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

US District Court Civil Docket as of November 25, 2019 Retrieved from the court on November 25, 2019

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

CIVIL DOCKET FOR CASE #: 1:16-cv-09727-WHP

Jon D. Gruber v. Ryan R. Gilbertson, et al. Assigned to: Judge William H. Pauley, III Cause: 15:77 Securities Fraud

Date Filed: 12/16/2016 Jury Demand: Both Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff

Jon D. Gruber Individually And On Behalf Of All Others Similarly Situated

represented by Louis Andrew Kessler Cera LLP 595 Market Street, Suite 2300 San Francisco, CA 94105 (415) 977-2221 Fax: (415) 777-5189 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Pamela A. Markert Cera LLP 595 Market Street Ste 1350 San Francisco, CA 94105 415-777-2230 Fax: 415-777-5189 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Solomon B. Cera Cera LLP 595 Market Street Ste 1350 San Francisco, CA 94105 415-977-2230 Fax: 415-777-5189 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Jeffrey Simon Abraham

Abraham Fruchter & Twersky LLP One Penn Plaza Suite 2805 New York, NY 10119 212-279-5050 Fax: 212-279-3655 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Steven Deardeuff on behalf of himself and on behalf of others similalry situated

represented by Phillip C. Kim The Rosen Law Firm 275 Madison Avenue 40th Floor New York, NY 10016 212-686-1060 Fax: 212-202-3827 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Jon D. & Linda W. Gruber Trust represented by Louis Andrew Kessler (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Pamela A. Markert (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Solomon B. Cera (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Jeffrey Simon Abraham (See above for address) ATTORNEY TO BE NOTICED

V.

Movant

Nibahoo Malhotra represented by Phillip C. Kim (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant

Dakota Plains Holdings, Inc.

Defendant

Craig M McKenzie represented by Bradley Gershel Ballard Spahr LLP 1675 Broadway, 19th Floor New York, NY 10019 646-346-8034 Email: [email protected] TERMINATED: 08/01/2018 Christopher Mcbeth Proczko Ballard Spahr LLP (MN) 2000 IDS Center 80 South 8th Street Minneapolis, MN 55402 (612)-371-3545 Fax: (612)-371-3207 Email: [email protected] TERMINATED: 05/17/2018 PRO HAC VICE Karl Jon Breyer Kutak Rock LLP 60 S. 6th Street, Suite 3400 Minneapolis, MN 55402 (612) 334-5000 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Leland Patrick Abide Kutak Rock LLP 60 South 6th Street Suite 3400 Minneapolis, MN 55402 612-334-5000 Fax: 612-334-5050 Email: [email protected] ATTORNEY TO BE NOTICED Marjorie Joan Peerce Ballard Spahr LLP (NYC) 1675 Broadway, 19th Floor New York, NY 10019 212-223-0200 Fax: 212-223-1942 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Timothy R. Brady represented by Carrie Baker Anderson Allen & Overy, LLP 1221 Avenue of the Americas New York, NY 10020 (212)-745-1145 Fax: (212)-610-6399 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Ranelle A. Leier Fox Rothschild LLP (Minneapolis) 222 South Ninth Street, Suite 2000 Minneapolis, MN 55402-3338 (612) 607-7247 Fax: (612) 607-7100 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Oksana Gaussy Wright Fox Rothschild, LLP (NYC) 101 Park Avenue, 17th Floor New York, NY 10178 212-878-7900 Fax: 212-692-0940 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Gabriel G Claypool represented by Victoria Peng Morgan Lewis & Bockius, LLP (NY) 101 Park Avenue New York, NY 10178 (212)-309-6366 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Jane E. Dudzinski Morgan, Lewis & Bockius LLP (Chicago) 77 West Wacker Drive, 5th Floor Chicago, IL 60601 (312)-324-1712 Email: [email protected] ATTORNEY TO BE NOTICED Kenneth Michael Kliebard

Morgan, Lewis & Bockius LLP (Chicago) 77 West Wacker Drive, 5th Floor Chicago, IL 60601 (312) 324-1774 Fax: (312)-324-1001 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Michael L. Reger represented by David Anthony Scheffel Dorsey & Whitney LLP 51 West 52nd Street New York, NY 10019 212 415-9200 Fax: 212 953-7201 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Caitlin L. D. Hull Dorsey & Whitney LLP 50 South Sixth Street Ste 1500 Minneapolis, MN 55402 612-492-6773 Fax: 612-677-3299 Email: [email protected] ATTORNEY TO BE NOTICED James K. Langdon Dorsey & Whitney LLP (MN) 50 South Sixth Street, Suite 1500 Minneapolis, MN 55402 (612)-340-8759 Email: [email protected] ATTORNEY TO BE NOTICED Michael E. Rowe , III Dorsey & Whitney LLP (MN) 50 South Sixth Street, Suite 1500 Minneapolis, MN 55402 (612)-492-6724 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Terry H. Rust represented by Bradley Gershel (See above for address) TERMINATED: 08/01/2018

Christopher Mcbeth Proczko (See above for address) TERMINATED: 05/17/2018 PRO HAC VICE Karl Jon Breyer (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Leland Patrick Abide (See above for address) ATTORNEY TO BE NOTICED Marjorie Joan Peerce (See above for address) ATTORNEY TO BE NOTICED

Defendant

Paul M. Cownie represented by Bradley Gershel (See above for address) TERMINATED: 08/01/2018 Christopher Mcbeth Proczko (See above for address) TERMINATED: 05/17/2018 PRO HAC VICE Karl Jon Breyer (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Leland Patrick Abide (See above for address) ATTORNEY TO BE NOTICED Marjorie Joan Peerce (See above for address) ATTORNEY TO BE NOTICED

Defendant

David J. Fellon represented by Bradley Gershel (See above for address) TERMINATED: 08/01/2018 Christopher Mcbeth Proczko (See above for address) TERMINATED: 05/17/2018

PRO HAC VICE Karl Jon Breyer (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Leland Patrick Abide (See above for address) ATTORNEY TO BE NOTICED Marjorie Joan Peerce (See above for address) ATTORNEY TO BE NOTICED

Defendant

Gary L. Alvord represented by Bradley Gershel (See above for address) TERMINATED: 08/01/2018 Christopher Mcbeth Proczko (See above for address) TERMINATED: 05/17/2018 PRO HAC VICE Karl Jon Breyer (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Leland Patrick Abide (See above for address) ATTORNEY TO BE NOTICED Marjorie Joan Peerce (See above for address) ATTORNEY TO BE NOTICED

Defendant

James L. Thornton represented by Bradley Gershel (See above for address) TERMINATED: 08/01/2018 Christopher Mcbeth Proczko (See above for address) TERMINATED: 05/17/2018 PRO HAC VICE Karl Jon Breyer (See above for address)

PRO HAC VICE ATTORNEY TO BE NOTICED Leland Patrick Abide (See above for address) ATTORNEY TO BE NOTICED Marjorie Joan Peerce (See above for address) ATTORNEY TO BE NOTICED

Defendant

Ryan R. Gilbertson represented by Amy S. Conners Best & Flanagan LLP 60 S. 6th St Suite 2700 Minneapolis, MN 55402 612-339-7121 Fax: 612-339-5897 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Troy J. Hutchinson Rock Hutchinson, Pllp 120 South Sixth Street, Suite 2050 Minneapolis, MN 55402 (612)-743-3164 Fax: 612-977-8650 Email: [email protected] TERMINATED: 03/28/2018 LEAD ATTORNEY John A. Sullivan Best & Flanagan 60 South Sixth Street, Suite 2700 Minneapolis, MN 55402 (612)-341-9735 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

James Randall Reger TERMINATED: 09/17/2019

represented by David Anthony Scheffel (See above for address) ATTORNEY TO BE NOTICED Matthew D Forsgren Greene Espel PLLP 222 S 9th St. Ste 2200 Minneapolis, MN 55402

612-373-8399 Email: [email protected] ATTORNEY TO BE NOTICED Thomas M Kelly Kelly & Jacobson 650 3rd Ave S Suite 260 Minneapolis, MN 55402 612-339-5055 Fax: 612-339-7851 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Joseph Clark Reger Individually and as Custodian for W.J.R. and J.M.R. (UTMA) TERMINATED: 09/17/2019

represented by David Anthony Scheffel (See above for address) ATTORNEY TO BE NOTICED Matthew D Forsgren (See above for address) ATTORNEY TO BE NOTICED Thomas M Kelly (See above for address) ATTORNEY TO BE NOTICED

Defendant

Weldon W. Gilbertson Individually and as Custodian for H.G. (UTMA), and as Trustee of the Ryan Gilbertson 2012 Family Irrevocable Trust TERMINATED: 09/17/2019

represented by Aaron Knoll Greene Espel PLLP 222 S 9th St. Ste 2200 Minneapolis, MN 55402 612-373-8371 Fax: 612-373-0929 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED David Wallace-Jackson Greene Espel PLLP 222 S 9th St. Ste 2200 Minneapolis, MN 55402 612-373-8329 Fax: 612-373-0929 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Matthew D Forsgren (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Amy S. Conners (See above for address) ATTORNEY TO BE NOTICED

Defendant

The Total Depth Foundation

Defendant

Jessica C. Gilbertson TERMINATED: 09/17/2019 also known as Jessica Medlin TERMINATED: 09/17/2019

represented by Lori Johnson Parker Daniels Kibort LLC 123 3rd St N Ste 888 55401 Minneapolis, MN 55401 612-355-4100 Fax: 612-355-4101 Email: [email protected] TERMINATED: 11/01/2019 LEAD ATTORNEY

Defendant

Kellie Tasto as Custodian for H.G. (UTMA) TERMINATED: 09/17/2019

represented by Aaron Knoll (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED David Wallace-Jackson (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Matthew D Forsgren (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed # Docket Text

12/16/2016 1 COMPLAINT against Timothy Brady, Gabriel G Claypool, Dakota Plains Holdings, Inc., Ryan Gilbertson, Craig M McKenzie, Michael L. Reger. (Filing Fee $ 400.00, Receipt Number 0208-13107416)Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Attachments: # 1 Certification, # 2 Exhibit 1, # 3 Exhibit 2)(Kim, Phillip) (Entered: 12/16/2016)

12/16/2016 2 CIVIL COVER SHEET filed. (Kim, Phillip) (Entered: 12/16/2016)

12/16/2016 3 REQUEST FOR ISSUANCE OF SUMMONS as to Timothy R. Brady, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016)

12/16/2016 4 REQUEST FOR ISSUANCE OF SUMMONS as to Gabriel G. Claypool, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016)

12/16/2016 5 REQUEST FOR ISSUANCE OF SUMMONS as to Dakota Plains Holdings, Inc., re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016)

12/16/2016 6 REQUEST FOR ISSUANCE OF SUMMONS as to Ryan Gilbertson, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016)

12/16/2016 7 REQUEST FOR ISSUANCE OF SUMMONS as to Michael L. Reger, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016)

12/19/2016 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Phillip C. Kim. The party information for the following party/parties has been modified: Timothy Brady. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error. (pc) (Entered: 12/19/2016)

12/19/2016 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge William H. Pauley, III. Please download and review the Individual Practices of the assigned District Judge, located at http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at http://nysd.uscourts.gov/ecf_filing.php. (pc) (Entered: 12/19/2016)

12/19/2016 Magistrate Judge Debra C. Freeman is so designated. (pc) (Entered: 12/19/2016)

12/19/2016 Case Designated ECF. (pc) (Entered: 12/19/2016)

12/19/2016 8 ELECTRONIC SUMMONS ISSUED as to Michael L. Reger. (pc) (Entered: 12/19/2016)

12/19/2016 9 ELECTRONIC SUMMONS ISSUED as to Ryan Gilbertson. (pc) (Entered: 12/19/2016)

12/19/2016 10 ELECTRONIC SUMMONS ISSUED as to Dakota Plains Holdings, Inc.. (pc) (Entered: 12/19/2016)

12/19/2016 11 ELECTRONIC SUMMONS ISSUED as to Gabriel G Claypool. (pc) (Entered: 12/19/2016)

12/19/2016 12 ELECTRONIC SUMMONS ISSUED as to Timothy R. Brady. (pc) (Entered: 12/19/2016)

12/22/2016 13 ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 3/17/2017 at 11:30 AM in Courtroom 20B, 500 Pearl Street, New York, NY 10007 before Judge William H. Pauley III. As further set forth in this Order. (Signed by Judge William H. Pauley, III on 12/22/2016) (anc) (Entered: 12/22/2016)

01/14/2017 14 NOTICE of SUGGESTION OF BANKRUPTCY. Document filed by Dakota Plains Holdings, Inc.. (Rose, Jorian) (Entered: 01/14/2017)

01/17/2017 15 AFFIDAVIT OF SERVICE of Suggestion of Pendency of Bankruptcy Proceeding on January 17, 2017. Service was made by Mail. Document filed by Dakota Plains Holdings, Inc.. (Rose, Jorian) (Entered: 01/17/2017)

02/14/2017 16 MOTION to Appoint Counsel and Lead Plaintiff. Document filed by Nibahoo Malhotra. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 02/14/2017)

02/14/2017 17 MEMORANDUM OF LAW in Support re: 16 MOTION to Appoint Counsel and Lead Plaintiff. . Document filed by Nibahoo Malhotra. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) (Entered: 02/14/2017)

02/14/2017 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s) . Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Abraham, Jeffrey) (Entered: 02/14/2017)

02/14/2017 19 MEMORANDUM OF LAW in Support re: 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s) . . Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Abraham, Jeffrey) (Entered: 02/14/2017)

02/14/2017 20 DECLARATION of Solomon B. Cera in Support re: 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s) .. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Abraham, Jeffrey) (Entered: 02/14/2017)

02/24/2017 21 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Solomon B. Cera to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13352847. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Cera, Solomon) Modified on 2/24/2017 (ma). (Entered: 02/24/2017)

02/24/2017 22 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Louis A. Kessler to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13352905. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Kessler, Louis) Modified on 2/24/2017 (ma). (Entered: 02/24/2017)

02/24/2017 23 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Solomon B. Cera to Appear Pro Hac Vice Filing Fee Paid, receipt number 0208-13. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Cera, Solomon) Modified on 2/24/2017 (bcu). (Entered: 02/24/2017)

02/24/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 21 MOTION for Solomon B. Cera to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13352847. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): MISSING AFFIDAVIT OR DECLARATION PURSUANT TO LOCAL RULE 1.3;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma) (Entered: 02/24/2017)

02/24/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 22 MOTION for Louis A. Kessler to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13352905. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): MISSING AFFIDAVIT OR DECLARATION PURSUANT TO LOCAL RULE 1.3;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma) (Entered: 02/24/2017)

02/24/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 23 MOTION for Solomon B. Cera to Appear Pro Hac Vice Filing Fee Paid, receipt number 0208-13. Motion and supporting papers to be reviewed by Clerk's Office staff., Terminate Motions,.. The filing is deficient for the following reason(s): Missing Attorney Affidavit/Declaration. Please read Local Rule 1.3;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu) (Entered: 02/24/2017)

02/24/2017 24 MOTION for Solomon B. Cera to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Solomon B. Cera, Filing Fee Paid, receipt number 0208-13,. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Affidavit, # 3 Text of Proposed Order)(Cera, Solomon) (Entered: 02/24/2017)

02/24/2017 25 MOTION for Louis A. Kessler to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Louis A. Kessler, Filing fee paid, receipt number 0208-13352905. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Affidavit, # 3 Text of Proposed Order)(Kessler, Louis) (Entered: 02/24/2017)

02/27/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 25 MOTION for Louis A. Kessler to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Louis A. Kessler, Filing fee paid, receipt number 0208-13352905. Motion and supporting papers to be reviewed by Clerk', 24 MOTION for Solomon B. Cera to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Solomon B. Cera, Filing Fee Paid, receipt number 0208-13,. Motion and supporting papers to be reviewed by Clerk's Offi. The document has been reviewed and there are no deficiencies. (wb) (Entered: 02/27/2017)

02/28/2017 26 MEMORANDUM OF LAW in Opposition re: 16 MOTION to Appoint Counsel and Lead Plaintiff. of Nibahoo Malhotra. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Abraham, Jeffrey) (Entered: 02/28/2017)

03/01/2017 27 NOTICE of Withdrawal of Lead Plaintiff Motion re: 16 MOTION to Appoint Counsel and Lead Plaintiff.. Document filed by Nibahoo Malhotra. (Kim, Phillip) (Entered: 03/01/2017)

03/07/2017 28 REPLY MEMORANDUM OF LAW in Support re: 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s) . . Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Abraham, Jeffrey) (Entered: 03/07/2017)

03/10/2017 29 SCHEDULING ORDER: The initial conference scheduled for March 17, 2017 is adjourned to March 30, 2017 at 2:00 p.m. Initial Conference set for 3/30/2017 at 02:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 03/10/2017) (ap) (Entered: 03/10/2017)

03/17/2017 ***DELETED DOCUMENT. Deleted document number 30 Order. The document was incorrectly filed in this case. (ap) (Entered: 03/17/2017)

03/29/2017 30 ORDER GRANTING ADMISSION PRO HAC VICE granting 24 Motion for Solomon B. Cera to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 3/29/2017) (cla) (Entered: 03/29/2017)

03/29/2017 31 ORDER GRANTING ADMISSION PRO HAC VICE granting 25 Motion for Louis A. Kessler to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 3/29/2017) (cla) (Entered: 03/29/2017)

03/30/2017 32 SCHEDULING ORDER: Amended Pleadings due by 5/1/2017. Status Conference set for 6/23/2017 at 02:30 PM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 3/30/2017) (cla) (Entered: 03/30/2017)

03/30/2017 34 Minute Entry for proceedings held before Judge William H. Pauley, III: Initial Pretrial Conference held on 3/30/2017. (Choi, Brian) (Entered: 04/06/2017)

03/31/2017 33 NOTICE of Proposed order Granting Motion of Jon D. Gruber for: (1) Appointment as Lead Plaintiff; and (2) Approval of Selection of Lead Counsel for the Class re: 20 Declaration in Support of Motion, 19 Memorandum of Law in Support of Motion, 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s) .. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Cera, Solomon) (Entered: 03/31/2017)

04/07/2017 35 ORDER GRANTING MOTION OF JON D. GRUBER FOR: (1) APPOINTMENT AS LEAD PLAINTIFF; AND (2) APPROVAL OF SELECTION OF LEAD COUNSEL FOR THE CLASS granting 18 Motion to Appoint Jon D. Gruber as Lead Plaintiff(s). IT IS HEREBY ORDERED THAT: 1. The Motion is granted; 2. Jon D. Gruber is hereby appointed to serve as Lead Plaintiff in the above-captioned action; and 3. Jon D. Gruber's selection of Cera LLP as Lead Counsel for the Class is approved pursuant to 15 U.S.C. §78u-4(a)(3)(B)(v). (Signed by Judge William H. Pauley, III on 4/7/2017) (cla) (Entered: 04/07/2017)

05/01/2017 36 FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR FIRST AMENDED COMPLAINT amending 1 Complaint, against Timothy R. Brady, Gabriel G Claypool, Ryan Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 1 Complaint, filed by Steven Deardeuff. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) Modified on 5/2/2017 (pc). (Entered: 05/01/2017)

05/01/2017 37 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Ryan R. Gilbertson, Michael L. Reger, Gabriel G. Claypool, Craig M. McKenzie, Timothy R. Brady, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton, re: 36 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) Modified on 5/2/2017 (pc). (Entered: 05/01/2017)

05/02/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Louis Andrew Kessler to RE-FILE re: Document No. 36 Amended Complaint,,. The filing is deficient for the following reason(s): all of the parties listed on the pleading were not entered on CM ECF; the wrong party/parties whom the pleading is against were selected; Ryan R. Gilbertson is not a party listed on CM ECF. Docket the event type Add Party to Pleading found under the event list Complaints and Other Initiating Documents. Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (pc) (Entered: 05/02/2017)

05/02/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney to RE-FILE Document No. 37 Request for Issuance of Amended Summons,. The filing is deficient for the following reason(s): the wrong filer/filers were selected for the request for issuance of summons; Ryan R. Gilbertson is not a party listed on CM ECF. An amended summons can only be issued to parties that have previously received one. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (pc) (Entered: 05/02/2017)

05/02/2017 38 FILING ERROR - DEFICIENT PLEADING - FRCP RULE 15 NON-COMPLIANCE FIRST AMENDED COMPLAINT amending 1 Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J.

Fellon, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton, Ryan R. Gilbertson with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 1 Complaint, filed by Steven Deardeuff. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) Modified on 5/3/2017 (pc). (Entered: 05/02/2017)

05/02/2017 39 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Ryan R. Gilbertson, Michael L. Reger, Gabriel G. Claypool, Craig M. McKenzie, Timothy R. Brady, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton, re: 38 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) Modified on 5/9/2017 (pc). (Entered: 05/02/2017)

05/03/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Louis Andrew Kessler to RE-FILE re: Document No. 38 Amended Complaint,,. The filing is deficient for the following reason(s): Court's leave has not been granted The amended complaint was filed correctly after the due date so permission from Chambers will have to be granted in order for the amended complaint to be accepted. Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. File the Exhibit to Pleading event found under the event list Other Documents and attach either opposing party's written consent or Court's leave. (pc) (Entered: 05/03/2017)

05/04/2017 40 LETTER addressed to Judge William H. Pauley, III from Louis A. Kessler dated May 4, 2017 re: requests permission to re-file the First Amended Class Action Complaint. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) (Entered: 05/04/2017)

05/04/2017 41 MEMO ENDORSEMENT on re: 40 Letter filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. ENDORSEMENT: Application granted. (Signed by Judge William H. Pauley, III on 5/4/2017) (mro) (Entered: 05/05/2017)

05/05/2017 42 FIRST AMENDED COMPLAINT amending 1 Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 1 Complaint, filed by Steven Deardeuff. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) (Entered: 05/05/2017)

05/09/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney to RE-FILE Document No. 39 Request for Issuance of Amended Summons,. The filing is deficient for the following reason(s): An amended summons can only be issued to parties that have previously received one. Parties that have not yet been issued a summons can only request a standard summons. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (pc) (Entered: 05/09/2017)

05/09/2017 43 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Michael L. Reger, Gabriel G. Claypool, Craig M. McKenzie, Timothy R. Brady, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) Modified on 5/10/2017 (pc). (Entered: 05/09/2017)

05/09/2017 44 REQUEST FOR ISSUANCE OF SUMMONS as to Ryan R. Gilbertson, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/09/2017)

05/10/2017 45 ELECTRONIC SUMMONS ISSUED as to Gary L. Alvord, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Terry H. Rust, James L. Thornton. (pc) (Entered: 05/10/2017)

05/10/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney to RE-FILE Document No. 43 Request for Issuance of Amended Summons,. The filing is deficient for the following reason(s): Craig M. McKenzie was never issued a summons so he will require a standard summons. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (pc) (Entered: 05/10/2017)

05/10/2017 46 REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Michael L. Reger, Gabriel G. Claypool, Timothy R. Brady, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/10/2017)

05/10/2017 47 REQUEST FOR ISSUANCE OF SUMMONS as to Craig M. McKenzie, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/10/2017)

05/11/2017 48 ELECTRONIC SUMMONS ISSUED as to Craig M McKenzie. (pc) (Entered: 05/11/2017)

05/11/2017 49 ELECTRONIC AMENDED SUMMONS ISSUED as to Timothy R. Brady, Gabriel G Claypool, Michael L. Reger. (pc) (Entered: 05/11/2017)

05/18/2017 50 NOTICE OF APPEARANCE by David Anthony Scheffel on behalf of Michael L. Reger. (Scheffel, David) (Entered: 05/18/2017)

05/30/2017 51 SUMMONS RETURNED EXECUTED. Gary L. Alvord served on 5/11/2017, answer due 6/1/2017; Timothy R. Brady served on 5/13/2017, answer due 6/5/2017; Gabriel G Claypool served on 5/16/2017, answer due 6/6/2017; Paul M. Cownie served on 5/15/2017, answer due 6/5/2017; David J. Fellon served on 5/17/2017, answer due 6/7/2017; Craig M McKenzie served on 5/15/2017, answer due 6/5/2017; Michael L. Reger served on 5/13/2017, answer due 6/5/2017; Terry H. Rust served on 5/12/2017, answer due 6/2/2017; James L. Thornton served on 5/15/2017, answer due 6/5/2017. Document filed by Jon D. Gruber; Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Kessler, Louis) (Entered: 05/30/2017)

05/31/2017 52 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for James K. Langdon to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13725903. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Declaration of J. Langdon in Support of Motion for Admission Pro Hac Vice)(Scheffel, David) Modified on 5/31/2017 (ma). (Entered: 05/31/2017)

05/31/2017 53 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Michael E. Rowe III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13725964. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit of M. Rowe in Support of Motion to Appear Pro Hac Vice)(Scheffel, David) Modified on 5/31/2017 (ma). (Entered: 05/31/2017)

05/31/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 52 MOTION for James K. Langdon to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13725903. Motion and supporting papers to be reviewed by Clerk's Office staff., 53 MOTION for Michael E. Rowe III to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13725964. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): THE MOTIONS MUST HAVE THE ORIGINAL SIGNATURES OF THE ATTORNEYS SEEKING TO APPEAR PRO HAC VICE.;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma) (Entered: 05/31/2017)

05/31/2017 54 MOTION for James K. Langdon to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Declaration of James K. Langdon)(Scheffel, David) (Entered: 05/31/2017)

05/31/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 54 MOTION for James K. Langdon to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 05/31/2017)

05/31/2017 55 MOTION for Michael E. Rowe III to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Declaration of Michael E. Rowe III)(Scheffel, David) (Entered: 05/31/2017)

05/31/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 55 MOTION for Michael E. Rowe III to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 05/31/2017)

06/02/2017 56 STIPULATION TO EXTEND TIME TO ANSWER FIRST AMENDED COMPLAINT. IT IS HEREBY STIPULATED AND AGREED by and between the undersigned attorneys for the parties that the time within which Defendant Michael L. Reger may move, answer, or otherwise respond to the First Amended Complaint (dkt. 42) is hereby extended from June 5, 2017 up to and including June 16, 2017.

So ordered. Michael L. Reger answer due 6/16/2017. (Signed by Judge William H. Pauley, III on 6/2/2017) (rjm) (Entered: 06/02/2017)

06/14/2017 57 SUMMONS RETURNED EXECUTED. Ryan R. Gilbertson served on 6/14/2017, answer due 7/5/2017. Document filed by Jon D. Gruber; Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A)(Kessler, Louis) (Entered: 06/14/2017)

06/16/2017 58 NOTICE OF APPEARANCE by Marjorie Joan Peerce on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Peerce, Marjorie) (Entered: 06/16/2017)

06/16/2017 59 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE DOCUMENT #60) - LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, 2017. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Peerce, Marjorie) Modified on 6/19/2017 (ldi). (Entered: 06/16/2017)

06/16/2017 60 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, 2017. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Peerce, Marjorie) (Entered: 06/16/2017)

06/16/2017 61 NOTICE OF APPEARANCE by Bradley Gershel on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Gershel, Bradley) (Entered: 06/16/2017)

06/16/2017 62 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Conference addressed to Judge William H. Pauley, III from David A. Scheffel dated June 16, 2017. Document filed by Michael L. Reger.(Scheffel, David) Modified on 6/19/2017 (ldi). (Entered: 06/16/2017)

06/19/2017 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney David Anthony Scheffel to RE-FILE Document 62 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from David A. Scheffel dated June 16, 2017. Use the event type Leave to File Document found under the event list Motions. (ldi) (Entered: 06/19/2017)

06/19/2017 63 LETTER MOTION for Leave to File Motion to Dismiss First Amended Class Action Complaint addressed to Judge William H. Pauley, III from David A. Scheffel dated June 16, 2017. Document filed by Michael L. Reger.(Scheffel, David) (Entered: 06/19/2017)

06/19/2017 64 MEMO ENDORSEMENT on re: 60 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, 2017. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. ENDORSEMENT: The parties' pre-motion conference requests shall be discussed at the status conference scheduled for June 23. Plaintiffs may file a response in advance of the conference. So ordered. Motion(s) terminated: 60 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, 2017. filed by David J. Fellon, Craig M McKenzie, Gary L. Alvord, Terry H. Rust, James L. Thornton, Paul M. Cownie. (Signed by Judge William H. Pauley, III on 6/19/2017) (rjm) Modified on 6/19/2017 (rjm). (Entered: 06/19/2017)

06/19/2017 65 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Karl Jon Breyer to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13800854. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Breyer, Karl) Modified on 6/19/2017 (jc). (Entered: 06/19/2017)

06/19/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 65 MOTION for Karl Jon Breyer to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13800854. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): 1) missing Attorney Affidavit or Declaration; and 2) missing Proposed Order. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Attorney Affidavit or Declaration - attach Proposed Order. (jc) (Entered: 06/19/2017)

06/19/2017 66 MOTION for Karl Jon Breyer to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Exhibit Declaration of K. Jon Breyer, # 2 Exhibit Certificate of Good Standing, # 3 Exhibit Proposed Order for Admission Pro Hac Vice)(Breyer, Karl) (Entered: 06/19/2017)

06/19/2017 67 MOTION for Christopher McBeth Proczko to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13801523. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Exhibit Declaration of Christopher M. Proczko, # 2 Exhibit Certificate of Good Standing, # 3 Exhibit Proposed Order for Admission Pro Hac Vice)(Proczko, Christopher) (Entered: 06/19/2017)

06/19/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 66 MOTION for Karl Jon Breyer to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 06/19/2017)

06/20/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 67 MOTION for Christopher McBeth Proczko to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13801523. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 06/20/2017)

06/20/2017 68 ORDER FOR ADMISSION PRO HAC VICE granting 54 Motion for James K. Langdon to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017)

06/20/2017 69 ORDER FOR ADMISSION PRO HAC VICE granting 55 Motion for Michael E. Rowe III to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017)

06/20/2017 70 ORDER FOR ADMISSION PRO HAC VICE granting 66 Motion for K. Jon Breyer to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017)

06/20/2017 71 ORDER FOR ADMISSION PRO HAC VICE granting 67 Motion for Christopher M. Proczko to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017)

06/20/2017 72 NOTICE OF APPEARANCE by Karl Jon Breyer on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 06/20/2017)

06/21/2017 73 NOTICE OF APPEARANCE by Christopher Mcbeth Proczko on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Proczko, Christopher) (Entered: 06/21/2017)

06/21/2017 74 NOTICE OF APPEARANCE by James K. Langdon on behalf of Michael L. Reger. (Langdon, James) (Entered: 06/21/2017)

06/21/2017 75 NOTICE OF APPEARANCE by Michael E. Rowe, III on behalf of Michael L. Reger. (Rowe, Michael) (Entered: 06/21/2017)

06/22/2017 76 NOTICE OF APPEARANCE by Victoria Peng on behalf of Gabriel G Claypool. (Peng, Victoria) (Entered: 06/22/2017)

06/22/2017 77 MOTION for Kenneth M. Kliebard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13816881. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gabriel G Claypool. (Attachments: # 1 Exhibit Declaration of Kenneth M. Kliebard, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order)(Kliebard, Kenneth) (Entered: 06/22/2017)

06/22/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 77 MOTION for Kenneth M. Kliebard to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13816881. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc) (Entered: 06/22/2017)

06/22/2017 78 NOTICE OF APPEARANCE by Oksana Gaussy Wright on behalf of Timothy R. Brady. (Wright, Oksana) (Entered: 06/22/2017)

06/22/2017 79 MOTION for Jane E. Dudzinski to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13819174. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gabriel G Claypool. (Attachments: # 1 Exhibit Declaration of Jane E. Dudzinski, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order)(Dudzinski, Jane) (Entered: 06/22/2017)

06/22/2017 80 LETTER addressed to Judge William H. Pauley, III from Louis A. Kessler dated June 22, 2017 re: response to letters submitted on behalf of defendant Michael Reger (ECF No. 63) and defendants Craig McKenzie, Terry Rust, Paul Cownie, David Fellon, Gary Alvord and James Thornton (ECF No. 60). Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) (Entered: 06/22/2017)

06/23/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 79 MOTION for Jane E. Dudzinski to Appear Pro Hac Vice . Filing fee $

200.00, receipt number 0208-13819174. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 06/23/2017)

06/23/2017 81 ORDER FOR ADMISSION PRO HAC VICE granting 77 Motion for Kenneth M. Kliebard to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Kenneth M. Kliebard is admitted to practice pro hac vice in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge William H. Pauley, III on 6/23/2017) (ras) (Entered: 06/23/2017)

06/23/2017 82 ORDER FOR ADMISSION PRO HAC VICE: granting 79 Motion for Jane E. Dudzinski to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/23/2017) (js) (Entered: 06/23/2017)

06/23/2017 83 SCHEDULING ORDER granting 63 Letter Motion for Leave to File Document. Counsel for the parties having appeared for a pre-motion conference on June 23, 2017, the following schedule is entered on consent: 1. The parties are directed to submit a Stipulation and Proposed Order regarding amendment of the caption in this action forthwith. 2. Plaintiff is directed to advise this Court and the parties if he will seek to amend his complaint by June 30, 2017. 3. Absent any amendment of the pleadings, the Defendants' joint motion to dismiss shall be filed by August 15, 2017. 4. Plaintiff's opposition to the motion to dismiss shall be filed by September 15, 2017. 5. Defendants' reply shall be filed by September 26, 2017. 6. Oral argument on the motion to dismiss shall be held on October 20, 2017 at 11:30 a.m. Given the number of Defendants in this action, the Defendants and Plaintiff are permitted to file their respective briefs each totaling up to 40 pages in length. Further, Defendants are permitted to file a reply brief totaling up 15 pages in length. The Clerk of Court is directed to terminate the motion pending at ECF No. 63. Moreover, the docket currently lists a "Ryan Gilbertson" as having been terminated from the case on May 8, 2017, and a "Ryan R. Gilbertson" as a named defendant. To avoid any confusion, the Clerk of Court is directed to remove the former-"Ryan Gilbertson"-from the docket forthwith. (Signed by Judge William H. Pauley, III on 6/23/2017) (ras) (Entered: 06/23/2017)

06/23/2017 Set/Reset Deadlines: (Motions due by 8/15/2017. Responses due by 9/15/2017, Replies due by 9/26/2017.) Set/Reset Hearings: (Oral Argument set for 10/20/2017 at 11:30 AM before Judge William H. Pauley III.) (ras) (Entered: 06/23/2017)

06/23/2017 93 Minute Entry for proceedings held before Judge William H. Pauley, III: Status Conference held on 6/23/2017, Initial Pretrial Conference held on 6/23/2017. (Choi, Brian) (Entered: 07/05/2017)

06/26/2017 84 MOTION for Troy J. Hutchinson to Appear Pro Hac Vice for Ryan R. Gilbertson. Filing fee $ 200.00, receipt number 0208-13828503. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ryan R. Gilbertson. (Attachments: # 1 Certificate of Good Standing, # 2 Declaration of T. Hutchinson, # 3 Text of Proposed Order)(Hutchinson, Troy) (Entered: 06/26/2017)

06/26/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 84 MOTION for Troy J. Hutchinson to Appear Pro Hac Vice for Ryan R.

Gilbertson. Filing fee $ 200.00, receipt number 0208-13828503. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc) (Entered: 06/26/2017)

06/26/2017 85 NOTICE OF APPEARANCE by Kenneth Michael Kliebard on behalf of Gabriel G Claypool. (Kliebard, Kenneth) (Entered: 06/26/2017)

06/26/2017 86 NOTICE OF APPEARANCE by Jane E. Dudzinski on behalf of Gabriel G Claypool. (Dudzinski, Jane) (Entered: 06/26/2017)

06/27/2017 87 ORDER FOR ADMISSION PRO HAC VICE: granting 84 Motion for Troy J. Hutchinson to Appear Pro Hac Vice. SO ORDERED. (Signed by Judge William H. Pauley, III on 6/27/2017) (ama) (Entered: 06/27/2017)

06/28/2017 88 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated June 28, 2017 re: Lead Plaintiff has decided to amend the complaint and can submit the amendment on July 10, 2017. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 06/28/2017)

06/29/2017 89 MOTION for Ranelle Leier to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Timothy R. Brady. (Attachments: # 1 Affidavit Affidavit of Ranelle Leier in Support of Motion to Admit Counsel Pro Hac Vice, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order Proposed Order for Admission Pro Hac Vice of Ranelle Leier)(Leier, Ranelle) (Entered: 06/29/2017)

06/29/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 89 MOTION for Ranelle Leier to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 06/29/2017)

06/30/2017 90 ORDER FOR ADMISSION PRO HAC VICE OF RANELLE LEIER granting 89 Motion for Ranelle Leier to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/30/2017) (anc) (Entered: 06/30/2017)

06/30/2017 91 NOTICE OF APPEARANCE by Ranelle A. Leier on behalf of Timothy R. Brady. (Leier, Ranelle) (Entered: 06/30/2017)

06/30/2017 92 NOTICE OF APPEARANCE by Carrie Baker Anderson on behalf of Timothy R. Brady. (Anderson, Carrie) (Entered: 06/30/2017)

07/06/2017 94 MEMO ENDORSED on re: 88 Letter, filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. ENDORSED: In view of Plaintiff's amendment of his Complaint, the briefing schedule for Defendants' motion to dismiss shall remain in place and unchanged. So Ordered (Signed by Judge William H. Pauley, III on 7/6/2017) (js) (Entered: 07/07/2017)

07/07/2017 95 STIPULATION AND ORDER AMENDING CAPTION. IT IS HEREBY STIPULATED AND AGREED, by and between the parties hereto through their counsel of record, that the caption of this action shall be changed pursuant to Rule 10(a) of the Federal Rules of Civil Procedure to reflect the appointment of the lead plaintiff, and all filings hereafter made in this action shall reflect the following caption: Jon D. Gruber, Individually And On Behalf Of All Others Similarly Situated v. Ryan R. Gilbertson, et al., Case No. 16-cv-09727-WHP. IT IS SO

STIPULATED. (Signed by Judge William H. Pauley, III on 7/7/2017) (rjm) (Entered: 07/07/2017)

07/10/2017 96 SECOND AMENDED COMPLAINT amending 42 Amended Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber. Related document: 42 Amended Complaint, filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) Modified on 7/11/2017 (pc). (Entered: 07/10/2017)

07/24/2017 97 TRANSCRIPT of Proceedings re: Conference held on 6/23/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Steven Griffing, (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 8/14/2017. Redacted Transcript Deadline set for 8/24/2017. Release of Transcript Restriction set for 10/23/2017.(Siwik, Christine) (Entered: 07/24/2017)

07/24/2017 98 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 6/23/17 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...(Siwik, Christine) (Entered: 07/24/2017)

07/24/2017 99 TRANSCRIPT of Proceedings re: Conference held on 3/30/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Ellen Simone, (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 8/14/2017. Redacted Transcript Deadline set for 8/24/2017. Release of Transcript Restriction set for 10/23/2017.(Siwik, Christine) (Entered: 07/24/2017)

07/24/2017 100 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 3/30/17 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...(Siwik, Christine) (Entered: 07/24/2017)

08/15/2017 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6). Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton. Responses due by 9/15/2017 Return Date set for 9/26/2017 at 11:59 PM.(Breyer, Karl) (Entered: 08/15/2017)

08/15/2017 102 JOINT MEMORANDUM OF LAW in Support re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of

Civil Procedure 12(b)(6). . Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 08/15/2017)

08/15/2017 103 DECLARATION of K. Jon Breyer in Support re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6).. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Breyer, Karl) (Entered: 08/15/2017)

08/17/2017 104 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE 105 Letter Motion) - LETTER MOTION to Stay request limited relief from the discovery stay addressed to Judge William H. Pauley, III dated August 17, 2017. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) Modified on 8/21/2017 (db). (Entered: 08/17/2017)

08/17/2017 105 LETTER MOTION for Discovery requesting limited relief from the PSLRA discovery stay addressed to Judge William H. Pauley, III from Louis A. Kessler dated August 17, 2017. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) (Entered: 08/17/2017)

08/24/2017 106 LETTER addressed to Judge William H. Pauley, III from K. Jon Breyer on behalf of all defense counsel dated August 24, 2017 re: Defendants' opposition to Plaintiff's request for pre-motion conference. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton.(Breyer, Karl) (Entered: 08/24/2017)

08/29/2017 107 ORDER with respect to 105 Letter Motion for Discovery: The parties are directed to appear at a teleconference on August 31, 2017 at 11:00 a.m. EST to discuss Plaintiffs' request. To access the conference, dial 888-363-4749; code: 3070580. (Signed by Judge William H. Pauley, III on 8/29/2017) (jwh) (Entered: 08/29/2017)

08/29/2017 Set/Reset Hearings: Telephone Conference set for 8/31/2017 at 11:00 AM before Judge William H. Pauley III. (jwh) (Entered: 08/29/2017)

08/29/2017 108 NOTICE of Withdrawal of Carrie Baker Anderson. Document filed by Timothy R. Brady. (Anderson, Carrie) (Entered: 08/29/2017)

08/31/2017 109 ORDER: Due to unforeseen events in this Court's schedule, the teleconference scheduled for today-August, 31, 2017-at 11:00 a.m. EST is adjourned to 4 p.m. EST absent any objections by the parties in this action. To access the teleconference, dial (888) 363-4749, code: 3070580. If any party is unavailable at that time, counsel is directed to call chambers at (212) 805-6387 to discuss alternative dates and times. (Telephone Conference set for 8/31/2017 at 04:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 8/31/2017) (jwh) Modified on 8/31/2017 (jwh). (Entered: 08/31/2017)

08/31/2017 Minute Entry for proceedings held before Judge William H. Pauley, III: Discovery Hearing held on 8/31/2017. (Choi, Brian) (Entered: 09/07/2017)

09/01/2017 110 OPPOSITION BRIEF DAKOTA PLAINS RESPONSE TO LIMITED OBJECTION OF JON D. GRUBER TO CONFIRMATION OF CHAPTER 11 PLAN. Document filed by Dakota Plains Holdings, Inc..(Breyer, Karl) (Entered: 09/01/2017)

09/05/2017 111 OPINION & ORDER re: 105 LETTER MOTION for Discovery requesting limited relief from the PSLRA discovery stay: Plaintiffs move to lift the PSLRA stay on discovery for the limited purpose of subpoenaing non-parties Dakota Plains Holdings, Inc. ("Dakota Plains") and BioUrja Trading LLC ("BioUrja"). For the foregoing reasons, Plaintiffs' motion to lift the PSLRA stay on discovery is granted in part and denied in part. The Clerk of Court is directed to terminate the motion pending at ECF No. 105. (Signed by Judge William H. Pauley, III on 9/5/2017) (jwh) (Entered: 09/05/2017)

09/12/2017 112 LETTER MOTION for Extension of Time to File opposition to defendants' motion to dismiss addressed to Judge William H. Pauley, III from Solomon B. Cera dated September 12, 2017. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Revised Scheduling Order)(Cera, Solomon) (Entered: 09/12/2017)

09/12/2017 113 REVISED SCHEDULING ORDER granting 112 Letter Motion for Extension of Time to File Response/Reply: 1. Defendants' joint motion to dismiss was timely filed on August 15, 2017. 2. Plaintiff's opposition to the motion to dismiss shall be filed by September 19, 2017. 3. Defendants' reply shall be filed by October 2, 2017. 4. Oral argument on the motion to dismiss shall be held on October 20, 2017 at 11:30 a.m. Given the number of Defendants in this action, the Defendants and Plaintiff are permitted to file their respective briefs each totaling up to 40 pages in length. Further, Defendants are permitted to file a reply brief totaling up 15 pages in length. (Signed by Judge William H. Pauley, III on 9/12/2017) (jwh) (Entered: 09/12/2017)

09/12/2017 Set/Reset Deadlines as to 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6): Responses due by 9/19/2017 Replies due by 10/2/2017. (jwh) (Entered: 09/12/2017)

09/12/2017 Set/Reset Hearings: Oral Argument set for 10/20/2017 at 11:30 AM before Judge William H. Pauley III. (jwh) (Entered: 09/12/2017)

09/19/2017 114 MEMORANDUM OF LAW in Opposition re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6). Lead Plaintiff's Memorandum of Law in Opposition to Defendants' Motion to Dismiss the Second Amended Complaint. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 09/19/2017)

10/02/2017 115 REPLY MEMORANDUM OF LAW in Support re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6). . Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 10/02/2017)

10/02/2017 116 LETTER addressed to Judge William H. Pauley, III from K. Jon Breyer dated 10/02/2017 re: Defendants' Joint Filings. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton.(Breyer, Karl) (Entered: 10/02/2017)

10/20/2017 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 10/20/2017 re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6). filed by David J. Fellon, Gary L. Alvord, Terry H. Rust, James L. Thornton, Paul M. Cownie, Ryan R. Gilbertson, Michael L. Reger, Timothy R. Brady, Craig M McKenzie, Gabriel G Claypool. (Choi, Brian) (Entered: 11/03/2017)

02/06/2018 117 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated February 6, 2018 re: inquiry concerning Sub Judice Motion. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 02/06/2018)

02/07/2018 118 NOTICE of Change of Firm Name and E-Mail Addresses. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 02/07/2018)

03/20/2018 119 OPINION & ORDER re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6): For the foregoing reasons, Defendants motion to dismiss is granted with respect to the Section 20A Claim, and denied with respect to the Section 10(b) and Rule 10b-5 and Section 20(a) claims. The parties are directed to submit a proposed joint case management schedule for this Court's review and approval no later than March 30, 2018. To that end, this Court lifts the discovery stay previously imposed under the PSLRA. The Clerk of Court is directed to terminate the motion pending at ECF No. 101. (Signed by Judge William H. Pauley, III on 3/20/2018) (jwh) (Entered: 03/20/2018)

03/23/2018 120 NOTICE OF CHANGE OF ADDRESS by Marjorie Joan Peerce on behalf of All Defendants. New Address: BALLARD SPAHR LLP, 1675 Broadway, 19th Floor, New York, NY, 10019, 212-223-0200. (Peerce, Marjorie) (Entered: 03/23/2018)

03/28/2018 121 STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel and pursuant to Rule 1.4 of the Local Rules of the United States District Court for the Southern and Eastern Districts of New York, that Amy S. Conners and the law firm Best & Flanagan LLP hereby is substituted in place of Troy Hutchinson and the law firm Rock Hutchinson, PLLP, as counsel of record for Defendant Ryan Gilbertson in the above-captioned action. SO ORDERED. (Attorney Amy S. Conners for Ryan R. Gilbertson added. Attorney Troy J. Hutchinson terminated.) (Signed by Judge William H. Pauley, III on 3/28/2018) (ras) (Entered: 03/28/2018)

03/30/2018 122 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated March 30, 2018 re: Proposed Joint Case Management Schedule. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Text of Proposed Order)(Cera, Solomon) (Entered: 03/30/2018)

04/04/2018 123 JOINT CASE MANAGEMENT SCHEDULE: Gary L. Alvord answer due 4/27/2018; Timothy R. Brady answer due 4/27/2018; Gabriel G Claypool answer due 4/27/2018; Paul M. Cownie answer due 4/27/2018; Dakota Plains Holdings, Inc. answer due 4/27/2018; David J. Fellon answer due 4/27/2018; Ryan R. Gilbertson answer due 4/27/2018; Craig M McKenzie answer due 4/27/2018; Michael L. Reger answer due 4/27/2018; Terry H. Rust answer due 4/27/2018; James L. Thornton answer due 4/27/2018. Plaintiffs' Motion for class certification shall be briefed according to the following schedule: (a) Opening: filed not later than September 17, 2018; (b) Opposition: filed not later than October 29, 2018; and (c) Reply: filed not later than December 5, 2018. Motions due by 9/17/2019. Responses due by 10/29/2019. Replies due by 12/5/2018. Deposition due by 6/4/2019. Fact Discovery due by 12/31/2018. Expert Discovery due by 6/4/2019. Pretrial Order due by 9/13/2019. Final Pretrial Conference set for 9/20/2019 at 11:00 AM before Judge William H. Pauley III, and as further set forth in this order. (Signed by Judge William H. Pauley, III on 4/4/2018) (jwh) Modified on 4/20/2018 (jwh). Modified on 6/1/2018 (jwh). (Entered: 04/05/2018)

04/16/2018 124 MOTION for John A. Sullivan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14946861. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ryan R. Gilbertson. (Attachments: # 1 Declaration of John A. Sullivan in Support of Motion for Admission Pro Hac Vice, # 2 Exhibit A - Certificate of Good Standing, # 3 Proposed Order for Admission for Pro Hac Vice)(Sullivan, John) (Entered: 04/16/2018)

04/17/2018 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 124 MOTION for John A. Sullivan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-14946861. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 04/17/2018)

04/18/2018 125 ORDER FOR ADMISSION PRO HAC VICE granting 124 Motion for John A. Sullivan to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 4/18/2018) (mro) (Entered: 04/18/2018)

04/18/2018 126 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated April 18, 2018 re: proposed Protective Order and proposed ESI Protocol Order. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Cera, Solomon) (Entered: 04/18/2018)

04/25/2018 127 STIPULATION AND ORDER FOR THE PROTECTION AND EXCHANGE OF CONFIDENTIAL INFORMATION...regarding procedures to be followed that shall govern the handling of confidential material... (As further set forth in this Order.) (Signed by Judge William H. Pauley, III on 4/25/2018) (cf) (Entered: 04/25/2018)

04/25/2018 128 STIPULATION AND ORDER FOR THE PROTOCOL REGARDING THE PRODUCTION FORMAT FOR HARD COPY DOCUMENTS AND ELECTRONICALLY-STORED INFORMATION: The production specifications in this Protocol apply to hard copy documents and electronically stored information ('ESI") (collectively, "document" or "documents") that are to be produced in the Action, provided, however, that a producing party may produce ESI materials that were produced in prior litigations, proceedings or administrative investigations in the same manner as they were produced in that litigation, proceeding or

administrative investigation. (As further set forth in this Order.) (Signed by Judge William H. Pauley, III on 4/25/2018) (cf) (Entered: 04/25/2018)

04/27/2018 129 ANSWER to 96 Amended Complaint,. Document filed by Michael L. Reger.(Langdon, James) (Entered: 04/27/2018)

04/27/2018 130 ANSWER to 96 Amended Complaint,. Document filed by Ryan R. Gilbertson.(Conners, Amy) (Entered: 04/27/2018)

04/27/2018 131 ANSWER to 96 Amended Complaint,. Document filed by Timothy R. Brady.(Leier, Ranelle) (Entered: 04/27/2018)

04/27/2018 132 ANSWER to 96 Amended Complaint,. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Breyer, Karl) (Entered: 04/27/2018)

04/27/2018 133 RULE 26 DISCLOSURE.Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Breyer, Karl) (Entered: 04/27/2018)

04/27/2018 134 ANSWER to 96 Amended Complaint, with JURY DEMAND. Document filed by Gabriel G Claypool.(Kliebard, Kenneth) (Entered: 04/27/2018)

05/02/2018 135 MOTION for Pamela A. Markert to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15021284. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Declaration of Pamela A. Markert, # 2 Certificate of Good Standing, # 3 Text of Proposed Order)(Markert, Pamela) (Entered: 05/02/2018)

05/03/2018 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 135 MOTION for Pamela A. Markert to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15021284. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 05/03/2018)

05/03/2018 136 NOTICE OF CHANGE OF ADDRESS by Karl Jon Breyer on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. New Address: Kutak Rock LLP, 60 South 6th Street, Suite 3400, Minneapolis, Minnesota, USA 55402, 612-334-5000. (Breyer, Karl) (Entered: 05/03/2018)

05/04/2018 137 ORDER GRANTING ADMISSION PRO HAC VICE granting 135 Motion for Pamela A. Markert to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 5/4/2018) (jwh) (Entered: 05/04/2018)

05/15/2018 138 MOTION for Christopher M. Proczko to Withdraw as Attorney and Declaration of Christopher M. Proczko. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Affidavit)(Proczko, Christopher) (Entered: 05/15/2018)

05/17/2018 139 ORDER granting 138 Motion to Withdraw as Attorney: Defendants Craig M. McKenzie, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, and James L. Thornton's motion to withdraw the appearance of Christopher M. Proczko as counsel is granted. The Clerk of Court is directed to terminate the motion pending

at ECF No. 138 and terminate Mr. Proczko's appearance on the docket. (Attorney Christopher Mcbeth Proczko terminated) (Signed by Judge William H. Pauley, III on 5/17/2018) (jwh) (Entered: 05/17/2018)

06/12/2018 140 JOINT LETTER MOTION for Local Rule 37.2 Conference raising a discovery dispute and requesting an informal conference addressed to Judge William H. Pauley, III from Louis A. Kessler and Amy S. Conners dated June 12, 2018. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) (Entered: 06/12/2018)

06/13/2018 141 ORDER granting 140 Letter Motion for Local Rule 37.2 Conference. Application granted. Counsel for Plaintiffs and for Defendant Gruberson shall appear for a telephone conference on Thursday, June 21 at 2:00 p.m. Counsel are directed to call (888) 363-4749, code 3070580. Telephone Conference set for 6/21/2018 at 02:00 PM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 6/13/2018) (mro) (Entered: 06/13/2018)

06/21/2018 142 ORDER re: 140 JOINT LETTER MOTION for Local Rule 37.2 Conference: Having conducted a telephonic conference on June 21, 2018, Lead Plaintiff's Rule 34 request (ECF No. 140) for the wholesale production of documents produced to Defendant Ryan Gilbertson by the Securities and Exchange Commission ("SEC") in the SEC's action against Gilbertson is denied. (Signed by Judge William H. Pauley, III on 6/21/2018) (jwh) (Entered: 06/21/2018)

06/21/2018 Minute Entry for proceedings held before Judge William H. Pauley, III: Status Conference held on 6/21/2018. (DiMarino, Nicholas) (Entered: 07/03/2018)

07/31/2018 143 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Bradley R. Gershel to Withdraw as Attorney . Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Declaration of Bradley R. Gershel)(Gershel, Bradley) Modified on 8/9/2018 (ldi). (Entered: 07/31/2018)

08/01/2018 144 ORDER granting 143 Motion to Withdraw as Attorney. Defendants McKenzie, Rust, Cownie, Fellon, Alvord, and Thornton's motion to withdraw the appearance of Bradley R. Gershel as counsel is granted. The Clerk of Court is directed to terminate the motion pending at ECF No. 143 and terminate Mr. Gershel's appearance on the docket. SO ORDERED. (Attorney Bradley Gershel terminated.) (Signed by Judge William H. Pauley, III on 8/1/2018) (anc) (Entered: 08/02/2018)

09/04/2018 145 LETTER MOTION for Extension of Time continuing all dates set in the Joint Case Management Schedule (ECF No. 123) by 120 days addressed to Judge William H. Pauley, III from Solomon B. Cera dated September 4, 2018. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Text of Proposed Order Proposed Revised Scheduling Order)(Cera, Solomon) (Entered: 09/04/2018)

09/05/2018 146 REVISED SCHEDULING ORDER granting 145 Letter Motion for Extension of Time. Based on the parties' agreement to participate in a mediation, all deadlines in the Joint Case Management Schedule are hereby vacated, and the following new dates shall apply in this litigation: Fact discovery shall close on April 12, 2019. Plaintiff's Motion for class certifcation shall be briefed according to the following schedule: Opening: filed not later than January 15, 2019; Opposition: filed not later than February 26, 2019; and Reply: filed not later than April 4, 2018. Expert

depositions shall be completed by October 2, 2019. Expert discovery shall close on October 2, 2019. Plaintiffs submit that motions in limine and Daubert motions should be filed December 7, 2019; and oppositions to the same on December 28, 2019. A final pretrial conference is scheduled for January 21, 2020, at 11:00 a.m. Pretrial materials, including the Joint Pretrial Order, shall be filed January 13, 2020. (Signed by Judge William H. Pauley, III on 9/5/2018) (mro) (Entered: 09/05/2018)

09/05/2018 Set/Reset Deadlines: ( Deposition due by 10/2/2019., Expert Discovery due by 10/2/2019., Fact Discovery due by 4/12/2019., Motions due by 12/7/2019., Pretrial Order due by 1/13/2020., Responses due by 12/28/2019, Replies due by 4/4/2019.), Set/Reset Hearings:( Final Pretrial Conference set for 1/21/2020 at 11:00 AM before Judge William H. Pauley III.) (mro) (Entered: 09/05/2018)

11/06/2018 147 NOTICE OF CHANGE OF ADDRESS by Solomon B. Cera on behalf of Jon D. Gruber, Jon D. & Linda W. Gruber Trust. New Address: Cera LLP, 595 Market Street, Suite 1350, San Francisco, California, USA 94105, (415) 777-2230. (Cera, Solomon) (Entered: 11/06/2018)

12/21/2018 148 PROPOSED STIPULATION AND ORDER. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Markert, Pamela) (Entered: 12/21/2018)

12/26/2018 149 STIPULATION AND ORDER FOR PROCEDURE ON MOTION TO AMEND COMPLAINT AND TO MODIFY THE REVISED SCHEDULING ORDER RE CLASS CERTIFICATION BRIEFING: IT IS HEREBY STIPULATED AND AGREED as follows: Plaintiffs will file their letter-motion seeking leave to amend the complaint and to file an amended complaint under seal on January 2, 2019. Defendants Gilbertson and Reger will file a letter-motion opposing Plaintiffs' motion on January 9, 2019. In light of the foregoing, the briefing schedule set in the Revised Scheduling Order dated September 5, 2018 for Plaintiffs' Motion for class certification shall be adjusted as follows: (a) Opening: filed not later than January 29, 2019; (b) Opposition: filed not later than March 12, 2019; and (c) Reply: filed not later than April 11, 2019. Fact discovery shall close on April 19, 2019. The provisions of paragraph 6 of the Joint Case Management Schedule shall continue to apply. All remaining deadlines and provisions in the Revised Scheduling Order dated September 5, 2018 (ECF No. 146) remain unchanged. ( Fact Discovery due by 4/19/2019., Motions due by 1/29/2019., Responses due by 3/12/2019, Replies due by 4/11/2019.) (Signed by Judge William H. Pauley, III on 12/26/2018) (mro) (Entered: 12/26/2018)

01/02/2019 150 LETTER MOTION for Conference re: 149 Stipulation and Order, Set Deadlines,,,,,,,, for leave to file a Third Amended Complaint addressed to Judge William H. Pauley, III from Solomon B. Cera dated January 2, 2019. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 01/02/2019)

01/09/2019 151 LETTER addressed to Judge William H. Pauley, III from James K. Langdon dated January 9, 2018 re: response to plaintiff's letter (dkt. 150). Document filed by Michael L. Reger.(Langdon, James) (Entered: 01/09/2019)

01/09/2019 152 LETTER addressed to Judge William H. Pauley, III from Amy S. Conners dated January 9, 2019 re: Response to Plaintiff's letter (dkt 150). Document filed by Ryan R. Gilbertson.(Conners, Amy) (Entered: 01/09/2019)

01/10/2019 153 LETTER addressed to Judge William H. Pauley, III from K. Jon Breyer dated January 9, 2019 re: Response to Plaintiff's Letter (dkt 150). Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, Dakota Plains Holdings, Inc., David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Breyer, Karl) (Entered: 01/10/2019)

01/11/2019 154 ORDER granting 150 Letter Motion for Conference: The parties are directed to appear for a premotion conference on January 15, 2019 at 4:00 p.m. (Pre-Motion Conference set for 1/15/2019 at 04:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 1/11/2019) (jwh) (Entered: 01/11/2019)

01/14/2019 155 LETTER addressed to Judge William H. Pauley, III from Ranelle Leier dated 1/11/2019 re: Pre-Motion Conference on January 15, 2019. Document filed by Timothy R. Brady.(Leier, Ranelle) (Entered: 01/14/2019)

01/14/2019 156 MEMO ENDORSEMENT on re: 155 Letter filed by Timothy R. Brady: Application granted. Fox Rothschild is directed to circulate dial-in information via ECF for anyone appearing telephonically. (Signed by Judge William H. Pauley, III on 1/14/2019) (jwh) (Entered: 01/14/2019)

01/14/2019 157 LETTER addressed to Judge William H. Pauley, III from Ranelle Leier dated 01/14/2019 re: Call-in information for pre-motion conference on 1/15/19. Document filed by Timothy R. Brady.(Leier, Ranelle) (Entered: 01/14/2019)

01/15/2019 Minute Entry for proceedings held before Judge William H. Pauley, III: Pre-Motion Conference held on 1/15/2019. (DiMarino, Nicholas) (Entered: 02/05/2019)

01/16/2019 158 ORDER: The parties having appeared for a pre-motion conference on January 15, 2019, this Court orders the following: 1. The parties are directed to confer about proposed amendments to the complaint in view of this Courts directives at the pre-motion conference. If the parties cannot come to an agreement, they shall file a joint letter by February 8, 2019 setting forth any disputes requiring court intervention. Otherwise, Plaintiffs shall file their Third Amended Complaint by February 8, 2019. 2. To the extent Defendants wish to file any motions in response to the Third Amended Complaint, they shall file a letter by February 15, 2019 proposing a briefing schedule for this Courts consideration. (Amended Pleadings due by 2/8/2019.) (Signed by Judge William H. Pauley, III on 1/16/2019) (jwh) (Entered: 01/16/2019)

01/29/2019 159 LETTER MOTION for Leave to File requesting leave to file under seal Third Amended Complaint and Expert Report of Bjorn I. Steinholt, CFA addressed to Judge William H. Pauley, III from Solomon B. Cera dated January 29, 2019. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Third Amended Complaint, # 2 Expert Report)(Cera, Solomon) (Entered: 01/29/2019)

01/29/2019 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 01/29/2019)

01/29/2019 161 MEMORANDUM OF LAW in Support re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative

and Class Counsel. . Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Cera, Solomon) (Entered: 01/29/2019)

01/29/2019 162 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE 181 Declaration) - DECLARATION of Solomon B. Cera in Support re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Cera, Solomon) Modified on 3/15/2019 (db). (Entered: 01/29/2019)

01/30/2019 163 LETTER MOTION for Leave to File requesting leave to file under seal Third Amended Complaint and Expert Report of Bjorn I. Steinholt, CFA addressed to Judge William H. Pauley, III from Solomon B. Cera dated January 29, 2019. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Third Amended Complaint, # 2 Expert Report)(Cera, Solomon) (Entered: 01/30/2019)

01/31/2019 164 ORDER with respect to 163 Letter Motion for Leave to File Document: Having reviewed Plaintiffs' letter dated January 30, 2019 (ECF No. 163), this Court directs the parties to appear for a teleconference on February 5, 2019 at 2:00 p.m. The parties are directed to call (888) 363-4749, passcode 3070580. (Signed by Judge William H. Pauley, III on 1/31/2019) (jwh) (Entered: 01/31/2019)

01/31/2019 Set/Reset Hearings: Telephone Conference set for 2/5/2019 at 02:00 PM before Judge William H. Pauley III. (jwh) (Entered: 01/31/2019)

02/05/2019 Minute Entry for proceedings held before Judge William H. Pauley, III: Telephone Conference held on 2/5/2019. (DiMarino, Nicholas) (Entered: 03/06/2019)

02/06/2019 165 ORDER TO SHOW CAUSE: The Securities and Exchange Commission ("SEC") is ordered to show cause before this Court on February 22, 2019 at 10:00 a.m. in Courtroom 20B at the Daniel Patrick Moynihan United States Courthouse, 500 Pearl St., New York, NY 10007, why highlighted material in Plaintiffs proposed amended complaint and accompanying exhibit should be redacted on the public docket of this case. Plaintiff claims that all redactions were made at the direction of the SEC pursuant to a blanket confidentiality designation on all documents produced by the SEC to Plaintiff. Accordingly, the SEC is directed to submit a memorandum to Chambers no later than February 19, 2019 at 5:00 p.m. EST, as well as a copy on ECF in redacted form (if necessary), setting forth the reasons why any portion of the amended complaint and accompanying exhibit should be redacted from public view. Alternatively, the SEC shall inform this Court if it chooses to withdraw its confidentiality designations with respectto the materials highlighted in the amended complaint and accompanying exhibit. Plaintiff's counsel is directed to serve a copy of this Order and the highlighted proposed amended complaint and accompanying exhibit on the SEC by email and overnight courier no later than February 7, 2019, and as further set forth in this Order. SO ORDERED. (Show Cause Hearing set for 2/22/2019 at 10:00 AM in Courtroom 20B, 500 Pearl Street, New York, NY 10007 before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 2/6/2019) (jca) (Entered: 02/06/2019)

02/14/2019 166 RESPONSE TO ORDER TO SHOW CAUSE re: 165 Order to Show Cause,,,,,,. Document filed by Securities and Exchange Commission. (Hanauer, Benjamin) (Entered: 02/14/2019)

02/14/2019 167 LETTER MOTION to Continue Show Cause Hearing addressed to Judge William H. Pauley, III from Benjamin Hanauer dated 02/14/2019. Document filed by Securities and Exchange Commission.(Hanauer, Benjamin) (Entered: 02/14/2019)

02/19/2019 168 TRANSCRIPT of Proceedings re: CONFERENCE held on 2/5/2019 before Judge William H. Pauley, III. Court Reporter/Transcriber: Sonya Ketter Moore, (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 3/12/2019. Redacted Transcript Deadline set for 3/22/2019. Release of Transcript Restriction set for 5/20/2019.(McGuirk, Kelly) (Entered: 02/19/2019)

02/19/2019 169 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 2/5/19 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...(McGuirk, Kelly) (Entered: 02/19/2019)

02/20/2019 170 ORDER terminating 159 Letter Motion for Leave to File Document; terminating 163 Letter Motion for Leave to File Document; terminating 167 Letter Motion to Continue. Accordingly, the hearing scheduled for February 22, 2019 is canceled. Plaintiffs' counsel is directed to file a letter responding to the SEC by February 25, 2019. Further, Plaintiffs are directed to re-file the amended complaint and any accompanying application to seal-to the extent there is one-forthwith. The Clerk of Court is directed to terminate the motions pending at ECF Nos. 159, 163, and 167. SO ORDERED. (Signed by Judge William H. Pauley, III on 2/20/2019) (mml) (Entered: 02/20/2019)

02/25/2019 171 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated February 25, 2019 re: in response to the February 20, 2019 Order (ECF No. 170). Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 02/25/2019)

03/01/2019 172 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated March 1, 2019 re: further to letter dated February 25, 2019 (ECF No. 171). Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 03/01/2019)

03/04/2019 173 MEMO ENDORSEMENT on re: 172 Letter filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. ENDORSEMENT: Application granted. SO ORDERED. (Amended Pleadings due by 3/8/2019.) (Signed by Judge William H. Pauley, III on 3/4/2019) (ne) (Entered: 03/04/2019)

03/06/2019 174 PROPOSED STIPULATION AND ORDER. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 03/06/2019)

03/08/2019 175 THIRD AMENDED COMPLAINT amending 42 Amended Complaint, 96 Amended Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton, James Randall Reger, Joseph Clark Reger Individually and as Custodian for W.J.R. and J.M.R. (UTMA), Weldon W. Gilbertson Individually and as Custodian for H.G. (UTMA), and as Trustee of the Ryan Gilbertson 2012 Family Irrevocable Trust, The Total Depth Foundation, Jessica C. Gilbertson (a/k/a Jessica Medlin), Kellie Tasto, as Custodian for H.G. (UTMA) with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 42 Amended Complaint, 96 Amended Complaint,. (Attachments: # 1 Exhibit A, # 2 Certificate of Plaintiff)(Kessler, Louis) (Entered: 03/08/2019)

03/08/2019 176 REQUEST FOR ISSUANCE OF SUMMONS as to James Randall Reger; Joseph Clark Reger Individually and as Custodian for W.J.R. and J.M.R. (UTMA); Weldon W. Gilbertson Individually and as Custodian for H.G. (UTMA), and as Trustee of the Ryan Gilbertson 2012 Family Irrevocable Trust; The Total Depth Foundation; Jessica C. Gilbertson (a/k/a Jessica Medlin); and Kellie Tasto, as Custodian for H.G. (UTMA), re: 175 Amended Complaint,,,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Attachment to Summons)(Kessler, Louis) (Entered: 03/08/2019)

03/11/2019 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Louis Andrew Kessler. The party information for the following party/parties has been modified: Joseph Clark Reger Individually and as Custodian for W.J.R. and J.M.R. (UTMA); Weldon W. Gilbertson Individually and as Custodian for H.G. (UTMA), and as Trustee of the Ryan Gilbertson 2012 Family Irrevocable Trust, Jessica C. Gilbertson (a/k/a Jessica Medlin); and Kellie Tasto, as Custodian for H.G. (UTMA). The information for the party/parties has been modified for the following reason/reasons: party text was omitted; alias party name was omitted;. (pc) (Entered: 03/11/2019)

03/11/2019 177 ELECTRONIC SUMMONS ISSUED as to Jessica C. Gilbertson, Weldon W. Gilbertson, James Randall Reger, Joseph Clark Reger, Kellie Tasto, The Total Depth Foundation. (pc) (Entered: 03/11/2019)

03/11/2019 178 STIPULATION AND ORDER TO FURTHER REVISE THE JOINT CASE MANAGEMENT SCHEDULE: Based on the foregoing, IT IS HEREBY STIPULATED AND AGREED as follows: 1. Plaintiff's Motion for class certification shall be briefed according to the following schedule:(a) Opening: Already filed on January 29, 2019 (ECF Nos. 160-162);(b) Opposition: filed not later than May 13, 2019;(c) Reply: filed not later than June 24, 2019. 2. Fact discovery shall close on October 1, 2019. The provisions of paragraph 6 of the Joint Case Management Schedule (ECF No. 123) shall continue to apply, with the exception that the Plaintiff's deposition will be taken only once by counsel for both the existing and new defendants on a date amenable to the Plaintiff and Plaintiff's counsel. 3. Expert discovery shall proceed on the following schedule: (a) Plaintiff's expert reports shall be produced by November 1, 2019; (b) Defendants' expert reports shall be produced by December 2, 2019; (c) Plaintiff's rebuttal expert reports shall be produced by December 23, 2019; (d) Expert depositions shall be completed by February 4, 2020; and (e) Expert discovery shall close on February 4, 2020. 4.

Any motions for summary judgment shall be brought pursuant to this Court's individual rules of practice. The parties should notify this Court of their intention to move for summary judgment as soon as possible. 5. Motions in limine and Daubert motions shall be filed April 10, 2020; and oppositions to the same on May 1, 2020. 6. A final pretrial conference is scheduled for June 23, 2020, at 11:00 a.m., subject to the Court's calendar. 7. Pretrial materials, including the Joint Pretrial Order, shall be filed June 15, 2020, subject to the Court's calendar. 8. The trial date shall be discussed at the final pre-trial conference. It Is So Stipulated. So Ordered. (Deposition due by 2/4/2020. Expert Discovery due by 2/4/2020. Fact Discovery due by 10/1/2019. Motions due by 4/10/2020. Pretrial Order due by 6/15/2020. Responses due by 5/13/2019, Replies due by 6/24/2019.) (Final Pretrial Conference set for 6/23/2020 at 11:00 AM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 3/11/2019) (js) (Entered: 03/12/2019)

03/11/2019 179 ORDER: Given the extensive discussion that this Court had with the parties on the motion for leave to amend, a pre-motion conference for the motion to dismiss is unnecessary. Thus, this Court adopts the following schedule: 1. Any motion to dismiss shall be filed by April 5, 2019. 2. Any opposition brief shall be filed by May 3, 2019. 3. Any reply brief shall be filed by May 13, 2019. 4. The parties shall appear for oral argument on June 4, 2019 at 11:00 a.m. SO ORDERED. Motions due by 4/5/2019. Responses due by 5/3/2019 Replies due by 5/13/2019. Oral Argument set for 6/4/2019 at 11:00 AM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 3/11/2019) (rj) (Entered: 03/12/2019)

03/14/2019 180 SUMMONS RETURNED EXECUTED Summons and Amended Complaint,,, served. James Randall Reger served on 3/11/2019, answer due 4/1/2019; Joseph Clark Reger served on 3/11/2019, answer due 4/1/2019. Service was accepted by Thomas M. Kelly, Counsel for Defendants. Service was made by Mail and Electronic Mail. Document filed by Jon D. Gruber; Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A)(Kessler, Louis) (Entered: 03/14/2019)

03/14/2019 181 DECLARATION of Solomon B. Cera in Support re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Cera, Solomon) (Entered: 03/14/2019)

03/25/2019 182 SUMMONS RETURNED EXECUTED Summons and Amended Complaint,,, served. Jessica C. Gilbertson served on 3/22/2019, answer due 4/12/2019; Weldon W. Gilbertson served on 3/22/2019, answer due 4/12/2019; Kellie Tasto served on 3/16/2019, answer due 4/8/2019; The Total Depth Foundation served on 3/22/2019, answer due 4/12/2019. Service was accepted by Kellie E. Tasto, Jessica C. Gilbertson, Weldon W. Gilbertson, Weldon Gilbertson, Authorized to Accept Service of Process on behalf of Total Depth Foundation. Document filed by Jon D. Gruber; Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A_Kellie Tasto, # 2 Exhibit B_Jessica C. Gilbertson, # 3 Exhibit C_Weldon W. Gilbertson, # 4 Exhibit D_Total Depth Foundation)(Kessler, Louis) (Entered: 03/25/2019)

03/26/2019 183 MOTION for Thomas M. Kelly to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16560565. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by James Randall Reger, Joseph

Clark Reger. (Attachments: # 1 Text of Proposed Order, # 2 Declaration of Thomas M. Kelly, # 3 Certificate of Good Standing)(Scheffel, David) (Entered: 03/26/2019)

03/26/2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 183 MOTION for Thomas M. Kelly to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16560565. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 03/26/2019)

03/27/2019 184 ORDER FOR ADMISSION PRO HAC VICE: granting 183 Motion for Thomas M. Kelly to Appear Pro Hac Vice. SO ORDERED.(Signed by Judge William H. Pauley, III on 3/27/2019) (ama) (Entered: 03/27/2019)

04/02/2019 185 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Matthew D. Forsgren to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16606766. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Weldon W. Gilbertson. (Attachments: # 1 Declaration, # 2 Certificate of Good Standing, # 3 Proposed Order)(Conners, Amy) Modified on 4/2/2019 (jc). (Entered: 04/02/2019)

04/02/2019 186 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Aaron P. Knoll to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16606880. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Weldon W. Gilbertson. (Attachments: # 1 Declaration, # 2 Certificate of Good Standing, # 3 Proposed Order)(Conners, Amy) Modified on 4/2/2019 (jc). (Entered: 04/02/2019)

04/02/2019 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 185 MOTION for Matthew D. Forsgren to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16606766. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): Attorney cannot electronically sign documents using another attorney's filing credentials - original signature needed OR attorney needs to apply for their own credentials. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Attorney Affidavit - attach Proposed Order. (jc) (Entered: 04/02/2019)

04/02/2019 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 186 MOTION for Aaron P. Knoll to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16606880. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): 1) expired Certificate of Good Standing from Supreme Court of Minnesota; and 2) attorney cannot electronically sign documents using another attorney's filing credentials - original signature needed OR attorney needs to apply for their own credentials. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Attorney Affidavit - attach Proposed Order. (jc) (Entered: 04/02/2019)

04/03/2019 187 MOTION for Matthew D. Forsgren to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Weldon W. Gilbertson. (Attachments: # 1 Declaration, # 2 Certificate of Good Standing, # 3 Proposed Order)(Conners, Amy) (Entered: 04/03/2019)

04/03/2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 187 MOTION for Matthew D. Forsgren to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc) (Entered: 04/03/2019)

04/04/2019 188 ORDER FOR ADMISSION FOR PRO HAC VICE granting 187 Motion for Matthew D. Forsgren to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 4/4/2019) (jwh) (Entered: 04/04/2019)

04/05/2019 189 MOTION to Dismiss Third Amended Class Action Complaint. Document filed by Weldon W. Gilbertson, James Randall Reger, Joseph Clark Reger, Kellie Tasto. Responses due by 5/3/2019(Forsgren, Matthew) (Entered: 04/05/2019)

04/05/2019 190 MEMORANDUM OF LAW in Support re: 189 MOTION to Dismiss Third Amended Class Action Complaint. . Document filed by Weldon W. Gilbertson, James Randall Reger, Joseph Clark Reger, Kellie Tasto. (Forsgren, Matthew) (Entered: 04/05/2019)

04/05/2019 191 MOTION to Dismiss . Document filed by Ryan R. Gilbertson.(Conners, Amy) (Entered: 04/05/2019)

04/05/2019 192 MEMORANDUM OF LAW in Support re: 191 MOTION to Dismiss . . Document filed by Ryan R. Gilbertson. (Conners, Amy) (Entered: 04/05/2019)

04/05/2019 193 AFFIDAVIT of Amy S. Conners in Support re: 191 MOTION to Dismiss .. Document filed by Ryan R. Gilbertson. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2)(Conners, Amy) (Entered: 04/05/2019)

04/05/2019 194 MOTION to Dismiss the Third Amended Complaint and Motion to Strike and Notice of Motion. Document filed by Michael L. Reger. Responses due by 5/3/2019 Return Date set for 6/4/2019 at 11:00 AM.(Langdon, James) (Entered: 04/05/2019)

04/05/2019 195 MEMORANDUM OF LAW in Support re: 194 MOTION to Dismiss the Third Amended Complaint and Motion to Strike and Notice of Motion. . Document filed by Michael L. Reger. (Langdon, James) (Entered: 04/05/2019)

04/09/2019 196 MOTION for Aaron Patric Knoll to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Weldon W. Gilbertson, Kellie Tasto. (Attachments: # 1 Affidavit Declaration, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order Proposed Order)(Knoll, Aaron) (Entered: 04/09/2019)

04/10/2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 196 MOTION for Aaron Patric Knoll to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 04/10/2019)

04/10/2019 197 ORDER FOR ADMISSION FOR PRO HAC VICE granting 196 Motion for Aaron P. Knoll to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 4/10/2019) (mro) (Entered: 04/10/2019)

04/10/2019 198 MOTION for David Jonathan Wallace-Jackson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number BNYSDC-16666024. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Weldon W. Gilbertson, Kellie Tasto. (Attachments: # 1 Declaration, # 2 Certificate of Good Standing, # 3 Proposed Order)(Wallace-Jackson, David) (Entered: 04/10/2019)

04/10/2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 198 MOTION for David Jonathan Wallace-Jackson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number BNYSDC-16666024. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 04/10/2019)

04/11/2019 199 ORDER FOR ADMISSION FOR PRO HAC VICE granting 198 Motion for David Jonathan Wallace-Jackson to Appear Pro Hac Vice. SO ORDERED. (Signed by Judge William H. Pauley, III on 4/11/2019) (jca) (Entered: 04/11/2019)

04/15/2019 200 ANSWER to 175 Amended Complaint,,,. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Breyer, Karl) (Entered: 04/15/2019)

04/15/2019 201 ANSWER to 175 Amended Complaint,,,. Document filed by Timothy R. Brady.(Leier, Ranelle) (Entered: 04/15/2019)

04/15/2019 202 ANSWER to 175 Amended Complaint,,, with JURY DEMAND. Document filed by Gabriel G Claypool.(Kliebard, Kenneth) (Entered: 04/15/2019)

04/18/2019 203 MOTION for Lori Ann Johnson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16723844. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jessica C. Gilbertson. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Affidavit Declaration Lori A. Johnson, # 3 Text of Proposed Order)(Johnson, Lori) (Entered: 04/18/2019)

04/18/2019 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 203 MOTION for Lori Ann Johnson to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16723844. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): certificate of good standing must be issued by the Supreme Court of Minnesota.;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (ma) (Entered: 04/18/2019)

04/18/2019 204 LETTER MOTION for Extension of Time to File a motion to dismiss and a four-page memorandum addressed to Judge William H. Pauley, III from Lori A. Johnson dated April 18, 2019. Document filed by Jessica C. Gilbertson.(Johnson, Lori) (Entered: 04/18/2019)

04/18/2019 205 ORDER: granting 204 Letter Motion for Extension of Time to File. Application Granted. SO ORDERED. (Signed by Judge William H. Pauley, III on 4/18/2019) (ama) (Entered: 04/18/2019)

04/18/2019 Set/Reset Deadlines: Motions due by 4/22/2019. (ama) (Entered: 04/18/2019)

04/22/2019 206 MOTION to Dismiss Third Amended Class Action Complaint. Document filed by Jessica C. Gilbertson. Responses due by 5/3/2019(Johnson, Lori) (Entered: 04/22/2019)

04/22/2019 207 MEMORANDUM OF LAW in Support re: 206 MOTION to Dismiss Third Amended Class Action Complaint. . Document filed by Jessica C. Gilbertson. (Johnson, Lori) (Entered: 04/22/2019)

04/23/2019 208 MOTION for Lori Ann Johnson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jessica C. Gilbertson. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Affidavit Declaration of Lori A. Johnson, # 3 Text of Proposed Order Proposed Order)(Johnson, Lori) (Entered: 04/23/2019)

04/23/2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 208 MOTION for Lori Ann Johnson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 04/23/2019)

04/24/2019 209 ORDER FOR ADMISSION PRO HAC VICE OF LORI A. JOHNSON granting 208 Motion for Lori A. Johnson to Appear Pro Hac Vice. (As further set forth in this Order.) (Signed by Judge William H. Pauley, III on 4/24/2019) (cf) (Entered: 04/24/2019)

05/03/2019 210 MEMORANDUM OF LAW in Opposition re: 194 MOTION to Dismiss the Third Amended Complaint and Motion to Strike and Notice of Motion., 191 MOTION to Dismiss ., 189 MOTION to Dismiss Third Amended Class Action Complaint., 206 MOTION to Dismiss Third Amended Class Action Complaint. Lead Plaintiff's Memorandum of Law in Opposition to Defendants Michael L. Reger, James Randall Reger, Joseph Clark Reger, Ryan R. Gilbertson, Weldon W. Gilbertson, Kellie Tasto and Jessica Gilbertson's Motions to Dismiss the Section 20A Claim and Motion to Strike. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/03/2019)

05/03/2019 211 MEMORANDUM OF LAW in Opposition re: 191 MOTION to Dismiss . Lead Plaintiff's Memorandum of Law in Opposition to Defendant Ryan R. Gilbertson's Motion to Dismiss the Racketeer Influenced and Corrupt Organizations Act Claim. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/03/2019)

05/03/2019 212 DECLARATION of Louis A. Kessler in Opposition re: 194 MOTION to Dismiss the Third Amended Complaint and Motion to Strike and Notice of Motion., 189 MOTION to Dismiss Third Amended Class Action Complaint., 206 MOTION to Dismiss Third Amended Class Action Complaint., 191 MOTION to Dismiss .. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)(Kessler, Louis) (Entered: 05/03/2019)

05/09/2019 213 NOTICE OF APPEARANCE by Thomas M Kelly on behalf of James Randall Reger, Joseph Clark Reger. (Attachments: # 1 Supplement ECF 183 - Order for Admission Pro Hac Vice (Thomas M Kelly))(Kelly, Thomas) (Entered: 05/09/2019)

05/13/2019 214 REPLY MEMORANDUM OF LAW in Support re: 191 MOTION to Dismiss . . Document filed by Ryan R. Gilbertson. (Conners, Amy) (Entered: 05/13/2019)

05/13/2019 215 LETTER addressed to Judge William H. Pauley, III from Amy S. Conners dated 5/13/2019 re: Individual Practices Section III.F. Document filed by Ryan R. Gilbertson.(Conners, Amy) (Entered: 05/13/2019)

05/13/2019 216 NOTICE OF APPEARANCE by Matthew D Forsgren on behalf of Weldon W. Gilbertson, Kellie Tasto. (Forsgren, Matthew) (Entered: 05/13/2019)

05/13/2019 217 REPLY MEMORANDUM OF LAW in Support re: 189 MOTION to Dismiss Third Amended Class Action Complaint., 206 MOTION to Dismiss Third Amended Class Action Complaint. . Document filed by Weldon W. Gilbertson, Kellie Tasto. (Forsgren, Matthew) (Entered: 05/13/2019)

05/13/2019 218 LETTER addressed to Judge William H. Pauley, III from Aaron P. Knoll dated May 13, 2019 re: Individual Practices Section III.F. Document filed by Weldon W. Gilbertson, Kellie Tasto.(Knoll, Aaron) (Entered: 05/13/2019)

05/13/2019 219 REPLY MEMORANDUM OF LAW in Support re: 194 MOTION to Dismiss the Third Amended Complaint and Motion to Strike and Notice of Motion. . Document filed by Michael L. Reger. (Langdon, James) (Entered: 05/13/2019)

05/13/2019 220 LETTER addressed to Judge William H. Pauley, III from James K. Langdon dated May 13, 2019 re: Individual Practices Section III.F. Document filed by Michael L. Reger.(Langdon, James) (Entered: 05/13/2019)

05/13/2019 221 DECLARATION of K. Jon Breyer in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (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)(Breyer, Karl) (Entered: 05/13/2019)

05/13/2019 222 DECLARATION of Timothy Brady in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 05/13/2019)

05/13/2019 223 DECLARATION of Craig McKenzie in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 05/13/2019)

05/13/2019 224 MEMORANDUM OF LAW in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. . Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel

G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 05/13/2019)

05/13/2019 225 DECLARATION of K. Jon Breyer in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Exhibit Corrected Ex. 8 to Declaration of K. Jon Breyer)(Breyer, Karl) (Entered: 05/13/2019)

05/13/2019 226 LETTER addressed to Judge William H. Pauley, III from K. Jon Breyer dated May 13, 2019 re: ECF Motion Filings. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Breyer, Karl) (Entered: 05/13/2019)

05/13/2019 227 MEMORANDUM OF LAW in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. . Document filed by Ryan R. Gilbertson. (Conners, Amy) (Entered: 05/13/2019)

05/13/2019 228 DECLARATION of Amy S. Conners in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Ryan R. Gilbertson. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Conners, Amy) (Entered: 05/13/2019)

05/13/2019 229 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU (SEE 231 Memorandum) - RESPONSE in Opposition to Motion re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. . Document filed by Michael L. Reger. (Langdon, James) Modified on 5/23/2019 (db). (Entered: 05/13/2019)

05/13/2019 230 DECLARATION of Michael Rowe in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Michael L. Reger. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O)(Langdon, James) (Entered: 05/13/2019)

05/20/2019 231 MEMORANDUM OF LAW in Opposition re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. (Corrected Memorandum). Document filed by Michael L. Reger. (Langdon, James) (Entered: 05/20/2019)

05/20/2019 232 LETTER addressed to Judge William H. Pauley, III from James K. Langdon dated May 20, 2019 re: Corrected Opposition to Class Certification Motion. Document filed by Michael L. Reger.(Langdon, James) (Entered: 05/20/2019)

05/29/2019 233 LETTER MOTION for Leave to File Excess Pages requesting leave to file a reply memorandum in support of Lead Plaintiff's Motion for Class Certification not to exceed forty (40) pages addressed to Judge William H. Pauley, III from Solomon B.

Cera dated May 29, 2019. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 05/29/2019)

05/31/2019 234 LETTER RESPONSE to Motion addressed to Judge William H. Pauley, III from K. Jon Breyer dated May 31, 2019 re: 233 LETTER MOTION for Leave to File Excess Pages requesting leave to file a reply memorandum in support of Lead Plaintiff's Motion for Class Certification not to exceed forty (40) pages addressed to Judge William H. Pauley, III from Solomon . Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 05/31/2019)

05/31/2019 235 ORDER granting in part 233 Letter Motion for Leave to File Excess Pages. Application granted in part. Plaintiff's reply may not exceed 20 pages. (Signed by Judge William H. Pauley, III on 5/31/2019) (mro) (Entered: 05/31/2019)

06/04/2019 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 6/4/2019 re: 194 MOTION to Dismiss the Third Amended Complaint and Motion to Strike and Notice of Motion. filed by Michael L. Reger, 191 MOTION to Dismiss . filed by Ryan R. Gilbertson, 189 MOTION to Dismiss Third Amended Class Action Complaint. filed by Weldon W. Gilbertson, Kellie Tasto, Joseph Clark Reger, James Randall Reger, 206 MOTION to Dismiss Third Amended Class Action Complaint. filed by Jessica C. Gilbertson. (Entered: 07/02/2019)

06/07/2019 236 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated June 7, 2019 re: June 4, 2019 hearing. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 blacklined version of TAC)(Cera, Solomon) (Entered: 06/07/2019)

06/11/2019 237 ORDER: The parties are directed to appear for oral argument on Plaintiffs' class certification motion on July 18, 2019 at 4:00 p.m. (Oral Argument set for 7/18/2019 at 04:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 6/11/2019) (jwh) (Entered: 06/11/2019)

06/24/2019 238 REPLY MEMORANDUM OF LAW in Support re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. . Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Cera, Solomon) (Entered: 06/24/2019)

06/24/2019 239 DECLARATION of Solomon B. Cera in Support re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel.. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P, # 17 Exhibit Q, # 18 Exhibit R)(Cera, Solomon) (Entered: 06/24/2019)

06/25/2019 240 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated June 25, 2019 re: Lead Plaintiff's Motion for Class Certification. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 06/25/2019)

07/01/2019 241 TRANSCRIPT of Proceedings re: motion held on 6/4/2019 before Judge William H. Pauley, III. Court Reporter/Transcriber: Thomas Murray, (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 7/22/2019. Redacted Transcript Deadline set for 8/1/2019. Release of Transcript Restriction set for 9/30/2019.(McGuirk, Kelly) (Entered: 07/01/2019)

07/01/2019 242 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a motion proceeding held on 6/4/19 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...(McGuirk, Kelly) (Entered: 07/01/2019)

07/01/2019 243 MOTION for Caitlin L.D. Hull to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17176037. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Affidavit Declaration of Caitlin L.D. Hull In Support Of Motion for Admission Pro Hac Vice, # 2 Text of Proposed Order [Proposed] Order for Admission Pro Hac Vice)(Hull, Caitlin) (Entered: 07/01/2019)

07/02/2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 243 MOTION for Caitlin L.D. Hull to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17176037. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc) (Entered: 07/02/2019)

07/02/2019 244 ORDER FOR ADMISSION PRO HAC VICE granting 243 Motion for Caitlin L. D. Hull to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 7/2/2019) (jwh) (Entered: 07/02/2019)

07/02/2019 245 PROPOSED STIPULATION AND ORDER. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Cera, Solomon) (Entered: 07/02/2019)

07/03/2019 246 STIPULATION AND ORDER FOR THE DEPOSITION OF DEFENDANT RYAN R. GILBERTSON: Good cause appearing therefor, IT IS HEREBY STIPULATED AND AGREED, that subject to this Court's order, the deposition of Ryan R. Gilbertson shall be taken on September 17-18, 2019 at FMC Rochester in Rochester, Minnesota. Pursuant to the foregoing stipulation, and good cause appearing therefor, pursuant to Federal Rule of Civil Procedure 30(a)(2)(B), the deposition of defendant Ryan R. Gilbertson shall be taken by Lead Plaintiff at FMC Rochester, Rochester, Minnesota, on September 17-18, 2019. SO ORDERED. (Signed by Judge William H. Pauley, III on 7/3/2019) (jca) (Entered: 07/03/2019)

07/15/2019 247 ORDER re: 160 MOTION to Certify Class: Due to a scheduling conflict, the oral argument on Plaintiffs' class certification motion set for July 18, 2019 at 4:00 p.m. is advanced to July 18, 2019 at 2:00 p.m. (Oral Argument set for 7/18/2019 at 02:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 7/15/2019) (jwh) (Entered: 07/15/2019)

07/18/2019 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 7/18/2019 re: 160 MOTION to Certify Class Lead Plaintiff's Motion for Class Certification and Appointment of Class Representative and Class Counsel. filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Entered: 08/01/2019)

08/22/2019 248 TRANSCRIPT of Proceedings re: conference held on 7/18/2019 before Judge William H. Pauley, III. Court Reporter/Transcriber: Jennifer Thun, (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 9/12/2019. Redacted Transcript Deadline set for 9/23/2019. Release of Transcript Restriction set for 11/20/2019.(McGuirk, Kelly) (Entered: 08/22/2019)

08/22/2019 249 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 7/18/19 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...(McGuirk, Kelly) (Entered: 08/22/2019)

08/23/2019 250 LETTER MOTION for Extension of Time to Complete Discovery requesting a 30 day extension to complete fact discovery addressed to Judge William H. Pauley, III from Solomon B. Cera dated August 23, 2019. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 08/23/2019)

08/26/2019 251 ORDER granting 250 Letter Motion for Extension of Time to Complete Discovery. Application granted. (Signed by Judge William H. Pauley, III on 8/26/2019) (cf) (Entered: 08/26/2019)

08/26/2019 Set/Reset Deadlines: Fact Discovery due by 10/31/2019. (cf) (Entered: 08/26/2019)

09/17/2019 252 OPINION & ORDER re: 194 MOTION to Dismiss; 191 MOTION to Dismiss; 189 MOTION to Dismiss; 206 MOTION to Dismiss: For the foregoing reasons, the Nominee Defendants' motions are granted, Gilbertson's motion is denied, Reger's motion to dismiss is denied, and Reger's motion to strike is granted in part. The Clerk of Court is directed to terminate Defendants James Randall Reger, Joseph Clark Reger, Weldon Gilbertson, Jessica Gilbertson, and Kellie Tasto from the docket, and to place ECF No. 175 under seal. Gruber is directed to file a redacted version of the Complaint forthwith which strikes 49 and 178 but maintains the same paragraph enumeration as the unredacted Complaint. The Clerk of Court is further directed to terminate the motions pending at ECF Nos. 189, 191, 194, and 206. (James Randall Reger, Joseph Clark Reger (Individually and as Custodian for W.J.R. and J.M.R. (UTMA)), Kellie Tasto (as Custodian for H.G. (UTMA)), Jessica C. Gilbertson and Weldon W. Gilbertson (Individually and as Custodian for H.G. (UTMA), and as Trustee of the Ryan Gilbertson 2012 Family Irrevocable Trust) terminated.) (Signed by Judge William H. Pauley, III on 9/17/2019) (jwh) Transmission to Sealed Records Clerk for processing. (Entered: 09/17/2019)

09/17/2019 253 OPINION & ORDER re: 160 MOTION to Certify Class: For the foregoing reasons, Gruber's motion is granted. This Court certifies (1) a class of investors who

purchased or otherwise acquired Dakota Plains Holdings, Inc.'s ("Dakota Plains") common stock during the period March 23, 2012 through August 16, 2016 (the "Class Period"), and (2) a subclass of investors who purchased Company stock contemporaneously with defendants. In addition, this Court appoints Gruber as lead plaintiff and Cera LLP as class counsel. The parties are directed to appear for a status teleconference on October 18, 2019 at 11:00 a.m. Counsel for Plaintiffs is directed to circulate dial-in information before the call. The Clerk of Court is directed to terminate the motion pending at ECF No. 160. (Signed by Judge William H. Pauley, III on 9/17/2019) (jwh) (Entered: 09/17/2019)

09/17/2019 Set/Reset Hearings: Telephone Conference set for 10/18/2019 at 11:00 AM before Judge William H. Pauley III. (jwh) (Entered: 09/17/2019)

09/25/2019 254 THIRD AMENDED COMPLAINT amending 42 Amended Complaint, 175 Amended Complaint,,, 96 Amended Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 42 Amended Complaint, 175 Amended Complaint,,, 96 Amended Complaint,. (Attachments: # 1 Exhibit A, # 2 Certificate of Plaintiff)(Cera, Solomon) (Entered: 09/25/2019)

10/01/2019 255 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated October 1, 2019 re: Deposition of Defendant Ryan R. Gilbertson. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Cera, Solomon) (Entered: 10/01/2019)

10/01/2019 256 ANSWER to 254 Amended Complaint,,. Document filed by Michael L. Reger.(Langdon, James) (Entered: 10/01/2019)

10/01/2019 257 ORDER re: 255 Letter, filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust: This Court has reviewed Plaintiffs' letter dated October 1, 2019 (ECF No. 255). The applications are granted. FMC Rochester and the Federal Bureau of Prisons' North Central Regional Office are directed to make Ryan Gilbertson available for a videotaped deposition taken by Plaintiffs on or before November 15, 2019 at a date and time convenient for the BOP. (Signed by Judge William H. Pauley, III on 10/1/2019) (jwh) (Entered: 10/01/2019)

10/09/2019 258 ANSWER to 254 Amended Complaint,, with JURY DEMAND. Document filed by Ryan R. Gilbertson.(Conners, Amy) (Entered: 10/09/2019)

10/16/2019 259 PROPOSED STIPULATION AND ORDER. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 10/16/2019)

10/18/2019 260 STIPULATION AND ORDER FOR A LIMITED EXTENSION OF THE FACT AND EXPERT DISCOVERY DEADLINES: Based on the foregoing, IT IS HEREBY STIPULATED AND AGREED that fact discovery shall close on December 16, 2019 and that expert reports and discovery shall proceed as detailed above. All other dates in the Joint Case Management Schedule shall remain unchanged. For the reasons set forth on the record during the status conference held on October 18, 2019, IT IS FURTHER ORDERED, that Plaintiff shall file a Fourth Amended Complaint. (Deposition due by 3/13/2020. Expert Discovery due by

3/13/2020. Fact Discovery due by 12/16/2019.) (Signed by Judge William H. Pauley, III on 10/18/2019) (jwh) (Entered: 10/18/2019)

10/18/2019 Minute Entry for proceedings held before Judge William H. Pauley, III: Telephone Conference held on 10/18/2019. (Entered: 10/29/2019)

10/24/2019 261 STATUS REPORT. Lead Plaintiff's Statement re Deposition of Ryan R. Gilbertson Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Attachment - Letter)(Cera, Solomon) (Entered: 10/24/2019)

10/30/2019 262 MOTION for Leland P. Abide to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17861364. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Abide, Leland) (Entered: 10/30/2019)

10/30/2019 263 AFFIDAVIT of Leland P. Abide in Support re: 262 MOTION for Leland P. Abide to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17861364. Motion and supporting papers to be reviewed by Clerk's Office staff.. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Abide, Leland) (Entered: 10/30/2019)

10/30/2019 264 PROPOSED ORDER. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Abide, Leland) Proposed Order to be reviewed by Clerk's Office staff. (Entered: 10/30/2019)

10/30/2019 265 MOTION for Leland P. Abide to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Certificate of Good Standing, # 2 Affidavit, # 3 Text of Proposed Order)(Abide, Leland) (Entered: 10/30/2019)

10/30/2019 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 262 MOTION for Leland P. Abide to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17861364. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): missing Proposed Order;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (aea) (Entered: 10/30/2019)

10/30/2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 265 MOTION for Leland P. Abide to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (aea) (Entered: 10/30/2019)

10/30/2019 266 LETTER addressed to Judge William H. Pauley, III from Lori A. Johnson dated October 30, 2019 re: Electronic Notices. Document filed by Jessica C. Gilbertson.(Johnson, Lori) (Entered: 10/30/2019)

10/31/2019 267 ORDER FOR ADMISSION PRO HAC VICE granting 265 Motion for Leland P. Abide to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 10/31/2019) (jwh) (Entered: 11/01/2019)

11/01/2019 268 MEMO ENDORSEMENT on re: 261 Status Report filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. ENDORSEMENT: This Court reviewed the letter from the Bureau of Prisons dated October 11, 2019. Plaintiff is directed to conduct the deposition of Gilbertson in accordance with the instructions of Warden Kallis. (Signed by Judge William H. Pauley, III on 11/1/2019) (jwh) (Entered: 11/01/2019)

11/01/2019 269 MEMO ENDORSEMENT on re: 266 Letter filed by Jessica C. Gilbertson. ENDORSEMENT: Application granted. (Attorney Lori Johnson terminated.) (Signed by Judge William H. Pauley, III on 11/1/2019) (jwh) (Entered: 11/01/2019)

11/08/2019 270 LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated November 8, 2019 re: Filing Update for Fourth Amended Complaint. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Markert, Pamela) (Entered: 11/08/2019)

11/11/2019 271 FOURTH AMENDED COMPLAINT amending 254 Amended Complaint,, 42 Amended Complaint, 1 Complaint, 175 Amended Complaint,,, 96 Amended Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 254 Amended Complaint,, 42 Amended Complaint, 1 Complaint, 175 Amended Complaint,,, 96 Amended Complaint,. (Attachments: # 1 Exhibit A, # 2 Certificate of Plaintiff)(Cera, Solomon) (Entered: 11/11/2019)

11/25/2019 272 ANSWER to 271 Amended Complaint,,. Document filed by Michael L. Reger.(Langdon, James) (Entered: 11/25/2019)

11/25/2019 273 ANSWER to 271 Amended Complaint,, with JURY DEMAND. Document filed by Ryan R. Gilbertson.(Conners, Amy) (Entered: 11/25/2019)

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