Kinnie Ma Individual Retirement Account v. Ascendant Capital, LLC et al
| Kinnie Ma Individual Retirement Account |
| Avere Financial Group, LLC n/k/a Parsonex Capital Markets LLC, Kingsbury Capital, Inc., Innovation Partners LLC, Crown Capital Securities, LP, Uhlmann Price Securities, LLC, Emerson Equity LLC, National Securities Corporation, David Gentile, Jeffry Schneider, Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC, Money Concepts Capital Corp., MSC-BD, LLC, Cabot Lodge Securities LLC, HighTower Securities, LLC, Dinosaur Financial Group, LLC, GPB Holdings Qualified, LP, BCG Securities Inc., Coastal Equities, Inc., Capital Financial Services, Inc., GPB Holdings, LP, Wilmington Capital Securities, LLC, Royal Alliance Associates, Inc., Moloney Securities Co., Inc., David A. Noyes & Company, Geneos Wealth Management, Inc., John Doe Auditors 1 through 10, Financial West Group, Vanderbilt Securities, LLC, Woodbury Financial Services, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, GPB NYC Development, LP, American Capital Partners, LLC, DJ Partners LLC, Lucia Securities LLC, Arete Wealth Management, LLC, Western International Securities, Inc., FSC Securities Corporation, Cascade Financial Management, Inc., Colorado Financial Service Corporation, Phoenix American Financial Services, Inc., Purshe Kaplan Sterling Investments, Inc., Sandlapper Securities, LLC, GPB Capital Holdings, LLC, Mark D Martino, Ascendant Alternative Strategies, LLC, Center Street Securities, Inc., International Assets Advisory, LLC, GPB Cold Storage, LP, GPB Holdings III, LP, Concorde Investment Services, LLC, Madison Avenue Securities, LLC, Aeon Capital Inc., Stephen A. Kohn & Associates, Ltd., Lion Street Financial LLC, Calton & Associates, Inc., Whitehall-Parker Securities, Inc., Axiom Capital Management, Inc., GVC Capital LLC, McNally Financial Services Corporation, Arkadios Capital, Bradley Wealth Management LLC, Cape Securities, Inc., Vestech Securities, Inc., Titan Securities, Kalos Capital, Inc., Pariter Securities, LLC, United Planners' Financial Services of America, LP, Dawson James Securities, Inc., SCF Securities, Inc., Investment Architects, Inc., IBN Financial Services, Inc., Great Point Capital LLC, Aegis Capital Corp., GPB Automotive Portfolio, LP, Triad Advisors, LLC, Ausdal Financial Partners, Inc., Landolt Securities, Inc., Orchard Securities, LLC, Capital Investment Group, Inc., GPB Waste Management Fund, LP, Detalus Securities, LLC, Sagepoint Financial, Inc., Mori Huston Partners LLC, Private Client Services, LLC, McDonald Partners LLC, GPB Holdings II, LP, Lowell & Company, Inc., Dempsey Lord Smith, LLC, Ascendant Capital, LLC, Mr Ranger LLC, RSM US LLP (f/k/a McGladrey LLP), DH Hill Securities, LLLP, Advisors Group Equity Services, Ltd., WestPark Capital Inc., DFPB Investments, Inc., Newbridge Securities Corporation and RSM US LLP |
| Millicent R. Barasch |
| 1:2019cv01050 |
| October 25, 2019 |
| US District Court for the Western District of Texas |
| Lee Yeakel |
| Stockholders Suits |
| 28:1332 |
| Plaintiff |
Docket Report
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This docket was last retrieved on December 23, 2019. A more recent docket listing may be available from PACER.
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Filing 240
ORDER GRANTING GPB Defendants' #237 Unopposed Second Motion to Extend Deadline to Respond to Complaint; GPB Defendants' answers due 1/31/2020. Signed by Judge Lee Yeakel. (lt)
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| Filing 239 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
| Filing 238 MOTION to Appear Pro Hac Vice by James G. Ruiz for Matthew D. Turner ( Filing fee $ 100 receipt number 0542-13000081) by on behalf of Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
| Filing 237 Unopposed MOTION for Extension of Time to File Answer by GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Attachments: #1 Proposed Order)(Rosenfeld, Tab) |
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Filing 236
ORDER GRANTING #222 Motion for Extension of Time to Answer; RSM US LLP answer due 1/31/2020. Signed by Judge Lee Yeakel. (td)
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Filing 235
ORDER GRANTING #223 Motion for Extension of Time to Answer ; Whitehall-Parker Securities, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (td)
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Filing 234
ORDER GRANTING #227 Motion to Appear Pro Hac Vice by Abe Lampart. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (td)
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Filing 233
ORDER GRANTING #221 Motion to Appear Pro Hac Vice by Tanya Durkee Urbach. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (td)
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Filing 232
ORDER GRANTING #187 Motion to Appear Pro Hac Vice by Dana Sirkis Gloor. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (td)
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| Filing 231 RESPONSE in Support, filed by Aegis Capital Corp., American Capital Partners, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Axiom Capital Management, Inc., BCG Securities Inc., Cabot Lodge Securities LLC, Calton & Associates, Inc., Capital Investment Group, Inc., Cascade Financial Management, Inc., Center Street Securities, Inc., Coastal Equities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Crown Capital Securities, LP, DFPB Investments, Inc., DH Hill Securities, LLLP, David A. Noyes & Company, Dempsey Lord Smith, LLC, Detalus Securities, LLC, Dinosaur Financial Group, LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., IBN Financial Services, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Madison Avenue Securities, LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., Mori Huston Partners LLC, National Securities Corporation, Orchard Securities, LLC, Purshe Kaplan Sterling Investments, Inc., Royal Alliance Associates, Inc., SCF Securities, Inc., Sagepoint Financial, Inc., Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC, Stephen A. Kohn & Associates, Ltd., Triad Advisors, LLC, Uhlmann Price Securities, LLC, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc., re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account or in the Alternative, Unopposed Joint Motion to Extend Deadline (Attachments: #1 Proposed Order)(Ewell, Gary) Modified on 12/18/2019 (td). |
| Filing 230 MOTION to Withdraw as Attorney and Designation of Gerard G. Pecht as Attorney-in-Charge by International Assets Advisory, LLC. (Attachments: #1 Proposed Order)(Ravel, J.) |
| Filing 229 Unopposed MOTION for Extension of Time to File Answer Response in Support of Plaintiff's #67 Motion to Enter Briefing Schedule, or in the Alternative, Unopposed Motion to Extend Deadline to File Responsive Pleading by Cape Securities, Inc., Private Client Services, LLC. (Attachments: #1 Proposed Order)(Ravel, J.) Modified on 12/18/2019 to create link (td). |
| Filing 228 NOTICE of Attorney Appearance by Lewis Stanley Fischbein on behalf of Cabot Lodge Securities LLC. Attorney Lewis Stanley Fischbein added to party Cabot Lodge Securities LLC(pty:dft) (Fischbein, Lewis) |
| Filing 227 MOTION to Appear Pro Hac Vice by Gary Ewell on behalf of Abe Lampart ( Filing fee $ 100 receipt number 0542-12975952) by on behalf of Whitehall-Parker Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 226 Unopposed MOTION for Extension of Time to File Answer by Investment Architects, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.) |
| Filing 225 Amended MOTION for Extension of Time to File Answer re #1 Complaint, by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
| Filing 224 RESPONSE in Support, filed by Parsonex Capital Markets,LLC, re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account (Young, Marc) |
| Filing 223 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Whitehall-Parker Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 222 MOTION for Extension of Time to File Answer re #1 Complaint, and Response to Plaintiff's Motion to Enter Briefing Schedule [#67] by RSM US LLP. (Attachments: #1 Proposed Order)(Chiarello, Katherine) |
| Filing 221 MOTION to Appear Pro Hac Vice by Kevin K. Eng on behalf of Tanya Durkee Urbach ( Filing fee $ 100 receipt number 0542-12964200) by on behalf of DH Hill Securities, LLLP, FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Western International Securities, Inc., Woodbury Financial Services, Inc.. (Eng, Kevin) |
| Filing 218 MOTION for Extension of Time to File Answer re #1 Complaint, by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
| Filing 217 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. McDonald Partners LLC served on 12/11/2019, answer due 1/1/2020. (Shelton, Ryan) |
| Filing 216 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Corrected Summons-David Gentile (Shelton, Ryan) |
| Filing 215 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Sandlapper Securities, LLC served on 12/11/2019, answer due 1/1/2020. (Shelton, Ryan) |
| Filing 214 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. WestPark Capital Inc. served on 12/4/2019, answer due 12/26/2019. (Shelton, Ryan) |
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Filing 220
ORDER GRANTING #209 Motion for M. William Munno to Appear Pro Hac Vice on behalf of Dinosaur Financial Group, LLC. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 219
ORDER GRANTING #202 Motion for James A. McGovern to Appear Pro Hac Vice on behalf of Triad Advisors, LLC. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 213 ATTACHMENT [Proposed] Order to #187 MOTION to Appear Pro Hac Vice by Peter Andrew Stokes (Dana Sirkis Gloor) ( Filing fee $ 100 receipt number 0542-12941601) by Coastal Equities, Inc.. (Stokes, Peter) |
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Filing 212
ORDER GRANTING #201 Unopposed Motion to Extend Deadline toAnswer or File Responsive Pleading; Western International Securities, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 211
ORDER GRANTING #200 Unopposed Motion to Extend Deadline toAnswer or File Responsive Pleading; Aegis Capital Corp. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 210 RESPONSE in Support, filed by Ascendant Capital, LLC, Jeffry Schneider, re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account (Battaglini, Kim) |
| Filing 209 MOTION to Appear Pro Hac Vice by Matthew G. Nielsen on behalf of M. William Munno ( Filing fee $ 100 receipt number 0542-12955491) by on behalf of Dinosaur Financial Group, LLC. (Attachments: #1 Proposed Order)(Nielsen, Matthew) |
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Filing 208
ORDER GRANTING #195 Unopposed Application for Extension of Time to Respond to Complaint; Mori Huston Partners LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 207
ORDER GRANTING #194 Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading; Concorde Investment Services, LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 206
ORDER GRANTING #192 Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading; Dinosaur Financial Group, LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 205
ORDER GRANTING #191 Motion Unopposed Motion for Extension of Time to Respond to Complaint; Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 204 NOTICE of Attorney Appearance by Matthew G. Nielsen on behalf of Dinosaur Financial Group, LLC (Nielsen, Matthew) |
| Filing 203 RESPONSE in Support, filed by Calton & Associates, Inc., Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC, re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account (Stokes, Peter) |
| Filing 202 MOTION to Appear Pro Hac Vice by James G. Ruiz (James A. McGovern) ( Filing fee $ 100 receipt number 0542-12952370) by on behalf of Triad Advisors, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) |
| Filing 201 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Western International Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 200 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Aegis Capital Corp.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 199 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Vestech Securities, Inc. served on 12/4/2019, answer due 12/26/2019. (Shelton, Ryan) |
| Filing 198 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Detalus Securities, LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
| Filing 197 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. David Gentile served on 12/9/2019, answer due 12/30/2019. (Shelton, Ryan) |
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Filing 196
ORDER GRANTING #190 Motion to Extend Deadline to Answer or File Responsive Pleading; Uhlmann Price Securities, LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 195 MOTION for Extension of Time to File Response/Reply by Mori Huston Partners LLC. (Attachments: #1 Proposed Order)(Alcala, Juan) Modified on 12/11/2019 (lt). |
| Filing 194 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Concorde Investment Services, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) |
| Filing 193 NOTICE of Attorney Appearance by David Barton Springer on behalf of Dinosaur Financial Group, LLC. Attorney David Barton Springer added to party Dinosaur Financial Group, LLC(pty:dft) (Springer, David) |
| Filing 192 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, or File Responsive Pleading, by Dinosaur Financial Group, LLC. (Attachments: #1 Proposed Order)(Springer, David) |
| Filing 191 Unopposed MOTION for Extension of Time to File Response/Reply as to #1 Complaint, by Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC. (Attachments: #1 Proposed Order)(Benson, Carter) Modified on 12/11/2019 (lt). |
| Filing 190 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Uhlmann Price Securities, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) |
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Filing 189
ORDER GRANTING Defendant's #181 Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading; American Capital Partners, LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 188 Transcript filed of Proceedings held on December 2, 2019, Proceedings Transcribed: Telephone Conference. Court Reporter/Transcriber: Arlinda Rodriguez, Telephone number: 512-391-8791. Parties are notified of their duty to review the transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be purchased from the court reporter or viewed at the clerk's office public terminal. If redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If no such Notice is filed, the transcript will be made available via PACER without redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not electronically noticed Redaction Request due 12/31/2019, Redacted Transcript Deadline set for 1/10/2020, Release of Transcript Restriction set for 3/9/2020, (alr) |
| Filing 187 MOTION to Appear Pro Hac Vice by Peter Andrew Stokes (Dana Sirkis Gloor) ( Filing fee $ 100 receipt number 0542-12941601) by on behalf of Coastal Equities, Inc.. (Attachments: #1 Proposed Order Order)(Stokes, Peter) |
| Filing 186 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Landolt Securities, Inc. served on 12/5/2019, answer due 12/26/2019. (Shelton, Ryan) |
| Filing 185 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Stephen A. Kohn & Associates, Ltd. served on 11/27/2019, answer due 12/23/2019. (Shelton, Ryan) |
| Filing 184 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Avere Financial Group, LLC n/k/a Parsonex Capital Markets LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
| Filing 183 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Western International Securities, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
| Filing 182 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Phoenix American Financial Services, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
| Filing 181 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by American Capital Partners, LLC. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 180 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Colorado Financial Service Corporation served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
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Filing 179
ORDER GRANTING #173 Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading; Lewis Financial Group n/k/a DAI Securities, LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 178
ORDER GRANTING #172 Motion to Extend Time to Answer or Otherwise Respond to Class Action Complaint; Stephen A. Kohn & Associates, Ltd. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 177
ORDER GRANTING #163 Motion for Extension of Time to Answer; Calton & Associates, Inc. answer due 12/23/2019; Coastal Equities, Inc. answer due 12/23/2019; Kalos Capital, Inc. answer due 12/23/2019; Madison Avenue Securities, LLC answer due 12/23/2019; Vanderbilt Securities, LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 176 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Capital Investment Group, Inc. served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
| Filing 175 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Concorde Investment Services, LLC served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
| Filing 174 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Cabot Lodge Securities LLC served on 12/4/2019, answer due 12/26/2019. (Shelton, Ryan) |
| Filing 173 Unopposed MOTION for Extension of Time to File Answer by Lewis Financial Group n/k/a DAI Securities, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) Modified on 12/6/2019 (lt). |
| Filing 172 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, or Otherwise Respond to Class Action Complaint by Stephen A. Kohn & Associates, Ltd.. (Attachments: #1 Proposed Order Granting Unopposed Motion to Extend Deadline to Answer or Otherwise Respond to Class Action Complaint)(Callahan, Daniel) |
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Filing 171
ORDER GRANTING #155 Motion for Nicole E. Meyer to Appear Pro Hac Vice on behalf of GPB Defendants. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 170
ORDER GRANTING #154 Motion for Steven M. Kaplan to Appear Pro Hac Vice on behalf of GPB Defendants. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 169
ORDER GRANTING #153 Motion for Tab K. Rosenfeld to Appear Pro Hac Vice on behalf of GPB Defendants. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 168 Summons Issued as to David Gentile. (lt) |
| Filing 167 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. (Shelton, Ryan) (Main Document 167 replaced on 12/5/2019 to flatten form) (lt). Modified on 12/5/2019 (lt). |
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Filing 166
ORDER GRANTING #147 Motion to Extend Deadline to Answer or File Responsive Pleading; Crown Capital Securities, LP answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 165
ORDER GRANTING #141 Motion to extend the deadline to answer or otherwise respond; Ascendant Capital, LLC answer due 12/23/2019; Jeffry Schneider answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 164
ORDER GRANTING #140 Motion to Extend Deadline to Answer or File Responsive Pleading; Lion Street Financial LLC answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 163 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Calton & Associates, Inc., Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC. (Attachments: #1 Proposed Order)(Stokes, Peter) |
| Filing 162 NOTICE of Attorney Appearance by Gerard G. Pecht on behalf of Calton & Associates, Inc., Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC. Attorney Gerard G. Pecht added to party Calton & Associates, Inc.(pty:dft), Attorney Gerard G. Pecht added to party Coastal Equities, Inc.(pty:dft), Attorney Gerard G. Pecht added to party International Assets Advisory, LLC(pty:dft), Attorney Gerard G. Pecht added to party Kalos Capital, Inc.(pty:dft), Attorney Gerard G. Pecht added to party Madison Avenue Securities, LLC(pty:dft), Attorney Gerard G. Pecht added to party Vanderbilt Securities, LLC(pty:dft) (Pecht, Gerard) |
| Filing 161 NOTICE of Attorney Appearance by Peter Andrew Stokes on behalf of Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC. Attorney Peter Andrew Stokes added to party Coastal Equities, Inc.(pty:dft), Attorney Peter Andrew Stokes added to party International Assets Advisory, LLC(pty:dft), Attorney Peter Andrew Stokes added to party Kalos Capital, Inc.(pty:dft), Attorney Peter Andrew Stokes added to party Madison Avenue Securities, LLC(pty:dft), Attorney Peter Andrew Stokes added to party Vanderbilt Securities, LLC(pty:dft) (Stokes, Peter) |
| Filing 160 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. IBN Financial Services, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
| Filing 159 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Whitehall-Parker Securities, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
| Filing 158 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Investment Architects, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
| Filing 157 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Arkadios Capital served on 12/2/2019, answer due 12/23/2019. (Shelton, Ryan) |
| Filing 156 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Advisors Group Equity Services, Ltd. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
| Filing 155 MOTION to Appear Pro Hac Vice by Beverly Gayle Reeves for Nicole E. Meyer ( Filing fee $ 100 receipt number 0542-12913138) by on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Reeves, Beverly) |
| Filing 154 MOTION to Appear Pro Hac Vice by Beverly Gayle Reeves for Steven M. Kaplan ( Filing fee $ 100 receipt number 0542-12913126) by on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Reeves, Beverly) |
| Filing 153 MOTION to Appear Pro Hac Vice by Beverly Gayle Reeves for Tab K. Rosenfeld ( Filing fee $ 100 receipt number 0542-12913102) by on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Reeves, Beverly) |
| Filing 152 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Pariter Securities, LLC served on 11/27/2019, answer due 12/18/2019. (Shelton, Ryan) |
| Filing 151 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Orchard Securities, LLC served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
| Filing 150 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GVC Capital LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
| Filing 149 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Triad Advisors, LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
| Filing 147 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Crown Capital Securities, LP. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 148 Minute Entry for proceedings held before Judge Lee Yeakel: Telephone Conference held on 12/2/2019. Written Order forthcoming. (Minute entry documents are not available electronically.) (Court Reporter Arlinda Rodriguez.)(lt) |
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Filing 146
ORDER GRANTING #133 Motion for Jonathan M. Sterling to Appear Pro Hac Vice on behalf of Ausdal Financial Partners, Inc., Arkadios Capital, Crown Capital Securities, LLP, and Geneos Wealth Management, Inc.. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 145
ORDER GRANTING #132 Motion for Janine M. Lucas to Appear Pro Hac Vice on behalf of Ausdal Financial Partners, Inc., Arkadios Capital, Crown Capital Securities, LLP, and Geneos Wealth Management, Inc. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 144
ORDER GRANTING #131 Motion for Gary Saretsky to Appear Pro Hac Vice on behalf of Ausdal Financial Partners, Inc., Arkadios Capital, Crown Capital Securities, LLP, and Geneos Wealth Management, Inc. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 143
ORDER GRANTING GPB Defendants' #130 Motion To Extend Time to Respond to Class Action Complaint; answers due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 142
ORDER GRANTING #121 Motion for Kevin K. Eng to Appear Pro Hac Vice on behalf of DH Hill Securities, LLLP; FSC Securities Corporation; Royal Alliance Associates, Inc.; Sagepoint Financial, Inc.; and Woodbury Financial Services, Inc. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 141 Unopposed MOTION for Extension of Time to File Answer or Otherwise Respond to Class Action Complaint by Ascendant Capital, LLC. (Battaglini, Kim) |
| Filing 140 MOTION for Extension of Time to File Answer by Lion Street Financial LLC. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
| Filing 139 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Dempsey Lord Smith, LLC served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
| Filing 138 REPLY in Support, filed by Kinnie Ma Individual Retirement Account, re #50 MOTION to Consolidate Class Actions, Appoint Interim Co-Lead Class Counsel, and Interim Liaison Counsel, and Transfer and Consolidate Subsequent Similar Cases filed by Plaintiff Kinnie Ma Individual Retirement Account (Weiss, Jesse) Modified on 12/2/2019 (lt). |
| Filing 137 Opposed MOTION for Leave to Exceed Page Limitation with respect to its Reply in Further Support of Motion to Consolidate Class Actions, Appoint Interim Co-Lead Class Counsel and Interim Liaison Counsel, and Transfer and Consolidate Subsequent Similar Cases by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion to Exceed Page Limitation)(Weiss, Jesse) |
| Filing 136 NOTICE of Attorney Appearance by Kim Bernard Battaglini on behalf of Ascendant Capital, LLC. Attorney Kim Bernard Battaglini added to party Ascendant Capital, LLC(pty:dft) (Battaglini, Kim) |
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Filing 135
ORDER GRANTING #120 Motion for Edward S. Zusman to Appear Pro Hac Vice on behalf of DH Hill Securities, LLLP, FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., and Woodbury Financial Services, Inc. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 134
ORDER GRANTING #109 Motion for Matthew D. Turner to Appear Pro Hac Vice on behalf of Moloney Securities Co., Inc. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 133 MOTION to Appear Pro Hac Vice by Gary Ewell for Jonathan M. Sterling, applicant ( Filing fee $ 100 receipt number 0542-12901176) by on behalf of Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, Geneos Wealth Management, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
| Filing 132 MOTION to Appear Pro Hac Vice by Gary Ewell for Janine M. Lucas, applicant ( Filing fee $ 100 receipt number 0542-12901117) by on behalf of Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, Geneos Wealth Management, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
| Filing 131 MOTION to Appear Pro Hac Vice by Gary Ewell for Gary Saretsky, applicant ( Filing fee $ 100 receipt number 0542-12901064) by on behalf of Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, Geneos Wealth Management, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
| Filing 130 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Attachments: #1 Proposed Order)(Reeves, Beverly) |
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Filing 129
ORDER GRANTING #108 Motion for Kate E. Digeronimo to Appear Pro Hac Vice on behalf of United Planners' Financial Services of America, LP. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 121 MOTION to Appear Pro Hac Vice by Gary Ewell for Kevin K. Eng, applicant ( Filing fee $ 100 receipt number 0542-12893901) by on behalf of DH Hill Securities, LLLP, FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 120 MOTION to Appear Pro Hac Vice by Gary Ewell for Edward S. Zusman, applicant ( Filing fee $ 100 receipt number 0542-12893837) by on behalf of DH Hill Securities, LLLP, FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) (Main Document 120 replaced on 11/26/2019 to correct text issue on Page 2) (lt). |
| Filing 119 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. DFPB Investments, Inc. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
| Filing 118 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. MSC-BD, LLC served on 11/20/2019, answer due 12/11/2019. (Shelton, Ryan) |
| Filing 117 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Kingsbury Capital, Inc. served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
| Filing 116 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
| Filing 115 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Uhlmann Price Securities, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
| Filing 114 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Aeon Capital Inc. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
| Filing 113 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Mori Huston Partners LLC served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
| Filing 112 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Dawson James Securities, Inc. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
| Filing 111 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. MR Ranger LLC served on 11/23/2019, answer due 12/16/2019. (Shelton, Ryan) |
| Filing 110 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Aegis Capital Corp. served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
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Filing 128
ORDER GRANTING #106 Unopposed Motion of Gary Ewell to Withdraw fromrepresentation of defendant SCF Securities, Inc. Signed by Judge Lee Yeakel. (lt)
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Filing 127
ORDER GRANTING #105 Motion to Extend Deadline to Answer or File Responsive Pleading; FSC Securities Corporation answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 126
ORDER GRANTING #93 Motion to Extend Deadline to Answer or File Responsive Pleading; Purshe Kaplan Sterling Investments, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 125
ORDER GRANTING #92 Motion for Lewis Stanley Fischbein to Appear Pro Hac Vice on behalf of Pursche Kaplan Sterling. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 124
ORDER GRANTING #91 Motion to Extend Deadline to Answer or File Responsive Pleading; Moloney Securities Co., Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 123
ORDER GRANTING #90 Motion to Extend Deadline to Answer or File Responsive Pleading; Cascade Financial Management, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 122
ORDER GRANTING #66 Motion to Extend Deadline; RSM US LLP answer due 12/16/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 109 MOTION to Appear Pro Hac Vice by James G. Ruiz (Matthew D. Turner) ( Filing fee $ 100 receipt number 0542-12891267) by on behalf of Moloney Securities Co., Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
| Filing 108 MOTION to Appear Pro Hac Vice by Andrea Ann Ortiz on behalf of Kate E. DiGeronimo ( Filing fee $ 100 receipt number 0542-12890737) by on behalf of United Planners' Financial Services of America, LP. (Ortiz, Andrea) |
| Filing 107 NOTICE of Attorney Appearance by Christopher M. Odell on behalf of RSM US LLP (Odell, Christopher) |
| Filing 106 Unopposed MOTION to Withdraw as Attorney by SCF Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 105 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by FSC Securities Corporation. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 104 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Great Point Capital LLC served on 11/20/2019, answer due 12/11/2019. (Shelton, Ryan) |
| Filing 103 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Arete Wealth Management, LLC served on 11/20/2019, answer due 12/11/2019. (Shelton, Ryan) |
| Filing 102 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lewis Financial Group n/k/a DAI Securities, LLC served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
| Filing 101 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. United Planners' Financial Services of America, LP served on 11/18/2019, answer due 12/23/2019. (Shelton, Ryan) |
| Filing 100 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Wilmington Capital Securities, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
| Filing 99 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Waste Management Fund, LP served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
| Filing 98 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB NYC Development, LP served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
| Filing 97 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Cold Storage, LP served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
| Filing 96 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Dinosaur Financial Group, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
| Filing 95 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. American Capital Partners, LLC served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
| Filing 94 NOTICE of Attorney Appearance by Ryan M. Pierce on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. Attorney Ryan M. Pierce added to party GPB Automotive Portfolio, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Capital Holdings, LLC(pty:dft), Attorney Ryan M. Pierce added to party GPB Cold Storage, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings II, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings III, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings Qualified, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB NYC Development, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Waste Management Fund, LP(pty:dft) (Pierce, Ryan) |
| Filing 93 MOTION for Extension of Time to File Answer re #1 Complaint, by Purshe Kaplan Sterling Investments, Inc. (Attachments: #1 Proposed Order)(lt) |
| Filing 92 MOTION for Lewis Stanley Fischbein to Appear Pro Hac Vice ( Filing fee $ 100 receipt number 100037300) on behalf of Purshe Kaplan Sterling Investments, Inc. (Attachments: #1 Proposed Order)(lt) |
| Filing 91 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading by Moloney Securities Co., Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
| Filing 90 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading by Cascade Financial Management, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
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Filing 89
ORDER GRANTING #78 Motion for Extension of Time to Answer; Woodbury Financial Services, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 88
ORDER GRANTING #77 Motion for Extension of Time to Respond to Complaint; Money Concepts Capital Corp. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 87
ORDER DISMISSING #76 Motion for Extension of Time to Answer as to SCF Securities, Inc. Signed by Judge Lee Yeakel. (lt)
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Filing 86
ORDER GRANTING #75 Motion for Extension of Time to Answer; Sagepoint Financial, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 85
ORDER GRANTING #74 Motion for Extension of Time to Answer; Royal Alliance Associates, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 84
ORDER GRANTING #73 Motion for Extension of Time to Answer; DH Hill Securities, LLLP answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 83
ORDER GRANTING #72 Motion for Extension of Time to Answer; McNally Financial Services Corporation, SCF Securities, Inc., and Lowell & Company, Inc. answers due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 82
ORDER GRANTING #69 Motion for Extension of Time to Answer; Center Street Securities, Inc.'s and Newbridge Securities Corporation's answers due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 81
ORDER GRANTING #64 Motion for Extension of Time to Answer; Geneos Wealth Management, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 80
ORDER GRANTING #63 Motion for Extension of Time to Answer; Ausdal Financial Partners, Inc. answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 79
ORDER GRANTING #62 Motion for Barry R. Temkin to Appear Pro Hac Vice on behalf of United Planners' Financial Services of America, LP. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 78 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 77 Unopposed MOTION for Extension of Time to File Responsive Pleading as to #1 Complaint, by Money Concepts Capital Corp. (Attachments: #1 Proposed Order)(Weitzel, Robert) Modified on 11/22/2019 (lt). |
| Filing 76 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by SCF Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 75 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Sagepoint Financial, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 74 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Royal Alliance Associates, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 73 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by DH Hill Securities, LLLP. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 72 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, or Otherwise Respond to Class Action Complaint by McNally Financial Services Corporation. (Attachments: #1 Proposed Order)(Kessler, Gary) |
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Filing 71
ORDER GRANTING #56 Motion for Extension of Time to Answer; United Planners' Financial Services of America, LP answer due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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Filing 70
ORDER GRANTING #53 Motion for Sean Edward Matula to Withdraw as Attorney. Signed by Judge Lee Yeakel. (lt)
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| Filing 69 Unopposed MOTION for Extension of Time to File Answer by Center Street Securities, Inc., Newbridge Securities Corporation. (Attachments: #1 Proposed Order)(Ravel, J.) |
| Filing 68 NOTICE of Attorney Appearance by Yusuf Ahmad Bajwa on behalf of BCG Securities Inc.. Attorney Yusuf Ahmad Bajwa added to party BCG Securities Inc.(pty:dft) (Bajwa, Yusuf) |
| Filing 67 MOTION to Enter Briefing Schedule by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Shelton, Ryan) |
| Filing 66 Unopposed MOTION for Extension of Time to File Answer by RSM US LLP. (Attachments: #1 Proposed Order Granting Motion to Extend Deadline)(Odell, Christopher) |
| Filing 65 MOTION for Extension of Time to File RESPONSE TO PLAINTIFF KINNIE MA INDIVIDUAL RETIREMENT ACCOUNTS MOTION TO CONSOLIDATE CLASS ACTIONS, APPOINT INTERIM CO-LEAD CLASS COUNSEL AND INTERIM LIAISON COUNSEL, AND TRANSFER AND CONSOLIDATE SUBSEQUENT SIMILAR CASES by Millicent R. Barasch. (Attachments: #1 Proposed Order ORDER GRANTING UNOPPOSED MOTION TO EXTEND)(Kelly, Lannie) |
| Filing 64 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Geneos Wealth Management, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 63 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Ausdal Financial Partners, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
| Filing 62 MOTION to Appear Pro Hac Vice by Andrea Ann Ortiz on behalf of Barry R. Temkin ( Filing fee $ 100 receipt number 0542-12869454) by on behalf of United Planners' Financial Services of America, LP. (Ortiz, Andrea) |
| Filing 61 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. McDonald Partners LLC served on 11/12/2019, answer due 12/3/2019. (Shelton, Ryan) |
| Filing 60 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Coastal Equities, Inc. served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
| Filing 59 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Jeffry Schneider served on 11/14/2019, answer due 12/5/2019. (Shelton, Ryan) |
| Filing 58 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Ascendant Capital, LLC served on 11/14/2019, answer due 12/5/2019. (Shelton, Ryan) |
| Filing 57 NOTICE of Attorney Appearance by Martin S. Schexnayder on behalf of Lion Street Financial LLC. Attorney Martin S. Schexnayder added to party Lion Street Financial LLC(pty:dft) (Schexnayder, Martin) |
| Filing 56 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by United Planners' Financial Services of America, LP. (Attachments: #1 Proposed Order)(Ortiz, Andrea) |
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Filing 55
ORDER GRANTING #52 Motion for Extension of Time to Answer; Cape Securities, Inc., International Assets Advisory, LLC and Private Client Services, LLC answers due 12/23/2019. Signed by Judge Lee Yeakel. (lt)
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| Filing 54 ATTACHMENT Proposed Order to #53 MOTION to Withdraw as Attorney by United Planners' Financial Services of America, LP. (Ortiz, Andrea) |
| Filing 53 NOTICE of Attorney Appearance by Andrea Ann Ortiz on behalf of United Planners' Financial Services of America, LP. Attorney Andrea Ann Ortiz added to party United Planners' Financial Services of America, LP(pty:dft) (Ortiz, Andrea) Modified on 11/19/2019 to add Motion event(lt). |
| Filing 52 Unopposed MOTION for Extension of Time to File Answer by Cape Securities, Inc., International Assets Advisory, LLC, Private Client Services, LLC. (Attachments: #1 Proposed Order)(Ravel, J.) |
| Filing 51 NOTICE of Attorney Appearance by Sean Edward Matula on behalf of United Planners' Financial Services of America, LP. Attorney Sean Edward Matula added to party United Planners' Financial Services of America, LP(pty:dft) (Matula, Sean) |
| Filing 50 MOTION to Consolidate Class Actions, Appoint Interim Co-Lead Class Counsel, and Interim Liaison Counsel, and Transfer and Consolidate Subsequent Similar Cases by Kinnie Ma Individual Retirement Account. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Proposed Order)(lt) |
| Notice of Correction: re #49 MOTION for Leave to Exceed Page Limitation. When filing a Motion for Leave to Exceed Page Limitations in the AUSTIN Division, the document that exceeds the page limit should NOT be attached to the motion, but rather should be filed as a separate pleading. We will take the necessary steps to pull the Motion to Consolidate from the motion for leave to exceed page limit and add it to the docket record. No further action is required. Please note this information for future filing purposes. (lt) |
| Filing 49 MOTION for Leave to Exceed Page Limitation and grant leave to file Motion to Consolidate Class Actions, which motion and corresponding exhibits are attached hereto by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion to Exceed Page Limit, #2 Exhibit 1 to Mtn to Exceed Page Limit-Motion to Consolidate, #3 Exhibit 1-Motion to Consolidate, #4 Exhibit 2-Motion to Consolidate, #5 Exhibit 3-Motion to Consolidate, #6 Exhibit 4-Motion to Consolidate, #7 Exhibit 5-Motion to Consolidate, #8 Exhibit 6-Motion to Consolidate, #9 Exhibit 7-Motion to Consolidate, #10 Proposed Order Granting Motion to Consolidate)(Weiss, Jesse) |
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Filing 48
ORDER GRANTING #40 Motion for Richard L. Stone to Appear Pro Hac Vice on behalf of Kinnie Ma, Individual Retirement Account. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 46 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Center Street Securities, Inc. served on 11/5/2019, answer due 11/26/2019. (Shelton, Ryan) |
| Filing 45 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lowell & Company, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 44 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Vanderbilt Securities, LLC served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
| Filing 43 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Titan Securities served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
| Filing 42 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Cascade Financial Management, Inc. served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
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Filing 47
ORDER GRANTING #39 Motion for Emily C. Finestone to Appear Pro Hac Vice on behalf of Kinnie Ma Individual Retirement Account. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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Filing 41
ORDER GRANTING #38 Motion for Peter S. Linden to Appear Pro Hac Vice on behalf of Kinnie Ma Individual Retirement Account. Pursuant to our Administrative Policies and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice in this case must register for electronic filing with our court within 10 days of this order. Signed by Judge Lee Yeakel. (lt)
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| Filing 40 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss for Richard L. Stone ( Filing fee $ 100 receipt number 0542-12824782) by on behalf of Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion for Admission Pro Hac Vice)(Weiss, Jesse) Modified on 11/8/2019 (lt). |
| Filing 39 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss for Emily C. Finestone ( Filing fee $ 100 receipt number 0542-12823322) on behalf of Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion for Admission Pro Hac Vice)(Weiss, Jesse) Modified on 11/8/2019 (lt). |
| Filing 38 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss [for Peter S. Linden ( Filing fee $ 100 receipt number 0542-12820323) behalf of Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion for Admission Pro Hac Vice)(Weiss, Jesse) Modified on 11/7/2019 (lt). |
| Filing 37 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. McNally Financial Services Corporation served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
| Filing 36 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. DH Hill Securities, LLLP served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
| Filing 35 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. SCF Securities, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 34 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Purshe Kaplan Sterling Investments, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 33 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Private Client Services, LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 32 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Newbridge Securities Corporation served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 31 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. National Securities Corporation served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 30 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Money Concepts Capital Corp. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 29 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lion Street Financial LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 28 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Kalos Capital, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 27 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. International Assets Advisory, LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 26 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. HighTower Securities, LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 25 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Emerson Equity LLC served on 10/30/2019, answer due 11/21/2019. (Shelton, Ryan) Modified on 11/4/2019 (lt). |
| Filing 24 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. David A. Noyes & Company served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 23 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Capital Financial Services, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
| Filing 22 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Woodbury Financial Services, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 21 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Sagepoint Financial, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 20 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. RSM US LLP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 19 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Royal Alliance Associates, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 18 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Moloney Securities Co., Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 17 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Madison Avenue Securities, LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 16 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lucia Securities LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 15 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Innovation Partners LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 14 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Holdings, LP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 13 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Holdings II, LP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 12 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Capital Holdings, LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 11 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Automotive Portfolio, LP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 10 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Geneos Wealth Management, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 9 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. FSC Securities Corporation served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 8 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Calton & Associates, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 7 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Cape Securities, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 6 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. BCG Securities Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 5 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Axiom Capital Management, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 4 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Ausdal Financial Partners, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
| Filing 3 Summons Issued as to All Defendants. (lt) |
| Filing 2 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. (Shelton, Ryan) |
| DEMAND for Trial by Jury by Kinnie Ma Individual Retirement Account. (dl) |
| If ordered by the court, all referrals and consents in this case will be assigned to Magistrate Judge Hightower. (dl) |
| Case assigned to Judge Lee Yeakel. CM WILL NOW REFLECT THE JUDGE INITIALS AS PART OF THE CASE NUMBER. PLEASE APPEND THESE JUDGE INITIALS TO THE CASE NUMBER ON EACH DOCUMENT THAT YOU FILE IN THIS CASE. (dl) |
| Filing 1 COMPLAINT ( Filing fee $ 400 receipt number 0542-12774757). No Summons requested at this time, filed by Kinnie Ma Individual Retirement Account. (Attachments: #1 Civil Cover Sheet)(Shelton, Ryan) (Attachment 1 replaced on 10/28/2019 to flatten image) (dl). |
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