U.S. District Court Southern District of New York (Foley...

US District Court Civil Docket as of July 27, 2018 Retrieved from the court on July 27, 2018

U.S. District Court Southern District of New York (Foley Square)

CIVIL DOCKET FOR CASE #: 1:13-cv-01213-DLC

Miller v. Poseidon Concepts Corp. et al Assigned to: Judge Denise L. Cote Related Case: 1:13-cv-01412-DLC

Cause: 15:78m(a) Securities Exchange Act

Date Filed: 02/22/2013 Date Terminated: 07/27/2018 Jury Demand: Plaintiff Nature of Suit: 890 Other Statutory Actions Jurisdiction: Federal Question

Lead Plaintiff Gerald Kolar represented by Jonathan Richard Horne

The Rosen Law Firm, P.A. 275 Madison Avenue, 34th Floor New York, NY 00000 (212)-686-2603 Fax: (212)-202-3827 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Phillip C. Kim The Rosen Law Firm P.A. 350 5th Avenue, Suite 5508 New York, NY 10118 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Timothy William Brown The Brown Law Firm 127A Cove Road Oyster Bay Cove, NY 11771 516-922-5427 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Michael Miller Individually and on behalf of all others similarly situated TERMINATED: 12/01/2015

represented by Laurence Matthew Rosen The Rosen Law Firm, P.A. (NYC) 275 Madison Avenue, 34th Floor New York,, NY 10016 (212)-686-1060 Fax: (212)-202-3827 Email: [email protected] ATTORNEY TO BE NOTICED Phillip C. Kim (See above for address) ATTORNEY TO BE NOTICED

V.

Consolidated Plaintiff Tony J. Trunkel represented by Jeremy Alan Lieberman

Pomerantz LLP 600 Third Avenue, 20th Floor New York, NY 10016 (212)-661-1100 Fax: (212)-661-8665 Email: [email protected] ATTORNEY TO BE NOTICED Marc Ian Gross Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor New York, NY 10017 (212)661-1100 Fax: (212) 661-8665 Email: [email protected] TERMINATED: 10/30/2015

V.

Movant Mr. Leon Rothenberg represented by Joshua Wolf Ruthizer

Wolf Popper LLP 845 Third Avenue New York, NY 10022 (212) 759-4600 x9668 Fax: (212) 486-2093 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Lester L. Levy , Sr

Wolf Popper LLP 845 Third Avenue New York, NY 10022 (212) 759-4600 Fax: (212) 486-2093 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant The Mark D. Witmer Revocable Trust UA 12/17/2009

represented by Joshua Wolf Ruthizer (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Lester L. Levy , Sr (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant Stephen glick represented by Jeremy Alan Lieberman

(See above for address) ATTORNEY TO BE NOTICED

Movant Dr. Paul Wilson represented by Jeremy Alan Lieberman


Movant Daniel Holoubek represented by Jeremy Alan Lieberman


Movant Leonard Holoubek represented by Jeremy Alan Lieberman


Movant Poseidon Investor Group represented by Poseidon Investor Group

PRO SE

Movant Don Shooke represented by Gregory Bradley Linkh

Glancy Binkow & Goldberg LLP (NYC2) 77 Water Street, 7th Floor

New York, NY 10005 (646) 722-4180 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant Poseidon Concepts Corp. TERMINATED: 12/01/2015

represented by Paul Thomas Curley Kaufman, Borgeest & Ryan, LLP 200 Summit Lake Drive Valhalla, NY 10595 212-980-9600 Fax: 212-980-9291 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Patrick Stoltz Landman Corsi Ballaine & Ford PC 120 Broadway New York, NY 10271 (212)-238-4800 Fax: (212)-238-4848 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant A. Scott Dawson represented by Paul Thomas Curley

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Patrick Stoltz (See above for address) ATTORNEY TO BE NOTICED

Defendant Lyle D. Michaluk represented by Paul Thomas Curley


Defendant

Clifford L. Wiebe represented by Paul Thomas Curley (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Patrick Stoltz (See above for address) ATTORNEY TO BE NOTICED

Defendant Harley L. Winger represented by Paul Thomas Curley


Defendant Dean R. Jensen represented by Paul Thomas Curley


Defendant Neil Richardson represented by Paul Thomas Curley


Defendant Matt C. Mackenzie represented by Paul Thomas Curley


Defendant

Jim S. Mckee TERMINATED: 12/01/2015

represented by Paul Thomas Curley (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Patrick Stoltz (See above for address) ATTORNEY TO BE NOTICED

Defendant KPMG LLP (Canada) TERMINATED: 06/23/2016

represented by John F. Hartmann Kirkland & Ellis LLP (IL) 200 East Randolph Drive Chicago, IL 60601-6636 (312) 861-2000 Fax: (312)-861-2200 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Joshua Z. Rabinovitz Kirkland & Ellis LLP (IL) 300 North LaSalle Street Chicago, IL 60654 (312)-862-2000 Fax: (312)-862-2200 Email: [email protected] ATTORNEY TO BE NOTICED Nathaniel Jacob Kritzer Kirkland & Ellis LLP (NYC) 601 Lexington Avenue New York, NY 10022 (212)-446-4800 Fax: (212)-446-4900 Email: [email protected] ATTORNEY TO BE NOTICED

Date Filed # Docket Text

02/22/2013 1 COMPLAINT against A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Filing Fee $ 350.00, Receipt Number 465401060865)Document filed by Michael Miller.(cde) (Entered: 02/26/2013)

02/22/2013 SUMMONS ISSUED as to A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (cde) (Entered: 02/26/2013)

02/22/2013 Magistrate Judge James L. Cott is so designated. (cde) (Entered: 02/26/2013)

02/22/2013 Case Designated ECF. (cde) (Entered: 02/26/2013)

02/22/2013 2 STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (cde) (Entered: 02/26/2013)

03/08/2013 3 ORDER: Miller's counsel published the required notice on February 23, 2013. Members of the purported class therefore have until April 24, 2013 to move the Court to serve as lead plaintiffs. Accordingly, it is hereby ORDERED that a conference shall be held at 10:30 a.m. on May 17, 2013 in Courtroom 15B, United States Courthouse, 500 Pearl Street, New York, New York to consider any motions for appointment of lead plaintiff and lead counsel and for consolidation. IT IS FURTHER ORDERED that opposition to any motion for appointment of lead plaintiff shall be served and filed by May 10, 2013. IT IS FURTHER ORDERED that the named plaintiffs shall promptly serve a copy of this Order on each of the defendants. Motions due by 4/24/2013. Responses due by 5/10/2013 Status Conference set for 5/17/2013 at 10:30 AM in Courtroom 15B, 500 Pearl Street, New York, NY 10007 before Judge Denise L. Cote. (Signed by Judge Denise L. Cote on 3/8/2013) (ft) (Entered: 03/08/2013)

04/01/2013 4 SUMMONS RETURNED EXECUTED. Neil Richardson served on 3/26/2013, answer due 4/16/2013. Document filed by Michael Miller. (Kim, Phillip) (Entered: 04/01/2013)

04/10/2013 5 SUMMONS RETURNED EXECUTED Summons and Complaint, served. Poseidon Concepts Corp. served on 4/4/2013, answer due 4/25/2013. Service was accepted by Leonora Riti, of Registered Office of Poseidon Concepts Corp.. Document filed by Michael Miller. (Kim, Phillip) (Entered: 04/10/2013)

04/17/2013 6 ENDORSED LETTER addressed to Judge Denise L. Cote from Paul T. Curley dated 4/16/2013 re: Poseidon and Mr. Richardson respectfully request that the Court extend their to time to respond to the Complaint until after the appointment of lead plaintiff and lead counsel and service of a consolidated amended complaint, following which Poseidon and Mr. Richardson and lead plaintiff will submit to the Court a proposed briefing schedule for Poseidon and Mr. Richardson's motion to dismiss the consolidated amended complaint. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 4/17/2013) (lmb) (Entered: 04/17/2013)

04/24/2013 7 MOTION to Consolidate Cases 13cv1412., MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead

plaintiff(s)., MOTION to Appoint Counsel. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. Return Date set for 5/17/2013 at 10:30 AM.(Levy, Lester) (Entered: 04/24/2013)

04/24/2013 8 MEMORANDUM OF LAW in Support re: 7 MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s).. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Levy, Lester) (Entered: 04/24/2013)

04/24/2013 9 DECLARATION of Lester L. Levy in Support re: 7 MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s).. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Attachments: # 1 Exhibit Ex. A, # 2 Exhibit Ex. B, # 3 Exhibit Ex. C, # 4 Exhibit Ex. D, # 5 Exhibit Ex. E, # 6 Exhibit Ex. F, # 7 Exhibit Ex. G, # 8 Exhibit Ex. H, # 9 Exhibit Ex. I, # 10 Exhibit Ex. J, # 11 Exhibit Ex. K)(Levy, Lester) (Entered: 04/24/2013)

04/24/2013 10 MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv-01412., MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s)., MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. Document filed by Stephen glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek. (Attachments: # 1 Text of Proposed Order)(Lieberman, Jeremy) (Entered: 04/24/2013)

04/24/2013 11 MEMORANDUM OF LAW in Support re: 10 MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv-01412. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s).. Document filed by Poseidon Investor Group. (Attachments: # 1 Exhibit A, Press Release, # 2 Exhibit B, Certifications, # 3 Exhibit C, Loss Chart, # 4 Exhibit D, Firm Resume)(Lieberman, Jeremy) (Entered: 04/24/2013)

04/24/2013 12 MOTION to Appoint Counsel., MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. Document filed by Don Shooke.(Linkh, Gregory) (Entered: 04/24/2013)

04/24/2013 13 MEMORANDUM OF LAW in Support re: 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as

Lead Plaintiff and Approval of Lead Counsel].. Document filed by Don Shooke. (Linkh, Gregory) (Entered: 04/24/2013)

04/24/2013 14 DECLARATION of Gregory Linkh in Support re: 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel].. Document filed by Don Shooke. (Attachments: # 1 Exhibit A - Press Release, # 2 Exhibit B - Shareholder Certification, # 3 Exhibit C - Table of Losses, # 4 Exhibit D - GBG Firm Resume)(Linkh, Gregory) (Entered: 04/24/2013)

04/24/2013 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A., MOTION to Appoint Lead Plaintiff., MOTION to Consolidate Cases. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 04/24/2013)

04/24/2013 16 MEMORANDUM OF LAW in Support re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Gerald Kolar. (Kim, Phillip) (Entered: 04/24/2013)

04/24/2013 17 DECLARATION of Phillip Kim in Support re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) (Entered: 04/24/2013)

04/26/2013 18 CERTIFICATE OF SERVICE of Motion for Consolidation, Appointment as Lead Plaintiff, and Approval of Counsel, and supporting documents served on Michael Miller, Gerald Kolar, the Poseidon Investor Group, Tony J. Trunkel, Don Shooke, Poseidon Concepts Corp., A. Scott Dawson, Lyle D. Michaluk, Clifford L. Wiebe, Harley L. Winger, Dean R. Jensen, Neil Richardson, Matt C. Mackenzie, and Jim S. Mckee on April 24, 2013 and April 25, 2013. Service was made by Mail. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Ruthizer, Joshua) (Entered: 04/26/2013)

05/10/2013 19 NOTICE of of Withdrawal of Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff, and Approval of Lead Counsel re: 14 Declaration in Support of Motion,, 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]., 13 Memorandum of Law in Support of Motion,,. Document filed by Don Shooke. (Linkh, Gregory) (Entered: 05/10/2013)

05/10/2013 20 MEMORANDUM OF LAW in Opposition re: 10 MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv-01412. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek,

Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s)., 7 MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s)., 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel].. Document filed by Gerald Kolar. (Kim, Phillip) (Entered: 05/10/2013)

05/10/2013 21 MEMORANDUM OF LAW in Opposition re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases., 10 MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv-01412. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s)., 12 MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel].. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Levy, Lester) (Entered: 05/10/2013)

05/14/2013 22 CERTIFICATE OF SERVICE of MEMORANDUM OF LAW on May 10, 2013 and May 13, 2013. Service was made by Mail. Document filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Ruthizer, Joshua) (Entered: 05/14/2013)

05/16/2013 23 NOTICE OF APPEARANCE by Joshua Wolf Ruthizer on behalf of Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009 (Ruthizer, Joshua) (Entered: 05/16/2013)

05/17/2013 Minute Entry for proceedings held before Judge Denise L. Cote: Motion Hearing held on 5/17/2013 re: (15 in 1:13-cv-01213-DLC, 15 in 1:13-cv-01213-DLC, 15 in 1:13-cv-01213-DLC) MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases. filed by Gerald Kolar, (10 in 1:13-cv-01213-DLC, 10 in 1:13-cv-01213-DLC, 10 in 1:13-cv-01213-DLC) MOTION to Consolidate Cases 1:13-cv-12313; 1:13-cv-01412. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). MOTION to Appoint Counsel Pomerantz Grossman Hufford Dahlstrom & Gross LLP. MOTION to Appoint Stephen Glick, Paul Wilson, Daniel Holoubek, Leonard Holoubek ("Poseidon Investor Group") to serve as lead plaintiff(s). filed by Daniel Holoubek,

Paul Wilson, Leonard Holoubek, Stephen glick, (7 in 1:13-cv-01213-DLC, 7 in 1:13-cv-01213-DLC, 7 in 1:13-cv-01213-DLC) MOTION to Consolidate Cases 13cv1412. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009, (12 in 1:13-cv-01213-DLC, 12 in 1:13-cv-01213-DLC) MOTION to Appoint Counsel. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. MOTION to Consolidate Cases 1:13-cv-01213-DLC and 1:13-cv-01412-DLC [Notice of Motion and Motion of Don Shooke for Consolidation of Related Actions, Appointment as Lead Plaintiff and Approval of Lead Counsel]. filed by Don Shooke, (5 in 1:13-cv-01412-DLC, 5 in 1:13-cv-01412-DLC, 5 in 1:13-cv-01412-DLC) MOTION to Consolidate Cases 13cv1213. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Leon Rothenberg and the Mark D. Witmer Revocable Trust UA 12/17/2009 to serve as lead plaintiff(s). filed by Leon Rothenberg, The Mark D. Witmer Revocable Trust UA 12/17/2009. (Court Reporter Khris Sellin) (gr) (Entered: 05/17/2013)

05/17/2013 24 CASE MANAGEMENT ORDER: The Court having conducted a pretrial conference on May 17, 2013 to address the motions for appointment of lead plaintiff and lead counsel in the class action brought against defendants Poseidon Concepts Corp., A. Scott Dawson, Lyle D. Michaluk, Clifford L. Wiebe, Harley L. Winter, Dean R. Jensen, Neil Richardson, Matt C. MacKenzie, and Jim S. McKee, it is hereby ORDERED as follows: Gerald Kolar is appointed Lead Plaintiff. The Rosen Law Firm, P.A. shall serve as Lead Counsel for all plaintiffs in this action and the class as further set forth in this order. For the reasons stated on the record, this case is stayed as to all defendants. Lead Plaintiff shall submit a status report no later than September 13, 2013. Notwithstanding the stay, Lead Plaintiff shall file a consolidated amended complaint for this action and any actions subsequently consolidated with it on or before June 14, 2013. Pending filing and service of the consolidated amended complaint, defendants shall have no obligation to move, answer, or otherwise respond to any complaints in any actions subsequently consolidated with this action., ( Amended Pleadings due by 6/14/2013.) (Signed by Judge Denise L. Cote on 5/17/2013) (lmb) (Entered: 05/17/2013)

05/21/2013 25 DECLARATION of Phillip Kim in Support re: 15 MOTION to Appoint Counsel the Rosen Law Firm, P.A. MOTION to Appoint Lead Plaintiff. MOTION to Consolidate Cases.. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, Declaration of Gerald Kolar)(Kim, Phillip) (Entered: 05/21/2013)

06/14/2013 26 NOTICE OF APPEARANCE by Timothy William Brown on behalf of Gerald Kolar (Brown, Timothy) (Entered: 06/14/2013)

06/14/2013 27 CONSOLIDATED AMENDED COMPLAINT amending 1 Complaint, against A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L.

Winger with JURY DEMAND.Document filed by Gerald Kolar. Related document: 1 Complaint, filed by Michael Miller.(mro) (Entered: 06/18/2013)

06/19/2013 28 NOTICE OF APPEARANCE by Patrick Stoltz on behalf of A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Stoltz, Patrick) (Entered: 06/19/2013)

06/19/2013 29 NOTICE OF APPEARANCE by Paul Thomas Curley on behalf of A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Curley, Paul) (Entered: 06/19/2013)

06/19/2013 30 ACKNOWLEDGMENT OF SERVICE. All Defendants. Service was accepted by Patrick Stoltz. Document filed by Gerald Kolar. (Brown, Timothy) (Entered: 06/19/2013)

06/20/2013 31 FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT #32) NOTICE of Notice of Bankruptcy, Preliminary Injunction Order, and Order Granting Recognition as a Foreign Main Proceeding and Related Relief. Document filed by Poseidon Concepts Corp.. (Attachments: # 1 Exhibit Ex. 1, # 2 Exhibit Ex. 2, # 3 Exhibit Ex. 3)(Stoltz, Patrick) Modified on 6/28/2013 (lb). (Entered: 06/20/2013)

06/25/2013 32 NOTICE of Notice of Bankruptcy, Preliminary Injunction Order and Order Granting Recognition as a Foreign Main Proceeding and Related Relief. Document filed by Poseidon Concepts Corp.. (Attachments: # 1 Exhibit Ex. 1, # 2 Exhibit Ex. 2, # 3 Exhibit Ex. 3, # 4 Exhibit Ex. 4-A, # 5 Exhibit Ex. 4-B, # 6 Exhibit Ex. 5-A, # 7 Exhibit Ex. 5-B, # 8 Exhibit Ex. 6, # 9 Exhibit Ex. 7, # 10 Exhibit Ex. 8, # 11 Exhibit Ex. 9)(Stoltz, Patrick) (Entered: 06/25/2013)

07/11/2013 33 LETTER addressed to Judge Cote from Patrick Stoltz dated 7/9/2013 re: We represent the Defendants, Poseidon Concepts Corp., et al., in the above-referenced matter. We respectfully provide the Court with the following update concerning the stay of legal proceedings against Defendants imposed by the Court of Queen's Bench of Alberta in accordance with the Companies' Creditors Arrangement Act,l R.S.C. 1985, c. C-36, as amended (the "CCAA") (the "Canadian Bankruptcy Proceedings"). (gr) (Entered: 07/11/2013)

09/13/2013 34 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit Order filed by Court of Queens' Bench of Alberta, Calgary Division, dated September 12, 2013)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Brown, Timothy) Modified on 9/16/2013 (ka). (Entered: 09/13/2013)

09/16/2013 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Note to Attorney Timothy William Brown to RE-FILE Document 34 Status Report. Use the event type Letter found under the event list Other Documents. (ka) (Entered: 09/16/2013)

09/16/2013 35 ENDORSED LETTER addressed to Judge Denise L. Cote from Timothy W. Brown dated 9/13/2013 re: Pursuant to the Court's order dated May 17, 2013, Lead Plaintiff hereby submits this status report. ENDORSEMENT: Plaintiffs shall promptly advise

the Court of the date on which the Canadian stay is lifted. Status report is due 1/13/14. (Signed by Judge Denise L. Cote on 9/16/2013) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 09/16/2013)

01/13/2014 36 LETTER addressed to Judge Denise L. Cote from Timothy W. Brown, Esq. dated January 13, 2014 re: Status Report. Document filed by Gerald Kolar. (Attachments: # 1 Enclosure)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Brown, Timothy) (Entered: 01/13/2014)

01/14/2014 37 ENDORSED LETTER addressed to Judge Denise L. Cote from Timothy W. Brown dated 1/13/2014 re: Pursant to the Court's order dated September 16, 2013, Lead Plaintiff submits status report. ENDORSEMENT: A status report is due 5/1/14. (Signed by Judge Denise L. Cote on 1/14/2014) (gr) (Entered: 01/14/2014)

01/14/2014 38 NOTICE of Withdrawal of Timothy W. Brown as attorney for Plaintiffs. Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Brown, Timothy) (Entered: 01/14/2014)

04/30/2014 39 TRANSCRIPT of Proceedings re: CONFERENCE held on 5/17/2013 before Judge Denise L. Cote. Court Reporter/Transcriber: Khristine Sellin, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 5/27/2014. Redacted Transcript Deadline set for 6/5/2014. Release of Transcript Restriction set for 8/1/2014.Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(McGuirk, Kelly) (Entered: 04/30/2014)

04/30/2014 40 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 5/17/2013 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(McGuirk, Kelly) (Entered: 04/30/2014)

05/01/2014 41 STATUS REPORT. Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 05/01/2014)

05/02/2014 42 ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated 5/1/2014 re: Status Report. ENDORSEMENT: Plaintiffs' counsel shall advise the Court promptly after the Canadian stay is lifted, and in any event will provide a status report by 9/15/2014. (Signed by Judge Denise L. Cote on 5/2/2104) (gr) (Entered: 05/02/2014)

06/26/2014 43 STATUS REPORT. pursuant to the Court's May 2 order Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 06/26/2014)

06/27/2014 44 PRETRIAL SCHEDULING ORDER... In a letter of June 26, 2014, plaintiff has advised that the stay on the Canadian action expired on June 24, 2014. Accordingly, it is hereby ORDERED that the stay in these consolidated actions is lifted. IT IS FURTHER ORDERED that defendants must answer or otherwise respond to the

Complaint by July 25, 2014. IT IS FURTHER ORDERED that, if defendants move to dismiss any of the claims in the Complaint on July 25, 2014, any opposition shall be served by August 15, 2014, and any reply shall be served by August 29, 2014.... IT IS FURTHER ORDERED that, in the event that defendants answer the Complaint on July 25, 2014, an initial pretrial conference shall be held on August 22, 2014 at 9:30 a.m. (Signed by Judge Denise L. Cote on 6/27/2014) (gr) Modified on 6/27/2014 (gr). (Entered: 06/27/2014)

07/11/2014 45 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated July 11, 2014 re: Stay of proceedings. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 07/11/2014)

07/11/2014 46 LETTER addressed to Judge Denise L. Cote from Patrick Stoltz dated July 11, 2014 re: Response to Plaintiff's Letter dated July 11, 2014 (ECF Doc. No. 45). Document filed by A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Jim S. Mckee, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger.Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Stoltz, Patrick) (Entered: 07/11/2014)

07/11/2014 47 ORDER REINSTATING STAY AND VACATING SCHEDULING ORDER....The plaintiff will provide the Court with a status report on or before October 31, 2014 (Signed by Judge Denise L. Cote on 7/11/2014) (gr) (Entered: 07/11/2014)

10/31/2014 48 STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Text of Proposed Order)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 10/31/2014)

11/03/2014 49 ORDER EXTENDING STAY...The stay of the above-captioned action is extended to November 14, 2014. Lead Plaintiff shall provide the Court with a status report on or before November 14, 2014. (Signed by Judge Denise L. Cote on 11/3/2014) (gr) (Entered: 11/03/2014)

11/14/2014 50 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated November 14, 2014 re: Court-ordered status report (dkt. # 49) and unopposed request to extend the stay in this action. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Text of Proposed Order)(Horne, Jonathan) (Entered: 11/14/2014)

11/17/2014 51 ORDER EXTENDING STAY...The stay of the above captioned action is extended to February 27, 2015. Lead Plaintiff shall provide the Court with a status report on or before February 27, 2015. (Signed by Judge Denise L. Cote on 11/17/2014) (gr) (Entered: 11/17/2014)

02/27/2015 52 STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 02/27/2015)

03/02/2015 53 ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne re: That this action be stayed until March 31, 2015, like the Canadian Class Action against the Canadian Poseidon Defendants. Defendants to not oppose this relief. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 3/2/2015) Filed In

Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 03/02/2015)

03/31/2015 54 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated March 31, 2015 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 03/31/2015)

04/01/2015 55 ORDER EXTENDING STAY to April 30, 2015. Lead Plaintiff shall provide the Court with a status report on or before 5/8/15. (Signed by Judge Denise L. Cote on 4/1/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 04/01/2015)


05/11/2015 57 ORDER EXTENDING STAY. Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ordered: 1. The stay of the above captioned action is extended to June 5, 2015. 2. Lead Plaintiff shall provide the Court with a status report on or before June 5, 2015. (Signed by Judge Denise L. Cote on 5/11/2015) (gr) (Entered: 05/11/2015)

05/15/2015 58 MOTION for Leave to File Amended Complaint ., MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv-01213-DLC) Amended Complaint, . Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 05/15/2015)

05/15/2015 59 MEMORANDUM OF LAW in Support re: (58 in 1:13-cv-01213-DLC, 58 in 1:13-cv-01213-DLC, 26 in 1:13-cv-01412-DLC, 26 in 1:13-cv-01412-DLC) MOTION for Leave to File Amended Complaint . MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv-01213-DLC) Amended Complaint, . . Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 05/15/2015)

05/15/2015 60 DECLARATION of Jonathan Horne in Support re: (58 in 1:13-cv-01213-DLC, 58 in 1:13-cv-01213-DLC, 26 in 1:13-cv-01412-DLC, 26 in 1:13-cv-01412-DLC) MOTION for Leave to File Amended Complaint . MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv-01213-DLC) Amended Complaint, .. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 05/15/2015)

05/20/2015 61 ORDER. On May 15, 2015, lead plaintiff filed a motion (1) to lift the stay to permit this action to proceed against defendant KPMG LLP and (2) for leave to amend. Accordingly, it is hereby ORDERED that any partys opposition to lead plaintiffs motion must be submitted by May 29. Lead plaintiffs reply, if any, must be submitted by June 5.... (Signed by Judge Denise L. Cote on 5/20/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 05/20/2015)

05/29/2015 62 MEMORANDUM OF LAW in Opposition re: (26 in 1:13-cv-01412-DLC, 26 in 1:13-cv-01412-DLC) MOTION for Leave to File Amended Complaint . MOTION

partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv-01213-DLC) Amended Complaint, . . Document filed by Jim S. Mckee, A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger. Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Stoltz, Patrick) (Entered: 05/29/2015)

05/29/2015 63 DECLARATION of Patrick Stoltz in Opposition re: (26 in 1:13-cv-01412-DLC, 26 in 1:13-cv-01412-DLC) MOTION for Leave to File Amended Complaint . MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv-01213-DLC) Amended Complaint, .. Document filed by A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger. (Attachments: # 1 Exhibit 1)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Stoltz, Patrick) (Entered: 05/29/2015)

06/05/2015 64 REPLY MEMORANDUM OF LAW in Support re: (58 in 1:13-cv-01213-DLC, 58 in 1:13-cv-01213-DLC, 26 in 1:13-cv-01412-DLC, 26 in 1:13-cv-01412-DLC) MOTION for Leave to File Amended Complaint . MOTION partial lift of stay (as to KPMG LLP) re: (27 in 1:13-cv-01213-DLC) Amended Complaint, . . Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 06/05/2015)

06/11/2015 65 STATUS REPORT. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 06/11/2015)

06/16/2015 66 ORDER PARTIALLY EXTENDING STAY....Lead Plaintiff shall provide the Court with a status report on or before 7/31/15. (Signed by Judge Denise L. Cote on 6/16/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 06/16/2015)

06/24/2015 67 OPINION & ORDER #105601....Lead plaintiffs May 15 motion is granted. As described..., lead plaintiff may file by July 6 either the PSAC or an amended pleading that deviates from the PSAC only to reflect new information obtained between May 15 and the date of this Opinion. The stay in this action is partially lifted solely to permit lead plaintiff to pursue its claims against KPMG. (Signed by Judge Denise L. Cote on 6/24/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC (gr) Modified on 6/24/2015 (ca). (Entered: 06/24/2015)

07/06/2015 68 SECOND AMENDED COMPLAINT amending 27 Amended Complaint, against A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger, KPMG LLP (Canada) with JURY DEMAND.Document filed by Gerald Kolar. Related document: 27 Amended Complaint, filed by Gerald Kolar. (Attachments: # 1 Exhibit 1 (deposition of Kostelecky), # 2 Exhibit 2 (Deposition of Swendsen))(Horne, Jonathan) (Entered: 07/06/2015)

07/07/2015 69 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated July 7, 2015 re: Leave to file Corrected SAC. Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 07/07/2015)

07/08/2015 70 ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated July 7, 2015 re: Leave to file Corrected Second Amended Complaint. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 7/8/2015) Filed In

Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 07/08/2015)

07/08/2015 71 SECOND AMENDED COMPLAINT amending 68 Amended Complaint, against A. Scott Dawson, Dean R. Jensen, KPMG LLP (Canada), Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger with JURY DEMAND.Document filed by Gerald Kolar. Related document: 68 Amended Complaint, filed by Gerald Kolar. (Attachments: # 1 Exhibit 1 (deposition of Kostelecky), # 2 Exhibit 2 (Deposition of Swendsen))(Horne, Jonathan) (Entered: 07/08/2015)

07/08/2015 72 REQUEST FOR ISSUANCE OF SUMMONS as to KPMG LLP, re: (71 in 1:13-cv-01213-DLC) Amended Complaint,. Document filed by Gerald Kolar. Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 07/08/2015)

07/14/2015 73 ELECTRONIC SUMMONS ISSUED as to KPMG LLP (Canada). (moh) (Entered: 07/14/2015)

07/31/2015 74 STIPULATION AND ORDER ESTABLISHING BRIEFING SCHEDULE FOR KPMG LLP'S MOTION TO DISMISS COMPLAINT....KPMG LLP (Canada) answer due 9/15/2015..... (Signed by Judge Denise L. Cote on 7/31/2015) (gr) (Entered: 07/31/2015)


08/03/2015 76 MOTION for Joshua Z. Rabinovitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11227041. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Rabinovitz, Joshua) (Entered: 08/03/2015)

08/03/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 76 MOTION for Joshua Z. Rabinovitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11227041. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 08/03/2015)

08/03/2015 77 MOTION for John F. Hartmann to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11229440. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Text of Proposed Order)(Hartmann, John) (Entered: 08/03/2015)

08/03/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 77 MOTION for John F. Hartmann to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11229440. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 08/03/2015)

08/04/2015 78 ORDER granting 76 Motion for Joshua Z. Rabinovitz to Appear Pro Hac Vice; granting 77 Motion for John F. Hartmann to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Denise L. Cote)(Text Only Order) (Cote, Denise) (Entered: 08/04/2015)

08/07/2015 79 LETTER addressed to Judge Denise L. Cote from Nathaniel J. Kritzer dated 8/7/2015 re: KPMG's position concerning Plaintiffs' request to extend the stay as to the Poseidon Defendants. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 08/07/2015)

08/12/2015 80 ORDER PARTIALLY EXTENDING STAY....The stay of claims against the Poseidon Defendants is extended to September 30, 2015. This Order has no impact on claims against KPMG LLP (Canada). Lead Plaintiff shall provide the Court with a status report on or before 9/30/15. (Signed by Judge Denise L. Cote on 8/12/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 08/12/2015)

09/10/2015 81 LETTER MOTION for Leave to File Excess Pages for KPMG's memorandum in support of its motion to dismiss addressed to Judge Denise L. Cote from Nate Kritzer dated 9/10/2015. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 09/10/2015)

09/11/2015 82 MEMO ENDORSEMENT granting 81 defendant KPMG LLP's (Canada) Letter Motion for Leave to File Excess Pages for their memorandum in support of its motion to dimiss... (Signed by Judge Denise L. Cote on 9/11/2015) (gr) (Entered: 09/11/2015)

09/15/2015 83 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 09/15/2015)

09/15/2015 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6). Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 09/15/2015)

09/15/2015 85 MEMORANDUM OF LAW in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6). . Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 09/15/2015)

09/15/2015 86 DECLARATION of Gregory R. Caldwell in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6).. Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 09/15/2015)

09/15/2015 87 DECLARATION of Nathaniel J. Kritzer in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6).. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Poseidon Concepts Corp.s 2011 financial statements, # 2 Exhibit Section 7050 of Other Canadian Standards, # 3 Exhibit International Accounting Standard 18, # 4 Exhibit International Accounting Standard 8, # 5 Exhibit Canadian Auditing Standard 200, # 6 Exhibit Canadian Auditing Standard 540, # 7 Exhibit OTC Markets Group, Inc. entitled Market 101 - Market Structure, # 8 Exhibit Canadian Auditing Standard 580)(Kritzer, Nathaniel) (Entered: 09/15/2015)

09/15/2015 88 DECLARATION of Graham McLennan in Support re: 84 MOTION to Dismiss pursuant to Federal Rules of Civil Procedure 12(b)(2), 12(b)(3), and 12(b)(6).. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit Statement of Claim filed in the Province of Alberta, # 2 Exhibit Statement of Claim filed in the Province of Ontario, # 3 Exhibit Part 1 - Statement of Claim filed in the Province of Quebec, # 4 Exhibit Part 2 - Statement of Claim filed in the Province of Quebec)(Kritzer, Nathaniel) (Entered: 09/15/2015)

09/21/2015 89 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated September 21, 2015 re: request for extension of time to file opposition to motion to dismiss. Document filed by Gerald Kolar.Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 09/21/2015)

09/21/2015 90 ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated September 21, 2015 re: request for extension of time until October 30, 2015 to file opposition to motion to dismiss. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 9/21/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 09/21/2015)

10/01/2015 91 STATUS REPORT. and request for extension of stay Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(Horne, Jonathan) (Entered: 10/01/2015)

10/02/2015 92 ORDER PARTIALLY EXTENDING STAY...The stay of claims against the Poseidon Defendants is extended to December 10, 2015. This Order has no impact on claims against KPMG LLP (Canada). Lead Plaintiff shall provide the Court with a status reporter on or before 12/10/15. (Signed by Judge Denise L. Cote on 10/2/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 10/02/2015)

10/28/2015 93 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated October 28, 2015 re: request for stay of briefing on motion to dismiss pending motion for leave to amend. Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 10/28/2015)

10/28/2015 94 ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated October 28, 2015 re: request for stay of briefing on motion to dismiss pending motion for leave to amend. ENDORSEMENT: Granted. Any motion to amend must be filed by 11/6/15; Opposition is due 12/4; reply is due 12/18/15. (Signed by Judge Denise L. Cote on 10/28/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 10/28/2015)

10/29/2015 95 MOTION for Marc I. Gross to Withdraw as Attorney with Order attached. Document filed by Tony J. Trunkel.(Gross, Marc) (Entered: 10/29/2015)

10/30/2015 96 ORDER granting 95 Motion to Withdraw as Attorney. Attorney Marc Ian Gross terminated. (Signed by Judge Denise L. Cote on 10/30/2015) (gr) (Entered: 10/30/2015)

11/02/2015 97 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Marc I. Gross to Withdraw as Attorney . Document filed by Tony J. Trunkel. (Attachments: # 1 Affidavit)(Gross, Marc) Modified on 11/3/2015 (db). (Entered: 11/02/2015)

11/03/2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Marc Ian Gross to RE-FILE Document 97 MOTION for Marc I. Gross to Withdraw as Attorney . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db) (Entered: 11/03/2015)

11/03/2015 98 MEMO ENDORSEMENT ON THE NOTICE OF WITHDRAWAL by Marc I. Gross. Granted on 10/30/15. (Signed by Judge Denise L. Cote on 11/3/2015) (gr) (Entered: 11/03/2015)

11/06/2015 99 MOTION to Amend/Correct 71 Amended Complaint, . Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 11/06/2015)

11/06/2015 100 MEMORANDUM OF LAW in Support re: 99 MOTION to Amend/Correct 71 Amended Complaint, . . Document filed by Gerald Kolar. (Horne, Jonathan) (Entered: 11/06/2015)

11/06/2015 101 DECLARATION of Jonathan Horne in Support re: 99 MOTION to Amend/Correct 71 Amended Complaint, .. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Horne, Jonathan) (Entered: 11/06/2015)

11/24/2015 102 LETTER addressed to Judge Denise L. Cote from Nathaniel J. Kritzer dated 11/24/2015 re: Plaintiff's motion to amend his complaint and filing of KPMG's motion to dismiss the amended complaint.. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 11/24/2015)

11/30/2015 103 ORDER: An order of October 28, 2015 required the lead plaintiff to file any motion to amend by November 6, with opposition due December 4. On November 24, defendant KPMG filed a letter stating that it will not oppose the motion to amend, but intends to move to dismiss the amended complaint. Accordingly, it is hereby ORDERED that lead plaintiffs motion for leave to file a Third Amended Complaint is granted. IT IS FURTHER ORDERED that defendant KPMGs motion to dismiss submitted on September 15 is denied without prejudice to its renewal if appropriately made in response to the Third Amended Complaint. IT IS FURTHER ORDERED that defendant KPMGs motion to dismiss the Third Amended Complaint must be submitted by December 15, 2015. Lead plaintiffs opposition must be submitted by January 15, 2016. The defendants reply, if any, must be submitted by January 29.... (Signed by Judge Denise L. Cote on 11/30/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 11/30/2015)

11/30/2015 104 THIRD AMENDED COMPLAINT amending 71 Amended Complaint, against A. Scott Dawson, Dean R. Jensen, KPMG LLP (Canada), Matt C. Mackenzie, Lyle D. Michaluk, Neil Richardson, Clifford L. Wiebe, Harley L. Winger with JURY DEMAND.Document filed by Gerald Kolar. Related document: 71 Amended Complaint, filed by Gerald Kolar.(Horne, Jonathan) (Entered: 11/30/2015)

12/09/2015 105 LETTER MOTION for Leave to File Excess Pages for KPMGs memorandum in support of its motion to dismiss addressed to Judge Denise L. Cote from Nathaniel J. Kritzer dated 12/9/2015. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 12/09/2015)

12/09/2015 106 MEMO ENDORSEMENT granting 105 Letter Motion for Leave to File Excess Pages. (Signed by Judge Denise L. Cote on 12/9/2015) (gr) (Entered: 12/09/2015)


12/11/2015 108 ORDER...1) The stay of claims against the Poseidon Defendants is extended to February 1, 2016. 2) This Order has no impact on claims against KPMG LLP (Canada). 3) Lead Plaintiff shall provide the Court with a status report on or before 2/1/16. (Signed by Judge Denise L. Cote on 12/10/2015) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 12/11/2015)

12/15/2015 109 MOTION to Dismiss . Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 12/15/2015)

12/15/2015 110 MEMORANDUM OF LAW in Support re: 109 MOTION to Dismiss . . Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 12/15/2015)

12/15/2015 111 DECLARATION of Nathaniel J. Kritzer in Support re: 109 MOTION to Dismiss .. Document filed by KPMG LLP (Canada). (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15)(Kritzer, Nathaniel) (Entered: 12/15/2015)

12/15/2015 112 DECLARATION of Gregory R. Caldwell in Support re: 109 MOTION to Dismiss .. Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 12/15/2015)

01/13/2016 113 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated January 13, 2016 re: In re Poseidon Concepts Securities Litigation, 13-cv-1213-DLC. Document filed by Gerald Kolar.(Horne, Jonathan) (Entered: 01/13/2016)

01/13/2016 114 ENDORSED LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated January 13, 2016 re: requesting a one week extension of Lead Plaintiff's time to file opposition to the motion to dismiss of KPMG LLP (Canada). With the extensions, the deadlines will be, respectively, January 22 and February 12. ENDORSEMENT: Granted. (Signed by Judge Denise L. Cote on 1/13/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 01/13/2016)

01/22/2016 115 MEMORANDUM OF LAW in Opposition re: 109 MOTION to Dismiss . . Document filed by Gerald Kolar. (Horne, Jonathan) (Entered: 01/22/2016)

01/22/2016 116 DECLARATION of Jonathan Horne in Opposition re: 109 MOTION to Dismiss .. Document filed by Gerald Kolar. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Horne, Jonathan) (Entered: 01/22/2016)


02/04/2016 118 ORDER PARTIALLY EXTENDING STAY....The stay of claims against the Poseidon Defendants is extended to March 31, 2016. This Order has no impact on claims against KPMG LLP (Candada). Lead Plaintiff shall provide the Court with a

status report on or before 4/8/16. (Signed by Judge Denise L. Cote on 2/4/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 02/04/2016)

02/08/2016 119 LETTER MOTION for Leave to File Excess Pages re: KPMG's reply brief in support of its motion to dismiss addressed to Judge Denise L. Cote from Nathaniel Kritzer dated February 8, 2016. Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 02/08/2016)

02/08/2016 120 MEMO ENDORSEMENT granting (119) Letter Motion for Leave to File Excess Pages in case 1:13-cv-01213-DLC by defendant KPMG LLP (Canada). (Signed by Judge Denise L. Cote on 2/8/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC (gr) (Entered: 02/08/2016)

02/12/2016 121 REPLY MEMORANDUM OF LAW in Support re: 109 MOTION to Dismiss . . Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 02/12/2016)

03/07/2016 122 NOTICE of Recent Authority re: 109 MOTION to Dismiss .. Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 03/07/2016)

03/30/2016 123 NOTICE OF CHANGE OF ADDRESS by Jonathan Richard Horne on behalf of Gerald Kolar. New Address: The Rosen Law Firm, P.A., 275 Madison Avenue, 34th Floor, New York, New York, United States 10016, (212)-686-1060. (Horne, Jonathan) (Entered: 03/30/2016)

04/08/2016 124 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated April 8, 2016 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 04/08/2016)

04/11/2016 125 ORDER PARTIALLY EXTENDING STAY....The stay of claims against the Poseidon Defendants is extended to May 2, 2016. This Order has no impact on claims against KPMG LLP (Candada). Lead Plaintiff shall provide the Court with a status report on or before 5/2/16. (Signed by Judge Denise L. Cote on 4/11/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 04/11/2016)

04/12/2016 126 LETTER addressed to Judge Denise L. Cote from Nathaniel J. Kritzer dated April 12, 2016 re: KPMG's motion to dismiss (Docket #109). Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 04/12/2016)

05/02/2016 127 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated May 2, 2016 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 05/02/2016)

05/04/2016 128 ORDER PARTIALLY EXTENDING STAY....The stay of claims against the Poseidon Defendants is extended to June 1, 2016. This Order has no impact on claims against KPMG LLP (Candada). Lead Plaintiff shall provide the Court with a status report on or before 6/1/16. (Signed by Judge Denise L. Cote on 5/4/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 05/04/2016)

05/24/2016 129 OPINION & ORDER # 106530 KPMGs December 15, 2015 motion to dismiss is granted. (Signed by Judge Denise L. Cote on 5/24/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) Modified on 6/20/2016 (vj). (Entered: 05/24/2016)

06/01/2016 130 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated June 1, 2016 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 06/01/2016)

06/03/2016 131 MOTION for Entry of Judgment under Rule 54(b) . Document filed by KPMG LLP (Canada).(Kritzer, Nathaniel) (Entered: 06/03/2016)

06/03/2016 132 MEMORANDUM OF LAW in Support re: 131 MOTION for Entry of Judgment under Rule 54(b) . . Document filed by KPMG LLP (Canada). (Kritzer, Nathaniel) (Entered: 06/03/2016)

06/09/2016 133 ORDER PARTIALLY EXTENDING STAY....The stay of claims against the Poseidon Defendants is extended to June 30, 2016. This Order has no impact on claims against KPMG LLP (Candada). Lead Plaintiff shall provide the Court with a status report on or before 6/30/16. (Signed by Judge Denise L. Cote on 6/9/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 06/09/2016)

06/09/2016 134 ORDER: On June 3, 2016, defendant KPMG LLP (Canada) filed a motion for entry of judgment pursuant to Rule 54(b), Fed. R. Civ. P. Accordingly, it is hereby ORDERED that lead plaintiffs opposition must be submitted by June 17. KPMGs reply, if any, must be submitted by June 24. (Signed by Judge Denise L. Cote on 6/9/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 06/09/2016)

06/17/2016 135 RESPONSE to Motion re: 131 MOTION for Entry of Judgment under Rule 54(b) . . Document filed by Gerald Kolar. (Horne, Jonathan) (Entered: 06/17/2016)

06/23/2016 136 ORDER: On May 24, 2016, plaintiffs claim against defendant KPMG LLP (Canada) (KPMG) was dismissed. Plaintiffs claims against remaining individual defendants are stayed. On June 3, KPMG moved for entry of final judgment pursuant to Rule 54(b), Fed. R. Civ. P. Plaintiff does not oppose KPMGs motion. There being no just reason for delay, it is hereby ORDERED that KPMGs June 3 motion is granted. The Clerk of Court shall enter judgment pursuant to Rule 54(b) in KPMGs. (Signed by Judge Denise L. Cote on 6/22/2016) (gr) (Entered: 06/23/2016)

06/23/2016 Transmission to Judgments and Orders Clerk. Transmitted re: 136 Order on Motion for Entry of Judgment under Rule 54(b) to the Judgments and Orders Clerk. (gr) (Entered: 06/23/2016)

06/23/2016 137 CLERK'S JUDGMENT: It is, ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Order dated June 23, 2016, KPMG's June 3 motion is granted and judgment is entered in KPMG's favor pursuant to Rule 54(b). (Signed by Clerk of Court Ruby Krajick on 06/23/2016) (Attachments: # 1 Right to Appeal, # 2 Right to Appeal)(km) (Main Document 137 replaced on 7/19/2016) (km). (Entered: 06/23/2016)


06/29/2016 139 ORDER EXTENDING STAY....The stay of the above captioned action is extended to August 2, 2016. Lead Plaintiff shall provide the Court with a status report on or before August 6, 2016. (Signed by Judge Denise L. Cote on 6/29/2016) (gr) (Entered: 06/29/2016) (Signed by Judge Denise L. Cote on 6/29/2016) (gr) (Entered: 06/29/2016)

08/05/2016 140 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated August 5, 2016 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 08/05/2016)

08/08/2016 141 ORDER EXTENDING STAY....The stay of the above captioned action is extended to September 30, 2016. Lead Plaintiff shall provide the Court with a status report on or before September 28, 2016. (Signed by Judge Denise L. Cote on 8/8/2016) (gr) (Entered: 08/08/2016)

09/28/2016 142 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated September 28, 2016 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 09/28/2016)

10/03/2016 143 ORDER EXTENDING STAY....The stay of the above captioned action is extended to October 31, 2016. Lead Plaintiff shall provide the Court with a status report on or before November 4, 2016. (Signed by Judge Denise L. Cote on 10/3/2016) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 10/03/2016)

11/04/2016 144 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated November 4, 2016 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 11/04/2016)

11/07/2016 145 ORDER: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1. The stay of the above captioned action is extended to December 20, 2016. 2. Lead Plaintiff shall provide the Court with a status report on or before 12/20/16. (Signed by Judge Denise Cote on 11/7/2016) (gf) (Entered: 11/07/2016)

12/20/2016 146 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated December 20, 2016 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 12/20/2016)

12/20/2016 147 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to January 31, 2017. 2) Lead Plaintiff shall provide the Court with a status report on or before 2/5/17. (Signed by Judge Denise L. Cote on 12/20/2016) (gr) (Entered: 12/20/2016)

02/03/2017 148 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated February 3, 2017 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 02/03/2017)

02/06/2017 149 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to March 15, 2017. 2) Lead Plaintiff shall provide the Court with a status report on or before 3/20/17. (Signed by Judge Denise L. Cote on 2/6/2017) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 02/06/2017)

03/21/2017 150 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated March 21, 2017 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 03/21/2017)

03/22/2017 151 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to April 28, 2017. 2) Lead Plaintiff shall provide the Court with a status report on or before 4/28/17. (Signed by Judge Denise L. Cote on 3/21/2017) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 03/22/2017)

04/28/2017 152 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated April 28, 2017 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 04/28/2017)

04/28/2017 153 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to June 26, 2017. 2) Lead Plaintiff shall provide the Court with a status report on or before 6/26/17 (Signed by Judge Denise L. Cote on 4/28/2017) (gr) (Entered: 04/28/2017)


06/26/2017 155 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to September 29, 2017. 2) Lead Plaintiff shall provide the Court with a status report on or before 9/29/17 (Signed by Judge Denise L. Cote on 6/26/2017) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 06/26/2017)

10/03/2017 156 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated October 3, 2017 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 10/03/2017)

10/03/2017 157 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to November 10, 2017. 2) Lead Plaintiff shall provide the Court with a status report on or before 11/10/17. (Signed by Judge Denise L. Cote on 10/3/2017) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 10/03/2017)

11/10/2017 158 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated November 10, 2017 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 11/10/2017)

11/13/2017 159 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to February 15, 2018. 2) Lead Plaintiff shall provide the Court with a status report on or before 2/15/18. (Signed by Judge Denise L. Cote on 11/10/2017) (gr) (Entered: 11/13/2017)

02/19/2018 160 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated February 19, 2018 re: Status Report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 02/19/2018)

02/21/2018 161 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ORDERED: 1) The stay of the above captioned action is extended to March 15, 2018. 2) Lead Plaintiff shall provide the Court with a status report on or before March 15, 2018. (Signed by Judge Denise L. Cote on 2/21/2018) (gr) (Entered: 02/21/2018)

03/15/2018 162 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated March 15, 2018 re: Status report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 03/15/2018)

03/16/2018 163 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ordered: The stay of the above captioned action is extended to May 11, 2018. Lead Plaintiff shall provide the Court with a status report on or before May 11, 2018. (Signed by Judge Denise L. Cote on 3/16/2018) (ap) (Entered: 03/16/2018)

05/01/2018 164 ORDER: IT IS HEREBY ORDERED that the stay of the above-captioned action is extended to May 25, 2018. IT IS FURTHER ORDERED that lead plaintiff shall provide the Court with a status report on or before May 25, 2018. (Signed by Judge Denise L. Cote on 5/1/2018) Filed In Associated Cases: 1:13-cv-01213-DLC, 1:13-cv-01412-DLC(gr) (Entered: 05/01/2018)

05/25/2018 165 LETTER addressed to Judge Denise L. Cote from Jonathan Horne dated May 25, 2018 re: Status report and request for extension of stay. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) (Entered: 05/25/2018)

05/25/2018 166 ORDER EXTENDING STAY: Lead Plaintiff having shown good cause to extend the stay currently imposed in this action, it is hereby ordered: The stay of the above

captioned action is extended to July 25, 2018. Lead Plaintiff shall provide the Court with a status report on or before July 25, 2018. (Signed by Judge Denise L. Cote on 5/25/2018) (gr) (Entered: 05/25/2018)

07/25/2018 167 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) A. Scott Dawson, Dean R. Jensen, Matt C. Mackenzie, Lyle D. Michaluk, Poseidon Concepts Corp., Neil Richardson, Clifford L. Wiebe, Harley L. Winger. Document filed by Gerald Kolar. (Attachments: # 1 Text of Proposed Order)(Horne, Jonathan) Modified on 7/26/2018 (km). (Entered: 07/25/2018)

07/26/2018 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Jonathan Horne for noncompliance with Section 18.3 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 167 Notice of Voluntary Dismissal to: [email protected]. (km) (Entered: 07/26/2018)

07/27/2018 168 ORDER....The remaining Defendants are hereby dismissed with prejudice pursuant to the terms of the Settlement from this Action and Trunkel. (Signed by Judge Denise L. Cote on 7/27/2018) (Attachment: Notice of Dismissal)(gr) (Entered: 07/27/2018)

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