Fazio et al v. Gruttadauria et al
Plaintiff: Robert Fazio, Irene Dugger Fazio, Fazio Investment One Limited and All Plaintiffs
Defendant: Frank Gruttadauria, Lehman Brothers, Inc., Lehman Brothers Holdings, Inc., S.G. Cowen Securities, Societe Generale SA, Hambrecht & Quist, Inc. and J.P. Morgan
Counter Defendant: Carl Fazio, Sr. and Fazio Investment Three Limited
Counter Claimant: Cowen & Company
Case Number: 1:2002cv00157
Filed: January 25, 2002
Court: US District Court for the Northern District of Ohio
Presiding Judge: John R Adams
Nature of Suit: Other Fraud
Jury Demanded By: None
RSS RSS Track this Docket
Docket Report

This docket was last retrieved on September 28, 2007. A more recent docket listing may be available from PACER.

Date Filed Document Text
September 28, 2007 Opinion or Order Filing 239 Marginal entry order denying defendant's motion to stay (Related Doc #238 ). Signed by Judge John R. Adams on 9/28/07.(K,C)
September 13, 2006 Judge John R. Adams assigned to case. Judge John M. Manos terminated. (C, BA)
September 13, 2006 Random Assignment of Magistrate Judge Limbert, pursuant to Local Rule 3.1. (C, BA)
September 11, 2006 Filing 238 Motion to stay pending arbitration filed by Frank Gruttadauria. (Attachments: #1 Exhibits)(C, K A)
May 1, 2006 Opinion or Order Order [non-document] granting Motion to withdraw as attorney, attorney Christopher M. Ernst removed from case. (Related Doc #237 )Entered by Judge John M. Manos on 5/1/06.(G, Y.)
April 28, 2006 Filing 237 Motion of Christopher Ernst to withdraw as attorney filed by S.G. Cowen Securities. (Ernst, Christopher) Modified text on 5/8/2006 (C, B).
February 7, 2006 Opinion or Order Filing 236 Order denying Motion to vacate (Related Documents) #214 , #235 ) Signed by Judge John M. Manos on 2/7/06.(D, L) Modified to add link on 2/9/2006 (C, B).
February 7, 2006 Filing 235 Memorandum of Opinion Signed by Judge John M. Manos on 2/7/06. The Plaintiffs' motion for relief from judgment pursuant to Fed. R. Civ. P. 60(b)(2) (Docket No. 214) is DENIED. (D, L) Modified text, typo, on 2/9/2006 (C, B).
February 3, 2006 Filing 234 Notice of Supplemental Authority filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. Related document(s) #214 . (Roberts, Kevin)
December 28, 2005 Filing 233 Address Change Notice by Mark P. O'Neill filed by on behalf of S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
November 15, 2005 Filing 232 Address Change Notice by Marvin L. Karp, Michael N. Ungar, Elin B. Young, Christopher P. Fisher filed by on behalf of Hambrecht & Quist, Inc., J.P. Morgan. (Fisher, Christopher)
October 31, 2005 Filing 231 Supplement to : Supplemental Opposition of Defendant Cowen & Company to Motions of Robert Fazio, Fazio Investment One Limited, and Fazio Investment Three Limited to Vacate the April 25, 2005 Dismissal Entry and the October 20, 2004 Arbitration Award Against Them, Notice of Relief, and Amended Notice of Relief, filed by Cowen & Company. (Weiner, David)
October 25, 2005 Filing 230 Reply to response to Motion to vacate filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. Related document #214 . (S, DJ)
October 25, 2005 Opinion or Order Order (non-document) granting Motion of plaintiffs for leave to file reply brief instanter (Related Doc #228 ). Entered by Judge John M. Manos on 10/25/05.(S, DJ)
October 20, 2005 Filing 229 Appendix to Reply to Opposition Brief of SG Cowen Securities Corporation filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. (Attachments: #1 Exhibit 1#2 Exhibit 2#3 Exhibit 3#4 Exhibit 4#5 Exhibit 5#6 Exhibit 6#7 Exhibit 7#8 Exhibit 8#9 Exhibit 9#10 Exhibit 10#11 Exhibit 11#12 Exhibit 12#13 Exhibit 13#14 Exhibit 14)(Roberts, Kevin)
October 20, 2005 Filing 228 Motion for leave to file Reply Brief to Opposition Brief of SG Cowen Securities Corporation, filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. Related document(s) #223 , #214 . (Attachments: #1 Pleading Reply of Robert Fazio, Fazio Investment One, Ltd., and Fazio Investment Three, Ltd. to Opposition Brief of SG Cowen Securities Corporation)(Roberts, Kevin) Modified text of docket entry on 12/14/2005 (B, B).
October 12, 2005 Filing 227 Amended Notice of Relief sought by motion to vacate dismissal entry and to vacate arbitration award filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. Related document(s) #219 . (Roberts, Kevin) Modified on 11/30/2005 (H, D).
October 10, 2005 Filing 226 Motion to strike Requested Relief filed by Cowen & Company. (Attachments: #1 Memorandum in Support#2 Exhibit A#3 Exhibit B#4 Exhibit C#5 Exhibit D#6 Exhibit E#7 Exhibit F#8 Exhibit G#9 Exhibit H#10 Exhibit I)(Weiner, David)
October 10, 2005 Filing 225 Opposition to Motion to vacate the April 25, 2005 Dismissal Entry and the October 20, 2004 Arbitration Award against them and Notice of Relief filed by Cowen & Company. Related document(s) #214 . (Weiner, David)
September 27, 2005 Filing 224 Exhibit(s) H incorrectly filed with Exhibit G attached to Defendants' Brief in Opposition to Plaintiffs' Motion to Vacate the April 25, 2005 Dismissal Entry and the October 20, 2004 Arbitration award against them filed by S.G. Cowen Securities, Societe Generale SA. Related document(s) #223 . (O'Neill, Mark)
September 26, 2005 Filing 223 Opposition to Motion of Robert Fazio, Fazio Investment One Limited and Fazio Investment Three Limited to vacate the April 25, 2005 dismissal entry and the October 20, 2004 arbitration award against them filed by S.G. Cowen Securities, Societe Generale SA. Related document(s) #214 . (Attachments: #1 Exhibit A#2 Exhibit B#3 Exhibit C #4 Exhibit D#5 Exhibit E#6 Exhibit F#7 Exhibit G)(O'Neill, Mark) Modified text of docket entry pursuant to telephone conversation with attorney on 9/27/2005 (B, B).
September 21, 2005 Opinion or Order Filing 222 Marginal Order granting #218 Notice filed by all Plaintiffs that all their clims against Defendant Lehman Brothers, Inc., are dismissed with prejudice . Signed by Judge John M. Manos on 9/21/05. (S, DJ)
September 21, 2005 Opinion or Order Order (non-document) granting Motion of Plaintiffs for leave to exceed page limitation in their memorandum in support of motion to vacate 4/25/2005 Dismissal Entry (Related Doc #213 ), granting Motion of Defendants SG Cowen and Societe Generale to exceed page limitation and to set briefing schedule (Related Doc #217 ), denying as moot Motion of defendant Cowen & Company for order (see ruling on Doc #221 ) (Related Doc #220 ), and granting Amended Motion of defendant Cowen & Company to exceed page limitation and to set briefing schedule (Related Doc #221 ). Entered by Judge John M. Manos on 9/21/05.(S, DJ)
September 7, 2005 Filing 221 Unopposed Amended Motion to Exceed Page Limitation and to Set Briefing Schedule, filed by Cowen & Company. (Weiner, David) Modified text of docket entry on 9/9/2005 (B, B).
September 6, 2005 Filing 220 Unopposed Motion to Exceed Page Limitation and to Set Briefing Schedule filed by Cowen & Company. (Weiner, David) Modified text on 9/7/2005 (E, P).
September 6, 2005 Filing 219 Notice of Relief Sought by Motion of Plaintiff's to Vacate April 25, 2005 Dismissal Entry, and Vacate October 20, 2004 Arbitration Award filed by all plaintiffs. (O'Shea, Michael)
September 6, 2005 Filing 218 Notice of Dismissal Under FRCP 41(a)(1) of Lehman Brothers, Inc. filed by all plaintiffs. (O'Shea, Michael)
September 2, 2005 Filing 217 Motion for Order to exceed page limitation and to set briefing schedule filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
August 29, 2005 Filing 216 Transcript of Arbitration Hearing held on May 17, 2004 thru September 24, 2004. Complete 1 Compact Disc on file in Clerk's Office. Related Document#215 (E, P) Modified to add text on 9/8/2005 (E, P).
August 27, 2005 Filing 215 Notice of Manual Filing, Transcript filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. (Roberts, Kevin) Modified text on 9/7/2005 (E, P).
August 27, 2005 Filing 214 Motion to vacate filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. (Attachments: #1 Brief in Support #2 Appendix I#3 Appendix II#4 Appendix III)(Roberts, Kevin)
August 27, 2005 Filing 213 Motion for leave to exceed page limitation filed by Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio. (Roberts, Kevin)
July 22, 2005 Filing 212 True copy of order from the USCA for the Sixth Circuit: Granting appellant's motion to voluntarily dismiss the appeal #209 (USCA# 05-3730). Date issued by USCA 7/20/05 (H, S P)
July 14, 2005 Opinion or Order Order (non-document) granting Motion to withdraw as attorney, attorney Ari H. Jaffe and Byron S. Krantz removed from case. (Related Doc #211 ).Entered by Judge John M. Manos on 7/14/05.(G, Y.)
July 6, 2005 Filing 211 Motion to withdraw as attorney for Plaintiffs filed by Irene Dugger Fazio, Fazio Investment One Limited, Fazio Investment Three Limited, Robert Fazio, Carl Fazio, Sr.. (Jaffe, Ari)
June 23, 2005 Filing 210 Acknowledgment from the USCA for Sixth Circuit of receipt of #209 Notice of Appeal of 5/25/05 (USCA# 05-3730). Date filed in USCA 6/16/05. (H, S P)
May 25, 2005 Filing 209 NOTICE OF APPEAL to the 6th Circuit Court of Appeals from the #208 Order of Case Dismissal of 4/25/05, filed by All Plaintiffs. Filing fee of $255.00 received, receipt 670331 (Roberts, Kevin). Modified text on 5/27/2005 (H, S P).
April 25, 2005 Opinion or Order Filing 208 Order of Case Dismissal Signed by Judge John M. Manos on 4/25/05.(D, L)
April 12, 2005 Filing 207 Reply to response to Motion to dismiss with Prejudice filed by Cowen & Company. Related document(s) #202 . (Weiner, David)
April 7, 2005 Opinion or Order Order (non-document)granting Motion by plaintiff to amend by deletion (Related Doc #205 ). Entered by Judge John M. Manos on 4/6/05.(G, Y.)
March 30, 2005 Filing 206 Brief in Opposition to Defendant Cowen & Company's Motion to Dismiss with Prejudice filed by all plaintiffs. Related document(s) #202 . (Roberts, Kevin)
March 30, 2005 Opinion or Order Order (non-document) granting #204 Motion by defendants SG Cowen Securities and Societe General for Extension of Time to 5/6/05 to file a reply brief in support of their motion to dismiss. Entered by Judge John M. Manos on 3/30/05.(G, Y.)
March 29, 2005 Filing 205 Motion for Order to Amend by Deletion filed by all plaintiffs. Related document(s) #203 . (Roberts, Kevin)
March 29, 2005 Filing 204 Motion for extension of time until May 6, 2005 to file Reply Brief in Support of their Motion to Dismiss filed by S.G. Cowen Securities, Societe Generale SA. Related document(s) #203 . (Ernst, Christopher)
March 25, 2005 Filing 203 Brief in Opposition to Defendants S.G. Cowen Securities Corporation's and Societe Generale's Motion to Dismiss with Prejudice filed by all plaintiffs. Related document(s) #198 . (Attachments: #1 Unreported Case#2 Unreported Case#3 Exhibit 1#4 Exhibit 2#5 Exhibit 3#6 Exhibit 4#7 Exhibit 5#8 Exhibit 6#9 Affidavit #10 Affidavit) (Roberts, Kevin)
March 23, 2005 Filing 202 Motion to dismiss with Prejudice filed by Cowen & Company. (Attachments: #1 Exhibit A)(Weiner, David)
March 4, 2005 Opinion or Order Order (non-document)granting #201 Motion by plaintiffs for Extension of Time to respond to defendants SG Cowen Securities and Societe General'smotion to dismiss. Entered by Judge John M. Manos on 3/4/05.(G, Y.)
February 23, 2005 Filing 201 Motion for extension of time until March 25, 2005 to Respond to Defendants S.G. Cowen Securities Corporation's and Societe Generale's Motion to Dismiss with Prejudice filed by all plaintiffs. Related document(s) #198 . (Roberts, Kevin)
February 18, 2005 Filing 200 Attorney Appearance by Kevin T. Roberts filed by on behalf of all plaintiffs, except Irene Dugger Fazio. (Roberts, Kevin) Modified text on 2/22/2005 (C, B).
February 14, 2005 Filing 199 Amended Exhibit 2, Declaration of P. Benjamin Duke, to replace original exhibit 2 filed on February 11, 2005 (first page missing) filed by S.G. Cowen Securities, Societe Generale SA. Related document(s) #198 . (O'Neill, Mark) Modified text on 2/15/2005 (C, B).
February 11, 2005 Filing 198 Motion to dismiss with prejudice filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Exhibit 1#2 Exhibit 2#3 Exhibit 2 (A)#4 Exhibit 2 (B)#5 Exhibit 2 (C)#6 Exhibit 2 (D)#7 Exhibit 2 (E)#8 Exhibit 2 (F)#9 Exhibit 2 (G)#10 Exhibit 2 (H))(O'Neill, Mark)
June 21, 2004 Filing 197 Response/Letter form in opposition to Fazio 's motion to compel appearances of witnesses at arbitration filed by Patricia T. Northrop on behalf of non-party Arthur Stavaridis. Related document(s) #190 . (Attachments: #1 Exhibit A#2 Exhibit B) (E, P) Modified text on 6/22/2004 (E, P).
June 21, 2004 Opinion or Order Filing 196 Memorandum, Opinion and Order re Plaintiffs' Motion To Compel Appearances #190 Signed by Judge John M. Manos on 6/21/04. The Plaintiffs' motion is denied subject to the qualifications contained in the opinion.(D, L)
June 18, 2004 Filing 194 Response : Brief in Opposition of Plaintiffs' Motion to Compel Appearances of Non-party Witnesses Joseph Cohen, Walter Farber and Lawrence Leibowitz at Arbitration filed by Cowen & Company. Related document(s) #190 . (Friedman, Steven)
June 17, 2004 Filing 195 Motion for reconsideration filed by non-party Laurene Kacludis Engish. (Attachments: #1 supboena)(E, P)
June 17, 2004 Filing 193 Amended Brief in Support of Plaintiffs' Motion to Compel Appearances of Witnesses at Arbitration filed by all plaintiffs. Related document(s) #192 , #190 , #191 . (Attachments: #1 Exhibit 1) (Jaffe, Ari)
June 17, 2004 Filing 192 Brief in Support of Plaintiffs' Motion to Compel Appearances of Witnesses at Arbitration filed by all plaintiffs. Related document(s) #190 , #191 . (Jaffe, Ari)
June 15, 2004 Opinion or Order Filing 191 Order Granting In Part Motion for order (Related Doc #190 ) Signed by Judge John M. Manos on 6/15/04. The Plaintiffs' motion to compel is GRANTED as to Lauren English Kacludis. She is hereby ordered to appear before the arbitration panel, at the location set forth in the subpoena, on Monday, June 21, 2004 at 9:00 a.m.The Court reserves ruling as to the other individuals identified in the Plaintiffs' motion pending further briefing. (D, L) Modified text on 6/18/2004 (C, B).
June 10, 2004 Filing 190 Motion to Compel Appearances of Witneses at Arbitration filed by plaintiffs Irene Dugger Fazio, Robert Fazio, Fazio Investment One Limited, Fazio Investment Three Limited, and Carl Fazio, Sr.(Complete Document on file in Clerk's Office) (154 pgs bound). (M, P)
January 29, 2004 Opinion or Order Filing 189 Order signed by Judge John M. Manos on 1/29/04 granting motion for preliminary injunction (related doc #187 ). While the special arbitration is pending, the plaintiffs are hereby enjoined from pursuing claims arising out of Gruttadauria's conduct beginning May 12, 1989, except as to those claims asserted against SG Cowen and Lehman in the special arbitration process.(D, L) (related doc #188 ) Modified 1/30/2004 (C, K A).
January 29, 2004 Filing 188 Memorandum of Opinion Signed by Judge John M. Manos on 1/29/04 granting defendant Cowen & Company's Motion For Preliminary Injunction (related doc #187 ). (D, L) Modified text 1/30/2004 (C, K A).
January 14, 2004 Filing 187 Motion for preliminary injunction filed by Cowen & Company. (Attachments: #1 Memorandum in Support of Motion for Preliminary Injunction#2 Exhibit A#3 Exhibit B#4 Exhibit C#5 Exhibit D#6 Exhibit E#7 Exhibit F#8 Exhibit G#9 Exhibit H#10 Exhibit I#11 Exhibit J#12 Exhibit K#13 Exhibit L#14 Exhibit M)(Friedman, Steven)
January 14, 2004 Filing 186 Counterclaim against all plaintiffs for Declaratory and Injunctive Relief. Filed by Cowen & Company. (Attachments: #1 Exhibit A)(Friedman, Steven) Modified text 1/15/2004 (C, K A).
October 28, 2003 Filing 185 Notice of Service of Response to Plaintiffs' Request for Production of Account Documents filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Jacobs, Mark)
October 28, 2003 Filing 184 Notice of Compliance with Order of October 21, 2003 filed by S.G. Cowen Securities, Societe Generale SA. Related document(s) #171 . (O'Neill, Mark) Modified text 10/29/2003 (C, K A).
October 28, 2003 Filing 183 Notice of Withdrawal of motion to shorten time for discovery filed by Hambrecht & Quist, Inc., J.P. Morgan. (related document #176 ) (Young, Elin) Modified text 10/29/2003 (C, K A).
October 28, 2003 Filing 182 Notice of Service of Discovery Responses on 10/28/03 filed by Hambrecht & Quist, Inc., J.P. Morgan. (Young, Elin) Modified text 10/28/2003 (C, K A).
October 28, 2003 Filing 181 Notice of Service of Responses to Request for Production of Account Documents on 10/28/03 filed by Cowen & Company. (Sherman, Charna) Modified text 10/28/2003 (C, K A).
October 27, 2003 Filing 180 Notice of Withdrawal of Motion to Shorten Time filed by S.G. Cowen Securities, Societe Generale SA. Related document(s) #176 . (O'Neill, Mark) Modified text 10/28/2003 (C, K A).
October 27, 2003 Filing 179 Notice of filing expert report of Professor Thomas Lee Hazen filed by all plaintiffs. (Attachments: #1 Exhibit Expert Report#2 Exhibit Curriculum Vita)(Jaffe, Ari) Modified text 10/28/2003 (C, K A).
October 23, 2003 Filing 178 Motion for order to Shorten the Time for Plaintiffs to Respond to Defendants' Second Request for Production of Documents and First Request for Admission filed by Hambrecht & Quist, Inc., J.P. Morgan. (Attachments: #1 Exhibit Second Request for Production of Documents and First Request for Admission)(Young, Elin)
October 23, 2003 Filing 177 Subpoena Returned Executed; served upon Securities and Exchange Commission thru Veronica L. Gillette by personal service on 10/14/03 filed by all plaintiffs (M, J A)
October 22, 2003 Filing 176 Motion for order to Shorten the Time to 10/29/03 for Plaintiffs to Respond to Defendants' Second Request for Production of Documents and First Request for Admissions filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Exhibit A#2 Exhibit B)(O'Neill, Mark) Modified text 10/23/2003 (C, K A).
October 22, 2003 Filing 175 Notice to take Deposition of Irene Dugger Fazio on November 10, 2003 starting at 10 am filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
October 22, 2003 Filing 174 Notice to take Deposition of Carl Fazio, Sr. on November 7, 2003 starting at 10:00 am filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
October 22, 2003 Filing 173 Notice to take Deposition of Robert Fazio on November 6, 2003 starting at 10:00 am filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
October 22, 2003 Filing 172 Revised hearing order scheduling evidentiary hearing for 11/17/2003 at 10:00 AM at Courtroom 16B. (G, Y.) Modified text 10/23/2003 (C, K A).
October 21, 2003 Opinion or Order Filing 171 Order approving plaintiff's motion to require expedited responses to discovery. (related motion #163 ) Signed by Judge John M. Manos on 10/21/03. (G, Y.) Modified text 10/22/2003 (C, K A).
October 20, 2003 Filing 170 Notice of Service of Response to Plaintiffs' Motion to Require Expedited Responses to Discovery and Production of Account Documents filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark) Modified on 10/22/2003: Filed in Error-filed in wrong case. (M, J A).
October 20, 2003 Filing 169 Hearing Brief filed by all plaintiffs. Related document(s) #168 . (Jaffe, Ari) Modified text 10/21/2003 (C, K A).
October 14, 2003 Filing 168 Notice of Hearing with hearing to be held on 10/31/2003 at 10:00 AM at Courtroom 16B before the Honorable John M. Manos. (S, B)
October 10, 2003 Filing 167 Response (Related Motion(s) #163 ) to Plaintiffs' Motion to Require Expedited Responses to Discovery and Production of Account Documents filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark) Modified text 10/14/2003 (C, K A).
October 9, 2003 Filing 166 Exhibit(s) Exhibit B: Request for Production of Account Documents filed by Carl Fazio, Sr.. Related document(s) #163 . (Jaffe, Ari)
October 9, 2003 Filing 165 Exhibit(s) CORRECTED: Correct Exhibit A filed by Carl Fazio, Sr.. Related document(s) #163 . (Jaffe, Ari)
October 9, 2003 Filing 164 Motion for conference/hearing filed by Carl Fazio, Sr. (Jaffe, Ari) Modified text 10/10/2003 (C, K A).
October 9, 2003 Filing 163 Motion for order to Require Expedited Respones to Discovery filed by Carl Fazio, Sr. (Attachments: #1 Exhibit A)(Jaffe, Ari) Modified text 10/10/2003 (C, K A). Modified terming motion on 10/22/2003 (C, K A).
September 12, 2003 Opinion or Order Filing 162 Order granting Motion for protective order (Related Doc #160 ). Discovery is stayed except for discovery relating to claims of fraud in the inducement of the arbitration clauses themselves apart from the whole agreements, including allegations of forgery and lack of signatory power. Signed by Judge John M. Manos on 9/12/03.(D, L) Modified text 9/15/2003 (C, K A).
September 9, 2003 Filing 160 Motion for protective order limiting discovery filed by Cowen & Company, Hambrecht & Quist, Inc., J.P. Morgan, Lehman Brothers Holdings, Inc., Lehman Brothers, Inc., S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Exhibit A#2 Exhibit B#3 Exhibit C)(O'Neill, Mark) Modified docket text on 9/10/2003 (M, J A).
September 8, 2003 Filing 161 True copy of mandate from the USCA for the Sixth Circuit: Reversing and remanding the judgment of the District Court (Notice of Appeals #84 , #86 , #87 and #136 ) (USCA# 02-3820, 02-3821, 02-3822 and 03-3041). Date issued as mandate 9/5/03, No costs taxed (Related document #155 Information Copy of opinion). (H, S P)
September 2, 2003 Filing 159 Response to Plaintiffs' Motion to Clarify Status of Discovery Previously Scheduled by the Parties and Motion to Request a Hearing on Status of Discovery filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Bartolozzi, James)
September 2, 2003 Filing 158 Response memorandum to Plaintiffs' Motion to Clarify Status of Discovery and Plaintiffs' Motion to Request A Hearing on Status of Discovery filed by Cowen & Company. (Attachments: #1) (Weiner, David) Modified text 9/3/2003 (C, K A).
August 29, 2003 Filing 157 Response to Plaintiffs'Motion to Request a Hearing on the Status of Discovery filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
August 26, 2003 Filing 156 Response to Plaintiffs' Motion to Request a Hearing on the Status of Discovery filed by Hambrecht & Quist, Inc., J.P. Morgan. (Fisher, Christopher)
August 18, 2003 Filing 155 Information copy of opinion from the USCA for the Sixth Circuit: Reversing the judgment of the District Court, and this cause is remanded for a determination of whether the arbitration clauses, analyzed independently from the account agreements, are valid [Appeals #84 , #86 , #87 and #136 ] (USCA# 02-3820, 02-3821, 02-3822 and 03-3041). This is not a mandate order. Circuit Judges: Norris, Daughtrey and Rogers. Date issued 8/13/03 (Attachments: #1 Judgment) (H, S P). Modified text on 8/19/2003 (H, S P).
July 7, 2003 Filing 154 Notice of Substitution of Counsel, Defendant Cowen & Company requests that Harris A. Senturia of Squire, Sanders & Dempsey L.L.P. be added as counsel in substitution for Gary L. Walters. filed by Cowen & Company. (Weiner, David)
June 20, 2003 Filing 153 Notice of Service on 6/20/03 of Objections and Responses to Plaintiffs' 30(b)(6) Notice of Videotaped Deposition filed by Cowen & Company. (Sherman, Charna) Modified text 6/23/2003 (C, K A).
May 23, 2003 Filing 152 Subpoena Returned Executed; served upon National City Corporation by personal service thru Judy Nelson, Legal Department on 5/21/03 filed by S.G. Cowen Securities. (M, J A)
May 22, 2003 Filing 151 Reply (Related Motion(s) #149 , #140 ) in Support of Motion to Compel and opposition to Cross-Motion for Attorney's Fees and Costs filed by Cowen & Company. (Attachments: #1 Exhibit J#2 Exhibit K#3 Exhibit L)(Weiner, David) Modified text 5/23/2003 (C, K A).
May 16, 2003 Filing 150 Motion for appearance pro hac vice of Michael C. Boteler, Jeremy D. Kernodle, Preethi Krishnamurthy, Daniel L. Stein and D. Grayson Yeargin filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Affidavit Michael C. Boteler#2 Affidavit Jeremy D. Kernodle#3 Affidavit Preeth Krishnamurthy#4 Affidavit Daniel L. Stein#5 Affidavit D. Grayson Yeargin)(O'Neill, Mark)
May 8, 2003 Filing 149 Motion for attorney fees filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark) Modified text 5/9/2003 (C, K A).
May 8, 2003 Filing 148 Opposition (Related Motion(s) #140 ) to Motion to Compel Production of Certain Account Analyses and in Support of its Cross-Motion for Attorney's Fees and Costs filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Affidavit Mark Kaplan)(O'Neill, Mark) Modified text 5/9/2003 (C, K A).
May 2, 2003 Filing 147 Notice to take Deposition of Hambrecht & Quist on Friday, May 16, 2003 filed by all plaintiffs. (Jaffe, Ari)
May 2, 2003 Filing 146 Notice to take Deposition of Cowen & Co. on Friday, May 23, 2003 filed by all plaintiffs. (Jaffe, Ari)
May 2, 2003 Filing 145 Notice to take Deposition of Cowen Incorporated and Cowen & Co. on 5/23/03 filed by all plaintiffs. (Jaffe, Ari) Modified text 5/5/2003 (C, K A).
May 1, 2003 Filing 144 Notice of Substitution of Counsel removing attorney Mark E. Staib and adding Charna E. Sherman and Gary L. Walters filed on behalf of Cowen & Company. (Walters, Gary) Modified text 5/2/2003 (C, K A).
April 29, 2003 Filing 143 Notice to take Deposition of Carl Fazio, Sr. on May 5 and 6, 2003 at 10:00 A.M. filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
April 29, 2003 Filing 142 Notice to take Deposition of Irene Dugger Fazio on May 9, 2003 at 10:00 AM on filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
April 29, 2003 Filing 141 Notice to take Deposition of Robert Fazio on May 7 and 8, 2003 at 10:00 A.M. on filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
April 24, 2003 Filing 140 Motion to compel discovery Production of Defendant S.G. Cowen Securities Corporation's Reconstruction and Analysis of the Account Records of Frank Gruttadauria's Customers filed by Cowen & Company. (Attachments: #1 Brief in Support #2 Exhibit A#3 Exhibit B#4 Exhibit C#5 Exhibit C#6 Exhibit E#7 Exhibit F#8 Exhibit G#9 Exhibit H#10 Exhibit I)(Weiner, David) Modified text 4/25/2003 (C, K A).
February 11, 2003 Filing 139 Notice to take Deposition of James Martorelli on February 27, 2003 filed by all plaintiffs. (Attachments: #1 Schedule A)(Jaffe, Ari)
February 7, 2003 Filing 138 Appeal Transcript Order Form requesting , transcript is unnecessary for appeal filed by Cowen & Company. (Related document(s) #136 ) (H, S P)
January 14, 2003 Filing 137 Acknowledgment from the USCA for Sixth Circuit of receipt of Notice of Appeal filed by Cowen & Company on 12/26/02 [USCA# 03-3041]. Date filed 1/10/03 (Related documents(s) #136 ) (H, S P)
December 26, 2002 Filing 136 Notice of Appeal to the 6th Circuit Court of Appeals from the order of 12/2/02 filed by Cowen & Company. Filing fee of $105.00 received, receipt# 639105 (Attachments: #1)(Staib, Mark) Modified on 12/28/2002 (H, S P).
December 23, 2002 Filing 135 Answer Responses and Objections to Plaintiffs' First Request for Production of Documents and First Set of Interrogatories filed by Cowen & Company. (Staib, Mark)
December 17, 2002 Opinion or Order Order (non-document)signed on 12/17/2002 Motion for order by S.G. Cowen Securities to modify the Order of April 5, 2002 is Moot.(Related Doc #49 )Judge John Manos (G, Y.)
December 17, 2002 Opinion or Order Order (non-document)signed on 12/17/2002 Motion for order by Hambrecht & Quist for an order establishing answer dates is Moot.(Related Doc #55 ) Judge John Manos (G, Y.)
December 17, 2002 Opinion or Order Order (non-document)signed on 12/17/2002 Motion to withdraw document by Hambrecht & Quist, et al, its motion to stay pending arbitration is Moot. (Related Doc #62 ) Judge John Manos (G, Y.)
December 17, 2002 Opinion or Order Order (non-document)signed on 12/17/2002 Motion to withdraw document by Lehman Brothers Holdings, et al to withdraw motion to dismiss Federal Securities Claims is Moot.(Related Doc #60 ) Judge John Manos (G, Y.)
December 9, 2002 Filing 134 Notice of Service of Defendants' Responses and Objections to Plaintiffs' Second Request for Production of Documents filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)(FILED IN WRONG CASE) Modified added text on 12/9/2002 (E, P).
December 4, 2002 Opinion or Order Order (non-document) on 12/4/2002 Denying as moot Motion for extension of time (Related Doc #131 )Judge John M. Manos (K, V)
December 2, 2002 Filing 133 Memorandum of Opinion Denying In Part Motion to dismiss (Related Doc #104 ). The motion to dismiss is denied as it relates to the alleged improper service. The motion to dismiss or stay pending arbitration is denied for the reasons stated in the Court's previous opinions. The motion to stay pending resolution of other arguments for dismissal is denied for the reasons stated in the Court's previous opinions. Cowen shall have twenty (20) days to respond to all outstanding discovery requests. The Court reserves ruling on the other issues raised in Cowen's motion. Judge John M. Manos. (D, L) Modified text 12/3/2002 (C, K A).
November 19, 2002 Filing 132 Opposition (Related Motion(s) #131 ) to Defendant Cowen & Company's Second Motion for Extension of Time to Respond to Discovery Requests filed by all plaintiffs. (Jaffe, Ari)
November 18, 2002 Filing 131 Motion for extension of time to Respond to Discovery Request filed by Cowen & Company. (Staib, Mark)
November 13, 2002 Opinion or Order Filing 130 Order denying Plaintiffs' Motion To Supplement the Record On Appeal. Judge John M. Manos (Related document(s) #125 ). (D, L) Modified text 11/14/2002 (C, K A).
November 8, 2002 Filing 129 Response to Opposition of Defendants Lehman Brothers, Inc and Lehman Brothers Holdings, Inc.'s Response in Opposition to Plaintiff's Motion to Supplement the Record filed by all plaintiffs. (Related document(s) #125 ) (Jaffe, Ari) Modified text 11/12/2002 (C, K A).
November 7, 2002 Filing 128 Response in Opposition to Plaintiffs' Motion to Supplement the Record on Appeal filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. (Related Document #125 )(Bartolozzi, James) Modified text 11/8/2002 (C, K A).
November 6, 2002 Filing 127 Response to Opposition of Defendants SG Cowen to Plaintiff's Motion to Supplement the Record on Appeal filed by all plaintiffs. (Related document(s) #126 , #125 ) (Jaffe, Ari)
November 6, 2002 Filing 126 Brief in Opposition to Plaintiff's Motion to Supplement the Record on Appeal filed by S.G. Cowen Securities, Societe Generale SA. (Related document(s) #125 ) (O'Neill, Mark)
October 31, 2002 Filing 125 Notice of Manual Filing of Plaintiffs' Motion to Supplement The Record on Appeal filed by all plaintiffs. (Malynn, Steven)
October 25, 2002 Opinion or Order Order (non-document)signed on 10/25/2002 Granting Motion for extension of time to respond to discovery requests.(Related Doc #122 ) Judge John Manos (G, Y.)
October 18, 2002 Filing 124 Opposition (Related Motion(s) #122 ) to Defendant Cowen & Company's Motion for Extension of Time to Respond to Discovery Requests filed by all plaintiffs. (Jaffe, Ari)
October 18, 2002 Filing 123 Response to first request for production of documents filed by all plaintiffs. (Jaffe, Ari) Modified text 10/21/2002 (C, K A).
October 17, 2002 Filing 122 Motion for extension of time to respond to discovery requests filed by Cowen & Company. (Staib, Mark)
October 14, 2002 Filing 121 Response (Related Motion(s) #104 ) to Reply Brief in Support of Defendant Cowen & Company's Motion to Dismiss or Stay filed by all plaintiffs. (Jaffe, Ari)
October 11, 2002 Filing 120 Reply (Related Motion(s) #104 ) Brief in Support of Defendant Cowen & Copany's Motion to Dismiss or Stay filed by Cowen & Company. (Attachments: #1)(Staib, Mark)
October 8, 2002 Filing 119 UNSIGNED responses to Lehman Brothers Inc.'s and Lehman Brothers Holdings, Inc.'s First Request for Documents and Interrogatories filed by all plaintiffs. (Jaffe, Ari) Modified text 10/9/2002 (C, K A).
October 8, 2002 Filing 118 Supplemental Responses and Objections to Plaintiffs' First Set of Interrogatories filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Verification of Abby Meiselman)(O'Neill, Mark) Modified text 10/9/2002 (C, K A).
October 2, 2002 Opinion or Order Filing 117 Stipulated Protective Order entered 10/02/02 and approved by Judge John Manos. (G, Y.)
October 1, 2002 Opinion or Order Order (non-document)signed on 10/1/2002 Granting Motion to appear pro hac vice, attorney Philip A. Irwin for S.G. Cowen Securities and Societe Generale SA. (Related Doc #112 ) Judge John Manos (G, Y.)
October 1, 2002 Opinion or Order Order (non-document)signed on 10/1/2002 Granting Motion for leave by Cowen & Company to file instanter a supplemental brief in support of their motion to dismiss or stay.(Related Doc #110 )Judge John Manos (G, Y.)
September 27, 2002 Filing 116 Opposition (Related Motion(s) #104 ) To Defendant Cowen & Company's Motion To Dismiss Or Stay filed by all plaintiffs. (Attachments: #1 Exhibit A#2 Exhibit B#3 Exhibit C#4 Exhibit D#5 Exhibit E#6 Exhibit F#7 Exhibit G#8 Exhibit H)(Jaffe, Ari) Modified text 10/1/2002 (C, K A).
September 27, 2002 Filing 115 Exhibit A filed by all plaintiffs. (Related document(s) #114 ) (Jaffe, Ari) Modified text 9/30/2002 (C, K A).
September 27, 2002 Filing 114 Opposition (Related Motion(s) #104 ) To Defendant Cowen & Company's Motion To Dismiss Or Stay filed by all plaintiffs. (Jaffe, Ari)
September 25, 2002 Filing 113 Marginal Order signed on 9/25/2002 Granting Motion for extension of time for responding to discovery requests. Judge John M. Manos (Related Doc #103 ) Discovery now due by 10/17/2002, (K, V)
September 24, 2002 Filing 112 Motion for appearance pro hac vice of Philip A. Irwin for Defendants filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Affidavit of Philip A. Irwin)(O'Neill, Mark)
September 24, 2002 Filing 111 Supplemental Memorandum In Support (Related Motion(s) #110 ) filed by Cowen & Company. (Staib, Mark)
September 24, 2002 Filing 110 Motion for leave to File Instanter a Supplemental Brief in Support of Defendant Cowen & Company's Motion to Dismiss or Stay filed by Cowen & Company. (Related document(s) #104 ) (Staib, Mark)
September 23, 2002 Filing 109 Notice of Service of Defendants' First Set of Interrogatories to Plaintiffs filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
September 20, 2002 Filing 108 Notice of Service of Defendants' First Request for Production of Documents to Plaintiffs filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
September 18, 2002 Opinion or Order Filing 107 Order from the USCA for the Sixth Circuit: The motions to stay proceedings in the District Court pending appeal are DENIED without prejudice to the right of the defendants to renew their stay motions should the proceedings in the District Court proceed beyond discovery [USCA# 02-3820, 02-3821 & 02-3822]. Circuit Judges: Boggs, Norris and Cole (Related documents(s) #84 , #86 , #87 ) (H, S P)
September 18, 2002 Opinion or Order Filing 106 Order. All discovery shall be subject to a stipulated protective order which shall be submitted to the Court within ten (10) days. The protective order shall provide for the sharing of discovery materials only among the parties in these pending cases. The parties shall provide written responses to all outstanding interrogatories and requests for production within twenty (20) days. To the extent not already produced, documents responsive to all outstanding requests for production, the production of which are not subject to objection, shall be produced within twenty (20) days. The Court reserves ruling on the parties' specific objections to outstanding interrogatories and requests for production. John M. Manos. (D, L)
September 17, 2002 Filing 105 Memorandum In Support (Related Motion(s) #104 ) filed by Cowen & Company. (Attachments: #1 #2 #3 #4)(Staib, Mark)
September 17, 2002 Filing 104 Motion to dismiss or stay filed by Cowen & Company. (Staib, Mark)
September 17, 2002 Filing 103 Motion for extension of time to respond to plaintiff's discovery requests filed by Cowen & Company. (Attachments: #1)(Staib, Mark)
September 16, 2002 Filing 102 Supplemental Response and objections to plaintiff's first request for prodcutions filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
September 13, 2002 Opinion or Order Filing 101 Order signed on 9/13/2002 Granting Motion to appear pro hac vice, attorney Laurence A. Silverman and P. Benjamin Duke for S.G. Cowen Securities and Societe Generale SA. (Related Doc #37 ) Judge John Manos (G, Y.)
September 3, 2002 Filing 100 Response to motion for protective order filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Proposed Protective Order)(O'Neill, Mark) Modified text 9/4/2002 (C, K A).
August 15, 2002 Filing 99 Notice of Service of Discovery Responses on 8/13/02 filed by Hambrecht & Quist, Inc., J.P. Morgan. (Young, Elin) Modified text on 8/16/2002 (M, J A).
August 14, 2002 Filing 98 Opposition (Related Motion(s) #91 ) to Plaintiffs' Motion to Compel Answers to Plaintiffs Interrogatories and Document Requests filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Exhibit A#2 Exhibit B)(O'Neill, Mark)
August 9, 2002 Opinion or Order Order signed on 8/9/2002 granting Motion for extension of time by Hambrecht & Quist and Morgan Chase to respond to discovery requests. Judge John Manos (Related Doc #96 ) (G, Y.)
August 7, 2002 Filing 97 Transcript Order Form received. Transcript is unnecessary for appeal purposes. filed by Hambrecht & Quist, Inc., J.P. Morgan. (Related document(s) #87 ) (H, S P)
August 5, 2002 Filing 95 Transcript Order Form received. Transcript is unnecessary for appeal purposes. filed by S.G. Cowen Securities, Societe Generale SA. (Related document(s) #84 ) (H, S P)
August 2, 2002 Filing 96 Motion for extension of time until 8/13/02 to respond to plaintiffs' discovery requests filed by Hambrecht & Quist, Inc., J.P. Morgan. (S, R) Modified text 8/8/2002 (C, K A).
August 1, 2002 Filing 94 Acknowledgment from the USCA for Sixth Circuit of receipt of Notice of Appeal by J.P. Morgan Chase & Co & Hambrecht & Quist, Inc. [USCA# 02-3820] (Related documents(s) #87 ) (H, S P)
August 1, 2002 Filing 93 Acknowledgment from the USCA for Sixth Circuit of receipt of Notice of Appeal by Lehman Brothers, Inc. & Lehman Brothers Holdings, Inc. [USCA# 02-3821] (Related documents(s) #86 ) (H, S P)
August 1, 2002 Filing 92 Acknowledgment from the USCA for Sixth Circuit of receipt of Notice of Appeal by SG Cowen Securities & Societe Generald SA [USCA# 02-3822] (Related documents(s) #84 ) (H, S P)
July 31, 2002 Filing 91 Motion to compel discovery filed by all plaintiffs. (Attachments: #1 Brief in Support)(Jaffe, Ari)
July 31, 2002 Opinion or Order Filing 90 Order signed on 7/31/2002 Denying Motions to Stay Pending Appeal (Related Doc #85 #88 #89 ) The balance of the appropriate factors mandates that these proceedings continue pending appeal of this Court's decision denying the motions to compel arbitration. Accordingly, the Defendants' motions to stay pending appeal are DENIED. John M. Manos. (D, L)
July 23, 2002 Filing 89 Motion to stay Pending Appeal filed by Hambrecht & Quist, Inc., J.P. Morgan. (Attachments: #1 Brief in Support #2 Exhibit)(Related document(s) #87 ) (Young, Elin)
July 23, 2002 Filing 88 Motion to stay Proceedings Pending Appeal filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Related document(s) #86 ) (Bartolozzi, James)
July 23, 2002 Filing 87 Notice of Appeal to the 6th Circuit Court of Appeals from the memorandum of opinion and order of 7/19/02 Denying Defendants' Motions to Stay and Compel Arbitration, filed by Hambrecht & Quist, Inc. and J.P. Morgan [Filing fee paid; receipt #635644]. (Young, Elin) Modified on 7/23/2002 (H, S P).
July 23, 2002 Filing 86 Notice of Appeal to the 6th Circuit Court of Appeals from the memorandum of opinion and order of 7/19/02 filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. Filing fee paid; receipt number #635635. (Related document(s) #83 ) (Bartolozzi, James) Modified on 7/23/2002 (H, S P).
July 22, 2002 Filing 85 Motion to stay pending Resolution of Their Appeals filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark) Modified text on 7/23/2002 (M, J A).
July 22, 2002 Filing 84 Notice of Appeal to the 6th Circuit Court of Appeals from the 7/19/02 Order denying defendant's Motion to stay pending arbitration or to dimsiss filed by S.G. Cowen Securities, Societe Generale SA [APPEAL FEE of $105.00 paid; receipt #635603](Related Doc #82 , #83 ) (O'Neill, Mark) Modified text on 7/23/2002 (M, J A). Modified on 7/23/2002 (H, S P).
July 19, 2002 Opinion or Order Filing 83 Order signed on 7/19/2002 Denying Motions to stay and Compel Arbitration (Related Doc #38 , #48 ), #54 ) Pursuant to the Memorandum of Opinion issued in the above-captioned cases this date, the Plaintiffs' claims are not subject to the arbitration provisions contained in the account agreements at issue. Accordingly, the Defendants' motions to compel arbitration and stay proceedings are DENIED. (Related documents(s) #82 ) John M. Manos. (D, L)
July 19, 2002 Filing 82 Memorandum of Opinion. The Plaintiffs' claims are not subject to the arbitration provisions contained in the account agreements at issue. Accordingly, the Defendants' motions to compel arbitration and stay proceedings are DENIED.(Related document(s) #54 , #48 , #38 ) John M. Manos.(D, L)
July 9, 2002 Filing 81 Sur-Reply (Related Motion(s) #54 , #48 , #38 ) Brief in Support of Consolidated Brief in Opposition to Defendants S.G. Cowen Securities Corporation and Societe Generale's Motion to Stay Pending Arbitration or to Dismiss; Defendants Lehman Brothers Inc. and Lehman Brothers Holdings, Inc.'s Joinder; and Defendants Hambrecht & Quist, Inc. and J.P. Morgan Chase & Co.'s Motion to Stay Pending Arbitration filed by all plaintiffs. (Jaffe, Ari for Byron S. Krantz) Modified text on 7/10/2002 (M, J A).
July 8, 2002 Opinion or Order Order (non-document) Granting Motion for a one week extension of time by Lehman Brothers and Lehman Brothers Holdings to respond to written discovery.(Related Doc #71 ) Judge John Manos (G, Y.) Modified text on 7/10/2002 (M, J A).
July 8, 2002 Opinion or Order Order (non-document) Granting Motion for leave by plaintiffs to file surreply brief.(Related Doc #73 )Judge John Manos (G, Y.) Modified text on 7/10/2002 (M, J A).
July 8, 2002 Filing 80 Notice of Service of Responses to Discovery filed by Lehman Brothers, Inc.. (Bartman, Douglas)
July 8, 2002 Filing 79 Notice of Service of Defendants' Responses and Objections to Plaintiffs' First Set of Request for Admission filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
July 8, 2002 Filing 78 Notice of Service of Defendants' Responses and Objections to Plaintiffs' First Set of Interrogatories filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Verification of Abby Meiselman)(O'Neill, Mark)
July 8, 2002 Filing 77 Notice of Service of Responses and objections to Plaintiffs' First Request for Production of Documents filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
July 5, 2002 Filing 76 Notice of Electronic Filing of Discovery Requests to Defendants Cowen & Co. (n.k.a Financial Square Partners), Hambrecht & Quist, Inc. and J.P. Morgan Chase & Co. filed by all plaintiffs. (Attachments: #1 #2)(Jaffe, Ari)
July 3, 2002 Filing 75 Notice /Correction to Reply Brief in Support of Motion for One-Week Extension of Time to Respond to Discovery Requests filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Related document(s) #74 , #71 ) (Bartolozzi, James) Modified text on 7/8/2002 (M, J A).
July 2, 2002 Filing 74 Reply (Related Motion(s) #71 ) in Support of One-Week Extension of Time to Respond to Discovery Requests filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Attachments: #1 6/26/02 Letter)(Bartolozzi, James)
July 2, 2002 Filing 73 Motion for leave to file surreply brief instanter filed by all plaintiffs. (Related document(s) #54 , #48 , #38 ) (Jaffe, Ari) Modified text 7/3/2002 (C, K A). Additional attachment(s) added on 7/3/2002 (C, K A).
July 1, 2002 Filing 72 Brief in opposition to motion for one week extension of time to respond to discovery filed by all plaintiffs. (Related document(s) #71 ) (Jaffe, Ari) Modified text 7/2/2002 (C, K A).
July 1, 2002 Filing 71 Motion for extension of time (One Week) to Respond to Written Discovery Served by Plaintiffs filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Bartolozzi, James)
July 1, 2002 Filing 70 Notice of Stipulation that Defendants have until July 8, 2002 to respond to Plaintiffs' discovery requests filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
June 21, 2002 Filing 69 Reply (Related Motion(s) #48 ) in Support of Motion to Stay Pending Arbitration or to Dismiss filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Attachments: #1 Exhibit A - Affidavit of Robert Carr#2 Affidavit of Mark R. Jacobs)(Jacobs, Mark)
June 20, 2002 Opinion or Order Filing 68 Order signed on 6/20/2002 Granting Motion for extension of time by defendants Lehman Brothers and Lehman Brothers Holdings to file reply brief.(Related Doc #67 ) Judge John Manos (G, Y.)
June 17, 2002 Filing 67 Motion for extension of time until 6/21/02 to file reply brief in support of motion to stay pending arbitration or to dismiss filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. (Bartman, Douglas) Modified text 6/18/2002 (C, K A).
June 14, 2002 Summons issued for service of second amended complaint upon Cowen & Company on 6/14/2002 by certified mail (Related documents(s) #63 ). (C, K A)
June 14, 2002 Filing 66 Reply (Related Motion(s) #54 ) Brief in Support of Defendants Hambrecht & Quist, Inc.'s and J.P. Morgan Chase & Co.'s Motion to Stay Pending Arbitration filed by Hambrecht & Quist, Inc., J.P. Morgan. (Attachments: #1 Exhibit Exhibit A#2 Exhibit Exhibit B)(Young, Elin)
June 14, 2002 Filing 65 Reply (Related Motion(s) #38 ) of Defendants in Support of Motion to Stay Pending Arbitration or to Dismiss filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark)
June 14, 2002 Opinion or Order Order (non-document)signed on 6/14/2002 Granting Motion for extension of time by defendants Lehman Brothers and Lehman Brothers Holding to file reply brief.(Related Doc #64 ) Judge John Manos (G, Y.) Modified text 6/18/2002 (C, K A).
June 13, 2002 Filing 64 Unopposed Motion for extension of time until 6/18/02 to file reply brief filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. (Related document(s) #48 ) (Bartman, Douglas) Modified text 6/17/2002 (C, K A).
June 13, 2002 Filing 63 Notice of Manual Filing of Praecipe for service of second amended complaint upon Cowen & Company filed by all plaintiffs. (Attachments: #1praecipe #2 discovery #3 second amended complaint)(Jaffe, Ari) Modified text 6/13/2002 (C, K A).
June 12, 2002 Opinion or Order Order (non-document)signed on 6/12/2002 Granting Motion for extension of time by defendants Hambrecht & Quist and J.P. Morgan Chase & Co. until 6/14/02 to file reply brief. (Related Doc #59 ) Judge John Manos (G, Y.)
June 11, 2002 Filing 62 Motion to withdraw document Part of Defendants Hambrecht & Quist, Inc.'s and J.P. Morgan Chase & Co.'s Motion to Stay Pending Arbitration filed by Hambrecht & Quist, Inc., J.P. Morgan. (Related document(s) #54 ) (Young, Elin)
June 7, 2002 Filing 61 Brief in suppport of motion to withdraw motion to dismiss federal securities claims filed by all plaintiffs. (Attachments: #1 Exhibit U.S. Supreme Court case)(Related document(s) #60 ) (Jaffe, Ari) Modified text 6/10/2002 (C, K A).
June 6, 2002 Filing 60 Motion to withdraw document Motion to Dismiss Federal Securities Claims filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. (Related document(s) #48 ) (Bartolozzi, James) Modified text 6/7/2002 (C, K A).
June 4, 2002 Filing 59 Motion for extension of time until 6/14/02 to reply to memorandum in opposition to motion to stay pending arbitration and for ten page extension of page limitation filed by Hambrecht & Quist, Inc., J.P. Morgan. (Attachments: #1 Proposed Order)(Young, Elin) Modified text 6/5/2002 (C, K A).
May 31, 2002 Filing 58 Exhibits to consolidated brief in opposition (complete four inch bound document on file in Clerk's Office) filed by all plaintiffs. (Related document(s) #56 , #57 ) (C, K A)
May 31, 2002 Filing 57 Brief (related documents #48 #54 )in Opposition to 1) Defendants S.G. Cowen Securities Corporation and Societe Generale's Motion to Stay Pending Arbitration or to Dismiss; 2) Defendants Lehman Brothers Inc. and Lehman Brothers Holdings, Inc. Joinder; and 3) Defendants Hambrecht & Quist, Inc. and J.P. Morgan Chase & Co.'s Motion to Stay Pending Arbitration filed by all plaintiffs. (Jaffe, Ari) Modified text 6/3/2002 (C, K A).
May 31, 2002 Filing 56 Unsigned Notice of Manual Filing of exhibits to consolidated brief in opposition filed by all plaintiffs. (Jaffe, Ari) Modified text 6/3/2002 (C, K A).
May 29, 2002 Filing 55 Motion for order Establishing Answer Dates filed by Hambrecht & Quist, Inc., J.P. Morgan. (Attachments: #1 Proposed Order Granting Motion)(Fisher, Christopher)
May 29, 2002 Filing 54 Motion to stay Pending Arbitration filed by Hambrecht & Quist, Inc., J.P. Morgan. (Attachments: #1 Brief in Support #2 Exhibit Exhibit A - Margin Agreement#3 Exhibit Exhibit B - Option Agreement#4 Exhibit Exhibit C - Proposed Order)(Young, Elin)
May 29, 2002 Filing 53 Supplement to the Motion to Stay Pending Arbitration or to Dismiss filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Related document(s) #48 ) (Bartolozzi, James)
May 28, 2002 Opinion or Order Filing 52 Order signed on 5/28/2002 Setting Answer Date (Related Doc #49 ). Pursuant to Fed. R. Civ. P. 12(a)(4), the Defendants shall file their Answers within ten (10) days after the ruling on the motions to dismiss. This Order shall apply to all Defendants who have filed motions to dismiss. Discovery shall proceed pursuant to the Court's Order of May 16, 2002 granting the Plaintiffs' motion to lift the stay of discovery. John M. Manos.(D, L)
May 24, 2002 Filing 51 Supplement to the Motion of Defendants to Stay Pending Arbitration or to Dismiss filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Declaration of Philip A. Irwin#2 Exhibit A#3 Exhibit B#4 Exhibit C#5 Exhibit D#6 Exhibit E#7 Exhibit F#8 Exhibit G#9 Exhibit H#10 Exhibit I#11 Exhibit J#12 Exhibit K#13 Exhibit L)(O'Neill, Mark)
May 23, 2002 Filing 50 Attorney Appearance Notice of Appearance by Christopher P. Fisher filed by on behalf of Hambrecht & Quist, Inc., J.P. Morgan. (Fisher, Christopher)
May 22, 2002 Filing 49 Motion for order modifying the Order of April 5, 2002 (related document #28 ) and establishing answer dates pursuant to Fed.R.Civ.P.12(a)(4) filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark) Modified text 5/23/2002 (C, K A).
May 20, 2002 Filing 48 Motion to dismiss Pursuant to Fed. R. Civ. P. 12(b)(6)(Joinder), Motion to stay Pending Arbitration (Joinder) filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Attachments: #1 Affidavit of James J. Bartolozzi)(Related document(s) #38 ) (Bartolozzi, James)
May 16, 2002 Opinion or Order Filing 47 Order signed on 5/16/2002 Granting Motion to lift stay (Related Doc #42 ), Granting in part, Denying in part Motion for order (Related Doc #43 ). Pursuant to the Memorandum of Opinion issued in the above-captioned cases this date, the Plaintiffs' Consolidated Motion To Lift the Stay of Discovery is GRANTED. Accordingly, formal discovery shall commence on May 30, 2002 as scheduled at the status conference held April 5, 2002. The Plaintiffs shall respond to the motions to dismiss by May 31, 2002. SG Cowen shall file its reply briefs by June 14, 2002 and may exceed the page limit by ten pages. John M. Manos. (D, L)
May 16, 2002 Filing 46 Memorandum of Opinion. The Plaintiffs' Consolidated Motion To Lift the Stay of Discovery is GRANTED. Accordingly, formal discovery shall commence on May 30, 2002 as scheduled at the status conference held April 5, 2002. The Plaintiffs shall respond to the motions to dismiss by May 31, 2002. SG Cowen shall file its reply briefs by June 14, 2002 and may exceed the page limit by ten pages.(Related document(s) #42 , #43 ) John M. Manos.(D, L)
May 14, 2002 Filing 45 Reply (Related Motion(s) #42 ) in Support of their Motion to Lift the Stay of Discovery filed by all plaintiffs. (Jaffe, Ari)
May 10, 2002 Filing 44 Response (Related Motion(s) #42 ) of Defendants to Plaintiffs' Consolidated Motion to Lift Stay of Discovery filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Affidavit of Philip A. Irwin)(O'Neill, Mark)
May 9, 2002 Filing 43 Motion for order to adjust schedule and to exceed page limitation filed by S.G. Cowen Securities, Societe Generale SA. (O'Neill, Mark) Modified text 5/10/2002 (C, K A).
May 8, 2002 Opinion or Order Order (non-document)signed on 5/8/2002 Granting Motion for extension of time and to exceed the page limitation. (Related Doc #41 ) Judge John Manos (G, Y.)
May 7, 2002 Filing 42 Motion to lift stay of discovery filed by all plaintiffs. (Jaffe, Ari)
May 7, 2002 Filing 41 Motion for extension of time until 5/24/02 to file opposition briefs and Motion for order to exceed page limitation regarding same filed by all plaintiffs. (Jaffe, Ari) Modified text 5/8/2002 (C, K A).
April 26, 2002 Filing 40 Exhibits to motion to dismiss: Exhibit 1, Declaration of Paul Mitsakos filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Exhibit A (8.5 x 14)#2 Exhibit B#3 Exhibit C#4 Exhibit D (8.5 x 14)#5 Exhibit E (8.5 x 14)#6 Exhibit F (8.5 x 14)#7 Exhibit G#8 Exhibit 2)(Related document(s) #38 ) (M, EJ)
April 26, 2002 Filing 39 Notice of Manual Filing of Exhibits filed by S.G. Cowen Securities, Societe Generale SA. (Related document(s) #38 ) (O'Neill, Mark) Modified on 4/29/2002 (M, EJ). (see document 40)
April 26, 2002 Filing 38 Motion to dismiss Counts 7, 8, 9, 10 & 11 pursuant to Fed.R.Civ.P12(b)(6) and/or, Motion to stay proceedings pending arbitration filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Affidavit of Mark O'Neill#2 Memorandum In Support)(O'Neill, Mark)
April 22, 2002 Filing 37 Supplemental Corrected Motion (related document #20 ) for appearance pro hac vice of P. Benjamin Duke and Laurence A. Silverman filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Affidavit of P. Benjamin Duke)(Ernst, Christopher) Modified text 4/23/2002 (C, K A).
April 15, 2002 Filing 36 Second Amended complaint against all defendants. Filed by Irene Dugger Fazio, Robert Fazio, Fazio Investment One Limited, Fazio Investment Three Limited, Carl Fazio, Sr.. (Attachments: #1 Exhibit A)(Jaffe, Ari)
April 15, 2002 Filing 35 Notice of Dismissal Under FRCP 41(a)(1) of defendant Frank Gruttadauria without prejudice filed by all plaintiffs. (Jaffe, Ari) Modified text 4/16/2002 (C, K A).
April 11, 2002 Filing 34 Subpoena Returned; served upon Lissette Dominguez for Nationsbank by personal service on 4/3/02 filed by all plaintiffs. (Attachments: #1 exhibit)(C, K A)
April 11, 2002 Filing 33 Subpoena Returned; served upon J.P. Morgan Guaranty thru Rosa A. Laraque by personal service on 3/27/02 filed by all plaintiffs. (Attachments: #1 exhibit)(C, K A)
April 11, 2002 Filing 32 Subpoena Returned; served upon New York Stock Exchange, attention: Darla Stuckey thru Nancy Ginsberg by personal service on 4/1/02 filed by all plaintiffs. (C, K A)
April 10, 2002 Filing 30 Marginal Order signed on 4/10/2002 Granting Motion to appear pro hac vice, attorney H. Nicholas Berberian for Lehman Brothers, Inc. added to case. Judge John M. Manos (Related Doc #27 ) (K, V)
April 10, 2002 Filing 29 Marginal Order signed on 4/10/2002 Granting Motion to withdraw as attorneys Brian A. Troyer and Jeffery Ubersax for defendant, Lehman. Judge John M. Manos. (Related Doc #26 ) (K, V)
April 8, 2002 Filing 31 Subpoena Returned; served upon Donna Squires, Corporate employee by process server Chad Cook on 4/4/02 filed by all plaintiffs. (Attachments: #1 exhibit)(C, K A)
April 5, 2002 Filing 28 Minutes of proceedings before Judge Manos. Conference held. Plaintiffs have ten (10) days to amend their Complaints (on or before April 15, 2002) from which time defendants have forty-five (45) days to file their Answers (May 30, 2002). Informal discovery shall continue and, upon the filing of the Answers, formal discovery shall commence. Parties are to supply the Court with copies of all discovery demands and responses. Defendants are granted leave to file any appropriate motions. Additional conferences will be scheduled by the Court. (Sch, S) Modified file date on 5/23/2002 (C, K A).
April 5, 2002 Filing 27 Motion for appearance pro hac vice of H. Nicholas Berberian filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Bartolozzi, James)
April 4, 2002 Filing 26 Motion by Brian Troyer and firm Jones, Day to withdraw as counsel for Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (Troyer, Brian) Modified text 4/5/2002 (C, K A).
April 3, 2002 Filing 25 Attorney Appearance by James J. Bartolozzi filed on behalf of Lehman Brothers Holdings, Inc., Lehman Brothers, Inc. (Bartolozzi, James) Modified text 4/4/2002 (C, K A).
March 11, 2002 Opinion or Order Order (non-document)signed on 3/11/2002 Granting Motion by Hambrecht and Quist, Inc and J.P. Morgan Chase and Company for extension of time to April 19, 2002 to respond(Related Doc #23 )Judge John Manos (G, Y.)
March 7, 2002 Filing 24 Subpoena Returned; served on James P. Fazio by personal service on 3/1/02 filed by all plaintiffs. (C, K A)
March 7, 2002 Filing 23 Motion for extension of time to Respond to Plaintiff's Amended Complaint and Discovery Requests filed by Hambrecht & Quist, Inc., J.P. Morgan. (Attachments: #1)(Young, Elin)
March 4, 2002 Opinion or Order Order (non-documnent)entered on 3/4/2002 Granting Motion for extension of time to April 19, 2002 to move or plead.(Related Doc #19 ) Judge John Manos (G, Y.)
March 1, 2002 Filing 22 Notice of Appearance as Co-Counsel for SG Cowen Securities Corporation and Societe Generale SA filed by S.G. Cowen Securities, Societe Generale SA. (Ernst, Christopher)
March 1, 2002 Filing 21 Notice of Appearance as Co-Counsel for SG Cowen Securities Corporation and Societe Generale SA filed by S.G. Cowen Securities, Societe Generale SA. (Kluznik, John)
February 27, 2002 Filing 20 Motion for appearance pro hac vice of Laurence A. Silverman and P. Benjamin Duke filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Affidavit of Laurence A. Silverman#2 Affidavit P. Benjamin Duke#3 Proposed Order)(O'Neill, Mark) Modified text 2/28/2002 (C, K A).
February 27, 2002 Filing 19 Joint Motion for extension of time of Plaintiffs and Defendants Lehman Brothers, Inc., Lehman Brothers Holdings, Inc., S. G. Cowen Securities, and Societe Generale S.A. until April 19, 2002 to Respond to Plaintiffs' Amended Complaint filed by S.G. Cowen Securities, Societe Generale SA. (Attachments: #1 Exhibit A#2 Exhibit B)(Related document(s) #12 ) (O'Neill, Mark)
February 21, 2002 Filing 18 Attorney Appearance of Michael N. Ungar, Marvin L. Karp and Elin B. Young on behalf of Hambrecht & Quist, Inc., and J.P. Morgan. (C, K A) Modified text 2/22/2002 (C, K A).
February 12, 2002 Filing 17 Praecipe for service of amended complaint by regular mail upon Hambrecht & Quist filed by all plaintiffs. (Attachments: #1 Exhibit Clerk's Return Receipt)(Jaffe, Ari) Modified text 2/13/2002 (C, K A).
February 12, 2002 Filing 16 Praecipe for service of summons and complaint by regular mail upon Hambrecht & Quist, Inc., filed by all plaintiffs. (Attachments: #1 Exhibit Clerk's Return Receipt)(Jaffe, Ari) Modified text 2/13/2002 (C, K A).
February 11, 2002 Filing 15 Return of Service Unexecuted upon Hambrecht & Quist, Inc., by certified mail, marked attempted, not known ; attempted on 2/4/02 filed by all plaintiffs. (C, K A)
February 7, 2002 Filing 14 Exhibits A, B and C to amended complaint filed by all plaintiffs. (Attachments: #1 exhibit B#2 exhibit C)(Related document(s) #12 , #13 ) (C, K A)
February 7, 2002 Filing 13 Notice of Manual Filing of Exhibits A, B and C of Amended Complaint filed by all plaintiffs. (Jaffe, Ari)
February 6, 2002 Filing 12 Amended complaint against all defendants. Filed by Irene Dugger Fazio, Robert Fazio, Fazio Investment One Limited, Fazio Investment Three Limited, Carl Fazio, Sr.. (Jaffe, Ari)
February 6, 2002 Filing 11 Notice of Filing of Amended Complaint filed by all plaintiffs. (Attachments: #1 Pleading Amended Complaint)(Jaffe, Ari)
January 30, 2002 Filing 10 Praecipe for service of summons and complaint by certified mail (issued) filed by all plaintiffs. (Attachments: #1 exhibit A)(C, K A)
January 29, 2002 Filing 9 Motion to vacate order granting motion for expedited discovery filed by Lehman Brothers Holdings, Inc., Lehman Brothers, Inc.. (C, K A)
January 29, 2002 Opinion or Order Order (non-document)entered on 1/29/2002 Granting Motion to vacate plaintiff's motion for expidited discovery(Related Doc #9 ) Judge John Manos (G, Y.)
January 29, 2002 Filing 8 CORRECTED Minutes of proceedings before Judge Manos. Conference held. The Defendants' motion to vacate the Court's order for expedited discovery is granted, and the order for expedited discovery (Issued January 25, 2002) is VACATED.(Related documents(s) #7 ) (D, L)
January 29, 2002 Filing 7 Minutes of proceedings before Judge Manos. Conference held. The Defendants' motion to vacated the Court's order for expedited discovery (Issued January 25, 2002) is VACATED.(D, L)
January 28, 2002 Opinion or Order Order (non-document) entered on 1/28/2002 Granting Motion for order for expedited discovery (Related Doc #4 )Judge John Manos (G, Y.) Modified text 1/29/2002 (C, K A).
January 25, 2002 Filing 6 Notice of Placement of case in the CM/ECF Docketing System (B, BA)
January 25, 2002 Filing 5 Judge John M. Manos' Initial Order (B, BA)
January 25, 2002 Filing 4 Motion for order expediting discovery filed by all plaintiffs. (Attachments: #1 Exhibit A#2 Exhibit B#3 Exhibit C#4 Exhibit D#5 Exhibit E#6 Exhibit F#7 Exhibit G#8 Exhibit H)(B, BA)
January 25, 2002 Filing 3 Case Information Statement (Complex Track) filed by all plaintiffs. (B, BA)
January 25, 2002 Filing 2 Random Assignment of Magistrate Judge Hemann (B, BA)
January 25, 2002 Filing 1 Complaint (8 summons and Magistrate Consent Forms issued) against Cowen & Company, Frank Gruttadauria, Hambrecht & Quist, Inc., J.P. Morgan, Lehman Brothers Holdings, Inc., Lehman Brothers, Inc., S.G. Cowen Securities, Societe Generale SA. Filed by Irene Dugger Fazio, Robert Fazio, Fazio Investment One Limited, Fazio Investment Three Limited, Carl Fazio, Sr.. Filing fee paid; receipt number 631328. (Attachments: #1 Exhibit A#2 Exhibit B1#3 Exhibit B2#4 Exhibit B3#5 Exhibit C#6 Civil Cover Sheet)(B, BA)

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the Ohio Northern District Court's Electronic Court Filings (ECF) System

Search for this case: Fazio et al v. Gruttadauria et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Robert Fazio
Represented By: Steven R. Malynn
Represented By: Byron S. Krantz
Represented By: Ari H. Jaffe
Represented By: Kevin T. Roberts
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Irene Dugger Fazio
Represented By: Ari H. Jaffe
Represented By: Steven R. Malynn
Represented By: Byron S. Krantz
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Fazio Investment One Limited
Represented By: Ari H. Jaffe
Represented By: Steven R. Malynn
Represented By: Kevin T. Roberts
Represented By: Byron S. Krantz
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: All Plaintiffs
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Counter defendant: Carl Fazio, Sr.
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Counter defendant: Fazio Investment Three Limited
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Frank Gruttadauria
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Lehman Brothers, Inc.
Represented By: Brian A. Troyer
Represented By: H. Nicholas Berberian
Represented By: Mark Robinson Jacobs
Represented By: Douglas V. Bartman
Represented By: James J. Bartolozzi
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Lehman Brothers Holdings, Inc.
Represented By: James J. Bartolozzi
Represented By: Mark Robinson Jacobs
Represented By: Brian A. Troyer
Represented By: Douglas V. Bartman
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: S.G. Cowen Securities
Represented By: John S. Kluznik, Sr.
Represented By: P. Benjamin Duke
Represented By: Laurence A. Silverman
Represented By: Philip A. Irwin
Represented By: Christopher M. Ernst
Represented By: Mark P. O'Neill
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Societe Generale SA
Represented By: Mark P. O'Neill
Represented By: Philip A. Irwin
Represented By: John S. Kluznik, Sr.
Represented By: Laurence A. Silverman
Represented By: P. Benjamin Duke
Represented By: Christopher M. Ernst
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Hambrecht & Quist, Inc.
Represented By: Michael N. Ungar
Represented By: Christopher P. Fisher
Represented By: Elin B. Young
Represented By: Marvin L. Karp
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: J.P. Morgan
Represented By: Christopher P. Fisher
Represented By: Marvin L. Karp
Represented By: Michael N. Ungar
Represented By: Elin B. Young
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Counter claimant: Cowen & Company
Represented By: Steven A. Friedman
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.

Why Is My Information Online?