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, Corri Rene Eden and Kazue M. Bell
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., 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, 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, McGladrey LLP, CohnReznick LLP, Deloitte Transactions and Business Analytics LLP, Withum Smith+Brown, PC, Morrison, Brown, Argiz & Farra, HighTower Advisors, LLC, DFPG Investments, Inc., Gentile Pismeny & Brengel LLP, Morrison, Brown, Argiz & Ferra, LLC, Armada Waste Management LP, Sentinus Securities LLC n/k/a Sentinus-Halo Securities, LLC, Advisory Group Equity Services, Ltd. and Margolin Winer & Evens LLP
Petitioner: Millicent R. Barasch
Consolidated Defendant: GPB Automotive Portfolio, LP, GPB Holdings II, LP, RSM US LLP, Crowe, LLP, GPB Waste Management, LP, EisnerAmper LLP, Armada Waste Management, LP, Crowe Horwath, LLP, Minchung Kgil, Dotty J. Bollinger, Michael Frost, Steven Frangioni, McAnna, LP, Robert Kessler, Gerald Francese, Rina Chernaya, CKGF Holding LLC, GPB Managed IT Fund, Highline Management, Inc., Austin Lake Technologies, LLC and MR Ranger, LLC
Consolidated Plaintiff: Loretta DeHay and The Stanley S. and Millicent R. Barasch Living Trust
Cross Defendant: Evan Myrianthopoulos and Scott Naugle
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 U.S.C. ยง 1332 Diversity-Fraud
Jury Demanded By: Both
Docket Report

This docket was last retrieved on August 15, 2022. A more recent docket listing may be available from PACER.

Date Filed Document Text
August 15, 2022 Filing 1045 ANSWER to #916 Amended Complaint,, #993 Answer to Amended Complaint,,,,, Crossclaim,,,, , ANSWER to #916 Amended Complaint,, #993 Answer to Amended Complaint,,,,, Crossclaim,,,, by Axiom Capital Management, Inc..(Stokes, Peter)
August 15, 2022 Filing 1044 AMENDED ANSWER to Plaintiffs' Consolidated #916 Amended Complaint,, by Lewis Financial Group n/k/a DAI Securities, LLC. (Tasich, Vlada)
August 15, 2022 Filing 1043 AMENDED ANSWER to Plaintiffs' Consolidated #916 Amended Complaint,, by Uhlmann Price Securities, LLC. (Tasich, Vlada)
August 15, 2022 Filing 1042 Amended ANSWER to #616 Amended Complaint,, with Affirmative Defenses by Uhlmann Price Securities, LLC.(Tasich, Vlada)
August 15, 2022 Filing 1041 ANSWER to #916 Amended Complaint,, #993 Answer to Amended Complaint,,,,, Crossclaim,,,, , ANSWER to #916 Amended Complaint,, #993 Answer to Amended Complaint,,,,, Crossclaim,,,, by EisnerAmper LLP.(Braun, Bruce)
August 15, 2022 Filing 1040 ANSWER to #993 Answer to Amended Complaint, Crossclaim, by MR Ranger LLC. and Mark D. Martino (Battaglini, Kim) Modified on 8/15/2022 (cc3).
August 15, 2022 Filing 1039 ANSWER to #993 Answer to Amended Complaint, Crossclaim, by Dotty J. Bollinger.(Battaglini, Kim)
August 15, 2022 Filing 1038 ANSWER to #916 Amended Complaint,, by Margolin Winer & Evens LLP.(Ostroff, Ethan)
August 15, 2022 Filing 1037 ANSWER to #916 Amended Complaint,, with Jury Demand by Detalus Securities, LLC.(Ruiz, James)
August 15, 2022 Filing 1036 ANSWER to #916 Amended Complaint,, with Jury Demand by Dempsey Lord Smith, LLC.(Ruiz, James)
August 12, 2022 Filing 1035 NOTICE of Proposed Addition to Scheduling Order by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, David Gentile, Jeffry Schneider (Peele, Christopher)
August 12, 2022 Filing 1034 NOTICE of Submission of Plaintiffs' Proposed Scheduling Order by Kazue M. Bell, Dean Crooks, Loretta DeHay, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, The Stanley S. and Millicent R. Barasch Living Trust, Victor Wade Individual Retirement Account re #898 Order on Motion to Consolidate Cases, #927 Order for Scheduling Recommendations/Proposed Scheduling Order (Attachments: #1 Proposed Order)(Weiss, Jesse)
August 12, 2022 Filing 1033 MOTION for Entry of Scheduling Order Deadlines by CohnReznick LLP, Crowe, LLP, EisnerAmper LLP, Margolin Winer & Evens LLP, RSM US LLP. (Attachments: #1 Proposed Order)(Beach, Kaitlin)
August 12, 2022 Filing 1032 AMENDED ANSWER to #916 Amended Complaint,, by Dawson James Securities, Inc.. (Ravel, J.)
August 12, 2022 Filing 1031 DEMAND for Trial by Jury by Scott Naugle. (Marin, Michael)
August 2, 2022 Opinion or Order Filing 1030 ORDER GRANTING #985 Motion to Withdraw as Attorney as to MOLLY L. WILTSHIRE AND BRITTANY H. SOKOLOFF. Signed by Judge Lee Yeakel. (cc3)
August 2, 2022 Opinion or Order Filing 1029 ORDER GRANTING #982 Motion to Appear Pro Hac Vice as to LAUREN SANDGROUND. 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. Registration is managed by the PACER Service Center Signed by Judge Lee Yeakel. (cc3)
August 2, 2022 Opinion or Order Filing 1028 ORDER GRANTING #980 Motion to Appear Pro Hac Vice as to CRAIG M. OBERWEGER. 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. Registration is managed by the PACER Service Center Signed by Judge Lee Yeakel. (cc3)
August 2, 2022 Opinion or Order Filing 1027 ORDER GRANTING #975 Motion to Substitute Attorney as to CHRIS PEELE and withdraw KIM BERNARD BATTAGLINI. Signed by Judge Lee Yeakel. (cc3)
August 2, 2022 Opinion or Order Filing 1026 ORDER GRANTING #969 Motion to Withdraw as Attorney as to NANCY L. HENDRICKSON. Signed by Judge Lee Yeakel. (cc3)
August 2, 2022 Opinion or Order Filing 1025 ORDER DISMISSING Doc. Nos. 933-35, 938, 941-43, 945, 947, 950-61, 964, 966-68, 97 1-972, 976. Signed by Judge Lee Yeakel. (cc3)
August 2, 2022 Filing 1024 Transcript filed of Proceedings held on July 27, 2022, 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 8/23/2022, Redacted Transcript Deadline set for 9/2/2022, Release of Transcript Restriction set for 10/31/2022, (alr)
August 2, 2022 Filing 1023 ANSWER to #916 Amended Complaint,, with Jury Demand by FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Triad Advisors, LLC, Woodbury Financial Services, Inc..(Eng, Kevin)
August 2, 2022 Filing 1022 ANSWER to #916 Amended Complaint,, with Jury Demand by Western International Securities, Inc..(Eng, Kevin)
August 1, 2022 Filing 1021 ANSWER to #916 Amended Complaint,, with Jury Demand by RSM US LLP.(Chiarello, Katherine)
August 1, 2022 Filing 1020 ANSWER to #916 Amended Complaint,, and affirmative defenses by BCG Securities Inc., Lion Street Financial LLC.(Schexnayder, Martin)
August 1, 2022 Filing 1019 ANSWER to #916 Amended Complaint,, by Austin Lake Technologies, LLC.(Fields, Jacob)
August 1, 2022 Filing 1018 ANSWER to Complaint by Michael Frost.(Fields, Jacob)
August 1, 2022 Filing 1017 ANSWER to #916 Amended Complaint,, with Jury Demand by Bradley Wealth Management LLC.(Cook, Stephanie)
August 1, 2022 Filing 1016 ANSWER to #916 Amended Complaint,, with Jury Demand by DJ Partners LLC.(Peele, Christopher)
August 1, 2022 Filing 1015 ANSWER to #916 Amended Complaint,, with Jury Demand by Ascendant Alternative Strategies, LLC.(Peele, Christopher)
August 1, 2022 Filing 1014 ANSWER to #916 Amended Complaint, by Scott Naugle.(Marin, Michael) Modified on 8/3/2022 to correct document #(cc3).
August 1, 2022 Filing 1013 DEFENDANT GENTILE BRENGEL & LIN, LLP f/k/a GENTILE, PISMENY & BRENGEL, LLPS ORIGINAL ANSWER to #916 Amended Complaint,, by Gentile Pismeny & Brengel LLP, Gentile Pismeny & Brengel LLP.(Johnson, Michael)
August 1, 2022 Filing 1012 ANSWER to #916 Amended Complaint,, by Center Street Securities, Inc..(Tasich, Vlada)
August 1, 2022 Filing 1011 ANSWER to #916 Amended Complaint,, by Colorado Financial Service Corporation.(Tasich, Vlada)
August 1, 2022 Filing 1010 ANSWER to #916 Amended Complaint,, with Jury Demand Answer to Plaintiffs' Consolidated Complaint by Phoenix American Financial Services, Inc..(Nes, W.)
August 1, 2022 Filing 1009 ANSWER to #916 Amended Complaint,, by Vestech Securities, Inc..(Tasich, Vlada)
August 1, 2022 Filing 1008 ANSWER to #916 Amended Complaint,, by IBN Financial Services, Inc..(Tasich, Vlada)
August 1, 2022 Filing 1007 ANSWER to #916 Amended Complaint,, by Lewis Financial Group n/k/a DAI Securities, LLC.(Tasich, Vlada)
August 1, 2022 Filing 1006 ANSWER to #916 Amended Complaint,, by Crowe, LLP.(Cook, Jordan)
August 1, 2022 Filing 1005 ANSWER to #916 Amended Complaint, by Money Concepts Capital Corp. and Sentinus Securities LLC n/k/a Sentinus Halo Securities, LLC, (Benson, Carter) Modified on 8/3/2022 to add text of second defendant (cc3).
August 1, 2022 Filing 1004 ANSWER to #916 Amended Complaint,, by Uhlmann Price Securities, LLC.(Tasich, Vlada)
August 1, 2022 Filing 1003 ANSWER to #916 Amended Complaint,, by Concorde Investment Services, LLC.(Tasich, Vlada)
August 1, 2022 Filing 1002 ANSWER to #916 Amended Complaint,, with Jury Demand by Newbridge Securities Corporation.(Ravel, J.)
August 1, 2022 Filing 1001 ANSWER to #916 Amended Complaint,, with Jury Demand by WestPark Capital Inc..(Ravel, J.)
August 1, 2022 Filing 1000 ANSWER to #916 Amended Complaint,, by Dawson James Securities, Inc..(Ravel, J.)
August 1, 2022 Filing 999 ANSWER to Complaint with Jury Demand #916 Amended Complaint by Evan Myrianthopoulos.(Pierce, Ryan)
August 1, 2022 Filing 998 ANSWER to #916 Amended Complaint,, with Jury Demand by Steven Frangioni.(Pierce, Ryan)
August 1, 2022 Filing 997 Defendant Ascendant Capital, LLC's ANSWER to #916 Amended Complaint,, with Jury Demand by Ascendant Capital, LLC.(Freel, Jennifer)
August 1, 2022 Filing 996 Defendant Jeffry Schneider's ANSWER to #916 Amended Complaint,, with Jury Demand by Jeffry Schneider.(Freel, Jennifer)
August 1, 2022 Filing 995 NOTICE by David Gentile (Murphy, Garland)
August 1, 2022 Filing 994 ANSWER to #916 Amended Complaint,, with Jury Demand by Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, David A. Noyes & Company, Innovation Partners LLC, Kingsbury Capital, Inc., Landolt Securities, Inc., Whitehall-Parker Securities, Inc..(Ewell, Gary)
August 1, 2022 Filing 993 Defendant United Planners' Financial Services of America, LP's Original Answer, Affirmative Defenses, and Cross-Claims ANSWER to #916 Amended Complaint,, , CROSSCLAIM against Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, Axiom Capital Management, Inc., Dotty J. Bollinger, CohnReznick LLP, Crowe, LLP, DJ Partners LLC, Deloitte Transactions and Business Analytics LLP, EisnerAmper LLP, Michael Frost, 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 Managed IT Fund, GPB NYC Development, LP, GPB Waste Management, LP, David Gentile, Highline Management, Inc., MR Ranger LLC, Margolin Winer & Evens LLP, Mark D Martino, Morrison, Brown, Argiz & Ferra, LLC, Evan Myrianthopoulos, Scott Naugle, Phoenix American Financial Services, Inc., RSM US LLP, Jeffry Schneider, Withum Smith+Brown, PC by United Planners' Financial Services of America, LP.(Saris, Taylor)
August 1, 2022 Filing 992 ANSWER to #916 Amended Complaint,, by Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, Inc..(Fischbein, Lewis)
August 1, 2022 Filing 991 ANSWER to #916 Amended Complaint,, by Emerson Equity LLC, Lowell & Company, Inc., MSC-BD, LLC, McNally Financial Services Corporation, SCF Securities, Inc., Stephen A. Kohn & Associates, Ltd., Titan Securities.(Callahan, Daniel)
August 1, 2022 Filing 990 ANSWER to #916 Amended Complaint,, with Jury Demand by Arete Wealth Management, LLC.(Ruiz, James)
August 1, 2022 Filing 989 ANSWER to #916 Amended Complaint,, with Jury Demand 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, LP, Highline Management, Inc..(Kaplan, Steven)
August 1, 2022 Filing 988 ANSWER to #916 Amended Complaint,, with Jury Demand by CKGF Holding LLC, Rina Chernaya, Gerald Francese, Robert Kessler, McAnna, LP.(Kaplan, Steven)
August 1, 2022 Filing 987 ANSWER to #916 Amended Complaint,, with Jury Demand by Deloitte Transactions and Business Analytics LLP.(Villareal, Gavin)
August 1, 2022 Filing 986 ANSWER to #916 Amended Complaint,, with Jury Demand by Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, DFPG Investments, Inc., Geneos Wealth Management, Inc., Orchard Securities, LLC.(Saretsky, Gary)
August 1, 2022 Filing 985 MOTION to Withdraw as Attorney Molly L. Wiltshire and Brittany H. Sokoloff by Dawson James Securities, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
August 1, 2022 Filing 984 ANSWER to #916 Amended Complaint,, with Jury Demand by Great Point Capital LLC.(Ravel, J.)
August 1, 2022 Filing 983 NOTICE of Attorney Appearance by W. Brad Nes on behalf of Phoenix American Financial Services, Inc.. Attorney W. Brad Nes added to party Phoenix American Financial Services, Inc.(pty:dft) (Nes, W.)
August 1, 2022 Filing 982 MOTION to Appear Pro Hac Vice by Henry Pogorzelski on behalf of Lauren Sandground ( Filing fee $ 100 receipt number ATXWDC-16326026) by on behalf of HighTower Advisors, LLC, HighTower Securities, LLC. (Pogorzelski, Henry)
August 1, 2022 Filing 981 NOTICE of Appearance of Additional Counsel by Dawson James Securities, Inc. (Ravel, J.)
August 1, 2022 Filing 980 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of Craig M. Oberweger ( Filing fee $ 100 receipt number BTXWDC-16325086) by on behalf of Dawson James Securities, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
August 1, 2022 Filing 979 ANSWER to #916 Amended Complaint,, by Mark D Martino.(Battaglini, Kim)
August 1, 2022 Filing 978 ANSWER to #916 Amended Complaint,, by MR Ranger, LLC.(Battaglini, Kim)
August 1, 2022 Filing 977 ANSWER to #916 Amended Complaint,, by Dotty J. Bollinger.(Battaglini, Kim)
July 29, 2022 Filing 976 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Ascendant Alternative Strategies, LLC, DJ Partners LLC. (Attachments: #1 Proposed Order)(Peele, Christopher)
July 29, 2022 Filing 975 Unopposed MOTION to Substitute Attorney by Ascendant Alternative Strategies, LLC, DJ Partners LLC. (Attachments: #1 Proposed Order)(Peele, Christopher)
July 29, 2022 Filing 974 NOTICE of Errata by Millicent R. Barasch, Kazue M. Bell, Gracemarie Boland, Dean Crooks, Loretta DeHay, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, The Stanley S. and Millicent R. Barasch Living Trust, Victor Wade Individual Retirement Account (Centner, Daniel)
July 29, 2022 Filing 973 NOTICE of Attorney Appearance by Christopher L. Peele on behalf of Ascendant Alternative Strategies, LLC, DJ Partners LLC. Attorney Christopher L. Peele added to party Ascendant Alternative Strategies, LLC(pty:dft), Attorney Christopher L. Peele added to party DJ Partners LLC(pty:dft) (Peele, Christopher)
July 29, 2022 Filing 972 MOTION for Extension of Time to File Answer to Plaintiffs' Consolidated Class Action Complaint by HighTower Advisors, LLC, HighTower Securities, LLC. (Attachments: #1 Proposed Order Proposed Order)(Pogorzelski, Henry)
July 29, 2022 Filing 971 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Capital Investment Group, Inc., Cascade Financial Management, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Moloney Securities Co. Inc., and National Securities Corporation. (Attachments: #1 Proposed Order)(Ruiz, James) Modified on 8/1/2022 to add filers (klw).
July 29, 2022 Filing 970 TRANSCRIPT REQUEST by 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, Uhlmann Price Securities, LLC, Vestech Securities, Inc. for proceedings held on 07/27/2022. Proceedings Transcribed: Telephone Conference.. (Tasich, Vlada)
July 28, 2022 Filing 969 Unopposed MOTION to Withdraw as Attorney Nancy L. Hendrickson by Great Point Capital LLC. (Attachments: #1 Proposed Order)(Ravel, J.)
July 28, 2022 Filing 968 MOTION for Extension of Time to File Answer by Gentile Pismeny & Brengel LLP. (Attachments: #1 Proposed Order)(Johnson, Michael)
July 28, 2022 Filing 967 MOTION for Extension of Time to File Response/Reply as to #916 Amended Complaint,, by Money Concepts Capital Corp., Sentinus Securities LLC n/k/a Sentinus-Halo Securities, LLC. (Attachments: #1 Proposed Order)(Benson, Carter)
July 28, 2022 Filing 966 MOTION for Extension of Time to File Answer United Planners' Financial Services of America, LP's Motion to Extend Time to File an Answer and Affirmative Defenses to Plaintiffs' Consolidated Complaint by United Planners' Financial Services of America, LP. (Attachments: #1 Proposed Order)(Saris, Taylor)
July 28, 2022 Filing 965 TRANSCRIPT REQUEST by Emerson Equity LLC, Lowell & Company, Inc., MSC-BD, LLC, McNally Financial Services Corporation, SCF Securities, Inc., Stephen A. Kohn & Associates, Ltd., Titan Securities for proceedings held on 07/27/2022. Proceedings Transcribed: Telephone Conference. Court Reporter: Arlinda Rodriguez. (Callahan, Daniel)
July 27, 2022 Filing 964 MOTION for Extension of Time to File Response/Reply by BCG Securities Inc., Lion Street Financial LLC. (Attachments: #1 Proposed Order Defendants BCG & Lionstreet's Proposed Order for Motion for Extension of Time to Answer Consolidated Complaint)(Schexnayder, Martin)
July 27, 2022 Filing 963 TRANSCRIPT REQUEST by Ascendant Capital, LLC for proceedings held on 07/27/2022. Proceedings Transcribed: Telephone Conference. Court Reporter: Arlinda Rodriguez. (Battaglini, Kim)
July 27, 2022 Filing 962 Minute Entry for proceedings held before Judge Lee Yeakel: Telephone Conference held on 7/27/2022. (Minute entry documents are not available electronically.). (Court Reporter Arlinda Rodriguez.)(cc3)
July 27, 2022 Filing 961 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Bradley Wealth Management LLC. (Attachments: #1 Proposed Order)(Lamb, Nathan)
July 27, 2022 Filing 960 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Dawson James Securities, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
July 27, 2022 Filing 959 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Emerson Equity LLC, Lowell & Company, Inc., MSC-BD, LLC, McNally Financial Services Corporation, SCF Securities, Inc., Stephen A. Kohn & Associates, Ltd., Titan Securities. (Attachments: #1 Proposed Order Granting Motion to Extend Time to File Answer)(Kessler, Gary)
July 27, 2022 Filing 958 MOTION for Extension of Time to File Answer to Plaintiffs' Consolidated Complaint by Morrison, Brown, Argiz & Farra, Morrison, Brown, Argiz & Ferra, LLC. (Attachments: #1 Proposed Order)(Hall, Adam)
July 27, 2022 Filing 957 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Ascendant Capital, LLC, Jeffry Schneider. (Attachments: #1 Proposed Order)(Freel, Jennifer)
July 27, 2022 Filing 956 MOTION for Extension of Time to File Answer by Advisory Group Equity Services, Ltd., 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)
July 27, 2022 Filing 955 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, (Consolidated Complaint) by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Frank, Jason)
July 27, 2022 Filing 954 Joint MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Newbridge Securities Corporation, WestPark Capital Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
July 26, 2022 Filing 953 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Austin Lake Technologies, LLC, Michael Frost. (Attachments: #1 Proposed Order)(Fields, Jacob)
July 26, 2022 Filing 952 MOTION for Extension of Time to File Answer by FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Triad Advisors, LLC, Western International Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
July 26, 2022 Filing 951 MOTION for Extension of Time to File Answer by Scott Naugle. (Attachments: #1 Proposed Order)(Marin, Michael)
July 26, 2022 Filing 950 MOTION for Extension of Time to File Answer by Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, David A. Noyes & Company, Innovation Partners LLC, Kingsbury Capital, Inc., Landolt Securities, Inc., Whitehall-Parker Securities, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
July 26, 2022 Opinion or Order Filing 949 ORDER GRANTING #939 Motion to Substitute Attorney Jennifer S. Freel and withdraw Kim Bernard Battaglini. Signed by Judge Lee Yeakel. (cc3)
July 26, 2022 Filing 948 Proposed Order to #945 MOTION for Extension of Time to File Answer to Plaintiffs' Consolidated Complaint by 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, Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Tasich, Vlada)
July 26, 2022 Filing 947 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Arete Wealth Management, LLC, Great Point Capital LLC. (Attachments: #1 Proposed Order)(Ravel, J.)
July 26, 2022 Filing 946 DEFICIENCY NOTICE: re #945 MOTION for Extension of Time to File Answer to Plaintiffs' Consolidated Complaint (cc3)
July 26, 2022 Filing 945 MOTION for Extension of Time to File Answer to Plaintiffs' Consolidated Complaint by 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, Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Tasich, Vlada)
July 26, 2022 Opinion or Order Filing 944 ORDER GRANTING #931 Motion to Appear Pro Hac Vice as to DANIEL A. HETZEL. 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. (cc3)
July 26, 2022 Filing 943 CORRECTED MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, DFPG Investments, Inc., Geneos Wealth Management, Inc., Orchard Securities, LLC. (Attachments: #1 Exhibit Proposed Order)(Saretsky, Gary)
July 26, 2022 Filing 942 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, DFPG Investments, Inc., Geneos Wealth Management, Inc., Orchard Securities, LLC. (Attachments: #1 Exhibit Proposed Order)(Saretsky, Gary)
July 25, 2022 Filing 941 Joint MOTION for Extension of Time to File Answer to #916 Amended Complaint by Crowe, LLP. (Attachments: #1 Proposed Order)(Cook, Jordan)
July 25, 2022 Filing 940 NOTICE of Attorney Appearance by Cody Lee Vaughn on behalf of Ascendant Capital, LLC, Jeffry Schneider. Attorney Cody Lee Vaughn added to party Ascendant Capital, LLC(pty:dft), Attorney Cody Lee Vaughn added to party Jeffry Schneider(pty:dft) (Vaughn, Cody)
July 25, 2022 Filing 939 Unopposed MOTION to Substitute Attorney Jennifer S. Freel in place of Kim Bernard Battaglini by Ascendant Capital, LLC, Jeffry Schneider. (Attachments: #1 Proposed Order)(Freel, Jennifer)
July 25, 2022 Filing 938 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by CKGF Holding LLC, Rina Chernaya, Gerald Francese, Highline Management, Inc., Robert Kessler, McAnna, LP. (Attachments: #1 Proposed Order Proposed Order granting Defendants Motion to Extend)(Kaplan, Steven)
July 22, 2022 Filing 937 NOTICE of Attorney Appearance by Jennifer S. Freel on behalf of Ascendant Capital, LLC, Jeffry Schneider. Attorney Jennifer S. Freel added to party Ascendant Capital, LLC(pty:dft), Attorney Jennifer S. Freel added to party Jeffry Schneider(pty:dft) (Freel, Jennifer)
July 22, 2022 Opinion or Order Filing 936 ORDER GRANTING #930 Motion to Appear Pro Hac Vice as to DAVID BAUGH. 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. (cc3)
July 22, 2022 Filing 935 MOTION for Extension of Time to File Answer re #916 Amended 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, LP, GPB Waste Management, LP. (Attachments: #1 Proposed Order Proposed Order granting GPB Defendants Motion to Extend)(Kaplan, Steven)
July 21, 2022 Filing 934 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Evan Myrianthopoulos. (Attachments: #1 Proposed Order)(Reeves, Beverly)
July 21, 2022 Filing 933 MOTION for Extension of Time to File Answer re #916 Amended Complaint,, by Steven Frangioni. (Attachments: #1 Proposed Order)(Reeves, Beverly)
July 18, 2022 Filing 932 NOTICE of Appearance of Additional Counsel by Arete Wealth Management, LLC, Great Point Capital LLC (Ravel, J.)
July 18, 2022 Filing 931 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of Daniel A. Hetzel ( Filing fee $ 100 receipt number 0542-16269543) by on behalf of Arete Wealth Management, LLC, Great Point Capital LLC. (Attachments: #1 Proposed Order)(Ravel, J.)
July 18, 2022 Filing 930 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of David A. Baugh ( Filing fee $ 100 receipt number 0542-16269390) by on behalf of Arete Wealth Management, LLC, Great Point Capital LLC. (Attachments: #1 Proposed Order)(Ravel, J.)
July 15, 2022 Opinion or Order Filing 929 ORDER GRANTING #926 Motion to Appear Pro Hac Vice as to MATTHEW MCDONOUGH. 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. (cc3)
July 15, 2022 Opinion or Order Filing 928 ORDER GRANTING #925 Motion to Appear Pro Hac Vice as to JASON FRANK. 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. (cc3)
July 14, 2022 Opinion or Order Filing 927 ORDER to file a Joint Proposed Scheduling Order due by 8/12/2022. Signed by Judge Lee Yeakel. (cc3)
July 14, 2022 Filing 926 MOTION to Appear Pro Hac Vice by Cullen Garrett Pick for Matthew McDonough ( Filing fee $ 100 receipt number 0542-16257408) by on behalf of Phoenix American Financial Services, Inc.. (Pick, Cullen)
July 14, 2022 Filing 925 MOTION to Appear Pro Hac Vice by Cullen Garrett Pick for Jason Frank ( Filing fee $ 100 receipt number 0542-16257347) by on behalf of Phoenix American Financial Services, Inc.. (Pick, Cullen)
July 11, 2022 Opinion or Order Filing 924 ORDER GRANTING #921 Motion to Appear Pro Hac Vice as to Elizabeth K. Bailey. 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. (cc3)
July 11, 2022 Opinion or Order Filing 923 ORDER GRANTING #920 Motion to Appear Pro Hac Vice as to Cody Berne. 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. (cc3)
July 8, 2022 Opinion or Order Filing 922 ORDER GRANTING #919 Motion to Appear Pro Hac Vice as to Meghan E. Flinn. 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. (cc3)
July 8, 2022 Filing 921 MOTION to Appear Pro Hac Vice by Timothy S. DeJong as to Elizabeth K. Bailey ( Filing fee $ 100 receipt number 0542-16232841) by on behalf of Kazue M. Bell, Gracemarie Boland, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (DeJong, Timothy)
July 8, 2022 Filing 920 MOTION to Appear Pro Hac Vice by Timothy S. DeJong as to Cody Berne ( Filing fee $ 100 receipt number 0542-16232816) by on behalf of Kazue M. Bell, Gracemarie Boland, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (DeJong, Timothy)
July 7, 2022 Filing 919 MOTION to Appear Pro Hac Vice by Henry Pogorzelski on behalf of Meghan E. Flinn ( Filing fee $ 100 receipt number 0542-16226007) by on behalf of HighTower Advisors, LLC, HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Pogorzelski, Henry)
July 6, 2022 Opinion or Order Filing 918 ORDER APPOINTING CO-LEAD CLASS COUNSEL AND LIASON COUNSEL. Signed by Judge Lee Yeakel. (cc3)
July 5, 2022 Filing 917 Transcript filed of Proceedings held on June 22, 2022, Proceedings Transcribed: Status 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 7/26/2022, Redacted Transcript Deadline set for 8/5/2022, Release of Transcript Restriction set for 10/3/2022, (alr)
July 1, 2022 Filing 916 AMENDED COMPLAINT - Consolidated Complaint against All Defendants amending, filed by Karen Loch, Jeffery S. Gramm Individual Retirement Account, Victor Wade Individual Retirement Account, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Corri Rene Eden, Stacy Greasor Individual Retirement Account, Kazue M. Bell, Catherine Kominos, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Kinnie Ma Individual Retirement Account, Dean Crooks. (Attachments: #1 Certificate of Service, #2 Exhibit A (Redacted) NAV statements, #3 Exhibit B FORM BD)(Weiss, Jesse)
June 28, 2022 Filing 915 NOTICE (JOINT) SUBMITTING [PROPOSED] ORDER APPOINTING CO-LEAD CLASS COUNSEL AND LIAISON COUNSEL by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Attachments: #1 Exhibit A - Proposed Order Appointing Class Counsel)(Weiss, Jesse)
June 24, 2022 Opinion or Order Filing 914 ORDER DENYING #841 Motion for Reconsideration Signed by Judge Lee Yeakel. (cc3)
June 23, 2022 Opinion or Order Filing 913 ORDER DENYING #865 MOTION to Stay Case to Extend the Stay of Proceedings Pending Criminal Case. Signed by Judge Lee Yeakel. (cc3)
June 23, 2022 Opinion or Order Filing 912 ORDER SETTING DEADLINE TO ANSWER CONSOLIDATED COMPLAINT. Signed by Judge Lee Yeakel. (cc3)
June 22, 2022 Opinion or Order Filing 911 ORDER GRANTING #907 Motion to Appear Pro Hac Vice as to Vlada Tasich. 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. (cc3)
June 22, 2022 Filing 910 Minute Entry for proceedings held before Judge Lee Yeakel: Status Conference held on 6/22/2022 by Zoom. Written order forthcoming (Minute entry documents are not available electronically) (Court Reporter Arlinda Rodriguez.)(cc3)
June 21, 2022 Filing 909 NOTICE (Joint Notice of Agreement Among Plaintiffs' Counsel Regarding Proposed Organization of Class Counsel) by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Weiss, Jesse)
June 21, 2022 Opinion or Order Filing 908 ORDER GRANTING #903 Motion to Withdraw as Attorney Danny Ashby and Justin Chapa. Signed by Judge Lee Yeakel. (cc3)
June 21, 2022 Filing 907 MOTION to Appear Pro Hac Vice by James G. Ruiz Motion for Admission Pro Hac Vice (Vlada Tasich) ( Filing fee $ 100 receipt number 0542-16162133) 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, Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
June 20, 2022 Filing 906 ATTACHMENT Proposed Order to #903 MOTION to Withdraw as Attorney Danny Ashby and Justin Chapa by Phoenix American Financial Services, Inc.. (Pick, Cullen)
June 17, 2022 Filing 905 NOTICE OF RELATED CASE FILING 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, LP (Attachments: #1 Exhibit Exhibit 1 - Application for Order to Show Cause, #2 Exhibit Exhibit 2 - Declaration of Joseph T. Gardemal III, #3 Exhibit Exhibit 3 - Proposed Order Appointing Receiver and Imposing Litigation Injunction)(Kaplan, Steven)
June 17, 2022 Filing 904 DEFICIENCY NOTICE: re #903 MOTION to Withdraw as Attorney Danny Ashby and Justin Chapa (cc3)
June 16, 2022 Filing 903 MOTION to Withdraw as Attorney Danny Ashby and Justin Chapa by Phoenix American Financial Services, Inc.. (Pick, Cullen)
June 15, 2022 Filing 902 NOTICE of Settlement Discussions by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Weiss, Jesse)
June 14, 2022 Filing 901 NOTICE of Attorney Appearance by Cullen Garrett Pick on behalf of Phoenix American Financial Services, Inc.. Attorney Cullen Garrett Pick added to party Phoenix American Financial Services, Inc.(pty:dft) (Pick, Cullen)
June 8, 2022 Opinion or Order Filing 900 ORDER GRANTING #899 Motion to Appear Pro Hac Vice as to Stephen Spector. 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. (cc3)
June 8, 2022 Filing 899 MOTION to Appear Pro Hac Vice by Stephen Spector ( Filing fee $ 100 receipt number 0542-16118748) by on behalf of EisnerAmper LLP. (Spector, Stephen)
June 1, 2022 Opinion or Order Filing 898 ORDER CONSOLIDATING CIVIL CASES. Signed by Judge Lee Yeakel. (cc3) Modified on 6/1/2022 to correct docket text (so).
June 1, 2022 Set Hearings: General Conference Hearing set for 6/22/2022 at 02:00 PM before Judge Lee Yeakel. (cc3)
March 28, 2022 Filing 897 NOTICE OF CHANGE OF LAW FIRM AFFILIATION AND ADDRESS by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Weiss, Jesse)
March 25, 2022 Opinion or Order Filing 896 ORDER GRANTING #895 Motion to Withdraw as Attorney. Signed by Judge Lee Yeakel. (dm)
March 21, 2022 Filing 895 MOTION to Withdraw as Attorney by EisnerAmper LLP. (Attachments: #1 Proposed Order)(Cohen, Daniel)
March 7, 2022 Filing 894 NOTICE Notice of Firm Name Change, E-Mail Contact Change, and Address Change for New York Office for Counsel by Dawson James Securities, Inc. (Ravel, J.)
February 7, 2022 Opinion or Order Filing 893 ORDER GRANTING #891 Motion to Appear Pro Hac Vice as to Taylor M. Saris. 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. (cc3)
February 2, 2022 Opinion or Order Filing 892 ORDER GRANTING #890 Motion to Withdraw as Attorney as to Andrea Ann Ortiz. Signed by Judge Lee Yeakel. (cc3)
February 1, 2022 Filing 891 MOTION to Appear Pro Hac Vice by Andrea Ann Ortiz Motion for Admission Pro Hac Vice - Taylor M. Saris ( Filing fee $ 100 receipt number 0542-15669181) by on behalf of United Planners' Financial Services of America, LP. (Attachments: #1 Proposed Order)(Ortiz, Andrea)
February 1, 2022 Filing 890 MOTION to Withdraw as Attorney Andrea Ann Ortiz by United Planners' Financial Services of America, LP. (Attachments: #1 Proposed Order)(Ortiz, Andrea)
December 17, 2021 Opinion or Order Filing 889 ORDER GRANTING #885 Motion to Appear Pro Hac Vice as to Brittany H. Sokoloff. 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. (cc3)
December 16, 2021 Opinion or Order Filing 888 ORDER GRANTING #886 Motion to Withdraw as Attorney as to Kayvan B. Sadeghi. Signed by Judge Lee Yeakel. (cc3)
December 14, 2021 Filing 887 NOTICE Notice of Appearance of Additional Counsel by Dawson James Securities, Inc. (Ravel, J.)
December 14, 2021 Filing 886 Unopposed MOTION to Withdraw as Attorney by Dawson James Securities, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
December 14, 2021 Filing 885 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of Brittany H. Sokoloff ( Filing fee $ 100 receipt number 0542-15531640) by on behalf of Dawson James Securities, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
December 13, 2021 Opinion or Order Filing 884 ORDER GRANTING #883 Motion to Appear Pro Hac Vice as to Molly L. Wiltshire. 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. (cc3)
December 9, 2021 Filing 883 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of Molly L. Wiltshire ( Filing fee $ 100 receipt number 0542-15520436) by on behalf of Dawson James Securities, Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
October 28, 2021 Opinion or Order Filing 882 ORDER GRANTING #881 Motion to Appear Pro Hac Vice as to Jason A. Uris. 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. (cc3)
October 27, 2021 Filing 881 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss for Jason A. Uris ( Filing fee $ 100 receipt number 0542-15378257) by on behalf of Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
October 25, 2021 Filing 880 ATTACHMENT Proposed Order to #866 MOTION to Join Joinder in the GPB Defendants' and Auditor Defendants' Motions to Stay by Phoenix American Financial Services, Inc.. (Ashby, Danny)
October 25, 2021 Filing 879 ATTACHMENT Proposed Order to #864 MOTION to Join Motions to Stay by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider. (Battaglini, Kim)
October 25, 2021 Filing 878 ATTACHMENT (corrected - Proposed Order) to #872 MOTION to Join GPB Defendants' Motion to Stay This Action and the Companion Barasch Action [Dkt. No. 862] by Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, Inc.. (Fischbein, Lewis)
October 25, 2021 Filing 877 ATTACHMENT Proposed Order to #865 MOTION to Stay Case to Extend the Stay of Proceedings Pending Criminal Case by David Gentile, Jeffry Schneider. (Murphy, Garland)
October 25, 2021 Filing 876 DEFICIENCY NOTICE: re #866 MOTION to Join Joinder in the GPB Defendants' and Auditor Defendants' Motions to Stay (cc3)
October 25, 2021 Filing 875 DEFICIENCY NOTICE: re #865 MOTION to Stay Case to Extend the Stay of Proceedings Pending Criminal Case (cc3)
October 25, 2021 Filing 874 DEFICIENCY NOTICE: re #864 MOTION to Join Motions to Stay (cc3)
October 25, 2021 Filing 873 DEFICIENCY NOTICE: re #872 MOTION to Join GPB Defendants' Motion to Stay This Action and the Companion Barasch Action [Dkt. No. 862] (cc3)
October 22, 2021 Filing 872 Notice of Joinder GPB Defendants' Motion to Stay This Action and the Companion Barasch Action [Dkt. No. 862] by Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, Inc.. (Fischbein, Lewis) Modified on 12/6/2021 (cc3).
October 22, 2021 Filing 871 BRIEF Supporting Stay regarding #860 Brief, #861 Brief by Morrison, Brown, Argiz & Farra. (Hall, Adam)
October 21, 2021 Filing 870 BRIEF in Support of Stay by Advisory Group Equity Services, Ltd., 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. (Stokes, Peter)
October 21, 2021 Filing 869 BRIEF in Support of Stay by Axiom Capital Management, Inc.. (Stokes, Peter)
October 21, 2021 Filing 868 BRIEF [Kinnie Ma Plaintiffs' Memorandum of Law in Opposition to Extending the Court's August 25, 2021 Stay] by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit 1 - Proposed Protective Order, #2 Exhibit 2 - 12/18/18 InvestmentNews Article, #3 Exhibit 3 - 3/4/19 InvestmentNews Article, #4 Exhibit 4 - Lipman Action Status Letter)(Weiss, Jesse)
October 21, 2021 Filing 867 Proposed Order by David Gentile, Jeffry Schneider re #865 MOTION to Stay Case to Extend the Stay of Proceedings Pending Criminal Case (Murphy, Garland) Modified on 10/22/2021 (cc3).
October 21, 2021 Filing 866 Notice of Joinder in the #862 GPB Defendants' and Auditor Defendants' Motions to Stay by Phoenix American Financial Services, Inc.. (Ashby, Danny) Modified on 12/6/2021 (cc3).
October 21, 2021 Filing 865 MOTION to Stay Case to Extend the Stay of Proceedings Pending Criminal Case by David Gentile, Jeffry Schneider. (Attachments: #1 Exhibit A)(Murphy, Garland)
October 21, 2021 Filing 864 Notice of Joinder to Extend Stay to #862 by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino. (Battaglini, Kim) Modified on 12/6/2021 (cc3).
October 21, 2021 Filing 863 BRIEF Supporting Motion to Stay Actions regarding #862 Brief, by Aegis Capital Corp., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Capital Investment Group, Inc., Center Street Securities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Crown Capital Securities, LP, DFPG Investments, Inc., David A. Noyes & Company, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, IBN Financial Services, Inc., Innovation Partners LLC, Kingsbury Capital, Inc., Landolt Securities, Inc., Money Concepts Capital Corp., Newbridge Securities Corporation, Orchard Securities, LLC, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Sentinus Securities LLC n/k/a Sentinus-Halo Securities, LLC, Triad Advisors, LLC, Uhlmann Price Securities, LLC, United Planners' Financial Services of America, LP, Vestech Securities, Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Ewell, Gary)
October 21, 2021 Filing 862 BRIEF In Support of Stay 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, LP. (Attachments: #1 Affidavit Declaration of Steven M. Kaplan, #2 Exhibit A - Indictment, #3 Exhibit B - Lipman Order, #4 Exhibit C - Stipulations and Orders to Stay)(Kaplan, Steven)
October 21, 2021 Filing 861 BRIEF Supporting Auditor Defendants' Request for a Complete Stay regarding #860 Brief by Deloitte Transactions and Business Analytics LLP. (Villareal, Gavin)
October 21, 2021 Filing 860 BRIEF Supporting a Complete Stay by CohnReznick LLP, Crowe, LLP, EisnerAmper LLP, Margolin Winer & Evens LLP, RSM US LLP. (Hoover, Kathryn)
October 18, 2021 Opinion or Order Filing 859 ORDER GRANTING #857 Motion to Appear Pro Hac Vice as to Alexandra Zoe Bunnell. 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. (cc3)
October 18, 2021 Opinion or Order Filing 858 ORDER GRANTING #855 Motion to Withdraw Attorney Laura Maria Gonzalez Signed by Judge Lee Yeakel. (cc3)
October 15, 2021 Filing 857 MOTION to Appear Pro Hac Vice by Garland Murphy Alexandra Zoe Bunnell ( Filing fee $ 100 receipt number 0542-15339253) by on behalf of David Gentile. (Attachments: #1 Appendix, #2 Proposed Order)(Murphy, Garland)
October 15, 2021 Filing 856 BRIEF Corrected Opposition to Consolidation by Aegis Capital Corp., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, DFPG Investments, Inc., David A. Noyes & Company, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, Innovation Partners LLC, Kingsbury Capital, Inc., Landolt Securities, Inc., Money Concepts Capital Corp., Newbridge Securities Corporation, Orchard Securities, LLC, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Sentinus Securities LLC n/k/a Sentinus-Halo Securities, LLC, Triad Advisors, LLC, WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Ewell, Gary)
October 15, 2021 Filing 855 MOTION to Withdraw as Attorney Laura Maria Gonzalez by David Gentile. (Attachments: #1 Proposed Order)(Murphy, Garland)
October 14, 2021 Filing 854 BRIEF in Opposition to Consolidation of the Kinnie Ma and Barasch Putative Class Actions by Millicent R. Barasch, Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Declaration of Richard L. Stone, #2 Exhibit A - excerpts from the Barasch Plaintiffs' Opposition To The Amended Motion To Consolidate Class Actions, Appoint Class Counsel, And For Associated Relief filed by Barasch with this Court on July 27, 2020 in the captioned Ma action as Dkt. 542., #3 Exhibit B - excerpts from the court transcript of the Court conference held before this Court on September 23, 2021., #4 Exhibit C - copy of the Barasch counsels press release of June 30, 2020., #5 Exhibit D - copy of a press release issued by Barasch counsel Peiffer Wolf on or about February 9, 2021)(Weiss, Jesse)
October 14, 2021 Filing 853 RESPONSE in Support, filed 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, LP, re #528 Amended MOTION to Consolidate Cases MOTION to Appoint Counsel , Transfer and Consolidate Subsequent Similar Cases, and, in the Alternative, Stay Duplicative Briefing filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Kaplan, Steven)
October 14, 2021 Filing 852 RESPONSE in Support, filed by Crowe, LLP, re #528 Amended MOTION to Consolidate Cases MOTION to Appoint Counsel , Transfer and Consolidate Subsequent Similar Cases, and, in the Alternative, Stay Duplicative Briefing filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Homer, Carolyn)
October 14, 2021 Filing 851 BRIEF Broker-Dealer Defendant's Opposition to Consolidation by Aegis Capital Corp., Aeon Capital Inc., Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Crown Capital Securities, LP, DFPG Investments, Inc., David A. Noyes & Company, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, Innovation Partners LLC, Kingsbury Capital, Inc., Landolt Securities, Inc., Money Concepts Capital Corp., Orchard Securities, LLC, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Sentinus Securities LLC n/k/a Sentinus-Halo Securities, LLC, Triad Advisors, LLC, Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Ewell, Gary)
October 13, 2021 Opinion or Order Filing 850 ORDER GRANTING #849 Motion to Withdraw Attorney Gregory P. Graham. Signed by Judge Lee Yeakel. (cc3)
October 12, 2021 Filing 849 MOTION to Withdraw as Attorney by 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, Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
October 5, 2021 Filing 848 SUPPLEMENTAL MEMORANDUM to #528 Amended MOTION to Consolidate Cases MOTION to Appoint Counsel , Transfer and Consolidate Subsequent Similar Cases, and, in the Alternative, Stay Duplicative Briefing - Supplement Relating To Appointment Of Interim Co-Lead Class Counsel by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Declaration Of Peter S. Linden In Support Of The Kinnie Ma Plaintiffs Supplement To Their Amended Motion To Consolidate Class Actions And Appoint Interim Co-Lead Class Counsel, #2 Exhibit A)(Weiss, Jesse)
September 30, 2021 Filing 847 Transcript filed of Proceedings held on September 23, 2021, Proceedings Transcribed: Video 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 10/21/2021, Redacted Transcript Deadline set for 11/1/2021, Release of Transcript Restriction set for 12/29/2021, (alr)
September 27, 2021 Opinion or Order Filing 846 ORDER re: filing of pleadings. Signed by Judge Lee Yeakel. (cc3)
September 27, 2021 Opinion or Order Filing 845 ORDER GRANTING #844 Motion to Withdraw Attorney Nancy L. Hendrickson. Signed by Judge Lee Yeakel. (cc3)
September 24, 2021 Filing 844 Unopposed MOTION to Withdraw as Attorney by Newbridge Securities Corporation, WestPark Capital Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
September 23, 2021 Filing 843 Minute Entry for proceedings held before Judge Lee Yeakel: Miscellaneous/Electronic Hearing held on 9/23/2021. Written order forthcoming. (Minute entry documents are not available electronically.) (Court Reporter Arlinda Rodriguez.)(cc3)
September 23, 2021 Filing 842 DEFICIENCY NOTICE: re #841 MOTION for Reconsideration re #816 Order on Motion to Dismiss (Motion for Partial Reconsideration of the Motion to Dismiss Order, or Alternatively An Order Permitting Interlocutory Appeal) (cc3)
September 22, 2021 Filing 841 MOTION for Reconsideration re #816 Order on Motion to Dismiss (Motion for Partial Reconsideration of the Motion to Dismiss Order, or Alternatively An Order Permitting Interlocutory Appeal) by EisnerAmper LLP. (Braun, Bruce)
September 22, 2021 Filing 840 NOTICE of Attorney Appearance by Garland Murphy on behalf of David Gentile. Attorney Garland Murphy added to party David Gentile(pty:dft) (Murphy, Garland)
September 21, 2021 Opinion or Order Filing 839 ORDER GRANTING #836 Motion to Appear Pro Hac Vice as to Gara M. Seagraves. 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. (cc3)
September 20, 2021 Filing 838 ATTACHMENT Corrected Proposed Order to #836 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of Gara M. Seagraves ( Filing fee $ 100 receipt number 0542-15241781) by Newbridge Securities Corporation, WestPark Capital Inc.. (Ravel, J.)
September 20, 2021 Filing 837 NOTICE of Appearance of Additional Counsel by Newbridge Securities Corporation, WestPark Capital Inc. (Ravel, J.)
September 20, 2021 Filing 836 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of Gara M. Seagraves ( Filing fee $ 100 receipt number 0542-15241781) by on behalf of Newbridge Securities Corporation, WestPark Capital Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
September 17, 2021 Filing 835 NOTICE of Attorney Appearance by Allison J. Maynard on behalf of Withum SmithBrown, PC. Attorney Allison J. Maynard added to party Withum SmithBrown, PC(pty:dft) (Maynard, Allison)
September 2, 2021 Opinion or Order Filing 834 ORDER GRANTING #832 Motion to Appear Pro Hac Vice as to Sameer Rastogi. 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. (cc3)
September 2, 2021 Opinion or Order Filing 833 ORDER GRANTING #831 Motion to Appear Pro Hac Vice as to Michael Ference. 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. (cc3)
September 2, 2021 Filing 832 MOTION to Appear Pro Hac Vice by Gary Ewell on behalf of Sameer Rastogi ( Filing fee $ 100 receipt number 0542-15183584) by on behalf of Aegis Capital Corp., American Capital Partners, LLC. (Attachments: #1 Proposed Order)(Ewell, Gary)
September 2, 2021 Filing 831 MOTION to Appear Pro Hac Vice by Gary Ewell on behalf of Michael Ference ( Filing fee $ 100 receipt number 0542-15183552) by on behalf of Aegis Capital Corp., American Capital Partners, LLC. (Attachments: #1 Proposed Order)(Ewell, Gary)
August 27, 2021 Filing 830 NOTICE OF CHANGE OF LAW FIRM AFFILIATION by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Weiss, Jesse)
August 25, 2021 Opinion or Order Filing 829 ORDER STAYING CASE AND SETTING ELECTRONIC CONFERENCE for 9/23/2021 at 10:00 via Zoom before Judge Lee Yeakel. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 828 ORDER DENYING #709 Axiom's Motion to Dismiss for Failure to State a Claim. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 827 ORDER DENYING #708 Hightower Advisors' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 826 ORDER DENYING #707 Moving Defendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 825 ORDER DENYING #705 Deloitte's Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 824 ORDER DENYING #703 Morrison's Motion to Dismiss for Failure to State a Claim and DENYING #703 Morrison's Motion to Dismiss for Lack of Jurisdiction. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 823 ORDER DENYING #702 Moving Defendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 822 ORDER DENYING #701 Phoenix's Motion to Dismiss for Lack of Jurisdiction. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 821 ORDER DENYING #699 Gentile's Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 820 ORDER DENYING #697 Moving Defendants' Motion to Dismiss for Failure to State a Claim. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 819 ORDER DENYING #696 Moving Defendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 818 ORDER DENYING #695 Moving Defendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 817 ORDER DENYING #694 Moving Defendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 816 ORDER DENYING #693 EisnerAmper's Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 815 ORDER DENYING #692 Withum's Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 814 ORDER DENYING #687 Bradley Wealth's Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 813 ORDER DENYING #685 Moving Defendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 812 ORDER DENYING #683 Moving Defendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 811 ORDER DENYING #669 United Planner's Motion to Dismiss for Failure to State a Claim. Signed by Judge Lee Yeakel. (cc3)
August 25, 2021 Opinion or Order Filing 810 ORDER DENYING #691 Margolin's Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
August 23, 2021 Opinion or Order Filing 809 ORDER GRANTING #808 Motion to Withdraw as Attorney as to David Koropp and Steven Vanderporten. Signed by Judge Lee Yeakel. (cc3)
August 20, 2021 Filing 808 MOTION to Withdraw as Attorney on behalf of David Koropp and Steven Vanderporten by David A. Noyes & Company. (Attachments: #1 Proposed Order)(Ewell, Gary)
August 12, 2021 Opinion or Order Filing 807 ORDER GRANTING #804 Motion to Appear Pro Hac Vice as to Kathleen A DeLaney. 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. (cc3)
August 12, 2021 Opinion or Order Filing 806 ORDER GRANTING #805 Motion to Appear Pro Hac Vice as to Christopher S. Stake. 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. (cc3)
August 11, 2021 Filing 805 MOTION to Appear Pro Hac Vice by Gary Ewell for Christopher S. Stake ( Filing fee $ 100 receipt number 0542-15106758) by on behalf of David A. Noyes & Company. (Attachments: #1 Proposed Order)(Ewell, Gary)
August 11, 2021 Filing 804 MOTION to Appear Pro Hac Vice by Gary Ewell for Kathleen A. DeLaney ( Filing fee $ 100 receipt number 0542-15106744) by on behalf of David A. Noyes & Company. (Attachments: #1 Proposed Order)(Ewell, Gary)
June 15, 2021 Opinion or Order Filing 803 ORDER GRANTING #802 Motion to Withdraw Attorney as to Chris L. Gilbert. Signed by Judge Lee Yeakel. (cc3)
June 8, 2021 Filing 802 Unopposed MOTION to Withdraw as Attorney by David Gentile. (Attachments: #1 Proposed Order)(Gilbert, Chris)
May 19, 2021 Opinion or Order Filing 801 ORDER DENYING #784 Motion for Leave to File Surreply in Further Opposition toDefendants' Motion to Dismiss. Signed by Judge Lee Yeakel. (cc3)
May 19, 2021 Opinion or Order Filing 800 ORDER DENYING #785 Motion for Leave to File Surreply in Further Opposition toDefendants' Motion to Dismiss the Second Amended Complaint. Signed by Judge Lee Yeakel. (cc3)
May 12, 2021 Opinion or Order Filing 799 ORDER GRANTING #795 Motion to Withdraw Attorney Jonathan R. Dotson. Signed by Judge Lee Yeakel. (cc3)
May 12, 2021 Filing 798 Response in Opposition to Motion, filed by Morrison, Brown, Argiz & Farra, Morrison, Brown, Argiz & Ferra, LLC, re #785 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a) filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Kazue M. Bell, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Hall, Adam)
May 11, 2021 Opinion or Order Filing 797 ORDER GRANTING #794 Motion to Withdraw as Attorney as to Andrew W.Davitt. Signed by Judge Lee Yeakel. (cc3)
May 11, 2021 Opinion or Order Filing 796 ORDER GRANTING #793 Motion to Appear Pro Hac Vice as to Gregory P. Graham. 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. (cc3)
May 11, 2021 Filing 795 Unopposed MOTION to Withdraw as Attorney on behalf of Jonathan R. Dotson by HighTower Advisors, LLC, HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Pogorzelski, Henry)
May 11, 2021 Filing 794 MOTION to Withdraw as Attorney Motion of Counsel to Withdraw (Andrew W. Davitt) by Colorado Financial Service Corporation, Concorde Investment Services, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
May 11, 2021 Filing 793 MOTION to Appear Pro Hac Vice by James G. Ruiz Motion for Admission Pro Hac Vice (Gregory P. Graham) ( Filing fee $ 100 receipt number 0542-14789194) 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, Uhlmann Price Securities, LLC, Vestech Securities, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
May 10, 2021 Filing 792 Response in Opposition to Motion, filed by Phoenix American Financial Services, Inc., re #785 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a) filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Kazue M. Bell, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Ashby, Danny)
May 7, 2021 Filing 791 Response in Opposition to Motion, filed by CohnReznick LLP, Crowe, LLP, EisnerAmper LLP, Margolin Winer & Evens LLP, RSM US LLP, Withum SmithBrown, PC, re #784 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss Pursuant to Forum Non Conveniens and Fed. R. Civ. P. 12(b)(3) Or, In The Alternative, For A Stay filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Kazue M. Bell, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account, #785 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a) filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Kazue M. Bell, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Catherine Kominos, Plaintiff Stacy Greasor Individual Retirement Account (Braun, Bruce)
May 7, 2021 Filing 790 NOTICE of Attorney Appearance by Henry Pogorzelski on behalf of HighTower Advisors, LLC, HighTower Securities, LLC. Attorney Henry Pogorzelski added to party HighTower Advisors, LLC(pty:dft), Attorney Henry Pogorzelski added to party HighTower Securities, LLC(pty:dft) (Pogorzelski, Henry)
May 7, 2021 Filing 789 Response in Opposition to Motion, filed by Deloitte Transactions and Business Analytics LLP, re #785 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a) filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Kazue M. Bell, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Attachments: #1 Proposed Order)(Villareal, Gavin)
May 7, 2021 Filing 788 Memorandum in Opposition to Motion, filed 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, LP, re #784 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss Pursuant to Forum Non Conveniens and Fed. R. Civ. P. 12(b)(3) Or, In The Alternative, For A Stay filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Kazue M. Bell, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account, #785 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a) filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Kazue M. Bell, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Catherine Kominos, Plaintiff Stacy Greasor Individual Retirement Account (Kaplan, Steven)
May 5, 2021 Filing 787 Response in Opposition to Motion, filed by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider, re #694 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 (Battaglini, Kim)
May 5, 2021 Filing 786 Response in Opposition to Motion, filed by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider, re #695 Joint MOTION to Dismiss Second Amended Complaint Based on the Doctrine of Forum Non Conveniens and Pursuant to Rule 12(b)(3), Or, Alternatively, to Stay This Action filed by Defendant GPB Holdings II, LP, Defendant GPB Waste Management, LP, Defendant GPB Holdings Qualified, LP, Defendant Jeffry Schneider, Defendant GPB NYC Development, LP, Defendant GPB Automotive Portfolio, LP, Defendant GPB Capital Holdings, LLC, Defendant DJ Partners LLC, Defendant GPB Holdings III, LP, Defendant GPB Holdings, LP, Defendant MR Ranger LLC, Defendant Mark D Martino, Defendant RSM US LLP, Defendant Ascendant Alternative Strategies, LLC, Defendant Axiom Capital Management, Inc., Defendant David Gentile, Defendant GPB Cold Storage, LP, Defendant Ascendant Capital, LLC, Defendant Withum Smith+Brown, PC, Defendant Crowe, LLP (Battaglini, Kim)
May 4, 2021 Filing 785 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a) by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit 1 - Plaintiffs' Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a), #2 Exhibit A - Declaration of Julia M. Clementi in Support of Plaintiffs' Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a) (with exhibits), #3 Proposed Order Granting Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b) and 8(a))(Weiss, Jesse)
May 4, 2021 Filing 784 MOTION for Leave to File Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss Pursuant to Forum Non Conveniens and Fed. R. Civ. P. 12(b)(3) Or, In The Alternative, For A Stay by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit 1 - Plaintiffs' Surreply in Further Opposition to Defendants' Motions to Dismiss Pursuant to Forum Non Conveniens and Fed. R. Civ. P. 12(b)(3) Or, In The Alternative, For A Stay, #2 Proposed Order Granting Plaintiffs' Motion for Leave to File Surreply in Further Opposition to Defendants' Motions to Dismiss Pursuant to Forum Non Conveniens and Fed. R. Civ. P. 12(b)(3) Or, In The Alternative, For A Stay)(Weiss, Jesse)
May 3, 2021 Filing 783 NOTICE of Attorney Appearance by Lee L. Cameron, Jr on behalf of Withum SmithBrown, PC (Cameron, Lee)
May 3, 2021 Filing 782 NOTICE of Change of Address by Kevin M. McDonough (McDonough, Kevin)
May 3, 2021 Filing 781 NOTICE of Change of Address by Dennis Mai (Mai, Dennis)
April 19, 2021 Opinion or Order Filing 780 ORDER GRANTING #779 Motion to Withdraw Attorney John P. Quinn. Signed by Judge Lee Yeakel. (cc3)
April 16, 2021 Filing 779 MOTION to Withdraw as Attorney (John P. Quinn) by 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)
April 13, 2021 Notice of Correction: Pease note; Order originally docketed as granting document #683. This was done in error. Order was actually granting document #760. (cc3)
April 12, 2021 Filing 778 REPLY to Response to Motion: re #685 Unopposed MOTION to Dismiss Second Amended Class Action Complaint (cc3)
April 12, 2021 Opinion or Order Filing 777 ORDER GRANTING #760 Motion to Exceed Page Limit. Signed by Judge Lee Yeakel. (cc3) Modified on 4/13/2021 to correct text (dm).
April 12, 2021 Opinion or Order Filing 776 ORDER GRANTING #759 Motion to Withdraw Attorney Seth M. Shapiro. Signed by Judge Lee Yeakel. (cc3)
April 12, 2021 Opinion or Order Filing 775 ORDER GRANTING #766 Motion for Leave to File Excess Pages. Signed by Judge Lee Yeakel. (cc3)
April 8, 2021 Filing 774 REPLY to Response to Motion, filed by Bradley Wealth Management LLC, re #687 MOTION to Join DKT NO. 685 RULE 12(B)(6), RULE 9(B) AND RULE 8(A) MOTION TO DISMISS AND SEPARATELY MOVING TO DISMISS THE SECOND AMENDED CLASS ACTION COMPLAINT PURSUANT TO RULE 12(B)(2) filed by Defendant Bradley Wealth Management LLC (Lamb, Nathan)
April 5, 2021 Filing 773 REPLY to Response to Motion, filed by Gentile Pismeny & Brengel LLP, re #702 MOTION to Dismiss filed by Defendant Gentile Pismeny & Brengel LLP (Johnson, Michael)
April 5, 2021 Filing 772 REPLY to Response to Motion, filed by Axiom Capital Management, Inc., re #709 Motion to Dismiss for Failure to State a Claim Under Fed. R. Civ. P. 9(b) and 12(b)(6) filed by Defendant Axiom Capital Management, Inc. (Stokes, Peter)
April 5, 2021 Filing 771 REPLY to Response to Motion, filed by CohnReznick LLP, re #696 MOTION to Dismiss the Second Amended Complaint for Lack of Personal Jurisdiction Under Federal Rule of Civil Procedure 12(b)(2) and, Alternatively, for Failure to Sue in the Proper Forum Under the Doctrine of Forum Non Conveniens and Joinder in Mot filed by Defendant CohnReznick LLP (Aravind, Santosh)
April 5, 2021 Filing 770 REPLY to Response to Motion, filed by CohnReznick LLP, Crowe, LLP, RSM US LLP, Withum SmithBrown, PC, re #707 Joint MOTION to Dismiss Plaintiffs' Second Amended Complaint for Failure to State a Claim Pursuant to FRCP 12(b)(6) and 9(b) filed by Defendant RSM US LLP, Defendant CohnReznick LLP, Defendant Withum Smith+Brown, PC, Defendant Crowe, LLP (Hoover, Kathryn)
April 5, 2021 Filing 769 REPLY to Response to Motion, filed by Margolin Winer & Evens LLP, re #691 MOTION to Dismiss the Second Amended Complaint and to Join Defendants RSM US LLP, Crowe LLP and CohenReznick LLP's Motion to Dismiss filed by Defendant Margolin Winer & Evens LLP (Attachments: #1 Exhibit 1 - Reply Declaration of Alan P. Materazo in further Support of Defendant Margolin, Winer & Evens LLP's Motion to Dismiss the Second Amended Complaint)(Rinehart, Stephen)
April 5, 2021 Filing 768 REPLY to Response to Motion, filed by Phoenix American Financial Services, Inc., re #701 MOTION to Dismiss for Lack of Jurisdiction Motion to Dismiss Pursuant to Rules 12(b)(1)-(b)(3), 12(b)(6) and 9(b) filed by Defendant Phoenix American Financial Services, Inc. (Ashby, Danny)
April 5, 2021 Filing 767 REPLY to Response to Motion, filed by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider, re #694 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 (Battaglini, Kim)
April 5, 2021 Filing 766 MOTION for Leave to Exceed Page Limitation by Advisory Group Equity Services, Ltd., Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, 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, DFPG Investments, Inc., David A. Noyes & Company, Dawson James Securities, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Emerson Equity LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, HighTower Securities, LLC, IBN Financial Services, Inc., Innovation Partners LLC, International Assets Advisory, LLC, Kalos Capital, Inc., Kingsbury Capital, Inc., Landolt Securities, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Exhibit Defs Reply in Support of their Rule 12(b)(6) Motion to Dismiss Second Amended Class Action Complaint, #2 Proposed Order Order Granting Motion to Leave to Exceed Page Limits)(Kessler, Gary)
April 5, 2021 Filing 765 REPLY to Response to Motion, filed by EisnerAmper LLP, re #693 MOTION to Dismiss The Second Amended Class Action Complaint filed by Defendant EisnerAmper LLP (Braun, Bruce)
April 5, 2021 Filing 764 REPLY to Response to Motion, filed by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, Axiom Capital Management, Inc., Crowe, LLP, DJ Partners LLC, 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, LP, David Gentile, MR Ranger LLC, Mark D Martino, RSM US LLP, Jeffry Schneider, Withum SmithBrown, PC, re #695 Joint MOTION to Dismiss Second Amended Complaint Based on the Doctrine of Forum Non Conveniens and Pursuant to Rule 12(b)(3), Or, Alternatively, to Stay This Action filed by Defendant GPB Holdings II, LP, Defendant GPB Waste Management, LP, Defendant GPB Holdings Qualified, LP, Defendant Jeffry Schneider, Defendant GPB NYC Development, LP, Defendant GPB Automotive Portfolio, LP, Defendant GPB Capital Holdings, LLC, Defendant DJ Partners LLC, Defendant GPB Holdings III, LP, Defendant GPB Holdings, LP, Defendant MR Ranger LLC, Defendant Mark D Martino, Defendant RSM US LLP, Defendant Ascendant Alternative Strategies, LLC, Defendant Axiom Capital Management, Inc., Defendant David Gentile, Defendant GPB Cold Storage, LP, Defendant Ascendant Capital, LLC, Defendant Withum Smith+Brown, PC, Defendant Crowe, LLP (Kaplan, Steven)
April 5, 2021 Filing 763 REPLY to Response to Motion, filed by David Gentile, re #699 MOTION to Dismiss Second Amended Complaint filed by Defendant David Gentile (Gilbert, Chris)
April 5, 2021 Filing 762 REPLY to Response to Motion, filed 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, LP, re #697 Motion to Dismiss for Failure to State a Claim filed by Defendant GPB Holdings II, LP, Defendant GPB Waste Management, LP, Defendant GPB Holdings Qualified, LP, Defendant GPB Capital Holdings, LLC, Defendant GPB Automotive Portfolio, LP, Defendant GPB NYC Development, LP, Defendant GPB Cold Storage, LP, Defendant GPB Holdings, LP, Defendant GPB Holdings III, LP (Kaplan, Steven)
April 5, 2021 Filing 761 REPLY to Response to Motion, filed by Advisory Group Equity Services, Ltd., Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, 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, David A. Noyes & Company, Dawson James Securities, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Dinosaur Financial Group, LLC, Emerson Equity LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, HighTower Securities, LLC, IBN Financial Services, Inc., Innovation Partners LLC, International Assets Advisory, LLC, Kalos Capital, Inc., Kingsbury Capital, Inc., Landolt Securities, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc., re #683 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 DFPG Investments, 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 United Planners' Financial Services of America, LP, 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 Capital Investment Group, Inc., Defendant Western International Securities, Inc., Defendant Kalos Capital, Inc., Defendant HighTower Securities, LLC, Defendant Detalus Securities, LLC, 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 Landolt Securities, Inc., Defendant Coastal Equities, Inc., Defendant Dempsey Lord Smith, LLC, Defendant Orchard Securities, LLC, Defendant Ausdal Financial Partners, Inc., Defendant Cascade Financial Management, Inc., Defendant Kingsbury Capital, Inc., Defendant Newbridge Securities Corporation, Defendant FSC Securities Corporation, Defendant Geneos Wealth Management, Inc., Defendant Aeon Capital Inc., Defendant SagePoint Financial, Inc., Defendant Innovation Partners LLC, Defendant Advisory Group Equity Services, Ltd., Defendant Moloney Securities Co., Inc., Defendant Royal Alliance Associates, Inc. (Saretsky, Gary)
April 5, 2021 Filing 760 Unopposed MOTION for Leave to Exceed Page Limitation by Advisory Group Equity Services, Ltd., Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, 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, David A. Noyes & Company, Dawson James Securities, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Dinosaur Financial Group, LLC, Emerson Equity LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, HighTower Securities, LLC, IBN Financial Services, Inc., Innovation Partners LLC, International Assets Advisory, LLC, Kalos Capital, Inc., Kingsbury Capital, Inc., Landolt Securities, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Saretsky, Gary)
April 5, 2021 Filing 759 MOTION to Withdraw as Attorney Seth M. Shapiro by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
April 5, 2021 Filing 758 RESPONSE in Support, filed by Withum SmithBrown, PC, re #692 MOTION to Dismiss Plaintiffs' Second Amended Class Action Complaint for Lack of Personal Jurisdiction and Brief in Support filed by Defendant Withum Smith+Brown, PC (Cameron, Lee)
March 25, 2021 Opinion or Order Filing 757 ORDER GRANTING #753 Motion to Appear Pro Hac Vice as to Roarke Maxwell. 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. (cc3)
March 25, 2021 Opinion or Order Filing 756 ORDER GRANTING #755 Motion to Appear Pro Hac Vice as to Adam Stuart Hall. 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. (cc3)
March 24, 2021 Filing 755 MOTION to Appear Pro Hac Vice by Nelson M. Jones, III for Adam S. Hall ( Filing fee $ 100 receipt number 0542-14625781) by on behalf of Morrison, Brown, Argiz & Ferra, LLC. (Attachments: #1 Proposed Order)(Jones, Nelson)
March 22, 2021 Opinion or Order Filing 754 ORDER GRANTING #750 Unopposed Motion to Extend Deadline to file reply briefs Signed by Judge Lee Yeakel. (cc3)
March 22, 2021 Filing 753 MOTION to Appear Pro Hac Vice by Nelson M. Jones, III for Roarke Maxwell ( Filing fee $ 100 receipt number 0542-14616725) by on behalf of Morrison, Brown, Argiz & Ferra, LLC. (Attachments: #1 Proposed Order)(Jones, Nelson)
March 22, 2021 Filing 752 RESPONSE DEFENDANT MORRISON, BROWN, ARGIZ & FARRAS REPLY TO PLAINTIFFS CORRECTED BRIEF IN OPPOSITION TO DEFENDANTS MOTIONS TO DISMISS PLAINTIFFS SECOND AMENDED COMPLAINT PURSUANT TO FED. R. CIV. P. 12(B)(1), (B)(2), (B)(6), 9(B), AND 8(a) to #730 Memorandum in Opposition to Motion,,,,,,,,,,,,,,,,,,,,,,,,,, by Morrison, Brown, Argiz & Ferra, LLC. (Attachments: #1 Exhibit A- Declaration of Roarke Maxwell)(Jones, Nelson)
March 22, 2021 Filing 751 RESPONSE in Support, filed by Deloitte Transactions and Business Analytics LLP, re #705 MOTION to Dismiss Under Rule 12(B)(6) filed by Defendant Deloitte Transactions and Business Analytics LLP (Attachments: #1 Exhibit A, #2 Exhibit B)(Villareal, Gavin)
March 19, 2021 Filing 750 MOTION for Extension of Time to File Response/Reply in Support of (1) Motion to Dismiss for Forum Non Conveniens and (2) Motion to Dismiss Pursuant to Rule 12(b)(6) by HighTower Advisors, LLC. (Attachments: #1 Proposed Order)(Gavin, John)
March 18, 2021 Opinion or Order Filing 749 ORDER GRANTING #744 Motion for Extension of Time to File Reply. Signed by Judge Lee Yeakel. (cc3)
March 17, 2021 Opinion or Order Filing 748 ORDER GRANTING #736 Motion for Extension of Time to File Response/Reply Signed by Judge Lee Yeakel. (cc3)
March 17, 2021 Opinion or Order Filing 747 ORDER GRANTING #739 Motion for Extension of Time to File Reply Signed by Judge Lee Yeakel. (cc3)
March 17, 2021 Opinion or Order Filing 746 ORDER GRANTING #741 Motion for Extension of Time to File Reply Signed by Judge Lee Yeakel. (cc3)
March 17, 2021 Opinion or Order Filing 745 ORDER GRANTING #742 Motion for Leave to File Excess Pages Signed by Judge Lee Yeakel. (cc3)
March 17, 2021 Filing 744 Unopposed MOTION for Extension of Time to File Response/Reply In Support Of Motion to Dismiss the Second Amended Complaint by EisnerAmper LLP. (Attachments: #1 Proposed Order)(Braun, Bruce)
March 17, 2021 Opinion or Order Filing 743 ORDER GRANTING #740 Motion for Extension of Time to File Reply. PAFSI shall file its reply on or before April 5, 2021. Signed by Judge Lee Yeakel. (cc3)
March 16, 2021 Filing 742 Unopposed MOTION for Leave to Exceed Page Limitation and Extension of Time to file Replies Concerning the Motions to Dismiss by CohnReznick LLP, Crowe, LLP, Margolin Winer & Evens LLP, RSM US LLP, Withum SmithBrown, PC. (Attachments: #1 Proposed Order)(Homer, Carolyn)
March 16, 2021 Filing 741 Unopposed MOTION for Extension of Time to File Response/Reply as to #687 MOTION to Join DKT NO. 685 RULE 12(B)(6), RULE 9(B) AND RULE 8(A) MOTION TO DISMISS AND SEPARATELY MOVING TO DISMISS THE SECOND AMENDED CLASS ACTION COMPLAINT PURSUANT TO RULE 12(B)(2) by Bradley Wealth Management LLC. (Attachments: #1 Supplement Proposed Order)(Lamb, Nathan)
March 16, 2021 Filing 740 Unopposed MOTION for Extension of Time to File Response/Reply as to #701 MOTION to Dismiss for Lack of Jurisdiction Motion to Dismiss Pursuant to Rules 12(b)(1)-(b)(3), 12(b)(6) and 9(b) and for leave to file excess pages by Phoenix American Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ashby, Danny)
March 15, 2021 Filing 739 Unopposed MOTION for Extension of Time to File Response/Reply to Plaintiff's Memoranda In Opposition (Docs 724 and 725) to Defendant's Motions to Dismiss Amended Class Action Complaint by Ascendant Capital, LLC. (Attachments: #1 Proposed Order)(Battaglini, Kim)
March 15, 2021 Opinion or Order Filing 738 ORDER GRANTING #734 Motion to Appear Pro Hac Vice as to Jordan D. Cook. 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. (cc3)
March 15, 2021 Opinion or Order Filing 737 ORDER GRANTING #735 Motion for Extension of Time to File Reply Signed by Judge Lee Yeakel. (cc3) Modified on 3/17/2021 (cc3).
March 12, 2021 Filing 736 Unopposed MOTION for Extension of Time to File Response/Reply as to #725 Memorandum in Opposition to Motion,,,,,,,,,,,,,,,,,,,,,,,, #702 MOTION to Dismiss , #724 Memorandum in Opposition to Motion,,,,,,,,,,,,,,,,,,, by Gentile Pismeny & Brengel LLP. (Attachments: #1 Proposed Order)(Johnson, Michael)
March 12, 2021 Filing 735 Unopposed MOTION for Extension of Time to File Response/Reply re [695, 697, and 699] Motions 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, LP, David Gentile. (Attachments: #1 Proposed Order)(Pierce, Ryan)
March 12, 2021 Filing 734 MOTION to Appear Pro Hac Vice by Carolyn Homer for Jordan D. Cook ( Filing fee $ 100 receipt number 0542-14584596) by on behalf of Crowe, LLP. (Attachments: #1 Proposed Order)(Homer, Carolyn)
March 9, 2021 Opinion or Order Filing 733 ORDER GRANTING #732 MOTION for Extension of Time to File Response/Reply Signed by Judge Lee Yeakel. (cc3)
March 8, 2021 Filing 732 MOTION for Extension of Time to File Response/Reply in Support of their (1) Motion to Dismiss for Forum Non Conveniens and (2) Motion to Dismiss Pursuant to Rule 12(b)(6) by Advisory Group Equity Services, Ltd., Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, 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, DFPG Investments, Inc., David A. Noyes & Company, Dawson James Securities, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Emerson Equity LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, HighTower Securities, LLC, IBN Financial Services, Inc., Innovation Partners LLC, International Assets Advisory, LLC, Kalos Capital, Inc., Kingsbury Capital, Inc., Landolt Securities, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Saretsky, Gary)
March 5, 2021 Filing 731 REPLY to Response to Motion, filed by United Planners' Financial Services of America, LP, re #669 Motion to Dismiss for Failure to State a Claim filed by Defendant United Planners' Financial Services of America, LP (Temkin, Barry)
March 4, 2021 Filing 730 Memorandum in Opposition to Motion, filed by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account, re #697 Motion to Dismiss for Failure to State a Claim filed by Defendant GPB Holdings II, LP, Defendant GPB Waste Management, LP, Defendant GPB Holdings Qualified, LP, Defendant GPB Capital Holdings, LLC, Defendant GPB Automotive Portfolio, LP, Defendant GPB NYC Development, LP, Defendant GPB Cold Storage, LP, Defendant GPB Holdings, LP, Defendant GPB Holdings III, LP, #691 MOTION to Dismiss the Second Amended Complaint and to Join Defendants RSM US LLP, Crowe LLP and CohenReznick LLP's Motion to Dismiss filed by Defendant Margolin Winer & Evens LLP, #693 MOTION to Dismiss The Second Amended Class Action Complaint filed by Defendant EisnerAmper LLP, #694 MOTION to Dismiss filed by Defendant Mark D Martino, Defendant Ascendant Alternative Strategies, LLC, Defendant Jeffry Schneider, Defendant DJ Partners LLC, Defendant Ascendant Capital, LLC, Defendant MR Ranger LLC, #685 Unopposed MOTION to Dismiss Second Amended Class Action Complaint 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 DFPG Investments, Inc., Defendant McNally Financial Services Corporation, 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 United Planners' Financial Services of America, LP, 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 Capital Investment Group, Inc., Defendant Western International Securities, Inc., Defendant Kalos Capital, Inc., Defendant HighTower Securities, LLC, Defendant Detalus Securities, LLC, Defendant Purshe Kaplan Sterling Investments, Inc., Defendant Titan Securities, Defendant Crown Capital Securities, LP, Defendant Vestech Securities, Inc., Defendant Vanderbilt Securities, LLC, Defendant SCF Securities, Inc., Defendant Concorde Investment Services, LLC, Defendant Triad Advisors, LLC, Defendant Dawson James Securities, Inc., Defendant Stephen A. Kohn & Associates, Ltd., Defendant Lion Street Financial LLC, Defendant Landolt Securities, Inc., Defendant MSC-BD, LLC, Defendant Coastal Equities, Inc., Defendant Lowell & Company, Inc., Defendant Dempsey Lord Smith, LLC, Defendant Orchard Securities, LLC, Defendant Ausdal Financial Partners, Inc., Defendant Emerson Equity LLC, Defendant Cascade Financial Management, Inc., Defendant BCG Securities Inc., Defendant Kingsbury Capital, Inc., Defendant Newbridge Securities Corporation, Defendant FSC Securities Corporation, Defendant Geneos Wealth Management, Inc., Defendant Aeon Capital Inc., Defendant SagePoint Financial, Inc., Defendant Innovation Partners LLC, Defendant Advisory Group Equity Services, Ltd., Defendant Royal Alliance Associates, Inc., Defendant Moloney Securities Co., Inc., #696 MOTION to Dismiss the Second Amended Complaint for Lack of Personal Jurisdiction Under Federal Rule of Civil Procedure 12(b)(2) and, Alternatively, for Failure to Sue in the Proper Forum Under the Doctrine of Forum Non Conveniens and Joinder in Mot filed by Defendant CohnReznick LLP, #707 Joint MOTION to Dismiss Plaintiffs' Second Amended Complaint for Failure to State a Claim Pursuant to FRCP 12(b)(6) and 9(b) filed by Defendant CohnReznick LLP, Defendant Crowe, LLP, Defendant RSM US LLP, Defendant Withum Smith+Brown, PC, #687 MOTION to Join DKT NO. 685 RULE 12(B)(6), RULE 9(B) AND RULE 8(A) MOTION TO DISMISS AND SEPARATELY MOVING TO DISMISS THE SECOND AMENDED CLASS ACTION COMPLAINT PURSUANT TO RULE 12(B)(2) filed by Defendant Bradley Wealth Management LLC, #669 Motion to Dismiss for Failure to State a Claim filed by Defendant United Planners' Financial Services of America, LP, #692 MOTION to Dismiss Plaintiffs' Second Amended Class Action Complaint for Lack of Personal Jurisdiction and Brief in Support filed by Defendant Withum Smith+Brown, PC, #701 MOTION to Dismiss for Lack of Jurisdiction Motion to Dismiss Pursuant to Rules 12(b)(1)-(b)(3), 12(b)(6) and 9(b) filed by Defendant Phoenix American Financial Services, Inc., #699 MOTION to Dismiss Second Amended Complaint filed by Defendant David Gentile, #705 MOTION to Dismiss Under Rule 12(B)(6) filed by Defendant Deloitte Transactions and Business Analytics LLP, #709 Motion to Dismiss for Failure to State a Claim Under Fed. R. Civ. P. 9(b) and 12(b)(6) filed by Defendant Axiom Capital Management, Inc., #708 MOTION to Dismiss Plaintiff's Second Amended Class Action Complaint filed by Defendant HighTower Advisors, LLC, #702 MOTION to Dismiss filed by Defendant Gentile Pismeny & Brengel LLP, #703 Motion to Dismiss for Failure to State a Claim MOTION to Dismiss for Lack of Jurisdiction filed by Defendant Morrison, Brown, Argiz & Ferra, LLC (PLAINTIFFS' CORRECTED BRIEF IN OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS THE SECOND AMENDED COMPLAINT PURSUANT TO FED. R. CIV. P. 12(B)(1), (B)(2), (B)(6), 9(B), AND 8(A)) (Attachments: #1 Appendix A - List of Defendants, #2 Declaration of Peter S. Linden, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I, #12 Exhibit J, #13 Exhibit K, #14 Exhibit L, #15 Exhibit M, #16 Exhibit N)(Weiss, Jesse)
March 4, 2021 Filing 729 NOTICE of Filing of Plaintiffs' Corrected Brief in Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b), and 8(a) by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Attachments: #1 Exhibit A - Redlined Version of Plaintiffs' Corrected Brief in Opposition to Defendants' Motions to Dismiss the Second Amended Complaint Pursuant to Fed. R. Civ. P. 12(b)(1), (b)(2), (b)(6), 9(b), and 8(a))(Weiss, Jesse)
March 4, 2021 Filing 728 NOTICE of Change of Address by Beverly Gayle Reeves (Reeves, Beverly)
March 2, 2021 Filing 727 NOTICE of Certificate of Service for Docket No. 725 by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account re #725 Memorandum in Opposition to Motion,,,,,,,,,,,,,,,,,,,,,,,, (Weiss, Jesse)
February 26, 2021 Filing 726 NOTICE of Change of Address by Lewis Stanley Fischbein (Fischbein, Lewis)
February 22, 2021 Filing 725 Memorandum in Opposition to Motion, filed by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account, re #691 MOTION to Dismiss the Second Amended Complaint and to Join Defendants RSM US LLP, Crowe LLP and CohenReznick LLP's Motion to Dismiss filed by Defendant Margolin Winer & Evens LLP, #693 MOTION to Dismiss The Second Amended Class Action Complaint filed by Defendant EisnerAmper LLP, #694 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, #685 Unopposed MOTION to Dismiss Second Amended Class Action Complaint 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 DFPG Investments, Inc., Defendant McNally Financial Services Corporation, 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 United Planners' Financial Services of America, LP, 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 Capital Investment Group, Inc., Defendant Western International Securities, Inc., Defendant Kalos Capital, Inc., Defendant HighTower Securities, LLC, Defendant Detalus Securities, LLC, Defendant Purshe Kaplan Sterling Investments, Inc., Defendant Titan Securities, Defendant Crown Capital Securities, LP, Defendant Vestech Securities, Inc., Defendant Vanderbilt Securities, LLC, Defendant SCF Securities, Inc., Defendant Concorde Investment Services, LLC, Defendant Triad Advisors, LLC, Defendant Dawson James Securities, Inc., Defendant Stephen A. Kohn & Associates, Ltd., Defendant Lion Street Financial LLC, Defendant Landolt Securities, Inc., Defendant MSC-BD, LLC, Defendant Coastal Equities, Inc., Defendant Lowell & Company, Inc., Defendant Dempsey Lord Smith, LLC, Defendant Orchard Securities, LLC, Defendant Ausdal Financial Partners, Inc., Defendant Emerson Equity LLC, Defendant Cascade Financial Management, Inc., Defendant BCG Securities Inc., Defendant Kingsbury Capital, Inc., Defendant Newbridge Securities Corporation, Defendant FSC Securities Corporation, Defendant Geneos Wealth Management, Inc., Defendant Aeon Capital Inc., Defendant SagePoint Financial, Inc., Defendant Innovation Partners LLC, Defendant Advisory Group Equity Services, Ltd., Defendant Moloney Securities Co., Inc., Defendant Royal Alliance Associates, Inc., #696 MOTION to Dismiss the Second Amended Complaint for Lack of Personal Jurisdiction Under Federal Rule of Civil Procedure 12(b)(2) and, Alternatively, for Failure to Sue in the Proper Forum Under the Doctrine of Forum Non Conveniens and Joinder in Mot filed by Defendant CohnReznick LLP, #707 Joint MOTION to Dismiss Plaintiffs' Second Amended Complaint for Failure to State a Claim Pursuant to FRCP 12(b)(6) and 9(b) filed by Defendant CohnReznick LLP, Defendant Crowe, LLP, Defendant RSM US LLP, Defendant Withum Smith+Brown, PC, #687 MOTION to Join DKT NO. 685 RULE 12(B)(6), RULE 9(B) AND RULE 8(A) MOTION TO DISMISS AND SEPARATELY MOVING TO DISMISS THE SECOND AMENDED CLASS ACTION COMPLAINT PURSUANT TO RULE 12(B)(2) filed by Defendant Bradley Wealth Management LLC, #669 Motion to Dismiss for Failure to State a Claim filed by Defendant United Planners' Financial Services of America, LP, #692 MOTION to Dismiss Plaintiffs' Second Amended Class Action Complaint for Lack of Personal Jurisdiction and Brief in Support filed by Defendant Withum Smith+Brown, PC, #701 MOTION to Dismiss for Lack of Jurisdiction Motion to Dismiss Pursuant to Rules 12(b)(1)-(b)(3), 12(b)(6) and 9(b) filed by Defendant Phoenix American Financial Services, Inc., #699 MOTION to Dismiss Second Amended Complaint filed by Defendant David Gentile, #705 MOTION to Dismiss Under Rule 12(B)(6) filed by Defendant Deloitte Transactions and Business Analytics LLP, #709 Motion to Dismiss for Failure to State a Claim Under Fed. R. Civ. P. 9(b) and 12(b)(6) filed by Defendant Axiom Capital Management, Inc., #708 MOTION to Dismiss Plaintiff's Second Amended Class Action Complaint filed by Defendant HighTower Advisors, LLC, #702 MOTION to Dismiss filed by Defendant Gentile Pismeny & Brengel LLP, #703 Motion to Dismiss for Failure to State a Claim MOTION to Dismiss for Lack of Jurisdiction filed by Defendant Morrison, Brown, Argiz & Ferra, LLC (Attachments: #1 Appendix A - List of Defendants, #2 Declaration of Peter S. Linden, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I, #12 Exhibit J, #13 Exhibit K, #14 Exhibit L, #15 Exhibit M, #16 Exhibit N)(Weiss, Jesse)
February 22, 2021 Filing 724 Memorandum in Opposition to Motion, filed by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account, re #691 MOTION to Dismiss the Second Amended Complaint and to Join Defendants RSM US LLP, Crowe LLP and CohenReznick LLP's Motion to Dismiss filed by Defendant Margolin Winer & Evens LLP, #693 MOTION to Dismiss The Second Amended Class Action Complaint filed by Defendant EisnerAmper LLP, #695 Joint MOTION to Dismiss Second Amended Complaint Based on the Doctrine of Forum Non Conveniens and Pursuant to Rule 12(b)(3), Or, Alternatively, to Stay This Action filed by Defendant GPB Holdings II, LP, Defendant GPB Waste Management, LP, Defendant GPB Holdings Qualified, LP, Defendant Jeffry Schneider, Defendant GPB NYC Development, LP, Defendant GPB Automotive Portfolio, LP, Defendant GPB Capital Holdings, LLC, Defendant DJ Partners LLC, Defendant GPB Holdings III, LP, Defendant GPB Holdings, LP, Defendant MR Ranger LLC, Defendant Mark D Martino, Defendant RSM US LLP, Defendant Ascendant Alternative Strategies, LLC, Defendant Axiom Capital Management, Inc., Defendant David Gentile, Defendant GPB Cold Storage, LP, Defendant Ascendant Capital, LLC, Defendant Withum Smith+Brown, PC, Defendant Crowe, LLP, #696 MOTION to Dismiss the Second Amended Complaint for Lack of Personal Jurisdiction Under Federal Rule of Civil Procedure 12(b)(2) and, Alternatively, for Failure to Sue in the Proper Forum Under the Doctrine of Forum Non Conveniens and Joinder in Mot filed by Defendant CohnReznick LLP, #683 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 DFPG Investments, 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 United Planners' Financial Services of America, LP, Defendant Woodbury Financial Services, Inc., Defendant WestPark Capital Inc., Defendant Uhlmann Price Securities, LLC, Defendant Money Concepts Capital Corp., Defendant Colorado Financial Service Corporation, Defendant Arkadios Capital, Defendant McDonald Partners LLC, Defendant Whitehall-Parker Securities, Inc., Defendant Capital Investment Group, Inc., Defendant Aegis Capital Corp., Defendant Western International Securities, Inc., Defendant Kalos Capital, Inc., Defendant HighTower Securities, LLC, Defendant Detalus Securities, LLC, 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 Landolt Securities, Inc., Defendant Coastal Equities, Inc., Defendant Dempsey Lord Smith, LLC, Defendant Orchard Securities, LLC, Defendant Ausdal Financial Partners, Inc., Defendant Cascade Financial Management, Inc., Defendant Kingsbury Capital, Inc., Defendant Newbridge Securities Corporation, Defendant FSC Securities Corporation, Defendant Geneos Wealth Management, Inc., Defendant Aeon Capital Inc., Defendant SagePoint Financial, Inc., Defendant Innovation Partners LLC, Defendant Advisory Group Equity Services, Ltd., Defendant Moloney Securities Co., Inc., Defendant Royal Alliance Associates, Inc., #701 MOTION to Dismiss for Lack of Jurisdiction Motion to Dismiss Pursuant to Rules 12(b)(1)-(b)(3), 12(b)(6) and 9(b) filed by Defendant Phoenix American Financial Services, Inc., #708 MOTION to Dismiss Plaintiff's Second Amended Class Action Complaint filed by Defendant HighTower Advisors, LLC, #702 MOTION to Dismiss filed by Defendant Gentile Pismeny & Brengel LLP (Attachments: #1 Declaration of Jesse Z. Weiss, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G)(Weiss, Jesse)
February 22, 2021 Filing 723 NOTICE of Additional Attachment of Exhibits CORRECTED by Morrison, Brown, Argiz & Ferra, LLC re #703 Motion to Dismiss for Failure to State a Claim MOTION to Dismiss for Lack of Jurisdiction (Attachments: #1 Exhibit A to Declaration of Viresh Dayal, #2 Exhibit B to Declaration of Viresh Dayal)(Jones, Nelson)
February 22, 2021 Filing 722 DEFICIENCY NOTICE: re #721 Attachment, (cc3)
February 19, 2021 Filing 721 ATTACHMENT Exhibit A to Declaration of Viresh Dayal to #703 Motion to Dismiss for Failure to State a Claim MOTION to Dismiss for Lack of Jurisdiction by Morrison, Brown, Argiz & Ferra, LLC, Morrison, Brown, Argiz & Farra. (Attachments: #1 Exhibit B to Declaration of Viresh Dayal)(Jones, Nelson)
February 10, 2021 Opinion or Order Filing 720 ORDER GRANTING #719 UNOPPOSED MOTION TO WITHDRAW ANDSUBSTITUTE COUNSEL as to Attorney Mysha Lubke and Attorney Stephanie F. Cagniart added. Signed by Judge Lee Yeakel. (cc3)
February 9, 2021 Filing 719 Unopposed MOTION to Withdraw as Attorney Mysha Lubke by Deloitte Transactions and Business Analytics LLP. (Attachments: #1 Proposed Order)(Villareal, Gavin)
February 9, 2021 Filing 718 NOTICE of Attorney Appearance by Stephanie F. Cagniart on behalf of Deloitte Transactions and Business Analytics LLP (Villareal, Gavin) Modified on 2/9/2021 to correct attorney name (cc3).
February 9, 2021 Opinion or Order Filing 717 ORDER GRANTING #713 Motion for Extension of Time to File Response. Signed by Judge Lee Yeakel. (cc3)
February 9, 2021 Opinion or Order Filing 716 ORDER GRANTING #714 Motion to Withdraw as Attorney as to Sharon M. Casola. Signed by Judge Lee Yeakel. (cc3)
February 9, 2021 Filing 715 NOTICE of Change of Address by Richard L. Stone (Stone, Richard) (Main Document 715 replaced on 2/9/2021 to flatten) (cc3). Modified on 2/9/2021 (cc3).
February 5, 2021 Filing 714 MOTION to Withdraw as Attorney Sharon M. Casola by Crowe, LLP. (Attachments: #1 Proposed Order)(Homer, Carolyn)
February 5, 2021 Filing 713 Unopposed MOTION for Extension of Time to File Response/Reply as to #697 Motion to Dismiss for Failure to State a Claim , #691 MOTION to Dismiss the Second Amended Complaint and to Join Defendants RSM US LLP, Crowe LLP and CohenReznick LLP's Motion to Dismiss, #692 MOTION to Dismiss Plaintiffs' Second Amended Class Action Complaint for Lack of Personal Jurisdiction and Brief in Support, #693 MOTION to Dismiss The Second Amended Class Action Complaint, #701 MOTION to Dismiss for Lack of Jurisdiction Motion to Dismiss Pursuant to Rules 12(b)(1)-(b)(3), 12(b)(6) and 9(b), #699 MOTION to Dismiss Second Amended Complaint, #695 Joint MOTION to Dismiss Second Amended Complaint Based on the Doctrine of Forum Non Conveniens and Pursuant to Rule 12(b)(3), Or, Alternatively, to Stay This Action, #694 MOTION to Dismiss , #685 Unopposed MOTION to Dismiss Second Amended Class Action Complaint, #696 MOTION to Dismiss the Second Amended Complaint for Lack of Personal Jurisdiction Under Federal Rule of Civil Procedure 12(b)(2) and, Alternatively, for Failure to Sue in the Proper Forum Under the Doctrine of Forum Non Conveniens and Joinder in Mot, #705 MOTION to Dismiss Under Rule 12(B)(6), #709 Motion to Dismiss for Failure to State a Claim Under Fed. R. Civ. P. 9(b) and 12(b)(6), #683 MOTION to Dismiss for Forum Non Conveniens, #708 MOTION to Dismiss Plaintiff's Second Amended Class Action Complaint, #707 Joint MOTION to Dismiss Plaintiffs' Second Amended Complaint for Failure to State a Claim Pursuant to FRCP 12(b)(6) and 9(b), #702 MOTION to Dismiss , #687 MOTION to Join DKT NO. 685 RULE 12(B)(6), RULE 9(B) AND RULE 8(A) MOTION TO DISMISS AND SEPARATELY MOVING TO DISMISS THE SECOND AMENDED CLASS ACTION COMPLAINT PURSUANT TO RULE 12(B)(2), #703 Motion to Dismiss for Failure to State a Claim MOTION to Dismiss for Lack of Jurisdiction , #669 Motion to Dismiss for Failure to State a Claim by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order on Plaintiffs' Unopposed Motion to Extend Deadline and Page Limitations)(Weiss, Jesse)
January 21, 2021 Opinion or Order Filing 712 ORDER GRANTING #698 Motion to Appear Pro Hac Vice as to Laura Maria Gonzalez. 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. (cc3)
January 19, 2021 Filing 711 NOTICE of Change of Address by Dana Sirkis Gloor (Gloor, Dana)
January 19, 2021 Filing 710 RULE 7 DISCLOSURE STATEMENT filed by Withum SmithBrown, PC. (Cameron, Lee)
January 15, 2021 Filing 709 Motion to Dismiss for Failure to State a Claim Under Fed. R. Civ. P. 9(b) and 12(b)(6) by Axiom Capital Management, Inc.. (Attachments: #1 Proposed Order)(Stokes, Peter)
January 15, 2021 Filing 708 MOTION to Dismiss Plaintiff's Second Amended Class Action Complaint by HighTower Advisors, LLC. (Topetzes, Stephen)
January 15, 2021 Filing 707 Joint MOTION to Dismiss Plaintiffs' Second Amended Complaint for Failure to State a Claim Pursuant to FRCP 12(b)(6) and 9(b) by CohnReznick LLP, Crowe, LLP, RSM US LLP, Withum SmithBrown, PC. (Attachments: #1 Proposed Order, #2 Appendices A & B, #3 Exhibit 1 - Declaration of Katherine Turner, #4 Exhibit 2 - Declaration of Carolyn Homer, #5 Exhibit 3 - Declaration of Patrick N. Petrocelli)(Hoover, Kathryn)
January 15, 2021 Filing 706 RULE 7 DISCLOSURE STATEMENT filed by Deloitte Transactions and Business Analytics LLP. (Villareal, Gavin)
January 15, 2021 Filing 705 MOTION to Dismiss Under Rule 12(B)(6) by Deloitte Transactions and Business Analytics LLP. (Villareal, Gavin)
January 15, 2021 Filing 704 RULE 7 DISCLOSURE STATEMENT filed by Morrison, Brown, Argiz & Ferra, LLC. (Jones, Nelson)
January 15, 2021 Filing 703 Motion to Dismiss for Failure to State a Claim , MOTION to Dismiss for Lack of Jurisdiction by Morrison, Brown, Argiz & Ferra, LLC. (Attachments: #1 Appendix Declaration, #2 Appendix Declaration, #3 Proposed Order)(Jones, Nelson)
January 15, 2021 Filing 702 MOTION to Dismiss by Gentile Pismeny & Brengel LLP. (Attachments: #1 Exhibit, #2 Proposed Order)(Johnson, Michael)
January 15, 2021 Filing 701 MOTION to Dismiss for Lack of Jurisdiction Motion to Dismiss Pursuant to Rules 12(b)(1)-(b)(3), 12(b)(6) and 9(b) by Phoenix American Financial Services, Inc.. (Attachments: #1 Exhibit A - Declaration)(Ashby, Danny)
January 15, 2021 Filing 700 AFFIDAVIT in Support of #697 Motion to Dismiss for Failure to State a Claim 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, LP. (Attachments: #1 Exhibit A - Second Amended Complaint, #2 Exhibit B - Kinnie Ma Holdings II Subscription Agreement, #3 Exhibit C - Dean Crooks Holdings II Subscription Agreement, #4 Exhibit D - Greasor IRA Holdings II Subscription Agreement, #5 Exhibit E - Holdings II LPA, #6 Exhibit F - Wade IRA Holdings II Subscription Agreement, #7 Exhibit G - Second A&R Holdings II LPA, #8 Exhibit H - Dean Crooks Automotive Subscription Agreement, #9 Exhibit I - Second A&R Automotive LPA, #10 Exhibit J - Catherine Kominos Automotive Subscription Agreement, #11 Exhibit K - Kazue M. Bell Automotive Subscription Agreement, #12 Exhibit L - Gramm IRA Automotive Subscription Agreement, #13 Exhibit M - Karen Loch Automotive Subscription Agreement, #14 Exhibit N - Fourth A&R Automotive LPA, #15 Exhibit O - Robert A. Stone Living Trust Holdings Subscription Agreement, #16 Exhibit P - Shirley Stone Living Trust Holdings Subscription Agreement, #17 Exhibit Q - Second A&R Holdings LPA, #18 Exhibit R - Corri Rene Eden NYC Development Subscription Agreement, #19 Exhibit S - NYC Development LPA, #20 Exhibit T - Gramm IRA Waste Management Subscription Agreement, #21 Exhibit U - Shirley Stone Living Trust Waste Management Subscription Agreement, #22 Exhibit V - Waste Management LPA, #23 Exhibit W - Consolidated Class Action Complaint, #24 Exhibit X - Miller Amended Complaint, #25 Exhibit Y - Peirce Complaint, #26 Exhibit Z - Ranssi Complaint)(Kaplan, Steven)
January 15, 2021 Filing 699 MOTION to Dismiss Second Amended Complaint by David Gentile. (Gilbert, Chris)
January 15, 2021 Filing 698 MOTION to Appear Pro Hac Vice by Chris Lee Gilbert for Laura Maria Gonzalez ( Filing fee $ 100 receipt number 0542-14383324) by on behalf of David Gentile. (Gilbert, Chris)
January 15, 2021 Filing 697 Motion to Dismiss for Failure to State a Claim 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, LP. (Attachments: #1 Proposed Order)(Kaplan, Steven)
January 15, 2021 Filing 696 MOTION to Dismiss the Second Amended Complaint for Lack of Personal Jurisdiction Under Federal Rule of Civil Procedure 12(b)(2) and, Alternatively, for Failure to Sue in the Proper Forum Under the Doctrine of Forum Non Conveniens and Joinder in Motion to Dismiss for Improper Venue Under Federal Rule of Civil Procedure 12(b)(3) by CohnReznick LLP. (Attachments: #1 Exhibit A)(Aravind, Santosh)
January 15, 2021 Filing 695 Joint MOTION to Dismiss Second Amended Complaint Based on the Doctrine of Forum Non Conveniens and Pursuant to Rule 12(b)(3), Or, Alternatively, to Stay This Action by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, Axiom Capital Management, Inc., Crowe, LLP, DJ Partners LLC, 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, LP, David Gentile, MR Ranger LLC, Mark D Martino, RSM US LLP, Jeffry Schneider, Withum SmithBrown, PC. (Attachments: #1 Proposed Order)(Kaplan, Steven)
January 15, 2021 Filing 694 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 15, 2021 Filing 693 MOTION to Dismiss The Second Amended Class Action Complaint by EisnerAmper LLP. (Attachments: #1 Appendix of Exhibits, #2 Exhibit A, #3 Exhibit B)(Braun, Bruce)
January 15, 2021 Filing 692 MOTION to Dismiss Plaintiffs' Second Amended Class Action Complaint for Lack of Personal Jurisdiction and Brief in Support by Withum SmithBrown, PC. (Attachments: #1 Exhibit A)(Cameron, Lee)
January 15, 2021 Filing 691 MOTION to Dismiss the Second Amended Complaint and to Join Defendants RSM US LLP, Crowe LLP and CohenReznick LLP's Motion to Dismiss by Margolin Winer & Evens LLP. (Attachments: #1 Affidavit of Alan Materazo, #2 Proposed Order)(Rinehart, Stephen)
January 12, 2021 Opinion or Order Filing 690 ORDER GRANTING Defendants' #689 Unopposed Motion for Leave to Exceed Page Limits. Signed by Judge Lee Yeakel. (lt)
January 11, 2021 Filing 689 Joint MOTION for Leave to Exceed Page Limitation [Unopposed] by CohnReznick LLP, Crowe, LLP, RSM US LLP, Withum SmithBrown, PC. (Attachments: #1 Proposed Order)(Homer, Carolyn)
December 28, 2020 Opinion or Order Filing 688 ORDER GRANTING Movants' #684 Unopposed Motion to Exceed Page Limits. Signed by Judge Lee Yeakel. (lt)
December 23, 2020 Filing 687 MOTION to Join DKT NO. 685 RULE 12(B)(6), RULE 9(B) AND RULE 8(A) MOTION TO DISMISS AND SEPARATELY MOVING TO DISMISS THE SECOND AMENDED CLASS ACTION COMPLAINT PURSUANT TO RULE 12(B)(2) by Bradley Wealth Management LLC. (Attachments: #1 Exhibit Michael Bradley Declaration)(Lamb, Nathan)
December 22, 2020 Filing 686 NOTICE of Withdrawal of Motions for Default Judgment by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account re #575 MOTION for Default Judgment against Capital Financial Services, Inc., #584 MOTION for Default Judgment against Sandlapper Securities, LLC, #581 MOTION for Default Judgment against Pariter Securities, LLC (Weiss, Jesse)
December 21, 2020 Filing 685 MOTION to Dismiss Second Amended Class Action Complaint by Advisory Group Equity Services, Ltd., Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, 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, DFPG Investments, Inc., David A. Noyes & Company, Dawson James Securities, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Emerson Equity LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, HighTower Securities, LLC, IBN Financial Services, Inc., Innovation Partners LLC, International Assets Advisory, LLC, Kalos Capital, Inc., Kingsbury Capital, Inc., Landolt Securities, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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, United Planners' Financial Services of America, LP, 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)(Kessler, Gary) Modified on 12/21/2020 (lt).
December 21, 2020 Filing 684 MOTION for Leave to Exceed Page Limitation by Advisory Group Equity Services, Ltd., Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, 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, David A. Noyes & Company, Dawson James Securities, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, Emerson Equity LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, HighTower Securities, LLC, IBN Financial Services, Inc., Innovation Partners LLC, Kalos Capital, Inc., Kingsbury Capital, Inc., Landolt Securities, Inc., Lion Street Financial LLC, Lewis Financial Group n/k/a DAI Securities, LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order Granting Defendants' Unopposed Motoin for Leave to Exceed Page Limits)(Kessler, Gary) Modified on 12/22/2020 (lt). Modified on 12/22/2020 (lt).
December 21, 2020 Filing 683 MOTION to Dismiss for Forum Non Conveniens by Advisory Group Equity Services, Ltd., Aegis Capital Corp., Aeon Capital Inc., American Capital Partners, LLC, Arete Wealth Management, LLC, Arkadios Capital, Ausdal Financial Partners, Inc., Cabot Lodge Securities LLC, Calton & Associates, Inc., Capital Investment Group, Inc., Cascade Financial Management, Inc., Coastal Equities, Inc., Colorado Financial Service Corporation, Concorde Investment Services, LLC, Crown Capital Securities, LP, DFPG Investments, Inc., David A. Noyes & Company, Dawson James Securities, Inc., Dempsey Lord Smith, LLC, Detalus Securities, LLC, FSC Securities Corporation, Geneos Wealth Management, Inc., Great Point Capital LLC, HighTower Securities, LLC, IBN Financial Services, Inc., Innovation Partners LLC, International Assets Advisory, LLC, Kalos Capital, Inc., Kingsbury Capital, Inc., Landolt Securities, Inc., Lewis Financial Group n/k/a DAI Securities, LLC, Lucia Securities LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, Moloney Securities Co., Inc., 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, United Planners' Financial Services of America, LP, Vanderbilt Securities, LLC, Vestech Securities, Inc., WestPark Capital Inc., Western International Securities, Inc., Whitehall-Parker Securities, Inc., Woodbury Financial Services, Inc.. (Saretsky, Gary)
December 21, 2020 Opinion or Order Filing 682 ORDER GRANTING #672 Unopposed Motion to Extend the Deadline to Respond to Plaintiffs' Second Amended Class Action Complaint; Morrison, Brown, Argiz & Ferra, LLC answer due 1/15/2021. Signed by Judge Lee Yeakel. (lt)
December 21, 2020 Opinion or Order Filing 681 ORDER GRANTING #671 Motion for Nelson M. Jones III to Appear Pro Hac Vice on behalf of Morrison, Brown, Argiz & Ferra, 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 18, 2020 Opinion or Order Filing 680 ORDER GRANTING #662 Motion for James L. Bernard to Appear Pro Hac Vice on behalf of CohnReznick 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. (lt)
December 18, 2020 Opinion or Order Filing 679 ORDER GRANTING #663 Motion for Patrick N. Petrocelli to Appear Pro Hac Vice on behalf of CohnReznick 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. (lt)
December 18, 2020 Opinion or Order Filing 678 ORDER GRANTING #660 Motion to Extend the Time To Respond to the Second Amended Complaint; EisnerAmper LLP answer due 1/15/2021. Signed by Judge Lee Yeakel. (lt)
December 18, 2020 Opinion or Order Filing 677 ORDER GRANTING #667 Motion for Daniel Eric Gorman to Appear Pro Hac Vice on behalf of Margolin, Winer & Evans 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. (lt)
December 18, 2020 Opinion or Order Filing 676 ORDER GRANTING #668 Motion for Stephen G. Rinehart to Appear Pro Hac Vice on behalf of Margolin, Winer & Evans 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. (lt)
December 18, 2020 Opinion or Order Filing 675 ORDER GRANTING #661 Motion to Extend the Time To Respond to the Second Amended Complaint; Bradley Wealth Management LLC answer due 12/23/2020. Signed by Judge Lee Yeakel. (lt)
December 18, 2020 Filing 674 STATUS REPORT regarding Defendants named in Second Amended Complaint by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Appendix A - Named Defendants Appearing in Action)(Weiss, Jesse)
December 18, 2020 Filing 673 NOTICE of Voluntary Dismissal by Kazue M. Bell, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Weiss, Jesse)
December 18, 2020 Filing 672 Unopposed MOTION to Extend Deadline to Respond to #616 Plaintiff's Second Amended Class Action Complaint, by Morrison, Brown, Argiz & Ferra, LLC. (Attachments: #1 Proposed Order)(jv2)
December 18, 2020 Filing 671 MOTION to Appear Pro Hac Vice by Nelson M. Jones, III ( Filing fee $ 100 receipt number 100039410) by on behalf of Morrison, Brown, Argiz & Ferra, LLC. (Attachments: #1 Proposed Order)(jv2)
December 18, 2020 Filing 670 NOTICE of Attorney Appearance by Nelson M. Jones, III on behalf of Morrison, Brown, Argiz & Ferra, LLC (Attachments: #1 Cover Letter)(jv2)
December 18, 2020 Filing 669 Motion to Dismiss for Failure to State a Claim by United Planners' Financial Services of America, LP. (Attachments: #1 Hauer Declaration)(Ortiz, Andrea)
December 17, 2020 Filing 668 MOTION to Appear Pro Hac Vice by Ethan G. Ostroff for Stephen G. Rinehart to appear Pro Hac Vice ( Filing fee $ 100 receipt number 0542-14296447) by on behalf of Margolin Winer & Evens LLP. (Attachments: #1 Proposed Order)(Ostroff, Ethan)
December 17, 2020 Filing 667 MOTION to Appear Pro Hac Vice by Ethan G. Ostroff for Daniel E. Gorman to Appear Pro Hac Vice ( Filing fee $ 100 receipt number 0542-14295838) by on behalf of Margolin Winer & Evens LLP. (Attachments: #1 Proposed Order)(Ostroff, Ethan)
December 16, 2020 Filing 666 COURT'S ADVISORY. Signed by Judge Lee Yeakel. (jv2)
December 16, 2020 Opinion or Order Filing 665 ORDER GRANTING #659 Defendant Gentile Brengel & Lin, LLP f/k/a Gentile Pismeny & Brengel, LLP's Unopposed Motion for Extension of Time to Answer or Otherwise Plead; Gentile Pismeny & Brengel LLP answer to Plaintiff's Second Amended Class Action Complaint due 1/15/2021. Signed by Judge Lee Yeakel. (jv2)
December 16, 2020 Filing 664 RULE 7 DISCLOSURE STATEMENT filed by CohnReznick LLP. (Aravind, Santosh)
December 16, 2020 Filing 663 MOTION to Appear Pro Hac Vice by Santosh Aravind for Patrick N. Petrocelli ( Filing fee $ 100 receipt number 0542-14294533) by on behalf of CohnReznick LLP. (Attachments: #1 Proposed Order)(Aravind, Santosh)
December 16, 2020 Filing 662 MOTION to Appear Pro Hac Vice by Santosh Aravind for James L. Bernard ( Filing fee $ 100 receipt number 0542-14294462) by on behalf of CohnReznick LLP. (Attachments: #1 Proposed Order)(Aravind, Santosh)
December 16, 2020 Filing 661 MOTION for Extension of Time to File Response/Reply as to #616 Amended Complaint,, by Bradley Wealth Management LLC. (Attachments: #1 Proposed Order)(Lamb, Nathan) Modified on 12/21/2020 (lt).
December 15, 2020 Filing 660 Joint MOTION for Extension of Time to File Answer re #616 Amended Complaint,, (Second) by Crowe, LLP, EisnerAmper LLP, RSM US LLP. (Attachments: #1 Proposed Order)(Braun, Bruce)
December 15, 2020 Filing 659 Unopposed MOTION for Extension of Time to File Answer re #616 Amended Complaint,, by Gentile Pismeny & Brengel LLP. (Attachments: #1 Proposed Order granting Unopposed Motion to Extend Deadline to Answer)(Johnson, Michael)
December 15, 2020 Filing 658 NOTICE of Attorney Appearance by Michael B. Johnson on behalf of Gentile Pismeny & Brengel LLP. Attorney Michael B. Johnson added to party Gentile Pismeny & Brengel LLP(pty:dft) (Johnson, Michael)
December 14, 2020 Opinion or Order Filing 657 ORDER GRANTING #653 Motion for Extension of Time to Answer re #616 Amended Complaint; Margolin Winer & Evens LLP answer due 1/15/2021. Signed by Judge Lee Yeakel. (dm)
December 14, 2020 Opinion or Order Filing 656 ORDER GRANTING #650 Daniel Joseph Cohen's Motion to Appear Pro Hac Vice for and on behalf of EisnerAmper 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)
December 14, 2020 Opinion or Order Filing 655 ORDER GRANTING #649 Caroline A. Wong's Motion to Appear Pro Hac Vice for and on behalf of EisnerAmper 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)
December 14, 2020 Opinion or Order Filing 654 ORDER GRANTING #648 Bruce R. Braun's Motion to Appear Pro Hac Vice for and on behalf of EisnerAmper 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)
December 14, 2020 Filing 653 Unopposed MOTION for Extension of Time to File Answer by Margolin Winer & Evens LLP. (Attachments: #1 Proposed Order)(Ostroff, Ethan)
December 14, 2020 Filing 652 RULE 7 DISCLOSURE STATEMENT filed by Margolin Winer & Evens LLP. (Ostroff, Ethan)
December 14, 2020 Filing 651 NOTICE of Attorney Appearance by Ethan G. Ostroff on behalf of Margolin Winer & Evens LLP. Attorney Ethan G. Ostroff added to party Margolin Winer & Evens LLP(pty:dft) (Ostroff, Ethan)
December 11, 2020 Filing 650 MOTION to Appear Pro Hac Vice by Yolanda Cornejo Garcia for Daniel Joseph Cohen ( Filing fee $ 100 receipt number 0542-14279093) by on behalf of EisnerAmper LLP. (Garcia, Yolanda)
December 11, 2020 Filing 649 MOTION to Appear Pro Hac Vice by Yolanda Cornejo Garcia for Caroline A. Wong ( Filing fee $ 100 receipt number 0542-14279088) by on behalf of EisnerAmper LLP. (Garcia, Yolanda)
December 11, 2020 Filing 648 MOTION to Appear Pro Hac Vice by Yolanda Cornejo Garcia for Bruce R. Braun ( Filing fee $ 100 receipt number 0542-14279079) by on behalf of EisnerAmper LLP. (Garcia, Yolanda)
December 11, 2020 Filing 647 RULE 7 DISCLOSURE STATEMENT filed by EisnerAmper LLP. (Garcia, Yolanda)
December 11, 2020 Filing 646 NOTICE of Attorney Appearance by Yolanda Cornejo Garcia on behalf of EisnerAmper LLP. Attorney Yolanda Cornejo Garcia added to party EisnerAmper LLP(pty:dft) (Garcia, Yolanda)
December 11, 2020 Opinion or Order Filing 645 ORDER GRANTING #641 Unopposed Motion to Extend the Time To Respond to Plaintiffs' Second Amended Class Action Complaint; Advisory Group Equity Services, Ltd. answer due 1/15/2021; Ascendant Alternative Strategies, LLC answer due 1/15/2021; Ascendant Capital, LLC answer due 1/15/2021; Axiom Capital Management, Inc. answer due 1/15/2021; Calton & Associates, Inc. answer due 1/15/2021; Coastal Equities, Inc. answer due 1/15/2021; DJ Partners LLC answer due 1/15/2021; GPB Automotive Portfolio, LP answer due 1/15/2021; GPB Capital Holdings, LLC answer due 1/15/2021; GPB Cold Storage, LP answer due 1/15/2021; GPB Holdings II, LP answer due 1/15/2021; GPB Holdings III, LP answer due 1/15/2021; GPB Holdings Qualified, LP answer due 1/15/2021; GPB Holdings, LP answer due 1/15/2021; GPB NYC Development, LP answer due 1/15/2021; GPB Waste Management, LP answer due 1/15/2021; David Gentile answer due 1/15/2021; International Assets Advisory, LLC answer due 1/15/2021; Kalos Capital, Inc. answer due 1/15/2021; Lucia Securities LLC answer due 1/15/2021; MR Ranger LLC answer due 1/15/2021; Madison Avenue Securities, LLC answer due 1/15/2021; Mark D Martino answer due 1/15/2021; McDonald Partners LLC answer due 1/15/2021; Phoenix American Financial Services, Inc. answer due 1/15/2021; Jeffry Schneider answer due 1/15/2021; Vanderbilt Securities, LLC answer due 1/15/2021. Signed by Judge Lee Yeakel. (lt)
December 11, 2020 Opinion or Order Filing 644 ORDER GRANTING Joint #638 Unopposed Motion to Extend Deadline to Respond toPlaintiffs' Second Amended Class Action Complaint; Deloitte Transactions and Business Analytics LLP answer due 1/15/2021; HighTower Advisors, LLC answer due 1/15/2021; Withum SmithBrown, PC answer due 1/15/2021. Signed by Judge Lee Yeakel. (lt)
December 11, 2020 Opinion or Order Filing 643 ORDER GRANTING #637 Unopposed Motion for Extension of Time to Answer or Otherwise Respond to Plaintiffs' Second Amended Class Action Complaint; CohnReznick LLP answer due 1/15/2021. Signed by Judge Lee Yeakel. (lt)
December 11, 2020 Filing 642 Minute Entry for proceedings held before Judge Lee Yeakel: Telephone Conference held on 12/11/2020. Written order forthcoming. (Minute entry documents are not available electronically.) (Court Reporter Arlinda Rodriguez.)(lt)
December 9, 2020 Filing 641 Unopposed MOTION for Extension of Time to File Answer re #616 Amended Complaint,, by Advisory Group Equity Services, Ltd., Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, Axiom Capital Management, Inc., Calton & Associates, Inc., Coastal Equities, Inc., DJ Partners LLC, 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, LP, David Gentile, International Assets Advisory, LLC, Kalos Capital, Inc., Lucia Securities LLC, MR Ranger LLC, Madison Avenue Securities, LLC, Mark D Martino, McDonald Partners LLC, Phoenix American Financial Services, Inc., Jeffry Schneider, Vanderbilt Securities, LLC. (Attachments: #1 Proposed Order)(Pierce, Ryan)
December 3, 2020 Filing 640 NOTICE of Attorney Appearance by Lee L. Cameron, Jr on behalf of Withum SmithBrown, PC (Cameron, Lee)
December 3, 2020 Filing 639 NOTICE of Attorney Appearance by Gavin R. Villareal on behalf of Deloitte Transactions and Business Analytics LLP (Villareal, Gavin)
December 2, 2020 Filing 638 Unopposed MOTION for Extension of Time to File Answer by Deloitte Transactions and Business Analytics LLP, HighTower Advisors, LLC, Withum SmithBrown, PC. (Attachments: #1 Proposed Order)(Villareal, Gavin)
December 2, 2020 Filing 637 Unopposed MOTION for Extension of Time to File Answer by CohnReznick LLP. (Attachments: #1 Proposed Order)(Aravind, Santosh)
December 2, 2020 Filing 636 NOTICE of Attorney Appearance by Santosh Aravind on behalf of CohnReznick LLP. Attorney Santosh Aravind added to party CohnReznick LLP(pty:dft) (Aravind, Santosh)
November 25, 2020 Filing 635 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Margolin Winer & Evens LLP served on 11/11/2020, answer due 12/2/2020. (Weiss, Jesse)
November 19, 2020 Filing 634 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Gentile Pismeny & Brengel LLP served on 11/11/2020, answer due 12/2/2020. (Weiss, Jesse)
November 16, 2020 Filing 633 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Withum SmithBrown, PC served on 11/12/2020, answer due 12/3/2020. (Weiss, Jesse)
November 16, 2020 Filing 632 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. EisnerAmper LLP served on 11/12/2020, answer due 12/3/2020. (Weiss, Jesse)
November 16, 2020 Filing 631 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Deloitte Transactions and Business Analytics LLP served on 11/12/2020, answer due 12/3/2020. (Weiss, Jesse)
November 16, 2020 Filing 630 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. CohnReznick LLP served on 11/12/2020, answer due 12/3/2020. (Weiss, Jesse)
November 16, 2020 Filing 629 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Morrison, Brown, Argiz & Ferra, LLC served on 11/11/2020, answer due 12/2/2020. (Weiss, Jesse)
November 13, 2020 Opinion or Order Filing 628 ORDER GRANTING #626 Motion for Withdrawal of Attorney Tanya Urbach as counsel for Defendants FSC Securities Corporation, Royal Alliance Associates, Inc., Sagepoint Financial, Inc., Woodbury Financial Services, Inc., Western International Securities, and Triad Advisors LLC. Signed by Judge Lee Yeakel. (lt)
November 13, 2020 Filing 627 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. HighTower Advisors, LLC served on 11/11/2020, answer due 12/2/2020. (Weiss, Jesse)
November 10, 2020 Filing 626 MOTION to Withdraw as Attorney Tanya Urbach by FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Triad Advisors, LLC, Western International Securities, Inc., Woodbury Financial Services, Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
November 10, 2020 Filing 625 Summons Issued as to CohnReznick LLP; Morrison, Brown, Argiz & Ferra, LLC; EisnerAmper LLP; Gentile Pismeny & Brengel LLP; HighTower Advisors, LLC; Withum Smith+Brown, PC; Deloitte Transactions and Business Analytics LLP; Margolin Winer & Evens LLP. (lt)
November 10, 2020 Filing 624 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. Def Margolin Winer Evens (Weiss, Jesse) (Main Document 624 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 10, 2020 Filing 623 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. Def Deloitte Transactions (Weiss, Jesse) (Main Document 623 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 10, 2020 Filing 622 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. Def Withum Smith Brown (Weiss, Jesse) (Main Document 622 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 10, 2020 Filing 621 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. Def Hightower Advisors (Weiss, Jesse) (Main Document 621 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 10, 2020 Filing 620 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. Def Gentile Pismeny Brengel (Weiss, Jesse) (Main Document 620 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 10, 2020 Filing 619 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. Def EisenAmper LLP (Weiss, Jesse) (Main Document 619 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 10, 2020 Filing 618 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. Def Morrison Brown (Weiss, Jesse) (Main Document 618 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 10, 2020 Filing 617 REQUEST FOR ISSUANCE OF SUMMONS by Kinnie Ma Individual Retirement Account. (Weiss, Jesse) (Main Document 617 replaced on 11/10/2020 to flatten form) (lt). Modified on 11/10/2020 (lt).
November 9, 2020 Filing 616 AMENDED COMPLAINT Second against All Defendants amending, filed by Karen Loch, Jeffery S. Gramm Individual Retirement Account, Victor Wade Individual Retirement Account, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Corri Rene Eden, Stacy Greasor Individual Retirement Account, Catherine Kominos, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Kinnie Ma Individual Retirement Account, Dean Crooks. (Attachments: #1 Exhibit A, #2 Exhibit B)(Weiss, Jesse)
November 4, 2020 Opinion or Order Filing 615 ORDER GRANTING Defendant Titan Securities, Inc.'s #614 Unopposed Motion to Substitute Counsel Signed by Judge Lee Yeakel. (lt)
November 3, 2020 Filing 614 Unopposed MOTION to Substitute Attorney by Titan Securities. (Attachments: #1 Proposed Order on Defendant Titan Securities, Inc.'s Unopposed Motion to Substitute Counsel)(Romine, Bryon)
October 26, 2020 Opinion or Order Filing 613 AMENDED SCHEDULING ORDER. Signed by Judge Lee Yeakel. (lt)
October 23, 2020 Opinion or Order Filing 612 ORDER LIFTING Stay. ORDER WITHDRAWING all pending motions to dismiss. ORDER DENYING Request for the Court to Reinstate #313 Motion to Dismiss for Forum Non Conveniens. Amended Complaint due by 11/9/2020; Answer/Response to Amended Complaint due 12/21/20. ORDER DISMISSING Motions for Consolidated Briefing #263 and to Enter Briefing Schedule #67 . Signed by Judge Lee Yeakel. (lt)
October 21, 2020 Opinion or Order Filing 611 ORDER GRANTING #610 Motion for Martin Siegel to Appear Pro Hac Vice on behalf of Aeon 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. (lt)
October 21, 2020 Filing 610 MOTION to Appear Pro Hac Vice by Gary Ewell on behalf of Martin Siegel ( Filing fee $ 100 receipt number 0542-14092866) by on behalf of Aeon Capital Inc.. (Attachments: #1 Proposed Order)(Ewell, Gary)
October 16, 2020 Filing 609 Scheduling Recommendations/Proposed Scheduling Order - Joint Report Regarding Entry of a Scheduling Order by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Proposed Joint Scheduling Order)(Weiss, Jesse)
October 16, 2020 Filing 608 Proposed Scheduling Order Respecting Filing of a Second Amended Complaint and Motions to Dismiss by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Weiss, Jesse)
October 15, 2020 Opinion or Order Filing 607 ORDER GRANTING Defendant's #604 Unopposed Motion to Set Aside #587 Clerk's Entry of Default. ORDER DISMISSING without prejudice Plaintiffs' #577 Motion for Default Judgment against Kingsbury Capital, Inc. Signed by Judge Lee Yeakel. (lt)
October 15, 2020 Opinion or Order Filing 606 ORDER GRANTING Defendant's #603 Unopposed Motion to Set Aside #588 Clerk's Entry of Default. ORDER DISMISSING without prejudice Plaintiffs' #579 Motion for Default Judgment against Landolt Securities, Inc. Signed by Judge Lee Yeakel. (lt)
October 15, 2020 Opinion or Order Filing 605 ORDER GRANTING Defendant's #602 Unopposed Motion to Set Aside #585 Clerk's Entry of Default. ORDER DISMISSING without prejudice Plaintiffs' #573 Motion for Default Judgment against Aeon Capital, Inc. Signed by Judge Lee Yeakel. (lt)
October 13, 2020 Filing 604 Unopposed MOTION to Set Aside #587 Clerk's Entry of Default by Kingsbury Capital, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Proposed Order)(Ewell, Gary)
October 13, 2020 Filing 603 Unopposed MOTION to Set Aside #588 Clerk's Entry of Default by Landolt Securities, Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Proposed Order)(Ewell, Gary)
October 13, 2020 Filing 602 Unopposed MOTION to Set Aside #585 Clerk's Entry of Default by Aeon Capital Inc.. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Proposed Order)(Ewell, Gary)
October 6, 2020 Filing 601 Transcript filed of Proceedings held on September 23, 2020, Proceedings Transcribed: Video 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 10/27/2020, Redacted Transcript Deadline set for 11/6/2020, Release of Transcript Restriction set for 1/4/2021, (alr)
September 24, 2020 Opinion or Order Filing 600 Order that the parties shall meet and confer, and propose to the court a Joint Scheduling Order on or before 10/16/2020. Signed by Judge Lee Yeakel. (lt)
September 23, 2020 Filing 599 Minute Entry for proceedings held before Judge Lee Yeakel: Electronic Conference via Zoom held on 9/23/2020. Written order forthcoming. (Minute entry documents are not available electronically.) (Court Reporter Arlinda Rodriguez.)(lt)
September 23, 2020 Opinion or Order Filing 598 ORDER GRANTING #596 Motion for Sean R. Flanagan 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)
September 22, 2020 Filing 597 NOTICE of Attorney Appearance by Sven Stricker on behalf of Titan Securities (Stricker, Sven)
September 22, 2020 Filing 596 MOTION to Appear Pro Hac Vice by Andrea Ann Ortiz on behalf of Sean R. Flanagan ( Filing fee $ 100 receipt number 0542-13993056) by on behalf of United Planners' Financial Services of America, LP. (Attachments: #1 Proposed Order)(Ortiz, Andrea)
September 4, 2020 Filing 595 RESPONSE to #591 Supplement,,,,, by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Weiss, Jesse)
September 4, 2020 Filing 594 RESPONSE to #568 Order to Show Cause, by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Stipulation between Plaintiffs and AGES)(Weiss, Jesse)
September 2, 2020 Opinion or Order Filing 593 ORDER SETTING Electronic Conference by Zoom for 9/23/2020 at 10:30 AM before Judge Lee Yeakel. Signed by Judge Lee Yeakel. (lt)
August 28, 2020 Opinion or Order Filing 592 ORDER DISMISSING without prejudice Advisors Group Equity Services, Ltd's #571 Joinder in Motions to Dismiss and #582 Corrected Joinder in Motions to Dismiss. Signed by Judge Lee Yeakel. (lt)
August 28, 2020 Filing 591 SUPPLEMENT Request for the Court to Reinstate the 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., Innovation Partners LLC, 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.. (Lucas, Janine)
August 27, 2020 Filing 590 Clerk's ENTRY OF DEFAULT as to Sandlapper Securities, LLC (lt)
August 27, 2020 Filing 589 Clerk's ENTRY OF DEFAULT as to Pariter Securities, LLC (lt)
August 27, 2020 Filing 588 SET ASIDE Per Order #606 Clerk's ENTRY OF DEFAULT as to Landolt Securities, Inc. (lt) Modified on 10/15/2020 (lt).
August 27, 2020 Filing 587 SET ASIDE Per Order #607 Clerk's ENTRY OF DEFAULT as to Kingsbury Capital, Inc. (lt) Modified on 10/15/2020 (lt).
August 27, 2020 Filing 586 Clerk's ENTRY OF DEFAULT as to Capital Financial Services, Inc. (lt)
August 27, 2020 Filing 585 SET ASIDE Per Order #605 Clerk's ENTRY OF DEFAULT as to Aeon Capital Inc. (lt) Modified on 10/15/2020 (lt).
August 26, 2020 Filing 584 MOTION for Default Judgment against Sandlapper Securities, LLC by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 583 MOTION for Entry of Default against Sandlapper Securities, LLC by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Declaration of Peter S. Linden, #2 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 582 CORRECTED MOTION to Dismiss by Advisors Group Equity Services, Ltd.. (Attachments: #1 Proposed Order Corrected Rule 12 Dismissal Order)(Stokes, Peter)
August 26, 2020 Filing 581 MOTION for Default Judgment against Pariter Securities, LLC by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 580 MOTION for Entry of Default against Pariter Securities, LLC by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Declaration of Peter S. Linden, #2 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 579 MOTION for Default Judgment against Landolt Securities, Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 578 MOTION for Entry of Default against Landolt Securities, Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Declaration of Peter S. Linden, #2 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 577 MOTION for Default Judgment against Kingsbury Capital, Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 576 MOTION for Entry of Default against Kingsbury Capital, Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Declaration of Peter S. Linden, #2 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 575 MOTION for Default Judgment against Capital Financial Services, Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 574 MOTION for Entry of Default against Capital Financial Services, Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Declaration of Peter S. Linden, #2 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 573 MOTION for Default Judgment against Aeon Capital Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 572 MOTION for Entry of Default against Aeon Capital Inc. by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit A - Declaration of Peter S. Linden, #2 Proposed Order)(Weiss, Jesse)
August 26, 2020 Filing 571 MOTION to Dismiss by Advisors Group Equity Services, Ltd.. (Attachments: #1 Proposed Order (Forum non Conveniens), #2 Proposed Order (Motion to Dismiss))(Stokes, Peter)
August 21, 2020 Opinion or Order Filing 570 ORDER STAYING this action pending further order of the court, except that Plaintiff may respond to the court's August 20th Order to Show Cause #568 . Signed by Judge Lee Yeakel. (lt)
August 21, 2020 Opinion or Order Filing 569 ORDER DISMISSING without prejudice the following Motions to Dismiss #310 , #313 , #317 , #324 , #325 , #327 , #328 , #329 , #330 , #333 , #344 , #346 , #347 , #348 , #349 , #405 , #410 , #416 , #417 , #420 . Signed by Judge Lee Yeakel. (lt)
August 20, 2020 Opinion or Order Filing 568 ORDER that Plaintiff Kinnie Ma SHOW CAUSE IN WRITING on or before September 4, 2020 why the court should not dismiss the action, without prejudice, as to Defendants Advisors Group Equity Services, Ltd.; Aeon Capital Inc.; Capital Financial Services, Inc.; Kingsbury Capital, Inc.; Landolt Securities, Inc.; Pariter Securities, LLC; and Sandlapper Securities, LLC. Signed by Judge Lee Yeakel. (lt)
August 20, 2020 Opinion or Order Filing 567 ORDER DISMISSING without prejudice Millicent Barasch's #65 Motion to Extend the Deadline to File Response. Signed by Judge Lee Yeakel. (lt)
August 18, 2020 Opinion or Order Filing 566 ORDER GRANTING #559 Motion to Withdraw J. Stephen Ravel as counsel of record for Defendant Titan Securities. Signed by Judge Lee Yeakel. (lt)
August 18, 2020 Opinion or Order Filing 565 ORDER GRANTING Defendants' #558 Motion to Withdraw Sven Stricker as Counsel. Signed by Judge Lee Yeakel. (lt)
August 18, 2020 Opinion or Order Filing 564 ORDER GRANTING #555 Motion for Seth M. Shapiro to Appear Pro Hac Vice on behalf of Plaintiffs. 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)
August 18, 2020 Opinion or Order Filing 563 ORDER GRANTING Ma Plaintiffs' #539 Motion to Exceed Page Limitation with respect to their Reply Brief in Support of their Amended Motion to Consolidate Class Actions and, in the Alternative, Stay Duplicative Briefing, Appoint Interim Co-Lead Class Counsel and Interim Liaison Counsel, and Transfer and Consolidate Subsequent Similar Cases. Signed by Judge Lee Yeakel. (lt)
August 18, 2020 Opinion or Order Filing 562 ORDER GRANTING GPB Defendants' #376 Motion for leave to file a confidential document under seal. Signed by Judge Lee Yeakel. (lt)
August 18, 2020 Opinion or Order Filing 561 ORDER GRANTING GPB Defendants' #309 Unopposed Motion for Leave to Exceed Page Limits. Signed by Judge Lee Yeakel. (lt)
August 18, 2020 Opinion or Order Filing 560 ORDER GRANTING Plaintiff's #137 Motion for Leave to Exceed Page Limitation. Signed by Judge Lee Yeakel. (lt)
August 17, 2020 Filing 559 Unopposed MOTION to Withdraw as Attorney by Titan Securities. (Attachments: #1 Proposed Order)(Ravel, J.)
August 17, 2020 Filing 558 Unopposed MOTION to Withdraw as Attorney on behalf of Sven Stricker by Dawson James Securities, Inc., Great Point Capital LLC, Newbridge Securities Corporation, Titan Securities, WestPark Capital Inc.. (Attachments: #1 Proposed Order)(Ravel, J.)
August 10, 2020 Opinion or Order Filing 557 ORDER GRANTING #556 Motion for J. Randle Henderson to Appear Pro Hac Vice on behalf of Titan 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. (lt)
August 7, 2020 Filing 556 MOTION to Appear Pro Hac Vice by J. Stephen Ravel on behalf of J. Randle Henderson ( Filing fee $ 100 receipt number 0542-13841645) by on behalf of Titan Securities. (Attachments: #1 Proposed Order)(Ravel, J.)
August 4, 2020 Filing 555 MOTION to Appear Pro Hac Vice by Jesse Zachary Weiss for Seth M. Shapiro ( Filing fee $ 100 receipt number 0542-13828212) by on behalf of Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
July 30, 2020 Filing 554 MOTION to Dismiss , Motion to Dismiss for Failure to State a Claim by Axiom Capital Management, Inc.. (Stokes, Peter)
July 30, 2020 Filing 553 MOTION to Dismiss for Lack of Jurisdiction, Improper Venue, and Failure to State a Claim by Phoenix American Financial Services, Inc.. (Attachments: #1 Petrecky Declaration)(Ashby, Danny)
July 30, 2020 Filing 552 MOTION to Dismiss Plaintiffs' First Amended Class Action Complaint by Crowe, LLP. (Homer, Carolyn)
July 30, 2020 Filing 551 RULE 7 DISCLOSURE STATEMENT filed by Crowe, LLP. (Homer, Carolyn)
July 30, 2020 Filing 550 MOTION to Dismiss Amended Complaint by David Gentile. (Gilbert, Chris)
July 30, 2020 Filing 549 Motion to Dismiss for Failure to State a Claim by RSM US LLP. (Attachments: #1 Proposed Order, #2 Exhibit A, #3 Exhibit B)(Hoover, Kathryn)
July 30, 2020 Filing 548 MOTION to Dismiss by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider. (Battaglini, Kim)
July 30, 2020 Filing 547 MOTION to Dismiss the First Amended Class Action 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 Supplemental Declaration of Jennifer Bergenfeld, #2 Exhibit T, #3 Exhibit U, #4 Exhibit V, #5 Exhibit W, #6 Exhibit X, #7 Exhibit Y)(Kaplan, Steven)
July 30, 2020 Filing 546 MOTION to Dismiss Plaintiffs' First Amended Complaint by Bradley Wealth Management LLC. (Attachments: #1 Exhibit Declaration of Michael Bradley)(Lamb, Nathan)
July 27, 2020 Opinion or Order Filing 545 ORDER GRANTING #538 Unopposed Motion to Extend Deadline to Respond to Defendants' Remaining Pending Motions to Dismiss the Amended Complaint. Signed by Judge Lee Yeakel. (lt)
July 27, 2020 Opinion or Order Filing 544 ORDER GRANTING #537 Unopposed Motion to Extend Deadline to respond to Certain Motions to Dismiss. Signed by Judge Lee Yeakel. (lt)
July 27, 2020 Filing 543 Notice of Joinder in Pending Motions to Dismiss by Innovation Partners LLC. (Ewell, Gary) Modified on 7/27/2020 (lt).
July 27, 2020 Filing 542 Response in Opposition to Motion, filed by Millicent R. Barasch, re #528 Amended MOTION to Consolidate Cases MOTION to Appoint Counsel , Transfer and Consolidate Subsequent Similar Cases, and, in the Alternative, Stay Duplicative Briefing filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Peiffer, Joseph)
July 27, 2020 Filing 541 Response in Opposition to Motion, filed by Millicent R. Barasch, re #539 MOTION for Leave to Exceed Page Limitation filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Peiffer, Joseph)
July 24, 2020 Filing 540 REPLY in Support, filed by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account, re #528 Amended MOTION to Consolidate Cases MOTION to Appoint Counsel , Transfer and Consolidate Subsequent Similar Cases, and, in the Alternative, Stay Duplicative Briefing filed by Plaintiff Corri Rene Eden, Plaintiff Kinnie Ma Individual Retirement Account, Plaintiff Dean Crooks, Plaintiff Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Jeffery S. Gramm Individual Retirement Account, Plaintiff Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Plaintiff Karen Loch, Plaintiff Catherine Kominos, Plaintiff Victor Wade Individual Retirement Account, Plaintiff Stacy Greasor Individual Retirement Account (Attachments: #1 Exhibit A)(Weiss, Jesse) Modified on 8/19/2020 (lt).
July 24, 2020 Filing 539 MOTION for Leave to Exceed Page Limitation by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
July 24, 2020 Filing 538 MOTION for Extension of Time to File Answer to Certain Defendants' Motions to Dismiss the Amended Complaint by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse) Modified on 7/27/2020 (lt).
July 23, 2020 Filing 537 MOTION for Extension of Time to File Response to Certain Motions to Dismiss the Amended Complaint by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse) Modified on 7/23/2020 (lt).
July 20, 2020 Filing 536 REPLY to Response to Motion, filed by Axiom Capital Management, Inc., re #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. (Stokes, Peter)
July 17, 2020 Opinion or Order Filing 535 ORDER GRANTING Ma Plaintiffs' #527 Motion to Exceed Page Limitation. Signed by Judge Lee Yeakel. (lt)
July 14, 2020 Opinion or Order Filing 534 ORDER GRANTING Defendant HighTower Securities, LLC' s #530 Unopposed Motion to Exceed Page Limits. Signed by Judge Lee Yeakel. (lt)
July 13, 2020 Opinion or Order Filing 533 ORDER GRANTING Defendants' #521 Unopposed Motion for Leave to Exceed Page Limits. Signed by Judge Lee Yeakel. (lt)
July 13, 2020 Opinion or Order Filing 532 ORDER GRANTING Defendant's #520 Unopposed Motion for Extension of Time to Respond to the Amended Class Action Complaint; Bradley Wealth Management LLC answer due 7/30/2020. Signed by Judge Lee Yeakel. (lt)
July 10, 2020 Filing 531 MOTION to Dismiss the First Amended Class Action Complaint by HighTower Securities, LLC. (Attachments: #1 Exhibit 1)(Dotson, Jonathan)
July 10, 2020 Filing 530 Unopposed MOTION for Leave to Exceed Page Limitation for Motion to Dismiss the First Amended Class Action Complaint by HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan)
July 10, 2020 Filing 529 Motion to Dismiss for Failure to State a Claim as to Counts II and V of the First Amended Class Action Complaint by Cabot Lodge Securities LLC, Purshe Kaplan Sterling Investments, Inc.. (Attachments: #1 Affidavit of J. Peter Purcell, #2 Affidavit of Craig Gould)(Fischbein, Lewis)
July 10, 2020 Filing 528 Amended MOTION to Consolidate Cases , MOTION to Appoint Counsel , Transfer and Consolidate Subsequent Similar Cases, and, in the Alternative, Stay Duplicative Briefing by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade 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 Exhibit 8, #9 Proposed Order)(Weiss, Jesse)
July 10, 2020 Filing 527 MOTION for Leave to Exceed Page Limitation with Respect to Plaintiffs' Amended Motion To Consolidate Class Actions, Appoint Interim Co-Lead Class Counsel And Interim Liaison Counsel, Transfer And Consolidate Subsequent Similar Cases, And, In The Alternative, Stay Duplicative Briefing by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Proposed Order)(Weiss, Jesse)
July 10, 2020 Filing 526 Defendants' Rule 12(b)(6) Motion to Dismiss First Amended 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, 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, Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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 A)(lt)
July 10, 2020 Filing 525 MOTION to Dismiss DEMPSEY LORD SMITH LLCS MOTION TO DISMISS FIRST AMENDED CLASS ACTION COMPLAINT by Dempsey Lord Smith, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
July 10, 2020 Filing 524 MOTION to Dismiss DETALUS SECURITIES, LLCS MOTION TO DISMISS FIRST AMENDED CLASS ACTION COMPLAINT by Detalus Securities, LLC. (Attachments: #1 Proposed Order)(Ruiz, James)
July 10, 2020 Filing 523 MOTION to Dismiss CASCADE FINANCIAL MANAGEMENT, INC.S MOTION TO DISMISS FIRST AMENDED CLASS ACTION COMPLAINT by Cascade Financial Management, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
July 10, 2020 Filing 522 MOTION to Dismiss CAPITAL INVESTMENT GROUP, INC.S MOTION TO DISMISS FIRST AMENDED CLASS ACTION COMPLAINT by Capital Investment Group, Inc.. (Attachments: #1 Proposed Order)(Ruiz, James)
July 10, 2020 Filing 521 MOTION for Leave to Exceed Page Limitation 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., Lewis Financial Group n/k/a DAI Securities, LLC, Lion Street Financial LLC, Lowell & Company, Inc., Lucia Securities LLC, MSC-BD, LLC, Madison Avenue Securities, LLC, McDonald Partners LLC, McNally Financial Services Corporation, Moloney Securities Co., Inc., Money Concepts Capital Corp., 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 A - Motion to Dismiss the First Amended Class Action Complaint, #2 Exhibit B - Ex A to Motion to Dismiss, #3 Proposed Order Granting Defs Unopposed Motion for Leave to Exceed Page Limitations)(Kessler, Gary)
July 10, 2020 Filing 520 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint as to Bradley Wealth Management, LLC by Bradley Wealth Management LLC. (Attachments: #1 Exhibit Proposed Order on Bradley Wealth Management's Unopposed Motion for Extension of Time to Respond to Amended Complaint)(Lamb, Nathan)
July 10, 2020 Notice of Correction: re #521 MOTION to Exceed Page Limitation . When filing a Motion 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 docket entry. We will take the necessary steps to pull the Motion and Exhibit A from the Motion to exceed page limits and enter it into the docket record. No further action is required. Please note this information for future filing purposes. (lt)
July 9, 2020 Opinion or Order Filing 519 ORDER GRANTING #513 Motion for Dennis Mai to Appear Pro Hac Vice on behalf of Crowe 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. (lt)
July 9, 2020 Opinion or Order Filing 518 ORDER GRANTING #512 Motion for Sharon M. Casola to Appear Pro Hac Vice on behalf of Crowe 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. (lt)
July 9, 2020 Opinion or Order Filing 517 ORDER GRANTING #511 Motion for John J. Barber to Appear Pro Hac Vice on behalf of Crowe 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. (lt)
July 9, 2020 Opinion or Order Filing 516 ORDER GRANTING #510 Motion for Kevin M. McDonough to Appear Pro Hac Vice on behalf of Crowe 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. (lt)
July 9, 2020 Opinion or Order Filing 515 ORDER GRANTING #509 Unopposed Motion to Extend the Time To Respond to Plaintiffs' Amended Class Action Complaint; GPB Defendants' answer due 7/30/2020. Signed by Judge Lee Yeakel. (lt)
July 9, 2020 Filing 514 MOTION to Dismiss by United Planners' Financial Services of America, LP. (lt). (Attachments: #(1) Memo in Support, #2 Affidavit Dave Hauer, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C) (Ortiz, Andrea)
July 9, 2020 Filing 513 MOTION to Appear Pro Hac Vice by Carolyn Homer for Dennis Mai ( Filing fee $ 100 receipt number 0542-13739341) by on behalf of Crowe, LLP. (Attachments: #1 Proposed Order)(Homer, Carolyn)
July 9, 2020 Filing 512 MOTION to Appear Pro Hac Vice by Carolyn Homer for Sharon M. Casola ( Filing fee $ 100 receipt number 0542-13739247) by on behalf of Crowe, LLP. (Attachments: #1 Proposed Order)(Homer, Carolyn)
July 9, 2020 Filing 511 MOTION to Appear Pro Hac Vice by Carolyn Homer for John J. Barber ( Filing fee $ 100 receipt number 0542-13739194) by on behalf of Crowe, LLP. (Attachments: #1 Proposed Order)(Homer, Carolyn)
July 9, 2020 Filing 510 MOTION to Appear Pro Hac Vice by Carolyn Homer for Kevin M. McDonough ( Filing fee $ 100 receipt number 0542-13739082) by on behalf of Crowe, LLP. (Attachments: #1 Proposed Order)(Homer, Carolyn)
July 8, 2020 Filing 509 Unopposed MOTION for Extension of Time to File Answer re #440 Amended 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)
June 29, 2020 Filing 508 Sur-reply, filed by Plaintiffs, to Certain Broker Defendants' Reply re #313 MOTION to Dismiss for Forum Non Conveniens. (lt)
June 29, 2020 Opinion or Order Filing 507 ORDER GRANTING Plaintiffs' #506 Opposed Motion for Leave to File Surreply to Certain Broker Defendants' Reply Regarding Forum Non Conveniens Motion to Dismiss. Signed by Judge Lee Yeakel. (lt)
June 26, 2020 Filing 506 MOTION for Leave to File Surreply to Certain Broker Defendants' Reply Brief Regarding Forum Non Conveniens Motion to Dismiss by Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit 1, #2 Proposed Order)(Weiss, Jesse)
June 19, 2020 Opinion or Order Filing 505 ORDER GRANTING #502 Motion for Leave to Exceed Page Limitation. Signed by Judge Lee Yeakel. (lt)
June 19, 2020 Filing 504 REPLY to Response to Motion, filed by Bradley Wealth Management LLC, re #417 MOTION to Dismiss for Lack of Jurisdiction filed by Defendant Bradley Wealth Management LLC (Lamb, Nathan)
June 19, 2020 Filing 503 REPLY to Response 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 their #313 MOTION to Dismiss for Forum Non Conveniens. Modified on 6/19/2020 to adjust docket entry relationship (lt).
June 19, 2020 Filing 502 MOTION for Leave to Exceed Page Limitation 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 Proposed Order)(Saretsky, Gary)
June 11, 2020 Opinion or Order Filing 501 ORDER GRANTING Defendants' #499 Motion to extend the deadline to answer or otherwise respond to Plaintiffs' First Amended Class Action Complaint; Ascendant Capital, LLC, Ascendant Alternative Strategies, LLC, DJ Partners LLC, MR Ranger LLC, Jeffry Schneider and Mark D Martino answers due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
June 10, 2020 Opinion or Order Filing 500 ORDER GRANTING #498 Unopposed Motion to Extend the Time To Respond to Plaintiffs' Amended Class Action Complaint; GPB Defendants' answers due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
June 10, 2020 Filing 499 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint Class Action 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)
June 9, 2020 Filing 498 Unopposed MOTION to Extend the Time to Respond to Plaintiffs re #440 Amended 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) Modified on 6/9/2020 (lt).
June 5, 2020 Filing 497 NOTICE of Voluntary Dismissal by Gracemarie Boland, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account (Weiss, Jesse)
June 2, 2020 Filing 496 Plaintiff's Sur-reply re #317 MOTION to Dismiss filed by Defendant GPB Waste Management Fund, LP, Defendant GPB Holdings II, LP, Defendant GPB Holdings Qualified, LP, Defendant GPB Capital Holdings, LLC, Defendant GPB Automotive Portfolio, LP, Defendant GPB NYC Development, LP, Defendant GPB Cold Storage, LP, Defendant GPB Holdings, LP, Defendant GPB Holdings III, LP (lt)
June 2, 2020 Opinion or Order Filing 495 ORDER GRANTING Plaintiffs' #493 Unopposed Motion for Leave to File Sur-reply to GPB Defendants' Reply. Signed by Judge Lee Yeakel. (lt)
June 2, 2020 Opinion or Order Filing 494 ORDER GRANTING Defendant's #492 Unopposed Motion to Extend Deadline for Responsive Pleading; Crowe, LLP answer due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
June 1, 2020 Filing 493 MOTION for Leave to File Surreply Brief in Response to Reply Brief Docket Number 484 by Gracemarie Boland, Dean Crooks, Jeffery S. Gramm Individual Retirement Account, Kinnie Ma Individual Retirement Account, Catherine Kominos, Karen Loch, Corri Rene Eden, Robert A. Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Shirley Stone Living Trust, dated January 9, 1992, as amended May 24, 2005, Stacy Greasor Individual Retirement Account, Victor Wade Individual Retirement Account. (Attachments: #1 Exhibit Proposed Surreply in Response to Reply Brief Filed by GPB Defendants, #2 Proposed Order)(Weiss, Jesse)
June 1, 2020 Filing 492 Unopposed MOTION for Extension of Time to File Answer re #440 Amended Complaint /Unopposed Motion to Extend Deadline to Respond to Plaintiffs' First Amended Class Action Complaint by Crowe, LLP. (Attachments: #1 Proposed Order)(Homer, Carolyn)
June 1, 2020 Filing 491 NOTICE of Attorney Appearance by Carolyn Homer on behalf of Crowe, LLP. Attorney Carolyn Homer added to party Crowe, LLP(pty:dft) (Homer, Carolyn)
May 26, 2020 Opinion or Order Filing 490 ORDER GRANTING #488 Unopposed Motion for Extension of Time to Respond to the Amended Complaint; David Gentile answer due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
May 22, 2020 Filing 489 REPLY to Response to Motion, filed by David Gentile, re #416 MOTION to Dismiss filed by Defendant David Gentile (Gilbert, Chris)
May 22, 2020 Filing 488 Unopposed MOTION for Extension of Time to File Answer or Respond by David Gentile. (Attachments: #1 Proposed Order)(Gilbert, Chris)
May 22, 2020 Opinion or Order Filing 487 ORDER GRANTING GPB Defendants' #483 Unopposed Motion for Leave to Exceed Page Limits. Signed by Judge Lee Yeakel. (lt)
May 22, 2020 Opinion or Order Filing 486 ORDER GRANTING #481 Motion for Extension of Time to Respond to the Amended Complaint; HighTower Securities, LLC answer due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
May 22, 2020 Filing 485 REPLY to Response to Motion, filed by Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, DJ Partners LLC, MR Ranger LLC, Mark D Martino, Jeffry Schneider, re #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 (Battaglini, Kim)
May 22, 2020 Filing 484 REPLY to Response to Motion, filed 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, re #317 MOTION to Dismiss filed by Defendant GPB Waste Management Fund, LP, Defendant GPB Holdings II, LP, Defendant GPB Holdings Qualified, LP, Defendant GPB Capital Holdings, LLC, Defendant GPB Automotive Portfolio, LP, Defendant GPB NYC Development, LP, Defendant GPB Cold Storage, LP, Defendant GPB Holdings, LP, Defendant GPB Holdings III, LP (Attachments: #1 Supplemental Declaration of Jennifer Bergenfeld, #2 Exhibit G, #3 Exhibit H, #4 Exhibit I, #5 Exhibit J, #6 Exhibit K, #7 Exhibit L, #8 Exhibit M, #9 Exhibit N, #10 Exhibit O, #11 Exhibit P, #12 Exhibit Q, #13 Exhibit R, #14 Exhibit S)(Kaplan, Steven)
May 22, 2020 Filing 483 Unopposed MOTION for Leave to Exceed Page Limits re #439 Response in Opposition to Motion,,,,,,,,,,,,, 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 21, 2020 Opinion or Order Filing 482 ORDER GRANTING Defendant Triad Advisors LLC's #480 Unopposed Motion to Extend Time to Respond to Plaintiffs' Amended Class Action Complaint and to Reply to Forum Non Conveniens Opposition. Signed by Judge Lee Yeakel. (lt)
May 21, 2020 Filing 481 Unopposed MOTION for Extension of Time to File Response/Reply as to #440 Amended Complaint by HighTower Securities, LLC. (Attachments: #1 Proposed Order)(Dotson, Jonathan) Modified on 5/22/2020 (lt).
May 20, 2020 Filing 480 MOTION for Extension of Time to File Answer by Triad Advisors, LLC. (Attachments: #1 Proposed Order)(Urbach, Tanya)
May 20, 2020 Filing 479 SUMMONS Returned Executed by Kinnie Ma Individual Retirement Account. Crowe, LLP served on 5/19/2020, answer due 6/9/2020. (Shelton, Ryan)
May 20, 2020 Opinion or Order Filing 478 ORDER GRANTING Defendant Triad Advisors, LLC's #462 Motion to Substitute counsel. Signed by Judge Lee Yeakel. (lt)
May 20, 2020 Opinion or Order Filing 477 ORDER GRANTING Defendant Bradley Wealth Management's #452 Unopposed Motion for Extension of Time to Reply and to Respond to the Amended Complaint. Signed by Judge Lee Yeakel. (lt)
May 19, 2020 Opinion or Order Filing 476 ORDER GRANTING Defendant's #467 Unopposed Motion to Extend the Time to Respond to Plaintiffs' Amended Class Action Complaint; Titan Securities answer due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
May 19, 2020 Opinion or Order Filing 475 ORDER GRANTING Defendants' #466 Unopposed Motion for Extension of Time to Respond to Plaintiffs' First Amended Class Action Complaint and to Reply to Plaintiffs' Forum Non Conveniens Opposition. Signed by Judge Lee Yeakel. (lt)
May 19, 2020 Opinion or Order Filing 474 ORDER GRANTING Defendant United Planners' Financial Services of America, LP' s #464 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 19, 2020 Opinion or Order Filing 473 ORDER GRANTING Defendants Purshe Kaplan Sterling Investments, Inc. and Cabot Lodge Securities, LLC's #461 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 19, 2020 Opinion or Order Filing 472 ORDER GRANTING Defendants' #460 unopposed Motion for Extension of Time. Signed by Judge Lee Yeakel. (lt)
May 19, 2020 Opinion or Order Filing 471 ORDER GRANTING Defendant's #453 Unopposed Motion to Extend Deadline for Responsive Pleading; RSM US LLP answer due 7/10/2020. Signed by Judge Lee Yeakel. (lt)
May 19, 2020 Opinion or Order Filing 470 ORDER GRANTING Defendants Money Concepts Capital Corporation and Sentinus Securities LLC's #451 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 19, 2020 Opinion or Order Filing 469 ORDER GRANTING Defendants' #450 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 19, 2020 Opinion or Order Filing 468 ORDER GRANTING #449 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 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 SU