U.S. District Court District of Nebraska (8 Omaha) CIVIL DOCKET FOR CASE #: 8:14-cv JFB-SMB

Transcription

1 US District Court Civil Docket as of April 26, 2018 Retrieved from the court on April 26, 2018 U.S. District Court District of Nebraska (8 Omaha) CIVIL DOCKET FOR CASE #: 8:14-cv JFB-SMB Klein v. TD Ameritrade Holding Corporation, et al Assigned to: Senior Judge Joseph F. Bataillon Referred to: Magistrate Judge Susan M. Bazis Case in other court: New Jersey, 3:14-cv Cause: 15:78m(a) Securities Exchange Act Date Filed: 12/02/2014 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff Gerald J. Klein on behalf of himself and all similarly situated represented by Christopher J. Kupka LEVI, KORSINSKY LAW FIRM - NEW YORK 30 Broad Street 24th Floor New York, NY (212) Fax: (866) ckupka@zlk.com Eduard Korsinsky LEVI, KORSINSKY LAW FIRM - NEW YORK 30 Broad Street 24th Floor New York, NY (202) Fax: (866) ek@zlk.com Gregory C. Scaglione KOLEY, JESSEN LAW FIRM 1125 South 103rd Street Suite 800, One Pacific Place Omaha, NE (402) Fax: (402) greg.scaglione@koleyjessen.com

2 Joseph J. DePalma LITE, DEPALMA LAW FIRM - NEWARK 570 Broad Street Suite 1201 Newark, NJ (973) Fax: (973) jdepalma@litedepalma.com Katrina Carroll LITE, DEPALMA LAW FIRM - CHICAGO 211 West Wacker Drive Suite 500 Chicago, IL (312) Fax: (973) kcarroll@litedepalma.com TERMINATED: 04/29/2015 Nancy A. Kulesa LEVI, KORSINSKY LAW FIRM - STAMFORD 733 Summer Street Suite 304 Stamford, CT (212) Fax: (866) nkulesa@zlk.com Nicholas Porritt LEVI, KORSINSKY LAW FIRM - WASHINGTON th Street N.W. Suite 115 Washington, DC (202) Fax: (202) nporritt@zlk.com

3 Patrice D. Ott KOLEY, JESSEN LAW FIRM 1125 South 103rd Street Suite 800, One Pacific Place Omaha, NE (402) Fax: (402) Sebastiano Tornatore LEVI, KORSINSKY LAW FIRM - STAMFORD 733 Summer Street Suite 304 Stamford, CT (212) Fax: (866) stornatore@zlk.com V. Defendant TD Ameritrade Holding Corporation represented by A. Robert Pietrzak SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY (212) Fax: (212) rpietrzak@sidley.com Alex J. Kaplan SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY (212) Fax: (212) ajkaplan@sidley.com Daniel A. McLaughlin SIDLEY, AUSTIN LAW FIRM - NEW YORK

4 787 7th Avenue New York, NY (212) Fax: (212) Donald A. Robinson ROBINSON, WETTRE LAW FIRM One Newark Center 19th Floor Newark, NJ (973) Fax: (973) TERMINATED: 12/09/2014 Eamon P. Joyce SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY (212) Fax: (212) ejoyce@sidley.com Jackie A. Lu SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY (212) Fax: (212) jlu@sidley.com TERMINATED: 07/12/2016 Jon Muenz SIDLEY, AUSTIN LAW FIRM - NEW YORK 787 7th Avenue New York, NY (212) Fax: (212) jmuenz@sidley.com

5 Leda D. Wettre ROBINSON, WETTRE LAW FIRM One Newark Center 19th Floor Newark, NJ (973) Fax: (973) TERMINATED: 12/09/2014 Thomas H. Dahlk KUTAK, ROCK LAW FIRM - OMAHA 1650 Farnam Street Omaha, NE (402) Fax: (402) tom.dahlk@kutakrock.com Victoria H. Buter KUTAK, ROCK LAW FIRM - OMAHA 1650 Farnam Street Omaha, NE (402) Fax: (402) vicki.buter@kutakrock.com Defendant TD Ameritrade, Inc. represented by A. Robert Pietrzak Alex J. Kaplan Daniel A. McLaughlin Donald A. Robinson TERMINATED: 12/09/2014 Eamon P. Joyce

6 Jackie A. Lu TERMINATED: 07/12/2016 Jon Muenz Leda D. Wettre TERMINATED: 12/09/2014 Thomas H. Dahlk Victoria H. Buter Defendant Fredric Tomczyk represented by A. Robert Pietrzak Alex J. Kaplan Daniel A. McLaughlin Donald A. Robinson TERMINATED: 12/09/2014 Eamon P. Joyce Jackie A. Lu

7 TERMINATED: 07/12/2016 Jon Muenz Leda D. Wettre TERMINATED: 12/09/2014 Thomas H. Dahlk Victoria H. Buter Movant Kwok L. Shum TERMINATED: 11/15/2016 represented by Christopher J. Kupka Eduard Korsinsky Gregory C. Scaglione Joseph J. DePalma Katrina Carroll TERMINATED: 04/29/2015 Nancy A. Kulesa

8 Sebastiano Tornatore Movant Roderick Ford represented by Christopher J. Kupka Eduard Korsinsky Gregory C. Scaglione Joseph J. DePalma Katrina Carroll TERMINATED: 04/29/2015 Nancy A. Kulesa Sebastiano Tornatore V. Interested Party PSLRA Class represented by Gregory C. Scaglione

9 Date Filed # Docket Text 09/15/ COMPLAINT against FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. ( Filing and Admin fee $ 400 receipt number ) with JURY DEMAND, filed by GERALD J. KLEIN. (Attachments: # 1 Certification, # 2 Civil Cover Sheet, # 3 Certification of Non-Arbitrability)(mak) [Transferred from New Jersey on 12/2/2014.] (Entered: 09/16/2014) 09/16/ SUMMONS ISSUED as to FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. Issued By *Marlene Kalbach* (mak) [Transferred from New Jersey on 12/2/2014.] (Entered: 09/16/2014) 10/02/ NOTICE of Appearance by DONALD A. ROBINSON on behalf of FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014) 10/02/ SUMMONS Returned Executed by GERALD J. KLEIN. TD AMERITRADE, INC. served on 9/22/2014, answer due 10/14/2014. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014) 10/02/ SUMMONS Returned Executed by GERALD J. KLEIN. FREDRIC TOMCZYK served on 9/22/2014, answer due 10/14/2014. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014) 10/02/ SUMMONS Returned Executed by GERALD J. KLEIN. TD AMERITRADE HOLDING CORPORATION served on 9/22/2014, answer due 10/14/2014. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/02/2014) 10/08/ Letter from Donald Robinson to Judge Shipp re proposed Consent Scheduling Order. (Attachments: # 1 Proposed Consent Scheduling Order)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/08/2014) 10/09/ CONSENT SCHEDULING ORDER: Ordering that the time for Defendants to answer, move or otherwise respond to the Complaint is adjourned; Ordering that within 60 days of appointment of lead plaintiff and lead counsel, lead Plaintiff shall file an Amended Complaint or notify defendants that it intends to rest on initial complaint; Ordering that Defendants then have 60 days to answer, move or otherwise respond to the Complaint. Signed by Magistrate Judge Lois H. Goodman on 10/9/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/09/2014) 10/17/ APPLICATION/PETITION for pro hac vice admissions (with consent) for by FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC.. (Attachments: # 1 Declaration of Donald Robinson,

10 # 2 Declaration of A. Robert Pietrzak, # 3 Declaration of Alex J. Kaplan, # 4 Declaration of Jackie A. Lu, # 5 Text of Proposed Order)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/17/2014) 10/20/ ORDER granting leave to appear pro hac vice as to A. Rovert Pietrzak, Esq., Alex J. Kaplan, Esq. and Jackie A. Lu, Esq. Signed by Magistrate Judge Lois H. Goodman on 10/20/2014. (eaj) Modified on 10/29/2014 (dm). [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014) 10/20/ NOTICE of Appearance by LEDA DUNN WETTRE on behalf of FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC. (WETTRE, LEDA) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014) 10/20/ Notice of Request by Pro Hac Vice A. Robert Pietrzak, Esq. to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number ) (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014) 10/20/ Notice of Request by Pro Hac Vice Alex J. Kaplan, Esq. to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number ) (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014) 10/20/ Notice of Request by Pro Hac Vice Jackie A. Lu, Esq. to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number ) (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/20/2014) 10/21/2014 Pro Hac Vice counsel, ALEX J. KAPLAN, JACKIE A LU and A. ROBERT PIETRZAK, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R , only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/21/2014) 10/21/ NOTICE of Appearance by KATRINA CARROLL on behalf of GERALD J. KLEIN (CARROLL, KATRINA) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/21/2014) 10/22/ APPLICATION/PETITION for Pro Hac Vice Admission of Nancy A. Kulesa and Christopher J. Kupka for by GERALD J. KLEIN. (Attachments: # 1 Certification of Joseph J. DePalma, # 2 Certification of Nancy A. Kulesa, # 3 Certification Christopher J. Kupka, # 4 Text of Proposed Order)(DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/22/2014) 10/27/ ORDER granting leave to appear pro hac vice as to Nancy A. Kulesa and Christopher J. Kupka. Signed by Magistrate Judge Lois H. Goodman on 10/24/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 10/27/2014)

11 11/07/ Corporate Disclosure Statement by TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC.. (ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/07/2014) 11/07/ MOTION to Transfer Case to District of Nebraska by FREDRIC TOMCZYK, TD AMERITRADE HOLDING CORPORATION, TD AMERITRADE, INC.. (Attachments: # 1 Brief In Support of Motion to Transfer, # 2 Declaration of Donald Robinson, # 3 Exhibit A to Robinson Declaration, # 4 Exhibit B to Robinson Declaration, # 5 Exhibit C to Robinson Declaration, # 6 Exhibit D to Robinson Declaration, # 7 Exhibit E to Robinson Declaration, # 8 Exhibit F to Robinson Declaration, # 9 Exhibit G to Robinson Declaration, # 10 Exhibit H to Robinson Declaration, # 11 Exhibit I to Robinson Declaration, # 12 Exhibit J to Robinson Declaration, # 13 Exhibit K to Robinson Declaration, # 14 Exhibit L to Robinson Declaration, # 15 Declaration of Felix Davidson, # 16 Text of Proposed Order)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/07/2014) 11/10/2014 Set Deadlines as to 19 MOTION to Transfer Case to District of Nebraska. Motion set for 12/1/2014 before Judge Michael A. Shipp. The motion will be decided on the papers. No appearances required unless notified by the court. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/10/2014) 11/14/ Letter from Joseph J. DePalma enclosing Joint Stipulation and Order Amending Briefing Schedule. (Attachments: # 1 Joint Stipulation and Order Amending Briefing Schedule on Defendants' Motion to Transfer)(DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/14/2014) 11/17/ JOINT STIPULATION AND ORDER Amending Briefing Schedule on Defendants' Motion to Transfer. Signed by Judge Michael A. Shipp on 11/17/2014. (mmh) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/17/2014) 11/17/2014 Reset Deadlines as to 19 MOTION to Transfer Case to District of Nebraska. Motion reset for 12/15/2014 before Judge Michael A. Shipp. The motion will be decided on the papers. No appearances required unless notified by the court. (mmh) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/17/2014) 11/17/ MOTION to Appoint Lead Plaintiff Notice of Motion of The Shum Group for Appointment as Lead Plaintiff and Approval of Selection of Counsel by Kwok L. Shum, RODERICK FORD. (Attachments: # 1 Brief Memorandum of Law in Support of Motion of The Shum Group For Appointment as Lead Plaintiff and Approval of Selection of Counsel, # 2 Declaration of Joseph J. DePalma, # 3 Exhibit A,

12 # 4 Exhibit B, # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E, # 8 Text of Proposed Order)(DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/17/2014) 11/18/2014 Set Deadlines as to 22 MOTION to Appoint Lead Plaintiff Notice of Motion of The Shum Group for Appointment as Lead Plaintiff and Approval of Selection of Counsel. Motion set for 12/15/2014 before Judge Michael A. Shipp. The motion will be decided on the papers. No appearances required unless notified by the court. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/18/2014) 11/19/2014 Pro Hac Vice fee received as to Nancy A. Kulesa and Christopher J. Kupka: $ 300, receipt number TRE (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014) 11/19/ Notice of Request by Pro Hac Vice NANCY A. KULESA to receive Notices of Electronic Filings. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014) 11/19/ Notice of Request by Pro Hac Vice CHRISTOPHER J. KUPKA to receive Notices of Electronic Filings. (DEPALMA, JOSEPH) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014) 11/19/2014 Pro Hac Vice counsel, NANCY A. KULESA and CHRISTOPHER J. KUPKA, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R , only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/19/2014) 11/24/ Letter from Donald Robinson to Judge Shipp on behalf of all parties. (Attachments: # 1 Text of Proposed Order re Motion to Transfer, # 2 Text of Proposed Order re Appointing Lead Counsel)(ROBINSON, DONALD) [Transferred from New Jersey on 12/2/2014.] (Entered: 11/24/2014) 12/02/ ORDER granting 19 Defendants' Motion to Transfer Case to NEBRASKA (USCA Electronically Notified). Signed by Judge Michael A. Shipp on 12/1/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 12/02/2014) 12/02/ ORDER granting 22 the Shum Groups Motion Appoint Lead Plaintiff; Law Firm Levi & Korsinsky LLP to serve as Lead Counsel and Lite DePalma Greenberg, LLC to serve as Liaison Counsel.. Signed by Judge Michael A. Shipp on 12/1/2014. (eaj) [Transferred from New Jersey on 12/2/2014.] (Entered: 12/02/2014) 12/02/ Case transferred in from District of New Jersey; Case Number 3:14-cv Original electronic file received. (Entered: 12/02/2014) 12/03/ TEXT NOTICE OF JUDGES ASSIGNED: Senior Judge Joseph F. Bataillon and Magistrate Judge Thomas D. Thalken assigned. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Robert A. Pietrzak has not registered for admittance to practice. If the requested action is not taken within fifteen (15)

13 days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Jackie A. Lu has not registered for admittance to practice. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Alex Kaplan has not registered for admittance to practice. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ NOTICE of Appearance by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk (Buter, Victoria) (Entered: 12/03/2014) 12/03/ NOTICE of Appearance by Attorney Thomas H. Dahlk on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk (Dahlk, Thomas) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Leda D. Wettre has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Sebastiano Tornatore has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Donald A. Robinson has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Christopher J. Kupka has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Nancy A. Kulesa has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Eduard Korisnsky has not registered for admittance to practice or registered for the system. If the requested action is not

14 taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Joseph J. DePalma has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ ATTORNEY LETTER by Clerk that Attorney Katrina Carroll has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (GJG) (Entered: 12/03/2014) 12/03/ TEXT NOTICE REGARDING CORPORATE DISCLOSURE STATEMENT by Deputy Clerk as to Defendants TD Ameritrade Holding Corporation,and TD Ameritrade, Inc. Pursuant to Fed. R. Civ. P. 7.1, non-governmental corporate parties are required to file Corporate Disclosure Statements (Statements). The parties shall use the form Corporate Disclosure Statement, available on the Web site of the court at If you have not filed your Statement, you must do so within 15 days of the date of this notice. If you have already filed your Statement in this case, you are reminded to file a Supplemental Statement within a reasonable time of any change in the information that the statement requires.(gjg) (Entered: 12/03/2014) 12/09/ CORPORATE DISCLOSURE STATEMENT pursuant to Fed. R. Civ. P. 7.1 by Attorney Victoria H. Buter on behalf of Defendants Fredric Tomczyk, TD Ameritrade, Inc., TD Ameritrade Holding Corporation.(Buter, Victoria) (Entered: 12/09/2014) 12/09/ APPLICATION/ORDER admitting pro hac vice Attorney Alex J. Kaplan for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc. and Fredric Tomczyk. Ordered by Deputy Clerk. (MKR) (Entered: 12/09/2014) 12/09/ APPLICATION/ORDER admitting pro hac vice Attorney Robert A. Pietrzak for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. Ordered by Deputy Clerk. (MKR, (Entered: 12/09/2014) 12/09/ APPLICATION/ORDER admitting pro hac vice Attorney Jackie A. Lu for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc. and Fredric Tomczyk. Ordered by Deputy Clerk. (MKR) (Entered: 12/09/2014) 12/09/ MOTION to Withdraw as Attorney on Behalf of Donald A. Robinson and Leda D. Wettre by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/09/2014) 12/09/ TEXT ORDER granting 48 Motion to Withdraw as Attorney. For good cause shown pursuant to NEGenR 1.3(f), Donald A. Robinson and Leda D. Wettre are granted leave to withdraw as counsel for the defendants. Other counsel remains for the defendants. The Clerk of Court shall stop all electronic notices to withdrawing

15 counsel regarding this case. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 12/09/2014) 12/11/ MOTION to Consolidate Cases by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/11/2014) 12/11/ BRIEF in support of MOTION to Consolidate Cases 50 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/11/2014) 12/15/ APPLICATION/ORDER admitting pro hac vice Attorney Nancy A. Kulesa for Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/15/2014) 12/15/ APPLICATION/ORDER admitting pro hac vice Attorney Sebastiano Tornatore for Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/15/2014) 12/18/ APPLICATION/ORDER admitting pro hac vice Attorney Christopher J. Kupka for Movants Roderick Ford, Kwok L. Shum and Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/18/2014) 12/18/ APPLICATION/ORDER admitting pro hac vice Attorney Eduard Korisnsky for Movants Roderick Ford, Kwok L. Shum and Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 12/18/2014) 12/23/ MOTION to Extend Time to File and Serve an Omnibus Reply in Further Support of Their MOTION to Consolidate Cases 50 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/23/2014) 12/24/ TEXT ORDER granting 56 Motion for Extension of Time. The TD Ameritrade defendants shall have until January 8, 2015, to file an omnibus reply in further support of their consolidation motions. Ordered by Magistrate Judge Thomas D. Thalken. (BJC) (Entered: 12/24/2014) 12/29/ NOTICE of Appearance by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein (Scaglione, Gregory) (Entered: 12/29/2014) 12/29/ Mail Returned as Undeliverable addressed to Eduard Korsinsky regarding Attorney Letter 40. Mail resent to 30 Broad Street, 24th Floor, New York, NY (MKR) (Entered: 12/29/2014) 12/29/ Mail Returned as Undeliverable addressed to Eduard Korsinsky regarding Order on Motion to Withdraw as Attorney, 49. resent to (MKR) (Entered: 12/29/2014) 12/29/ Mail Returned as Undeliverable addressed to Christopher J. Kupka resent to (MKR) (Entered: 12/29/2014) 12/29/ Mail Returned as Undeliverable addressed to Sebastiano Tornatore regarding Order on Motion to Withdraw as Attorney, 49. resent to (MKR) (Entered: 12/29/2014)

16 12/29/ Mail Returned as Undeliverable addressed to Sebastiano Tornatore regarding Attorney Letter, 36. resent to (MKR) (Entered: 12/29/2014) 12/29/ Mail Returned as Undeliverable addressed to Christopher Kupka regarding Attorney Letter, 38. resent to (MKR) (Entered: 12/29/2014) 12/29/ REPLY regarding MOTION to Consolidate Cases 50 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Interested Party PSLRA Class.(Scaglione, Gregory) (Entered: 12/29/2014) 12/30/ NOTICE of Appearance by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Interested Party PSLRA Class (Scaglione, Gregory) (Entered: 12/30/2014) 01/07/ APPLICATION/ORDER admitting pro hac vice Attorney Joseph J. DePalma for Movants Roderick Ford, Kwok L. Shum and Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 01/07/2015) 01/08/ REPLY BRIEF in support of MOTION to Consolidate Cases 50 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 01/08/2015) 02/26/ ORDER that the Zola plaintiffs' Motion to Coordinate with Verdiak [sic], Lerner, and Sarbacker or, in the Alternative, to Appoint Zola's Counsel as Lead Counsel in a Consolidated Action (Filing No. 25 in Case 8:14CV288) is denied. The Verdieck and Lerner plaintiffs' Joint Motion to appoint Finkelstein & Krinsk, Blood Hurst & O'Reardon, and Robbins Arroyo as Interim Class Counsel (Filing No. 21 in Case 8:14CV289 and Filing No. 23 in Case 8:14CV325) is denied. The Sarbacker plaintiff's Motion to Consolidate the Four Related Actions Against TD Ameritrade (Filing No. 12 in Case 8:14CV341) is denied. The Sarbacker plaintiff's Motion to Appoint Plaintiff Michael Sarbacker as Lead Plaintiff and Robbins Geller Rudman & Dowd LLP as Lead Counsel (Filing No. 18 in Case 8:14CV341) is denied. The defendants' Motion to Consolidate (Filing No. 32 in Case 8:14CV288; Filing No. 29 in Case 8:14CV289; Filing No. 31 in Case 8:14CV325; Filing No. 38 in Case 8:14CV341; and Filing No. 50 in Case 8:14CV396) is denied. The defendants shall have to on or before March 19, 2015, to file answers or otherwise respond to the complaints in each action. Ordered by Magistrate Judge Thomas D. Thalken. (JSF) (Entered: 02/26/2015) 03/19/ MOTION for Extension of Time to File a Responsive Pleading or Otherwise Respond to Plaintiff's Complaint by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/19/2015) 03/19/ TEXT ORDER granting 70 Motion for Extension of Time to File a Responsive Pleading. The defendants shall have an extension of time until March 24, 2015, to answer or otherwise respond to the plaintiff's Complaint 1. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) Modified on 3/19/2015 to reflect copy mailed (MKR). (Entered: 03/19/2015) 03/24/ MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice by Attorney Victoria H. Buter on behalf of Defendants TD

17 Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/24/2015) 03/24/ BRIEF in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 72 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/24/2015) 03/24/ INDEX in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 72 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit Declaration of Alex Kaplan, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D)(Buter, Victoria) (Entered: 03/24/2015) 04/14/ AMENDED COMPLAINT against Defendant Gerald J. Klein, by Attorney Gregory C. Scaglione on behalf of Gerald J. Klein (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Scaglione, Gregory) (Entered: 04/14/2015) 04/23/ ORDER TO SHOW CAUSE that, on or before May 11, 2015, Attorney Katrina Carroll is to register or show cause by written affidavit why she cannot comply with the rules of the court. Failure to comply with this order will result in Ms. Carroll being removed as counsel of record for the plaintiff. Show Cause Deadline set for 5/11/2015.Ordered by Magistrate Judge Thomas D. Thalken. (Copies mailed to Katrina Carroll)(MKR) (Entered: 04/23/2015) 04/29/ MOTION (Notice) to Withdraw as Attorney by Attorney Katrina Carroll on behalf of Plaintiff Gerald J. Klein. (MKR) (Entered: 04/29/2015) 04/29/ TEXT ORDER granting 77 Motion to Withdraw as Attorney. For good cause shown pursuant to NEGenR 1.3(f), Katrina Carroll is granted leave to withdraw as counsel for the plaintiff. Other counsel remains for the plaintiff. The Clerk of Court shall stop all electronic notices to withdrawing counsel regarding this case. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 04/29/2015) 05/01/ MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/01/2015) 05/01/ BRIEF in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/01/2015) 05/01/ INDEX in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc.,

18 Fredric Tomczyk. (Attachments: # 1 Exhibit 1 Declaration of Alex Kaplan, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C)(Buter, Victoria) (Entered: 05/01/2015) 05/04/ TEXT ORDER denying as moot 72 Motion to Dismiss for Failure to State a Claim. Ordered by Senior Judge Joseph F. Bataillon. (ADB) (Entered: 05/04/2015) 05/20/ UNOPPOSED MOTION to Extend Time to file an Opposition to Defendants' Motion to Dismiss Plaintiff's Amended Complaint by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 05/20/2015) 05/21/ TEXT ORDER granting 83 the plaintiff's Unopposed Motion for Extension of Time. The plaintiff shall have until June 16, 2015, to file a response to the defendants' Motion to Dismiss 79. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 05/21/2015) 06/12/ JOINT MOTION to Extend Time to File Opposition to Defendants Motion to Dismiss Amended Complaint and Defendants' Reply by Attorney Nancy A. Kulesa on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Kulesa, Nancy) (Entered: 06/12/2015) 06/15/ TEXT ORDER granting 85 the parties' Joint Motion for Extension of Time. The plaintiffs shall have until June 23, 2015, to respond to the defendants' Motion to Dismiss Putative Amended Class Action Complaint 79. The defendants shall have until July 17, 2015, to file a reply. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 06/15/2015) 06/23/ BRIEF in opposition to MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 06/23/2015) 06/23/ INDEX in opposition to MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein. (Attachments: # 1 Exhibit 1, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I)(Scaglione, Gregory) (Entered: 06/23/2015) 06/26/ NOTICE of Change of Address Lite DePalma Greenberg, LLC by Attorney Joseph J. DePalma on behalf of Plaintiff Gerald J. Klein (DePalma, Joseph) (Entered: 06/26/2015)

19 06/30/ UNOPPOSED MOTION for Leave TO FILE CORRECTED INDEX OF EVIDENCE WITH SUBSTITUTED EXHIBITS by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 06/30/2015) 06/30/ INDEX in support of UNOPPOSED MOTION for Leave TO FILE CORRECTED INDEX OF EVIDENCE WITH SUBSTITUTED EXHIBITS 90 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit 1, # 2 Exhibit A)(Buter, Victoria) (Entered: 06/30/2015) 06/30/ TEXT ORDER granting 90 Unopposed Motion for Leave to File Corrected Index of Evidence with Substituted Exhibits. The defendants may file the corrected index of evidence. Ordered by Magistrate Judge Thomas D. Thalken. (BJC) (Entered: 06/30/2015) 06/30/ INDEX in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit 1 Declaration of Alex J. Kaplan, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C)(Buter, Victoria) (Entered: 06/30/2015) 07/17/ REPLY BRIEF in support of MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 07/17/2015) 10/23/ FINDINGS AND RECOMMENDATION to Senior Judge Joseph F. Bataillon that defendants' MOTION TO Dismiss Putative Amended Class Action Complaint and Request to Take Judicial Notice 79 be granted. ADMONITION- Pursuant to NECivR 72.2 any objection to this Report and Recommendation shall be filed with the Clerk of the Court within fourteen (14) days after being served with a copy of this Report and Recommendation. Failure to timely object may constitute a waiver of any objection. The brief in support of any objection shall be filed at the time of filing such objection. Failure to file a brief in support of any objection may be deemed an abandonment of the objection. THE PARTIES ARE FURTHER ADMONISHED: For this matter the court is imposing page limitations and other specifications. The plaintiff and the defendant each may not exceed 25 pages for briefs in support of (inclusive of any reply brief) or opposition to any objection pursuant to NECivR The page limit includes optional use of a table of contents and authorities. All margins shall be one-inch on sides, top, and bottom. The page limit excludes the case caption and notice of service, which should exceed no more than one-half page at the beginning and end of the brief, respectively. Each page of a brief shall contain double- spaced text and single spaced footnotes. Typeface text shall be in 12-point Arial font. Footnote text may use 10-point font. Ordered by Magistrate Judge Thomas D. Thalken. (MKR) (Entered: 10/23/2015)

20 11/09/ OBJECTION TO THE FINDINGS AND RECOMMENDATION that MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM and Request to Take Judicial Notice 79 be granted 95 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) Modified on 11/13/2015 to correct event type from Statement to Objection (MKR). (Entered: 11/09/2015) 11/09/ BRIEF in support of Statement, 96 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum, Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 11/09/2015) 11/12/ UNOPPOSED MOTION to Extend Time to File Brief in Opposition to Plaintiff's Objections to Magistrate Judge's Findings and Recommendations Statement, 96 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 11/12/2015) 11/13/ TEXT ORDER granting 98 the defendants' Unopposed Motion for Extension of Time. The defendants shall have until December 10, 2015, to file a response to the plaintiffs' Objections 96 to Magistrate Judge's Findings and Recommendation 95. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 11/13/2015) 12/07/ NOTICE of Additional Authority by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein (Attachments: # 1 Exhibit A)(Scaglione, Gregory) (Entered: 12/07/2015) 12/10/ BRIEF in opposition to OBJECTION to 96, Brief 97 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 12/10/2015) 12/17/ REPLY BRIEF in support of OBJECTION to 96 by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 12/17/2015) 12/31/ MOTION for Oral Argument by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 12/31/2015) 03/23/ MEMORANDUM AND ORDER - IT IS ORDERED: The objections filed by plaintiffs Zola, Verdieck, Lerner, and Sarbacker (Filing No. 53 in Zola, No. 8:14CV288, Filing No. 53 in Verdieck, No. 8:14CV289, Filing No. 55 in Lerner, No. 8:14CV325, and Filing No. 66 in Sarbacker, 8:14CV341) are overruled. Plaintiff Klein's objections (Filing No. 96 in Klein, No. 8:14CV396), are overruled in part and sustained in part as set forth in this order. The Findings and Recommendation of the United States Magistrate Judge (Filing No. 52 in Zola, No. 8:14CV288, Filing No. 52 in Verdieck, No. 8:14CV289, Filing No. 54 in Lerner, No. 8:14CV325, Filing No. 64 in Sarbacker, 8:14CV341, and Filing No. 95 in Klein, No. 8:14CV396) are adopted with respect to the SLUSA preclusion issue, and rejected in all other respects. The defendants' motions to dismiss (Filing No. 44 in Zola, No. 8:14CV288, Filing No. 44 in Verdieck, 8:14CV289, Filing No. 47 in Lerner, No. 8:14CV325, and Filing No. 54 in Sarbacker, No. 8:14CV341) are granted. The plaintiffs' state law class action claims are dismissed in Zola, No. 8:14CV288; Verdieck, 8:14CV289; Lerner, No. 8:14CV325; and Sarbacker, No. 8:14CV341. The plaintiffs are granted leave to file amended complaints within 21 days of the date of this order. Defendant TD Ameritrade's motion to dismiss (Filing

21 No. 79 in Klein, 8:14CV396) is granted with respect to the plaintiff's state-law claims and denied with respect to the federal securities fraud claim. Ordered by Senior Judge Joseph F. Bataillon. (TCL ) (Entered: 03/23/2016) 03/31/ MOTION for Extension of Time to File a Responsive Pleading by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 03/31/2016) 04/01/ TEXT ORDER granting 105 the defendants' Motion for Extension on Time to Answer the Klein Plaintiffs' Amended Complaint. Considering the plaintiff's opposition and justification for a short extension, the defendants shall have until May 6, 2016, to file an Answer in response to the plaintiff's Amended Class Action Complaint for Violation of Federal Securities Laws 75. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 04/01/2016) 05/06/ ANSWER to Complaint (Amended) by TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk (Buter, Victoria) (Entered: 05/06/2016) 05/09/ SCHEDULING LETTER setting Rule 26 Meeting Report Deadline for May 31, Please use the "Form 35 (Rule 26(f)) Report" posted on the court's website, Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 05/09/2016) 05/24/ MOTION to Stay Pending Appeal by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/24/2016) 05/24/ BRIEF in support of MOTION to Stay Pending Appeal 109 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/24/2016) 05/24/ MOTION to Continue Rule 26(f) Planning Report Deadline by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 05/24/2016) 05/24/ INDEX in support of MOTION to Stay Pending Appeal 109, MOTION to Continue Rule 26(f) Planning Report Deadline 111 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Exhibit A Declaration of Alex J. Kaplan)(Buter, Victoria) (Entered: 05/24/2016) 05/24/ TEXT ORDER granting 111 the defendants' Motion for Continuance of Rule 26(f) Planning Report Deadline. The parties shall have ten (10) days from the date the court resolves the defendants' Motion to Stay Pending Appeal 109 in which to file a planning report with the court pursuant to Federal Rule of Civil Procedure 26(f). Future documents filed in this matter shall conform to the unconsolidated single caption format required by the local rules. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 05/24/2016) 06/07/ BRIEF in opposition to MOTION to Stay Pending Appeal 109 by Attorney Gregory C. Scaglione on behalf of Plaintiff Gerald J. Klein.(Scaglione, Gregory) (Entered: 06/07/2016)

22 06/13/ REPLY BRIEF in support of MOTION to Stay Pending Appeal 109 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 06/13/2016) 07/01/ ORDER denying the defendant's 109 Motion to Stay Pending Appeal. The parties shall have until July 15, 2016, to meet, confer, and file a planning report as required by Fed.R.Civ.P.26(f). Ordered by Magistrate Judge Thomas D. Thalken. (MKR) (Entered: 07/01/2016) 07/12/ MOTION to Withdraw as Attorney on behalf of Jackie Lu by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 07/12/2016) 07/12/ TEXT ORDER granting 117 Motion to Withdraw on Behalf of Jackie A. Lu. For good cause shown pursuant to NEGenR 1.3(f), Jackie A. Lu is granted leave to withdraw as counsel for the defendants. Other counsel remains for the defendants. The Clerk of Court shall stop all electronic notices to withdrawing counsel regarding this case. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 07/12/2016) 07/13/ UNOPPOSED MOTION to Extend Time to Meet, Confer, and File Planning Report as Required by Fed. R. Civ. P. 26(f) by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 07/13/2016) 07/13/ TEXT ORDER granting 119 the defendants' unopposed Motion for Extension of Time. The parties shall have an extension until July 29, 2016, to meet, confer, and report to the court pursuant to Fed. R. Civ. P. 26(f). Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 07/13/2016) 07/29/ APPLICATION/ORDER admitting pro hac vice Attorney Nicholas Porritt for Plaintiff Gerald J. Klein. Ordered by Deputy Clerk. (MKR) (Entered: 07/29/2016) 07/29/ REPORT of Rule 26(f) Planning Meeting by Attorney Nancy A. Kulesa on behalf of Movants Roderick Ford, Kwok L. Shum.(Kulesa, Nancy) (Entered: 07/29/2016) 08/02/ TEXT ORDER SETTING HEARING and granting the parties' request for an inperson conference prior to entry of a scheduling order. The undersigned magistrate judge will hold the hearing on Tuesday, August 9, 2016, at 10:00 a.m., in Courtroom No. 7, Second Floor, Roman L. Hruska United States Courthouse, 111 South 18th Plaza, Omaha, Nebraska. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 08/02/2016) 08/09/ TEXT MINUTE ENTRY for planning conference held in Omaha on 08/09/2016 before Magistrate Judge Thomas D. Thalken. A discussion was had regarding the progression of the case. Order forthcoming. Appearance for plaintiff: Nicholas Porritt. Appearance for defendant: Victoria H. Buter; Thomas H. Dahlk; Alex J. Kaplan; A. Robert Pietrzak. Appearance for movant: Christopher J. Kupka, telephonically. Courtroom Deputy: Mary Beth McFarland. Court Reporter: Digital Recorder. Time Start: 10:03 AM; Time Stop: 10:49 AM; Time in Court: 46 Minutes. (MBM) (Entered: 08/09/2016)

23 08/09/ AUDIO FILE. Court Date & Time [ 08/09/ :03:18 AM ]. File Size [ KB ]. Run Time [ 00:45:53 ]. (Planning Conference). (auto-docket). (Entered: 08/09/2016) 08/10/ ORDER SETTING SCHEDULE FOR INITIAL PROGRESSION OF A CIVIL CASE - An evidentiary hearing will be held in Courtroom No. 7, Second Floor, Roman L. Hruska U.S. Courthouse, 111 South 18th Plaza, Nebraska, to consider all questions coming within the class action issues under Fed. R. Civ. P. 23(a) and (b).ordered by Magistrate Judge Thomas D. Thalken. (MKR) (Entered: 08/10/2016) 08/16/ APPLICATION/ORDER admitting pro hac vice Attorney Jon Muenz for Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc. and Fredric Tomczyk. Ordered by Deputy Clerk. (MKR) (Entered: 08/16/2016) 09/01/ JOINT MOTION to Continue Evidentiary Hearing on Class Certification by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/01/2016) 09/02/ TEXT ORDER granting 128 the parties' Joint Motion for Continuance of March 15, 2017 Evidentiary Hearing on Class Certification. The hearing previously scheduled for March 15, 2017, is rescheduled to May 2, 2017, at 1:30 p.m. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 09/02/2016) 09/07/ Certificate of Service of Rule 26(a)(1) Disclosures by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/07/2016) 09/09/ NOTICE of Service of Rule 26(a)(1) Disclosures by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum (Scaglione, Gregory) Modified on 9/9/2016 to correct text reflecting service of disclosures (KMG). (Entered: 09/09/2016) 09/09/ NOTICE of Lead Plaintiffs' Expert Disclosure Pursuant to Rule 26 by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum (Scaglione, Gregory) (Entered: 09/09/2016) 09/15/ Mail Returned as Undeliverable addressed to Nicholas Porritt regarding Order on Motion to Continue 129. Mail not resent, no forwarding address on file. (LAC) (Entered: 09/15/2016) 09/15/ Certificate of Service of Disclosure of Class Certification Expert by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/15/2016) 09/19/ Certificate of Service of First Set of Discovery Requests to Roderick Ford and Kwok Shum by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/19/2016) 09/22/ REQUEST FOR TRANSCRIPT for proceedings held on 08/09/2016 before Magistrate Judge Thomas D. Thalken regarding Minutes, Filing 124 Status Conference,, by Attorney Gregory C. Scaglione on behalf of Movants Roderick Ford, Kwok L. Shum.(Scaglione, Gregory) (Entered: 09/22/2016)

24 09/22/ JOINT MOTION for Protective Order by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 09/22/2016) 09/23/ *EXPEDITED* LETTER BY CLERK that a transcript request was sent to Latimer Reporting for transcription regarding Planning Conference 124. Transcript ordered by Attorney Gregory C. Scaglione. ACCESS TO THE PDF DOCUMENT IS RESTRICTED TO CASE PARTICIPANTS AND THE COURT PURSUANT TO THE E-GOVERNMENT ACT AND FEDERAL RULE OF CIVIL PROCEDURE 5.2(a). (KLF) (Entered: 09/23/2016) 09/23/ PROTECTIVE ORDER granting 137 the parties' Joint Motion for Entry of Protective Order. (Attachment: # 1 Exhibit A - Acknowledgement) Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 09/23/2016) 10/05/ TRANSCRIPT (UNREDACTED) of Planning Conference proceedings before Magistrate Judge Thomas D. Thalken held on Total Number of Billable Pages: 39. Total Number of Pages: 39. In accordance with the transcript redaction procedure, available at the transcript can only be viewed at the courts public terminal or purchased through Transcriber Lori McGowan at (402) or latimer@latimer-reporting.com before the expiration of the Release of Transcript Restriction deadline. The parties have 5 business days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days. Redaction Request due 10/26/2016. Redacted Transcript Deadline set for 11/7/2016. Release of Transcript Restriction set for 1/3/2017. (Jarchow, Vicki) Modified on 1/6/2017 to remove text regarding restricted access. (LAC). (Entered: 10/05/2016) 10/14/ MOTION for Protective Order by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 10/14/2016) 10/14/ BRIEF in support of MOTION for Protective Order 141 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk.(Buter, Victoria) (Entered: 10/14/2016) 10/14/ INDEX in support of MOTION for Protective Order 141 by Attorney Victoria H. Buter on behalf of Defendants TD Ameritrade Holding Corporation, TD Ameritrade, Inc., Fredric Tomczyk. (Attachments: # 1 Affidavit Exhibit 1, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G,