Kinnie Ma Individual Retirement Account v. Ascendant Capital, LLC et al
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 |
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 |
Millicent R. Barasch |
1:2019cv01050 |
October 25, 2019 |
US District Court for the Western District of Texas |
Lee Yeakel |
Stockholders Suits |
28:1332 |
Plaintiff |
Docket Report
This docket was last retrieved on May 18, 2020. A more recent docket listing may be available from PACER.
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Filing 467 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint by Titan Securities. (Attachments: #1 Proposed Order)(Ravel, J.) |
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) |
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) |
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) |
Filing 463 DEFICIENCY NOTICE: re #462 MOTION to Substitute Attorney (lt) |
Filing 462 MOTION to Substitute Attorney by Triad Advisors, LLC. (Urbach, Tanya) |
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) |
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) |
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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) |
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). |
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) |
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) |
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) |
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) |
Filing 447 Unopposed MOTION for Extension of Time to File Response/Reply by David Gentile. (Attachments: #1 Proposed Order)(Gilbert, Chris) |
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.) |
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) |
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) |
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) |
Filing 442 Summons Issued as to Crowe, LLP. (lt) |
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). |
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) |
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) |
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). |
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Filing 437 Unopposed MOTION for Leave to Exceed Page Limitation by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse) |
Filing 436 NOTICE of Change of Law Firm Affiliation by Kinnie Ma Individual Retirement Account (Weiss, Jesse) |
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Filing 434 Unopposed MOTION to Substitute Attorney by BCG Securities Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
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Filing 432 NOTICE of Change of Address by Kim Bernard Battaglini. (lt) |
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) |
Filing 430 NOTICE of Change of Address by Jesse Zachary Weiss (Weiss, Jesse) |
Filing 429 NOTICE of Change of Address by Ryan T. Shelton (Shelton, Ryan) |
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Filing 427 MOTION to Withdraw as Attorney Emily C. Finestone by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse) |
Filing 426 RULE 7 DISCLOSURE STATEMENT filed by Bradley Wealth Management LLC. (Cook, Stephanie) |
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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) |
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Filing 421 RULE 7 DISCLOSURE STATEMENT filed by Phoenix American Financial Services, Inc.. (Ashby, Danny) |
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) |
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) |
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) |
Filing 417 MOTION to Dismiss for Lack of Jurisdiction by Bradley Wealth Management LLC. (Attachments: #1 Exhibit Declaration of Michael Bradley)(Cook, Stephanie) |
Filing 416 MOTION to Dismiss by David Gentile. (Gilbert, Chris) |
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Filing 413 Unopposed MOTION for Extension of Time to File Answer by David Gentile. (Attachments: #1 Proposed Order Proposed Order)(Gilbert, Chris) |
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Filing 411 RULE 7 DISCLOSURE STATEMENT filed by MSC-BD, LLC. (Callahan, Daniel) |
Filing 410 MOTION to Dismiss [Rule 12(b)(6)] by MSC-BD, LLC. (Callahan, Daniel) |
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Filing 408 Agreed MOTION for Extension of Time to File Answer by Bradley Wealth Management LLC. (Attachments: #1 Proposed Order)(Cook, Stephanie) |
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) |
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). |
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) |
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). |
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) |
Filing 402 RULE 7 DISCLOSURE STATEMENT filed by Capital Investment Group, Inc.. (Ruiz, James) |
Filing 401 RULE 7 DISCLOSURE STATEMENT filed by Dempsey Lord Smith, LLC. (Ruiz, James) |
Filing 400 RULE 7 DISCLOSURE STATEMENT filed by Cascade Financial Management, Inc.. (Ruiz, James) |
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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) |
Filing 397 RULE 7 DISCLOSURE STATEMENT filed by Detalus Securities, LLC. (Ruiz, James) |
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) |
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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) |
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) |
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). |
Filing 388 MOTION for Extension of Time to File Answer re #1 Complaint, by HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan) |
Filing 387 RULE 7 DISCLOSURE STATEMENT filed by Axiom Capital Management, Inc.. (Stokes, Peter) |
Filing 386 RULE 7 DISCLOSURE STATEMENT filed by Stephen A. Kohn & Associates, Ltd.. (Callahan, Daniel) |
Filing 385 NOTICE of Change of Address by Attorney Andrea Ann Ortiz. (lt) |
Filing 384 RULE 7 DISCLOSURE STATEMENT filed by Dinosaur Financial Group, LLC. (Nielsen, Matthew) |
Filing 383 RULE 7 DISCLOSURE STATEMENT filed by American Capital Partners, LLC. (Ewell, Gary) |
Filing 382 RULE 7 DISCLOSURE STATEMENT filed by Aegis Capital Corp.. (Ewell, Gary) |
Filing 381 RULE 7 DISCLOSURE STATEMENT filed by Whitehall-Parker Securities, Inc.. (Ewell, Gary) |
Filing 380 RULE 7 DISCLOSURE STATEMENT filed by SCF Securities, Inc.. (Kessler, Gary) |
Filing 379 RULE 7 DISCLOSURE STATEMENT filed by McNally Financial Services Corporation. (Kessler, Gary) |
Filing 378 RULE 7 DISCLOSURE STATEMENT filed by Lowell & Company, Inc.. (Kessler, Gary) |
Filing 377 RULE 7 DISCLOSURE STATEMENT filed by Emerson Equity LLC. (Kessler, Gary) |
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) |
Filing 375 RULE 7 DISCLOSURE STATEMENT filed by Moloney Securities Co., Inc.. (Turner, Matthew) |
Filing 374 RULE 7 DISCLOSURE STATEMENT filed by Lion Street Financial LLC. (Schexnayder, Martin) |
Filing 373 RULE 7 DISCLOSURE STATEMENT filed by Lucia Securities LLC. (Stokes, Peter) |
Filing 372 RULE 7 DISCLOSURE STATEMENT filed by GPB Capital Holdings, LLC. (Rosenfeld, Tab) |
Filing 371 RULE 7 DISCLOSURE STATEMENT filed by GPB Automotive Portfolio, LP. (Rosenfeld, Tab) |
Filing 370 RULE 7 DISCLOSURE STATEMENT filed by GPB Cold Storage, LP. (Rosenfeld, Tab) |
Filing 369 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings II, LP. (Rosenfeld, Tab) |
Filing 368 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings, LP. (Rosenfeld, Tab) |
Filing 367 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings III, LP. (Rosenfeld, Tab) |
Filing 366 RULE 7 DISCLOSURE STATEMENT filed by GPB Holdings Qualified, LP. (Rosenfeld, Tab) |
Filing 365 RULE 7 DISCLOSURE STATEMENT filed by GPB Waste Management Fund, LP. (Rosenfeld, Tab) |
Filing 364 RULE 7 DISCLOSURE STATEMENT filed by GPB NYC Development, LP. (Rosenfeld, Tab) |
Filing 363 RULE 7 DISCLOSURE STATEMENT filed by Madison Avenue Securities, LLC. (Stokes, Peter) |
Filing 362 RULE 7 DISCLOSURE STATEMENT filed by BCG Securities Inc.. (Bajwa, Yusuf) |
Filing 361 RULE 7 DISCLOSURE STATEMENT filed by Kalos Capital, Inc.. (Stokes, Peter) |
Filing 360 RULE 7 DISCLOSURE STATEMENT filed by Calton & Associates, Inc.. (Stokes, Peter) |
Filing 359 RULE 7 DISCLOSURE STATEMENT filed by Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC. (Benson, Carter) |
Filing 358 RULE 7 DISCLOSURE STATEMENT filed by Money Concepts Capital Corp.. (Benson, Carter) |
Filing 357 RULE 7 DISCLOSURE STATEMENT filed by International Assets Advisory, LLC. (Stokes, Peter) |
Filing 356 RULE 7 DISCLOSURE STATEMENT filed by Cabot Lodge Securities LLC. (Fischbein, Lewis) |
Filing 355 RULE 7 DISCLOSURE STATEMENT filed by Purshe Kaplan Sterling Investments, Inc.. (Fischbein, Lewis) |
Filing 354 RULE 7 DISCLOSURE STATEMENT filed by Woodbury Financial Services, Inc.. (Ewell, Gary) |
Filing 353 RULE 7 DISCLOSURE STATEMENT filed by Western International Securities, Inc.. (Ewell, Gary) |
Filing 352 RULE 7 DISCLOSURE STATEMENT filed by Sagepoint Financial, Inc.. (Ewell, Gary) |
Filing 351 RULE 7 DISCLOSURE STATEMENT filed by Royal Alliance Associates, Inc.. (Ewell, Gary) |
Filing 350 RULE 7 DISCLOSURE STATEMENT filed by FSC Securities Corporation. (Ewell, Gary) |
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) |
Filing 348 MOTION to Dismiss by Axiom Capital Management, Inc.. (Attachments: #1 Proposed Order)(Stokes, Peter) |
Filing 347 Opposed Motion to Dismiss for Failure to State a Claim by National Securities Corporation. (Attachments: #1 Proposed Order)(Ruiz, James) |
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) |
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) |
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.) |
Filing 343 RULE 7 DISCLOSURE STATEMENT filed by Triad Advisors, LLC. (Quinn, John) |
Filing 342 RULE 7 DISCLOSURE STATEMENT filed by Dawson James Securities, Inc.. (Ravel, J.) |
Filing 341 RULE 7 DISCLOSURE STATEMENT filed by Uhlmann Price Securities, LLC. (Quinn, John) |
Filing 340 RULE 7 DISCLOSURE STATEMENT filed by Lewis Financial Group n/k/a DAI Securities, LLC. (Quinn, John) |
Filing 339 RULE 7 DISCLOSURE STATEMENT filed by Colorado Financial Service Corporation. (Quinn, John) |
Filing 338 RULE 7 DISCLOSURE STATEMENT filed by Concorde Investment Services, LLC. (Quinn, John) |
Filing 337 RULE 7 DISCLOSURE STATEMENT filed by Center Street Securities, Inc.. (Quinn, John) |
Filing 336 RULE 7 DISCLOSURE STATEMENT filed by Vestech Securities, Inc.. (Quinn, John) |
Filing 335 RULE 7 DISCLOSURE STATEMENT filed by RSM US LLP. (Hoover, Kathryn) |
Filing 334 RULE 7 DISCLOSURE STATEMENT filed by IBN Financial Services, Inc.. (Quinn, John) |
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) |
Filing 332 RULE 7 DISCLOSURE STATEMENT filed by United Planners' Financial Services of America, LP. (Temkin, Barry) |
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). |
Filing 330 MOTION to Dismiss by Detalus Securities, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) |
Filing 329 MOTION to Dismiss for Lack of Jurisdiction by David A. Noyes & Company. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
Filing 328 MOTION to Dismiss for Lack of Jurisdiction by Whitehall-Parker Securities, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
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) |
Filing 326 RULE 7 DISCLOSURE STATEMENT filed by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC. (Battaglini, Kim) |
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) |
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) |
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Filing 321 RULE 7 DISCLOSURE STATEMENT filed by Orchard Securities, LLC. (Sterling, Jonathan) |
Filing 320 RULE 7 DISCLOSURE STATEMENT filed by Arkadios Capital. (Sterling, Jonathan) |
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Filing 318 RULE 7 DISCLOSURE STATEMENT filed by DFPB Investments, Inc.. (Sterling, Jonathan) |
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) |
Filing 316 RULE 7 DISCLOSURE STATEMENT filed by Geneos Wealth Management, Inc.. (Sterling, Jonathan) |
Filing 315 RULE 7 DISCLOSURE STATEMENT filed by Ausdal Financial Partners, Inc.. (Saretsky, Gary) |
Filing 314 RULE 7 DISCLOSURE STATEMENT filed by Crown Capital Securities, LP. (Saretsky, Gary) |
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). |
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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) |
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) |
Filing 308 NOTICE of Attorney Appearance by Sven Stricker on behalf of Great Point Capital LLC, WestPark Capital Inc. (Stricker, Sven) |
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) |
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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) |
Filing 304 NOTICE of Voluntary Dismissal by Kinnie Ma Individual Retirement Account (Weiss, Jesse) |
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) |
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.) |
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.) |
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.) |
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) |
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) |
Filing 297 MOTION to Substitute Attorney Jonathan M. Sterling by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Sterling, Jonathan) |
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) |
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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) |
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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.) |
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Filing 290 DEFICIENCY NOTICE: re #288 Response in Opposition to Motion, (lt) |
Filing 289 Opposed MOTION for Extension of Time to File Answer by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ashby, Danny) |
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.) |
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.) |
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) |
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) |
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.) |
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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) |
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) |
Filing 273 Unopposed MOTION to Substitute Attorney Danny S. Ashby by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ashby, Danny) |
Filing 272 DEFICIENCY NOTICE: re #271 Stipulation (lt) |
Filing 271 STIPULATION Agreed by Phoenix American Financial Services, Inc.. (Schexnayder, Martin) |
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) |
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) |
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) |
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) |
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) |
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) |
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) |
Filing 263 MOTION for Consolidated Briefing by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse) |
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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) |
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) |
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) |
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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) |
Filing 253 Unopposed MOTION to Withdraw as Attorney by Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Turner, Matthew) |
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) |
Filing 251 Unopposed MOTION for Extension of Time to File Answer by McDonald Partners LLC. (Attachments: #1 Proposed Order)(Ungar, Michael) |
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Filing 249 MOTION for Extension of Time to File Answer by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
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) |
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Filing 239 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
Filing 238 MOTION to Appear Pro Hac Vice by James G. Ruiz for Matthew D. Turner ( Filing fee $ 100 receipt number 0542-13000081) by on behalf of Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
Filing 237 Unopposed MOTION for Extension of Time to File Answer by GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Attachments: #1 Proposed Order)(Rosenfeld, Tab) |
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Filing 231 RESPONSE in Support, filed by Aegis Capital Corp., American Capital Partners, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Axiom Capital Management, Inc., BCG Securities Inc., Cabot Lodge Securities LLC, Calton & Associates, Inc., Capital Investment Group, Inc., Cascade Financial Management, Inc., Center Street Securities, Inc., Coastal Equities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Crown Capital Securities, LP, DFPB Investments, Inc., DH Hill Securities, LLLP, David A. Noyes & Company, Dempsey Lord Smith, LLC, Detalus Securities, LLC, Dinosaur Financial Group, LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., IBN Financial Services, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Madison Avenue Securities, LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., Mori Huston Partners LLC, National Securities Corporation, Orchard Securities, LLC, Purshe Kaplan Sterling Investments, Inc., Royal Alliance Associates, Inc., SCF Securities, Inc., Sagepoint Financial, Inc., Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC, Stephen A. Kohn & Associates, Ltd., Triad Advisors, LLC, Uhlmann Price Securities, LLC, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc., re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account or in the Alternative, Unopposed Joint Motion to Extend Deadline (Attachments: #1 Proposed Order)(Ewell, Gary) Modified on 12/18/2019 (td). |
Filing 230 MOTION to Withdraw as Attorney and Designation of Gerard G. Pecht as Attorney-in-Charge by International Assets Advisory, LLC. (Attachments: #1 Proposed Order)(Ravel, J.) |
Filing 229 Unopposed MOTION for Extension of Time to File Answer Response in Support of Plaintiff's #67 Motion to Enter Briefing Schedule, or in the Alternative, Unopposed Motion to Extend Deadline to File Responsive Pleading by Cape Securities, Inc., Private Client Services, LLC. (Attachments: #1 Proposed Order)(Ravel, J.) Modified on 12/18/2019 to create link (td). |
Filing 228 NOTICE of Attorney Appearance by Lewis Stanley Fischbein on behalf of Cabot Lodge Securities LLC. Attorney Lewis Stanley Fischbein added to party Cabot Lodge Securities LLC(pty:dft) (Fischbein, Lewis) |
Filing 227 MOTION to Appear Pro Hac Vice by Gary Ewell on behalf of Abe Lampart ( Filing fee $ 100 receipt number 0542-12975952) by on behalf of Whitehall-Parker Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 226 Unopposed MOTION for Extension of Time to File Answer by Investment Architects, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.) |
Filing 225 Amended MOTION for Extension of Time to File Answer re #1 Complaint, by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
Filing 224 RESPONSE in Support, filed by Parsonex Capital Markets,LLC, re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account (Young, Marc) |
Filing 223 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Whitehall-Parker Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 222 MOTION for Extension of Time to File Answer re #1 Complaint, and Response to Plaintiff's Motion to Enter Briefing Schedule [#67] by RSM US LLP. (Attachments: #1 Proposed Order)(Chiarello, Katherine) |
Filing 221 MOTION to Appear Pro Hac Vice by Kevin K. Eng on behalf of Tanya Durkee Urbach ( Filing fee $ 100 receipt number 0542-12964200) by on behalf of DH Hill Securities, LLLP, FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Western International Securities, Inc., Woodbury Financial Services, Inc.. (Eng, Kevin) |
Filing 218 MOTION for Extension of Time to File Answer re #1 Complaint, by DFPB Investments, Inc.. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
Filing 217 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. McDonald Partners LLC served on 12/11/2019, answer due 1/1/2020. (Shelton, Ryan) |
Filing 216 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Corrected Summons-David Gentile (Shelton, Ryan) |
Filing 215 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Sandlapper Securities, LLC served on 12/11/2019, answer due 1/1/2020. (Shelton, Ryan) |
Filing 214 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. WestPark Capital Inc. served on 12/4/2019, answer due 12/26/2019. (Shelton, Ryan) |
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Filing 213 ATTACHMENT [Proposed] Order to #187 MOTION to Appear Pro Hac Vice by Peter Andrew Stokes (Dana Sirkis Gloor) ( Filing fee $ 100 receipt number 0542-12941601) by Coastal Equities, Inc.. (Stokes, Peter) |
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Filing 210 RESPONSE in Support, filed by Ascendant Capital, LLC, Jeffry Schneider, re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account (Battaglini, Kim) |
Filing 209 MOTION to Appear Pro Hac Vice by Matthew G. Nielsen on behalf of M. William Munno ( Filing fee $ 100 receipt number 0542-12955491) by on behalf of Dinosaur Financial Group, LLC. (Attachments: #1 Proposed Order)(Nielsen, Matthew) |
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Filing 204 NOTICE of Attorney Appearance by Matthew G. Nielsen on behalf of Dinosaur Financial Group, LLC (Nielsen, Matthew) |
Filing 203 RESPONSE in Support, filed by Calton & Associates, Inc., Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC, re #67 MOTION to Enter Briefing Schedule filed by Plaintiff Kinnie Ma Individual Retirement Account (Stokes, Peter) |
Filing 202 MOTION to Appear Pro Hac Vice by James G. Ruiz (James A. McGovern) ( Filing fee $ 100 receipt number 0542-12952370) by on behalf of Triad Advisors, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) |
Filing 201 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Western International Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 200 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Aegis Capital Corp.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 199 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Vestech Securities, Inc. served on 12/4/2019, answer due 12/26/2019. (Shelton, Ryan) |
Filing 198 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Detalus Securities, LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
Filing 197 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. David Gentile served on 12/9/2019, answer due 12/30/2019. (Shelton, Ryan) |
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Filing 195 MOTION for Extension of Time to File Response/Reply by Mori Huston Partners LLC. (Attachments: #1 Proposed Order)(Alcala, Juan) Modified on 12/11/2019 (lt). |
Filing 194 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Concorde Investment Services, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) |
Filing 193 NOTICE of Attorney Appearance by David Barton Springer on behalf of Dinosaur Financial Group, LLC. Attorney David Barton Springer added to party Dinosaur Financial Group, LLC(pty:dft) (Springer, David) |
Filing 192 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, or File Responsive Pleading, by Dinosaur Financial Group, LLC. (Attachments: #1 Proposed Order)(Springer, David) |
Filing 191 Unopposed MOTION for Extension of Time to File Response/Reply as to #1 Complaint, by Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC. (Attachments: #1 Proposed Order)(Benson, Carter) Modified on 12/11/2019 (lt). |
Filing 190 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Uhlmann Price Securities, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) |
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Filing 188 Transcript filed of Proceedings held on December 2, 2019, Proceedings Transcribed: Telephone Conference. Court Reporter/Transcriber: Arlinda Rodriguez, Telephone number: 512-391-8791. Parties are notified of their duty to review the transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be purchased from the court reporter or viewed at the clerk's office public terminal. If redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If no such Notice is filed, the transcript will be made available via PACER without redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not electronically noticed Redaction Request due 12/31/2019, Redacted Transcript Deadline set for 1/10/2020, Release of Transcript Restriction set for 3/9/2020, (alr) |
Filing 187 MOTION to Appear Pro Hac Vice by Peter Andrew Stokes (Dana Sirkis Gloor) ( Filing fee $ 100 receipt number 0542-12941601) by on behalf of Coastal Equities, Inc.. (Attachments: #1 Proposed Order Order)(Stokes, Peter) |
Filing 186 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Landolt Securities, Inc. served on 12/5/2019, answer due 12/26/2019. (Shelton, Ryan) |
Filing 185 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Stephen A. Kohn & Associates, Ltd. served on 11/27/2019, answer due 12/23/2019. (Shelton, Ryan) |
Filing 184 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Avere Financial Group, LLC n/k/a Parsonex Capital Markets LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
Filing 183 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Western International Securities, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
Filing 182 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Phoenix American Financial Services, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
Filing 181 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by American Capital Partners, LLC. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 180 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Colorado Financial Service Corporation served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
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Filing 176 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Capital Investment Group, Inc. served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
Filing 175 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Concorde Investment Services, LLC served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
Filing 174 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Cabot Lodge Securities LLC served on 12/4/2019, answer due 12/26/2019. (Shelton, Ryan) |
Filing 173 Unopposed MOTION for Extension of Time to File Answer by Lewis Financial Group n/k/a DAI Securities, LLC. (Attachments: #1 Proposed Order)(Ruiz, James) Modified on 12/6/2019 (lt). |
Filing 172 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, or Otherwise Respond to Class Action Complaint by Stephen A. Kohn & Associates, Ltd.. (Attachments: #1 Proposed Order Granting Unopposed Motion to Extend Deadline to Answer or Otherwise Respond to Class Action Complaint)(Callahan, Daniel) |
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Filing 168 Summons Issued as to David Gentile. (lt) |
Filing 167 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. (Shelton, Ryan) (Main Document 167 replaced on 12/5/2019 to flatten form) (lt). Modified on 12/5/2019 (lt). |
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Filing 163 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Calton & Associates, Inc., Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC. (Attachments: #1 Proposed Order)(Stokes, Peter) |
Filing 162 NOTICE of Attorney Appearance by Gerard G. Pecht on behalf of Calton & Associates, Inc., Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC. Attorney Gerard G. Pecht added to party Calton & Associates, Inc.(pty:dft), Attorney Gerard G. Pecht added to party Coastal Equities, Inc.(pty:dft), Attorney Gerard G. Pecht added to party International Assets Advisory, LLC(pty:dft), Attorney Gerard G. Pecht added to party Kalos Capital, Inc.(pty:dft), Attorney Gerard G. Pecht added to party Madison Avenue Securities, LLC(pty:dft), Attorney Gerard G. Pecht added to party Vanderbilt Securities, LLC(pty:dft) (Pecht, Gerard) |
Filing 161 NOTICE of Attorney Appearance by Peter Andrew Stokes on behalf of Coastal Equities, Inc., International Assets Advisory, LLC, Kalos Capital, Inc., Madison Avenue Securities, LLC, Vanderbilt Securities, LLC. Attorney Peter Andrew Stokes added to party Coastal Equities, Inc.(pty:dft), Attorney Peter Andrew Stokes added to party International Assets Advisory, LLC(pty:dft), Attorney Peter Andrew Stokes added to party Kalos Capital, Inc.(pty:dft), Attorney Peter Andrew Stokes added to party Madison Avenue Securities, LLC(pty:dft), Attorney Peter Andrew Stokes added to party Vanderbilt Securities, LLC(pty:dft) (Stokes, Peter) |
Filing 160 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. IBN Financial Services, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
Filing 159 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Whitehall-Parker Securities, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
Filing 158 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Investment Architects, Inc. served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
Filing 157 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Arkadios Capital served on 12/2/2019, answer due 12/23/2019. (Shelton, Ryan) |
Filing 156 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Advisors Group Equity Services, Ltd. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
Filing 155 MOTION to Appear Pro Hac Vice by Beverly Gayle Reeves for Nicole E. Meyer ( Filing fee $ 100 receipt number 0542-12913138) by on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Reeves, Beverly) |
Filing 154 MOTION to Appear Pro Hac Vice by Beverly Gayle Reeves for Steven M. Kaplan ( Filing fee $ 100 receipt number 0542-12913126) by on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Reeves, Beverly) |
Filing 153 MOTION to Appear Pro Hac Vice by Beverly Gayle Reeves for Tab K. Rosenfeld ( Filing fee $ 100 receipt number 0542-12913102) by on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Reeves, Beverly) |
Filing 152 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Pariter Securities, LLC served on 11/27/2019, answer due 12/18/2019. (Shelton, Ryan) |
Filing 151 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Orchard Securities, LLC served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
Filing 150 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GVC Capital LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
Filing 149 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Triad Advisors, LLC served on 11/25/2019, answer due 12/16/2019. (Shelton, Ryan) |
Filing 147 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Crown Capital Securities, LP. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 148 Minute Entry for proceedings held before Judge Lee Yeakel: Telephone Conference held on 12/2/2019. Written Order forthcoming. (Minute entry documents are not available electronically.) (Court Reporter Arlinda Rodriguez.)(lt) |
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Filing 141 Unopposed MOTION for Extension of Time to File Answer or Otherwise Respond to Class Action Complaint by Ascendant Capital, LLC. (Battaglini, Kim) |
Filing 140 MOTION for Extension of Time to File Answer by Lion Street Financial LLC. (Attachments: #1 Proposed Order)(Schexnayder, Martin) |
Filing 139 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Dempsey Lord Smith, LLC served on 11/26/2019, answer due 12/17/2019. (Shelton, Ryan) |
Filing 138 REPLY in Support, filed by Kinnie Ma Individual Retirement Account, re #50 MOTION to Consolidate Class Actions, Appoint Interim Co-Lead Class Counsel, and Interim Liaison Counsel, and Transfer and Consolidate Subsequent Similar Cases filed by Plaintiff Kinnie Ma Individual Retirement Account (Weiss, Jesse) Modified on 12/2/2019 (lt). |
Filing 137 Opposed MOTION for Leave to Exceed Page Limitation with respect to its Reply in Further Support of Motion to Consolidate Class Actions, Appoint Interim Co-Lead Class Counsel and Interim Liaison Counsel, and Transfer and Consolidate Subsequent Similar Cases by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion to Exceed Page Limitation)(Weiss, Jesse) |
Filing 136 NOTICE of Attorney Appearance by Kim Bernard Battaglini on behalf of Ascendant Capital, LLC. Attorney Kim Bernard Battaglini added to party Ascendant Capital, LLC(pty:dft) (Battaglini, Kim) |
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Filing 133 MOTION to Appear Pro Hac Vice by Gary Ewell for Jonathan M. Sterling, applicant ( Filing fee $ 100 receipt number 0542-12901176) by on behalf of Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, Geneos Wealth Management, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
Filing 132 MOTION to Appear Pro Hac Vice by Gary Ewell for Janine M. Lucas, applicant ( Filing fee $ 100 receipt number 0542-12901117) by on behalf of Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, Geneos Wealth Management, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
Filing 131 MOTION to Appear Pro Hac Vice by Gary Ewell for Gary Saretsky, applicant ( Filing fee $ 100 receipt number 0542-12901064) by on behalf of Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, Geneos Wealth Management, Inc.. (Attachments: #1 Exhibit A, #2 Proposed Order)(Ewell, Gary) |
Filing 130 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. (Attachments: #1 Proposed Order)(Reeves, Beverly) |
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Filing 121 MOTION to Appear Pro Hac Vice by Gary Ewell for Kevin K. Eng, applicant ( Filing fee $ 100 receipt number 0542-12893901) by on behalf of DH Hill Securities, LLLP, FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 120 MOTION to Appear Pro Hac Vice by Gary Ewell for Edward S. Zusman, applicant ( Filing fee $ 100 receipt number 0542-12893837) by on behalf of DH Hill Securities, LLLP, FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) (Main Document 120 replaced on 11/26/2019 to correct text issue on Page 2) (lt). |
Filing 119 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. DFPB Investments, Inc. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
Filing 118 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. MSC-BD, LLC served on 11/20/2019, answer due 12/11/2019. (Shelton, Ryan) |
Filing 117 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Kingsbury Capital, Inc. served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
Filing 116 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Sentinus Securities, LLC n/k/a Sentinus Halo Securities, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
Filing 115 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Uhlmann Price Securities, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
Filing 114 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Aeon Capital Inc. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
Filing 113 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Mori Huston Partners LLC served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
Filing 112 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Dawson James Securities, Inc. served on 11/22/2019, answer due 12/13/2019. (Shelton, Ryan) |
Filing 111 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. MR Ranger LLC served on 11/23/2019, answer due 12/16/2019. (Shelton, Ryan) |
Filing 110 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Aegis Capital Corp. served on 11/21/2019, answer due 12/12/2019. (Shelton, Ryan) |
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Filing 109 MOTION to Appear Pro Hac Vice by James G. Ruiz (Matthew D. Turner) ( Filing fee $ 100 receipt number 0542-12891267) by on behalf of Moloney Securities Co., Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
Filing 108 MOTION to Appear Pro Hac Vice by Andrea Ann Ortiz on behalf of Kate E. DiGeronimo ( Filing fee $ 100 receipt number 0542-12890737) by on behalf of United Planners' Financial Services of America, LP. (Ortiz, Andrea) |
Filing 107 NOTICE of Attorney Appearance by Christopher M. Odell on behalf of RSM US LLP (Odell, Christopher) |
Filing 106 Unopposed MOTION to Withdraw as Attorney by SCF Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 105 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by FSC Securities Corporation. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 104 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Great Point Capital LLC served on 11/20/2019, answer due 12/11/2019. (Shelton, Ryan) |
Filing 103 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Arete Wealth Management, LLC served on 11/20/2019, answer due 12/11/2019. (Shelton, Ryan) |
Filing 102 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lewis Financial Group n/k/a DAI Securities, LLC served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
Filing 101 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. United Planners' Financial Services of America, LP served on 11/18/2019, answer due 12/23/2019. (Shelton, Ryan) |
Filing 100 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Wilmington Capital Securities, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
Filing 99 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Waste Management Fund, LP served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
Filing 98 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB NYC Development, LP served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
Filing 97 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Cold Storage, LP served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
Filing 96 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Dinosaur Financial Group, LLC served on 11/19/2019, answer due 12/10/2019. (Shelton, Ryan) |
Filing 95 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. American Capital Partners, LLC served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
Filing 94 NOTICE of Attorney Appearance by Ryan M. Pierce on behalf of GPB Automotive Portfolio, LP, GPB Capital Holdings, LLC, GPB Cold Storage, LP, GPB Holdings II, LP, GPB Holdings III, LP, GPB Holdings Qualified, LP, GPB Holdings, LP, GPB NYC Development, LP, GPB Waste Management Fund, LP. Attorney Ryan M. Pierce added to party GPB Automotive Portfolio, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Capital Holdings, LLC(pty:dft), Attorney Ryan M. Pierce added to party GPB Cold Storage, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings II, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings III, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings Qualified, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Holdings, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB NYC Development, LP(pty:dft), Attorney Ryan M. Pierce added to party GPB Waste Management Fund, LP(pty:dft) (Pierce, Ryan) |
Filing 93 MOTION for Extension of Time to File Answer re #1 Complaint, by Purshe Kaplan Sterling Investments, Inc. (Attachments: #1 Proposed Order)(lt) |
Filing 92 MOTION for Lewis Stanley Fischbein to Appear Pro Hac Vice ( Filing fee $ 100 receipt number 100037300) on behalf of Purshe Kaplan Sterling Investments, Inc. (Attachments: #1 Proposed Order)(lt) |
Filing 91 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading by Moloney Securities Co., Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
Filing 90 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, Unopposed Motion to Extend Deadline to Answer or File Responsive Pleading by Cascade Financial Management, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James) |
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Filing 78 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 77 Unopposed MOTION for Extension of Time to File Responsive Pleading as to #1 Complaint, by Money Concepts Capital Corp. (Attachments: #1 Proposed Order)(Weitzel, Robert) Modified on 11/22/2019 (lt). |
Filing 76 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by SCF Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 75 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Sagepoint Financial, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 74 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Royal Alliance Associates, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 73 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by DH Hill Securities, LLLP. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 72 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, or Otherwise Respond to Class Action Complaint by McNally Financial Services Corporation. (Attachments: #1 Proposed Order)(Kessler, Gary) |
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Filing 69 Unopposed MOTION for Extension of Time to File Answer by Center Street Securities, Inc., Newbridge Securities Corporation. (Attachments: #1 Proposed Order)(Ravel, J.) |
Filing 68 NOTICE of Attorney Appearance by Yusuf Ahmad Bajwa on behalf of BCG Securities Inc.. Attorney Yusuf Ahmad Bajwa added to party BCG Securities Inc.(pty:dft) (Bajwa, Yusuf) |
Filing 67 MOTION to Enter Briefing Schedule by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order)(Shelton, Ryan) |
Filing 66 Unopposed MOTION for Extension of Time to File Answer by RSM US LLP. (Attachments: #1 Proposed Order Granting Motion to Extend Deadline)(Odell, Christopher) |
Filing 65 MOTION for Extension of Time to File RESPONSE TO PLAINTIFF KINNIE MA INDIVIDUAL RETIREMENT ACCOUNTS MOTION TO CONSOLIDATE CLASS ACTIONS, APPOINT INTERIM CO-LEAD CLASS COUNSEL AND INTERIM LIAISON COUNSEL, AND TRANSFER AND CONSOLIDATE SUBSEQUENT SIMILAR CASES by Millicent R. Barasch. (Attachments: #1 Proposed Order ORDER GRANTING UNOPPOSED MOTION TO EXTEND)(Kelly, Lannie) |
Filing 64 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Geneos Wealth Management, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 63 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by Ausdal Financial Partners, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary) |
Filing 62 MOTION to Appear Pro Hac Vice by Andrea Ann Ortiz on behalf of Barry R. Temkin ( Filing fee $ 100 receipt number 0542-12869454) by on behalf of United Planners' Financial Services of America, LP. (Ortiz, Andrea) |
Filing 61 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. McDonald Partners LLC served on 11/12/2019, answer due 12/3/2019. (Shelton, Ryan) |
Filing 60 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Coastal Equities, Inc. served on 11/15/2019, answer due 12/6/2019. (Shelton, Ryan) |
Filing 59 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Jeffry Schneider served on 11/14/2019, answer due 12/5/2019. (Shelton, Ryan) |
Filing 58 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Ascendant Capital, LLC served on 11/14/2019, answer due 12/5/2019. (Shelton, Ryan) |
Filing 57 NOTICE of Attorney Appearance by Martin S. Schexnayder on behalf of Lion Street Financial LLC. Attorney Martin S. Schexnayder added to party Lion Street Financial LLC(pty:dft) (Schexnayder, Martin) |
Filing 56 Unopposed MOTION for Extension of Time to File Answer re #1 Complaint, by United Planners' Financial Services of America, LP. (Attachments: #1 Proposed Order)(Ortiz, Andrea) |
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Filing 54 ATTACHMENT Proposed Order to #53 MOTION to Withdraw as Attorney by United Planners' Financial Services of America, LP. (Ortiz, Andrea) |
Filing 53 NOTICE of Attorney Appearance by Andrea Ann Ortiz on behalf of United Planners' Financial Services of America, LP. Attorney Andrea Ann Ortiz added to party United Planners' Financial Services of America, LP(pty:dft) (Ortiz, Andrea) Modified on 11/19/2019 to add Motion event(lt). |
Filing 52 Unopposed MOTION for Extension of Time to File Answer by Cape Securities, Inc., International Assets Advisory, LLC, Private Client Services, LLC. (Attachments: #1 Proposed Order)(Ravel, J.) |
Filing 51 NOTICE of Attorney Appearance by Sean Edward Matula on behalf of United Planners' Financial Services of America, LP. Attorney Sean Edward Matula added to party United Planners' Financial Services of America, LP(pty:dft) (Matula, Sean) |
Filing 50 MOTION to Consolidate Class Actions, Appoint Interim Co-Lead Class Counsel, and Interim Liaison Counsel, and Transfer and Consolidate Subsequent Similar Cases by Kinnie Ma Individual Retirement Account. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Proposed Order)(lt) |
Notice of Correction: re #49 MOTION for Leave to Exceed Page Limitation. When filing a Motion for Leave to Exceed Page Limitations in the AUSTIN Division, the document that exceeds the page limit should NOT be attached to the motion, but rather should be filed as a separate pleading. We will take the necessary steps to pull the Motion to Consolidate from the motion for leave to exceed page limit and add it to the docket record. No further action is required. Please note this information for future filing purposes. (lt) |
Filing 49 MOTION for Leave to Exceed Page Limitation and grant leave to file Motion to Consolidate Class Actions, which motion and corresponding exhibits are attached hereto by Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion to Exceed Page Limit, #2 Exhibit 1 to Mtn to Exceed Page Limit-Motion to Consolidate, #3 Exhibit 1-Motion to Consolidate, #4 Exhibit 2-Motion to Consolidate, #5 Exhibit 3-Motion to Consolidate, #6 Exhibit 4-Motion to Consolidate, #7 Exhibit 5-Motion to Consolidate, #8 Exhibit 6-Motion to Consolidate, #9 Exhibit 7-Motion to Consolidate, #10 Proposed Order Granting Motion to Consolidate)(Weiss, Jesse) |
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Filing 46 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Center Street Securities, Inc. served on 11/5/2019, answer due 11/26/2019. (Shelton, Ryan) |
Filing 45 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lowell & Company, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 44 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Vanderbilt Securities, LLC served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
Filing 43 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Titan Securities served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
Filing 42 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Cascade Financial Management, Inc. served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
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Filing 40 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss for Richard L. Stone ( Filing fee $ 100 receipt number 0542-12824782) by on behalf of Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion for Admission Pro Hac Vice)(Weiss, Jesse) Modified on 11/8/2019 (lt). |
Filing 39 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss for Emily C. Finestone ( Filing fee $ 100 receipt number 0542-12823322) on behalf of Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion for Admission Pro Hac Vice)(Weiss, Jesse) Modified on 11/8/2019 (lt). |
Filing 38 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss [for Peter S. Linden ( Filing fee $ 100 receipt number 0542-12820323) behalf of Kinnie Ma Individual Retirement Account. (Attachments: #1 Proposed Order Granting Motion for Admission Pro Hac Vice)(Weiss, Jesse) Modified on 11/7/2019 (lt). |
Filing 37 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. McNally Financial Services Corporation served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
Filing 36 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. DH Hill Securities, LLLP served on 11/1/2019, answer due 11/22/2019. (Shelton, Ryan) |
Filing 35 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. SCF Securities, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 34 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Purshe Kaplan Sterling Investments, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 33 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Private Client Services, LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 32 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Newbridge Securities Corporation served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 31 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. National Securities Corporation served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 30 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Money Concepts Capital Corp. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 29 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lion Street Financial LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 28 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Kalos Capital, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 27 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. International Assets Advisory, LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 26 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. HighTower Securities, LLC served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 25 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Emerson Equity LLC served on 10/30/2019, answer due 11/21/2019. (Shelton, Ryan) Modified on 11/4/2019 (lt). |
Filing 24 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. David A. Noyes & Company served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 23 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Capital Financial Services, Inc. served on 10/31/2019, answer due 11/21/2019. (Shelton, Ryan) |
Filing 22 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Woodbury Financial Services, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 21 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Sagepoint Financial, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 20 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. RSM US LLP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 19 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Royal Alliance Associates, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 18 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Moloney Securities Co., Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 17 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Madison Avenue Securities, LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 16 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Lucia Securities LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 15 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Innovation Partners LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 14 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Holdings, LP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 13 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Holdings II, LP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 12 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Capital Holdings, LLC served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 11 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. GPB Automotive Portfolio, LP served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 10 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Geneos Wealth Management, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 9 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. FSC Securities Corporation served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 8 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Calton & Associates, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 7 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Cape Securities, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 6 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. BCG Securities Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 5 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Axiom Capital Management, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 4 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Ausdal Financial Partners, Inc. served on 10/30/2019, answer due 11/20/2019. (Shelton, Ryan) |
Filing 3 Summons Issued as to All Defendants. (lt) |
Filing 2 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. (Shelton, Ryan) |
DEMAND for Trial by Jury by Kinnie Ma Individual Retirement Account. (dl) |
If ordered by the court, all referrals and consents in this case will be assigned to Magistrate Judge Hightower. (dl) |
Case assigned to Judge Lee Yeakel. CM WILL NOW REFLECT THE JUDGE INITIALS AS PART OF THE CASE NUMBER. PLEASE APPEND THESE JUDGE INITIALS TO THE CASE NUMBER ON EACH DOCUMENT THAT YOU FILE IN THIS CASE. (dl) |
Filing 1 COMPLAINT ( Filing fee $ 400 receipt number 0542-12774757). No Summons requested at this time, filed by Kinnie Ma Individual Retirement Account. (Attachments: #1 Civil Cover Sheet)(Shelton, Ryan) (Attachment 1 replaced on 10/28/2019 to flatten image) (dl). |
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