Johnson et al v. National Securities Corporation et al
Plaintiff: Kay Johnson
Defendant: National Securities Corporation, Michael Singer, Daniel Hume, Jeffrey Gary, Neil Herskowitz, Billy Groeneveld, National Asset Management, Inc., Rene Kageff, John Does 1-10, Michael Mullen, Daniel Ortega, Barbara Creagh, Robert Fagenson, Glenn Worman, Michael Weiss, Athanassios Michas and Nassos Michas
Nominal Defendant: National Holdings Corporation
Case Number: 1:2019cv06197
Filed: July 3, 2019
Court: US District Court for the Southern District of New York
Presiding Judge: Laura Taylor Swain
Referring Judge: Ona T Wang
Nature of Suit: Securities/Commodities
Cause of Action: 28 U.S.C. § 1331 sv
Jury Demanded By: Plaintiff
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Docket Report

This docket was last retrieved on March 8, 2021. A more recent docket listing may be available from PACER.

Date Filed Document Text
March 8, 2021 Opinion or Order Filing 106 MEMO ENDORSEMENT on re: #105 Notice of Settlement filed by Kay Johnson. ENDORSEMENT: SO ORDERED. (Signed by Judge Laura Taylor Swain on 3/8/2021) (mro)
March 4, 2021 Filing 105 NOTICE of Settlement . Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari)
February 8, 2021 Opinion or Order Filing 104 ORDER OF DISMISSAL: The attorneys for the parties have advised the Court that this putative class action has been or will be settled. Accordingly, it is hereby ORDERED that this action is dismissed with prejudice as to the named plaintiff and without prejudice as to all other plaintiffs and without costs to either party, but without prejudice to restoration of the action to the calendar of the undersigned if settlement is not achieved within thirty (30) days of the date of this Order. If a party wishes to reopen this matter or extend the time within which it may be settled, the party must make a letter application before this thirty (30)-day period expires. The parties are advised that if they wish the Court to retain jurisdiction in this matter for purposes of enforcing any settlement agreement, they shall submit the settlement agreement to the Court to be so ordered. SO ORDERED. (Signed by Judge Laura Taylor Swain on 2/08/2021) (ama)
January 29, 2021 Filing 103 STATUS REPORT. (Eighth Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
January 21, 2021 Opinion or Order Filing 102 MEMO ENDORSEMENT: on re: #101 Status Report filed by Kay Johnson. ENDORSEMENT: In light of the progress of settlement efforts, the pending motion to dismiss the complaint (DE# 78) is terminated without prejudice to restoration if settlement efforts are unsuccessful. SO ORDERED., Motions terminated: #78 MOTION to Dismiss Amended Verified Complaint filed by Athanassios Michas, Barbara Creagh, Robert Fagenson, National Securities Corporation, Daniel Ortega, Daniel Hume, Jeffrey Gary, Michael Singer, Glenn Worman, National Asset Management, Inc., Michael Mullen, National Holdings Corporation, Rene Kageff, Billy Groeneveld. (Signed by Judge Laura Taylor Swain on 1/21/2021) (ama)
January 20, 2021 Filing 101 STATUS REPORT. Parties have agreed on monetary terms of settlement Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari)
January 4, 2021 Filing 100 STATUS REPORT. (Seventh Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
December 28, 2020 Opinion or Order Filing 99 STIPULATION AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Magistrate Judge Ona T. Wang on 12/28/2020) (va)
December 22, 2020 Filing 98 JOINT LETTER addressed to Magistrate Judge Ona T. Wang from Michael G. Bongiorno dated December 22, 2020 re: Differing Protective Order. Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman. (Attachments: #1 Exhibit A - Proposed Protective Order, #2 Exhibit B - Blackline Comparison).(Bongiorno, Michael)
December 4, 2020 Filing 97 STATUS REPORT. (Sixth Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
November 6, 2020 Filing 96 STATUS REPORT. (Fifth Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
October 9, 2020 Filing 95 STATUS REPORT. (Fourth Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
September 11, 2020 Filing 94 STATUS REPORT. (Third Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
August 14, 2020 Filing 93 STATUS REPORT. (Second Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
July 17, 2020 Filing 92 STATUS REPORT. (Joint) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
July 1, 2020 Opinion or Order Filing 91 JOINT ELECTRONIC DISCOVERY SUBMISSION NO: 1 AND ORDER: The parties to this litigation have indicated that they believe that relevant information may exist or be stored in electronic format, and that this content is potentially responsive to current or anticipated discovery requests. This Joint Submission and Order (and any subsequent ones) shall be the governing document(s) by which the undersigned parties and the Court manage the electronic discovery process in this action. The undersigned parties and the Court recognize that this Joint Electronic Discovery Submission No. 1 and [Proposed] Order is based on facts and circumstances as they are currently known to each party, that the electronic discovery process is iterative, and that additions and modifications to this Submission may become necessary as more information becomes known to the parties and further set forth in this Order. (Signed by Magistrate Judge Ona T. Wang on 7/1/2020) (rro)
June 30, 2020 Filing 90 PROPOSED STIPULATION AND ORDER. Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
June 12, 2020 Opinion or Order Filing 89 AMENDED REPORT OF RULE 26(F) MEETING AND CASE MANAGEMENT PLAN: The Parties do not consent to a trial before a Magistrate Judge. Plaintiff has requested a jury trial. Deposition due by 3/1/2021. Fact Discovery due by 3/1/2021. Expert Discovery due by 7/1/2021. Ready for Trial by 1/17/2022. At this early stage in the litigation, the Parties cannot accurately predict the length of trial. The Parties' best estimate is that trial will take between 7 and 15 days. SO ORDERED. (Signed by Magistrate Judge Ona T. Wang on 6/12/2020) (ks) Modified on 6/19/2020 (ks).
June 3, 2020 Minute Entry for proceedings held before Magistrate Judge Ona T. Wang: Initial Pretrial Conference held on 6/3/2020. (Quinn, Diane)
May 7, 2020 Opinion or Order Filing 88 SCHEDULING ORDER: The Court will hold a telephonic initial case management conference to discuss the parties' submission at ECF 86 on June 3, 2020 at 2:30 p.m. The dial-in information is as follows: Telephone number: 866-390-1828, Access Code: 1582687, SO ORDERED. (Signed by Magistrate Judge Ona T. Wang on 5/7/2020) Initial Conference set for 6/3/2020 at 02:30 PM before Magistrate Judge Ona T. Wang. (ks)
May 6, 2020 Filing 87 REPLY MEMORANDUM OF LAW in Support re: #78 MOTION to Dismiss Amended Verified Complaint. . Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
May 1, 2020 Filing 86 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari)
April 15, 2020 Filing 85 DECLARATION of Kari Parks in Opposition re: #78 MOTION to Dismiss Amended Verified Complaint.. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5).(Parks, Kari)
April 15, 2020 Filing 84 MEMORANDUM OF LAW in Opposition re: #78 MOTION to Dismiss Amended Verified Complaint. . Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari)
April 6, 2020 Opinion or Order Filing 83 ORDER granting #82 Letter Motion for Extension of Time. The foregoing extension requests are granted. DE # 82 resolved. (Signed by Judge Laura Taylor Swain on 4/6/2020) (mro)
April 6, 2020 Set/Reset Deadlines: Responses due by 4/15/2020 Replies due by 5/6/2020. (mro)
April 6, 2020 Filing 82 LETTER MOTION for Extension of Time addressed to Judge Laura Taylor Swain from Kari Parks dated April 6, 2020. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari)
March 19, 2020 Opinion or Order Filing 81 ORDER: granting #77 Letter Motion for Leave to File Excess Pages; granting #77 Letter Motion for Extension of Time to File Response/Reply re #77 LETTER MOTION for Leave to File Excess Pages addressed to Judge Laura Taylor Swain from Michael Bongiorno dated March 18, 2020. LETTER MOTION for Extension of Time to File Response/Reply addressed to Judge Laura Taylor Swain from Michael Bongiorno dated March 18, 2020. The requested page and briefing schedule extension are Granted. DE # 77 resolved. The parties are reminded that modifications of rules should be sought prior to the application deadline. SO ORDERED. ( Responses due by 4/8/2020). (Signed by Judge Laura Taylor Swain on 3/19/2020) (ama)
March 18, 2020 Filing 80 DECLARATION of Michael Bongiorno in Support re: #78 MOTION to Dismiss Amended Verified Complaint.. Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman. (Attachments: #1 Exhibit 1).(Bongiorno, Michael)
March 18, 2020 Filing 79 MEMORANDUM OF LAW in Support re: #78 MOTION to Dismiss Amended Verified Complaint. . Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
March 18, 2020 Filing 78 MOTION to Dismiss Amended Verified Complaint. Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
March 18, 2020 Filing 77 LETTER MOTION for Leave to File Excess Pages addressed to Judge Laura Taylor Swain from Michael Bongiorno dated March 18, 2020., LETTER MOTION for Extension of Time to File Response/Reply addressed to Judge Laura Taylor Swain from Michael Bongiorno dated March 18, 2020. Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael)
March 18, 2020 Opinion or Order Filing 76 ORDER granting #74 Letter Motion to Adjourn Conference. Application Granted. The conference scheduled for March 24, 2020 is hereby adjourned. It is not this Court's practice to stay discovery pending a decision on a motion to dismiss, however given the current COVID-19 pandemic and national emergency, the deadline to file a complete 26(f) will be extended to May 1, 2020. Parties are directed to review the Court's updated individual practices and refrain from in-person contact. SO ORDERED. ***Hearings Terminated*** The following hearing(s) was terminated: Initial Conference. (Signed by Magistrate Judge Ona T. Wang on 3/18/2020) (jca)
March 17, 2020 Filing 75 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari)
March 6, 2020 Filing 74 JOINT LETTER MOTION to Adjourn Conference addressed to Magistrate Judge Ona T. Wang from Kari Parks dated March 6, 2020. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari)
February 14, 2020 Filing 73 AMENDED COMPLAINT amending #72 Amended Complaint, #71 Amended Complaint, against Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, John Does 1-10, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman with JURY DEMAND.Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). Related document: #72 Amended Complaint, #71 Amended Complaint. (Attachments: #1 Verification of Kay Johnson, #2 Exhibit A, #3 Exhibit B).(Parks, Kari) Modified on 2/18/2020 (sj). Modified on 2/19/2020 (jgo).
February 13, 2020 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Kari Parks to RE-FILE Document No. #72 Amended Complaint. The filing is deficient for the following reason(s): all parties to whom the pleading is against were not selected; National Holding Corporation must be selected twice (once as a defendant and once as nominal defendant). Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (sj)
February 12, 2020 Filing 72 FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR AMENDED COMPLAINT amending #71 Amended Complaint against Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Neil Herskowitz, Daniel Hume, John Does 1-10, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Michael Weiss, Glenn Worman with JURY DEMAND.Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation). Related document: #71 Amended Complaint. (Attachments: #1 Affidavit Verification of Kay Johnson, #2 Exhibit A, #3 Exhibit B).(Parks, Kari) Modified on 2/13/2020 (sj).
February 3, 2020 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Kari Parks to RE-FILE Document No. #71 Amended Complaint,,. The filing is deficient for the following reason(s): all parties whom the pleading is against were not selected; National Holding Corporation must be selected twice. Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (pne)
February 2, 2020 Filing 71 FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR - AMENDED COMPLAINT amending #19 Complaint,, against Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, John Does 1-10, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman with JURY DEMAND.Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). Related document: #19 Complaint,,. (Attachments: #1 Affidavit Verification of Kay Johnson, #2 Exhibit A, #3 Exhibit B).(Parks, Kari) Modified on 2/3/2020 (pne).
September 19, 2019 Opinion or Order Filing 70 ORDER granting #69 Letter Motion to Adjourn Conference. Application Granted. The Initial Conference is adjourned to March 24, 2020 at 10:00 a.m. SO ORDERED. (Initial Conference set for 3/24/2020 at 10:00 AM before Magistrate Judge Ona T. Wang.) (Signed by Magistrate Judge Ona T. Wang on 9/19/2019) (rro)
September 17, 2019 Filing 69 JOINT LETTER MOTION to Adjourn Conference Initial Conference currently scheduled for October 17, 2019 addressed to Magistrate Judge Ona T. Wang from Ryan J. Whalen, counsel for Plaintiff dated 9.17.19. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation).(Whalen, Ryan)
September 9, 2019 Opinion or Order Filing 68 JOINT STIPULATION: IT IS STIPULATED AND AGREED that: 1. Defendants are not required to answer or otherwise respond to the complaint (Dkt. 19), unless Plaintiff provides Defendants notice, in writing, that she will not be amending her complaint; 2. Plaintiff may amend her complaint within fourteen days of receiving right-to-sue notices from OSHA and/or the EEOC, whichever comes last; 3. Defendants shall answer or serve a motion in response to Plaintiff's forthcoming amended complaint within forty-five (45) days of service; and 4. If Plaintiff notifies Defendants in writing that she will not be amending her complaint,as contemplated in Paragraph 1, supra, Defendants shall answer or serve a motion in response to Plaintiff's complaint within forty-five (45) days of service of Plaintiff's notification. IT IS FURTHER STIPULATED AND AGREED that this Stipulation may be signed in counterparty and a copy of this Stipulation shall have the same force and effect as the original. SO ORDERED. (Signed by Magistrate Judge Ona T. Wang on 9/9/2019) (rro)
September 4, 2019 Opinion or Order Filing 67 NOTICE OF PARTIAL VOLUNTARY DISMISSAL PURSUANT TO FRCP 41(a)(1)(A)(i): PLEASE TAKE NOTICE that it has been stipulated and agreed by and between plaintiff Kay Johnson and Defendants Michael Weiss and Neil Herskowitz that pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the above-captioned action is dismissed as against Defendants Weiss and Herskowitz without prejudice and without costs or attorneys' fees. Ms. Johnson' s dismissal is not intended to and does not affect any of the claims asserted against the remaining defendants. SO ORDERED., Neil Herskowitz and Michael Weiss terminated. (Signed by Judge Laura Taylor Swain on 9/04/2019) (ama)
August 30, 2019 Filing 66 PROPOSED STIPULATION AND ORDER. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation). (Whalen, Ryan)
August 21, 2019 ***NOTICE TO COURT REGARDING NOTICE OF VOLUNTARY DISMISSAL Document No. #65 Notice of Voluntary Dismissal,, was reviewed and referred to Judge Laura Taylor Swain for approval for the following reason(s): the plaintiff(s) filed their voluntary dismissal and it did not dismiss all of the parties or the action in its entirety. (ad)
August 21, 2019 Filing 65 NOTICE OF VOLUNTARY DISMISSAL pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice and without costs against the defendant(s) Neil Herskowitz, Michael Weiss. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation). Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers).. (Parks, Kari)
August 14, 2019 Opinion or Order Filing 64 ORDER granting #63 Letter Motion to Adjourn Conference. Application Granted. The Initial Conference is adjourned to October 17, 2019 at 11:00 a.m. (Initial Conference set for 10/17/2019 at 11:00 AM before Magistrate Judge Ona T. Wang.) (Signed by Magistrate Judge Ona T. Wang on 8/14/2019) (rro)
August 13, 2019 Filing 63 FIRST LETTER MOTION to Adjourn Conference on October 16, 2019 addressed to Magistrate Judge Ona T. Wang from Ryan J. Whalen, counsel for Plaintiff dated 8/13/19. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation).(Whalen, Ryan)
August 12, 2019 Opinion or Order Filing 62 INITIAL CASE MANAGEMENT CONFERENCE ORDER: Initial Conference set for 10/16/2019 at 10:00 AM in Courtroom 20D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Ona T. Wang and further set forth in this Order. (Signed by Magistrate Judge Ona T. Wang on 8/12/2019) (rro)
August 12, 2019 Opinion or Order Filing 61 ORDER FOR ADMISSION OF JONATHAN D. ROSENFELD PRO HAC VICE granting #59 Motion for Jonathan D. Rosenfeld to Appear Pro Hac Vice. (Signed by Magistrate Judge Ona T. Wang on 8/12/2019) (rro)
August 6, 2019 Opinion or Order Filing 60 ORDER OF REFERENCE TO A MAGISTRATE JUDGE: Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Ona T. Wang. SO ORDERED. Motions referred to Ona T. Wang. (Signed by Judge Laura Taylor Swain on 8/06/2019) (ama)
August 5, 2019 Filing 59 MOTION for Jonathan Dana Rosenfeld to Appear Pro Hac Vice Filing fee $200.00, receipt number ANYSDC-17374286. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman. (Attachments: #1 Exhibit A - Rosenfeld Declaration, #2 Exhibit B - Text of Proposed Order, #3 California Certificate of Good Standing, #4 Connecticut Certificate of Good Standing, #5 Massachusetts Certificate of Good Standing)(Rosenfeld, Jonathan)
August 5, 2019 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #59 MOTION for Jonathan Dana Rosenfeld to Appear Pro Hac Vice Filing fee $200.00, receipt number ANYSDC-17374286. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
July 24, 2019 Filing 58 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent National Holdings Corporation for National Asset Management, Inc.. Document filed by National Asset Management, Inc..(Bongiorno, Michael)
July 24, 2019 Filing 57 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate B. Riley Financial, Inc. for National Holdings Corporation, National Holdings Corporation. Document filed by National Holdings Corporation.(Bongiorno, Michael)
July 24, 2019 Filing 56 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent National Holdings Corporation for National Securities Corporation. Document filed by National Securities Corporation.(Bongiorno, Michael)
July 24, 2019 Filing 55 NOTICE OF APPEARANCE by Andrew Nathan Goldman on behalf of Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman. (Goldman, Andrew)
July 24, 2019 Filing 54 NOTICE OF APPEARANCE by Michael G. Bongiorno on behalf of Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman. (Bongiorno, Michael)
July 9, 2019 Filing 53 ELECTRONIC SUMMONS ISSUED as to Glenn Worman. (dnh)
July 9, 2019 Filing 52 ELECTRONIC SUMMONS ISSUED as to Michael Weiss. (dnh)
July 9, 2019 Filing 51 ELECTRONIC SUMMONS ISSUED as to Michael Singer. (dnh)
July 9, 2019 Filing 50 ELECTRONIC SUMMONS ISSUED as to Daniel Ortega. (dnh)
July 9, 2019 Filing 49 ELECTRONIC SUMMONS ISSUED as to National Securities Corporation. (dnh)
July 9, 2019 Filing 48 ELECTRONIC SUMMONS ISSUED as to National Holdings Corporation. (dnh)
July 9, 2019 Filing 47 ELECTRONIC SUMMONS ISSUED as to National Asset Management, Inc.. (dnh)
July 9, 2019 Filing 46 ELECTRONIC SUMMONS ISSUED as to Michael Mullen. (dnh)
July 9, 2019 Filing 45 ELECTRONIC SUMMONS ISSUED as to Athanassios Michas. (dnh)
July 9, 2019 Filing 44 ELECTRONIC SUMMONS ISSUED as to Rene Kageff. (dnh)
July 9, 2019 Filing 43 ELECTRONIC SUMMONS ISSUED as to Daniel Hume. (dnh)
July 9, 2019 Filing 42 ELECTRONIC SUMMONS ISSUED as to Neil Herskowitz. (dnh)
July 9, 2019 Filing 41 ELECTRONIC SUMMONS ISSUED as to Billy Groeneveld. (dnh)
July 9, 2019 Filing 40 ELECTRONIC SUMMONS ISSUED as to Jeffrey Gary. (dnh)
July 9, 2019 Filing 39 ELECTRONIC SUMMONS ISSUED as to Robert Fagenson. (dnh)
July 9, 2019 Filing 38 ELECTRONIC SUMMONS ISSUED as to Barbara Creagh. (dnh)
July 8, 2019 Filing 37 REQUEST FOR ISSUANCE OF SUMMONS as to Glenn Worman, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 36 FILING ERROR - DUPLICATE DOCKET ENTRY -REQUEST FOR ISSUANCE OF SUMMONS as to Michael Weiss, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari) Modified on 7/9/2019 (dnh).
July 8, 2019 Filing 35 REQUEST FOR ISSUANCE OF SUMMONS as to Michael Weiss, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 34 REQUEST FOR ISSUANCE OF SUMMONS as to Michael Singer, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 33 REQUEST FOR ISSUANCE OF SUMMONS as to Daniel Ortega, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 32 REQUEST FOR ISSUANCE OF SUMMONS as to National Securities Corporation, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 31 REQUEST FOR ISSUANCE OF SUMMONS as to National Holdings Corporation, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 30 REQUEST FOR ISSUANCE OF SUMMONS as to National Asset Management, Inc., re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 29 REQUEST FOR ISSUANCE OF SUMMONS as to Michael Mullen, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 28 REQUEST FOR ISSUANCE OF SUMMONS as to Athanassios Michas, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 27 REQUEST FOR ISSUANCE OF SUMMONS as to Rene Kageff, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 26 REQUEST FOR ISSUANCE OF SUMMONS as to Daniel Hume, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 25 REQUEST FOR ISSUANCE OF SUMMONS as to Neil Herskowitz, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 24 REQUEST FOR ISSUANCE OF SUMMONS as to Billy Groeneveld, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 23 REQUEST FOR ISSUANCE OF SUMMONS as to Jeffrey Gary, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 22 REQUEST FOR ISSUANCE OF SUMMONS as to Robert Fagenson, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 21 REQUEST FOR ISSUANCE OF SUMMONS as to Barbara Creagh, re: #19 Complaint,,. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Parks, Kari)
July 8, 2019 Filing 20 CIVIL COVER SHEET filed. (Parks, Kari)
July 8, 2019 Filing 19 COMPLAINT against Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Neil Herskowitz, Daniel Hume, John Does 1-10, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Michael Weiss, Glenn Worman. Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually). (Attachments: #1 Affidavit Verification of Kay Johnson, #2 Exhibit A, #3 Exhibit B)(Whalen, Ryan)
July 8, 2019 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Kari Parks. The party information for the following party/parties has been modified: Kay Johnson; Athanassios Michas. The information for the party/parties has been modified for the following reason/reasons: party text was omitted; alias party name was omitted;. (jgo)
July 8, 2019 ***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Kari Parks. The following case opening statistical information was erroneously selected/entered: Nature of Suit code 160 (Stockholders Suits); Dollar Demand $30000000000; Fee Status code due (due);. The following correction(s) have been made to your case entry: the Nature of Suit code has been modified to 850 (Securities/Commodities); the Dollar Demand has been modified to $9999000; the Fee Status code has been modified to pd (paid);. (jgo)
July 8, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Kari Parks to RE-FILE Document No. #18 Civil Cover Sheet. The filing is deficient for the following reason(s): the PDF case caption does not exactly match initial pleading caption. If all of the party names do not fit, use leading party name followed by 'et al';. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. Use civil cover sheet issued by S.D.N.Y. dated June 2017. The S.D.N.Y. Civil Cover Sheet dated June 2017 is located at#http://nysd.uscourts.gov/file/forms/civil-cover-sheet.. (jgo)
July 8, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Kari Parks to RE-FILE re: Document No. #1 Complaint. The filing is deficient for the following reason(s): all of the parties listed on the pleading were not entered on CM ECF. Add party Kay Johnson with party text 'individually'; the pleading was not signedby the filing attorney;. Docket the event type Add Party to Pleading found under the event list Complaints and Other Initiating Documents.. Re-file the pleading using the event type Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (jgo)
July 8, 2019 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Laura Taylor Swain. 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. (jgo)
July 8, 2019 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Kari Parks to RE-FILE Document No. #7 Request for Issuance of Summons, #5 Request for Issuance of Summons, #6 Request for Issuance of Summons, #15 Request for Issuance of Summons, #14 Request for Issuance of Summons, #10 Request for Issuance of Summons, #4 Request for Issuance of Summons, #13 Request for Issuance of Summons, #2 Request for Issuance of Summons, #12 Request for Issuance of Summons, #3 Request for Issuance of Summons, #11 Request for Issuance of Summons, #17 Request for Issuance of Summons, #8 Request for Issuance of Summons, #16 Request for Issuance of Summons, #9 Request for Issuance of Summons. The filing is deficient for the following reason(s): the Court name is not on the PDF; attorney information was omitted;. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (jgo)
July 8, 2019 ADD PARTY FOR PLEADING. Plaintiffs/Petitioners Kay Johnson added. Party added pursuant to #1 Complaint,,.Document filed by Kay Johnson. Related document: #1 Complaint,,.(Parks, Kari)
July 8, 2019 Case Designated ECF. (jgo)
July 8, 2019 Magistrate Judge Ona T. Wang 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. (jgo)
July 3, 2019 Filing 18 FILING ERROR - PDF ERROR - CIVIL COVER SHEET filed. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 17 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to National Holdings Corporation, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 16 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Barbara Creagh, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 15 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Athanassios Michas a/k/a Nassos Michas, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 14 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Robert Fagenson, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 13 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Jeffrey Gary, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 12 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Daniel Hume, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 11 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Michael Singer, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 10 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Neil Herskowitz, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 9 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Michael Weiss, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 8 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Rene Kageff, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 7 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Daniel Ortega, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 6 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Billy Groeneveld, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 5 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Glenn Worman, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 4 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Michael Mullen, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 3 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to National Asset Management, Inc., re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 2 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to National Securities Corporation, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo).
July 3, 2019 Filing 1 FILING ERROR - DEFICIENT PLEADING - SIGNATURE ERROR - COMPLAINT against Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Neil Herskowitz, Daniel Hume, John Does 1-10, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Michael Weiss, Glenn Worman. (Filing Fee $ 400.00, Receipt Number ANYSDC-17185141)Document filed by Kay Johnson. (Attachments: #1 Affidavit Verification of Kay Johnson, #2 Exhibit Exhibit A, #3 Exhibit Exhibit B)(Parks, Kari) Modified on 7/8/2019 (jgo).

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Search for this case: Johnson et al v. National Securities Corporation et al
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Defendant: National Securities Corporation
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Michael Singer
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Daniel Hume
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Jeffrey Gary
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Neil Herskowitz
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Defendant: Billy Groeneveld
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: National Asset Management, Inc.
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Rene Kageff
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: John Does 1-10
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Defendant: Michael Mullen
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Daniel Ortega
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Barbara Creagh
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Robert Fagenson
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Glenn Worman
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Michael Weiss
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Defendant: Athanassios Michas
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Defendant: Nassos Michas
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Nominal defendant: National Holdings Corporation
Represented By: Andrew Nathan Goldman
Represented By: Michael G. Bongiorno
Represented By: Jonathan D Rosenfeld
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Plaintiff: Kay Johnson
Represented By: Kari Parks
Represented By: Ryan James Whalen
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