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

  • US District Court Civil Docket as of 05/14/2004 Retrieved from the court on Thursday, August 25, 2005

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

    CIVIL DOCKET FOR CASE #: 1:97-cv-03608-DC-RLE

    Ellison v. American Image Motor, et al Assigned to: Judge Denny Chin Referred to: Magistrate Judge Ronald L. Ellis Demand: $0 Lead case: 1:97-cv-03608-DC-RLE Member case: 1:98-cv-00692-DC Related Case: 1:97-cv-01753-DC Cause: 15:78m(a) Securities Exchange Act

    Date Filed: 05/16/1997 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

    Plaintiff Peter C. Ellison on behalf of himself and all others similarly situated

    represented by Thomas J. Romans 27 Warren Street Hackensack, NJ 07601 (201) 489-0027 LEAD ATTORNEY

    V.

    Consolidated Plaintiff

    James C. Carson individually and on behalf of all others similarly situated

    represented by Bradley J. Schram Hertz, Schram & Saretsky, P.C. 1760 S. Telegraph Road Suite 300 Bloomfield Hills, MI 48302-0183 (248)335-5000 LEAD ATTORNEY Eva T. Cantarella Hertz, Schram & Saretsky, P.C. 1760 S. Telegraph Road Suite 300 Bloomfield Hills, MI 48302-0183 (248)335-5000 LEAD ATTORNEY Gary M. Saretsky Hertz, Schram & Saretsky, P.C. 1760 S. Telegraph Road

  • Suite 300 Bloomfield Hills, MI 48302-0183 (248)335-5000 LEAD ATTORNEY

    V.

    Defendant

    American Image Motor Co., Inc. TERMINATED: 05/20/1999

    Defendant

    Edward Gelb represented by Martin H. Kaplan Gusrae, Kaplan & Bruno 120 Wall Street New York, NY 10005 (212) 269-1400 TERMINATED: 09/17/1998 LEAD ATTORNEY

    Defendant

    Joseph Del Negro

    Defendant

    Paul J. Comesky

    Defendant

    Anthony Vastano

    Defendant

    Andrew P. Daniels

    Defendant

    Valerie Vastano

    Defendant

    Global Financial Traders, LTD.

    Defendant

    BGSG Holding Corp.

  • Defendant

    Michael R. Reilly

    Defendant

    John J. Kenna

    Defendant

    Maria Sonner

    Defendant

    Michael John Tannerville Chamberlayne TERMINATED: 02/19/1999

    represented by Stuart Jay Baskin Shearman & Sterling LLP (New York) 599 Lexington Avenue New York, NY 10022 (212) 848-4000 Fax: (646) 848-4974 Email: [email protected] TERMINATED: 02/19/1999 LEAD ATTORNEY

    Defendant

    David George Robert Carnegie TERMINATED: 02/19/1999

    represented by Stuart Jay Baskin (See above for address) TERMINATED: 02/19/1999 LEAD ATTORNEY

    Defendant

    Robert Harman TERMINATED: 12/02/1997

    Defendant

    Gordon Anthony Yablon TERMINATED: 02/19/1999

    represented by Stuart Jay Baskin (See above for address) TERMINATED: 02/19/1999 LEAD ATTORNEY

    Defendant

    Harris, Ltd.

    Defendant

  • Lybster, Ltd.

    Defendant

    Toryl, Ltd.

    Defendant

    Minimum Effort, Ltd.

    Defendant

    The Law Firm Eversheds TERMINATED: 02/19/1999

    Defendant

    Vincent J. Iovine represented by Timothy P. Kebbe Lehman & Eilen 50 Charles Lindbergh Blvd. Uniondale, NY 11553 (516)222-0888 LEAD ATTORNEY

    Defendant

    Brian M. Fogel represented by Timothy P. Kebbe (See above for address) LEAD ATTORNEY

    Defendant

    David S. Coleman represented by Andrew M. Lawler 220 East 42nd Street New York, NY 10017 (212) 687-8850 LEAD ATTORNEY

    Defendant

    Northeast Securities, Inc. represented by Timothy P. Kebbe (See above for address) LEAD ATTORNEY

    Defendant

    Wilson-Davis & Co. represented by Andrew M. Lawler Law Offices of Andrew M. Lawler, Esq. 220 East 42nd Street

  • 10017 New York, NY 10017 212-972-6387 LEAD ATTORNEY

    Defendant

    1-25 John Does

    Date Filed # Docket Text

    05/16/1997 1 COMPLAINT filed; Summons issued and Notice pursuant to 28 U.S.C. 636(c); FILING FEE $ 150.00 RECEIPT # 287550 (sac) (Entered: 05/19/1997)

    05/16/1997 2 Rule 9 certificate filed by Peter C. Ellison (sac) (Entered: 05/19/1997)

    05/16/1997 CASE REFERRED TO Judge Chin (sac) (Entered: 05/19/1997)

    05/30/1997 Case accepted as related to 97 Civ 1753. Notice of assignment to follow. (sac) (Entered: 06/05/1997)

    05/30/1997 3 Notice of assignment _ to Judge Denny Chin Copy of notice and judge's rules mailed to Attorney(s) of record: Thomas J. Romans . (sac) (Entered: 06/05/1997)

    06/09/1997 4 Case Information Statement Addendum and Case Designation to a Magistrate Judge filed. Case is designated to Magistrate Judge Ellis. (ba) (Entered: 06/09/1997)

    07/21/1997 5 NOTICE OF MOTION by Peter C. Ellison and movants Michael House, M. House Family Limited Partnership, Richard and Susan Ullamn, Carl F. Bailey, Jr., Paul F. DeGrasse, Marvin V. Cervenka, and Darren Adams for an order appointing the applicants as lead pltffs in this action and approving the applicants choice of Weiss & Yourman as lead counsel acting in consultation with an executive committee consisting of Thomas H. Romans, Greco & Traficante and the Law Offices of Jeffrey S. Abraham ; Return date 8/18/97; Affidavit of Jeffrey S. Abraham attached. (kg) (Entered: 07/24/1997)

    07/21/1997 6 MEMORANDUM OF LAW by Peter C. Ellison and movants in support of [5-1] motion for an order appointing the applicants as lead pltffs in this action and approving the applicants choice of Weiss & Yourman as lead counsel acting in consultation with an executive committee consisting of Thomas H. Romans, Greco & Traficante and the Law Offices of Jeffrey S. Abraham. (kg) (Entered: 07/24/1997)

    07/22/1997 7 NOTICE OF MOTION by Peter C. Ellison appointing the applicants as Lead Plaintiffs in the action; approving the applicants choice of Weiss & Yourman as lead counsel acting in consultation with an executive committee consisting of Thomas J. Romans, Greco & Traficante and the Law Offices of Jeffrey S. Abraham; and granting such other and further relief as the Court may deem just and proper ; Return date is 8/18/97; attached is the affidavit of Jeffrey S. Abraham.

  • (kw) (Entered: 07/28/1997)

    08/08/1997 8 STIPULATION and ORDER, reset answer due for 9/8/97 for defendants Eversheds, Michael John Tannerville Chamberlayne, David George Robert Carnegie, Robert Harman, and Gordon Anthony Yablon ( signed by Judge Denny Chin ). (kw) (Entered: 08/11/1997)

    08/22/1997 9 AFFIDAVIT of Timothy P. Kebbe in opposition Re: [7-1] motion appointing the applicants as Lead Plaintiffs in the action; approving the applicants choice of Weiss & Yourman as lead counsel acting in consultation with an executive committee consisting of Thomas J. Romans, Greco & Traficante and the Law Offices of Jeffrey S. Abraham; and granting such other and further relief as the Court may deem just and proper (pl) (Entered: 08/26/1997)

    08/22/1997 10 MEMORANDUM by Vincent J. Iovine, Brian M. Fogel, Northeast Securities in opposition to [7-1] motion appointing the applicants as Lead Plaintiffs in the action; approving the applicants choice of Weiss & Yourman as lead counsel acting in consultation with an executive committee consisting of Thomas J. Romans, Greco & Traficante and the Law Offices of Jeffrey S. Abraham; and granting such other and further relief as the Court may deem just and proper (pl) (Entered: 08/26/1997)

    09/11/1997 11 STIPULATION and ORDER, reset answer due for 9/8/97 for Valerie Vastano, for Anthony Vastano, for Paul J. Comesky, for Joseph Del Negro, for American Image Motor (signed by Judge Denny Chin). (pl) (Entered: 09/12/1997)

    09/15/1997 12 Appellant's REPLY BRIEF in further support of their motion to be appointed lead plaintiffs and for approval of their selection of lead counsel. (ae) (Entered: 09/16/1997)

    09/23/1997 13 STIPULATION and ORDER, extending defendants' time to answer to the complaint, w/out prejudice to any claims or defenses of these defendants ; reset answer due for 9/22/97 for American Image Motor, for Paul J. Comesky, for Joseph Del Negro, for Anthony Vastano, for Valerie Vastano ( signed by Judge Denny Chin ). (ae) (Entered: 09/24/1997)

    09/26/1997 14 ANSWER to Complaint by Edward Gelb (Attorney Martin H. Kaplan) (ae) (Entered: 09/30/1997)

    10/09/1997 15 NOTICE OF MOTION by David George Robert Carnegie, Gordon Anthony Yablon, Michael Chamberlayne and Eversheds to dismiss the complaint with prejudice pursuant to the Private Securities Litigation Reform Act of 1995, 15 USC 78u-4(b)(3)(A), and Rules 9(b) and 12(b)(6) of the FRCP Return date 10/9/97 (kw) (Entered: 10/10/1997)

    10/09/1997 16 MEMORANDUM by Tannerville Chamber., David George Robert Carnegie, and Gordon Anthony Yablon in support of [15-1] motion to dismiss the complaint with prejudice pursuant to the Private Securities Litigation Reform Act of 1995, 15 USC 78u-4(b)(3)(A), and Rules 9(b) and 12(b)(6) of the FRCP. (kw) (Entered: 10/10/1997)

    10/09/1997 17 Rule 1.9 certificate filed by Tannerville Chamber., David George Robert Carnegie, Gordon Anthony Yablon and Eversheds. (kw) (Entered: 10/10/1997)

  • 10/09/1997 18 NOTICE OF MOTION by Vincent J. Iovine, Brian M. Fogel, Northeast Securities to dismiss Counts I, II, III, IV and VI on the ground that these Courts fail to state a claim ; to dismiss Courts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act ; to dismiss Counts I and III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b) ; to dismiss Court VI on the ground that this Court fails to plead fraud with the particularity required by F.R.C.P. 9(b) (pl) (Entered: 10/10/1997)

    10/09/1997 19 MEMORANDUM by Vincent J. Iovine, Brian M. Fogel, Northeast Securities in support of [18-1] motion to dismiss Counts I, II, III, IV and VI on the ground that these Courts fail to state a claim, [18-2] motion to dismiss Courts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act, [18-3] motion to dismiss Counts I and III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), [18-4] motion to dismiss Court VI on the ground that this Court fails to plead fraud with the particularity required by F.R.C.P. 9(b) (pl) (Entered: 10/10/1997)

    10/09/1997 20 Appendix of Unreported Cases (pl) (Entered: 10/10/1997)

    10/14/1997 21 Rule 1.9 certificate filed by Vincent J. Iovine, Brian M. Fogel, Northeast Securities (ae) (Entered: 10/15/1997)

    11/12/1997 22 NOTICE OF MOTION by David S. Coleman, Wilson-Davis & Co. to dismiss Counts I,II,III,IV and VI that these Counts fail to state a claim ; to dismiss Counts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act ; to dismiss Counts I, III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b) ; to dismiss Count VI on the ground that this Count fails to plead fraud with the particularity required by F.R.C.P. 9(b) Return date: not indicated (pl) (Entered: 11/14/1997)

    11/12/1997 23 Rule 1.9 certificate filed by David S. Coleman, Wilson-Davis Co. (pl) (Entered: 11/14/1997)

    11/12/1997 24 MEMORANDUM by David S. Coleman, Wilson-Davis & Co. in support of [22-1] motion to dismiss Counts I,II,III,IV and VI that these Counts fail to state a claim, [22-2] motion to dismiss Counts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act, [22-3] motion to dismiss Counts I, III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), [22-4] motion to dismiss Count VI on the ground that this Count fails to plead fraud with the particularity required by F.R.C.P. 9(b) (pl) (Entered: 11/14/1997)

    11/20/1997 25 Filed Memo-Endorsement on letter by Joseph H. Weiss to Judge Chin dated 11/11/97, plaintiffs' response to motion reset to 12/8/97 for [22-1] motion to dismiss Counts I,II,III,IV and VI that these Counts fail to state a claim; reset to 12/8/97 for [22-2] motion to dismiss Counts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act; reset to 12/8/97 for [22-3] motion to dismiss Counts I, III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and

  • F.R.C.P. 9(b); reset to 12/8/97 for [22-4] motion to dismiss Count VI on the ground that this Count fails to plead fraud with the particularity required by F.R.C.P. 9(b); reset to 12/8/97 for [18-1] motion to dismiss Counts I, II, III, IV and VI on the ground that these Courts fail to state a claim; reset to 12/8/97 for [18-2] motion to dismiss Courts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act; reset to 12/8/97 for [18-3] motion to dismiss Counts I and III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b); reset to 12/8/97 for [18-4] motion to dismiss Court VI on the ground that this Court fails to plead fraud with the particularity required by F.R.C.P. 9(b); reset to 12/8/97 for [15-1] motion to dismiss the complaint with prejudice pursuant to the Private Securities Litigation Reform Act of 1995, 15 USC 78u-4(b)(3)(A), and Rules 9(b) and 12(b)(6) of the FRCP ; defendants' reply to response to motion reset to 1/13/98 for [22-1] motion to dismiss Counts I,II,III,IV and VI that these Counts fail to state a claim; reset to 1/13/98 for [22-2] motion to dismiss Counts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act; reset to 1/13/98 for [22-3] motion to dismiss Counts I, III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b); reset to 1/13/98 for [22-4] motion to dismiss Count VI on the ground that this Count fails to plead fraud with the particularity required by F.R.C.P. 9(b); reset to 1/13/98 for [18-1] motion to dismiss Counts I, II, III, IV and VI on the ground that these Courts fail to state a claim; reset to 1/13/98 for [18-2] motion to dismiss Courts I and III on the ground these Counts fail to plead a strong inference of scienter required by the Reform Act; reset to 1/13/98 for [18-3] motion to dismiss Counts I and III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b); reset to 1/13/98 for [18-4] motion to dismiss Court VI on the ground that this Court fails to plead fraud with the particularity required by F.R.C.P. 9(b); reset to 1/13/98 for [15-1] motion to dismiss the complaint with prejudice pursuant to the Private Securities Litigation Reform Act of 1995, 15 USC 78u-4(b)(3)(A), and Rules 9(b) and 12(b)(6) of the FRCP ( signed by Judge Denny Chin ). (ae) (Entered: 11/21/1997)

    12/02/1997 26 ORDER; that pltff's claims against deft Robert Harman are hereby dismissed without prejudice in accordance with the terms of the attached Stipulated Tolling Agreement; that, until further order of the Court, no notice of this dismissal need be given purs. to Rule 23 of the FRCP to members of a proposed class; and the parties shall bear their own costs and expenses ( signed by Judge Denny Chin ) Copies mailed (sac) Modified on 12/04/1997 (Entered: 12/03/1997)

    12/08/1997 27 MEMORANDUM OF LAW by Peter C. Ellison in opposition to [22-1] motion to dismiss Counts I,II,III,IV and VI that these Counts fail to state a claim, [22-2] motion to dismiss Counts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act, [22-3] motion to dismiss Counts I, III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), [22-4] motion to dismiss Count VI on the ground that this Count fails to plead fraud with the particularity required by F.R.C.P. 9(b) (kg) (Entered: 12/11/1997)

    01/08/1998 28 Filed Memo-Endorsement on letter to Judge Chin from Timothy P. Kebbe dated 01/05/98, defendants' Reply to Response to Motion reset to 1/21/98 for [18-1]

  • motion to dismiss Counts I, II, III, IV and VI on the ground that these Courts fail to state a claim, reset to 1/21/98 for [18-2] motion to dismiss Courts I and III on the ground these Counts fail to plead a strong inference of scienter required by the Reform Act, reset to 1/21/98 for [18-3] motion to dismiss Counts I and III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), reset to 1/21/98 for [18-4] motion to dismiss Court VI on the ground that this Court fails to plead fraud with the particularity required by F.R.C.P. 9(b) ( signed by Judge Denny Chin ) (djc) (Entered: 01/08/1998)

    01/21/1998 29 REPLY MEMORANDUM by Vincent J. Iovine, Brian M. Fogel, Northeast Securities re: [18-1] motion to dismiss Counts I, II, III, IV and VI on the ground that these Courts fail to state a claim, [18-2] motion to dismiss Courts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act, [18-3] motion to dismiss Counts I and III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), [18-4] motion to dismiss Court VI on the ground that this Court fails to plead fraud with the particularity required by F.R.C.P. 9(b). Attached The Northeast defendants appendix of additional unreported cases. (ys) (Entered: 01/22/1998)

    01/21/1998 30 REPLY MEMORANDUM by David George Robert Carnegie, Gordon Anthony Yablon, Chamberlayne, and Eversheds defendants re: In Support of [15-1] motion to dismiss the complaint with prejudice pursuant to the Private Securities Litigation Reform Act of 1995, 15 USC 78u-4(b)(3)(A), and Rules 9(b) and 12(b)(6) of the FRCP. Attached Supplemental Appendix of Unreported Opinions (ys) (Entered: 01/23/1998)

    01/22/1998 31 REPLY MEMORANDUM by David S. Coleman, and Wilson-Davis & Co. in further support of re: [22-1] motion to dismiss Counts I,II,III,IV and VI that these Counts fail to state a claim, [22-2] motion to dismiss Counts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act, [22-3] motion to dismiss Counts I, III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), and [22-4] motion to dismiss Count VI on the ground that this Count fails to plead fraud with the particularity required by F.R.C.P. 9(b). (kw) (Entered: 01/26/1998)

    02/10/1998 32 NOTICE of Change of Address by attorneys for Tannerville Chamber., David George Robert Carnegie, Gordon Anthony Yablon (djc) (Entered: 02/11/1998)

    03/17/1998 33 ORDER granting [7-1] motion appointing the applicants as Lead Plaintiffs in the action; approving the applicants choice of Weiss & Yourman as lead counsel acting in consultation with an executive committee consisting of Thomas J. Romans, Greco & Traficante and the Law Offices of Jeffrey S. Abraham; and granting such other and further relief as the Court may deem just and proper; granting [5-1] motion for an order appointing the applicants as lead in this action and approving the applicants choice of Weiss & Yourman as lead counsel acting in consultation with an executive committee consisting of Thomas H. Romans, Greco & Traficante and the Law Offices of Jeffrey S. Abraham; I have reviewed Applicants' moving papers and Northeast Defendants' opposition thereto. The objections are overruled (signed by Judge Denny Chin); Copies mailed (djc) (Entered: 03/18/1998)

  • 09/17/1998 34 Memo endorsed on motion by Gusrae, Kaplan & Bruno to withdraw as counsel for deft Edward Gelb in this matter; No objection or opposition having been recv'd., this motion is granted. Gusrae, Kaplan is relieved. Mr. Gelb shall proceed pro se unless he retains new counsel ; ( signed by Judge Denny Chin ); copies mailed (ls) (Entered: 09/17/1998)

    02/19/1999 Memo endorsed on motion; granting [15-1] motion to dismiss the complaint with prejudice pursuant to the Private Securities Litigation Reform Act of 1995, 15 USC 78u-4(b)(3)(A), and Rules 9(b) and 12(b)(6) of the FRCP; The motion is granted as stated in the opinion dtd 2/19/99 (signed by Judge Denny Chin); Copies mailed. (forwarded orig. doc. to Judgment Clerk on 2/19/99) (kg) (Entered: 02/19/1999)

    02/19/1999 Memo endorsed on motion; denying [18-1] motion to dismiss Counts I, II, III, IV and VI on the ground that these Courts fail to state a claim, denying [18-2] motion to dismiss Courts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act, denying [18-3] motion to dismiss Counts I and III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), denying [18-4] motion to dismiss Court VI on the ground that this Court fails to plead fraud with the particularity required by F.R.C.P. 9(b); The motion is denied as stated in the opinion dtd 2/19/99 (signed by Judge Denny Chin); Copies mailed. (kg) (Entered: 02/19/1999)

    02/19/1999 Memo endorsed on motion; denying [22-1] motion to dismiss Counts I,II,III,IV and VI that these Counts fail to state a claim, denying [22-2] motion to dismiss Counts I and III on the ground that these Counts fail to plead a strong inference of scienter as required by the Reform Act, denying [22-3] motion to dismiss Counts I, III on the ground that these Counts fail to plead fraud with the particularity required by the Reform Act and F.R.C.P. 9(b), denying [22-4] motion to dismiss Count VI on the ground that this Count fails to plead fraud with the particularity required by F.R.C.P. 9(b); The motion is denied as stated in the opinion dtd 2/18/99 (signed by Judge Denny Chin); Copies mailed. (kg) (Entered: 02/19/1999)

    02/19/1999 35 OPINION #81933; the Eversheds Defts' motion to dismiss is granted in its entirety, and all the claims against the Eversheds Defts are dismisse with prejudice. The Northeast and Wilson-Davis Defts' motions are denied ; the remaining parties in this action shall attend a status conference at 500 Pear Street, Courtroom 11A, N.Y., N.Y., on 3/19/99 at 11:00 a.m. ( Signed by Judge Denny Chin ); Copies mailed. (sac) Modified on 02/22/1999 (Entered: 02/22/1999)

    03/03/1999 36 STIPULATION and ORDER, reset answer due for 4/1/99 for Northeast Securities, for Brian M. Fogel, for Vincent J. Iovine ( signed by Judge Denny Chin ). (cd) (Entered: 03/04/1999)

    03/09/1999 37 ORDER; that the Opinion dtd. 2/19/99 is amended as follows: on page five, lines thirteen to fourteen, the words "and in the United States" should be stricken; the sentence on that page should read "is headquartered in England, w/ offices in the British Channel Islands." ; ( signed by Judge Denny Chin ); copies mailed (ls) (Entered: 03/10/1999)

    03/16/1999 38 NOTICE OF MOTION by David S. Coleman, Northeast Securities; for an order, pursuant to Rule 1.3(c) for the Local Civil Rules of the United States District Court

  • for the Southern District of New York, admitting Milo Steven Marsden of the Law Firm Giaugue, Crockett, Bendinger & Peterson, pro hac vice to the U.S. District Court for the Southern District of New York to argue and/or try this action, in whole or in part, as counsel or advocate for the defendant Wilson Davis & Company. , Return date 4/13/99; w/attch. Affidavit of Milo Steven Marsden in support (pl) Modified on 03/24/1999 (Entered: 03/22/1999)

    03/16/1999 39 NOTICE OF MOTION by David S. Coleman, Wilson-Davis & Co.; for an order, pursuant to Rule 1.3(c) of the Local Civil Rules of the United States District Court for the Southern District of New York, admitting Stephen G. Crockett of the Firm Giaugue, Crockett, Bendinger & Peterson, pro hac vice to U.S. District Court for the Southern District of New York to argue and/or try this action, in whole or in part, as counsel for avocate for the defendant Wilson Davis & Company. , Return date 4/13/99; w/attach. affidavit of Steven G. Crockett in support (pl) Modified on 03/24/1999 (Entered: 03/22/1999)

    03/18/1999 40 STIPULATION and ORDER; that the time for defts Wilson-Davis & Co., and David S. Coleman to answer the class action complaint is extended until and including 4/1/99 ( signed by Judge Denny Chin ). (jp) (Entered: 03/22/1999)

    03/23/1999 41 NOTICE OF MOTION by American Image Motor, Joseph Del Negro, Paul J. Comesky, Anthony Vastano, Valerie Vastano for entry of an order, purs. to Local Civil Rule 1.4 of the SDNY, permitting Kronish Lieb Weiner & Hellman, LLP to withdraw as counsel or record for defts American Image Motor Company, Inc., Josep Del Negro and Paul J. Comesky, and also permitting Clayman & Rosenberg to withdraw as counsel of record for defts Anthony and Valerie Vastano . Return date 4/7/99. Affidavits of Stephen L. Ascher and Charles E. Clayman in support attached. (emil) (Entered: 03/26/1999)

    03/30/1999 42 ANSWER to Complaint by Northeast Securities, Brian M. Fogel, Vincent J. Iovine (Attorney Timothy P. Kebbe); Firm of: Lehman & Eilen LLP by attorney Timothy P. Kebbe for defendants (cd) (Entered: 04/02/1999)

    04/01/1999 43 ANSWER to Complaint by Wilson-Davis & Co. (Attorney Andrew M. Lawler); by attorney Andrew M. Lawler for defendant Wilson-Davis & Co. (djc) (Entered: 04/06/1999)

    04/01/1999 44 ANSWER to Complaint by David S. Coleman (Attorney Andrew M. Lawler); by attorney Andrew M. Lawler (djc) (Entered: 04/06/1999)

    04/12/1999 45 ORDER; granting [41-1] motion for entry of an order, purs. to Local Civil Rule 1.4 of the SDNY, permitting Kronish Lieb Weiner & Hellman, LLP to withdraw as counsel or record for defts American Image Motor Company, Inc., Josep Del Negro and Paul J. Comesky, and also permitting Clayman & Rosenberg to withdraw as counsel of record for defts Anthony and Valerie Vastano; the individual defts, American Image Motor Co., Inc., Joseph Del Negro, Paul J. Comesky, Anthony Vastano, and Valerie Vastano shall retain new counsel or proceed pro se. Kronish Lieb and Clayman & Rosenberg shall serve copies of this order on their former clients forthwith. ( signed by Judge Denny Chin ); Copies mailed (sac) (Entered: 04/13/1999)

    04/12/1999 Memo endorsed on motion; granting [41-1] motion for entry of an order, purs. to Local Civil Rule 1.4 of the SDNY, permitting Kronish Lieb Weiner & Hellman,

  • LLP to withdraw as counsel or record for defts American Image Motor Company, Inc., Josep Del Negro and Paul J. Comesky, and also permitting Clayman & Rosenberg to withdraw as counsel of record for defts Anthony and Valerie Vastano ( signed by Judge Denny Chin ); Copies mailed. (jp) Modified on 04/13/1999 (Entered: 04/13/1999)

    04/12/1999 46 RESPONSE by Wilson-Davis & Co. to plaintiffs' first request for the production of documents. (kw) (Entered: 04/14/1999)

    04/14/1999 Memo endorsed on motion; granting [39-1] motion for an order, pursuant to Rule 1.3(c) of the Local Civil Rules of the United States District Court for the Southern District of New York, admitting Stephen G. Crockett of the Firm Giaugue, Crockett, Bendinger & Peterson, pro hac vice to U.S. District Court for the Southern District of New York to argue and/or try this action, in whole or in part, as counsel for avocate for the defendant Wilson Davis & Company. (signed by Judge Denny Chin); Copies mailed. (forwarded to the Admissions Clerk) (ri) Modified on 04/16/1999 (Entered: 04/14/1999)

    04/14/1999 Memo endorsed on motion; granting [38-1] motion for an order, pursuant to Rule 1.3(c) for the Local Civil Rules of the United States District Court for the Southern District of New York, admitting Milo Steven Marsden of the Law Firm Giaugue, Crockett, Bendinger & Peterson, pro hac vice to the U.S. District Court for the Southern District of New York to argue and/or try this action, in whole or in part, as counsel or advocate for the defendant Wilson Davis & Company. ( signed by Judge Denny Chin ); Copies mailed. Document sent to Attorney Admissions Clerk. (jp) Modified on 04/16/1999 (Entered: 04/15/1999)

    05/07/1999 47 Filed Memo-Endorsement on letter to Judge Chin from John K. Schlichting dated 4/27/99, plaintiffs request a pre-motion conference regarding a deposition notice which has been served by defendants Northeast Securities, Inc., Vincent J. Iovine and Brian Fogel on plaintiffs Michael House and the M. House Family Limited Partnership; The Court has reviewed this letter as well as defendants' response. The depositions shall be held in New York (signed by Judge Denny Chin) (ri) (Entered: 05/10/1999)

    05/10/1999 48 Letter filed dated 04/28/99 to Judge Chin from Timothy P. Kebbe in re: counsel requests that the Court order that the depositions of the House plaintiff take place in New York. (djc) (Entered: 05/11/1999)

    05/18/1999 49 ORDER; that for the reasons stated in this Order, pltff's request for leave to amend the complaint to reassert claims against the Eversheds defts is denied ( signed by Judge Denny Chin ); Copies mailed (jp) (Entered: 05/18/1999)

    05/18/1999 50 Letter addressed to Judge Chin from Joseph H. Weiss, filed by Peter C. Ellison dated 5/12/99. (jp) (Entered: 05/19/1999)

    05/18/1999 51 ORDER, on April 10, 1999, the Court ordered American Image Motor Co., to obtain new counsel within thirty days, as corporations cannot appear pro se. More than thirty days have passed and American Image has failed to obtain new counsel as required. Accordingly, the Clerk of the Court shall enter American Image's default purs to FRCP 55(a). (signed by Judge Denny Chin); Copies mailed. Docmt forwarded to Jgm. Clk. (djc) (Entered: 05/19/1999)

  • 05/20/1999 52 DEFAULT JUDGMENT, that purs to the Court's Order dated 5/13/99, the default of American Image is hereby entered purs to FRCP 55(a) ( signed by James M. Parkison, Clerk of Court ). Entered on 5/21/99 (cd) Modified on 05/21/1999 (Entered: 05/21/1999)

    06/15/1999 53 Filed Memo-Endorsement on letter addressed to Judge Chin, dated 6/11/99, from Timothy P. Kebbe re: request for adj. of class certification discovery and motion deadlines, Application granted, but only to the following extent: reset scheduling order deadlines: Status conference by 10:00 9/24/99; class certification Discovery cutoff 9/17/99; Deadline for filing of class certification motions by 9/17/99 . ( signed by Judge Denny Chin ); Copies mailed. (sn) Modified on 06/17/1999 (Entered: 06/17/1999)

    08/11/1999 54 Stipulation To Protective Order; And Order Thereon; regarding procedures that will govern the handling of confidential materials ; ( signed by Judge Denny Chin ). (ls) (Entered: 08/12/1999)

    08/12/1999 55 Order that the case be referred to the Clerk of Court for assignment to a Magistrate Judge for Settlement ( signed by Judge Denny Chin ). Referred to Magistrate Judge Ronald L. Ellis (cd) (Entered: 08/12/1999)

    08/12/1999 56 NOTICE OF MOTION by pltffs Peter C. Ellison, Michael House, M. House Family Limited Partnership, Richard and Susan Ullamn, Paul F. Degrassse, Marvin V. Cervenka as attny in fact for Charlene H. Cervenka, and Darren Adams; for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97 ; for an order consolidating pending actions ; return date not indicated (ls) (Entered: 08/13/1999)

    08/12/1999 57 MEMORANDUM by Peter C. Ellison, Michael House, M. House Family Limited Partnership, Richard and Susan Ullman, Paul F. DeGrasse, Marvin V. Cervenka in support of [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, [56-2] motion for an order consolidating pending actions (ls) (Entered: 08/13/1999)

    09/16/1999 58 Filed Memo-Endorsement on letter addressed to Judge Chin from Timothy P. Kebbe, dated 9/1/99, defendants Northeast Securities Inc., Vincent J. Iovine and Brian M. Fogel's response to motion reset to 9/17/99 for [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, and reset to 9/17/99 for [56-2] motion for an order consolidating actions ; plaintiffs' reply to response to motion reset to 10/25/99 [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, and reset to 10/25/99 for [56-2] motion for an order consolidating pending actions ( signed by Judge Denny Chin ); Copies mailed. (kw) (Entered: 09/17/1999)

    09/17/1999 59 MEMORANDUM by Northeast Securities, Vincent J. Iovine, Brian M. Fogel in opposition to [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, [56-2] motion for an order consolidating pending actions (cd) (Entered: 09/20/1999)

    09/17/1999 60 MEMORANDUM by Wilson-Davis & Co. in opposition to [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, [56-2] motion for an order consolidating pending actions

  • (cd) (Entered: 09/20/1999)

    09/17/1999 61 AFFIDAVIT of Miklo Marsden by Wilson-Davis & Co. in opposition Re: [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, [56-2] motion for an order consolidating pending actions . (cd) (Entered: 09/20/1999)

    09/17/1999 62 AFFIDAVIT of James Snow by Wilson-Davis & Co. in opposition Re: [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, [56-2] motion for an order consolidating pending actions . (cd) (Entered: 09/20/1999)

    09/17/1999 63 AFFIDAVIT of Timothy Kebbe by Northeast Securities, Vincent J. Iovine, Brian M. Fogel in opposition Re: [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97, [56-2] motion for an order consolidating pending actions . (cd) (Entered: 09/20/1999)

    09/24/1999 64 Filed Memo-Endorsement on letter addressed to Judge Chin from Timothy P. Kebbe, dated 9/22/99, re: counsel for the Northeast defts request that the Court adjourn the status conference currently scheduled for 9/24/99. The 9/24/99 PTC is adjourned until 10:30 11/12/99 . ( signed by Judge Denny Chin ); Copies mailed. (sn) Modified on 09/30/1999 (Entered: 09/27/1999)

    10/22/1999 65 Memo-Endorsement on letter addressed to Judge Chin from David Katz, dated 10/20/99, Plntfs' Reply to Response to Motion reset to 11/4/99 for [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97 ( signed by Judge Denny Chin ); Copies mailed. (cd) (Entered: 10/25/1999)

    11/04/1999 66 REPLY MEMORANDUM by Peter C. Ellison in further support of re: [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97; [56-2] motion for an order consolidating pending actions (ae) (Entered: 11/05/1999)

    11/05/1999 Settlement Conference held 11/5/99 before Magistrate Judge Ronald L. Ellis (cd) (Entered: 11/09/1999)

    01/31/2000 67 ORDER granting [56-1] motion for an order certifying a pltff class consisting of purchasers of American Image Stock from 9/23/96 to 3/13/97. The Court certifies a pltff class consisting of all persons, other than defts, who purchased American Image Motor Company stock during the period from 9/23/96 to 3/13/97. Granting in part, denying in part as moot [56-2] motion for an order consolidating pending actions. The Carson case, 98 cv 692, is consolidated with Ellison, 97 cv 3608 . The pending motion to dismiss in the Carson action is denied for the reasons set forth in Ellison v. American Image Motor Co. Pltffs have agreed to voluntarily dismiss the House action; 98 cv 1860, therefore the request to consolidate that action with Ellison is denied as moot. The complaint in House, 98 cv 1860, is dismissed without prejudice to any individual claims or to the class claims remaining in Ellison and Carson . ( signed by Judge Denny Chin ); Copies mailed. (sn) (Entered: 02/01/2000)

    01/31/2000 Consolidated Lead Case. (sn) (Entered: 02/01/2000)

  • 02/07/2000 Memo endorsed on motion doc #56; Motion granted per Order dated 1/25/00 . ( signed by Judge Denny Chin ); Copies mailed. (ri) (Entered: 02/08/2000)

    02/14/2000 68 MEMORANDUM OF LAW by Wilson-Davis & Co., Northeast Securities, Vincent J. Iovine, Brian M. Fogel in support of their motion for Reconsideration purs to Local Rule 6.3 (cd) (Entered: 02/15/2000)

    02/14/2000 69 NOTICE OF MOTION by Wilson-Davis & Co., Vincent J. Iovine, Northeast Securities; for an order for reconsideration of that portion of the Order granting class certification to plainitffs' claims arising under section 12(a)(1) of the Securities Act of 1933, 15 U.S.C. section 771(a)(1) ; Return date: 3/15/00. (pl) (Entered: 02/15/2000)

    03/01/2000 70 MEMORANDUM OF LAW by Peter C. Ellison in opposition to [69-1] motion for an order for reconsideration of that portion of the Order granting class certification to plainitffs' claims arising under section 12(a)(1) of the Securities Act of 1933, 15 U.S.C. section 771(a)(1) (ls) (Entered: 03/02/2000)

    03/17/2000 71 REPLY MEMORANDUM by Wilson-Davis & Co., Northeast Securities, Vincent J. Iovine, Brian M. Fogel in support re: [69-1] motion for an order for reconsideration of that portion of the Order granting class certification to plainitffs' arising under section 12(a)(1) of the Securities Act of 1933, 15 U.S.C. section 771(a)(1) (ls) (Entered: 03/21/2000)

    03/30/2000 72 ORDER; granting [69-1] motion for an order for reconsideration of that portion of the Order granting class certification to plainitffs' claims arising under section 12(a)(1) of the Securities Act of 1933, 15 U.S.C. section 771(a)(1); upon reconsideration, my prior order is modified to the extent that the certification of the claims raised under 12(a)(1) is hereby vacated. ( signed by Judge Denny Chin ); Copies mailed. (sac) (Entered: 03/30/2000)

    03/30/2000 Memo endorsed on motion; granting [69-1] motion for an order for reconsideration of that portion of the Order granting class certification to plainitffs' claims arising under section 12(a)(1) of the Securities Act of 1933, 15 U.S.C. section 771(a)(1). Motion granted by Order dated 3/27/00; ( signed by Judge Denny Chin ); copies mailed (ls) (Entered: 03/30/2000)

    04/24/2000 73 ORDER; that all discovery in this action shall be complete by 9/22/00; the parties shall appear for a final pre-trial conference on 9/22/00 at 10:00 a.m. in Courtroom 11A . ( signed by Judge Denny Chin ); Copies mailed. (jp) (Entered: 04/24/2000)

    04/26/2000 74 ORDER, set settlement conference for 10:30 5/19/00. Please be advised that all counsel for parties are expected to attend with authority to settle the matter ( signed by Magistrate Judge Ronald L. Ellis ); Copies mailed (cd) (Entered: 04/26/2000)

    06/09/2000 75 Transcript of record of proceedings before Judge Denny Chin for the date(s) of 4/17/00 at 11:00 AM. (sn) (Entered: 06/09/2000)

    06/28/2000 76 NOTICE OF MOTION by Northeast Securities, Vincent J. Iovine, Brian M. Fogel, and Wilson-Davis & Co.; for an order compelling plaintiffs to provide adequate responses to the Northeast Defendants' and Wilson-Davis' first set of interrogatories and third set of requests for production of documents ; for an order impose sanctions on plaintiffs for repeatedly ignoring this Court's previous rulings

  • requiring plaintiffs to provide complete responses to the Northeast Defendants' and Wilson-Davis' interrogatories ; no return date indicated. (kw) (Entered: 06/29/2000)

    06/28/2000 77 NOTICE OF MOTION by Wilson-Davis & Co., Northeast Securities, Vincent J. Iovine, Brian M. Fogel; to compel pltffs to provide adequate responses to Wilson Davis and the Northeast Defts' first set of interrog's and third set of requests for production of doc's. ; to impose sanctions on pltffs for repeatedly ignoring this Court's order requiring pltffs to provide complete responses to such discovery requests ; Return date 7/24/00. (lf) (Entered: 06/30/2000)

    06/30/2000 78 MEMORANDUM OF LAW by Peter C. Ellison, and James C. Carson in opposition to [76-1] motion for an order compelling plaintiffs to provide adequate responses to the Northeast Defendants' and Wilson-Davis' first set of interrogatories and third set of requests for production of documents, [76-2] motion for an order impose sanctions on plaintiffs for repeatedly ignoring this Court's previous rulings requiring plaintiffs to provide complete responses to the Northeast Defendants' and Wilson-Davis' interrogatories, [77-1] motion to compel pltffs to provide adequate responses to Wilson Davis and the Northeast Defts' first set of interrog's and third set of requests for production of doc's., and [77-2] motion to impose sanctions on pltffs for repeatedly ignoring this Court's order requiring pltffs to provide complete responses to such discovery requests. (kw) (Entered: 07/05/2000)

    07/12/2000 79 REPLY MEMORANDUM by Wilson-Davis & Co., Northeast Securities re: [76-1] motion for an order compelling plaintiffs to provide adequate responses to the Northeast Defendants' and Wilson-Davis' first set of interrogatories and third set of requests for production of documents, [76-2] motion for an order impose sanctions on plaintiffs for repeatedly ignoring this Court's previous rulings requiring plaintiffs to provide complete responses to the Northeast Defendants' and Wilson-Davis' interrogatories, [77-1] motion to compel pltffs to provide adequate responses to Wilson Davis and the Northeast Defts' first set of interrog's and third set of requests for production of doc's., [77-2] motion to impose sanctions on pltffs for repeatedly ignoring this Court's order requiring pltffs to provide complete responses to such discovery requests. (sac) (Entered: 07/13/2000)

    07/12/2000 80 Memo-Endorsement on letter addressed to Judge Chin from Timothy P. Kebbe, dated 7/6/00; pltffs' counsel shall use best efforts to promptly attempt to obtain a list of shareholders. If subpoenas must be served, pltffs' counsel shall serve them on or before 7/20/00. Pltffs' counsel shall circulate a proposed notice of class certification by 7/24/00 to defense counsel. ( signed by Judge Denny Chin ); Copies mailed. (sac) (Entered: 07/13/2000)

    07/21/2000 81 Memo-Endorsement on letter addressed to Judge Chin from Karen L. Martinez & Timothy P. Kebbe, dated 7/11/00; Re: denying defts' application, as a sufficient showing of a need for the discovery has not been made, [76-1] motion for an order compelling plaintiffs to provide adequate responses to the Northeast Defendants' and Wilson-Davis' first set of interrogatories and third set of requests for production of documents, denying [76-2] motion for an order impose sanctions on plaintiffs for repeatedly ignoring this Court's previous rulings requiring plaintiffs to provide complete responses to the Northeast Defendants' and Wilson-Davis' interrogatories, denying [77-1] motion to compel pltffs to provide adequate responses to Wilson Davis and the Northeast Defts' first set of interrog's and third set of requests for production of doc's., denying [77-2] motion to impose sanctions

  • on pltffs for repeatedly ignoring this Court's order requiring pltffs to provide complete responses to such discovery requests. ( signed by Judge Denny Chin ); Copies mailed. (sac) (Entered: 07/24/2000)

    07/24/2000 82 ORDER; that dft's Northeast Securities, Inc., Vincent J. Iovine, Brian M. Fogel, and Wilson-Davis & Co., Inc. move pursuant to F.R.C.P. 37 for an order compelling plaintiffs to provide "adequate" responses to their interrogatories and document requests. The motion is denied, as the Court concludes that plaintiffs' second amended objections and repsonses are "adequate." ; plaintiffs' request for attorneys' fees and costs is also denied . ( signed by Judge Denny Chin ); Copies mailed. (pl) Modified on 07/26/2000 (Entered: 07/25/2000)

    07/24/2000 Memo endorsed on Wilson-Davis & Company, Inc., Northeast Securities, Inc., Vincent J. Iovine and Brian M. Fogels' motion to compel and for sanctions; Motion denied by order dated July 24, 2000 . (signed by Judge Denny Chin); Copies mailed. (djc) (Entered: 07/25/2000)

    08/25/2000 83 ORDER; deft Wilson-Davis & Co. requests that this Court issue Letters Rogatory permitting depositions of former solicitors associated with Eversheds in this action; Eversheds objects to the request; the Court has considered the letters submitted by the parties and counsel for Eversheds; it is hereby ordered that Wilson-Davis's request, as currently submitted, is denied w/o prejudice to the filing of a request for proper Letters Rogatory ; ( signed by Judge Denny Chin ); Copies mailed. (lf) (Entered: 08/25/2000)

    09/18/2000 84 Affidavit of service of subpoena as to James Wyss by affixing to door on 8/30/00 (previous attempts of service on 8/16, 8/21, 8/24, and 8/25). Also by mail on 8/30/00. (lam) Modified on 09/21/2000 (Entered: 09/21/2000)

    09/18/2000 85 Affidavit of service of subpoena as to Andrew P. Daniels by personal service on 8/16/00. (lam) (Entered: 09/21/2000)

    09/18/2000 86 Affidavit of service of subpoena as to Sal Zangari by personal service on 8/12/00. (lam) (Entered: 09/21/2000)

    09/18/2000 87 Affidavit of service of subpoena as to Mark McGivney by affixing to door on 9/13/00 (attempts of service on 8/10, 8/18, 8/29, and 9/1/00). Also by mail in 9/13/00. (lam) (Entered: 09/21/2000)

    09/21/2000 88 Memo-Endorsement on letter addressed to Judge Chin from David C. Katz, dated 09/15/00; approving counsel to plaintiffs' request that the Court approve the Notice, the Summary Notice and the dissemination of both to members of the Class in the manner detailed in this letter, which has been agreed to by the parties ; (signed by Judge Denny Chin ); Copies mailed. (djc) (Entered: 09/22/2000)

    09/21/2000 89 ORDER approving the notice of pendency, the mailing thereof, the summary notice and the publication thereof, as set forth in this Order . ( signed by Judge Denny Chin ); Copies mailed. (sn) (Entered: 09/25/2000)

    09/21/2000 90 Memo-Endorsement on letter addressed to Judge Chin from Karen L. Martinez, dated 9/7/00; Re: purs. to Rule 28(b) of the FRCP, the Hague Convention of 3/18/70 on the Taking of Evidence Abroad in Civil or Commercial Matters, and Service of Process and Taking of Evidence (Amendment)(Jersey) Law, 1985,

  • Wilson-Davis & Co., Inc. and the Northeast Defts write to apply to your Honor for an order issuing the attached (1) Letter of Request for International Judicial Assistance Purs. to the Hague Convention of 3/18/70 on the Taking of Evidence Abroad in Civil or Commercial Matters; and (2) Letters of Request to the Royal Court of Jersey. This application is granted and I have today signed the two Requests. The discovery provided shall be subject to a protective order. Defts shall pay the fees and expenses of Eversheds and the four solicitors. ( signed by Judge Denny Chin ); Copies mailed. (sac) (Entered: 09/25/2000)

    10/02/2000 91 Affidavit of service of subpoena as to Anthony Vastano by personal service on 9/18/00. (lam) (Entered: 10/05/2000)

    10/12/2000 92 ORDER, pltff's seek to extend the parties' informal 10/27/00 discovery deadline to 12/11/00, and to extend the summary judgment briefing schedule accordingly; pltffs base their request upon their recent discovery that the SEC is in possession of tapes and transcripts that may be relevant to their claims; pltffs' request for relief is denied, except that pltffs may proceed to obtain those tapes and transcripts from the SEC ; the SEC has been subpoenaed and the Court fully expects that the SEC will comply with its obligations as it has indicated it will; pltff shall share any tapes or transcripts they obtain from the SEC with all other parties (at the latter's expense) ( signed by Judge Denny Chin ); Copies mailed. (lam) (Entered: 10/16/2000)

    10/17/2000 93 Memo-Endorsement on letter addressed to Judge Chin from Timothy P. Kebbe, dated 10/13/00. Approving Northeast Defendants' request that the Court authorize the Northeast and Wilson-Davis Defendants to file (a) a 25 page joint brief with respect to defenses which are common to both defendants; and (b) separate briefs, each totaling no more than 15 pages. Also grant Northeast defendants' request to file a seven page joint reply brief concerning joint defenses, as well as separate seven page reply briefs to address unique ones . ( signed by Judge Denny Chin ); Copies mailed. (kw) Modified on 10/18/2000 (Entered: 10/17/2000)

    10/23/2000 Settlement Conference held before Magistrate Judge Ronald L. Ellis . (jp) (Entered: 10/27/2000)

    11/01/2000 94 Transcript of record of proceedings before Judge Denny Chin for the date(s) of 9/8/00 @3:00pm. (lam) (Entered: 11/02/2000)

    04/09/2002 Memo-Endorsement on letter addressed to Judge Chin from Jack I. Zwick, dated 4/8/02. Re: Mr. Zwick writes on behalf of all parties requesting additional time to resolve the remaining issues and undertake to report to the Court within two weeks. Application Approved . ( signed by Judge Denny Chin ); Copies mailed. ORIGINAL ENTERED IN CASE #97cv1753 (DC), DOC. #94. (tp) (Entered: 04/12/2002)

    04/25/2002 Memo-Endorsement on letter addressed to Judge Chin from Timothy P. Kebbe, dated 4/22/02; granting the parties in the Ellison action, 97 cv 1753, request to have until 5/22/02 to furnish the Court with an additional report concerning the status of settlement . ( signed by Judge Denny Chin ); Copies mailed. (Original document filed under 97 cv 1753 as Doc. #95) (sn) (Entered: 04/29/2002)

    02/18/2003 95 ORDER ESTABLISHING NOTICE PROCEDURES, The terms of the Stipulation and the Settlement provided therein are preliminarily approved as being fair, reasonable and adequate. The following are approved: the notice of proposed

  • settlement and of approval hearing; the summary notice of proposed settlement and of approval hearing; and the proof of claim and release form. The Court appoints Berdon LLP, One Jericho Plaza, Jericho, NY 11753, to be the Claims Administrator and Escrow Agent. A hearing shall be held before this Court on 5/6/03 at 9:30 a.m., as set forth in the notice, as furhter set forth on this order. ( signed by Judge Denny Chin ); Copies faxed by Chambers. (sb) (Entered: 02/21/2003)

    05/02/2003 97 DECLARATION (Copy) of Jeffrey S. Abraham in support Re: in support of application for an award of attorneys' fees and reimbjursement of expenses filed on behalf of Law Offices of Jeffrey S. Abraham. (djc) (Entered: 05/09/2003)

    05/02/2003 98 DECLARATION of Robert B. Gerard in support of Application for an Award of Attorneys' Fees and Reimbursement of Expenses filed on Behalf of Gerard, Osuch & Cisneros, LLP. (djc) (Entered: 05/09/2003)

    05/02/2003 99 MEMORANDUM OF LAW by Peter C. Ellison in Support of Final Approval of Settlement and in Support of Plaintiffs' Application for Fees and Reimbursement of Expenses; (djc) (Entered: 05/09/2003)

    05/02/2003 100 DECLARATION of Joseph H. Weiss by Peter C. Ellison and the Class in support of Final Approval of Class Action Settlement and Application for Award of Attorneys' Fees and Reimbursement of Expenses; (djc) (Entered: 05/09/2003)

    05/02/2003 101 AFFIDAVIT of Michael Rosenbaum Re: Mailing and Publication of Notice; (djc) (Entered: 05/09/2003)

    05/02/2003 102 DECLARATION of Peter J. Schulz in support of Application for an Awrd of Attorneys' fees and Reimbusement of Expenses Filed on Bahalf of Greco Traficante & Edwards (djc) (Entered: 05/09/2003)

    05/02/2003 103 DECLARATION of Thomas J. Romans in support of his Applicaiton for an Award of Attoneys' Fees and Reimbursement of Expenses. (djc) (Entered: 05/09/2003)

    05/02/2003 104 DECLARATION of Jules Brody in support of Applicaiton for an awrd of Attorneys' Fees and Reimbursemetn of Expenses filed on behalf of Stull, Stull & Brody (djc) (Entered: 05/09/2003)

    05/07/2003 96 JUDGMENT AND ORDER OF FINAL APPROVAL; this litigation is dismissed on the merits with prejudice as to the Settling Defts, without costs to any party as against any other, and the Lead Pltffs and all Class Members are forever enjoined and barred from commencing or prosecuting any other action against any of the Released Persons asserting any of the Released Claims. Accordingly, (a) the Non-Settling Defts and the Settling Defts are hereby permanently barred, enjoined and restrained as stated in this document. This Court hereby awards to Class Counsel attys' fees and expenses in the amount of $175,000 to be paid by the Settling Broker Defts in accordance with the terms of the Stipulation. The Court hereby grants reimbursement awards of $1,500 to each of the Court appointed Representative Pltffs: Peter C. Ellison, Richard Ullman, Susan Ullman, Martin Cervenka, Darren Adams, Paul De Grasse, and Michael House. If after six months following distribution of the Settlement Fund to Class Members any funds remain, as a result of uncashed checks or otherwise, any such funds shall be contributed by Class Counsel to a medical or charitable institution. It is expressly determined,

  • within the meaning of FRCP 54(b), that there is no just reason for delay and final judgment is hereby entered. ( signed by Judge Denny Chin ); Mailed copies and notice of right to appeal. Entered On Docket: 5/8/03. (sac) Modified on 05/08/2003 (Entered: 05/08/2003)

    05/07/2003 Case closed. (sac) (Entered: 05/08/2003)

    05/23/2003 105 AFFIDAVIT of David C. Katz by Peter C. Ellison in support of application for certificates of default. (yv) (Entered: 05/28/2003)

    07/03/2003 106 Transcript of record of proceedings before Judge Denny Chin for the date(s) of May 6, 2003. (dt) (Entered: 07/16/2003)

    09/19/2003 107 DECLARATION of Jack I. Zwick in support of the motion for entry of default. (jco) (Entered: 09/23/2003)

    09/19/2003 108 AFFIDAVIT OF SERVICE of summons and complaint as to BGSG Holding Corp. by Michael R. Reilly on 9/16/97. Answer due on 10/6/97 for BGSG Holding Corp. (jco) (Entered: 09/23/2003)

    09/19/2003 109 AFFIDAVIT OF SERVICE of summons and complaint as to John J. Kenna by "John Smith" Security Guard on 10/13/97. Answer due on 11/3/97 for John J. Kenna. (jco) (Entered: 09/23/2003)

    09/19/2003 110 WAIVER OF SERVICE of summons and complaint returned executed as to Anthony Vastano mailed on 7/7/97. Answer due on 9/5/97 for Anthony Vastano. (jco) (Entered: 09/23/2003)

    09/19/2003 111 WAIVER OF SERVICE of summons and complaint returned executed as to Paul J. Comesky mailed on 7/7/97. Answer due on 9/5/97 for Paul J. Comesky. (jco) (Entered: 09/23/2003)

    09/19/2003 112 WAIVER OF SERVICE of summons and complaint returned executed as to Andrew P. Daniels mailed on 7/8/97. Answer due on 9/8/97 for Andrew P. Daniels. (jco) (Entered: 09/23/2003)

    09/19/2003 113 AFFIDAVIT OF SERVICE of summons and complaint as to Global Financial by Michael R. Reilly on 9/16/97. Answer due on 10/6/97 for Global Financial. (jco) (Entered: 09/23/2003)

    09/19/2003 114 AFFIDAVIT OF SERVICE of summons and complaint as to Michael R. Reilly by personal service on 9/16/97. Answer due on 10/6/97 for Michael R. Reilly. (jco) (Entered: 09/23/2003)

    11/25/2003 115 DEFAULT JUDGMENT # 03,2500 in favor of Peter C. Ellison, on behalf of class against defaulting defendants BGSG Holding Corp., Paul J. Comesky, Andrew P. Daniels, Joseph Del Negro, Global Financial Traders, LTD., Harris, Ltd., John J. Kenna, Lybster, Ltd., Minimum Effort, Ltd., Michael R. Reilly, Toryl, Ltd., Anthony Vastano, Valerie Vastano in the amount of $ 4,889,470.00. on a joint and several basis. (Signed by Judge Denny Chin on 11/10/03) (pl, ) (Entered: 11/30/2003)

    05/05/2004 116 MOTION for Disbursement of Funds to Class Members. Filed by Lead Counsel for the Class. (kw, ) (Entered: 05/07/2004)

  • 05/05/2004 117 AFFIDAVIT of Michael Rosenbaum in Support re: [116] MOTION for Disbursement of Funds. (kw, ) (Entered: 05/07/2004)

    05/14/2004 118 ORDER Approving [116] MOTION for Disbursement of Funds as set forth in this Order. (Signed by Judge Denny Chin on 5/13/04) Filed In Associated Cases: 1:97-cv-03608-DC-RLE,1:98-cv-00692-DC(djc, ) (Entered: 05/17/2004)

    05/14/2004 MEMO ENDORSEMENT on re: [116] MOTION for Disbursement of Funds. Motion granted, pursuant to Order dated 5/13/04. (Signed by Judge Denny Chin on 5/14/04) (kw, ) (Entered: 05/17/2004)

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