U.S. District Court Middle District of Florida (Tampa) CIVIL DOCKET FOR CASE #: 8:96-cv HLA

Transcription

1 US District Court Civil Docket as of 08/20/1999 Retrieved from the court on Monday, March 20, 2006 U.S. District Court Middle District of Florida (Tampa) CIVIL DOCKET FOR CASE #: 8:96-cv HLA Palmer, et al v. Great Western Fin., et al Assigned to: Judge Henry Lee Adams, Jr Demand: $0 Cause: 15:0078m(a) Securities Exchange Act Plaintiff William L. Palmer Date Filed: 06/18/1996 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Alan Schulman Milberg, Weiss, Bershad, Hynes & Lerach LLP 600 W. Broadway, Suite 1800 San Diego, CA / Christi C. Mobley Appel, Chitwood & Harley 945 E. Paces Ferry Rd Resurgens Plaza Atlanta, GA / Craig G. Harley Chitwood & Harley 2900 Promenade Two 1230 Peachtree Street, N.E. Atlanta, GA / Jonathan L. Alpert The Alpert Law Firm 5920 River Terrace P.O. Box 3270 Tampa, FL / Fax: 813/

2 Judy S. Hoyer James, Hoyer, Newcomer, & Smiljanich, P.A. One Urban Centre, 4830 W. Kennedy Blvd. Suite 550 Tampa, FL / Fax: 813/ Martin D. Chitwood Chitwood & Harley 2300 Promenade Two 1230 Peachtree Street, N.E. Atlanta, GA / Fax: 404/ Jan M. Adler Milberg, Weiss, Bershad, Hynes & Lerach LLP 600 W. Broadway, Suite 1800 San Diego, CA / Pamela M. Parker Milberg, Weiss, Bershad, Hynes & Lerach LLP 600 W. Broadway, Suite 1800 San Diego, CA / Plaintiff Mary M. Palmer represented by Alan Schulman Christi C. Mobley

3 Craig G. Harley Jonathan L. Alpert Judy S. Hoyer Martin D. Chitwood Jan M. Adler Pamela M. Parker Plaintiff Leonard Sicari represented by Alan Schulman Christi C. Mobley Craig G. Harley Jonathan L. Alpert

4 Judy S. Hoyer Martin D. Chitwood Jan M. Adler Pamela M. Parker Plaintiff Marie Sicari represented by Alan Schulman Christi C. Mobley Craig G. Harley Jonathan L. Alpert Judy S. Hoyer Martin D. Chitwood Jan M. Adler Pamela M. Parker

5 Plaintiff Herbert Coffey individually and on behalf of a class of similarly situated persons represented by Chris A. Barker Barker, Rodems & Cook, P.A. 400 North Ashley Drive, #2100 Tampa, FL / Fax: 813/ cbarker@barkerrodemsandcook.com Craig G. Harley Jonathan L. Alpert Martin D. Chitwood Patrick B. Calcutt Calcutt & Calcutt, P.A th Ave. N.E. St. Petersburg, FL / Fax: 727/ calcuttlaw@tampabay.rr.com Plaintiff Mildred Coffey individually and on behalf of a class similarly situated persons represented by Chris A. Barker Craig G. Harley Jonathan L. Alpert

6 Martin D. Chitwood Patrick B. Calcutt Plaintiff Roger H. Ellis individually and as trustees of the Ellis Family Trust UTD 12/22/81 and on behalf of a class of similarly situated persons represented by Chris A. Barker Craig G. Harley Jonathan L. Alpert Martin D. Chitwood Patrick B. Calcutt Plaintiff Virginia S. Ellis individually and as trustees of the Ellis Family Trust, UTD 12/22/81 and on behalf of a class of similarly situated persons represented by Chris A. Barker Craig G. Harley Jonathan L. Alpert

7 Martin D. Chitwood Patrick B. Calcutt V. Defendant Great Western Financial Corporation a corporation represented by Howard E. Heiss Morrison & Foerster 1290 Avenue of the Americas New York, NY / Maren E. Nelson Morrison & Foester LLP 555 West Fifth Street Suite 3500 Los Angeles, CA / Michael S. Hooker Glenn, Rasmussen, Fogarty & Hooker, PA 100 S. Ashley Dr., Suite 1300 P.O. Box 3333 Tampa, FL / ext:318 Fax: 813/ mhooker@glennrasmussen.com Defendant Great Western Bank a federal savings bank represented by Maren E. Nelson Michael S. Hooker

8 Defendant Great Western Financial Securities Corporation a corporation represented by Maren E. Nelson Michael S. Hooker Defendant Great Western Investment Management Corporation represented by Maren E. Nelson Michael S. Hooker Defendant Sierra Investment Services Corporation represented by Maren E. Nelson Michael S. Hooker Defendant Sierra Investment Advisors Corporation represented by Maren E. Nelson

9 Michael S. Hooker Defendant Sierra Fund Administration Corporation represented by Maren E. Nelson Michael S. Hooker Defendant Great Western Investment Management Corporation Movant John Pinney represented by Alan Schulman John Ray Newcomer, Jr. James, Hoyer, Newcomer & Smiljanich, P.A. One Urban Centre, Suite W. Kennedy Blvd. Tampa, FL / Movant Helen Pinney represented by Alan Schulman

10 John Ray Newcomer, Jr. Movant Chrystell Cohen represented by Alan Schulman John Ray Newcomer, Jr. Movant LaVon Evans represented by Alan Schulman John Ray Newcomer, Jr. Movant John Mitchell represented by Alan Schulman John Ray Newcomer, Jr. Movant Roy Stevenson represented by Alan Schulman John Ray Newcomer, Jr.

11 Date Filed # Docket Text 06/18/ CLASS ACTION COMPLAINT filed - Private Securities Litigation Reform Act; attachments. (crb) (Entered: 06/19/1996) 06/18/ NOTICE of filing certifications as required by the Securities Exchange Act by William L. Palmer, Mary M. Palmer, Leonard Sicari and Marie Sicari. Attachments. (crb) (Entered: 06/19/1996) 06/18/1996 MAGISTRATE JUDGE CASE ASSIGNMENT Magistrate assigned: Elizabeth Jenkins (crb) (Entered: 06/19/1996) 06/24/ NOTICE of designation under Local Rule TRACK 2. (ctc) (crb) (Entered: 06/25/1996) 06/26/ MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari with memorandum in support to reassign case from track two to track three (crb) (Entered: 06/27/1996) 07/02/ NOTICE OF LIS PENDENS with memorandum filed by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 07/02/1996) 08/01/ ORDER granting [4-1] plaintiffs' motion to reassign case from track two to track three. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 08/02/1996) 08/13/ AMENDED NOTICE of designation under Local Rule TRACK 3. (ctc) (crb) (Entered: 08/13/1996) 08/13/ NOTICE of filing waiver of service of summons [9-15] by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 08/14/1996) 08/13/ WAIVER OF SERVICE Returned Executed as to Great Western Financial 8/8/96 Answer due on 10/7/96 for Great Western Financial. (crb) (Entered: 08/14/1996) 08/13/ WAIVER OF SERVICE Returned Executed as to Great Western Bank 8/8/96 Answer due on 10/7/96 for Great Western Bank (crb) (Entered: 08/14/1996) 08/13/ WAIVER OF SERVICE Returned Executed as to Great Western Security 8/8/96 Answer due on 10/7/96 for Great Western Security (crb) (Entered: 08/14/1996) 08/13/ WAIVER OF SERVICE Returned Executed as to Great Western Investment 8/8/96 Answer due on 10/7/96 for Great Western Investment (crb) (Entered: 08/14/1996) 08/13/ WAIVER OF SERVICE Returned Executed as to Sierra Investment Advisors 8/8/96 Answer due on 10/7/96 for Sierra Investment Advisors (crb) (Entered: 08/14/1996) 08/13/ WAIVER OF SERVICE Returned Executed as to Sierra Investment Services

12 8/8/96 Answer due on 10/7/96 for Sierra Investment Services (crb) (Entered: 08/14/1996) 08/13/ WAIVER OF SERVICE Returned Executed as to Sierra Fund Adminstration 8/8/96 Answer due on 10/7/96 for Sierra Fund Administration (crb) (Entered: 08/14/1996) 08/14/ NOTICE OF SERVICE of [7-1] amended notice of track 3 by William L. Palmer and plaintiffs. (crb) (Entered: 08/14/1996) 08/27/ NOTICE OF LIS PENDENS filed by Great Western Financial and defendants. (crb) (Entered: 08/28/1996) 08/28/ UNOPPOSED MOTION by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Invvestment Services, Sierra Investment Advisors, Sierra Fund to extend time to 10/07/96 in which to answer ; proposed order submitted. (crb) (Entered: 08/28/1996) 08/28/ MEMORANDUM by Great Western Financial and defendants in support of [18-1] motion to extend time. (crb) (Entered: 08/28/1996) 09/03/ ORDER granting [18-1] defendants' motion to extend time;, reset answer due for 10/7/96 for defendants ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 09/03/1996) 09/09/ APPLICATION of Non-Resident Counsel, Maren E. Nelson, and Designation of Local Counsel, Michael S. Hooker, as to Great Western Financial. (crb) (Entered: 09/10/1996) 09/10/ APPLICATION of Non-Resident Counsel, Howard E. Heiss, and Designation of Local Counsel, Michael S. Hooker, on behalf of Great Western Financial. (crb) (Entered: 09/11/1996) 09/13/ NOTICE of special attorney appearance as additional counsel for William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari by (gw) (Entered: 09/16/1996) 09/13/ APPLICATION of Non-Resident Counsel and Designation of Local Counsel as to William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Local Counsel: Jonathan Alpert. Non-Resident Counsel: Christi C. Mobley. (gw) (Entered: 09/16/1996) 09/13/ APPLICATION of Non-Resident Counsel and Designation of Local Counsel as to William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Local Counsel: Jonathan Alpert. Non-Resident Counsel: Martin D. Chitwood. (gw) (Entered: 09/16/1996) 09/13/ APPLICATION of Non-Resident Counsel and Designation of Local Counsel as to William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Local Counsel: Jonathan Alpert. Non-Resident Counsel: Craig G. Harley. (gw) (Entered: 09/16/1996) 09/16/ MOTION by William L. Palmer to certify class action (gw) (Entered: 09/17/1996) 09/16/ MOTION by William L. Palmer for leave to file brief in excess of 20 pages

13 Proposed brief submitted. (gw) (Entered: 09/17/1996) 09/16/ NOTICE of filing unpublished authority in support of motion for class certification by William L. Palmer. Exhibits attached. (gw) (Entered: 09/17/1996) 09/19/ NOTICE of filing case mangement report by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 09/19/1996) 09/19/ CASE MANAGEMENT REPORT. (crb) (Entered: 09/19/1996) 09/24/ ORDER granting [28-1] plaintiffs' motion for leave to file brief in excess of 20 pages. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 09/24/1996) 09/24/ MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in support of [27-1] motion to certify class action. (crb) (Entered: 09/24/1996) 09/27/ MOTION by Great Western Financial to communicate with potential class members (crb) (Entered: 09/30/1996) 09/27/ MEMORANDUM by Great Western Financial in support of [34-1] motion to communicate with potential class members. Attachments. (crb) (Entered: 09/30/1996) 09/27/ NOTICE of filing certificate of good faith [37] by Great Western Financial. (crb) (Entered: 09/30/1996) 09/27/ CERTIFICATE OF GOOD FAITH of by Great Western Financial Re: [34-1] motion to communicate with potential class members. (crb) (Entered: 09/30/1996) 09/27/1996 RECEIVED proposed order for [34]. (crb) (Entered: 09/30/1996) 10/04/ MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [34-1] defendants' motion to communicate with potential class members. (crb) (Entered: 10/08/1996) 10/04/ REQUEST for oral argument by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [38-1] opposition memorandum. (crb) (Entered: 10/08/1996) 10/08/ DISPOSITIVE MOTION by Great Western Financial and defendants to dismiss (crb) (Entered: 10/08/1996) 10/08/ MEMORANDUM by Great Western Financial and defendants in support of [39-1] motion to dismiss. Proposed order attached. (crb) (Entered: 10/08/1996) 10/08/1996 RECEIVED appendix and unreported cases cited in support of motion to dismiss [39]. Stored in expandable folder. (crb) (Entered: 10/08/1996) 10/22/ MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [39-1] defendants' motion to dismiss. (crb) (Entered: 10/24/1996) 10/22/ NOTICE of filing unpublished authority in support of memorandum in opposition to defendants' motion to dismiss [41] by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 10/24/1996)

14 11/06/ ORDER that parties shall file an amended case management report within 10 days of any order resolving defendants' motion to dismiss. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 11/07/1996) 11/12/ NOTICE of filing supplemental authority in support of motion for class certification dated 09/16/96 by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Attachment. (crb) (Entered: 11/13/1996) 11/15/ MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari with memorandum in support to compel production referred to Magistrate Judge Elizabeth A. Jenkins. Attachments. (crb) (Entered: 11/15/1996) 11/20/ NOTICE of filing depositions of Leonard Sicari, Marie Sicari, William Palmer, Mary Palmer, Gregory S. Kirkland and Michael Sheldon Frank, by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 11/21/1996) 11/20/ DEPOSITION of Leonard A. Sicari by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/ DEPOSITION of Marie Sicari by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/ DEPOSITION of William Palmer by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/ DEPOSITION of Mary Palmer by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/ DEPOSITION of Gregory S. Kirkland by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/ DEPOSITION of Michael Sheldon Frank by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/22/ NOTICE of filing additional deposition of Georgia Schwab [54] in support of plaintiffs' motion for class certification by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 11/25/1996) 11/22/ DEPOSITION of Georgia Schwab by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. (crb) (Entered: 11/25/1996) 11/29/ UNOPPOSED MOTION by Great Western Financial and defendants memorandum in support for leave to file brief in opposition to motion to certify class in excess of 20 pages (crb) (Entered: 12/02/1996) 11/29/ MEMORANDUM by Great Western Financial and defendants in opposition to [27-1] motion to certify class action. (crb) (Entered: 12/02/1996)

15 11/29/ DECLARATION of Maren E. Nelson by Great Western Financial and defendants in support of [56-1] opposition memorandum. Attachments. (crb) (Entered: 12/02/1996) 12/05/ MEMORANDUM by Great Western Financial and defendants in opposition to [45-1] plaintiffs' motion to compel. Attachments. (crb) (Entered: 12/05/1996) 12/05/ NOTICE of filing unpublished authority in support of memorandum in opposition to motion to compel [59] by Great Western Financial and defendants. Attachments. (crb) (Entered: 12/05/1996) 12/10/ ORDER granting [55-1] defendants' unopposed motion for leave to file brief in opposition to motion to certify class in excess of 20 pages. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 12/10/1996) 12/16/ NOTICE of filing deposition errata sheets of Michael Sheldon Frank, 11/20/96, and Gregory S. Kirkland, 11/20/96, in support of motion for class certification by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Attachments. (crb) (Entered: 12/16/1996) 12/27/ ORDER denying without prejudice to refile; [45-1] plaintiffs' motion to compel production. ( Signed by Magistrate Judge Elizabeth A. Jenkins ) ctc (crb) (Entered: 12/30/1996) 01/30/ MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari to add Hubert J. Coffey, Mildred F. Coffey and Matthew R. Lifschiz as California parties plaintiff and class representatives (crb) (Entered: 01/31/1997) 01/30/ MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in support of [63-1] motion to add Hubert J. Coffey, Mildred F. Coffey and Matthew R. Lifschiz as class representatives. (crb) (Entered: 01/31/1997) 02/05/ NOTICE of filing supplemental authority in opposition to defendants' motion to dismiss and in support of plaintiffs' motion for class certification by William L. Palmer. Exhibits attached. (gw) (Entered: 02/07/1997) 02/07/ MOTION by Great Western Financial with memorandum in support for leave to file supplemental authority in support of motion to dismiss, & for leave to file supplemental authority in opposition to motion for class certification Proposed Notice of Filing attached, proposed order submitted. (gw) (Entered: 02/10/1997) 02/07/ AMENDED AND SUPPLEMENTAL NOTICE of Pendency of Other Class Actions by William L. Palmer. Exhibits attached. (gw) (Entered: 02/10/1997) 02/13/ MOTION by John Pinney, Helen Pinney, Chrystell Cohen, LaVon Evans, John Mitchell, Roy Stevenson, movants, to intervene for limited purpose of objecting to plaintiffs' motion to add California parties plaintiff/class representatives (crb) (Entered: 02/14/1997) 02/13/ MEMORANDUM of points and authorities of Pinney Class by John Pinney, Helen Pinney, Chrystell Cohen, LaVon Evans, John Mitchell, Roy Stevenson, movants, in opposition to [63-1] plaintiffs' motion to add California parties plaintiff and class representatives. (crb) (Entered: 02/14/1997)

16 02/13/ DECLARATION of Alan Schulman by John Pinney, Helen Pinney, Chrystell Cohen, LaVon Evans, John Mitchell, Roy Stevenson, movants, re: [69-1] opposition memorandum. (crb) (Entered: 02/14/1997) 02/14/ MEMORANDUM by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund in opposition to [63-1] plaintiffs' motion to add Hubert J. Coffey, Mildred F. Coffey and Matthew R. Lifschiz as California parties plaintiff and class representatives. Attachment. (crb) (Entered: 02/14/1997) 02/14/ AFFIDAVIT of Barbara Luttenberger by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund re: [71-1] opposition memorandum. (crb) (Entered: 02/14/1997) 02/14/ NOTICE of filing unpublished authority in support of memorandum in opposition [71] by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund. Attachment. (crb) (Entered: 02/14/1997) 02/24/ MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [66-1] defendants' motion for leave to file supplemental authority in support of motion to dismiss, [66-2] motion for leave to file supplemental authority in opposition to motion for class certification. (crb) (Entered: 02/26/1997) 02/27/ NOTICE of appearance of non-resident counsel firm, Milberg Weiss, and local counsel firm, James Hoyer, on behalf of plaintiffs William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 02/28/1997) 02/27/ AFFIDAVIT of Alan Schulman by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari Re: [75-1] counsel appearance and designation. (crb) (Entered: 02/28/1997) 02/27/ AFFIDAVIT of Jan M. Adler by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari Re: [75-1] counsel appearance and designation. (crb) (Entered: 02/28/1997) 02/27/ AFFIDAVIT of Pamela M. Parker by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari Re: [75-1] counsel appearance and designation. (crb) (Entered: 02/28/1997) 03/03/ RESPONSE by Great Western Financial and defendants to [68-1] motion of Pinney Class to intervene for limited purpose. (crb) (Entered: 03/04/1997) 03/03/ RESPONSE by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari to [68-1] motion to intervene for limited purpose of objecting to plaintiffs' motion to add California parties plaintiff/class representatives (cek) (Entered: 03/05/1997) 06/10/ NOTICE of filing supplemental authority in support of motion to dismiss, in opposition to plaintiffs' motion for class certification and in opposition to plaintiffs' motion to add California parties plaintiff class representatives by Great Western Financial, Great Western Bank, Great Western Securities, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund

17 Administration. Attachments. (crb) (Entered: 06/11/1997) 07/07/ JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari and defendants Great Western Financial, Great Western Bank, Great Western Securties, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund Adminstration for case management conference (crb) (Entered: 07/09/1997) 09/24/ JOINT STATUS REPORT by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Great Western Sec, Great Western Inv, Sierra Inv. Services, Sierra Inv. Advisors, Sierra Fund Admin. (rjc) (Entered: 09/24/1997) 09/29/ ORDER that the following motions are moot: [68-1] motion to intervene; [66-1] motion for leave to file; [66-2] motion for leave to file; [63-1] motion to add parties; [39-1] motion to dismiss; [34-1] motion to communicate with potential class members; [27-1] motion to certify class action; Plaintiffs shall file an amended complaint and motion for class certification forthwith; defendants have 20 days thereafter to respond; granting [82-1] joint motion for case management conference. Conference to be set at a later date. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 09/29/1997) 11/25/ AMENDED CLASS ACTION COMPLAINT with jury demand by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari; amending [1-1] complaint; terminated defendants Sierra Fund, Sierra Investment Advisors, Sierra Investment Services, Great Western Investment Management Corporation. Answer due 12/5/97 for Great Western Securities, Great Western Bank, Great Western Financial. (crb) (Entered: 11/26/1997) 11/25/ NOTICE of filing certifications regarding amended complaint by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis; attachments. (crb) (Entered: 11/26/1997) 12/15/ DISPOSITIVE MOTION by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment Management to strike [85-1] amended complaint or, in the alternative, to dismiss the amended complaint (crb) (Entered: 12/16/1997) 12/15/ MEMORANDUM by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment Management in support of [87-1] dispositive motion to strike [85-1] amended complaint; [87-2] motion to dismiss the amended complaint. Attachments. Proposed order submitted. (crb) (Entered: 12/16/1997) 01/05/ MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [87-1] defendants' dispositive motion to strike [85-1] amended complaint, [87-2] motion to dismiss the amended complaint. Proposed order submitted. (crb) (Entered: 01/06/1998) 01/21/ JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv for the entry of an order regarding class certification briefing schedule (jlh) (Entered:

18 01/22/1998) 03/05/ ORDER regarding class certification briefing schedule; re: [90-1] joint motion for briefing schedule; set plaintiff's motion for class certification deadline for 4/7/98 ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 03/06/1998) 01/22/ ORDER granting in part, denying in part [87-1] motion to strike [85-1] amended complaint, granting in part, denying in part [87-2] motion to dismiss the amended complaint. Plaintiffs shall file a motion for class certification no later than 5/28/99. See order for details. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 01/25/1999) 02/26/ STIPULATED JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Financial, Great Western Bank, Great Western Securities, Great Western Inv. with memorandum in support requesting entry of order regarding class certification briefing and discovery (eec) (Entered: 03/01/1999) 03/05/ ORDER REGARDING CLASS CERTIFICATION BRIEFING SCHEDULE AND DISCOVERY: formal discovery is stayed to and including 5/31/99; responses to the document request and requests for answers to interrogatories shall be served on or before 6/30/99; plaintiffs shall file their motion for class certification no later than 8/30/99. See order for further details. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 03/08/1999) 05/25/ STATUS REPORT by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Financial, Great Western Bank, Great Western Securities, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Investor (jnb) (Entered: 05/26/1999) 05/25/ MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Financial, Great Western Bank, Great Western Securities, Herbert Coffey, Mildred Coffey, Roger H. Virginia S. Ellis, Great Western Investors to extend time dates of order regarding class (jnb) (Entered: 05/26/1999) 06/09/ ORDER that formal discovery through the processes of this court is stayed pending further order, with the court being of the understanding and anticipating that the parties have reached a settlement in principle. On or before 6/30/99, the parties shall submit to the court a joint motion for approval of settlement. All other ordered dates are hereby vacated. ( Signed by Judge Henry L. Adams Jr. ) ctc (wlb) (Entered: 06/11/1999) 06/30/ STATUS REPORT by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Investors, Great Western Financial, Great Western Bank, Great Western Securities (mrh) (Entered: 07/01/1999) 06/30/ MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Financial, Great Western Bank, Great Western Securities, Great Western Investors to extend deadlines set in [96-1] order (mrh) (Entered: 07/01/1999) 07/14/ ORDER regarding status report and settlement and that discovery is stayed pending

19 further order; On or before 7/31/99 the parties shall submit a joint motion for approval of settlement ( Signed by Judge Henry L. Adams Jr. ) ctc (jlh) (Entered: 07/14/1999) 07/30/ JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv to approve settlement, and to dismiss action (eec) (Entered: 08/02/1999) 07/30/ MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv in support of [99-1] joint motion to approve settlement, [99-2] joint motion to dismiss action. (eec) (Entered: 08/02/1999) 07/30/ AFFIDAVIT of Maren E. Nelson by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Re: [99-1] joint motion to approve settlement, [99-2] joint motion to dismiss action. (eec) (Entered: 08/02/1999) 07/30/ AFFIDAVIT of Jonathan L. Alpert by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv Re: [99-1] joint motion to approve settlement, [99-2] joint motion to dismiss action. (eec) (Entered: 08/02/1999) 07/30/ STIPULATION AND AGREEMENT of compromise and settlement by plaintiff William L. Palmer, plaintiff Mary M. Palmer, plaintiff Leonard Sicari, plaintiff Marie Sicari, defendant Great Western Fin, defendant Great Western Bank, defendant Great Western Sec, plaintiff Herbert Coffey, plaintiff Mildred Coffey, plaintiff Roger H. Ellis, plaintiff Virginia S. Ellis, defendant Great Western Inv. (eec) (Entered: 08/02/1999) 08/05/ ORDER set status conference for 8:30 8/18/99 Scheduled for Judge Henry L. Adams Jr. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 08/06/1999) 08/19/ MINUTE ENTRY: status conference held on 8/18/99 before Judge Henry Lee Adams, Jr. Court approves settlement. Counsel to submit proposed order. Court Reporter: Kathleen Walden. (eec) (Entered: 08/20/1999) 08/19/1999 Status conference held on 8/18/99. (eec) Modified on 08/24/1999 (Entered: 08/20/1999) 08/20/ ORDER granting [99-1] joint motion to approve settlement, granting [99-2] joint motion to dismiss action. Defendants are released from all liability. This action is dismissed with prejudice. See order for details. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 08/23/1999) 08/20/1999 CASE CLOSED. (eec) (Entered: 08/23/1999) 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

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