Palumbo et al v. New Direction IRA, Inc.
| Anthony J. Palumbo and Phyllis Palumbo |
| New Direction IRA, Inc. |
| 2:2020cv02172 |
| April 1, 2020 |
| US District Court for the District of Kansas |
| James P O'Hara |
| Kathryn H Vratil |
| Securities/Commodities |
| 29 U.S.C. § 1145 |
| Plaintiff |
Docket Report
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Filing 24
ORDER - A firm deadline of July 1, 2020 for all parties to find local counsel and enter appearances in this case. The clerk is directed to email this order to all counsel of record in the New York case, as listed in ECF No. 23. Signed by Magistrate Judge James P. O'Hara on 5/29/2020. Emailed order to all counsel of record in the New York case. (ydm)
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| Filing 23 Letter from the clerk to counsel regarding pro hac vice requirements. (hw) |
| Filing 22 CASE TRANSFERRED IN from District of New York Northern; Case Number 6:19-cv-00235. Electronic file certified copy of transfer order and docket sheet received. (hw) |
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Filing 21
MEMORANDUM-DECISION and ORDER - That New Direction's #11 motion to dismiss is GRANTED IN PART and DENIED IN PART as follows: GRANTED as to New Direction request to transfer the case to the District of Kansas (Dkt. No. 11, Attach 1 at 1). DENIED in all other respects. That this case is TRANSFERRED to the District of Kansas. That the Clerk close this case. Signed by Senior Judge Gary L. Sharpe on 3/27/2020. (jel, ) [Transferred from New York Northern on 4/1/2020.]
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| CLERK'S CORRECTION OF DOCKET ENTRY re #20 Response in Support of Motion. Amended TEXT to read Reply in Support of Motion. (khr) [Transferred from New York Northern on 4/1/2020.] |
| Filing 20 REPLY DECLARATION IN FURTHER SUPPORT re #11 MOTION to Dismiss filed by New Direction IRA, Inc.. (Attachments: #1 Declaration, #2 Memorandum of Law)(Queenan, John) Modified on 7/16/2019 (khr). [Transferred from New York Northern on 4/1/2020.] |
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Filing 19
Text Only Order - Defendant's request for an extension to serve and file its reply papers until July 15, 2019 (Dkt. No. 18) is GRANTED. Motion hearing is rescheduled for August 1, 2019 at 9:00 a.m. on SUBMIT only. No personal appearances are needed. IT IS SO ORDERED. Issued by Senior Judge Gary L. Sharpe on 7/3/2019. (jel, ) [Transferred from New York Northern on 4/1/2020.]
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| Filing 18 Letter Motion from John F. Queenan for New Direction IRA, Inc. requesting Extension of Motion Return Date and Reply to Opposition to Motion to Dismiss submitted to Judge Sharpe . (Queenan, John) [Transferred from New York Northern on 4/1/2020.] |
| CLERK'S CORRECTION OF DOCKET ENTRY re #17 Memorandum of Law. The original Memorandum of Law was not signed. Replaced with a signed document. (khr) [Transferred from New York Northern on 4/1/2020.] |
| Filing 17 MEMORANDUM OF LAW In Opposition of Defendant's Motion to Dismiss filed by Anthony J. Palumbo. (Attachments: #1 Affidavit Client Affidavit, #2 Exhibit(s) Exhibit, #3 Exhibit(s) Exhibit, #4 Declaration Declaration)(Finer, Stuart) (Main Document 17 replaced on 7/3/2019) (khr, ). [Transferred from New York Northern on 4/1/2020.] |
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Filing 16
STIPULATION/ORDER Setting Hearing on Motion #11 MOTION to Dismiss : Response to Motion due by 7/1/2019. Reply to Response to Motion due by 7/8/2019. Motion Hearing set for 7/18/2019 at 09:00 AM in Albany before Senior Judge Gary L. Sharpe on SUBMIT only. No personal appearances are needed. Signed by Senior Judge Gary L. Sharpe on 5/14/2019. (jel, ) [Transferred from New York Northern on 4/1/2020.]
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| Filing 15 STIPULATION To Extend Time to Resond To Motion by Anthony J. Palumbo submitted to Judge Gary L. Sharpe. (Finer, Stuart) [Transferred from New York Northern on 4/1/2020.] |
| Filing 14 FRCP 7.1 CORPORATE DISCLOSURE STATEMENT by New Direction IRA, Inc.. (Queenan, John) [Transferred from New York Northern on 4/1/2020.] |
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Filing 13
TEXT ORDER: In light of the filing of the #11 Motion to Dismiss, the 5/22/2019 Rule 16 Conference and the related deadlines are adjourned without new date at this time and will be rescheduled, if necessary, once a decision has been issued on the Motion to Dismiss. SO ORDERED by Magistrate Judge Therese Wiley Dancks on 5/8/2019. (sg) [Transferred from New York Northern on 4/1/2020.]
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| Filing 12 AFFIDAVIT of Service for Affidavit of Service served on Melody Manzanares on March 8, 2019, filed by Anthony J. Palumbo. (Finer, Stuart) [Transferred from New York Northern on 4/1/2020.] |
| CLERK'S CORRECTION OF DOCKET ENTRY re #11 Motion to Dismiss. Replaced Exhibits B, E, F and G with redacted version. The original Exhibits contained personal identifiers. (khr) [Transferred from New York Northern on 4/1/2020.] |
| Filing 11 MOTION to Dismiss Motion Hearing set for 6/20/2019 09:00 AM in Albany before Senior Judge Gary L. Sharpe Response to Motion due by 6/3/2019 Reply to Response to Motion due by 6/10/2019. filed by New Direction IRA, Inc.. (Attachments: #1 Declaration of John F. Queenan, #2 Exhibit(s) Exh. 01: SEC Investor Alert, #3 Exhibit(s) Exh. 02: Unpublished Decisions, #4 Declaration of William Humprey, #5 Exhibit(s) Exh. A: New Direction Articles of Organization, #6 Exhibit(s) Exh. B: Palumbo Application, #7 Exhibit(s) Exh. C: Custodial Agreement, #8 Exhibit(s) Exh. D: Mainstar Kansas OSBC License, #9 Exhibit(s) Exh. E: Palumbo Account Letter, #10 Exhibit(s) Exh. F: Buy Direction Letter, #11 Exhibit(s) Exh. G: Capital Nation Note, #12 Exhibit(s) Exh. H: NYS DOS Search, #13 Memorandum of Law in Support of Motion to Dismiss, #14 Affidavit of Service) (Queenan, John) (Attachment 6 replaced on 5/6/2019) (khr, ). (Attachment 9 replaced on 5/6/2019) (khr, ). (Attachment 10 replaced on 5/6/2019) (khr, ). (Attachment 11 replaced on 5/6/2019) (khr, ). [Transferred from New York Northern on 4/1/2020.] |
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Filing 10
TEXT ORDER: Court has reviewed the #9 Stipulation submitted by the parties agreeing to an extension of time for defendant to file its answer, which is approved and granted. Defendant Answer due 5/3/2019. No further extensions will be granted absent a showing of a good cause reason for such a request. Court also notes that Plaintiff was directed to file affidavit of service by 4/1/2019, however, no affidavit of service has yet been filed. Plaintiff is directed to file affidavit of service on defendant by 4/26/2019. SO ORDERED by Magistrate Judge Therese Wiley Dancks on 4/24/2019. (sg) [Transferred from New York Northern on 4/1/2020.]
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| Filing 9 STIPULATION re #1 Complaint Extending Time to Respond by New Direction IRA, Inc. submitted to Judge Wiley Dancks. (Queenan, John) [Transferred from New York Northern on 4/1/2020.] |
| Filing 8 NOTICE of Appearance by Mark J. Wagner, Jr on behalf of New Direction IRA, Inc. (Wagner, Mark) [Transferred from New York Northern on 4/1/2020.] |
| Filing 7 NOTICE of Appearance by John F. Queenan on behalf of New Direction IRA, Inc. (Queenan, John) [Transferred from New York Northern on 4/1/2020.] |
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Filing 6
TEXT ORDER approving #4 Stipulation and granting request for extension of deadline for defendant to file Answer. Answer for New Direction IRA, Inc. due 4/25/2019. The 5/22/2019 telephone Rule 16 conference and the related deadlines remain as set. Plaintiff's counsel is directed to file affidavit of service by 4/1/2019. SO ORDERED by Magistrate Judge Therese Wiley Dancks on 3/27/2019. (sg ) [Transferred from New York Northern on 4/1/2020.]
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| Filing 5 NOTICE of Appearance by James P. Lagios on behalf of New Direction IRA, Inc. (Lagios, James) [Transferred from New York Northern on 4/1/2020.] |
| Filing 4 STIPULATION to Extend Time to Respond to Complaint by New Direction IRA, Inc.. (Lagios, James) [Transferred from New York Northern on 4/1/2020.] |
| Filing 3 G.O. 25 FILING ORDER ISSUED: Initial Conference set for 5/22/2019 10:00 AM in Syracuse before Magistrate Judge Therese Wiley Dancks. All conferences are conducted by telephone. Plaintiffs attorney will initiate the call (unless the Court directs differently) and shall contact Judge Dancks Chambers at 315-234-8618(a dedicated line solely for telephone conferences) once all parties are on the line. Counsel may use a teleconferencing service for assistance initiating conference calls to the Court. For cases involving pro se parties, the Court will initiate the call for the Rule 16 Conference. Pro se parties are instructed to provide the Court with a telephone number where they may be reached for a conference call. Civil Case Management Plan must be filed and Mandatory Disclosures are to be exchanged by the parties on or before 5/15/2019. (Pursuant to Local Rule 26.2, mandatory disclosures are to be exchanged among the parties but are NOT to be filed with the Court.) (khr) Modified on 2/21/2019 (sg, ). [Transferred from New York Northern on 4/1/2020.] |
| Filing 2 Summons Issued as to New Direction IRA, Inc. (khr) [Transferred from New York Northern on 4/1/2020.] |
| Filing 1 COMPLAINT WITH JURY DEMAND against New Direction IRA, Inc. (Filing fee $400 receipt number 4644713) filed by Anthony J. Palumbo, Phyllis Palumbo. (Attachments: #1 Exhibit, #2 Civil Cover Sheet)(khr) [Transferred from New York Northern on 4/1/2020.] |
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