Ginzkey et al v. National Securities Corporation
| Richard Fitzgerald, James Ginzkey, Barry Donner and Charles Cerf |
| National Securities Corporation |
| Stew Cogan |
| 2:2018cv01773 |
| December 10, 2018 |
| US District Court for the Western District of Washington |
| Ricardo S Martinez |
| Other Fraud |
| 28 U.S.C. § 1332 Diversity-Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on November 3, 2022. A more recent docket listing may be available from PACER.
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Filing 136
FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE. Signed by Judge Barbara J. Rothstein. (SB)
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Filing 135
ORDER granting Plaintiffs' #127 Unopposed Motion for Attorney Fees. Plaintiffs' counsel are to be paid 40% of the cash fund in attorneys' fees ($1,860,000), $86,612.69 in expenses, and are to provide $10,000 for each of the four class representatives, all to come out of the cash fund awarded in this case. Signed by Judge Barbara J. Rothstein. (SB)
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Filing 134
MINUTE ENTRY for proceedings held before Judge Barbara J. Rothstein- Dep Clerk: Grant Cogswell; Pla Counsel: Joe Wojciechowski, Josh Kons, Sara Hanley, Dave Neuman, Alex Loftus; Def Counsel: Curt Hineline; CR: Sheri Schelbert; Time of Hearing: 9:00AM; Courtroom: Zoom; Fairness Hearing held on 11/3/2022. The Court discusses the Motion for Final Approval of Class Action Settlement Dkt. No. #126 , and the Motion for Attorney Fees, Expenses, and Service Award Dkt. No. #127 . The Court gives final approval to the settlement and to the request for fees and costs. A written order will follow this entry. (GC)
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MINUTE ORDER (text only): The Fairness Hearing in this matter scheduled on 11/3/2022 at 9:00 AM, will be held via ZOOM. An invitation will be sent to counsel of record (to be forwarded, as needed) and the dial-in access for the hearing will be posted on the Court's public website. Authorized by Judge Ricardo S. Martinez. (LC)
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Filing 133
DECLARATION of Snehal Indra filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #127 Unopposed MOTION for Attorney Fees Expenses, and Service Awards (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Neuman, David)
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Filing 132
DECLARATION of David P. Neuman filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #127 Unopposed MOTION for Attorney Fees Expenses, and Service Awards (Attachments: #1 Exhibit 1)(Neuman, David)
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Filing 131
DECLARATION of Sara E. Hanley filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #127 Unopposed MOTION for Attorney Fees Expenses, and Service Awards (Attachments: #1 Exhibit 1)(Neuman, David)
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Filing 130
DECLARATION of Alexander N. Loftus filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #127 Unopposed MOTION for Attorney Fees Expenses, and Service Awards (Attachments: #1 Exhibit 1)(Neuman, David)
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Filing 129
DECLARATION of Joshua B. Kons filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #127 Unopposed MOTION for Attorney Fees Expenses, and Service Awards (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Neuman, David)
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Filing 128
DECLARATION of Joseph R. Wojciechowski filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #127 Unopposed MOTION for Attorney Fees Expenses, and Service Awards (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Neuman, David)
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Filing 127
Unopposed MOTION for Attorney Fees Expenses, and Service Awards, filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. Oral Argument Requested. Noting Date 9/12/2022, (Neuman, David)
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Filing 126
Unopposed MOTION Final Approval of Class Action Settlement , filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. Oral Argument Requested. (Attachments: #1 Proposed Order) Noting Date 9/12/2022, (Neuman, David)
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Filing 125
ORDER granting Plaintiffs' #124 Unopposed Motion for Preliminary Approval of Class Action Settlement and Request for Fairness Hearing. The Final Hearing is scheduled on 11/3/2022 at 9:00 a.m. in Courtroom 13206 at the United States Courthouse, 700 Stewart Street, Seattle, WA 98101. Signed by Judge Ricardo S. Martinez. (SB)
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Filing 124
Unopposed MOTION Motion for Preliminary Approval of Class Action Settlement and Request for Fairness Hearing , filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit 1 to Exhibit B, #4 Exhibit 2 to Exhibit B, #5 Exhibit 3 to Exhibit B) Noting Date 6/3/2022, (Neuman, David)
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Filing 123
Second STATUS REPORT signed by all parties by Defendant National Securities Corporation (Morrison, James)
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Filing 122
DECLARATION of Stew Cogan by Mediator Stew Cogan (Cogan, Stew)
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Filing 121
Joint STATUS REPORT signed by all parties by Defendant National Securities Corporation (Morrison, James)
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Filing 120
ORDER granting Parties' #119 Stipulated MOTION to Stay all Case Deadlines and Strike Trial Date. The Court shall not rule on Defendant's merits-based motion for summary judgment (Dkt. #96 ), Defendant's motion to exclude plaintiffs' expert Mason Alan Dinehart III's proposed expert opinions (Dkt. #113 ), and Defendant's motion for interlocutory appeal of court order denying first motion for summary judgment (Dkt. #117 ) until after the conclusion of the settlement process, if necessary. The parties shall file a motion for preliminary approval of the class settlement by no later than 4/29/2022 or file a status report by that date advising the Court of the status of the case. Signed by Judge Ricardo S. Martinez. (SB)
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Filing 119
Stipulated MOTION TO STAY ALL CASE DEADLINES AND STRIKE TRIAL DATE, filed by Defendant National Securities Corporation. (Attachments: #1 Proposed Order Proposed Order Granting Stipulated Motion to Stay All Deadlines and Strike Trial Date) Noting Date 3/30/2022, (Morrison, James)
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Filing 118
REPLY, filed by Defendant National Securities Corporation, TO RESPONSE to #113 MOTION to Exclude Mason Alan Dinehart III's Proposed Expert Opionions (Hineline, Curt)
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Filing 117
MOTION For Interlocutory Appeal of Court Order Denying First Motion for Summary Judgment re #111 Order on Motion for Summary Judgment , filed by Defendant National Securities Corporation. Oral Argument Requested. Noting Date 4/8/2022, (Hineline, Curt)
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Filing 116
DECLARATION of Joseph R. Wojciechowski filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #113 MOTION to Exclude Mason Alan Dinehart III's Proposed Expert Opionions (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Neuman, David)
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Filing 115
RESPONSE, by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey, to #113 MOTION to Exclude Mason Alan Dinehart III's Proposed Expert Opionions. (Neuman, David)
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Filing 114
DECLARATION of James R. Morrison filed by Defendant National Securities Corporation re #113 MOTION to Exclude Mason Alan Dinehart III's Proposed Expert Opionions (Attachments: #1 Exhibit Exhibits 1-17 to Morrison Declaration)(Hineline, Curt)
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Filing 113
MOTION to Exclude Mason Alan Dinehart III's Proposed Expert Opionions, filed by Defendant National Securities Corporation. Oral Argument Requested. Noting Date 3/25/2022, (Hineline, Curt)
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Filing 112
ORDER granting Defendant's #99 Motion for Leave to File Daubert Motion. NSC shall immediately file its proposed Motion on the docket and note it for consideration on 3/25/2022. Signed by Judge Ricardo S. Martinez. (SB)
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Filing 111
ORDER denying Defendant's #83 Motion for Summary Judgment. Signed by Judge Ricardo S. Martinez. (SB)
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Filing 110
NOTICE from Mediator Stew Cogan, that on 8 March 2022, the parties participated in a mediation. (Cogan, Stew)
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Filing 109
REPLY, filed by Defendant National Securities Corporation, TO RESPONSE to #99 MOTION for Leave to File MOTION TO EXCLUDE MASON ALAN DINEHART IIIS PROPOSED EXPERT OPINIONS (Morrison, James)
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Filing 108
DECLARATION of James R. Morrison filed by Defendant National Securities Corporation re #96 MOTION for Summary Judgment (Attachments: #1 Exhibit 1-3)(Morrison, James)
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Filing 107
REPLY, filed by Defendant National Securities Corporation, TO RESPONSE to #96 MOTION for Summary Judgment (Morrison, James)
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Filing 106
DECLARATION of Joshua B. Kons filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #99 MOTION for Leave to File MOTION TO EXCLUDE MASON ALAN DINEHART IIIS PROPOSED EXPERT OPINIONS (Neuman, David)
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Filing 105
DECLARATION of Joseph R. Wojciechowski filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #99 MOTION for Leave to File MOTION TO EXCLUDE MASON ALAN DINEHART IIIS PROPOSED EXPERT OPINIONS (Neuman, David)
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Filing 104
RESPONSE, by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey, to #99 MOTION for Leave to File MOTION TO EXCLUDE MASON ALAN DINEHART IIIS PROPOSED EXPERT OPINIONS. (Attachments: #1 Proposed Order)(Neuman, David)
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Filing 103
DECLARATION of Joseph R. Wojciechowski filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #96 MOTION for Summary Judgment (Attachments: #1 Exhibit Exhibit 1, #2 Exhibit Exhibit 2, #3 Exhibit Exhibit 3, #4 Exhibit Exhibit 4, #5 Exhibit Exhibit 5, #6 Exhibit Exhibit 6, #7 Exhibit Exhibit 7, #8 Exhibit Exhibit 8, #9 Exhibit Exhibit 9, #10 Exhibit Exhibit 10, #11 Exhibit Exhibit 11, #12 Exhibit Exhibit 12, #13 Exhibit Exhibit 13, #14 Exhibit Exhibit 14, #15 Exhibit Exhibit 15, #16 Exhibit Exhibit 16, #17 Exhibit Exhibit 17, #18 Exhibit Exhibit 18, #19 Exhibit Exhibit 19, #20 Exhibit Exhibit 20)(Neuman, David)
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Filing 102
DECLARATION of Mason Alan Dinehart III filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #96 MOTION for Summary Judgment (Attachments: #1 Exhibit Exhibit 1, #2 Exhibit Exhibit 2)(Neuman, David)
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Filing 101
RESPONSE, by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey, to #96 MOTION for Summary Judgment . Oral Argument Requested. (Attachments: #1 Proposed Order)(Neuman, David)
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Filing 100
DECLARATION of James R. Morrison filed by Defendant National Securities Corporation re #99 MOTION for Leave to File MOTION TO EXCLUDE MASON ALAN DINEHART IIIS PROPOSED EXPERT OPINIONS (Attachments: #1 Exhibit A and B)(Hineline, Curt)
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Filing 99
MOTION for Leave to File MOTION TO EXCLUDE MASON ALAN DINEHART IIIS PROPOSED EXPERT OPINIONS, filed by Defendant National Securities Corporation. Oral Argument Requested. (Attachments: #1 Proposed Order) Noting Date 3/4/2022, (Hineline, Curt)
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Filing 98
DECLARATION of CARMELO TROCCOLI filed by Defendant National Securities Corporation re #96 MOTION for Summary Judgment (Attachments: #1 Exhibit 1-3, #2 Exhibit 4-5, #3 Jury Demand 6-22)(Hineline, Curt)
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Filing 97
DECLARATION of James R. Morrison filed by Defendant National Securities Corporation re #96 MOTION for Summary Judgment (Attachments: #1 Exhibit 1-5)(Hineline, Curt)
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Filing 96
MOTION for Summary Judgment , filed by Defendant National Securities Corporation. Oral Argument Requested. (Attachments: #1 Proposed Order) Noting Date 3/4/2022, (Hineline, Curt)
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Filing 95
ORDER granting Parties' #94 Stipulated MOTION to Extend Dispositive Motion Deadline. Dispositive motions due by 2/10/2022. Signed by Judge Ricardo S. Martinez. (SB)
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Filing 94
Stipulated MOTION to Extend Dispositive Motion Deadline, filed by Defendant National Securities Corporation. Noting Date 2/7/2022, (Morrison, James)
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Filing 93
NOTICE from Mediator Stew Cogan, that on February 2, 2022, the parties participated in a mediation. (Cogan, Stew)
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Filing 92
DECLARATION of James R. Morrison filed by Defendant National Securities Corporation re #83 MOTION for Summary Judgment (Attachments: #1 Exhibit Ex. 1 to Morrison Declaration, #2 Exhibit Ex. 2 to Morrison Declaration)(Hineline, Curt)
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Filing 91
REPLY, filed by Defendant National Securities Corporation, TO RESPONSE to #83 MOTION for Summary Judgment (Hineline, Curt)
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Filing 90
DECLARATION of Joshua B. Kons filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #83 MOTION for Summary Judgment (Neuman, David)
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Filing 89
DECLARATION of Joseph R. Wojciechowski filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #83 MOTION for Summary Judgment (Attachments: #1 Exhibit Exhibit 1, #2 Exhibit Exhibit 2, #3 Exhibit Exhibit 3, #4 Exhibit Exhibit 4, #5 Exhibit Exhibit 5)(Neuman, David)
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Filing 88
RESPONSE, by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey, to #83 MOTION for Summary Judgment . Oral Argument Requested. (Attachments: #1 Proposed Order Proposed Order)(Neuman, David)
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Filing 87
NOTICE that the following is RE-NOTED: #83 MOTION for Summary Judgment . Filed by Defendant National Securities Corporation. Noting Date 1/28/2022, (Hineline, Curt)
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Filing 86
NOTICE of Appearance by attorney Logan Frison Peppin on behalf of Defendant National Securities Corporation. (Peppin, Logan)
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Filing 85
DECLARATION of Carmelo Troccoli filed by Defendant National Securities Corporation re #83 MOTION for Summary Judgment (Hineline, Curt)
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Filing 84
DECLARATION of James R. Morrison filed by Defendant National Securities Corporation re #83 MOTION for Summary Judgment (Hineline, Curt)
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Filing 83
MOTION for Summary Judgment , filed by Defendant National Securities Corporation. Oral Argument Requested. (Attachments: #1 Proposed Order Proposed Order Granting Defendant National Securities Corporation's Motion for Summary Judgment) Noting Date 1/21/2022 1/28/2022 (Hineline, Curt) Modified on 12/30/2021 to update noting date (SB).
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Filing 82
DISCLOSURE OF EXPERT WITNESSES Filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey.(Neuman, David)
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Filing 81
ORDER granting Parties' #80 Unopposed Motion for Order Approving Plaintiff's #78 Proposed Notice Plan. Signed by Judge Ricardo S. Martinez. (SB)
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Filing 80
Unopposed MOTION Order Granting Proposed Notice Plan re #78 Notice-Other , filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. Noting Date 10/21/2021, (Neuman, David)
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Filing 79
NOTICE of Appearance by attorney Alexander Vitruk on behalf of Defendant National Securities Corporation. (Vitruk, Alexander)
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Filing 78
NOTICE Proposed Notice Plan ; filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. (Attachments: #1 Exhibit Appendix A)(Neuman, David)
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Filing 77
NOTICE of Appearance by attorney Curt Roy Hineline on behalf of Defendant National Securities Corporation. (Hineline, Curt)
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Filing 76
ORDER SETTING TRIAL DATE AND RELATED DATES by Judge Ricardo S. Martinez. Length of Trial: *10 days*. Jury Trial is set for 5/9/2022 at 09:00 AM before Judge Ricardo S. Martinez. Amended Pleadings due by 8/27/2021, Expert Witness Disclosure/Reports under FRCP 26(a)(2) due by 11/10/2021, Motions due by 12/10/2021, Discovery completed by 1/10/2022, Dispositive motions due by 2/8/2022, 39.1 mediation to be completed by 3/25/2022, Motions in Limine due by 4/11/2022, Pretrial Order due by 4/27/2022, Trial briefs to be submitted by 5/4/2022, Proposed voir dire/jury instructions due by 5/4/2022. (LC)
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Filing 75
MINUTE ORDER, Motions terminated: #68 MOTION to Stay re #67 Notice-Other PROCEEDINGS PENDING APPEAL filed by National Securities Corporation.The following MINUTE ORDER is made by direction of the Court, the Honorable Ricardo S. Martinez, Chief United States District Judge: On July 16, 2021, the Ninth Circuit issued an Order denying the petition for permission to appeal this Court's April 27, 2021, order granting class action certification. Dkt. #74. Accordingly, the above Motion to Stay filed by Defendant National Securities Corporation is DENIED as MOOT. (COB)
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Filing 74
ORDER from USCA (21-80048) re #67 NOTICE from 9th CIRCUIT. The court, in its discretion, denies the petition for permission to appeal the district courts April 27, 2021, order granting class action certification. See Fed. R. Civ. P. 23(f); Chamberlan v. Ford Motor Co., 402 F.3d 952 (9th Cir. 2005). (CDA)
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Filing 73
JOINT STATUS REPORT signed by all parties. Estimated Trial Days: 10. (Neuman, David)
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Filing 72
EXHIBIT A re #71 Reply to Response to Motion by Defendant National Securities Corporation (Morrison, James)
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Filing 71
REPLY, filed by Defendant National Securities Corporation, TO RESPONSE to #68 MOTION to Stay re #67 Notice-Other PROCEEDINGS PENDING APPEAL (Morrison, James)
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Filing 70
RESPONSE, by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey, to #68 MOTION to Stay re #67 Notice-Other PROCEEDINGS PENDING APPEAL. (Neuman, David)
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Noting Date Set/Reset re #68 MOTION to Stay re #67 Notice-Other PROCEEDINGS PENDING APPEAL: Noted by clerk for 5/28/2021. (SR)
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Filing 69
PROPOSED ORDER (Unsigned) re #68 MOTION to Stay re #67 Notice-Other PROCEEDINGS PENDING APPEAL (Morrison, James)
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Filing 68
MOTION to Stay re #67 Notice-Other PROCEEDINGS PENDING APPEAL, filed by Defendant National Securities Corporation. Noted by clerk for 5/28/2021 (Morrison, James). Modified on 5/14/2021 to add noting date (SR).
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Filing 67
NOTICE from 9th Circuit re Petition for Permission to Appeal (21-80048). This is to acknowledge receipt of your Petition for Permission to Appeal under Federal Rule of Civil Procedure 23(f).(RE)
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Filing 66
ORDER granting Plaintiffs' #53 Motion for Class Certification. Plaintiffs James Ginzkey, Richard Fitzgerald, Charles Cerf, and Barry Donner are designated and appointed as representatives for the Class and the Subclasses. No later than thirty (30) days from the date of this order, Plaintiffs shall submit to Defendant's counsel the proposed Notice forms and the Plan for disseminating Notice to the Class and Subclasses. Counsel shall then confer as to the proposed Notice and Plan. The parties shall submit an agreed Notice and Plan to the court. If the parties are not in agreement, each will submit their proposed Notice and Plan to the court for decision. Signed by Judge Ricardo S. Martinez. (PM)
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Filing 65
NOTICE of Unavailability of counsel James Raymond Morrison for Defendant National Securities Corporation from March 1 - April 12, 2021. (Morrison, James)
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Filing 64
REPLY, filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey, TO RESPONSE to #53 MOTION to Certify Class (Attachments: #1 Exhibit Ex 1, #2 Exhibit Ex 2, #3 Exhibit Ex 3, #4 Exhibit Ex 4, #5 Exhibit Ex 5)(Neuman, David)
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Filing 63
AFFIDAVIT of James R. Morrison filed by Defendant National Securities Corporation re #60 Response to Motion (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 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11)(Morrison, James)
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Filing 62
AFFIDAVIT of Carmelo Troccoli filed by Defendant National Securities Corporation re #60 Response to Motion (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H)(Morrison, James)
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Filing 61
AFFIDAVIT of Kamran Fotouhi filed by Defendant National Securities Corporation re #60 Response to Motion (Attachments: #1 Exhibit A)(Morrison, James)
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Filing 60
RESPONSE, by Defendant National Securities Corporation, to #53 MOTION to Certify Class . Oral Argument Requested. (Morrison, James)
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Filing 59
ORDER re Parties' #58 Stipulated Motion to Revise Briefing Schedule for Plaintiffs' #53 MOTION for Class Certification. Defendant's Response due 12/8/2020; Plaintiffs' Reply due 12/22/2020. Signed by Judge Ricardo S. Martinez. (The #53 MOTION for Class Certification is renoted for 12/22/2020)(PM)
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Filing 58
Stipulated MOTION to Revise Briefing Schedule Regarding Plaintiffs' Motion for Class Certification, filed by Defendant National Securities Corporation. Noting Date 11/5/2020, (Morrison, James)
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Filing 57
DECLARATION of Sara Hanley filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #53 MOTION to Certify Class (Neuman, David)
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Filing 56
DECLARATION of Alexander Loftus filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #53 MOTION to Certify Class (Neuman, David)
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Filing 55
DECLARATION of Joseph Wojciechowski filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #53 MOTION to Certify Class (Neuman, David)
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Filing 54
DECLARATION of Joshua B. Kons filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey re #53 MOTION to Certify Class (Neuman, David)
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Filing 53
MOTION to Certify Class , filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. Oral Argument Requested. (Attachments: #1 Exhibit Proposed Order, #2 Exhibit Exhibit 2) Noting Date 11/27/2020, (Neuman, David)
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Filing 52
ORDER re #51 Application for Leave to Appear Pro Hac Vice. The Court ADMITS Attorney Sara Hanley for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, and James Ginzkey, by Clerk William M McCool. No document associated with this docket entry, text only.NOTE TO COUNSEL: Local counsel agrees to sign all filings and to be prepared to handle the matter, including the trial thereof, in the event the applicant is unable to be present on any date scheduled by the court, pursuant to LCR 83.1(d).(DS)
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Filing 51
APPLICATION OF ATTORNEY Sara Hanley FOR LEAVE TO APPEAR PRO HAC VICE for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey (Fee Paid) Receipt No. AWAWDC-6693076 (Neuman, David)
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Filing 50
NOTICE of Change of Address/Change of Name of Attorney James Raymond Morrison. Filed by Defendant National Securities Corporation. (Morrison, James)
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Filing 49
ORDER granting #48 Stipulated Motion. Deadline to complete discovery on class certification (not to be construed as a bifurcation of discovery) is 10/2/2020. Deadline for Plaintiffs to file motion for class certification is 11/3/2020. Signed by Judge Ricardo S. Martinez.(LH)
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Filing 48
Stipulated MOTION to Revise Scheduling Order Regarding Class Certification, filed by Defendant National Securities Corporation. Noting Date 7/20/2020, (Morrison, James)
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Filing 47
ORDER re parties' #46 Stipulated Motion to Revise Scheduling Order Regarding Class Certification. Deadline to complete discovery on class certification (not to be construed as a bifurcation of discovery) is 8/3/2020. Deadline for Plaintiffs to file motion for class certification is 9/4/2020. Signed by Judge Ricardo S. Martinez.(PM)
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Filing 46
Stipulated MOTION to Revise Scheduling Order Regarding Class Certification, filed by Defendant National Securities Corporation. Noting Date 5/4/2020, (Morrison, James)
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Filing 45
ORDER granting parties' #44 Stipulated Motion for Protective Order signed by Judge Ricardo S. Martinez. (TH)
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Filing 44
Stipulated MOTION for Protective Order , filed by Defendant National Securities Corporation. Noting Date 4/6/2020, (Morrison, James)
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Filing 43
MINUTE ORDER, Motions terminated: #42 Stipulated MOTION for Protective Order filed by National Securities Corporation.The following MINUTE ORDER is made by direction of the Court, the Honorable Ricardo S. Martinez, Chief United States District Judge: On April 2, 2020, Defendant filed the above stipulated Motion for a Protective Order. The Motion is missing a title in the caption and otherwise appears to have been unmodified from the model version. For example, the Motion includes the Court's model fill-in-the-blank language instead of a list of specific confidential documents: "'Confidential' material shall include the following documents and tangible things produced or otherwise exchanged: [The parties must include a list of specific documents such as 'companys customer list' or 'plaintiffs medical records;' do not list broad categories of documents such as 'sensitive business material']." Dkt. #42 at 2. Accordingly, this Motion appears to have been filed in error, cannot be entered by the Court, and is therefore STRICKEN. The parties are free to re-file at any time. (COB)
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Filing 42
Stipulated MOTION for Protective Order, filed by Defendant National Securities Corporation. (Fellmeth, Elizabeth)
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Filing 41
ORDER re #40 Application for Leave to Appear Pro Hac Vice. The Court ADMITS Attorney Chad E Weaver for Defendant National Securities Corporation, by Clerk William M McCool. No document associated with this docket entry, text only.NOTE TO COUNSEL: Local counsel agrees to sign all filings and to be prepared to handle the matter, including the trial thereof, in the event the applicant is unable to be present on any date scheduled by the court, pursuant to LCR 83.1(d).(DS)
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Filing 40
APPLICATION OF ATTORNEY Chad Weaver FOR LEAVE TO APPEAR PRO HAC VICE for Defendant National Securities Corporation (Fee Paid) Receipt No. AWAWDC-6168692 (Morrison, James)
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Filing 39
STIPULATON AND ORDER to revise scheduling order regarding class certification re parties' #38 Stipulated Motion. Deadline to complete discovery on class certification is 5/4/2020; Deadline for Plaintiffs to file motion for class certification is 6/4/2020. Signed by Judge Ricardo S. Martinez. (PM)
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Filing 38
Stipulated MOTION to Revise Scheduling Order Regarding Class Certification, filed by Defendant National Securities Corporation. Noting Date 1/14/2020, (Morrison, James)
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Filing 37
ORDER re #36 Application for Leave to Appear Pro Hac Vice. The Court ADMITS Attorney Elizabeth G Fellmeth for National Securities Corporation, by Clerk William M McCool. No document associated with this docket entry, text only.NOTE TO COUNSEL: Local counsel agrees to sign all filings and to be prepared to handle the matter, including the trial thereof, in the event the applicant is unable to be present on any date scheduled by the court, pursuant to LCR 83.1(d).(CDA)
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Filing 36
APPLICATION OF ATTORNEY Elizabeth G. Fellmeth FOR LEAVE TO APPEAR PRO HAC VICE for Defendant National Securities Corporation (Fee Paid) Receipt No. 0981-5982947 (Morrison, James)
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Filing 35
STIPULATION AND ORDER to revise scheduling order regarding class certification re parties' #34 Stipulated Motion: Deadline to complete discovery on class certification is 2/3/2020; Deadline for Plaintiffs to file motion for class certification is 3/2/2020. Signed by Judge Ricardo S. Martinez. (SWT)
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Filing 34
Stipulated MOTION to Revise Scheduling Order Regarding Class Certification, filed by Defendant National Securities Corporation. Noting Date 10/3/2019, (Morrison, James)
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Filing 33
SCHEDULING ORDER REGARDING CLASS CERTIFICATION MOTION: Deadline to complete discovery on class certification 11/3/2019. Deadline for Plaintiffs to file motion for class certification 12/3/2019. Signed by Judge Ricardo S. Martinez. (LW)
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Filing 32
JOINT STATUS REPORT signed by all parties estimated Trial Days: 10. (Morrison, James)
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Filing 31
ANSWER to #1 Complaint, by National Securities Corporation.(Greene, Douglas)
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Filing 30
ORDER granting parties' #29 Stipulated Motion to Reset Initial Case Deadlines. FRCP 26f Conference Deadline is 7/15/2019, Initial Disclosure Deadline is 7/22/2019, Joint Status Report due by 7/29/2019, signed by Judge Ricardo S. Martinez. (TH)
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Filing 29
Stipulated MOTION to Reset Initial Case Deadlines, filed by Defendant National Securities Corporation. (Attachments: #1 Proposed Order) Noting Date 6/11/2019, (Morrison, James)
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Filing 28
ORDER denying Defendant National Securities Corporation's #20 Motion to Dismiss. Signed by Judge Ricardo S. Martinez. (PM)
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Filing 27
REPLY, filed by Defendant National Securities Corporation, TO RESPONSE to #20 MOTION to Dismiss (Greene, Douglas)
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Filing 26
RESPONSE, by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey, to #20 MOTION to Dismiss . (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Proposed Order and proof of service)(Neuman, David)
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Filing 25
ORDER re #24 Application for Leave to Appear Pro Hac Vice. The Court ADMITS Attorney Joshua B Kons for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, and for James Ginzkey, by Clerk William M McCool. No document associated with this docket entry, text only.NOTE TO COUNSEL: Local counsel agrees to sign all filings and to be prepared to handle the matter, including the trial thereof, in the event the applicant is unable to be present on any date scheduled by the court, pursuant to LCR 83.1(d).(DS)
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Filing 24
APPLICATION OF ATTORNEY Joshua B. Kons FOR LEAVE TO APPEAR PRO HAC VICE for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey (Fee Paid) Receipt No. 0981-5691357 (Neuman, David)
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Filing 23
ORDER granting parties' #22 Stipulated Motion to Stay Discovery. Discovery shall be stayed until the Court rules on Defendant's motion to dismiss. Signed by Judge Ricardo S. Martinez. (PM)
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Filing 22
Stipulated MOTION to Stay Discovery, filed by Defendant National Securities Corporation. (Attachments: #1 Proposed Order) Noting Date 3/6/2019, (Greene, Douglas)
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Filing 21
CORPORATE DISCLOSURE STATEMENT identifying Corporate Parent National Holdings Corporation, Other Affiliate B. Riley Financial for National Securities Corporation. Filed pursuant to Fed.R.Civ.P 7.1. Filed by National Securities Corporation (Greene, Douglas)
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Filing 20
MOTION to Dismiss , filed by Defendant National Securities Corporation. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Proposed Order) Noting Date 3/22/2019, (Greene, Douglas)
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Filing 19
ORDER granting parties' #18 Stipulated Motion to Extend Initial Case Deadlines: Defendant's Answer or 12(b) Motion Due 2/28/2019,FRCP 26f Conference Deadline is 3/6/2019, Initial Disclosure Deadline is 3/12/2019, Joint Status Report due by 3/20/2019. Signed by Judge Ricardo S. Martinez.(LW)
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Filing 18
Stipulated MOTION to Extend Initial Case Deadlines, filed by Defendant National Securities Corporation. (Attachments: #1 Proposed Order) Noting Date 2/13/2019, (Greene, Douglas)
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Filing 17
ORDER granting parties' #11 Stipulated Motion to Extend Initial Case Deadlines. National Securities Corporation answer or 12(b) Motion due 2/13/2019, FRCP 26f Conference Deadline is 2/19/2019, Initial Disclosure Deadline is 2/25/2019, Combined Joint Status Report and Discovery Plan due by 3/4/2019. Signed by Judge Ricardo S. Martinez. (PM)
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Filing 16
ORDER re #13 Application. The Court ADMITS Attorney Danilo (Daniel) Buzzetta for Defendant National Securities Corporation, by Clerk William M McCool. No document associated with this docket entry, text only.NOTE TO COUNSEL: Local counsel agrees to sign all filings and to be prepared to handle the matter, including the trial thereof, in the event the applicant is unable to be present on any date scheduled by the court, pursuant to LCR 83.1(d).(DS)
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Filing 15
NOTICE of Appearance by attorney James Raymond Morrison on behalf of Defendant National Securities Corporation. (Morrison, James)
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Filing 14
NOTICE of Appearance by attorney Douglas W Greene on behalf of Defendant National Securities Corporation. (Greene, Douglas)
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Filing 13
APPLICATION OF ATTORNEY Danilo (Daniel) J. Buzzetta FOR LEAVE TO APPEAR PRO HAC VICE by Defendant National Securities Corporation Receipt No. 26EP5NQ6 (Greene, Douglas)
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Filing 12
APPLICATION OF ATTORNEY Danilo (Daniel) J. Buzzetta FOR LEAVE TO APPEAR PRO HAC VICE for Defendant National Securities Corporation (Fee Paid) Receipt No. 0981-5614700 (Greene, Douglas)
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Filing 11
Stipulated MOTION to Extend Initial Case Deadlines, filed by Defendant National Securities Corporation. (Attachments: #1 Proposed Order) Noting Date 1/15/2019, (Greene, Douglas)
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Filing 10
AFFIDAVIT of Service of Summons and Complaint on National Securities Corp. on 12/14/2018, filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. (Neuman, David)
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Filing 9
ORDER REGARDING INITIAL DISCLOSURES AND JOINT STATUS REPORT Joint Status Report due by 1/31/2019, FRCP 26f Conference Deadline is 1/17/2019, Initial Disclosure Deadline is 1/24/2019, by Judge Ricardo S. Martinez. (LW)
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Filing 8
Summons(es) Electronically Issued as to defendant(s) National Securities Corporation (SNP)
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Filing 7
ORDER re #4 Application for Leave to Appear Pro Hac Vice. The Court ADMITS Attorney Joseph Wojciechowski for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, and for James Ginzkey, by Clerk William M McCool. No document associated with this docket entry, text only.NOTE TO COUNSEL: Local counsel agrees to sign all filings and to be prepared to handle the matter, including the trial thereof, in the event the applicant is unable to be present on any date scheduled by the court, pursuant to LCR 83.1(d).(DS)
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Filing 6
ORDER re #3 Application for Leave to Appear Pro Hac Vice. The Court ADMITS Attorney Alexander N Loftus for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, and s for James Ginzkey, by Clerk William M McCool. No document associated with this docket entry, text only.NOTE TO COUNSEL: Local counsel agrees to sign all filings and to be prepared to handle the matter, including the trial thereof, in the event the applicant is unable to be present on any date scheduled by the court, pursuant to LCR 83.1(d).(DS)
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Judge Ricardo S. Martinez added. (SNP)
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Filing 5
SUMMONS CIVIL COVER SHEET re #1 Complaint, ; filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. (Neuman, David) Modified on 12/11/2018 to correct the name of the document to a Summons instead of a Civil Cover Sheet(SNP).
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Filing 4
APPLICATION OF ATTORNEY Joseph Wojciechowski FOR LEAVE TO APPEAR PRO HAC VICE for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey (Fee Paid) Receipt No. 0981-5575633 (Neuman, David)
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Filing 3
APPLICATION OF ATTORNEY Alexander Loftus FOR LEAVE TO APPEAR PRO HAC VICE for Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey (Fee Paid) Receipt No. 0981-5575632 (Neuman, David)
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Filing 2
CIVIL COVER SHEET ; filed by Plaintiffs Charles Cerf, Barry Donner, Richard Fitzgerald, James Ginzkey. (Neuman, David)
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Filing 1
COMPLAINT against defendant(s) National Securities Corporation with JURY DEMAND (Receipt # 0981-5575572) Attorney David P Neuman added to party Charles Cerf(pty:pla), Attorney David P Neuman added to party Barry Donner(pty:pla), Attorney David P Neuman added to party Richard Fitzgerald(pty:pla), Attorney David P Neuman added to party James Ginzkey(pty:pla), filed by Charles Cerf, Richard Fitzgerald, James Ginzkey, Barry Donner.(Neuman, David)
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