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

US District Court Civil Docket as of 10/29/2009Retrieved from the court on July 6, 2011

U.S. District CourtSouthern District of New York (Foley Square)

CIVIL DOCKET FOR CASE #: 1:08-cv-02912-PAC

IN RE Humphrys v. TD Ameritrade Holding Corporation Date Filed: 03/19/2008Assigned to: Judge Paul A. Crotty Date Terminated: 10/29/2009Member case: Jury Demand: Plaintiff

1:08-cv-05467-PAC Nature of Suit: 850Cause: 15:78m(a) Securities Exchange Act Securities/Commodities

Jurisdiction: Federal Question

Plaintiff

George Humphrys represented by Christopher Adam Seegerindividually Seeger Weiss LLP

1515 Market Streetsuite 1380Philadelphia, PA 19102212-584-0700Fax: 212-584-0799Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

David R. BuchananSeeger Weiss LLP1515 Market Streetsuite 1380Philadelphia, PA 19102(212)-584-0700Fax: (212)-584-0799Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

Stephen A. WeissSeeger Weiss LLP1515 Market Streetsuite 1380Philadelphia, PA 19102(212) 584-0700Fax: (212) 584-0799Email: [email protected]

LEAD ATTORNEYATTORNEY TO BE NOTICED

A.J. De BartolomeoGirard Gibbs & De Bartolomeo, LLP160 Sansome StreetSan Francisco, CA 94104(914) 981-4800PRO HAC VICEATTORNEY TO BE NOTICED

Aaron Michael SheaninGirard Gibbs LLP601 California Street, Suite 1400San Francisco, CA 94108(415)-981-4800Fax: (415)-981-4846Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Christina H. C. SharpGirard Gibbs LLP601 California Street, Suite 1400San Francisco, CA 94108(415)-981-4800Fax: (415)-981-4846Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Daniel Charles GirardGirard Gibbs LLP601 California Street, Suite 1400San Francisco, CA 94108(415)-981-4800Fax: (415)-981-4846Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Jonathan K. LevineGirard Gibbs LLP601 California Street, Suite 1400San Francisco, CA 94108415-981-4800Fax: 415-981-4846

Email: [email protected] TO BE NOTICED

Matthew L. DameronStueve Siegel Hanson, L.L.P.460 Nichols RoadSuite 200Kansas City, MO 64112(816)-714-7137Fax: (816)-714-7101Email: [email protected]: 09/03/2009PRO HAC VICE

Norman E. SiegelStueve Siegel Hanson LLP460 Nichols RoadSuite 200Kansas, MO 64112(816) 714-7112Fax: (816) 714-7101Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Rachel Erin SchwartzStueve Siegel Hanson LLP460 Nichols Road, Suite 200Kansas City, MO 64112(816)-714-7125Fax: (816)-714-7101Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Plaintiff

George Humphrys represented by Christopher Adam Seegeron behalf of all others similarly (See above for address)situated LEAD ATTORNEY

ATTORNEY TO BE NOTICED

David R. Buchanan(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Stephen A. Weiss

(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

A.J. De Bartolomeo(See above for address)PRO HAC VICEATTORNEY TO BE NOTICED

Aaron Michael Sheanin(See above for address)PRO HAC VICEATTORNEY TO BE NOTICED

Christina H. C. Sharp(See above for address)PRO HAC VICEATTORNEY TO BE NOTICED

Daniel Charles Girard(See above for address)PRO HAC VICEATTORNEY TO BE NOTICED

Jonathan K. Levine(See above for address)ATTORNEY TO BE NOTICED

Matthew L. Dameron(See above for address)TERMINATED: 09/03/2009PRO HAC VICE

Norman E. Siegel(See above for address)PRO HAC VICEATTORNEY TO BE NOTICED

Rachel Erin Schwartz(See above for address)PRO HAC VICEATTORNEY TO BE NOTICED

V.

Consolidated Plaintiff

Sheldon Silverstein represented by David W. Rowe

on behalf of himself and all others Kinsey, Rowe Law Firmsimilarly situated P.O. Box 85778

Lincoln, NE 68501(402) 438-1313Fax: (402) 438-1654LEAD ATTORNEYATTORNEY TO BE NOTICED

Eduard KorsinskyZimmerman Levi & Korsinsky, LLP(NY)39 Broadway, Suite 1601New York, NY 10006212-363-7500Fax: 212-363-7171Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

Joseph E. LeviZimmerman, Levi & Korsinky, LLP39 BroadwaySuite 1440New York, NY 10006(212) 363-7500Fax: (212) 363-7171LEAD ATTORNEYATTORNEY TO BE NOTICED

Juan Eneas MonteverdeLevi & Korsinsky, LLP30 Broadway15th Flr.New York, NY 10004(212)-363-7500Fax: (212)-363-7171Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

V.

Movant

Janet Jones represented by Jonathan K. LevineTERMINATED: 02/18/2009 (See above for address)

LEAD ATTORNEY

Movant

Michael Jones represented by Jonathan K. LevineTERMINATED: 02/18/2009 (See above for address)

LEAD ATTORNEY

Movant

Michael McKay represented by Jonathan K. Levine(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Norman E. SiegelStueve Siegel Hanson LLP460 Nichols Road, Suite 200Kansas City, MO 64112(816) 714-7112Fax: (816) 714-7101Email: [email protected] TO BE NOTICED

V.

Defendant

TD Ameritrade Holding represented by Richard John MorvilloCorporation Schulte Roth & Zabel LLP (DC)

1152 Fifteenth Street, N.W.Suite 850Washington, DC 20005(202) 729-74679Fax: (202) 730-4520Email: [email protected] ATTORNEYATTORNEY TO BE NOTICED

William Madison MannSchulte Roth & Zabel LLP (DC)1152 Fifteenth Street, N.W.Suite 850Washington, DC 20005(202) 729-7473Fax: (202) 730-4520Email: [email protected] HAC VICEATTORNEY TO BE NOTICED

Defendant

TD Ameritrade, Inc. represented by Richard John Morvilloformerly known as (See above for address)TD Waterhouse Investor Services, LEAD ATTORNEYInc. ATTORNEY TO BE NOTICED

William Madison Mann(See above for address)PRO HAC VICEATTORNEY TO BE NOTICED

V.

Consolidated Defendant

Jones Group, The represented by Aaron Michael Sheanin(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Christopher Adam Seeger(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Craig F. MartinLamson, Dugan Law Firm10306 Regency Parkway DriveOmaha, NE 68114(402) 397-7300Fax: (402) 397-7824LEAD ATTORNEYATTORNEY TO BE NOTICED

Daniel Charles Girard(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

David R. Buchanan(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Jonathan K. Levine(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Norman E. Siegel(See above for address)LEAD ATTORNEYPRO HAC VICEATTORNEY TO BE NOTICED

Stephen A. Weiss(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Intervenor Plaintiff

Group Silverstein represented by Juan Eneas Monteverde(See above for address)LEAD ATTORNEYATTORNEY TO BE NOTICED

Date Filed # Docket Text

03/19/2008 1 COMPLAINT against TD Ameritrade Holding Corporation and TDAmeritrade, Inc. (Filing Fee $ 350.00, Receipt Number 645261)Documentfiled by George Humphrys.(laq) (Entered: 03/21/2008)

03/19/2008 SUMMONS ISSUED as to TD Ameritrade Holding Corporation. (laq)(Entered: 03/21/2008)

03/19/2008 Magistrate Judge Kevin N. Fox is so designated. (laq) (Entered:03/21/2008)

03/19/2008 Case Designated ECF. (laq) (Entered: 03/21/2008)

04/24/2008 2 AFFIDAVIT OF SERVICE of Summons and Complaint. TD AmeritradeHolding Corporation served on 4/11/2008, answer due 5/1/2008. Documentfiled by George Humphrys. (Weiss, Stephen) (Entered: 04/24/2008)

05/01/2008 3 NOTICE OF APPEARANCE by Richard John Morvillo on behalf of TDAmeritrade Holding Corporation (Morvillo, Richard) (Entered: 05/01/2008)

05/01/2008 4 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying TDAmeritrade Holding Corporation as Corporate Parent. Document filed byTD Ameritrade Holding Corporation.(Morvillo, Richard) (Entered:05/01/2008)

05/02/2008 5 STIPULATION AND ORDER that defendants shall not be required toanswer the complaint. Defendants shall have 60 days from service of theAmended Complaint to answer the Amended Complaint. (Signed by JudgePaul A. Crotty on 5/2/08) (cd) (Entered: 05/02/2008)

05/19/2008 6 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM

MENU - FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEADPLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL toserve as lead plaintiff(s). Document filed by GroupSilverstein. (Monteverde, Juan) Modified on 5/20/2008 (db). (Entered:05/19/2008)

05/19/2008 7 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROMMENU - NOTICE of Motion to Appoint Lead Plaintiff and Lead Counselre: 6 FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEADPLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL toserve as lead plaintiff(s). Document filed by Group Silverstein.(Monteverde, Juan) Modified on 5/20/2008 (db). (Entered: 05/19/2008)

05/19/2008 8 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION ofJoseph E. Levi in Support re: 6 FIRST MOTION to AppointSILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI &KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s).Document filed by Group Silverstein. (Monteverde, Juan) Modified on5/20/2008 (db). (Entered: 05/19/2008)

05/19/2008 9 FILING ERROR - ELECTRONIC FILING FOR NON ECF DOCUMENT- FIRST MOTION Lead Plaintiff and Lead Counsel. Document filed byGroup Silverstein. (Monteverde, Juan) Modified on 5/20/2008 (db).(Entered: 05/19/2008)

05/19/2008 10 MOTION to Appoint Counsel., MOTION to Appoint JANET JONES, ASTRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002,MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s).Document filed by Janet Jones, Michael Jones, Michael McKay.(Attachments: # 1 Text of Proposed Order)(Levine, Jonathan) (Entered:05/19/2008)

05/19/2008 11 MEMORANDUM OF LAW in Support re: 10 MOTION to AppointCounsel. MOTION to Appoint JANET JONES, AS TRUSTEE OF THEJONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, ANDMICHAEL McKAY to serve as lead plaintiff(s). MOTION to AppointJANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as leadplaintiff(s).. Document filed by Janet Jones, Michael Jones, MichaelMcKay. (Levine, Jonathan) (Entered: 05/19/2008)

05/19/2008 12 DECLARATION of JONATHAN K. LEVINE in Support re: 10 MOTIONto Appoint Counsel. MOTION to Appoint JANET JONES, AS TRUSTEEOF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES,AND MICHAEL McKAY to serve as lead plaintiff(s). MOTION toAppoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUSTDATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY toserve as lead plaintiff(s).. Document filed by Janet Jones, Michael Jones,Michael McKay. (Attachments: # 1 Exhibit A - H)(Levine, Jonathan)

(Entered: 05/19/2008)

05/20/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENTTYPE ERROR. Note to Attorney Juan Eneas Monteverde to RE-FILEDocument 6 FIRST MOTION to Appoint SILVERSTEIN GROUP ASLEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEADCOUNSEL to serve as lead plaintiff(s).FIRST MOTION to AppointSILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI &KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). Usethe document type Memorandum of Law in Support of Motion found underthe document list Replies, Opposition and Supporting Documents.ATTORNEY NOTIFIED VIA TELEPHONE to correct 7 as Motion toAppoint; 8 as Declaration in Support of Motion; and 9 as an Exhibit toNewly Filed Motion to Appoint. (db) (Entered: 05/20/2008)

05/20/2008 13 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROMMENU - NOTICE of Motion to Appoint Lead Plaintiff and Lead Counsel.Document filed by Group Silverstein. (Monteverde, Juan) Modified on5/21/2008 (db). (Entered: 05/20/2008)

05/20/2008 14 FILING ERROR - DEFICIENT DOCUMENT ENTRY -MEMORANDUM OF LAW in Support re: 6 FIRST MOTION to AppointSILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI &KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s).FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEADPLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL toserve as lead plaintiff(s). Document filed by Group Silverstein.(Attachments: # 1 Text of Proposed Order Proposed Order)(Monteverde,Juan) Modified on 5/21/2008 (db). (Entered: 05/20/2008)

05/20/2008 15 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION ofJoseph E. Levi in Support re: 6 FIRST MOTION to AppointSILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI &KORSINSKY, LLP AS LEAD COUNSEL to serve as leadplaintiff(s).FIRST MOTION to Appoint SILVERSTEIN GROUP ASLEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEADCOUNSEL to serve as lead plaintiff(s). Document filed by GroupSilverstein. (Monteverde, Juan) Modified on 5/21/2008 (db). (Entered:05/20/2008)

05/21/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENTTYPE ERROR. Note to Attorney Juan Eneas Monteverde to RE-FILEDocument 13 Notice (Other). Use the document type Appoint LeadPlaintiff(s) found under the document list Motions. (db) (Entered:05/21/2008)

05/21/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENTDOCKET ENTRY ERROR. Note to Attorney Juan Eneas Monteverde toRE-FILE Document 14 Memorandum of Law in Support of Motion.

ERROR(S): Supporting Document must be attached to corrected Motion.REMINDER: (1) File the Corrected Motion. (2) File Memorandum of Lawin Support and Link it to the Newly Corrected Motion. (db) (Entered:05/21/2008)

05/21/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENTDOCKET ENTRY ERROR. Note to Attorney Juan Eneas Monteverde toRE-FILE Document 15 Declaration in Support of Motion. ERROR(S):Supporting Document must be attached to corrected Motion. REMINDER:After filing the Corrected Motion, then file the Declaration in Support andLink to the Newly Filed Motion. (db) (Entered: 05/21/2008)

05/21/2008 16 MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel.Document filed by Group Silverstein. (Attachments: # 1 Text of ProposedOrder [PROPOSED] ORDER APPOINTING THE SILVERSTEINGROUP AS LEAD PLAINTIFF AND APPROVING ITS SELECTION OFLEAD COUNSEL and LIAISON COUNSEL FOR THECLASS)(Monteverde, Juan) (Entered: 05/21/2008)

05/21/2008 17 MEMORANDUM OF LAW in Support re: 16 MOTION to AppointCounsel Levi & Korsinsky, LLP as lead counsel.. Document filed by GroupSilverstein. (Monteverde, Juan) (Entered: 05/21/2008)

05/21/2008 18 DECLARATION of Joseph E. Levi in Support re: 16 MOTION to AppointCounsel Levi & Korsinsky, LLP as lead counsel.. Document filed by GroupSilverstein. (Monteverde, Juan) (Entered: 05/21/2008)

05/27/2008 19 MOTION for William M. Mann to Appear Pro Hac Vice. Document filedby TD Ameritrade Holding Corporation, TD Ameritrade, Inc..(dle)(Entered: 05/27/2008)

05/30/2008 20 MOTION for Norman E. Siegel and Matthew L. Dameron to Appear ProHac Vice. Document filed by George Humphrys(individually), GeorgeHumphrys(on behalf of all others similarly situated).(dle) (Entered:06/02/2008)

06/02/2008 21 MOTION for Christina H. C. Sharp to Appear Pro Hac Vice. Documentfiled by George Humphrys(individually), George Humphrys(on behalf ofall others similarly situated).(dle) (Entered: 06/03/2008)

06/02/2008 22 MOTION for A.J. De Bartolomeo to Appear Pro Hac Vice. Document filedby George Humphrys(individually), George Humphrys(on behalf of allothers similarly situated).(dle) (Entered: 06/03/2008)

06/02/2008 23 MOTION for Aaron M. Sheanin to Appear Pro Hac Vice. Document filedby George Humphrys(individually), George Humphrys(on behalf of allothers similarly situated).(dle) (Entered: 06/03/2008)

06/02/2008 24 MOTION for Daniel C. Girard to Appear Pro Hac Vice. Document filed byGeorge Humphrys(individually), George Humphrys(on behalf of all others

similarly situated).(dle) (Entered: 06/03/2008)

06/04/2008 25 ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE OFWILLIAM M. MANN 19 Motion for William M. Mann to Appear Pro HacVice. William M. Mann is admitted pro hac vice as counsel to Defendantsin this action. (Signed by Judge Paul A. Crotty on 6/4/08) (tro) (Entered:06/04/2008)

06/04/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 25 Order onMotion to Appear Pro Hac Vice, to the Attorney Admissions Clerk forupdating of Attorney Information. (tro) (Entered: 06/04/2008)

06/05/2008 CASHIERS OFFICE REMARK on 25 Order on Motion to Appear Pro HacVice, in the amount of $25.00, paid on 05/27/2008, Receipt Number652310. (jd) (Entered: 06/05/2008)

06/05/2008 CASHIERS OFFICE REMARK on 20 Motion to Appear Pro Hac Vice inthe amount of $50.00, paid on 05/30/2008, Receipt Number 652717. (jd)(Entered: 06/05/2008)

06/05/2008 26 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTIONgranting 24 Motion for Daniel C. Girard to Appear Pro Hac Vice. (Signedby Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008)

06/05/2008 27 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTIONgranting 23 Motion for Aaron M. Sheanin to Appear Pro Hac Vice. (Signedby Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008)

06/05/2008 28 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTIONgranting 22 Motion for A.J. De Bartolomeo to Appear Pro Hac Vice.(Signed by Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008)

06/05/2008 29 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTIONgranting 21 Motion for Christina H. C. Sharp to Appear Pro Hac Vice.(Signed by Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008)

06/05/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 26 Order onMotion to Appear Pro Hac Vice, to the Attorney Admissions Clerk forupdating of Attorney Information. (mme) (Entered: 06/05/2008)




06/06/2008 CASHIERS OFFICE REMARK on 24 Motion to Appear Pro Hac Vice, 22Motion to Appear Pro Hac Vice, 23 Motion to Appear Pro Hac Vice, 21Motion to Appear Pro Hac Vice in the amount of $100.00, paid on06/02/2008, Receipt Number 652823. (jd) (Entered: 06/06/2008)

06/06/2008 30 RESPONSE in Support re: 10 MOTION to Appoint Counsel. MOTION toAppoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUSTDATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY toserve as lead plaintiff(s). MOTION to Appoint JANET JONES, ASTRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002,MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s)..Document filed by Janet Jones. (Levine, Jonathan) (Entered: 06/06/2008)

06/09/2008 31 ORDER granting 20 Motion for Norman E. Siegel & Matthew L. Dameronto Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 6/9/08) (mme)(Entered: 06/09/2008)


06/16/2008 32 RESPONSE in Support re: 10 MOTION to Appoint Counsel. MOTION toAppoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUSTDATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY toserve as lead plaintiff(s). MOTION to Appoint JANET JONES, ASTRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002,MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s)..Document filed by Janet Jones. (Levine, Jonathan) (Entered: 06/16/2008)

06/26/2008 33 NOTICE of Notice of Related Case. Document filed by GeorgeHumphrys(individually), George Humphrys(on behalf of all otherssimilarly situated). (Attachments: # 1 Exhibit Exhibits A through C toNotice of Related Case, # 2 Certificate of Service of TerriAnneBenedetto)(Weiss, Stephen) (Entered: 06/26/2008)

06/27/2008 34 NOTICE of Related Case. Document filed by TD Ameritrade, Inc.. (Mann,William) (Entered: 06/27/2008)

07/01/2008 35 NOTICE of Related Case. Document filed by GeorgeHumphrys(individually), George Humphrys(on behalf of all otherssimilarly situated). (djc) (Entered: 07/02/2008)

10/10/2008 36 CERTIFIED TRUE COPY OF MDL ORDER FROM THE MDL PANELDENYING TRANSFER.... that the motion, pursuant to 28 U.S.C. 1407(c),for transfer of the action to the United States District Court - SouthernDistrict of New York, be, and the same hereby is denied. (Signed by MDLPanel on 10/9/08) (laq) (Entered: 10/20/2008)

12/02/2008 37 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURESTATEMENT. Identifying TD Ameritrade Holding Corporation as

Corporate Parent. Document filed by TD Ameritrade Holding Corporation,TD Ameritrade, Inc..(Mann, William) (Entered: 12/02/2008)

12/09/2008 38 MOTION to Withdraw Lead Plaintiff Application. Document filed byGroup Silverstein.(Monteverde, Juan) (Entered: 12/09/2008)

12/16/2008 39 ENDORSED LETTER addressed to Judge Paul A. Crotty from Matthew L.Dameron dated 12/15/2008 re: Requesting that the Court grant their motionfor appointment as lead plaintiffs and approval of selection of counsel.ENDORSEMENT: Application GRANTED and pretrial conference is setfor 1/13/2009 at 2:15 p.m. in courtroom 20-C. (Signed by Judge Paul A.Crotty on 12/16/2008) (jpo) (Entered: 12/16/2008)

01/07/2009 40 ENDORSED LETTER addressed to Judge Paul A. Crotty from Matthew L.Dameron dated 1/5/09 re: Counsel proposes the following schedule:Defendants shall not be required to answer, move against, or otherwiserespond to the initial Complaint [Doc. # I]; Lead Plaintiffs shall file theAmended Complaint on or before February 13, 2009; Defendants shallanswer, move against, or otherwise respond to the Amended Complaint onor before April 14, 2009; If Defendants move against the AmendedComplaint, Lead Plaintiffs shall submit their opposition to Defendants'motion on or before May 29, 2009; Defendants shall submit their replybrief in support of their motion on or before June 29, 2009. If the Courtendorses this schedule, and the Court has no further business for the parties,the parties respectfully request that the Court cancel or postpone the hearingscheduled for January 13, 2009. ENDORSEMENT: The schedule isadopted and the conference scheduled for January 13, 2009 is adjourned.(Signed by Judge Paul A. Crotty on 1/7/09) (mme) (Entered: 01/07/2009)

02/13/2009 41 REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARYDISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of CivilProcedure, the plaintiff(s) and or their counsel(s), hereby give notice thatthe above-captioned action is voluntarily dismissed, Without prejudiceagainst the defendant(s) TD Ameritrade Holding Corporation, TDAmeritrade, Inc.. Document filed by Janet Jones, Michael Jones. (Siegel,Norman) Modified on 2/17/2009 (dt). (Entered: 02/13/2009)

02/13/2009 42 FIRST AMENDED COMPLAINT amending 1 Complaint against TDAmeritrade Holding Corporation, TD Ameritrade, Inc. Document filed byMichael McKay. Related document: 1 Complaint filed by GeorgeHumphrys.(dle) (Entered: 02/17/2009)

02/17/2009 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FORAPPROVAL. Note to Attorney Norman Siegel Document 41 Notice ofVoluntary Dismissal, was referred to Judge Paul A. Crotty for approval.(dt) (Entered: 02/17/2009)

02/18/2009 43 PARTIAL NOTICE OF VOLUNTARY DISMISSAL OF PLAINTIFFSMICHAEL JONES AND JANET JONES PURSUANT TO FED. R. CIV.

P. 41(a)(1)(A)(i), the plaintiff(s) Janet Jones and Michael Jones and or theircounsel(s), hereby give notice that the above-captioned action is voluntarilydismissed without prejudice against the defendant(s). (Signed by JudgePaul A. Crotty on 2/18/09) (tro) (Entered: 02/18/2009)

03/30/2009 44 CONSOLIDATION ORDER: That the above-captioned actions areconsolidated for all purposes (the "Consolidated Action"). This Order (the"Order") shall apply to the Consolidated Action and to each case that relatesto the same subject matter that is subsequently filed in this Court or istransferred to this Court and is consolidated with the Consolidated Action.A Master File is established for this proceeding. The Master File shall beCivil Action No. 1:08 Civ. 2912-PAC. The Clerk shall file all pleadings inthe Master File and note such filings on the Master Docket. An original ofthis Order shall be filed by the Clerk in the Master File. Every pleading inthe Consolidated Action shall have the following caption: IN RE Humphrysv. TD Ameritrade Holding Corporation, 1:08-cv-2912-PAC. The Courtrequests the assistance of counsel in calling to the attention of the Clerk ofthis Court the filing or transfer of any case that might properly beconsolidated as part of the Consolidated Action. The Clerk of the Court isdirected to terminate case number 1: 08 Civ. 5467 (PAC). SO ORDERED.(Signed by Judge Paul A. Crotty on 3/30/2009) Filed In Associated Cases:1:08-cv-02912-PAC, 1:08-cv-05467-PAC(tve) (Entered: 03/30/2009)

04/14/2009 45 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to DismissFirst Amended Complaint. Document filed by TD Ameritrade HoldingCorporation, TD Ameritrade, Inc.. (Attachments: # 1 Memorandum of Lawin Support of Motion to Dismiss, # 2 Affidavit Declaration of AkriviMazarakis in Support of Motion to Dismiss with Exhibits 1-4, # 3 AffidavitDeclaration of Akrivi Mazarakis in Support of Motion to Dismiss withExhibits 5-17, # 4 Text of Proposed Order, # 5 Certificate ofService)(Mann, William) Modified on 4/17/2009 (jar). (Entered:04/14/2009)

04/14/2009 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENTDOCKET ENTRY ERROR. Note to Attorney William Mann to RE-FILEDocument 45 MOTION to Dismiss First Amended Complaint. ERROR(S):Supporting Documents must be filed individually. Use the event typesMemorandum of Law in Support and Declaration in Support found underevent list Replies, Oppositions, Supporting Documents. ***REMINDER:The motion must first be re-filed, then file the supporting document andlink it to the correctly re-filed motion. (jar) (Entered: 04/17/2009)

04/17/2009 46 MOTION to Dismiss. Document filed by TD Ameritrade HoldingCorporation, TD Ameritrade, Inc.. (Attachments: # 1 Text of ProposedOrder)(Mann, William) (Entered: 04/17/2009)

04/17/2009 47 MEMORANDUM OF LAW in Support re: 46 MOTION to Dismiss..Document filed by TD Ameritrade Holding Corporation, TD Ameritrade,

Inc.. (Mann, William) (Entered: 04/17/2009)

04/17/2009 48 DECLARATION of Akrivi Mazarakis in Support re: 46 MOTION toDismiss.. Document filed by TD Ameritrade Holding Corporation, TDAmeritrade, Inc.. (Attachments: # 1 Declaration Exhibits 5-17)(Mann,William) (Entered: 04/17/2009)

05/29/2009 49 MEMORANDUM OF LAW in Opposition re: 46 MOTION to Dismiss..Document filed by Michael McKay. (Sheanin, Aaron) (Entered:05/29/2009)

06/29/2009 50 REPLY MEMORANDUM OF LAW in Support re: 46 MOTION toDismiss.. Document filed by TD Ameritrade Holding Corporation, TDAmeritrade, Inc.. (Mann, William) (Entered: 06/29/2009)

06/29/2009 51 DECLARATION of Akrivi Mazarakis in Support re: 46 MOTION toDismiss.. Document filed by TD Ameritrade Holding Corporation, TDAmeritrade, Inc.. (Mann, William) (Entered: 06/29/2009)

08/25/2009 52 ENDORSED LETTER addressed to Judge Paul A. Crotty from Daniel C.Girard dated 8/3/2009 re: The parties agree that the Court should reserveruling on the motion to dismiss until Mr. McKay's eligibility for TDAmeritrade's repurchase program has been confirmed. ENDORSEMENT:SO ORDERED. (Signed by Judge Paul A. Crotty on 8/25/2009) (tve)(Entered: 08/25/2009)

08/31/2009 53 MOTION for Matthew L. Dameron to Withdraw as Attorney. Documentfiled by George Humphrys(individually).(Dameron, Matthew) (Entered:08/31/2009)

09/03/2009 54 MEMO ENDORSEMENT re: 53 Motion to Withdraw as Attorney.ENDORSEMENT: SO ORDERED. Added attorney Norman E. Siegel forGeorge Humphrys. Attorney Matthew L. Dameron terminated. (Signed byJudge Paul A. Crotty on 9/3/2009) (tve) (Entered: 09/03/2009)

09/18/2009 55 MOTION for Rachel E. Schwartz to Appear Pro Hac Vice. Document filedby George Humphrys(individually), George Humphrys(on behalf of allothers similarly situated).(mro) (Entered: 09/22/2009)

09/24/2009 CASHIERS OFFICE REMARK on 55 Motion to Appear Pro Hac Vice inthe amount of $25.00, paid on 09/18/2009, Receipt Number 700288. (jd)(Entered: 09/24/2009)

09/24/2009 56 ORDER granting 55 Motion for Rachel E. Schwartz to Appear Pro HacVice on behalf of Plaintiff George Humphrys. Counsel shall forward thepro hac vice fee to the Clerk of the Court. (Signed by Judge Paul A. Crottyon 9/24/09) (djc) (Entered: 09/24/2009)

09/24/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 56 Order onMotion to Appear Pro Hac Vice, to the Attorney Admissions Clerk forupdating of Attorney Information. (djc) (Entered: 09/24/2009)

10/21/2009 57 NOTICE OF CHANGE OF ADDRESS by Richard John Morvillo onbehalf of TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. NewAddress: Schulte Roth & Zabel LLP, 1152 Fifteenth Street, NW, Suite 850,Washington, DC, USA 20005, 202.729.7479. (Morvillo, Richard) (Entered:10/21/2009)

10/21/2009 58 NOTICE OF CHANGE OF ADDRESS by William Madison Mann onbehalf of TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. NewAddress: Schulte Roth & Zabel LLP, 1152 Fifteenth Street, NW, Suite 850,Washington, DC, USA 20005, 202.729.7473. (Mann, William) (Entered:10/21/2009)

10/23/2009 59 REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARYDISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of CivilProcedure, the plaintiff(s) and or their counsel(s), hereby give notice thatthe above-captioned action is voluntarily dismissed, without prejudiceagainst the defendant(s) Michael McKay. Document filed by MichaelMcKay. (Siegel, Norman) Modified on 10/26/2009 (dt). (Entered:10/23/2009)

10/26/2009 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FORAPPROVAL. Note to Attorney Norman Siegel Document 59 Notice ofVoluntary Dismissal, was referred to Judge Paul A. Crotty for approval.(dt) (Entered: 10/26/2009)

10/29/2009 60 NOTICE OF DISMISSAL WITHOUT PREJUDICE: Plaintiff, pursuant toFRCP 41(a)(1)(A)(i), hereby dismisses this matter, without prejudice. TheClerk of Court is directed to close this case. (Signed by Judge Paul A.Crotty on 10/29/09) (dle) Modified on 11/6/2009 (dle). (Entered:10/30/2009)

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