/2014)

12/09/2014 49 TEXT ORDER granting 48 Motion to Withdraw as Attorney. For good cause shown pursuant to NEGenR 1.3(f), Donald A. Robinson and Leda D. Wettre are granted leave to withdraw as counsel for the defendants. Other counsel remains for the defendants. The Clerk of Court shall stop all electronic notices to withdrawing counsel regarding this case. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 12/09/2014)

12/11/2014 50 MOTION to Consolidate Cases by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/11/2014)

12/11/2014 51 BRIEF in support of MOTION to Consolidate Cases 50 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/11/2014)

12/15/2014 52 APPLICATION/ORDER admitting pro hac vice Attorney Nancy A. Kulesa for Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/15/2014)

12/15/2014 53 APPLICATION/ORDER admitting pro hac vice Attorney Sebastiano Tornatore for Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/15/2014)

12/18/2014 54 APPLICATION/ORDER admitting pro hac vice Attorney Christopher J. Kupka for Movants Roderick Ford, Kwok L. Shum and Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/18/2014)

12/18/2014 55 APPLICATION/ORDER admitting pro hac vice Attorney Eduard Korisnsky for Movants Roderick Ford, Kwok L. Shum and Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/18/2014)

12/23/2014 56 MOTION to Extend Time to File and Serve an Omnibus Reply in Further Support of Their MOTION to Consolidate Cases 50 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/23/2014)

12/24/2014 57 TEXT ORDER granting 56 Motion for Extension of Time. The TD Ameritrade defendants shall have until January 8, 2015, to file an omnibus reply in further support of their consolidation motions. Ordered by Magistrate Judge Thomas D. Thalken. (BJC) (Entered: 12/24/2014)

12/29/2014 58 NOTICE of Appearance by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein (Scaglione, Gregory) (Entered: 12/29/2014)

12/29/2014 59 Mail Returned as Undeliverable addressed to Eduard Korsinsky regarding Attorney Letter 40 . Mail resent to 30 Broad Street, 24th Floor, New York, NY 10004. (MKR) (Entered: 12/29/2014)

12/29/2014 60 Mail Returned as Undeliverable addressed to Eduard Korsinsky regarding Order on Motion to Withdraw as Attorney, 49 . E-mail resent to [email protected]. (MKR) (Entered: 12/29/2014)

12/29/2014 61 Mail Returned as Undeliverable addressed to Christopher J. Kupka E-mail resent to [email protected]. (MKR) (Entered: 12/29/2014)

12/29/2014 62 Mail Returned as Undeliverable addressed to Sebastiano Tornatore regarding Order on Motion to Withdraw as Attorney, 49 . E-mail resent to [email protected]. (MKR) (Entered: 12/29/2014)

12/29/2014 63 Mail Returned as Undeliverable addressed to Sebastiano Tornatore regarding Attorney Letter, 36 . E-mail resent to [email protected]. (MKR) (Entered: 12/29/2014)

12/29/2014 64 Mail Returned as Undeliverable addressed to Christopher Kupka regarding Attorney Letter, 38 . E-mail resent to [email protected]. (MKR) (Entered: 12/29/2014)

12/29/2014 65 REPLY regarding MOTION to Consolidate Cases 50 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Interested Party PSLRA Class.(Scaglione, Gregory) (Entered: 12/29/2014)

12/30/2014 66 NOTICE of Appearance by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Interested Party PSLRA Class (Scaglione, Gregory) (Entered: 12/30/2014)

01/07/2015 67 APPLICATION/ORDER admitting pro hac vice Attorney Joseph J. DePalma for Movants Roderick Ford, Kwok L. Shum and Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 01/07/2015)

01/08/2015 68 REPLY BRIEF in support of MOTION to Consolidate Cases 50 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/08/2015)

02/26/2015 69 ORDER that the Zola plaintiffs' Motion to Coordinate with Verdiak [sic], Lerner, and Sarbacker or, in the Alternative, to Appoint Zola's Counsel as Lead Counsel in a Consolidated Action (Filing No. 25 in Case 8:14CV288) is denied. The Verdieck and Lerner plaintiffs' Joint Motion to appoint Finkelstein & Krinsk, Blood Hurst & O'Reardon, and Robbins Arroyo as Interim Class Counsel (Filing No. 21 in Case 8:14CV289 and Filing No. 23 in Case 8:14CV325) is denied. The Sarbacker plaintiff's Motion to Consolidate the Four Related Actions Against TD Ameritrade (Filing No. 12 in Case 8:14CV341) is denied. The Sarbacker plaintiff's Motion to Appoint Plaintiff Michael Sarbacker as Lead Plaintiff and Robbins Geller Rudman & Dowd LLP as Lead Counsel (Filing No. 18 in Case 8:14CV341) is denied. The defendants' Motion to Consolidate (Filing No. 32 in Case 8:14CV288; Filing No. 29 in Case 8:14CV289; Filing No. 31 in Case 8:14CV325; Filing No. 38 in Case 8:14CV341; and Filing No. 50 in Case 8:14CV396) is denied. The defendants shall have to on or before March 19, 2015, to file answers or otherwise respond to the

complaints in each action. Ordered by Magistrate Judge Thomas D. Thalken. (JSF) (Entered: 02/26/2015)

03/19/2015 70 MOTION for Extension of Time to File a Responsive Pleading or Otherwise Respond to Plaintiff's Complaint by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/19/2015)

03/19/2015 71 TEXT ORDER granting 70 Motion for Extension of Time to File a Responsive Pleading. The defendants shall have an extension of time until March 24, 2015, to answer or otherwise respond to the plaintiff's Complaint 1 . Ordered by Magistrate Judge Thomas D. Thalken. (TRL) Modified on 3/19/2015 to reflect copy mailed (MKR). (Entered: 03/19/2015)

03/24/2015 72 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/24/2015)

03/24/2015 73 BRIEF in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 72 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/24/2015)

03/24/2015 74 INDEX in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 72 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit Declaration of Alex Kaplan, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D)(Buter, Victoria) (Entered: 03/24/2015)

04/14/2015 75 AMENDED COMPLAINT against Defendant Gerald J. Klein, by Attorney Gregory C. Scaglione on behalf of Gerald J. Klein (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Scaglione, Gregory) (Entered: 04/14/2015)

04/23/2015 76 ORDER TO SHOW CAUSE that, on or before May 11, 2015, Attorney Katrina Carroll is to register or show cause by written affidavit why she cannot comply with the rules of the court. Failure to comply with this order will result in Ms. Carroll being removed as counsel of record for the plaintiff. Show Cause Deadline set for 5/11/2015.Ordered by Magistrate Judge Thomas D. Thalken. (Copies mailed to Katrina Carroll)(MKR) (Entered: 04/23/2015)

04/29/2015 77 MOTION (Notice) to Withdraw as Attorney by Attorney Katrina Carroll on behalf of Plaintiff Gerald J. Klein. (MKR) (Entered: 04/29/2015)

04/29/2015 78 TEXT ORDER granting 77 Motion to Withdraw as Attorney. For good cause shown pursuant to NEGenR 1.3(f), Katrina Carroll is granted leave to withdraw as counsel for the plaintiff. Other counsel remains for the plaintiff. The Clerk of Court shall

stop all electronic notices to withdrawing counsel regarding this case. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 04/29/2015)

05/01/2015 79 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/01/2015)

05/01/2015 80 BRIEF in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/01/2015)

05/01/2015 81 INDEX in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit 1 Declaration of Alex Kaplan, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C)(Buter, Victoria) (Entered: 05/01/2015)

05/04/2015 82 TEXT ORDER denying as moot 72 Motion to Dismiss for Failure to State a Claim. Ordered by Senior Judge Joseph F. Bataillon. (ADB) (Entered: 05/04/2015)

05/20/2015 83 UNOPPOSED MOTION to Extend Time to file an Opposition to Defendants' Motion to Dismiss Plaintiff's Amended Complaint by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 05/20/2015)

05/21/2015 84 TEXT ORDER granting 83 the plaintiff's Unopposed Motion for Extension of Time. The plaintiff shall have until June 16, 2015, to file a response to the defendants' Motion to Dismiss 79 . Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 05/21/2015)

06/12/2015 85 JOINT MOTION to Extend Time to File Opposition to Defendants Motion to Dismiss Amended Complaint and Defendants' Reply by Attorney Nancy A. Kulesa on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Kulesa, Nancy) (Entered: 06/12/2015)

06/15/2015 86 TEXT ORDER granting 85 the parties' Joint Motion for Extension of Time. The plaintiffs shall have until June 23, 2015, to respond to the defendants' Motion to Dismiss Putative Amended Class Action Complaint 79 . The defendants shall have until July 17, 2015, to file a reply. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 06/15/2015)

06/23/2015 87 BRIEF in opposition to MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 06/23/2015)

06/23/2015 88 INDEX in opposition to MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Gregory C. Scaglione

on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein. (Attachments: # 1 Exhibit 1, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I)(Scaglione, Gregory) (Entered: 06/23/2015)

06/26/2015 89 NOTICE of Change of Address Lite DePalma Greenberg, LLC by Attorney Joseph J. DePalma on behalf of Plaintiff Gerald J. Klein (DePalma, Joseph) (Entered: 06/26/2015)

06/30/2015 90 UNOPPOSED MOTION for Leave TO FILE CORRECTED INDEX OF EVIDENCE WITH SUBSTITUTED EXHIBITS by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 06/30/2015)

06/30/2015 91 INDEX in support of UNOPPOSED MOTION for Leave TO FILE CORRECTED INDEX OF EVIDENCE WITH SUBSTITUTED EXHIBITS 90 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit 1, # 2 Exhibit A)(Buter, Victoria) (Entered: 06/30/2015)

06/30/2015 92 TEXT ORDER granting 90 Unopposed Motion for Leave to File Corrected Index of Evidence with Substituted Exhibits. The defendants may file the corrected index of evidence. Ordered by Magistrate Judge Thomas D. Thalken. (BJC) (Entered: 06/30/2015)

06/30/2015 93 INDEX in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit 1 Declaration of Alex J. Kaplan, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C)(Buter, Victoria) (Entered: 06/30/2015)

07/17/2015 94 REPLY BRIEF in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 07/17/2015)

10/23/2015 95 FINDINGS AND RECOMMENDATION to Senior Judge Joseph F. Bataillon that defendants' MOTION TO Dismiss Putative Amended Class Action Complaint and Request to Take Judicial Notice 79 be granted. ADMONITION- Pursuant to NECivR 72.2 any objection to this Report and Recommendation shall be filed with

the Clerk of the Court within fourteen (14) days after being served with a copy of this Report and Recommendation. Failure to timely object may constitute a waiver of any objection. The brief in support of any objection shall be filed at the time of filing such objection. Failure to file a brief in support of any objection may be deemed an abandonment of the objection. THE PARTIES ARE FURTHER ADMONISHED: For this matter the court is imposing page limitations and other specifications. The plaintiff and the defendant each may not exceed 25 pages for briefs in support of (inclusive of any reply brief) or opposition to any objection pursuant to NECivR 72.2. The page limit includes optional use of a table of contents and authorities. All margins shall be one-inch on sides, top, and bottom. The page limit excludes the case caption and notice of service, which should exceed no more than one-half page at the beginning and end of the brief, respectively. Each page of a brief shall contain double- spaced text and single spaced footnotes. Typeface text shall be in 12-point Arial font. Footnote text may use 10-point font. Ordered by Magistrate Judge Thomas D. Thalken. (MKR) (Entered: 10/23/2015)

11/09/2015 96 OBJECTION TO THE FINDINGS AND RECOMMENDATION that MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 be granted 95 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) Modified on 11/13/2015 to correct event type from Statement to Objection (MKR). (Entered: 11/09/2015)

11/09/2015 97 BRIEF in support of Statement, 96 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 11/09/2015)

11/12/2015 98 UNOPPOSED MOTION to Extend Time to File Brief in Opposition to Plaintiff's Objections to Magistrate Judge's Findings and Recommendations Statement, 96 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 11/12/2015)

11/13/2015 99 TEXT ORDER granting 98 the defendants' Unopposed Motion for Extension of Time. The defendants shall have until December 10, 2015, to file a response to the plaintiffs' Objections 96 to Magistrate Judge's Findings and Recommendation 95 . Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 11/13/2015)

12/07/2015 100 NOTICE of Additional Authority by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein (Attachments: # 1 Exhibit A)(Scaglione, Gregory) (Entered: 12/07/2015)

12/10/2015 101 BRIEF in opposition to OBJECTION to 96 , Brief 97 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/10/2015)

12/17/2015 102 REPLY BRIEF in support of OBJECTION to 96 by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 12/17/2015)

12/31/2015 103 MOTION for Oral Argument by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 12/31/2015)

03/23/2016 104 MEMORANDUM AND ORDER - IT IS ORDERED: The objections filed by plaintiffs Zola, Verdieck, Lerner, and Sarbacker (Filing No. 53 in Zola, No. 8:14CV288, Filing No. 53 in Verdieck, No. 8:14CV289, Filing No. 55 in Lerner, No. 8:14CV325, and Filing No. 66 in Sarbacker, 8:14CV341) are overruled. Plaintiff Klein's objections (Filing No. 96 in Klein, No. 8:14CV396), are overruled in part and sustained in part as set forth in this order. The Findings and Recommendation of the United States Magistrate Judge (Filing No. 52 in Zola, No. 8:14CV288, Filing No. 52 in Verdieck, No. 8:14CV289, Filing No. 54 in Lerner, No. 8:14CV325, Filing No. 64 in Sarbacker, 8:14CV341, and Filing No. 95 in Klein, No. 8:14CV396) are adopted with respect to the SLUSA preclusion issue, and rejected in all other respects. The defendants' motions to dismiss (Filing No. 44 in Zola, No. 8:14CV288, Filing No. 44 in Verdieck, 8:14CV289, Filing No. 47 in Lerner, No. 8:14CV325, and Filing No. 54 in Sarbacker, No. 8:14CV341) are granted. The plaintiffs' state law class action claims are dismissed in Zola, No. 8:14CV288; Verdieck, 8:14CV289; Lerner, No. 8:14CV325; and Sarbacker, No. 8:14CV341. The plaintiffs are granted leave to file amended complaints within 21 days of the date of this order. Defendant TD Ameritrade's motion to dismiss (Filing No. 79 in Klein, 8:14CV396) is granted with respect to the plaintiff's state-law claims and denied with respect to the federal securities fraud claim. Ordered by Senior Judge Joseph F. Bataillon. (TCL ) (Entered: 03/23/2016)

03/31/2016 105 MOTION for Extension of Time to File a Responsive Pleading by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/31/2016)

04/01/2016 106 TEXT ORDER granting 105 the defendants' Motion for Extension on Time to Answer the Klein Plaintiffs' Amended Complaint. Considering the plaintiff's opposition and justification for a short extension, the defendants shall have until May 6, 2016, to file an Answer in response to the plaintiff's Amended Class Action Complaint for Violation of Federal Securities Laws 75 . Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 04/01/2016)

05/06/2016 107 ANSWER to Complaint (Amended) by TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk (Buter, Victoria) (Entered: 05/06/2016)

05/09/2016 108 SCHEDULING LETTER setting Rule 26 Meeting Report Deadline for May 31, 2016. Please use the "Form 35 (Rule 26(f)) Report" posted on the court's website, www.ned.uscourts.gov/forms. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 05/09/2016)

05/24/2016 109 MOTION to Stay Pending Appeal by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/24/2016)

05/24/2016 110 BRIEF in support of MOTION to Stay Pending Appeal 109 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/24/2016)

05/24/2016 111 MOTION to Continue Rule 26(f) Planning Report Deadline by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/24/2016)

05/24/2016 112 INDEX in support of MOTION to Stay Pending Appeal 109 , MOTION to Continue Rule 26(f) Planning Report Deadline 111 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit A Declaration of Alex J. Kaplan)(Buter, Victoria) (Entered: 05/24/2016)

05/24/2016 113 TEXT ORDER granting 111 the defendants' Motion for Continuance of Rule 26(f) Planning Report Deadline. The parties shall have ten (10) days from the date the court resolves the defendants' Motion to Stay Pending Appeal 109 in which to file a planning report with the court pursuant to Federal Rule of Civil Procedure 26(f). Future documents filed in this matter shall conform to the unconsolidated single caption format required by the local rules. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 05/24/2016)

06/07/2016 114 BRIEF in opposition to MOTION to Stay Pending Appeal 109 by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 06/07/2016)

06/13/2016 115 REPLY BRIEF in support of MOTION to Stay Pending Appeal 109 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 06/13/2016)

07/01/2016 116 ORDER denying the defendant's 109 Motion to Stay Pending Appeal. The parties shall have until July 15, 2016, to meet, confer, and file a planning report as required by Fed.R.Civ.P.26(f). Ordered by Magistrate Judge Thomas D. Thalken. (MKR) (Entered: 07/01/2016)

07/12/2016 117 MOTION to Withdraw as Attorney on behalf of Jackie Lu by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 07/12/2016)

07/12/2016 118 TEXT ORDER granting 117 Motion to Withdraw on Behalf of Jackie A. Lu. For good cause shown pursuant to NEGenR 1.3(f), Jackie A. Lu is granted leave to withdraw as counsel for the defendants. Other counsel remains for the defendants. The Clerk of Court shall stop all electronic notices to withdrawing counsel regarding this case. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 07/12/2016)

07/13/2016 119 UNOPPOSED MOTION to Extend Time to Meet, Confer, and File Planning Report as Required by Fed. R. Civ. P. 26(f) by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 07/13/2016)

07/13/2016 120 TEXT ORDER granting 119 the defendants' unopposed Motion for Extension of Time. The parties shall have an extension until July 29, 2016, to meet, confer, and report to the court pursuant to Fed. R. Civ. P. 26(f). Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 07/13/2016)

07/29/2016 121 APPLICATION/ORDER admitting pro hac vice Attorney Nicholas Porritt for Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 07/29/2016)

07/29/2016 122 REPORT of Rule 26(f) Planning Meeting by Attorney Nancy A. Kulesa on behalf of Movants Roderick Ford, Kwok L. Shum.(Kulesa, Nancy) (Entered: 07/29/2016)

08/02/2016 123 TEXT ORDER SETTING HEARING and granting the parties' request for an in-person conference prior to entry of a scheduling order. The undersigned magistrate judge will hold the hearing on Tuesday, August 9, 2016, at 10:00 a.m., in Courtroom No. 7, Second Floor, Roman L. Hruska United States Courthouse, 111 South 18th Plaza, Omaha, Nebraska. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 08/02/2016)

08/09/2016 124 TEXT MINUTE ENTRY for planning conference held in Omaha on 08/09/2016 before Magistrate Judge Thomas D. Thalken. A discussion was had regarding the progression of the case. Order forthcoming. Appearance for plaintiff: Nicholas Porritt. Appearance for defendant: Victoria H. Buter; Thomas H. Dahlk; Alex J. Kaplan; A. Robert Pietrzak. Appearance for movant: Christopher J. Kupka, telephonically. Courtroom Deputy: Mary Beth McFarland. Court Reporter: Digital Recorder. Time Start: 10:03 AM; Time Stop: 10:49 AM; Time in Court: 46 Minutes. (MBM) (Entered: 08/09/2016)

08/09/2016 125 AUDIO FILE. Court Date & Time [ 08/09/2016 10:03:18 AM ]. File Size [ 11012 KB ]. Run Time [ 00:45:53 ]. (Planning Conference). (auto-docket). (Entered: 08/09/2016)

08/10/2016 126 ORDER SETTING SCHEDULE FOR INITIAL PROGRESSION OF A CIVIL CASE - An evidentiary hearing will be held in Courtroom No. 7, Second Floor, Roman L. Hruska U.S. Courthouse, 111 South 18th Plaza, Nebraska, to consider all questions coming within the class action issues under Fed. R. Civ. P. 23(a) and (b).Ordered by Magistrate Judge Thomas D. Thalken. (MKR) (Entered: 08/10/2016)

08/16/2016 127 APPLICATION/ORDER admitting pro hac vice Attorney Jon Muenz for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc. and Fredric Tomczyk. Ordered by Deputy Clerk. (MKR) (Entered: 08/16/2016)

09/01/2016 128 JOINT MOTION to Continue Evidentiary Hearing on Class Certification by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/01/2016)

09/02/2016 129 TEXT ORDER granting 128 the parties' Joint Motion for Continuance of March 15, 2017 Evidentiary Hearing on Class Certification. The hearing previously scheduled for March 15, 2017, is rescheduled to May 2, 2017, at 1:30 p.m. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 09/02/2016)

09/07/2016 130 Certificate of Service of Rule 26(a)(1) Disclosures by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/07/2016)

09/09/2016 131 NOTICE of Service of Rule 26(a)(1) Disclosures by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum (Scaglione, Gregory) Modified on 9/9/2016 to correct text reflecting service of disclosures (KMG). (Entered: 09/09/2016)

09/09/2016 132 NOTICE of Lead Plaintiffs' Expert Disclosure Pursuant to Rule 26 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum (Scaglione, Gregory) (Entered: 09/09/2016)

09/15/2016 133 Mail Returned as Undeliverable addressed to Nicholas Porritt regarding Order on Motion to Continue 129 . Mail not resent, no forwarding address on file. (LAC) (Entered: 09/15/2016)

09/15/2016 134 Certificate of Service of Disclosure of Class Certification Expert by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/15/2016)

09/19/2016 135 Certificate of Service of First Set of Discovery Requests to Roderick Ford and Kwok Shum by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/19/2016)

09/22/2016 136 REQUEST FOR TRANSCRIPT for proceedings held on 08/09/2016 before Magistrate Judge Thomas D. Thalken regarding Minutes, Filing 124 Status Conference,, by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum.(Scaglione, Gregory) (Entered: 09/22/2016)

09/22/2016 137 JOINT MOTION for Protective Order by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/22/2016)

09/23/2016 138 *EXPEDITED* LETTER BY CLERK that a transcript request was sent to Latimer Reporting for transcription regarding Planning Conference 124 . Transcript ordered by Attorney Gregory C. Scaglione. ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). (KLF) (Entered: 09/23/2016)

09/23/2016 139 PROTECTIVE ORDER granting 137 the parties' Joint Motion for Entry of Protective Order. (Attachment: # 1 Exhibit A - Acknowledgement) Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 09/23/2016)

10/05/2016 140 TRANSCRIPT (UNREDACTED) of Planning Conference proceedings before Magistrate Judge Thomas D. Thalken held on 8-9-16. Total Number of Billable Pages: 39. Total Number of Pages: 39. In accordance with the transcript redaction procedure, available at

http://www.ned.uscourts.gov/internetDocs/pom/tran_redaction_procedure.pdf,

the transcript can only be viewed at the courts public terminal or purchased through Transcriber Lori McGowan at (402) 476-1153 or [email protected] before the expiration of the Release of Transcript Restriction deadline. The parties have 5 business days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days. Redaction Request due 10/26/2016. Redacted Transcript Deadline set for 11/7/2016. Release of Transcript Restriction set for 1/3/2017. (Jarchow, Vicki) Modified on 1/6/2017 to remove text regarding restricted access. (LAC). (Entered: 10/05/2016)

10/14/2016 141 MOTION for Protective Order by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 10/14/2016)

10/14/2016 142 BRIEF in support of MOTION for Protective Order 141 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 10/14/2016)

10/14/2016 143 INDEX in support of MOTION for Protective Order 141 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Affidavit Exhibit 1, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J)(Buter, Victoria) (Entered: 10/14/2016)

10/17/2016 144 NOTICE of Service of Plaintiffs' Responses and Objections to Defendants' First Set of Request for Production by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum (Scaglione, Gregory) (Entered: 10/17/2016)

10/18/2016 145 Certificate of Service of Responses to Roderick Ford and Kwok Shum's First Set of Discovery Requests by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 10/18/2016)

10/19/2016 146 SUPPLEMENTAL MOTION for Protective Order by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 10/19/2016)

10/19/2016 147 INDEX in support of SUPPLEMENTAL MOTION for Protective Order 146 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Affidavit Exhibit 2, # 2 Exhibit A, # 3 Exhibit B)(Buter, Victoria) (Entered: 10/19/2016)

10/31/2016 148 RESPONSE regarding MOTION for Protective Order 141 , SUPPLEMENTAL MOTION for Protective Order 146 by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 10/31/2016)

11/07/2016 149 MOTION to Compel Responsive Discovery by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 11/07/2016)

11/07/2016 150 BRIEF in opposition to MOTION for Protective Order 141 and in support of MOTION to Compel Responsive Discovery by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 11/07/2016)

11/07/2016 151 INDEX in opposition to Defendant's Motion for Protective Order and in Support of Plaintiff's Motion to Compel Responsive Discovery by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford. (Attachments: # 1 Affidavit Nancy Kulesa, # 2 Exhibit A-F, # 3 Affidavit Haim Bodek)(Kulesa, Nancy) (Entered: 11/07/2016)

11/09/2016 152 Certificate of Service of Objections to Lead Plaintiffs' Notices of Intent to Serve Subpoenas on Citadel Securities LLC & KCG Americas LLC by Attorney Jon Muenz on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Muenz, Jon) (Entered: 11/09/2016)

11/10/2016 153 UNOPPOSED MOTION for Leave to Withdraw Shum as Lead Plaintiff by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum.(Scaglione, Gregory) (Entered: 11/10/2016)

11/14/2016 154 TEXT ORDER granting 153 the plaintiff's Unopposed Motion for Leave to Withdraw Shum as Lead Plaintiff. Kwok L. Shum is hereby permitted to withdraw without prejudice. Roderick Ford remains as lead plaintiff. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 11/14/2016)

11/17/2016 155 REPLY BRIEF in support of MOTION for Protective Order 141 and in Opposition to Motion to Compel by Attorney Jon Muenz on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Muenz, Jon) (Entered: 11/17/2016)

11/17/2016 156 INDEX in support of MOTION for Protective Order 141 and in Opposition to Motion to Compel by Attorney Jon Muenz on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Affidavit Exhibit 3, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Affidavit Exhibit 4)(Muenz, Jon) (Entered: 11/17/2016)

11/28/2016 157 REPLY BRIEF in support of MOTION to Compel Responsive Discovery 149 , Brief 150 and in further Opposition to Defendant's Motion for Protective Order by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 11/28/2016)

11/28/2016 158 DECLARATION regarding Reply Brief, 157 in Further Support of Motion to Compel Responsive Discovery and in Further Opposition to Defendant's Motion for Protective Order by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford. (Attachments: # 1 Exhibit Transcript, # 2 Exhibit Declaration)(Kulesa, Nancy) (Entered: 11/28/2016)

12/02/2016 159 MOTION for Leave to File Sur-Reply by Attorney Jon Muenz on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Muenz, Jon) (Entered: 12/02/2016)

12/02/2016 160 INDEX in support of MOTION for Leave to File Sur-Reply 159 in Further Support of TD Ameritrade Defendants' Motion for a Protective Order by Attorney Jon Muenz on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit A, # 2 Affidavit Exhibit B)(Muenz, Jon) (Entered: 12/02/2016)

12/03/2016 161 RESPONSE regarding MOTION for Leave to File Sur-Reply 159 PLAINTIFFS OPPOSITION TO DEFENDANTS MOTION by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 12/03/2016)

12/06/2016 162 JOINT MOTION to Extend Class Certification Schedule by Attorney Jon Muenz on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Muenz, Jon) (Entered: 12/06/2016)

12/07/2016 163 ORDER that Ameritrade's Motion for Protective Order (Filing No. 141 ) and Supplemental Motion for Protective Order (Filing No. 146 ) are granted. Ford's Motion to Compel Responsive Discovery (Filing No. 149 ) is denied without prejudice. Ameritrade's Motion for Leave to File Sur-Reply (Filing No. 159 ) is denied. The parties' Joint Motion to Extend Class Certification Schedule (Filing No. 162 ) is granted. The parties shall have to on or before January 6, 2017, to confer and submit a proposed amended progression to resolve the class certification dispute. The court will hold a telephone conference on January 13, 2017, at 11:00 a.m. for the purpose of finalizing the amended progression order and resolving any outstanding discovery disputes. Plaintiff's counsel shall initiate the conference with the assigned magistrate judge and participating counsel. Ordered by Magistrate Judge Thomas D. Thalken. (LAC) (Entered: 12/07/2016)

12/16/2016 164 OBJECTION TO MAGISTRATE JUDGE'S ORDER regarding Order on Motion for Protective Order,,,,,,,, Order on Motion to Compel,,,, Order on Motion for Leave,,,, Order on Motion to Extend,,, 163 by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 12/16/2016)

12/21/2016 165 UNOPPOSED MOTION to Extend Time to File Brief in Opposition to Objections to Magistrate Judge's Order by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/21/2016)

12/22/2016 166 TEXT ORDER granting 165 the defendants' Unopposed Motion for Extension of Time. The defendants shall have until January 10, 2017, to file any response to the plaintiff's Statement of Objections 164 . Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 12/22/2016)

12/22/2016 167 UNOPPOSED MOTION to Stay regarding Order on Motion for Protective Order,,,,,,,, Order on Motion to Compel,,,, Order on Motion for Leave,,,, Order on Motion to Extend,,, 163 by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford. (Attachments: # 1 Memorandum of law in support of motion)(Kulesa, Nancy) (Entered: 12/22/2016)

12/23/2016 168 TEXT ORDER granting 167 the plaintiff's Unopposed Motion to Stay. The December 7, 2016, Order 163 is hereby amended to allow the parties an extension of time until ten days after resolution of the plaintiff's Objection 164 to confer and

submit to the assigned magistrate judge a proposed amended progression order to resolve the class certification dispute and schedule a planning conference. The January 13, 2017, conference is cancelled. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 12/23/2016)

01/03/2017 169 TEXT REASSIGNMENT ORDER - Following Magistrate Judge Thomas D. Thalken's retirement on December 31, 2016, all pending civil and criminal cases previously assigned to Magistrate Thalken are reassigned to Magistrate Judge Susan M. Bazis for judicial supervision and processing of all pretrial matters. Case reassigned to Magistrate Judge Susan M. Bazis. Magistrate Judge Thomas D. Thalken no longer assigned to the case. Ordered by Chief Judge Laurie Smith Camp. (LAC) (Entered: 01/03/2017)

01/03/2017 170 TEXT NOTICE of Hearing regarding Order on Motion to Continue, 129 . Evidentiary Hearing set for 5/2/2017 at 01:30 PM in Courtroom 7, Roman L. Hruska Federal Courthouse, 111 South 18th Plaza, Omaha, NE before Magistrate Judge Susan M. Bazis. Per Reassignment Order. (LAC) (Entered: 01/03/2017)

01/10/2017 171 RESPONSE regarding OBJECTION TO MAGISTRATE JUDGE'S ORDER regarding Order on Motion for Protective Order,,,,,,,, Order on Motion to Compel,,,, Order on Motion for Leave,,,, Order on Motion to Extend,,, 163 164 by Attorney Thomas H. Dahlk on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Dahlk, Thomas) (Entered: 01/10/2017)

01/17/2017 172 MOTION for Leave to File a Reply Brief in Support of Plaintiff's Objections by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford. (Attachments: # 1 Exhibit Proposed Reply Brief)(Kulesa, Nancy) (Entered: 01/17/2017)

01/18/2017 173 TEXT ORDER granting 172 Motion for Leave to File a Reply Brief in Support of Plaintiff's Objections. The reply brief is deemed filed instanter. Ordered by Senior Judge Joseph F. Bataillon. (ADB) (Entered: 01/18/2017)

01/19/2017 174 MOTION to Consider Submission at Dkt. 160-2 in Connection with Lead Plaintiff's Objections to Judge Thalken's Discovery Order by Attorney Thomas H. Dahlk on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Dahlk, Thomas) (Entered: 01/19/2017)

03/17/2017 175 JOINT MOTION to Continue May 2, 2017 Hearing by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc..(Buter, Victoria) (Entered: 03/17/2017)

03/20/2017 176 TEXT ORDER granting 175 Joint Motion to Continue Hearing. The hearing scheduled for May 2, 2017 is hereby continued. The parties shall confer and submit to the assigned magistrate judge at [email protected] a proposed amended progression order no later than ten days following the Court's ruling on Plaintiffs' Objection 164 . Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 03/20/2017)

04/07/2017 177 ORDER - IT IS ORDERED: The lead plaintiff's objection (Filing No. 164 ) to the order of the magistrate judge (Filing No. 163 ) is overruled. The order of the magistrate judge (Filing No. 163 ) is affirmed in all respects. The defendants' motion to consider the affidavit of Ovidio Montemayor, (Filing No. 174 ) is granted. The stay of entry of an amended progression order (Filing No. 168 ) is lifted. Within ten

days of the date of this order, the parties shall confer and submit to the assigned magistrate judge a proposed amended progression order to resolve the class certification dispute and shall contact the magistrate judges chambers to schedule a planning conference. Ordered by Senior Judge Joseph F. Bataillon. (TCL) (Entered: 04/07/2017)

04/17/2017 178 JOINT MOTION to Amend Progression Order by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit A - [Proposed] Amended Order for Progression of Case)(Buter, Victoria) (Entered: 04/17/2017)

04/20/2017 179 AMENDED PROGRESSION ORDER granting 178 Motion to Amend. An Evidentiary Hearing with the assigned magistrate judge is set for March 27, 2018, at 10:00 a.m. in chambers, 111 South 18th Plaza, Suite 2271, Roman L. Hruska United States Courthouse, Omaha, Nebraska, to consider all questions coming within the class action issues under Fed. R. Civ. P. 23(a) and (b). Ordered by Magistrate Judge Susan M. Bazis. (SLP) (Entered: 04/21/2017)

04/21/2017 180 TEXT ORDER SETTING HEARING: Pursuant to filing 179 , Evidentiary Hearing set for 3/27/2018 at 10:00 AM in Chambers, 111 South 18th Plaza, Suite 2271, Roman L. Hruska United States Courthouse, Omaha, Nebraska before Magistrate Judge Susan M. Bazis.Ordered by Magistrate Judge Susan M. Bazis. (SLP) (Entered: 04/21/2017)

09/27/2017 181 TEXT ORDER - Plaintiff has requested a telephone conference with the Court to discuss a discovery dispute that has arisen in this case. In accordance with this request, a telephone conference will be held before Magistrate Judge Susan M. Bazis on October 4, 2017, at 10:00 AM. By October 2, 2017, Defendants shall email a brief statement to [email protected] setting forth their position on the dispute. Telephone conference instructions will be entered by separate order. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 09/27/2017)

09/27/2017 182 CASE CONFERENCE INSTRUCTIONS. ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). Ordered by Magistrate Judge Susan M. Bazis. (LAC) (Entered: 09/27/2017)

10/04/2017 183 TEXT MINUTE ENTRY or proceedings held before Magistrate Judge Susan M. Bazis. Telephone Conference held on 10/4/2017. (LRH) (Entered: 10/04/2017)

10/04/2017 184 TEXT ORDER - A telephone conference was held with counsel to discuss issues pertaining to expert depositions on October 4, 2017. Pursuant to the conversation had during the conference, Plaintiff may depose Defendants' expert witness in advance of submitting his rebuttal expert reports. Plaintiff shall provide his rebuttal reports by November 15, 2017. The expert witness deposition deadline will be extended. Counsel shall confer and submit a proposed revised case progression schedule to [email protected] by October 13, 2017.Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 10/04/2017)

10/12/2017 185 SECOND AMENDED PROGRESSION ORDER - Depositions. The parties represent that they have completed fact depositions with regard to the issue of class certification. Plaintiff shall depose Defendants' expert prior to November 8, 2017,

and Defendants shall depose Plaintiff's experts by December 15, 2017. An Evidentiary Hearing with Magistrate Judge Susan M. Bazis is set for March 27, 2018, at 10:00 a.m. in chambers, 111 South 18th Plaza, Suite 2271, Roman L. Hruska United States Courthouse, Omaha, Nebraska. Ordered by Magistrate Judge Susan M. Bazis. (LAC) (Entered: 10/12/2017)

11/20/2017 186 MOTION to Restrict pursuant to the E-Government Act by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 11/20/2017)

11/20/2017 187 MOTION to Certify Class Appoint Class Representative, and Appoint Class Counsel by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 11/20/2017)

11/20/2017 188 RESTRICTED DOCUMENT MEMORANDUM OF LAW IN SUPPORT OF PLAINTIFFS MOTION FOR CLASS CERTIFICATION regarding MOTION to Certify Class Appoint Class Representative, and Appoint Class Counsel 187 , MOTION to Restrict pursuant to the E-Government Act 186 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 11/20/2017)

11/20/2017 189 RESTRICTED DOCUMENT Index of Exhibits regarding MOTION to Certify Class Appoint Class Representative, and Appoint Class Counsel 187 , MOTION to Restrict pursuant to the E-Government Act 186 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford. (Attachments: # 1 Affidavit, # 2 Affidavit, # 3 Affidavit, # 4 Affidavit)(Kulesa, Nancy) (Entered: 11/20/2017)

11/21/2017 190 TEXT ORDER granting 186 Motion to Restrict Access. Access to Filing Nos. 188 and 189 shall be restricted to case participants and the Court. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 11/21/2017)

01/12/2018 191 APPLICATION/ORDER admitting pro hac vice Attorney Daniel A. McLaughlin for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., and Fredric Tomczyk. Fee in the amount of $100.00 paid, receipt number 8045722. Ordered by Deputy Clerk. (LAC) (Entered: 01/12/2018)

01/12/2018 192 ATTORNEY LETTER by Clerk that Attorney Daniel A. McLaughlin has not registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (LAC) (Entered: 01/12/2018)

01/19/2018 193 MOTION to Restrict pursuant to the E-Government Act by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/19/2018)

01/19/2018 194 RESTRICTED DOCUMENT Brief in Opposition to Class Certification regarding MOTION to Certify Class Appoint Class Representative, and Appoint Class Counsel 187 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/19/2018)

01/19/2018 195 MOTION in Limine to Exclude the Opinions and Testimony of Plaintiff's Experts Haim Bodek and Shane Corwin by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/19/2018)

01/19/2018 196 RESTRICTED DOCUMENT Defendants' Brief in Support of regarding MOTION in Limine to Exclude the Opinions and Testimony of Plaintiff's Experts Haim Bodek and Shane Corwin 195 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/19/2018)

01/19/2018 197 RESTRICTED DOCUMENT Defendants' Index of Evidence in Support of Their Opposition to Class Certification and regarding MOTION in Limine to Exclude the Opinions and Testimony of Plaintiff's Experts Haim Bodek and Shane Corwin 195 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit A - Declaration of Alex J. Kaplan, # 2 Exhibit A1, # 3 Exhibit A2, # 4 Exhibit A3, # 5 Exhibit A4, # 6 Exhibit A5, # 7 Exhibit A6, # 8 Exhibit A7, # 9 Exhibit A8, # 10 Exhibit A9, # 11 Exhibit A10, # 12 Exhibit A11, # 13 Exhibit B - Declaration of Allan W. Kleidon, # 14 Exhibit B1)(Buter, Victoria) (Entered: 01/19/2018)

01/22/2018 198 TEXT ORDER granting 193 Motion to Restrict Access. Access to Filing Nos. 196 and 197 shall remain restricted to the Court and case participants. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 01/22/2018)

02/20/2018 199 RESTRICTED DOCUMENT REPLY MEMORANDUM OF LAW IN FURTHER SUPPORT OF PLAINTIFF'S MOTION FOR CLASS CERTIFICATION regarding MOTION to Certify Class Appoint Class Representative, and Appoint Class Counsel

187 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 02/20/2018)

02/20/2018 200 RESTRICTED DOCUMENT Index of Evidence in Further Support of Plaintiff's Motion for Class Certification regarding MOTION to Certify Class Appoint Class Representative, and Appoint Class Counsel 187 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford. (Attachments: # 1 Affidavit)(Kulesa, Nancy) (Entered: 02/20/2018)

02/20/2018 201 RESTRICTED DOCUMENT PLAINTIFFS MEMORANDUM OF LAW IN OPPOSITION TO DEFENDANTS MOTION IN LIMINE regarding MOTION in Limine to Exclude the Opinions and Testimony of Plaintiff's Experts Haim Bodek and Shane Corwin 195 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 02/20/2018)

02/20/2018 202 MOTION to Restrict pursuant to the E-Government Act by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 02/20/2018)

02/21/2018 203 TEXT ORDER granting 202 Motion to Restrict Access. Access to Filing Nos. 199, 200, and 201 shall remain restricted to case participants and the Court. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 02/21/2018)

02/28/2018 204 TEXT ORDER RESCHEDULING HEARING - An Evidentiary Hearing will be held on March 27, 2018, at 1:00 PM in Courtroom 7, Roman L. Hruska Federal Courthouse, 111 South 18th Plaza, Omaha, NE before Magistrate Judge Susan M. Bazis. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 02/28/2018)


03/05/2018 206 RESTRICTED DOCUMENT Reply Brief regarding MOTION in Limine to Exclude the Opinions and Testimony of Plaintiff's Experts Haim Bodek and Shane Corwin 195 , MOTION to Restrict pursuant to the E-Government Act 205 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/05/2018)

03/06/2018 207 TEXT ORDER granting 205 Motion to Restrict Access. Access to Filing No. 206 shall remain restricted to case participants and the Court. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 03/06/2018)

03/07/2018 208 MEMORANDUM AND ORDER that the defendants' motion in limine to exclude the opinions and testimony of plaintiff's experts Haim Bodek and Shane Corwin, Filing No. 195 , is denied, without prejudice to reassertion as merits discovery progresses. Ordered by Senior Judge Joseph F. Bataillon. (ADB) (Entered: 03/07/2018)

03/12/2018 209 ORDER - This matter is scheduled for an evidentiary hearing on March 27, 2018, at 1:00 p.m. before United States Magistrate Judge Susan M. Bazis, in Courtroom #2271 on the 2nd Floor of the Roman L. Hruska United States Courthouse. The provisions in this order govern exhibits to be used during the evidentiary hearing. Ordered by Magistrate Judge Susan M. Bazis. (LKO) (Entered: 03/12/2018)

03/13/2018 210 APPLICATION/ORDER admitting pro hac vice Attorney Eamon P. Joyce for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., and Fredric Tomczyk. Fee in the amount of $100.00 paid, receipt number 8046542. Ordered by Deputy Clerk. (LAC) (Entered: 03/13/2018)

03/13/2018 211 ATTORNEY LETTER by Clerk that Attorney Eamon P. Joyce has not registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (LAC) (Entered: 03/13/2018)

03/15/2018 212 TEXT ORDER SETTING TELEPHONE CONFERENCE - A telephone conference will be held before Magistrate Judge Susan M. Bazis on 3/16/18 at 9:00 a.m. CDT to discuss the upcoming evidentiary hearing. Telephone conference instructions are found at Filing No. 182. Ordered by Magistrate Judge Susan M. Bazis. (RMW) (Entered: 03/15/2018)

03/15/2018 213 MOTION for Leave to File Sur-Rebuttal Declaration by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/15/2018)


03/15/2018 215 RESTRICTED DOCUMENT Index of Evidence regarding MOTION to Restrict pursuant to the E-Government Act 214 , MOTION for Leave to File Sur-Rebuttal Declaration 213 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit 1)(Buter, Victoria) (Entered: 03/15/2018)

03/16/2018 216 TEXT ORDER granting 213 Motion for Leave. Defendants shall file the sur-rebuttal declaration of their expert by March 19, 2018. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 03/16/2018)

03/16/2018 217 TEXT ORDER - A telephone conference was held before Magistrate Judge Susan M. Bazis on March 16, 2018. By March 23, 2018, the parties shall submit any additional evidence to be offered at the March 27, 2018 hearing via email to [email protected]. Original exhibits shall be provided to the courtroom deputy

in advance of the hearing. The parties shall provide the exhibit list to the Court as soon as possible in advance of the hearing. (LRH) (Entered: 03/16/2018)



03/19/2018 220 RESTRICTED DOCUMENT Sur-Rebuttal Declaration of Allan W. Kleidon regarding MOTION to Restrict pursuant to the E-Government Act 219 ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). - by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/19/2018)


03/27/2018 222 TEXT MINUTE ENTRY for proceedings held in Omaha on 03/27/2018 before Magistrate Judge Susan M. Bazis. Hearing held regarding 187 Motion to Certify Class. Evidence by plaintiffs and defendants. The hearing is not finished. The hearing is continued for closing arguments by teleconference on the record on 03/29/2018 at 9:00 a.m. The parties will follow the directions in the previously provided case conference instructions to call the court at that time. Appearance for plaintiffs: Christopher J. Kupka, Gregory C. Scaglione, Nancy A. Kulesa, Nicholas Porritt. Appearance for defendants: A. Robert Pietrzak, Alex J. Kaplan, Jon Muenz, Victoria H. Buter. Courtroom Deputy: Mary Beth McFarland. Court Reporter: Digital Recorder. Time Start: 1:01 PM; Time Stop: 5:05 PM; Time in Court: 4 Hours, 4 Minutes. (MBM) (Entered: 03/27/2018)

03/27/2018 223 WITNESS LIST from hearing held on 03/27/2018 regarding Minutes 222 Motion Hearing. (MBM) (Entered: 03/28/2018)

03/27/2018 224 AUDIO FILE (20.7 MB) (PART 1 of 2) regarding Motion Hearing 222 held on 03/27/2018 at 1:01 p.m. before Magistrate Judge Susan M. Bazis. (MBM) (Entered: 03/28/2018)

03/27/2018 225 AUDIO FILE (32.5 MB) (Part 2 of 2) regarding Motion Hearing 222 held on 03/27/2018 at 1:01 p.m. before Magistrate Judge Susan M. Bazis. (MBM) (Entered: 03/28/2018)

03/29/2018 226 TEXT MINUTE ENTRY for proceedings held in Omaha on 03/29/2018 before Magistrate Judge Susan M. Bazis. Continuation of the hearing regarding 187 Motion to Certify Class. All counsel were present by teleconference. Discussion was held regarding exhibits. Closing arguments were heard. Transcript to be ordered. Matter deemed submitted upon filing of transcript. Order to be issued. Appearance for plaintiffs: Nicholas Porritt. Appearance for defendants: A. Robert Pietrzak, Alex J. Kaplan, Jon Muenz, Victoria H. Buter and Thomas H. Dahlk. Courtroom Deputy:

Mary Beth McFarland. Court Reporter: Lisa Grimminger. Time Start: 9:03 AM; Time Stop: 10:55 AM; Time in Court: 1 Hour, 52 Minutes. (MBM) (Entered: 03/29/2018)

03/29/2018 227 EXHIBIT LIST from hearing held on March 27 and 29, 2018. (MBM) (Entered: 03/29/2018)

03/30/2018 228 LETTER BY CLERK that a transcript request was sent to Lisa Grimminger for transcription regarding Motion Hearing 222 . Transcript ordered by Magistrate Judge Susan M. Bazis. ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). (KLF) (Entered: 03/30/2018)

04/25/2018 229 TRANSCRIPT (UNREDACTED) of Motion to Certify Class proceedings before Magistrate Judge Susan M. Bazis held on March 27, 2018. Total Number of Billable Pages: 151. Total Number of Pages: 151. In accordance with the transcript redaction procedure, available at


the transcript can only be viewed at the courts public terminal or purchased through Transcriber Lisa Grimminger at (402) 661-7379 before the expiration of the Release of Transcript Restriction deadline. The parties have 5 business days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days. Redaction Request due 5/16/2018. Redacted Transcript Deadline set for 5/29/2018. Release of Transcript Restriction set for 7/24/2018. (LGG) Modified on 7/26/2018 to remove text regarding restricted access. (LAC). (Entered: 04/25/2018)

04/25/2018 230 STRICKEN TRANSCRIPT (UNREDACTED)of Continuation of Hearing on Filing No. 187 before Magistrate Judge Susan M. Bazis held on March 29, 2018. Total Number of Billable Pages: 77. Total Number of Pages: 77. In accordance with the transcript redaction procedure, available at


the transcript can only be viewed at the courts public terminal or purchased through Court Reporter Lisa Grimminger at (402) 661-7379 before the expiration of the Release of Transcript Restriction deadline. The parties have 5 business days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days. ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). Redaction Request due 5/16/2018. Redacted Transcript Deadline set for 5/29/2018. Release of Transcript Restriction set for 7/24/2018. (LGG) Modified on 4/26/2018 to reflect stricken pursuant to filing 231 . (JLS) (Entered: 04/25/2018)

04/26/2018 231 TEXT STRIKE ORDER that Pursuant to NEGenR 1.3(a)(4), filing 230 is stricken for the following reason(s): Illegible and incorrect PDF document. Ordered by Deputy Clerk. (JLS) (Entered: 04/26/2018)

04/26/2018 232 TRANSCRIPT (UNREDACTED) of Continuation of Hearing on Filing No. 187 before Magistrate Judge Susan M. Bazis held on March 29, 2018. Total Number of Billable Pages: 77. Total Number of Pages: 77. In accordance with the transcript redaction procedure, available at


the transcript can only be viewed at the courts public terminal or purchased through Court Reporter Lisa Grimminger at (402) 661-7379 before the expiration of the Release of Transcript Restriction deadline. The parties have 5 business days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days. Redaction Request due 5/17/2018. Redacted Transcript Deadline set for 5/29/2018. Release of Transcript Restriction set for 7/25/2018. (LGG) Modified on 7/26/2018 to remove text regarding restricted access. (LAC). (Entered: 04/26/2018)

07/12/2018 233 FINDINGS AND RECOMMENDATION - IT IS HEREBY RECOMMENDED to Senior United States District Court Judge Joseph F. Bataillon that Plaintiff's Motion for Class Certification, Appointment of Class Representative, and Appointment of Class Counsel (Filing No. 187 ) be denied. Ordered by Magistrate Judge Susan M. Bazis. (LAC) (Entered: 07/12/2018)

07/26/2018 234 OBJECTION to Findings and Recommendation, 233 to The Magistrate Judges Findings and Recommendations on Plaintiffs Motion for Class Certification, Appointment of Class Representative, and Appointment of Class Counsel by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 07/26/2018)

07/26/2018 235 BRIEF in support of OBJECTION to Findings and Recommendation, 233 to The Magistrate Judges Findings and Recommendations on Plaintiffs Motion for Class Certification, Appointment of Class Representative, and Appointment of Class Counsel 234 by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford.(Kulesa, Nancy) (Entered: 07/26/2018)

07/26/2018 236 INDEX in support of OBJECTION to Findings and Recommendation, 233 to The Magistrate Judges Findings and Recommendations on Plaintiffs Motion for Class Certification, Appointment of Class Representative, and Appointment of Class Counsel 234 by Attorney Nancy A. Kulesa on behalf of Movant Roderick Ford. (Attachments: # 1 Declaration, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit)(Kulesa, Nancy) (Entered: 07/26/2018)

08/09/2018 237 BRIEF in opposition to OBJECTION to Findings and Recommendation, 233 to The Magistrate Judges Findings and Recommendations on Plaintiffs Motion for Class Certification, Appointment of Class Representative, and Appointment of Class

Counsel 234 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 08/09/2018)

09/14/2018 238 MEMORANDUM AND ORDER: Plaintiff Roderick Ford's objection (Filing No. 234), to the Findings and Recommendation of the United States Magistrate Judge (Filing No. 233) is sustained. The Findings and Recommendation of the United States Magistrate Judge (Filing No. 233) are adopted in part and rejected in part as set forth in this order. Plaintiff's motion for class certification, appointment of class representative, and appointment of class counsel (Filing No. 187) is granted. A class consisting of the following is certified in this action: All clients of TD Ameritrade between September 15, 2011 and September 15, 2014 who placed orders that did not receive best execution, in connection with which TD Ameritrade received either liquidity rebates or payment for order flow, and who were thereby damaged (the "Class"). Lead plaintiff Roderick Ford is appointed class representative; the Clerk of Court is directed to modify the case caption accordingly. The law firm of Levi & Korsinsky LLP is appointed class counsel. The parties are directed to contact the chambers of Magistrate Judge Susan M. Bazis within seven days of the date of this order to arrange further progression of this action. Ordered by Senior Judge Joseph F. Bataillon. (ADB) (Entered: 09/14/2018)

09/28/2018 239 MOTION to Stay by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/28/2018)

09/28/2018 240 BRIEF in support of MOTION to Stay 239 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/28/2018)

09/28/2018 241 INDEX in support of MOTION to Stay 239 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Affidavit)(Buter, Victoria) (Entered: 09/28/2018)

10/01/2018 242 COPY of Petition to Appeal, from USCA - 8th Circuit (18-8013). Counsel for the respondent is directed to file a response to this application within 10 days from service of the petition. (Attachments: # 1 Appendix, # 2 Permission to Appeal) (MBM) (Entered: 10/01/2018)

10/04/2018 243 THIRD AMENDED PROGRESSION ORDER. The provisions of the Court's earlier, initial progression order (as amended) remain in effect, with additional provisions. Class notice shall be issued by March 17, 2020. The Final Pretrial Conference with the assigned magistrate judge is set for January 4, 2021, at 11:00 a.m. in chambers, 111 South 18th Plaza, Suite 2271, Roman L. Hruska United States Courthouse, Omaha, Nebraska. A 14-day jury trial is set to commence, at the Court's call, during the week of January 25, 2021, in Omaha, Nebraska, before the Honorable Joseph F. Bataillon. Ordered by Magistrate Judge Susan M. Bazis. (MBM) (Entered: 10/04/2018)

10/12/2018 244 RESPONSE regarding MOTION to Stay 239 PLAINTIFF'S OPPOSITION TO DEFENDANTS MOTION TO STAY by Attorney Nancy A. Kulesa on behalf of Plaintiff Roderick Ford.(Kulesa, Nancy) (Entered: 10/12/2018)

10/19/2018 245 REPLY BRIEF in support of MOTION to Stay 239 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 10/19/2018)

11/02/2018 246 Certificate of Service of Defendants' Initial Disclosures by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 11/02/2018)

11/02/2018 247 Certificate of Service of Initial Disclosures by Attorney Nicholas Porritt on behalf of Plaintiff Roderick Ford.(Porritt, Nicholas) (Entered: 11/02/2018)

12/18/2018 248 COPY of Order from USCA - 8th Circuit (18-3689) that the petition for 23(f) appeal is hereby granted. This case is regularly docketed under case number 18-3689. (MBM) Modified on 12/19/2018 to reflect that this document serves as the filing date of the notice of appeal. (JLS) (Entered: 12/18/2018)

12/18/2018 249 TEXT PUBLIC DOCKET NOTE: This case has been regularly docketed under case number 18-3689. (MBM) (Entered: 12/18/2018)

12/18/2018 250 COPY of letter from U.S. Court of Appeals (18-3689) A copy of an order granting permission to appeal was issued in case 18-8013. Pursuant to the order, we have transferred Case No. 18-8013 from the Miscellaneous Docket to the Regular Docket and have assigned it 18-3689 Gerald Klein, et al v. TD Ameritrade Holding Corp., et al. Please use the new Regular Docket caption and number on all correspondence and pleadings submitted to the court. (MBM) (Entered: 12/18/2018)

12/18/2018 251 COPY of Order from USCA - 8th Circuit (18-3689) - Appeal Briefing Schedule Order. (MBM) (Entered: 12/18/2018)

12/18/2018 TEXT ENTRY THAT APPEAL fee paid with receipt number 4007477 in the amount of $505 pursuant to Copy of Order from USCA - 8th Circuit (18-3689) 248 . (LKO) (Entered: 12/18/2018)

12/19/2018 252 Certificate OF SERVICE OF NOTICE OF INTENT TO SERVE SUBPOENAS by Attorney Nancy A. Kulesa on behalf of Plaintiff Roderick Ford.(Kulesa, Nancy) (Entered: 12/19/2018)

12/20/2018 253 JUDGMENT from USCA - 8th Circuit- Judgment is entered in accordance with the courts order dated December 18, 2018, granting petitioners petition for permission to appeal pursuant to Rule 23(f). The new case is docketed under appeal No. 18-3689. (LAC) (Entered: 12/20/2018)

12/20/2018 254 MANDATE from USCA - 8th Circuit - In accordance with the judgment of 12/20/2018, and pursuant to the provisions of Federal Rule of Appellate Procedure 41(a), the formal mandate is hereby issued in the above-styled matter. (LAC) (Entered: 12/20/2018)

12/20/2018 255 MOTION to Extend Time to Object to Plaintiff's Notice of Intent to Serve Third Party Subpoenas by Attorney Victoria H. Buter on behalf of Defendants TD

Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/20/2018)

12/21/2018 256 BRIEF in opposition to MOTION to Extend Time to Object to Plaintiff's Notice of Intent to Serve Third Party Subpoenas 255 by Attorney Nancy A. Kulesa on behalf of Plaintiff Roderick Ford.(Kulesa, Nancy) (Entered: 12/21/2018)

12/26/2018 257 TEXT ORDER granting, in part, 255 Motion for Extension of Time. Defendants shall serve their objections to Plaintiff's Notice of Intent to Serve Subpoenas by January 7, 2019. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 12/26/2018)

01/07/2019 258 ORDER that the defendants' motion to stay (Filing No. 239 ) is denied. Ordered by Senior Judge Joseph F. Bataillon. (LAC) (Entered: 01/07/2019)

01/07/2019 259 Certificate of Service of Objections to Plaintiff's Notice of Intent to Issue Subpoenas by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/07/2019)

01/14/2019 260 COPY of Order from USCA - 8th Circuit (18-3689) that the motion to stay discovery pending appeal is granted. (MBM) (Entered: 01/14/2019)

01/16/2019 261 COPY of Order from USCA - 8th Circuit (18-3689) - The motion to vacate this court's January 14, 2019, order staying discovery pending appeal is denied. The order is amended to provide that it constitutes a temporary administrative stay pending receipt and consideration of plaintiff's response to the motion for stay. (LAC) (Entered: 01/16/2019)

01/28/2019 262 Letter by Clerk USCA-8th Circuit (18-3689). (Attachments: # 1 Case Caption)(LAC) (Entered: 01/28/2019)

01/28/2019 263 MOTION to Withdraw as Attorney on behalf of A. Robert Pietrzak by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/28/2019)

01/29/2019 264 TEXT ORDER granting 263 Motion to Withdraw as Attorney. A. Robert Pietrzak is terminated as counsel of record. Ordered by Magistrate Judge Susan M. Bazis. (LRH) (Entered: 01/29/2019)

02/05/2019 265 COPY of Order from USCA - 8th Circuit (18-3689) - The motion to stay discovery pending appeal is granted. (LAC) (Entered: 02/05/2019)

02/27/2019 266 NOTICE of Change of Address by Attorney Nancy A. Kulesa on behalf of Plaintiff Roderick Ford (Kulesa, Nancy) (Entered: 02/27/2019)

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