U.S. District Court Southern District of California (San Diego) CIVIL DOCKET FOR CASE #: 3:04-cv DMS-CAB

Transcription

1 US District Court Civil Docket as of 10/26/2006 Retrieved from the court on Thursday, November 02, 2006 U.S. District Court Southern District of California (San Diego) CIVIL DOCKET FOR CASE #: 3:04-cv DMS-CAB Bassin, et al v. Maxim, et al Assigned to: Judge Dana M Sabraw Referred to: Magistrate Judge Cathy Ann Bencivengo Demand: $0 Cause: 28:1331 Fed. Question: Securities Violation Date Filed: 09/21/2004 Jury Demand: Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Dr Richard Dr. Richard Bassin On behalf of Himself and All Others Similarly Situated represented by William S Lerach Lerach Coughlin Stoia Geller Rudman and Robbins 655 West Broadway Suite 1900 San Diego, CA (619) Fax: (619) e_file_sd@lerachlaw.com James Brent Allen represented by Heather Tashman Schiffrin and Barroway 280 King of Prussia Road Radnor, PA (610) TERMINATED: 09/26/2006 Ira A Schochet Labaton Sucharow and Rudoff 100 Park Avenue Suite 1200 New York, NY (212) Fax: (212)

2 Katharine M Ryan Schiffrin and Barroway 280 King of Prussia Road Radnor, PA (610) Fax: (610) Kay E Sickles Schiffrin and Barroway 280 King of Prussia Road Radnor, PA (610) Fax: (610) ksickles@sbclasslaw.com Kirk B Hulett Hulett Harper Stewart 550 West C Street Suite 1600 San Diego, CA (619) Fax: (619) kbh@hulettharper.com Marc I Willner Schiffrin and Barroway 280 King of Prussia Road Radnor, PA (610) Stuart L Berman Schiffrin and Barroway 280 King of Prussia Road Radnor, PA (610) William Milowitz represented by Ira A Schochet

3 Kirk B Hulett Stuart L Berman Lori Milowitz represented by Ira A Schochet Kirk B Hulett Stuart L Berman V. Intervenor The Allen Group represented by Kirk B Hulett Stephanie L Dieringer Hulett Harper Stewart 550 West C Street Suite 1600 San Diego, CA (619) Fax: (619) sldieringer@hulettharper.com

4 Intervenor Juan Vives represented by Marc L Godino Braun Law Group Wilshire Boulevard Suite 920 Los Angeles, CA (310) Fax: (310) Intervenor The Milowitz Group represented by Hollis L Salzman Labaton Sucharow and Rudoff 100 Park Avenue Suite 1200 New York, NY (212) Fax: (212) Lionel Z Glancy Glancy Binkow and Goldberg 1801 Avenue of the Stars Suite 311 Los Angeles, CA (310) Fax: (310) Louis Gottlieb Labaton Sucharow and Rudoff 100 Park Avenue Suite 1200 New York, NY (212) Nicoles M Zeiss Labaton Sucharow and Rudoff 100 Park Avenue 12th Floor New York, NY US

5 (212) Ira A Schochet V. Defendant Maxim Pharmaceuticals, Inc. represented by Philip C Tencer Cooley Godward Kronish LLP 4401 Eastgate Mall San Diego, CA (858) Fax: (858) ptencer@cooley.com Defendant Larry G Stambaugh represented by Philip C Tencer Defendant Anthony E Altig TERMINATED: 02/27/2006 represented by Philip C Tencer TERMINATED: 02/27/2006 Frank Galdi represented by Kirk B Hulett Gerald W Adams represented by Lionel Z Glancy

6 Kirk B Hulett V. Defendant Epicept Corporation represented by Philip C Tencer Date Filed # Docket Text 09/21/ Complaint Filed; (referred to Magistrate Judge Barbara L. Major ) Receipt No/Amt of Fee: ,$ t/w Jury Demand (gep) (Entered: 09/22/2004) 09/21/ Summons issued as to defendant Maxim, defendant Larry G Stambaugh, defendant Anthony E Altig (gep) (Entered: 09/22/2004) 09/21/ Notice of Party with Financial Interest by Richard Bassin (gep) (Entered: 09/22/2004) 09/30/ Notice by defendants of related case 04cv1936H(POR) (low number order prepared) (cag) (Entered: 10/01/2004) 10/08/ Stipulation and Order by Judge Dana M. Sabraw re appt of lead pla and lead counsel and response to cmp; consolidated amd cmp due w/in 60 days of ct's designation of lead counsel, dfts' response due 60 days from service of amd cmp; if dfts file motion to dismiss, pla's response due w/in 60 days, dfts' reply due w/in 30 days; dfts have no obligation to answer or otherwise respond prior to 60 days from service of amd cmp (cag) (Entered: 10/08/2004) 10/12/ Return of Service of summons, cmp, civil cover sheet, notice of party w/ financial interest executed upon John Prunty on behalf of defendant Maxim on 9/23/04 (cag) (Entered: 10/13/2004) 11/22/ Notice of Motion and Motion by The Allen Group for appt as lead pla, for appointment of lead counsel and liason counsel ; [motions referred to Judge Dana M. Sabraw], motion hrg set for 1/14/05 at 2:30 (cag) (Entered: 11/23/2004) 11/22/ Memorandum of points and authorities by The Allen Group in support of motion for appt as lead pla [7-1], in support of motion for appointment of lead counsel and liason counsel [7-2] (cag) (Entered: 11/23/2004) 11/22/ Declaration of Kirk B. Hulett re motion for appt as lead pla [7-1], re motion for appointment of lead counsel and liason counsel [7-2] (cag) (Entered: 11/23/2004)

7 11/22/ Notice of Motion and Motion by The Allen Group to consolidate all related actions ; [motion referred to Judge Dana M. Sabraw]; motion hrg set for 1/14/05 at 2:30 (cag) (Entered: 11/23/2004) 11/22/ Memorandum of points and authorities by The Allen Group in support of motion to consolidate all related actions [10-1] (cag) (Entered: 11/23/2004) 11/22/ Notice of Motion and Motion by Juan Vives for appt as lead pla, for appointment of lead counsel ; [motions referred to Judge Dana M. Sabraw], motion hrg set for 1/14/05 at 2:30 (atty maint) (cag) Modified on 11/23/2004 (Entered: 11/23/2004) 11/22/ Memorandum of points and authorities by Juan Vives in support of motion for appt as lead pla [12-1], in support of motion for appointment of lead counsel [12-2] (cag) (Entered: 11/23/2004) 11/22/ Declaration of Marc L. Godino re motion for appt as lead pla [12-1], re motion for appointment of lead counsel [12-2] (cag) (Entered: 11/23/2004) 11/23/ DISCREPANCY ORDER by Judge Dana M. Sabraw accepting document: motion from intervenor-plaintiff The Milowitz Group, non-compliance with local rule 5.1.j.4, document is to be filed nunc pro tunc to the date received (cag) (Entered: 11/24/2004) 11/23/ Notice of Motion and Motion by The Milowitz Group to consolidate related actions, for appt as lead pla, for appointment of lead counsel ; [motions referred to Judge Dana M. Sabraw], motion hrg set for 1/14/05 at 2:30; NUNC PRO TUNC to 11/22/04 (cag) (Entered: 11/24/2004) 11/23/ Memorandum of points and authorities by The Milowitz Group in support of motion to consolidate related actions [16-1], in support of motion for appt as lead pla [16-2], in support of motion for appointment of lead counsel [16-3]; NUNC PRO TUNC to 11/22/04 (cag) Modified on 11/24/2004 (Entered: 11/24/2004) 11/23/ Declaration of Shelley Thompson re motion to consolidate related actions [16-1], re motion for appt as lead pla [16-2], re motion for appointment of lead counsel [16-3]; NUNC PRO TUNC to 11/22/04 (cag) Modified on 12/16/2004 (Entered: 11/24/2004) 12/30/ Memorandum of points and authorities by The Allen Group in support of motion for appt as lead pla [7-1], in support of motion for appointment of lead counsel and liason counsel [7-2] (cag) (Entered: 01/03/2005) 12/30/ Opposition by The Allen Group to motion to consolidate related actions [16-1], motion for appt as lead pla [16-2], motion for appointment of lead counsel [16-3], motion for appt as lead pla [12-1], motion for appointment of lead counsel [12-2], motion to consolidate all related actions [10-1] (cag) (Entered: 01/03/2005) 12/30/ Declaration of Bridget Fogarty Gramme re motion response [19-1], re opposition to all competing motions [19-1] (cag) (Entered: 01/03/2005) 01/05/ Order providing tentative ruling by Judge Dana M. Sabraw; ptys' motions to consolidate tentatively granted, Allen Group's motion for appt as lead pla and appt of lead counsel and liaison counsel is tentatively granted, Vives' motion for appt as lead pla and appt of lead counsel is tentatively denied, Milowitz Group's motion for

8 consolidation, appt as lead pla and approval of lead counsel is tentatively denied; ptys to inform ct and opposing counsel by 1/10/05 if they wish to be heard on these tentative rulings, if no oral argument requested, hrg set for 1/14/05 at 2:30 shall be vacated and ct will issue its final ruling in accordance w/ tentative rulings set out above (cag) (Entered: 01/06/2005) 01/10/ Stipulation to appoint James Brent Allen and William and Lori Milowitz as lead plaintiffs, the law firm of Schiffrin & Barroway and Goodkind Labaton Rudoff & Sucharow as co-lead counsel and law firm of Hulett Harper Stewart as liaison counsel and Order thereon by Judge Dana M. Sabraw (cag) (Entered: 01/10/2005) 01/10/ Order by Judge Dana M. Sabraw granting Allen Groups motion to consolidate all related actions for all purposes [10-1]; Case consolidated 3:04-cv-1900 with member cases 3:04-cv-1936, 3:04-cv-2229, New Parties plaintiffs Frank Galdi, Gerald W Adams ; consolidated amd cmp due w/in 60 days, answer due w/in 45 days of service, if motion to dismiss filed, response due w/in 45 days (cag) Modified on 01/11/2005 (Entered: 01/10/2005) 01/10/ Response by The Allen Group to ct's 1/5/05 order providing tentative ruling (cag) (Entered: 01/11/2005) 01/21/ Stipulation and Order by Judge Dana M. Sabraw re scheduling: lead plas to file a consolidated amended complaint within 60 days of Court's 1/11/05 order appointing lead plas and lead counsel; dfts shall have 60 days to respond; lead plas shall have 60 days to file and serve any responsive brief, and if dfts move to dismiss the consolidated amended complaint, the dfts shall have 30 days to file their reply brief in support of their motion to dismiss. (mam) Modified on 01/26/2005 (Entered: 01/24/2005) 01/25/ Pro Hac Vice approved on behalf of plaintiff James Brent Allen in 3:04-cv for Katharine M Ryan (dkt clerk) (Entered: 01/26/2005) 01/25/ Pro Hac Vice approved on behalf of plaintiff James Brent Allen in 3:04-cv for Marc I Willner (dkt clerk) (Entered: 01/26/2005) 02/16/ Pro Hac Vice approved on behalf of plaintiff James Brent Allen in 3:04-cv for Heather Tashman (dkt clerk) (Entered: 02/18/2005) 02/24/ Pro Hac Vice approved on behalf of intervenor-plaintiff The Milowitz Group in 3:04-cv for Hollis L Salzman (dkt clerk) (Entered: 02/25/2005) 02/24/ Pro Hac Vice approved on behalf of intervenor-plaintiff The Milowitz Group in 3:04-cv for Louis Gottlieb (dkt clerk) (Entered: 02/25/2005) 03/11/ Consolidated Amended complaint [1-1]; jury demand (cag) (Entered: 03/14/2005) 05/10/ Notice of Motion and Motion by dfts Maxim, Larry G Stambaugh to dismiss consolidated amd cmp for failure to state a claim ; [motion referred to Judge Dana M. Sabraw]; motion hrg set for 9/23/05 at 1:30 (cag) (Entered: 05/11/2005) 05/10/ Memorandum of points and authorities by dfts Maxim, Larry G Stambaugh in support of motion to dismiss consolidated amd cmp for failure to state a claim [32-1] (cag) (Entered: 05/11/2005)

9 05/10/ Declaration of Philip C. Tencer re motion to dismiss consolidated amd cmp for failure to state a claim [32-1] (cag) (Entered: 05/11/2005) 05/10/ Declaration of Sharo A. Tonetta re motion to dismiss consolidated amd cmp for failure to state a claim [32-1] (cag) (Entered: 05/11/2005) 05/10/ Request for Judicial Notice by dfts Maxim, Larry G Stambaugh re motion to dismiss consolidated amd cmp for failure to state a claim [32-1] (cag) (Entered: 05/11/2005) 07/11/ Opposition by plaintiff James Brent Allen in 3:04-cv-01900, plaintiff William Milowitz in 3:04-cv-01900, plaintiff Lori Milowitz in 3:04-cv to motion to dismiss consolidated amd cmp for failure to state a claim [32-1] (kaj) (Entered: 07/12/2005) 08/10/ Reply by dfts to opposition to motion to dismiss consolidated amd cmp for failure to state a claim [32-1] (cag) (Entered: 08/11/2005) 08/10/ Declaration of John Prunty re motion reply [38-1] (cag) (Entered: 08/11/2005) 08/10/ Reply Request for Judicial Notice by dfts (cag) (Entered: 08/11/2005) 10/17/ Order by Judge Dana M. Sabraw granting motion to dismiss consolidated amd cmp for failure to state a claim [32-1]; plas granted leave to file a 1st amd consolidated class action cmp w/in 30 days (cag) (Entered: 10/18/2005) 11/10/ Stipulation and Order by Judge Dana M. Sabraw re extension of time to file 1st amd cmp and agreed upon briefing schedule: 1st amd cmp due by 1/11/06, dfts' motion to dismiss by 2/27/06, plas' opposition brief by 4/13/06, dfts' reply brief by 5/15/06 (cag) (Entered: 11/10/2005) 01/09/ Transfer Order by Magistrate Judge Barbara L. Major; Case referred to Magistrate Judge Cathy A. Bencivengo (cag) (Entered: 01/10/2006) 01/17/ Stipulation and Order by Judge Dana M. Sabraw: 1st amended cmp due by 2/27/06, dft's motion to dismiss by 4/13/06, opposition by 5/29/06, reply by 6/29/06 (cag) (Entered: 01/19/2006) 02/27/ st Amended consolidated class action complaint [31-1]; terming dft Anthony E Altig; adding Epicept Corporation; jury demand (no other parties to be termed per chambers) (Received in docketing 3/1/06) (cag) (Entered: 03/01/2006) 02/27/ Summons on 1st amd consolidated cmp issued as to Epicept Corporation (Received in docketing 3/1/06) (cag) Modified on 03/01/2006 (Entered: 03/01/2006) 03/30/ Return of Service of summons on 1st amd consolidated class action cmp and 1st amd consolidated class action cmp executed upon defendant Epicept Corporation in 3:04-cv on 3/6/06 (cag) (Entered: 04/03/2006) 04/04/ Stipulation and Order by Judge Dana M. Sabraw: Dfts to file motion to dismiss by 5/12/06, plas' opposition by 6/26/06, dfts' reply by 7/26/06 (cag) (Entered: 04/05/2006) 05/10/ Stipulation and Order by Judge Dana M. Sabraw: Answer ddl extended to 6/30/06 for dfts (cag) Modified on 05/10/2006 (Entered: 05/10/2006)

10 07/10/ Stipulation and Order of Settlement by Judge Dana M. Sabraw (ksr) (Entered: 07/11/2006) 07/10/ Preliminary Approval Order by Judge Dana M. Sabraw; Settlement hrg set for 1:30 9/22/06 before Judge Dana M. Sabraw (ksr) (Entered: 07/11/2006) 08/18/ Pro Hac Vice approved on behalf of plaintiff James Brent Allen in 3:04-cv for Kay E Sickles (joeh) (Entered: 08/18/2006) 09/15/ Discrepancy Order by Judge Dana M. Sabraw accepting document: motion to withdraw as counsel for plaintiffs from Heather M. Tashman; non-compliance with local rule 5.1. Signed by Judge Dana M. Sabraw on 9/14/06. (cag) (Entered: 09/18/2006) 09/15/ MOTION to Withdraw as Attorney by James Brent Allen. NUNC PRO TUNC to 9/12/06 (cag) (Entered: 09/18/2006) 09/19/ PRO HAC VICE APPOINTED: Nicoles M Zeiss appearing for Intervenor The Milowitz Group (joeh, ) (Entered: 09/19/2006) 09/19/ PRO HAC VICE APPOINTED: Ira A Schochet appearing for Intervenor The Milowitz Group (joeh, ) (Entered: 09/19/2006) 09/19/ PRO HAC VICE APPOINTED: Ira A Schochet appearing for Intervenor The Milowitz Group (cag) (Entered: 09/19/2006) 09/19/ Discrepancy Order by Judge Dana M. Sabraw accepting document: Motion in support of final approval of class action settlement from s; non-compliance with local rule 7.1 or Signed by Judge Dana M. Sabraw on 9/19/06. (cag) (Entered: 09/20/2006) 09/20/ MOTION for Order of final approval of class action settlement and plan of allocation and final certification of settlement class and MOTION for an award of Attorney Fees and reimbursement of expenses by s. NUNC PRO TUNC to 9/15/06 (Attachments: # 1 Memo of Points and Authorities, # 2 Declaration of K. Ryan and I. Schochet (Part 1), # 3 Declaration of K. Ryan and I. Schochet (Part 2))(cag) (Entered: 09/20/2006) 09/20/ LEAD PLAINTIFFS' SETTLEMENT BRIEF(cag) (Entered: 09/20/2006) 09/22/ Minute Entry for proceedings held before Judge Dana M. Sabraw : Motion Hearing held on 9/22/2006 re 59 MOTION for final approval of class action settlement and plan of allocation, final certification of settlement class, and approval of co-lead counsel's application for an award of attorneys' fees and reimbursement of expenses - GRANTED. Court to file order. (Court Reporter LeeAnn Pence).( Attorney Kay Sickles, Kirk B. Hulett).(Defendant Attorney Philip C. Tencer, Matthew S. Voss). (jak) (Entered: 09/22/2006) 09/25/ FINAL ORDER AND JUDGMENT adopting all defined terms as set forth in Stipulation and approves the Settlement. Signed by Judge Dana M. Sabraw on 9/25/06. (cag) (Entered: 09/27/2006) 09/25/ ORDER awarding fees and expenses. Court awards co-lead counsel reimbursement of expenses in the aggregate amount of $50,000, attorneys' fees in the total amount

11 of $300,000 in equal parts cash and stock, and also payment of interest earned on both the cash protion of the fee award and the expense award for the same time period and at the same rate as earned on the Settlement Fund until paid. The awarded fees and expenses and interest earned shall be paid from the Gross Settlement Fund. Signed by Judge Dana M. Sabraw on 9/22/06. (cag) (Entered: 09/27/2006) 09/26/ ORDER granting 54 Motion to Withdraw Appearance of Heather M. Tashman as Attorney for s. Signed by Judge Dana M. Sabraw on 9/25/06. (cag) (Entered: 10/25/2006) 10/26/ Joint MOTION to Amend/Correct STIPULATION OF SETTLEMENT by The Allen Group. (Dieringer, Stephanie) (Entered: 10/26/2006) 10/26/ ORDER granting 65 Joint Motion to Amend Stipulation of Settlement to provide Net Settlement Shares to be sold over a period of 180 trading days on the Nasdaq exchange. Signed by Judge Dana M. Sabraw on 10/26/06. (cag) (Entered: 10/27/2006) 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