U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:08-cv PAC

Transcription

1 US District Court Civil Docket as of 10/29/2009 Retrieved from the court on July 6, 2011 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:08-cv PAC IN RE Humphrys v. TD Ameritrade Holding Corporation Date Filed: 03/19/2008 Assigned to: Judge Paul A. Crotty Date Terminated: 10/29/2009 Member case: Jury Demand: Plaintiff 1:08-cv PAC Nature of Suit: 850 Cause: 15:78m(a) Securities Exchange Act Securities/Commodities Jurisdiction: Federal Question Plaintiff George Humphrys represented by Christopher Adam Seeger individually Seeger Weiss LLP 1515 Market Street suite 1380 Philadelphia, PA Fax: David R. Buchanan Seeger Weiss LLP 1515 Market Street suite 1380 Philadelphia, PA (212) Fax: (212) Stephen A. Weiss Seeger Weiss LLP 1515 Market Street suite 1380 Philadelphia, PA (212) Fax: (212)

2 A.J. De Bartolomeo Girard Gibbs & De Bartolomeo, LLP 160 Sansome Street San Francisco, CA (914) Aaron Michael Sheanin Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco, CA (415) Fax: (415) Christina H. C. Sharp Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco, CA (415) Fax: (415) Daniel Charles Girard Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco, CA (415) Fax: (415) Jonathan K. Levine Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco, CA Fax:

3 Plaintiff Matthew L. Dameron Stueve Siegel Hanson, L.L.P. 460 Nichols Road Suite 200 Kansas City, MO (816) Fax: (816) TERMINATED: 09/03/2009 Norman E. Siegel Stueve Siegel Hanson LLP 460 Nichols Road Suite 200 Kansas, MO (816) Fax: (816) Rachel Erin Schwartz Stueve Siegel Hanson LLP 460 Nichols Road, Suite 200 Kansas City, MO (816) Fax: (816) George Humphrys represented by Christopher Adam Seeger on behalf of all others similarly situated David R. Buchanan Stephen A. Weiss

4 A.J. De Bartolomeo Aaron Michael Sheanin Christina H. C. Sharp Daniel Charles Girard Jonathan K. Levine Matthew L. Dameron TERMINATED: 09/03/2009 Norman E. Siegel Rachel Erin Schwartz V. Consolidated Plaintiff Sheldon Silverstein represented by David W. Rowe

5 on behalf of himself and all others Kinsey, Rowe Law Firm similarly situated P.O. Box Lincoln, NE (402) Fax: (402) Eduard Korsinsky Zimmerman Levi & Korsinsky, LLP (NY) 39 Broadway, Suite 1601 New York, NY Fax: Joseph E. Levi Zimmerman, Levi & Korsinky, LLP 39 Broadway Suite 1440 New York, NY (212) Fax: (212) Juan Eneas Monteverde Levi & Korsinsky, LLP 30 Broadway 15th Flr. New York, NY (212) Fax: (212) V. Movant Janet Jones represented by Jonathan K. Levine TERMINATED: 02/18/2009

6 Movant Michael Jones represented by Jonathan K. Levine TERMINATED: 02/18/2009 Movant Michael McKay represented by Jonathan K. Levine Norman E. Siegel Stueve Siegel Hanson LLP 460 Nichols Road, Suite 200 Kansas City, MO (816) Fax: (816) V. Defendant TD Ameritrade Holding represented by Richard John Morvillo Corporation Schulte Roth & Zabel LLP (DC) 1152 Fifteenth Street, N.W. Suite 850 Washington, DC (202) Fax: (202) Defendant William Madison Mann Schulte Roth & Zabel LLP (DC) 1152 Fifteenth Street, N.W. Suite 850 Washington, DC (202) Fax: (202)

7 TD Ameritrade, Inc. represented by Richard John Morvillo formerly known as TD Waterhouse Investor Services, Inc. William Madison Mann V. Consolidated Defendant Jones Group, The represented by Aaron Michael Sheanin Christopher Adam Seeger Craig F. Martin Lamson, Dugan Law Firm Regency Parkway Drive Omaha, NE (402) Fax: (402) Daniel Charles Girard David R. Buchanan Jonathan K. Levine

8 Intervenor Plaintiff Norman E. Siegel Stephen A. Weiss Group Silverstein represented by Juan Eneas Monteverde Date Filed # Docket Text 03/19/ COMPLAINT against TD Ameritrade Holding Corporation and TD Ameritrade, Inc. (Filing Fee $ , Receipt Number )Document filed by George Humphrys.(laq) (Entered: 03/21/2008) 03/19/2008 SUMMONS ISSUED as to TD Ameritrade Holding Corporation. (laq) (Entered: 03/21/2008) 03/19/2008 Magistrate Judge Kevin N. Fox is so designated. (laq) (Entered: 03/21/2008) 03/19/2008 Case Designated ECF. (laq) (Entered: 03/21/2008) 04/24/ AFFIDAVIT OF SERVICE of Summons and Complaint. TD Ameritrade Holding Corporation served on 4/11/2008, answer due 5/1/2008. Document filed by George Humphrys. (Weiss, Stephen) (Entered: 04/24/2008) 05/01/ NOTICE OF APPEARANCE by Richard John Morvillo on behalf of TD Ameritrade Holding Corporation (Morvillo, Richard) (Entered: 05/01/2008) 05/01/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying TD Ameritrade Holding Corporation as Corporate Parent. Document filed by TD Ameritrade Holding Corporation.(Morvillo, Richard) (Entered: 05/01/2008) 05/02/ STIPULATION AND ORDER that defendants shall not be required to answer the complaint. Defendants shall have 60 days from service of the Amended Complaint to answer the Amended Complaint. (Signed by Judge Paul A. Crotty on 5/2/08) (cd) (Entered: 05/02/2008) 05/19/ FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM

9 MENU - FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). Document filed by Group Silverstein. (Monteverde, Juan) Modified on 5/20/2008 (db). (Entered: 05/19/2008) 05/19/ FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - NOTICE of Motion to Appoint Lead Plaintiff and Lead Counsel re: 6 FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). Document filed by Group Silverstein. (Monteverde, Juan) Modified on 5/20/2008 (db). (Entered: 05/19/2008) 05/19/ FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Joseph E. Levi in Support re: 6 FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). Document filed by Group Silverstein. (Monteverde, Juan) Modified on 5/20/2008 (db). (Entered: 05/19/2008) 05/19/ FILING ERROR - ELECTRONIC FILING FOR NON ECF DOCUMENT - FIRST MOTION Lead Plaintiff and Lead Counsel. Document filed by Group Silverstein. (Monteverde, Juan) Modified on 5/20/2008 (db). (Entered: 05/19/2008) 05/19/ MOTION to Appoint Counsel., MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s). Document filed by Janet Jones, Michael Jones, Michael McKay. (Attachments: # 1 Text of Proposed Order)(Levine, Jonathan) (Entered: 05/19/2008) 05/19/ MEMORANDUM OF LAW in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s). MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s).. Document filed by Janet Jones, Michael Jones, Michael McKay. (Levine, Jonathan) (Entered: 05/19/2008) 05/19/ DECLARATION of JONATHAN K. LEVINE in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s). MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s).. Document filed by Janet Jones, Michael Jones, Michael McKay. (Attachments: # 1 Exhibit A - H)(Levine, Jonathan)

10 (Entered: 05/19/2008) 05/20/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Juan Eneas Monteverde to RE-FILE Document 6 FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s).first MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). Use the document type Memorandum of Law in Support of Motion found under the document list Replies, Opposition and Supporting Documents. ATTORNEY NOTIFIED VIA TELEPHONE to correct 7 as Motion to Appoint; 8 as Declaration in Support of Motion; and 9 as an Exhibit to Newly Filed Motion to Appoint. (db) (Entered: 05/20/2008) 05/20/ FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - NOTICE of Motion to Appoint Lead Plaintiff and Lead Counsel. Document filed by Group Silverstein. (Monteverde, Juan) Modified on 5/21/2008 (db). (Entered: 05/20/2008) 05/20/ FILING ERROR - DEFICIENT DOCUMENT ENTRY - MEMORANDUM OF LAW in Support re: 6 FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). Document filed by Group Silverstein. (Attachments: # 1 Text of Proposed Order Proposed Order)(Monteverde, Juan) Modified on 5/21/2008 (db). (Entered: 05/20/2008) 05/20/ FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Joseph E. Levi in Support re: 6 FIRST MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s).first MOTION to Appoint SILVERSTEIN GROUP AS LEAD PLAINTIFF AND LEVI & KORSINSKY, LLP AS LEAD COUNSEL to serve as lead plaintiff(s). Document filed by Group Silverstein. (Monteverde, Juan) Modified on 5/21/2008 (db). (Entered: 05/20/2008) 05/21/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Juan Eneas Monteverde to RE-FILE Document 13 Notice (Other). Use the document type Appoint Lead Plaintiff(s) found under the document list Motions. (db) (Entered: 05/21/2008) 05/21/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Juan Eneas Monteverde to RE-FILE Document 14 Memorandum of Law in Support of Motion.

11 ERROR(S): Supporting Document must be attached to corrected Motion. REMINDER: (1) File the Corrected Motion. (2) File Memorandum of Law in Support and Link it to the Newly Corrected Motion. (db) (Entered: 05/21/2008) 05/21/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Juan Eneas Monteverde to RE-FILE Document 15 Declaration in Support of Motion. ERROR(S): Supporting Document must be attached to corrected Motion. REMINDER: After filing the Corrected Motion, then file the Declaration in Support and Link to the Newly Filed Motion. (db) (Entered: 05/21/2008) 05/21/ MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel. Document filed by Group Silverstein. (Attachments: # 1 Text of Proposed Order [PROPOSED] ORDER APPOINTING THE SILVERSTEIN GROUP AS LEAD PLAINTIFF AND APPROVING ITS SELECTION OF LEAD COUNSEL and LIAISON COUNSEL FOR THE CLASS)(Monteverde, Juan) (Entered: 05/21/2008) 05/21/ MEMORANDUM OF LAW in Support re: 16 MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel.. Document filed by Group Silverstein. (Monteverde, Juan) (Entered: 05/21/2008) 05/21/ DECLARATION of Joseph E. Levi in Support re: 16 MOTION to Appoint Counsel Levi & Korsinsky, LLP as lead counsel.. Document filed by Group Silverstein. (Monteverde, Juan) (Entered: 05/21/2008) 05/27/ MOTION for William M. Mann to Appear Pro Hac Vice. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade, Inc..(dle) (Entered: 05/27/2008) 05/30/ MOTION for Norman E. Siegel and Matthew L. Dameron to Appear Pro Hac Vice. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others similarly situated).(dle) (Entered: 06/02/2008) 06/02/ MOTION for Christina H. C. Sharp to Appear Pro Hac Vice. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others similarly situated).(dle) (Entered: 06/03/2008) 06/02/ MOTION for A.J. De Bartolomeo to Appear Pro Hac Vice. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others similarly situated).(dle) (Entered: 06/03/2008) 06/02/ MOTION for Aaron M. Sheanin to Appear Pro Hac Vice. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others similarly situated).(dle) (Entered: 06/03/2008) 06/02/ MOTION for Daniel C. Girard to Appear Pro Hac Vice. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others

12 similarly situated).(dle) (Entered: 06/03/2008) 06/04/ ORDER GRANTING MOTION FOR ADMISSION OF WILLIAM M. MANN 19 Motion for William M. Mann to Appear Pro Hac Vice. William M. Mann is admitted pro hac vice as counsel to Defendants in this action. (Signed by Judge Paul A. Crotty on 6/4/08) (tro) (Entered: 06/04/2008) 06/04/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 25 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tro) (Entered: 06/04/2008) 06/05/2008 CASHIERS OFFICE REMARK on 25 Order on Motion to Appear Pro Hac Vice, in the amount of $25.00, paid on 05/27/2008, Receipt Number (jd) (Entered: 06/05/2008) 06/05/2008 CASHIERS OFFICE REMARK on 20 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 05/30/2008, Receipt Number (jd) (Entered: 06/05/2008) 06/05/ ORDER FOR ADMISSION ON WRITTEN MOTION granting 24 Motion for Daniel C. Girard to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008) 06/05/ ORDER FOR ADMISSION ON WRITTEN MOTION granting 23 Motion for Aaron M. Sheanin to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008) 06/05/ ORDER FOR ADMISSION ON WRITTEN MOTION granting 22 Motion for A.J. De Bartolomeo to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008) 06/05/ ORDER FOR ADMISSION ON WRITTEN MOTION granting 21 Motion for Christina H. C. Sharp to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 6/5/08) (mme) (Entered: 06/05/2008) 06/05/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 26 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 06/05/2008) 06/05/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 27 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 06/05/2008) 06/05/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 28 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 06/05/2008) 06/05/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 29 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 06/05/2008)

13 06/06/2008 CASHIERS OFFICE REMARK on 24 Motion to Appear Pro Hac Vice, 22 Motion to Appear Pro Hac Vice, 23 Motion to Appear Pro Hac Vice, 21 Motion to Appear Pro Hac Vice in the amount of $100.00, paid on 06/02/2008, Receipt Number (jd) (Entered: 06/06/2008) 06/06/ RESPONSE in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s). MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s).. Document filed by Janet Jones. (Levine, Jonathan) (Entered: 06/06/2008) 06/09/ ORDER granting 20 Motion for Norman E. Siegel & Matthew L. Dameron to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 6/9/08) (mme) (Entered: 06/09/2008) 06/09/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 31 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 06/09/2008) 06/16/ RESPONSE in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s). MOTION to Appoint JANET JONES, AS TRUSTEE OF THE JONES LIVING TRUST DATED 1/14/2002, MICHAEL JONES, AND MICHAEL McKAY to serve as lead plaintiff(s).. Document filed by Janet Jones. (Levine, Jonathan) (Entered: 06/16/2008) 06/26/ NOTICE of Notice of Related Case. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others similarly situated). (Attachments: # 1 Exhibit Exhibits A through C to Notice of Related Case, # 2 Certificate of Service of TerriAnne Benedetto)(Weiss, Stephen) (Entered: 06/26/2008) 06/27/ NOTICE of Related Case. Document filed by TD Ameritrade, Inc.. (Mann, William) (Entered: 06/27/2008) 07/01/ NOTICE of Related Case. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others similarly situated). (djc) (Entered: 07/02/2008) 10/10/ CERTIFIED TRUE COPY OF MDL ORDER FROM THE MDL PANEL DENYING TRANSFER... that the motion, pursuant to 28 U.S.C. 1407(c), for transfer of the action to the United States District Court - Southern District of New York, be, and the same hereby is denied. (Signed by MDL Panel on 10/9/08) (laq) (Entered: 10/20/2008) 12/02/ SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying TD Ameritrade Holding Corporation as

14 Corporate Parent. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade, Inc..(Mann, William) (Entered: 12/02/2008) 12/09/ MOTION to Withdraw Lead Plaintiff Application. Document filed by Group Silverstein.(Monteverde, Juan) (Entered: 12/09/2008) 12/16/ ENDORSED LETTER addressed to Judge Paul A. Crotty from Matthew L. Dameron dated 12/15/2008 re: Requesting that the Court grant their motion for appointment as lead plaintiffs and approval of selection of counsel. ENDORSEMENT: Application GRANTED and pretrial conference is set for 1/13/2009 at 2:15 p.m. in courtroom 20-C. (Signed by Judge Paul A. Crotty on 12/16/2008) (jpo) (Entered: 12/16/2008) 01/07/ ENDORSED LETTER addressed to Judge Paul A. Crotty from Matthew L. Dameron dated 1/5/09 re: Counsel proposes the following schedule: Defendants shall not be required to answer, move against, or otherwise respond to the initial Complaint [Doc. # I]; Lead Plaintiffs shall file the Amended Complaint on or before February 13, 2009; Defendants shall answer, move against, or otherwise respond to the Amended Complaint on or before April 14, 2009; If Defendants move against the Amended Complaint, Lead Plaintiffs shall submit their opposition to Defendants' motion on or before May 29, 2009; Defendants shall submit their reply brief in support of their motion on or before June 29, If the Court endorses this schedule, and the Court has no further business for the parties, the parties respectfully request that the Court cancel or postpone the hearing scheduled for January 13, ENDORSEMENT: The schedule is adopted and the conference scheduled for January 13, 2009 is adjourned. (Signed by Judge Paul A. Crotty on 1/7/09) (mme) (Entered: 01/07/2009) 02/13/ REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, Without prejudice against the defendant(s) TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. Document filed by Janet Jones, Michael Jones. (Siegel, Norman) Modified on 2/17/2009 (dt). (Entered: 02/13/2009) 02/13/ FIRST AMENDED COMPLAINT amending 1 Complaint against TD Ameritrade Holding Corporation, TD Ameritrade, Inc. Document filed by Michael McKay. Related document: 1 Complaint filed by George Humphrys.(dle) (Entered: 02/17/2009) 02/17/2009 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Norman Siegel Document 41 Notice of Voluntary Dismissal, was referred to Judge Paul A. Crotty for approval. (dt) (Entered: 02/17/2009) 02/18/ PARTIAL NOTICE OF VOLUNTARY DISMISSAL OF PLAINTIFFS MICHAEL JONES AND JANET JONES PURSUANT TO FED. R. CIV.

15 P. 41(a)(1)(A)(i), the plaintiff(s) Janet Jones and Michael Jones and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed without prejudice against the defendant(s). (Signed by Judge Paul A. Crotty on 2/18/09) (tro) (Entered: 02/18/2009) 03/30/ CONSOLIDATION ORDER: That the above-captioned actions are consolidated for all purposes (the "Consolidated Action"). This Order (the "Order") shall apply to the Consolidated Action and to each case that relates to the same subject matter that is subsequently filed in this Court or is transferred to this Court and is consolidated with the Consolidated Action. A Master File is established for this proceeding. The Master File shall be Civil Action No. 1:08 Civ PAC. The Clerk shall file all pleadings in the Master File and note such filings on the Master Docket. An original of this Order shall be filed by the Clerk in the Master File. Every pleading in the Consolidated Action shall have the following caption: IN RE Humphrys v. TD Ameritrade Holding Corporation, 1:08-cv-2912-PAC. The Court requests the assistance of counsel in calling to the attention of the Clerk of this Court the filing or transfer of any case that might properly be consolidated as part of the Consolidated Action. The Clerk of the Court is directed to terminate case number 1: 08 Civ (PAC). SO ORDERED. (Signed by Judge Paul A. Crotty on 3/30/2009) Filed In Associated Cases: 1:08-cv PAC, 1:08-cv PAC(tve) (Entered: 03/30/2009) 04/14/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss First Amended Complaint. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. (Attachments: # 1 Memorandum of Law in Support of Motion to Dismiss, # 2 Affidavit Declaration of Akrivi Mazarakis in Support of Motion to Dismiss with Exhibits 1-4, # 3 Affidavit Declaration of Akrivi Mazarakis in Support of Motion to Dismiss with Exhibits 5-17, # 4 Text of Proposed Order, # 5 Certificate of Service)(Mann, William) Modified on 4/17/2009 (jar). (Entered: 04/14/2009) 04/14/2009 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney William Mann to RE-FILE Document 45 MOTION to Dismiss First Amended Complaint. ERROR(S): Supporting Documents must be filed individually. Use the event types Memorandum of Law in Support and Declaration in Support found under event list Replies, Oppositions, Supporting Documents. ***REMINDER: The motion must first be re-filed, then file the supporting document and link it to the correctly re-filed motion. (jar) (Entered: 04/17/2009) 04/17/ MOTION to Dismiss. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. (Attachments: # 1 Text of Proposed Order)(Mann, William) (Entered: 04/17/2009) 04/17/ MEMORANDUM OF LAW in Support re: 46 MOTION to Dismiss.. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade,

16 Inc.. (Mann, William) (Entered: 04/17/2009) 04/17/ DECLARATION of Akrivi Mazarakis in Support re: 46 MOTION to Dismiss.. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. (Attachments: # 1 Declaration Exhibits 5-17)(Mann, William) (Entered: 04/17/2009) 05/29/ MEMORANDUM OF LAW in Opposition re: 46 MOTION to Dismiss.. Document filed by Michael McKay. (Sheanin, Aaron) (Entered: 05/29/2009) 06/29/ REPLY MEMORANDUM OF LAW in Support re: 46 MOTION to Dismiss.. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. (Mann, William) (Entered: 06/29/2009) 06/29/ DECLARATION of Akrivi Mazarakis in Support re: 46 MOTION to Dismiss.. Document filed by TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. (Mann, William) (Entered: 06/29/2009) 08/25/ ENDORSED LETTER addressed to Judge Paul A. Crotty from Daniel C. Girard dated 8/3/2009 re: The parties agree that the Court should reserve ruling on the motion to dismiss until Mr. McKay's eligibility for TD Ameritrade's repurchase program has been confirmed. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul A. Crotty on 8/25/2009) (tve) (Entered: 08/25/2009) 08/31/ MOTION for Matthew L. Dameron to Withdraw as Attorney. Document filed by George Humphrys(individually).(Dameron, Matthew) (Entered: 08/31/2009) 09/03/ MEMO ENDORSEMENT re: 53 Motion to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. Added attorney Norman E. Siegel for George Humphrys. Attorney Matthew L. Dameron terminated. (Signed by Judge Paul A. Crotty on 9/3/2009) (tve) (Entered: 09/03/2009) 09/18/ MOTION for Rachel E. Schwartz to Appear Pro Hac Vice. Document filed by George Humphrys(individually), George Humphrys(on behalf of all others similarly situated).(mro) (Entered: 09/22/2009) 09/24/2009 CASHIERS OFFICE REMARK on 55 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 09/18/2009, Receipt Number (jd) (Entered: 09/24/2009) 09/24/ ORDER granting 55 Motion for Rachel E. Schwartz to Appear Pro Hac Vice on behalf of Plaintiff George Humphrys. Counsel shall forward the pro hac vice fee to the Clerk of the Court. (Signed by Judge Paul A. Crotty on 9/24/09) (djc) (Entered: 09/24/2009) 09/24/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 56 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (djc) (Entered: 09/24/2009)

17 10/21/ NOTICE OF CHANGE OF ADDRESS by Richard John Morvillo on behalf of TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. New Address: Schulte Roth & Zabel LLP, 1152 Fifteenth Street, NW, Suite 850, Washington, DC, USA 20005, (Morvillo, Richard) (Entered: 10/21/2009) 10/21/ NOTICE OF CHANGE OF ADDRESS by William Madison Mann on behalf of TD Ameritrade Holding Corporation, TD Ameritrade, Inc.. New Address: Schulte Roth & Zabel LLP, 1152 Fifteenth Street, NW, Suite 850, Washington, DC, USA 20005, (Mann, William) (Entered: 10/21/2009) 10/23/ REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Michael McKay. Document filed by Michael McKay. (Siegel, Norman) Modified on 10/26/2009 (dt). (Entered: 10/23/2009) 10/26/2009 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Norman Siegel Document 59 Notice of Voluntary Dismissal, was referred to Judge Paul A. Crotty for approval. (dt) (Entered: 10/26/2009) 10/29/ NOTICE OF DISMISSAL WITHOUT PREJUDICE: Plaintiff, pursuant to FRCP 41(a)(1)(A)(i), hereby dismisses this matter, without prejudice. The Clerk of Court is directed to close this case. (Signed by Judge Paul A. Crotty on 10/29/09) (dle) Modified on 11/6/2009 (dle). (Entered: 10/30/2009) Note: Links in this docket are stored in the PACER system ( Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at