Broyles v. Cantor Fitzgerald & Co. et al
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 |
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. |
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 |
Securities and Exchange Commission |
3:2010cv00854 |
December 22, 2010 |
US District Court for the Middle District of Louisiana |
Baton Rouge Office |
Shelly D Dick |
Carol B Whitehurst |
Securities/Commodities |
28 U.S.C. § 1441 - Petition for Removal: Securities Fraud |
Plaintiff |
Docket Report
This docket was last retrieved on January 20, 2021. A more recent docket listing may be available from PACER.
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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) |
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) |
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) |
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) |
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) |
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) |
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) |
Filing 988 MOTION in Limine to Exclude Financial Advisor References by Walter A Morales, III. (Attachments: #1 Memorandum in Support)(Gambel, Gary) |
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). |
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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). |
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) |
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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). |
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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) |
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) |
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) |
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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). |
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) |
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). |
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) |
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). |
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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) |
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) |
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) |
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) |
Filing 969 Minute Entry for proceedings held before Chief Judge Shelly D. Dick: Status Conference held on 2/12/2020. (BKA) |
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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) |
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) |
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). |
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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) |
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) |
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). |
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) |
Filing 959 NOTICE of Change of Address by Kevin Miller. (EDC) |
Filing 958 NOTICE of Sign In Sheet from Status Conference on 12/19/2019 (SWE) |
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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). |
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) |
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) |
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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) |
Filing 951 Notice Entered in error by Case Administrator. Modified on 1/11/2019 (SGO). |
Filing 950 Return on Notice to Counsel Regarding Hard Copies of Sealed Documents. Sealed Documents Received in the Clerk's Office. (KAH) |
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) |
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) |
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) |
Filing 947 NOTICE of Memorandum to Counsel or Parties from USCA. (KAH) |
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) |
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) |
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Filing 943 NOTICE to Counsel re: Receipt of Sealed Documents (KAH) |
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) |
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) |
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) |
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) |
Filing 938 MEMORANDUM dated 06/29/2017 from USCA to Counsel or Listed Parties Re: Order gratning Motion to View Sealed Records (NLT) |
Filing 937 Transmitted Record on Appeal to Jason Burge regarding #929 Notice of Appeal to the USCA for the 5th Circuit,. (TMR) |
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) |
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) |
Filing 935 There is no document #935. Entered in error by Case Administrator. (LLH) Modified on 4/24/2017 to edit the text (NLT). |
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). |
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) |
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) |
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) |
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) |
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) |
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). |
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) |
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) |
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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). |
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) |
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) |
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). |
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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) |
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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) |
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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) |
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) |
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) |
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). |
Filing 910 Statement Responding to 897 Pretrial Conference - Initial, by Michael Jennings. (Hanna, Sandra) Modified on 11/7/2016 to edit text (LLH). |
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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). |
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) |
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) |
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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) |
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) |
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). |
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). |
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). |
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). |
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) |
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) |
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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) |
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). |
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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). |
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) |
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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) |
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) |
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) |
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) |
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) |
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) |
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) |
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) |
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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) |
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) |
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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) |
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). |
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) |
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). |
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). |
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) |
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) |
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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) |
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) |
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). |
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) |
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) |
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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) |
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) |
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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) |
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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) |
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) |
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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) |
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) |
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). |
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) |
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) |
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) |
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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) |
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) |
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) |
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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) |
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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) |
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) |
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) |
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) |
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) |
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) |
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) |
Filing 832 SEALED Reply MEMORANDUM in Support of #759 MOTION for Summary Judgment on Successor Liability filed by Stifel, Nicolaus & Company, Inc.. (NLT) |
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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). |
Filing 829 MOTION to Withdraw Reply Brief Concerning the Issue of Prescription [Rec. Doc. # 825] by Michael Jennings. (Hanna, Sandra) |
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. |
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) |
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) |
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). |
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). |
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) |
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). |
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) |
Filing 820 SEALED Exhibit D to Declaration of Walter Morales (NLT) |
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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) |
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) |
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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) |
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) |
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) |
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) |
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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) |
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) |
Filing 805 Document issued in error by case administrator on 8/8/2016 (SGO). |
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) |
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) |
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). |
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). |
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). |
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) |
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) |
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). |
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). |
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). |
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) |
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). |
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). |
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) |
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). |
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). |
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). |
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) |
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) |
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Filing 784 ANSWER to #509 Amended Complaint,, by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc..(Luder, David) |
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) |
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) |
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) |
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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) |
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). |
Filing 777 RULING denying #556 Motion to Strike Jury Demand. Signed by Judge James J. Brady on 7/25/2016. (LLH) |
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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) |
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) |
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) |
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). |
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) |
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). |
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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) |
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) |
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) |
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Set/Reset Deadlines (SGO) |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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) |
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). |
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). |
Filing 746 ANSWER to #509 Amended Complaint,, by Anthony Guaimano.(Dressel, Robert) |
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) |
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) |
Filing 743 RULING denying #589 Motion in Limine. Signed by Judge James J. Brady on 7/14/2016. (LLH) |
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) |
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). |
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) |
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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). |
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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) |
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) |
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) |
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Filing 733 MEMORANDUM in Support of #700 MOTION for Partial Summary Judgment filed by All Plaintiffs. (ELW) |
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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) |
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) |
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) |
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) |
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). |
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). |
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). |
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). |
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) |
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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). |
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) |
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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) |
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) |
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) |
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) |
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) |
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Filing 710 MOTION to Dismiss CA Funds' Claims Arising out of the Initial Collybus Offering, by Kevin Miller. (Attachments: #1 Memorandum in Support)(LLH) |
Filing 709 RULE 12(B) Defenses, Answer, and Affirmative Defenses in RESPONSE to #509 Fourth Amended Complaint, by Kevin Miller.(LLH) |
MOTION(S) REFERRED: #692 MOTION to Set Deadline for Filing Opposition to Motion for Sanctions . This motion is now pending before the USMJ. (JDL) |
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) |
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) |
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) |
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) |
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) |
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). |
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). |
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) |
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). |
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) |
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) |
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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) |
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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) |
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) |
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) |
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) |
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) |
Filing 684 RULING denying #581 Motion in Limine. Signed by Judge James J. Brady on 6/7/2016. (SGO) |
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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) |
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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) |
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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) |
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) |
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) |
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). |
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) |
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) |
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). |
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) |
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) |
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). |
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) |
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) |
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). |
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). |
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). |
Filing 665 Ex Parte MOTION for David N. Luder to Withdraw as Attorney by Anthony Guaimano, Stone & Youngberg, LLC. (Luder, David) |
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) |
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) |
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) |
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) |
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) |
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) |
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) |
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). |
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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) |
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) |
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) |
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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) |
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) |
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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) |
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) |
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) |
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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) |
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) |
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) |
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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) |
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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) |
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) |
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) |
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) |
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) |
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) |
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) |
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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) |
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) |
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). |
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) |
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). |
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). |
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) |
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) |
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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) |
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) |
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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). |
Motions No Longer Referred: #580 MOTION to Substitute Pleading (Doc. No. 579) . This motion is now pending before the USDJ. (NLT) |
MOTION(S) REFERRED: #580 MOTION to Substitute Pleading (Doc. No. 579) . This motion is now pending before the USMJ. (NLT) |
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) |
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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) |
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) |
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). |
MOTION(S) REFERRED: #614 MOTION to Clarify May 16th Order . This motion is now pending before the USMJ. (TNB) |
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) |
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) |
MOTION(S) REFERRED: #613 MOTION to Compel Depositions MOTION for Extension of Discovery Deadlines . This motion is now pending before the USMJ. (EDC) |
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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) |
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) |
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) |
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) |
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) |
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) |
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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) |
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) |
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). |
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). |
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). |
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). |
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). |
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). |
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) |
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). |
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). |
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). |
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) |
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) |
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) |
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) |
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) |
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). |
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). |
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). |
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). |
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) |
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) |
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) |
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). |
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) |
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). |
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). |
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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) |
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) |
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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) |
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). |
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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) |
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). |
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). |
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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) |
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). |
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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) |
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). |
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) |
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) |
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). |
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). |
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). |
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). |
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) |
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) |
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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) |
Set/Reset Deadlines(BLR) |
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) |
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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) |
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) |
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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) |
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) |
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) |
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) |
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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) |
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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) |
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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) |
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). |
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) |
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) |
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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). |
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) |
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) |
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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) |
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) |
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). |
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) |
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) |
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) |
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) |
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) |
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) |
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) |
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Filing 515 ANSWER to #509 Amended Complaint,, by Noel Caldwell.(Wilson, Scott) |
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) |
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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) |
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) |
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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) |
MOTION(S) REFERRED: #499 SEALED MOTION to Compel Discovery Responses . This motion is now pending before the USMJ. (NLT) |
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) |
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) |
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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) |
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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). |
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) |
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) |
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) |
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). |
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) |
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) |
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). |
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) |
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). |
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). |
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) |
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) |
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) |
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MOTION(S) REFERRED: #485 MOTION for Expedited Hearing on #484 MOTION to Continue Discovery Deadline . This motion is now pending before the USMJ. (BLR) |
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) |
MOTION(S) REFERRED: #484 MOTION to Continue Discovery Deadline . This motion is now pending before the USMJ. (NLT) |
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) |
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) |
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) |
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). |
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). |
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) |
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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) |
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). |
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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). |
MOTION(S) REFERRED: #471 MOTION for Protective Order . This motion is now pending before the USMJ. (BLR) |
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) |
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). |
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). |
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) |
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). |
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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) |
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) |
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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) |
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) |
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) |
Filing 462 MOTION to Dismiss for Failure to State a Claim by Noel Caldwell. (Attachments: #1 Memorandum in Support)(Wilson, Scott) |
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) |
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). |
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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) |
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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) |
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) |
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). |
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). |
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). |
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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) |
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). |
MOTION(S) REFERRED: #450 Ex Parte MOTION for Leave to Exceed Page Limitation . This motion is now pending before the USMJ. (LLH) |
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) |
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) |
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) |
Filing 448 ANSWER to #447 Amended Complaint,, by Noel Caldwell.(Wilson, Scott) |
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) |
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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) |
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) |
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). |
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) |
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). |
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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) |
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) |
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) |
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) |
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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) |
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) |
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) |
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) |
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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) |
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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) |
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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) |
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) |
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). |
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) |
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) |
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). |
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) |
MOTION(S) REFERRED: #418 MOTION to Enroll Jason W. Burge as Additional Attorney . This motion is now pending before the USMJ. (ELW) |
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). |
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) |
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) |
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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) |
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) |
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) |
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). |
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) |
MOTION(S) REFERRED: #410 MOTION to Compel Discovery Responses by Stone Youngberg, LLC. This motion is now pending before the USMJ. (NLT) |
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) |
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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) |
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) |
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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) |
MOTION(S) REFERRED: #403 MOTION for Leave to File Third Amended Complaint . This motion is now pending before the USMJ. (LLH) |
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) |
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) |
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) |
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Filing 400 MOTION for David Williams to Withdraw as Attorney by Securities and Exchange Commission. (Attachments: #1 Proposed Pleading; Proposed Order)(Williams, A.) |
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) |
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) |
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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). |
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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) |
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) |
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). |
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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) |
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). |
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) |
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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) |
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). |
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) |
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) |
Filing 382 MEMORANDUM of Law in Opposition to #358 MOTION for Release of Funds filed by Securities and Exchange Commission. (LLH) |
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MOTION(S) REFERRED: #370 MOTION to Intervene . This motion is now pending before the USMJ. (LLH) |
MOTION(S) REFERRED: #369 MOTION to Withdraw and Substitute . This motion is now pending before the USMJ. (BCL) |
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) |
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) |
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) |
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) |
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) |
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) |
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) |
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). |
Filing 370 MOTION to Intervene by Securities and Exchange Commission. (Attachments: #1 Proposed Pleading; Memorandum in Opposition, #2 Proposed Pleading; Proposed Order)(Williams, A.) |
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). |
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). |
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) |
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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) |
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MOTION(S) REFERRED: #364 Unopposed MOTION for Leave to Serve Deposition Subpoena by Alternative Means. This motion is now pending before the USMJ. (BCL) |
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). |
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). |
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). |
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) |
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). |
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) |
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) |
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) |
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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). |
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) |
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) |
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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) |
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) |
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) |
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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). |
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). |
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) |
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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) |
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) |
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) |
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). |
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Set/Reset Deadlines. (LLH) |
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). |
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). |
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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) |
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) |
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) |
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) |
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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). |
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). |
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) |
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) |
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) |
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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) |
MOTION(S) REFERRED: #325 Ex Parte MOTION to Enroll Andrew J. Graeve as Additional Attorney . This motion is now pending before the USMJ. (LLH) |
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MOTION(S) REFERRED: #323 MOTION to Enroll Mark J. Chaney as Additional Attorney . This motion is now pending before the USMJ. (JDL) |
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) |
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) |
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) |
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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). |
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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) |
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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) |
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) |
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) |
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) |
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Set/Reset Deadlines (SMG) |
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) |
Filing 309 RULING denying #280 Motion to Reconsider #272 Ruling. Signed by Judge James J. Brady on 2/5/2015. (LLH) |
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). |
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). |
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). |
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) |
MOTION(S) REFERRED: #302 MOTION for Status Conference . This motion is now pending before the USMJ. (JDL) |
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). |
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). |
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). |
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). |
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). |
Filing 299 ANSWER and Defenses to #185 Second Amended Complaint, by Michael Jennings.(Hanna, Sandra) Modified to edit text on 1/21/2015 (BCL). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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). |
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) |
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). |
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) |
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). |
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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). |
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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) |
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). |
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). |
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). |
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). |
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) |
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) |
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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) |
Filing 274 RULING granting #193 Motion to Dismiss Plaintiffs' Fifth Amended Complaint. Signed by Judge James J. Brady on 12/8/2014. (NLT) |
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) |
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) |
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) |
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) |
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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) |
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) |
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) |
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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) |
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) |
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) |
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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) |
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). |
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) |
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) |
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). |
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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). |
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) |
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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) |
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) |
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) |
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) |
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). |
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Set/Reset Deadlines as to #199 MOTION to Dismiss for Failure to State a Claim . Replies due by 8/12/2014. (SMG) |
Set/Reset Deadlines as to #200 MOTION to Dismiss for Lack of Personal Jurisdiction. Replies due by 8/12/2014. (SMG) |
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) |
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) |
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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). |
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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). |
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). |
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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) |
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) |
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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) |
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) |
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) |
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) |
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) |
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) |
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). |
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) |
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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) |
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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) |
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). |
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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) |
Filing 217 Corporate Disclosure Statement by Charles Schwab & Co., Inc. (Bieck, Robert) |
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). |
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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). |
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) |
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) |
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) |
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) |
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) |
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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) |
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Filing 207 Corporate Disclosure Statement by J.P. Morgan Securities, LLC. (Lipsey, Christine) |
Filing 206 Corporate Disclosure Statement by J.P. Morgan Clearing Corp.. (Lipsey, Christine) |
Filing 205 MOTION for Oral Argument on #197 MOTION to Dismiss Plaintiffs' Second Amended Complaint by Mitchell Gage, Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Jack Turner, Kenneth Williams. (Freeman, George) |
Filing 204 MOTION for Oral Argument on #193 MOTION to Dismiss Plaintiffs' Fifth Amended Complaint by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Freeman, George) |
Filing 203 MOTION Substitute Correct Proposed Order to Motion for Oral Argument by Charles Schwab & Co., Inc.. (Attachments: #1 Proposed Pleading;, #2 Attachment Proposed Order)(Bieck, Robert) |
Filing 202 MOTION for Oral Argument on #199 MOTION to Dismiss for Failure to State a Claim by Charles Schwab & Co., Inc.. (Attachments: #1 Attachment Proposed Order)(Bieck, Robert) |
Set/Reset Deadlines as to #192 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint. Replies due by 7/30/2014. (SMG) |
Filing 201 MOTION to Dismiss for Failure to State a Claim Second Amended Complaint by Michael Jennings. (Attachments: #1 Memorandum in Support, #2 Attachment Proposed Order)(Hanna, Sandra) |
Filing 200 MOTION to Dismiss for Lack of Personal Jurisdiction by Michelle Wilson-Clarke. (Attachments: #1 Memorandum in Support, #2 Exhibit A, #3 Exhibit A-1, #4 Exhibit A-2, #5 Exhibit A-3, #6 Exhibit A-4, #7 Exhibit A-5, #8 Proposed Order)(Flanagan, Thomas) |
Filing 199 MOTION to Dismiss for Failure to State a Claim by Charles Schwab & Co., Inc.. (Attachments: #1 Memorandum in Support, #2 Attachment Proposed Order, #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)(Bieck, Robert) |
Filing 198 ANSWER to #185 Second Amended Complaint by Kevin Miller.(Coons, David) |
Filing 197 MOTION to Dismiss Plaintiffs' Second Amended Complaint by Mitchell Gage, Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Jack Turner, Kenneth Williams. (Attachments: #1 Memorandum in Support, #2 Attachment Proposed Order, #3 Exhibit)(Freeman, George) |
Filing 196 MOTION for Oral Argument on #192 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint), #191 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint) by J.P. Morgan Clearing Corp., J.P. Morgan Securities, LLC. (Attachments: #1 Order)(Lipsey, Christine) |
Filing 195 Unopposed MOTION for Extension of Time to File Answer to #185 Amended Complaint,, by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Order)(Tulley, Fredrick) |
Filing 194 ANSWER to #184 Fifth Amended Complaint by Commonwealth Advisors, Inc., Walter A Morales, III.(Tulley, Fredrick) Modified to edit text on 6/24/2014 (SMG). |
Filing 193 MOTION to Dismiss Plaintiffs' Fifth Amended Complaint by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Attachments: #1 Memorandum in Support, #2 Attachment Proposed Order)(Freeman, George) |
Filing 192 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint) by J.P. Morgan Securities, LLC. (Attachments: #1 Memorandum in Support)(Lipsey, Christine) |
Filing 191 MOTION to Dismiss for Failure to State a Claim (Second Amended Complaint) by J.P. Morgan Clearing Corp.. (Attachments: #1 Memorandum in Support)(Lipsey, Christine) |
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Filing 189 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 Attachment Proposed Order)(Freeman, George) |
Filing 188 RULING: J.P. Morgan's #161 Motion to Strike is GRANTED and the CA Funds' #158 Motion to Dismiss is DENIED. J.P. Morgan shall file an amended counterclaim consistent with the Court's ruling within 7 days. Signed by Judge James J. Brady on 6/18/2014. (SMG) |
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Set/Reset Deadlines: Amended Counterclaim due by 6/25/2014. (SMG) |
Filing 186 ANSWER to #185 Second Amended Complaint by Noel Caldwell.(Wilson, Scott) Modified to edit text on 6/12/2014 (SMG). |
Filing 185 Second AMENDED COMPLAINT against Noel Caldwell, Charles Schwab & Co., Inc., Commonwealth Advisors, Inc., Mitchell Gage, Anthony Guaimano, J.P. Morgan Securities, LLC, Michael Jennings, Kevin Miller, Walter A Morales, III, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Jack Turner, Kenneth Williams, Michelle Wilson-Clarke, 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.(Berg, Nicholas) Modified to edit text on 5/23/2014 (SMG). |
Filing 184 Fifth AMENDED COMPLAINT against Commonwealth Advisors, Inc., Walter A Morales, III, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, filed by Joseph N. Broyles, Registrar of Voters Employee Retirement System, Firefighters' Retirement System, Karen L. Barranco, Susan B. Beninati, Anne Richey, Jody A. Barranco, Russ P. Barranco, Eilleen Collins, Preston Cloyd, Steven D Collins, Sr, Charles Richey, Municipal Employees' Retirement System, M. Badi Asbahi, Janice B. Virgadamo.(Swanson, James) Modified to edit text on 5/23/2014 (SMG). |
Filing 183 Deficiency Letter by Noel Caldwell. (Wilson, Scott) Modified to edit text on 5/1/2014 (SMG). |
Filing 182 Letter dated 4/30/2014 from Christine Lipsey to Kirk Reasonover regarding Deficiencies by J.P. Morgan Securities, LLC. (Lipsey, Christine) Modified to edit text on 5/1/2014 (SMG). |
Filing 181 Letter dated 4/30/2014 from Sandra Hanna and James Chastain to Kirk Reasonover regarding Deficiency by Michael Jennings (Chastain, James) (Main Document 181 replaced on 5/1/2014) (SMG). Modified to edit text on 5/1/2014 (SMG). |
Filing 180 Letter dated 4/30/2014 from George Freeman to James Swanson regarding Deficiencies by Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC. (Freeman, George) Modified to edit text on 5/1/2014 (SMG). |
Filing 179 Deficiency Letter by Mitchell Gage, Anthony Guaimano, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, Jack Turner, Kenneth Williams. (Freeman, George) Modified on 4/30/2014 t edit the text (NLT). |
Filing 178 Letter from Robert B. Bieck to Kirk Reasonover dated 4/30/2014 regarding Deficiencies by Charles Schwab & Co., Inc. (Bieck, Robert) Modified to edit text on 4/30/2014 (SMG). |
Filing 177 Surreply to #168 Reply to #163 Response in Opposition to #158 Motion to Dismiss Counterclaim filed by J.P. Morgan Securities, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Lipsey, Christine) Modified to edit text twice on 4/29/2014 (SMG). |
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Filing 175 Reply MEMORANDUM in Support of #161 MOTION to Strike #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6) And Alternative Motion to Conduct Discovery filed by J.P. Morgan Securities, LLC. (Attachments: #1 Exhibit A, #2 Exhibit B)(Lipsey, Christine) Modified to edit text on 4/24/2014 (SMG). |
Filing 174 MOTION to Dismiss for Failure to State a Claim and Incorporated Memorandum by Noel Caldwell. (Attachments: #1 Exhibit Proposed Order)(Wilson, Scott) |
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Set/Reset Deadlines as to #161 MOTION to Strike #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6) And Alternative MOTION to Conduct Discovery. Replies due by 4/23/2014. (SMG) |
Set/Reset Deadlines as to #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6). Sur-Replies due by 4/28/2014. (SMG) |
Filing 171 MEMORANDUM in Opposition to #170 MOTION for Leave to File Surreply Memo In Response to the Reply Memo In Support of the CA Funds' Motion to Dismiss Counterclaim 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., Sand Spring Capital III Master Fund, LLC. (Berg, Nicholas) |
Filing 170 MOTION for Leave to File Surreply Memo In Response to the Reply Memo In Support of the CA Funds' Motion to Dismiss Counterclaim by J.P. Morgan Securities, LLC. (Attachments: #1 Order)(Lipsey, Christine) |
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Filing 168 REPLY Memorandum in Support of #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6) , 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., Sand Spring Capital III Master Fund, LLC. (Attachments: #1 Exhibit 1 - J.P. Morgan FINRA BrokerCheck report)(Berg, Nicholas) Modified on 4/21/2014 to edit text (JDL). |
Filing 167 MEMORANDUM in Opposition to #166 MOTION for Leave to File Reply Memo in Support of Motion to Strike and Alternative Motion to Conduct 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., Sand Spring Capital III Master Fund, LLC. (Berg, Nicholas) |
Filing 166 MOTION for Leave to File Reply Memo in Support of Motion to Strike and Alternative Motion to Conduct Discovery by J.P. Morgan Securities, LLC. (Attachments: #1 Order)(Lipsey, Christine) |
Filing 165 Unopposed MOTION to Remove from the Docket Sheet as Party Defendants Jennifer Morales, James O'Beirne and Willie Gerald Warrington by Jennifer O Morales, James F O'Beirne, Willie Gerald Warrington, Jr. (Attachments: #1 Proposed Order)(Tulley, Fredrick) |
Filing 164 MEMORANDUM in Opposition to #161 MOTION to Strike #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6) And Alternative Motion to Conduct Discovery MOTION to Conduct 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., Sand Spring Capital III Master Fund, LLC. (Attachments: #1 Exhibit 1 - J.P. Morgan FINRA BrokerCheck report)(Berg, Nicholas) |
Filing 163 RESPONSE in Opposition to #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6) filed by J.P. Morgan Securities, LLC. (Lipsey, Christine) |
Filing 162 NOTICE on #161 MOTION to Strike or Conduct Discovery: Opposition to the motion shall be filed on or before 4/16/2014. Signed by Judge James J. Brady on 4/3/2014. (SMG) |
Filing 161 MOTION to Strike #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6) And Alternative Motion to Conduct Discovery by J.P. Morgan Securities, LLC. (Attachments: #1 Memorandum in Support)(Lipsey, Christine). Added MOTION to Conduct Discovery on 4/3/2014 (SMG). Modified to edit motion text on 4/3/2014 (SMG). |
Filing 160 AMENDED COMPLAINT against Commonwealth Advisors, Inc., Walter A Morales, III, Stifel Financial Corp., Stifel, Nicolaus & Company, Inc., Stone & Youngberg, LLC, filed by Joseph N. Broyles, Registrar of Voters Employee Retirement System, Firefighters' Retirement System, Karen L. Barranco, Susan B. Beninati, Anne Richey, Jody A. Barranco, Russ P. Barranco, Preston Cloyd, Charles Richey, M. Badi Asbahi, Janice B. Virgadamo, Steve Collins, Eileen Collins, the Municipal Employee's Retirement System of Louisiana.(Swanson, James) Modified on 4/2/2014 to edit text (CGP). |
Filing 159 NOTICE on #158 MOTION to Dismiss for Failure to State a Claim Pursuant to Fed. R. Civ. P. 12(b)(6): Opposition to the motion shall be filed on or before 4/4/2014. The mover may file a reply brief within 14 days of the filing of the opposition. Signed by Judge James J. Brady on 3/17/2014. (SMG) |
Filing 158 MOTION to Dismiss for Failure to State a Claim 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, #2 Proposed Order, #3 Exhibit A - Bar Date Order, #4 Exhibit B - Notice of Bar Date, #5 Exhibit C - Confirmation Order, #6 Exhibit D - Planof Reorganization, #7 Exhibit E - Notice of Effective Date, #8 Exhibit F - Final Decree, #9 Exhibit G - SEC Release, #10 Exhibit H - FINRA Rule 2268, #11 Exhibit I - FINRA Rule 0140, #12 Exhibit J - NASD Rule 3110, #13 Exhibit L - NASD Notice to Members 05-09, #14 Exhibit L - FINRA Bylaws, #15 Exhibit M - NASD Notice to Members 95-16, #16 Exhibit N - NASD Notice to Members 95-85, #17 Exhibit O - Notice of Cantor Effective Date)(Berg, Nicholas) |
Filing 157 MINUTE ENTRY/SCHEDULING CONFERENCE REPORT/PARTIAL SCHEDULING ORDER/ORDER SETTING STATUS CONFERENCE: Telephone Scheduling Conference held on 2/24/2014 before Magistrate Judge Stephen C. Riedlinger. Cnsl advised the court regarding the progress of discovery. Amended Complaint, or multiple amended complaints, will be filed by plaintiff by 4/1/2014. Dfts shall file responsive pleadings or motions to dismiss by 6/23/2014. Responses to motions will be filed by 7/22/2014. IT IS ORDERED that the parties' proposed schedule...is adopted as a Rule 16, Fed.R.Civ.P., scheduling order. Telephone Status Conference set for 8/18/2014 at 10:00 AM before Magistrate Judge Stephen C. Riedlinger. Cnsl for plas shall arrange for a telephone conference call and provide the call-in number and passcode to all cnsl and the court. (BNW) |
Filing 156 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) |
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Filing 152 MOTION for Sandra M. Hanna to Appear Pro Hac Vice (Filing fee $100.00, Receipt Number 053N-1042342) by Michael Jennings. (Chastain, James) Modified to add filing fee receipt number on 2/5/2014 (SMG). |
Filing 151 MOTION for Extension of Time to File Answer by Michael Jennings. (Chastain, James) |
Filing 150 MOTION to Enroll George C. Freeman, III and Sarah L. Rubin as Attorneys 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 2/5/2014 (SMG). |
MOTION(S) REFERRED: #152 MOTION for Sandra M. Hanna to Appear Pro Hac Vice . This motion is now pending before the USMJ. (SMG) |
MOTION(S) REFERRED: #151 MOTION for Extension of Time to File Answer . This motion is now pending before the USMJ. (SMG) |
MOTION(S) REFERRED: #150 MOTION to Enroll George C. Freeman, III as Attorney . This motion is now pending before the USMJ. (SMG) |
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MOTION(S) REFERRED: #148 Consent MOTION for Extension of Time to File Answer to Counterclaim by J.P. Morgan. This motion is now pending before the USMJ. (NLT) |
Filing 148 Consent MOTION for Extension of Time to File Answer to Counterclaim by J.P. Morgan 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. (Attachments: #1 Proposed Order)(Berg, Nicholas) |
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MOTION for Extension of Time to File Response to MOTION to Dismiss for Failure to State a Claim 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. This motion was originally filed in 10-857 and is moved to 10-854 for case management purposes; see doc. 68 in 10-857 to view image of document. (SMG) Modified to edit text on 1/31/2014 (SMG). |
MOTION to Dismiss for Failure to State a Claim by Noel Caldwell. This motion was originally filed in 10-857 and is moved to 10-854 for case management purposes; see doc. 66 in 10-857 to view image of document. (SMG) |
Filing 146 MOTION to Dismiss for Failure to State a Claim by Noel Caldwell. (Attachments: #1 Memorandum in Support)(Wilson, Scott) |
Filing 145 FINAL JUDGMENT granting #144 Unopposed Motion for Final Judgment Dismissing Cantor Fitzgerald & Co. with Prejudice. This action be DISMISSED WITH PREJUDICE in its entirety with respect to Defendant Cantor Fitzgerald & Co. Signed by Judge James J. Brady on 1/9/2014. (SMG) |
Filing 144 Unopposed MOTION for Final Judgment Under FRCP 54(b) Dismissing Cantor Fitzgerald & Co. with Prejudice 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 judgment)(Broyles, Patrick) Modified to edit text on 12/30/2013 (SMG). |
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Filing 142 Ex Parte MOTION for Kirk Reasonover to Withdraw as Attorney by All Plaintiffs. (Attachments: #1 Proposed Order)(Reasonover, Kirk) |
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Filing 139 Joint MOTION for Order Authorizing Disclosure Pursuant to FRE 502(d) by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Commonwealth Advisors, Inc., Firefighters' Retirement System, Walter A Morales, III, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Proposed Order)(Reasonover, Kirk) |
Filing 138 Ex Parte MOTION for Protective Order by All Plaintiffs. (Attachments: #1 Proposed Order)(Reasonover, Kirk) |
MOTION(S) REFERRED: #138 Ex Parte MOTION for Protective Order , #139 Joint MOTION for Order Authorizing Disclosure Pursuant to FRE 502(d) . This motion is now pending before the USMJ. (NLT) |
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Filing 134 Joint MOTION to Stay by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Cantor Fitzgerald & Co., Preston Cloyd, Firefighters' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Proposed Pleading; Order, #2 Memorandum in Support)(Goldsmith, Jane) |
Filing 133 Ex Parte MOTION to Strike 132 Joint MOTION to Stay by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Pleading; Order)(Goldsmith, Jane) |
Filing 132 STRICKEN FROM THE RECORD Joint MOTION for Entry of Stay by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Cantor Fitzgerald & Co., Preston Cloyd, Firefighters' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: # 1 Proposed Pleading; Order, # 2 Memorandum in Support)(Goldsmith, Jane) Modified on 9/9/2013 to edit text (LLH). Modified on 9/9/2013 to remove the document as it has been stricken(CGP). |
Filing 131 RULING denying #118 Motion for Reconsideration. Signed by Judge James J. Brady on 06/06/2013. (CGP) |
Filing 130 MEMORANDUM in Opposition to #118 MOTION for Reconsideration filed by Cantor Fitzgerald & Co.. (Goldsmith, Jane) Modified on 6/6/2013 to edit docket text (CGP). |
Filing 129 RULING granting #114 Cantor's Motion for Reconsideration and the remaining claim asserted against Cantor is hereby DISMISSED. Signed by Judge James J. Brady on 06/03/2013. (CGP) |
Filing 128 ANSWER to #87 Amended Complaint, by Commonwealth Advisors, Inc., Walter A Morales, III.(Tulley, Fredrick) |
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Filing 126 MEMORANDUM in Opposition to #121 MOTION for Extension of Time to File Answer to #87 Amended Complaint, and For Expedited Consideration MOTION for Expedited Hearing filed by All Plaintiffs. (Reasonover, Kirk) |
Filing 125 REPLY MEMORANDUM in Support of #114 MOTION for Reconsideration of #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice filed by Cantor Fitzgerald & Co. (CGP) |
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Filing 123 Unopposed MOTION for Leave to File Reply Memorandum in Support of Cantor Fitzgerald & Co.'s Motion for Reconsideration Seeking to Dismiss Plaintiffs' Second Amended and Restated Complaint With Prejudice by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Pleading; Order, #2 Proposed Pleading; Reply Memorandum)(Goldsmith, Jane) |
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Filing 121 MOTION for Extension of Time to File Answer to #87 Amended Complaint, and For Expedited Consideration by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Pleading; Order)(Goldsmith, Jane). Added MOTION for Expedited Hearing on 5/21/2013 (NLT). |
MOTION(S) REFERRED: #121 MOTION for Extension of Time to File Answer to #87 Amended Complaint, and For Expedited Consideration. This motion is now pending before the USMJ. (CGP) |
Set/Reset Deadlines as to #121 MOTION for For Expedited Consideration. The plaintiffs shall have until 5:00 p.m. on 05/23/2013 to file their response to the Cantor Fitzgerald & Co.'s motion. (CGP) |
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Filing 119 MEMORANDUM in Opposition to #114 MOTION for Reconsideration of #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice filed by All Plaintiffs. (Reasonover, Kirk) |
Filing 118 MOTION for Reconsideration of #111 Order on Motion to Dismiss,,, by All Plaintiffs. (Attachments: #1 Memorandum in Support)(Swanson, James) |
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Filing 116 NOTICE to Parties on #114 MOTION for Reconsideration of #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice . Considering the motion (doc. 114) for reconsideration filed on 04/24/2013; Any Opposition shall be filed within 21 days of the filing of the motion, at which time the matter will be submitted on the briefs. Signed by Judge James J. Brady on 04/25/2013. (CGP) |
MOTION(S) REFERRED: #115 Unopposed MOTION for Extension of Time to File Answer to #87 Amended Complaint, . This motion is now pending before the USMJ. (CGP) |
Filing 115 Unopposed MOTION for Extension of Time to File Answer to #87 Amended Complaint, by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Proposed Pleading; Order)(Tulley, Fredrick) |
Filing 114 MOTION for Reconsideration of #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice by Cantor Fitzgerald & Co.. (Attachments: #1 Memorandum in Support)(Hunt, Michael) |
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Filing 112 MOTION for Extension of Time to File Answer to #87 Amended Complaint, by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Pleading; Order)(Hunt, Michael) |
MOTION(S) REFERRED: #112 MOTION for Extension of Time to File Answer to #87 Amended Complaint, . This motion is now pending before the USMJ. (CGP) |
Filing 111 RULING granting #90 Motion to Dismiss, with the exception of the aiding and abetting a breach of fiduciary duty claim and denying #91 Motion to Dismiss. Signed by Judge James J. Brady on 04/17/2013. (CGP) Modified on 4/17/2013 to edit text to match document (CGP). |
Filing 110 REPLY to #107 Memorandum in Opposition to #104 MOTION for Leave to File Third Amended Complaint filed by All Plaintiffs. (NLT) |
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Filing 108 MOTION for Leave to File Reply by All Plaintiffs. (Attachments: #1 Proposed Pleading;, #2 Proposed Order)(Swanson, James) |
MOTION(S) REFERRED: #108 MOTION for Leave to File Reply. This motion is now pending before the USMJ. (LLH) |
Filing 107 MEMORANDUM in Opposition to #104 MOTION for Leave to File Third Amended Complaint filed by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Robert, Jane) |
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Filing 105 MOTION To Set Briefing Schedule #104 Motion for Leave to File Third Amended Complaint by Cantor Fitzgerald & Co.. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Robert, Jane) |
MOTION(S) REFERRED: #104 MOTION for Leave to File Third Amended Complaint. This motion is now pending before the USMJ. (SMG) |
Filing 104 MOTION for Leave to File Third Amended Complaint by All Plaintiffs. (Attachments: #1 Proposed Third Amended Complaint, #2 Proposed Order)(Swanson, James) |
Filing 103 REPLY to Response to #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice, #98 Memorandum in Opposition to Motion to Dismiss Second Amended and Restated Complaint with Prejudice filed by Cantor Fitzgerald & Co.. (Robert, Jane) |
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Filing 101 MOTION for Leave to File Reply in Excess of 20 Pages by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Pleading; Order)(Robert, Jane) |
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Set/Reset Deadlines as to #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice. Replies due by 12/20/2012. (CGP) |
Filing 99 MOTION for Extension of Time To File Reply to Plaintiffs Opposition to Cantor's Motion to Dismiss Plaintiffs' Second Amended and Restated Complaint by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Pleading; Order)(Robert, Jane) |
Filing 98 MEMORANDUM in Opposition to #90 MOTION to Dismiss Second Amended and Restated Complaint filed by All Plaintiffs. (LLH) Modified on 12/20/2012 to associate with correct motion (DCB). |
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Filing 96 MEMORANDUM in Opposition to #91 MOTION to Dismiss Second Amended and Restated Complaint filed by All Plaintiffs. (Attachments: #1 Exhibit A, pt 1/2, #2 Exhibit A, pt 2/2, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit 1, #7 Exhibit 2, #8 Exhibit 3, pt 1/2, #9 Exhibit 3, pt 2/2, #10 Exhibit 4, #11 Exhibit 5, pt 1/2, #12 Exhibit 5, pt 2/2, #13 Exhibit 6, #14 Exhibit 7, pt 1/3, #15 Exhibit 7, pt 2/3, #16 Exhibit 7, pt 3/3, #17 Exhibit 8, pt 1/5, #18 Exhibit 8, pt 2/5, #19 Exhibit 8, pt 3/5, #20 Exhibit 8, pt 4/5, #21 Exhibit 8, pt 5/5)(Swanson, James) |
Filing 95 MOTION for Leave to File Memorandum in Excess of 30 Pages by All Plaintiffs. (Attachments: #1 Attachment, #2 Attachment)(Swanson, James) |
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Filing 93 MOTION for Extension of Time to File Response to #91 MOTION to Dismiss Second Amended and Restated Complaint, #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice by All Plaintiffs. (Attachments: #1 Proposed Order)(Broyles, Patrick) |
Filing 92 NOTICE to Parties on #90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice, #91 MOTION to Dismiss Second Amended and Restated Complaint : Opposition to the motion shall be filed on or before 11/13/2012. The mover may file a reply brief within 15 days of the filing of the opposition. Replies due by 11/28/2012. Signed by Judge James J. Brady on 10/23/2012. (SMG) |
Filing 91 MOTION to Dismiss Second Amended and Restated Complaint by Commonwealth Advisors, Inc., Walter A Morales, III. (Attachments: #1 Memorandum in Support)(Tulley, Fredrick) |
Filing 90 MOTION to Dismiss Second Amended and Restated Complaint with Prejudice by Cantor Fitzgerald & Co.. (Attachments: #1 Memorandum in Support, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Proposed Order)(Robert, Jane) |
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Filing 88 Unopposed MOTION for Leave to File Memorandum in Excess of Thirty Pages by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Order)(Hunt, Michael) |
Filing 87 SECOND AMENDED AND RESTATED COMPLAINT against Noel Caldwell, Cantor Fitzgerald & Co., Commonwealth Advisors, Inc., Jennifer O Morales, Walter A Morales, III, James F O'Beirne, Willie Gerald Warrington, Jr, filed by Joseph N. Broyles, Registrar of Voters Employee Retirement System, Preston Cloyd, Charles Richey, Karen L. Barranco, Susan B. Beninati, M. Badi Asbahi, Anne Richey, Janice B. Virgadamo, Jody A. Barranco, Russ P. Barranco, Firefighters' Retirement System.(DCB) |
Filing 86 RULING granting #63 Motion for Leave to Amend. Signed by Magistrate Judge Stephen C. Riedlinger on 10/5/12. (DCB) |
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Filing 84 REPLY to Response to #79 plaintiff's response to objection and supplemental notice of preliminary injunction #81 filed by Cantor Fitzgerald & Co.. (KDC) |
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Filing 82 MOTION for Leave to File Reply to Plaintiff's Response to Objection and Supplemental Notice of Preliminary Injunction by Cantor Fitzgerald & Co.. (Attachments: #1 Proposed Order, #2 Proposed Pleading;, #3 Exhibit 1)(Hunt, Michael) |
Filing 81 RESPONSE to #80 Response, and Supplemental Notice of Preliminary Injunction filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo. (Attachments: #1 Exhibit A - Notice of Appearance by Cantor, #2 Exhibit B - April 13 Cantor Letter, #3 Exhibit C - Transcript, #4 Exhibit D - Sign in Sheet, #5 Exhibit E - May 21 Cantor Letter)(Reasonover, Kirk) |
Filing 80 RESPONSE to #79 Notice of (other), Notice of (other) Preliminary Injunction filed by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit Exh. 1 (Part 1 of 6), #2 Exhibit Exh. 1 (Part 2 of 6), #3 Exhibit Exh. 1 (Part 3 of 6), #4 Exhibit Exh. 1 (Part 4 of 6), #5 Exhibit Exh. 1 (Part 5 of 6), #6 Exhibit Exh. 1 (Part 6 of 6))(Robert, Jane) |
Filing 79 NOTICE of Preliminary Injunction 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, Municipal Employees' Retirement System, Registrar of Voters Employee Retirement System, Anne Richey, Charles Richey, Janice B. Virgadamo (Attachments: #1 Attachment Bankr. D. Del. judgment, #2 Attachment proposed order)(Swanson, James) |
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Filing 77 MEMORANDUM addressing Roland v. Green's Impact on Removal Jurisdiction of the Present Suit filed by All Plaintiffs. (Reasonover, Kirk) Modified on 5/14/2012 (NLT). |
Filing 76 MEMORANDUM concerning Roland v, Green filed by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1)(Robert, Jane) Modified on 5/14/2012 to edit the text (NLT). |
Filing 75 Memorandum regarding Roland v. Green filed by Noel Caldwell, Commonwealth Advisors, Inc., Jennifer O Morales, Walter A Morales, III, James F O'Beirne, Willie Gerald Warrington, Jr. (Tulley, Fredrick) Modified on 5/14/2012 to edit the text (NLT). |
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Filing 73 NOTICE as to #15 MOTION to Dismiss Complaint, #63 Second MOTION to Amend Complaint, and #16 MOTION to Dismiss Complaint. The parties are hereby notified that the plaintiff is not required to file a response to either motion to dismiss until the court sets a date for him to do so. Signed by Magistrate Judge Stephen C. Riedlinger on 4/5/2012. (LSM) |
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Filing 71 Memorandum in RESPONSE to Pla's Supplemental Memorandum concerning #63 Second MOTION to Amend Complaint filed by Cantor Fitzgerald & Co.. (NLT) |
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Filing 69 MOTION for Leave to File Memorandum in Response to #68 Plaintiff's Supplemental Memorandum Concerning #63 Motions for Leave to Amend by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1, #2 Proposed Pleading; Order, #3 Proposed Pleading; Memorandum in Response to Plaintiff's Supplemental Memorandum Concerning Motions for Leave to Amend)(Robert, Jane) Modified on 3/21/2012 to edit text (JDL). |
Filing 68 MEMORANDUM in Support of #63 Second MOTION to Amend Complaint filed by M. Badi Asbahi, Jody A. Barranco, Karen L. Barranco, Russ P. Barranco, Susan B. Beninati, Joseph N. Broyles, Preston Cloyd, Anne Richey, Charles Richey, Janice B. Virgadamo. (NLT) |
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MOTION(S) REFERRED: #66 First MOTION for Leave to File Supplemental Memorandum in Support of Motions for Leave to Amend and File Their Second Amended and Restated Complaint. This motion is now pending before the USMJ. (JDL) |
Filing 66 First MOTION for Leave to File Supplemental Memorandum in Support of Motions for Leave to Amend and File Their Second Amended and Restated Complaint by All Plaintiffs. (Attachments: #1 Memorandum in Support)(Broyles, Patrick) |
Filing 65 MEMORANDUM in Opposition to #63 Second MOTION to Amend Complaint, #60 MOTION to Amend Petition for Damages originally filed in Louisiana state court MOTION to Withdraw Document 59 filed by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Robert, Jane) |
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MOTION(S) REFERRED: #63 Second MOTION to Amend Complaint. This motion is now pending before the USMJ. (JDL) |
Filing 63 Second MOTION to Amend Complaint by All Plaintiffs. (Attachments: #1 Proposed Pleading; Proposed Second Amended Complaint, #2 Attachment Proposed Order)(Swanson, James) Modified on 2/7/2012 to edit text (JDL). |
Filing 62 MOTION to Reopen Case by All Plaintiffs. (Attachments: #1 Memorandum in Support, #2 Attachment Order)(Swanson, James) |
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MOTION(S) REFERRED: #60 MOTION to Amend Petition for Damages originally filed in Louisiana state court MOTION to Withdraw Document 59. This motion is now pending before the USMJ. (DCB) |
Filing 60 MOTION to Amend Petition for Damages originally filed in Louisiana state court, MOTION to Withdraw Document 59 by Joseph N. Broyles. (Attachments: #1 Proposed Pleading; First Amended and Restated Complaint)(Broyles, Patrick) (Additional attachment(s) added on 11/16/2011: #2 Proposed Order) (CMM). |
Filing 59 AMENDED COMPLAINT against Noel Caldwell, Cantor Fitzgerald & Co., Commonwealth Advisors, Inc., Jennifer O Morales, Walter A Morales, III, James F O'Beirne, Willie Gerald Warrington, Jr, filed by Eilleen Collins, Joseph N. Broyles, Steven D Collins, Sr, 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.(Broyles, Patrick) |
Filing 58 RULING Adopting Report and Recommendation of the U.S. Magistrate Judge. Accordingly, the #18 Motion to Remand to the 19th JDC for the Parish of EBR, State of LA filed by pltf Joseph N. Broyles is Denied.. Signed by Judge James J. Brady on 10/5/2011. (CMM) |
Filing 57 OBJECTION to #55 Report and Recommendations filed by Joseph N. Broyles. (Broyles, Patrick) |
Filing 55 REPORT AND RECOMMENDATIONS regarding #18 MOTION to Remand filed by Joseph N. Broyles. It is recommended that the Motion to Remand to the 19th JDC be denied. Objections to R&R due by 10/3/2011. Signed by Magistrate Judge Stephen C. Riedlinger on 9/14/2011. (LSM) |
Filing 56 There is no record document 56 - entered in error (NLT). |
Filing 54 SUPPLEMENT to NOTICE OF REMOVAL as to CV 10-857 against All Plaintiffs, filed by Cantor Fitzgerald & Co..(JDL) |
Filing 53 SUPPLEMENT to NOTICE OF REMOVAL as to CV 10-854 against All Plaintiffs, filed by Cantor Fitzgerald & Co..(JDL) |
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Filing 46 NOTICE of Lien for Attorney Fee filed by Patrick N. Broyles, attorney for plaintiffs, by Joseph N. Broyles (Attachments: #1 Exhibit 1: Broyles Contract, #2 Exhibit 2: Collins contract)(Broyles, Patrick) |
Filing 45 MOTION for Charles R. Moore to Withdraw as Attorney by All Plaintiffs. (Attachments: #1 Attachment Moore's permission for this filing, #2 Attachment Proposed order)(Broyles, Patrick) |
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Filing 43 Letter dated 3/17/11 from Patrick N. Broyles to SCR Re: request to stay scheduling order deadlines. (BP) |
Filing 42 MEMORANDUM in Opposition to #41 MOTION for Leave to File Supplemental Memoranda or, In The Alternative, to Strike New Arguments in Plaintiffs' Supplemental Memoranda filed by All Plaintiffs. (Broyles, Patrick) |
Filing 41 MOTION for Leave to File Supplemental Memoranda or, In The Alternative, to Strike New Arguments in Plaintiffs' Supplemental Memoranda by Cantor Fitzgerald & Co.. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Robert, Jane) (Main Document 41 replaced on 3/4/2011) (PAH). Added MOTION to Strike on 3/15/2011 (PAH). Modified on 3/15/2011 (PAH). |
MOTION(S) REFERRED: #41 MOTION for Leave to File Supplemental Memoranda or, In The Alternative, to Strike New Arguments in Plaintiffs' Supplemental Memoranda. This motion is now pending before the USMJ. (PAH) |
Filing 40 MOTION for Oral Argument on MOTION to Remand by Joseph N. Broyles, Eilleen Collins, Steven D Collins, Sr. (Attachments: #1 Proposed Pleading; proposed order)(Broyles, Patrick) |
Filing 39 MOTION for Oral Argument on #18 MOTION to Remand by Joseph N. Broyles. (Attachments: #1 Proposed Pleading; proposed order)(Broyles, Patrick) |
MOTION(S) REFERRED: #39 MOTION for Oral Argument on #18 MOTION to Remand, #40 MOTION for Oral Argument on MOTION to Remand. This motion is now pending before the USMJ. (PJH) |
Filing 38 Supplemental MEMORANDUM in Support of MOTION to Remand filed by Joseph N. Broyles, Eilleen Collins, Steven D Collins, Sr. (Broyles, Patrick) Modified on 3/3/2011 to edit text (BP). |
Filing 37 Supplemental MEMORANDUM in Support of #18 MOTION to Remand filed by Joseph N. Broyles. (Broyles, Patrick) Modified on 3/3/2011 to edit text (BP). |
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Set/Reset Deadlines as to #18 MOTION to Remand. Plaintiffs' supplemental memoranda due by 3/2/2011. (PJH) |
MOTION(S) REFERRED: #35 MOTION for Leave to file supplemental memoranda in support of their motions to remand. This motion is now pending before the USMJ. (BP) |
Filing 35 MOTION for Leave to file supplemental memoranda in support of their motions to remand by All Plaintiffs. (Attachments: #1 Attachment Proposed order)(Broyles, Patrick) |
Filing 34 MEMORANDUM in Opposition to MOTION to Remand filed by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5)(Robert, Jane) |
Filing 33 MOTION for Leave to File Supplement Notice of Removal by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1)(Robert, Jane) |
MOTION(S) REFERRED: #33 MOTION for Leave to File Supplement Notice of Removal. This motion is now pending before the USMJ. (PAH) |
MOTION(S) REFERRED: #31 MOTION for Leave to File Supplement to Notice of Removal. This motion is now pending before the USMJ. (BP) |
Filing 32 MEMORANDUM in Opposition to #18 MOTION to Remand filed by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1)(Robert, Jane) |
Filing 31 MOTION for Leave to File Supplement to Notice of Removal by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit 1)(Robert, Jane) |
Filing 30 Exhibit(s) to #1 Notice of Removal by Municipal Employees' Retirement System (addtional state court pleadings) (Attachments: #1 Petn of Intervention) (PAH) |
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Filing 25 MOTION for Dane H. Butswinkas to Appear Pro Hac Vice (Filing fee $40.00, Receipt Number 053N-642987) by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit A: Affidavit of Dane H. Butswinkas, #2 Exhibit B: Certificate of Good Standing, #3 Proposed Pleading; Order)(Hunt, Michael) |
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Filing 23 MOTION for R. Hackney Wiegmann to Appear Pro Hac Vice (Filing fee $40.00, Receipt Number 053N-642974) by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit A: Affidavit of R. Hackney Wiegmann, #2 Exhibit B: Certificate of Good Standing, #3 Proposed Pleading; Order)(Hunt, Michael) |
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Filing 21 MOTION for Marcie R. Ziegler to Appear Pro Hac Vice (Filing fee $40.00, Receipt Number 053N-642920) by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit A: Affidavit of Marcie R. Ziegler, #2 Exhibit B: Certificate of Good Standing, #3 Proposed Pleading; Order)(Hunt, Michael) |
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Filing 19 MOTION for James H. Weingarten to Appear Pro Hac Vice (Filing fee $40.00, Receipt Number 053N-642902) by Cantor Fitzgerald & Co.. (Attachments: #1 Exhibit A: Affidavit of James H. Weingarten, #2 Exhibit B: Certificate of Good Standing, #3 Proposed Pleading; Order)(Hunt, Michael) |
MOTION(S) REFERRED: #21 MOTION for Marcie R. Ziegler to Appear Pro Hac Vice (Filing fee $40.00, Receipt Number 053N-642920) MOTION for Marcie R. Ziegler to Appear Pro Hac Vice (Filing fee $40.00, Receipt Number 053N-642920). This motion is now pending before the USMJ. (CMM) |
Case reassigned to Judge James J. Brady. Judge Frank J. Polozola no longer assigned to the case. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (PAH) |
MOTION to Remand by Joseph N. Broyles, Eilleen Collins, Steven D Collins, Sr. This motion was originally filed in 10-857 and is moved to 10-854 for case management purposes; see doc #17 in 10-857 to view image of document. (JDL) |
MOTION(S) REFERRED: MOTION to Remand originally filed in CV 10-857. This motion is now pending before the USMJ. (JDL) |
Filing 18 MOTION for Remand to the 19th Judicial District Court for the Parish of East Baton Rouge, State of Louisiana by Joseph N. Broyles. (Attachments: #1 Memorandum in Support, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit)(Broyles, Patrick) Modified on 1/21/2011 to edit text. (CMM) |
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Filing 16 MOTION to Dismiss Complaint by Noel Caldwell, Commonwealth Advisors, Inc., Jennifer O Morales, Walter A Morales, III, James F O'Beirne, Willie Gerald Warrington, Jr. (Attachments: #1 Memorandum in Support, #2 Proposed Pleading; Order)(Tulley, Fredrick) |
Filing 15 MOTION to Dismiss COMPLAINT PURSUANT TO FED. R. CIV. P. 12(b)(1) & 12(b)(6) by Cantor Fitzgerald & Co.. (Attachments: #1 Memorandum in Support, #2 Exhibit 1, #3 Exhibit 2, #4 Proposed Pleading; Order)(Robert, Jane) |
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Filing 13 Unopposed MOTION for Leave to File Memorandum in Excess of Thirty Pages in Support of Motion to Dismiss by Cantor Fitzgerald & Co.. (Hunt, Michael) Modified on 1/11/2011 to edit text. (CMM) |
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Filing 11 Unopposed MOTION for Extension of Time to File Answer to #1 Notice of Removal, by Noel Caldwell, Commonwealth Advisors, Inc., Jennifer O Morales, Walter A Morales, III, James F O'Beirne, Willie Gerald Warrington, Jr. (Attachments: #1 Proposed Order)(Tulley, Fredrick) |
Filing 10 Exhibit(s) to #1 Notice of Removal by Municipal Employees' Retirement System. (additional state court documents) (BP) |
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Case reassigned to Judge Brian A. Jackson. Chief Judge Ralph E. Tyson no longer assigned to the case. (This is a TEXT ENTRY ONLY. There is no hyperlink or PDF document associated with this entry.) (PAH) |
MOTION(S) REFERRED: MOTION for Leave to Supplement record or Removal, MOTION to Amend Motion for Leave to Supplement record or Removal. This motion is now pending before the USMJ. (JDL) |
MOTION to Amend 4 Motion for Leave to Supplement record or Removal by Municipal Employees' Retirement System. This motion was originally filed in 10-857 and is moved to 10-854 for case management purposes; see doc #5 in 10-857 to view image of document. (JDL) |
Filing 8 Ex Parte MOTION to Amend Motion for Leave to Supplement Record by Municipal Employees' Retirement System. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B)(Reasonover, Kirk) |
MOTION(S) REFERRED: #8 Ex Parte MOTION to Amend Motion for Leave to Supplement Record. This motion is now pending before the USMJ. (NLT) |
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Filing 6 NOTICE Regarding Notice to Intervene: Municipal Employees Retirement System of Louisiana filed an Ex Parte Motion to Intervene. Record document number #5 . The motion does not comply with Local Rule 7.4.1M (no certificate stating the position of the other parties). Therefore, the motion will not be considered ex parte.. Signed by Magistrate Judge Stephen C. Riedlinger on 12/28/2010. (CMM) |
MOTION for Leave to Supplement record or Removal by Municipal Employees' Retirement System. This motion was originally filed in 10-857 and is moved to 10-854 for case management purposes; see doc #4 in 10-857 to view image of document. (JDL) |
MOTION(S) REFERRED: #5 Ex Parte MOTION for Leave to Supplement Record or Removal. This motion is now pending before the USMJ. (CMM) |
Filing 5 Ex Parte MOTION for Leave to Supplement Record or Removal by Municipal Employees' Retirement System. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B)(Reasonover, Kirk) Modified on 12/28/2010 to edit text. (CMM) (Attachment 1 replaced on 12/28/2010) (CMM). (Attachment 2 replaced on 12/28/2010) (CMM). |
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Filing 3 MOTION for Extension of Time to File Answer by Cantor Fitzgerald & Co.. (Robert, Jane) |
Filing 2 NOTICE of Civil Cover Sheet by Cantor Fitzgerald & Co. re #1 Notice of Removal, (Robert, Jane) |
Filing 1 NOTICE OF REMOVAL from 19th JDC, Case Number 594,747. (Filing fee $ 350 receipt number 053N-632937), filed by Cantor Fitzgerald & Co.. (Attachments: #1 Attachment Consent To Removal, #2 Attachment Notice of Filing, #3 Attachment Declaration, #4 Attachment State Court Record)(Robert, Jane) (Additional attachment(s) added on 9/19/2011: #5 Supplemental Exhibit, #6 Supplemental Exhibit #2) (NLT). |
MOTION(S) REFERRED: #3 MOTION for Extension of Time to File Answer. This motion is now pending before the USMJ. (PJH) |
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