U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:98-cv JSM

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1 US District Court Civil Docket as of 06/25/2001 Retrieved from the court on Friday, May 12, 2006 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:98-cv JSM Goldberger v. Bear, Stearns & Co., et al Assigned to: Judge John S. Martin Demand: $0 Lead case: 1:98-cv JSM Member cases: 1:99-cv JSM 1:99-cv JSM 1:99-cv JSM 1:99-cv JSM Cause: 15:78m(a) Securities Exchange Act Plaintiff Ronald Goldberger on behalf of himself and all others similarly situated Date Filed: 12/08/1998 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Daniel W. Krasner Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY (212) Fax: (212) Denise Davis Schwartzman Chimicles & Tikellis LLP 361 West Lancaster Avenue Haverford, PA (610) Frederick Taylor Isquith, Sr Wolf, Haldenstein, Adler, Freeman & Herz, L.L.P. 270 Madison Avenue New York, NY (212) Jeffrey G. Smith Wolf, Haldenstein, Adler, Freeman & Herz, L.L.P.

2 270 Madison Avenue New York, NY (212) Nicholas E. Chimicles Chimicles & Tikellis One Haverford Centre 361 West Lancaster Avenue Haverford, PA (610) Robert J. Kriner, Jr. One Rodney Square Wilmington, DE (302) V. Craig Bier Dominic Poeta Joseph Wincelowitz Matt Jenkins Alan Booth Honorable John Acting Commissioner of Social Security Herman Dickens

3 Steve Endres William Fraser Steven Fuller William Wierschem Lorenzo Miceli Sheldon Prenovitz V. Defendant Bear, Stearns & Co. Inc. represented by Stephen M. Sacks Arnold & Porter 555 Twelfth Street, N.W. Washington, DC (202) Defendant Bear, Stearns Securities Corp. represented by Stephen M. Sacks (See above for address) Defendant Richard Harriton

4 Date Filed # Docket Text 12/08/ COMPLAINT filed; Summons issued and Notice pursuant to 28 U.S.C. 636(c); FILING FEE $ RECEIPT # (em) (Entered: 12/09/1998) 12/08/1998 CASE REFERRED TO: Judge John E. Sprizzo. (em) (Entered: 12/09/1998) 12/30/1998 Case referred as similar to 97cv 5318 and declined by Judge Sprizzo and returned to wheel for assignment. (bm) (Entered: 01/06/1999) 12/30/ Notice of assignment to Judge John S. Martin Copy of notice and judge's rules mailed to Attorney(s) of record: Robert J. Kriner Jr., Denise Davis Schwartzman, Nicholas E. Chimicles, Jeffrey G. Smith, Fred Taylor Isquith, Daniel W. Krasner. (bm) (Entered: 01/06/1999) 01/19/1999 Notice of assignment mailed to Robert J. Kriner Jr. returned. Not deliverable as addressed-unable to forward (bm) (Entered: 01/20/1999) 02/08/ NOTICE OF MOTION by Ronald Goldberger; for an Order appointing the members of the Goldberger pltffs group to serve as lead pltffs, and, for an Order approving the selection of Chimicles & Tikellis LLP and Wolf Haldenstein Adler Freeman & Herz LLP as co-lead counsel for the litigation and subsequently filed related litigations ; Return date not indicated. (jp) (Entered: 02/10/1999) 02/08/ MEMORANDUM by Ronald Goldberger in support of [3-1] motion for an Order appointing the members of the Goldberger group to serve as lead pltffs, and, for an Order approving the selection of Chimicles & Tikellis LLP and Wolf Haldenstein Adler Freeman & Herz LLP as co-lead counsel for the litigation and subsequently filed related litigations (jp) (Entered: 02/10/1999) 02/08/ AFFIDAVIT of Gregory M. Nespole by Ronald Goldberger in support of [3-1] motion for an Order appointing the members of the Goldberger pltffs group to serve as lead pltffs, and, for an Order approving the selection of Chimicles & Tikellis LLP and Wolf Haldenstein Adler Freeman & Herz LLP as co-lead counsel for the litigation and subsequently filed related litigations (jp) (Entered: 02/10/1999) 02/09/ Affidavit of service as to Bear, Stearns & Co., Bear, Stearns Sec., Richard Harriton by Darya Geeter, Managing Director on 2/8/99. Answer due on 3/1/99 for Bear, Stearns & Co., for Bear, Stearns Sec., for Richard Harriton (jp) (Entered: 02/11/1999) 02/26/ STIPULATION and ORDER; reset answer to the complt. due for 4/9/99 for Richard Harriton, for Bear, Stearns Sec., for Bear, Stearns & Co. ; defts' response to motion reset to 3/5/99 for [3-1] motion an Order appointing the members of the Goldberger pltffs group to serve as lead pltffs, and, for an Order approving the selection of Chimicles & Tikellis LLP and Wolf Haldenstein Adler Freeman & Herz LLP as co-lead counsel for the litigation and subsequently filed related litigations ; ( signed by Judge John S. Martin ). (ls) (Entered: 02/26/1999) 03/02/ NOTICE OF MOTION by Howard Greenberg, Robert Levitt, Robert Rice, Stephen G. Siben, Stephen Strobehn, Stanley Veltkamp, Philip Vitanza, John T. White, Guy

5 V. Wood, Carl Zander, Jr. and Ted M. and Kathryn N. Jones; that the Goldberger pltffs not be appointed lead pltff w/ respect to the class involving the purchase of ML Direct, Inc. stock ; Return date not indicated (ls) (Entered: 03/03/1999) 03/18/ STIPULATION and CONSENT; that Arnold & Porter may be substituted in the place and stead of Cadwalader, Wickersham & Taft as the attorney of record for defts Bear Stearns & Co., Inc. and Bear Sterns Securities Corp. ( signed by Judge John S. Martin ). (jp) (Entered: 03/22/1999) 03/25/ REPLY MEMORANDUM by Ronald Goldberger re: [8-1] motion that the Goldberger pltffs not be appointed lead pltff w/ respect to the class involving the purchase of ML Direct, Inc. stock (jp) (Entered: 03/30/1999) 03/26/ STIPULATION and ORDER; that defts shall answer, move or otherwise respond to the complaints (as amended) within 60 days after the actions are consolidated or a motion for consolidation is denied ( signed by Judge John S. Martin ). (jp) (Entered: 03/29/1999) 04/05/ ORDER, the actions (98 cv 8677 and 99 cv 0963) are consolidated for all purposes including, but not limited to, discovery, pretrial proceedings, and trial proceedings, purs to Rule 42(a) of the FRCP ; granting [3-1] motion for an Order appointing the members of the Goldberger pltffs group to serve as lead pltffs, and, for an Order approving the selection of Chimicles & Tikellis LLP and Wolf Haldenstein Adler Freeman & Herz LLP as co-lead counsel for the litigation and subsequently filed related litigations; Lead plaintiffs shall file a consolidated Class Action complaint no later than 15 days from the date of the entry of this Order, unless otherwise agreed betw. the parties, which shall be deemed the operative complaint, superseding all complaints filed in any of the actions consolidated hereunder or in any related cases. The Consolidated Class Action complaint shall be treated as if it were the original complaint except that all defendants shall have 60 days after the filing and service of the Consolidated Class Action complaint to answer or otherwise respond, unless otherwise agreed to between the parties. In the event that defendants seek to file any motions directed at the consolidated Class Action Complaint, defendants' counsel are to notify the Court in writing regarding the basis for any such motion and request a pre-motion conference. (signed by Judge John S. Martin); Copies mailed (djc) (Entered: 04/06/1999) 04/05/1999 Consolidated Lead Case (djc) (Entered: 04/07/1999) 04/23/ STIPULATION and ORDER; that the time w/in which pltffs may file a consolidted class action complt. is extended to on or before 5/5/99 ; ( signed by Judge John S. Martin ). (ls) (Entered: 04/23/1999) 04/28/ NOTICE OF MOTION by Bear, Stearns & Co., Bear, Stearns Sec.; for James L. Cooper, Esq. to appear pro hac vice on behalf of Bear, Stearns & Co., Bear, Stearns Sec. ; return date 5/14/99; Attached: Affdvt. by Anthony D. Boccanfuso In Support Of Application For Admissin Pro Hac Vice (ls) (Entered: 04/30/1999) 05/06/ STIPULATION and ORDER, that the time within which plaintiffs may file a consolidated action complaint is further extended to on or before June 4, (signed by Judge John S. Martin) (djc) (Entered: 05/07/1999) 05/06/ ORDER FOR ADMISSION PRO HAC VICE; granting [14-1] motion for James L.

6 Cooper, Esq. to appear pro hac vice on behalf of Bear, Stearns & Co., Bear, Stearns Sec.; ( signed by Judge John S. Martin ); copies mailed; orig. doc. forwarded to Attny. Admission Clerk on 5/7/99 (ls) (Entered: 05/07/1999) 05/11/ Pro hac vice fee for James L. Cooper paid $25.00 on 5/11/99, receipt # (ri) (Entered: 05/14/1999) 06/08/ STIPULATION AND ORDER; the time within which pltffs may file a consolidated class action complaint is hereby further extended to on or before 8/27/99. ( signed by Judge John S. Martin ). (sac) (Entered: 06/09/1999) 08/27/ CONSOLIDATED CLASS ACTION AMENDED COMPLAINT by Ronald Goldberger, Bear, Stearns & Co., Bear, Stearns Sec., Richard Harriton, Craig Bier, Dominic Poeta, Joseph Wincelowitz, Matt Jenkins, Alan Booth, John Callahan, Herman Dickens, Steve Endres, William Fraser, Steven Fuller, William Wierschem, Lorenzo Miceli, Sheldon Prenovitz (Answer due 9/9/99 for Richard Harriton, for Stearns Sec., for Bear, Stearns & Co.) amending [1-1] complaint; Summons issued. (ri) Modified on 08/30/1999 (Entered: 08/30/1999) 10/22/ STIPULATION and ORDER, plaintiffs may serve a Consolidated Amended Class Action Complaint on or before 11/05/99 ; Defendants shall answer or otherwise respond on or before 02/04/00 ; Plaintiffs' response to defendants' motion(s) if (any) shall be served on or before 04/14/00 and defendants' replies in support of any motion(s) shall be served on or before 05/12/00 ; (signed by Judge John S. Martin) (djc) (Entered: 10/25/1999) 11/08/ FIRST AMENDED AND CONSOLIDATED CLASS ACTION COMPLAINT by Ronald Goldberger (Answer due 11/22/99 for Richard Harriton, for Bear, Stearns Sec., for Bear, Stearns & Co. ) amending [1-1] complaint; Summons issued; jury trial demand (pl) (Entered: 11/09/1999) 01/27/ STIPULATION and ORDER; defendants shall answer, move or otherwise respond to the First Amended and Consolidated Class Action Complaint thirty days after the Judicial Panel on Multidistrict Litigation issues an order vacating or refusing to vacate the conditional transfer order in MDL In re Sterling Foster & Co., Inc., Securities Litigation. Plaintiffs shall repsond to any motions filed by defendants ten weeks after service of such motions and defendants shall reply to any opposition papers served by plaintiffs four weeks after service of such papers ; ( signed by Judge John S. Martin ) (djc) Modified on 02/01/2000 (Entered: 01/28/2000) 02/24/ CERTIFIED TRUE COPY OF MDL ORDER FROM THE MDL PANEL VACATING CONDITIONAL TRANSFER ORDER: It is therefore ordered that the motion to vacate is granted and the Panel's conditional transfer order designated as "CTO-4" filed on 10/22/99 be, and the same hereby is, vacated. (em) (Entered: 03/03/2000) 02/29/ Memo-Endorsement on letter addressed to Judge Martin from David A. Weintraub, dated 2/24/00; granting the parties' request that the Court permit the following schedule with respect to defts' motion to dismiss the class action complaint: Pltffs will serve opposition papers on 6/8/00; defts Bear Stearns and Mr. Harriton will serve reply papers on 7/10/00, and granting the parties request that Bear Stearns and Mr. Harriton may each file a memorandum of law in support of their motion no

7 longer than 45 pages; pltffs may file a memorandum of law in response to each motion no longer than 45 pages; and Bear Stearns and Mr. Harriton may each file a reply memorandum no longer than 18 pages. ( signed by Judge John S. Martin ); Copies mailed. (sn) (Entered: 03/01/2000) 03/31/ NOTICE OF MOTION by Bear, Stearns & Co., Bear, Stearns Sec. to dismiss the first Amended Complaint and each cause of action contained purs to FRCP 12(b)(6), 12(b)(1) and 9(b) ; Return date 7/11/00. (cd) (Entered: 04/03/2000) 03/31/ RULE 1.9 CERTIFICATE filed by Bear, Stearns & Co., Bear, Stearns Sec.. (cd) (Entered: 04/03/2000) 03/31/ DECLARATION of David Weintraub by Bear, Stearns & Co., Bear, Stearns Sec. in support Re: [25-1] motion to dismiss the first Amended Complaint and each cause of action contained purs to FRCP 12(b)(6), 12(b)(1) and 9(b). (cd) (Entered: 04/03/2000) 03/31/ NOTICE OF MOTION by Richard Harriton, for an order dismissing the First, Second, and Fifth Claims for relief in the First Amended and Consolidated Complaint, or in the alternative for an order staying so much of this action as is derived from and duplicative of the claims in Berwecky v. Bear, Stearns & Co, 97 Cv Return date 7/11/00. (ri) (Entered: 04/03/2000) 03/31/ MEMORANDUM OF LAW by Bear, Stearns & Co., Bear, Stearns Sec. in support of [28-1] motion for an order dismissing the First, Second, and Fifth Claims for relief in the First Amended and Consolidated Complaint, [28-2] motion for an order staying so much of this action as is derived from and duplicative of the claims in Berwecky v. Bear, Stearns & Co, 97 Cv 5318 (ri) (Entered: 04/03/2000) 03/31/ DECLARATION of Steven M. Haber by Richard Harriton in support Re: [28-1] motion for an order dismissing the First, Second, and Fifth Claims for relief in the First Amended and Consolidated Complaint, [28-2] motion for an order staying so much of this action as is derived from and duplicative of the claims in Berwecky v. Bear, Stearns & Co, 97 Cv (ri) (Entered: 04/03/2000) 03/31/ MEMORANDUM OF LAW by Richard Harriton in support of [28-1] motion for an order dismissing the First, Second, and Fifth Claims for relief in the First Amended and Consolidated Complaint, [28-2] motion for an order staying so much of this action as is derived from and duplicative of the claims in Berwecky v. Bear, Stearns & Co, 97 Cv 5318 (ri) (Entered: 04/03/2000) 06/08/ MEMORANDUM OF LAW by Ronald Goldberger, Craig Bier in opposition to [28-1] motion for an order dismissing the First, Second, and Fifth Claims for relief in the First Amended and Consolidated Complaint. (cd) (Entered: 06/09/2000) 06/08/ DECLARATION of Gregory Mark Nespole by Ronald Goldberger, Craig Bier Re: corrected copies of Exhibit A and Exhibit B (cd) (Entered: 06/09/2000) 06/26/ Memo-Endorsement on letter addressed to Judge Martin from Steven M. Haber, dated 6/22/00, Defts' Reply to Response to Motion reset to 8/4/00 for [28-1] motion for an order dismissing the First, Second, and Fifth Claims for relief the First Amended and Consolidated Complaint, reset to 8/4/00 for [25-1] motion to dismiss the first Amended Complaint and each cause of action contained purs to FRCP

8 12(b)(6), 12(b)(1) and 9(b) ( signed by Judge John S. Martin ); Copies mailed. (cd) (Entered: 06/26/2000) 08/04/ REPLY MEMORANDUM by Bear, Stearns & Co., Bear, Stearns Sec. in support of re: [25-1] motion to dismiss the first Amended Complaint and each cause of action contained purs to FRCP 12(b)(6), 12(b)(1) and 9(b). (sac) (Entered: 08/07/2000) 08/04/ DECLARATION of David A. Weintraub by Bear, Stearns & Co., Bear, Stearns Sec. in support Re: [25-1] motion to dismiss the first Amended Complaint and each cause of action contained purs to FRCP 12(b)(6), 12(b)(1) and 9(b). (sac) (Entered: 08/07/2000) 08/07/ REPLY MEMORANDUM by Richard Harriton in support re: [28-1] motion for an order dismissing the First, Second, and Fifth Claims for relief in the First Amended and Consolidated Complaint; [28-2] motion for an order staying so much of this action as is derived from and duplicative of the claims in Berwecky v. Bear, Stearns & Co, 97 Cv (sn) (Entered: 08/08/2000) 12/06/ AFFIRMATION of Gregory M.Nespole by Ronald Goldberger, Craig Bier, Dominic Poeta, Joseph Wincelowitz, Matt Jenkins, Alan Booth, John Callahan, Herman Dickens, Steve Endres, William Fraser, Steven Fuller, William Wierschem, Lorenzo Miceli, Sheldon Prenovitz in opposition to [28-1] motion for an order dismissing the First, Second, and Fifth Claims for relief in the First Amended and Consolidated Complaint; [28-2] motion for an order staying so much of this action is derived from and duplicative of the claims in Berwecky Bear, Stearns & Co, 97 Cv 5318; [25-1] motion to dismiss first Amended Complaint and each cause of action contained purs to FRCP 12(b)(6), 12(b)(1) and 9(b). (lf) (Entered: 12/07/2000) 12/28/ OPINION AND ORDER #84985, the claims against Bear Stearns for manipulation under 10(b) are dismissed. Because these are the only federal claims asserted, the Court will not retain jurisdiction over the state claims alleged. Therefore, the complaint is dismissed. ( signed by Judge John S. Martin ); Copies mailed. Forwarded to the Judgment Clerk. (sac) (Entered: 12/29/2000) 12/29/ JUDGMENT, that for the reasons stated in the Court's Opinion (84985) and Order dated 12/28/00, the complaint is dismissed (signed by James M. Parkison, Clerk of Court); Mailed copies and notice of right to appeal. Entered On Docket: 1/3/01 (cd) (Entered: 01/03/2001) 12/29/2000 Case closed. (cd) (Entered: 01/03/2001) 01/25/ NOTICE OF APPEAL by Ronald Goldberger, Craig Bier, Dominic Poeta, Joseph Wincelowitz, Matt Jenkins, Alan Booth, John Callahan, Herman Dickens, Steve Endres, William Fraser, Steven Fuller, Edward R. Tozzi, William Wierschem, Lorenzo Miceli, Sheldon Prenovitz ; from [40-1] judgment order, [39-1] order the claims against Bear Stearns for manipulation under 10(b) are dismissed. Because these are the only federal claims asserted, the Court will not retain jurisdiction over the state claims alleged. Therefore, the complaint is dismissed.. Copies of notice of appeal mailed to Attorney(s) of Record: Stephen M. Sacks, Esq., Scott B. Schreiber, Esq., JAmes L. Cooper, Esq., Peter L. Zimroth, Esq., Howard Wilson, Esq., Steven M. Haber, Esq. Nicholas E. Chimicles, Denise Davis Schwartzman

9 and Candice L.H. Hegedus. $ Appeal filing fee paid 1/25/01 on receipt # E (dt) (Entered: 01/25/2001) 01/25/2001 Notice of appeal and certified copy of docket to USCA: [41-1] appeal by Sheldon Prenovitz, Lorenzo Miceli, William Wierschem, Steven Fuller, William Fraser, Steve Endres, Herman Dickens, John Callahan, Alan Booth, Matt Jenkins, Joseph Wincelowitz, Dominic Poeta, Craig Bier, Ronald Goldberger ; Copy of notice of appeal sent to District Judge. (dt) (Entered: 01/25/2001) 03/22/2001 USCA Case Number Re: [41-1] appeal by Sheldon Prenovitz, Lorenzo Miceli, William Wierschem, Steven Fuller, William Fraser, Steve Endres, Herman Dickens, John Callahan, Alan Booth, Matt Jenkins, Joseph Wincelowitz, Dominic Poeta, Craig Bier, Ronald Goldberger USCA NUMBER: (dt) (Entered: 03/22/2001) 06/25/ MANDATE OF USCA WITHDRAWING APPEAL (certified copy) Re: withdrawing [41-1] appeal by Sheldon Prenovitz, Lorenzo Miceli, William Wierschem, Steven Fuller, William Fraser, Steve Endres, Herman Dickens, John Callahan, Alan Booth, Matt Jenkins, Joseph Wincelowitz, Dominic Poeta, Craig Bier, Ronald Goldberger. It is hereby stipulated and agreed that Plaintiffs- Appellants shall withdraw with prejudice their appeal to the United States Court of Appeals for the Second Circuit from the judgment entered in this action on the 3rd day of January Plaintiffs-Appellants and Defendants-Respondents will each be responsible for their own costs associated with the prosecution of this appeal. Certified: 6/19/01, Roseann B. MacKechnie, Clerk, U.S.C.A. (sb) (Entered: 06/28/2001) 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