U.S. District Court Western District of Tennessee (Memphis) CIVIL DOCKET FOR CASE #: 2:10-cv SHM-dkv

Transcription

1 US District Court Civil Docket as of 12/15/2010 Retrieved from the court on March 25, 2011 U.S. District Court Western District of Tennessee (Memphis) CIVIL DOCKET FOR CASE #: 2:10-cv SHM-dkv Jones et al v. Morgan Keegan & Company, Inc. et al Date Filed: 04/08/2010 Assigned to: Judge Samuel H. Mays, Jr Jury Demand: Plaintiff Referred to: Magistrate Judge Diane K. Vescovo Nature of Suit: 850 Lead case: 2:09-md SHM Securities/Commodities Member case: (View Member Case) Jurisdiction: Federal Question Cause: 15:77 Securities Fraud Plaintiff Charles Jones represented by Adam Julien Gana Individually and On Behalf of All Others NAPOLI BERN RIPKA & Similarly Situated ASSOCIATES, LLP 350 Fifth Avenue Suite 7413 New York, NY Frank L. Watson, III WATSON BURNS, LLC 11 South Idlewild Street Memphis, TN Fax: Jeffrey R. Sonn Sonn & Erez, PLC 500 East Broward Blvd. Ste Ft. Lauderdale, FL Fax: Marc Jay Bern Napoli Bern Ripka, LLP 350 Fifth Avenue, Suite 7413 New York, NY Fax:

2 Plaintiff Scott l. Adkins Sonn & Erez, PLC 500 East Broward Blvd. Sste Ft. Lauderdale, FL Fax: Ira Horowitz represented by Adam Julien Gana Individually and On Behalf of All Others Similarly Situated Plaintiff Frank L. Watson, III Jeffrey R. Sonn Marc Jay Bern Scott l. Adkins Edge Partners Ltd represented by Frank L. Watson, III Adam Julien Gana Jeffrey R. Sonn Marc Jay Bern

3 Scott l. Adkins V. Movant RMK Investor Group represented by J. Gerard Stranch, IV BRANSTETTER STRANCH & JENNINGS, PLLC 227 2nd Avenue North 4th Floor Nashville, TN Fax: V. Morgan Keegan & Company, Inc. represented by Matthew M. Curley BASS BERRY & SIMS PLC 150 Third Avenue South Ste Nashville, TN Michael L. Dagley BASS BERRY & SIMS PLC 150 Third Avenue South Ste Nashville, TN Fax: W. Brantley Phillips, Jr. BASS BERRY & SIMS PLC- Nashville 150 3rd Avenue South Suite 2800 Nashville, TN 37201

4 Morgan Asset Management, Inc represented by Matthew M. Curley Regions Financial Corporation RMK Advantage Income Fund, Inc. RMK Strategic Income Fund, Inc. RMK High Income Fund, Inc. RHY Multi-Sector High Income Fund, Inc. Carter E. Anthony Allen B. Morgan, Jr. Joseph C. Weller James Stillman R. McFadden Michael L. Dagley W. Brantley Phillips, Jr.

5 Archie W. Willis, III Mary S. Stone W. Randall Pittman J. Kenneth Alderman J. Thompson Weller James C. Kelsoe, Jr. David H. Tannehill Jack R. Blair Albert C. Johnson Charles D. Maxwell PricewaterhouseCoopers LLP represented by Emily Nicklin KIRKLAND & ELLIS LLP 300 North LaSalle Street Chicago, IL Fax: Kristopher S. Ritter KIRKLAND & ELLIS LLP 300 North LaSalle Street Chicago, IL Fax:

6 Timothy A. Duffy KIRKLAND & ELLIS LLP 300 North LaSalle Street Chicago, IL Fax: Eugene J. Podesta, Jr. BAKER DONELSON BEARMAN CALDWELL & BERKOWITZ First Tennessee Bank Building 165 Madison Ave. Ste Memphis, TN Fax: Leo Maurice Bearman, Jr. BAKER DONELSON BEARMAN CALDWELL & BERKOWITZ- Memphis First Tennessee Bank Building 165 Madison Ave. Ste Memphis, TN Fax: Date Filed # Docket Text 04/08/ COMPLAINT against All s (Filing fee $ ), filed by Charles Jones, Ira Horowitz. (Attachments: # 1 Civil Cover Sheet, # 2 joint notice of intent, # 3 order instituting proceedings, # 4 complaint - FIRA, # 5 plaintiff's certification - CHJ, # 6 plaintiff's certification - IAH, # 7 RMK - The Abuse of Structured Finance, # 8 judges' cards)(agj) (Entered: 04/09/2010) 04/09/ Case initiation fee: PAID $ 350, receipt number M (vjm) (Entered: 04/09/2010) 04/19/ Summons Issued as to Allen B. Morgan, Jr. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to Morgan Asset Management, Inc. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to Morgan Keegan & Company, Inc.. (jld) (Entered: 04/20/2010)

7 04/19/ Summons Issued as to J. Kenneth Alderman. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to J. Thompson Weller. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to James C. Kelsoe, Jr. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to Joseph C. Weller. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to Charles D. Maxwell. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to Carter E. Anthony. (jld) (Entered: 04/20/2010) 04/19/ Summons Issued as to David H. Tannehill. (jld) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Morgan Asset Management, Inc. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Morgan Asset Management, Inc. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Allen B. Morgan, Jr. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Carter E. Anthony. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Charles D. Maxwell. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to David H. Tannehill. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to J. Kenneth Alderman. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to J. Thompson Weller. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to James C. Kelsoe, Jr. (Watson, Frank) (Entered: 04/20/2010) 04/20/ SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Joseph C. Weller. (Watson, Frank) (Entered: 04/20/2010) 04/21/ MOTION for Leave to Appear Pro Hac Vice for Attorneys Jeffrey R. Sonn, Scott L. Adkins and Adam J. Gana (proposed order submitted) by Ira Horowitz, Charles Jones. (Watson, Frank) (Entered: 04/21/2010) 04/22/ MOTION to Appoint Counsel Plaintiffs Charles Jones, Ira Horowitz', and Edge Partners Ltd Motion for Appointment as Lead Plaintiffs (proposed order submitted) by All Plaintiffs. (Attachments: # 1 Memo in Support of Plaintiffs Motion for Appointment as Lead Plaintiff and in Opposition to TAL Groups Motion for Appointment as Lead Plaintiff, # 2 Exhibit A - Certifications of Plaintiffs Charles Jones, Edge Partners Ltd and Ira Horowitz, # 3 Exhibit B - Certification of Plaintiff C. Fred Daniels, Trustee Ad Litem, # 4 Exhibit C - Law Firm Resume of Napoli Bern Ripka, LLP, # 5 Exhibit D - Law Firm Resume of Sonn & Erez, PLC, # 6 Exhibit E - Declaration of Frank L.

8 TWatson, III)(Watson, Frank) (Entered: 04/22/2010) 04/27/ DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure, document 23 MOTION for Leave to Appear Pro Hac Vice for Attorneys Jeffrey R. Sonn, Scott L. Adkins and Adam J. Gana (proposed order submitted) filed by Charles Jones, Ira Horowitz has been filed. However, the following deficiency has been found: Please note that motion pro hac vices are submitted directly and only through the ECF policies and procedures(from the main webpage, you will click on 'Case Information' then in the drop down area click on ECF policies and procedures, then proceed to page 9 for instructions). (Motion will be termed from pending motion list). Thanks and if you have questions please call me at The filer has one business day to correct the deficiency. (jml) (Entered: 04/27/2010) 04/28/ NOTICE of Appearance by Matthew M. Curley on behalf of Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. (Curley, Matthew) (Entered: 04/28/2010) 04/28/ Corporate Disclosure Statement by Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. identifying Corporate Parent MK Holding, Inc. for Morgan Asset Management, Inc; Corporate Parent Regions Financial Corporation for Morgan Keegan & Company, Inc... (Curley, Matthew) (Entered: 04/28/2010) 04/28/ NOTICE of Appearance by Michael L. Dagley on behalf of Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. (Dagley, Michael) (Entered: 04/28/2010) 04/28/ NOTICE of Appearance by W. Brantley Phillips, Jr on behalf of Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. (Phillips, W.) (Entered: 04/28/2010) 04/29/ Summons Issued as to RHY Multi-Sector High Income Fund, Inc.. (vjm) (Entered: 04/29/2010) 04/29/ Summons Issued as to RMK Advantage Income Fund, Inc.. (vjm) (Entered: 04/29/2010) 04/29/ Summons Issued as to RMK Strategic Income Fund, Inc.. (vjm) (Entered: 04/29/2010) 04/29/ Summons Issued as to Regions Financial Corporation. (vjm) (Entered: 04/29/2010) 04/29/ MOTION for Leave to Appear Pro Hac Vice. (Attachments: # 1 Exhibit Declartion of Jeffrey R. Sonn, Esq., # 2 Exhibit Declartion of Scott L. Adkins, Esq., # 3 Exhibit Declaration of Adam J. Gana, Esq., # 4 Receipt #M123728)(jld) (Entered: 04/30/2010) 04/30/ NOTICE of Appearance by Leo Maurice Bearman, Jr on behalf of PricewaterhouseCoopers LLP (Bearman, Leo) (Entered: 04/30/2010) 04/30/ NOTICE of Appearance by Eugene J. Podesta, Jr on behalf of PricewaterhouseCoopers LLP (Podesta, Eugene) (Entered: 04/30/2010) 04/30/ ORDER granting 36 Motion for Leave to Appear Pro Hac Vice. Signed by Judge Samuel H. Mays, Jr on 4/30/2010. (Mays, Samuel) (Entered: 05/04/2010) 04/30/ Summons Issued as to James Stillman R. McFadden. (jld) (Entered: 05/04/2010)

9 04/30/ Summons Issued as to W. Randall Pittman. (jld) (Entered: 05/04/2010) 04/30/ Summons Issued as to Jack R. Blair. (jld) (Entered: 05/04/2010) 04/30/ Summons Issued as to Albert C. Johnson. (jld) (Entered: 05/04/2010) 04/30/ Summons Issued as to Mary S. Stone. (jld) (Entered: 05/04/2010) 04/30/ Summons Issued as to PricewaterhouseCoopers LLP. (jld) (Entered: 05/04/2010) 05/03/ NOTICE of Appearance by Emily Nicklin on behalf of PricewaterhouseCoopers LLP (Nicklin, Emily) (Entered: 05/03/2010) 05/03/ NOTICE of Appearance by Kristopher S. Ritter on behalf of PricewaterhouseCoopers LLP (Ritter, Kristopher) (Entered: 05/03/2010) 05/03/ NOTICE of Appearance by Timothy A. Duffy on behalf of PricewaterhouseCoopers LLP (Duffy, Timothy) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Regions Financial Corporation. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to PricewaterhouseCoopers LLP. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RMK Strategic Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RMK High Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RMK Advantage Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RHY Multi-Sector High Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Albert C. Johnson. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Jack R. Blair. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to James Stillman R. McFadden. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Mary S. Stone. (Watson, Frank) (Entered: 05/03/2010) 05/03/ SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to W. Randall Pittman. (Watson, Frank) (Entered: 05/03/2010) 05/12/ MOTION for Leave to Appear Pro Hac Vice of Attorney Marc J. Bern (proposed Order submitted) by All Plaintiffs. (Attachments: # 1 Exhibit 1 - Declaration of Marc Bern and Certificate of Good Standing)(Watson, Frank) (Entered: 05/12/2010) 05/12/ DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure,

10 document 58 MOTION for Leave to Appear Pro Hac Vice of Attorney Marc J. Bern (proposed Order submitted) filed by Charles Jones, Edge Partners Ltd, Ira Horowitz has been filed. However, the following deficiency has been found: Please note that Motion Pro Hac Vices are submitted directly and only through the 'phv link' located under policies and procedures(from our main webpage, you will go to Case Information, then in drop down area select ECF Policies and Procedures----go to page 9). Motion will be termed from pending motion list. Thanks and if you have questions please call me at The filer has one business day to correct the deficiency. (jml) (Entered: 05/12/2010) 05/12/ MOTION for Leave to Appear Pro Hac Vice. (Attachments: # 1 Declaration)(jld) (Entered: 05/13/2010) 05/18/ ORDER granting 60 Motion for Leave to Appear Pro Hac Vice as to Marc J. Bern. Signed by Judge Samuel H. Mays, Jr on 5/18/2010. (Mays, Samuel) (Entered: 05/19/2010) 07/02/ MOTION to Consolidate Cases, MOTION for Appointment as Lead Plaintiff, MOTION to Appoint Counsel, Proposed Order submitted by RMK Investor Group. (Attachments: # 1 Memorandum of Law in Support, # 2 Affidavit Declaration of J. Gerard Stranch, IV, in Support)(Stranch, J.) (Entered: 07/02/2010) 07/16/ RESPONSE to Motion re (164 in 2:07-cv SHM-dkv, 164 in 2:07-cv SHM-dkv, 164 in 2:07-cv SHM-dkv, 45 in 2:09-md SHM, 45 in 2:09- md shm, 45 in 2:09-md SHM) MOTION to Consolidate Cases MOTION for Appointment as Lead Plaintiff MOTION to Appoint Counsel Trustee Ad Litem's Response to Motions for Appointment as Lead Plaintiff and Approval of Lead Counsel filed by C. Fred Daniels. Associated Cases: 2:09-md SHM et al.(harvey, Albert) (Entered: 07/16/2010) 07/16/ RESPONSE to Motion re 62 MOTION to Consolidate Cases MOTION for Appointment as Lead Plaintiff MOTION to Appoint Counsel, Proposed Order submitted and in Opposition to Competing Motions filed by RMK Investor Group. (Attachments: # 1 Declaration of Alan I. Ellman, # 2 Exhibit 1 to the Decl. of Alan I. Ellman, # 3 Exhibit 2 to the Decl. of Alan I. Ellman, # 4 Exhibit 3 to the Decl. of Alan I. Ellman, # 5 Exhibit 4 to the Decl. of Alan I. Ellman)(Stranch, J.) (Entered: 07/16/2010) 07/23/ DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure, document 64 Response to Motion, filed by RMK Investor Group has been filed. However, the following deficiency has been found: Please note that document should reflect a certificate of service page. You will need to go under the notice other category then in the drop down area select 'notice of correction' and submit the certificate of service page only. Thanks and if you have questions pease call me at The filer has one business day to correct the deficiency. (jml) (Entered: 07/23/2010) 07/26/ Notice of Correction to 64 Response to Motion, Certificate of Service. (Stranch, J.) (Entered: 07/26/2010) 07/30/ REPLY to Response to Motion re (170 in 2:07-cv SHM-dkv) Response in Opposition to Motion,,,,,, (168 in 2:07-cv SHM-dkv) Response in Opposition to Motion,,, filed by RMK Investor Group. (Attachments: # 1 Reply Declaration of J. Gerard Stranch, IV, # 2 Exhibit A to the Reply Decl. of J. Gerard Stranch, IV, # 3

11 Exhibit B to the Reply Decl. of J. Gerard Stranch, IV, # 4 Exhibit C to the Reply Decl. of J. Gerard Stranch, IV, # 5 Exhibit D to the Reply Decl. of J. Gerard Stranch, IV, # 6 Exhibit E to the Reply Decl. of J. Gerard Stranch, IV, # 7 Exhibit F to the Reply Decl. of J. Gerard Stranch, IV)Associated Cases: 2:09-md SHM, 2:07-cv SHM-dkv, 2:10-cv SHM-dkv, 2:10-cv SHM-dkv(Stranch, J.) (Entered: 07/30/2010) 12/15/ ORDER ON PENDING MOTIONS Signed by Judge Samuel H. Mays, Jr., on December 15, (Mays, Samuel) (Entered: 12/15/2010) 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