U.S. District Court District of Minnesota (DMN) CIVIL DOCKET FOR CASE #: 0:97-cv ADM-AJB

Transcription

1 US District Court Civil Docket as of 04/03/2002 Retrieved from the court on Wednesday, July 13, 2005 U.S. District Court District of Minnesota (DMN) CIVIL DOCKET FOR CASE #: 0:97-cv ADM-AJB In Re: Photran Corp Secur, et al v., et al Assigned to: Judge Ann D Montgomery Referred to: Magistrate Judge Arthur J Boylan Demand: $0 Lead case: 0:97-cv ADM-AJB (View Member Cases) Cause: 15:77 Securities Fraud Date Filed: 05/07/1997 Jury Demand: None Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff Richard Radman represented by I Stephen Rabin Rabin Murray & Frank LLP 275 Madison Ave 34th Fl New York, NY (212) Leo W Desmond Not Admitted Randall H Steinmeyer Lerach Coughlin Stoia Geller Rudman & Robbins LLP - SD 401 B St Ste 1700 San Diego, CA (619) randalls@lcsr.com Plaintiff Richard Ruohonen on behalf of themselves and all others similarly situated represented by I Stephen Rabin (See above for address) Leo W Desmond (See above for address)

2 Randall H Steinmeyer (See above for address) V. Photran Corp. represented by Bruce C Recher Henson & Efron, PA 220 S 6th St Ste 1800 Mpls, MN (612) Fax: brecher@hensonefron.com Scott A Neilson Henson & Efron, PA 220 S 6th St Ste 1800 Mpls, MN (612) Fax: sneilson@hensonefron.com John G Kinnard & Company, Inc. represented by Frank Alan Taylor Briggs & Morgan 2200 IDS Ctr 80 S 8th St Mpls, MN Fax: David E Stevenson represented by Elizabeth Plitzuweit Messerli & Kramer 1800 Fifth St Twrs 150 S 5th St

3 Mpls, MN (612) Fax: George R Serdar Messerli & Kramer 1800 Fifth St Twrs 150 S 5th St Mpls, MN (612) Fax: gserdar@mandklaw.com William J Mauzy Law Offices of William J Mauzy 510 1st Ave N Ste 610 Mpls, MN Fax: wmauzy@mauzylawfirm.com TERMINATED: 01/12/1998 Paul T Fink represented by Lawrence J Field Leonard Street and Deinard - Mpls 150 S 5th St Ste 2300 Mpls, MN (612) Fax: lawrence.field@leonard.com Kathleen V Stevenson represented by Michael Berens Kelly & Berens, PA 80 S 8th St Ste 3720 Mpls, MN (612) Fax:

4 Wendy A Snyder Law Firm Unknown Robert S Clarke represented by Alan M Anderson Fulbright & Jaworski - Mpls 80 S 8th St Ste 2100 Mpls, MN Fax: aanderson@fulbright.com Christopher K Larus Fulbright & Jaworski - Mpls 80 S 8th St Ste 2100 Mpls, MN Fax: clarus@fulbright.com Terrence E Bishop Larkin Hoffman Daly & Lindgren Ltd 7900 Xerxes Ave S Ste 1500 Mpls, MN Fax: tbishop@larkinhoffman.com Steven King represented by Alan M Anderson (See above for address) Christopher K Larus (See above for address) Terrence E Bishop

5 (See above for address) Deloitte & Touche LLP represented by Irene Cannon-Geary Deloitte & Touche 1633 Broadway New York, NY (212) Kathleen S Beecher Sidley Austin Brown & Wood 1501 K St NW Washington, DC (202) Lawrence M Shapiro Greene Espel 200 S 6th St Ste 1200 Mpls, MN lshapiro@gr-espel.com Ronald S Flagg Sidley Austin Brown & Wood 1501 K St NW Washington, DC (202) Date Filed # Docket Text 05/07/ COMPLAINT - Summons issued. Assigned to Judge Ann D. Montgomery per Securities list and referred to Magistrate Judge Jonathan G. Lebedoff; demand trial by jury (22pgs) ( (Entered: 05/07/1997) 05/15/ MOTION by defendant John G Kinnard & Co for preliminary injunction ( to Judge Ann D. Montgomery. ) (2 pgs) (MKC) (Entered: 05/19/1997) 05/15/ AFFIDAVIT of Ted S. Meikle regarding motion for preliminary injunction.[2-1] (9

6 pgs) (MKC) (Entered: 05/19/1997) 05/15/ MOTION by defendant John G Kinnard & Co to dismiss. ( Oral argument requested) ( to Judge Ann D. Montgomery ) (3 pgs) (MKC) (Entered: 05/19/1997) 05/16/ AFFIDAVIT of Ted S. Meikle 3pgs (PAK) (Entered: 05/22/1997) 05/19/ MEMORANDUM by defendant John G Kinnard & Co in support of motion for preliminary injunction. [2-1] (14 pgs) (MKC) (Entered: 05/19/1997) 05/27/ REPLY by defendant John G Kinnard & Co to motion for preliminary injunction [2-1] (12 pgs) (JMR) (Entered: 05/30/1997) 05/27/ Third AFFIDAVIT of Ted S. Meikle (16 pgs) (JMR) (Entered: 05/30/1997) 05/27/ AFFIDAVIT of Robyn Mason (6 pgs) (JMR) (Entered: 05/30/1997) 05/27/ AFFIDAVIT of John Knoll (3 pgs) (JMR) (Entered: 05/30/1997) 05/27/ AFFIDAVIT of Shirley Latz (3 pgs) (JMR) (Entered: 05/30/1997) 05/28/ MOTION by plaintiffs for order shortening the time to withdraw a filing uner Rule 11. ( to Judge Ann D. Montgomery. ) ret 5/27/97 (3 pgs) (MKC) (Entered: 05/30/1997) 05/28/ MEMORANDUM by plaintiffs in support of motion for order shortening the time to withdraw a filing uner Rule 11. [12-1] (3 pgs) (MKC) (Entered: 05/30/1997) 05/28/ AFFIDAVIT of Randall H. Steinmeyer in opposition to defendant Kinnard's motion for preliminary injunction. [2-1] (29 pgs) (MKC) (Entered: 05/30/1997) 05/29/ PETITION AND ORDER for admission pro hac vice ( Clerk Francis E. Dosal ) on behalf of pltfs by I. Stephen Rabin. (1pg) (CJF) (Entered: 05/30/1997) 05/29/ MINUTES:( Magistrate Judge Jonathan G. Lebedoff / ) SETTLEMENT/STATUS CONFERENCE. TRO withdrawn; Rule 11 motion withdrawn. All issued in today's motion before Judge Mongomery are resolved. (1 pg) (MKC) (Entered: 06/04/1997) 06/03/ MOTION by defendant Paul T Fink to extend time to answer of otherwise plead to Plaintiffs' complaint. ( to Magistrate Judge Jonathan G. Lebedoff ) ret at 1:45. (2 p gs) (MKC) (Entered: 06/04/1997) 06/06/ MOTION by defendant Photran Corp. for extension of time to answer or otherwise plead to pltfs complaint ( to Magistrate Judge Jonathan G. Lebedoff ) ret. 6/3/97 at 1:45 p.m. (2pgs) ( (Entered: 06/09/1997) 06/06/ MEMORANDUM by defendant Photran Corp. in support of motion for extension of time to answer or otherwise plead to pltfs complaint [17-1] (4pgs) ( (Entered: 06/09/1997) 06/06/ AFFIDAVIT of Bruce C. Recher regarding motion for extension of time to answer or otherwise plead to pltfs complaint [17-1] (7pgs) ( (Entered: 06/09/1997) 06/06/ ORDER (Magistrate Judge Jonathan G. Lebedoff / 6/4/97) granting Photran's motion for extension of time to answer or otherwise plead to pltfs complaint to and

7 inclduing 7/3/97 [17-1] (cc: all counsel) (1 pg) (DFL) (Entered: 06/09/1997) 06/09/ MOTION by Photran Corp. to consolidate cases ( to Magistrate Judge Jonathan G. Lebedoff ) Ret. on 7/1/97 at 9:00am. 1pg (PAK) (Entered: 06/10/1997) 06/09/ MEMORANDUM by Photran Corp. in support of motion to consolidate cases [21-1] 4pgs (PAK) (Entered: 06/10/1997) 06/13/ ATTORNEY SUBSTITUTION: terminating attorneys Vincent D Louwagie, Steven Michael Phillips, Joseph W Anthony and Terence Melling Fruth for John G Kinnard & Co and substituting attorney Frank Alan Taylor (approved by Magistrate Judge Lebedoff) (3 pgs) (DFL) (Entered: 06/16/1997) 06/24/ ATTORNEY APPEARANCE for defendant Kathleen V Stevenson by Wendy Snyder (2 pgs) (JMR) (Entered: 06/26/1997) 07/01/ STIPULATION AND ORDER ( Magistrate Judge Jonathan G. Lebedoff ) granting motion to extend time to answer of otherwise plead to Plaintiffs' complaint [16-1] (cc: all counsel) (3 pgs) (SJH) (Entered: 07/02/1997) 07/01/ MINUTES:( Magistrate Judge Jonathan G. Lebedoff / ) granting motion to consolidate cases. Order establishing master docket signed. Counsel to prepare stipulation for signature and entry as Order relative to the service of pleadings in the event the Court grants Plaintff Diemer's motion for leave to file a consolidated amended complaint, to be heard 7/21/97. [21-1] (2 pgs) (MKC) (Entered: 07/03/1997) 07/01/ ORDER ( Magistrate Judge Jonathan G. Lebedoff / 7/1/97) granting motion to consolidate this case with with this action as the master case, without prejudice to defendants' right to seek separate trials at a later date; [21-1] ; case caption shall be In Re: Photran Corp. Securities Litigation; when pleadings are intended to be applicable to all actions, the words "All Actions" shall appear; when pleadings are intended to some but not all individual actions, the name of the plaintiff and this court's docket number shall appear on pleading, but the pleadings shall be docketed in the master docket and in the individual cases (cc: all counsel) (3 pgs) (DFL) (Entered: 07/08/1997) 07/03/ MOTION by plaintiff for appointment of lead plaintiff and approval of lead counsel( to Magistrate Judge Jonathan G. Lebedoff ). 7/21/97 at 9:00. (1 pg)` (MKC) (Entered: 07/08/1997) 07/03/ MEMORANDUM by plaintiff in support of motion for appointment of lead plaintiff and approval of lead counsel. [28-1] (MKC) (Entered: 07/08/1997) 07/03/ AFFIDAVIT of Karen M. Hanson regarding motion for appointment of lead plaintiff and approval of lead counsel. [28-1] (43 pgs) (MKC) (Entered: 07/08/1997) 07/03/ MOTION by plaintiff to consolidate cases and , and for appointment of lead counsel( to Magistrate Judge Jonathan G. Lebedoff ) ret 7/21/97 at 9:00. (5 pgs) (MKC) (Entered: 07/08/1997) 07/03/ MEMORANDUM by plaintiff in support of motion to consolidate cases and [31-1], of motion for appointment of lead counsel [31-2] (12 pgs)

8 (MKC) (Entered: 07/08/1997) 07/03/ DECLARATION of Brian Murray re motion to consolidate cases and [31-1], re motion for appointment of lead counsel. [31-2] (Separate) (MKC) (Entered: 07/08/1997) 07/14/ MEMORANDUM by John G Kinnard & Co in opposition to motion for appointment of lead counsel [31-2] (26 pgs) (DFL) (Entered: 07/16/1997) 07/14/ AMENDED NOTICE AND MOTION by plaintiffs of hearing setting hearing for motion to consolidate cases and [31-1] at 9:00 a.m. on 7/21/97, setting hearing for motion for appointment of lead counsel( to Magistrate Judge Jonathan G. Lebedoff ) [31-2] at 9:00 a.m. on 7/21/97 (3 pgs) (DFL) (Entered: 07/16/1997) 07/14/ MEMORANDUM by Radman Group in opposition to Diemer's mot8on to be appointed lead plaintiff (7 pgs) (DFL) (Entered: 07/16/1997) 07/15/ STIPULATION AND ORDER ( Magistrate Judge Jonathan G. Lebedoff / 7/14/97 ) re time to respond to the complaint (cc: all counsel) (3 pgs) (SJH) (Entered: 07/17/1997) 07/17/ LETTER from Richard A. Lockridge (2 pgs) (DFL) (Entered: 08/25/1997) 07/17/ LETTER Frank A. Taylor (2 pgs) (DFL) (Entered: 08/25/1997) 07/18/ MEMORANDUM by plaintiffs in support of motion for appointment as lead plaintiffs (9 pgs) (DFL) (Entered: 07/22/1997) 07/18/ DECLARATION of Brian Murray re memorandum [38-1] (2+ pgs) (DFL) (Entered: 07/22/1997) 07/18/ LETTER from Brian Murray (2 pgs) (DFL) (Entered: 08/25/1997) 07/31/ STIPULATION AND ORDER ( Magistrate Judge Franklin L. Noel, 7/31/97 ) that 1. The plaintiffs shall have 30 days after the ruling on the motion to appoint a lead plaintiff in which to serve and file a consolidated complaint; 2. The defendants shall have 30 days thereafter in which to answer or other wise plead to any outstanding complaints. (5 pgs) (cc: all counsel) (MKC) (Entered: 08/04/1997) 08/25/ ORDER ( Magistrate Judge Jonathan G. Lebedoff / 8/25/97) all motions for appt as lead pltf are GRANTED; parties now before the Court shall act as co-lead pltfs; the parties' selection of counsel is APPROVED; Lockridge, Grindal, Nauen & Holstein and Rabin & Peckel the latter w/hellmuth & Johnson as Local counsel, shall act as co-lead counsel. The Radman group's motion to strike Dft. John G. Kinnard & Co,Inc. Opposition to the Radman Group's Appt as Lead Pltf is DENIED. [31-2] 5pgs [28-1] (cc: all counsel) (PAK) (Entered: 08/26/1997) 09/11/ NOTICE ; pretrial conference set for 2:30 on 10/1/97 before Magistrate Judge Lebedoff. (2 pgs) (MKC) (Entered: 09/12/1997) 09/25/ STIPULATION AND ORDER ( Magistrate Judge Jonathan G. Lebedoff ) that 1. Plaintiffs shall have until October 10, 1997 in which to serve and file a consolidated complaint. 2. The defendant shall have until November 14, 1997 in which to answer, plead, or otherwise respond to the consolidated complaint. (cc: all

9 counsel) (8 pgs) (MKC) (Entered: 09/30/1997) 10/10/ CONSOLIDATED AMENDED COMPLAINT [1-1] by plaintiff; jury demand. ) (39 pgs) (MKC) (Entered: 10/14/1997) 10/14/ REPORT OF RULE 26(f) MEETING (11 pgs) (DFL) (Entered: 10/16/1997) 10/21/ ORDER (Magistrate Judge Jonathan G. Lebedoff / 10/21/97) the court has decided not to issue a pretrial schedule at this time. Within two days of a ruling on the motions to dismiss, defendants' counsel shall call to arrange for a Rule 16 Pretrial Confrence. Such conference shall then be held within three business days defendants' counsel's telephone call to the court (cc: all counsel) (1 pg) (DFL) (Entered: 10/22/1997) 11/13/ STIPULATION AND ORDER ( Magistrate Judge Jonathan G. Lebedoff ) ; The plaintiffs shall have until 11/21/97 in which to serve and file and amended consolidated complaint. The defendants shall have until 12/22/97 in which to answer, plead or otherwise respond to the amended consolidated complaint. (cc: all counsel) (8 pgs) (MKC) (Entered: 11/18/1997) 11/21/ SECOND AMENDED AND CONSOLIDATED COMPLAINT [47-1], [1-1] by plaintiff; jury demand (48 pgs) (MKC) (Entered: 12/01/1997) 12/10/ STIPULATION AND ORDER ( Magistrate Judge Jonathan G. Lebedoff ) that Deloitte & Touche LLP shall be and hereby is granted an extension until 1/9/98 in the time available to answer or otherwise respond to Plaintiffs; Second amended and consolidated complaint. (cc: all counsel) (2 pgs) (MKC) (Entered: 12/10/1997) 01/07/ STIPULATION AND ORDER ( Magistrate Judge Jonathan G. Lebedoff ) That s shall be and hereby are granted an extension until , to answer, plead,or otherwise respond to Plaintiffs' Second amended and consolidated complaint; that Plaintiffs shall be and hereby are granted until to respond to any motions filed by the s; and that the Plaintiffs shall be and hereby are granted until to reply to plaintiff's response. (cc: all counsel) (9 pgs) ( (Entered: 01/07/1998) 01/09/ LETTER from counsel for defendants Steven King and Robert S Clarke re the service of dispositive motion papers. (3 pgs) (MKC) (Entered: 01/12/1998) 01/09/ LETTER from counsel for defendant Deloitte & Touche LLP regarding the service of dispositive motion papers. (2 pgs) (MKC) (Entered: 01/12/1998) 01/09/ PETITION AND ORDER for admission pro hac vice ( Clerk Francis E. Dosal ) on behalf of deft Deloitte & Touche by Kathleen S Beecher. (1pg) (CJF) (Entered: 02/09/1998) 01/09/ PETITION AND ORDER for admission pro hac vice ( Clerk Francis E. Dosal ) on behalf of deft Deloitte & Touche by Irene Cannon-Geary. (1pg) (CJF) (Entered: 02/09/1998) 01/09/ PETITION AND ORDER for admission pro hac vice ( Clerk Francis E. Dosal ) on behalf of deft Deloitte & Touche by Ronald S Flagg. (1pg) (CJF) (Entered: 02/09/1998)

10 01/12/ ORDER TO FILE DOCUMENTS UNDER SEAL( Judge Ann D. Montgomery / 1/12/99) that Exhibit J. shall not be opened or disclosed except by further order of the Court. (cc: all counsel) (1 pg) (MKC) (Entered: 01/13/1999) 01/12/ NOTICE AND ORDER OF WITHDRAWAL AND SUBSITUTION OF COUNSEL ( Magistrate Judge Jonathan G. Lebedoff / 1/9/98) withdrawing attorney William Joseph Mauzy for David E Stevenson and substituting attorney George R Serdar (cc: all counsel) (3 pgs) (MKC) Modified on 02/09/1998 (Entered: 01/13/1998) 01/12/ LETTER from counsel for Photran Corp. regarding the service of dispositive motion papers. (2 pgs) (MKC) Modified on 02/09/1998 (Entered: 01/13/1998) 01/12/ LETTER from counsel for defendant Paul T Fink regading the service of dispositive motion papers. (2 pgs) (MKC) Modified on 02/09/1998 (Entered: 01/13/1998) 01/12/ Copy of LETTER to Patricia A. Bloodgood, Esq. from defendant Kathleen V Stevenson's counsel re service of motion of dismissal (2 pgs) (SJH) Modified on 02/09/1998 (Entered: 01/14/1998) 01/13/ LETTER from counsel for defendant John G Kinnard & Co regarding filing of dispositive motion papers. (2 pgs) (MKC) Modified on 02/09/1998 (Entered: 01/14/1998) 01/16/ MOTION by defendant David E Stevenson to dismiss ( to Judge Ann D. Montgomery ). (1 pg) (MKC) Modified on 02/09/1998 (Entered: 01/20/1998) 01/16/ MEMORANDUM by defendant David E Stevenson in support of motion to dismiss. [64-1] (5 pgs) (MKC) Modified on 02/09/1998 (Entered: 01/20/1998) 01/16/ AFFIDAVIT of Elizabeth L. Plitzuweit regarding motion to dismiss. [64-1] (24 pgs) (MKC) Modified on 02/09/1998 (Entered: 01/20/1998) 01/16/ AMMENDED SUMMONS - RETURN OF SERVICE executed upon defendant Deloitte & Touche LLP on 11/24/97. (2 pgs) (MKC) Modified on 02/09/1998 (Entered: 01/21/1998) 03/09/ MOTION by s Steven King and Robert S Clarke to dismiss second amended and consolidated complaint ( to Judge Ann D. Montgomery.) (4 pgs) (MKC) (Entered: 03/10/1998) 03/09/ MEMORANDUM by s Steven King and Robert S Clarke in support of motion to dismiss second amended and consolidated complaint. [68-1] (18 pgs) (MKC) (Entered: 03/10/1998) 03/09/ AFFIDAVIT of Christopher K. Larus regarding motion to dismiss second amended and consolidated complaint. [68-1] (separate) (MKC) (Entered: 03/10/1998) 03/09/ REPLY MEMORANDUM by s Steven King and Robert S Clarke in support of motion to dismiss second amended and consolidated complaint. [68-1] (MKC) (Entered: 03/10/1998) 03/09/ SECOND AFFIDAVIT of Christopher K. Larus regarding motion to dismiss second amended and consolidated complaint [68-1] (50 pgs) (MKC) (Entered:

11 03/10/1998) 03/09/ MOTION by defendant Deloitte & Touche L for dismissal ( to Judge Ann D. Montgomery.) ret 4/28/98 at 9:00. (7 pgs) (MKC) (Entered: 03/10/1998) 03/09/ MEMORANDUM by defendant Deloitte & Touche L in support of motion for dismissal. [73-1] (7 pgs) (MKC) (Entered: 03/10/1998) 03/09/ REPLY MEMORANDUM by defendant Deloitte & Touche L to motion for dismissal. [73-1] (9 pgs) (MKC) (Entered: 03/10/1998) 03/10/ MOTION by defendant Photran Corp. to dismiss ( to Judge Ann D. Montgomery.) ret 4.28/98 at 9:00. (5 pgs) (MKC) (Entered: 03/11/1998) 03/10/ MEMORANDUM by defendant Photran Corp. in support of motion to dismiss. [76-1] (25 pgs) (MKC) (Entered: 03/11/1998) 03/10/ AFFIDAVIT of Bruce C. Recher regarding motion to dismiss. [76-1] (separate) (MKC) (Entered: 03/11/1998) 03/10/ MEMORANDUM by plaintiff in opposition to defendants' motions to dismiss. [76-1], [73-1], [68-1], [64-1] (46 pgs) (MKC) (Entered: 03/11/1998) 03/10/ REPLY by defendant Photran Corp. to motion to dismiss. [76-1] (8 pgs) (MKC) (Entered: 03/11/1998) 03/10/ MOTION by defendant Paul T Fink to dismiss ( to Judge Ann D. Montgomery ). (1 pg) (MKC) (Entered: 03/11/1998) 03/10/ MEMORANDUM by defendant Paul T Fink in support of motion to dismiss. [81-1] (15 pgs0 (MKC) (Entered: 03/11/1998) 03/10/ AFFIDAVIT of Lawrence J. Field regarding motion to dismiss. [81-1] (8 pgs) (MKC) (Entered: 03/11/1998) 03/10/ REPLY by defendant Paul T Fink in support of motion to dismiss plaintiffs' second amended and consolidated complaint. [81-1] (7 pgs) (MKC) (Entered: 03/11/1998) 03/10/ AMENDED NOTICE by defendant David E Stevenson of motion to dismiss ( to Judge Ann D. Montgomery ) [64-1] ret at 9:00 on 4/28/98. (2 pgs) (MKC) (Entered: 03/11/1998) 03/11/ MOTION by defendant John G Kinnard & Co to dismiss plaintiffs' second amended and consolidated complaint. ( to Judge Ann D. Montgomery.) (6 pgs) (MKC) (Entered: 03/12/1998) 03/11/ MEMORANDUM by defendant John G Kinnard & Co in support of motion to dismiss plaintiffs' second amended and consolidated complaint. [86-1] (21 pgs) (MKC) (Entered: 03/12/1998) 03/11/ AFFIDAVIT of Gregory J. Schaefer regarding motion to dismiss plaintiffs' second amended and consolidated complaint. [86-1] (separate) (MKC) (Entered: 03/12/1998) 03/11/ AMENDED NOTICE by defendant John G Kinnard & Co of motion to dismiss plaintiffs' second amended and consolidated complaint. ( to Judge Ann D.

12 Montgomery.) [86-1] at 9:00 on 4/28/98. (5 pgs) (MKC) (Entered: 03/12/1998) 03/11/ REPLY by defendant John G Kinnard & Co to motion to dismiss plaintiffs' second amended and consolidated complaint. [86-1] (14 pgs) (MKC) (Entered: 03/12/1998) 03/11/ AMENDED NOTICE by s Steven King and Robert S Clarke of of motion to dismiss plaintiffs' second amended and consolidated complaint. ( to Judge Ann D. Montgomery.) [86-1] at 9:00 on 4/28/98. (4 pgs) (MKC) (Entered: 03/12/1998) 03/12/ MOTION by defendant Kathleen V Stevenson to dismiss complaint ( to Judge Ann D. Montgomery.) (1 pg) (MKC) Modified on 03/13/1998 (Entered: 03/13/1998) 03/12/ MEMORANDUM by defendant Kathleen V Stevenson in support of motion to dismiss complaint. [92-1] (11 pgs) (MKC) (Entered: 03/13/1998) 03/12/ REPLY by defendant Kathleen V Stevenson in support of motion to dismiss complaint. [92-1] (MKC) (Entered: 03/13/1998) 03/12/ AMENDED NOTICE by defendant Kathleen V Stevenson of motion to dismiss complaint ( to Judge Ann D. Montgomery.) [92-1] ret at 9:00 on 4/28/98. (MKC) (Entered: 03/13/1998) 04/03/ AMENDED NOTICE by defendant Kathleen V Stevenson of motion for dismissal [92-1] at 9:00 at 4/28/98. (2 pgs) (MKC) (Entered: 04/07/1998) 10/30/ NOTICE OF REASSIGNMENT OF MAGISTRATE JUDGE ( Clerk Francis E. Dosal /) Case referred to Magistrate Judge Arthur J. Boylan 1pg(s) (cc: all counsel) (VEM) (Entered: 11/02/1998) 12/23/ STIPULATION AND ORDER PRELIMINARILY APPROVING SETTLEMENT AND APPROVING CONDITIONAL SETTLEMENT CLASS. ( Judge Ann D. Montgomery/12/22/98 ) (50 pgs + exhibits) (MKC) (Entered: 12/23/1998) 01/12/ EXHIBIT J OF THE SETTLEMENT DOCUMENTS. (sealed) (separate) (MKC) (Entered: 01/13/1999) 01/12/ ORDER TO FILE DOCUMENTS UNDER SEAL ( Judge Ann D. Montgomery / 1/12/99) that exibit I shall not be opened or disclosed except by further order of the Court. (1 pg) (cc: all counsel) (MKC) (Entered: 01/13/1999) 01/12/ EXHIBIT I OF THE SETTLEMENT DOCUMENTS. (sealed) (separate) (MKC) (Entered: 01/13/1999) 02/24/ REQUEST FOR EXCLSUION FRO PROPOSED CLASS SETTLEMENT by Marilyn J. Frederick (11 pgs) (MKC) (Entered: 03/05/1999) 03/02/ MOTION by Plaintiff's for attorney fees, and for class certification and ), and for final approval of settlement ( to Judge Ann D. Montgomery ). (3 pgs) (MKC) (Entered: 03/03/1999) 03/02/ MEMORANDUM by Plaintiffs in support of motion for attorney fees [103-1], of motion for class certification and [103-2], motion for final approval of settlement [103-3] (25 pgs) (MKC) (Entered: 03/03/1999)

13 03/02/ AFFIDAVIT of Lon P. Leclair regarding settlement fund administration. [103-3] (18 pgs) (MKC) (Entered: 03/03/1999) 03/02/ AFFIDAVIT of Karen M. Hanson regarding motion for class certification and [103-2], motion for final approval of settlement. [103-3] (78 pgs) (MKC) (Entered: 03/03/1999) 03/02/ MEMORANDUM by Lead Plaintiffs in support of class Counsel's application for and award of attorney fees and reimbursement of costs and expenses. [103-1] (17 pgs) (MKC) (Entered: 03/03/1999) 03/02/ AFFIDAVIT of Brian Murray n suppor of plaintiffs counsel's application for fees and reimbursements of expenses. [103-1] (4 + pgs) (MKC) (Entered: 03/03/1999) 03/16/ ORDER FOR FINAL JUDGMENT ( Judge Ann D. Montgomery / 3/16/99) [103-1], [103-2], [103-3] (10 pgs) (cc: all counsel) (MKC) (Entered: 03/17/1999) 03/16/ JUDGMENT: (1 pg) (cc: all counsel) (MKC) (Entered: 03/17/1999) 03/23/ AFFIDAVIT of Paul T. Fink. (5 pgs) (MKC) (Entered: 03/24/1999) 04/15/ MOTION by lead plaintiffs for order to set aside the settlement ( to Magistrate Judge Arthur J. Boylan ) ret 5/10/99 at 1:30 (3 pgs) (MKC) (Entered: 04/19/1999) 04/15/ MEMORANDUM by In re in support of motion for order to set aside the settlement. [113-1] (5 pgs) (MKC) (Entered: 04/19/1999) 04/29/ TRANSCRIPT OF preliminary approval of settlement held 12/22/98 by Judge Ann D. Montgomery ( Barbara J. Carey) (SEPARATE) (MKC) (Entered: 04/30/1999) 04/29/ TRANSCRIPT OF final settlement approval hearaing held 3/16/99 by Judge Ann D. Montgomery ( Barbara J. Carey/Crt Reporter) (SEPARATE) (MKC) (Entered: 04/30/1999) 06/09/ AMENDED NOTICE by plaintiff of hearing setting hearing for motion for order to set aside the settlement (to Magistrate Judge Arthur J. Boylan) [113-1] at 1:30 p.m. on 7/27/99 (4 pgs) (DFL) (Entered: 06/11/1999) 07/20/ MEMORANDUM by Deloitte & Touche L in opposition to motion for order to set aside the settlement [113-1] (10 pgs) (MKC) (Entered: 07/21/1999) 07/20/ AFFIDAVIT of Lawrence M. Shapiro regarding motion for order to set aside the settlement. [113-1] (separate) (MKC) (Entered: 07/21/1999) 07/20/ MEMORANDUM by s Steven King, Robert S Clarke in opposition to motion for order to set aside the settlement [113-1] (6 pgs) (MKC) (Entered: 07/21/1999) 07/20/ MEMORANDUM by defendant John G Kinnard & Co in opposition to motion for order to set aside the settlement. [113-1] (16 pgs) (MKC) (Entered: 07/22/1999) 07/21/ MEMORANDUM by defendant in opposition to motion to set aside the settlement. [113-1] (2 pgs) (MKC) (Entered: 07/22/1999) 07/21/ MEMORANDUM by defendant David E Stevenson in opposition to motion for order to set aside the settlement. [113-1] (5 pgs) ( (Entered: 07/22/1999)

14 07/27/ MINUTES: (Magistrate Judge Arthur J. Boylan) taking under advisement on the motion for order to set aside the settlement [113-1] (1 pg) (DFL) (Entered: 08/02/1999) 07/30/ ORDER AND MEMORNDUM (Magistrate Judge Arthur J. Boylan / 7/29/99) denying motion for order to set aside the settlement [113-1] (3 pgs) (cc: all counsel) (DFL) (Entered: 08/02/1999) 03/22/ MOTION BY CLASS COUNSEL FOR order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses( to Judge Ann D. Montgomery ) ret 4/5/00 at 9:00 (4 pgs) (MKC) (Entered: 03/27/2000) 03/22/ MEMORANDUM by Class Counsel in support of motion for an order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses. [126-1](12 pgs) (MKC) (Entered: 03/27/2000) 03/22/ AFFIDAVIT of Gregory J. Myers regarding motion for order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses. [126-1](2 pgs) (MKC) (Entered: 03/27/2000) 03/22/ AFFIDAVIT of Richard A. Lockridge regarding motion for order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses. [126-1](11 pgs) (MKC) (Entered: 03/27/2000) 03/22/ AFFIDAVIT of Lon P. Leclair regarding motion for order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses. [126-1] (71 pgs) (MKC) (Entered: 03/27/2000) 03/29/ AMENDED NOTICE by Class Counsel of hearing for order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses( to Judge Ann D. Montgomery ) [126-1] ret at 9:00 on 4/5/00 ( 4 pgs) (MKC) (Entered: 03/30/2000) 03/29/ SUPPLEMENTAL MEMORANDUM in support of order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses. [126-1] ( 12 pgs) (MKC) (Entered: 03/30/2000) 03/29/ AFFIDAVIT of Gregory J. Myers regarding motion for order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses[126-1] ( 14 pgs) (MKC) (Entered: 03/30/2000) 03/29/ AFFIDAVIT of Lon P. Leclair regarding motion for order rejecting invalid claims, extending deadline for filing claims, granting permission to distribute settlement funds and awarding setlement fund administration fees and expenses. [126-1] (sealed) (separate) (MKC) (Entered: 03/30/2000)

15 04/11/ ORDER REGARDING DISTRIBUITION OF FUNDS( Judge Ann D. Montgomery / 4/10/00) ) [126-1] (3 pgs) (cc: all counsel) (MKC) (Entered: 04/13/2000) 11/13/ MOTION by plaintiff for for closing of settlement fund accounts and reimbursement of fees and expenses incurred in fund administration ( to Judge Ann D. Montgomery ) (2 pgs) (MKC) (Entered: 11/16/2001) 11/13/ MEMORANDUM by plaintiff in support of motion for for closing of settlement fund accounts and reimbursement of fees and expenses incurred in fund administrationi. [136-1] (8 pgs) (MKC) (Entered: 11/16/2001) 11/13/ AFFIDAVIT of Joseph F. Henderson regarding motion for for closing of settlement fund accounts and reimbursement of fees and expenses incurred in fund administration. [136-1] (8 pgs) (MKC) (Entered: 11/16/2001) 11/13/ AFFIDAVIT of Lon P. Leclair regarding motion for for closing of settlement fund accounts and reimbursement of fees and expenses incurred in fund administration. [136-1] (3 pgs) (MKC) (Entered: 11/16/2001) 11/19/ ORDER ( Judge Ann D. Montgomery / 11/19/01) granting motion that: 1. Settlement adminsitration fees and expenses in the amount of $11, are hereby awarded to and divided among Co-Lead Counsel and the Escrow Agent with the amount of $ payable to Co-Lead Counsel and $ payable to the Escrow Agent in accordance with Class Plaintiffs' motion and all materials filed therewith. 2. All Settlement Fund bank accounts may now be closed. [136-1] pg(s) (cc: all counsel) (MKC) (Entered: 11/21/2001) 04/03/ NOTICE OF INTENT TO DESTROY DOCUMENTS UNDER SEAL. 1pg (VEM) (Entered: 04/09/2002) 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