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

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US District Court Civil Docket as of February 8, 2013 Retrieved from the court on February 12, 2013 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:11-cv-05794-PAC In re Enher1, Inc. Securities Litigation Assigned to: Judge Paul A. Crotty Member case: (View Member Case) Related Cases: 1:11-cv-05795-PAC 1:11-cv-06030-PAC Cause: 15:78m(a) Securities Exchange Act Lead Plaintiff Junie L. Morris Date Filed: 08/18/2011 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by William Bernard Federman Federman & Sherwood 10205 N. Pennsylvania Oklahoma City, OK 73102 (405) 235-1560 Fax: (405) 239-2112 Email: [email protected] ATTORNEY TO BE NOTICED Lead Plaintiff Lisa G. Morris represented by William Bernard Federman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Plaintiff Mark Beckman represented by William Bernard Federman Individually and on behalf of all others (See above for address) similarly situated LEAD ATTORNEY ATTORNEY TO BE NOTICED Howard G. Smith Smith & Smith 3070 Bristol Pike Bensalem, PA 19020 (215) 638-4848 ATTORNEY TO BE NOTICED Jeremy Alan Lieberman Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor New York, NY 10017

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

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US District Court Civil Docket as of February 8, 2013 Retrieved from the court on February 12, 2013

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

CIVIL DOCKET FOR CASE #: 1:11-cv-05794-PAC

In re Enher1, Inc. Securities Litigation Assigned to: Judge Paul A. Crotty Member case: (View Member Case) Related Cases: 1:11-cv-05795-PAC

1:11-cv-06030-PAC Cause: 15:78m(a) Securities Exchange Act

Lead Plaintiff

Junie L. Morris

Date Filed: 08/18/2011 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

represented by William Bernard Federman Federman & Sherwood 10205 N. Pennsylvania Oklahoma City, OK 73102 (405) 235-1560 Fax: (405) 239-2112 Email: [email protected] ATTORNEY TO BE NOTICED

Lead Plaintiff

Lisa G. Morris represented by William Bernard Federman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Mark Beckman represented by William Bernard Federman Individually and on behalf of all others

(See above for address)

similarly situated

LEAD ATTORNEY ATTORNEY TO BE NOTICED

Howard G. Smith Smith & Smith 3070 Bristol Pike Bensalem, PA 19020 (215) 638-4848 ATTORNEY TO BE NOTICED

Jeremy Alan Lieberman Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor New York, NY 10017

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(212)-661-1100 Fax: (212)-661-8665 Email: [email protected] ATTORNEY TO BE NOTICED

Lionel Z. Glancy Glancy & Binkow Goldberg LLP 1925 Century Park East, Suite 2100 Los Angeles, CA 90067 (310) 201-9150 Fax: (310) 201-9160 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

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

Michael Goldberg Glancy Binkow & Goldberg, LLP (CA) 1801 Avenue of the Stars Suite 311 Los Angeles, CA 90067 (310)-201-9150 Fax: (310)-201-9160 PRO HAC VICE ATTORNEY TO BE NOTICED

Patrick Vincent Dahlstrom Pomerantz Haudek Block Grossman & Gross LLP 100 Park Avenue, 26th Floor New York, NY 10017 (212)661-1100 Fax: (212)661-8665 ATTORNEY TO BE NOTICED

Robert Vincent Prongay Glancy Binkow & Goldberg LLP 1925 Century Park East, Suite 2100 Los Angeles, CA 90067 (310) 201-9150 Fax: (310) 201-9160

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Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

V.

Consolidated Plaintiff

Raymond Neufeld represented by William Bernard Federman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Marc Ian Gross (See above for address) ATTORNEY TO BE NOTICED

Patrick Vincent Dahlstrom (See above for address) ATTORNEY TO BE NOTICED

Peretz Bronstein Bronstein, Gewirtz & Grossman 60 East 42nd Street, Suite 4600 New York, NY 10165 (212)-697-6484 Fax: (212)-697-7296 Email: [email protected] ATTORNEY TO BE NOTICED

Consolidated Plaintiff

C. Brickley Foster represented by William Bernard Federman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Christopher Steven Jones Saxena White P.A. 2424 N. Federal Highway Boca Raton, FL 33431 (561)-394-3399 Fax: (561)-394-3382 Email: [email protected] ATTORNEY TO BE NOTICED

Curtis Victor Trinko Law Offices of Curtis V. Trinko, LLP 16 West 46th Street, Seventh Floor New York, NY 10036 212-490-9550 Fax: 212-986-0158

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Email: [email protected] ATTORNEY TO BE NOTICED

Jennifer Elizabeth Traystman Law Offices of Curtis V. Trinko 16 West 46th Street New York, NY 10036 (212)-490-9550 Fax: (212)-986-0158 Email: [email protected] ATTORNEY TO BE NOTICED

Joseph E. White , III Saxena White P.A. 2424 N. Federal Highway, Suite 257 Boco Raton, FL 33431 (561)-394-3399 Fax: (561)-394-3382 Email: [email protected] ATTORNEY TO BE NOTICED

Lester R. Hooker Saxena White P.A. 2424 N. Federal Highway Boca Raton, FL 33431 (561) 394-3399 Fax: (561) 394-3082 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Movant

Samuel Hasson

Movant

R. Marie Rauter

Movant

Eric Selten

represented by Richard William Connello Faruqi & Faruqi, LLP 369 Lexington Avenue, 10th fl. New York, Ny 10017 (212)-983-9330 Fax: (212)-983-9331 Email: [email protected] ATTORNEY TO BE NOTICED

represented by Richard William Connello (See above for address) ATTORNEY TO BE NOTICED

represented by Richard William Connello

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(See above for address) ATTORNEY TO BE NOTICED

Movant

Ener1 Investor Group represented by Jeffrey Philip Campisi Kaplan Fox & Kilsheimer LLP (NYC) 850 Third Avenue 14th Floor New York, NY 10022 212-687-1980 Fax: 212-687-1980 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant

Ener1, Inc. represented by Jonathan Cobb Dickey Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 212 351-2399 Fax: 212 351-6399 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Aric Hugo Wu Gibson, Dunn & Crutcher, LLP (NY) 200 Park Avenue, 48th Floor New York, NY 10166 (212) 351-3820 Fax: (212) 351-5344 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Charles Gassenheimer represented by Jonathan Cobb Dickey (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Aric Hugo Wu (See above for address) ATTORNEY TO BE NOTICED

Defendant

Jefrey Seidel represented by Jonathan Cobb Dickey

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

Aric Hugo Wu (See above for address) ATTORNEY TO BE NOTICED

Defendant

Robert R. Kamischke represented by Jonathan Cobb Dickey (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Aric Hugo Wu (See above for address) ATTORNEY TO BE NOTICED

Defendant

Kenneth Baker represented by Aric Hugo Wu (See above for address) ATTORNEY TO BE NOTICED

Jonathan Cobb Dickey (See above for address) ATTORNEY TO BE NOTICED

represented by Jonathan Cobb Dickey (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Jonathan Cobb Dickey (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Jonathan Cobb Dickey (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant

Elliot Fuhr

Defendant

Nora Brownell

Defendant

Thomas Snyder

Date Filed # Docket Text

08/18/2011 1 COMPLAINT against Kenneth Baker, Ener1, Inc., Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel. (Filing Fee $ 350.00.)Document filed by Mark

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I Beckman.(rdz) (Entered: 08/23/2011)

08/18/2011

SUMMONS ISSUED as to Kenneth Baker, Ener1, Inc., Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel. (rdz) (Entered: 08/23/2011)

08/18/2011

Magistrate Judge Kevin Nathaniel Fox is so designated. (rdz) (Entered: 08/23/2011)

08/18/2011 Case Designated ECF. (rdz) (Entered: 08/23/2011)

09/21/2011 2 SUMMONS RETURNED EXECUTED. Ener1, Inc. served on 9/8/2011, answer due 9/29/2011. Service was accepted by Alicia Kahler. Managing Agent. Service was made by Mail. Document filed by Mark Beckman. (Lieberman, Jeremy) (Entered: 09/21/2011)

09/21/2011 3 SUMMONS RETURNED EXECUTED. Charles Gassenheimer served on 9/8/2011, answer due 9/29/2011. Service was accepted by Alicia Kahler, Co-Worker. Service was made by Mail. Document filed by Mark Beckman. (Lieberman, Jeremy) (Entered: 09/21/2011)

09/21/2011 4 SUMMONS RETURNED EXECUTED. Jefrey Seidel served on 9/8/2011, answer due 9/29/2011. Service was accepted by Alicia Kahler, Co-Worker. Service was made by Mail. Document filed by Mark Beckman. (Lieberman, Jeremy) (Entered: 09/21/2011)

09/21/2011

09/21/2011

09/28/2011

5 SUMMONS RETURNED EXECUTED. Robert R. Kamischke served on 9/8/2011, answer due 9/29/2011. Service was accepted by Alicia Kahler, Co-Worker. Service was made by Mail. Document filed by Mark Beckman. (Lieberman, Jeremy) (Entered: 09/21/2011)

6 SUMMONS RETURNED EXECUTED. Kenneth Baker served on 9/8/2011, answer due 9/29/2011. Service was accepted by Alicia Kahler, Co-Worker. Service was made by Mail. Document filed by Mark Beckman. (Lieberman, Jeremy) (Entered: 09/21/2011)

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STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties in this action, that: 1. Defendants need not respond to the complaint filed in this action. 2. Within sixty (60) days after a court ruling on any motions for lead plaintiff, the court-appointed Lead Plaintiff shall file a Consolidated Amended Complaint that supersedes the complaint filed in this action. 3. Within sixty (60) days after the filing of the Consolidated Amended Complaint, Defendants shall answer, move against, or otherwise respond to the Consolidated Amended Complaint. (Signed by Judge Paul A. Crotty on 9/28/2011) (lmb) (Entered: 09/29/2011)

10/06/2011 8 NOTICE OF APPEARANCE by Aric Hugo Wu on behalf of Kenneth Baker, Ener1, Inc., Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel (Wu, Aric) (Entered: 10/06/2011)

10/07/2011 9 NOTICE OF APPEARANCE by Jonathan Cobb Dickey on behalf of Kenneth Baker, Ener1, Inc., Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel (Dickey, Jonathan) (Entered: 10/07/2011)

10/17/2011 10 MOTION to Appoint Junie L. Morris and Lisa G. Morris to serve as lead plaintiff(s) Consolidate Related Actions and to Approve Proposed Lead Plaintiff's Choice of Counsel. Document filed by Junie L. Morris, Lisa G. Morris.(Federman, William)

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I (Entered: 10/17/2011)

MEMORANDUM OF LAW in Support re: 10 MOTION to Appoint Junie L. Morris and Lisa G. Morris to serve as lead plaintiff(s) Consolidate Related Actions and to Approve Proposed Lead Plaintiff's Choice of Counsel . MOTION to Appoint Junie L. Morris and Lisa G. Morris to serve as lead plaintiff(s) Consolidate Related Actions and to Approve Proposed Lead Plaintiff's Choice of Counsel .. Document filed by Junie L. Morris, Lisa G. Morris. (Federman, William) (Entered: 10/17/2011)

DECLARATION of William B. Federman in Support re: 10 MOTION to Appoint Junie L. Morris and Lisa G. Morris to serve as lead plaintiff(s) Consolidate Related Actions and to Approve Proposed Lead Plaintiff's Choice of Counsel . MOTION to Appoint Junie L. Morris and Lisa G. Morris to serve as lead plaintiff(s) Consolidate Related Actions and to Approve Proposed Lead Plaintiff's Choice of Counsel .. Document filed by Junie L. Morris, Lisa G. Morris. (Attachments: # 1 Exhibit A - Plaintiffs Certification, # 2 Exhibit B - Loss Analysis, # 3 Exhibit C - Press Release, # 4 Exhibit D - Firm Resume)(Federman, William) (Entered: 10/17/2011)

MOTION to Appoint SAMUEL HASSON, R. MARIE RAUTER, ERIC SELTEN to serve as lead plaintiff(s)., MOTION to Consolidate Cases 1:11-CV-5794, 1:11-CV-5795, 1:11-CV-6030 THE ENER1 INVESTOR GROUP'S MOTION FOR (1) CONSOLIDATION; (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . Document filed by Samuel Hasson, R. Marie Rauter, Eric Selten. (Attachments: # 1 Text of Proposed Order)(Gonnello, Richard) (Entered: 10/17/2011)

MEMORANDUM OF LAW in Support re: 13 MOTION to Appoint SAMUEL HASSON, R. MARIE RAUTER, ERIC SELTEN to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-5794, 1:11-CV-5795, 1:11-CV-6030 THE ENER1 INVESTOR GROUP'S MOTION FOR (1) CONSOLIDATION; (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . MOTION to Appoint SAMUEL HASSON, R. MARIE RAUTER, ERIC SELTEN to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-5794, 1:11-CV-5795, 1:11-CV-6030 THE ENER1 INVESTOR GROUP'S MOTION FOR (1) CONSOLIDATION; (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL .. Document filed by Samuel Hasson, R. Marie Rauter, Eric Selten. (Gonnello, Richard) (Entered: 10/17/2011)

DECLARATION of RICHARD W. GONNELLO in Support re: 13 MOTION to Appoint SAMUEL HASSON, R. MARIE RAUTER, ERIC SELTEN to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-5794, 1:11-CV-5795, 1:11-CV-6030 THE ENER1 INVESTOR GROUP'S MOTION FOR (1) CONSOLIDATION; (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . MOTION to Appoint SAMUEL HASSON, R. MARIE RAUTER, ERIC SELTEN to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-5794, 1:11-CV-5795, 1:11-CV-6030 THE ENER1 INVESTOR GROUP'S MOTION FOR (1) CONSOLIDATION; (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL .. Document filed by Samuel Hasson, R. Marie Rauter, Eric Selten. (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)(Gonnello, Richard) (Entered: 10/17/2011)

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10/17/2011 16 CERTIFICATE OF SERVICE. Document filed by Samuel Hasson, R. Marie Rauter, Eric Selten. (Gonnello, Richard) (Entered: 10/17/2011)

10/17/2011 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP, Pomerantz Haudek Grossman & Gross LLP, and Glancy Binkow & Goldberg LLP ., MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s)., MOTION to Consolidate Cases 11- cv-5794; 11-cv-5795; 11-cv-6030. Document filed by Ener1 Investor Group.(Campisi, Jeffrey) (Entered: 10/17/2011)

10/17/2011 19

11/03/2011 21

MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP, Pomerantz Haudek Grossman & Gross LLP, and Glancy Binkow & Goldberg LLP . MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5794; 11-cv-5795; 11-cv-6030. MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s).. Document filed by Ener1 Investor Group. (Campisi, Jeffrey) (Entered: 10/17/2011)

DECLARATION of Jeffrey P. Campisi in Support re: 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP, Pomerantz Haudek Grossman & Gross LLP, and Glancy Binkow & Goldberg LLP . MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5794; 11-cv-5795; 11-cv-6030. MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s).. Document filed by Ener1 Investor Group. (Campisi, Jeffrey) (Entered: 10/17/2011)

RESPONSE in Opposition re: 13 MOTION to Appoint SAMUEL HASSON, R. MARIE RAUTER, ERIC SELTEN to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-5794, 1:11-CV-5795, 1:11-CV-6030 THE ENER1 INVESTOR GROUP'S MOTION FOR (1) CONSOLIDATION; (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL . MOTION to Appoint SAMUEL HASSON, R. MARIE RAUTER, ERIC SELTEN to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:11-CV-5794, 1:11-CV-5795, 1:11-CV-6030 THE ENER1 INVESTOR GROUP'S MOTION FOR (1) CONSOLIDATION; (2) APPOINTMENT AS LEAD PLAINTIFF; AND (3) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL ., 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP, Pomerantz Haudek Grossman & Gross LLP, and Glancy Binkow & Goldberg LLP . MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s). MOTION to Consolidate Cases 11- cv-5794; 11-cv-5795; 11-cv-6030. MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s).. Document filed by Junie L. Morris, Lisa G. Morris. (Federman, William) (Entered: 11/03/2011)

REPLY MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP, Pomerantz Haudek Grossman & Gross LLP, and Glancy Binkow & Goldberg LLP . MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5794; 11-cv-5795; 11-cv-6030. MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s). now also known as the "Patel Group". Document filed by Ener1 Investor Group. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Lieberman, Jeremy) (Entered: 11/03/2011)

10/17/2011

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11/03/2011

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11/14/2011 22 REPLY to Response to Motion re: 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP, Pomerantz Haudek Grossman & Gross LLP, and Glancy Binkow & Goldberg LLP . MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5794; 11-cv-5795; 11-cv-6030. MOTION to

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11/14/2011 23

02/15/2012 24

Appoint Ener1 Investor Group to serve as lead plaintiff(s).. Document filed by Junie L. Morris, Lisa G. Morris. (Federman, William) (Entered: 11/14/2011)

REPLY MEMORANDUM OF LAW in Support re: 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP, Pomerantz Haudek Grossman & Gross LLP, and Glancy Binkow & Goldberg LLP . MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s). MOTION to Consolidate Cases 11-cv-5794; 11-cv-5795; 11-cv-6030. MOTION to Appoint Ener1 Investor Group to serve as lead plaintiff(s).. Document filed by Ener1 Investor Group. (Campisi, Jeffrey) (Entered: 11/14/2011)

MEMORANDUM AND ORDER Re Securities Litigation: ORDER granting 10 Motion to Appoint The Morris Group, consisting of Junie L. Morris and Lisa G. Morris as Lead Plaintiff(s); denying 13 Motion to Appoint The Morris Group, consisting of Junie L. Morris and Lisa G. Morris as Lead Plaintiff(s); granting 13 Motion to Consolidate Cases 11cv5794 (as Lead Case) with 11cv5795, 11cv6030; denying 17 Motion to Appoint Counsel; denying 17 Motion to Appoint The Morris Group, consisting of Junie L. Morris and Lisa G. Morris as Lead Plaintiff(s); granting 17 Motion to Consolidate Cases 11cv5794 (as Lead Case) with 11cv5795, 11cv6030. As Your Honor instructed during our conference call of this Tuesday, the parties have agreed to the following amended discovery schedule, which we jointly request to be So-Ordered: (i) document production completed by Feb 29, 2012; (ii) party depositions to be completed by March 23, 2012; (iii) expe11 disclosure to be reviewed at telephone conference with the Court on March 28, 2012; (iv) requests to admit to be served by April 23, 2012; and (v) cutoff date for end of fact-discovery May 18, 2012. motions in 11 Civ. 5794 shall also be terminated, but the case shall remain open as it has been designated as the master file number. II. Lead Plaintiff & Lead Counsel Pursuant to PSLRA, 15 U.S.c. § 78u-4(a)(3)(b) and 78-u-4(a)(3)(B)(v), the Morris Group's motion (Dkt. No. 10 in 11 Civ. 5794) for appointment as lead plaintiff is GRANTED, and its choice of lead counsel is approved. The Clerk of Court is further ORDERED to list the following as lead plaintiff: The Morris Group, consisting of Junie L. Morris and Lisa G. Morris. It is further ORDERED that the Clerk of Court list the law firm of Federman & Sherwood as lead counsel for the class. All other applications for designation as lead counsel and selection of counsel are DENIED. III. Final Procedures. The parties are directed to meet and confer and to prepare and submit a Civil Case Management Plan with due allowance for time to file an amended class action pleading and to answer, or otherwise respond to, the amended complaint. (Signed by Judge Paul A. Crotty on 2/15/2012) (djc) Modified on 2/22/2012 (djc). (Entered: 02/16/2012)

02/27/2012 25 ENDORSED LETTER addressed to Judge Paul A. Crotty from William B. Federman dated 2/20/2012 re: Counsel for the plaintiffs write in response to debtor's attorneys letter of February 20, 2012. ENDORSEMENT: There is a statutory stay with respect to Ener1. The case may proceed against the other defendants. So Ordered. (Signed by Judge Paul A. Crotty on 2/27/2012) (ft) (Entered: 02/27/2012)

02/27/2012 26

Letter addressed to Judge Paul A. Crotty from Chrystal A. Puleo re: Counsel writes to advise the Court that Ener1, Inc. filed a petition for relief under Chapter 11 of Title 11, United States Code, 11 U.S.C. §§ 101 et seq. (the "Bankruptcy Code") with the United States Bankruptcy Court for the Southern District of New York (Case No. 12-l 0299- MG). Document filed by Ener1, Inc.(ft) (Entered: 02/27/2012)

03/02/2012 27 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: Consolidated Amended Pleadings due by 3/30/2012. Motions to dismiss due by 5/4/2012. Responses

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due by 6/1/2012. Replies due by 6/15/2012. (Signed by Judge Paul A. Crotty on 3/2/2012) (ab) (Entered: 03/02/2012)

STIPULATION EXTENDING TIME TO FILE THE CONSOLIDATED AMENDED COMPLAINT AND REVISED SCHEDULING ORDER: Lead Plaintiffs and Defendants, by and through their counsel of record, stipulate and agree to the following revised schedule for their respective filings: a. Lead Plaintiffs shall have up to and including April 9, 2012 to file their Consolidated Amended Complaint; b. Defendants shall have up to and including May 14, 2012 to file their motion to dismiss the Consolidated Amended Complaint; c. Lead Plaintiffs shall have up to and including June 11, 2012 to file their opposition papers to Defendants' motion to dismiss; and d. Defendants shall have up to and including June 25, 2012 to file reply papers for their motion to dismiss., ( Amended Pleadings due by 4/9/2012., Motions due by 5/14/2012., Responses due by 6/11/2012., Replies due by 6/25/2012.) (Signed by Judge Paul A. Crotty on 3/23/2012) Filed In Associated Cases: 1:11-cv-05794-PAC, 1:11-cv-05795- PAC, 1:11-cv-06030-PAC(lmb) (Entered: 03/23/2012)

AMENDED COMPLAINT amending 1 Complaint against Kenneth Baker, Ener1, Inc., Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel with JURY DEMAND.Document filed by Junie L. Morris, Lisa G. Morris. Related document: 1 Complaint filed by Mark Beckman. (Attachments: # 1 Consolidated Amended Class Action Complaint Part 2, # 2 Cons. Amended Class Action Compl. Part 3)(ama) (Entered: 04/12/2012)

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04/30/2012 30 WAIVER OF SERVICE RETURNED EXECUTED. Elliot Fuhr waiver sent on 4/23/2012, answer due 6/22/2012. Document filed by Junie L. Morris; Lisa G. Morris. (Federman, William) (Entered: 04/30/2012)

04/30/2012 31 WAIVER OF SERVICE RETURNED EXECUTED. Nora Brownell waiver sent on 4/23/2012, answer due 6/22/2012. Document filed by Junie L. Morris; Lisa G. Morris. (Federman, William) (Entered: 04/30/2012)

04/30/2012 32 WAIVER OF SERVICE RETURNED EXECUTED. Thomas Snyder waiver sent on 4/23/2012, answer due 6/22/2012. Document filed by Junie L. Morris; Lisa G. Morris. (Federman, William) (Entered: 04/30/2012)

05/01/2012 33 STIPULATION REGARDING BRIEFING SCHEDULE FOR RULE 12 MOTIONS AGAINST CONSOLIDATED AMENDED COMPLAINT AND REVISED SCHEDULING ORDER: NOW, THEREFORE Lead Plaintiffs and Defendants, by and through their counsel of record, stipulate and agree to the following revised schedule for their respective filings: a. Defendants shall have up to and including June 15, 2012 to file their motion to dismiss the Consolidated Amended Complaint; b. Lead Plaintiffs shall have up to and including August 8, 2012 to file their opposition papers to Defendants' motion to dismiss; and c. Defendants shall have up to and including August 24, 2012 to file reply papers for their motion to dismiss. (Signed by Judge Paul A. Crotty on 5/1/2012) (Signed by Judge Paul A. Crotty on 4/30/2012) Filed In Associated Cases: 1:11-cv-05794-PAC, 1:11-cv-05795-PAC, 1:11-cv-06030-PAC(js) (Entered: 05/01/2012)

06/04/2012

34

STIPULATION AND ORDER REGARDING PAGE LIMITS FOR RULE 12 MOTIONS TO DISMISS CONSOLIDATED AMENDED COMPLAINT: Defts are all represented by 1 firm, but in light of the breath of the complaint, the Court will allow

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the following: The page limit for Defendants' opening memorandum of law in support of the motion to dismiss shall be 30 pages. The page limit for Plaintiffs' memorandum of law in opposition to the motion to dismiss shall be 33 pages. The page limit for Defendants' reply memorandum of law in support of the motion to dismiss shall be 15 pages. (Signed by Judge Paul A. Crotty on 6/4/2012) Filed In Associated Cases: 1:11- cv-05794-PAC, 1:11-cv-05795-PAC, 1:11-cv-06030-PAC(ft) (Entered: 06/04/2012)

06/15/2012 35 MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint . Document filed by Kenneth Baker, Nora Brownell, Elliot Fuhr, Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel, Thomas Snyder. Responses due by 8/8/2012(Dickey, Jonathan) (Entered: 06/15/2012)

06/15/2012 36

06/15/2012 37

MEMORANDUM OF LAW in Support re: 35 MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint .. Document filed by Kenneth Baker, Nora Brownell, Elliot Fuhr, Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel, Thomas Snyder. (Attachments: # 1 Appendix A, # 2 Appendix B)(Dickey, Jonathan) (Entered: 06/15/2012)

DECLARATION of Laura K. O'Boyle in Support re: 35 MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint .. Document filed by Kenneth Baker, Nora Brownell, Elliot Fuhr, Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel, Thomas Snyder. (Attachments: # 1 Exhibit A, Part 1, # 2 Exhibit A, Part 2, # 3 Exhibit B through K, # 4 Exhibit L through Y, # 5 Exhibit Z, # 6 Exhibit AA, # 7 Exhibit BB, # 8 Exhibit CC, # 9 Exhibit DD, # 10 Exhibit EE, # 11 Exhibit FF)(Dickey, Jonathan) (Entered: 06/15/2012)

08/08/2012 38 MEMORANDUM OF LAW in Opposition re: 35 MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint .. Document filed by Junie L. Morris, Lisa G. Morris. (Attachments: # 1 Appendix A - Summary of False and Misleading Statements)(Federman, William) (Entered: 08/08/2012)

08/24/2012 39 REPLY MEMORANDUM OF LAW in Support re: 35 MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint .. Document filed by Kenneth Baker, Nora Brownell, Elliot Fuhr, Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel, Thomas Snyder. (Dickey, Jonathan) (Entered: 08/24/2012)

08/24/2012 40 REPLY AFFIRMATION of Laura K. O'Boyle in Support re: 35 MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint .. Document filed by Kenneth Baker, Nora Brownell, Elliot Fuhr, Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel, Thomas Snyder. (Attachments: # 1 Exhibit A)(Dickey, Jonathan) (Entered: 08/24/2012)

10/04/2012 41 NOTICE of Notice of Recent Authority. Document filed by Junie L. Morris, Lisa G. Morris. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)Filed In Associated Cases: 1:11-cv-05794-PAC, 1:11-cv-05795-PAC(Federman, William) (Entered: 10/04/2012)

10/09/2012 42 NOTICE of Supplemental Authority. Document filed by Kenneth Baker, Nora Brownell, Elliot Fuhr, Charles Gassenheimer, Robert R. Kamischke, Jefrey Seidel, Thomas Snyder. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Dickey, Jonathan) (Entered: 10/09/2012)

11/08/2012 43 Letter addressed to Judge Paul A. Crotty from William B. Federman (signed by A.W. with permission) and Aric Wu dated 11/5/2012 re: In the above-captioned action,

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Defendants' Motion to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint is currently pending. Defendants write jointly to report that the parties will be engaging in mediation on November 20, 2012. Because a resolution of the parties' disputes by settlement could obviate the need for a decision on the motion, counsel for Lead Plaintiffs and Defendants wish to advise the Court of the upcoming mediation. While both parties remain confident in their positions as set forth in the parties' briefing, mediation may avoid the unnecessary expenditure of the parties' resources, and promote judicial economy. If the motion to dismiss is still pending following the mediation on November 20, the parties will update the Court on the results of the mediation. (djc) (Entered: 11/08/2012)

01/14/2013 44 MOTION for Settlement (Preliminary Approval) . Document filed by Junie L. Morris, Lisa G. Morris.(Federman, William) (Entered: 01/14/2013)

01/14/2013 45 MEMORANDUM OF LAW in Support re: 44 MOTION for Settlement (Preliminary Approval) .. Document filed by Junie L. Morris, Lisa G. Morris. (Federman, William) (Entered: 01/14/2013)

01/14/2013 46 DECLARATION of William B. Federman in Support re: 44 MOTION for Settlement (Preliminary Approval) .. Document filed by Junie L. Morris, Lisa G. Morris. (Attachments: # 1 Exhibit 1 - Stipulation of Settlement, # 2 Exhibit 2 - Cornerstone Research Report, # 3 Exhibit 3 - Trading Volume Analysis, # 4 Exhibit 4 - Firm Resume)(Federman, William) (Entered: 01/14/2013)

01/23/2013 Calendar Entry: A pretrial conference to discuss the unopposed motion for preliminary of proposed settlement, etc., is scheduled to take place on Friday, February 8, 2013 @ 2:15 PM in Courtroom 11D, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. Counsel for all parties must attend the conference. Any requests for adjournment of the conference will be considered if made in writing and in accordance with Judge Crotty's Individual (By: Marlon Ovalles - Courtroom Deputy). (mov) (Entered: 01/23/2013)

02/07/2013 Calendar Entry **TIME CHANGE**: A pretrial conference to discuss the unopposed motion for preliminary approval of the proposed settlement, etc., will go forward on Friday, February 8, 2013 @ 2:45 PM (**NOT 02:15 PM**) in Courtroom 11D, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty, U.S.D.J (By: Marlon Ovalles - Courtroom Deputy). (mov) (Entered: 02/07/2013)

02/08/2013 47 ORDER PRELIMINARILY APPROVING PROPOSED SETTLEMENT, CERTIFYING CLASS, PROVIDING FOR NOTICE AND SCHEDULING SETTLEMENT HEARING granting 44 MOTION. Lead Plaintiffs have made an application, pursuant to Rule 23 of the Federal Rules of Civil Procedure, for an order preliminarily approving the Settlement in accordance with the Stipulation and approving notice of the proposed Settlement to Class Members as more fully described herein. The Court having read and considered the Stipulation and the respective exhibits thereto, including the proposed (a) Notice; (b) Claim Form; (c) Summary Notice; and (d) Judgment and the submissions relating thereto, and finding that substantial and sufficient grounds exist for entering this Order. NOW THEREFORE, IT IS HEREBY: Class Certification - The Court hereby certifies, for settlement purposes only, pursuant to Rules 23(a) and 23(b)(3) of the Federal Rules of Civil Procedure a Class defined set forth herein. Settlement Hearing - The Court will hold a final settlement hearing on May 9, 2013 at 4:30 p.m. at the United States Courthouse, Courtroom 11D, 500 Pearl

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Street, New York, NY 10007 for the purposes that are set forth herein. (Signed by Judge Paul A. Crotty on 2/8/2013) (ja) (Entered: 02/11/2013)

02/08/2013 Set/Reset Hearings: Settlement Conference set for 5/9/2013 at 04:30 PM in Courtroom 11D, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. (ja) (Entered: 02/11/2013)

02/08/2013 Minute Entry for proceedings held before Judge Paul A. Crotty: Interim Pretrial Conference held on 2/8/2013. REMARK: The Court "so ordered" the proposed order preliminarily approving the settlement. The final settlement approval hearing is scheduled to go forward on: May 9 @ 4:30 PM. See transcript for complete details of this proceeding. Visit http://www.nysd.uscourts.gov/courtrm_tech.php with respect to ordering a transcript of a recorded proceeding via "Courtflow." (mov) (Entered: 02/11/2013)

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