U.S. District Court Northern District of Texas (Dallas...

US District Court Civil Docket as of 8/9/2011Retrieved^rom the court on August 20, 2011

U.S. District CourtNorthern District of Texas (Dallas)

CIVIL DOCKET FOR CASE #: 3:10-cv-01833-F

Toomey et al v. Hofhines et al Date Filed: 09/14/2010Assigned to: Judge Royal Furgeson Date Terminated: 08/09/2011Case in other court: Idaho, 1:09-cv-00613 Jury Demand: PlaintiffCause: 15:78m(a) Securities Exchange Act Nature of Suit: 850

Securities/CommoditiesJurisdiction: Federal Question

Plaintiff

C. Richard Toomey represented by Richard H GreenerGreener Burke Shoemaker PA950 W Bannock StSuite 900Boise, ID 83702(208) 319-2600Fax: (208) 319-2601Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

Elizabeth A LelandKeller Rohrback LLP1201 3rd AveSuite 3200Seattle, WA 98101206/623-1900Fax: 206/623-3384Email: [email protected] TO BE NOTICED

Lynn Lincoln SarkoKeller Rohrback1201 Third AvenueSuite 3200Seattle, WA 98101206/623-1900PRO HAC VICE

Michael D WoernerKeller Rohrback LLP1201 3rd Ave

Suite 3200Seattle, WA 98101206/623-1900Fax: 206/623-3384Email: [email protected] TO BE NOTICED

Soo Yong KangGreener Burke Shoemaker PA950 W Bannock StSuite 900Boise, ID 83702208/319-2600Fax: 208/319-2601Email: [email protected] TO BE NOTICED

Plaintiff

Sally Crevier represented by Richard H Greener(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Elizabeth A Leland(See above for address)ATTORNEY TO BE NOTICED

Lynn Lincoln Sarko(See above for address)PRO HAC VICE

Michael D Woerner(See above for address)ATTORNEY TO BE NOTICED

Soo Yong Kang(See above for address)ATTORNEY TO BE NOTICED

Plaintiff

Elisabeth Mirams represented by Richard H Greener(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED





Plaintiff

Gillian Mursell represented by Richard H Greener(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED





Plaintiff

Richard Yerkes represented by Richard H Greener(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED





Plaintiff

Kreindel Trust represented by Daniel C GirardGirard Gibbs LLP601 California St14th FloorSan Francisco, CA 94108415/981-4800Fax: 415/981-4846Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

Allen B EllisEllis Brown & Sheils707 N 8th StBoise, ID 83701208/345-7832Fax: 208/345-9564Email: [email protected] TO BE NOTICED

Amanda M SteinerGirard Gibbs LLP601 California St14th FloorSan Francisco, CA 94108415/981-4800Email: [email protected] TO BE NOTICED

Ari H JaffeKohrman Jackson & KrantzOne Cleveland Center1375 East Ninth St 20th FloorCleveland, OH 44114216/696-8700Fax: 216/621-6536Email: [email protected] TO BE NOTICED

Dan DrachlerZwerling Schachter & Zwerling LLP1904 Third AveSeattle, WA 98101-1170206/223-2053Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Jonathan K LevineGirard Gibbs LLP601 California St14th FloorSan Francisco, CA 94108415/981-4800Fax: 415/981-4846Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Lewis T LeClairMcKool Smith300 Crescent CourtSuite 1500Dallas, TX 75201214/978-4000Fax: 214/978-4044 FAXEmail: [email protected] TO BE NOTICED

Richard A SpeirsZwerling Schachter & Zwerling LLP41 Madison Ave32nd FloorNew York, NY 10010212/223-3900Fax: 212/371-5969Email: [email protected]: 0810512010PRO HAC VICE

Sona R ShahZwerling Schachter & Zwerling LLP41 Madison AveNew York, NY 10010212/223-3900

Susan SalvettiZwerling Schachter & Zwerling LLP41 Madison Ave

New York, NY 100 10212/223-3900Email: [email protected] TO BE NOTICED

V.

Defendant

Bradley K. HofhinesTERMINATED: 10 /06 /2010

Defendant

Summit Retirement Advisors LLCTERMINATED: 10 /06 /2010

Defendant

Securities America Inc represented by J Walter SinclairStoel Rives101 S Capitol BlvdSuite 1900Boise, ID 83702208/387-4248Fax: 208/389-9040Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

Nicole C HancockStoel Rives LLP101 S Capitol BlvdSuite 1900Boise, ID 83702208-287-4231Email: [email protected]

Defendant

Securities America Financial represented by J Walter SinclairCorporation (See above for address)

LEAD ATTORNEYATTORNEY TO BE NOTICED

Nicole C Hancock(See above for address)ATTORNEY TO BE NOTICED

Defendant

Ameriprise Financial, Inc. represented by J Walter Sinclair(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Nicole C Hancock(See above for address)ATTORNEY TO BE NOTICED

Interested Part

Thomas M Simon represented by Thomas M Simon8475 Marsalle RdPortland, MI 48875PRO SE

Interested Part

Germaine I Simon represented by Germaine I Simon8475 Marsalle RdPortland, MI 48875PRO SE

Interested Part

Office of the Commissioner of Securities represented by Edwin J Tomkoand Insurance Curran Tomko & Tarski LLP

2001 Bryan StSuite 2050Dallas, TX 75201214/270-1400Fax: 214/270-1401Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

Jameson C WalkerOffice of Commissioner of Securities &Insurance840 Helena AveHelena, MT 59601406/444-3467Fax: 406/444-3499Email: [email protected] TO BE NOTICED

Robert R RobyCurran Tomko Tarski LLP

2001 Bryan StSuite 2050Dallas, TX 75201214-270-1411Fax: 214-270-1401Email: [email protected] TO BE NOTICED

V.

Mediator

ADR Provider represented by James M RosenbaumJudicial Arbitration and MediationServices71 South Wacker DrSuite 3090Chicago, IL 60606(312) 655-0555TERMINATED: 0810912011LEAD ATTORNEY

Date Filed # I Docket Text

11/25/2009 1 COMPLAINT Class Action for Violations of Sections 12 & 15 of Securities Act of1933, the Idaho Uniform Securities Act, and the Idaho Consumer Protection Actagainst Ameriprise Financial, Inc., Bradley K. Hofhines, Securities America FinancialCorporation, Securities America, Inc., Summit Retirement Advisors LLC (Filing fee$ 350 receipt number 0976-543719.), filed by Elisabeth Mirams, Sally Crevier, GillianMursell, C. Richard Toomey, Richard Yerkes. (Attachments: # 1 Exhibit Exhibit A, #2 Exhibit Exhibit B, # 3 Cover Sheet Civil Cover Sheet, # 4 Summons Hofhines, # 5Summons Summit Retirement Advisors, # 6 Summons Securities America, Inc., # 7Summons Securities America Financial Corp, # 8 Summons AmeripriseFinancial)(Kang, Soo) [Transferred from Idaho on 9/14/2010.] (Entered: 11/25/2009)

11/25/2009 2 ERRATA by Plaintiffs Sally Crevier, Elisabeth Mirams, Gillian Mursell, C. RichardToomey, Richard Yerkes re 1 Complaint,,, EXHIBITS. (Attachments: # 1 ExhibitShale Client Certifications)(Kang, Soo) [Transferred from Idaho on 9/14/2010.](Entered: 11/25/2009)

11/30/2009 3 LITIGATION ORDER Telephonic Scheduling Conference set for 2/25/2010 09:30AM in Boise Chambers before Judge Edward J. Lodge. Signed by Judge Edward J.Lodge. (caused to be mailed to non Registered Participants at the addresses listed onthe Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 11/30/2009)

12/01/2009 4 Summons Issued as to Ameriprise Financial, Inc., Bradley K. Hofhines, SecuritiesAmerica Financial Corporation, Securities America, Inc., Summit RetirementAdvisors LLC. (Print attached Summons for service.) (cjm) [Transferred from Idaho

I on 9/14/2010.] (Entered: 12/01/2009)

12/02/2009 5 MOTION FOR PRO HAC VICE APPEARANCE by Elizabeth A. Leland. (Filing fee$ 200 receipt number 0976-545188.)Richard H Greener appearing for Plaintiffs SallyCrevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes.Responses due by 12/28/2009 (Greener, Richard) [Transferred from Idaho on9/14/2010.] (Entered: 12/02/2009)

12/02/2009 6 MOTION FOR PRO HAC VICE APPEARANCE by Lynn Lincoln Sarko. (Filing fee$ 200 receipt number 0976-545190.)Richard H Greener appearing for Plaintiffs SallyCrevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes.Responses due by 12/28/2009 (Greener, Richard) [Transferred from Idaho on9/14/2010.] (Entered: 12/02/2009)

12/02/2009 7 MOTION FOR PRO HAC VICE APPEARANCE by Michael D. Woerner. (Filingfee $ 200 receipt number 0976-545191.)Richard H Greener appearing for PlaintiffsSally Crevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, RichardYerkes. Responses due by 12/28/2009 (Greener, Richard) [Transferred from Idaho on9/14/2010.] (Entered: 12/02/2009)

12/03/2009

8 DOCKET ENTRY ORDER granting 5 6 7 Motions for Pro Hac Vice Appearance ofattorney Elizabeth A Leland,Lynn Lincoln Sarko,Michael D Woerner for SallyCrevier, Elisabeth Mirams, Gillian Mursell,C. Richard Toomey, and Richard YerkesPer General Order 206, out-of-state counsel shall immediately register for ECF.(Notice sent to CM/ECF Registration Clerk). (Notice sent to CM/ECF RegistrationClerk) (caused to be mailed to non Registered Participants at the addresses listed onthe Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 12/03/2009)

12/30/2009

9 SUMMONS Returned Executed by Elisabeth Mirams, Sally Crevier, Gillian Mursell,C. Richard Toomey, Richard Yerkes. Bradley K. Hofhines served on 12/10/2009,answer due 12/31/2009. (Kang, Soo) [Transferred from Idaho on 9/14/2010.](Entered: 12/30/2009)

12/30/2009

10 SUMMONS Returned Executed by Elisabeth Mirams, Sally Crevier, Gillian Mursell,C. Richard Toomey, Richard Yerkes. Summit Retirement Advisors LLC served on12/10/2009, answer due 12/31/2009. (Kang, Soo) [Transferred from Idaho on9/14/2010.] (Entered: 12/30/2009)

12/30/2009

11 SUMMONS Returned Executed by Elisabeth Mirams, Sally Crevier, Gillian Mursell,C. Richard Toomey, Richard Yerkes. Securities America, Inc. served on 12/10/2009,answer due 12/31/2009. (Kang, Soo) [Transferred from Idaho on 9/14/2010.](Entered: 12/30/2009)

12/30/2009

12 SUMMONS Returned Executed by Elisabeth Mirams, Sally Crevier, Gillian Mursell,C. Richard Toomey, Richard Yerkes. Ameriprise Financial, Inc. served on12/21/2009, answer due 1/11/2010. (Kang, Soo) [Transferred from Idaho on9/14/2010.] (Entered: 12/30/2009)

12/30/2009

13 SUMMONS Returned Executed by Elisabeth Mirams, Sally Crevier, Gillian Mursell,C. Richard Toomey, Richard Yerkes. Securities America Financial Corporation servedon 12/22/2009, answer due 1/12/2010. (Kang, Soo) [Transferred from Idaho on9/14/2010.] (Entered: 12/30/2009)

12/30/2009 CORRECTIVE ENTRY - The entry docket number 13 Summons Returned Executedfiled by Richard Yerkes, Sally Crevier, C. Richard Toomey, Gillian Mursell, ElisabethMirams, 12 Summons Returned Executed filed by Richard Yerkes, Sally Crevier, C.Richard Toomey, Gillian Mursell, Elisabeth Mirams were filed incorrectly in thiscase. The filing party shall re-submit their correct filing including proof of service.(cjm) [Transferred from Idaho on 9/14/2010.] (Entered: 12/30/2009)

12/30/2009 14 SUMMONS Returned Executed by Elisabeth Mirams, Sally Crevier, Gillian Mursell,C. Richard Toomey, Richard Yerkes. (Kang, Soo) [Transferred from Idaho on9/14/2010.] (Entered: 12/30/2009)

12/30/2009 15 SUMMONS Returned Executed by Elisabeth Mirams, Sally Crevier, Gillian Mursell,C. Richard Toomey, Richard Yerkes. (Kang, Soo) [Transferred from Idaho on9/14/2010.] (Entered: 12/30/2009)

12/31/2009 16 MOTION to Amend/Correct Litigation Order Entered November 30, 2009 Richard HGreener appearing for Plaintiffs Sally Crevier, Elisabeth Mirams, Gillian Mursell, C.Richard Toomey, Richard Yerkes. Responses due by 1/25/2010 (Greener, Richard)[Transferred from Idaho on 9/14/2010.] (Entered: 12/31/2009)

01/04/2010 CORRECTIVE ENTRY - Disregard dkt #17 as it was filed erroneously. (cjm)[Transferred from Idaho on 9/14/2010.] (Entered: 01/04/2010)

01/04/2010 18 AFFIDAVIT in Support re 16 MOTION to Amend/Correct Litigation Order EnteredNovember 30, 2009 by Sally Crevier, Elisabeth Mirams, Gillian Mursell, C. RichardToomey, Richard Yerkes. (Greener, Richard) [Transferred from Idaho on 9/14/2010.](Entered: 01/04/2010)

01/04/2010 19 MOTION for Default Judgment as to Defendants Bradley K. Hofhines and SummitRetirement Advisors LL Elizabeth A Leland appearing for Plaintiffs Sally Crevier,Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes. Responsesdue by 1/28/2010 (Attachments: # 1 Affidavit of Elizabeth A. Leland)(Leland,Elizabeth) [Transferred from Idaho on 9/14/2010.] (Entered: 01/04/2010)

01/04/2010 20 ORDER APPROVING MOTION TO AMEND THE LITIGATION ORDERENTERED NOVEMBER 30,2009 16 Motion to Amend/Correct. Signed by JudgeEdward J. Lodge. (caused to be mailed to non Registered Participants at the addresseslisted on the Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on9/14/2010.] (Entered: 01/05/2010)

01/06/2010 21 AMENDED ORDER APPROVING MOTION TO AMEND THE LITIGATIONORDER ENTERED NOVEMBER 30, 2009 re 20 Order on Motion toAmend/Correct,. Signed by Judge Edward J. Lodge. (caused to be mailed to nonRegistered Participants at the addresses listed on the Notice of Electronic Filing (NEF)by cjm) [Transferred from Idaho on 9/14/2010.] (Entered: 01/06/2010)

01/06/2010 22 NOTICE by Sally Crevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey,Richard Yerkes re 19 MOTION for Default Judgment as to Defendants Bradley K.Hofhines and Summit Retirement Advisors LL of withdrawal of Motion for Entry ofOrder ofDefault (Kang, Soo) [Transferred from Idaho on 9/14/2010.] (Entered:01/06/2010)

01/06/2010 I 23 MOTION to Amend/Correct 3 Litigation Order, Soo Yong Kang appearing for

Plaintiffs Sally Crevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey,Richard Yerkes. Responses due by 2/1/2010 (Kang, Soo) [Transferred from Idaho on9/14/2010.] (Entered: 01/06/2010)

01/06/2010 I 24 AFFIDAVIT in Support re 23 MOTION to Amend/Correct 3 Litigation Order, bySally Crevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, RichardYerkes. (Kang, Soo) [Transferred from Idaho on 9/14/2010.] (Entered: 01/06/2010)

01/06/2010 25 ORDER APPROVING MOTION TO AMEND THE LITIGATION ORDERENTERED NOVEMBER 30, 2009 23 Motion to Amend/Correct. Signed by JudgeEdward J. Lodge. (caused to be mailed to non Registered Participants at the addresseslisted on the Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on9/14/2010.] (Entered: 01/07/2010)

01/25/2010 26 MOTION FOR PRO HAC VICE APPEARANCE by Richard A. Speirs. (Filing fee $200 receipt number 0976-562548.)Allen B Ellis appearing for Plaintiffs Sally Crevier,Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes. Responsesdue by 2/18/2010 (Ellis, Allen) [Transferred from Idaho on 9/14/2010.] (Entered:01/25/2010)

01/25/2010 27 MOTION FOR PRO HAC VICE APPEARANCE by Jonathan K. Levine. (Filing fee$ 200 receipt number 0976-562551.)Allen B Ellis appearing for Plaintiffs SallyCrevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes.Responses due by 2/18/2010 (Ellis, Allen) [Transferred from Idaho on 9/14/2010.](Entered: 01/25/2010)

01/25/2010 28 MOTION FOR PRO HAC VICE APPEARANCE by Dan Drachler. (Filing fee $ 200receipt number 0976-562554.)Allen B Ellis appearing for Plaintiffs Sally Crevier,Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes. Responsesdue by 2/18/2010 (Ellis, Allen) [Transferred from Idaho on 9/14/2010.] (Entered:01/25/2010)

01/25/2010 29 MOTION to Appoint Counsel as Lead Plaintiff^ Lead Counsel and Liaison Counsel(Kreindel Trust) Allen B Ellis appearing for Plaintiffs Sally Crevier, ElisabethMirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes. Responses due by2/18/2010 (Ellis, Allen) [Transferred from Idaho on 9/14/2010.] (Entered:01/25/2010)

01/25/2010 30 MEMORANDUM/BRIEF re 29 MOTION to Appoint Counsel as Lead Plaintiff^ LeadCounsel and Liaison Counsel (Kreindel Trust) filed by Sally Crevier, ElisabethMirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes. (Ellis, Allen)[Transferred from Idaho on 9/14/2010.] (Entered: 01/25/2010)

01/25/2010 31 AFFIDAVIT of Allen B. Ellis re 29 MOTION to Appoint Counsel as Lead Plaintiff^Lead Counsel and Liaison Counsel (Kreindel Trust) filed by Sally Crevier, ElisabethMirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes. (Attachments: # 1Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Ellis, Allen) [Transferred fromIdaho on 9/14/2010.] (Entered: 01/25/2010)

01/25/2010 32 MOTION to Appoint Counsel Toomey Plaintiffs Motion for Appointment as LeadPlaintiffs and Appointment ofLead Counsel Elizabeth A Leland appearing forPlaintiffs Sally Crevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey,Richard Yerkes. Responses due by 2/18/2010 (Attachments: # 1 Memorandum in

Support Memorandum of Law in Support of Toomey Plaintiffs Motion forAppointment as Lead Plaintiffs and Appointment of Lead Counsel, # 2 AffidavitDeclaration of Elizabeth A. Leland in Support of Toomey Plaintiffs Motion forAppointment as Lead Plaintiffs and Appointment of Lead Counsel, # 3 ExhibitExhibit A to Declaration of Elizabeth A. Leland, # 4 Exhibit Exhibit B to Declarationof Elizabeth A. Leland, # 5 Exhibit Exhibit C to Declaration of Elizabeth A. Leland, #6 Exhibit Exhibit D to Declaration of Elizabeth A. Leland, # 7 Errata Exhibit E toDeclaration of Elizabeth A. Leland)(Leland, Elizabeth) [Transferred from Idaho on9/14/2010.] (Entered: 01/25/2010)

01/28/2010 33 DOCKET ENTRY ORDER approving 26 Motion for Pro Hac Vice Appearance ofattorney Richard A. Speirs for Kreindel Trust. Per General Order 206, out-of-statecounsel shall immediately register for ECF. (Notice sent to CM/ECF RegistrationClerk) (caused to be mailed to non Registered Participants at the addresses listed onthe Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 01/28/2010)

01/28/2010 34 DOCKET ENTRY ORDER approving 27 Motion for Pro Hac Vice Appearance ofattorney Jonathan K. Levine for Kreindel Trust. Per General Order 206, out-of-statecounsel shall immediately register for ECF. (Notice sent to CM/ECF RegistrationClerk) (caused to be mailed to non Registered Participants at the addresses listed onthe Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 01/28/2010)

01/28/2010 35 DOCKET ENTRY ORDER approving 28 Motion for Pro Hac Vice Appearance ofattorney Dan Drachler for Kreindel Trust. Per General Order 206, out-of-state counselshall immediately register for ECF. (Notice sent to CM/ECF Registration Clerk)(caused to be mailed to non Registered Participants at the addresses listed on theNotice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 01/28/2010)

02/10/2010 36 ORDER OF REFERENCE to Magistrate Judge Judge Mikel H. Williams, referred forAll Pretrial MattersMotions referred to Mikel H. Williams.. Signed by Judge EdwardJ. Lodge. (caused to be mailed to non Registered Participants at the addresses listed onthe Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 02/10/2010)

02/18/2010 37 MEMORANDUM in Opposition re 32 MOTION to Appoint Counsel ToomeyPlaintiffs Motion for Appointment as Lead Plaintiffs and Appointment ofLeadCounsel, 29 MOTION to Appoint Counsel as Lead Plaintiff, Lead Counsel andLiaison Counsel (Kreindel Trust) filed by Kreindel Trust. Replies due by3/8/2010.(Speirs, Richard) [Transferred from Idaho on 9/14/2010.] (Entered:02/18/2010)

02/18/2010 38 MEMORANDUM in Opposition re 29 MOTION to Appoint Counsel as LeadPlaintiff, Lead Counsel and Liaison Counsel (Kreindel Trust) Response of the ToomeyPlaintiffs in Opposition To Motion of the Kreindel Trust for Appointment ofLeadPlaintiff, Lead Counsel and Liaison Counsel Filed on Jan. 25, 2010 filed by SallyCrevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes.Replies due by 3/8/2010. (Attachments: # 1 Declaration of Elizabeth A. Leland inSupport of Response of the Toomey Plaintiffs in Opposition to Motion of the KreindelTrust tor Appointment of Lead Plaintiff, Lead Counsel and Liaison Counsel Filed on

Jan. 25, 2010, # 2 Exhibit A to Declaration: First Amended Class Action Complaint,Bopp v. Cedar Brook Financial Partners, LLC, et al., No. 09-01646 (N.D. Tex. filedSept. 2, 2009), # 3 Exhibit B to Declaration: Consolidated Amended Class ActionComplaint, Billitteri v. Securities America, inc., No. 09-01568 (N.D. Tex. filed Dec.7, 2009), # 4 Exhibit C to Declaration: Memorandum of Law in Support of PlaintiffsUnopposed Motion for Entry of a Case Management Order, Nos. 09-1568 and 09-1646 (N.D. Tex.), # 5 Exhibit D to Declaration: Case Management Order, Billitteri v.Securities America, inc., Nos. 09-01568 and 09-01646 (N.D. Tex. Oct. 16, 2009), # 6Exhibit E to Declaration: Confidential Private Placement Memorandum: ShaleRoyalties 12, Inc., # 7 Exhibit F to Declaration: Confidential Private PlacementMemorandum: Shale Royalties 20, Inc.)(Leland, Elizabeth) [Transferred from Idahoon 9/14/2010.] (Entered: 02/18/2010)

03/02/2010 39 DOCKET ENTRY NOTICE of Hearing on Motion 32 MOTION to Appoint CounselToomey Plaintiffs Motion for Appointment as Lead Plaintiffs and Appointment ofLeadCounsel, 29 MOTION to Appoint Counsel as Lead Plaintiff, Lead Counsel andLiaison Counsel (Kreindel Trust): Motion Hearing set for 4/21/2010 10:30 AM inBoise, ID before Judge Mikel H. Williams. (ljb) [Transferred from Idaho on9/14/2010.] (Entered: 03/02/2010)

03/08/2010 I 40 REPLY to Response to Motion re 29 MOTION to Appoint Counsel as Lead Plaintiff,Lead Counsel and Liaison Counsel (Kreindel Trust) filed by Kreindel Trust. (Levine,Jonathan) [Transferred from Idaho on 9/14/2010.] (Entered: 03/08/2010)

03/08/2010 41 REPLY to Response to Motion re 29 MOTION to Appoint Counsel as Lead Plaintiff,Lead Counsel and Liaison Counsel (Kreindel Trust) Toomey Plaintiffs Reply to theResponse in Support ofMotion of the Kreindel Trust for Appointment ofLeadPlaintiff, Lead Counsel and Liaison Counsel filed on Feb. 18, 2010 filed by SallyCrevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey, Richard Yerkes.(Attachments: # 1 Declaration of Elizabeth A. Leland in Support of Toomey PlaintiffsReply to Response in Support of Motion of the Kreindel Trust for Appointment ofLead Plaintiff, Lead Counsel and Liaison Counsel filed on Feb. 18, 2010, # 2 ExhibitA to Declaration: Declaration of C. Richard Toomey in Support of Toomey PlaintiffsReply to the Response of Kreindel Trust for Appointment of Lead Plaintiff, LeadCounsel and Liaison Counsel filed on Feb. 18, 2010, # 3 Exhibit B to Declaration:Declaration of Sally Crevier in Support of Toomey Plaintiffs Reply to the Response ofKreindel Trust for Appointment of Lead Plaintiff, Lead Counsel and Liaison Counselfiled on Feb. 18, 2010, # 4 Exhibit C to Declaration: Declaration of Elisabeth Miramsin Support of Toomey Plaintiffs Reply to the Response of Kreindel Trust forAppointment of Lead Plaintiff, Lead Counsel and Liaison Counsel filed on Feb. 18,2010, # 5 Exhibit D to Declaration: Declaration of Gillian Mursell in Support ofToomey Plaintiffs Reply to the Response of Kreindel Trust for Appointment of LeadPlaintiff, Lead Counsel and Liaison Counsel filed on Feb. 18, 2010, # 6 Exhibit E toDeclaration: Declaration of Richard Yerkes in Support of Toomey Plaintiffs Reply tothe Response of Kreindel Trust for Appointment of Lead Plaintiff, Lead Counsel andLiaison Counsel filed on Feb. 18, 2010, # 7 Exhibit F to Declaration: Civil Docket forBillitteri v. Securities America, Inc., No. 09-01568 (N.D. Tex.))(Leland, Elizabeth)[Transferred from Idaho on 9/14/2010.] (Entered: 03/08/2010)

03/23/2010 42 NOTICE of Documents Filed With the Judicial Panel for Multidistrict Litigation byGirard Gibbs LLP. (cjm) [Transferred from Idaho on 9/14/2010.] (Entered:

03/23/2010)

04/12/2010 43 NOTICE of Documents Filed With the Judicial Panel for Multidistrict Litigation (cjm)[Transferred from Idaho on 9/14/2010.] (Entered: 04/12/2010)

04/20/2010 44 DOCKET ENTRY NOTICE RESCHEDULING Hearing (TIME ONLY) on Motion32 MOTION to Appoint Counsel Toomey Plaintiffs Motion for Appointment as LeadPlaintiffs and Appointment ofLead Counsel, 29 MOTION to Appoint Counsel asLead Plaintiff^ Lead Counsel and Liaison Counsel (Kreindel Trust) : Motion Hearingset for 4/21/2010 12:00 PM in Boise, ID before Judge Mikel H. Williams, Courtroom#1.(so) [Transferred from Idaho on 9/14/2010.] (Entered: 04/20/2010)

04/20/2010 45 NOTICE by Sally Crevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey,Richard Yerkes re 42 Notice (Other) Notice of Documents filed with the JudicialPanel on Multidistrict Litigation (Attachments: # 1 Response and Opposition to theBillitteri Groups Motion for Transfer of Actions for Consolidated Pre-TrialProceedings Pursuant to 28 U.S.C. § 1407)(Leland, Elizabeth) [Transferred fromIdaho on 9/14/2010.] (Entered: 04/20/2010)

04/21/2010 46 Minute Entry for proceedings held before Judge Mikel H. Williams: Motion Hearingheld on 4/21/2010 re 32 MOTION to Appoint Counsel Toomey Plaintiffs Motion forAppointment as Lead Plaintiffs and Appointment ofLead Counsel filed by RichardYerkes, Sally Crevier, C. Richard Toomey, Gillian Mursell, Elisabeth Mirams, 29MOTION to Appoint Counsel as Lead Plaintiff^ Lead Counsel and Liaison Counsel(Kreindel Trust) filed by Richard Yerkes, Sally Crevier, C. Richard Toomey, GillianMursell, Elisabeth Mirams. Motions taken UNDER ADVISEMENT. (CourtReporter/ESR Jamie Gearhart.) (so) [Transferred from Idaho on 9/14/2010.] (Entered:04/21/2010)

05/13/2010 47 NOTICE of Documents Filed With the Judicial Panel for Multidistrict Litigation byNicholas T Christakos. (cjm) [Transferred from Idaho on 9/14/2010.] (Entered:05/14/2010)

05/25/2010 48 NOTICE by Sally Crevier, Elisabeth Mirams, Gillian Mursell, C. Richard Toomey,Richard Yerkes Notice of Documents Filed with the Judicial Panel on MultidistrictLitigation (Attachments: # 1 Idaho Plaintiffs Withdrawal Of Their Response InOpposition To The Billitteri Groups Motion For Transfer Of Action For ConsolidatedPretrial Proceedings Pursuant To 28 U.S.C. § 1407)(Leland, Elizabeth) [Transferredfrom Idaho on 9/14/2010.] (Entered: 05/25/2010)

06/03/2010 49 NOTICE of Withdrawal by Sally Crevier, Elisabeth Mirams, Gillian Mursell, C.Richard Toomey, Richard Yerkes re 32 MOTION to Appoint Counsel ToomeyPlaintiffs Motion for Appointment as Lead Plaintiffs and Appointment ofLeadCounsel Withdrawal of The Toomey Plaintiffs Motion for Appointment as LeadPlaintiffs and Appointment ofLead Counsel (Leland, Elizabeth) Modified on 6/4/2010to add withdrawal(cjm). [Transferred from Idaho on 9/14/2010.] (Entered:06/03/2010)

06/03/2010 50 ORDER DENYING TRANSFER by the US Judicial Panel on Multidistrict Litigation(caused to be mailed to non Registered Participants at the addresses listed on theNotice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 06/04/2010)

06/10/2010 51 ORDER granting 29 Motion of the Kreindel Trust for Appointment of Lead Plaintiff,Lead Counsel and Liaison Counsel. Signed by Judge Mikel H. Williams. (caused to bemailed to non Registered Participants at the addresses listed on the Notice ofElectronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.] (Entered:06/10/2010)

07/09/2010 52 MOTION to Amend/Correct 21 Order, 25 Order on Motion to Amend/Correct, toAmend Orders Entered January 6, 2010 (Dkt. Nos. 21 and 25) J Walter Sinclairappearing for Defendants Ameriprise Financial, Inc., Securities America FinancialCorporation, Securities America, Inc..Motions referred to Mikel H. Williams.Responses due by 8/2/2010 (Attachments: # 1 Affidavit of Nicole C. Hancock, # 2Exhibit Stipulation)(Sinclair, J) [Transferred from Idaho on 9/14/2010.] (Entered:07/09/2010)

07/09/2010 53 ORDER granting 52 Motion to Amend/Correct. Lead Plaintiff M s deadline to file anamended complaint or notify Defendants that Lead Plaintiff intends to stand on theComplaint is 45 days from the date of entry of this Order. Signed by Judge Edward J.Lodge. (caused to be mailed to non Registered Participants at the addresses listed onthe Notice of Electronic Filing (NEF) by cjm) [Transferred from Idaho on 9/14/2010.](Entered: 07/12/2010)

07/19/2010 54 MOTION to Withdraw as Attorney Allen B Ellis appearing for Plaintiff KreindelTrust.Motions referred to Mikel H. Williams. Responses due by 8/12/2010 (Ellis,Allen) [Transferred from Idaho on 9/14/2010.] (Entered: 07/19/2010)

08/05/2010 55 ORDER granting 54 Motion to Withdraw as Attorney. Attorney Richard A. Speirsterminated. Signed by Judge Mikel H. Williams. (caused to be mailed to nonRegistered Participants at the addresses listed on the Notice of Electronic Filing (NEF)by cjm) [Transferred from Idaho on 9/14/2010.] (Entered: 08/06/2010)

08/30/2010 56 MOTION to Transfer Case Pursuant to 28 U.S.C. § 1404(a) Jonathan K. Levineappearing for Plaintiff Kreindel Trust.Motions referred to Mikel H. Williams.Responses due by 9/23/2010 (Attachments: # 1 Stipulation)(Levine, Jonathan)[Transferred from Idaho on 9/14/2010.] (Entered: 08/30/2010)

09/13/2010 57 ORDER TRANSFERRING VENUE PURSUANT TO 28 USC § 1404(a) granting 56Motion to Transfer Case. Signed by Judge Mikel H. Williams. (caused to be mailed tonon Registered Participants at the addresses listed on the Notice of Electronic Filing(NEF) by cjm) [Transferred from Idaho on 9/14/2010.] (Entered: 09/13/2010)

09/14/2010 58 Case electronically transferred in from District of Idaho; Case Number 1:09-cv-00613.Unless exempted, attorneys who are not admitted to practice in the Northern Districtof Texas should seek admission promptly. Forms and Instructions found atwww.txnd.uscourts.gov . Copy of NEF to be sent US Mail to parties not electronicallynoticed. (Entered: 09/14/2010)

09/14/2010 New Case Notes: A filing fee has been paid. Magistrate Judge Ramirez preliminarilyassigned. File to Judge Kinkeade. (dnc) (Entered: 09/14/2010)

09/14/2010 59 ORDER OF TRANSFER: Case reassigned to Judge Royal Furgeson for all furtherproceedings. Judge Ed Kinkeade no longer assigned to case. (Ordered by Judge EdKinkeade on 9/14/2010) (axm) (Entered: 09/15/2010)

09/15/2010 ***Clerk's Notice of delivery: (see NEF for details) Docket No:59. Wed Sep 1512:51:06 CDT 2010 (crt) (Entered: 09/15/2010)

10/06/2010 60 NOTICE OF DISMISSAL (Voluntary) ofDefendants Bradley K. Hofhines andSummit Retirement Advisors LLC filed by Kreindel Trust (LeClair, Lewis) (Entered:10/06/2010)

10/06/2010 61 Joint MOTION to Stay on behalf of all other Plaintiffs and Defendants filed byKreindel Trust, Ameriprise Financial Inc, Securities America Inc, Securities AmericaFinancial Corporation (Attachments: # 1 Proposed Order) (LeClair, Lewis) Modifiedon 10/7/2010 (skt). (Entered: 10/06/2010)

10/07/2010 62 ORDER granting 61 Joint Motion to Stay. ( 61 Joint Motion to Stay, filed bySecurities America, Inc., Kreindel Trust, Ameriprise Financial, Inc., SecuritiesAmerica Financial Corporation terminated.) (Ordered by Judge Royal Furgeson on10/7/2010) (Judge Royal Furgeson) (Entered: 10/07/2010)

10/08/2010 ***Clerk's Notice of delivery: (see NEF for details) Docket No:62. Fri Oct 8 08:10:15CDT 2010 (crt) (Entered: 10/08/2010)

12/22/2010 63 ELECTRONIC ORDER SETTING STATUS CONFERENCE: The Court ORDERSthat a status conference in this action and all related actions is set for January 3, 2011at 3:00 PM in US Courthouse, Courtroom 1310, 1100 Commerce St., Dallas, TX75242-1310 before Judge Royal Furgeson. (Ordered by Judge Royal Furgeson on12/22/2010) (chmb) (Entered: 12/22/2010)

01/04/2011 ELECTRONIC Minute Entry for proceedings held before Judge Royal Furgeson:Status Conference held on 1/3/2011. Attorney Appearances: Plaintiff - Daniel Girard,Dena Sharp, Susan Salvetti; Defense - Nicholas Christakos (Court Reporter: CassCasey) (No exhibits) Time in Court - 1:00. (chmb) (Entered: 01/04/2011)

02/17/2011 64 MOTION FOR PRELIMINARY APPROVAL OF PARTIAL CLASS ACTIONSETTLEMENT WITH SECURITIES AMERICA, INC. AND SECURITIESAMERICA FINANCIAL CORPORATION filed by Kreindel Trust (Girard, Daniel)(Entered: 02/17/2011)

02/17/2011 65 Appendix in Support filed by Kreindel Trust re 64 MOTION FOR PRELIMINARYAPPROVAL OF PARTIAL CLASS ACTION SETTLEMENT WITH SECURITIESAMERICA, INC. AND SECURITIES AMERICA FINANCIAL CORPORATION(Girard, Daniel) (Entered: 02/17/2011)

02/17/2011 67 MOTION for Temporary Restraining Order UNDER THE ALL WRITS ACT filed byKreindel Trust (Girard, Daniel) (Entered: 02/17/2011)

02/17/2011 68 Brief/Memorandum in Support filed by Kreindel Trust re 67 MOTION for TemporaryRestraining Order UNDER THE ALL WRITS ACT (Attachments: # 1 Proposed Order)(Girard, Daniel) (Entered: 02/17/2011)

02/17/2011 69 Appendix in Support filed by Kreindel Trust re 67 MOTION for TemporaryRestraining Order UNDER THE ALL WRITS ACT (Girard, Daniel) (Entered:02/17/2011)

02/17/2011 71 MOTION for Leave to Exceed Page Limit filed by Kreindel Trust (Attachments: # 1Proposed Order) (Girard, Daniel) Modified on 2/18/2011 (twd). (Entered: 02/17/2011)

02/17/2011 72 Brief/Memorandum in Support filed by Kreindel Trust re 64 MOTION FORPRELIMINARY APPROVAL OF PARTIAL CLASS ACTION SETTLEMENTWITH SECURITIES AMERICA, INC. AND SECURITIES AMERICA FINANCIALCORPORATION (Attachments: # 1 Proposed Order) (Girard, Daniel) (Entered:02/17/2011)

02/17/2011 73 CERTIFICATE OF SERVICE by Kreindel Trust re 64 MOTION FORPRELIMINARY APPROVAL OF PARTIAL CLASS ACTION SETTLEMENTWITH SECURITIES AMERICA, INC. AND SECURITIES AMERICA FINANCIALCORPORATION, 67 MOTION for Temporary Restraining Order UNDER THE ALLWRITS ACT, 71 MOTION for Leave to File TO EXCEED PAGE LIMIT (Girard,Daniel) (Entered: 02/17/2011)

02/18/2011 74 ELECTRONIC ORDER Granting Plaintiff's Unopposed Motion for Leave to ExceedPage Limit 71 . (Ordered by Judge Royal Furgeson on 2/18/2011) (chmb) (Entered:02/18/2011)

02/18/2011 75 ORDER granting 67 MOTION for Temporary Restraining Order. Motion Hearing setfor 3/3/201102:00 PM before Judge Royal Furgeson re 64 Motion for PreliminaryApproval and its Request for Additional Injunctive Relief. (Ordered by Judge RoyalFurgeson on 2/18/2011) (tln) (Entered: 02/18/2011)

02/22/2011 77 ORDER as to 64 Motion for Preliminary Approval of Partial Class Action Settlement.Motion Hearing set for 3/3/201102:00 PM before Judge Royal Furgeson. (Ordered byJudge Royal Furgeson on 2/22/2011) (axm) (Entered: 02/23/2011)

02/23/2011 78 ORDER RESETTING HEARING DATE AND BRIEFING DEADLINE FORMOTION FOR PRELIMINARY APPROVAL: Motion Hearing reset for 3/10/201102:00 PM before Judge Royal Furgeson re 64 Motion for Preliminary Approval ofPartial Class Action Settlement. The deadline for any interested party or non-party tosubmit a brief for the Court's consideration is re-set for 3/7/2011. (Ordered by JudgeRoyal Furgeson on 2/23/2011) (tln) Modified on 3/1/2011 (axm). (Entered:02/25/2011)

02/24/2011 79 ORDER Regarding the Role of Class Counsel. (Ordered by Judge Royal Furgeson on2/24/2011) (jrb) (Entered: 02/25/2011)

02/25/2011 80 SECOND ORDER RESETTING HEARING as to 64 MOTION FORPRELIMINARY APPROVAL OF PARTIAL CLASS ACTION SETTLEMENTWITH SECURITIES AMERICA, INC. AND SECURITIES AMERICA FINANCIALCORPORATION. Motion Hearing reset for 3/18/201109:00 AM before Judge RoyalFurgeson. The deadline for any interested party or non-party to submit a brief for theCourt's consideration is re-set for 3/14/2011. (Ordered by Judge Royal Furgeson on2/25/2011) (tln) (Entered: 02/28/2011)

03/02/2011 81 MOTION for Temporary Restraining Order Extension filed by Kreindel Trust(Attachments: # 1 Proposed Order) (Girard, Daniel) (Entered: 03/02/2011)

03/02/2011 82 Brief/Memorandum in Support filed by Kreindel Trust re 81 MOTION for TemporaryRestraining Order Extension (Girard, Daniel) (Entered: 03/02/2011)

03/02/2011 83 Appendix in Support filed by Kreindel Trust re 81 MOTION for TemporaryRestraining Order Extension (Girard, Daniel) (Entered: 03/02/2011)

03/02/2011 I 84 I CERTIFICATE OF SERVICE by Kreindel Trust re 82 Brief/Memorandum in Supportof Motion, 81 MOTION for Temporary Restraining Order Extension, 83 Appendix inSupport (Girard, Daniel) (Entered: 03/02/2011)

03/02/2011 85 ORDER: ORDER GRANTING INTERVENORS' MOTION TO SET HEARINGDATE AND EXPEDITED BRIEFING SCHEDULE. (Ordered by Judge RoyalFurgeson on 3/2/2011) (ykp) (Entered: 03/03/2011)

03/04/2011 86 REPLY filed by Kreindel Trust re: 81 MOTION for Temporary Restraining OrderExtension (Girard, Daniel) (Entered: 03/04/2011)

03/04/2011 87 Appendix in Support filed by Kreindel Trust re 86 Reply (Girard, Daniel) (Entered:03/04/2011)

03/04/2011 88 CERTIFICATE OF SERVICE by Kreindel Trust re 86 Reply, 87 Appendix inSupport (Girard, Daniel) (Entered: 03/04/2011)

03/07/2011 89 ORDER GRANTING 81 PLAINTIFFS' MOTION FOR TEMPORARYRESTRAINING ORDER EXTENSION. Motion Hearing set for 3/18/201109:00 AMbefore Judge Royal Furgeson. (Ordered by Judge Royal Furgeson on 3/7/2011) (dnc)(Entered: 03/07/2011)

03/09/2011 90 ADVISORY TO ALL PARTIES, INTERVENORS, OBJECTORS, ANDINTERESTED THIRD PARTIES REGARDING MARCH 18, 2011 HEARING:Anyone who wishes to speak at the hearing must send an e-mail to the Court'schambers by the close of business on 3/14/2011. (Ordered by Judge Royal Furgesonon 3/9/2011) (skt) (Entered: 03/09/2011)

03/16/2011 91 ADVISORY REGARDING MARCH 18, 2011 HEARING. (Ordered by Judge RoyalFurgeson on 3/16/2011) (mfw) (Entered: 03/16/2011)

03/16/2011 92 REPLY filed by Kreindel Trust re: 64 MOTION FOR PRELIMINARY APPROVALOF PARTIAL CLASS ACTION SETTLEMENT WITH SECURITIES AMERICA,INC. AND SECURITIES AMERICA FINANCIAL CORPORATION (Girard,Daniel) (Entered: 03/16/2011)

03/16/2011 93 MOTION FOR LEAVE TO EXCEED PAGE LIMIT re 92 Reply filed by KreindelTrust (Attachments: # 1 Proposed Order) (Girard, Daniel) (Entered: 03/16/2011)

03/16/2011 95 CERTIFICATE OF SERVICE by Kreindel Trust re 92 Reply, 94 Sealed PlaintiffsReply to Objections and Oppositions to Preliminary Approval of Partial Class ActionSettlement with Securities America Inc and Securities America Financial Corporation(Sealed pursuant to motion to seal), 93 MOTION for Leave to Exceed Page Limit re92 Reply. (Girard, Daniel) (Entered: 03/16/2011)

03/17/2011 96 ELECTRONIC ORDER granting 93 Motion for Leave to Exceed the Page Limit.(Ordered by Judge Royal Furgeson on 3/17/2011) (Judge Royal Furgeson) (Entered:03/17/2011)

03/17/2011 98 ADVISORY: Due to anticipated presence of a large number of lawyers and otherindividuals, the hearing scheduled for Friday, March 18, 2011 shall take place inCourtroom 1546 in the Earle Cabell Federal Building in Dallas, Texas. (Ordered byJudge Royal Furgeson on 3/17/2011) (chmb) (Entered: 03/17/2011)

03/21/2011 100 ORDER DENYING AS MOOT INTERVENORS' MOTIONS TO STAY. (Orderedby Judge Royal Furgeson on 3/21/2011) (mfw) (Entered: 03/21/2011)

03/21/2011 101 ORDER denying 64 Motion for Preliminary Approval of Partial Class ActionSettlement with Securities America. (Ordered by Judge Royal Furgeson on 3/21/2011)(mfw) (Entered: 03/21/2011)

03/21/2011 102 MEDIATION ORDER. The court appoints James M Rosenbaum as mediator.Alternative Dispute Resolution Summary form provided electronically or by US Mailas appropriate. Deadline for mediation is on or before 3/24/2011. (Ordered by JudgeRoyal Furgeson on 3/21/2011) (mfw) (Entered: 03/21/2011)

03/21/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 102. Mon Mar 2116:28:25 CDT 2011 (crt) (Entered: 03/21/2011)

03/29/2011 103 NOTICE OF FILING OF OFFICIAL ELECTRONIC TRANSCRIPT of Motion toApprove Conditional Class Action Settlement Proceedings held on 3-18-2011 beforeJudge Furgeson. Court Reporter/Transcriber Cassidi Casey, Telephone [email protected]. Parties are notified of their duty to review the transcript. A copymay be purchased from the court reporter or viewed at the clerk's office publicterminal. If redaction is necessary, a Redaction Request - Transcript must be filedwithin 21 days. If no such Request is filed, the transcript will be made available viaPACER without redaction after 90 calendar days. If redaction request filed, thistranscript will not be accessible via PACER; see redacted transcript. The clerk willmail a copy of this notice to parties not electronically noticed. (293 pages) RedactionRequest due 4/19/2011. Redacted Transcript Deadline set for 4/29/2011. Release ofTranscript Restriction set for 6/27/2011. (clc) (Entered: 03/29/2011)

04/18/2011 104 MOTION FOR PRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENTWITH SECURITIES AMERICA, INC., SECURITIES AMERICA FINANCIALCORPORATION AND AMERIPRISE FINANCIAL, INC. filed by Kreindel Trust(Attachments: # 1 Proposed Order) (Girard, Daniel) (Entered: 04/18/2011)

04/18/2011 105 Brief/Memorandum in Support filed by Kreindel Trust re 104 MOTION FORPRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENT WITHSECURITIES AMERICA, INC., SECURITIES AMERICA FINANCIALCORPORATION AND AMERIPRISE FINANCIAL, INC. (Girard, Daniel) (Entered:04/18/2011)

04/18/2011 106 Appendix in Support filed by Kreindel Trust re 104 MOTION FOR PRELIMINARYAPPROVAL OF CLASS ACTION SETTLEMENT WITH SECURITIESAMERICA, INC., SECURITIES AMERICA FINANCIAL CORPORATION ANDAMERIPRISE FINANCIAL, INC., 105 Brief/Memorandum in Support of Motion(Girard, Daniel) (Entered: 04/18/2011)

04/18/2011 107 CERTIFICATE OF SERVICE by Kreindel Trust re 104 MOTION FORPRELIMINARY APPROVAL OF CLASS ACTION SETTLEMENT WITHSECURITIES AMERICA, INC., SECURITIES AMERICA FINANCIALCORPORATION AND AMERIPRISE FINANCIAL, INC., 105 Brief/Memorandumin Support of Motion, 106 Appendix in Support, (Girard, Daniel) (Entered:04/18/2011)

04/22/2011 108 1 ELECTRONIC ORDER: It is hereby ORDERED that the above-styled and numbered

case is set for hearing on Motion for Preliminary Approval of Class Action Settlementon Friday, April 29, 2011 at 10:00 a.m. in Courtroom 1310. (Ordered by Judge RoyalFurgeson on 4/22/2011) (chmb) (Entered: 04/22/2011)

04/22/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 108. Fri Apr 2210:54:45 CDT 2011 (crt) (Entered: 04/22/2011)

05/02/2011 ELECTRONIC Minute Entry for proceedings held before Judge Royal Furgeson:Motion Hearing held on 4/26/2011 re 104 Motion for Miscellaneous Relief filed byKreindel Trust. (Court Reporter: Cass Casey) (No exhibits) Time in Court - :12.(chmb) (Entered: 05/02/2011)

05/05/2011 109 ORDER PRELIMINARILY CERTIFYING CLASSES FOR SETTLEMENTPURPOSES, GRANTING 104 PRELIMINARY APPROVAL OF SETTLEMENT,AND APPROVING CLASS NOTICE. (Ordered by Judge Royal Furgeson on5/5/2011) (tln) (Entered: 05/05/2011)

05/05/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 109. Thu May 515:28:17 CDT 2011 (crt) (Entered: 05/05/2011)

05/26/2011 110 ORDER SETTING SCHEDULE FOR BRIEFING ON FINAL APPROVAL OFPROPOSED SETTLEMENT AND PETITIONS FOR ATTORNEYS' FEES:Plaintiffs' Class Counsel's motion for final approval of the proposed settlement shallbe filed on or before 6/14/2011. Any responsive briefing as to final approval of theproposed settlement and any petitions for attorneys' fees and costs shall be filed on orbefore 7/18/2011. (Ordered by Judge Royal Furgeson on 5/26/2011) (anf) (Entered:05/27/2011)

05/27/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 110. Fri May 2714:34:25 CDT 2011 (crt) (Entered: 05/27/2011)

06/01/2011 111 Correspondence filed by Thomas M Simon, Germaine I Simon (mfw) (Entered:06/02/2011)

06/14/2011 112 MOTION for Attorney Fees and Reimbursement of Expenses filed by Kreindel Trust(Attachments: # 1 Proposed Order) (Salvetti, Susan) (Entered: 06/14/2011)

06/14/2011 113 Brief/Memorandum in Support filed by Kreindel Trust re 112 MOTION for AttorneyFees and Reimbursement of Expenses (Salvetti, Susan) (Entered: 06/14/2011)

06/14/2011 114 Appendix in Support filed by Kreindel Trust re 113 Brief/Memorandum in Support ofMotion, 112 MOTION for Attorney Fees and Reimbursement of Expenses(Attachments: # 1 Appendix part 2, # 2 Appendix part 3) (Salvetti, Susan) (Entered:06/14/2011)

06/14/2011 115 CERTIFICATE OF SERVICE by Kreindel Trust re 113 Brief/Memorandum inSupport of Motion, 114 Appendix in Support, 112 MOTION for Attorney Fees andReimbursement of Expenses (Salvetti, Susan) (Entered: 06/14/2011)

06/14/2011 116 MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT WITHSECURITIES AMERICA, INC., SECURITIES AMERICA FINANCIALCORPORATION AND AMERIPRISE FINANCIAL, INC. filed by Kreindel Trust(Attachments: # 1 Proposed Order) (Girard, Daniel) (Entered: 06/14/2011)

06/14/2011 117 Brief/Memorandum in Support filed by Kreindel Trust re 116 MOTION FOR FINALAPPROVAL OF CLASS ACTION SETTLEMENT WITH SECURITIESAMERICA, INC., SECURITIES AMERICA FINANCIAL CORPORATION ANDAMERIPRISE FINANCIAL, INC. (Girard, Daniel) (Entered: 06/14/2011)

06/14/2011 118 Appendix in Support filed by Kreindel Trust re 116 MOTION FOR FINALAPPROVAL OF CLASS ACTION SETTLEMENT WITH SECURITIESAMERICA, INC., SECURITIES AMERICA FINANCIAL CORPORATION ANDAMERIPRISE FINANCIAL, INC. (Attachments: # 1 Appendix Continued, # 2Appendix Continued, # 3 Appendix Continued) (Girard, Daniel) (Entered:06/14/2011)

06/14/2011 119 CERTIFICATE OF SERVICE by Kreindel Trust re 116 MOTION FOR FINALAPPROVAL OF CLASS ACTION SETTLEMENT WITH SECURITIESAMERICA, INC., SECURITIES AMERICA FINANCIAL CORPORATION ANDAMERIPRISE FINANCIAL, INC. (Girard, Daniel) (Entered: 06/14/2011)

07/05/2011 120 ORDER/NOTICE OF CHANGE OF FAIRNESS HEARING DATE: It is Orderedthat the 7/25/2011 hearing is Postponed. The Court is currently coordinating withcounsel to establish a new hearing date, and shall issue an order regarding therescheduling of the Final Fairness Hearing in short order. (Ordered by Judge RoyalFurgeson on 7/5/2011) (skt) (Entered: 07/05/2011)

07/05/2011 I ***Clerk's Notice of delivery: (see NEF for details) Docket No: 120. Tue Jul 516:01:34 CDT 2011 (crt) (Entered: 07/05/2011)

07/07/2011 121 ORDER RESETTING FAIRNESS HEARING DATE: Fairness Hearing reset for7/27/201108:30 AM before Judge Royal Furgeson. (Ordered by Judge RoyalFurgeson on 7/7/2011) (ndt) (Entered: 07/07/2011)

07/07/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 121. Thu Jul 709:41:30 CDT 2011 (crt) (Entered: 07/07/2011)

07/07/2011 122 OBJECTION filed by Office of the Commissioner of Securities and Insurance re: 109Order (twd) (Entered: 07/07/2011)

07/18/2011 123 REPLY filed by Kreindel Trust re: 116 MOTION FOR FINAL APPROVAL OFCLASS ACTION SETTLEMENT WITH SECURITIES AMERICA, INC.,SECURITIES AMERICA FINANCIAL CORPORATION AND AMERIPRISEFINANCIAL, INC. (Girard, Daniel) (Entered: 07/18/2011)

07/18/2011 124 REPLY filed by Kreindel Trust re: 112 MOTION for Attorney Fees andReimbursement of Expenses (Girard, Daniel) (Entered: 07/18/2011)

07/18/2011 125 Supplemental Appendix in Support filed by Kreindel Trust re 123 Reply, 124 Reply(Girard, Daniel) (Entered: 07/18/2011)

07/18/2011 126 CERTIFICATE OF SERVICE by Kreindel Trust re 123 Reply, 124 Reply, 125Appendix in Support, (Girard, Daniel) (Entered: 07/18/2011)

07/25/2011 127 Joint NOTICE of Stipulation Concerning Attorneys Fees filed by Kreindel Trust(Attachments: # 1 Certificate of Service) (Girard, Daniel) (Entered: 07/25/2011)

07/26/2011 128 ORDER DENYING AS MOOT JOINT APPLICATION OF OBJECTORS'

COUNSEL FOR AN AWARD OF ATTORNEYS' FEES. (Ordered by Judge RoyalFurgeson on 7/26/2011) (Ordered by Judge Royal Furgeson on 7/26/2011) (mfw)Modified per chambers on 7/28/2011 (skt). (Entered: 07/27/2011)

07/27/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 128. Wed Jul 2708:34:34 CDT 2011 (crt) (Entered: 07/27/2011)

07/27/2011 ELECTRONIC Minute Entry for proceedings held before Judge Royal Furgeson:Hearing on Motion for Final Approval of Class Action Settlement with SecuritiesAmerica, Inc., Securities America Financial Corporation and Ameriprise Financial,Inc., held on 7/27/2011. Court to enter order to this effect next week. Courts in recess.(Court Reporter: Cass Casey) (No exhibits) Time in Court - :05. (chmb) (Entered:07/27/2011)

07/27/2011 129 Declaration of Nicholas T. Christakos. (axm) (Entered: 07/28/2011)

08/04/2011 130 ORDER granting 112 Motion for Attorneys' Fees and Reimbursement of Expenses.(Ordered by Judge Royal Furgeson on 8/4/2011) (tln) (Entered: 08/04/2011)

08/04/2011 I ***Clerk's Notice of delivery: (see NEF for details) Docket No: 130. Thu Aug 416:04:53 CDT 2011 (crt) (Entered: 08/04/2011)

08/04/2011 131 ORDER granting 116 MOTION FOR FINAL APPROVAL OF CLASS ACTIONSETTLEMENT WITH SECURITIES AMERICA, INC., SECURITIES AMERICAFINANCIAL CORPORATION AND AMERIPRISE FINANCIAL, INC. (Ordered byJudge Royal Furgeson on 8/4/2011) (tln) (Entered: 08/04/2011)

08/04/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 131. Thu Aug 416:10:21 CDT 2011 (crt) (Entered: 08/04/2011)

08/04/2011 132 JOINT MOTION FOR SEVERANCE AND CONSOLIDATION filed by KreindelTrust (Attachments: # 1 Proposed Order) (Girard, Daniel) (Entered: 08/04/2011)

08/05/2011 133 ORDER granting in part and denying in part 132 JOINT MOTION FORSEVERANCE AND CONSOLIDATION. (Ordered by Judge Royal Furgeson on8/5/2011) (mcr) (Entered: 08/08/2011)

08/08/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 133. Mon Aug 809:09:55 CDT 2011 (crt) (Entered: 08/08/2011)

08/09/2011 134 ORDER OF FINAL JUDGMENT IN ACCORDANCE WITH FEDERAL RULE OFCIVIL PROCEDURE 58: It is ORDERED that final judgment is GRANTED in thiscase, and this case may accordingly be closed and appealed. The Clerk of the Court isinstructed to CLOSE this action. (Ordered by Judge Royal Furgeson on 8/9/2011)(mfw) (Entered: 08/09/2011)

08/09/2011 135 ORDER OF FINAL SETTLEMENT APPROVAL AND JUDGMENT: This Order ofFinal Settlement Approval and Judgment resolves claims against the SettlingDefendants, who are the only remaining Defendants in this action. The Court hasreviewed this case and has determined that no issues remain to be addressed and nofurther relief remains to be granted. Accordingly, the Clerk of the Court is ORDEREDto CLOSE this action. (Ordered by Judge Royal Furgeson on 8/9/2011) (mfw)(Entered: 08/09/2011)

08/09/2011 ***Clerk's Notice of delivery: (see NEF for details) Docket No: 134,135. Tue Aug 912:28:26 CDT 2011 (crt) (Entered: 08/09/2011)

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