Kinnie Ma Individual Retirement Account v. Ascendant Capital, LLC et al
Plaintiff: Kinnie Ma Individual Retirement Account
Defendant: 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
Petitioner: Millicent R. Barasch
Case Number: 1:2019cv01050
Filed: October 25, 2019
Court: US District Court for the Western District of Texas
Presiding Judge: Lee Yeakel
Nature of Suit: Stockholders Suits
Cause of Action: 28:1332
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on December 23, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
December 23, 2019 Opinion or Order 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)
December 23, 2019 Filing 239 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
December 20, 2019 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)
December 19, 2019 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)
December 18, 2019 Opinion or Order 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)
December 18, 2019 Opinion or Order 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)
December 18, 2019 Opinion or Order 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)
December 18, 2019 Opinion or Order 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)
December 18, 2019 Opinion or Order 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)
December 18, 2019 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).
December 18, 2019 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.)
December 17, 2019 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).
December 17, 2019 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)
December 17, 2019 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)
December 16, 2019 Filing 226 Unopposed MOTION for Extension of Time to File Answer by Investment Architects, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
December 16, 2019 Filing 225 Amended MOTION for Extension of Time to File Answer re #1 Complaint, by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin)
December 16, 2019 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)
December 16, 2019 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)
December 13, 2019 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)
December 13, 2019 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)
December 13, 2019 Filing 218 MOTION for Extension of Time to File Answer re #1 Complaint, by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin)
December 13, 2019 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)
December 13, 2019 Filing 216 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Corrected Summons-David Gentile (Shelton, Ryan)
December 13, 2019 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)
December 13, 2019 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)
December 12, 2019 Opinion or Order 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)
December 12, 2019 Opinion or Order 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)
December 12, 2019 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)
December 12, 2019 Opinion or Order 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)
December 12, 2019 Opinion or Order 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)
December 12, 2019 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)
December 12, 2019 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)
December 11, 2019 Opinion or Order 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)
December 11, 2019 Opinion or Order 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)
December 11, 2019 Opinion or Order 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)
December 11, 2019 Opinion or Order 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)
December 11, 2019 Filing 204 NOTICE of Attorney Appearance by Matthew G. Nielsen on behalf of Dinosaur Financial Group, LLC (Nielsen, Matthew)
December 11, 2019 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)
December 11, 2019 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)
December 11, 2019 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)
December 11, 2019 Filing 200 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Aegis Capital Corp.. (Attachments: #1 Proposed Order)(Ewell, Gary)
December 11, 2019 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)
December 11, 2019 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)
December 11, 2019 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)
December 10, 2019 Opinion or Order 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)
December 10, 2019 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).
December 10, 2019 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)
December 10, 2019 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)
December 10, 2019 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)
December 10, 2019 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).
December 10, 2019 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)
December 10, 2019 Opinion or Order 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)
December 10, 2019 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)
December 9, 2019 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)
December 9, 2019 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)
December 9, 2019 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)
December 9, 2019 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)
December 9, 2019 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)
December 9, 2019 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)
December 9, 2019 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)
December 9, 2019 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)
December 6, 2019 Opinion or Order 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)
December 6, 2019 Opinion or Order 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)
December 6, 2019 Opinion or Order 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)
December 6, 2019 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)
December 6, 2019 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)
December 6, 2019 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)
December 5, 2019 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).
December 5, 2019 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)
December 5, 2019 Opinion or Order 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)
December 5, 2019 Opinion or Order 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)
December 5, 2019 Opinion or Order 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)
December 5, 2019 Filing 168 Summons Issued as to David Gentile. (lt)
December 5, 2019 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).
December 4, 2019 Opinion or Order 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)
December 4, 2019 Opinion or Order 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)
December 4, 2019 Opinion or Order 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)
December 4, 2019 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)
December 4, 2019 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)
December 4, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 3, 2019 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)
December 2, 2019 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)
December 2, 2019 Opinion or Order 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)
December 2, 2019 Opinion or Order 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)
December 2, 2019 Opinion or Order 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)
December 2, 2019 Opinion or Order 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)
December 2, 2019 Opinion or Order 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)
December 2, 2019 Filing 141 Unopposed MOTION for Extension of Time to File Answer or Otherwise Respond to Class Action Complaint by Ascendant Capital, LLC. (Battaglini, Kim)
December 2, 2019 Filing 140 MOTION for Extension of Time to File Answer by Lion Street Financial LLC. (Attachments: #1 Proposed Order)(Schexnayder, Martin)
December 2, 2019 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)
December 1, 2019 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).
December 1, 2019 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)
November 27, 2019 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)
November 27, 2019 Opinion or Order 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)
November 27, 2019 Opinion or Order 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)
November 27, 2019 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)
November 27, 2019 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)
November 27, 2019 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)
November 26, 2019 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)
November 26, 2019 Opinion or Order 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)
November 26, 2019 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)
November 26, 2019 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).
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 26, 2019 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)
November 25, 2019 Opinion or Order Filing 128 ORDER GRANTING #106 Unopposed Motion of Gary Ewell to Withdraw fromrepresentation of defendant SCF Securities, Inc. Signed by Judge Lee Yeakel. (lt)
November 25, 2019 Opinion or Order 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)
November 25, 2019 Opinion or Order 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)
November 25, 2019 Opinion or Order 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)
November 25, 2019 Opinion or Order 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)
November 25, 2019 Opinion or Order 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)
November 25, 2019 Opinion or Order Filing 122 ORDER GRANTING #66 Motion to Extend Deadline; RSM US LLP answer due 12/16/2019. Signed by Judge Lee Yeakel. (lt)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 Filing 107 NOTICE of Attorney Appearance by Christopher M. Odell on behalf of RSM US LLP (Odell, Christopher)
November 25, 2019 Filing 106 Unopposed MOTION to Withdraw as Attorney by SCF Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
November 25, 2019 Filing 105 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by FSC Securities Corporation. (Attachments: #1 Proposed Order)(Ewell, Gary)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 25, 2019 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)
November 22, 2019 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)
November 22, 2019 Filing 93 MOTION for Extension of Time to File Answer re #1 Complaint, by Purshe Kaplan Sterling Investments, Inc. (Attachments: #1 Proposed Order)(lt)
November 22, 2019 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)
November 22, 2019 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)
November 22, 2019 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order Filing 87 ORDER DISMISSING #76 Motion for Extension of Time to Answer as to SCF Securities, Inc. Signed by Judge Lee Yeakel. (lt)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 22, 2019 Opinion or Order 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)
November 21, 2019 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)
November 21, 2019 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).
November 21, 2019 Filing 76 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by SCF Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
November 21, 2019 Filing 75 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Sagepoint Financial, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
November 21, 2019 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)
November 21, 2019 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)
November 21, 2019 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)
November 21, 2019 Opinion or Order 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)
November 21, 2019 Opinion or Order Filing 70 ORDER GRANTING #53 Motion for Sean Edward Matula to Withdraw as Attorney. Signed by Judge Lee Yeakel. (lt)
November 21, 2019 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.)
November 21, 2019 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)
November 20, 2019 Filing 67 MOTION to Enter Briefing Schedule by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Shelton, Ryan)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 20, 2019 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)
November 19, 2019 Opinion or Order 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)
November 19, 2019 Filing 54 ATTACHMENT Proposed Order to #53 MOTION to Withdraw as Attorney by United Planners' Financial Services of America, LP. (Ortiz, Andrea)
November 19, 2019 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).
November 18, 2019 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.)
November 15, 2019 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)
November 13, 2019 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)
November 13, 2019 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)
November 13, 2019 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)
November 12, 2019 Opinion or Order 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)
November 12, 2019 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)
November 12, 2019 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)
November 12, 2019 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)
November 12, 2019 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)
November 12, 2019 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)
November 8, 2019 Opinion or Order 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)
November 8, 2019 Opinion or Order 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)
November 8, 2019 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).
November 8, 2019 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).
November 7, 2019 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).
November 6, 2019 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)
November 6, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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).
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
November 4, 2019 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)
October 28, 2019 Filing 3 Summons Issued as to All Defendants. (lt)
October 28, 2019 Filing 2 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. (Shelton, Ryan)
October 25, 2019 DEMAND for Trial by Jury by Kinnie Ma Individual Retirement Account. (dl)
October 25, 2019 If ordered by the court, all referrals and consents in this case will be assigned to Magistrate Judge Hightower. (dl)
October 25, 2019 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)
October 25, 2019 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).

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 Texas Western District Court's Electronic Court Filings (ECF) System

Search for this case: Kinnie Ma Individual Retirement Account v. Ascendant Capital, LLC et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Avere Financial Group, LLC n/k/a Parsonex Capital Markets LLC
Represented By: Travis M. Brown
Represented By: Marc A. Young
Represented By: Stephanie Hayes Cook
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: Kingsbury Capital, Inc.
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: Innovation Partners LLC
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: Crown Capital Securities, LP
Represented By: Gary Ewell
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
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: Uhlmann Price Securities, LLC
Represented By: James G. Ruiz
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: Emerson Equity LLC
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: National Securities Corporation
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: David Gentile
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: Jeffry Schneider
Represented By: Kim Bernard Battaglini
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: Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC
Represented By: Robert Eilert Weitzel
Represented By: Carter Bryce Benson
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: Money Concepts Capital Corp.
Represented By: Robert Eilert Weitzel
Represented By: Carter Bryce Benson
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: MSC-BD, LLC
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: Cabot Lodge Securities LLC
Represented By: Lewis Stanley Fischbein
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: HighTower Securities, LLC
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: Dinosaur Financial Group, LLC
Represented By: Matthew G. Nielsen
Represented By: M. William Munno
Represented By: David Barton Springer
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: GPB Holdings Qualified, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: BCG Securities Inc.
Represented By: Yusuf Ahmad Bajwa
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: Coastal Equities, Inc.
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
Represented By: Dana Sirkis Gloor
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: Capital Financial Services, Inc.
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: GPB Holdings, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: Wilmington Capital Securities, LLC
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: Royal Alliance Associates, Inc.
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
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: Moloney Securities Co., Inc.
Represented By: Matthew D. Turner
Represented By: James G. Ruiz
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: David A. Noyes & Company
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: Geneos Wealth Management, Inc.
Represented By: Gary Ewell
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
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: John Doe Auditors 1 through 10
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: Financial West Group
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: Vanderbilt Securities, LLC
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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: Woodbury Financial Services, Inc.
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
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: Lewis Financial Group n/k/a DAI Securities, LLC
Represented By: James G. Ruiz
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: GPB NYC Development, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: American Capital Partners, LLC
Represented By: Gary Ewell
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: DJ Partners LLC
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: Lucia Securities LLC
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: Arete Wealth Management, LLC
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: Western International Securities, Inc.
Represented By: Gary Ewell
Represented By: Edward S. Zusman
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
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: FSC Securities Corporation
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
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: Cascade Financial Management, Inc.
Represented By: James G. Ruiz
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: Colorado Financial Service Corporation
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: Phoenix American Financial Services, Inc.
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: Purshe Kaplan Sterling Investments, Inc.
Represented By: Lewis Stanley Fischbein
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: Sandlapper Securities, LLC
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: GPB Capital Holdings, LLC
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: Mark D Martino
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: Ascendant Alternative Strategies, LLC
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: Center Street Securities, Inc.
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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: International Assets Advisory, LLC
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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: GPB Cold Storage, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: GPB Holdings III, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: Concorde Investment Services, LLC
Represented By: James G. Ruiz
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: Madison Avenue Securities, LLC
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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: Aeon Capital Inc.
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: Stephen A. Kohn & Associates, Ltd.
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
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: Lion Street Financial LLC
Represented By: Martin S. Schexnayder
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: Calton & Associates, Inc.
Represented By: Peter Andrew Stokes
Represented By: Gerard G. Pecht
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: Whitehall-Parker Securities, Inc.
Represented By: Gary Ewell
Represented By: Abe Lampart
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: Axiom Capital Management, Inc.
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: GVC Capital LLC
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: McNally Financial Services Corporation
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
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: Arkadios Capital
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
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: Bradley Wealth Management LLC
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: Cape Securities, Inc.
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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: Vestech Securities, Inc.
Represented By: James G. Ruiz
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: Titan Securities
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: Kalos Capital, Inc.
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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: Pariter Securities, LLC
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: United Planners' Financial Services of America, LP
Represented By: Kate E. Digeronimo
Represented By: Barry Temkin
Represented By: Sean Edward Matula
Represented By: Andrea Ann Ortiz
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: Dawson James Securities, Inc.
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: SCF Securities, Inc.
Represented By: Gary S. Kessler
Represented By: Gary Ewell
Represented By: Daniel P. Callahan
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: Investment Architects, Inc.
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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: IBN Financial Services, Inc.
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: Great Point Capital LLC
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: Aegis Capital Corp.
Represented By: Gary Ewell
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: GPB Automotive Portfolio, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: Triad Advisors, LLC
Represented By: James G. Ruiz
Represented By: James A. McGovern
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: Ausdal Financial Partners, Inc.
Represented By: Gary Ewell
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
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: Landolt Securities, Inc.
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: Orchard Securities, LLC
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: Capital Investment Group, Inc.
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: GPB Waste Management Fund, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: Detalus Securities, LLC
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: Sagepoint Financial, Inc.
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
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: Mori Huston Partners LLC
Represented By: Juan M. Alcala
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: Private Client Services, LLC
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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: McDonald Partners LLC
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: GPB Holdings II, LP
Represented By: Ryan M. Pierce
Represented By: Beverly Gayle Reeves
Represented By: Nicole E. Meyer
Represented By: Tab K. Rosenfeld
Represented By: Steven M. Kaplan
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: Lowell & Company, Inc.
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
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: Dempsey Lord Smith, LLC
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: Ascendant Capital, LLC
Represented By: Kim Bernard Battaglini
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: Mr Ranger LLC
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: RSM US LLP (f/k/a McGladrey LLP)
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: DH Hill Securities, LLLP
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
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: Advisors Group Equity Services, Ltd.
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: WestPark Capital Inc.
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: DFPB Investments, Inc.
Represented By: Martin S. Schexnayder
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: Newbridge Securities Corporation
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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: RSM US LLP
Represented By: Christopher M. Odell
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: Kinnie Ma Individual Retirement Account
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Emily C. Finestone
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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 ]
Petitioner: Millicent R. Barasch
Represented By: Lannie Todd Kelly
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?