Broyles v. Cantor Fitzgerald & Co. et al
Plaintiff: Joseph N. Broyles, Municipal Employees' Retirement System, Anne Richey, Karen L. Barranco, Susan B. Beninati, M. Badi Asbahi, Preston Cloyd, Charles Richey, Russ P. Barranco, Registrar of Voters Employee Retirement System, Jody A. Barranco, Janice B. Virgadamo and Firefighters' Retirement System
Defendant: Cantor Fitzgerald & Co., Commonwealth Advisors, Inc., Jennifer O Morales, James F O'Beirne, Willie Gerald Warrington, Jr., Walter A Morales, III and J.P. Morgan Clearing Corp.
Not Yet Classified: Steven D Collins, Sr., Eilleen Collins, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd., CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Noel Caldwell, Cantor Fitzgerald Securities, Cantor Fitzgerald, L.P., CF Group Management, Inc., CFLP CFS I HOLDINGS, L.P., CFS CF & CO. HOLDINGS, LLC., CFS CF & CO. I HOLDINGS, L.P., Thomas Joseph Anzalone, Douglas Rankin Barnard, Irvin Goldman, Gina Hubbell, Edward Lascala, William Howard Lutnick, Shawn Peter Matthews, Stephen M. Merkel, Andrew Craig Wells, Stone & Youngberg, LLC, Mitchell Gage, Kenneth Williams, Anthony Guaimano, Michael Jennings, Jack Turner, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., J.P. Morgan Securities, LLC, Charles Schwab & Co., Inc., Kevin Miller, Michelle Wilson-Clarke and Walter A. Morales
Intervenor Plaintiff: Securities and Exchange Commission
Case Number: 3:2010cv00854
Filed: December 22, 2010
Court: US District Court for the Middle District of Louisiana
Office: Baton Rouge Office
Presiding Judge: Shelly D Dick
Referring Judge: Carol B Whitehurst
Nature of Suit: Securities/Commodities
Cause of Action: 28 U.S.C. ยง 1441 - Petition for Removal: Securities Fraud
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on January 20, 2021. A more recent docket listing may be available from PACER.

Date Filed Document Text
January 20, 2021 Opinion or Order Filing 997 ORDER granting #993 Motion to Withdraw Attorney Frederick R. Tulley, John A. Milazzo, Jr. and Ryan K. French as counsel of record for Walter Morales and Commonwealth Advisors, Inc. Signed by Chief Judge Shelly D. Dick on 1/20/2021. (LLH)
January 20, 2021 Opinion or Order Filing 996 In light of Rec. Doc. 995: ORDER finding as moot #576 Motion in Limine; #577 Motion in Limine; #583 Motion in Limine; #583 Motion for Evidentiary Hearing; #584 Motion in Limine; #584 Motion for Evidentiary Hearing; #585 Motion in Limine; #585 Motion for Evidentiary Hearing; #592 Motion in Limine; #593 Motion in Limine; #594 Motion in Limine; #596 Motion in Limine; #597 Motion in Limine; #598 Motion in Limine; #599 Motion in Limine; #750 Motion ; #751 Motion for Partial Summary Judgment; #752 Motion for Summary Judgment; #753 Motion for Summary Judgment; #754 Motion for Partial Summary Judgment; #755 Motion for Summary Judgment; #756 Motion for Partial Summary Judgment; #758 Motion for Partial Summary Judgment; #759 Motion for Summary Judgment; #761 Motion for Partial Summary Judgment; #763 Motion for Partial Summary Judgment. Signed by Chief Judge Shelly D. Dick on 1/20/2021. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BKA) Modified on 1/20/2021 to edit the text (NLT).
January 20, 2021 Opinion or Order Filing 995 ORDER adopting #965 Report and Recommendations. Plaintiff's MOTION to set this case for Trial and set trial in this case on a date which will allow 10 trial days is hereby GRANTED. FURTHER, additional discovery should be allowed on a showing of need and additional motion practice be allowed only with leave of court. In this way any such discovery and motion practice can be monitored so that this case can be tried on the date set with the minimum additional cost possible. Signed by Chief Judge Shelly D. Dick on 1/20/2021. (BKA) Modified on 1/20/2021 to add text (NLT).
January 19, 2021 Filing 994 Minute Entry for proceedings held before Chief Judge Shelly D. Dick: Pretrial Conference held on 1/19/2021. Court cancels jury trial due to the COVID-19 Pandemic and the inability to carry out safety protocols. The Court takes pending Record Document 965 under advisement. Court resets the Jury Trial from 9/11/2023 - 9/22/2023 at 09:00 AM in Courtroom 3 before Chief Judge Shelly D. Dick. Also, the Court advises the case will be administratively closed until six months prior to trial. At that point, the Court will set this matter for Status Conference. (EDC)
January 19, 2021 MOTION(S) REFERRED: #993 MOTION for Fredrick R. Tulley, John A. Milazzo Jr. and Ryan K. French to Withdraw as Attorney . This motion is now pending before the USMJ. (SWE)
January 15, 2021 Filing 993 MOTION for Fredrick R. Tulley, John A. Milazzo Jr. and Ryan K. French to Withdraw as Attorney by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Order)(Tulley, Fredrick)
January 12, 2021 Filing 992 MOTION to Strike #991 MOTION in Limine to Exclude Expert Valuation Testimony and Report of Michael Youngblood by All Plaintiffs. (Attachments: #1 Memorandum in Support, #2 Proposed Order)(Burge, Jason)
January 12, 2021 Filing 991 MOTION in Limine to Exclude Expert Valuation Testimony and Report of Michael Youngblood by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit, #8 Proposed Pleading;)(Gambel, Gary)
January 11, 2021 Filing 990 MOTION in Limine re Seller Status by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit)(Gambel, Gary)
January 11, 2021 Filing 989 MOTION in Limine to Preclude Certain Defs from Suggesting, Contending, Arguing, or Otherwise from Referencing the Existence of an Investment Advisor Relationship by Commonwealth Advisors, Inc.. (Attachments: #1 Memorandum in Support)(Gambel, Gary)
January 11, 2021 Filing 988 MOTION in Limine to Exclude Financial Advisor References by Walter A Morales, III. (Attachments: #1 Memorandum in Support)(Gambel, Gary)
January 11, 2021 Filing 987 MOTION to Have Established Facts Deemed Admitted by All Plaintiffs. (Attachments: #1 Memorandum in Support, #2 Proposed Order)(Burge, Jason) Modified on 1/12/2021 to edit the text (NLT).
January 11, 2021 Opinion or Order Filing 986 ORDER granting #985 Joint Motion to Continue Certain Pre-Trial Deadlines. The deadline to submit proposed voir dire, joint jury instructions, and a proposed verdict form in the above-captioned matter is continued until 1/15/2021. Signed by Chief Judge Shelly D. Dick on 1/11/2021. (KMW)
January 10, 2021 Filing 985 Joint MOTION to Continue Certain Pre-Trial Deadlines by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Proposed Order)(Burge, Jason) Modified on 1/11/2021 to edit the docket text (KMW).
January 5, 2021 Filing 984 Proposed Pretrial Order by All Plaintiffs (For your free look at document, enter your Individual PACER login and pw to confirm your right to view). (Attachments: #1 Exhibit A, #2 Exhibit B)(Burge, Jason)
January 4, 2021 Opinion or Order Filing 983 ORDER granting #982 Motion to Strike #978 Ex Parte MOTION to Enroll and #980 Order on Ex Parte Motion to Enroll. Signed by Magistrate Judge Carol B. Whitehurst on 1/4/2021. (Whidden, Corey)
December 30, 2020 Filing 982 MOTION to Strike Previously Filed #978 MOTION to Enroll Additional Counsel of Record by Walter A Morales, III. (Attachments: #1 Proposed Pleading; Order)(Milazzo, John) Modified on 12/30/2020 to edit the docket text (KMW).
December 30, 2020 Opinion or Order Filing 981 ORDER granting #979 Motion to Enroll Additional Attorneys for Walter A Morales. Signed by Magistrate Judge Carol B. Whitehurst on 12/30/2020. (Whidden, Corey)
December 30, 2020 MOTION(S) REFERRED: #982 MOTION to Strike Previously Filed #978 MOTION to Enroll Additional Counsel of Record. This motion is now pending before the USMJ. (KMW)
December 29, 2020 Filing 979 Ex Parte MOTION to Enroll Gary J. Gambel, Jennifer N. Willis, and Tony M. Clayton as Additional Attorney by Walter A Morales, III. (Attachments: #1 Proposed Pleading; Order)(Milazzo, John)
December 29, 2020 MOTION(S) REFERRED: #979 Ex Parte MOTION to Enroll Gary J. Gambel, Jennifer N. Willis, and Tony M. Clayton as Additional Attorney . This motion is now pending before the USMJ. (KMW)
December 28, 2020 Opinion or Order Filing 980 (STRICKEN) ORDER granting #978 Motion to Enroll Additional Attorneys. Added attorneys Gary J. Gambel, Jennifer N. Willis, Tony Clayton for Walter A Morales, III. Signed by Magistrate Judge Carol B. Whitehurst on 12/28/2020. (Whidden, Corey) Modified on 1/4/2021 to reflect filing as stricken. See #983 Order (Whidden, Corey).
December 23, 2020 Filing 978 (STRICKEN) Ex Parte MOTION to Enroll Gary J. Gambel, Jennifer N. Willis, Tony M. Clayton as Additional Attorney by Walter A Morales, III. (Attachments: #1 Proposed Order)(Philips, Harry) Modified on 1/4/2021 to reflect filing as stricken. See #983 Order (Whidden, Corey).
December 23, 2020 MOTION(S) REFERRED: #978 Ex Parte MOTION to Enroll Gary J. Gambel, Jennifer N. Willis, Tony M. Clayton as Additional Attorney . This motion is now pending before the USMJ. (KMW)
December 18, 2020 Filing 977 Declaration of Settlement Efforts by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Burge, Jason) Modified on 12/18/2020 to edit the docket text (KMW).
December 14, 2020 Filing 976 Notice to Counsel Resetting Hearing FORMAT ONLY: Pretrial Conference set for in Chambers is hereby RESET for 1/19/2021 at 02:00 PM by video before Chief Judge Shelly D. Dick. Due to the current national emergency, the hearing will be initiated via ZoomGov video web conferencing. The participant instructions for ZoomGov will be sent to counsel via separate e-mail from the Courtroom Deputy. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BKA)
June 11, 2020 Filing 975 Reply Brief in Support of #971 MOTION to Dismiss for Lack of Subject Matter Jurisdiction filed by Commonwealth Advisors, Inc., Walter A Morales, III. Pursuant to record document number 974. (LT) Modified on 6/15/2020 to edit text (LT). Modified on 6/15/2020 (NLT).
June 11, 2020 Opinion or Order Filing 974 ORDER granting #973 MOTION for Leave to File Reply Brief in Support of Motion to Dismiss for Lack of Subject Matter Jurisdiction filed by Walter A. Morales, Commonwealth Advisors, Inc. Signed by Chief Judge Shelly D. Dick on 6/11/2020. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BKA)
June 8, 2020 Filing 973 MOTION for Leave to File Reply Brief in Support of Motion to Dismiss for Lack of Subject Matter Jurisdiction by Commonwealth Advisors, Inc., Walter A. Morales. (Attachments: #1 Proposed Pleading;, #2 Proposed Order)(Tulley, Fredrick)
May 26, 2020 Filing 972 MEMORANDUM in Opposition to #971 MOTION to Dismiss for Lack of Subject Matter Jurisdiction filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Exhibit A)(Burge, Jason)
May 4, 2020 Filing 971 MOTION to Dismiss for Lack of Subject Matter Jurisdiction by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Proposed Order)(Tulley, Fredrick)
February 12, 2020 Filing 970 Notice Setting Trial and Related Deadlines: Jury Trial set for 2/1/2021 at 09:00 AM in Courtroom 3 before Chief Judge Shelly D. Dick. Pretrial Conference set for 1/19/2021 at 02:00 PM in chambers before Chief Judge Shelly D. Dick. Affidavit of Settlement Efforts due by 12/21/2020. All other Trial deadlines are set as stated in the attached Notice. Signed by Chief Judge Shelly D. Dick on 2/12/2020. (BKA)
February 12, 2020 Filing 969 Minute Entry for proceedings held before Chief Judge Shelly D. Dick: Status Conference held on 2/12/2020. (BKA)
February 12, 2020 Opinion or Order Filing 968 RULING and ORDER : Adopting 235 Report and Recommendation of the U.S. Magistrate Judge. ORDERED that this matter is DISMISSED without prejudice to the right, upon good cause shown within ninety (90) days, to reopen the action if the settlement is not consummated. Signed by Chief Judge Shelly D. Dick on 02/11/2020. (ELW)
February 5, 2020 Filing 967 JUDGMENT OF DISMISSAL: This action is hereby dismissed against defendant, Kevin Miller, with prejudice and with each party to bear its own attorneys' fees and costs. Signed by Chief Judge Shelly D. Dick on 2/4/2020. (EDC)
February 5, 2020 Filing 966 JUDGMENT OF DISMISSAL: This action is hereby dismissed against defendant, Noel Caldwell, with prejudice and with each party to bear its own attorneys' fees and costs. Signed by Chief Judge Shelly D. Dick on 2/4/2020. (EDC)
January 21, 2020 Filing 965 Seventh REPORT of Special Master: IT IS RECOMMENDED that the Court grant the plaintiff's MOTION to set this case for Trial and set trial in this case on a date which will allow 10 trial days. Furthermore, Ii is recommended that additional discovery should be allowed on a showing of need and additional motion practice be allowed only with leave of court. In this way any such discovery and motion practice can be monitored so that this case can be tried on the date set with the minimum additional cost possible. Any party wishing to object to this Recommendation shall file its objections no later than 21 days from service of this Recommendation. Signed by Special Master C. Michael Hill on 1/21/2020. (BKA) Modified on 1/21/2020 to edit the text (NLT).
January 16, 2020 Opinion or Order Filing 964 ORDER granting #956 Motion for Conference: Status Conference for the purpose of setting a trial date and establishing a scheduling order is hereby set for 2/12/2020 at 02:30 PM in Courtroom 3 before Chief Judge Shelly D. Dick. Signed by Chief Judge Shelly D. Dick on 1/16/2020. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BKA)
January 15, 2020 Filing 963 Minute Entry for proceedings held before Special Master C. Michael Hill: Status Conference held on 1/15/2020. The pending motions were discussed. A detailed order will be issued. The parties were ordered to meet within 7 days to attempt in good faith to settle this matter. A Report and Recommendation will be issued to the District Judge. (Court Reporter L. Bourque.) (SWE)
January 10, 2020 Filing 962 Notice to Counsel: Status Conference on 1/15/2020 at 10:00 a.m. will be held in Courtroom 6 before the Honorable Magistrate Judge C. Michael Hill.Evidence, in electronic format, shall be provided in accordance with Local Rule 79 and Administrative Procedures.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BKA)
January 9, 2020 Filing 961 Notice to Counsel Setting Hearing: Status Conference set for 1/15/2020 at 10:00 AM before Special Master C. Michael Hill. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (BKA) Modified on 1/9/2020 to edit the text (NLT).
December 30, 2019 Filing 960 Mail Returned as Undeliverable on #957 Order Reopening Case. Mail returned from Kevin Miller. Reason: Return to Sender- Not Deliverable as Addressed Unable to Forward. Resent on 1/2/2020 to new address listed in RD 959 (KMW)
December 23, 2019 Filing 959 NOTICE of Change of Address by Kevin Miller. (EDC)
December 19, 2019 Filing 958 NOTICE of Sign In Sheet from Status Conference on 12/19/2019 (SWE)
December 2, 2019 Opinion or Order Filing 957 ORDER Considering the recent filings of the Parties in this matter, the Clerk of Court is ordered to reopen this matter and return all pending motions to previous status. Signed by Chief Judge Shelly D. Dick on 12/2/2019. (SWE)
November 22, 2019 Filing 956 MOTION for Status Conference and to Set Trial by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Burge, Jason). Added MOTION for New Trial on 11/25/2019 (KMW).
October 16, 2019 Filing 955 Mail Returned as Undeliverable on #953 Order,,. Mail returned from Kevin Miller. Reason: Return to Sender- Attempted Not Known Unable to Forward. (KMW)
October 3, 2019 Filing 954 Mail Returned as Undeliverable on #952 USCA Mandate. Mail returned from Kevin Miller. Reason: Return to Sender- Not Deliverable as Addressed Unable to Forward. (KMW)
September 24, 2019 Opinion or Order Filing 953 ORDER OF STAY AND ADMINISTRATIVE CLOSURE: These proceedings are hereby STAYED and ADMINISTRATIVELY CLOSED for a period of thirty (30) days to allow for the Court's review of the Fifth Circuit's opinion. The Court will reopen this matter sua sponte on or before October 23, 2019. The Clerk of Court is ordered to terminate any pending motions during the pendency of this stay. All motions shall be returned to pending status once the stay is lifted and the closure has ended. Signed by Chief Judge Shelly D. Dick on 9/23/2019. (EDC)
September 19, 2019 Filing 952 MANDATE of USCA as to #929 Notice of Appeal. The judgment of the District Court is vacated, and the cause is remanded to the District Court for further proceedings in accordance with the opinion of this Court. (SWE)
January 11, 2019 Filing 951 Notice Entered in error by Case Administrator. Modified on 1/11/2019 (SGO).
September 10, 2018 Filing 950 Return on Notice to Counsel Regarding Hard Copies of Sealed Documents. Sealed Documents Received in the Clerk's Office. (KAH)
February 8, 2018 Filing 949 Electronic Access to the Record on Appeal is now available through the Court of Appeals CM/ECF document filing system. Instructions for accessing the record can be found at #www.ca5.uscourts.gov/attorneys/attorney-forms/eroa_downloads. Request for paper exhibits in addition to the record on appeal and shipping information should be faxed to the clerks office at 225-389-3501. The clerk of court will retain the responsibility of sending the record to the 5th Circuit upon their request. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (KAH)
February 8, 2018 Supplemental Record on Appeal #17-30092 Electronically Certified regarding #929 Notice of Appeal to the USCA for the 5th Circuit. US Court of Appeals notified of certification. (KAH)
February 7, 2018 Filing 948 NOTICE of Unopposed Motion to Supplement Record Filed in and Granted by USCA as per #947 NOTICE of Memorandum to Counsel or Parties (Attachments: #1 Settlement Agreement, #2 Exhibit A - Stipulation of Dismissal, #3 Exhibit B - Stipulation Withdrawing Appeal)(KAH)
February 7, 2018 Filing 947 NOTICE of Memorandum to Counsel or Parties from USCA. (KAH)
January 9, 2018 Filing 946 USCA Mandate: The joint stipulation of the appellants andappellees Stone & Youngberg, L.L.C., Stifel Financial Corporation, and Stifel,Nicolaus & Company, Incorporated for partial dismissal as to Stone &Youngberg, L.L.C., Stifel Financial Corporation, and Stifel, Nicolaus &Company, Incorporated with prejudice is GRANTED. The appeal remains pending as to Appellees Commonwealth Advisors,Incorporated and Walter A. Morales. (LLH)
December 7, 2017 Filing 945 Minute Entry for proceedings held before Special Master C. Michael Hill: Motion Hearing held on 12/7/2017 re #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano, #585 MOTION in Limine MOTION for Evidentiary Hearing filed by Walter A Morales, III, Commonwealth Advisors, Inc. (Court Reporter S. Thompson.) (SWE)
September 12, 2017 Opinion or Order Filing 944 ORDER REFERRING MOTION to SPECIAL MASTER: #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano, #585 MOTION in Limine MOTION for Evidentiary Hearing filed by Walter A Morales, III, Commonwealth Advisors, Inc. Signed by Judge James J. Brady on 9/12/2017. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.)(SWE)
August 11, 2017 Filing 943 NOTICE to Counsel re: Receipt of Sealed Documents (KAH)
August 10, 2017 Filing 942 Letter dated 8/10/2017 from Clerk of Court - USCA to Counsel or Parties Listed Re: Order entered in case, granting Unopposed Motion to Obtain and View Sealed Documents in case on appeal. (LLH)
August 2, 2017 Filing 941 NOTICE of Hearing on Motion #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood, #585 MOTION in Limine MOTION for Evidentiary Hearing :(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) Motion Hearing set for 8/29/2017 at 01:30 PM in Courtroom 1 before Special Master C. Michael Hill. (SWE)
July 20, 2017 Filing 940 Electronic Access to the Record on Appeal is now available to Robert David Klausner through the Court of Appeals CM/ECF document filing system. Instructions for accessing the record can be found at #www.ca5.uscourts.gov/attorneys/attorney-forms/eroa_downloads. Request for paper exhibits in addition to the record on appeal and shipping information should be faxed to the clerks office at 225-389-3501. The clerk of court will retain the responsibility of sending the record to the 5th Circuit upon their request. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (TMR)
July 17, 2017 Filing 939 Electronic Access to the Record on Appeal is now available to Royal B. Lea, III through the Court of Appeals CM/ECF document filing system. Instructions for accessing the record can be found at #www.ca5.uscourts.gov/attorneys/attorney-forms/eroa_downloads. Request for paper exhibits in addition to the record on appeal and shipping information should be faxed to the clerks office at 225-389-3501. The clerk of court will retain the responsibility of sending the record to the 5th Circuit upon their request. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (TMR)
June 30, 2017 Filing 938 MEMORANDUM dated 06/29/2017 from USCA to Counsel or Listed Parties Re: Order gratning Motion to View Sealed Records (NLT)
June 29, 2017 Filing 937 Transmitted Record on Appeal to Jason Burge regarding #929 Notice of Appeal to the USCA for the 5th Circuit,. (TMR)
May 12, 2017 Filing 936 Electronic Access to the Record on Appeal is now available through the Court of Appeals CM/ECF document filing system. Instructions for accessing the record can be found at #www.ca5.uscourts.gov/attorneys/attorney-forms/eroa_downloads. Request for paper exhibits in addition to the record on appeal and shipping information should be faxed to the clerks office at 225-389-3501. The clerk of court will retain the responsibility of sending the record to the 5th Circuit upon their request. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (TMR)
May 12, 2017 Record on Appeal #17-30092 Electronically Certified regarding #929 Notice of Appeal to the USCA for the 5th Circuit. US Court of Appeals notified of certification. (TMR)
April 11, 2017 Filing 935 There is no document #935. Entered in error by Case Administrator. (LLH) Modified on 4/24/2017 to edit the text (NLT).
April 11, 2017 Filing 934 There is no document 934. This document was moved to 3:10-CV-837. (LLH) Modified on 4/24/2017 to edit the text (NLT).
April 3, 2017 Filing 933 USCA Case Number 17-30092 for #929 Notice of Appeal to the USCA for the 5th Circuit, filed by Registrar of Voters Employee Retirement System, Joseph N. Broyles, Preston Cloyd, Janice B. Virgadamo, Russ P. Barranco, M. Badi Asbahi, Jody A. Barranco, Susan B. Beninati, Karen L. Barranco, Charles Richey, Anne Richey, Firefighters' Retirement System. (TMR)
February 27, 2017 Filing 932 Mail Returned as Undeliverable on 930 Minute Entry - Telephone Conference. Mail returned from Kevin Miller. Reason: Return to Sender - Not Deliverable as Addressed. (SGO)
February 8, 2017 Filing 931 JUDGMENT in favor of Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Walter A Morales, III against Firefighters' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Eilleen Collins, Janice B. Virgadamo, Jody A. Barranco, Joseph N. Broyles, Karen L. Barranco, M. Badi Asbahi, Preston Cloyd, Russ P. Barranco, Steven D Collins, Sr., Susan B. Beninati. The above captioned matter, 3:10-CV-854, is hereby dismissed with prejudice. Signed by Judge James J. Brady on 2/3/2017. (LLH)
February 6, 2017 Filing 930 Minute Entry for proceedings held before Judge James J. Brady: Telephone Conference held on 2/6/2017. The parties discussed the appointment of a Special Master and mediator for settlement. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (SWE)
February 6, 2017 Filing 929 NOTICE OF APPEAL to the USCA for the 5th Circuit by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Firefighters' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. Filing fee $ 505, receipt number 053N-1523403. (Swanson, James)
February 6, 2017 Filing 928 Rule 58(D) Request for Entry of Judgment by All Plaintiffs. (Attachments: #1 Proposed Judgment)(Swanson, James) Modified on 2/6/2017 to edit the text (KAH).
February 2, 2017 Filing 927 RULING denying #700 Motion for Partial Summary Judgment; terminating #912 Joint MOTION to Certify Judgment Dismissing Stone & Youngberg Defendants as Final. The Investor Plaintiffs' Claims against Walter A. Morales and Commonwealth Advisors, Inc. are hereby dismissed. Signed by Judge James J. Brady on 02/01/2017. (EDC)
February 2, 2017 Filing 926 Notice to Counsel: (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.)Telephone Conference set for 2/6/2017 at 04:00 PM in chambers before Judge James J. Brady. The parties shall call the Ready-Access Number: 800-504-8071 and Access Code: 0314298 promptly at 4:00 pm CST.(SWE)
January 30, 2017 Opinion or Order Filing 925 ORDER granting #922 Motion Substitute Corrected Pleading. The Clerk of Court shall substitute the attached corrected pleadings. Signed by Judge James J. Brady on 1/30/2017. (LLH)
January 26, 2017 Filing 924 RESPONSE to #920 Order and Notice to Counsel Pertaining to a Special Master filed by All Plaintiffs. (Burge, Jason) Modified on 1/27/2017 to edit text. (EDC). Modified on 1/30/2017 to edit text.(EDC).
January 26, 2017 Filing 923 RESPONSE in Opposition to #914 MOTION to Appoint Special Master , #921 Supplemental MOTION to Appoint Special Master filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
January 25, 2017 Filing 922 MOTION to Substitute Corrected Pleading by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading; Supplemental Motion Regarding Appointment of a Special Master, #3 Proposed Pleading; Memorandum in Support, #4 Proposed Pleading; Proposed Order on Supplemental Motion Regarding Appointment of a Special Master)(Berg, Nicholas)
January 24, 2017 Filing 921 Supplemental MOTION Regarding Appointment of a Special Master by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified on 1/25/2017 to edit text. (EDC). ( #2 Memorandum in Support, #3 Order and Reasons). Modified on 1/30/2017 to replace documents as per Order #925 (LLH).
January 23, 2017 Opinion or Order Filing 920 ORDER AND NOTICE TO PARTIES on #914 MOTION to Appoint Special Master : Opposition to the motion shall be filed on or before 1/26/2017. Signed by Judge James J. Brady on 1/18/2017. (LLH)
January 19, 2017 Filing 919 REPLY Brief in Further Support of to #885 , #887 , and #888 MOTIONS for Leave to File Supplemental Memorandum In Further Support Of Stifel Entities' Motions For Summary Judgment filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc. (LLH)
January 19, 2017 Opinion or Order Filing 918 ORDER granting #894 MOTION for Leave to File Reply Brief In Further Support Of Motions For Leave To File Supplemental Memoranda In Connection With Motions For Summary Judgment. Signed by Judge James J. Brady on 1/19/2017. (LLH)
January 18, 2017 Filing 917 REPLY Memorandum in Support of #912 JOINT MOTION to Certify Judgment Dismissing Stone & Younberg Defendants as Final, #913 Memorandum in Opposition to Motion, filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr., Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (EDC)
January 18, 2017 Opinion or Order Filing 916 ORDER granting #915 JOINT MOTION for Leave to File a Reply Memorandum in Support of their Joint Motion to Certify Judgment Dismissing Stone & Youngberg Defendants as Final filed by Walter A. Morales, Registrar of Voters Employee Retirement System, M. Badi Asbahi, Russ P. Barranco, Walter A Morales, III, Municipal Employees' Retirement System, Jody A. Barranco, Susan B. Beninati, Karen L. Barranco, Commonwealth Advisors, Inc., Firefighters' Retirement System, Joseph N. Broyles, Eilleen Collins, Janice B. Virgadamo, Preston Cloyd, Steven D Collins, Sr., Anne Richey, Charles Richey. Signed by Judge James J. Brady on 01/18/2017. (EDC)
January 17, 2017 Filing 915 Joint MOTION for Leave to File Reply Memorandum in Support of Joint Motion to Certify Judgment Dismissing Stone & Youngberg Defendants as Final (Doc. 912) by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Commonwealth Advisors, Inc., Firefighters' Retirement System, Walter A. Morales, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Proposed Pleading;, #2 Draft Order)(Swanson, James)
January 13, 2017 Filing 914 MOTION to Appoint Special Master by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Proposed Order)(Berg, Nicholas)
January 11, 2017 Filing 913 MEMORANDUM in Opposition to #912 MOTION to Certify Judgment Dismissing Stone & Younbery Defendants as Final filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
December 21, 2016 Filing 912 Joint MOTION to Certify #274 Judgment Dismissing Stone & Youngberg Defendants as Final by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Commonwealth Advisors, Inc., Firefighters' Retirement System, Walter A. Morales, Walter A Morales, III, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Memorandum in Support)(Swanson, James) Modified on 12/22/2016 to edit text (LLH).
November 4, 2016 Filing 910 Statement Responding to 897 Pretrial Conference - Initial, by Michael Jennings. (Hanna, Sandra) Modified on 11/7/2016 to edit text (LLH).
November 3, 2016 Opinion or Order Filing 911 ORDER granting #908 Ex Parte MOTION for Visiting Attorney to Participate in a Particular Case. Signed by Magistrate Judge Carol B. Whitehurst on 11/03/2016. (Williams, Lysandra)
November 2, 2016 Opinion or Order Filing 909 ORDER granting #907 Motion for Robert A. Sacks to Appear Pro Hac Vice. Signed by Magistrate Judge Carol B. Whitehurst on 11/2/2016. (Reeves, Teresa)
November 2, 2016 Filing 908 Ex Parte MOTION for Visiting Attorney to Participate in a Particular Case (Filing fee $100.00, Receipt Number 053N-1487260) by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Order, #2 Attachment Affidavit of Jackson S. Trugman, #3 Attachment Certificate of Good Standing)(Denegre, George) Modified on 11/2/2016 to edit text (ELW).
November 2, 2016 MOTION(S) REFERRED: #908 Ex Parte MOTION for Jackson S. Trugman to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number 053N-1487260). This motion is now pending before the USMJ. (ELW)
November 1, 2016 Filing 907 Ex Parte MOTION for Robert A. Sacks to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number 053N-1486729) by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Order, #2 Attachment A - Affidavit of Robert A. Sacks, #3 Attachment B - Certificate of Good Standing - State of California, #4 Attachment C - Certificate of Good Standing - NY)(Denegre, George)
November 1, 2016 Opinion or Order Filing 906 ORDER granting #900 Motion to Substitute Attorney. George Denegre, Jr., Tyler Davis Trew, Mirais Moorman Holden added for Stifel Financial Corp and Stifel, Nicolaus & Company, Inc. replacing Stephen H. Kupperman and David N. Luder. Signed by Magistrate Judge Carol B. Whitehurst on 10/31/2016. (Reeves, Teresa)
November 1, 2016 Filing 905 CERTIFICATE OF SERVICE by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Commonwealth Advisors, Inc., Firefighters' Retirement System, Walter A Morales, III, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo re #901 Brief,, (Swanson, James)
November 1, 2016 MOTION(S) REFERRED: #907 Ex Parte MOTION for Robert A. Sacks to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number 053N-1486729). This motion is now pending before the USMJ. (LLH)
October 31, 2016 Filing 904 Brief in response to the Court's September 29, 2016 Minute Order regarding 897 Pretrial Conference - Initial filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Attachment Appendix A, #2 Attachment Appendix B)(Kupperman, Stephen) Modified on 11/1/2016 to edit text. (EDC).
October 31, 2016 Filing 903 Explanatory Note Regarding the Parties' Response to the Court's September 29, 2016 Minute Order by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC re 897 Pretrial Conference - Initial,, (Kupperman, Stephen) Modified on 11/1/2016 to edit text.(EDC).
October 31, 2016 Filing 902 Memorandum Regarding Bifurcation and Streamlining Trial regarding 897 Pretrial Conference - Initial filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 11/1/2016 to edit text. (EDC).
October 31, 2016 Filing 901 Joint Proposal Responding to Court's Request regarding Pending Motions, Bifurcation and Appointment of a Special Master regarding 897 Pretrial Conference - filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Commonwealth Advisors, Inc., Firefighters' Retirement System, Walter A. Morales, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Swanson, James) Modified on 11/1/2016 to edit text. (EDC).
October 28, 2016 MOTION(S) REFERRED: #900 Ex Parte MOTION to Substitute George Denegre, Jr., Tyler D. Trew, Mirais M. Holden in place of Stephen H. Kupperman, David N. Luder as Attorney . This motion is now pending before the USMJ. (SGO)
October 27, 2016 Filing 900 Ex Parte MOTION to Substitute George Denegre, Jr., Tyler D. Trew, Mirais M. Holden in place of Stephen H. Kupperman, David N. Luder as Attorney by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading;)(Kupperman, Stephen)
September 30, 2016 Opinion or Order Filing 899 ORDER: The #896 Motion to Amend Witness and Exhibit List is DENIED WITHOUT PREJUDICE, to the right of the CA Funds to refile at a later date. Signed by Judge James J. Brady on 9/30/2016. (LLH)
September 30, 2016 Opinion or Order Filing 898 ORDER: The Jury Trial scheduled for November 28, 2016, is hereby continued. After receipt and consideration of the parties' briefs on how to streamline this matter, the Court shall consult with the parties on selecting another trial date. Further, all remaining pretrial deadlines, specifically deadline for filing Affidavit of Settlement Efforts, Joint jury instructions, voir dire, verdict forms, and trial briefs, are hereby continued without date. (Rec. Doc. 322). Signed by Judge James J. Brady on 9/30/2016. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.)(SWE)
September 29, 2016 Filing 897 Minute Entry for proceedings held before Judge James J. Brady: Initial Pretrial Conference held on 9/29/2016. The parties were instructed to get together within 30 days and propose a list of priority motions that would move this case forward and put in a posture for trial, submit any proposed stipulations and pros and cons for bifurcation. The court encourages the parties to submit joint briefs and no more than 20 pages in length. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (SWE)
September 29, 2016 Filing 896 MOTION to Amend Witness and Exhibit List by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Exhibit A, #3 Exhibit B)(Berg, Nicholas) Modified on 9/29/2016 to edit text. (EDC).
September 28, 2016 Opinion or Order Filing 895 ORDER denying #846 , #885 , #886 , #887 , #888 ,and #889 Motions for Leave. The Court will not entertain any more motions for leave related to pending motions in this matter. Signed by Judge James J. Brady on 9/28/2016. (LLH)
September 28, 2016 Filing 894 The Stifel Entities' MOTION for Leave to File Reply Brief In Further Support Of Their Motions For Leave To File Supplemental Memoranda In Connection With Motions For Summary Judgment by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Proposed Pleading; Order)(Luder, David) Modified on 9/28/2016 to edit the text (TNB).
September 28, 2016 Filing 893 SEALED MEMORANDUM in Opposition to #885 , #887 , #888 MOTIONS for Leave to File Supplemental Memoranda in Connections with Motions for Summary Judgment filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(SGO)
September 28, 2016 Opinion or Order Filing 892 ORDER granting #891 SEALED MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 890 Under Seal. Signed by Judge James J. Brady on 9/28/2016. (SGO)
September 28, 2016 Filing 891 SEALED MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 890 Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C)(Berg, Nicholas)
September 28, 2016 Filing 890 MEMORANDUM in Opposition to #888 MOTION for Leave to File Supplemental Memorandum In Further Support Of Stifel Entities' Motion For Summary Judgment On Veil Piercing Claims , #885 MOTION for Leave to File Supplemental Memorandum In Connection With Motions For Summary Judgment On De Facto Merger And Mere Continuation , #887 MOTION for Leave to File Supplemental Memorandum In Further Support Of Stifel Financial's Motion For Summary Judgment On Successor Liability filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Berg, Nicholas)
September 27, 2016 Filing 889 SEALED MOTION for Leave to File Unredacted Motion, Memorandum, and Exhibit In Support Of Motion For Summary Judgment On Veil Piercing Claims Under Seal by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Unredacted Motion, #2 Proposed Pleading; Unredacted Memorandum, #3 Exhibit A, #4 Proposed Pleading; Order)(Kupperman, Stephen)
September 27, 2016 Filing 888 MOTION for Leave to File Supplemental Memorandum In Further Support Of Stifel Entities' Motion For Summary Judgment On Veil Piercing Claims by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Memorandum, #2 Exhibit A, #3 Proposed Pleading; Order)(Kupperman, Stephen)
September 27, 2016 Filing 887 MOTION for Leave to File Supplemental Memorandum In Further Support Of Stifel Financial's Motion For Summary Judgment On Successor Liability by Stifel Financial Corp.. (Attachments: #1 Proposed Pleading; Memorandum, #2 Exhibit A, #3 Proposed Pleading; Order)(Kupperman, Stephen)
September 27, 2016 Filing 886 SEALED MOTION for Leave to File Unredacted Supplemental Memorandum and Exhibits Under Seal by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Memorandum, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Proposed Pleading; Order)(Kupperman, Stephen)
September 27, 2016 Filing 885 MOTION for Leave to File Supplemental Memorandum In Connection With Motions For Summary Judgment On De Facto Merger And Mere Continuation by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Memorandum, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Proposed Pleading; Order)(Kupperman, Stephen)
September 23, 2016 Filing 884 REPLY Memorandum in Support of #827 MOTION to Dismiss for Failure to State a Claim the Counterclaim Filed by the Commonwealth Defendants (Doc. 745) filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 9/23/2016 to edit text. (EDC)
September 20, 2016 Opinion or Order Filing 883 ORDER finding as moot #853 Motion for Protective Order. See Record documents #869 and #874 . Signed by Magistrate Judge Carol B. Whitehurst on 9/20/2016. (Reeves, Teresa)
September 20, 2016 Opinion or Order Filing 882 ORDER denying as moot #849 Motion for Protective Order. See Record documents #869 and #874 . Signed by Magistrate Judge Carol B. Whitehurst on 9/20/2016. (Reeves, Teresa)
September 20, 2016 Opinion or Order Filing 881 JOINT STIPULATED PROTECTIVE ORDER REGARDING #849 Motion for Protective Order and #853 Motion for Protective Order. Signed by Magistrate Judge Carol B. Whitehurst on 9/20/2016. (Reeves, Teresa)
September 20, 2016 Opinion or Order Filing 880 ORDER denying #875 MOTION for Leave to File Reply to S&Y Parties' Joint Supplemental Memorandum (Doc. 874). Signed by Magistrate Judge Carol B. Whitehurst on 9/20/2016. (Reeves, Teresa)
September 19, 2016 Filing 879 Minute Entry/Minutes of Court for proceedings held before Magistrate Judge Carol B. Whitehurst: Motion Hearing held via telephone on 9/19/2016 re #853 MOTION for Protective Order and #849 MOTION for Protective Order after denying #875 MOTION for Leave to File Reply to S&Y Parties' Joint Supplemental Memorandum (Doc. 874). Stipulated Protective Order granted. Any disputed privilege issues arising during the Rule 30(b)(6) deposition which the Protective Order does not resolve must be filed by Friday, September 23, 2016. in the form of a Privilege Log containing the date, time, individuals involved, subject matter and whether or not the information was shared with anyone. (Reeves, Teresa)
September 19, 2016 Filing 878 SEALED MEMORANDUM in Opposition and SEALED EXHIBITS to #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (Attachments: #1 Exhibit J, #2 Exhibit K, #3 Exhibit M, #4 Exhibit N, #5 Exhibit O, #6 Exhibit P)(Reeves, Teresa)
September 19, 2016 Opinion or Order Filing 877 ORDER granting #866 Sealed Motion to file Unredacted Pleadings and Exhibits in Connection with Doc. 865 Under Seal. Signed by Magistrate Judge Carol B. Whitehurst on 9/19/2016. (Reeves, Teresa)
September 19, 2016 MOTION(S) REFERRED: #875 MOTION for Leave to File Reply to S&Y Parties' Joint Supplemental Memorandum (Doc. 874) . This motion is now pending before the USMJ. (SGO)
September 18, 2016 Filing 876 Joint MEMORANDUM in Opposition to Untimely #875 MOTION for Leave to File Reply to S&Y Parties' Joint Supplemental Memorandum (Doc. 874) filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Kupperman, Stephen) Modified to edit text on 9/19/2016 (SGO).
September 17, 2016 Filing 875 MOTION for Leave to File Reply to S&Y Parties' Joint Supplemental Memorandum (Doc. 874) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Pleading;, #2 Exhibit A, #3 Proposed Order)(Berg, Nicholas)
September 16, 2016 Filing 874 Joint Supplemental Memorandum in Further Support of #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC and #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Proposed Pleading; Proposed Order)(Kupperman, Stephen) Modified on 9/20/2016 to edit text.(EDC).
September 16, 2016 Filing 873 SUPPLEMENTAL Memorandum in Further Opposition to #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition and, #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC, filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A)(Berg, Nicholas) Modified on 9/19/2016 to edit text. (EDC).
September 16, 2016 Filing 872 Proposed Pretrial Order by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (For your free look at document, enter your ECF login and pw to confirm your right to view). (Attachments: #1 Exhibit A - CA Funds' Exhibit List, #2 Exhibit B - Individual Investor Plaintiffs' Witness List, #3 Exhibit C - Commonwealth and Morales' Exhibit List, #4 Exhibit D - Jennings Exhibit List, #5 Exhibit E - S&Y Parties Exhibit List)(Berg, Nicholas)
September 15, 2016 Filing 871 Supplemental MEMORANDUM in Response to CA Funds' Supplemental Memorandum in Connection with #726 MOTION for Partial Summary Judgment on De Facto Merger Claims and #763 MOTION for Partial Summary Judgment on Veil Piercing Claims, filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc. (LLH)
September 15, 2016 Opinion or Order Filing 870 ORDER granting #861 MOTION for Leave to File Supplemental Memorandum in Response to Supplemental Memorandum in Connection with Motions for Summary Judgment on De Facto Merger and Veil Piercing filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc. Signed by Judge James J. Brady on 9/15/2016. (LLH)
September 13, 2016 Opinion or Order Filing 869 ORDER entered regarding #849 Motion for Protective Order and #853 Motion for Protective Order: The motions are DENIED IN PART as to the Topics being vague, overly broad and unduly burdensome, and GRANTED IN PART as to the Topics which seek discovery on discovery. The Court will DEFER RULING as to the topics related to legal privileges issues. FURTHER ORDERED that by Friday, September 16, 2016, the parties are to resolve the disputed issues related to any protective order necessary for S&Y and Stifel to provide such privileged information. Also by Friday, to the extent any unresolved disputes remain, the parties are to brief same, limited to five (5) pages or less. Signed by Magistrate Judge Carol B. Whitehurst on 9/13/2014. (Reeves, Teresa)
September 12, 2016 Filing 868 Minutes of Court for proceedings held before Magistrate Judge Carol B. Whitehurst: Oral Motion Hearing via telephone held on 9/12/2016 re #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition and #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC. (Court Reporter Gayle Wear.) (Reeves, Teresa)
September 9, 2016 Filing 867 MEMORANDUM in Opposition to #827 MOTION to Dismiss for Failure to State a Claim the Counterclaim Filed by the Commonwealth Defendants (Doc. 745) filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Milazzo, John)
September 9, 2016 Filing 866 SEALED MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 865 Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit J, #4 Exhibit K, #5 Exhibit M, #6 Exhibit N, #7 Exhibit O, #8 Exhibit P)(Berg, Nicholas) Modified to rotate pages on 9/12/2016 (SGO).
September 9, 2016 Filing 865 MEMORANDUM in Opposition to #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit H, #8 Exhibit I, #9 Exhibit J, #10 Exhibit K, #11 Exhibit L, #12 Exhibit M, #13 Exhibit N, #14 Exhibit O, #15 Exhibit P, #16 Exhibit Q, #17 Exhibit R, #18 Exhibit S, #19 Exhibit T, #20 Exhibit U, #21 Exhibit V)(Berg, Nicholas)
September 9, 2016 Filing 864 MEMORANDUM in Opposition to #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (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)(Berg, Nicholas)
September 8, 2016 Opinion or Order Filing 863 ORDER granting #590 Motion in Limine. No hearing was required. Signed by Judge James J. Brady on 09/08/2016. (ELW)
September 8, 2016 Filing 862 RULING that the Court DEFERS ruling on #599 MOTION in Limine to Exclude Evidence and Argument that the Absence of an Enforcement Action is Evidence of Lack of Wrongdoing filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC. Signed by Judge James J. Brady on 09/08/2016. (ELW)
September 6, 2016 Filing 861 MOTION for Leave to File Supplemental Memorandum in Response to Supplemental Memorandum in Connection with Motions for Summary Judgment on De Facto Merger and Veil Piercing by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Memorandum in Response, #2 Proposed Pleading; Proposed Order)(Kupperman, Stephen)
September 6, 2016 Opinion or Order Filing 860 ORDER granting #854 Motion for Expedited Hearing on #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition. Motion Hearing set via telephone for 9/12/2016 at 02:00 PM before Magistrate Judge Carol B. Whitehurst. Any opposition to the motion is due by 9/9/2016. Signed by Magistrate Judge Carol B. Whitehurst on 9/6/2016. (Reeves, Teresa)
September 6, 2016 Opinion or Order Filing 859 ORDER granting #850 Motion for Expedited Hearing on #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC. Motion Hearing set via telephone for 9/12/2016 at 02:00 PM before Magistrate Judge Carol B. Whitehurst. Any opposition to the motion is due by 9/9/2016. Signed by Magistrate Judge Carol B. Whitehurst on 9/6/2016. (Reeves, Teresa)
September 6, 2016 Filing 858 Supplemental MEMORANDUM in Support of #726 MOTION for Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD. (SGO)
September 6, 2016 Opinion or Order Filing 857 ORDER granting #856 MOTION for Leave to File to File Supplemental Memorandum in Connection with Motion for Summary Judgment on De Facto Merger and Veil Piercing. Signed by Judge James J. Brady on 9/6/2016. (SGO)
September 6, 2016 Filing 856 MOTION for Leave to File to File Supplemental Memorandum in Connection with Motion for Summary Judgment on De Facto Merger and Veil Piercing by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Pleading;, #2 Proposed Order)(Berg, Nicholas)
September 2, 2016 MOTION(S) REFERRED: #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition, #854 MOTION for Expedited Hearing on #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition , #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC, #850 MOTION for Expedited Hearing on #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC . This motion is now pending before the USMJ. (EDC)
September 1, 2016 Opinion or Order Filing 855 ORDER granting #851 MOTION for Leave to File Supplemental Exhibit filed by Stifel Financial Corp. Signed by Judge James J. Brady on 09/01/2016. (ELW)
September 1, 2016 Filing 854 MOTION for Expedited Hearing on #853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Proposed Order)(Kupperman, Stephen)
September 1, 2016 Filing 853 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Attachment Rule 26(c)(1) Certificate, #7 Proposed Pleading; Proposed Order)(Kupperman, Stephen)
September 1, 2016 Filing 852 REPLY Brief in Support of #749 MOTION for Partial Summary Judgment on Count Seven of the CA Funds' Fourth Amended Complaint filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Tulley, Fredrick) Modified on 9/2/2016 to edit text.(EDC).
September 1, 2016 Filing 851 MOTION for Leave to File Supplemental Exhibit by Stifel Financial Corp.. (Attachments: #1 Proposed Pleading; Exhibit U, #2 Proposed Pleading; Order)(Luder, David)
August 31, 2016 Filing 850 MOTION for Expedited Hearing on #849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC by Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order)(Dressel, Robert)
August 31, 2016 Filing 849 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Stone & Youngberg, LLC by Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Attachment Rule 26(c)(1) Certificate, #3 Proposed Pleading; Order, #4 Exhibit A, #5 Exhibit B)(Dressel, Robert)
August 30, 2016 Opinion or Order Filing 848 ORDER: The Court's June 28, 2016 Ruling should have resulted in the dismissal of the Security and Exchange Commission as an Intervenor Plaintiff from the instant action. Accordingly, the Court hereby directs the Clerk's Office to terminate the Security and Exchange Commission as a party effective as of June 28, 2016. Signed by Judge James J. Brady on 08/30/2016. (ELW)
August 29, 2016 Opinion or Order Filing 847 ORDER granting #845 Motion to Extend Deadline to File Pretrial Order. The Parties shall file the final pretrial order by September 16, 2016. Signed by Judge James J. Brady on 08/29/2016. (ELW)
August 26, 2016 Filing 846 MOTION for Leave to File Supplemental Reply Brief in Support of Daubert Motion to Exclude Testimony of Dr. Michael Youngblood by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Pleading, #2 Proposed Order)(Tulley, Fredrick)
August 26, 2016 Filing 845 MOTION to Extend Deadline to File Pre-Trial Order by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Order)(Tulley, Fredrick)
August 24, 2016 Filing 844 Supplemental MEMORANDUM in Opposition to #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(LLH)
August 24, 2016 Opinion or Order Filing 843 ORDER granting #839 MOTION for Leave to File Supplemental Memorandum in Opposition to Commonwealth Advisors, Inc. and Walter Morales' Daubert Motion to Exclude Testimony of Dr. Michael Youngblood filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC. Signed by Judge James J. Brady on 8/24/2016. (LLH)
August 24, 2016 Opinion or Order Filing 842 ORDER granting #829 Motion to Withdraw #825 Reply to Response to Motion,. Signed by Judge James J. Brady on 8/24/2016. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (SWE)
August 24, 2016 Filing 841 SEALED Reply Memorandum in Support of #763 MOTION for Partial Summary Judgment on Veil Piercing Claims filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc. (SGO)
August 24, 2016 Opinion or Order Filing 840 ORDER granting #834 SEALED MOTION for Leave to File Unredacted Reply Memorandum in Support of Motion for Partial Summary Judgment on Veil Piercing Claims Under Seal. Signed by Judge James J. Brady on 8/23/2016. (SGO)
August 23, 2016 Filing 839 MOTION for Leave to File Supplemental Memorandum in Opposition to Commonwealth Advisors, Inc. and Walter Morales' Daubert Motion to Exclude Testimony of Dr. Michael Youngblood by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit Deposition of Dr. Joseph Mason, #4 Exhibit 785 to Deposition of Dr. Joseph Mason)(Berg, Nicholas)
August 23, 2016 Filing 838 NOTICE on #827 MOTION to Dismiss for Failure to State a Claim the Counterclaim Filed by the Commonwealth Defendants (Doc. 745) :. Opposition, limited to 10 pages, to the motion shall be filed on or before 9/9/2016. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (SWE)
August 22, 2016 Filing 837 REPLY to #756 MOTION for Partial Summary Judgment on the Issue of Prescription, #752 MOTION for Summary Judgment on the Issue of Prescription, #800 Memorandum in Opposition to Motion,,,, filed by Anthony Guaimano, Michael Jennings, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
August 22, 2016 Filing 836 REPLY to #755 MOTION for Summary Judgment for Lack of Standing to Pursue Claims, #788 Memorandum in Opposition to Motion,, filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Kupperman, Stephen)
August 22, 2016 Filing 835 REPLY to #758 MOTION for Partial Summary Judgment on Successor Liability Damages Cap, #795 Memorandum in Opposition to Motion,,, filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Kupperman, Stephen)
August 22, 2016 Filing 834 SEALED MOTION for Leave to File Unredacted Reply Memorandum in Support of Motion for Partial Summary Judgment on Veil Piercing Claims Under Seal by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; Unredacted Reply Memorandum)(Luder, David)
August 22, 2016 Filing 833 REPLY to #792 Memorandum in Opposition to Motion,,,, #763 MOTION for Partial Summary Judgment on Veil Piercing Claims filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Attachment Declaration of Stephen J. Bushmann)(Luder, David)
August 22, 2016 Filing 832 SEALED Reply MEMORANDUM in Support of #759 MOTION for Summary Judgment on Successor Liability filed by Stifel, Nicolaus & Company, Inc.. (NLT)
August 22, 2016 Opinion or Order Filing 831 ORDER granting #823 Motion for Leave to File Reply Memorandum in Further Support of Stifel Nicolaus' Motion for Summary Judgment on Successor Liability Under Seal. Signed by Judge James J. Brady on 08/22/2016. (NLT)
August 19, 2016 Filing 830 NOTICE Regarding Omnibus Order Suspending All Deadlines by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC (Dressel, Robert) Modified on 8/30/2016 to edit text. (EDC).
August 19, 2016 Filing 829 MOTION to Withdraw Reply Brief Concerning the Issue of Prescription [Rec. Doc. # 825] by Michael Jennings. (Hanna, Sandra)
August 19, 2016 Filing 828 REPLY Memorandum in Support of #754 MOTION for Partial Summary Judgment on Affirmative Defenses Regarding Alleged Fault of Rothstein Kass, Spectrum Global Fund Administration and the Ratings Agencies filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 8/30/2016 (EDC) to edit text.
August 19, 2016 Filing 827 MOTION to Dismiss for Failure to State a Claim the Counterclaim Filed by the Commonwealth Defendants (Doc. 745) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Proposed Order, #3 Exhibit A, #4 Exhibit B)(Berg, Nicholas)
August 19, 2016 Filing 826 REPLY to #803 Memorandum in Opposition to Motion,,, #753 MOTION for Summary Judgment on the Issue of Breach of Fiduciary Duty filed by Michael Jennings. (Hanna, Sandra)
August 19, 2016 Filing 825 REPLY to the CA FUNDS's Opposition to Mr. Jenning's MOTION for Partial Summary Judgment on the Issue of Prescription filed by Michael Jennings. (Hanna, Sandra) Modified on 8/30/2016 to edit text (ELW).
August 18, 2016 Filing 824 Reply Memorandum in Further Support of #761 MOTION for Partial Summary Judgment on De Facto Merger, Mere Continuation, and Assumption of Liability filed by Stifel Financial Corp.. (Kupperman, Stephen) Modified on 8/22/2016 to edit text. (EDC).
August 18, 2016 Filing 823 SEALED MOTION for Leave to File Reply Memorandum in Further Support of Stifel Nicolaus' Motion for Summary Judgment on Successor Liability Under Seal by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; Reply)(Kupperman, Stephen)
August 18, 2016 Filing 822 Reply Memorandum in Further Support of #759 MOTION for Summary Judgment on Successor Liability filed by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Kupperman, Stephen) Modified on 8/22/2016 to edit text.(EDC). (Attachment 4 replaced on 8/22/2016) (EDC).
August 16, 2016 Filing 821 REPLY to #751 MOTION for Partial Summary Judgment on the Vicarious Liability of Stone & Youngberg, LLC for the Acts of its Salesman Michael Jennings, #794 Memorandum in Opposition to Motion,, filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
August 11, 2016 Filing 820 SEALED Exhibit D to Declaration of Walter Morales (NLT)
August 11, 2016 Opinion or Order Filing 819 ORDER granting #787 Sealed Motion for Leave to File Exhibit D to Declaration of Walter Morales Under Seal. Signed by Judge James J. Brady on 08/10/2014. (NLT)
August 11, 2016 Filing 818 RULING granting #578 Motion in Limine, and evidence and testimony regarding Guaimano's guilty plea is excluded for all purposes. Signed by Judge James J. Brady on 8/10/2016. (LLH)
August 11, 2016 Filing 817 RULING granting #600 Motion in Limine and #595 Motion in Limine is DENIED. All untimely expert reports identified, including those submitted by both the plaintiffs and defendants, are STRICKEN. Signed by Judge James J. Brady on 8/10/2016. (LLH)
August 10, 2016 Opinion or Order Filing 816 ORDER granting #804 Motion to Enroll Additional Attorney. Added attorney William Spencer King and Margaret Davis for CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. Signed by Magistrate Judge Carol B. Whitehurst on 8/10/2016. (Reeves, Teresa)
August 9, 2016 Filing 815 SEALED MEMORANDUM in Opposition to #763 MOTION for Partial Summary Judgment on Veil Piercing Claims filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit C, #3 Exhibit E, #4 Exhibit G, #5 Exhibit H, #6 Exhibit M, #7 Exhibit N, #8 Exhibit R, #9 Exhibit V)(SGO)
August 9, 2016 Filing 814 SEALED Response to Statement of Facts in Support of #761 MOTION for Partial Summary Judgment on De Facto Merger, Mere Continuation, and Assumption of Liability filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD. (Attachments: #1 Exhibit A, #2 Exhibit D)(SGO)
August 9, 2016 Filing 813 SEALED MEMORANDUM in Opposition to #758 MOTION for Partial Summary Judgment on Successor Liability Damages Cap filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit C, #3 Exhibit E, #4 Exhibit F, #5 Exhibit H, #6 Exhibit N, #7 Exhibit P, #8 Exhibit Q, #9 Exhibit R)(SGO)
August 9, 2016 Filing 812 SEALED MEMORANDUM in Opposition to #759 MOTION for Summary Judgment on Successor Liability filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit C, #3 Exhibit E, #4 Exhibit H, #5 Exhibit P, #6 Exhibit Q)(SGO)
August 9, 2016 Opinion or Order Filing 811 ORDER granting #793 MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 792 Under Seal. Signed by Judge James J. Brady on 8/9/2016. (SGO)
August 9, 2016 Opinion or Order Filing 810 ORDER granting #798 MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 797 Under Seal. Signed by Judge James J. Brady on 8/9/2016. (SGO)
August 9, 2016 Opinion or Order Filing 809 ORDER granting #796 MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 795 Under Seal. Signed by Judge James J. Brady on 8/9/2016. (SGO)
August 9, 2016 Opinion or Order Filing 808 ORDER granting #790 MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 789 Under Seal. Signed by Judge James J. Brady on 8/9/2016. (SGO)
August 9, 2016 Opinion or Order Filing 807 ORDER granting #806 MOTION for Leave to File Consolidated Reply Memorandum in Excess of Page Limit in Support of Motions for Partial Summary Judgment on Issue of Prescription. S&Y Parties and Jennings may file a consolidated Reply not to exceed 9 pages. Signed by Judge James J. Brady on 8/9/2016. (SGO) Modified to edit text on 8/9/2016 (SGO).
August 9, 2016 MOTION(S) REFERRED: #804 Ex Parte MOTION to Enroll W. Spencer King and Margaret Davis as Additional Attorney . This motion is now pending before the USMJ. (EDC)
August 8, 2016 Filing 806 MOTION for Leave to File Consolidated Reply Memorandum in Excess of Page Limit in Support of Motions for Partial Summary Judgment on Issue of Prescription by Anthony Guaimano, Michael Jennings, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order)(Dressel, Robert)
August 8, 2016 Filing 805 Document issued in error by case administrator on 8/8/2016 (SGO).
August 8, 2016 Filing 804 Ex Parte MOTION to Enroll W. Spencer King and Margaret Davis as Additional Attorney by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
August 5, 2016 Filing 803 MEMORANDUM in Opposition to #753 MOTION for Summary Judgment on the Issue of Breach of Fiduciary Duty filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P, #18 Exhibit Q, #19 Exhibit R, #20 Exhibit S, #21 Exhibit T, #22 Exhibit U, #23 Exhibit V, #24 Exhibit W, #25 Exhibit X, #26 Exhibit Y, #27 Exhibit Z, #28 Exhibit AA)(Berg, Nicholas)
August 5, 2016 Filing 802 Additional Exhibits to #800 Memorandum in Opposition to Motion,,,, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit 44, #2 Exhibit 45, #3 Exhibit 46, #4 Exhibit 47, #5 Exhibit 48, #6 Exhibit 49, #7 Exhibit 50, #8 Exhibit 51, #9 Exhibit 52, #10 Exhibit 53, #11 Exhibit 54, #12 Exhibit 55, #13 Exhibit 56, #14 Exhibit 57, #15 Exhibit 58, #16 Exhibit 59, #17 Exhibit 60, #18 Exhibit 61, #19 Exhibit 62, #20 Exhibit 63, #21 Exhibit 64, #22 Exhibit 65, #23 Exhibit 66, #24 Exhibit 67, #25 Exhibit 68)(Berg, Nicholas) (Attachment 10 replaced on 5/3/2017) (TMR).
August 5, 2016 Filing 801 Additional Exhibits to #800 Memorandum in Opposition to Motion,,,, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit 12, #2 Exhibit 13, #3 Exhibit 14, #4 Exhibit 15, #5 Exhibit 16, #6 Exhibit 17, #7 Exhibit 18, #8 Exhibit 19, #9 Exhibit 20, #10 Exhibit 21, #11 Exhibit 22, #12 Exhibit 23, #13 Exhibit 24, #14 Exhibit 25, #15 Exhibit 26, #16 Exhibit 27, #17 Exhibit 28, #18 Exhibit 29, #19 Exhibit 30, #20 Exhibit 31, #21 Exhibit 32, #22 Exhibit 33, #23 Exhibit 34, #24 Exhibit 35, #25 Exhibit 36, #26 Exhibit 37, #27 Exhibit 38, #28 Exhibit 39, #29 Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 800 MEMORANDUM in Opposition to #756 MOTION for Partial Summary Judgment on the Issue of Prescription, #750 MOTION to Adopt and Incorporate the Motion to Be Filed by the Stone & Youngberg Defendants on the Issue of Prescription , #752 MOTION for Summary Judgment on the Issue of Prescription filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit 1, #3 Exhibit 1a, #4 Exhibit 1b, #5 Exhibit 1c, #6 Exhibit 1d, #7 Exhibit 1e, #8 Exhibit 1f, #9 Exhibit 1g, #10 Exhibit 2, #11 Exhibit 2a, #12 Exhibit 2b, #13 Exhibit 3, #14 Exhibit 4, #15 Exhibit 5, #16 Exhibit 6, #17 Exhibit 7, #18 Exhibit 8, #19 Exhibit 9, #20 Exhibit 10)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 799 MEMORANDUM in Opposition to #749 MOTION for Partial Summary Judgment on Count Seven of the CA Funds' Fourth Amended Complaint filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D)(Berg, Nicholas)
August 5, 2016 Filing 798 SEALED MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 797 Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading; Unredacted Response to Statement of Facts, #3 Exhibit A, #4 Exhibit D)(Berg, Nicholas)
August 5, 2016 Filing 797 MEMORANDUM in Opposition to #761 MOTION for Partial Summary Judgment on De Facto Merger, Mere Continuation, and Assumption of Liability filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 796 SEALED MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 795 Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading; Unredacted Memorandum in Opposition, #3 Proposed Pleading; Unredacted Response to Statement of Facts, #4 Exhibit C, #5 Exhibit E, #6 Exhibit F, #7 Exhibit H, #8 Exhibit N, #9 Exhibit P, #10 Exhibit Q, #11 Exhibit R)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 795 MEMORANDUM in Opposition to #758 MOTION for Partial Summary Judgment on Successor Liability Damages Cap filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P, #18 Exhibit Q, #19 Exhibit R)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 794 MEMORANDUM in Opposition to #751 MOTION for Partial Summary Judgment on the Vicarious Liability of Stone & Youngberg, LLC for the Acts of its Salesman Michael Jennings filed by Stone & Youngberg, LLC. (Attachments: #1 Statement of Undisputed Facts, #2 Attachment Declaration of Robert J. Dressel, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I, #12 Exhibit J, #13 Exhibit K, #14 Exhibit L)(Dressel, Robert)
August 5, 2016 Filing 793 SEALED MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 792 Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading; Unredacted Memorandum in Opposition, #3 Proposed Pleading; Unredacted Response to Statement of Facts, #4 Exhibit C, #5 Exhibit E, #6 Exhibit G, #7 Exhibit H, #8 Exhibit M, #9 Exhibit N, #10 Exhibit R, #11 Exhibit V)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 792 MEMORANDUM in Opposition to #763 MOTION for Partial Summary Judgment on Veil Piercing Claims filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P, #18 Exhibit Q, #19 Exhibit R, #20 Exhibit S, #21 Exhibit T, #22 Exhibit U, #23 Exhibit V, #24 Exhibit W, #25 Exhibit X, #26 Exhibit Y, #27 Exhibit Z, #28 Exhibit AA, #29 Exhibit BB, #30 Exhibit CC)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 791 MEMORANDUM in Opposition to #754 MOTION for Partial Summary Judgment on Affirmative Defenses Regarding Alleged Fault of Rothstein Kass, Spectrum Global Fund Administration and the Ratings Agencies filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Statement of Undisputed Facts, #2 Attachment Declaration of Robert J. Dressel, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I, #12 Exhibit J, #13 Exhibit K, #14 Exhibit L, #15 Exhibit M, #16 Exhibit N, #17 Exhibit O, #18 Exhibit P, #19 Exhibit Q, #20 Exhibit R, #21 Exhibit S, #22 Exhibit T)(Dressel, Robert)
August 5, 2016 Filing 790 SEALED MOTION for Leave to File Unredacted Pleadings and Exhibits in Connection with Doc. 789 Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading; Unredacted Memorandum in Opposition, #3 Proposed Pleading; Unredacted Response to Statement of Facts, #4 Exhibit C, #5 Exhibit E, #6 Exhibit H, #7 Exhibit P, #8 Exhibit Q)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 789 MEMORANDUM in Opposition to #759 MOTION for Summary Judgment on Successor Liability filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P, #18 Exhibit Q)(Berg, Nicholas) Modified rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 788 MEMORANDUM in Opposition to #755 MOTION for Summary Judgment for Lack of Standing to Pursue Claims filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Response to Statement of Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D)(Berg, Nicholas) Modified to rotate pages on 8/8/2016 (SGO).
August 5, 2016 Filing 787 Ex Parte SEALED MOTION for Leave to File Exhibit D to Declaration of Walter Morales Under Seal Pursuant to Protective Order In 12:700 by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Exhibit D, #2 Proposed Order)(Tulley, Fredrick)
August 5, 2016 Filing 786 MEMORANDUM in Opposition to #754 MOTION for Partial Summary Judgment on Affirmative Defenses Regarding Alleged Fault of Rothstein Kass, Spectrum Global Fund Administration and the Ratings Agencies filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Exhibit A, #2 Responses to Statement of Uncontested Facts, #3 Statement of Material Facts in Dispute, #4 Declaration of Walter Morales and Exhibits)(Tulley, Fredrick)
August 3, 2016 Opinion or Order Filing 785 ORDER granting #779 Consent MOTION for Leave to File Substitute Filing Pt. 1 filed by Michael Jennings. Signed by Judge James J. Brady on 8/3/2016. (LLH)
July 27, 2016 Filing 784 ANSWER to #509 Amended Complaint,, by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc..(Luder, David)
July 27, 2016 Filing 783 SEALED MEMORANDUM in Support of #763 MOTION for Partial Summary Judgment on Veil Piercing Claims filed by Stifel, Nicolaus & Company, Inc. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit B, #3 Exhibit D, #4 Exhibit E, #5 Exhibit N, #6 Exhibit O, #7 Exhibit P, #8 Exhibit Q, #9 Exhibit R, #10 Exhibit T, #11 Exhibit V)(SGO)
July 27, 2016 Filing 782 SEALED MEMORANDUM in Support of #761 MOTION for Partial Summary Judgment on De Facto Merger, Mere Continuation, and Assumption of Liability filed by Stifel Financial Corp. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit C, #4 Exhibit E, #5 Exhibit F, #6 Exhibit G, #7 Exhibit O, #8 Exhibit P, #9 Exhibit Q, #10 Exhibit S)(SGO)
July 27, 2016 Filing 781 SEALED MEMORANDUM in Support of #759 MOTION for Summary Judgment on Successor Liability filed by Stifel, Nicolaus & Company, Inc. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A-1, #3 Exhibit A-2, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit H, #8 Exhibit I, #9 Exhibit K)(SGO)
July 27, 2016 Opinion or Order Filing 780 NOTICE AND ORDER: The #760 , #762 , #764 Motions to Seal are GRANTED. The #773 Motion to file corrected answer be GRANTED. The #774 Motion to file consolidated memorandum in excess page limits be GRANTED. The #767 Motion to file corrected documents be GRANTED. The #768 Motion to Strike doc. 757 be GRANTED. Signed by Judge James J. Brady on 7/26/2016. (SGO) Modified to remove blank page on 8/2/2016 (SGO).
July 26, 2016 Filing 779 Consent MOTION for Leave to File Substitute Filing Pt. 1 by Michael Jennings. (Attachments: #1 Attachment Consent Motion to Substitute Filing Pt. 2, #2 Attachment Consent Motion to Substitute Filing Pt. 3)(Hanna, Sandra)
July 26, 2016 Filing 778 Statement of Uncontested Material Facts in Support of Defendant Michael Jenning's #752 MOTION for Partial Summary Judgment on the Issue of Prescription filed by Michael Jennings. (Hanna, Sandra) Modified on 7/27/2016 to edit the text (TNB).
July 26, 2016 Filing 777 RULING denying #556 Motion to Strike Jury Demand. Signed by Judge James J. Brady on 7/25/2016. (LLH)
July 26, 2016 Opinion or Order Filing 776 ORDER denying #555 Motion to Bifurcate Trial pursuant to the Court's Discretion under Rule 42(b). Signed by Judge James J. Brady on 7/25/2016. (LLH)
July 25, 2016 Filing 775 MEMORANDUM in Opposition to #774 MOTION for Leave to File Excess Pages in Consolidated Opposition to Multiple Motions filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
July 25, 2016 Filing 774 MOTION for Leave to File Excess Pages in Consolidated Opposition to Multiple Motions by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
July 21, 2016 Filing 773 Consent MOTION to Substitute Pleading by Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; S&Y's Corrected Answer to Fourth Amended Complaint)(Dressel, Robert)
July 20, 2016 Filing 772 REPLY Memorandum in Support of #726 MOTION for Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 7/20/2016 to edit text.(EDC).
July 20, 2016 Filing 771 NOTICE on #752 MOTION for Summary Judgment on the Issue of Prescription, #763 MOTION for Partial Summary Judgment on Veil Piercing Claims, #749 MOTION for Partial Summary Judgment on Count Seven of the CA Funds' Fourth Amended Complaint, #761 MOTION for Partial Summary Judgment on De Facto Merger, Mere Continuation, and Assumption of Liability, #753 MOTION for Summary Judgment on the Issue of Breach of Fiduciary Duty, #755 MOTION for Summary Judgment for Lack of Standing to Pursue Claims, #759 MOTION for Summary Judgment on Successor Liability, #758 MOTION for Partial Summary Judgment on Successor Liability Damages Cap, 757 MOTION for Partial Summary Judgment on Successor Liability Damages Cap, #754 MOTION for Partial Summary Judgment on Affirmative Defenses Regarding Alleged Fault of Rothstein Kass, Spectrum Global Fund Administration and the Ratings Agencies, #756 MOTION for Partial Summary Judgment on the Issue of Prescription, #751 MOTION for Partial Summary Judgment on the Vicarious Liability of Stone & Youngberg, LLC for the Acts of its Salesman Michael Jennings :. Opposition, limited to 10 pages, to the motion shall be filed on or before 8/5/2016. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (SWE)
July 18, 2016 Filing 770 REPLY in Support of #700 MOTION for Partial Summary Judgment filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Exhibit A)(Swanson, James) Modified on 7/19/2016 to edit text. (EDC).
July 18, 2016 Opinion or Order Filing 769 ORDER denying #744 Unopposed Motion for Leave to Exceed Page Limit and Motion to Strike Incorrect Pleading. The incorrect pleading (Doc. 738) is hereby STRICKEN. The plaintiffs may file a reply memorandum in compliance with this order within 7 days. Signed by Judge James J. Brady on 7/18/2016. (SGO)
July 18, 2016 Filing 768 Ex Parte MOTION to Strike 757 MOTION for Partial Summary Judgment on Successor Liability Damages Cap by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Luder, David)
July 18, 2016 Filing 767 Unopposed MOTION to Substitute Pleadings by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; Declaration of David N. Luder (substitute for Doc. No. 763-4), #3 Proposed Pleading; Declaration of J.T. Atkins (substitute for Doc. No. 763-29))(Luder, David)
July 18, 2016 Filing 766 SEALED MEMORANDUM in Opposition to #726 MOTION for Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. filed by Stifel, Nicolaus & Company, Inc. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibits A - B, #3 Exhibit D, #4 Exhibits F - L, #5 Exhibits O - P)(SGO)
July 18, 2016 Opinion or Order Filing 765 ORDER granting #741 Sealed Motion for Leave to File Opposition to the CA Funds' Motion for Partial Summary Judgment on De Facto Merger Under Seal. Signed by Judge James J. Brady on 7/14/2016. (SGO) Modified to add routing on 7/18/2016 (SGO).
July 18, 2016 Set/Reset Deadlines (SGO)
July 15, 2016 Filing 764 SEALED MOTION for Leave to File supporting documents to Stifel Parties' Motion for Summary Judgment on Veil Piercing Claims Under Seal by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Statement of Undisputed Facts, #2 Proposed Pleading; Memorandum in Support, #3 Proposed Pleading; Ex B, #4 Proposed Pleading; Ex D, #5 Proposed Pleading; Ex E, #6 Proposed Pleading; Ex N, #7 Proposed Pleading; Ex O, #8 Proposed Pleading; Ex P, #9 Proposed Pleading; Ex Q, #10 Proposed Pleading; Ex R, #11 Proposed Pleading; Ex T, #12 Proposed Pleading; Ex V, #13 Proposed Pleading; Order)(Luder, David) Modified to rotate pages on 7/18/2016 (SGO).
July 15, 2016 Filing 763 MOTION for Partial Summary Judgment on Veil Piercing Claims by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Statement of Undisputed Facts, #2 Memorandum in Support, #3 Proposed Pleading; Order, #4 Affidavit Authenticating Declaration, #5 Exhibit A, #6 Exhibit B, #7 Exhibit C, #8 Exhibit D, #9 Exhibit E, #10 Exhibit F, #11 Exhibit G, #12 Exhibit H, #13 Exhibit I, #14 Exhibit J, #15 Exhibit K, #16 Exhibit L, #17 Exhibit M, #18 Exhibit N, #19 Exhibit O, #20 Exhibit P, #21 Exhibit Q, #22 Exhibit R, #23 Exhibit S, #24 Exhibit T, #25 Exhibit U, #26 Exhibit V, #27 Exhibit W, #28 Exhibit X, #29 Exhibit Y)(Luder, David) Modified to substitute attachments 4 and 29 per rec. doc. 780 on 7/27/2016 (SGO). Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
July 15, 2016 Filing 762 SEALED MOTION for Leave to File supporting documents to Stifel Financial's Motion for Summary Judgment on De Facto Merger, Mere Continuation, and Assumption of Liability Under Seal by Stifel Financial Corp.. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; Statement of Material Facts, #3 Proposed Pleading; Memorandum in Support, #4 Proposed Pleading; A, #5 Proposed Pleading; C, #6 Proposed Pleading; E, #7 Proposed Pleading; F, #8 Proposed Pleading; G, #9 Proposed Pleading; O, #10 Proposed Pleading; P, #11 Proposed Pleading; Q, #12 Proposed Pleading; S)(Kupperman, Stephen) Modified to rotate pages on 7/18/2016 (SGO).
July 15, 2016 Filing 761 MOTION for Partial Summary Judgment on De Facto Merger, Mere Continuation, and Assumption of Liability by Stifel Financial Corp.. (Attachments: #1 Statement of Undisputed Facts, #2 Memorandum in Support, #3 Proposed Pleading; Order, #4 Affidavit Authenticating Declaration, #5 Exhibit A, #6 Exhibit B, #7 Exhibit C, #8 Exhibit D, #9 Exhibit E, #10 Exhibit F, #11 Exhibit G, #12 Exhibit H, #13 Exhibit I, #14 Exhibit J, #15 Exhibit K, #16 Exhibit L, #17 Exhibit M, #18 Exhibit N, #19 Exhibit O, #20 Exhibit P, #21 Exhibit Q, #22 Exhibit R, #23 Exhibit S, #24 Exhibit T)(Kupperman, Stephen) (Additional attachment(s) added on 9/2/2016: #25 Exhibit Exhibit U) (ELW). Modified on 9/2/2016 Added Exhibit U as ordered by the court (ELW). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
July 15, 2016 Filing 760 SEALED MOTION for Leave to File supporting documents to Stifel Nicolaus's Motion for Summary Judgment on Successor Liability Under Seal by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; Statement of Material Facts, #3 Proposed Pleading; Memorandum in Support of Motion for Summary Judgment on Successor Liability, #4 Proposed Pleading; A-1, #5 Proposed Pleading; A-2, #6 Proposed Pleading; D, #7 Proposed Pleading; E, #8 Proposed Pleading; F, #9 Proposed Pleading; H, #10 Proposed Pleading; I, #11 Proposed Pleading; K)(Kupperman, Stephen). Modified to rotate pages on 7/27/2016 (SGO).
July 15, 2016 Filing 759 MOTION for Summary Judgment on Successor Liability by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Statement of Undisputed Facts, #2 Memorandum in Support, #3 Affidavit Declaration of Authenticity, #4 Proposed Pleading; Order, #5 Exhibit A-1 & A-2, #6 Exhibit B, #7 Exhibit C, #8 Exhibit D, #9 Exhibit E, #10 Exhibit F, #11 Exhibit G, #12 Exhibit H, #13 Exhibit I, #14 Exhibit J, #15 Exhibit K, #16 Exhibit L, #17 Exhibit M)(Kupperman, Stephen) Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
July 15, 2016 Filing 758 MOTION for Partial Summary Judgment on Successor Liability Damages Cap by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Statement of Undisputed Facts, #2 Memorandum in Support, #3 Proposed Pleading; Order, #4 Affidavit Declaration, #5 Exhibit A, #6 Exhibit B, #7 Exhibit C, #8 Exhibit D)(Kupperman, Stephen) Modified to rotate pages on 7/18/2016 (SGO). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
July 15, 2016 Filing 757 STRICKEN FROM THE RECORD MOTION for Partial Summary Judgment on Successor Liability Damages Cap by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: # 1 Statement of Undisputed Facts, # 2 Memorandum in Support, # 3 Proposed Pleading; Order, # 4 Exhibit A, # 5 Exhibit B, # 6 Exhibit C, # 7 Exhibit D, # 8 Affidavit Declaration)(Kupperman, Stephen) Modified to rotate pages on 7/18/2016 (SGO). Modified to remove the document as it has been stricken per rec. doc. 780 on 7/27/2016 (SGO).
July 15, 2016 Filing 756 MOTION for Partial Summary Judgment on the Issue of Prescription by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Statement of Undisputed Facts, #2 Memorandum in Support, #3 Proposed Pleading; Order, #4 Affidavit Declaration, #5 Exhibit A, #6 Exhibit B, #7 Exhibit C, #8 Exhibit D, #9 Exhibit E, #10 Exhibit F, #11 Exhibit G, #12 Exhibit H, #13 Exhibit I, #14 Exhibit J, #15 Exhibit K, #16 Exhibit L, #17 Exhibit M, #18 Exhibit N, #19 Exhibit O, #20 Exhibit P, #21 Exhibit Q, #22 Exhibit R)(Dressel, Robert) Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
July 15, 2016 Filing 755 MOTION for Summary Judgment for Lack of Standing to Pursue Claims by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Statement of Undisputed Facts Statement of Material Facts, #2 Memorandum in Support Memorandum in Support, #3 Proposed Pleading; Order, #4 Attachment Declaration, #5 Exhibit A, #6 Exhibit B)(Kupperman, Stephen) Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
July 15, 2016 Filing 754 MOTION for Partial Summary Judgment on Affirmative Defenses Regarding Alleged Fault of Rothstein Kass, Spectrum Global Fund Administration and the Ratings Agencies by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Memorandum in Support, #3 Statement of Undisputed Facts, #4 Exhibit A, #5 Exhibit B, #6 Exhibit C, #7 Exhibit D, #8 Exhibit E, #9 Exhibit F, #10 Exhibit G, #11 Exhibit H, #12 Exhibit I, #13 Exhibit J, #14 Exhibit K, #15 Exhibit L, #16 Exhibit M, #17 Exhibit N, #18 Exhibit O, #19 Exhibit P, #20 Exhibit Q, #21 Exhibit R, #22 Exhibit S, #23 Exhibit T, #24 Exhibit U, #25 Exhibit V, #26 Exhibit W)(Berg, Nicholas) Modified to rotate pages on 7/18/2016 (SGO). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
July 15, 2016 Filing 753 MOTION for Summary Judgment on the Issue of Breach of Fiduciary Duty by Michael Jennings. (Attachments: #1 Memorandum of Points and Authorities in Support of Defendant Michael Jennings's Motion for Partial Summary Judgment on the Issue of Breach of Fiduciary Duty, #2 Statement of Uncontested Material Facts, #3 Proposed Order)(Hanna, Sandra) Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
July 15, 2016 Filing 752 MOTION for Summary Judgment on the Issue of Prescription by Michael Jennings. (Attachments: #1 Proposed Pleading; Memorandum of Points and Authorities in Support of Motion In Support of Defendant Michael Jennings Motion for Partial Summary Judgment on the Issue of Prescription, #2 Proposed Pleading; Proposed Order)(Hanna, Sandra) Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
July 15, 2016 Filing 751 MOTION for Partial Summary Judgment on the Vicarious Liability of Stone & Youngberg, LLC for the Acts of its Salesman Michael Jennings by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Statement of Undisputed Facts, #3 Memorandum in Support, #4 Exhibit A, #5 Exhibit B, #6 Exhibit C, #7 Exhibit D, #8 Exhibit E, #9 Exhibit F, #10 Exhibit G, #11 Exhibit H, #12 Exhibit I, #13 Exhibit J, #14 Exhibit K, #15 Exhibit L, #16 Exhibit M, #17 Exhibit N, #18 Exhibit O, #19 Exhibit P, #20 Exhibit Q, #21 Exhibit R)(Berg, Nicholas) Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
July 15, 2016 Filing 750 MOTION to Adopt and Incorporate the Motion to Be Filed by the Stone & Youngberg Defendants on the Issue of Prescription by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Proposed Order)(Tulley, Fredrick) Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
July 15, 2016 Filing 749 MOTION for Partial Summary Judgment on Count Seven of the CA Funds' Fourth Amended Complaint by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Memorandum in Support, #6 Proposed Order)(Tulley, Fredrick)
July 15, 2016 Filing 748 Corrected ANSWER to #509 Amended Complaint by Stone & Youngberg, LLC.(Dressel, Robert) Modified to substitute document per rec. doc. 780 on 7/27/2016 (SGO).
July 15, 2016 Filing 747 ANSWER to #509 Amended Complaint,, by Michael Jennings.(Hanna, Sandra) ( #1 Answer Part 2, #2 Answer Part 3) . Modified on 8/3/2016 to substitute answer as per Order #785(LLH).
July 15, 2016 Filing 746 ANSWER to #509 Amended Complaint,, by Anthony Guaimano.(Dressel, Robert)
July 15, 2016 Filing 745 ANSWER to #509 Amended Complaint,, and, COUNTERCLAIM against CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. by Commonwealth Advisors, Inc., Walter A Morales, III.(Tulley, Fredrick)
July 14, 2016 Filing 744 Unopposed MOTION for Leave to Exceed Page Limit , Unopposed MOTION to Strike 738 Reply to Response to Motion,, by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Attachment Proposed Order, #2 Proposed Pleading; Reply Memorandum and Exhibit)(Swanson, James)
July 14, 2016 Filing 743 RULING denying #589 Motion in Limine. Signed by Judge James J. Brady on 7/14/2016. (LLH)
July 14, 2016 Filing 742 NOTICE OF NON-COMPLIANCE with LR 7(g) as to 738 Reply to Response to Motion. REQUIRED CORRECTION: A combined Motion for Leave to Exceed the Page Limits and Motion to Strike the Incorrect Pleading must filed within 24 hours of this notice. Otherwise, the original filing may be stricken by the Court without further notice. (ELW)
July 13, 2016 Filing 741 SEALED MOTION for Leave to File Opposition to the CA Funds' Motion for Partial Summary Judgment on De Facto Merger Under Seal by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Opposition to Motion for Partial Summary Judgment on De Facto Merger, #2 Proposed Pleading; Response to CA Funds' Statement of Material Facts, #3 Proposed Pleading; Ex. A, #4 Proposed Pleading; Ex. B, #5 Proposed Pleading; Ex. D, #6 Proposed Pleading; Ex. F, #7 Proposed Pleading; Ex. G, #8 Proposed Pleading; Ex. H, #9 Proposed Pleading; Ex. I, #10 Proposed Pleading; Ex. J, #11 Proposed Pleading; Ex. K, #12 Proposed Pleading; Ex. L, #13 Proposed Pleading; Ex. O, #14 Proposed Pleading; Ex. P)(Kupperman, Stephen) Modified to rotate pages on 7/18/2016 (SGO).
July 13, 2016 Filing 740 MEMORANDUM in Opposition to #726 MOTION for Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. filed by Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Attachment Response to CA Funds' Statement of Material Facts, #2 Attachment Declaration of David N. Luder, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I, #12 Exhibit J, #13 Exhibit K, #14 Exhibit L, #15 Exhibit M, #16 Exhibit N, #17 Exhibit O, #18 Exhibit P, #19 Exhibit Q, #20 Exhibit R, #21 Exhibit S, #22 Exhibit T, #23 Exhibit U, #24 Exhibit V, #25 Exhibit W)(Kupperman, Stephen)
July 13, 2016 Opinion or Order Filing 739 ORDER dismissing #554 Sealed Motion to Dismiss. The defendants are instructed to follow the Stipulation and Agreed Protective Order when filing motions under seal. Signed by Judge James J. Brady on 7/12/2016. (SGO)
July 13, 2016 Filing 738 STRICKEN FROM THE RECORD REPLY to #731 Memorandum in Opposition to Motion, #700 MOTION for Partial Summary Judgment filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: # 1 Exhibit A)(Swanson, James) Modified to remove the document as it has been stricken on 7/18/2016 (SGO).
July 12, 2016 Opinion or Order Filing 737 ORDER granting #736 Motion to Enroll Additional Attorney. Added attorney Lawrence Blake Jones and Joshua L. Rubenstein for CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. Signed by Magistrate Judge Carol B. Whitehurst on 7/12/2016. (Reeves, Teresa)
July 8, 2016 MOTION(S) REFERRED: #736 Ex Parte MOTION to Enroll L. Blake Jones and Joshua L. Rubenstein as Additional Attorney . This motion is now pending before the USMJ. (TNB)
July 7, 2016 Filing 736 Ex Parte MOTION to Enroll L. Blake Jones and Joshua L. Rubenstein as Additional Attorney by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
July 6, 2016 Filing 735 SEALED MEMORANDUM in Support of #726 MOTION for Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. filed by CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD. (Attachments: #1 Statement of Undisputed Facts, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit G, #7 Exhibit L, #8 Exhibit Q)(SGO)
July 6, 2016 Opinion or Order Filing 734 ORDER granting #727 Sealed Motion for Leave to File Under Seal. Signed by Judge James J. Brady on 7/5/2016. (SGO)
July 5, 2016 Filing 733 MEMORANDUM in Support of #700 MOTION for Partial Summary Judgment filed by All Plaintiffs. (ELW)
July 5, 2016 Opinion or Order Filing 732 ORDER granting #725 Motion to Strike document 724 and MOTION for Leave to exceed page limits. Signed by Judge James J. Brady on 07/05/2016. (ELW) Modified on 7/11/2016 to correct document #.(ELW).
July 1, 2016 Filing 731 MEMORANDUM in Opposition to #700 MOTION for Partial Summary Judgment filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Attachment Statement of Material Facts, #2 Exhibit 1)(Milazzo, John)
June 30, 2016 Filing 730 RULING: The Commonwealth defendants' #540 Motion to Dismiss is DENIED in part, and the #552 Motion to Dismiss brought by Jennings and the S&Y Parties #553 Motion to Dismiss are DENIED. Signed by Judge James J. Brady on 6/30/2016. (LLH)
June 28, 2016 Filing 729 RULING denying in part #540 Motion to Dismiss for Failure to State a Claim, as it pertains to the defendant's arguments regarding jurisdiction and res judicata and the #538 Motion to Release Runds is DENIED. Signed by Judge James J. Brady on 6/28/2016. (LLH)
June 27, 2016 Filing 728 NOTICE on #726 MOTION for Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. :. Opposition, limited to 10 pages, to the motion shall be filed on or before 07/13/16. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
June 22, 2016 Filing 727 SEALED MOTION for Leave to File Unredacted Memorandum in Support and Exhibits to Motion for Partial Summary Judgment (R. Doc. 726) Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Pleading; Statement if Uncontested Facts, #2 Proposed Pleading; Memorandum in Support, #3 Proposed Pleading; Exhibit A, #4 Proposed Pleading; Exhibit B, #5 Proposed Pleading; Exhibit C, #6 Proposed Pleading; Exhibit D, #7 Proposed Pleading; Exhibit G, #8 Exhibit Exhibit L, #9 Exhibit Exhibit Q, #10 Proposed Order)(Berg, Nicholas) (Attachment 8 replaced on 6/23/2016 to correct page orientations) (JDL).
June 22, 2016 Filing 726 MOTION for Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Statement of Undisputed Facts, #2 Memorandum in Support, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I, #12 Exhibit J, #13 Exhibit K, #14 Exhibit L, #15 Exhibit M, #16 Exhibit N, #17 Exhibit O, #18 Exhibit P, #19 Exhibit Q)(Berg, Nicholas) (Attachments 10, 11 & 19 replaced on 6/23/2016) (EDC). Modified on 6/23/20 to rotate pages.(EDC).
June 22, 2016 Filing 725 Unopposed MOTION to Strike Incorrect Pleading and Motion for Leave to Exceed Page Limit regarding 724 by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eileen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Attachment Proposed Order, #2 Proposed Pleading; Memorandum in Support of Motion for Partial Summary Judgment)(Swanson, James) Modified on 6/23/2016 to edit text.(EDC). Modified on 7/5/2016 to edit text.(EDC).
June 21, 2016 Filing 724 STRICKEN FROM THE RECORD Unopposed MOTION for Leave to Exceed Page Limit and Motion to Strike the Incorrect Pleading by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: # 1 Attachment Proposed Order)(Swanson, James) Modified on 7/5/2016 to strike as ordered by the court. (ELW).
June 21, 2016 Filing 723 NOTICE OF NON-COMPLIANCE with LR 7(g) as to #700 Motion for Partial Summary Judgment,. REQUIRED CORRECTION: A combined Motion for Leave to Exceed the Page Limits and Motion to Strike the Incorrect Pleading must filed within 24 hours of this notice. Otherwise, the original filing may be stricken by the Court without further notice. (TNB)
June 21, 2016 Opinion or Order Filing 722 ORDER denying #624 Sealed Motion. Signed by Magistrate Judge Carol B. Whitehurst on 06/21/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
June 20, 2016 Opinion or Order Filing 721 NOTICE and ORDER: Considering the 720 SEALED MOTION Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. filed by CA Funds; IT IS ORDERED that said motion and supporting documents be STRICKEN from the record. Counsel for the CA Funds is instructed to file a motion and supporting memorandum in the public record. NO MORE WHOLESALE SEALING OF DOCUMENTS WILL BE ALLOWED IN THIS CASE, as stated. Signed by Judge James J. Brady on 6/20/2016. (JDL)
June 17, 2016 Filing 720 STRICKEN FROM THE RECORD SEALED MOTION Partial Summary Judgment on De Facto Merger Claims Against Stifel, Nicolaus & Co., Inc. by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: # 1 Statement of Undisputed Facts, # 2 Memorandum in Support, # 3 Exhibit A, # 4 Exhibit B, # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E, # 8 Exhibit F, # 9 Exhibit G, # 10 Exhibit H, # 11 Exhibit I, # 12 Exhibit J, # 13 Exhibit K, # 14 Exhibit L, # 15 Exhibit M, # 16 Exhibit N, # 17 Exhibit O, # 18 Exhibit P, # 19 Exhibit Q)(Berg, Nicholas) (Attachment 10 replaced on 6/20/2016) (JDL). (Attachment 14 replaced on 6/20/2016) (JDL). Modified on 6/20/2016 to correct page orientations (JDL). Modified on 6/20/2016 to remove document stricken from the record, see doc #721 (JDL).
June 16, 2016 Filing 719 SEALED MEMORANDUM in Opposition to #624 SEALED MOTION for Sanctions against the S&Y Parties Pursuant to Rule 37(b) & (c) filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (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, #19 Exhibit S)(Dressel, Robert)
June 16, 2016 Opinion or Order Filing 718 ORDER granting #692 Motion to Set Deadline for Filing Opposition to Motion for Sanctions. Opposition to the CA Funds Motion for Sanctions (Doc. No. 624) by June 16, 2016. Signed by Magistrate Judge Carol B. Whitehurst on 6/16/2016. (Reeves, Teresa)
June 16, 2016 Opinion or Order Filing 717 ORDER: The #710 Motion to Dismiss is TERMINATED from the court's docket, reserving the defendant the right to refile the motion to dismiss if appropriate. Signed by Judge James J. Brady on 6/16/2016. (SGO)
June 16, 2016 Filing 716 RULING on Appeal: The ruling of the magistrate judge dated May 27, 2016 is hereby AFFIRMED. Signed by Judge James J. Brady on 06/15/2016. (ELW)
June 15, 2016 Filing 715 REPLY Memorandum in Support of #585 Daubert MOTION to Exclude Expert Valuation Testimony and Report of Michael D. Youngblood, filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Exhibits)(JDL)
June 15, 2016 Filing 714 REPLY Memorandum in Support of #594 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Christopher Laursen, filed by CA Core Fixed Income Fund, LLC, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibits)(JDL)
June 15, 2016 Filing 713 REPLY in Further Support of #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood, filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(JDL)
June 15, 2016 Filing 712 REPLY in Further Support of #591 MOTION in Limine to Exclude Expert Testimony of Edwin Witham filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (JDL)
June 15, 2016 Opinion or Order Filing 711 ORDER with Special Instructions to Counsel: The following motions for evidentiary hearing be DENIED (docs. 583, 585 and 703). If the court finds that it needs oral argument or an evidentiary hearing on any motion, counsel will be duly notified. Counsel are requested (as to these proceedings) to refrain from filing separate motions for oral argument or evidentiary hearings; it is sufficient that such requests be made in the briefs. IT IS ORDERED that the following motions to file reply briefs are GRANTED (docs. 693, 702, 704 and 706). If the court finds that further briefing is required it will enter an appropriate order. No more requests to exceed the page limits will be granted absent a strong showing of good cause. For example, the court will entertain motions to file consolidated responses in excess of page limits. Signed by Judge James J. Brady on 6/15/2016. (JDL)
June 15, 2016 Filing 710 MOTION to Dismiss CA Funds' Claims Arising out of the Initial Collybus Offering, by Kevin Miller. (Attachments: #1 Memorandum in Support)(LLH)
June 15, 2016 Filing 709 RULE 12(B) Defenses, Answer, and Affirmative Defenses in RESPONSE to #509 Fourth Amended Complaint, by Kevin Miller.(LLH)
June 15, 2016 MOTION(S) REFERRED: #692 MOTION to Set Deadline for Filing Opposition to Motion for Sanctions . This motion is now pending before the USMJ. (JDL)
June 14, 2016 Filing 708 REPLY to #555 MOTION to Bifurcate , #646 Memorandum in Opposition to Motion, filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Luder, David)
June 14, 2016 Filing 707 NOTICE on #700 MOTION for Partial Summary Judgment :. Opposition, limited to 10 pages, to the motion shall be filed on or before 07/01/16. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
June 14, 2016 Filing 706 MOTION for Leave to File Reply Memorandum in Support of Daubert Motion to Exclude Expert Valuation Testimony and Report of Michael D. Youngblood (Doc. 585) by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Pleading;, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Proposed Order)(Tulley, Fredrick)
June 13, 2016 Filing 705 RULING: The Commonwealth defendants' Motion in Limine (Doc. 583) is GRANTED, Jennings' Motion in Limine (Doc. 586) is GRANTED in part, and the S&Y Parties' Motion in Limine (Doc. 601) is GRANTED. Signed by Judge James J. Brady on 6/13/2016. (JDL)
June 13, 2016 Filing 704 MOTION for Leave to File to File Reply Memorandum in Support of Motion in Limine to Exclude Testimony of Christopher Laursen (Doc. 594) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit 1, #4 Exhibit 2, #5 Exhibit 3, #6 Exhibit 4, #7 Exhibit 5, #8 Exhibit 6, #9 Exhibit 7)(Berg, Nicholas)
June 13, 2016 Filing 703 MOTION for Evidentiary Hearing and Oral Argument as to #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order)(Dressel, Robert) Modified on 6/13/2016 to edit text(TNB).
June 13, 2016 Filing 702 Motion for Leave to File Reply Memorandum in Excess of Page Limits in Further Support of Motion In Limine to Exclude Expert Testimony of Dr. Michael Youngblood by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Proposed Pleading; Order)(Dressel, Robert) Modified on 6/13/2016 to edit text.(EDC).
June 10, 2016 Filing 701 MOTION for Rule 72 Review of May 27, 2016 Order (Doc. 642) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Berg, Nicholas)
June 10, 2016 Filing 700 Plaintiffs' MOTION for Partial Summary Judgment by All Plaintiffs. (Attachments: #1 Statement of Undisputed Facts, #2 Memorandum in Support, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G)(Swanson, James) Modified on 6/10/2016 to edit text (TNB).
June 10, 2016 Filing 699 REPLY in Support of #554 SEALED MOTION to Dismiss the CA Funds' Veil Piercing and Alter Ego Claims filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (JDL)
June 10, 2016 Filing 698 REPLY to #601 MOTION in Limine to Exclude Testimony by Plaintiffs' Expert Philip Monteleone filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (LLH)
June 10, 2016 Opinion or Order Filing 697 ORDER granting #690 MOTION for Leave to File Reply in Support of Stifel Entities' Motion to Dismiss Veil Piercing and Alter Ego Claims filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc. Signed by Judge James J. Brady on 6/9/2016. (JDL)
June 10, 2016 Opinion or Order Filing 696 ORDER granting #691 MOTION for Leave to File Reply Memorandum in Support of #601 Daubert Motion to Exclude Testimony By Plaintiffs' Expert Philip Monteleone. Signed by Judge James J. Brady on 6/9/2016. (LLH)
June 9, 2016 Filing 695 REPLY in Further Support of #556 MOTION to Strike Jury Demand as to Count Five of the CA Funds' Fourth Amended Complaint filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (LLH)
June 9, 2016 Opinion or Order Filing 694 ORDER granting #689 MOTION for Leave to File Reply in Further Support of Motion to Strike Jury Demand As To Count Five of the CA Funds' Fourth Amended Complaint. Signed by Judge James J. Brady on 6/9/2016. (LLH)
June 9, 2016 Filing 693 MOTION for Leave to File Reply in Further Support of Motion In Limine to Exclude Expert Testimony of Edwin Witham by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Proposed Pleading; ORDER)(Dressel, Robert)
June 9, 2016 Filing 692 MOTION to Set Deadline for Filing Opposition to Motion for Sanctions by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
June 9, 2016 Filing 691 MOTION for Leave to File Reply Memorandum in Support of Daubert Motion to Exclude Testimony By Plaintiffs' Expert Philip Monteleone by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Proposed Pleading; Order)(Berger, Jamie)
June 8, 2016 Filing 690 MOTION for Leave to File Reply in Support of Stifel Entities' Motion to Dismiss Veil Piercing and Alter Ego Claims by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Proposed Pleading; Order)(Luder, David)
June 8, 2016 Filing 689 MOTION for Leave to File Reply in Further Support of Motion to Strike Jury Demand As To Count Five of the CA Funds' Fourth Amended Complaint by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Proposed Pleading; Order)(Kupperman, Stephen)
June 8, 2016 Filing 684 RULING denying #581 Motion in Limine. Signed by Judge James J. Brady on 6/7/2016. (SGO)
June 7, 2016 Opinion or Order Filing 688 ORDER granting #665 Motion to Withdraw as Attorney. Attorney David N. Luder is withdrawn as counsel of record for Defendants Stone & Youngberg, LLC and Anthony Guaimano. Signed by Magistrate Judge Carol B. Whitehurst on 6/7/2016. (Reeves, Teresa)
June 7, 2016 Opinion or Order Filing 687 ORDER granting #664 Motion to Withdraw as Attorney. Attorney George C. Freeman, III is withdrawn; granting #664 Motion to Enroll Additional Attorney. Signed by Magistrate Judge Carol B. Whitehurst on 6/7/2016. (Reeves, Teresa)
June 7, 2016 Opinion or Order Filing 686 ORDER granting #663 Motion to Withdraw as Attorney. Attorney Jamie L. Berger is withdrawn; granting #663 Motion to Enroll Additional Attorney. Signed by Magistrate Judge Carol B. Whitehurst on 6/7/2016. (Reeves, Teresa)
June 7, 2016 Opinion or Order Filing 685 ORDER granting #661 Motion to Withdraw as Attorney. Attorney Robert J. Dressel is withdrawn; granting #661 Motion to Enroll as Attorney. Added attorney Stephen Henry Kupperman for Stifel Financial Corp. and Stifel, Nicolaus & Company, Inc. Signed by Magistrate Judge Carol B. Whitehurst on 6/7/2016. (Reeves, Teresa)
June 7, 2016 Filing 683 CONSOLIDATED MEMORANDUM in Opposition to #576 MOTION in Limine to Exclude Evidence Of or Reference to Regulatory Complaints and Settlements, #577 MOTION in Limine to Exclude Evidence of or Reference to Regulatory Complaints and Settlements regarding Anthony Guaimano filed by CA High Yield Fund, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)(LLH)
June 7, 2016 Opinion or Order Filing 682 ORDER granting #668 Motion for Leave to File Consolidated Memorandum in Opposition to #576 , #577 Motions to exclude evidence of or reference to regulatory complaints or settlements by the S&Y Parties. Signed by Judge James J. Brady on 6/7/2016. (LLH)
June 7, 2016 Filing 681 REPLY in Further Support of #553 MOTION to Dismiss for Failure to State a Claim Arising Out of the Initial Collybus Offering filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (LLH)
June 7, 2016 Opinion or Order Filing 680 ORDER granting #679 MOTION for Leave to File Reply in Further Support of Motion to Dismiss the CA Funds' Claims Arising Out of the Initial Collybus Offering. Signed by Judge James J. Brady on 6/7/2016. (LLH)
June 6, 2016 Filing 679 MOTION for Leave to File Reply in Further Support of Motion to Dismiss the CA Funds' Claims Arising Out of the Initial Collybus Offering by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Proposed Pleading; Order)(Dressel, Robert)
June 6, 2016 MOTION(S) REFERRED: #664 Ex Parte MOTION for George C. Freeman, III to Withdraw as Attorney Ex Parte MOTION to Enroll Stephen H. Kupperman as Additional Attorney , #663 Ex Parte MOTION for Jamie L. Berger to Withdraw as Attorney Ex Parte MOTION to Enroll Stephen H. Kupperman as Additional Attorney , #665 Ex Parte MOTION for David N. Luder to Withdraw as Attorney , #661 Ex Parte MOTION for Robert J. Dressel to Withdraw as Attorney Ex Parte MOTION to Enroll Stephen H. Kupperman as Attorney . This motion is now pending before the USMJ. (SGO)
June 3, 2016 Filing 678 MEMORANDUM in Opposition to #592 MOTION in Limine to Exclude Testimony of S&Y Parties Expert J.T. Atkins filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Dressel, Robert)
June 3, 2016 Filing 677 MEMORANDUM in Opposition to #593 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Daniel Van Vleet filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc. (Attachments: #1 Exhibit A)(Dressel, Robert) Modified to rotate pages on 6/6/2016 (SGO).
June 3, 2016 Filing 676 MEMORANDUM in Opposition to #597 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Thomas Hilton filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Dressel, Robert)
June 3, 2016 Filing 675 MEMORANDUM in Opposition to #578 MOTION in Limine to Exclude Any References to Anthony Guaimano's 30 Year Old Plea to a Prior Drug Charge filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A)(Berg, Nicholas)
June 3, 2016 Filing 674 MEMORANDUM in Opposition to #594 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Christopher Laursen filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (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)(Dressel, Robert) Modified to rotate pages on 6/6/2016 (SGO).
June 3, 2016 Filing 673 MEMORANDUM in Opposition to #598 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Andrew Favret filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Dressel, Robert)
June 3, 2016 Filing 672 MEMORANDUM in Opposition to #588 MOTION in Limine to Exclude Evidence as to One Witness' Opinion of Another Witness' Testimony filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Berg, Nicholas)
June 3, 2016 Filing 671 MEMORANDUM in Opposition to #587 MOTION in Limine to Exclude Statements Made by Cathy Poe Regarding Stifel Financial's Assumption of Liabilities filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Berg, Nicholas) Modified to rotate pages on 6/6/2016 (SGO).
June 3, 2016 Filing 670 MEMORANDUM in Opposition to #600 MOTION in Limine to Strike the S&Y Parties Untimely Supplemental Expert Reports filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)(Dressel, Robert)
June 3, 2016 Filing 669 MEMORANDUM in Opposition to #599 MOTION in Limine to Exclude Evidence and Argument that the Absence of an Enforcement Action is Evidence of Lack of Wrongdoing filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A)(Dressel, Robert)
June 3, 2016 Filing 668 MOTION for Leave to File Consolidated Memorandum in Opposition to Motions to Exclude Evidence or any Reference to Regulatory Complaints and Settlements by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G)(Berg, Nicholas) Modified to edit text on 6/6/2016 (SGO).
June 3, 2016 Filing 667 MEMORANDUM in Opposition to #591 MOTION in Limine to Exclude Expert Testimony of Edwin Witham filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (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)(Berg, Nicholas) Modified to rotate pages on 6/6/2016 (SGO).
June 3, 2016 Filing 666 MEMORANDUM in Opposition to #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood, #585 MOTION in Limine MOTION for Evidentiary Hearing filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (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, #19 Exhibit S, #20 Exhibit T, #21 Exhibit U, #22 Exhibit V, #23 Exhibit W, #24 Exhibit X, #25 Exhibit Y, #26 Exhibit Z, #27 Exhibit AA, #28 Exhibit BB)(Berg, Nicholas) Modified to rotate pages on 6/6/2016 (SGO). (Attachment 3 replaced on 5/3/2017) (TMR).
June 3, 2016 Filing 665 Ex Parte MOTION for David N. Luder to Withdraw as Attorney by Anthony Guaimano, Stone & Youngberg, LLC. (Luder, David)
June 3, 2016 Filing 664 Ex Parte MOTION for George C. Freeman, III to Withdraw as Attorney , Ex Parte MOTION to Enroll Stephen H. Kupperman as Additional Attorney by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Freeman, George)
June 3, 2016 Filing 663 Ex Parte MOTION for Jamie L. Berger to Withdraw as Attorney , Ex Parte MOTION to Enroll Stephen H. Kupperman as Additional Attorney by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Berger, Jamie)
June 3, 2016 Filing 662 MEMORANDUM in Opposition to #589 MOTION in Limine to Exclude Reference to the Stifel Entities' New Trial Attorney filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
June 3, 2016 Filing 661 Ex Parte MOTION for Robert J. Dressel to Withdraw as Attorney , Ex Parte MOTION to Enroll Stephen H. Kupperman as Attorney by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Dressel, Robert)
June 3, 2016 Filing 660 MEMORANDUM in Opposition to #586 MOTION in Limine to Exclude Expert Reports and Testimony of Theodore Urban and Philip Monteleone and Portions of the Expert Report and Proposed Testimony of Andrew Favret filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Berg, Nicholas)
June 3, 2016 Filing 659 MEMORANDUM in Opposition to #581 MOTION in Limine to Exclude Testimony by Plaintiffs' Purported Expert Theodore Urban filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Berg, Nicholas)
June 3, 2016 Filing 658 MEMORANDUM in Opposition to #584 MOTION in Limine MOTION for Evidentiary Hearing filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Berg, Nicholas)
June 3, 2016 Filing 657 MEMORANDUM in Opposition to #583 MOTION in Limine, MOTION for Evidentiary Hearing, #601 MOTION in Limine to Exclude Testimony by Plaintiffs' Expert Philip Monteleone, #586 MOTION in Limine to Exclude Expert Reports and Testimony of Theodore Urban and Philip Monteleone and Portions of the Expert Report and Proposed Testimony of Andrew Favret filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (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)(Berg, Nicholas) (Attachment 6 & 8 replaced on 6/6/2016 to correct page orientation) (EDC). Modified on 6/6/2016 (EDC). (Attachment 2 replaced on 5/3/2017) (TMR).
June 3, 2016 Opinion or Order Filing 656 ORDER granting #579 Motion for Clarification of Magistrate Judge Whitehurst's May Order - Doc #547 to the extent as stated in this order. Signed by Magistrate Judge Carol B. Whitehurst on 6/3/16. (Reeves, Teresa)
June 3, 2016 Filing 652 MEMORANDUM in Opposition to #590 MOTION in Limine to Exclude Irrelevant and Prejudicial Evidence Relating to Assertions of Privilege by the S&Y Parties filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Berg, Nicholas)
June 2, 2016 Filing 655 REPLY to #623 Memorandum in Opposition to Motion, regarding #606 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit)(Reeves, Teresa)
June 2, 2016 Filing 654 REPLY to #623 Memorandum in Opposition to Motion re: #613 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines filed by Walter A Morales, III. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Reeves, Teresa)
June 2, 2016 Opinion or Order Filing 653 ORDER denying #606 Motion to Compel; denying #606 Motion to Extend Discovery Deadlines; denying #613 Motion to Compel; denying #613 Motion to Extend Discovery Deadlines; granting #631 MOTION for Leave to File Reply Memorandum in Support of Motion to Compel the Depositions of William Yano and Yiyan Gao filed by Walter A Morales, III, Commonwealth Advisors, Inc. ; granting #639 MOTION for Leave to File S&Y Parties' Reply in Further Support of their Motion to Compel the Depositions of William Yano and Yiyan Gao filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano. Signed by Magistrate Judge Carol B. Whitehurst on 6/2/2016. (Reeves, Teresa)
June 1, 2016 Filing 651 Minutes of Court/Minute Entry for proceedings held before Magistrate Judge Carol B. Whitehurst: Motion Hearing held by telephone conference on 6/1/2016 re #613 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines filed by Walter A Morales, III, Commonwealth Advisors, Inc., and #606 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano. (Reeves, Teresa)
June 1, 2016 Filing 650 RULING : The #648 Appeal involves the magistrate judge compelling production of documents previously produced in a concurrent action before Judge DeGravelles. After carefully reviewing this matter, the Court finds no error of law or abuse of discretion. Accordingly, the #604 ruling of the magistrate judge dated 5/16/2016 is hereby AFFIRMED. Signed by Judge James J. Brady on 6/1/2016. (LLH)
June 1, 2016 Opinion or Order Filing 649 ORDER granting #643 Joint Motion to Clarify and Limit Motion to Dismiss. There is no need to preserve rights for appeal. Signed by Judge James J. Brady on 6/1/2016. (LLH)
May 31, 2016 Filing 648 MOTION to Review Magistrate Judge's Ruling on the CA Funds' Motion to Compel by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Proposed Pleading; Proposed Order)(Milazzo, John)
May 31, 2016 Filing 647 MEMORANDUM in Opposition to #552 MOTION to Dismiss for Failure to State a Claim Fourth Amended Complaint filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 31, 2016 Filing 646 MEMORANDUM in Opposition to #555 MOTION to Bifurcate filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 31, 2016 Opinion or Order Filing 645 ORDER: The motions to dismiss (Docs. 460 & 462) are TERMINATED from the court's docket, reserving the defendants the right to refile the motion to dismiss is appropriate. Signed by Judge James J. Brady on 5/31/2016. (JDL)
May 31, 2016 Opinion or Order Filing 644 ORDER granting #641 Motion for Leave to File a Consolidated Memorandum in Opposition to #596 Motions to Exclude Testimony of Dr. Michael Youngblood filed by the S&Y Parties and #585 Motion to Exclude filed by Commonwealth Advisors, Inc. and Walter Morales in Excess of Page Limit. The CA Funds may file a consolidated memorandum not to exceed 15 pages. Signed by Judge James J. Brady on 5/31/2016. (LLH)
May 31, 2016 Filing 643 Joint MOTION to Clarify and Limit Motion to Dismiss Filed by Michael Jennings by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Michael Jennings, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
May 31, 2016 Filing 641 MOTION for Leave to File Excess Pages in Consolidated Opposition to Two Motions by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
May 31, 2016 Filing 640 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings Motion Hearing hearing before Judge Carol B. Whitehurst held on 5/13/2016. Court Reporter: Cathleen E. Marquardt. Phone Number: (337) 593-5223. NOTICE RE REDACTION OF TRANSCRIPTS: The parties have five (5) business days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. The policy is located on our website at www.lamd.uscourts.gov. 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 6/20/2016. Redacted Transcript Deadline set for 6/28/2016. Release of Transcript Restriction set for 8/26/2016. (LLH)
May 27, 2016 Opinion or Order Filing 642 ORDER re: 562 In Camera Review Submission. IT IS ORDERED the #499 SEALED MOTION to Compel Discovery Responses is DENIED as far as it seeks to require the S&Y Parties to respond to Plaintiff's request for interrogatories and requests for admissions, and questions related to the Stifel entities' 30(b)(6) deposition with privileged communications. Signed by Magistrate Judge Carol B. Whitehurst on 5/27/2016. (Reeves, Teresa) Modified to edit text and create link to proper filing on 6/1/2016. NEF regenerated. (Reeves, Teresa).
May 27, 2016 Filing 639 MOTION for Leave to File S&Y Parties' Reply in Further Support of their Motion to Compel the Depositions of William Yano and Yiyan Gao by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Exhibit 1, #3 Proposed Pleading; Order)(Dressel, Robert)
May 26, 2016 Opinion or Order Filing 638 ORDER granting #635 Emergency Motion to Stay the Magistrate Judge's Ruling on the CA Funds' Motion to Compel. Signed by Judge James J. Brady on 5/26/2016. (SGO)
May 26, 2016 Filing 637 MEMORANDUM in Opposition to #635 Emergency MOTION to Stay Magistrate Judge's Ruling on CA Funds' Motion to Compel filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 26, 2016 Filing 636 MOTION for Expedited Hearing on #635 Emergency MOTION to Stay Magistrate Judge's Ruling on CA Funds' Motion to Compel by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Order)(Milazzo, John)
May 26, 2016 Filing 635 Emergency MOTION to Stay Magistrate Judge's Ruling on CA Funds' Motion to Compel by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support Memorandum in Support, #2 Proposed Pleading; Proposed Order)(Milazzo, John)
May 25, 2016 Filing 634 MEMORANDUM in Opposition to #556 MOTION to Strike Jury Demand as to Count Five of the CA Funds' Fourth Amended Complaint filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 25, 2016 Filing 633 MEMORANDUM in Opposition to #554 MOTION to Dismiss for Failure to State a Claim SEALED MOTION to Dismiss the CA Funds' Veil Piercing and Alter Ego Claims filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 25, 2016 Filing 632 MEMORANDUM in Opposition to #540 MOTION to Dismiss for Failure to State a Claim and for Lack of Jurisdiction filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A)(Berg, Nicholas)
May 25, 2016 Filing 631 MOTION for Leave to File Reply Memorandum in Support of Motion to Compel the Depositions of William Yano and Yiyan Gao by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Pleading;, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Proposed Order)(Tulley, Fredrick)
May 25, 2016 Opinion or Order Filing 630 NOTICE and ORDER: The sealed motion (doc. 480) by the CA Funds to strike exhibits; the sealed motion (doc. 625) by the CA Funds to strike exhibits; the motion (doc. 627) by the CA Funds for leave to file opposition exceeding page limits; and the motion (doc. 628) by the S&Y Parties for leave to file opposition exceeding page limits are all hereby DENIED. Signed by Judge James J. Brady on 5/25/2016. (JDL)
May 24, 2016 Filing 629 MEMORANDUM in Opposition to #595 MOTION in Limine to Strike the Untimely Expert Report of Dr. Joseph Mason and Exclude his Testimony filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Exhibit A)(Tulley, Fredrick)
May 24, 2016 Filing 628 MOTION for Leave to File Excess Pages in Opposition to the CA Funds' Motion in Limine to Strike the S&Y Parties' Untimely Supplemental Expert Reports by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
May 23, 2016 Filing 627 MOTION for Leave to File Excess Pages in Opposition to Rule 12(b)(6) Motion to Dismiss by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;)(Berg, Nicholas) Modified to edit text on 5/24/2016 (SGO). Modified on 5/25/2016 to restrict view of document which was denied leave to file (JDL).
May 23, 2016 Filing 626 MEMORANDUM in Opposition to #553 MOTION to Dismiss for Failure to State a Claim Arising Out of the Initial Collybus Offering filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 23, 2016 Filing 625 SEALED MOTION to Strike Exhibits Attached to Rule 12(b)(6) Motion to Dismiss (Doc. 554) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F)(Berg, Nicholas) Modified to rotate pages on 5/23/2016 (SGO).
May 23, 2016 Filing 624 SEALED MOTION for Sanctions against the S&Y Parties Pursuant to Rule 37(b) & (c) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P, #18 Exhibit Q, #19 Exhibit R, #20 Exhibit S, #21 Exhibit T, #22 Exhibit U)(Berg, Nicholas) Modified to rotate pages on 5/23/2016 (SGO).
May 23, 2016 MOTION(S) REFERRED: #579 The S&Y Parties' Motion for Clarification of Magistrate Judge Whitehurst's May Order (Doc. No. 547). This motion is now pending before the USMJ. (ELW)
May 20, 2016 Filing 623 MEMORANDUM in Opposition to #606 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines , #613 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)(Reeves, Teresa)
May 20, 2016 Opinion or Order Filing 622 ORDER granting #616 Motion for Leave to File Consolidated Memorandum in Opposition in Excess of Page Limit. Signed by Magistrate Judge Carol B. Whitehurst on 5/20/2016. (Reeves, Teresa)
May 19, 2016 Opinion or Order Filing 621 ORDER granting #580 Motion to Substitute Pleading (Doc. No. 579). Signed by Magistrate Judge Carol B. Whitehurst on 5/19/2016. (Reeves, Teresa)
May 19, 2016 Opinion or Order Filing 620 ORDER granting #607 Motion for Expedited Hearing. Motion Hearing by telephone set for 6/1/2016 at 11:00 AM before Magistrate Judge Carol B. Whitehurst re #606 Motion to Compel and Extend Discovery Deadlines and #613 MOTION to Compel Depositions and Extension of Discovery Deadlines. Counsel for the S&Y parties shall initiate the call joining all parties before joining the Court. Any opposition to the Motions to Compel shall be filed by May 24, 2016 and any motion seeking leave to file a reply shall be filed by May 27, 2016. Signed by Magistrate Judge Carol B. Whitehurst on 5/19/2016. (Reeves, Teresa)
May 19, 2016 Filing 619 NOTICE on #591 MOTION in Limine to Exclude Expert Testimony of Edwin Witham, #597 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Thomas Hilton, #598 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Andrew Favret, #593 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Daniel Van Vleet, #581 MOTION in Limine to Exclude Testimony by Plaintiffs' Purported Expert Theodore Urban, #586 MOTION in Limine to Exclude Expert Reports and Testimony of Theodore Urban and Philip Monteleone and Portions of the Expert Report and Proposed Testimony of Andrew Favret, #594 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Christopher Laursen, #596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood, #601 MOTION in Limine to Exclude Testimony by Plaintiffs' Expert Philip Monteleone, #583 MOTION in Limine as to Monteleleone , #585 MOTION in Limine as to Youngblood , #584 MOTION in Limine as to Witham , #592 MOTION in Limine to Exclude Testimony of S&Y Parties Expert J.T. Atkins :. Opposition, limited to TEN pages, to the motion shall be filed on or before 06/03/16. THE COURT WILL DECIDE AT A LATER DATE WHETHER TO ALLOW REPLY BRIEF(S) AND/OR SET AN EVIDENTIARY HEARING ON SAID MOTIONS(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
May 19, 2016 Filing 618 NOTICE on #578 MOTION in Limine to Exclude Any References to Anthony Guaimano's 30 Year Old Plea to a Prior Drug Charge, #588 MOTION in Limine to Exclude Evidence as to One Witness' Opinion of Another Witness' Testimony, #595 MOTION in Limine to Strike the Untimely Expert Report of Dr. Joseph Mason and Exclude his Testimony, #590 MOTION in Limine to Exclude Irrelevant and Prejudicial Evidence Relating to Assertions of Privilege by the S&Y Parties, #577 MOTION in Limine to Exclude Evidence of or Reference to Regulatory Complaints and Settlements regarding Anthony Guaimano, #589 MOTION in Limine to Exclude Reference to the Stifel Entities' New Trial Attorney, #576 MOTION in Limine to Exclude Evidence Of or Reference to Regulatory Complaints and Settlements, #600 MOTION in Limine to Strike the S&Y Parties Untimely Supplemental Expert Reports, #599 MOTION in Limine to Exclude Evidence and Argument that the Absence of an Enforcement Action is Evidence of Lack of Wrongdoing, #587 MOTION in Limine to Exclude Statements Made by Cathy Poe Regarding Stifel Financial's Assumption of Liabilities :. Opposition, limited to FIVE pages, to the motion shall be filed on or before 06/03/16. THESE MOTIONS WILL BE SUBMITTED WITHOUT FURTHER BRIEFING OR HEARING.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
May 19, 2016 Opinion or Order Filing 617 ORDER granting #614 Motion to Clarify May 16th Order. Commonwealth Advisors, Inc. and Walter Morales are to produce the documents as provided in the Courts May 16, 2016 Order within ten (10) days of the date of the entry of that Order, or by May 26, 2016. Signed by Magistrate Judge Carol B. Whitehurst on 5/19/2016. (Reeves, Teresa)
May 19, 2016 Filing 616 MOTION for Leave to File Excess Pages in Opposition to Motions to Compel and Motions to Extend the Discovery Deadline filed by the S&Y Parties and the Commonwealth Defendants by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G)(Berg, Nicholas) (Attachment 3 replaced on 4/25/2017) (TMR).
May 19, 2016 Motions No Longer Referred: #580 MOTION to Substitute Pleading (Doc. No. 579) . This motion is now pending before the USDJ. (NLT)
May 19, 2016 MOTION(S) REFERRED: #580 MOTION to Substitute Pleading (Doc. No. 579) . This motion is now pending before the USMJ. (NLT)
May 19, 2016 MOTION(S) REFERRED: #616 MOTION for Leave to File Excess Pages in Opposition to Motions to Compel and Motions to Extend the Discovery Deadline filed by the S&Y Parties and the Commonwealth Defendants. This motion is now pending before the USMJ. (TNB)
May 18, 2016 Opinion or Order Filing 615 RULING denying #532 Motion for Rule 72 Review of Magistrate Judge's Order. The Ruling of the Magistrate Judge of 4/25/2016 is hereby AFFIRMED. Signed by Judge James J. Brady on 5/18/2016. (LLH)
May 18, 2016 Filing 614 MOTION to Clarify May 16th Order by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 18, 2016 Filing 613 MOTION to Compel Depositions, MOTION for Extension of Discovery Deadlines by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Rule 37(a)(1) Certificate, #2 Memorandum in Support, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Proposed Order)(Tulley, Fredrick)
May 18, 2016 Filing 611 S&Y Parties' Reply in Further Support of In Camera Submission to Magistrate Judge Whitehurst filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Berger, Jamie) Modified on 5/18/2016 to edit text(EDC).
May 18, 2016 MOTION(S) REFERRED: #614 MOTION to Clarify May 16th Order . This motion is now pending before the USMJ. (TNB)
May 18, 2016 MOTION(S) REFERRED: #607 MOTION for Expedited Hearing on #606 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines . This motion is now pending before the USMJ. (NLT)
May 18, 2016 MOTION(S) REFERRED: #607 MOTION for Expedited Hearing on #606 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines , #606 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines . This motion is now pending before the USMJ. (LLH)
May 18, 2016 MOTION(S) REFERRED: #613 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines . This motion is now pending before the USMJ. (EDC)
May 17, 2016 Opinion or Order Filing 612 ORDER granting #605 Motion to Extend Discovery Deadlines for the Limited Purpose of Obtaining Discovery Responses Compelled by the Court and Taking Certain Depositions. Signed by Magistrate Judge Carol B. Whitehurst on 5/17/2016. (Reeves, Teresa)
May 17, 2016 Opinion or Order Filing 610 ORDER: granting #609 MOTION to Substitute Pleading. Signed by Judge James J. Brady on 05/17/2016. (ELW)
May 17, 2016 Filing 609 MOTION to Substitute Pleading by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Pleading;, #2 Proposed Order)(Berg, Nicholas)
May 17, 2016 Filing 608 RESPONSE to the S&Y Parties' in Camera Submission (Doc. 562) filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 17, 2016 MOTION(S) REFERRED: #605 MOTION for Extension of Discovery Deadlines for Limited Purposes of Obtaining Discovery Responses Compelled by the Court and Taking Certain Depositions. This motion is now pending before the USMJ. (LLH)
May 16, 2016 Filing 607 MOTION for Expedited Hearing on #606 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order)(Dressel, Robert)
May 16, 2016 Filing 606 MOTION to Compel Depositions, MOTION for Extension of Discovery Deadlines by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Attachment Rule 37(a) Certificate, #2 Memorandum in Support, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Proposed Pleading; Order)(Dressel, Robert)
May 16, 2016 Filing 605 MOTION for Extension of Discovery Deadlines for Limited Purposes of Obtaining Discovery Responses Compelled by the Court and Taking Certain Depositions by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Proposed Order)(Berg, Nicholas)
May 16, 2016 Opinion or Order Filing 604 ORDER granting #520 Motion to Compel. Signed by Magistrate Judge Carol B. Whitehurst on 5/16/2016. (Reeves, Teresa)
May 16, 2016 Filing 602 RESPONSE to Discovery Request from S&Y Parties, Letter to Magistrate Judge Whitehurst by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Dressel, Robert)
May 13, 2016 Filing 603 Minute Entry/Minutes of Court for proceedings held before Magistrate Judge Carol B. Whitehurst: Motion Hearing held via telephone conference on 5/13/2016 re #520 MOTION to Compel Production of Documents by Commonwealth Advisors, Inc. and Walter Morales filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC. (Reeves, Teresa)
May 13, 2016 Filing 601 Daubert Motion to Exclude Testimony by Plaintiffs' Expert Philip Monteleone by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Proposed Pleading; Order)(Dressel, Robert) Modified on 5/16/2016 to edit text (EDC). (Attachment 3 replaced on 5/16/2016) (EDC). Modified on 5/16/2016 to correct page orientation. (EDC).
May 13, 2016 Filing 600 MOTION in Limine to Strike the S&Y Parties Untimely Supplemental Expert Reports by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D)(Berg, Nicholas) (Attachment 1 replaced on 5/18/2016 per Chamber's order to Substitute) (ELW).
May 13, 2016 Filing 599 MOTION in Limine to Exclude Evidence and Argument that the Absence of an Investigation or Enforcement Action by Securities Regulators is Evidence of Lack of Wrongdoing by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A)(Berg, Nicholas) Modified on 5/16/2016 to edit text(EDC). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
May 13, 2016 Filing 598 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Andrew Favret by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Berg, Nicholas) Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
May 13, 2016 Filing 597 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Thomas Hilton by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K)(Berg, Nicholas) (Attachment 2 replaced on 5/16/2016 ) (EDC). Modified on 5/16/2016 to correct page orientation(EDC). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
May 13, 2016 Filing 596 MOTION in Limine to Exclude Expert Testimony of Dr. Michael Youngblood by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Proposed Pleading; Order)(Dressel, Robert) Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
May 13, 2016 Filing 595 MOTION in Limine to Strike the Untimely Expert Report of Dr. Joseph Mason and Exclude his Testimony by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A)(Berg, Nicholas)
May 13, 2016 Filing 594 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Christopher Laursen by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O)(Berg, Nicholas) Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
May 13, 2016 Filing 593 MOTION in Limine to Exclude Testimony of S&Y Parties Expert Daniel Van Vleet by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Berg, Nicholas) (Attachment 4 replaced on 4/25/2017) (TMR). Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
May 13, 2016 Filing 592 MOTION in Limine to Exclude Testimony of S&Y Parties Expert J.T. Atkins by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Berg, Nicholas) (Attachment 3 replaced on 5/3/2017) (TMR). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
May 13, 2016 Filing 591 MOTION in Limine to Exclude Expert Testimony of Edwin Witham by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Proposed Pleading; Order)(Dressel, Robert)
May 13, 2016 Filing 590 MOTION in Limine to Exclude Irrelevant and Prejudicial Evidence Relating to Assertions of Privilege by the S&Y Parties by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert)
May 13, 2016 Filing 589 MOTION in Limine to Exclude Reference to the Stifel Entities' New Trial Attorney by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert)
May 13, 2016 Filing 588 MOTION in Limine to Exclude Evidence as to One Witness' Opinion of Another Witness' Testimony by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Proposed Pleading; Order)(Dressel, Robert)
May 13, 2016 Filing 587 MOTION in Limine to Exclude Statements Made by Cathy Poe Regarding Stifel Financial's Assumption of Liabilities by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Proposed Pleading; Order)(Dressel, Robert)
May 13, 2016 Filing 586 MOTION to Strike Expert Reports and Testimony of Theodore Urban and Philip Monteleone and Portions of the Expert Report and Proposed Testimony of Andrew Favret by Michael Jennings. (Attachments: #1 Memorandum in Support, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5, #7 Exhibit 6, #8 Proposed Pleading; Order)(Hanna, Sandra) (Attachment 4 replaced on 5/16/2016 ) (EDC). Modified on 5/16/2016 to correct page orientation (EDC). Modified on 5/16/2016 to edit text(EDC).
May 13, 2016 Filing 585 Daubert Motion to Exclude Expert Valuation Testimony and Report of Michael D. Youngblood and Request for Evidentiary Hearing by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Proposed Order)(Tulley, Fredrick) Modified on 5/16/2016 to edit text (EDC). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
May 13, 2016 Filing 584 Daubert Motion to Exclude Expert Testimony and Report of Edwin M. Witham and Request for Evidentiary Hearing by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Proposed Order)(Tulley, Fredrick) Modified on 5/16/2016 to edit text(EDC). Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
May 13, 2016 Filing 583 Daubert MOTION to Exclude Expert Testimony and Report of Philip P. Montelone and Request for Evidentiary Hearing by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Proposed Order)(Tulley, Fredrick) Modified on 5/16/2016 to edit text(EDC). Modified on 12/2/2019 to un-terminate motion per RD 957(SWE).
May 13, 2016 Filing 582 RESPONSE to #579 Response to Discovery, #580 MOTION to Substitute Pleading (Doc. No. 579) Response to the S&Y Parties Motion for Clarification of Judge Whitehurst's May 6th Order filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 13, 2016 Filing 581 MOTION in Limine to Exclude Testimony by Plaintiffs' Purported Expert Theodore Urban by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Proposed Pleading; Order)(Dressel, Robert)
May 13, 2016 Filing 580 MOTION to Substitute Pleading (Doc. No. 579) by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Motion for Clarification, #2 Proposed Pleading; Order)(Dressel, Robert)
May 13, 2016 Filing 579 The S&Y Parties' Motion for Clarification of Magistrate Judge Whitehurst's May Order (Doc. No. 547) by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; order, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E)(Dressel, Robert) Modified on 5/13/2016 to edit text (EDC) (Main Document 579 replaced on 5/23/2016) (ELW). Modified on 5/23/2016 per motion to substitute and to correct text entry (ELW). Modified on 5/23/2016 to edit motion relief (Reeves, Teresa).
May 12, 2016 Filing 578 MOTION in Limine to Exclude Any References to Anthony Guaimano's 30 Year Old Plea to a Prior Drug Charge by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert)
May 12, 2016 Filing 577 MOTION in Limine to Exclude Evidence of or Reference to Regulatory Complaints and Settlements regarding Anthony Guaimano by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Proposed Pleading; Order)(Dressel, Robert) Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
May 12, 2016 Filing 576 MOTION in Limine to Exclude Evidence Of or Reference to Regulatory Complaints and Settlements by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Proposed Pleading; Order)(Dressel, Robert) Modified on 12/2/2019 to un-terminate motion per RD 957 (SWE).
May 12, 2016 Opinion or Order Filing 575 RULING on #558 Appeal and Rule 72(a) Review of Magistrate Judge's Order Compelling Production of Privileged Documents and Information. The Ruling of the magistrate judge dated 5/6/2016 is hereby AFFIRMED. As per this Courts #549 Order, the defendants must comply with the magistrate judge's ruling by noon on Friday, 5/13/2016. Signed by Judge James J. Brady on 5/12/2016. (LLH)
May 12, 2016 Filing 574 NOTICE on #554 MOTION to Dismiss for Failure to State a Claim SEALED MOTION to Dismiss the CA Funds' Veil Piercing and Alter Ego Claims , #553 MOTION to Dismiss for Failure to State a Claim Arising Out of the Initial Collybus Offering, #556 MOTION to Strike Jury Demand as to Count Five of the CA Funds' Fourth Amended Complaint, #555 MOTION to Bifurcate , #552 MOTION to Dismiss for Failure to State a Claim Fourth Amended Complaint :. Opposition, limited to 10 pages, to the motion shall be filed on or before 05/31/16. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
May 12, 2016 Filing 573 REPLY Memorandum in Support of #558 MOTION to Appeal and Rule 72(a) Review of Magistrate Judge's Order Compelling Production of Privileged Documents and Information filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (LLH)
May 12, 2016 Opinion or Order Filing 572 ORDER granting #571 MOTION for Leave to File Reply Memorandum in Support of S&Y Parties' #558 Motion for Rule 72(a) Review of Magistrate Judge's Order Compelling Disclosure of Privileged Documents and Information. Signed by Judge James J. Brady on 5/12/2016. (LLH)
May 12, 2016 Filing 571 MOTION for Leave to File Reply Memorandum in Support of S&Y Parties' Motion for Rule 72(a) Review of Magistrate Judge's Order Compelling Disclosure of Privileged Documents and Information by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; Reply Memorandum)(Dressel, Robert)
May 12, 2016 Filing 570 REPLY Memorandum in Support of #532 MOTION to Appeal and Rule 72(a) Review of Magistrate Judge's 4/25/2016 Order filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (LLH) Modified on 5/12/2016 to edit text (LLH).
May 12, 2016 Opinion or Order Filing 569 ORDER granting #568 MOTION for Leave to File Reply Memorandum in Support of S&Y Parties' #532 Motion for Rule 72 Review of Magistrate Judge's 4/25/2016 Order. Signed by Judge James J. Brady on 5/12/2016. (LLH) Modified on 5/12/2016 to edit text (LLH).
May 11, 2016 Filing 568 MOTION for Leave to File Reply Memorandum in Support of S&Y Parties' Motion for Rule 72 Review of Magistrate Judge's April 25, 2016 Order by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Reply Memorandum, #2 Proposed Pleading; Order)(Dressel, Robert)
May 11, 2016 Filing 567 MEMORANDUM in Opposition to #558 MOTION Appeal and Rule 72(a) Review of Magistrate Judge's Order Compelling Production of Privileged Documents and Information filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Berg, Nicholas) (Attachment 4 replaced on 5/11/2016) (EDC).
May 11, 2016 Filing 566 Memorandum in Opposition to #532 MOTION for Rule 72 Review of Magistrate Judge's April 25, 2016 Order filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (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)(BLR) Modified to edit text on 5/12/2016 (BLR).
May 11, 2016 Opinion or Order Filing 565 ORDER: CONSIDERING the CA Fund's Motion for Leave to File Memorandum in Opposition in Excess of Page Limit to the S&Y Parties' Motion for Rule 72 Review of the Magistrate Judge's April 25, 2016 order. The Motion is GRANTED and that the CA Funds may file a 20 page Memorandum in Opposition to the S&Y Parties' Motion for Rule 72 Review of the Magistrate Judge's April 25, 2016 order. Signed by Judge James J. Brady on 5/11/2016. (BLR)
May 11, 2016 Opinion or Order Filing 564 ORDER granting #563 Motion to Substitute Pleading. Signed by Judge James J. Brady on 5/11/2016. (LLH)
May 10, 2016 Filing 563 MOTION Substitute Pleading (Doc No. 552) by Michael Jennings. (Attachments: #1 Proposed Pleading; Jennings Motion to Dismiss Fourth Amended Complaint, #2 Proposed Pleading; Jennings Memorandum in Support of Motion to Dismiss)(Hanna, Sandra)
May 10, 2016 Filing 561 MOTION for Leave to File Excess Pages in Opposition to the S&Y Parties' Motion for Rule 72 Review (Doc. 532) of the Magistrate Judge's April 25, 2016 Order by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H)(Berg, Nicholas) (Attachment 5 replaced on 4/25/2017) (TMR).
May 10, 2016 Opinion or Order Filing 560 ORDER granting #559 Motion to Substitute Pleading. Pleading attached to the S&Y Parties' Motion to Substitute (Rec. Doc. 559-1) may be filed and substituted for Record Document 558 as the S&Y Parties' Appeal and Motion for Rule 72(a) Review of the Magistrate's Order Compelling Production of Privileged Documents and Information. Signed by Judge James J. Brady on 5/10/2016. (BLR)
May 10, 2016 Filing 559 MOTION to Substitute Pleading (Doc. No. 558) by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; The S&Y Parties' Appeal and Motion for Rule 72(a) Review of Magistrate Judge's Order)(Dressel, Robert)
May 10, 2016 Filing 558 MOTION Appeal and Rule 72(a) Review of Magistrate Judge's Order Compelling Production of Privileged Documents and Information by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E)(Dressel, Robert) (Attachment 3 replaced on 5/10/2016) (ELW). Modified on 5/10/2016 to rotate pages (ELW). Modified to substitute document per #560 Order on 5/10/2016 (BLR).
May 9, 2016 Filing 557 MEMORANDUM in Opposition to #520 MOTION to Compel Production of Documents by Commonwealth Advisors, Inc. and Walter Morales filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Exhibit A, #2 Exhibit A-1, #3 Exhibit A-2, #4 Exhibit B, #5 Exhibit C)(Tulley, Fredrick)
May 9, 2016 Filing 556 MOTION to Strike Jury Demand as to Count Five of the CA Funds' Fourth Amended Complaint by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert)
May 9, 2016 Filing 555 RULE 42(b) MOTION to Bifurcate Trial by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert) Modified on 5/10/2016 to edit text (LLH).
May 9, 2016 Filing 554 SEALED MOTION to Dismiss the CA Funds' Veil Piercing and Alter Ego Claims by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order, #3 Exhibit A, #4 Exhibit B)(Dressel, Robert) Modified on 5/10/2016 to edit text (JDL).
May 9, 2016 Filing 553 MOTION to Dismiss CA Funds' Claims Arising Out of the Initial Collybus Offering by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert) Modified on 5/10/2016 to edit text (LLH).
May 9, 2016 Filing 552 MOTION to Dismiss Fourth Amended Complaint by Michael Jennings. (Attachments: #1 Memorandum in Support, #2 Proposed Order)(Hanna, Sandra) Modified on 5/10/2016 to edit text (LLH). Modified on 5/11/2016 to replace documents as per Order #564 (LLH).
May 9, 2016 Filing 551 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings Telephone Conference hearing before Judge Carol B. Whitehurst held on 05/05/2016. Court Reporter: Gayle Wear. Phone Number: 337-593-5222. NOTICE RE REDACTION OF TRANSCRIPTS: The parties have five (5) business days to file with the Court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript will be made remotely electronically available to the public without redaction after 90 calendar days. The policy is located on our website at www.lamd.uscourts.gov. 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 5/27/2016. Redacted Transcript Deadline set for 6/6/2016. Release of Transcript Restriction set for 8/4/2016. (NLT)
May 9, 2016 Filing 550 REPLY Memorandum in Support of #542 Emergency MOTION to Stay Magistrate Judge's Ruling Compelling Disclosure of Privileged Documents and Information filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (BLR)
May 9, 2016 Opinion or Order Filing 549 Order: The motion (doc. 543) to expedite the emergency motion (doc. 542) to stay discovery is GRANTED as follows. The motion (doc. 548) to file a REPLY in support of the emergency motion (doc. 542) be GRANTED and the reply brief shall be filed. The emergency motion (doc. 542) to stay discovery ruling is GRANTED to the extent that the ruling at issue is stayed until noon on Friday, May 13, 2016, to allow the court time to review the appeal and determine whether the stay should be extended and/or whether to require additional briefing. Appellant's brief (not to exceed 15 pages) be filed on or before noon on Tuesday May 10, 2016. Any response (not to exceed 10 pages) must be filed by 5:00 Wednesday May 11, 2016. Signed by Judge James J. Brady on 5/9/2016. (BLR)
May 9, 2016 Filing 548 MOTION for Leave to File Reply Memorandum in Support of S&Y Parties' Emergency Motion to Stay Magistrate Judge's Ruling Compelling Disclosure of Privileged Documents and Information by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading;)(Dressel, Robert)
May 9, 2016 Set/Reset Deadlines(BLR)
May 8, 2016 Filing 546 MEMORANDUM in Opposition to #542 Emergency MOTION to Stay Magistrate Judge's Ruling Compelling Disclosure of Privileged Documents and Information filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
May 6, 2016 Opinion or Order Filing 547 ORDER granting in part and denying in part #499 Sealed Motion to Compel Discovery Responses. IT IS ORDERED that CA Funds #536 Motion for Leave to File Reply Memorandum is Denied. Signed by Magistrate Judge Carol B. Whitehurst on 05/06/2016. (Williams, Lysandra)
May 6, 2016 Filing 543 MOTION for Expedited Hearing on #542 Emergency MOTION to Stay Magistrate Judge's Ruling Compelling Disclosure of Privileged Documents and Information by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
May 6, 2016 Filing 542 Emergency MOTION to Stay Magistrate Judge's Ruling Compelling Disclosure of Privileged Documents and Information by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B)(Dressel, Robert)
May 5, 2016 Opinion or Order Filing 545 ORDER denying #536 Sealed Motion. Signed by Magistrate Judge Carol B. Whitehurst on 05/05/2016. (Williams, Lysandra)
May 5, 2016 Filing 544 Minute Entry for proceedings held before Magistrate Judge Carol B. Whitehurst: Motion Hearing held on 5/5/2016 re #499 SEALED MOTION to Compel Discovery Responses filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC: As to plaintiff request for interrogatories and requests for admissions as well as questions related to the Stifel entities 30(b)(6) deposition must be answered by May 10, 2016 unless they are subject to privilege. (Williams, Lysandra)
May 5, 2016 MOTION(S) REFERRED: #536 SEALED MOTION Leave to File Reply Memorandum in Support of Motion to Compel (Doc. 499) . This motion is now pending before the USMJ. (JDL)
May 4, 2016 Filing 541 NOTICE on #540 MOTION to Dismiss for Failure to State a Claim and for Lack of Jurisdiction :. Opposition, limited to 10 pages, to the motion shall be filed on or before 05/25/16. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
May 4, 2016 Filing 540 MOTION to Dismiss for Failure to State a Claim and for Lack of Jurisdiction by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Proposed Order)(Tulley, Fredrick)
May 4, 2016 Opinion or Order Filing 539 ORDER granting #533 Motion for Expedited Consideration. OPPOSITIONS to the #532 Motion for Review be filed on or before 5/10/2016. Signed by Judge James J. Brady on 5/4/2016. (LLH)
May 4, 2016 Filing 538 SEALED MEMORANDUM in Opposition to #499 SEALED MOTION to Compel Discovery Responses filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit) (Copy of Sealed Memorandum in Opposition forwarded to all counsel of record and pro se parties.) (Reeves, Teresa)
May 4, 2016 Opinion or Order Filing 537 ORDER granting #531 SEALED Motion for Leave to File Excess Pages. Signed by Magistrate Judge Carol B. Whitehurst on 5/4/2016. (Reeves, Teresa)
May 4, 2016 Filing 536 SEALED MOTION Leave to File Reply Memorandum in Support of Motion to Compel (Doc. 499) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit F, #10 Exhibit H, #11 Exhibit I)(Berg, Nicholas)
May 3, 2016 Opinion or Order Filing 535 ORDER granting #530 Motion for Leave to Exceed Page Limit for the Opposition to the #499 CA Funds Renewed Motion to Compel and Alternative Motion in Limine to Exclude Evidence. Signed by Magistrate Judge Carol B. Whitehurst on 5/3/2016. (Reeves, Teresa)
May 3, 2016 Filing 533 MOTION for Expedited Hearing on #532 MOTION for Rule 72 Review of Magistrate Judge's Order by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
May 3, 2016 Filing 532 MOTION for Rule 72 Review of Magistrate Judge's Order by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support Memorandum in Support, #2 Proposed Pleading; Order, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D)(Dressel, Robert) Modified on 5/12/2016 to un-terminate motion (LLH).
May 3, 2016 MOTION(S) REFERRED: #530 Consent MOTION for Leave to File Excess Pages for Opposition to CA Funds' Renewed Motion to Compel and Alternative Motion In Limine. This motion is now pending before the USMJ. (TNB)
May 3, 2016 MOTION(S) REFERRED: #531 SEALED Consent MOTION for Leave to File Excess Pages for S&Y Parties' Opposition to CA Funds' Motion to Compel and Alternative Motion In Limine. This motion is now pending before the USMJ. (JDL)
May 2, 2016 Opinion or Order Filing 534 ORDER granting #521 Motion for Expedited Hearing on #520 MOTION to Compel Production of Documents by Commonwealth Advisors, Inc. and Walter Morales. Motion Hearing set for 5/13/2016 BY TELEPHONE at 10:00 AM before Magistrate Judge Carol B. Whitehurst. Movant shall initiate the call. Any opposition to the Motion to Compel shall be filed by Monday, May 9, 2016. Signed by Magistrate Judge Carol B. Whitehurst on 5/2/2016. (Reeves, Teresa)
May 2, 2016 Filing 531 SEALED Consent MOTION for Leave to File Excess Pages for S&Y Parties' Opposition to #499 CA Funds' Motion to Compel and Alternative Motion In Limine, by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; S&Y Parties' Opposition to CA Funds' Renewed Motion to Compel and Alternative Motion In Limine to Exclude, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I)(Dressel, Robert) Modified on 5/3/2016 to edit text (JDL).
May 2, 2016 Filing 530 Consent MOTION for Leave to File Excess Pages for Opposition to CA Funds' Renewed Motion to Compel and Alternative Motion In Limine by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order)(Dressel, Robert)
April 29, 2016 Filing 529 REPLY Brief in Further Support of #522 Ex Parte MOTION for Extension of Time to File Response to #499 SEALED MOTION to Compel Discovery Responses filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Reeves, Teresa)
April 29, 2016 Opinion or Order Filing 528 ORDER granting #525 MOTION for Leave to File Reply Memorandum in Support of Motion for Extension of Time to Oppose filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano. Signed by Magistrate Judge Carol B. Whitehurst on 04/29/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
April 29, 2016 Opinion or Order Filing 527 ORDER denying #522 Motion for Extension of Time to File Response. Signed by Magistrate Judge Carol B. Whitehurst on 04/29/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
April 29, 2016 Opinion or Order Filing 526 ORDER granting #523 Motion for Expedited Hearing on #523 MOTION for Expedited Hearing on #522 Ex Parte MOTION for Extension of Time to File Response to #499 SEALED MOTION to Compel Discovery Responses . Motion Hearing set for 4/29/2016 before Magistrate Judge Carol B. Whitehurst.. Signed by Magistrate Judge Carol B. Whitehurst on 04/29/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
April 29, 2016 Filing 525 MOTION for Leave to File Reply Memorandum in Support of Motion for Extension of Time to Oppose by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Reply Memorandum)(Dressel, Robert)
April 29, 2016 Filing 524 MEMORANDUM in Opposition to #522 Ex Parte MOTION for Extension of Time to File Response to #499 SEALED MOTION to Compel Discovery Responses filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
April 29, 2016 Filing 523 MOTION for Expedited Consideration of #522 Ex Parte MOTION for Extension of Time to File Response to #499 SEALED MOTION to Compel Discovery Responses by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert) Modified on 4/29/2016 to edit text (LLH).
April 29, 2016 Filing 522 Ex Parte MOTION for Extension of Time to File Response to #499 SEALED MOTION to Compel Discovery Responses by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A)(Dressel, Robert)
April 29, 2016 MOTION(S) REFERRED: #520 MOTION to Compel Production of Documents by Commonwealth Advisors, Inc. and Walter Morales. This motion is now pending before the USMJ. (TNB)
April 29, 2016 MOTION(S) REFERRED: #521 Consent MOTION for Expedited Hearing on #520 MOTION to Compel Production of Documents by Commonwealth Advisors, Inc. and Walter Morales . This motion is now pending before the USMJ. (NLT)
April 29, 2016 MOTION(S) REFERRED: #522 Ex Parte MOTION for Extension of Time to File Response to #499 SEALED MOTION to Compel Discovery Responses , #523 MOTION for Expedited Hearing on #522 Ex Parte MOTION for Extension of Time to File Response to #499 SEALED MOTION to Compel Discovery Responses . This motion is now pending before the USMJ. (LLH)
April 28, 2016 Filing 521 Consent MOTION for Expedited Hearing on #520 MOTION to Compel Production of Documents by Commonwealth Advisors, Inc. and Walter Morales by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
April 28, 2016 Filing 520 MOTION to Compel Production of Documents by Commonwealth Advisors, Inc. and Walter Morales by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I)(Berg, Nicholas)
April 27, 2016 Filing 519 SEALED MEMORANDUM in Support of #499 SEALED MOTION to Compel Discovery Responses filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (Copy of Sealed Memorandum forwarded to all counsel of record and pro se parties.) (Reeves, Teresa)
April 27, 2016 Opinion or Order Filing 518 SEALED ORDER granting #500 Ex Parte SEALED MOTION To File Memorandum in Support of Motion to Compel in Excess of Page Limit. Motion Hearing set for 5/5/2016 at 10:00 AM before Magistrate Judge Carol B. Whitehurst BY TELEPHONE as to #499 SEALED MOTION to Compel Discovery Responses. Counsel for movant shall initiate the call. Any opposition to the Motion to Compel shall be filed by 5/2/2016. Signed by Magistrate Judge Carol B. Whitehurst on 4/27/2016. (Copy of Sealed Order forwarded to all counsel of record and pro se parties.)(Reeves, Teresa)
April 27, 2016 Opinion or Order Filing 517 ORDER granting #514 Motion to Withdraw. Record Document 472 is withdrawn. Signed by Judge James J. Brady on 4/27/2016. (LLH)
April 27, 2016 Opinion or Order Filing 516 ORDER granting #497 Motion to Withdraw Documents or, Alternatively, to Extend Reply Brief Deadline. Record Documents 453, 454, 455 and 456 are withdrawn. Defendants may file any motions relating to the Fourth Amended Complaint within the time permitted by the rules. Signed by Judge James J. Brady on 4/27/2016. (LLH)
April 27, 2016 Filing 515 ANSWER to #509 Amended Complaint,, by Noel Caldwell.(Wilson, Scott)
April 26, 2016 Filing 514 Ex Parte MOTION to Withdraw #472 MOTION to Dismiss for Failure to State a Claim and for Lack of Jurisdiction by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Order)(Milazzo, John)
April 26, 2016 Opinion or Order Filing 513 ORDER denying #470 Motion to Compel or alternatively Motion in Limine; granting #471 Motion for Protective Order. Signed by Magistrate Judge Carol B. Whitehurst on 4/26/16. (Reeves, Teresa)
April 25, 2016 Filing 512 Minutes of Court for proceedings held before Magistrate Judge Carol B. Whitehurst: Motion Hearing held via telephone conference on 4/25/2016 re #471 MOTION for Protective Order and #470 MOTION to Compel the CA Funds to Produce the Rule 26 Disclosures of their Expert Witness Dr. Michael D. Youngblood or, Alternatively, Motion to Exclude his Testimony. (Reeves, Teresa)
April 25, 2016 Filing 511 MEMORANDUM in Opposition to #472 MOTION to Dismiss and for Lack of Jurisdiction and for Failure to State a Claim filed by CA Funds. (Attachments: #1 Exhibit A)(JDL)
April 25, 2016 Opinion or Order Filing 510 ORDER granting #501 Motion for Leave to File a 24-page Memorandum in Opposition to the Motion to Dismiss for Lack of Jurisdiction and For Failure to State a Claim (Doc. 472). Signed by Judge James J. Brady on 4/25/2016. (JDL)
April 25, 2016 Opinion or Order Filing 504 ORDER denying #502 Sealed Motion. Signed by Magistrate Judge Carol B. Whitehurst on 04/25/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
April 25, 2016 Opinion or Order Filing 503 ORDER denying #498 MOTION for Leave to File Reply Memorandum in Support of Motion to Compel or, Alternatively, Motion to Exclude filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano. Signed by Magistrate Judge Carol B. Whitehurst on 4/25/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
April 25, 2016 MOTION(S) REFERRED: #500 Ex Parte SEALED MOTION To File Memorandum in Support in Excess of Page Limit . This motion is now pending before the USMJ. (NLT)
April 25, 2016 MOTION(S) REFERRED: #499 SEALED MOTION to Compel Discovery Responses . This motion is now pending before the USMJ. (NLT)
April 24, 2016 Filing 502 SEALED MOTION for Leave to File Surreply by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A)(Berg, Nicholas)
April 22, 2016 Filing 509 FOURTH AMENDED COMPLAINT against Noel Caldwell, Commonwealth Advisors, Inc., Anthony Guaimano, Michael Jennings, Kevin Miller, Walter A Morales, III, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, filed by CA Core Fixed Income Fund, LLC, CA High Yield Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III, Ltd., CA Core Fixed Income Offshore Fund, LTD, CA High Yield Offshore Fund, LTD., Sand Spring Capital III, LLC, Sand Spring Capital III Master Fund, LLC, CA Strategic Equity Fund, LLC.(Williams, Lysandra)
April 22, 2016 Opinion or Order Filing 508 ORDER granting #494 Ex Parte Motion for Leave to File Sealed Exhibits to Motion to Amend Count Five of CA Funds Complaint. Signed by Magistrate Judge Carol B. Whitehurst on 04/22/2016. (Williams, Lysandra)
April 22, 2016 Filing 507 SEALED DOCUMENT: SEALED Exhibit A re [493) Motion for Leave to Amend Count Five of CA Funds Complaint. (Attachments: #1 Sealed Exh F)(Williams, Lysandra)
April 22, 2016 Opinion or Order Filing 506 ORDER granting #493 MOTION for Leave to File Fourth Amended Complaint filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC. Signed by Magistrate Judge Carol B. Whitehurst on 04/22/2016. (Williams, Lysandra)
April 22, 2016 Opinion or Order Filing 505 ORDER granting #495 Motion for Expedited Consideration of Motion to Leave to Amend Count Ffive of the CA Funds Complaint. Signed by Magistrate Judge Carol B. Whitehurst on 04/22/2016. (Williams, Lysandra)
April 22, 2016 Filing 501 Ex Parte MOTION for Leave to File Memorandum in Opposition in Excess of Page Limit to the #472 motion to Dismiss for Lack of Jurisdiction and For Failure to State a Claim Filed by Walter Morales and Commonwealth Advisors Inc. by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A)(Berg, Nicholas) Modified to edit text on 4/25/2016 (BLR).
April 22, 2016 Filing 500 Ex Parte SEALED MOTION To File Memorandum in Support in Excess of Page Limit by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;)(Berg, Nicholas)
April 22, 2016 Filing 499 SEALED MOTION to Compel Discovery Responses by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (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)(Berg, Nicholas)
April 22, 2016 Filing 498 MOTION for Leave to File Reply Memorandum in Support of Motion to Compel or, Alternatively, Motion to Exclude by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order, # 2 Proposed Pleading; Reply Memorandum, # 3 Exhibit A to Reply Memorandum, # 4 Exhibit A-1 to Reply Memorandum, # 5 Exhibit A-2 to Reply Memorandum, # 6 Exhibit B to Reply Memorandum)(Dressel, Robert)
April 21, 2016 Filing 497 Ex Parte MOTION to Withdraw Record Documents Nos. #453 , #454 , #455 and #456 or, Alternatively, to Extend Reply Brief Deadline by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert) Modified to edit text on 4/21/2016 (BLR).
April 21, 2016 Filing 496 NOTICE of No Opposition to Motion for Leave to Amend Count Five of the CA Funds' Complaint by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. re #493 MOTION for Leave to File Fourth Amended Complaint (Berg, Nicholas)
April 21, 2016 MOTION(S) REFERRED: #495 MOTION for Expedited Hearing on #493 MOTION for Leave to File Fourth Amended Complaint , #493 MOTION for Leave to File Fourth Amended Complaint . This motion is now pending before the USMJ. (LLH)
April 20, 2016 Filing 495 MOTION for Expedited Consideration of #493 MOTION for Leave to File Fourth Amended Complaint by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified on 4/21/2016 to edit text (LLH).
April 20, 2016 Filing 494 Ex Parte SEALED MOTION for Leave to File Exhibits to Motion to Amend Count Five of the CA Funds' Complaint Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Exhibit A - Proposed Fourth Amended Complaint, #3 Exhibit F)(Berg, Nicholas)
April 20, 2016 Filing 493 MOTION for Leave to Amend Count Five of Complaint by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Proposed Order, #3 Exhibit A - Proposed Fourth Amended Complaint, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F)(Berg, Nicholas) (LLH).
April 19, 2016 Filing 492 Ex Parte MOTION for Leave to File Memorandum in Opposition in Excess of Page Limit and Strike Incorrect Pleading by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E)(Berg, Nicholas) Modified on 4/20/2016 to edit text (LLH).
April 19, 2016 Filing 491 NOTICE OF NON-COMPLIANCE with LR 7(g) as to #489 Memorandum in Opposition to Motion. No Rule 37 (a) certificate filed as well. REQUIRED CORRECTION: A combined Motion for Leave to Exceed the Page Limits and Motion to Strike the Incorrect Pleading must filed within 24 hours of this notice. Otherwise, the original filing may be stricken by the Court without further notice. (BLR)
April 18, 2016 Filing 490 MEMORANDUM in Opposition to #471 MOTION for Protective Order filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
April 18, 2016 Filing 489 MEMORANDUM in Opposition to #470 MOTION to Compel the CA Funds to Produce the Rule 26 Disclosures of their Expert Witness Dr. Michael D. Youngblood or, Alternatively, Motion to Exclude his Testimony filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Berg, Nicholas)
April 14, 2016 Opinion or Order Filing 488 ORDER Setting Hearing on #471 MOTION for Protective Order and #470 MOTION to Compel the CA Funds to Produce the Rule 26 Disclosures of their Expert Witness Dr. Michael D. Youngblood or, Alternatively, Motion to Exclude his Testimony: Motion Hearing set for 4/25/2016 at 02:00 PM BY TELEPHONE before Magistrate Judge Carol B. Whitehurst. Counsel for CA Funds shall initiate the telephone call. Opposition to either motion is due by 4/18/2016. Signed by Magistrate Judge Carol B. Whitehurst on 4/13/2016. (Reeves, Teresa)
April 14, 2016 Opinion or Order Filing 487 ORDER granting #484 Motion to Continue. All fact discovery and motions to compel fact discovery due by 5/16/2016. Signed by Magistrate Judge Carol B. Whitehurst on 4/13/2016. (Reeves, Teresa)
April 14, 2016 Opinion or Order Filing 486 ORDER granting #485 Motion for Expedited Hearing on #484 MOTION to Continue Discovery Deadline. Signed by Magistrate Judge Carol B. Whitehurst on 4/13/2016. (Reeves, Teresa)
April 13, 2016 MOTION(S) REFERRED: #485 MOTION for Expedited Hearing on #484 MOTION to Continue Discovery Deadline . This motion is now pending before the USMJ. (BLR)
April 13, 2016 MOTION(S) REFERRED: #470 MOTION to Compel the CA Funds to Produce the Rule 26 Disclosures of their Expert Witness Dr. Michael D. Youngblood or, Alternatively, Motion to Exclude his Testimony. This motion is now pending before the USMJ. (BLR)
April 13, 2016 MOTION(S) REFERRED: #484 MOTION to Continue Discovery Deadline . This motion is now pending before the USMJ. (NLT)
April 12, 2016 Filing 485 MOTION for Expedited Hearing on #484 MOTION to Continue Discovery Deadline by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading;)(Dressel, Robert)
April 12, 2016 Filing 484 MOTION to Continue Discovery Deadline by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading;)(Dressel, Robert)
April 8, 2016 Filing 483 MEMORANDUM in Opposition to #455 MOTION to Strike Jury Demand as to Count Five of the CA Fund's #447 Third Amended Complaint filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
April 8, 2016 Filing 482 Consolidated MEMORANDUM in Opposition to #460 MOTION to Dismiss CA Funds' Claims Arising Out of the Initial Collybus Offering, #462 MOTION to Dismiss for Failure to State a Claim , #454 MOTION to Dismiss for Failure to State a Claim Arising Out of the Initial Collybus Offering filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 4/11/2016 to edit text (LLH).
April 8, 2016 Filing 481 Consolidated MEMORANDUM in Opposition to #453 Rule 12(b)(6) Motion to Dismiss Stifel Financial Corporation, #456 SEALED MOTION Rule 12(b)(6) Motion to Dismiss the CA Funds' Veil-Piercing and Alter Ego Claims filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A)(Berg, Nicholas) Modified on 4/11/2016to edit text (LLH).
April 8, 2016 Filing 480 SEALED MOTION to Strike Exhibits to Motion to Dismiss Filed by Stifel Nicolaus & Co., Inc. by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D)(Berg, Nicholas)
April 6, 2016 Opinion or Order Filing 479 ORDER granting #477 Motion for Leave to File Excess Pages. The CA Funds may filed a consolidated memorandum in opposition to the Motions to Dismiss by Stifel, Nicolaus & Co., Inc. [Doc. 456] and Stifel Financial Corporation [Doc. 45]) not to exceed 16 pages. Signed by Judge James J. Brady on 04/06/2016. (ELW)
April 6, 2016 Filing 478 NOTICE on #472 MOTION to Dismiss for Failure to State a Claim and for Lack of Jurisdiction :. Opposition, limited to 10 pages, to the motion shall be filed on or before 04/22/16. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
April 6, 2016 Filing 477 Ex Parte MOTION for Leave to File Consolidated Memorandum in Opposition to Motions to Dismiss by the Stifel Entities in Excess of Page limit by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified on 4/6/2016 to edit text (LLH).
April 5, 2016 Opinion or Order Filing 476 ORDER granting #473 Ex Parte MOTION to Substitute Pleading. The Clerk shall delete the previously filed version (Doc. 472) from the Middle District of Louisiana Electronic Document Filing System. Signed by Judge James J. Brady on 4/5/2016. (LLH)
April 4, 2016 Opinion or Order Filing 475 ORDER granting #474 Motion for Leave to File Consolidated Memorandum in Opposition in Excess of Page Limit filed by the CA Funds. The CA Funds may file a consolidated memorandum in opposition to the Motions to Dismiss by Stone & Youngberg, LLC, Stifel, Nicolaus & Co., Inc. and Anthony Guaimano (Doc. 454), Michael Jennings (Doc. 460) and Noel Caldwell (Doc. 462) not to exceed 17 pages. Signed by Judge James J. Brady on 04/04/2016. (ELW)
April 4, 2016 Filing 474 Ex Parte MOTION for Leave to File Consolidated Memorandum in Opposition in Excess of Page limit Memorandum in Opposition in Excess of Page Limit by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified on 4/4/2016 to edit text (LLH).
April 4, 2016 MOTION(S) REFERRED: #471 MOTION for Protective Order . This motion is now pending before the USMJ. (BLR)
April 1, 2016 Set/Reset Deadlines as to #472 MOTION to Dismiss for Failure to State a Claim and for Lack of Jurisdiction. Replies due by 5/6/2016. (JDL)
April 1, 2016 Filing 473 Ex Parte MOTION to Substitute Pleading by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Order)(Tulley, Fredrick) Modified on 4/4/2016 to edit text (LLH).
April 1, 2016 Filing 472 MOTION to Dismiss for Failure to State a Claim and for Lack of Jurisdiction by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Proposed Order)(Tulley, Fredrick) Modified on 4/5/2016 to replace motion as per Order #476 (LLH).
March 31, 2016 Filing 471 MOTION for Protective Order by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F)(Berg, Nicholas)
March 31, 2016 Filing 470 MOTION to Compel the CA Funds to Produce the Rule 26 Disclosures of their Expert Witness Dr. Michael D. Youngblood or, Alternatively, Motion to Exclude his Testimony by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit, #3 Exhibit, #4 Rule 37 Certificate, #5 Proposed Order)(Dressel, Robert).
March 29, 2016 Opinion or Order Filing 469 ORDER denying as moot #441 SEALED MOTION to Compel Discovery Responses or, in the alternative SEALED MOTION in Limine to Exclude Evidence. Signed by Magistrate Judge Carol B. Whitehurst on 3/29/16. (Reeves, Teresa)
March 29, 2016 Filing 468 Minute Entry of Court proceedings held before Magistrate Judge Carol B. Whitehurst: Motion Hearing held on 3/29/2016 via telephone conference re #441 SEALED MOTION to Compel Discovery Responses and SEALED MOTION in Limine to Exclude Evidence. (Reeves, Teresa)
March 28, 2016 Filing 467 SEALED REPLY MEMORANDUM in Support of #441 SEALED MOTION to Compel Discovery Responses or alternatively SEALED MOTION in Limine to Exclude Evidence filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Reeves, Teresa)
March 28, 2016 Opinion or Order Filing 466 ORDER granting #464 Sealed Motion to File Reply Memorandum in Excess of Page Limit. Signed by Magistrate Judge Carol B. Whitehurst on 3/28/2016. (Reeves, Teresa)
March 24, 2016 Filing 465 NOTICE on #462 MOTION to Dismiss for Failure to State a Claim :. Opposition, limited to 10 pages, to the motion shall be filed on or before 04/08/16. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
March 23, 2016 Filing 464 Ex Parte SEALED MOTION File Reply Memorandum in Excess of Page Limit by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F)(Berg, Nicholas)
March 22, 2016 Filing 463 Minute Entry for proceedings held before Magistrate Judge Carol B. Whitehurst: Telephone Status Conference held on 3/22/2016. The Court will no longer schedule and conduct monthly telephone status conferences related to future discovery. The parties may contact the Court in the event a conference related to discovery isdeemed necessary. (Reeves, Teresa)
March 21, 2016 Filing 462 MOTION to Dismiss for Failure to State a Claim by Noel Caldwell. (Attachments: #1 Memorandum in Support)(Wilson, Scott)
March 21, 2016 Filing 461 NOTICE on #460 MOTION to Dismiss CA Funds' Claims Arising Out of the Initial Collybus Offering, #455 MOTION to Strike Jury Demand as to Count Five of the CA Fund's #447 Third Amended Complaint, #454 MOTION to Dismiss for Failure to State a Claim Arising Out of the Initial Collybus Offering, #456 SEALED MOTION Rule 12(b)(6) Motion to Dismiss the CA Funds' Veil-Piercing and Alter Ego Claims , #453 Rule 12(b)(6) Motion to Dismiss Stifel Financial Corporation :. Opposition, limited to 10 pages, to the motion shall be filed on or before 04/08/16. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
March 18, 2016 Filing 460 MOTION to Dismiss CA Funds' Claims Arising Out of the Initial Collybus Offering by Michael Jennings. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading;)(Hanna, Sandra) Modified to edit text on 3/18/2016 (BLR).
March 17, 2016 Opinion or Order Filing 459 ORDER granting #451 Consent Motion for Extension of Time. The S&Y Parties Opposition (450-1) shall be deemed to have been timely filed. Signed by Magistrate Judge Carol B. Whitehurst on 03/17/2016. (Williams, Lysandra)
March 17, 2016 Set/Reset Deadlines as to #441 SEALED MOTION to Compel Discovery Responses SEALED MOTION in Limine to Exclude Evidence. Replies due by 3/24/2016. Motion Hearing set for 3/29/2016 at 11:00 AM via telephone before Magistrate Judge Carol B. Whitehurst. (Williams, Lysandra)
March 16, 2016 Opinion or Order Filing 458 ORDER granting #449 MOTION for Extension of Discovery Deadlines for Expert Discovery, and MOTION for Extension of Time to File Motions In Limine and Daubert Motions. Discovery from Experts due by 4/29/2016. Motions In Limine shall be filed by 5/13/2016.Signed by Magistrate Judge Carol B. Whitehurst on 3/16/2016. (Reeves, Teresa)
March 16, 2016 Filing 457 MEMORANDUM in Opposition to #441 SEALED MOTION to Compel Discovery Responses SEALED MOTION in Limine to Exclude Evidence filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Reeves, Teresa)
March 16, 2016 Filing 456 SEALED MOTION Rule 12(b)(6) Motion to Dismiss the CA Funds' Veil-Piercing and Alter Ego Claims by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order, #3 Exhibit A, #4 Exhibit B)(Dressel, Robert)
March 16, 2016 Filing 455 MOTION to Strike Jury Demand as to Count Five of the CA Fund's #447 Third Amended Complaint by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc.. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert) Modified to edit text on 3/17/2016 (BLR).
March 16, 2016 Filing 454 Rule 12(b)(6) and Rule 9(b) MOTION to Dismiss the CA Fund's Claims Arising out of the Initial Collybus Offering by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert) Modified to edit text on 3/17/2016 (BLR).
March 16, 2016 Filing 453 Rule 12(b)(6) Motion to Dismiss Stifel Financial Corporation (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Dressel, Robert) Modified to edit text on 3/17/2016 (BLR).
March 16, 2016 Opinion or Order Filing 452 ORDER granting #450 MOTION for Leave to exceed page limit. Signed by Magistrate Judge Carol B. Whitehurst on 03/16/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
March 16, 2016 MOTION(S) REFERRED: #451 Consent MOTION for Extension of Time of the Motion Date on the CA Funds' Motion to Compel Discovery Responses or, Alternatively, Motion In Limine to Exclude Evidence. This motion is now pending before the USMJ. (LLH)
March 15, 2016 Filing 451 Consent MOTION for Extension of the Motion Date on the CA Funds' Motion to Compel Discovery Responses or, Alternatively, Motion In Limine to Exclude Evidence by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert) Modified on 3/16/2016 to edit text (LLH).
March 15, 2016 MOTION(S) REFERRED: #450 Ex Parte MOTION for Leave to Exceed Page Limitation . This motion is now pending before the USMJ. (LLH)
March 14, 2016 Filing 450 Ex Parte MOTION for Leave to Exceed Page Limitation by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Opposition to CA Funds Motion to Compel Discovery Responses, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Dressel, Robert)
March 14, 2016 MOTION(S) REFERRED: #449 Consent MOTION for Extension of Discovery Deadlines for Expert DiscoveryConsent MOTION for Extension of Time to File Motions In Limine and Daubert Motions. This motion is now pending before the USMJ. (LLH)
March 11, 2016 Filing 449 Consent MOTION for Extension of Discovery Deadlines for Expert Discovery, Consent MOTION for Extension of Time to File Motions In Limine and Daubert Motions by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
March 2, 2016 Filing 448 ANSWER to #447 Amended Complaint,, by Noel Caldwell.(Wilson, Scott)
February 25, 2016 Filing 447 THIRD AMENDED COMPLAINT against Noel Caldwell, Commonwealth Advisors, Inc., Anthony Guaimano, Michael Jennings, Kevin Miller, Walter A Morales, III., Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, filed by CA Core Fixed Income Fund, LLC, CA High Yield Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III, Ltd., CA Core Fixed Income Offshore Fund, LTD, CA High Yield Offshore Fund, LTD., Sand Spring Capital III, LLC, Sand Spring Capital III Master Fund, LLC, CA Strategic Equity Fund, LLC.(Williams, Lysandra)
February 25, 2016 Opinion or Order Filing 446 ORDER granting #403 MOTION for Leave to File Third Amended Complaint filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC. Signed by Magistrate Judge Carol B. Whitehurst on 02/25/2016. (Williams, Lysandra)
February 24, 2016 Opinion or Order Filing 445 ORDER denying #410 Motion to Compel Discovery Responses by Stone & Youngberg, LLC; granting #432 Motion to Compel Production of Unredacted Daily Supervisory Check Out Packages by Stone & Youngberg, LLC. The first telephone conference will be conducted on Tuesday, March 22, 2016 at 11:00 a.m. Counsel for plaintiff is to initiate the conference. Signed by Magistrate Judge Carol B. Whitehurst on 2/24/2016. (Chicola, Christina)
February 24, 2016 Filing 444 Minutes for proceedings held before Magistrate Judge Carol B. Whitehurst: Telephone Motion Hearing held on 2/24/2016 re #410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC, #432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA Strategic Equity Offshore Fund, LTD, CA High Yield Offshore Fund, LTD., Sand Spring Capital III Master Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA High Yield Fund, LLC. At the request of the parties, the Court will conduct monthly telephone status conferences related to future discovery issues in this case. (Chicola, Christina)
February 24, 2016 Set/Reset Hearings: Telephone Status Conference set for 3/22/2016 at 11:00 AM before Magistrate Judge Carol B. Whitehurst. Counsel for plaintiff is to initiate conferences. (Chicola, Christina)
February 22, 2016 Filing 443 NOTICE of No Opposition by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. re #432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages, #440 Order on Motion for Expedited Hearing,, (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified on 2/22/2016 to edit text (LLH).
February 19, 2016 Filing 442 NOTICE OF MOTION SETTING WITHOUT ORAL ARGUMENT #441 SEALED MOTION to Compel Discovery Responses SEALED MOTION in Limine to Exclude Evidence : Motion Hearing set for 3/16/2016 before Magistrate Judge Carol B. Whitehurst. (Williams, Lysandra)
February 17, 2016 Filing 441 SEALED MOTION to Compel Discovery Responses or, in the alternative SEALED MOTION in Limine to Exclude Evidence by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P)(Berg, Nicholas). Added SEALED MOTION on 2/18/2016 (NLT).
February 10, 2016 Opinion or Order Filing 440 ORDER granting #433 Motion for Expedited Hearing. Any opposition to Motion to Compel be filed by 2/17/2016. Any Reply to opposition shall be filed by 2/19/2016. Motion Hearing on #410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC, #432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages set by telephone for 2/24/2016 at 10:00 AM before Magistrate Judge Carol B. Whitehurst. Counsel for the CA Funds shall initiate the telephone call. Signed by Magistrate Judge Carol B. Whitehurst on 2/10/2016. (Chicola, Christina)
February 10, 2016 Set/Reset Deadlines as to #432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages. Opposition due by 2/17/2016. Replies due by 2/19/2016. (Chicola, Christina)
February 8, 2016 MOTION(S) REFERRED: #432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages, #433 Consent MOTION for Expedited Hearing on #432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages and Shortened Response Time. This motion is now pending before the USMJ. (NLT)
February 5, 2016 Filing 439 REPLY to #410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC, #419 Memorandum in Opposition to Motion, filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (Chicola, Christina)
February 5, 2016 Filing 438 SEALED DOCUMENT - EXHIBIT C re #419 MEMORANDUM in Opposition to 410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Williams, Lysandra)
February 5, 2016 Opinion or Order Filing 437 ORDER granting #421 Motion to Withdraw Record Document 419-3 and the S & Y Parties may refile document under seal. Signed by Magistrate Judge Carol B. Whitehurst on 02/05/2016. (Williams, Lysandra)
February 5, 2016 Opinion or Order Filing 436 ORDER granting #418 Motion to Enroll Additional Attorney. Added attorney Jason W. Burge for M. Badi Asbahi,Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr., Firefighters' Retirement System, Registrar of Voters Employee Retirement System, Registrar of Voters Employee Retirement System,Anne Richey, Charles Richey, Janice B. Virgadamo. Signed by Magistrate Judge Carol B. Whitehurst on 02/05/2016. (Williams, Lysandra)
February 5, 2016 Filing 435 SURREPLY in Opposition to #403 MOTION for Leave to File Third Amended Complaint filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Chicola, Christina)
February 5, 2016 Filing 434 REPLY to #411 Memorandum in Opposition to Motion, #412 Memorandum in Opposition to Motion, #403 MOTION for Leave to File Third Amended Complaint filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (Chicola, Christina)
February 5, 2016 Filing 433 Consent MOTION for Expedited Hearing on #432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages and Shortened Response Time by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
February 5, 2016 Filing 432 MOTION to Compel Production of Unredacted Daily Supervisory Check-Out Packages by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Berg, Nicholas)
February 5, 2016 Opinion or Order Filing 431 ORDER granting #404 Sealed Motion. Signed by Magistrate Judge Carol B. Whitehurst on 02/05/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
February 5, 2016 Opinion or Order Filing 430 ORDER granting #422 MOTION for Leave to File Reply Memorandum in Support of Motion to Compel Discovery Responses filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC, MOTION to Compel Discovery Responses by Stone Youngberg, LLC filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA Strategic Equity Offshore Fund, LTD, CA High Yield Offshore Fund, LTD., Sand Spring Capital III Master Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA High Yield Fund, LLC. Signed by Magistrate Judge Carol B. Whitehurst on 02/05/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
February 5, 2016 Opinion or Order Filing 429 ORDER granting #415 MOTION for Leave to File Surreply in Opposition to the CA Funds' Motion for Leave to File a Third Amended Complaint filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano. Signed by Magistrate Judge Carol B. Whitehurst on 2/5/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
February 5, 2016 Opinion or Order Filing 428 ORDER granting #413 MOTION for Leave to File Reply Memorandum in Support of Motion for Leave to File a Third Amended Complaint filed by Sand Spring Capital III, LLC, CA Core Fixed Income Fund, LLC, Sand Spring Capital III, Ltd., CA High Yield Offshore Fund, LTD., CA Strategic Equity Offshore Fund, LTD, CA Strategic Equity Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, CA High Yield Fund, LLC. Signed by Magistrate Judge Carol B. Whitehurst on 2/5/16. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Whitehurst, Carol)
February 4, 2016 MOTION(S) REFERRED: #415 MOTION for Leave to File Surreply in Opposition to the CA Funds' Motion for Leave to File a Third Amended Complaint, #421 Consent MOTION to Withdraw Record Document 419-3Consent SEALED MOTION for Leave to File Exhibit under seal Under Seal , #422 MOTION for Leave to File Reply Memorandum in Support of Motion to Compel Discovery Responses , #413 MOTION for Leave to File Reply Memorandum in Support of Motion for Leave to File a Third Amended Complaint , #418 MOTION to Enroll Jason W. Burge as Additional Attorney , #410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC, #404 Ex Parte SEALED MOTION for Leave to File Exhibit to the CA Funds' Motion for Leave to File Third Amended Complaint Under Seal , #403 MOTION for Leave to File Third Amended Complaint . This motion is now pending before the USMJ. (NLT)
February 2, 2016 Opinion or Order Filing 427 ORDER REASSIGNING CASE: Pursuant to a General Order, United States Magistrate Judge Carol Whitehurst of the Western District of Louisiana is assigned to conduct proceedings and preform all duties as may be required in this case. Case reassigned to Magistrate Judge Carol B. Whitehurst for all further proceedings. Signed by Chief Judge Brian A. Jackson on 02/01/2016. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.)(NLT)
February 1, 2016 Opinion or Order Filing 426 ORDER granting #420 Consent Motion to Extend Deadline in Civil Action No. 3:10-854 for Expert Reports, IT IS ORDERED that Plaintiffs in Civil Action No. 3: 10-854 shall file any expert reports required by Rule 26(a)(2)(B) by March 4, 2016, and Defendants in Civil Action No. 3:10-854 shall file any expert reports required by Rule 26(a)(2)(B) by April 1, 2016. Signed by Judge James J. Brady on 2/1/2016. (BCL)
February 1, 2016 Opinion or Order Filing 425 ORDER granting #424 Ex Parte Motion to Substitute Pleading. Signed by Judge James J. Brady on 2/1/2016. (LLH)
January 19, 2016 Filing 424 Ex Parte MOTION to Substitute Pleading to replace Rec. Doc. 420 by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Proposed Order for Motion to Substitute Pleading, #2 Exhibit A: Substitute Pleading, #3 Proposed Order for Motion to Extend Expert Deadlines)(Swanson, James)
January 19, 2016 Opinion or Order Filing 423 ORDER OF RECUSAL: Magistrate Erin Wilder-Doomes recused. Signed by Magistrate Erin Wilder-Doomes on 01/19/2016. (NLT)
January 19, 2016 Filing 422 MOTION for Leave to File Reply Memorandum in Support of Motion to Compel Discovery Responses by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;)(Berg, Nicholas)
January 18, 2016 Filing 421 Consent MOTION to Withdraw Record Document 419-3, Consent SEALED MOTION for Leave to File Exhibit under seal Under Seal by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Order)(Dressel, Robert)
January 15, 2016 Filing 420 Consent MOTION to Extend Deadline In Civil Action No. 3:10-854 for Expert Reports by Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Swanson, James) . (Attachments : #1 Order) . Modified on 2/1/2016 to replace document, add order and edit text as per Order #425 (LLH).
January 13, 2016 Filing 419 MEMORANDUM in Opposition to #410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B, #3 Exhibit Exhibit C)(Dressel, Robert)
January 12, 2016 MOTION(S) REFERRED: #417 MOTION for Recusal of Magistrate Judge Wilder-Doomes Pursuant to 28 U.S.C. 455. This motion is now pending before the USMJ. (ELW)
January 11, 2016 Filing 418 MOTION to Enroll Additional Counsel by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Swanson, James) Modified on 1/11/2016 to edit text (ELW).
January 11, 2016 Filing 417 MOTION to Recuse Magistrate Judge Wilder-Doomes Pursuant to 28 U.S.C. 455 by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H)(Berg, Nicholas)
January 11, 2016 MOTION(S) REFERRED: #418 MOTION to Enroll Jason W. Burge as Additional Attorney . This motion is now pending before the USMJ. (ELW)
January 8, 2016 Filing 416 MEMORANDUM in Opposition to #415 MOTION for Leave to File Surreply in Opposition to #403 Motion for Leave to File a Third Amended Complaint filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified to edit text on 1/8/2016 (BCL).
January 8, 2016 MOTION(S) REFERRED: #415 MOTION for Leave to File Surreply in Opposition to the CA Funds' Motion for Leave to File a Third Amended Complaint. This motion is now pending before the USMJ. (ELW)
January 7, 2016 Filing 415 MOTION for Leave to File Surreply in Opposition to the CA Funds' Motion for Leave to File a Third Amended Complaint by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A - Surreply, #2 Proposed Pleading; Order)(Dressel, Robert)
January 7, 2016 Opinion or Order Filing 414 NOTICE: Pursuant to General Order 2016-02, this case is reassigned from Magistrate Judge Stephen C. Riedlinger to Magistrate Judge Erin Wilder-Doomes. Signed by Chief Judge Brian A. Jackson on 1/4/2016. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.)(NLT)
January 4, 2016 MOTION(S) REFERRED: #413 MOTION for Leave to File Reply Memorandum in Support of Motion for Leave to File a Third Amended Complaint . This motion is now pending before the USMJ. (JDL)
January 2, 2016 Filing 413 MOTION for Leave to File Reply Memorandum in Support of Motion for Leave to File a Third Amended Complaint by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Pleading;, #2 Proposed Order)(Berg, Nicholas)
December 24, 2015 Filing 412 MEMORANDUM in Opposition to #403 MOTION for Leave to File Third Amended Complaint filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Attachment Proposed Order)(Dressel, Robert)
December 24, 2015 Filing 411 MEMORANDUM in Opposition to #403 MOTION for Leave to File Third Amended Complaint filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Milazzo, John) Modified to edit text on 12/28/2015 (BCL).
December 23, 2015 Filing 410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E)(Berg, Nicholas)
December 23, 2015 MOTION(S) REFERRED: #410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC. This motion is now pending before the USMJ. (NLT)
December 9, 2015 Filing 409 Minute Entry for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Status Conference held on 12/9/2015. Counsel advised that the plaintiffs and the S&Y Parties have still not resolved their dispute over the timing of contention interrogatories. Counsel advised that defendant Walter Morales was deposed. The court advised that a ruling on The CA Funds' Motion for Leave to File Third Amended Complaint will be issues as soon aspossible after the time for filing a response (December 24, 2015) has expired. A telephone status conference is set for February 1, 2016 at 2:00 p.m. Counsel for the plaintiffs in CV 10-857 shall arrange a conference call and notify all counsel and the court of the call-in number and passcode. (BCL)
December 3, 2015 Opinion or Order Filing 408 ORDER: Mark R. Beebe and David Coons of Adams and Reese LLP are hereby withdrawn as counsel of record for Defendant Kevin Miller. Signed by Magistrate Judge Stephen C. Riedlinger on 12/3/2015. (BCL)
December 3, 2015 Filing 407 Ex Parte MOTION for Mark R. Beebe and David C. Coons of Adams and Reese LLP to Withdraw as Attorney by Kevin Miller. (Attachments: #1 Proposed Order)(Coons, David)
December 3, 2015 MOTION(S) REFERRED: #407 Ex Parte MOTION for Mark R. Beebe and David C. Coons of Adams and Reese LLP to Withdraw as Attorney . This motion is now pending before the USMJ. (LLH)
December 2, 2015 Opinion or Order Filing 406 ORDER granting #405 Joint Motion to Dismiss Without Prejudice Crossclaims by J.P. Morgan Against Commonwealth Advisors, Inc. and Walter A. Morales, III., the parties bearing their own costs. Signed by Judge James J. Brady on 12/2/2015. (LLH)
December 1, 2015 Filing 405 Joint MOTION to Dismiss Without Prejudice Crossclaims by JP Morgan Against Commonwealth Advisors, Inc. and Walter A. Morales, III by Commonwealth Advisors, Inc., J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC, Walter A. Morales, Walter A Morales, III. (Attachments: #1 Order)(Lipsey, Christine)
December 1, 2015 MOTION(S) REFERRED: #403 MOTION for Leave to File Third Amended Complaint . This motion is now pending before the USMJ. (LLH)
December 1, 2015 MOTION(S) REFERRED: #404 Ex Parte SEALED MOTION for Leave to File Exhibit to the CA Funds' Motion for Leave to File Third Amended Complaint Under Seal . This motion is now pending before the USMJ. (JDL)
November 30, 2015 Filing 404 Ex Parte SEALED MOTION for Leave to File Exhibit to the CA Funds' Motion for Leave to File Third Amended Complaint Under Seal by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A - Unredacted Proposed Third Amended Complaint)(Berg, Nicholas)
November 30, 2015 Filing 403 MOTION for Leave to File Third Amended Complaint by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A - Redacted Proposed Third Amended Complaint, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E)(Berg, Nicholas)
November 30, 2015 Opinion or Order Filing 402 ORDER granting #399 Joint Motion to Dismiss Claims Against and Counterclaims byJ.P. Morgan Clearing Corp. and J.P. Morgan Securities LLC WITH PREJUDICE and each party to bear its own costs. Signed by Judge James J. Brady on 11/30/2015. (LLH)
November 19, 2015 Opinion or Order Filing 401 ORDER granting #400 Plaintiff's Motion to Withdraw Appearance of Counsel. Attorney A. Daivid Williams is withdrawn as attorney for U.S. Securities and Exchange Commission. Signed by Magistrate Judge Stephen C. Riedlinger on 11/19/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
November 19, 2015 Filing 400 MOTION for David Williams to Withdraw as Attorney by Securities and Exchange Commission. (Attachments: #1 Proposed Pleading; Proposed Order)(Williams, A.)
November 19, 2015 Filing 399 Joint MOTION to Dismiss Claims Against and Counterclaims by J.P. Morgan Clearing Corp. and J.P. Morgan Securities LLC with Prejudice by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Judgment)(Lipsey, Christine)
November 18, 2015 Filing 398 SEALED Global Exhibits to #391 Reply Memorandum in Support of #358 MOTION for Release of Funds filed by Walter A. Morales. (Attachments: #1 Exhibit B, #2 Exhibit C, #3 Exhibit D, #4 Exhibit E, #5 Exhibit F, #6 Exhibit G, #7 Exhibit H, #8 Exhibit J, #9 Exhibit K)(JDL)
November 18, 2015 Opinion or Order Filing 397 SEALED ORDER granting #389 SEALED MOTION for Leave to File Exhibits to #391 Reply Memorandum Under Seal filed by Walter A Morales, III. Signed by Judge James J. Brady on 11/17/2015. (JDL)
November 17, 2015 Opinion or Order Filing 396 CONDITIONAL 30 DAY DISMISSAL ORDER: All claims asserted by the CA Funds against J.P. Morgan and all counterclaims asserted by J.P. Morgan against the CA Funds are DISMISSED, without prejudice to the right, upon good cause shown within 30 days of the signing of this Order, to reopen the claims between the CA Funds and J.P. Morgan if settlement is not consummated. This Order does not dismiss any claims the CA Funds may have against any party other than J.P. Morgan. All claims by the CA Funds against parties other than J.P. Morgan are expressly reserved. Within 30 days of the signing of this Order, the CA Funds and J.P. Morgan shall submit to the Court a joint motion to dismiss accompanied by a proposed order. Signed by Judge James J. Brady on 11/17/2015. (BCL) Modified to edit text on 11/18/2015 (BCL). Modified on 11/18/2015 (BCL).
November 16, 2015 Filing 395 NOTICE of Settlement (Joint Notice of Settlement Between The CA Funds and J.P. Morgan and Request for Conditional Order of Dismissal) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd. (Attachments: #1 Order)(Lipsey, Christine) Modified on 11/17/2015 to edit text and event (LLH).
November 12, 2015 Opinion or Order Filing 394 ORDER granting #393 Ex Parte Motion to Substitute Exhibit K-2 to the Reply Memorandum in Support of Motion to Release Funds. The Clerk of this Honorable Court shall substitute the attached document as Exhibit K-2 (Doc. 391-17) to Morales' Reply Memorandum in Support of Motion to Release Funds, and the Clerk shall delete the previously filed version from the Middle District of Louisiana Electronic Document Filing System. [THIS DOCUMENT APPLIES TO CIVIL ACTION NO. 3:10-857-JJB-SCR] Signed by Judge James J. Brady on 11/12/215. (BCL)
November 10, 2015 Filing 393 Ex Parte MOTION to Substitute Exhibit to Reply Memorandum (Doc. 391-17) by Walter A Morales, III. (Attachments: #1 Exhibit K-2, #2 Proposed Order)(Milazzo, John)
November 9, 2015 Filing 392 Minute Entry/Status Conference Report and Order Extending Time to File Response to Motion and Order Setting Status Conference for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Status Conference held on 11/9/2015. The parties discussed discovery issues. The Court determined that the time to file an opposition or other response to the pending Motion for Protective Order Regarding Rule 39)(b)(6) Deposition of Sand Spring Capital III, LLC, is extended indefinitely. The time to file a response to the motion will be fixed by the court, if necessary, after further consultation with counsel. A Telephone Status Conference is set for 12/9/2015 at 02:00 PM in chambers before Magistrate Judge Stephen C. Riedlinger. (LLH)
November 9, 2015 Filing 391 REPLY Memorandum in Support of #358 MOTION for Release of Funds filed by Commonwealth Advisors, Inc., Walter A Morales, III.. (Attachments: #1 Exhibit A, #2 Exhibit B - 2, #3 Exhibit B - 3, #4 Exhibit C - 2, #5 Exhibit D - 2, #6 Exhibit D - 3, #7 Exhibit E - 2, #8 Exhibit F - 2, #9 Exhibit G - 2, #10 Exhibit G - 3, #11 Exhibit H - 2, #12 Exhibit H - 3, #13 Exhibit I - 1, #14 Exhibit I - 2, #15 Exhibit J - 2, #16 Exhibit J - 3, #17 Exhibit K - 2)(LLH) Modified to replace exhibit as per #394 order on 11/12/2015 (BCL).
November 9, 2015 Opinion or Order Filing 390 ORDER granting #388 Ex Parte Motion for Leave to File Excess Pages. Defendants shall accordingly be permitted to file the submitted Reply Memorandum in Support of their #358 Motion for Release of Funds, which Memorandum shall not exceed ten pages. Signed by Judge James J. Brady on 11/9/2015. (LLH) Modified on 11/9/2015 to edit text (LLH).
November 6, 2015 Filing 389 SEALED MOTION for Leave to File Exhibits to Reply Memorandum Under Seal by Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Proposed Order, #3 Declaration of Walter Morales, #4 Exhibit B-1 to Reply Declaration, #5 Exhibit C-1 to Reply Declaration, #6 Exhibit D-1 to Reply Declaration, #7 Exhibit E-1 to Reply Declaration, #8 Exhibit F-1 to Reply Declaration, #9 Exhibit G-1 to Reply Declaration, #10 Exhibit H-1 to Reply Declaration, #11 Exhibit J-1 to Reply Declaration, #12 Exhibit K-1 to Reply Declaration)(French, Ryan)
November 6, 2015 Filing 388 Ex Parte MOTION for Leave to Exceed Page Limitation by Walter A Morales, III. (Attachments: #1 Proposed Order, #2 Proposed Reply Memorandum, #3 Exhibit A to Reply Declaration, #4 Exhibit B-2 to Reply Declaration, #5 Exhibit B-3 to Reply Declaration, #6 Exhibit C-2 to Reply Declaration, #7 Exhibit D-2 to Reply Declaration, #8 Exhibit D-3 to Reply Declaration, #9 Exhibit E-2 to Reply Declaration, #10 Exhibit F-2 to Reply Declaration, #11 Exhibit G-2 to Reply Declaration, #12 Exhibit G-3 to Reply Declaration, #13 Exhibit H-2 to Reply Declaration, #14 Exhibit H-3 to Reply Declaration, #15 Exhibit I-1 to Reply Declaration, #16 Exhibit I-2 to Reply Declaration, #17 Exhibit J-2 to Reply Declaration, #18 Exhibit J-3 to Reply Declaration, #19 Exhibit K-2 to Reply Declaration)(French, Ryan) Modified on 11/9/2015 to edit text (ELW).
November 6, 2015 Filing 387 RULING: This ruling applies to CV 10-857. The #360 Joint Motion for Leave to Extend the Time Permitted for Defendant Walter Morales Deposition is granted. Defendant Walter Morales may be deposed for two days consisting of a total of 14 hours. Signed by Magistrate Judge Stephen C. Riedlinger on 11/6/2015. (BCL)
November 6, 2015 Opinion or Order Filing 386 ORDER granting #385 Motion to Strike 384 Ex Parte Motion for Leave to File Excess Pages. Signed by Judge James J. Brady on 11/6/2015. (BCL)
November 6, 2015 Filing 385 Ex Parte MOTION to Strike 384 Ex Parte MOTION for Leave to File Excess Pages with Reply Memorandum by Walter A Morales, III. (Attachments: #1 Proposed Order)(French, Ryan)
November 4, 2015 Filing 384 STRICKEN FROM THE RECORD Ex Parte MOTION for Leave to File Excess Pages with Reply Memorandum by Walter A Morales, III. (Attachments: # 1 Proposed Order)(French, Ryan) Modified to removed document as it has been stricken from the record on 11/6/2015 (BCL).
October 27, 2015 MOTION(S) REFERRED: #383 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Sand Spring Capital III, LLC. This motion is now pending before the USMJ. (ELW)
October 26, 2015 Filing 383 MOTION for Protective Order Regarding Rule 30(b)(6) Deposition of Sand Spring Capital III, LLC by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F)(Berg, Nicholas)
October 26, 2015 Filing 382 MEMORANDUM of Law in Opposition to #358 MOTION for Release of Funds filed by Securities and Exchange Commission. (LLH)
October 26, 2015 Opinion or Order Filing 381 ORDER granting #370 Motion to Intervene, for the limited purposes of opposing the Motion to Release Funds filed by defendants Commonwealth Advisors, Inc. and Walter A. Morales, and participating in any further related proceedings as directed by the Court. The clerk of court file the Securities and Exchange Commission's Memorandum of Law in Opposition to Motion to Release Funds submitted with the motion. Signed by Magistrate Judge Stephen C. Riedlinger on 10/26/2015. (LLH)
October 26, 2015 Opinion or Order Filing 380 ORDER granting #368 Motion to Join Joint Motion for Leave to Extend the Time Permitted for Defendant Walter Morales' Deposition. Signed by Magistrate Judge Stephen C. Riedlinger on 10/26/2015. (LLH)
October 26, 2015 Opinion or Order Filing 379 ORDER granting #369 Motion Withdraw and Substitute. Signed by Magistrate Judge Stephen C. Riedlinger on 10/26/2015. (LLH)
October 26, 2015 MOTION(S) REFERRED: #370 MOTION to Intervene . This motion is now pending before the USMJ. (LLH)
October 26, 2015 MOTION(S) REFERRED: #369 MOTION to Withdraw and Substitute . This motion is now pending before the USMJ. (BCL)
October 23, 2015 Filing 378 Additional Exhibits to #371 Memorandum in Opposition to Motion, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit Deposition Excerpts)(Reasonover, Kirk)
October 23, 2015 Filing 377 Additional Exhibits to #371 Memorandum in Opposition to Motion, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit Final Decree, #2 Exhibit Ex to Final Decree)(Reasonover, Kirk)
October 23, 2015 Filing 376 Additional Exhibits to #371 Memorandum in Opposition to Motion, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit Confirmation order, #2 Exhibit F1 Confirmation order ex, #3 Exhibit F2 Confirmation Order Ex, #4 Exhibit F3 Confirmation Order Ex, #5 Exhibit G Mtn for Final Decree, #6 Exhibit G1 ex to Mtn for Final Decree, #7 Exhibit G2 Ex to Mtn for Final Decree, #8 Exhibit G3 Ex to Mtn for Final Decree, #9 Exhibit G4 ex to mtn for final decree, #10 Exhibit EX to Mtn for Final Decree, #11 Exhibit H Morales Obj to Final Decree)(Reasonover, Kirk)
October 23, 2015 Filing 375 Additional Exhibits to #371 Memorandum in Opposition to Motion, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit EX 1 to Cash distirbution of principal)(Reasonover, Kirk)
October 23, 2015 Filing 374 Additional Exhibits to #371 Memorandum in Opposition to Motion, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit B2 CACFI LTD Articles, #2 Exhibit B3 CASE LTD Articles, #3 Exhibit B4 SSC3 LTD Articles, #4 Exhibit EX c cash distribution order, #5 Exhibit c1 cash distribution order)(Reasonover, Kirk)
October 23, 2015 Filing 373 Additional Exhibits to #371 Memorandum in Opposition to Motion, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A-1 CAHYLLC Agreement, #2 Exhibit A-2 CAFIF LLC Agreement, #3 Exhibit A-3 CASE LLC Agreement, #4 Exhibit A-4 SSC3LLC Agreement, #5 Exhibit A-5 SSC MF LLC Agreement)(Reasonover, Kirk)
October 23, 2015 Filing 372 Additional Exhibits to #371 Memorandum in Opposition to Motion, by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Affidavit Edgington Declaration, #2 Exhibit Edgington EX A, #3 Exhibit Edgington EX B)(Reasonover, Kirk)
October 23, 2015 Filing 371 Objection of the CA Funds to #358 MOTION for Release of Funds filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Reasonover, Kirk) Modified to edit text on 10/26/2015 (BCL).
October 23, 2015 Filing 370 MOTION to Intervene by Securities and Exchange Commission. (Attachments: #1 Proposed Pleading; Memorandum in Opposition, #2 Proposed Pleading; Proposed Order)(Williams, A.)
October 23, 2015 Filing 369 MOTION to Withdraw and Substitute rec. doc. #368 by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Attachment S&Y Parties' Motion to Join, #2 Attachment S&Y Parties' Memorandum in Support of Motion to Join)(Dressel, Robert) Modified to edit text on 10/26/2015 (BCL).
October 23, 2015 Filing 368 Plaintiffs' Motion to Join Joint Motion for Leave to Extend the Time Permitted for Defendant Walter Morales' Deposition by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert) Modified to edit text on 10/23/2015 (BCL). ( #1 Memorandum in Support) . Modified on 10/26/2015 to replace main document and add memo as per Order # 379 (LLH).
October 23, 2015 MOTION(S) REFERRED: #368 MOTION to Join Plaintiffs' Joint Motion for Leave to Extend the Time Permitted for Defendant Walter Morales' Deposition. This motion is now pending before the USMJ. (BCL)
October 20, 2015 Opinion or Order Filing 367 ORDER granting #366 Ex Parte Motion to Strike Rec. Doc. No. 362 By the S&Y Parties. The clerk of court will strike 362 The S&Y Parties' Unopposed Motion for Leave to Serve Deposition Subpoena by Alternative Means. Signed by Magistrate Judge Stephen C. Riedlinger on 10/20/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
October 20, 2015 Filing 366 Ex Parte MOTION to Strike 362 Unopposed MOTION for Leave to Serve Deposition Subpoena by Alternative Means by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert)
October 20, 2015 Opinion or Order Filing 365 ORDER granting #364 Unopposed Motion for Leave to Serve Subpoena by Alternative Means. Defendants Stone & Youngberg L.L.C., Stifel Financial Corporation, Stifel, Nicolaus & Company, Inc., and Anthony Guiamano may serveDaniel J. Doebele with a subpoena by electronic mail to his personal and business e-mail addresses in relation to the above-captioned litigation. At the time such email service is made, the defendants shall also serve Daniel J. Doebele with the The S&Y Parties' Unopposed Motion for Leave to Serve Subpoena by Alternative Means and this Order. Fees for attendance and mileage required to tendered to the deponent pursuant to Rule 45(b)(1) shall be tendered to the deponent at the deposition. The pleading applies to 10-CV-857-JJB-SCR. Signed by Magistrate Judge Stephen C. Riedlinger on 10/20/2015. (BCL)
October 20, 2015 MOTION(S) REFERRED: #364 Unopposed MOTION for Leave to Serve Deposition Subpoena by Alternative Means. This motion is now pending before the USMJ. (BCL)
October 19, 2015 Filing 364 Unopposed MOTION for Leave to Serve Deposition Subpoena by Alternative Means by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Dressel, Robert) Modified to edit text on 10/20/2015 (BCL).
October 19, 2015 Filing 363 MEMORANDUM in Opposition to #360 Joint MOTION for Leave to Extend the Time Permitted for Walter Morales' Deposition filed by Walter A Morales, III. (Attachments: #1 Exhibit A, #2 Exhibit B)(Tulley, Fredrick) Modified to edit text on 10/20/2015 (BCL).
October 19, 2015 Filing 362 STRICKEN FROM THE RECORD Unopposed MOTION for Leave to Serve Deposition Subpoena by Alternative Means by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Dressel, Robert) Modified to remove the document as it has been stricken on 10/21/2015 (BCL).
October 13, 2015 MOTION(S) REFERRED: #360 Joint MOTION for Leave to Take the deposition of Walter Morales for More than Seven Hours . This motion is now pending before the USMJ. (LLH)
October 12, 2015 Filing 360 Joint MOTION for Leave to Extend the Time Permitted for deposition of Walter Morales by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Preston Cloyd, Firefighters' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd., Janice B. Virgadamo. (Attachments: #1 Memorandum in Support)(Berg, Nicholas) Modified on 10/13/2015 to edit text (LLH).
October 5, 2015 Filing 361 Minute Entry for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Status Conference held on 10/5/2015. Counsel for the plaintiffs in CV 10-857 advised that the deposition of Walter Morales is set for 11/11/2015, with a second day of testimony on 11/13/215 if agreed to by the defendant or ordered by the court. Counsel advised that a motion to extend the deposition to a second day will be filed by 10/12/2015, if necessary. If a motion is filed, counsel for defendant will file a response by 10/19/2015. Status Conference set for 11/9/2015 at 02:00 PM before Magistrate Judge Stephen C. Riedlinger. Counsel for the plaintiffs in CV 10-857 shall arrange a conference call and notify all counsel and the court of the call-in number and passcode. The purpose of the conference is to review the progress of discovery and adjust the scheduling order deadlines if necessary.(BCL)
October 2, 2015 Filing 359 NOTICE on #358 MOTION for Release of Funds :. Opposition, limited to 10 pages, to the motion shall be filed on or before 10/23/15. The mover may file a reply brief, limited to 5 pages, within 14 days of the filing of the opposition.(This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (MJ)
October 2, 2015 Filing 358 MOTION for Release of Funds by Walter A Morales, III. (Attachments: #1 Memorandum in Support, #2 Exhibit A - Distribution Order, #3 Exhibit B - Motion for Final Decree, #4 Exhibit C -- Final Decree, #5 Exhibit D - Walter Morales Affidavit, #6 Proposed Order)(Tulley, Fredrick)
September 8, 2015 Opinion or Order Filing 357 ORDER granting #356 Ex Parte Motion to Withdraw and Substitute Counsel of Record. David N. Luder added as attorney for Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., and Stone & Youngberg, LLC, replacing Andrew J. Graeve. Signed by Magistrate Judge Stephen C. Riedlinger on 9/8/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
September 4, 2015 Filing 356 Ex Parte MOTION to Withdraw and Substitute Counsel of Record by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Proposed Pleading; Proposed Order)(Freeman, George) Modified on 9/8/2015 to edit text (ELW).
September 2, 2015 Filing 355 Minute Entry for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Status Conference held 9/2/2015. Counsel for the plaintiffs in CV 10-857 advised the court on the progress of discovery. Counsel also discussed a possible future issue with responses to contention interrogatories, resolve this issue amicably. Counsel agreed that another status conference would be helpful. IT IS ORDERED that a telephone status conference is set for 10/5/2015 at 4:00 p.m. Counsel for the plaintiffs in CV 10-857 shall arrange a conference call and notify all counsel and the court of the call-in number and passcode. The purpose of the conference is to review the progress of discovery and adjust the scheduling order deadlines if necessary. (BCL)
July 31, 2015 Filing 354 Minute Entry for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Status Conference held on 7/31/2015. Counsel for the plaintiffs in CV 10-857 advised the court on the progress of discovery, particularly deposition discovery. Counsel agreed that another status conference would be helpful. Telephone Conference set for 9/2/2015 at 09:30 AM before Magistrate Judge Stephen C. Riedlinger. Counsel for the plaintiffs in CV10-857 shall arrange a conference call and notify all counsel and the court of the call-in number and passcode. (BCL)
July 17, 2015 Opinion or Order Filing 353 ORDER granting #352 Motion for Admission Pro Hac Vice of Rory C. Flynn. Rory C. Flynn added as attorney pro hac vice for Michael Jennings.Signed by Magistrate Judge Stephen C. Riedlinger on 7/17/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
July 17, 2015 Filing 352 MOTION for Rory C. Flynn to Appear Pro Hac Vice by Michael Jennings. (Attachments: #1 Affidavit, #2 Affidavit, #3 Proposed Pleading;)(Chastain, James)
June 30, 2015 Filing 351 Minute Entry/Status Conference Report and Order Setting Status Conference for proceedings held before Magistrate Judge Stephen C. Riedlinger: Status Conference held on 6/30/2015. Discovery issues were discussed. Counsel will advise the court if discovery issues, including problems scheduling depositions and disputes as to the adequacy of discovery responses, become significant enough to warrant appointment of a special master for management of discovery, pursuant to Rule 53, Fed.R.Civ.P.. Counsel agreed that another status conference would be helpful. Telephone Conference set for 7/31/2015 at 09:30 AM before Magistrate Judge Stephen C. Riedlinger. (LLH)
June 25, 2015 Filing 350 RULING on #327 MOTION for Judgment on the Pleadings and #328 Motion Deem Allegations Admitted for Failure to Deny: This applies to Civil Action 3:10-CV-857-JJB-SCR. Considering the extent of discovery yet to have been conducted, the Court finds that this is not an opportune time to issue a Judgment on the Pleadings striking affirmative defenses or to Deem Allegations as Admitted. As discovery continues, factual allegations will continue to be addressed and it may then become necessary for S&Y Parties to amend their answer to provide further clarification. This matter may be raised again at that time. Signed by Judge James J. Brady on 06/24/2015. (BCL)
June 25, 2015 Opinion or Order Filing 349 RULING: Finding that it is premature at this early stage in discovery to order severance, this Court DENIES the #338 Motion to Sever and Proceed Separately. If managing discovery with a large number of parties remains a concern, this Court would suggest that the parties consider the services of a Special Master for purposes of discovery. Signed by Judge James J. Brady on 06/25/2015. (BCL)
May 29, 2015 Filing 348 ANSWER to J.P. Morgan Securities #292 Answer to Amended Complaint, Crossclaim, Counterclaim, by Commonwealth Advisors, Inc., Walter A Morales, III re (Tulley, Fredrick) Modified on 5/29/2015 to edit the text (NLT).
May 29, 2015 Filing 347 ANSWER to Crossclaim of J.P. Morgan Clearing (filed in #10-857 Doc. 62) by Commonwealth Advisors, Inc., Walter A Morales, III.(Tulley, Fredrick) Modified on 5/29/2015 to edit the text (NLT).
May 14, 2015 Filing 345 REPLY Memorandum in Supprt of #338 MOTION to Sever filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (BCL)
May 14, 2015 Opinion or Order Filing 344 ORDER granting #343 MOTION for Leave to File Reply Memorandum in Support of #338 Motion to Severfiled by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Anthony Guaimano. Signed by Judge James J. Brady on 05/14/2015. (BCL)
May 13, 2015 Filing 343 MOTION for Leave to File Reply Memorandum in Support of Motion to Sever [Rec. Doc. 338] by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Reply Memorandum)(Graeve, Andrew)
May 4, 2015 Filing 342 MEMORANDUM in Opposition to #338 MOTION to Sever filed by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support)(Tulley, Fredrick)
April 29, 2015 Filing 346 Minute Entry for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Status Conference held on 4/29/2015. Counsel advised the court regarding the progress of discovery. A telephone status conference is set for 6/30/2015 at 12:00 noon. Counsel for the plaintiffs in CV 10-857 shall arrange a conference call and notify all counsel and the court of the call-in number and passcode. (BCL)
April 29, 2015 Filing 341 REPLY to #330 Combined Opposition filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A)(Berg, Nicholas) Modified to edit text on 4/30/2015 (BCL).
April 29, 2015 Opinion or Order Filing 340 ORDER granting #339 Motion for Expedited Consideration. Any Opposition to #338 MOTION to Sever and Proceed Separately shall be filed within 3 days. Signed by Judge James J. Brady on 4/29/2015. (LLH)
April 29, 2015 Set/Reset Deadlines. (LLH)
April 24, 2015 Filing 339 Ex Parte MOTION for Expedited Hearing on #338 MOTION to Sever and Proceed Separately by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert) Modified on 4/27/2015 to edit text (LLH).
April 24, 2015 Filing 338 MOTION to Sever and Proceed Separately by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support)(Dressel, Robert) Modified on 4/27/2015 to edit text (LLH).
April 24, 2015 Opinion or Order Filing 337 ORDER granting #333 Motion for Stipulated and Agreed Protective Order. Signed by Magistrate Judge Stephen C. Riedlinger on 4/23/2015. (SMG)
April 23, 2015 Opinion or Order Filing 336 ORDER finding as moot #334 Request for Oral Argument on S&Y Parties' Motion for Protective Order of Confidentiality. Movers advised the court by #335 letter dated 4/23/2015 that motion is not opposed and oral argument is no longer necessary. Signed by Magistrate Judge Stephen C. Riedlinger on 4/23/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
April 23, 2015 Filing 335 NOTICE of Consent by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC re #334 MOTION for Oral Argument on #333 MOTION for Protective Order , #333 MOTION for Protective Order (Dressel, Robert)
April 21, 2015 MOTION(S) REFERRED: #333 MOTION for Protective Order , #334 MOTION for Oral Argument on #333 MOTION for Protective Order . This motion is now pending before the USMJ. (LLH)
April 20, 2015 Filing 334 MOTION for Oral Argument on #333 MOTION for Protective Order by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Attachment Proposed Order)(Dressel, Robert)
April 20, 2015 Filing 333 MOTION for Protective Order by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B)(Dressel, Robert)
April 20, 2015 Opinion or Order Filing 332 ORDER granting #331 Motion to Substitute Versions of S&Y Parties' Combined Memorandum in Opposition to the CA Funds' Motions for Judgment on the Pleadings and to Deem Allegations Admitted. Signed by Judge James J. Brady on 4/20/2015. (LLH)
April 16, 2015 Filing 331 Consent MOTION to Substitute Versions of S&Y Parties' #330 Combined Memorandum in Opposition to the CA Fund's #327 , #328 Motions for Judgment on the Pleadings and to Deem Allegations Admitted by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Attachment Proposed Amended Pleading and Exhibit)(Dressel, Robert) Modified to edit text and create docket relationship on 4/17/2015 (BCL).
April 15, 2015 Filing 330 Combined MEMORANDUM in Opposition to #327 MOTION for Judgment on the Pleadings as to Certain Affirmative Defenses and to #328 MOTION to Deem Allegations Admitted filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Exhibit Exhibit A)(Dressel, Robert) Modified to edit text on 4/16/2015 (BCL). Modified on 4/20/2015 to replace opposition and exhibit as per Order #332 (LLH).
March 30, 2015 Filing 329 NOTICE to PARTIES on #327 MOTION to Dismiss and #328 MOTION to Deem Allegations Admitted: Any Opposition(s) be filed within 21 days of the filing of the motion. Any reply be filed within 14 days of the filing of the opposition. Signed by Judge James J. Brady on 3/30/2015. (JDL)
March 25, 2015 Filing 328 MOTION to Deem Allegations Admitted for Failure to Deny as Required by Rule 8(b) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B)(Berg, Nicholas)
March 25, 2015 Filing 327 MOTION for Judgment on the Pleadings as to Certain Affirmative Defenses by the Stone & Youngberg Defendants by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D)(Berg, Nicholas)
March 18, 2015 Opinion or Order Filing 326 ORDER granting #325 Ex Parte Motion to Enroll as Counsel of Record. Added attorney Andrew James Graeve for Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., and Stone & Youngberg, LLC. Signed by Magistrate Judge Stephen C. Riedlinger on 3/18/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
March 18, 2015 Filing 325 Ex Parte MOTION to Enroll Andrew J. Graeve as Additional Attorney by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Freeman, George)
March 18, 2015 MOTION(S) REFERRED: #325 Ex Parte MOTION to Enroll Andrew J. Graeve as Additional Attorney . This motion is now pending before the USMJ. (LLH)
March 10, 2015 Opinion or Order Filing 324 ORDER granting #323 Motion to Enroll Additional Attorney. Added attorney Mark James Chaney, III for J.P. Morgan Clearing Corp.,Mark James Chaney, III for J.P. Morgan Securities, LLC. Signed by Magistrate Judge Stephen C. Riedlinger on 03/10/2015. (BCL)
March 10, 2015 MOTION(S) REFERRED: #323 MOTION to Enroll Mark J. Chaney as Additional Attorney . This motion is now pending before the USMJ. (JDL)
March 9, 2015 Filing 323 MOTION to Enroll Mark J. Chaney as Additional Attorney by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Attachments: #1 Order)(Lipsey, Christine)
February 25, 2015 Filing 322 Minute Entry/Scheduling Order and Order setting Status Conference for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Conference held on 2/25/2015. Discovery due by 4/15/2016. Discovery from Experts due by 4/15/2016. Plaintiff`s Expert Witness List due by 2/12/2016. Defendant`s Expert Witness List due by 3/11/2016. Plaintiff`s Expert Reports due by 2/12/2016. Defendant`s Expert Reports due by 3/11/2016. Motions In Limine and Daubert Motions shall be filed by 4/29/2016. Affidavit of Settlement Efforts due by 10/21/2016. Joint jury instructions, voir dire, verdict forms, and trial briefs due by 10/28/2016. Dispositive Motions shall be filed by 7/15/2015. Telephone Conference set for 4/29/2015 at 09:30 AM before Magistrate Judge Stephen C. Riedlinger. Proposed Pretrial Order due by 9/9/2016. Pretrial Conference set for 9/29/2016 at 01:30 PM in chambers before Judge James J. Brady. Jury Trial set for 11/28/2016 - 12/16/2016 at 09:00 AM in Courtroom 1 before Judge James J. Brady. (LLH)
February 24, 2015 Filing 321 STATUS REPORT by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
February 24, 2015 Opinion or Order Filing 320 ORDER granting #319 Joint Consent Motion to Dismiss Without Prejudice. The Clerk of Court shall terminate Schwab as a party to these proceedings. Signed by Judge James J. Brady on 2/24/2015. (SMG)
February 23, 2015 Filing 319 Joint Consent MOTION to Dismiss without Prejudice by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Charles Schwab & Co., Inc., Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified to edit text on 2/24/2015 (SMG).
February 20, 2015 Opinion or Order Filing 318 ORDER granting #317 Unopposed Motion for Extension of Time to File Status Report. Status Report due by 2/24/2015. Signed by Magistrate Judge Stephen C. Riedlinger on 2/20/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
February 20, 2015 Filing 317 Unopposed MOTION for Extension of Time to File Status Report by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Exhibit A - Draft Status Report)(Berg, Nicholas)
February 12, 2015 Opinion or Order Filing 316 RULING: J.P. Morgan Clearing Corp. and J.P. Morgan Securities, LLC's #263 Motion for Protective Order, is denied as moot. Moving defendants who or which remain parties to the case shall serve their discovery responses to previously served discovery requests within the time allowed by the Federal Rules of Civil procedure, calculated from February 10, 2015. Signed by Magistrate Judge Stephen C. Riedlinger on 2/12/2015. (JDL)
February 11, 2015 Opinion or Order Filing 315 ORDER granting #314 Commonwealth Advisor, Inc. and Walter Morales' Motion to Substitute Counsel of Record. Attorneys Ryan Keith French and John Anthony Milazzo, Jr. added for Commonwealth Advisors, Inc. and Walter A. Morales III, replacing John Ashley Moore and Katia Desrouleaux Bowman. Signed by Magistrate Judge Stephen C. Riedlinger on 2/11/2015. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
February 11, 2015 MOTION(S) REFERRED: #314 MOTION to Substitute Ryan K. French and John A. Milazzo Jr. in place of John Ashley Moore and Katia Desrouleaux Bowman as Attorney . This motion is now pending before the USMJ. (LLH)
February 10, 2015 Filing 314 MOTION to Substitute Ryan K. French and John A. Milazzo Jr. in place of John Ashley Moore and Katia Desrouleaux Bowman as Attorney by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Order)(Tulley, Fredrick)
February 10, 2015 Filing 313 RULING denying #289 Motion to Reconsider or, in the Alternative, to Certify Judgment as Final. Signed by Judge James J. Brady on 02/10/2015. (BCL)
February 9, 2015 Filing 312 REPLY to #304 Memorandum in Opposition to Motion, #289 MOTION for Reconsideration of #272 or, in the Alternative, to Certify Judgment as Final filed by All Plaintiffs. (Attachments: #1 Exhibit Schif Depo Excerpts, #2 Exhibit Pembroke Depo Excerpts)(Swanson, James)
February 6, 2015 Opinion or Order Filing 311 ORDER granting #302 Motion for Status Conference. Telephone Conference set for 2/25/2015 at 09:30 AM before Magistrate Judge Stephen C. Riedlinger. The parties shall confer and prepare a report as provided by Rule 26(f), Fed.R.Civ.P., and Local Rule 26.2., said report to be filed by the plaintiffs by 2/20/2015. Signed by Magistrate Judge Stephen C. Riedlinger on 2/6/2015. (SMG)
February 6, 2015 Set/Reset Deadlines (SMG)
February 5, 2015 Filing 310 RULING denying #281 Motion to Reconsider #272 Ruling and denying #306 Motion to Strike #301 Reply to Response to Motion Or Alternatively for Leave to File Surreply. Signed by Judge James J. Brady on 2/5/2015. (LLH)
February 5, 2015 Filing 309 RULING denying #280 Motion to Reconsider #272 Ruling. Signed by Judge James J. Brady on 2/5/2015. (LLH)
February 2, 2015 Filing 308 ANSWER AND AFFIRMATIVE DEFENSES to #297 Answer to Amended Complaint, Counterclaim, by CA Core Fixed Income Fund, LLC, CA High Yield Fund, LLC, CA Strategic Equity Fund, LLC, Sand Spring Capital III Master Fund, LLC.(Berg, Nicholas) Modified on 2/3/2015 to edit text (LLH).
January 27, 2015 Filing 307 MEMORANDUM in Opposition to #306 MOTION to Strike filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 1/28/2015 to edit text (LLH).
January 27, 2015 Filing 306 MOTION to Strike #301 Reply to Response to Motion Or Alternatively for Leave to File Surreply by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Attachments: #1 Memorandum in Support, #2 Order)(Lipsey, Christine) Modified on 1/27/2015 to edit event and add motion for leave (LLH).
January 27, 2015 Filing 305 MOTION to Strike #301 Reply to Response to Motion,, Or Alternatively, For Leave to File Surreply And Incorporated Supporting Memorandum by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Lipsey, Christine)
January 27, 2015 MOTION(S) REFERRED: #302 MOTION for Status Conference . This motion is now pending before the USMJ. (JDL)
January 26, 2015 Filing 304 OPPOSITION to #289 Plaintiff's MOTION for Reconsideration of #272 or, in the Alternative, to Certify Judgment as Final filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert) Modified on 1/27/2015 to edit text (JDL).
January 26, 2015 Filing 303 ANSWER and Affirmative Defenses to #292 Counterclaim by J.P. Morgan Securities, LLC by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., Sand Spring Capital III Master Fund, LLC.(Berg, Nicholas) Modified on 1/27/2015 to edit text (JDL).
January 26, 2015 Filing 302 MOTION for Status Conference by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified on 1/27/2015 to edit text (JDL).
January 23, 2015 Filing 301 REPLY Memorandum in Support of #281 MOTION to Reconsider Ruling on #272 Order on Motions to Dismiss Claims Against J.P. Morgan Defendants under the Louisiana Securities Law filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 1/26/2015 to edit text (LLH).
January 23, 2015 Filing 300 REPLY Memorandum in Support of #280 MOTION to Reconsider Ruling on #272 Order on Motion to Dismiss Claims Against the Stone & Youngberg Defendants Under Louisiana Securities Law, #295 Memorandum in Opposition to Motion, filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified on 1/26/2015 to edit text (LLH).
January 20, 2015 Filing 299 ANSWER and Defenses to #185 Second Amended Complaint, by Michael Jennings.(Hanna, Sandra) Modified to edit text on 1/21/2015 (BCL).
January 20, 2015 Filing 298 ANSWER to #185 Second Amended Complaint by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC.(Freeman, George) Modified to edit text on 1/20/2015 (BCL).
January 12, 2015 Filing 297 ANSWER and Counterclaim to #185 Second Amended Complaint against CA Core Fixed Income Fund, LLC, CA High Yield Fund, LLC, CA Strategic Equity Fund, LLC, Sand Spring Capital III Master Fund, LLC by Charles Schwab & Co., Inc..(Bieck, Robert) Modified to edit text on 1/12/2015 (BCL).
January 9, 2015 Filing 296 Opposition to #280 MOTION to Reconsider Ruling on #272 Motion to Dismiss Claims Against Defendant Michael Jennings. (Hanna, Sandra) Modified to edit text on 1/12/2015 (BCL).
January 9, 2015 Filing 295 Opposition to #280 MOTION to Reconsider Ruling on #272 Motions to Dismiss Claims Against the Stone & Youngberg Defendants Under Louisiana Securities Law filed by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Dressel, Robert) Modified to edit text on 1/12/2015 (BCL).
January 9, 2015 Filing 294 MEMORANDUM in Opposition to #281 MOTION to Reconsider Ruling on #272 Motions to Dismiss Claims Against J.P. Morgan Defendants under the Louisiana Securities Law filed by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Lipsey, Christine) Modified to edit text on 1/12/2015 (BCL).
January 9, 2015 Filing 293 ANSWER and Affirmative Defenses to #210 First Supplemental and Amending Counterclaim by J.P. Morgan Clearing Corp. by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., Sand Spring Capital III Master Fund, LLC.(Berg, Nicholas) Modified to edit text on 1/12/2015 (BCL).
January 9, 2015 Filing 292 J.P. Morgan Securities LLC ANSWER and Affirmative Defenses to #185 Second Amended Complaint, CROSSCLAIM against Commonwealth Advisors, Inc., Walter A. Morales, Walter A Morales, III, COUNTERCLAIM against CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD by J.P. Morgan Securities, LLC.(Lipsey, Christine) Modified to edit text on 1/14/2015 (BCL).
January 9, 2015 Filing 291 Answer and Affirmative Defenses to #185 Second Amended Complaint filed by J.P. Morgan Clearing Corp.. (Lipsey, Christine) Modified to edit text on 1/12/2015 (BCL).
January 6, 2015 Filing 290 NOTICE on #289 MOTION for Reconsideration: Opposition to the motion shall be filed on or before 1/26/2015. The mover may file a reply brief within 14 days of the filing of the opposition. Signed by Judge James J. Brady on 1/6/2015. (SMG)
January 5, 2015 Filing 289 MOTION for Reconsideration of #272 or, in the Alternative, to Certify Judgment as Final by Plaintiffs. (Attachments: #1 Memorandum in Support)(Swanson, James) Modified to edit text on 1/6/2015 (BCL).
January 5, 2015 Filing 288 NOTICE on #281 , #280 MOTIONS to Reconsider: Opposition to the motion shall be filed on or before 1/9/2015. The mover may file a reply brief within 14 days of the filing of the opposition. Signed by Judge James J. Brady on 1/5/2015. (SMG)
December 23, 2014 Filing 287 Supplemental Exhibit(s) to #281 MOTION to Reconsider Ruling on #272 Order on Motions to Dismiss Claims Against J.P. Morgan Defendants under the Louisiana Securities Law by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit "A")(Berg, Nicholas) Modified to edit text on 12/23/2014 (BCL).
December 22, 2014 Opinion or Order Filing 286 ORDER granting #285 Unopposed Motion for an Extension of Time to Respond to Plaintiffs' Second Amended Complaint. Michael Jennings responsive pleading to #185 Second Amended Complaint due 1/9/2015. Signed by Magistrate Judge Stephen C. Riedlinger on 12/22/2014. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
December 22, 2014 Filing 285 Unopposed MOTION for Extension of Time to File Answer to #185 Second Amended Complaint by Michael Jennings. (Attachments: #1 Attachment Proposed Order)(Hanna, Sandra) Modified to edit text on 12/22/2014 (SMG).
December 22, 2014 Opinion or Order Filing 284 ORDER granting #279 Unopposed Motion for an Extension of Time to File Responsive Pleadings. Charles Schwab & Co., Inc., responsive pleading to #185 Second Amended Complaint due 1/12/2015. Signed by Magistrate Judge Stephen C. Riedlinger on 12/22/2014. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
December 22, 2014 Opinion or Order Filing 283 ORDER granting #278 Ex Parte Motion for Extension of Time to File Responsive Pleadings. Responsive pleading to #185 Second Amended Complaint by Stone & Youngberg L.L.C., Stifel Financial Corporation, Stifel, Nicolaus & Company,Inc., and Anthony Guaimano due by 1/9/2015. Signed by Magistrate Judge Stephen C. Riedlinger on 12/22/2014. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
December 22, 2014 Opinion or Order Filing 282 ORDER granting #277 Ex Parte Motion to Withdraw and Substitute Counsel of Record. Attorneys Jamie L. Berger and Robert J. Dressel added for Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, and Anthony Guiamano, replacing Sarah L. Rubin. Signed by Magistrate Judge Stephen C. Riedlinger on 12/22/2014. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
December 22, 2014 MOTION(S) REFERRED: #279 Unopposed MOTION for Extension of Time to File File Responsive Pleadings to #185 Amended Complaint. This motion is now pending before the USMJ. (BCL)
December 19, 2014 Filing 281 MOTION to Reconsider Ruling on #272 Order on Motions to Dismiss Claims Against J.P. Morgan Defendants under the Louisiana Securities Law by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support)(Berg, Nicholas) Modified to edit text on 12/22/2014 (BCL).
December 19, 2014 Filing 280 MOTION to Reconsider Ruling on #272 Order on Motion to Dismiss Claims Against the Stone & Youngberg Defendants Under Louisiana Securities Law by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Memorandum in Support)(Berg, Nicholas) Modified to edit text on 12/22/2014 (BCL).
December 19, 2014 Filing 279 Unopposed MOTION for Extension of Time to File File Responsive Pleadings to #185 Amended Complaint by Charles Schwab & Co., Inc.. (Attachments: #1 Proposed Pleading; Order)(Bieck, Robert) Modified to edit text on 12/22/2014 (BCL).
December 19, 2014 Filing 278 Ex Parte MOTION for Extension of Time to File Responsive Pleadings to #185 Second Amended Complaint by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Freeman, George) Modified to edit text on 12/19/2014 (BCL).
December 19, 2014 Filing 277 Ex Parte MOTION for Sarah L. Rubin to Withdraw as Attorney and Substitute Counsel of Record by Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Freeman, George)
December 19, 2014 MOTION(S) REFERRED: #278 Ex Parte MOTION for Extension of Time to File Responsive Pleadings to #185 Second Amended Complaint, #277 Ex Parte MOTION for Sarah L. Rubin to Withdraw as Attorney and Substitute Counsel of Record. This motion is now pending before the USMJ. (BCL)
December 18, 2014 Opinion or Order Filing 276 ORDER granting #275 Motion for Extension of Time to File Responsive Pleadings. Parties are allowed through and including 1/9/2015 within which to respond to #185 Second Amended Complaint, #210 First Supplemental and Amending Counterclaim. Signed by Magistrate Judge Stephen C. Riedlinger on 12/18/2014. (LLH)
December 18, 2014 Filing 275 Joint MOTION for Extension of Time To File Responsive Pleadings by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Order)(Lipsey, Christine)
December 8, 2014 Filing 274 RULING granting #193 Motion to Dismiss Plaintiffs' Fifth Amended Complaint. Signed by Judge James J. Brady on 12/8/2014. (NLT)
December 8, 2014 Filing 273 RULING denying #241 MOTION to Dismiss First Supplemental and Amending Counterclaim by J.P. Morgan Clearing Corp. Pursuant to Fed. R. Civ. P. 12(b)(6). Signed by Judge James J. Brady on 12/8/2014. (NLT)
December 8, 2014 Filing 272 RULING: This Court has considered the Motions to Dismiss filed by JPM Clearing #191 , JPM Securities #192 , Stone & Youngberg Parties, as adopted by Jennings, #197 , and Schwab #199 . This Court also considered all responsive briefs filed by the Fund-Plaintiffs and the Defendants. All Motions to Dismiss claims based in fraud for failure to meet the heightened pleading standard for fraud are DENIED. All Motions to Dismiss claims of conspiracy to breach fiduciary duty are GRANTED. All Motions to Dismiss the claim of aiding and abetting the breach of a fiduciary duty are GRANTED. J.P. Morgan parties and Schwab's Motions to Dismiss breach of fiduciary duty claims are GRANTED. Stone & Youngberg Parties' Motion to Dismiss the breach of fiduciary duty claim is DENIED. Schwab's Motion to Dismiss the primary liability claims under Louisiana Securities Law is GRANTED. Stone & Youngberg's Motion to Dismiss the primary liability claims under Louisiana Securities Law is GRANTED. Stone & Youngberg's Motion to Dismiss the control person claims under Louisiana Securities Law against the individual-defendants is GRANTED. The Motions to Dismiss claims of secondary liability under Louisiana Securities Law, as filed by J.P. Morgan, Schwab, and Stone & Youngberg Parties, are GRANTED. Stone & Youngberg's Motion to Dismiss the negligence claim is DENIED. Stone & Youngberg Parties' Motion to Dismiss claims based on the fiduciary shield doctrine is DENIED. J.P. Morgan Securities Motion to Dismiss claims based on a corporal veil will be DENIED. Defendants Motions to Dismiss ERISA claims for Plaintiffs alleged lack of standing are DENIED. Defendants Motions to Dismiss the ERISA claims for Plaintiffs failure to state a claim are DENIED. Motions to Dismiss based on these claims having prescribed are DENIED. Signed by Judge James J. Brady on 12/8/2014. (NLT)
December 8, 2014 Filing 271 RULING: This Court has considered the Motions to Dismiss for Lack of Personal Jurisdiction by Michelle Wilson-Clarke #200 and by Kenneth Williams, Mitchell Gage, and Jack Turner #197 . This Court also considered all responsive briefs filed by the Fund-Plaintiffs and the Defendants in this matter. All Motions to Dismiss for Lack of Personal Jurisdiction are GRANTED. Signed by Judge James J. Brady on 12/8/2014. (NLT)
November 26, 2014 Filing 270 REPLY to #266 Memorandum in Opposition to Motion, #263 MOTION for Protective Order Staying Discovery, 269 Order on Motion for Leave to File,, filed by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Lipsey, Christine)
November 24, 2014 Opinion or Order Filing 269 ORDER granting #268 J.P. Morgan Clearing Corp. and J.P. Morgan Securities, L.L.C.'s MOTION for Leave to File Reply Memorandum In Support of Motion for Protective Order Staying Discovery, filed by J.P. Morgan Clearing Corp., and J.P. Morgan Securities, LLC. J.P. Morgan Clearing Corp., and J.P. Morgan Securities, LLC. reply memorandum due by 11/26/2014 at 5:00 p.m. Signed by Magistrate Judge Stephen C. Riedlinger on 11/24/2014. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
November 24, 2014 Filing 268 MOTION for Leave to File Reply Memo In Support of Motion for Protective Order Staying Discovery by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Attachments: #1 Order)(Lipsey, Christine)
November 21, 2014 Filing 267 MEMORANDUM in Opposition to #264 MOTION to Adopt #263 MOTION for Protective Order Staying Discovery filed by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
November 20, 2014 Filing 266 MEMORANDUM in Opposition to #263 MOTION for Protective Order Staying Discovery filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A)(Berg, Nicholas)
November 20, 2014 Opinion or Order Filing 265 ORDER granting #264 Motion to Adopt the #263 MOTION for Protective Order Staying Discovery and the Memorandum in Support Filed by J.P. Morgan Clearing Corp. and J.P. Morgan Securities, LLC on November 18, 2014, filed by Stone &Youngberg L.L.C., Stifel Financial Corporation, Stifel, Nicolaus & Company, Inc., Kenneth Williams, Mitchell Gage, Jack Turner, and Anthony Guaimano. Signed by Magistrate Judge Stephen C. Riedlinger on 11/20/2014. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (Riedlinger, Stephen)
November 19, 2014 Filing 264 MOTION to Adopt #263 MOTION for Protective Order Staying Discovery filed by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Attachment Proposed Order)(Freeman, George)
November 19, 2014 MOTION(S) REFERRED: #264 MOTION to Adopt #263 MOTION for Protective Order Staying Discovery filed by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC , #263 MOTION for Protective Order Staying Discovery. This motion is now pending before the USMJ. (NLT)
November 18, 2014 Filing 263 MOTION for Protective Order Staying Discovery by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Attachments: #1 Memorandum in Support, #2 Exhibit 1)(Lipsey, Christine)
November 18, 2014 Opinion or Order Filing 262 ORDER Cancelling Status Conference. The telephone status conference set for 11/19/2014 is canceled. After the district judge rules on the pending dispositive motions, another status conference will be scheduled for the dual purpose of addressing the remaining document production issues and entering a scheduling order. Signed by Magistrate Judge Stephen C. Riedlinger on 11/18/2014. (LLH)
August 28, 2014 Opinion or Order Filing 261 ORDER denying #260 MOTION for Leave to File Surreply in Opposition to Motion to Dismiss by Charles Schwab & Co. The court will not consider new arguments made in any reply brief. Signed by Judge James J. Brady on 8/28/2014. (SMG)
August 27, 2014 Filing 260 MOTION for Leave to File Surreply in Opposition to Motion to Dismiss by Charles Schwab & Co. by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;)(Berg, Nicholas)
August 20, 2014 Filing 258 MEMORANDUM in Opposition to #241 (Partial) MOTION to Dismiss First Supplemental and Amending Counterclaim by J.P. Morgan Clearing Corp. Pursuant to Fed. R. Civ. P. 12(b)(6) filed by J.P. Morgan Clearing Corp.. (Lipsey, Christine) Modified to edit text on 8/21/2014 (SMG).
August 18, 2014 Filing 259 Minute Entry/Scheduling Conference Report & Order Setting Status Conference for proceedings held before Magistrate Judge Stephen C. Riedlinger: Telephone Conference held on 8/18/2014. Counsel discussed a discovery scheduling order. The court concluded that discovery is not stayed, the parties may pursue necessary discovery. IT IS ORDERED that these cases are assigned for a Telephone Status Conference set for 11/19/2014 at 10:00 AM before Magistrate Judge Stephen C. Riedlinger. (JDL)
August 15, 2014 Filing 257 REPLY to #232 Memorandum in Opposition to Motion, #201 MOTION to Dismiss for Failure to State a Claim Second Amended Complaint filed by Michael Jennings. (Hanna, Sandra)
August 15, 2014 Filing 256 Reply MEMORANDUM in Support of #197 MOTION to Dismiss Plaintiffs' Second Amended Complaint filed by Mitchell Gage, Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Jack Turner, Kenneth Williams. (Freeman, George) Modified to edit text on 8/18/2014 (SMG).
August 15, 2014 Opinion or Order Filing 255 ORDER granting #254 Motion for Extension of Time to File Reply to #201 MOTION to Dismiss for Failure to State a Claim Second Amended Complaint. Replies due by 8/15/2014. Signed by Judge James J. Brady on 8/15/2014. (LLH)
August 13, 2014 Filing 254 Unopposed MOTION for Extension of Time To File Reply Memorandum In Support of Motion to Dismiss Plaintiffs' Second Amended Complaint by Michael Jennings. (Attachments: #1 Attachment Proposed Order)(Hanna, Sandra) Modified on 8/15/2014 to edit event (LLH).
August 13, 2014 Filing 253 REPLY to #231 Memorandum in Opposition to #199 MOTION to Dismiss for Failure to State a Claim filed by Charles Schwab & Co., Inc. (SMG)
August 13, 2014 Opinion or Order Filing 252 ORDER granting #248 MOTION for Leave to File a Reply Memorandum in Support of its Motion to Dismiss. Signed by Judge James J. Brady on 8/13/2014. (SMG)
August 12, 2014 Filing 251 REPLY to #228 Memorandum in Opposition to Motion,, #200 MOTION to Dismiss for Lack of Personal Jurisdiction filed by Michelle Wilson-Clarke. (Flanagan, Thomas)
August 12, 2014 Filing 250 REPLY to #192 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint), #240 Order on Motion for Extension of Time to File Response to a Motion, #230 Memorandum in Opposition to Motion, (Reply Memo In Support) filed by J.P. Morgan Securities, LLC. (Lipsey, Christine)
August 12, 2014 Filing 249 REPLY to #191 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint), #240 Order on Motion for Extension of Time to File Response to a Motion, #229 Memorandum in Opposition to Motion, (Reply Memo In Support) filed by J.P. Morgan Clearing Corp.. (Lipsey, Christine)
August 12, 2014 Filing 248 MOTION for Leave to File Memorandum in Reply to Plaintiffs' Response to Motion to Dismiss by Charles Schwab & Co., Inc.. (Attachments: #1 Attachment, #2 Proposed Pleading;)(Bieck, Robert)
August 5, 2014 Filing 247 REPLY to #226 Memorandum in Opposition to #193 Motion to Dismiss Fifth Amended Complaint filed by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Freeman, George) Modified to edit docket entry relationship on 8/6/2014 (SMG).
August 4, 2014 Opinion or Order Filing 246 ORDER granting #233 Motion for Extension of Time to File Response to #197 MOTION to Dismiss Plaintiffs' Second Amended Complaint and Motion for Leave to Exceed Page Limit. Replies due by 8/15/2014. The brief shall not exceed 30 pages total. Signed by Judge James J. Brady on 8/4/2014. (SMG)
August 4, 2014 Opinion or Order Filing 245 ORDER granting #243 Motion for Extension of Time to File Reply Memorandum in Support of Wilson-Clarke's Motion to Dismiss for Lack of Personal Jurisdiction. Wilson-Clarke may file a reply memorandum in support of her motion by 8/12/2014. Signed by Judge James J. Brady on 8/4/2014. (SMG)
August 4, 2014 Set/Reset Deadlines as to #199 MOTION to Dismiss for Failure to State a Claim . Replies due by 8/12/2014. (SMG)
August 4, 2014 Set/Reset Deadlines as to #200 MOTION to Dismiss for Lack of Personal Jurisdiction. Replies due by 8/12/2014. (SMG)
August 1, 2014 Filing 244 MEMORANDUM in Opposition to #197 MOTION to Dismiss Plaintiffs' Second Amended Complaint by Stone & Youngberg Defendants filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
August 1, 2014 Filing 243 Unopposed MOTION for Extension of Time to File Reply Memorandum in Support of Motion to Dismiss for Lack of Personal Jurisdiction by Michelle Wilson-Clarke. (Attachments: #1 Proposed Pleading; Proposed Order)(Flanagan, Thomas)
August 1, 2014 Opinion or Order Filing 242 ORDER granting #239 Motion for Extension of Time to File Response to #201 MOTION to Dismiss for Failure to State a Claim Second Amended Complaint until 8/14/2014. Signed by Judge James J. Brady on 8/1/2014. (SMG)
July 30, 2014 Filing 241 MOTION to Dismiss First Supplemental and Amending Counterclaim by J.P. Morgan Clearing Corp. Pursuant to Fed. R. Civ. P. 12(b)(6) by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., Sand Spring Capital III Master Fund, LLC. (Attachments: #1 Memorandum in Support)(Berg, Nicholas) Modified to edit text on 7/31/2014 (SMG).
July 30, 2014 Opinion or Order Filing 240 ORDER granting #238 Unopposed MOTION for Extension of Time To File Reply Memo In Support of Motions to Dismiss. J.P. Morgan Clearing Corp. and J.P. Morgan Securities, LLC may file reply memoranda in support of their motions to dismiss (R. Docs. 191 and 192) by 8/12/2014. Signed by Judge James J. Brady on 7/30/2014. (SMG)
July 29, 2014 Filing 239 Unopposed MOTION for Extension of Time to File Reply Memorandum in Support of Motion to Dismiss Plaintiffs' Second Amended Complaint by Michael Jennings. (Attachments: #1 Attachment Proposed Order)(Hanna, Sandra) Modified to edit event type on 8/1/2014 (SMG).
July 29, 2014 Filing 238 Unopposed MOTION for Extension of Time To File Reply Memo In Support of Motions to Dismiss by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Attachments: #1 Order)(Stout, Amanda) Modified to edit event type on 7/30/2014 (SMG).
July 29, 2014 Opinion or Order Filing 237 ORDER granting #236 Motion for Extension of Time to File Response to #199 MOTION to Dismiss for Failure to State a Claim. Charles Schwabs Motion for Extension of Time to Respond to the Plaintiffs Opposition to their Motion to Dismiss is GRANTED until 8/12/2014. Signed by Judge James J. Brady on 7/29/2014. (SMG)
July 28, 2014 Filing 236 Ex Parte MOTION for Extension of Time to File Response to #199 MOTION to Dismiss for Failure to State a Claim by Charles Schwab & Co., Inc.. (Attachments: #1 Attachment Proposed Order)(Bieck, Robert)
July 28, 2014 Filing 235 Corporate Disclosure Statement by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC identifying Corporate Parent Stifel Financial Corp. for Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC.. (Freeman, George)
July 28, 2014 Opinion or Order Filing 234 NOTICE and ORDER: The court having requested counsel to shorten the 227 opposition brief filed on 7/22/2014 from 124 pages to 80 pages, the clerks office shall strike the opposition brief from the record and allow an opposition brief to be filed on or before 8/1/2014 said opposition not to exceed 80 pages total. Signed by Judge James J. Brady on 7/28/2014. (SMG)
July 25, 2014 Filing 233 Ex Parte MOTION for Extension of Time to File Response to #197 MOTION to Dismiss Plaintiffs' Second Amended Complaint , MOTION for Leave to File Excess Pages by Mitchell Gage, Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Jack Turner, Kenneth Williams. (Attachments: #1 Proposed Pleading; Order)(Rubin, Sarah)
July 22, 2014 Filing 232 MEMORANDUM in Opposition to #201 MOTION to Dismiss for Failure to State a Claim Second Amended Complaint by Michael Jennings filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
July 22, 2014 Filing 231 MEMORANDUM in Opposition to #199 MOTION to Dismiss for Failure to State a Claim by Charles Schwab & Co. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
July 22, 2014 Filing 230 MEMORANDUM in Opposition to #192 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint) by J.P. Morgan Securities, LLC filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
July 22, 2014 Filing 229 MEMORANDUM in Opposition to #191 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint) by J.P Morgan Clearing Corp. filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
July 22, 2014 Filing 228 MEMORANDUM in Opposition to #200 MOTION to Dismiss for Lack of Personal Jurisdiction by Michelle Wilson-Clarke filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Exhibit A - Responses to RFAs, #2 Exhibit B - List of Entities)(Berg, Nicholas)
July 22, 2014 Filing 227 STRICKEN FROM THE RECORD MEMORANDUM in Opposition to #197 MOTION to Dismiss Plaintiffs' Second Amended Complaint by Stone & Youngberg Defendants filed by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas) Modified to remove the document as it has been stricken on 7/28/2014 (SMG).
July 22, 2014 Filing 226 MEMORANDUM in Opposition to #193 MOTION to Dismiss Plaintiffs' Fifth Amended Complaint filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Eilleen Collins, Steven D Collins, Sr, Firefighters' Retirement System, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Swanson, James)
July 22, 2014 Opinion or Order Filing 225 ORDER granting #224 MOTION for Leave to Amend his Motion to Dismiss the Plaintiffs' Second Amended Complaint, solely with respect to withdrawing Michael Jennings' motion to dismiss for lack of personal jurisdiction. Signed by Judge James J. Brady on 7/22/2014. (SMG)
July 18, 2014 Filing 224 Unopposed MOTION for Leave to File Motion for Leave to Amend Motion to Dismiss by Michael Jennings. (Attachments: #1 Attachment Proposed Order)(Hanna, Sandra)
July 18, 2014 Opinion or Order Filing 223 ORDER granting #221 Motion for Leave to File Excess Pages. CA Funds may file a Memoranda in Opposition to the Motions to Dismiss the Second Amended Complaint filed by J.P. Morgan Clearing Corp. and Charles Schwab & Co. in excess of the 30 page limit by 10 pages. Signed by Judge James J. Brady on 7/18/2014. (SMG)
July 18, 2014 Opinion or Order Filing 222 ORDER granting #220 Unopposed MOTION for Leave to Amend #197 Motion to Dismiss filed by Kenneth Williams, Stifel Financial Corp., Jack Turner, Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Mitchell Gage, Anthony Guaimano. Signed by Judge James J. Brady on 7/18/2014. (LLH) .
July 18, 2014 Filing 221 Unopposed MOTION for Leave to File Excess Pages by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
July 17, 2014 Filing 220 Unopposed MOTION for Leave to to Amend Motion to Dismiss by Mitchell Gage, Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Jack Turner, Kenneth Williams. (Freeman, George) Modified on 7/18/2014 to edit text (LLH).
July 15, 2014 Opinion or Order Filing 219 ORDER granting #218 Motion for Leave to Exceed Page Limit. Signed by Judge James J. Brady on 7/14/2014. (SMG)
July 12, 2014 Filing 218 Unopposed MOTION for Leave to File Excess Pages by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas)
July 1, 2014 Filing 217 Corporate Disclosure Statement by Charles Schwab & Co., Inc. (Bieck, Robert)
June 30, 2014 Filing 216 ANSWER to #185 Second Amended Complaint by Commonwealth Advisors, Inc., Walter A Morales, III.(Tulley, Fredrick) Modified to edit text on 7/1/2014 (SMG).
June 26, 2014 Opinion or Order Filing 215 ORDER granting #212 Motion for Extension of Time to File Responsive Pleadings to Amended Counterclaim. The CA Funds shall have an extension of time until 7/30/2014 to file responsive pleadings to the First Supplemental and Amending Counterclaim. Signed by Magistrate Judge Stephen C. Riedlinger on 6/26/2014. (SMG)
June 26, 2014 Opinion or Order Filing 214 ORDER granting #213 Motion for Extension of Time to File Response to #191 , #193 , #197 , #192 , #201 , #200 MOTIONS to Dismiss. Oppositions to the motions shall be filed on or before 7/22/2014. Replies due by 8/5/2014. Signed by Judge James J. Brady on 6/26/2014. (SMG)
June 26, 2014 Filing 213 Consent MOTION to Continue and Reset Deadlines for Opposition Memoranda and Replies to #197 MOTION to Dismiss Plaintiffs' Second Amended Complaint, #192 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint), #200 MOTION to Dismiss for Lack of Personal Jurisdiction, #193 MOTION to Dismiss Plaintiffs' Fifth Amended Complaint, #191 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint), #199 MOTION to Dismiss for Failure to State a Claim , #201 MOTION to Dismiss for Failure to State a Claim Second Amended Complaint by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Attachments: #1 Proposed Order)(Berg, Nicholas) Modified to edit motion type on 6/26/2014 (SMG).
June 26, 2014 Filing 212 Ex Parte MOTION for Extension of Time to File Responsive Pleadings to Amended Counterclaim by J.P. Morgan Clearing Corp. by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., Sand Spring Capital III Master Fund, LLC. (Attachments: #1 Proposed Order)(Berg, Nicholas)
June 26, 2014 Filing 211 Corporate Disclosure Statement by CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., CA Strategic Equity Fund, LLC, CA Strategic Equity Offshore Fund, LTD, Sand Spring Capital III Master Fund, LLC, Sand Spring Capital III, LLC, Sand Spring Capital III, Ltd.. (Berg, Nicholas)
June 26, 2014 MOTION(S) REFERRED: #212 Ex Parte MOTION for Extension of Time to File Responsive Pleadings to Amended Counterclaim by J.P. Morgan Clearing Corp.. This motion is now pending before the USMJ. (SMG)
June 26, 2014 Set/Reset Deadlines: CA Core Fixed Income Fund, LLC answer due 7/30/2014; CA Core Fixed Income Offshore Fund, LTD answer due 7/30/2014; CA High Yield Fund, LLC answer due 7/30/2014; CA High Yield Offshore Fund, LTD. answer due 7/30/2014. (SMG)
June 25, 2014 Filing 210 Amended COUNTERCLAIM (First Supplemental and Amending Counterclaim) against CA Core Fixed Income Fund, LLC, CA Core Fixed Income Offshore Fund, LTD, CA High Yield Fund, LLC, CA High Yield Offshore Fund, LTD., Sand Spring Capital III Master Fund, LLC, filed by J.P. Morgan Clearing Corp..(Lipsey, Christine)
June 25, 2014 Opinion or Order Filing 209 ORDER granting #195 Motion for Extension of Time to Answer. Commonwealth Advisors, Inc. answer due 6/30/2014; Walter A Morales, III answer due 6/30/2014. Signed by Magistrate Judge Stephen C. Riedlinger on 6/25/2014. (SMG)
June 25, 2014 MOTION(S) REFERRED: #195 Unopposed MOTION for Extension of Time to File Answer to #185 Amended Complaint,, . This motion is now pending before the USMJ. (NLT)
June 24, 2014 Opinion or Order Filing 208 ORDER: The #196 , #202 , #203 , #204 and #205 Requests for Oral Argument are DENIED at this time. The Clerk's Office shall terminate said motions. Considering the #191 , #192 , #193 , #197 , #199 , #200 and #201 various motions to dismiss: Oppositions be filed on or before 7/15/2014 and that Reply Briefs be filed on or before 7/30/2014. Signed by Judge James J. Brady on 6/24/2014. (SMG)
June 24, 2014 Filing 207 Corporate Disclosure Statement by J.P. Morgan Securities, LLC. (Lipsey, Christine)
June 24, 2014 Filing 206 Corporate Disclosure Statement by J.P. Morgan Clearing Corp.. (Lipsey, Christine)
June 24, 2014