U.S. District Court District of New Jersey (Newark) CIVIL DOCKET FOR CASE #: 2:96-cv WHW

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1 US District Court Civil Docket as of 11/30/2001 Retrieved from the court on Tuesday, August 9, 2005 U.S. District Court District of New Jersey (Newark) CIVIL DOCKET FOR CASE #: 2:96-cv WHW KAPLAN v. PRINS RECYCLING CORP, et al Assigned to: Judge William H. Walls Demand: $0 Cause: 15:78m(a) Securities Exchange Act Date Filed: 05/29/1996 Jury Demand: None Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question In Re PRINS SECURITIES LITIGATION Plaintiff LEWIS A. KAPLAN represented by JOHN A. MAHER 450 SPRINGFIELD AVENUE SUMMIT, NJ (908) V. Consol Plaintiff ROY BALLARD GARRETT BAUER, THOMAS FIELDS, DONNA FIELDS, SCOTT HOPKINS, TINA HOPKINS, WILLIAM K. KOPP, RICHARD MANFRE, LEWIS E. MILLER, MARK PRITIKIN, SHARON PRITIKIN, AND CHERYL STAR *****LEAD PLAINTIFFS represented by JOHN A. MAHER V. PRINS RECYCLING CORP HELLRING LINDEMAN GOLDSTEIN & SIEGAL ONE GATEWAY CENTER

2 NEWARK, NJ (973) CALO AGOSTINO, PC 14 WASHINGTON PLACE HACKENSACK, NJ (201) FRED L. PRINS MARC H. SHAENER JOHN C. ARMAS

3 V. Consol JAMES C. GALE Consol NOEL J. PRINS Consol RICHARD J. PRINS Consol PRINS FAMILY, L.P. Date Filed # Docket Text 05/29/ COMPLAINT filed FILING FEE $ 120 RECEIPT # (femp) (Entered: 05/30/1996) 05/29/ NOTICE of Allocation and Assignment filed. Magistrate JOEL A. PISANO (femp) (Entered: 05/30/1996) 05/30/1996 SUMMONS(ES) issued for PRINS RECYCLING CORP, FRED L. PRINS, MARC H. SHAENER, JOHN C. ARMAS ( 20 Days) (PICKED UP BY MESSENGER) (femp) (Entered: 05/30/1996) 06/13/ RETURN OF SERVICE executed as to PRINS RECYCLING CORP, FRED L. PRINS, MARC H. SHAENER, JOHN C. ARMAS 6/5/96 Answer due on 6/25/96 for JOHN C. ARMAS, for MARC H. SHAENER, for FRED L. PRINS, for PRINS RECYCLING CORP (ar) (Entered: 06/17/1996) 06/27/ STIPULATION and ORDER GRANTING (30) day ext, reset answer due for 7/26/96 for JOHN C. ARMAS, for MARC H. SHAENER, for FRED L. PRINS, for PRINS RECYCLING CORP ( signed by Judge William H. Walls )n/m (ar) (Entered: 06/28/1996) 07/08/ ORDER, set scheduling conference for 11:30 9/17/96 ( signed by Mag. Judge Joel A. Pisano ) (ar) (Entered: 07/09/1996) 07/29/ Notice of MOTION of Prins Plaintiffs Group to appoint certain reps as lead plaintiffs etc. by LEWIS A. KAPLAN, Motion hearing set for 9/9/96 on [7-1] motion w/cert svc. (Brief Subm) (ar) (Entered: 08/01/1996)

4 07/30/ ORDER for Administrative Termination. ( Signed by Judge William H. Walls ) n/m (ar) (Entered: 07/31/1996) 09/06/ Notice of MOTION for Case Reopen, and to consolidate cases: ; ; with Civil for all purposes by LEWIS A. KAPLAN, Motion hearing set for 10/15/96 on [8-1] motion, set for 10/15/96 on [8-2] motion w/aff of Michael G. Lange w/cert svc. (Brief/PO Subm) (ar) (Entered: 09/09/1996) 10/16/ Minute entry: Proceedings recorded by Ct-Reporter: None; Minutes of: 10/15/96; The following actions were taken, [8-1] motion for Case Reopen taken under advisement, [8-2] motion to consolidate cases: ; ; with Civil for all purposes taken under advisement - Rule 78 By Judge William H. Walls (cc) (Entered: 10/17/1996) 10/16/ LETTER ORDER denying [8-1] motion for Case Reopen denying [8-2] motion to consolidate cases: ; ; with Civil for all purposes ( signed by Judge William H. Walls ) (ar) (Entered: 10/21/1996) 11/13/ NOTICE OF APPEAL filed at 11:45 a.m. by LEWIS A. KAPLAN Re: [10-1] order, [6-1] order. Fee Status: pd. Copies of notice of appeal sent to USCA and Attorney(s): BRIAN D. WINTERS, JOHN A. MAHER (ar) (Entered: 11/13/1996) 11/25/ Transcript Purchase Order RE: [11-1] appeal re "none". (ar) (Entered: 11/26/1996) 11/26/1996 Record complete for purposes of appeal. (ar) (Entered: 11/26/1996) 11/26/ NOTICE of Docketing ROA from USCA Re: [11-1] appeal USCA NUMBER: (ar) (Entered: 11/27/1996) 05/12/ NOTICE of CHANGE of out of state counsel's firm name by LEWIS A. KAPLAN: from Zwerling, Schachter, Zwerling & Koppell, LLP to ZWERLING, SCHCHTER & ZWERLING, LLP (ar) (Entered: 05/13/1997) 06/13/ LETTER ORDER, set status conference for 2:00 6/19/97 ( signed by Mag. Judge Joel A. Pisano ) (DD) (Entered: 06/16/1997) 06/19/ Letter Order rescheduling conference of 6/19/97 to Tuesday, July 15, 1997 at 9:00 a.m. ( signed by Mag. Judge Joel A. Pisano ) (ar) (Entered: 06/20/1997) 12/17/ USCA MEMORANDUM OPINION (and JUDGMENT ) dismissing appeal for lack of jurisdiction w/costs taxed against appellants (ar) (Entered: 12/17/1997) 12/19/ Notice of MOTION for Case Reopen, to consolidate w/ cases Civ and Civ by pla LEWIS A. KAPLAN, Motion hearing set for 1/12/98 on [18-1] motion, set for 1/12/98 on [18-2] motion w/certsvc. (Brief/PO Subm) (femp) Modified on 12/22/1997 (Entered: 12/22/1997) 12/19/ AFFIDAVIT of JEFFREY C. BLOCK in support of [18-1] motion for Case Reopen, [18-2] motion to consolidate cases; w/exhibits (femp) (Entered: 12/22/1997) 02/18/ PRE-TRIAL ORDER NO. 2 granting [18-1] motion for Case Reopen ( signed by Judge William H. Walls ) n/m (ar) (Entered: 02/23/1998) 02/23/1998 Case reopened (ar) (Entered: 02/23/1998)

5 04/27/ Notice of MOTION to consolidate cases etc.and for entry of Pretrial Order No. 3 by LEWIS A. KAPLAN, Motion hearing set for 5/26/98 on [21-1] motion. (Brief/PO Subm) (ar) (Entered: 04/28/1998) 04/27/ Notice of MOTION to appoint certain representatives as Lead Plaintiffs by LEWIS A. KAPLAN, Motion hearing set for 5/26/98 on [22-1] motion w/cert svc. (Brief/PO Subm) (ar) (Entered: 04/28/1998) 04/27/ AFFIDAVIT of JEFFREY C. BLOCK on behalf of LEWIS A. KAPLAN Re: [22-1] motion to appoint certain representatives as Lead Plaintiffs (ar) (Entered: 04/28/1998) 06/09/ PRETRIAL ORDER NO. 3, reset case management/status conference for 9:30 9/16/98, and consolidating cases Civ , , into Lead Case (WHW); Consolidated Actions shall be referred to as "In re: Prins Securities Litigation;" appointing ROY BALLARD, GARRETT BAUER, THOMAS AND DONNA FIELDS, SCOTT AND TINA HOPKINS, WILLIAM K. KOPP, RICHARD MANFRE, LEWIS E. MILLER, MARK AND SHARON PRITIKIN, AND CHERYL STAR lead PLAINTIFFS; approving lead plaintiffs proposal for lead counsel etc.; appointing JOHN A. MAHER, Liaison Counsel for plaintiffs; directing plaintiffs to file a Consolidated and Amended Class Action Complaint within forty-five (45) days of entry of this order; ( signed by Mag. Judge Joel A. Pisano ) (ar) (Entered: 06/10/1998) 06/10/1998 Consolidated Lead Case (WHW) with Member Cases: ; ; and (ar) (Entered: 06/10/1998) 07/24/ AMENDED COMPLAINT by LEWIS A. KAPLAN, ROY BALLARD, amending [1-1] complaint (ar) (Entered: 07/24/1998) 08/03/ STIPULATION and ORDER Regarding Service of 3d pty subpoenas ( signed by Mag. Judge Joel A. Pisano ) n/m (ar) (Entered: 08/03/1998) 08/24/ STIPULATION and ORDER extending defts' time to answer Consolidated Amended Class Action Complaint frm 8/24/98 to October 2, ( signed by Judge William H. Walls ) n/m (ar) (Entered: 08/25/1998) 09/18/ ORDER for Administrative Termination. ( Signed by Judge William H. Walls ) n/m (ar) (Entered: 09/21/1998) 02/09/ ORDER of Preliminary Approval of Settlement etc.( signed by Judge William H. Walls ) n/m (ar) (Entered: 02/10/2000) 02/10/2000 Deadline updated; set miscellaneous hearing "Final Approval Hearing" to 10:00 5/8/00 for [0-0] relief (ar) (Entered: 02/10/2000) 06/02/ ORDER re pla counsels' joint application for award of fees and reimbursement of expenses. The fee applic is reduced from an award of 33% to 22% of the settlement fund i.e. $193,600 and GRANTING reimbursement of expenses of $51, ( signed by Judge William H. Walls )n/m (ar) (Entered: 06/05/2000) 06/02/ ORDER of FINAL APPROVAL, FINAL JUDGMENT AND ORDER OF DISMISSAL ( signed by Judge William H. Walls ) n/m/ (ar) (Entered: 06/05/2000)

6 11/30/ ORDER authorizing disbursement of the settlement fund. ( signed by Judge William H. Walls ) n/m (ar) (Entered: 12/03/2001) 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