Kinnie Ma Individual Retirement Account v. Ascendant Capital, LLC et al
Plaintiff: Kinnie Ma Individual Retirement Account, Karen Loch, Victor Wade Individual Retirement Account, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Jeffery S. Gramm Individual Retirement Account, Dean Crooks, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Catherine Kominos, Stacy Greasor Individual Retirement Account, Gracemarie Boland and Corri Rene Eden
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, RSM US LLP and Crowe, 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
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Docket Report

This docket was last retrieved on May 18, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
May 18, 2020 Filing 467 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint by Titan Securities. (Attachments: #1 Proposed Order)(Ravel, J.)
May 18, 2020 Filing 466 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint And to Reply to Plaintiffs' Forum Non Conveniens Opposition by Arete Wealth Management, LLC, Capital Investment Group, Inc., Cascade Financial Management, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Moloney Securities Co., Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
May 18, 2020 Filing 465 ATTACHMENT Proposed Order to #462 MOTION to Substitute Attorney by Triad Advisors, LLC. (Attachments: #1 Proposed Order Linked to Docket #462 Motion to Sub Counsel for Defendant)(Urbach, Tanya)
May 18, 2020 Filing 464 Unopposed MOTION for Extension of Time to File Response/Reply as to #439 Response in Opposition to Motion,,,,,,,,,,,,, #440 Amended Complaint by United Planners' Financial Services of America, LP. (Attachments: #1 Proposed Order)(Ortiz, Andrea)
May 18, 2020 Filing 463 DEFICIENCY NOTICE: re #462 MOTION to Substitute Attorney (lt)
May 15, 2020 Filing 462 MOTION to Substitute Attorney by Triad Advisors, LLC. (Urbach, Tanya)
May 15, 2020 Filing 461 MOTION for Extension of Time to File Response/Reply to Plaintiffs' Amended Complaint and to Plaintiffs' Forum Non Conveniens Motion by Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, Inc.. (Attachments: #1 Proposed Order Proposed Order Granting Motion)(Fischbein, Lewis)
May 15, 2020 Filing 460 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint by Axiom Capital Management, Inc., Calton & Associates, Inc., Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Lucia Securities LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, Vanderbilt Securities, LLC. (Attachments: #1 Proposed Order)(Stokes, Peter)
May 15, 2020 Opinion or Order Filing 459 ORDER GRANTING Defendant Phoenix American Financial Services, Inc.'s #448 Unopposed Motion for Extension of Time to Respond to First Amended Class Action Complaint; Phoenix American Financial Services, Inc. answer due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
May 15, 2020 Opinion or Order Filing 458 ORDER GRANTING Defendant David Gentile's #447 Agreed Motion for Extension of Time to File Reply and to Respond to the Amended Complaint. Signed by Judge Lee Yeakel. (lt)
May 15, 2020 Opinion or Order Filing 457 ORDER GRANTING Defendants' #446 Unopposed Motion to Extend the Time to Respond to Plaintiffs' Amended Class Action Complaint and to Reply to Plaintiffs' Forum Non Conveniens Opposition. Signed by Judge Lee Yeakel. (lt)
May 15, 2020 Opinion or Order Filing 456 ORDER GRANTING Defendants Ascendant Capital LLC, Ascendant AlternativeStrategies LLC, DJ Partners LLC, MR Ranger LLC, Jeffry Schneider, and Mark D. Martino's #445 Unopposed Motion to extend the deadline to answer or otherwise respond to Plaintiffs' First Amended Class Action Complaint and to extend the deadline to reply. Signed by Judge Lee Yeakel. (lt)
May 15, 2020 Opinion or Order Filing 455 ORDER GRANTING Defendant's #444 Unopposed Motion to Extend the Time to Respond to Plaintiffs' First Amended Class Action Complaint and to Reply to Their Forum Non Conveniens Opposition. Signed by Judge Lee Yeakel. (lt)
May 15, 2020 Opinion or Order Filing 454 ORDER GRANTING GPB Defendants' #443 Unopposed Motion to Extend Time To Respond to Plaintiffs' Amended Class Action Complaint and Forum Non Conveniens Issues. Signed by Judge Lee Yeakel. (lt)
May 15, 2020 Filing 453 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint by RSM US LLP. (Attachments: #1 Proposed Order)(Chiarello, Katherine)
May 15, 2020 Filing 452 Unopposed MOTION for Extension of Time to File Response/Reply as to #439 Response in Opposition to Motion,,,,,,,,,,,,, #440 Amended Complaint by Bradley Wealth Management LLC. (Attachments: #1 Proposed Order)(Lamb, Nathan) (Main Document and Attachment 1 replaced on 5/18/2020 to correct date) (so).
May 15, 2020 Filing 451 Unopposed MOTION for Extension of Time to File Response/Reply by Money Concepts Capital Corp., Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC. (Attachments: #1 Proposed Order)(Benson, Carter)
May 15, 2020 Filing 450 Unopposed MOTION for Extension of Time to File Response/Reply as to #439 Response in Opposition to Motion,,,,,,,,,,,,, #440 Amended Complaint by BCG Securities Inc., Center Street Securities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Emerson Equity LLC, IBN Financial Services, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., MSC-BD, LLC, McNally Financial Services Corporation, SCF Securities, Inc., Stephen A. Kohn & Associates, Ltd., Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Kessler, Gary)
May 15, 2020 Filing 449 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint , Unopposed MOTION for Extension of Time to File Response/Reply as to #439 Response in Opposition to Motion,,,,,,,,,,,,, by Dinosaur Financial Group, LLC. (Attachments: #1 Proposed Order)(Nielsen, Matthew)
May 14, 2020 Filing 448 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Chapa, Justin)
May 14, 2020 Filing 447 Unopposed MOTION for Extension of Time to File Response/Reply by David Gentile. (Attachments: #1 Proposed Order)(Gilbert, Chris)
May 14, 2020 Filing 446 Unopposed MOTION for Extension of Time to File Answer Unopposed Motion to Extend the Time to Respond to Plaintiffs' Amended Class Action Complaint and to Reply to Plaintiffs' Forum Non Conveniens Opposition by Dawson James Securities, Inc., Great Point Capital LLC, Newbridge Securities Corporation, WestPark Capital Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
May 14, 2020 Filing 445 Unopposed MOTION for Extension of Time to File Answer by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider. (Attachments: #1 Proposed Order)(Battaglini, Kim)
May 14, 2020 Filing 444 Unopposed MOTION for Extension of Time to File Response/Reply as to #439 Response in Opposition to Motion,,,,,,,,,,,,, #440 Amended Complaint , MOTION for Extension of Time to File Answer re #440 Amended Complaint by Aegis Capital Corp., American Capital Partners, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, DFPB Investments, Inc., David A. Noyes & Company, FSC Securities Corporation, Geneos Wealth Management, Inc., Orchard Securities, LLC, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
May 14, 2020 Filing 443 Unopposed MOTION for Extension of Time to File Response/Reply to Plaintiffs' Amended Class Action Complaint and to Reply to Plaintiffs' Forum Non Conveniens Response 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)
May 13, 2020 Filing 442 Summons Issued as to Crowe, LLP. (lt)
May 13, 2020 Filing 441 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. for Crowe LLP (Weiss, Jesse) (Main Document 441 replaced on 5/13/2020 to flatten form) (lt). Modified on 5/13/2020 (lt).
May 11, 2020 Notice of Correction: re #440 Amended Complaint. Pursuant to Section 5a(3) of the District's Administrative Policies and Procedures for Electronic Filing, Amended Complaints that add parties are to be filed traditionally and not electronically. Please take note for future filing purposes. (lt)
May 8, 2020 Filing 440 AMENDED COMPLAINT against All Defendants amending #1 Complaint,., filed by Kinnie Ma Individual Retirement Account. (Attachments: #1 Exhibit A, #2 Exhibit B)(Weiss, Jesse)
May 8, 2020 Filing 439 Response in Opposition to Motion, filed by Kinnie Ma Individual Retirement Account, re #333 Motion to Dismiss for Failure to State a Claim filed by Defendant RSM US LLP, #348 MOTION to Dismiss filed by Defendant Axiom Capital Management, Inc., #325 MOTION to Dismiss filed by Defendant Mark D Martino, Defendant Jeffry Schneider, Defendant Ascendant Alternative Strategies, LLC, Defendant DJ Partners LLC, Defendant Ascendant Capital, LLC, Defendant MR Ranger LLC, #313 MOTION to Dismiss for Forum Non Conveniens filed by Defendant Lewis Financial Group n/k/a DAI Securities, LLC, Defendant Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC, Defendant American Capital Partners, LLC, Defendant Cabot Lodge Securities LLC, Defendant Madison Avenue Securities, LLC, Defendant David A. Noyes & Company, Defendant Calton & Associates, Inc., Defendant Sagepoint Financial, Inc., Defendant Center Street Securities, Inc., Defendant Great Point Capital LLC, Defendant International Assets Advisory, LLC, Defendant Arete Wealth Management, LLC, Defendant Lucia Securities LLC, Defendant IBN Financial Services, Inc., Defendant Woodbury Financial Services, Inc., Defendant WestPark Capital Inc., Defendant Uhlmann Price Securities, LLC, Defendant Money Concepts Capital Corp., Defendant Arkadios Capital, Defendant Colorado Financial Service Corporation, Defendant McDonald Partners LLC, Defendant Whitehall-Parker Securities, Inc., Defendant Aegis Capital Corp., Defendant Western International Securities, Inc., Defendant Dinosaur Financial Group, LLC, Defendant Kalos Capital, Inc., Defendant Purshe Kaplan Sterling Investments, Inc., Defendant Crown Capital Securities, LP, Defendant Vestech Securities, Inc., Defendant Vanderbilt Securities, LLC, Defendant Concorde Investment Services, LLC, Defendant Triad Advisors, LLC, Defendant Dawson James Securities, Inc., Defendant Coastal Equities, Inc., Defendant DFPB Investments, Inc., Defendant Orchard Securities, LLC, Defendant Ausdal Financial Partners, Inc., Defendant Newbridge Securities Corporation, Defendant FSC Securities Corporation, Defendant Geneos Wealth Management, Inc., Defendant Royal Alliance Associates, Inc., #417 MOTION to Dismiss for Lack of Jurisdiction filed by Defendant Bradley Wealth Management LLC, #310 MOTION to Dismiss Plaintiff's Class Action Complaint filed by Defendant United Planners' Financial Services of America, LP, #317 MOTION to Dismiss filed by Defendant GPB Waste Management Fund, LP, Defendant GPB NYC Development, LP, Defendant GPB Holdings III, LP, Defendant GPB Holdings II, LP, Defendant GPB Holdings Qualified, LP, Defendant GPB Automotive Portfolio, LP, Defendant GPB Capital Holdings, LLC, Defendant GPB Holdings, LP, Defendant GPB Cold Storage, LP, #416 MOTION to Dismiss filed by Defendant David Gentile (Attachments: #1 Declaration of Peter S. Linden, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Weiss, Jesse) (Attachment 2 replaced on 5/11/2020 to flatten form) (Attachment 3 replaced on 5/11/2020 to flatten form) (lt).
May 6, 2020 Opinion or Order Filing 438 ORDER GRANTING Plaintiff's #437 Unopposed Motion for Additional Pages to Respond to Forum Non Conveniens Arguments. Signed by Judge Lee Yeakel. (lt)
May 5, 2020 Filing 437 Unopposed MOTION for Leave to Exceed Page Limitation by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
May 4, 2020 Filing 436 NOTICE of Change of Law Firm Affiliation by Kinnie Ma Individual Retirement Account (Weiss, Jesse)
April 13, 2020 Opinion or Order Filing 435 ORDER GRANTING #434 Motion to Substitute Attorney. Yusuf A. Bajaw is WITHDRAWN as counsel for BCG Securities Inc. and Martin S. Schexnayder is added. Signed by Judge Lee Yeakel. (lt)
April 9, 2020 Filing 434 Unopposed MOTION to Substitute Attorney by BCG Securities Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin)
April 7, 2020 Opinion or Order Filing 433 ORDER GRANTING Plaintiff's #431 Unopposed Motion to Extend Deadline to Respond to Motions to Dismiss or to Amend. Signed by Judge Lee Yeakel. (lt)
April 6, 2020 Filing 432 NOTICE of Change of Address by Kim Bernard Battaglini. (lt)
April 6, 2020 Filing 431 Unopposed MOTION for Extension of Time to File Response/Reply as to #325 MOTION to Dismiss , #349 Motion to Dismiss for Failure to State a Claim , #347 Opposed Motion to Dismiss for Failure to State a Claim , #313 MOTION to Dismiss for Forum Non Conveniens, #333 Motion to Dismiss for Failure to State a Claim , #330 MOTION to Dismiss , #417 MOTION to Dismiss for Lack of Jurisdiction , #329 MOTION to Dismiss for Lack of Jurisdiction , #348 MOTION to Dismiss , #346 Opposed Motion to Dismiss for Failure to State a Claim , #420 MOTION to Dismiss for Lack of Jurisdiction and Improper Venue Motion to Dismiss for Failure to State a Claim , #310 MOTION to Dismiss Plaintiff's Class Action Complaint, #344 MOTION to Dismiss for Lack of Personal Jurisdiction, #405 Motion to Dismiss for Failure to State a Claim , Joining in Co-Defendants' Motion to Dismiss Class Action Complaint, #410 MOTION to Dismiss [Rule 12(b)(6)], #327 Supplemental MOTION to Dismiss Plaintiff's Complaint and Brief in Support Under Federal Rules of Civil Procedure 12(b)(3) and(6), #317 MOTION to Dismiss , #416 MOTION to Dismiss , #328 MOTION to Dismiss for Lack of Jurisdiction , #324 MOTION to Dismiss Class Action Complaint by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
April 1, 2020 Filing 430 NOTICE of Change of Address by Jesse Zachary Weiss (Weiss, Jesse)
April 1, 2020 Filing 429 NOTICE of Change of Address by Ryan T. Shelton (Shelton, Ryan)
March 26, 2020 Opinion or Order Filing 428 ORDER GRANTING Plaintiff's #427 Motion for Withdrawal of Attorney Emily C. Finestone. Signed by Judge Lee Yeakel. (lt)
March 24, 2020 Filing 427 MOTION to Withdraw as Attorney Emily C. Finestone by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
March 23, 2020 Filing 426 RULE 7 DISCLOSURE STATEMENT filed by Bradley Wealth Management LLC. (Cook, Stephanie)
March 20, 2020 Opinion or Order Filing 425 ORDER GRANTING #424 Unopposed Motion to Extend Deadline to Respond to Motions to Dismiss or to Amend. Signed by Judge Lee Yeakel. (lt)
March 19, 2020 Filing 424 Unopposed MOTION for Extension of Time to File Response to Motions to Dismiss or to Amend by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
March 16, 2020 Opinion or Order Filing 423 ORDER GRANTING #419 Motion for William F. McGovern to Appear Pro Hac Vice on behalf of David Gentile. 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)
March 16, 2020 Opinion or Order Filing 422 ORDER GRANTING #418 Motion for Leif T. Simonson to Appear Pro Hac Vice on behalf of David Gentile. 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)
March 16, 2020 Filing 421 RULE 7 DISCLOSURE STATEMENT filed by Phoenix American Financial Services, Inc.. (Ashby, Danny)
March 16, 2020 Filing 420 MOTION to Dismiss for Lack of Jurisdiction and Improper Venue, Motion to Dismiss for Failure to State a Claim by Phoenix American Financial Services, Inc.. (Attachments: #1 Exhibit Petrecky Declaration)(Ashby, Danny)
March 13, 2020 Filing 419 MOTION to Appear Pro Hac Vice by Chris Lee Gilbert for William F. McGovern ( Filing fee $ 100 receipt number 0542-13342525) by on behalf of David Gentile. (Gilbert, Chris)
March 13, 2020 Filing 418 MOTION to Appear Pro Hac Vice by Chris Lee Gilbert for Leif T. Simonson ( Filing fee $ 100 receipt number 0542-13342522) by on behalf of David Gentile. (Gilbert, Chris)
March 9, 2020 Filing 417 MOTION to Dismiss for Lack of Jurisdiction by Bradley Wealth Management LLC. (Attachments: #1 Exhibit Declaration of Michael Bradley)(Cook, Stephanie)
March 6, 2020 Filing 416 MOTION to Dismiss by David Gentile. (Gilbert, Chris)
March 6, 2020 Opinion or Order Filing 415 ORDER GRANTING #413 Unopposed Motion for Extension of Time to Respond to Complaint; David Gentile answer due 3/6/2020. Signed by Judge Lee Yeakel. (lt)
March 4, 2020 Filing 413 Unopposed MOTION for Extension of Time to File Answer by David Gentile. (Attachments: #1 Proposed Order Proposed Order)(Gilbert, Chris)
February 26, 2020 Opinion or Order Filing 412 ORDER GRANTING #408 Motion for Extension of Time to Respond to Complaint; Bradley Wealth Management LLC answer due 3/9/2020. Signed by Judge Lee Yeakel. (lt)
February 26, 2020 Filing 411 RULE 7 DISCLOSURE STATEMENT filed by MSC-BD, LLC. (Callahan, Daniel)
February 26, 2020 Filing 410 MOTION to Dismiss [Rule 12(b)(6)] by MSC-BD, LLC. (Callahan, Daniel)
February 26, 2020 Opinion or Order Filing 409 ORDER GRANTING #404 Motion for Nathan W. Lamb to Appear Pro Hac Vice on behalf of Bradley Wealth Mgmt, 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)
February 25, 2020 Filing 408 Agreed MOTION for Extension of Time to File Answer by Bradley Wealth Management LLC. (Attachments: #1 Proposed Order)(Cook, Stephanie)
February 24, 2020 Filing 407 Unopposed MOTION for Extension of Time to Amend #325 MOTION to Dismiss , #349 Motion to Dismiss for Failure to State a Claim , #347 Opposed Motion to Dismiss for Failure to State a Claim , #313 MOTION to Dismiss for Forum Non Conveniens, #333 Motion to Dismiss for Failure to State a Claim , #330 MOTION to Dismiss , #329 MOTION to Dismiss for Lack of Jurisdiction , #348 MOTION to Dismiss , #346 Opposed Motion to Dismiss for Failure to State a Claim , #310 MOTION to Dismiss Plaintiff's Class Action Complaint, #344 MOTION to Dismiss for Lack of Personal Jurisdiction, #327 Supplemental MOTION to Dismiss Plaintiff's Complaint and Brief in Support Under Federal Rules of Civil Procedure 12(b)(3) and(6), #317 MOTION to Dismiss , #328 MOTION to Dismiss for Lack of Jurisdiction , #324 MOTION to Dismiss Class Action Complaint by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order on Unopposed Amended Motion to Extend Deadline)(Weiss, Jesse)
February 24, 2020 Filing 406 Unopposed Amended MOTION to Extend Deadline to Respond to Motions to Dismiss or to Amend Pursuant to FRCP 15(a)(1) by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Proposed Order on Unopposed Amd Motion to Extend Deadline to Respond to Motions to Dismiss or to Amend Pursuant to FRCP 15(a)(1))(Weiss, Jesse) Modified on 2/25/2020 (lt).
February 24, 2020 Filing 405 Motion to Dismiss for Failure to State a Claim , Joining in Co-Defendants' Motion to Dismiss Class Action Complaint by HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan)
February 24, 2020 Filing 404 MOTION to Appear Pro Hac Vice by Stephanie Hayes Cook for Nathan W. Lamb ( Filing fee $ 100 receipt number 0542-13248043) on behalf of Bradley Wealth Management LLC. (Cook, Stephanie) (Main Document 404 replaced on 2/24/2020 to flatten form) (lt). Modified on 2/24/2020 (lt).
February 19, 2020 Filing 403 Response in Opposition to Motion, filed by Aegis Capital Corp., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Cabot Lodge Securities LLC, Calton & Associates, Inc., Center Street Securities, Inc., Coastal Equities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Crown Capital Securities, LP, DFPB Investments, Inc., David A. Noyes & Company, Dawson James Securities, Inc., Dinosaur Financial Group, LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, IBN Financial Services, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lucia Securities LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, Money Concepts Capital Corp., Newbridge Securities Corporation, Orchard Securities, LLC, Purshe Kaplan Sterling Investments, Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC, Triad Advisors, LLC, Uhlmann Price Securities, LLC, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc., re #398 MOTION for Extension of Time to File Response/Reply as to #325 MOTION to Dismiss , #349 Motion to Dismiss for Failure to State a Claim , #347 Opposed Motion to Dismiss for Failure to State a Claim , #313 MOTION to filed by Plaintiff Kinnie Ma Individual Retirement Account (Attachments: #1 Proposed Order)(Lucas, Janine)
February 13, 2020 Filing 402 RULE 7 DISCLOSURE STATEMENT filed by Capital Investment Group, Inc.. (Ruiz, James)
February 13, 2020 Filing 401 RULE 7 DISCLOSURE STATEMENT filed by Dempsey Lord Smith, LLC. (Ruiz, James)
February 13, 2020 Filing 400 RULE 7 DISCLOSURE STATEMENT filed by Cascade Financial Management, Inc.. (Ruiz, James)
February 12, 2020 Opinion or Order Filing 399 ORDER GRANTING #345 Defendant McDonald Partners LLC's Unopposed Motion to Substitute Attorney. Signed by Judge Lee Yeakel. (jv2)
February 12, 2020 Filing 398 MOTION for Extension of Time to File Response/Reply as to #325 MOTION to Dismiss , #349 Motion to Dismiss for Failure to State a Claim , #347 Opposed Motion to Dismiss for Failure to State a Claim , #313 MOTION to Dismiss for Forum Non Conveniens, #333 Motion to Dismiss for Failure to State a Claim , #330 MOTION to Dismiss , #329 MOTION to Dismiss for Lack of Jurisdiction , #348 MOTION to Dismiss , #346 Opposed Motion to Dismiss for Failure to State a Claim , #310 MOTION to Dismiss Plaintiff's Class Action Complaint, #344 MOTION to Dismiss for Lack of Personal Jurisdiction, #327 Supplemental MOTION to Dismiss Plaintiff's Complaint and Brief in Support Under Federal Rules of Civil Procedure 12(b)(3) and(6), #317 MOTION to Dismiss , #328 MOTION to Dismiss for Lack of Jurisdiction , #324 MOTION to Dismiss Class Action Complaint by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
February 12, 2020 Filing 397 RULE 7 DISCLOSURE STATEMENT filed by Detalus Securities, LLC. (Ruiz, James)
February 10, 2020 Filing 396 NOTICE of Attorney Appearance by Stephanie Hayes Cook on behalf of Bradley Wealth Management LLC. Attorney Stephanie Hayes Cook added to party Bradley Wealth Management LLC(pty:dft) (Cook, Stephanie)
February 7, 2020 Opinion or Order Filing 395 ORDER GRANTING #391 Motion for John Gavin to Appear Pro Hac Vice on behalf of Hightower Securities, 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)
February 7, 2020 Opinion or Order Filing 394 ORDER GRANTING #390 Motion for Michael DeMarco to Appear Pro Hac Vice on behalf of Hightower Securities, 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)
February 7, 2020 Opinion or Order Filing 393 ORDER GRANTING #389 Motion for Stephen Topetzes to Appear Pro Hac Vice on behalf of Hightower Securities, 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)
February 7, 2020 Opinion or Order Filing 392 ORDER GRANTING #388 Motion for Extension of Time to Respond to Complaint ; HighTower Securities, LLC answer due 2/24/2020. Signed by Judge Lee Yeakel. (lt)
February 6, 2020 Filing 391 MOTION to Appear Pro Hac Vice by Jonathan R. Dotson - John Gavin - ( Filing fee $ 100 receipt number 0542-13178042) by on behalf of HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan)
February 6, 2020 Filing 390 MOTION to Appear Pro Hac Vice by Jonathan R. Dotson - Michael DeMarco - ( Filing fee $ 100 receipt number 0542-13178041) by on behalf of HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan)
February 6, 2020 Filing 389 MOTION to Appear Pro Hac Vice by Jonathan R. Dotson - Stephen Topetzes - ( Filing fee $ 100 receipt number 0542-13178039) by on behalf of HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan) (Main Document 389 replaced on 2/7/2020 to flatten form) (jv2). Modified on 2/7/2020 (jv2).
February 6, 2020 Filing 388 MOTION for Extension of Time to File Answer re #1 Complaint, by HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan)
February 6, 2020 Filing 387 RULE 7 DISCLOSURE STATEMENT filed by Axiom Capital Management, Inc.. (Stokes, Peter)
February 5, 2020 Filing 386 RULE 7 DISCLOSURE STATEMENT filed by Stephen A. Kohn & Associates, Ltd.. (Callahan, Daniel)
February 5, 2020 Filing 385 NOTICE of Change of Address by Attorney Andrea Ann Ortiz. (lt)
February 4, 2020 Filing 384 RULE 7 DISCLOSURE STATEMENT filed by Dinosaur Financial Group, LLC. (Nielsen, Matthew)
February 4, 2020 Filing 383 RULE 7 DISCLOSURE STATEMENT filed by American Capital Partners, LLC. (Ewell, Gary)
February 4, 2020 Filing 382 RULE 7 DISCLOSURE STATEMENT filed by Aegis Capital Corp.. (Ewell, Gary)
February 4, 2020 Filing 381 RULE 7 DISCLOSURE STATEMENT filed by Whitehall-Parker Securities, Inc.. (Ewell, Gary)
February 3, 2020 Filing 380 RULE 7 DISCLOSURE STATEMENT filed by SCF Securities, Inc.. (Kessler, Gary)
February 3, 2020 Filing 379 RULE 7 DISCLOSURE STATEMENT filed by McNally Financial Services Corporation. (Kessler, Gary)
February 3, 2020 Filing 378 RULE 7 DISCLOSURE STATEMENT filed by Lowell & Company, Inc.. (Kessler, Gary)
February 3, 2020 Filing 377 RULE 7 DISCLOSURE STATEMENT filed by Emerson Equity LLC. (Kessler, Gary)
February 3, 2020 Filing 376 MOTION FOR LEAVE TO FILE CONFIDENTIAL DOCUMENT UNDER SEAL re #317 MOTION to Dismiss 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)
February 3, 2020 Filing 375 RULE 7 DISCLOSURE STATEMENT filed by Moloney Securities Co., Inc.. (Turner, Matthew)
February 3, 2020 Filing 374 RULE 7 DISCLOSURE STATEMENT filed by Lion Street Financial LLC. (Schexnayder, Martin)
February 3, 2020 Filing 373 RULE 7 DISCLOSURE STATEMENT filed by Lucia Securities LLC. (Stokes, Peter)
February 3, 2020 Filing 372 RULE 7 DISCLOSURE STATEMENT filed by GPB Capital Holdings, LLC. (Rosenfeld, Tab)
February 3, 2020 Filing 371 RULE 7 DISCLOSURE STATEMENT filed by GPB Automotive Portfolio, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 370 RULE 7 DISCLOSURE STATEMENT filed by GPB Cold Storage, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 369 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings II, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 368 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 367 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings III, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 366 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings Qualified, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 365 RULE 7 DISCLOSURE STATEMENT filed by GPB Waste Management Fund, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 364 RULE 7 DISCLOSURE STATEMENT filed by GPB NYC Development, LP. (Rosenfeld, Tab)
February 3, 2020 Filing 363 RULE 7 DISCLOSURE STATEMENT filed by Madison Avenue Securities, LLC. (Stokes, Peter)
February 3, 2020 Filing 362 RULE 7 DISCLOSURE STATEMENT filed by BCG Securities Inc.. (Bajwa, Yusuf)
February 3, 2020 Filing 361 RULE 7 DISCLOSURE STATEMENT filed by Kalos Capital, Inc.. (Stokes, Peter)
February 3, 2020 Filing 360 RULE 7 DISCLOSURE STATEMENT filed by Calton & Associates, Inc.. (Stokes, Peter)
February 3, 2020 Filing 359 RULE 7 DISCLOSURE STATEMENT filed by Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC. (Benson, Carter)
February 3, 2020 Filing 358 RULE 7 DISCLOSURE STATEMENT filed by Money Concepts Capital Corp.. (Benson, Carter)
February 3, 2020 Filing 357 RULE 7 DISCLOSURE STATEMENT filed by International Assets Advisory, LLC. (Stokes, Peter)
February 1, 2020 Filing 356 RULE 7 DISCLOSURE STATEMENT filed by Cabot Lodge Securities LLC. (Fischbein, Lewis)
February 1, 2020 Filing 355 RULE 7 DISCLOSURE STATEMENT filed by Purshe Kaplan Sterling Investments, Inc.. (Fischbein, Lewis)
February 1, 2020 Filing 354 RULE 7 DISCLOSURE STATEMENT filed by Woodbury Financial Services, Inc.. (Ewell, Gary)
February 1, 2020 Filing 353 RULE 7 DISCLOSURE STATEMENT filed by Western International Securities, Inc.. (Ewell, Gary)
February 1, 2020 Filing 352 RULE 7 DISCLOSURE STATEMENT filed by Sagepoint Financial, Inc.. (Ewell, Gary)
February 1, 2020 Filing 351 RULE 7 DISCLOSURE STATEMENT filed by Royal Alliance Associates, Inc.. (Ewell, Gary)
February 1, 2020 Filing 350 RULE 7 DISCLOSURE STATEMENT filed by FSC Securities Corporation. (Ewell, Gary)
January 31, 2020 Filing 349 Motion to Dismiss for Failure to State a Claim by Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, Inc.. (Attachments: #1 Affidavit Supporting Declaration of J. Peter Purcell, #2 Supporting Declaration of Craig Gould)(Fischbein, Lewis)
January 31, 2020 Filing 348 MOTION to Dismiss by Axiom Capital Management, Inc.. (Attachments: #1 Proposed Order)(Stokes, Peter)
January 31, 2020 Filing 347 Opposed Motion to Dismiss for Failure to State a Claim by National Securities Corporation. (Attachments: #1 Proposed Order)(Ruiz, James)
January 31, 2020 Filing 346 Opposed Motion to Dismiss for Failure to State a Claim by Capital Investment Group, Inc., Cascade Financial Management, Inc., Dempsey Lord Smith, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
January 31, 2020 Filing 345 Unopposed MOTION to Substitute Attorney Gerard G. Pecht and Peter A. Stokes in Place of Michael N. Ungar by McDonald Partners LLC. (Attachments: #1 Proposed Order)(Stokes, Peter)
January 31, 2020 Filing 344 MOTION to Dismiss for Lack of Personal Jurisdiction by Dawson James Securities, Inc.. (Attachments: #1 Affidavit Declaration of Robert D. Keyser, Jr., #2 Proposed Order)(Ravel, J.)
January 31, 2020 Filing 343 RULE 7 DISCLOSURE STATEMENT filed by Triad Advisors, LLC. (Quinn, John)
January 31, 2020 Filing 342 RULE 7 DISCLOSURE STATEMENT filed by Dawson James Securities, Inc.. (Ravel, J.)
January 31, 2020 Filing 341 RULE 7 DISCLOSURE STATEMENT filed by Uhlmann Price Securities, LLC. (Quinn, John)
January 31, 2020 Filing 340 RULE 7 DISCLOSURE STATEMENT filed by Lewis Financial Group n/k/a DAI Securities, LLC. (Quinn, John)
January 31, 2020 Filing 339 RULE 7 DISCLOSURE STATEMENT filed by Colorado Financial Service Corporation. (Quinn, John)
January 31, 2020 Filing 338 RULE 7 DISCLOSURE STATEMENT filed by Concorde Investment Services, LLC. (Quinn, John)
January 31, 2020 Filing 337 RULE 7 DISCLOSURE STATEMENT filed by Center Street Securities, Inc.. (Quinn, John)
January 31, 2020 Filing 336 RULE 7 DISCLOSURE STATEMENT filed by Vestech Securities, Inc.. (Quinn, John)
January 31, 2020 Filing 335 RULE 7 DISCLOSURE STATEMENT filed by RSM US LLP. (Hoover, Kathryn)
January 31, 2020 Filing 334 RULE 7 DISCLOSURE STATEMENT filed by IBN Financial Services, Inc.. (Quinn, John)
January 31, 2020 Filing 333 Motion to Dismiss for Failure to State a Claim by RSM US LLP. (Attachments: #1 Proposed Order, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C)(Hoover, Kathryn)
January 31, 2020 Filing 332 RULE 7 DISCLOSURE STATEMENT filed by United Planners' Financial Services of America, LP. (Temkin, Barry)
January 31, 2020 Filing 331 ATTACHMENT Amended Proposed Order on Motion to Dismiss for Lack of Personal Jurisdiction re #328 by Whitehall-Parker Securities, Inc.. (Ewell, Gary) Modified on 1/31/2020 (lt).
January 31, 2020 Filing 330 MOTION to Dismiss by Detalus Securities, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
January 31, 2020 Filing 329 MOTION to Dismiss for Lack of Jurisdiction by David A. Noyes & Company. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary)
January 31, 2020 Filing 328 MOTION to Dismiss for Lack of Jurisdiction by Whitehall-Parker Securities, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary)
January 31, 2020 Filing 327 Supplemental MOTION to Dismiss Plaintiff's Complaint and Brief in Support Under Federal Rules of Civil Procedure 12(b)(3) and(6) by Mori Huston Partners LLC. (Attachments: #1 Affidavit Declaration of Robert Mori)(Alcala, Juan)
January 31, 2020 Filing 326 RULE 7 DISCLOSURE STATEMENT filed by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC. (Battaglini, Kim)
January 31, 2020 Filing 325 MOTION to Dismiss by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider. (Battaglini, Kim)
January 31, 2020 Filing 324 MOTION to Dismiss Class Action Complaint by Aegis Capital Corp., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., BCG Securities Inc., Cabot Lodge Securities LLC, Calton & Associates, Inc., Center Street Securities, Inc., Coastal Equities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Crown Capital Securities, LP, DFPB Investments, Inc., David A. Noyes & Company, Dawson James Securities, Inc., Dinosaur Financial Group, LLC, Emerson Equity LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, IBN Financial Services, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., Mori Huston Partners LLC, Newbridge 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., Titan Securities, Triad Advisors, LLC, Uhlmann Price Securities, LLC, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Exhibit Exhibit A)(Kessler, Gary)
January 31, 2020 Opinion or Order Filing 323 ORDER GRANTING #302 Motion for Nancy L. Hendrickson to Appear Pro Hac Vice on behalf of Great Point Capital 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. (jv2)
January 31, 2020 Opinion or Order Filing 322 ORDER GRANTING #300 Motion for Nancy L. Hendrickson to Appear Pro Hac Vice on behalf of WestPark Capital 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. (jv2)
January 31, 2020 Filing 321 RULE 7 DISCLOSURE STATEMENT filed by Orchard Securities, LLC. (Sterling, Jonathan)
January 31, 2020 Filing 320 RULE 7 DISCLOSURE STATEMENT filed by Arkadios Capital. (Sterling, Jonathan)
January 31, 2020 Opinion or Order Filing 319 ORDER GRANTING #305 Motion for Nancy L. Hendrickson to Appear Pro Hac Vice on behalf of Arete Wealth Management. 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. (jv2)
January 31, 2020 Filing 318 RULE 7 DISCLOSURE STATEMENT filed by DFPB Investments, Inc.. (Sterling, Jonathan)
January 31, 2020 Filing 317 MOTION to Dismiss 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 Declaration of Jennifer Bergenfeld, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F)(Rosenfeld, Tab)
January 31, 2020 Filing 316 RULE 7 DISCLOSURE STATEMENT filed by Geneos Wealth Management, Inc.. (Sterling, Jonathan)
January 31, 2020 Filing 315 RULE 7 DISCLOSURE STATEMENT filed by Ausdal Financial Partners, Inc.. (Saretsky, Gary)
January 31, 2020 Filing 314 RULE 7 DISCLOSURE STATEMENT filed by Crown Capital Securities, LP. (Saretsky, Gary)
January 31, 2020 Filing 313 MOTION to Dismiss for Forum Non Conveniens by Aegis Capital Corp., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Cabot Lodge Securities LLC, Calton & Associates, Inc., Center Street Securities, Inc., Coastal Equities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Crown Capital Securities, LP, DFPB Investments, Inc., David A. Noyes & Company, Dawson James Securities, Inc., Dinosaur Financial Group, LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, IBN Financial Services, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lucia Securities LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, Money Concepts Capital Corp., Newbridge Securities Corporation, Orchard Securities, LLC, Purshe Kaplan Sterling Investments, Inc., Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC, Triad Advisors, LLC, Uhlmann Price Securities, LLC, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Exhibit A - GPB Holdings II PPM, #2 Exhibit B - GPB Holdings II Subscription Agreement)(Saretsky, Gary) (Attachment 2 replaced on 1/31/2020 to flatten document) (lt). Modified on 1/31/2020 (lt).
January 31, 2020 Opinion or Order Filing 312 ORDER GRANTING #301 Motion for Nancy L. Hendrickson to Appear Pro Hac Vice on behalf of Newbridge Securities. 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. (jv2)
January 31, 2020 Opinion or Order Filing 311 ORDER DISMISSING WITHOUT PREJUDICE All Claims Alleged by Plaintiff against DH Hill Securities, LLLP, GVC Capital LLC, Investment Architects, Inc., Private Client Services, LLC, Wilmington Capital Securities, LLC, Avere Financial Group, LLC n/k/a Parsonex Capital Markets LLC and Cape Securities, Inc. Signed by Judge Lee Yeakel. (jv2)
January 31, 2020 Filing 310 MOTION to Dismiss Plaintiff's Class Action Complaint by United Planners' Financial Services of America, LP. (Attachments: #1 Affidavit Dave Hauer, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Memo in Support)(Temkin, Barry)
January 31, 2020 Filing 309 Unopposed MOTION For Leave to Exceed Page Limits 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)
January 30, 2020 Filing 308 NOTICE of Attorney Appearance by Sven Stricker on behalf of Great Point Capital LLC, WestPark Capital Inc. (Stricker, Sven)
January 30, 2020 Filing 307 NOTICE of Attorney Appearance by Sven Stricker on behalf of Titan Securities. Attorney Sven Stricker added to party Titan Securities(pty:dft) (Stricker, Sven)
January 30, 2020 Opinion or Order Filing 306 ORDER GRANTING #297 Motion to Substitute Attorney. Signed by Judge Lee Yeakel. (jv2)
January 30, 2020 Filing 305 MOTION to Appear Pro Hac Vice by James G. Ruiz (Nancy L. Hendrickson) ( Filing fee $ 100 receipt number 0542-13143993) by on behalf of Arete Wealth Management, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
January 29, 2020 Filing 304 NOTICE of Voluntary Dismissal by Kinnie Ma Individual Retirement Account (Weiss, Jesse)
January 29, 2020 Filing 303 NOTICE of Attorney Appearance by Kim Bernard Battaglini on behalf of Ascendant Alternative Strategies, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino. Attorney Kim Bernard Battaglini added to party Ascendant Alternative Strategies, LLC(pty:dft), Attorney Kim Bernard Battaglini added to party DJ Partners LLC(pty:dft), Attorney Kim Bernard Battaglini added to party MR Ranger LLC(pty:dft), Attorney Kim Bernard Battaglini added to party Mark D Martino(pty:dft) (Battaglini, Kim)
January 29, 2020 Filing 302 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on Behalf of Nancy L. Hendrickson ( Filing fee $ 100 receipt number 0542-13139017) by on behalf of Great Point Capital LLC. (Attachments: #1 Proposed Order)(Ravel, J.)
January 29, 2020 Filing 301 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on Behalf of Nancy L. Hendrickson ( Filing fee $ 100 receipt number 0542-13138999) by on behalf of Newbridge Securities Corporation. (Attachments: #1 Proposed Order)(Ravel, J.)
January 29, 2020 Filing 300 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on Behalf of Nancy L. Hendrickson ( Filing fee $ 100 receipt number 0542-13138967) by on behalf of WestPark Capital Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
January 29, 2020 Filing 299 NOTICE of Attorney Appearance by Gary M. Saretsky on behalf of DFPB Investments, Inc., Orchard Securities, LLC. Attorney Gary M. Saretsky added to party DFPB Investments, Inc.(pty:dft), Attorney Gary M. Saretsky added to party Orchard Securities, LLC(pty:dft) (Saretsky, Gary)
January 29, 2020 Filing 298 NOTICE of Attorney Appearance by Janine M. Lucas on behalf of DFPB Investments, Inc., Orchard Securities, LLC. Attorney Janine M. Lucas added to party DFPB Investments, Inc.(pty:dft), Attorney Janine M. Lucas added to party Orchard Securities, LLC(pty:dft) (Lucas, Janine)
January 29, 2020 Filing 297 MOTION to Substitute Attorney Jonathan M. Sterling by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Sterling, Jonathan)
January 29, 2020 Filing 296 NOTICE of Attorney Appearance by Jonathan M. Sterling on behalf of DFPB Investments, Inc., Orchard Securities, LLC. Attorney Jonathan M. Sterling added to party DFPB Investments, Inc.(pty:dft), Attorney Jonathan M. Sterling added to party Orchard Securities, LLC(pty:dft) (Sterling, Jonathan)
January 27, 2020 Opinion or Order Filing 295 ORDER GRANTING #294 Motion for J. Gordon Cooney, Jr. to Appear Pro Hac Vice on behalf of Phoenix American 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)
January 22, 2020 Filing 294 MOTION to Appear Pro Hac Vice by Danny S. Ashby J. Gordon Cooney, Jr. ( Filing fee $ 100 receipt number 0542-13109068) by on behalf of Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ashby, Danny)
January 22, 2020 Opinion or Order Filing 293 ORDER GRANTING #289 Motion for Extension of Time to Respond to Complaint ; Phoenix American Financial Services, Inc. answer due 3/16/2020. Signed by Judge Lee Yeakel. (lt)
January 21, 2020 Filing 292 ATTACHMENT Proposed Order to #288 Response in Opposition to Motion, by Cape Securities, Inc., Investment Architects, Inc., Private Client Services, LLC. (Ravel, J.)
January 21, 2020 Opinion or Order Filing 291 ORDER GRANTING #284 Motion for Kayvan B. Sadeghi to Appear Pro Hac Vice on behalf of Dawson James Securities, 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)
January 21, 2020 Filing 290 DEFICIENCY NOTICE: re #288 Response in Opposition to Motion, (lt)
January 17, 2020 Filing 289 Opposed MOTION for Extension of Time to File Answer by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ashby, Danny)
January 17, 2020 Filing 288 Response in Opposition to Motion, filed by Cape Securities, Inc., Investment Architects, Inc., Private Client Services, LLC, re #263 MOTION for Consolidated Briefing filed by Plaintiff Kinnie Ma Individual Retirement Account (Ravel, J.)
January 17, 2020 Filing 287 NOTICE of Attorney Appearance by J. Stephen Ravel on behalf of Cape Securities, Inc., Investment Architects, Inc., Private Client Services, LLC (Ravel, J.)
January 17, 2020 Filing 286 Response in Opposition to Motion, filed by Aegis Capital Corp., American Capital Partners, LLC, Arkadios Capital, Crown Capital Securities, LP, DH Hill Securities, LLLP, FSC Securities Corporation, Geneos Wealth Management, Inc., Orchard Securities, LLC, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc., re #263 MOTION for Consolidated Briefing filed by Plaintiff Kinnie Ma Individual Retirement Account (Attachments: #1 Proposed Order)(Ewell, Gary)
January 17, 2020 Filing 285 Response in Opposition to Motion, filed by United Planners' Financial Services of America, LP, re #263 MOTION for Consolidated Briefing filed by Plaintiff Kinnie Ma Individual Retirement Account (Attachments: #1 Proposed Order)(Temkin, Barry)
January 15, 2020 Filing 284 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on Behalf of Kayvan B. Sadeghi ( Filing fee $ 100 receipt number 0542-13082781) by on behalf of Dawson James Securities, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
January 15, 2020 Opinion or Order Filing 283 ORDER GRANTING #275 Motion for Steven Vanderporten to Appear Pro Hac Vice on behalf of David A. Noyes & Company. 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)
January 15, 2020 Opinion or Order Filing 282 ORDER GRANTING #274 Motion for David E. Koropp to Appear Pro Hac Vice on behalf of David A. Noyes & Company. 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)
January 15, 2020 Opinion or Order Filing 281 ORDER GRANTING #273 Motion to Substitute Attorney. ORDER WITHDRAWING Martin S. Schexnayder as counsel for Phoenix American and SUBSTITUTING Danny S. Ashby. Signed by Judge Lee Yeakel. (lt)
January 15, 2020 Opinion or Order Filing 280 ORDER GRANTING #268 Motion for Steven M. Farina to Appear Pro Hac Vice on behalf of RSM US LLP. 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. (jv2)
January 15, 2020 Opinion or Order Filing 279 ORDER GRANTING #269 Motion for Kathryn E. Hoover to Appear Pro Hac Vice on behalf of RSM US LLP. 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. (jv2)
January 15, 2020 Opinion or Order Filing 278 ORDER GRANTING #267 Motion for Katherine M. Turner to Appear Pro Hac Vice on behalf of RSM US LLP. 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. (jv2)
January 15, 2020 Opinion or Order Filing 277 ORDER GRANTING #266 Motion for Kaitlin J. Beach to Appear Pro Hac Vice on behalf of RSM US LLP. 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. (jv2)
January 15, 2020 Opinion or Order Filing 276 ORDER GRANTING #270 Motion for Gerard John Kowalski to Appear Pro Hac Vice on behalf of Concorde Inv. Services 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. (jv2)
January 14, 2020 Filing 275 MOTION to Appear Pro Hac Vice by Gary Ewell on behalf of Steven Vanderporten ( Filing fee $ 100 receipt number 0542-13074205) by on behalf of David A. Noyes & Company. (Attachments: #1 Proposed Order)(Ewell, Gary)
January 14, 2020 Filing 274 MOTION to Appear Pro Hac Vice by Gary Ewell on behalf of David E. Koropp ( Filing fee $ 100 receipt number 0542-13072752) by on behalf of David A. Noyes & Company. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary)
January 13, 2020 Filing 273 Unopposed MOTION to Substitute Attorney Danny S. Ashby by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ashby, Danny)
January 13, 2020 Filing 272 DEFICIENCY NOTICE: re #271 Stipulation (lt)
January 13, 2020 Filing 271 STIPULATION Agreed by Phoenix American Financial Services, Inc.. (Schexnayder, Martin)
January 13, 2020 Filing 270 MOTION to Appear Pro Hac Vice by James G. Ruiz (Gerard John Kowalski) ( Filing fee $ 100 receipt number 0542-13068950) by on behalf of Concorde Investment Services, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
January 13, 2020 Filing 269 MOTION to Appear Pro Hac Vice by Katherine Patrice Chiarello for Kathryn E. Hoover ( Filing fee $ 100 receipt number 0542-13067708) by on behalf of RSM US LLP. (Attachments: #1 Proposed Order)(Chiarello, Katherine)
January 13, 2020 Filing 268 MOTION to Appear Pro Hac Vice by Katherine Patrice Chiarello for Steven M. Farina ( Filing fee $ 100 receipt number 0542-13067683) by on behalf of RSM US LLP. (Attachments: #1 Proposed Order)(Chiarello, Katherine)
January 13, 2020 Filing 267 MOTION to Appear Pro Hac Vice by Katherine Patrice Chiarello for Katherine M. Turner ( Filing fee $ 100 receipt number 0542-13067651) by on behalf of RSM US LLP. (Attachments: #1 Proposed Order)(Chiarello, Katherine)
January 13, 2020 Filing 266 MOTION to Appear Pro Hac Vice by Katherine Patrice Chiarello for Kaitlin J. Beach ( Filing fee $ 100 receipt number 0542-13067346) by on behalf of RSM US LLP. (Attachments: #1 Proposed Order)(Chiarello, Katherine)
January 13, 2020 Filing 265 NOTICE of Attorney Appearance by Justin Roel Chapa on behalf of Phoenix American Financial Services, Inc.. Attorney Justin Roel Chapa added to party Phoenix American Financial Services, Inc.(pty:dft) (Chapa, Justin)
January 13, 2020 Filing 264 NOTICE of Attorney Appearance by Danny S. Ashby on behalf of Phoenix American Financial Services, Inc.. Attorney Danny S. Ashby added to party Phoenix American Financial Services, Inc.(pty:dft) (Ashby, Danny)
January 10, 2020 Filing 263 MOTION for Consolidated Briefing by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
January 9, 2020 Opinion or Order Filing 262 ORDER GRANTING #259 Motion for Andrew W. Davitt to Appear Pro Hac Vice on behalf of Concorde Investment Securities, LLC and ColoradoFinancial Services Corporation. 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)
January 9, 2020 Opinion or Order Filing 261 ORDER GRANTING #258 Motion for John P. Quinn to Appear Pro Hac Vice on behalf of Center Street Securities, Inc.; Colorado Financial Service Corporation; Concorde Investment Services, LLC; IBN Financial Services, Inc.; Lewis Financial Group n/k/a DAI Securities, LLC; Triad Advisors, LLC; Uhlmann Price Securities, LLC; Vestech Securities, 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)
January 8, 2020 Filing 260 NOTICE of Attorney Appearance by Gary Ewell on behalf of Arkadios Capital. Attorney Gary Ewell added to party Arkadios Capital(pty:dft) (Ewell, Gary)
January 7, 2020 Filing 259 MOTION to Appear Pro Hac Vice by James G. Ruiz (Andrew W. Davitt) ( Filing fee $ 100 receipt number 0542-13043322) by on behalf of Colorado Financial Service Corporation, Concorde Investment Services, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
January 7, 2020 Filing 258 MOTION to Appear Pro Hac Vice by James G. Ruiz (John P. Quinn) ( Filing fee $ 100 receipt number 0542-13039955) by on behalf of Center Street Securities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, IBN Financial Services, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Triad Advisors, LLC, Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
January 6, 2020 Opinion or Order Filing 257 ORDER GRANTING #252 Motion for Samuel E. Cohen to Appear Pro Hac Vice on behalf of Center Street Securities, Inc., DAI Securities, IBN Financial Services, Inc., Uhlmann Price Securities, LLC and (v) Vestech Securities, 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)
January 6, 2020 Opinion or Order Filing 256 ORDER GRANTING #253 Motion for Matthew D. Turner to Withdraw as Attorney with respect to Defendant Vestech Securities, Inc. Signed by Judge Lee Yeakel. (lt)
January 6, 2020 Opinion or Order Filing 255 ORDER GRANTING #251 Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading; McDonald Partners LLC answer due 1/31/2020. Signed by Judge Lee Yeakel. (lt)
January 6, 2020 Filing 254 NOTICE of Attorney Appearance by James G. Ruiz on behalf of Capital Investment Group, Inc., Dempsey Lord Smith, LLC, National Securities Corporation. Attorney James G. Ruiz added to party Capital Investment Group, Inc.(pty:dft), Attorney James G. Ruiz added to party Dempsey Lord Smith, LLC(pty:dft), Attorney James G. Ruiz added to party National Securities Corporation(pty:dft) (Ruiz, James)
January 3, 2020 Filing 253 Unopposed MOTION to Withdraw as Attorney by Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Turner, Matthew)
January 3, 2020 Filing 252 MOTION to Appear Pro Hac Vice by James G. Ruiz Motion for Admission Pro Hac Vice (Samuel E. Cohen) ( Filing fee $ 100 receipt number 0542-13029751) by on behalf of Center Street Securities, Inc., IBN Financial Services, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
December 31, 2019 Filing 251 Unopposed MOTION for Extension of Time to File Answer by McDonald Partners LLC. (Attachments: #1 Proposed Order)(Ungar, Michael)
December 30, 2019 Opinion or Order Filing 250 ORDER GRANTING #249 Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading; Phoenix American Financial Services, Inc. answer due 1/31/2020. Signed by Judge Lee Yeakel. (lt)
December 30, 2019 Filing 249 MOTION for Extension of Time to File Answer by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin)
December 30, 2019 Filing 248 NOTICE of Attorney Appearance by Martin S. Schexnayder on behalf of Phoenix American Financial Services, Inc.. Attorney Martin S. Schexnayder added to party Phoenix American Financial Services, Inc.(pty:dft) (Schexnayder, Martin)
December 27, 2019 Opinion or Order Filing 247 ORDER GRANTING Defendants' Response #231 in Support of Motion to Extend Deadline; Aegis Capital Corp. answer due 1/31/2020; American Capital Partners, LLC answer due 1/31/2020; Arkadios Capital answer due 1/31/2020; Ausdal Financial Partners, Inc. answer due 1/31/2020; Axiom Capital Management, Inc. answer due 1/31/2020; BCG Securities Inc. answer due 1/31/2020; Cabot Lodge Securities LLC answer due 1/31/2020; Calton & Associates, Inc. answer due 1/31/2020; Capital Investment Group, Inc. answer due 1/31/2020; Cascade Financial Management, Inc. answer due 1/31/2020; Center Street Securities, Inc. answer due 1/31/2020; Coastal Equities, Inc. answer due 1/31/2020; Colorado Financial Service Corporation answer due 1/31/2020; Concorde Investment Services, LLC answer due 1/31/2020; Crown Capital Securities, LP answer due 1/31/2020; DFPB Investments, Inc. answer due 1/31/2020; DH Hill Securities, LLLP answer due 1/31/2020; David A. Noyes & Company answer due 1/31/2020; Dempsey Lord Smith, LLC answer due 1/31/2020; Detalus Securities, LLC answer due 1/31/2020; Dinosaur Financial Group, LLC answer due 1/31/2020; FSC Securities Corporation answer due 1/31/2020; Geneos Wealth Management, Inc. answer due 1/31/2020; IBN Financial Services, Inc. answer due 1/31/2020; International Assets Advisory, LLC answer due 1/31/2020; Kalos Capital, Inc. answer due 1/31/2020; Lewis Financial Group n/k/a DAI Securities, LLC answer due 1/31/2020; Lion Street Financial LLC answer due 1/31/2020; Lowell & Company, Inc. answer due 1/31/2020; Madison Avenue Securities, LLC answer due 1/31/2020; McNally Financial Services Corporation answer due 1/31/2020; Moloney Securities Co., Inc. answer due 1/31/2020; Money Concepts Capital Corp. answer due 1/31/2020; Mori Huston Partners LLC answer due 1/31/2020; National Securities Corporation answer due 1/31/2020; Orchard Securities, LLC answer due 1/31/2020; Purshe Kaplan Sterling Investments, Inc. answer due 1/31/2020; Royal Alliance Associates, Inc. answer due 1/31/2020; SCF Securities, Inc. answer due 1/31/2020; Sagepoint Financial, Inc. answer due 1/31/2020; Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC answer due 1/31/2020; Stephen A. Kohn & Associates, Ltd. answer due 1/31/2020; Triad Advisors, LLC answer due 1/31/2020; Uhlmann Price Securities, LLC answer due 1/31/2020; United Planners' Financial Services of America, LP answer due 1/31/2020; Vanderbilt Securities, LLC answer due 1/31/2020; Western International Securities, Inc. answer due 1/31/2020; Whitehall-Parker Securities, Inc. answer due 1/31/2020; Woodbury Financial Services, Inc. answer due 1/31/2020. Signed by Judge Lee Yeakel. (lt)
December 27, 2019 Opinion or Order Filing 246 ORDER GRANTING #229 Unopposed Motion to Extend Deadline to File Responsive Pleading to Plaintiff's Complaint; Cape Securities, Inc. answer due 1/31/2020; Private Client Services, LLC answer due 1/31/2020. Signed by Judge Lee Yeakel. (lt)
December 27, 2019 Opinion or Order Filing 245 ORDER GRANTING #239 Motion to Extend Deadline to Answer or File Responsive Pleading; Vestech Securities, Inc. answer due 1/31/2020. Signed by Judge Lee Yeakel. (lt)
December 27, 2019 Opinion or Order Filing 244 ORDER GRANTING #238 Motion for Matthew D. Turner to Appear Pro Hac Vice on behalf of Vestech Securities, 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 27, 2019 Opinion or Order Filing 243 ORDER GRANTING #230 Motion to Withdraw J. Stephen Ravel as Attorney for Defendant International Asset Advisory, LLC. Signed by Judge Lee Yeakel. (lt)
December 27, 2019 Opinion or Order Filing 242 ORDER GRANTING #226 Motion to Extend Deadline to File Responsive Pleading to Plaintiff's Complaint ; Investment Architects, Inc. answer due 1/31/2020. Signed by Judge Lee Yeakel. (lt)
December 27, 2019 Opinion or Order Filing 241 ORDER GRANTING Defendant's #225 Motion to Extend Deadline to Answer or File Responsive Pleading; DFPB Investments, Inc. answer due 1/13/2020. Signed by Judge Lee Yeakel. (lt)
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).

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Search for this case: Kinnie Ma Individual Retirement Account v. Ascendant Capital, LLC et al
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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
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Defendant: Kingsbury Capital, Inc.
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Defendant: Innovation Partners LLC
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Defendant: Crown Capital Securities, LP
Represented By: Gary Ewell
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Uhlmann Price Securities, LLC
Represented By: James G. Ruiz
Represented By: James A. McGovern
Represented By: Samuel E. Cohen
Represented By: John P. Quinn
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Defendant: Emerson Equity LLC
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
Represented By: Bryon L. Romine
Represented By: Stephen J. Huschka
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Defendant: National Securities Corporation
Represented By: James G. Ruiz
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Defendant: David Gentile
Represented By: William F. McGovern
Represented By: Leif T. Simonson
Represented By: Chris Lee Gilbert
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Defendant: Jeffry Schneider
Represented By: Kim Bernard Battaglini
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Defendant: Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC
Represented By: Robert Eilert Weitzel
Represented By: Carter Bryce Benson
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Defendant: Money Concepts Capital Corp.
Represented By: Robert Eilert Weitzel
Represented By: Carter Bryce Benson
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Defendant: MSC-BD, LLC
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
Represented By: Bryon L. Romine
Represented By: Stephen J. Huschka
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Defendant: Cabot Lodge Securities LLC
Represented By: Lewis Stanley Fischbein
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Defendant: HighTower Securities, LLC
Represented By: John Gavin
Represented By: Stephen Topetzes
Represented By: Jonathan R. Dotson
Represented By: Michael DeMarco
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Defendant: Dinosaur Financial Group, LLC
Represented By: Matthew G. Nielsen
Represented By: M. William Munno
Represented By: David Barton Springer
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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
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Defendant: BCG Securities Inc.
Represented By: Yusuf Ahmad Bajwa
Represented By: Martin S. Schexnayder
Represented By: Erin A. Hudson
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Defendant: Coastal Equities, Inc.
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
Represented By: Dana Sirkis Gloor
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Defendant: Capital Financial Services, Inc.
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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
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Defendant: Wilmington Capital Securities, LLC
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Defendant: Royal Alliance Associates, Inc.
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Moloney Securities Co., Inc.
Represented By: Matthew D. Turner
Represented By: James G. Ruiz
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Defendant: David A. Noyes & Company
Represented By: Gary Ewell
Represented By: Alithea Z. Sullivan
Represented By: Steven Vanderporten
Represented By: David E. Koropp
Represented By: David P. Blanke
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Defendant: Geneos Wealth Management, Inc.
Represented By: Gary Ewell
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: John Doe Auditors 1 through 10
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Defendant: Financial West Group
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Defendant: Vanderbilt Securities, LLC
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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Defendant: Woodbury Financial Services, Inc.
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Lewis Financial Group n/k/a DAI Securities, LLC
Represented By: James G. Ruiz
Represented By: James A. McGovern
Represented By: Samuel E. Cohen
Represented By: John P. Quinn
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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
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Defendant: American Capital Partners, LLC
Represented By: Gary Ewell
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: DJ Partners LLC
Represented By: Kim Bernard Battaglini
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Defendant: Lucia Securities LLC
Represented By: Peter Andrew Stokes
Represented By: Gerard G. Pecht
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Defendant: Arete Wealth Management, LLC
Represented By: James G. Ruiz
Represented By: Nancy L. Hendrickson
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Defendant: Western International Securities, Inc.
Represented By: Gary Ewell
Represented By: Edward S. Zusman
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: FSC Securities Corporation
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Cascade Financial Management, Inc.
Represented By: James G. Ruiz
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Defendant: Colorado Financial Service Corporation
Represented By: James G. Ruiz
Represented By: James A. McGovern
Represented By: Samuel E. Cohen
Represented By: Andrew W. Davitt
Represented By: John P. Quinn
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Defendant: Phoenix American Financial Services, Inc.
Represented By: Martin S. Schexnayder
Represented By: Justin Roel Chapa
Represented By: J. Gordon Cooney, Jr.
Represented By: Danny S. Ashby
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Defendant: Purshe Kaplan Sterling Investments, Inc.
Represented By: Lewis Stanley Fischbein
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Defendant: Sandlapper Securities, LLC
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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
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Defendant: Mark D Martino
Represented By: Kim Bernard Battaglini
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Defendant: Ascendant Alternative Strategies, LLC
Represented By: Kim Bernard Battaglini
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Defendant: Center Street Securities, Inc.
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
Represented By: James G. Ruiz
Represented By: James A. McGovern
Represented By: Samuel E. Cohen
Represented By: John P. Quinn
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Defendant: International Assets Advisory, LLC
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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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
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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
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Defendant: Concorde Investment Services, LLC
Represented By: James G. Ruiz
Represented By: James A. McGovern
Represented By: Andrew W. Davitt
Represented By: John P. Quinn
Represented By: Gerard John Kowalski
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Defendant: Madison Avenue Securities, LLC
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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Defendant: Aeon Capital Inc.
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Defendant: Stephen A. Kohn & Associates, Ltd.
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
Represented By: Bryon L. Romine
Represented By: Stephen J. Huschka
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Defendant: Lion Street Financial LLC
Represented By: Martin S. Schexnayder
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Defendant: Calton & Associates, Inc.
Represented By: Peter Andrew Stokes
Represented By: Gerard G. Pecht
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Defendant: Whitehall-Parker Securities, Inc.
Represented By: Gary Ewell
Represented By: Abe Lampart
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Axiom Capital Management, Inc.
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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Defendant: GVC Capital LLC
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Defendant: McNally Financial Services Corporation
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
Represented By: Bryon L. Romine
Represented By: Stephen J. Huschka
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Defendant: Arkadios Capital
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
Represented By: Gary Ewell
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Bradley Wealth Management LLC
Represented By: Stephanie Hayes Cook
Represented By: Nathan W. Lamb
Represented By: Timothy C. Maloney
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Defendant: Cape Securities, Inc.
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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Defendant: Vestech Securities, Inc.
Represented By: James G. Ruiz
Represented By: Matthew D. Turner
Represented By: James A. McGovern
Represented By: Samuel E. Cohen
Represented By: John P. Quinn
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Defendant: Titan Securities
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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Defendant: Kalos Capital, Inc.
Represented By: Gerard G. Pecht
Represented By: Peter Andrew Stokes
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Defendant: Pariter Securities, LLC
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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
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Defendant: Dawson James Securities, Inc.
Represented By: Sven Stricker
Represented By: J. Stephen Ravel
Represented By: Kayvan B. Sadeghi
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Defendant: SCF Securities, Inc.
Represented By: Gary S. Kessler
Represented By: Gary Ewell
Represented By: Daniel P. Callahan
Represented By: Bryon L. Romine
Represented By: Stephen J. Huschka
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Defendant: Investment Architects, Inc.
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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Defendant: IBN Financial Services, Inc.
Represented By: James G. Ruiz
Represented By: James A. McGovern
Represented By: Samuel E. Cohen
Represented By: John P. Quinn
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Defendant: Great Point Capital LLC
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
Represented By: Nancy L. Hendrickson
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Defendant: Aegis Capital Corp.
Represented By: Gary Ewell
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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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
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Defendant: Triad Advisors, LLC
Represented By: James G. Ruiz
Represented By: James A. McGovern
Represented By: Samuel E. Cohen
Represented By: John P. Quinn
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Defendant: Ausdal Financial Partners, Inc.
Represented By: Gary Ewell
Represented By: Jonathan M. Sterling
Represented By: Janine M. Lucas
Represented By: Gary M. Saretsky
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Landolt Securities, Inc.
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Defendant: Orchard Securities, LLC
Represented By: Gary Ewell
Represented By: Gary M. Saretsky
Represented By: Janine M. Lucas
Represented By: Alithea Z. Sullivan
Represented By: Jonathan M. Sterling
Represented By: David P. Blanke
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Defendant: Capital Investment Group, Inc.
Represented By: James G. Ruiz
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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
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Defendant: Detalus Securities, LLC
Represented By: James G. Ruiz
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Defendant: Sagepoint Financial, Inc.
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
Represented By: Alithea Z. Sullivan
Represented By: David P. Blanke
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Defendant: Mori Huston Partners LLC
Represented By: Juan M. Alcala
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Defendant: Private Client Services, LLC
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
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Defendant: McDonald Partners LLC
Represented By: Peter Andrew Stokes
Represented By: Gerard G. Pecht
Represented By: Michael N. Ungar
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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
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Defendant: Lowell & Company, Inc.
Represented By: Gary S. Kessler
Represented By: Daniel P. Callahan
Represented By: Bryon L. Romine
Represented By: Stephen J. Huschka
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Defendant: Dempsey Lord Smith, LLC
Represented By: James G. Ruiz
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Defendant: Ascendant Capital, LLC
Represented By: Kim Bernard Battaglini
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Defendant: Mr Ranger LLC
Represented By: Kim Bernard Battaglini
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Defendant: RSM US LLP (f/k/a McGladrey LLP)
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Defendant: DH Hill Securities, LLLP
Represented By: Edward S. Zusman
Represented By: Gary Ewell
Represented By: Kevin K. Eng
Represented By: Tanya Durkee Urbach
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Defendant: Advisors Group Equity Services, Ltd.
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Defendant: WestPark Capital Inc.
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
Represented By: Nancy L. Hendrickson
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Defendant: DFPB Investments, Inc.
Represented By: Martin S. Schexnayder
Represented By: Gary Ewell
Represented By: Gary M. Saretsky
Represented By: Janine M. Lucas
Represented By: Alithea Z. Sullivan
Represented By: Jonathan M. Sterling
Represented By: David P. Blanke
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Defendant: Newbridge Securities Corporation
Represented By: J. Stephen Ravel
Represented By: Sven Stricker
Represented By: Nancy L. Hendrickson
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Defendant: RSM US LLP
Represented By: Christopher M. Odell
Represented By: Kaitlin J. Beach
Represented By: Katherine M. Turner
Represented By: Kathryn E. Hoover
Represented By: Katherine Patrice Chiarello
Represented By: Steven M. Farina
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Defendant: Crowe, LLP
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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
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Plaintiff: Karen Loch
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Victor Wade Individual Retirement Account
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Jeffery S. Gramm Individual Retirement Account
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Dean Crooks
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Catherine Kominos
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Stacy Greasor Individual Retirement Account
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Gracemarie Boland
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Plaintiff: Corri Rene Eden
Represented By: Jesse Zachary Weiss
Represented By: Ryan T. Shelton
Represented By: Peter S. Linden
Represented By: Richard L. Stone
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Petitioner: Millicent R. Barasch
Represented By: Lannie Todd Kelly
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