MCINTIRE et al v. Mariano et al
Plaintiff: ARIC MCINTIRE, MBAGO M. KANIKI and Henry Wasik
Defendant: Suntrust Robinson Humphrey Inc., Quentin P. Smith, John R. Del Pizzo, Austin J. Shanfelter, UBS Securities L.L.C., Steven M. Mariano, BMO Capital Markets Corp, William Blair & Company L.L.C., Thomas C. Shields, Christopher Pesch, Charles H. Walsh, JMP Securities L.L.C. and BDO USA L.L.P.
Intervenor: Anthony Gingello
Case Number: 1:2019cv00098
Filed: January 4, 2019
Court: US District Court for the Southern District of New York
Presiding Judge: Colleen McMahon
Referring Judge: Edgardo Ramos
Nature of Suit: Other Fraud
Cause of Action: 12 U.S.C. § 22 Securities Fraud
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on December 3, 2021. A more recent docket listing may be available from PACER.

Date Filed Document Text
December 3, 2021 Filing 151 REPLY MEMORANDUM OF LAW in Support re: #147 MOTION to Amend/Correct Complaint. . Document filed by MBAGO M. KANIKI, ARIC MCINTIRE, Henry Wasik..(Porritt, Nicholas)
November 19, 2021 Filing 150 JOINT MEMORANDUM OF LAW in Opposition re: #147 MOTION to Amend/Correct Complaint. . Document filed by BMO Capital Markets Corp, JMP Securities L.L.C., Suntrust Robinson Humphrey Inc., UBS Securities L.L.C., William Blair & Company L.L.C...(Goldberg, David)
October 15, 2021 Filing 149 DECLARATION of Max E. Weiss in Support re: #147 MOTION to Amend/Correct Complaint.. Document filed by MBAGO M. KANIKI, ARIC MCINTIRE, Henry Wasik. (Attachments: #1 Exhibit 1. Redline Comparison with proposed consolidated complaint, #2 Exhibit 2. Kaniki Florida Complaint, #3 Exhibit 3. Wasik Delaware Complaint).(Porritt, Nicholas)
October 15, 2021 Filing 148 MEMORANDUM OF LAW in Support re: #147 MOTION to Amend/Correct Complaint. . Document filed by MBAGO M. KANIKI, ARIC MCINTIRE, Henry Wasik..(Porritt, Nicholas)
October 15, 2021 Filing 147 MOTION to Amend/Correct Complaint. Document filed by MBAGO M. KANIKI, ARIC MCINTIRE, Henry Wasik. (Attachments: #1 Exhibit Proposed Consolidated Complaint).(Porritt, Nicholas)
September 22, 2021 Filing 146 LETTER addressed to Judge Edgardo Ramos from Lawrence Deutsch dated 09/22/2021 re: Case Management Proposal. Document filed by ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
September 17, 2021 Filing 145 LETTER addressed to Judge Edgardo Ramos from David L. Goldberg dated 9/17/21 re: Case Management Proposal. Document filed by BMO Capital Markets Corp., JMP Securities L.L.C., Suntrust Robinson Humphrey Inc., UBS Securities L.L.C., William Blair & Company L.L.C..Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Goldberg, David)
September 15, 2021 Filing 144 LETTER addressed to Judge Edgardo Ramos from Nicholas Porritt dated 9/15/2021 re: Letters of Underwriter and BDO and Co-Lead Plaintiffs. Document filed by MBAGO M. KANIKI, ARIC MCINTIRE, Mbago Kaniki, Henry Wasik.Filed In Associated Cases: 1:17-cv-01866-ER, 1:19-cv-00098-ER.(Porritt, Nicholas)
September 10, 2021 Filing 143 LETTER addressed to Judge Edgardo Ramos from Lawrence Deutsch dated 09/10/2021 re: Case Management Proposal. Document filed by ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
September 10, 2021 Filing 142 LETTER addressed to Judge Edgardo Ramos from Nicholas Porritt dated 09/10/2021 re: Proposed Consolidated McIntire Complaint. Document filed by MBAGO M. KANIKI, ARIC MCINTIRE, Henry Wasik. (Attachments: #1 Exhibit Proposed Consolidated Complaint)Filed In Associated Cases: 1:17-cv-01866-ER, 1:19-cv-00098-ER.(Porritt, Nicholas)
September 10, 2021 Filing 141 LETTER addressed to Judge Edgardo Ramos from David L. Goldberg dated 9/10/21 re: Case Management Proposal. Document filed by BDO USA L.L.P., BMO Capital Markets Corp, JMP Securities L.L.C., Suntrust Robinson Humphrey Inc., UBS Securities L.L.C., William Blair & Company L.L.C.. (Attachments: #1 Exhibit A - Proposed Judgment)Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Goldberg, David)
August 5, 2021 Opinion or Order Filing 140 OPINION AND ORDER re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER, 66 in 1:17-cv-07164-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint . filed by Adam Kayce, Henry Wasik, ODS Capital LLC, McIntire Aric, Barry A. Smith, Sunil Shah, (189 in 1:17-cv-01866-ER) LETTER MOTION for Oral Argument -- Request That The Court Postpone, By One Hour, The Oral Argument On Plaintiffs' Motion for Leave to File Consolidated Second Amended Class Action Complaint Currently Scheduled for July 8, 2021 at 4:00 p.m. ET filed by William Blair & Company L.L.C., Suntrust Robinson Humphrey Inc., BMO Capital Markets Corp., UBS Securities L.L.C., JMP Securities L.L.C.For the reasons discussed, Plaintiffs' motion to file the PSAC is DENIED. The McIntire Action remains pending in this Court. The remaining parties are directed to appear for a status conference on August 20, 2021 at 9 a.m. The conference will be held remotely and by telephone, and the parties are instructed to dial (877) 411-9748 and enter access code 3029857# when prompted. The Clerk of Court is respectfully directed to terminate the motion, Doc. 170, and the associated motions regarding oral argument, Docs. 181 and 189. The Clerk of Court is further directed to file a copy of this order in member cases McIntire v. Mariano, No. 19 Civ. 98 and Kayce v. Patriot National, Inc., 17 Civ. 7164. It is SO ORDERED. ( Telephone Conference set for 8/20/2021 at 09:00 AM before Judge Edgardo Ramos.) (Signed by Judge Edgardo Ramos on 8/5/2021) Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER (rro)
July 25, 2021 Filing 139 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/8/21 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...Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(McGuirk, Kelly)
July 25, 2021 Filing 138 TRANSCRIPT of Proceedings re: CONFERENCE held on 7/8/2021 before Judge Edgardo Ramos. Court Reporter/Transcriber: Pamela Utter, (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 8/16/2021. Redacted Transcript Deadline set for 8/25/2021. Release of Transcript Restriction set for 10/25/2021.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(McGuirk, Kelly)
July 15, 2021 Filing 137 LETTER addressed to Judge Edgardo Ramos from Lawrence Deutsch dated 07/15/2021 re: Lead Plaintiffs Motion for Leave to File Consolidated Second Amended Class Action Complaint. Document filed by ODS Capital LLC, Sunil Shah, Barry A. Smith. (Attachments: #1 Exhibit A - Transcript of July 8, 2021 Remote Proceeding before Hon. Edgardo Ramos)Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
July 8, 2021 Minute Entry for proceedings held before Judge Edgardo Ramos: Oral Argument held on 7/8/2021 by telephone re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER, 66 in 1:17-cv-07164-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint. Counsel for Lead Plaintiff present. Counsel for Defendant DBO USA LLP present. Counsel for Underwriter Defendants present. Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER (jar)
February 26, 2021 Filing 136 DECLARATION of CHERI MEYER in Support re: (182 in 1:17-cv-01866-ER, 132 in 1:19-cv-00098-ER, 73 in 1:17-cv-07164-ER) MOTION for Disbursement of Funds MOTION FOR CLASS DISTRIBUTION ORDER.. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
February 26, 2021 Filing 135 DECLARATION of JOSEPHINE BRAVATA in Support re: (182 in 1:17-cv-01866-ER, 132 in 1:19-cv-00098-ER, 73 in 1:17-cv-07164-ER) MOTION for Disbursement of Funds MOTION FOR CLASS DISTRIBUTION ORDER.. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
February 26, 2021 Filing 134 PROPOSED ORDER. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Related Document Number: 182 ..(Deutsch, Lawrence) Proposed Order to be reviewed by Clerk's Office staff.
February 26, 2021 Filing 133 MEMORANDUM OF LAW in Support re: (182 in 1:17-cv-01866-ER, 132 in 1:19-cv-00098-ER, 73 in 1:17-cv-07164-ER) MOTION for Disbursement of Funds MOTION FOR CLASS DISTRIBUTION ORDER. . Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
February 26, 2021 Filing 132 MOTION for Disbursement of Funds MOTION FOR CLASS DISTRIBUTION ORDER. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
February 12, 2021 Filing 131 REPLY MEMORANDUM OF LAW in Support re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER, 66 in 1:17-cv-07164-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint . . Document filed by McIntire Aric, Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith, Henry Wasik. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
January 26, 2021 Filing 130 LETTER MOTION for Extension of Time to File Response/Reply /to File Omnibus Reply Brief addressed to Judge Edgardo Ramos from Lawrence Deutsch dated 01/26/2021. Document filed by McIntire Aric, Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith, Henry Wasik.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
January 22, 2021 Filing 129 MEMORANDUM OF LAW in Opposition re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint . . Document filed by BDO USA L.L.P.. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Hoeffner, Timothy)
January 22, 2021 Filing 128 DECLARATION of David L. Goldberg in Opposition re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint .. Document filed by BMO Capital Markets Corp., JMP Securities L.L.C., Suntrust Robinson Humphrey Inc., UBS Securities L.L.C., William Blair & Company L.L.C.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)Filed In Associated Cases: 1:17-cv-01866-ER, 1:19-cv-00098-ER.(Goldberg, David)
January 22, 2021 Filing 127 MEMORANDUM OF LAW in Opposition re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint . . Document filed by BMO Capital Markets Corp., JMP Securities L.L.C., Suntrust Robinson Humphrey Inc., UBS Securities L.L.C., William Blair & Company L.L.C.. Filed In Associated Cases: 1:17-cv-01866-ER, 1:19-cv-00098-ER.(Goldberg, David)
December 18, 2020 Filing 126 DECLARATION of Lawrence Deutsch in Support re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER, 66 in 1:17-cv-07164-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint .. Document filed by McIntire Aric, Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith, Henry Wasik. (Attachments: #1 Exhibit A - Consolidated Second Amended Class Action Complaint For Violations Of The Federal Securities Laws As To Non-Settling Defendants)Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
December 18, 2020 Filing 125 PROPOSED ORDER. Document filed by McIntire Aric, Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith, Henry Wasik. Related Document Number: 170 ..(Deutsch, Lawrence) Proposed Order to be reviewed by Clerk's Office staff.
December 18, 2020 Filing 124 MEMORANDUM OF LAW in Support re: (170 in 1:17-cv-01866-ER, 123 in 1:19-cv-00098-ER, 66 in 1:17-cv-07164-ER) MOTION for Leave to File Consolidated Second Amended Class Action Complaint . . Document filed by McIntire Aric, Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith, Henry Wasik. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
December 18, 2020 Filing 123 MOTION for Leave to File Consolidated Second Amended Class Action Complaint . Document filed by McIntire Aric, Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith, Henry Wasik.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
December 9, 2020 Filing 122 LETTER MOTION for Extension of Time of briefing schedule for Lead Plaintiffs' motion for leave to amend addressed to Judge Edgardo Ramos from Lawrence Deutsch dated 12/09/2020. Document filed by ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
November 12, 2020 Filing 121 LETTER addressed to Judge Edgardo Ramos from Co-Lead Counsel for Co-Lead Plaintiffs dated 11/12/2020 re: November 13, 2020 Status Conference. Document filed by ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
November 10, 2020 Filing 120 JOINT LETTER addressed to Judge Edgardo Ramos from David L. Goldberg dated 11/10/20 re: November 13, 2020 Conference. Document filed by BMO Capital Markets Corp, JMP Securities L.L.C., William Blair & Company L.L.C., BDO USA L.L.P., Suntrust Robinson Humphrey Inc., UBS Securities L.L.C.. (Attachments: #1 Exhibit 1, #2 Exhibit 2)Filed In Associated Cases: 1:17-cv-01866-ER, 1:19-cv-00098-ER.(Goldberg, David)
November 6, 2020 DOCKET ANNOTATION: Scheduling Notice - The status conference previously schedule for November 13, 2020 at 10:30 a.m. will occur by telephone. The parties are directed to call the Court at (877) 411-9748 and enter access code 302 9857# when prompted.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(jar)
October 30, 2020 Opinion or Order Filing 119 ORDER granting (160) Letter Motion for Conference. A status conference will be held on November 13, 2020, at 10:30 a.m. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER (jar)
October 26, 2020 Filing 118 LETTER MOTION for Conference addressed to Judge Edgardo Ramos from Co-Lead Counsel dated 10/26/2020. Document filed by ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER.(Deutsch, Lawrence)
September 22, 2020 Filing 117 NOTICE OF CHANGE OF ADDRESS by Bradley Joseph Bondi on behalf of John R. Del Pizzo, Thomas C. Shields. New Address: Cahill Gordon & Reindel LLP, 32 Old Slip, New York, NY, United States 10005, 2127013000..(Bondi, Bradley)
January 21, 2020 Filing 116 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Truist Financial Corporation for Suntrust Robinson Humphrey Inc.. Document filed by Suntrust Robinson Humphrey Inc..(Goldberg, David)
January 21, 2020 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney David L Goldberg to RE-FILE Document #115 Rule 7.1 Corporate Disclosure Statement. ERROR(S): Corporate Parents/Other affiliates were not added. Please re-file this document and when prompted: Are there any corporate parents or other affiliates?, select the YES radio button and enter the Corporate Parent(s) or Affiliate(s). (ldi)
December 30, 2019 Filing 115 FILING ERROR - CORPORATE PARENT/OTHER AFFILIATE NOT ADDED - SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Truist Financial Corporation for Suntrust Robinson Humphrey Inc.. Document filed by Suntrust Robinson Humphrey Inc..Filed In Associated Cases: 1:17-cv-01866-ER, 1:19-cv-00098-ER(Goldberg, David) Modified on 1/21/2020 (ldi).
November 1, 2019 Filing 114 LETTER RESPONSE to Motion addressed to Judge Edgardo Ramos from Lawrence Deutsch dated 11/01/2019 re: (147 in 1:17-cv-01866-ER) LETTER MOTION to Compel Lead Plaintiffs to produce damages analysis addressed to Judge Edgardo Ramos from Nicholas Porritt dated November 1, 2019. . Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. (Attachments: #1 Exhibit 1 - Letter to Objectors' Counsel)Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 31, 2019 ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. (58 in 1:17-cv-07164-ER, 111 in 1:19-cv-00098-ER) Proposed Judgment was reviewed and approved as to form. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(dt)
October 31, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. (145 in 1:17-cv-01866-ER, 59 in 1:17-cv-07164-ER, 112 in 1:19-cv-00098-ER) Proposed Order was reviewed and approved as to form. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(dt)
October 31, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. (60 in 1:17-cv-07164-ER, 146 in 1:17-cv-01866-ER, 113 in 1:19-cv-00098-ER) Proposed Order was reviewed and approved as to form. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(dt)
October 30, 2019 Filing 113 PROPOSED ORDER. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Related Document Number: #133 . (Deutsch, Lawrence) Proposed Order to be reviewed by Clerk's Office staff.
October 30, 2019 Filing 112 PROPOSED ORDER. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Related Document Number: #129 . (Deutsch, Lawrence) Proposed Order to be reviewed by Clerk's Office staff.
October 30, 2019 Filing 111 PROPOSED JUDGMENT. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. (Deutsch, Lawrence) Proposed Judgment to be reviewed by Clerk's Office staff.
October 30, 2019 Filing 110 DECLARATION of Lawrence Deutsch in Support re: (51 in 1:17-cv-07164-ER, 104 in 1:19-cv-00098-ER, 133 in 1:17-cv-01866-ER) MOTION for Attorney Fees MOTION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSES., (100 in 1:19-cv-00098-ER, 129 in 1:17-cv-01866-ER, 47 in 1:17-cv-07164-ER) MOTION to Approve MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION .. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. (Attachments: #1 Exhibit 1 - Supplemental Declaration of Josephine Bravata, #2 Exhibit 2 - Declaration of Jonathan Feldman, Esq., #3 Exhibit 3 - Declaration of Robert Meyer, Esq., #4 Exhibit 4 - Declaration of Michael Marek, #5 Exhibit 5 - SAC in Chancery Court Action, #6 Exhibit 6 - Trustee's Motion for Leave in Chancery Court Action)Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 30, 2019 Filing 109 REPLY MEMORANDUM OF LAW in Support re: (129 in 1:17-cv-01866-ER, 47 in 1:17-cv-07164-ER, 100 in 1:19-cv-00098-ER) MOTION to Approve MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION ., (133 in 1:17-cv-01866-ER, 51 in 1:17-cv-07164-ER, 104 in 1:19-cv-00098-ER) MOTION for Attorney Fees MOTION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSES. . Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 28, 2019 Filing 108 LETTER MOTION for Leave to File Excess Pages (permission to file a single 20-page omnibus reply) addressed to Judge Edgardo Ramos from Lawrence Deutsch dated 10/28/2019. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 3, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. (103 in 1:19-cv-00098-ER, 50 in 1:17-cv-07164-ER, 132 in 1:17-cv-01866-ER) Proposed Order was reviewed and approved as to form. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(dt)
October 3, 2019 ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. (135 in 1:17-cv-01866-ER, 106 in 1:19-cv-00098-ER, 53 in 1:17-cv-07164-ER) Proposed Order was reviewed and approved as to form. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(dt)
October 3, 2019 ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. (49 in 1:17-cv-07164-ER, 102 in 1:19-cv-00098-ER, 131 in 1:17-cv-01866-ER) Proposed Judgment was reviewed and approved as to form. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(dt)
October 2, 2019 Filing 107 DECLARATION of LAWRENCE DEUTSCH and LIONEL Z. GLANCY in Support re: (51 in 1:17-cv-07164-ER, 104 in 1:19-cv-00098-ER, 133 in 1:17-cv-01866-ER) MOTION for Attorney Fees MOTION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSES., (100 in 1:19-cv-00098-ER, 129 in 1:17-cv-01866-ER, 47 in 1:17-cv-07164-ER) MOTION to Approve MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION .. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. (Attachments: #1 Exhibit 1 - Declaration of Josephine Bravata, #2 Exhibit 2 - Declaration of Lawrence Deutsch, #3 Exhibit 3 - Declaration of Lionel Z. Glancy, #4 Exhibit 4 - Declaration of Lynda J. Grant, #5 Exhibit 5 - Declaration of Peter Safirstein, #6 Exhibit 6 - Declaration of Peretz Bronstein, #7 Exhibit 7 - 2018 NERA Report, #8 Exhibit 8 - Declaration of Lead Plaintiff ODS Capital LLP, #9 Exhibit 9 - Declaration of Lead Plaintiff Barry A. Smith, #10 Exhibit 10 - Declaration of Lead Plaintiff Sunil Shah, #11 Exhibit 11 - Declaration of Plaintiff Adam Kayce, #12 Exhibit 12 - Chart of Law Firm Billing Rates, #13 Exhibit 13 - McIntire v. China Media Express Holdings, Inc., #14 Exhibit 14 - Sanders v. The CJS Solutions Group, LLC, #15 Exhibit 15 - In Van Der Moolen Holding N.V. Sec. Litig.)Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 2, 2019 Filing 106 PROPOSED ORDER. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Related Document Number: #133 . (Deutsch, Lawrence) Proposed Order to be reviewed by Clerk's Office staff.
October 2, 2019 Filing 105 MEMORANDUM OF LAW in Support re: (133 in 1:17-cv-01866-ER, 51 in 1:17-cv-07164-ER, 104 in 1:19-cv-00098-ER) MOTION for Attorney Fees MOTION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSES. . Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 2, 2019 Filing 104 MOTION for Attorney Fees MOTION FOR AN AWARD OF ATTORNEYS' FEES AND REIMBURSEMENT OF LITIGATION EXPENSES. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 2, 2019 Filing 103 PROPOSED ORDER. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Related Document Number: #129 . (Deutsch, Lawrence) Proposed Order to be reviewed by Clerk's Office staff.
October 2, 2019 Filing 102 PROPOSED JUDGMENT. Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. (Deutsch, Lawrence) Proposed Judgment to be reviewed by Clerk's Office staff.
October 2, 2019 Filing 101 MEMORANDUM OF LAW in Support re: (129 in 1:17-cv-01866-ER, 47 in 1:17-cv-07164-ER, 100 in 1:19-cv-00098-ER) MOTION to Approve MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION . . Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith. Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
October 2, 2019 Filing 100 MOTION to Approve MOTION FOR FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION . Document filed by Adam Kayce, ODS Capital LLC, Sunil Shah, Barry A. Smith.Filed In Associated Cases: 1:17-cv-01866-ER, 1:17-cv-07164-ER, 1:19-cv-00098-ER(Deutsch, Lawrence)
August 20, 2019 Opinion or Order Filing 99 ORDER granting #95 Motion for Marie M. Degnan to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Edgardo Ramos)(Text Only Order) (jar)
August 20, 2019 Opinion or Order ORDER granting #94 Motion for Philip Trainer, Jr. to Appear Pro Hac Vice. (Signed by Judge Edgardo Ramos on 8/20/2019) (jar)
July 22, 2019 Opinion or Order Filing 98 ORDER granting (75) Motion to Reopen re: (60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER, 60 in 1:17-cv-01866-ER) Order on Motion to Consolidate Cases, Order on Motion to Reopen,, Order on Motion to Stay, Order on Motion to Appoint Counsel, Order on Motion to Appoint Lead Plaintiff(s), ; denying (89) Motion to Reopen ; granting (99) Motion to Approve in case 1:17-cv-01866-ER. First, a group of Patriot National shareholders (collectively, the "McIntire Plaintiffs") move to reopen the lead plaintiff appointment process in In re Patriot National, Inc. Securities Litigation, and to republish notice of the action. Docs. 75, 89.2 In their view, the amended complaint filed on October 18, 2018, greatly expanded the class period and allegations, such that entire classes of potential lead plaintiffs lacked a reasonable opportunity to seek appointment as lead plaintiff. Lead Plaintiffs oppose this motion. Doc. 93. Upon consideration of the parties' written and oral submissions, the Court concludes that the amended complaint and resultant expansion of the class period and allegations do not necessitate republication and reopening of the lead plaintiff processas Lead Plaintiffs persuasively explain in their opposition papers. See generally Docs. 93, 93-1; accord Rauch v. Vale S.A., No. 19 Civ. 526 (RJD) (SJB), 2019 WL 2083294, at *5 (E.D.N.Y. May 13, 2019) (observing that "courts typically disfavor republication when a complaint is amended unless the amended complaint substantially alters the claims or class members" (internal quotation marks omitted)); Teamsters Local 445 Freight Div. Pension Fund v. Bombardier Inc., No. 05 Civ. 1898 (SAS), 2005 WL 1322721, at *2 (S.D.N.Y. June 1, 2005) ("In cases encompassing the same claims and securities, but somewhat different class periods, courts have generally found that the efficiency cost of republication outweighs the marginal fairness gains of notifying class members of an extended class period. In such cases, most potential lead plaintiffs are probably eligible under either class period, and, at the very least, have been alerted to the pendency of a case involving the securities they hold, if not the exact period in which they held them."). The motion is therefore DENIED. Second, Lead Plaintiffs move for preliminary approval of their proposed settlement agreement. Doc. 99. The McIntire Plaintiffs object on grounds that (1) the agreement's terms are substantively unfair; (2) the settling parties have presented insufficient evidence demonstrating that the settlement is fair, reasonable, and adequate, considering the costs and risks of trial and the extent of insurance proceeds available; and (3) the proposed class-wide release is overbroad. Doc. 104. Upon consideration of the parties' written and oral submissions, the Court concludes that the proposed settlement agreement contains no "no obvious defects" that prevent preliminary approval. See Francisco Corte v. Fig & Olive Founders LLC, No. 14 Civ. 7186, 2015 WL 12591677, at *2 (S.D.N.Y. June 24, 2015) ("Courts should grant preliminary approval where the settlement agreement has 'no obvious defects."' (citation omitted)). The motion is therefore GRANTED, with a separate order to follow. Third, Lead Plaintiffs move for consolidation of McIntire v. Marino, No. 17 Civ. 1866 (ER), with in re Patriot National, Inc. Securities Litigation, Master File No. 17 Civ. 1866 (ER). Doc 108. Upon consideration of the parties' written and oral submissions, Lead Plaintiffs' motion to consolidate is GRANTED. McIntire v. Mariano, No. 19 Civ. 98 (ER), is hereby consolidated into In re Patriot National, Inc. Securities Litigation, Master File No. 17 Civ. 1866 (ER), and all future filings shall be filed therein. The Clerk of Court is respectfully directed to terminate the motions- Docs. 75, 89, 99. It is SO ORDERED. (Signed by Judge Edgardo Ramos on 7/22/2019) Filed In Associated Cases: 1:17-cv-01866-ER, 1:19-cv-00098-ER (rj)
July 22, 2019 CONSOLIDATED MEMBER CASE: Create association to 1:17-cv-01866-ER.. (rj)
April 23, 2019 Filing 97 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a motion proceeding held on 4/9/19 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 23, 2019 Filing 96 TRANSCRIPT of Proceedings re: motion held on 4/9/2019 before Judge Edgardo Ramos. Court Reporter/Transcriber: Jerry Harrison, (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 5/14/2019. Redacted Transcript Deadline set for 5/24/2019. Release of Transcript Restriction set for 7/22/2019.(McGuirk, Kelly)
April 9, 2019 Minute Entry for proceedings held before Judge Edgardo Ramos: Pre-Motion Conference held on 4/9/2019. Plaintiffs' counsel present. Defendants' counsel present. Decision for the motion for preliminary approval of the settlement is stayed by one week. The parties are directed to submit a status report by Monday, April 15, 2019. (jar)
April 5, 2019 Filing 95 MOTION for Marie M. Degnan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16629791. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Austin J. Shanfelter. (Attachments: #1 Proposed Order, #2 Affidavit)(Degnan, Marie)
April 5, 2019 Filing 94 MOTION for Philip Trainer, Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16629613. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Austin J. Shanfelter. (Attachments: #1 Proposed Order, #2 Affidavit)(Trainer, Philip)
April 5, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #94 MOTION for Philip Trainer, Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16629613. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
April 5, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #95 MOTION for Marie M. Degnan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16629791. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
February 7, 2019 DOCKET ANNOTATION: Rescheduling Notice. The initial conference previously scheduled for March 8, 2019, before Judge McMahon is hereby reschedule to Tuesday, April 9, 2019, at 10:00 a.m. before Judge Edgardo Ramos. (jar)
February 7, 2019 Set/Reset Hearings: Initial Conference set for 4/9/2019 at 10:00 AM before Judge Edgardo Ramos. (jar)
January 23, 2019 CASE ACCEPTED AS RELATED. Create association to 1:17-cv-01866-ER. Notice of Assignment to follow. (jc)
January 23, 2019 NOTICE OF CASE REASSIGNMENT to Judge Edgardo Ramos. Judge Colleen McMahon is no longer assigned to the case. (jc)
January 23, 2019 Magistrate Judge Stewart D. Aaron is so redesignated. (jc)
January 16, 2019 Filing 93 LETTER addressed to Judge Colleen McMahon from John P. Stigi III dated January 16, 2019 re: Jan. 14, 2019 Letter re Related Case. Document filed by Christopher Pesch, Quentin P. Smith.(Stigi, John)
January 14, 2019 Filing 92 LETTER addressed to Judge Colleen McMahon from John P. Stigi III dated January 14, 2019 re: Related Case Pursuant to Rule 13(a)(1) of the Rules of the Division of Business Among District Judges. Document filed by Christopher Pesch, Quentin P. Smith. (Attachments: #1 Exhibit A)(Stigi, John)
January 8, 2019 Opinion or Order Filing 91 ORDER SCHEDULING INITIAL PRETRIAL CONFERENCE: Initial Conference set for 3/8/2019 at 10:15 AM in Courtroom 24A, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. (Signed by Judge Colleen McMahon on 1/8/2019) (rj)
January 4, 2019 Filing 90 CASE TRANSFERRED IN from the United States District Court - District of Florida Southern; Case Number: 0:18-cv-60075. Original file certified copy of transfer order and docket entries received. (sjo)
January 4, 2019 Case Designated ECF. (sjo)
January 4, 2019 Magistrate Judge James L. Cott is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (sjo)
January 4, 2019 CASE OPENING INITIAL ASSIGNMENT NOTICE - TRANSFER CASE: This case is assigned to: Judge Colleen McMahon. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (sjo)
January 4, 2019 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)
January 2, 2019 Opinion or Order Filing 89 ORDER ON MOTION TO INTERVENE AND TRANSFER re: #50 Motion to Intervene. Signed by Judge Beth Bloom on 12/28/2018. See attached document for full details. (jao) [Transferred from Florida Southern on 1/4/2019.]
December 28, 2018 Filing 88 RESPONSE in Support re #50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) filed by ODS Capital, LLC, Sunil Shah, Barry A. Smith. (Attachments: #1 Exhibit A)(Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
December 28, 2018 Opinion or Order Filing 87 PAPERLESS ORDER granting #85 Motion for Clarification. The Briefing Schedule set forth in Case No. 18-cv-62097 is mooted by the consolidation of the cases. The deadline for Defendants to respond to the Complaint in Case No. 18-cv-62097 is not applicable to this case, and the Defendants are not required to respond to the until further Order of the Court. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
December 28, 2018 Opinion or Order Filing 86 PAPERLESS ORDER granting #84 Motion for Leave to File Sur Reply in Further Support of Motion to Intervene and Transfer. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
December 27, 2018 Filing 85 MOTION for clarification /confirmation that the Previous Briefing Schedule in Kaniki v. Mariano 18-cv-62097 is Moot by BDO USA LLP, Steven M. Mariano. Responses due by 1/10/2019 (Attachments: #1 Text of Proposed Order)(Dutko, Michael) [Transferred from Florida Southern on 1/4/2019.]
December 27, 2018 Filing 84 MOTION for Leave to File Sur Reply In Further Support Of Motion To Intervene And Transfer by Anthony Gingello, ODS Capital, LLC, Sunil Shah. (Attachments: #1 Exhibit 1)(Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
December 26, 2018 Filing 83 NOTICE by BDO USA LLP, Steven M. Mariano Request of Defendants to Confirm that the Previous Briefing Schedule in Case No. 18-cv-62097 is Moot. Attorney Michael Edward Dutko, Jr added to party BDO USA LLP(pty:dft). (Dutko, Michael) [Transferred from Florida Southern on 1/4/2019.]
December 26, 2018 Cases associated per #82 Order. (asl) Modified text on 12/26/2018 (asl). [Transferred from Florida Southern on 1/4/2019.]
December 21, 2018 Opinion or Order Filing 81 PAPERLESS ORDER denying as moot #75 Motion Kaniki Defendants' Unopposed Joint Motion for Intra-District Transfer. See Court's Order Consolidating Cases in Case No. 18-cv-62097, ECF No. #36 . Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
December 20, 2018 Opinion or Order Filing 82 ORDER CONSOLIDATING CASES. Case No. 18-cv-62097, is consolidated with Case No. 18-cv-60075. Pursuant to the Courts Internal Operating Procedures, all future filings shall be made in the following case only:Aric Mcintire et al. v. Steven M. Mariano et al., Case No. 18-cv-60075. Signed by Judge Beth Bloom on 12/19/2018. See attached document for full details. (asl) [Transferred from Florida Southern on 1/4/2019.]
December 20, 2018 Cases associated. Signed by Judge Beth Bloom on 12/19/2018. See attached document for full details. (mee) [Transferred from Florida Southern on 1/4/2019.]
December 7, 2018 Opinion or Order Filing 80 ORDER DENYING TRANSFER re: MDL 2870. (Signed by Sarah S. Vance, Chair). (mc) [Transferred from Florida Southern on 1/4/2019.]
December 6, 2018 Opinion or Order Filing 79 PAPERLESS ORDER granting #77 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Attorney Peter J. Linken. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
December 6, 2018 Opinion or Order Filing 78 PAPERLESS ORDER granting #76 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Attorney Jason M. Hall. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
December 6, 2018 Filing 77 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Peter J. Linken. Filing Fee $ 75.00 Receipt # 113C-11218631 by John R. Del Pizzo, Thomas C. Shields. Responses due by 12/20/2018 (Attachments: #1 Affidavit Affidavit of Peter J. Linken to Appear Pro Hac Vice, #2 Certification Certificate of Good Standing for Peter J. Linken, #3 Text of Proposed Order Text of Proposed Order Granting Motion to Appear Pro Hac Vice)(Bondi, Bradley) [Transferred from Florida Southern on 1/4/2019.]
December 6, 2018 Filing 76 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Jason M. Hall. Filing Fee $ 75.00 Receipt # 113C-11218525 by John R. Del Pizzo, Thomas C. Shields. Responses due by 12/20/2018 (Attachments: #1 Affidavit Affidavit of Jason M. Hall to Appear Pro Hac Vice, #2 Certification Certificate of Good Standing for Jason M. Hall, #3 Text of Proposed Order Proposed Order Granting Motion to Appear Pro Hac Vice)(Bondi, Bradley) [Transferred from Florida Southern on 1/4/2019.]
December 5, 2018 Filing 75 Unopposed MOTION Kaniki Defendants' Unopposed Joint Motion for Intra-District Transfer by Austin J. Shanfelter. (Attachments: #1 Exhibit)(Jimenez, Marcos) [Transferred from Florida Southern on 1/4/2019.]
November 30, 2018 Filing 74 RESPONSE in Opposition re #65 MOTION to Strike #64 Supplement, (Supplemental Memorandum of Law Pursuant to Local Rule 7.1(c) Or, in the Alternative, for Leave to File a Supplemental Response) filed by ARIC MCINTIRE. Replies due by 12/7/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
November 30, 2018 Filing 73 RESPONSE to Motion re #46 MOTION to Appoint Lead Plaintiff ARIC MCINTIRE and HENRY WASIK MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) (Intervenors' Supplemental Response to McIntire and Wasik's Supplemental Memorandum of Law) filed by ODS Capital, LLC, Sunil Shah, Barry A. Smith. Replies due by 12/7/2018. (Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
November 30, 2018 Opinion or Order Filing 72 PAPERLESS ORDER granting #70 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Attorney John Stigi,III. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
November 30, 2018 Opinion or Order Filing 71 PAPERLESS ORDER granting #69 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Attorneys Christopher Bosch, Rena Andoh, and Kandace Watson. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
November 30, 2018 Filing 70 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for John Stigi,III. Filing Fee $ 75.00 Receipt # 113C-11201110 by CHRISTOPHER PESCH, QUENTIN P. SMITH. Responses due by 12/14/2018 (Gomer, Erica) [Transferred from Florida Southern on 1/4/2019.]
November 30, 2018 Filing 69 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Christopher Bosch, Rena Andoh, Kandace Watson. Filing Fee $ 225.00 Receipt # 113C-11201079 by CHRISTOPHER PESCH, QUENTIN P. SMITH. Responses due by 12/14/2018 (Gomer, Erica) [Transferred from Florida Southern on 1/4/2019.]
November 29, 2018 Opinion or Order Filing 68 ORDER STRIKING NOTICE OF FILING DISCOVERY, denying in part #65 Motion to Strike. The Court will not strike either pleading, but will grant the Intervenors leave to file a supplemental response. Intervenors are granted leave to file their supplemental response no later than December 3, 2018. Signed by Judge Beth Bloom on 11/29/2018. See attached document for full details. (pes) [Transferred from Florida Southern on 1/4/2019.]
November 21, 2018 Filing 67 NOTICE of Attorney Appearance by Erica Gomer on behalf of CHRISTOPHER PESCH, QUENTIN P. SMITH. Attorney Erica Gomer added to party CHRISTOPHER PESCH(pty:dft), Attorney Erica Gomer added to party QUENTIN P. SMITH(pty:dft). (Gomer, Erica) [Transferred from Florida Southern on 1/4/2019.]
November 21, 2018 Filing 66 NOTICE of Attorney Appearance by Jason Samuel Oletsky on behalf of CHRISTOPHER PESCH, QUENTIN P. SMITH. Attorney Jason Samuel Oletsky added to party CHRISTOPHER PESCH(pty:dft), Attorney Jason Samuel Oletsky added to party QUENTIN P. SMITH(pty:dft). (Oletsky, Jason) [Transferred from Florida Southern on 1/4/2019.]
November 16, 2018 Filing 65 MOTION to Strike #64 Supplement, (Supplemental Memorandum of Law Pursuant to Local Rule 7.1(c) Or, in the Alternative, for Leave to File a Supplemental Response) by ODS Capital, LLC, Sunil Shah, Barry A. Smith. Responses due by 11/30/2018 (Attachments: #1 Exhibit A)(Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
November 2, 2018 Filing 64 SUPPLEMENT to #46 MOTION to Appoint Lead Plaintiff ARIC MCINTIRE and HENRY WASIK MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #55 Reply to Response to Motion, #59 Response in Opposition to Motion, SUPPLEMENTAL MEMORANDUM OF LAW IN SUPPORT OF ARIC MCINTIRE AND HENRY WASIKS MOTION FOR APPOINTMENT AS LEAD PLAINTIFFS AND IN OPPOSITION TO MOTION TO TRANSFER by ARIC MCINTIRE (O'Brien, Cullin)[Transferred from Florida Southern on 1/4/2019.]
October 22, 2018 Filing 63 SUGGESTION OF DEATH as to Charles H. Walsh by Austin J. Shanfelter (Jimenez, Marcos) [Transferred from Florida Southern on 1/4/2019.]
October 22, 2018 Filing 62 NOTICE of Attorney Appearance by Marcos Daniel Jimenez on behalf of Austin J. Shanfelter. Attorney Marcos Daniel Jimenez added to party Austin J. Shanfelter(pty:dft). (Jimenez, Marcos) [Transferred from Florida Southern on 1/4/2019.]
September 27, 2018 Filing 61 AFFIDAVIT in Support re #50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) filed by ODS Capital, LLC, Sunil Shah, Barry A. Smith. (Attachments: #1 Exhibit A, #2 Exhibit B)(Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
September 27, 2018 Filing 60 REPLY to Response to Motion re #50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) filed by ODS Capital, LLC, Sunil Shah, Barry A. Smith. (Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
September 20, 2018 Filing 59 RESPONSE in Opposition re #50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) filed by ARIC MCINTIRE. Replies due by 9/27/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
September 19, 2018 Filing 58 RESPONSE to Motion re #50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) filed by BDO USA LLP. Replies due by 9/26/2018. (Pumariega, Audrey) [Transferred from Florida Southern on 1/4/2019.]
September 19, 2018 Filing 57 Notice of Pending, Refiled, Related or Similar Actions by Thomas C. Shields (Bondi, Bradley) [Transferred from Florida Southern on 1/4/2019.]
September 19, 2018 Filing 56 Courtesy Copy of of Aric McIntire and Henry Wasik's Motion for Transfer and Centralization pursuant to 28 U.S.C. 1407. (Attachments: #1 Memorandum of Law, #2 Schedule of Actions, #3 Proof of Service)(mc) [Transferred from Florida Southern on 1/4/2019.]
September 12, 2018 Filing 55 REPLY to Response to Motion re #46 MOTION to Appoint Lead Plaintiff ARIC MCINTIRE and HENRY WASIK MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL filed by ARIC MCINTIRE. (Attachments: #1 Certification Certificate of Service)(O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
September 6, 2018 Filing 54 NOTICE by ODS Capital, LLC, Sunil Shah, Barry A. Smith re #50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) (Notice of Filing Intervenors' Proposed Order) (Attachments: #1 Text of Proposed Order) (Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
September 5, 2018 Filing 53 RESPONSE in Opposition re #46 MOTION to Appoint Lead Plaintiff ARIC MCINTIRE and HENRY WASIK MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL filed by ODS Capital, LLC, Sunil Shah, Barry A. Smith. Replies due by 9/12/2018. (Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
September 5, 2018 Filing 52 NOTICE by ODS Capital, LLC, Sunil Shah, Barry A. Smith re #49 Notice (Other), (Notice of Withdrawal of Notice of Intention to Move to Intervene Pursuant to Rule 24 of The Federal Rules of Civil Procedure) (Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
September 5, 2018 Filing 51 DECLARATION OF TAKING (of Peter Safirstein in Support of Motion to Intervene and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) by ODS Capital, LLC, Sunil Shah, Barry A. Smith. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
September 5, 2018 Filing 50 MOTION to Intervene (and Memorandum of Law and Transfer Pursuant to Fed. R. Civ. P. 24, 28 USC 1404(a) and The First-To-File Rule) by ODS Capital, LLC, Barry A. Smith, Sunil Shah. Attorney Josh M Rubens added to party ODS Capital, LLC(pty:intv), Attorney Josh M Rubens added to party Barry A. Smith(pty:intv), Attorney Josh M Rubens added to party Sunil Shah(pty:intv). (Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
August 24, 2018 Filing 49 NOTICE by Anthony Gingello of Intention to Move to Intervene Pursuant to Rule 24 of the Federal Rules of Civil Procedure. Attorney Josh M Rubens added to party Anthony Gingello(pty:intv). (Attachments: #1 Exhibit A, #2 Exhibit B) (Rubens, Josh) [Transferred from Florida Southern on 1/4/2019.]
August 23, 2018 Opinion or Order Filing 48 PAPERLESS ORDER granting #47 Motion for Substitution of Counsel. Anthony N. Upshaw and Audrey M. Pumariega of McDermott Will & Emery LLP shall be substituted as counsel for Defendant, BDO USA LLP, in place of DLA Piper LLP.Fredrick H. L. McClure, Esq. and J. Trumon Phillips, Esq. of DLA Piper LLP shall be relieved of further responsibility in the case. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
August 23, 2018 Filing 47 Unopposed STIPULATED MOTION for Substitution of Counsel. Substituting Anthony N. Upshaw and Audrey M. Pumariega for Fredrick H.L. McClure and J. Trumon Phillips by BDO USA LLP. Attorney Audrey M Pumariega added to party BDO USA LLP(pty:dft). Responses due by 9/6/2018 (Attachments: #1 Exhibit A - Client Consent for Substitution of Counsel, #2 Exhibit B - Proposed Order Granting Substitution of Counsel)(Pumariega, Audrey) [Transferred from Florida Southern on 1/4/2019.]
August 22, 2018 Filing 46 MOTION to Appoint Lead Plaintiff ARIC MCINTIRE and HENRY WASIK MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL by ARIC MCINTIRE, Henry Wasik. Responses due by 9/5/2018 (Attachments: #1 Memorandum MEMORANDUM OF LAW IN SUPPORT OF ARIC MCINTIRE AND HENRY WASIKS MOTION FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #2 Affidavit DECLARATION OF NICHOLAS I. PORRITT IN SUPPORT OF MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #3 Exhibit EXHIBIT A to PORRITT DECLARATION, #4 Exhibit EXHIBIT B to PORRITT DECLARATION, #5 Exhibit EXHIBIT C to PORRITT DECLARATION, #6 Exhibit EXHIBIT D to PORRITT DECLARATION, #7 Exhibit EXHIBIT E to PORRITT DECLARATION, #8 Exhibit EXHIBIT F to PORRITT DECLARATION, #9 Exhibit EXHIBIT G to PORRITT DECLARATION, #10 Text of Proposed Order PROPOSED ORDER, #11 Certification CERTIFICATE OF SERVICE)(O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
August 15, 2018 Opinion or Order Filing 45 PAPERLESS ORDER denying without prejudice #44 MOTION to Appoint Lead Plaintiff for failing to comply with Local Rule 7.1(a)(3). Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
August 14, 2018 Filing 44 MOTION to Appoint Lead Plaintiff Aric McIntire and Henry Wasik by ARIC MCINTIRE, Henry Wasik. Responses due by 8/28/2018 (Attachments: #1 Memorandum MEMORANDUM OF LAW IN SUPPORT OF ARIC MCINTIRE AND HENRY WASIKS MOTION FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #2 Affidavit DECLARATION OF NICHOLAS I. PORRITT IN SUPPORT OF MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #3 Exhibit EXHIBIT A TO DECLARATION OF NICHOLAS I. PORRITT IN SUPPORT OF MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #4 Exhibit EXHIBIT B TO DECLARATION OF NICHOLAS I. PORRITT IN SUPPORT OF MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #5 Exhibit EXHIBIT C TO DECLARATION OF NICHOLAS I. PORRITT IN SUPPORT OF MOTION OF ARIC MCINTIRE AND HENRY WASIK FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF THEIR SELECTION OF COUNSEL, #6 Text of Proposed Order [PROPOSED] ORDER APPROVING ARIC MCINTIRE AND HENRY WASIK AS LEAD PLAINTIFFS AND APPROVING THEIR SELECTION OF COUNSEL, #7 Certification CERTIFICATE OF SERVICE)(O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
August 14, 2018 Filing 43 NOTICE by ARIC MCINTIRE, Henry Wasik re #42 Order Staying Case, NOTICE BY PLAINTIFFS OF EXPIRY OF TEMPORARY STAY (Attachments: #1 Exhibit EXHIBIT A TO NOTICE BY PLAINTIFFS OF EXPIRY OF TEMPORARY STAY, #2 Certification CERTIFICATE OF SERVICE) (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
March 6, 2018 Opinion or Order Filing 42 ORDER STAYING CASE. Closing Case. Signed by Judge Beth Bloom on 3/5/2018. (pes) NOTICE: If there are sealed documents in this case, they may be unsealed after 1 year or as directed by Court Order, unless they have been designated to be permanently sealed. See Local Rule 5.4 and Administrative Order 2014-69. [Transferred from Florida Southern on 1/4/2019.]
March 6, 2018 Filing 41 Clerks Notice to Filer re #40 Report Regarding. Document Not Captioned; CORRECTIVE ACTION REQUIRED - The Filer must File a Notice of Striking, then refile the document with the proper caption pursuant to Local Rules. (pes) [Transferred from Florida Southern on 1/4/2019.]
March 5, 2018 Filing 40 REPORT REGARDING Bankruptcy Stay by ARIC MCINTIRE, Henry Wasik (Attachments: #1 Exhibit Order)(O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 27, 2018 Filing 39 NOTICE of Attorney Appearance by William R. Scherer on behalf of Steven M. Mariano. Attorney William R. Scherer added to party Steven M. Mariano(pty:dft). (Scherer, William) [Transferred from Florida Southern on 1/4/2019.]
February 27, 2018 Filing 38 MOTION to Appoint Lead Plaintiff Aric McIntire ( Responses due by 3/13/2018), MOTION to Appoint Lead Counsel Levi & Korsinsky, LLP by ARIC MCINTIRE, Henry Wasik. (Attachments: #1 Memorandum Memorandum, #2 Affidavit Declaration, #3 Exhibit Exhibit A to Declaration, #4 Exhibit Exhibit B to Declaration, #5 Exhibit Exhibit C to Declaration, #6 Text of Proposed Order Proposed Order)(O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 26, 2018 Opinion or Order Filing 37 Order Requiring Joint Scheduling Report and Certificate of Interested Parties. -Due by 3/19/2018. Signed by Judge Beth Bloom on 2/26/2018. (pes) [Transferred from Florida Southern on 1/4/2019.]
February 23, 2018 Filing 36 WAIVER OF SERVICE Returned Executed by ARIC MCINTIRE. Austin J. Shanfelter waiver sent on 2/2/2018, answer due 4/3/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Filing 35 Corporate Disclosure Statement by JMP SECURITIES LLC identifying Corporate Parent JMP Holding LLC, Corporate Parent JMP Group Inc., Corporate Parent JMP Investment Holdings LLC, Corporate Parent JMP Group LLC, Other Affiliate Joseph A. Jolson for JMP SECURITIES LLC (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Filing 34 Corporate Disclosure Statement by UBS Securities LLC identifying Corporate Parent UBS Group AG, Corporate Parent UBS Americas Inc,, Corporate Parent UBS Americas Holding LLC, Corporate Parent UBS AG for UBS Securities LLC (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Opinion or Order Filing 33 PAPERLESS ORDER granting in part and denying in part #28 Motion for Extension of Time to File Response/Answer to Complaint by BDO USA LLP ; BMO CAPITAL MARKETS CORP. ; JMP SECURITIES LLC. ; Suntrust Robinson Humphrey, Inc. ; UBS Securities LLC. ; and WILLIAM BLAIR & COMPANY, L.L.C.. Response/Answer due by 4/3/2018. Re: #1 Complaint, filed by ARIC MCINTIRE. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Filing 32 Corporate Disclosure Statement by Suntrust Robinson Humphrey, Inc. identifying Corporate Parent Sun Trust Banks, Inc. for Suntrust Robinson Humphrey, Inc. (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Filing 31 Corporate Disclosure Statement by WILLIAM BLAIR & COMPANY, L.L.C. identifying Corporate Parent WBC Holdings, L.P. for WILLIAM BLAIR & COMPANY, L.L.C. (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Filing 30 Corporate Disclosure Statement by BMO CAPITAL MARKETS CORP identifying Corporate Parent BMO Financial Corp., Corporate Parent Bank of Montreal for BMO CAPITAL MARKETS CORP (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Filing 29 Notice of Pending, Refiled, Related or Similar Actions by BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C. (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 22, 2018 Filing 28 MOTION for Extension of Time to File Response/Reply/Answer as to #1 Complaint, by BDO USA LLP, BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Text of Proposed Order Exhibit C)(Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 21, 2018 Filing 27 NOTICE of Attorney Appearance by J Trumon Phillips on behalf of BDO USA LLP. Attorney J Trumon Phillips added to party BDO USA LLP(pty:dft). (Phillips, J) [Transferred from Florida Southern on 1/4/2019.]
February 21, 2018 Filing 26 NOTICE of Attorney Appearance by Fredrick Howard Lebron McClure on behalf of BDO USA LLP. Attorney Fredrick Howard Lebron McClure added to party BDO USA LLP(pty:dft). (McClure, Fredrick) [Transferred from Florida Southern on 1/4/2019.]
February 20, 2018 Filing 25 NOTICE of Attorney Appearance by Bradley Joseph Bondi on behalf of John R. Del Pizzo, Thomas C. Shields. Attorney Bradley Joseph Bondi added to party John R. Del Pizzo(pty:dft), Attorney Bradley Joseph Bondi added to party Thomas C. Shields(pty:dft). (Bondi, Bradley) [Transferred from Florida Southern on 1/4/2019.]
February 16, 2018 Filing 24 NOTICE of Attorney Appearance by Lawrence Allan Kellogg on behalf of BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C. (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 16, 2018 Filing 23 NOTICE of Attorney Appearance by Lawrence Allan Kellogg on behalf of BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C. (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 15, 2018 Opinion or Order Filing 22 PAPERLESS ORDER granting #20 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Attorney Alan J. Brudner. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
February 15, 2018 Opinion or Order Filing 21 PAPERLESS ORDER granting #19 Motion to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Attorney David L. Goldberg. Signed by Judge Beth Bloom (BB) [Transferred from Florida Southern on 1/4/2019.]
February 15, 2018 Filing 20 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for Alan J. Brudner. Filing Fee $ 75.00 Receipt # 113C-10415150 by BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C.. Responses due by 3/1/2018 (Attachments: #1 Affidavit of Alan J. Brudner in Support of Motion to Appear Pro Hac Vice, #2 Certification of Good Standing for Alan J. Brudner, #3 Text of Proposed Order)(Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 15, 2018 Filing 19 MOTION to Appear Pro Hac Vice, Consent to Designation, and Request to Electronically Receive Notices of Electronic Filing for David L. Goldberg. Filing Fee $ 75.00 Receipt # 113C-10415021 by BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C.. Responses due by 3/1/2018 (Attachments: #1 Affidavit of David L. Goldberg in support of Motion to Appear Pro Hac Vice, #2 Certification of Good Standing for David L. Goldberg, #3 Text of Proposed Order)(Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 14, 2018 Filing 18 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline by ARIC MCINTIRE. JMP SECURITIES LLC served on 2/1/2018, answer due 2/22/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 14, 2018 Filing 17 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline by ARIC MCINTIRE. Suntrust Robinson Humphrey, Inc. served on 2/1/2018, answer due 2/22/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 14, 2018 Filing 16 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline by ARIC MCINTIRE. BMO CAPITAL MARKETS CORP served on 2/1/2018, answer due 2/22/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 14, 2018 Filing 15 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline by ARIC MCINTIRE. BDO USA LLP served on 2/1/2018, answer due 2/22/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 14, 2018 Filing 14 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline by ARIC MCINTIRE. WILLIAM BLAIR & COMPANY, L.L.C. served on 2/1/2018, answer due 2/22/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 14, 2018 Filing 13 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline by ARIC MCINTIRE. UBS Securities LLC served on 2/1/2018, answer due 2/22/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 13, 2018 Filing 12 WAIVER OF SERVICE Returned Executed by ARIC MCINTIRE. CHRISTOPHER PESCH waiver sent on 2/1/2018, answer due 4/2/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 13, 2018 Filing 11 WAIVER OF SERVICE Returned Executed by ARIC MCINTIRE. QUENTIN P. SMITH waiver sent on 2/1/2018, answer due 4/2/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 13, 2018 Filing 10 WAIVER OF SERVICE Returned Executed by ARIC MCINTIRE. Steven M. Mariano waiver sent on 2/2/2018, answer due 4/3/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 13, 2018 Filing 9 WAIVER OF SERVICE Returned Executed by ARIC MCINTIRE. Charles H. Walsh waiver sent on 2/1/2018, answer due 4/2/2018. (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
February 7, 2018 Filing 8 NOTICE of Attorney Appearance by Jezabel Pereira Lima on behalf of BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C.. Attorney Jezabel Pereira Lima added to party BMO CAPITAL MARKETS CORP(pty:dft), Attorney Jezabel Pereira Lima added to party JMP SECURITIES LLC(pty:dft), Attorney Jezabel Pereira Lima added to party Suntrust Robinson Humphrey, Inc.(pty:dft), Attorney Jezabel Pereira Lima added to party UBS Securities LLC(pty:dft), Attorney Jezabel Pereira Lima added to party WILLIAM BLAIR & COMPANY, L.L.C.(pty:dft). (Lima, Jezabel) [Transferred from Florida Southern on 1/4/2019.]
February 7, 2018 Filing 7 NOTICE of Attorney Appearance by Lawrence Allan Kellogg on behalf of BMO CAPITAL MARKETS CORP, JMP SECURITIES LLC, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C.. Attorney Lawrence Allan Kellogg added to party BMO CAPITAL MARKETS CORP(pty:dft), Attorney Lawrence Allan Kellogg added to party JMP SECURITIES LLC(pty:dft), Attorney Lawrence Allan Kellogg added to party Suntrust Robinson Humphrey, Inc.(pty:dft), Attorney Lawrence Allan Kellogg added to party UBS Securities LLC(pty:dft), Attorney Lawrence Allan Kellogg added to party WILLIAM BLAIR & COMPANY, L.L.C.(pty:dft). (Kellogg, Lawrence) [Transferred from Florida Southern on 1/4/2019.]
February 1, 2018 Filing 6 Summons Issued as to All Defendants. (lbc) [Transferred from Florida Southern on 1/4/2019.]
January 31, 2018 Filing 5 Summons Issued as to BDO USA LLP, BMO CAPITAL MARKETS CORP, John R. Del Pizzo, JMP SECURITIES LLC, ARIC MCINTIRE, Steven M. Mariano, CHRISTOPHER PESCH, QUENTIN P. SMITH, Austin J. Shanfelter, Thomas C. Shields, Suntrust Robinson Humphrey, Inc., UBS Securities LLC, WILLIAM BLAIR & COMPANY, L.L.C., Charles H. Walsh. (pes) [Transferred from Florida Southern on 1/4/2019.]
January 31, 2018 Filing 4 NOTICE of Filing Proposed Summons(es) CORRECTED by ARIC MCINTIRE, Henry Wasik (Attachments: #1 Summon(s), #2 Summon(s), #3 Summon(s), #4 Summon(s), #5 Summon(s), #6 Summon(s), #7 Summon(s), #8 Summon(s), #9 Summon(s), #10 Summon(s), #11 Summon(s), #12 Summon(s)) (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
January 30, 2018 Filing 3 NOTICE of Filing Proposed Summons(es) by ARIC MCINTIRE, Henry Wasik (Attachments: #1 Summon(s), #2 Summon(s), #3 Summon(s), #4 Summon(s), #5 Summon(s), #6 Summon(s), #7 Summon(s), #8 Summon(s), #9 Summon(s), #10 Summon(s), #11 Summon(s), #12 Summon(s)) (O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]
January 12, 2018 Filing 2 Clerks Notice of Judge Assignment to Judge Beth Bloom. Pursuant to 28 USC 636(c), the parties are hereby notified that the U.S. Magistrate Judge Alicia O. Valle is available to handle any or all proceedings in this case. If agreed, parties should complete and file the Consent form found on our website. It is not necessary to file a document indicating lack of consent. Pro se (NON-PRISONER) litigants may receive Notices of Electronic Filings (NEFS) via email after filing a Consent by Pro Se Litigant (NON-PRISONER) to Receive Notices of Electronic Filing. The consent form is available under the forms section of our website. (pes) [Transferred from Florida Southern on 1/4/2019.]
January 12, 2018 Filing 1 COMPLAINT against All Defendants. Filing fees $ 400.00 receipt number 113C-10326862, filed by ARIC MCINTIRE. (Attachments: #1 Civil Cover Sheet, #2 Certification, #3 Exhibit Henry Wasik Transactions in Patriot National, Inc., #4 Certification, #5 Exhibit Aric McIntire Transactions in Patriot National, Inc.)(O'Brien, Cullin) [Transferred from Florida Southern on 1/4/2019.]

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Search for this case: MCINTIRE et al v. Mariano et al
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Plaintiff: ARIC MCINTIRE
Represented By: Cullin Avram O'Brien
Represented By: Nicholas Ian Porritt
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Plaintiff: MBAGO M. KANIKI
Represented By: Cullin Avram O'Brien
Represented By: Nicholas Ian Porritt
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Plaintiff: Henry Wasik
Represented By: Cullin Avram O'Brien
Represented By: Nicholas Ian Porritt
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Intervenor: Anthony Gingello
Represented By: Josh M Rubens
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Defendant: Suntrust Robinson Humphrey Inc.
Represented By: David L Goldberg
Represented By: Alan J. Brudner
Represented By: Lawrence Allan Kellogg
Represented By: Jezabel Pereira Lima
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Defendant: Quentin P. Smith
Represented By: Jason Samuel Oletsky
Represented By: Christopher Bosch
Represented By: Rena Andoh
Represented By: Kandace Watson
Represented By: John P. Stigi, III
Represented By: Erica Gomer
Represented By: Christopher Joseph Bosch
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Defendant: John R. Del Pizzo
Represented By: Jason Michael Hall
Represented By: Bradley Joseph Bondi
Represented By: Peter J. Linken
Represented By: Bradley J Bondi
Represented By: Peter James Linken
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Defendant: Austin J. Shanfelter
Represented By: Marcos Daniel Jimenez
Represented By: Marie M. Degnan
Represented By: Philip Trainer, Jr.
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Defendant: UBS Securities L.L.C.
Represented By: David L Goldberg
Represented By: Alan J. Brudner
Represented By: Lawrence Allan Kellogg
Represented By: Jezabel Pereira Lima
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Defendant: Steven M. Mariano
Represented By: William R. Scherer
Represented By: Michael Edward Dutko, Jr.
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Defendant: BMO Capital Markets Corp
Represented By: David L Goldberg
Represented By: Alan J. Brudner
Represented By: Lawrence Allan Kellogg
Represented By: Jezabel Pereira Lima
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Defendant: William Blair & Company L.L.C.
Represented By: David L Goldberg
Represented By: Alan J. Brudner
Represented By: Lawrence Allan Kellogg
Represented By: Jezabel Pereira Lima
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Defendant: Thomas C. Shields
Represented By: Jason Michael Hall
Represented By: Bradley Joseph Bondi
Represented By: Peter J. Linken
Represented By: Bradley J Bondi
Represented By: Peter James Linken
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Defendant: Christopher Pesch
Represented By: Jason Samuel Oletsky
Represented By: Christopher Bosch
Represented By: Rena Andoh
Represented By: Kandace Watson
Represented By: John P. Stigi, III
Represented By: Erica Gomer
Represented By: Christopher Joseph Bosch
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Defendant: Charles H. Walsh
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Defendant: JMP Securities L.L.C.
Represented By: David L Goldberg
Represented By: Alan J. Brudner
Represented By: Lawrence Allan Kellogg
Represented By: Jezabel Pereira Lima
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Defendant: BDO USA L.L.P.
Represented By: Jason D. Gerstein
Represented By: Audrey M Pumariega
Represented By: Seth L. Friedman
Represented By: Michael Edward Dutko, Jr.
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