Mark Youngers v. Virtus Investment Partners, Inc. et al
Plaintiff: Mark Youngers, Frances Briggs, Kimball Lloyd, Alfred Tolli, Joseph D. Mitchell, William Echols, Brendan Hoffman and Louise Quigley
Defendant: Francis G. Waltman, James M. Oates, F-Squared Investment Management, LLC, F-Squared Alternative Advisors, LLC, Ferdinand L. J. Vredonck, F-Squared Investments, Inc., George R. Aylward, Euclid Advisors, LLC, W. Patrick Bradley, Philip R. McLoughlin, Virtus Investment Advisers, Inc., VP Distributors, LLC, Mark S. Flynn, F-Squared Institutional Advisors, LLC, Howard Present, Richard E. Segerson, Amy Robinson, Virtus Investment Partners Inc., Geraldine M. McNamara, Leroy Keith, Jr.,, Michael A. Angerthal and Virtus Opportunities Trust
Petitioner: Virtus Group
Case Number: 1:2015cv08262
Filed: October 20, 2015
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: XX Out of State
Presiding Judge: William H Pauley
Nature of Suit: Securities/Commodities
Cause of Action: 15:77
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on December 27, 2017. A more recent docket listing may be available from PACER.

Date Filed Document Text
December 27, 2017 Terminate Transcript Deadlines (mro)
December 27, 2017 Opinion or Order Filing 192 STIPULATION OF VOLUNTARY DISMISSAL PURSUANT TO F.R.C.P. 41(a)(1)(A)(ii): IT IS HEREBY STIPULATED AND AGREED by and between the parties and/or their respective counsel that the remaining counts in the above-captioned action, for violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934, are voluntarily dismissed with prejudice against all defendants pursuant to the Federal Rules of Civil Procedure 41(a)(1)(A)(ii), with each side to bear their own costs. IT IS FURTHER STIPULATED AND AGREED that Plaintiffs will have no right to appeal any order or judgment in the above-captioned proceeding, and Plaintiffs hereby waive any such right to appeal they might otherwise have. IT IS FURTHER STIPULATED AND AGREED that all parties complied with Rule 11 of the Federal Rules of Civil Procedure at all times. (Signed by Judge William H. Pauley, III on 12/27/2017) (mro)
December 26, 2017 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Laurence Rosen to E-MAIL Document No. #191 Stipulation of Voluntary Dismissal to judgments@nysd.uscourts.gov This document is not filed via ECF. Please have the attorneys' sign the stipulation before e-mailing. (dt)
December 22, 2017 Filing 191 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) George R. Aylward, Virtus Investment Partners Inc., Francis G. Waltman and without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by William Echols, Frances Briggs, Mark Youngers, Louise Quigley, Joseph D. Mitchell, Kimball Lloyd.(Rosen, Laurence) Modified on 12/26/2017 (dt).
December 15, 2017 Opinion or Order Filing 190 ORDER granting #189 Letter Motion for Extension of Time to File Stipulation or Status Report: Application granted. (Signed by Judge William H. Pauley, III on 12/15/2017) (jwh)
December 15, 2017 Filing 189 LETTER MOTION for Extension of Time to File a stipulation or status report and proposed schedule addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated December 15, 2017. Document filed by George R. Aylward, Virtus Investment Partners Inc..(McLaughlin, Joseph)
December 4, 2017 Opinion or Order Filing 188 OPINION & ORDER re: #168 MOTION to Amend/Correct #63 Amended Complaint, filed by Frances Briggs, William Echols, Joseph D. Mitchell, Mark Youngers, Louise Quigley, Kimball Lloyd: For the foregoing reasons, in this Court's informed discretion, Plaintiffs' motion to amend is denied. The parties are directed to provide a status report and proposed scheduling order by December 15, 2017. If the parties believe that a conference is warranted, they should indicate that in their status report. The Clerk of Court is directed to terminate the motion pending at ECF No. 168. (Signed by Judge William H. Pauley, III on 12/4/2017) (jwh)
November 9, 2017 Filing 187 LETTER addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated November 9, 2017 re: supplemental authority. Document filed by George R. Aylward, Virtus Investment Partners Inc..(McLaughlin, Joseph)
October 6, 2017 Opinion or Order Filing 186 ORDER granting #185 Letter Motion to Adjourn Conference. Application granted. (Signed by Judge William H. Pauley, III on 10/6/2017) (mro)
October 5, 2017 Filing 185 JOINT LETTER MOTION to Adjourn Conference addressed to Judge William H. Pauley, III from Jonathan Stern dated October 5, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers.(Stern, Jonathan)
September 21, 2017 Filing 184 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 9/7/17 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
September 21, 2017 Filing 183 TRANSCRIPT of Proceedings re: ARGUMENT held on 9/7/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Michael McDaniel, (212) 805-0300. 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 10/12/2017. Redacted Transcript Deadline set for 10/23/2017. Release of Transcript Restriction set for 12/20/2017.(McGuirk, Kelly)
September 7, 2017 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 9/7/2017 re: #168 MOTION to Amend/Correct #63 Amended Complaint,, . filed by Frances Briggs, William Echols, Joseph D. Mitchell, Mark Youngers, Louise Quigley, Kimball Lloyd. (Choi, Brian)
August 18, 2017 Filing 182 LETTER addressed to Judge William H. Pauley, III from Jonathan Stern dated August 18, 2017 re: Youngers v. Virtus Investment Partners. Inc.. et al., 15-cv-08262. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers.(Stern, Jonathan)
August 18, 2017 Filing 181 DECLARATION of Jonathan Stern in Support re: #168 MOTION to Amend/Correct #63 Amended Complaint,, .. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Supplement 5, #2 Exhibit 6)(Stern, Jonathan)
August 18, 2017 Filing 180 REPLY MEMORANDUM OF LAW in Support re: #168 MOTION to Amend/Correct #63 Amended Complaint,, . . Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Mark Youngers. (Stern, Jonathan)
August 16, 2017 Opinion or Order Filing 179 ORDER granting #160 Motion to Seal Document: Plaintiffs' motion to seal portions of the transcripts filed as exhibits to Plaintiffs' letter dated July 13, 2017 (ECF No. 159) is granted. The Clerk of Court is directed to replace ECF Nos. 159-1 and 159-2 with the documents filed as ECF Nos. 171-1 and 171-2, respectively. Further, the Clerk of Court is directed to terminate the motions pending at ECF No. 160. (Signed by Judge William H. Pauley, III on 8/16/2017) (jwh) Modified on 9/12/2017 (jwh).
August 15, 2017 Filing 178 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/19/17 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
August 15, 2017 Filing 177 TRANSCRIPT of Proceedings re: CONFERENCE held on 7/19/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Sonya Ketter Huggins, (212) 805-0300. 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 9/5/2017. Redacted Transcript Deadline set for 9/15/2017. Release of Transcript Restriction set for 11/13/2017.(McGuirk, Kelly)
August 11, 2017 Filing 176 DECLARATION of Shannon K. McGovern in Opposition re: #168 MOTION to Amend/Correct #63 Amended Complaint,, .. Document filed by George R. Aylward, Virtus Investment Partners Inc.. (Attachments: #1 Exhibit A - SEC Consent Order, #2 Exhibit B - Press Release, #3 Exhibit C - Federal Court Complaint, #4 Exhibit D - Federal Court Complaint, #5 Exhibit E - SEC Consent Order, #6 Exhibit F - Hearing Transcript, #7 Exhibit G - Deposition Excerpt, #8 Exhibit H - Deposition Excerpt, #9 Exhibit I - Deposition Excerpt, #10 Exhibit J - Discovery Document, #11 Exhibit K - Deposition Excerpt)(McGovern, Shannon)
August 11, 2017 Filing 175 MEMORANDUM OF LAW in Opposition re: #168 MOTION to Amend/Correct #63 Amended Complaint,, . . Document filed by George R. Aylward, Virtus Investment Partners Inc.. (McLaughlin, Joseph)
August 11, 2017 Opinion or Order Filing 174 ORDER: terminating #173 Letter Motion for Extension of Time to Complete Discovery. It is hereby Ordered that: The deadlines set forth in the scheduling order dated June 15, 2017, are hereby extended sine die pending resolution Plaintiffs' Motion to Amend their Complaint. Upon resolution of that motion, this Court will enter a revised expert discovery schedule. SO ORDERED. (Signed by Judge William H. Pauley, III on 8/11/2017) (ama)
August 9, 2017 Filing 173 LETTER MOTION for Extension of Time to Complete Discovery addressed to Judge William H. Pauley, III from Jonathan Stern dated August 9, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Text of Proposed Order)(Stern, Jonathan)
August 1, 2017 Filing 172 SEALED DOCUMENT placed in vault.(rz)
July 31, 2017 Filing 171 RESPONSE in Support of Motion re: #163 MOTION to Seal Document #159 Letter, Dkt. Nos. 159-1 and 159-2. . Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Exhibit A, #2 Exhibit B)(Stern, Jonathan)
July 28, 2017 Filing 170 DECLARATION of Jonathan Stern in Support re: #168 MOTION to Amend/Correct #63 Amended Complaint,, .. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 4 - part 2)(Stern, Jonathan)
July 28, 2017 Filing 169 MEMORANDUM OF LAW in Support re: #168 MOTION to Amend/Correct #63 Amended Complaint,, . . Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Stern, Jonathan)
July 28, 2017 Filing 168 MOTION to Amend/Correct #63 Amended Complaint,, . Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Text of Proposed Order)(Stern, Jonathan)
July 25, 2017 Filing 167 MEMO ENDORSEMENT denying #163 Motion to Seal Document. ENDORSEMENT: Application to file the exhibits under seal in bulk is denied. Plaintiffs are directed to submit proposed redactions by July 31, 2017. (Signed by Judge William H. Pauley, III on 7/25/2017) (mro)
July 21, 2017 Filing 166 SEALED DOCUMENT placed in vault.(rz)
July 21, 2017 Filing 165 DECLARATION of Jonathan Stern in Support re: #163 MOTION to Seal Document #159 Letter, Dkt. Nos. 159-1 and 159-2.. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Stern, Jonathan)
July 21, 2017 Filing 164 MEMORANDUM OF LAW in Support re: #163 MOTION to Seal Document #159 Letter, Dkt. Nos. 159-1 and 159-2. . Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Stern, Jonathan)
July 21, 2017 Filing 163 MOTION to Seal Document #159 Letter, Dkt. Nos. 159-1 and 159-2. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Text of Proposed Order)(Stern, Jonathan)
July 20, 2017 Opinion or Order Filing 162 OPINION & ORDER: The parties having appeared for pre-motion conference on July 19, 2017, the following schedule is entered on consent: (1) Plaintiffs will file their motion to amend the complaint by July 28, 2017; (2) Defendants will file their opposition by August 11, 2017; (3) Any reply will be filed on August 18, 2017; and (4) The parties will appear for an oral argument on September 7, 2017 at 11:00 a.m. (Oral Argument set for 9/7/2017 at 11:00 AM before Judge William H. Pauley III. Motions due by 7/28/2017. Responses due by 8/11/2017. Replies due by 8/18/2017.) (Signed by Magistrate Judge Sarah Netburn on 7/20/2017) (jwh)
July 19, 2017 Minute Entry for proceedings held before Judge William H. Pauley, III: Pre-Motion Conference held on 7/19/2017. (Choi, Brian)
July 17, 2017 Filing 161 RESPONSE re: #159 Letter, . Document filed by George R. Aylward, Virtus Investment Partners Inc.. (Wang, George)
July 14, 2017 Filing 160 LETTER MOTION to Seal Document addressed to Judge William H. Pauley, III from Jonathan Stern dated July 14, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers.(Stern, Jonathan)
July 13, 2017 Filing 159 LETTER addressed to Judge William H. Pauley, III from Jonathan Stern dated June 13, 2017 re: Youngers v. Virtus Investment Partners. Inc. et al., 15-cv-08262. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Stern, Jonathan) (Attachment 1 replaced on 8/16/2017) (jwh). (Attachment 2 replaced on 8/16/2017) (jwh).
June 27, 2017 Opinion or Order Filing 158 ORDER: granting #157 Letter Motion to Adjourn Conference. Application granted. The pre-motion conference is rescheduled to July 19, 2017 at 11:00 a.m. Pre-Motion Conference set for 7/19/2017 at 11:00 AM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 6/27/2017) (ap)
June 22, 2017 Filing 157 LETTER MOTION to Adjourn Conference addressed to Judge William H. Pauley, III from Jonathan Stern dated June 22, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers.(Stern, Jonathan)
June 21, 2017 Opinion or Order Filing 156 ORDER granting #150 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Jonathan Stern dated June 12, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. Application granted. The parties are directed to appear for a pre-motion conference on June 30, 2017 at 12:00 p.m. So ordered. (Pre-Motion Conference set for 6/30/2017 at 12:00 PM before Judge William H. Pauley III). (Signed by Judge William H. Pauley, III on 6/21/2017) (rjm)
June 19, 2017 Filing 155 LETTER RESPONSE in Opposition to Motion addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated June 19, 2017 re: #150 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Jonathan Stern dated June 12, 2017. . Document filed by George R. Aylward, Virtus Investment Partners Inc.. (Attachments: #1 Exhibit - Order instituting administrative and cease-and-desist proceedings dated December 22, 2014, #2 Exhibit - Order instituting administrative and cease-and-desist proceedings dated November 16, 2015)(McLaughlin, Joseph)
June 19, 2017 Filing 154 LETTER addressed to Judge William H. Pauley, III from Geoffrey H. Coll dated June 19, 2017 re: To Oppose the Plaintiffs' June 12, 2017 Letter-Request for Leave to File a Third-Amended Complaint. Document filed by Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck.(Coll, Geoffrey)
June 15, 2017 Set/Reset Deadlines: (Expert Discovery due by 9/27/2017.), Set/Reset Hearings: (Status Conference set for 10/6/2017 at 11:00 AM before Judge William H. Pauley III.) (rjm)
June 15, 2017 Opinion or Order Filing 153 ORDER granting #149 LETTER MOTION for Extension of Time addressed to Judge William H. Pauley, III from Jonathan Stern dated June 12, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. Application granted. The August 17, 2016 scheduling order is amended as follows: (1) The parties will exchange expert reports on July 16, 2017; (2) The parties will exchange any rebuttal reports on August 28, 2017; (3) The parties will complete expert discovery by September 27, 2017; and (4) The parties will appear for a status conference on October 6, 2017 at 11:00 a.m. Further, Plaintiffs or their experts are prohibited from receiving or viewing any expert reports filed in In re Virtus, 15cv1249, until after they file their reports in this case. So ordered. (Signed by Judge William H. Pauley, III on 6/15/2017) (rjm)
June 13, 2017 Filing 152 LETTER RESPONSE in Opposition to Motion addressed to Judge William H. Pauley, III from Shannon K. McGovern dated June 13, 2017 re: #149 LETTER MOTION for Extension of Time addressed to Judge William H. Pauley, III from Jonathan Stern dated June 12, 2017. . Document filed by George R. Aylward, Virtus Investment Partners Inc.. (McGovern, Shannon)
June 13, 2017 Filing 151 NOTICE of Proposed Order re: #149 LETTER MOTION for Extension of Time addressed to Judge William H. Pauley, III from Jonathan Stern dated June 12, 2017.. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Text of Proposed Order)(Stern, Jonathan)
June 12, 2017 Filing 150 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Jonathan Stern dated June 12, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers.(Stern, Jonathan)
June 12, 2017 Filing 149 LETTER MOTION for Extension of Time addressed to Judge William H. Pauley, III from Jonathan Stern dated June 12, 2017. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers.(Stern, Jonathan)
May 16, 2017 Filing 148 NOTICE OF APPEARANCE by Erica Lauren Stone on behalf of Frances Briggs, William Echols, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Alfred Tolli, Mark Youngers. (Stone, Erica)
May 15, 2017 Opinion or Order Filing 147 OPINION AND ORDER. For the reasons in this Opinion and Order, Plaintiffs' motion for class certification is denied. The Clerk of Court is directed to terminate the motion pending at ECF No. 130. So ordered. re: #130 MOTION to Certify Class filed by Frances Briggs, William Echols, Joseph D. Mitchell, Mark Youngers, Louise Quigley, Kimball Lloyd, Alfred Tolli. (Signed by Judge William H. Pauley, III on 5/15/2017) (rjm)
February 27, 2017 Filing 146 LETTER addressed to Judge William H. Pauley, III from Jonathan Stern dated 2/27/2017 re: Youngers v. Virtus Investment Partners. Inc.. et al., 15-cv-08262. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Alfred Tolli, Virtus Group, Mark Youngers.(Stern, Jonathan)
February 17, 2017 Filing 145 LETTER addressed to Judge William H. Pauley, III from Jonathan Stern dated 2/17/2017 re: Youngers v. Virtus Investment Partners. Inc.. et al., 15-cv-08262. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Virtus Group, Mark Youngers.(Stern, Jonathan)
February 17, 2017 Filing 144 DECLARATION of Dr. John Minahan in Support re: #130 MOTION to Certify Class .. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Virtus Group, Mark Youngers. (Stern, Jonathan)
February 17, 2017 Filing 143 DECLARATION of Jonathan Stern in Support re: #130 MOTION to Certify Class .. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Mark Youngers. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10)(Stern, Jonathan)
February 17, 2017 Filing 142 REPLY MEMORANDUM OF LAW in Support re: #130 MOTION to Certify Class . . Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Virtus Group, Mark Youngers. (Stern, Jonathan)
January 27, 2017 Filing 141 DECLARATION of Meredith D. Karp (Corrected) in Opposition re: #130 MOTION to Certify Class .. Document filed by George R. Aylward, Virtus Investment Partners Inc.. (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)(Karp, Meredith)
January 16, 2017 Filing 140 DECLARATION of Dr. Stephen J. Choi in Opposition re: #130 MOTION to Certify Class .. Document filed by George R. Aylward, Virtus Investment Partners Inc.. (Karp, Meredith)
January 16, 2017 Filing 139 DECLARATION of Meredith D. Karp in Opposition re: #130 MOTION to Certify Class .. Document filed by George R. Aylward, Virtus Investment Partners Inc.. (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)(Karp, Meredith)
January 16, 2017 Filing 138 MEMORANDUM OF LAW in Opposition re: #130 MOTION to Certify Class . . Document filed by George R. Aylward, Virtus Investment Partners Inc.. (McLaughlin, Joseph)
January 6, 2017 Opinion or Order Filing 137 OPINION & ORDER re: #123 MOTION for Certificate of Appealability ; Notice of Motion to Certify The Court's July 1, 2016 Opinion and Order for Interlocutory Appeal. filed by VP Distributors, LLC, Virtus Investment Partners Inc., George R. Aylward. Defendants' motion to certify an interlocutory appeal is denied. The Clerk of Court is directed to close the motion pending at ECF No. 123. (Signed by Judge William H. Pauley, III on 1/6/2017) (cla)
December 6, 2016 Opinion or Order Filing 136 ORDER FOR ADMISSION PRO HAC VICE granting #135 Motion for Gonen Haklay to Appear Pro Hac Vice. (As further set forth in this Order.) (Signed by Judge William H. Pauley, III on 12/6/2016) (cf)
December 5, 2016 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #135 MOTION for Gonen Haklay to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13058715. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
December 5, 2016 Filing 135 MOTION for Gonen Haklay to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13058715. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers. (Attachments: #1 Certificate of Good Standing from PA Bar, #2 Certificate of Good Standing from NJ Bar, #3 Text of Proposed Order)(Haklay, Gonen)
December 2, 2016 Filing 134 NOTICE OF APPEARANCE by Meredith Dawn Karp on behalf of George R. Aylward, Virtus Investment Partners Inc.. (Karp, Meredith)
November 29, 2016 Opinion or Order Filing 133 STIPULATION AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material...(As further set forth in this Order) (Signed by Judge William H. Pauley, III on 11/29/2016) (kl)
November 7, 2016 Filing 132 DECLARATION of Jonathan Stern in Support re: #130 MOTION to Certify Class .. Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Alfred Tolli, Mark Youngers. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10)(Stern, Jonathan)
November 7, 2016 Filing 131 MEMORANDUM OF LAW in Support re: #130 MOTION to Certify Class . . Document filed by Frances Briggs, William Echols, Kimball Lloyd, Joseph D. Mitchell, Louise Quigley, Alfred Tolli, Mark Youngers. (Stern, Jonathan)
November 7, 2016 Filing 130 MOTION to Certify Class . Document filed by Frances Briggs, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers, William Echols, Louise Quigley. Responses due by 1/16/2017(Stern, Jonathan)
October 7, 2016 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 10/7/2016 re: #123 MOTION for Certificate of Appealability ; Notice of Motion to Certify The Court's July 1, 2016 Opinion and Order for Interlocutory Appeal. filed by VP Distributors, LLC, Virtus Investment Partners Inc., George R. Aylward.
September 23, 2016 Filing 129 LETTER addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated September 23, 2016 Document filed by George R. Aylward, Virtus Investment Partners Inc..(McLaughlin, Joseph)
September 23, 2016 Filing 128 REPLY MEMORANDUM OF LAW in Support re: #123 MOTION for Certificate of Appealability ; Notice of Motion to Certify The Court's July 1, 2016 Opinion and Order for Interlocutory Appeal. . Document filed by George R. Aylward, VP Distributors, LLC, Virtus Investment Partners Inc.. (McLaughlin, Joseph)
September 16, 2016 Opinion or Order Filing 127 STIPULATION OF VOLUNTARY DISMISSAL UNDER FED. R. CIV. P. 41(a)(1)(A)(ii): WHEREAS, the statute of limitations applicable to claims under both Section 11 and Section 12(a)(2) of the Securities Act of 1933 is contained in Section 13 of the Securities Act, 15 U.S.C. 77m; and WHEREAS, the Court held in its July 1, 2016 Opinion and Order that Plaintiffs' claim under Section 11 of the Securities Act is time-barred under the one-year discovery provision of Section 13; IT IS HEREBY STIPULATED AND AGREED, that Plaintiffs' claim under Section 12(a)(2) (Count IV), the sole remaining claim against Defendant VP Distributors, LLC, also is hereby dismissed with prejudice in accordance with the Court's holding in the July 1 Order as to the Section 11 claim, except as to the parties' appellate rights, which are preserved in full. VP Distributors, LLC terminated. (Signed by Judge William H. Pauley, III on 9/16/2016) (mro) Modified on 9/19/2016 (mro).
September 16, 2016 Filing 126 MEMORANDUM OF LAW in Opposition re: #123 MOTION for Certificate of Appealability ; Notice of Motion to Certify The Court's July 1, 2016 Opinion and Order for Interlocutory Appeal. . Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Virtus Group, Mark Youngers. (Stern, Jonathan)
September 16, 2016 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Jonathan Stern Document #125 Stipulation of Voluntary Dismissal was referred to Judge William H. Pauley, III for approval. (km)
September 15, 2016 Minute Entry: The oral argument scheduled for September 23, 2016 is adjourned.
September 15, 2016 Filing 125 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) VP Distributors, LLC pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Alfred Tolli, Frances Briggs, Mark Youngers, Virtus Group, Joseph D. Mitchell, Brendan Hoffman, Kimball Lloyd.(Stern, Jonathan) Modified on 9/16/2016 (km).
August 26, 2016 Filing 124 MEMORANDUM OF LAW in Support re: #123 MOTION for Certificate of Appealability ; Notice of Motion to Certify The Court's July 1, 2016 Opinion and Order for Interlocutory Appeal. . Document filed by George R. Aylward, VP Distributors, LLC, Virtus Investment Partners Inc.. (McLaughlin, Joseph)
August 26, 2016 Filing 123 MOTION for Certificate of Appealability ; Notice of Motion to Certify The Court's July 1, 2016 Opinion and Order for Interlocutory Appeal. Document filed by George R. Aylward, VP Distributors, LLC, Virtus Investment Partners Inc..(McLaughlin, Joseph)
August 17, 2016 Opinion or Order Filing 122 SCHEDULING ORDER: Discovery shall commence immediately. In the Youngers Action, Motion pursuant to Rule 12(c) of the federal Rules of Civil Procedure for judgment on the pleadings with respect to the remaining claim under Section 12(a)(2) of the Securities Act of 1933 due by 8/19/2016. In the Youngers Action, opposition to Defendants' Rule 12(c) Motion due by 9/2/2016. Any reply brief in further support of their Rule 12(c) Motion no later than September 12, 2016. Oral Argument on Defendants' Rule 12(c) Motion set for 9/23/2016 at 10:30 AM before Judge William H. Pauley III. Motion for class certification due by 11/7/2016. Defendants shall depose the proposed class representatives and Plaintiffs' class certification expert(s) no later than 12/19/2016, absent agreement of the parties to a mutually agreeable later date. Opposition to Plaintiffs' motions for class certification due by 1/16/2017. Plaintiffs shall depose Defendants' class certification expert(s) no later than 1/30/2017, absent agreement of the parties to a mutually agreeable later date. Reply briefs on class certification due by 2/17/2017. Oral Argument on Plaintiffs' motions for class certifications set for 3/3/2017 at 11:00 AM before Judge William H. Pauley III. Fact Discovery due by 5/17/2017. Expert Discovery due by 8/11/2017. Status Conference set for 8/18/2017 at 11:00 AM before Judge William H. Pauley III, and as further set forth in this order. (Signed by Judge William H. Pauley, III on 8/17/2016) (tn)
August 17, 2016 Filing 121 LETTER addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated August 17, 2016 Document filed by VP Distributors, LLC.(McLaughlin, Joseph)
August 10, 2016 Filing 120 INITIAL REPORT OF PARTIES BEFORE PRETRIAL CONFERENCE. Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Virtus Group, Mark Youngers.(Rosen, Laurence)
August 10, 2016 Filing 119 LETTER MOTION for Conference re: motion for judgment on the pleadings pursuant to Rule 12(c) addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated August 10, 2016. Document filed by VP Distributors, LLC.(McLaughlin, Joseph)
August 5, 2016 Filing 118 MEMO ENDORSEMENT on re: #116 Letter, filed by Frances Briggs, Brendan Hoffman, Joseph D. Mitchell, Mark Youngers, Kimball Lloyd, Alfred Tolli. ENDORSEMENT: Application granted. (Signed by Judge William H. Pauley, III on 8/5/2016) (mro)
August 5, 2016 Filing 117 ANSWER to #63 Amended Complaint,,. Document filed by George R. Aylward, VP Distributors, LLC, Virtus Investment Partners Inc..(McLaughlin, Joseph)
August 4, 2016 Filing 116 LETTER addressed to Judge William H. Pauley, III from Jonathan Stern dated August 4, 2016 re: Youngers v. Virtus Investment Partners. Inc.. et al., 15-cv-08262 - request for conference. Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers.(Stern, Jonathan)
August 2, 2016 Set/Reset Deadlines: Motions due by 8/26/2016. Responses due by 9/16/2016. Replies due by 9/23/2016. (kko)
August 2, 2016 Opinion or Order Filing 115 ORDER granting #111 Letter Motion for Conference re: certification pursuant to Section 1292(b). Defendants may file a motion to certify this Court's July 1, 2016 Order for interlocutory appeal by August 26, 2016. Plaintiffs shall file their opposition by September 16, 2016. Any reply shall be filed by September 23, 2016. The parties shall appear for oral argument on October 7, 2016 at 10:30 a.m. SO ORDERED. Oral Argument set for 10/7/2016 at 10:30 AM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 8/2/2016) (kko)
August 2, 2016 Filing 114 NOTICE OF APPEARANCE by George S Wang on behalf of George R. Aylward, VP Distributors, LLC, Virtus Investment Partners Inc.. (Wang, George)
July 19, 2016 Filing 113 LETTER RESPONSE in Opposition to Motion addressed to Judge William H. Pauley, III from Jonathan Stern dated July 19, 2016 re: #111 LETTER MOTION for Conference re: certification pursuant to Section 1292(b) addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated July 13, 2016. . Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Virtus Group, Mark Youngers. (Stern, Jonathan)
July 14, 2016 Opinion or Order Filing 112 ORDER granting #110 Letter Motion for Extension of Time to Answer. SO ORDERED. George R. Aylward answer due 8/5/2016; VP Distributors, LLC answer due 8/5/2016; Virtus Investment Partners Inc. answer due 8/5/2016. (Signed by Judge William H. Pauley, III on 7/14/2016) (mro)
July 13, 2016 Filing 111 LETTER MOTION for Conference re: certification pursuant to Section 1292(b) addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated July 13, 2016. Document filed by George R. Aylward, VP Distributors, LLC, Virtus Investment Partners Inc..(McLaughlin, Joseph)
July 11, 2016 Filing 110 LETTER MOTION for Extension of Time to File Answer to the Second Amended Complaint addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated July 11, 2016. Document filed by George R. Aylward, VP Distributors, LLC, Virtus Investment Partners Inc..(McLaughlin, Joseph)
July 1, 2016 Opinion or Order Filing 109 OPINION & ORDER re: #72 MOTION to Dismiss the Second Amended Class Action Complaint, filed by VP Distributors, LLC, Amy Robinson, Mark S. Flynn, Virtus Investment Partners Inc., W. Patrick Bradley, Euclid Advisors, LLC, Virtus Opportunities Trust, Francis G. Waltman, Michael A. Angerthal, Virtus Investment Advisers, Inc., George R. Aylward; re: #69 MOTION to Dismiss , filed by Richard E. Segerson, Geraldine M. McNamara, Philip R. McLoughlin, James M. Oates, Ferdinand L. J. Vredonck, Leroy Keith, Jr; re: #102 MOTION to Dismiss Plaintiffs Second Amended Class Action Complaint, filed by F-Squared Investment Management, LLC, F-Squared Institutional Advisors, LLC, F-Squared Alternative Advisors, LLC, F-Squared Investments, Inc; re: #75 MOTION to Dismiss Second Amended Complaint, filed by Howard Present. For the foregoing reasons, the Virtus Defendants, Independent Trustees, Present, and F-Squared's motions to dismiss are granted in part and denied in part. The Section 10(b) claims are dismissed as to W. Patrick Bradley and the Independent Trustees. The Section 20(a) claims are dismissed as to Euclid Advisers, LLC, Amy Robinson, Michael A. Angerthal, W. Patrick Bradley, Francis G. Waltman, Mark S. Flynn, the Independent Trustees, Howard Present, and the F-Squared defendants. The Section 12(a)(2) claims are dismissed with regard to Virtus Partners and George R. Aylward. Plaintiffs' Section 11, Section 15 and derivative claims are dismissed in their entirety. The Clerk of Court is directed to terminate the motions pending at ECF Nos. 69, 72, 75 and 102. (As further set forth in this Opinion) (Signed by Judge William H. Pauley, III on 7/1/2016) (kl)
May 25, 2016 Filing 108 NOTICE of Notice of Beth Kressel Itkin's Withdrawal of Appearance. Document filed by Howard Present. (Itkin, Beth)
May 9, 2016 Filing 107 LETTER addressed to Judge William H. Pauley, III from Aric H. Wu dated May 9, 2016 re: submission of F2 Liquidating Trust's Motion to Dismiss the Second Amended Class Action Complaint. Document filed by F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc..(Wu, Aric)
May 9, 2016 Filing 106 REPLY MEMORANDUM OF LAW in Support re: #102 MOTION to Dismiss Plaintiffs Second Amended Class Action Complaint. . Document filed by F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc.. (Wu, Aric)
April 29, 2016 Filing 105 MEMORANDUM OF LAW in Opposition re: #102 MOTION to Dismiss Plaintiffs Second Amended Class Action Complaint. . Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers. (Stern, Jonathan)
April 22, 2016 Filing 104 DECLARATION of ARIC H. WU in Support re: #102 MOTION to Dismiss Plaintiffs Second Amended Class Action Complaint.. Document filed by F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B)(Wu, Aric)
April 22, 2016 Filing 103 MEMORANDUM OF LAW in Support re: #102 MOTION to Dismiss Plaintiffs Second Amended Class Action Complaint. . Document filed by F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc.. (Wu, Aric)
April 22, 2016 Filing 102 MOTION to Dismiss Plaintiffs Second Amended Class Action Complaint. Document filed by F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc.. Responses due by 5/2/2016(Wu, Aric)
April 22, 2016 Filing 101 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc..(Wu, Aric)
April 22, 2016 Filing 100 NOTICE OF APPEARANCE by Aric Hugo Wu on behalf of F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc.. (Wu, Aric)
April 18, 2016 Filing 99 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 4/8/16 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
April 18, 2016 Filing 98 TRANSCRIPT of Proceedings re: conference held on 4/8/2016 before Judge William H. Pauley, III. Court Reporter/Transcriber: Patricia Nilsen, (212) 805-0300. 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 5/12/2016. Redacted Transcript Deadline set for 5/23/2016. Release of Transcript Restriction set for 7/21/2016.(McGuirk, Kelly)
April 7, 2016 Opinion or Order Filing 97 ORDER: By letter dated April 7, 2016 and filed on ECF earlier this afternoon, Plaintiffs' counsel notified this Court that Bankruptcy Judge Laurie Selber Silverstein lifted the automatic stay on March 18, 2016 to permit the debtors in In re F-Squared Investment Management, LLC, et al., Case No. 15-11469 (LSS) (Bankr. D. Del.) to move to dismiss the Third Amended Complaint in this civil action. Putting aside this Court's astonishment that neither the F-Squared defendants nor any other party to this litigation brought this matter to the Court's attention until a few hours before oral argument, Plaintiffs' counsel is directed to notify counsel for the F-Squared defendants named in this action to be present tomorrow in Courtroom 20-B at 11:00 a.m. SO ORDERED. (Signed by Judge William H. Pauley, III on 4/07/2016) Copies to all counsel of record via ECF.(ama)
April 7, 2016 Filing 96 LETTER addressed to Judge William H. Pauley, III from Jonathan Stern dated April 7, 2016 re: Youngers v. Virtus Investment Partners. Inc.. et al., 15-cv-08262 - lifting of bankruptcy stay. Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers. (Attachments: #1 Bankruptcy court order)(Stern, Jonathan)
April 6, 2016 Filing 95 NOTICE OF APPEARANCE by Beth Kressel Itkin on behalf of Howard Present. (Itkin, Beth)
April 4, 2016 Filing 94 LETTER addressed to Judge William H. Pauley, III from Geoffrey H. Coll dated April 4, 2016 re: Motion Papers and Memoranda Filed in Connection with the Independent Trustees Motion to Dismiss the Second Amended Class Action Complaint. Document filed by Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck.(Coll, Geoffrey)
March 18, 2016 Opinion or Order Filing 93 ORDER FOR ADMISSION PRO HAC VICE OF JUSTIN P. O'BRIEN granting #84 Motion for Justin P. O'Brien to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 3/18/2016) (mro)
March 18, 2016 Opinion or Order Filing 92 ORDER FOR ADMISSION PRO HAC VICE OF ALEXANDRA G. WATSON granting #80 Motion for Alexandra G. Watson to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 3/18/2016) (mro)
March 18, 2016 Opinion or Order Filing 91 ORDER FOR ADMISSION PRO HAC VICE OF ANTHONY E. FULLER granting #83 Motion for Anthony E. Fuller to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 3/18/2016) (mro)
March 11, 2016 Filing 90 LETTER addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated March 11, 2016 re: Specifying motion papers and memoranda filed in connection with Virtus Defendants' Motion to Dismiss the Second Amended Class Action Complaint. Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman.(McLaughlin, Joseph)
March 11, 2016 Filing 89 DECLARATION of Daniel J. Stujenske in Support re: #72 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (Attachments: #1 Exhibit F)(Stujenske, Daniel)
March 11, 2016 Filing 88 LETTER addressed to Judge William H. Pauley, III from Paul W. Ryan dated 03/11/2016 re: Documents Filed in Connection with Present Motion to Dismiss. Document filed by Howard Present.(Ryan, Paul)
March 11, 2016 Filing 87 REPLY MEMORANDUM OF LAW in Support re: #72 MOTION to Dismiss the Second Amended Class Action Complaint. . Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (McLaughlin, Joseph)
March 11, 2016 Filing 86 REPLY MEMORANDUM OF LAW in Support re: #75 MOTION to Dismiss Second Amended Complaint. . Document filed by Howard Present. (Ryan, Paul)
March 11, 2016 Filing 85 REPLY MEMORANDUM OF LAW in Support re: #69 MOTION to Dismiss . . Document filed by Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck. (Coll, Geoffrey)
March 1, 2016 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #84 MOTION for Justin P. O'Brien to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12015204. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
March 1, 2016 Filing 84 MOTION for Justin P. O'Brien to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12015204. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Howard Present. (Attachments: #1 Proposed Order, #2 Certificate of Good Standing)(O'Brien, Justin)
March 1, 2016 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #83 MOTION for Anthony E. Fuller to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12015108. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi)
March 1, 2016 Filing 83 MOTION for Anthony E. Fuller to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-12015108. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Howard Present. (Attachments: #1 Proposed Order, #2 Certificate of Good Standing)(Fuller, Anthony)
February 29, 2016 Filing 82 DECLARATION of Jonathan Stern in Opposition re: #75 MOTION to Dismiss Second Amended Complaint., #72 MOTION to Dismiss the Second Amended Class Action Complaint., #69 MOTION to Dismiss .. Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers. (Attachments: #1 Index, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3)(Stern, Jonathan)
February 29, 2016 Filing 81 MEMORANDUM OF LAW in Opposition re: #72 MOTION to Dismiss the Second Amended Class Action Complaint., #69 MOTION to Dismiss ., #75 MOTION to Dismiss Second Amended Complaint. . Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers. (Stern, Jonathan)
February 29, 2016 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #80 MOTION for Alexandra G. Watson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
February 29, 2016 Pro Hac Vice Fee Payment: for #80 MOTION for Alexandra G. Watson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee $ 200.00, receipt number 0208-12008766.(Watson, Alexandra)
February 29, 2016 Filing 80 MOTION for Alexandra G. Watson to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Howard Present. (Attachments: #1 Proposed Order, #2 Certificates of Good Standing)(Watson, Alexandra)
February 26, 2016 Opinion or Order Filing 79 ORDER granting #78 Letter Motion for Leave to File Excess Pages. Application granted. (Signed by Judge William H. Pauley, III on 2/26/2016) (mro)
February 25, 2016 Filing 78 LETTER MOTION for Leave to File Excess Pages addressed to Judge William H. Pauley, III from Jonathan Stern dated 2/25/2016. Document filed by Frances Briggs, Brendan Hoffman, Kimball Lloyd, Joseph D. Mitchell, Alfred Tolli, Mark Youngers.(Stern, Jonathan)
February 2, 2016 Filing 77 AFFIDAVIT of Paul W. Ryan in Support re: #75 MOTION to Dismiss Second Amended Complaint.. Document filed by Howard Present. (Attachments: #1 Appendix for Exs A through F, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F)(Ryan, Paul)
February 2, 2016 Filing 76 MEMORANDUM OF LAW in Support re: #75 MOTION to Dismiss Second Amended Complaint. . Document filed by Howard Present. (Ryan, Paul)
February 2, 2016 Filing 75 MOTION to Dismiss Second Amended Complaint. Document filed by Howard Present.(Ryan, Paul)
February 2, 2016 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Paul W. Ryan to RE-FILE Document #71 MOTION to Dismiss . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)
February 1, 2016 Filing 74 DECLARATION of Daniel J. Stujenske in Support re: #72 MOTION to Dismiss the Second Amended Class Action Complaint.. Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Stujenske, Daniel)
February 1, 2016 Filing 73 MEMORANDUM OF LAW in Support re: #72 MOTION to Dismiss the Second Amended Class Action Complaint. . Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (McLaughlin, Joseph)
February 1, 2016 Filing 72 MOTION to Dismiss the Second Amended Class Action Complaint. Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman.(McLaughlin, Joseph)
February 1, 2016 Filing 71 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss . Document filed by Howard Present. Responses due by 2/29/2016 (Attachments: #1 Brief in support of motion to dismiss, #2 Affidavit of Paul W. Ryan, #3 Appendix listing Exhibits A-F, #4 Exhibit A, #5 Exhibit B, #6 Exhibit C, #7 Exhibit D, #8 Exhibit E, #9 Exhibit F)(Ryan, Paul) Modified on 2/2/2016 (db).
February 1, 2016 Filing 70 MEMORANDUM OF LAW in Support re: #69 MOTION to Dismiss . . Document filed by Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck. (Coll, Geoffrey)
February 1, 2016 Filing 69 MOTION to Dismiss . Document filed by Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck.(Coll, Geoffrey)
January 28, 2016 Filing 68 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 11/19/15 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
January 28, 2016 Filing 67 TRANSCRIPT of Proceedings re: Conference held on 11/19/2015 before Judge William H. Pauley, III. Court Reporter/Transcriber: Vincent Bologna, (212) 805-0300. 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 2/22/2016. Redacted Transcript Deadline set for 3/3/2016. Release of Transcript Restriction set for 5/2/2016.(McGuirk, Kelly)
January 27, 2016 Filing 66 NOTICE OF APPEARANCE by Paul W. Ryan on behalf of Howard Present. (Ryan, Paul)
January 26, 2016 Opinion or Order Filing 65 ORDER granting #64 Letter Motion for Leave to File Excess Pages. Application granted. (Signed by Judge William H. Pauley, III on 1/26/2016) (tro)
January 22, 2016 Filing 64 LETTER MOTION for Leave to File Excess Pages addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated January 22, 2016. Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Francis G. Waltman.(McLaughlin, Joseph)
January 4, 2016 Filing 63 SECOND AMENDED COMPLAINT amending #47 Amended Complaint,, against Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Howard Present, Amy Robinson, Richard E. Segerson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Ferdinand L. J. Vredonck, Francis G. Waltman with JURY DEMAND.Document filed by Mark Youngers, Alfred Tolli, Brendan Hoffman, Joseph D. Mitchell, Kimball Lloyd, Frances Briggs. Related document: #47 Amended Complaint,, filed by Virtus Group.(Rosen, Laurence)
November 25, 2015 Filing 62 MEMO ENDORSEMENT on re: #60 Letter, filed by VP Distributors, LLC, Amy Robinson, Mark S. Flynn, Virtus Investment Partners Inc., W. Patrick Bradley, Euclid Advisors, LLC, Virtus Opportunities Trust, Francis G. Waltman, Michael A. Angerthal, Virtus Investment Advisers, Inc., George R. Aylward. ENDORSEMENT: Application granted. The Clerk of Court is directed to make the appropriate corrections on the docket. (Signed by Judge William H. Pauley, III on 11/25/2015) (mro)
November 24, 2015 ***DELETED DOCUMENT. Deleted Set/Reset Deadlines: Michael A. Angerthal answer due 2/1/2016; George R. Aylward answer due 2/1/2016; W. Patrick Bradley answer due 2/1/2016; Euclid Advisors, LLC answer due 2/1/2016; F-Squared Alternative Advisors, LLC answer due 2/1/2016; F-Squared Institutional Advisors, LLC answer due 2/1/2016; F-Squared Investment Management, LLC answer due 2/1/2016; F-Squared Investments, Inc. answer due 2/1/2016; Mark S. Flynn answer due 2/1/2016; Leroy Keith, Jr answer due 2/1/2016; Philip R. McLoughlin answer due 2/1/2016; Geraldine M. McNamara answer due 2/1/2016; James M. Oates answer due 2/1/2016; Howard Present answer due 2/1/2016; Amy Robinson answer due 2/1/2016; Richard E. Segerson answer due 2/1/2016; VP Distributors, LLC answer due 2/1/2016; Virtus Investment Advisers, Inc. answer due 2/1/2016; Virtus Investment Partners Inc. answer due 2/1/2016; Virtus Opportunities Trust answer due 2/1/2016; Ferdinand L. J. Vredonck answer due 2/1/2016; Francis G. Waltman answer due 2/1/2016. (tn). The deadlines were incorrectly filed in this case. (tn)
November 24, 2015 Opinion or Order Filing 61 SCHEDULING ORDER: Plaintiff shall amend his complaint by January 4, 2016; Defendants shall answer or file their motions to dismiss by February 1, 2016; Any opposition shall be filed by February 29, 2016; Any reply shall be filed by March 11, 2016; and The parties shall appear for oral argument on April 8, 2016 at 11:00 a.m. Amended Pleadings due by 1/4/2016. Motions due by 2/1/2016. Responses due by 2/29/2016. Replies due by 3/11/2016. Oral Argument set for 4/8/2016 at 11:00 AM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 11/24/2015) (tn)
November 19, 2015 Filing 60 LETTER addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated November 19, 2015 Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman.(McLaughlin, Joseph)
November 12, 2015 Filing 59 LETTER addressed to Judge William H. Pauley, III from LAURENCE ROSEN dated NOVEMBER 12, 2015 re: Defendants' November 3, 2015 Letter Requesting Pre-Motion Conference. Document filed by Virtus Group.(Rosen, Laurence)
November 6, 2015 Opinion or Order Filing 58 ORDER terminating #51 Letter Motion for Leave to File Document; terminating #52 Letter Motion for Leave to File Document; granting #56 Letter Motion for Conference; granting #57 Letter Motion for Conference. Plaintiff shall file any opposition to Defendants' pre-motion letters no later than November 13, 2015. The parties shall appear for a pre-motion conference on November 19, 2015 at 10:30 a.m. The Clerk of Court is directed to terminate the motions pending at ECF Nos. 51, 52, 56, and 57. Pre-Motion Conference set for 11/19/2015 at 10:30 AM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 11/6/2015) (mro)
November 4, 2015 Magistrate Judge Henry B. Pitman is so designated. (wb)
November 4, 2015 NOTICE OF CASE ASSIGNMENT to Judge William H. Pauley, III. Judge Unassigned is no longer assigned to the case. (wb)
November 4, 2015 CASE ACCEPTED AS RELATED. Create association to 1:15-cv-01249-WHP. Notice of Assignment to follow. (wb)
November 3, 2015 Filing 57 LETTER MOTION for Conference /Pre-Motion Conference For Leave to File a Motion to Dismiss the First Amended Class Action Complaint addressed to Judge William H. Pauley, III from Geoffrey H. Coll dated November 3, 2015. Document filed by Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck.(Coll, Geoffrey)
November 3, 2015 Filing 56 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated November 3, 2015. Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman.(McLaughlin, Joseph)
October 27, 2015 Filing 55 NOTICE OF APPEARANCE by Shannon Kyle McGovern on behalf of Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (McGovern, Shannon)
October 27, 2015 Filing 54 NOTICE OF APPEARANCE by Daniel Joseph Stujenske on behalf of Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (Stujenske, Daniel)
October 27, 2015 Filing 53 NOTICE OF APPEARANCE by Joseph Michael McLaughlin on behalf of Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (McLaughlin, Joseph)
October 26, 2015 Filing 52 LETTER MOTION for Leave to File a Pre-Motion Letter Setting Forth the Basis for a Motion to Dismiss addressed to Judge William H. Pauley, III from Joseph M. McLaughlin dated October 26, 2015. Document filed by Michael A. Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc., Mark S. Flynn, Howard Present, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners Inc., Virtus Opportunities Trust, Francis G. Waltman. (Attachments: #1 Exhibit A - Transfer Order)(McLaughlin, Joseph)
October 26, 2015 Filing 51 LETTER MOTION for Leave to File a Pre-Motion Letter Setting Forth the Basis for a Motion to Dismiss addressed to Judge William H. Pauley, III from Geoffrey H. Coll dated October 26, 2016. Document filed by Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck.(Coll, Geoffrey)
October 20, 2015 CASE REFERRED TO Judge William H. Pauley as possibly related to 1:15-cv-1249. (sjo)
October 20, 2015 NOTE TO OUT OF STATE ATTORNEYS: Please visit the Court's website at http://www.nysd.uscourts.gov for information regarding admission to the S.D.N.Y. Bar and the CM/ECF Rules & Filing Instructions. (sjo)
October 20, 2015 Case Designated ECF. (sjo)
October 20, 2015 Filing 50 CASE TRANSFERRED IN from the United States District Court - District of California Central; Case Number: 2:15-cv-03496. Original file certified copy of transfer order and docket entries received. (sjo)
October 19, 2015 Opinion or Order Filing 49 MINUTE (In Chambers) Order Transferring Action by Judge Fernando M. Olguin: IT IS ORDERED THAT the Clerk shall transfer this case forthwith to the United States District Court for the Southern District of New York. Case Extracted and Transferred via Electronically to USDC, Southern District of New York on 10/19/2015. (MD JS-6. Case Terminated.) (jp) [Transferred from California Central on 10/20/2015.]
October 9, 2015 Opinion or Order Filing 48 ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Fernando M. Olguin: denying #44 APPLICATION to Appear Pro Hac Vice (lt) [Transferred from California Central on 10/20/2015.]
October 1, 2015 Filing 47 First AMENDED COMPLAINT against Defendants Michael A Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Howard Present, Amy Robinson, Richard E. Segerson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners, Inc., Virtus Opportunities Trust, Ferdinand L. J. Vredonck, Francis G. Waltman amending Complaint (Attorney Civil Case Opening) #1 , filed by Plaintiff Virtus Group(Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
September 30, 2015 Opinion or Order Filing 46 ORDER ON REQUEST FOR APPROVAL OF SUBSTITUTION OF ATTORNEY by Judge Fernando M. Olguin Granting Michael R. Matthias in place and stead of attorney John S Worden. (lt) [Transferred from California Central on 10/20/2015.]
September 30, 2015 Filing 45 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: APPLICATION for attorney Geoffrey H. Coll to Appear Pro Hac Vice (PHV FEE NOT PAID.) #44 . The following error(s) was found: Other error(s) with document(s) are specified below In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (lt) [Transferred from California Central on 10/20/2015.]
September 29, 2015 Filing 44 APPLICATION for attorney Geoffrey H. Coll to Appear Pro Hac Vice (PHV FEE NOT PAID.) filed by defendants Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck. (Attachments: #1 Proposed Order) (Matthias, Michael) [Transferred from California Central on 10/20/2015.]
September 29, 2015 Filing 43 Notice of Appearance or Withdrawal of Counsel: for attorney Michael R Matthias counsel for Defendants Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck. Adding Michael Roland Matthias as counsel of record for Ferdinand L.J. Vredonck, Geraldine M. McNamara, James M. Oates, Leroy Keith, Jr., Philip R. McLoughlin, and Richard E. Segerson for the reason indicated in the G-123 Notice. Filed by defendants Ferdinand L.J. Vredonck, Geraldine M. McNamara, James M. Oates, Leroy Keith, Jr., Philip R. McLoughlin, and Richard E. Segerson. (Attachments: #1 Proposed Order)(Attorney Michael R Matthias added to party Leroy Keith, Jr(pty:dft), Attorney Michael R Matthias added to party Philip R. McLoughlin(pty:dft), Attorney Michael R Matthias added to party Geraldine M. McNamara(pty:dft), Attorney Michael R Matthias added to party James M. Oates(pty:dft), Attorney Michael R Matthias added to party Richard E. Segerson(pty:dft), Attorney Michael R Matthias added to party Ferdinand L. J. Vredonck(pty:dft))(Matthias, Michael) [Transferred from California Central on 10/20/2015.]
September 4, 2015 Filing 42 TEXT ONLY ENTRY by Chambers of Judge Fernando M. Olguin. Pursuant to the filing of a Proof of Service #40 and Response #41 , the Order to Show Cause #37 is hereby discharged. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (vdr) TEXT ONLY ENTRY [Transferred from California Central on 10/20/2015.]
September 3, 2015 Filing 41 RESPONSE filed by Movant Virtus Group, Plaintiff Mark Youngersto Order to Show Cause #37 (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
September 3, 2015 Filing 40 PROOF OF SERVICE Executed by Plaintiff Mark Youngers, upon Defendant Service of the Summons and Complaint were executed upon Jill Boudreau, Wife in compliance with Federal Rules of Civil Procedure by substituted service at home address and by also mailing a copy.Original Summons returned. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
September 3, 2015 Filing 39 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents Re: Service of Summons and Complaint #38 . The following errors were found: 1) Title page is missing; and 2) Incorrect response date: the defendant was served by substitution and mail. Pursuant to C.C.P. 415.20, service is complete on the 10th day after mailing. The papers were mailed 8/31/2015; response is due 10/1/2015 (see also F.R.C.P. 6). Docket has been updated. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (cw) [Transferred from California Central on 10/20/2015.]
September 1, 2015 Filing 38 PROOF OF SERVICE Executed by Plaintiff Virtus Group, upon Defendant Howard Present served on 8/31/2015, answer due 9/21/2015. Service of the Summons and Complaint were executed upon Jill Boudreau (Wife of Defendant Howard Present) in compliance with statute not specified by personal service.Original Summons NOT returned. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
August 27, 2015 Opinion or Order Filing 37 (IN CHAMBERS) ORDER TO SHOW CAUSE RE: DISMISSAL RE: LACK OF PROSECUTION by Judge Fernando M. Olguin. Response to Order to Show Cause due by 9/4/2015, as to Howard Present. (vdr) [Transferred from California Central on 10/20/2015.]
August 18, 2015 Opinion or Order Filing 36 MINUTE ORDER IN CHAMBERS RE: JOINT SCHEDULING STIPULATION #35 by Judge Fernando M. Olguin. The parties' stipulation is granted in part and denied in part. Lead plaintiff shall file an amended complaint by 10/1/2015; an answer is due by 11/5/2015. (vdr) [Transferred from California Central on 10/20/2015.]
August 17, 2015 Filing 35 Joint STIPULATION to Reschedule filed by Defendants Michael A Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners, Inc., Virtus Opportunities Trust, Francis G. Waltman. (Attachments: #1 Proposed Order, #2 Certificate of Service)(Kibler, Michael) [Transferred from California Central on 10/20/2015.]
August 5, 2015 Filing 34 DECLARATION of Michael D. Kibler re Miscellaneous Document, #32 Corrected Declaration of Michael D. Kibler filed by Defendants Michael A Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners, Inc., Virtus Opportunities Trust, Francis G. Waltman. (Kibler, Michael) [Transferred from California Central on 10/20/2015.]
August 5, 2015 Filing 33 CERTIFICATE OF SERVICE filed by DEFENDANTS Michael A Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners, Inc., Virtus Opportunities Trust, Francis G. Waltman, re Corporate Disclosure Statement, #31 , Certificate/Notice of Interested Parties,,,, #30 , Miscellaneous Document, #32 served on AUGUST 5, 2015. (Kibler, Michael) [Transferred from California Central on 10/20/2015.]
August 5, 2015 Filing 32 Opposition to Plaintiffs' Response to Order to Show Cause re: Response #29 (Attachments: #1 Declaration Declaration of Michael D. Kibler ISO Opposition to Pls' Response to OTSC (with exhs), #2 Declaration Declaration of John S. Worden ISO Defendants' Opposition to Pls' Response to OTSC)(Kibler, Michael) [Transferred from California Central on 10/20/2015.]
August 5, 2015 Filing 31 CORPORATE DISCLOSURE STATEMENT filed by Defendants Euclid Advisors, LLC, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners, Inc., Virtus Opportunities Trust identifying Virtus Investment Partners, Inc. as Corporate Parent. (Kibler, Michael) [Transferred from California Central on 10/20/2015.]
August 5, 2015 Filing 30 NOTICE of Interested Parties filed by Defendants Michael A Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, Mark S. Flynn, Amy Robinson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners, Inc., Virtus Opportunities Trust, Francis G. Waltman, (Attorney Michael D Kibler added to party Michael A Angerthal(pty:dft), Attorney Michael D Kibler added to party George R. Aylward(pty:dft), Attorney Michael D Kibler added to party W. Patrick Bradley(pty:dft), Attorney Michael D Kibler added to party Euclid Advisors, LLC(pty:dft), Attorney Michael D Kibler added to party Mark S. Flynn(pty:dft), Attorney Michael D Kibler added to party Amy Robinson(pty:dft), Attorney Michael D Kibler added to party VP Distributors, LLC(pty:dft), Attorney Michael D Kibler added to party Virtus Investment Advisers, Inc.(pty:dft), Attorney Michael D Kibler added to party Virtus Investment Partners, Inc.(pty:dft), Attorney Michael D Kibler added to party Virtus Opportunities Trust(pty:dft), Attorney Michael D Kibler added to party Francis G. Waltman(pty:dft))(Kibler, Michael) [Transferred from California Central on 10/20/2015.]
July 31, 2015 Filing 29 RESPONSE filed by Movant Virtus Group, Plaintiff Mark Youngersto Order to Show Cause, #28 (Attachments: #1 Declaration, #2 Exhibit 1, #3 Exhibit 2)(Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
July 27, 2015 Opinion or Order Filing 28 (IN CHAMBERS) ORDER TO SHOW CAUSE RE: TRANSFER OF CASE by Judge Fernando M. Olguin. No later than 7/31/2015, Youngers shall show cause in writing why his claims should not be transferred and consolidated with the Southern District of New York action. Defendant shall file an opposition to plaintiff's response by 8/5/2015. (vdr) [Transferred from California Central on 10/20/2015.]
July 27, 2015 Opinion or Order Filing 27 ORDER Re: Appointment of Lead Plaintiff and Approval of Selection of Counsel #21 by Judge Fernando M. Olguin that the hearing set for 8/13/2015, is hereby VACATED. The Virtus Group's Motion for Appointment as Lead Plaintiff and Approval of Choice of Counsel (Document No. 21) is GRANTED. The Virtus Group's choice of counsel is approve, and accordingly, The Rosen Law Firm is hereby appointed lead counsel for the proposed class. Consistent with the Court's Order of July 7, 2015 (Document No. 20), no later than 8/17/2015, Lead Plaintiff and defendants shall submit a joint proposed scheduling order (or, if no agreement can be reached, separate proposed scheduling orders) covering the filing and service of a consolidated amended complaint or designation of a previously filed complaint as the Operative Complaint. (jp) [Transferred from California Central on 10/20/2015.]
July 24, 2015 Filing 26 NOTICE OF NON-OPPOSITION to NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff #21 filed by Movant Virtus Group. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
July 20, 2015 Opinion or Order Filing 25 MINUTE ORDER IN CHAMBERS RE: NOTICE OF BANKRUPTCY by Judge Fernando M. Olguin. All pending motions as to F-Squared defendants are denied without prejudice. Beginning 1/1/2016, and every 120 days thereafter, counsel shall file a joint status report as to the status of the bankruptcy proceedings. (vdr) [Transferred from California Central on 10/20/2015.]
July 15, 2015 Filing 24 NOTICE OF PENDENCY OF BANKRUPTCY AND AUTOMATIC STAY OF PROCEEDINGS filed by Defendants F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC and F-Squared Investments, Inc. (vdr) [Transferred from California Central on 10/20/2015.]
July 7, 2015 Filing 23 DECLARATION of Laurence Rosen in support of NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff #21 filed by Movant Virtus Group. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
July 7, 2015 Filing 22 MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff #21 filed by Movant Virtus Group. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
July 7, 2015 Filing 21 NOTICE OF MOTION AND MOTION for Appointment of Counsel The Rosen Law Firm and Appointment of Lead Plaintiff filed by movant Virtus Group. Motion set for hearing on 8/13/2015 at 10:00 AM before Judge Fernando M. Olguin. (Attachments: #1 Proposed Order) (Attorney Laurence M Rosen added to party Virtus Group(pty:mov)) (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
July 7, 2015 Opinion or Order Filing 20 ORDER EXTENDING TIME TO RESPOND TO COMPLAINT by Judge Fernando M. Olguin, re Stipulation #18 . (vdr) [Transferred from California Central on 10/20/2015.]
July 2, 2015 Filing 19 CERTIFICATE of Interested Parties filed by Defendants Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck, identifying Chubb Group of Insurance Companies. (Worden, John) [Transferred from California Central on 10/20/2015.]
July 2, 2015 Filing 18 Joint STIPULATION for Extension of Time to File Answer re Complaint (Attorney Civil Case Opening) #1 filed by Defendants Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Richard E. Segerson, Ferdinand L. J. Vredonck. (Attachments: #1 Proposed Order)(Attorney John S Worden added to party Leroy Keith, Jr(pty:dft), Attorney John S Worden added to party Philip R. McLoughlin(pty:dft), Attorney John S Worden added to party Geraldine M. McNamara(pty:dft), Attorney John S Worden added to party James M. Oates(pty:dft), Attorney John S Worden added to party Richard E. Segerson(pty:dft), Attorney John S Worden added to party Ferdinand L. J. Vredonck(pty:dft))(Worden, John) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 17 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon VP Distributors, LLC waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 16 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon Virtus Opportunities Trust waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 15 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon Virtus Investment Partners, Inc. waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 14 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon Virtus Investment Advisers, Inc. waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 13 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon W. Patrick Bradley waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 12 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon Michael A Angerthal waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 11 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon George R. Aylward waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 10 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon Francis G. Waltman waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 9 WAIVER OF SERVICE Returned Executed filed by Plaintiff Mark Youngers. upon Euclid Advisors, LLC waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
June 24, 2015 Filing 8 WAIVER OF SERVICE Returned Executed filed by plaintiff Mark Youngers. upon Amy Robinson waiver sent by Plaintiff on 5/13/2015, answer due 7/12/2015. Waiver of Service signed by Joseph McLauglin. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
May 15, 2015 Filing 7 TEXT ONLY ENTRY by Chambers of Judge Fernando M. Olguin. This matter has been assigned to District Judge Fernando M. Olguin. All pleadings filed in this matter should contain the case number and the assigned judges' initials to ensure proper routing of documents. The Court refers counsel to the Court's Initial Standing Order found on the Court's Website under Judge Olguin's Procedures and Schedules. Please read this Order carefully. Judge Olguin is a participant of the Central District of California's pilot project for submission and e-filing of under seal documents. Please refer to the judges' procedures and schedules page on the court's website for detailed instructions for submission of sealed documents.THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (vdr) TEXT ONLY ENTRY [Transferred from California Central on 10/20/2015.]
May 11, 2015 Filing 6 21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendant Michael A Angerthal, George R. Aylward, W. Patrick Bradley, Euclid Advisors, LLC, F-Squared Alternative Advisors, LLC, F-Squared Institutional Advisors, LLC, F-Squared Investment Management, LLC, F-Squared Investments, Inc., Mark S. Flynn, Leroy Keith, Jr, Philip R. McLoughlin, Geraldine M. McNamara, James M. Oates, Howard Present, Amy Robinson, Richard E. Segerson, VP Distributors, LLC, Virtus Investment Advisers, Inc., Virtus Investment Partners, Inc., Virtus Opportunities Trust, Ferdinand L. J. Vredonck, Francis G. Waltman. (car) [Transferred from California Central on 10/20/2015.]
May 11, 2015 Filing 5 NOTICE OF ASSIGNMENT to District Judge Fernando M. Olguin and Magistrate Judge John E. McDermott. (car) [Transferred from California Central on 10/20/2015.]
May 8, 2015 Filing 4 Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Mark Youngers. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
May 8, 2015 Filing 3 CERTIFICATE of Interested Parties filed by Plaintiff Mark Youngers, identifying None to Report. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
May 8, 2015 Filing 2 CIVIL COVER SHEET filed by Plaintiff Mark Youngers. (Rosen, Laurence) [Transferred from California Central on 10/20/2015.]
May 8, 2015 Filing 1 COMPLAINT Receipt No: 0973-15692084 - Fee: $400, filed by Plaintiff Mark Youngers. (Attorney Laurence M Rosen added to party Mark Youngers(pty:pla))(Rosen, Laurence) [Transferred from California Central on 10/20/2015.]

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Search for this case: Mark Youngers v. Virtus Investment Partners, Inc. et al
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Defendant: Francis G. Waltman
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Defendant: James M. Oates
Represented By: Geoffrey Hunter Coll
Represented By: Michael R Matthias
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Defendant: F-Squared Investment Management, LLC
Represented By: Aric Hugo Wu
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Defendant: F-Squared Alternative Advisors, LLC
Represented By: Aric Hugo Wu
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Defendant: Ferdinand L. J. Vredonck
Represented By: Geoffrey Hunter Coll
Represented By: Michael R Matthias
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Defendant: F-Squared Investments, Inc.
Represented By: Aric Hugo Wu
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Defendant: George R. Aylward
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
Represented By: George S Wang
Represented By: Meredith Dawn Karp
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Defendant: Euclid Advisors, LLC
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Defendant: W. Patrick Bradley
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Defendant: Philip R. McLoughlin
Represented By: Geoffrey Hunter Coll
Represented By: Michael R Matthias
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Defendant: Virtus Investment Advisers, Inc.
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Defendant: VP Distributors, LLC
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
Represented By: George S Wang
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Defendant: Mark S. Flynn
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Defendant: F-Squared Institutional Advisors, LLC
Represented By: Aric Hugo Wu
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Defendant: Howard Present
Represented By: Paul W. Ryan
Represented By: Anthony E. Fuller
Represented By: Justin P. O'Brien
Represented By: Alexandra G Watson
Represented By: Beth Kressel Itkin
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Defendant: Richard E. Segerson
Represented By: Geoffrey Hunter Coll
Represented By: Michael R Matthias
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Defendant: Amy Robinson
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Defendant: Virtus Investment Partners Inc.
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
Represented By: George S Wang
Represented By: Meredith Dawn Karp
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Defendant: Geraldine M. McNamara
Represented By: Geoffrey Hunter Coll
Represented By: Michael R Matthias
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Defendant: Leroy Keith, Jr.,
Represented By: Geoffrey Hunter Coll
Represented By: Michael R Matthias
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Defendant: Michael A. Angerthal
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Defendant: Virtus Opportunities Trust
Represented By: Joseph Michael McLaughlin
Represented By: Shannon Kyle McGovern
Represented By: Daniel Joseph Stujenske
Represented By: Michael David Kibler
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Plaintiff: Mark Youngers
Represented By: Jonathan Stern
Represented By: Laurence Matthew Rosen
Represented By: Gonen Haklay
Represented By: Erica Lauren Stone
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Plaintiff: Frances Briggs
Represented By: Jonathan Stern
Represented By: Laurence Matthew Rosen
Represented By: Gonen Haklay
Represented By: Erica Lauren Stone
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Plaintiff: Kimball Lloyd
Represented By: Jonathan Stern
Represented By: Laurence Matthew Rosen
Represented By: Gonen Haklay
Represented By: Erica Lauren Stone
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Plaintiff: Alfred Tolli
Represented By: Jonathan Stern
Represented By: Laurence Matthew Rosen
Represented By: Gonen Haklay
Represented By: Erica Lauren Stone
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Plaintiff: Joseph D. Mitchell
Represented By: Jonathan Stern
Represented By: Laurence Matthew Rosen
Represented By: Gonen Haklay
Represented By: Erica Lauren Stone
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Plaintiff: William Echols
Represented By: Jonathan Stern
Represented By: Erica Lauren Stone
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Plaintiff: Brendan Hoffman
Represented By: Jonathan Stern
Represented By: Laurence Matthew Rosen
Represented By: Gonen Haklay
Represented By: Erica Lauren Stone
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Plaintiff: Louise Quigley
Represented By: Jonathan Stern
Represented By: Erica Lauren Stone
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Petitioner: Virtus Group
Represented By: Laurence Matthew Rosen
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