United States District Court Eastern District of Pennsylvania (Philadelphia) CIVIL DOCKET FOR CASE #: 2:07-cv AB

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1 US District Court Civil Docket as of 08/27/2008 Retrieved from the court on Thursday, August 06, 2009 United States District Court Eastern District of Pennsylvania (Philadelphia) CIVIL DOCKET FOR CASE #: 2:07-cv AB MCGOWAN INVESTORS LP et al v. KEEFE BRUYETTE & WOODS, INC. et al Assigned to: HONORABLE ANITA B. BRODY Case in other court: USCA, Cause: 15:78m(a) Securities Exchange Act Date Filed: 06/18/2007 Date Terminated: 03/19/2008 Jury Demand: Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question MCGOWAN INVESTORS LP 249 SOUTH 12th STREET PHILADELPHIA, PA Fax: TIM LOBACH STEPHEN J. CHESELDINE MARKET STREET SECURITIES ON BEHALF OF THEMSELVES AND ALL OTHER PHLX SEAT OWNERS AS OF OCTOBER 22, 2003 V.

2 Defendant KEEFE BRUYETTE & WOODS, INC. represented by ERIC HEICHEL EISEMAN LEVINE LEHRHAUPT & KAKOYIANNIS PC 805 THIRD AVE 10TH FL NEW YORK, NY ERIC LEVINE EISEMAN LEVINE LEHRHAUPT & KAKOYIANNIS PC 805 THIRD AVE 10TH FL NEW YORK, NY JONATHAN C. MARQUET EISEMAN LEVINE LEHRHAUPT & KAKOYIANNIS PC 805 THIRD AVE 10TH FL NEW YORK, NY TIMOTHY S. SUSANIN GIBBONS, PC 700 TWO LOGAN SQUARE 18th & ARCH STREETS PHILADELPHIA, PA / SEAN PATRICK MAHONEY GIBBONS, DEL DEO, DOLAN, GRIFFINGER & VECCHIONE, PC 1700 TWO LOGAN SQUARE 18TH & ARCH STREET PHILADELPHIA, PA Defendant

3 JOSEPH J. SPALLUTO represented by ERIC HEICHEL ERIC LEVINE JONATHAN C. MARQUET TIMOTHY S. SUSANIN SEAN PATRICK MAHONEY Date Filed # Docket Text 06/18/ COMPLAINT against KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO ( Filing fee $ 350 receipt number ), filed by MARKET STREET SECURITIES, MCGOWAN INVESTORS LP, TIM LOBACH.(tj, ) Additional attachment(s) added on 6/19/2007 (tj, ). (Entered: 06/19/2007) 06/18/2007 Summons Issued; 2 Mailed to counsel 6/19/07 as to KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO. (tj, ) (Entered: 06/19/2007) 06/18/2007 DEMAND for Trial by Jury by STEPHEN J. CHESELDINE, MARKET STREET SECURITIES, MCGOWAN INVESTORS LP, TIM LOBACH. (tj, ) (Entered: 06/19/2007) 06/26/ CERTIFICATE of Counsel re 1 Complaint Publication giving Class Notice Case Commenced by STEVEN B. MIROW on behalf of all plaintiffs(mirow, STEVEN) (Entered: 06/26/2007) 09/10/ Praecipe to Reissue Summons by STEPHEN J. CHESELDINE, MARKET STREET SECURITIES, MCGOWAN INVESTORS LP, TIM LOBACH. (MIROW, STEVEN) (Entered: 09/10/2007) 11/30/ STIPULATION AND ORDER - PURSUANT TO OCAL RULE 7.4(b)(2), IT IS

4 HEREBY STIPULATED, CONSENTED TO AND AGREED BY AND BETWEEN THE UNDERSIGNED COUNSEL THAT: THE TIME FOR DEFENDANTS KEEFE BRUYETTE & WOODS, INC. AND JOSEPH J. SPALLUTO TO ANSWER OR OTHERWISE MOVE WITH RESPECT TO THE SUMMONS AND COMPLAINT IN THIS ACTION IS HEREBY EXTENDED TO AND INCLUDING DECEMBER 14, APPROVED BY THE COURT:. SIGNED BY JUDGE ANITA B. BRODY ON 11/29/ /30/2007 ENTERED AND COPIES VIA ECF AND U.S. MAIL.(mo, ) (Entered: 11/30/2007) 11/30/2007 ***Update Answer Deadline (mo, ) (Entered: 11/30/2007) 12/14/ MOTION to Dismiss the Class Action Complaint filed by KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO, REQUEST FOR ORAL ARGUMENT. (Attachments: # 1 Text of Proposed Order)(MAHONEY, SEAN) Modified on 12/18/2007 (afm, ). (Entered: 12/14/2007) 12/14/ Memorandum of Law in Support of Defendants' Motion to Dismiss the Class Action Complaint re 5 MOTION to Dismiss the Class Action Complaint filed by KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO, CERTIFICATE OF SERVICE. (MAHONEY, SEAN) Modified on 12/18/2007 (afm, ). (Entered: 12/14/2007) 12/14/ Declaration of Eric R. Levine in Support of Defendants' to Dismiss the Class Action Complaint by KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO. (Exhibits Attached in Hard Copy - Over 50 Pages) (ac, ) (Entered: 12/17/2007) 12/18/ APPLICATION/PETITION for the Pro Hac Vice Admission of Eric R. Heichel, Esquire by KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO, Statement, Certificate of Service. (MAHONEY, SEAN) Modified on 12/19/2007 (ac, ). (Entered: 12/18/2007) 12/18/ APPLICATION/PETITION for the Pro Hac Vice Admission of Eric Levine, Esquire by KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO, Statement, Certificate of Service. (MAHONEY, SEAN) Modified on 12/19/2007 (ac, ). (Entered: 12/18/2007) 12/18/ APPLICATION/PETITION for the Pro Hac Vice Admission of Jonathan C. Marquet, Esquire by KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO, Statement, Certificate of Service. (MAHONEY, SEAN) Modified on 12/19/2007 (ac, ). (Entered: 12/18/2007) 12/21/ Disclosure Statement Form pursuant to FRCP 7.1 including KBW, Inc. with Certificate of Service by KEEFE BRUYETTE & WOODS, INC..(MAHONEY, SEAN) (Entered: 12/21/2007) 12/21/ NOTICE of Hearing: A RULE 16 CONFERENCE WILL BE HELD ON THURSDAY, FEBRUARY 7, 2008 AT 04:00 PM IN JUDGE'S CHAMBERS BEFORE HONORABLE ANITA B. BRODY.12/21/2007 ENTERED AND COPIES SENT VIA ECF AND U.S. MAIL.(mo, ) (Entered: 12/21/2007) 12/27/ ORDER THAT THE APPLICATION OF JONATHAN C. MARQUET, ESQUIRE, TO PRACTICE IN THIS COURT IS GRANTED. SIGNED BY HONORABLE ANITA B. BRODY ON 12/20/07. 12/27/07 ENTERED AND COPIES ED. COPIES

5 MAILED BY CHAMBERS.(ac, ) (Entered: 12/27/2007) 12/27/ ORDER THAT THE APPLICATION OF ERIC R. LEVINE, ESQUIRE, TO PRACTICE IN THIS COURT IS GRANTED. SIGNED BY HONORABLE ANITA B. BRODY ON 12/20/07. 12/27/07 ENTERED AND COPIES ED. COPIES MAILED BY CHAMBERS.(ac, ) (Entered: 12/27/2007) 12/27/ ORDER THAT THE APPLICATION OF ERIC HEICHEL, ESQUIRE, TO PRACTICE IN THIS COURT IS GRANTED. SIGNED BY HONORABLE ANITA B. BRODY ON 12/20/07. 12/27/07 ENTERED AND COPIES MAILED AND E- MAILED. COPIES MAILED BY CHAMBERS.(ac, ) (Entered: 12/27/2007) 01/15/ ORDER that PURSUANT TO PLAINTIFFS' ATTACHED LETTER REQUESTING AN EXTENSION OF TIME TO FILE AN OPPOSITION TO DEFENDANTS' MOTION TO DISMISS:. PLAINTIFFS SHALL HAVE UNTIL JANUARY 15, 2008 TO FILE AN OPPOSITION TO DEFENDANTS' MOTION TO DISMISS.. DEFENDANTS SHALL HAVE UNTIL JANUARY 30, 2008 TO FILE THEIR REPLY TO PLAINTIFFS' OPPOSITION.. SIGNED BY HONORABLE ANITA B. BRODY ON 1/14/ /15/2008 ENTERED AND COPIES VIA ECF AND U.S. MAIL.(mo, ) (Entered: 01/15/2008) 01/16/ RESPONSE in Opposition re 5 MOTION to Dismiss the Class Action Complaint Memorandum of Law in Opposition filed by STEPHEN J. CHESELDINE, MARKET STREET SECURITIES, MCGOWAN INVESTORS LP, TIM LOBACH. (Attachments: # 1 Certificate of service)(mirow, STEVEN) (Entered: 01/16/2008) 01/30/ Memorandum of Law to Further Support Motion to Dismiss the Class Action Complaint re 5 MOTION to Dismiss the Class Action Complaint filed by KEEFE BRUYETTE & WOODS, INC., JOSEPH J. SPALLUTO. (MAHONEY, SEAN) (Entered: 01/30/2008) 03/04/ Minute Entry for proceedings held before HONORABLE ANITA B. BRODY: Rule 16 Conference held on 02/07/08. Court Reporter: ESR. (ac, ) (Entered: 03/04/2008) 03/06/ TRANSCRIPT of Proceedings held on 2/7/08 before Judge BRODY. Court Reporter: JAMES SCHEIDT. RULE 16 CONFERENCE IN CHAMBERS (jl, ) (Entered: 03/07/2008) 03/19/ MEMORANDUM AND OPINION that DEFENDANTS' MOTION TO DISMISS (DOC. #5) IS GRANTED AND THIS CASE IS DISMISSED WITH PREJUDICE.. SIGNED BY HONORABLE ANITA B. BRODY ON 3/19/ /19/2008 ENTERED AND COPIES VIA ECF AND U.S. MAILL.(mo, ) (Entered: 03/19/2008) 04/15/ NOTICE OF APPEAL as to 21 Memorandum & Opinion by STEPHEN J. CHESELDINE, MARKET STREET SECURITIES, MCGOWAN INVESTORS LP, TIM LOBACH. Copies to Judge, Clerk USCA, Appeals Clerk and STEVEN B. MIROW (MIROW, STEVEN) Modified on 4/16/2008 (nd). (Entered: 04/15/2008) 04/15/ Clerk's Notice to USCA re 22 Notice of Appeal. (kw, ) (Entered: 04/16/2008) 04/17/2008 NOTICE of Docketing Record on Appeal from USCA re: Notice of Appeal filed by MARKET STREET SECURITIES, MCGOWAN INVESTORS LP, STEPHEN J. CHESELDINE, TIM LOBACH. USCA Case Number (ac, ) (Entered: 04/17/2008)

6 05/05/2008 USCA Appeal Fees received $ 455 receipt number re 22 Notice of Appeal filed by MARKET STREET SECURITIES, MCGOWAN INVESTORS LP, STEPHEN J. CHESELDINE, TIM LOBACH (ac, ) (Entered: 05/05/2008) 05/21/ Copy of TPO Form re: Notice of Appeal. (ac, ) (Entered: 05/22/2008) 05/22/2008 Record Complete for Purposes of Appeal re 22 Notice of Appeal. The Clerk's Office hereby certifies the record and the docket sheet available through ECF to be the certified list in lieu of the record and/or the certified copy of the docket entries. (om, ) (Entered: 05/22/2008) 06/03/ Copy of TPO Form re: Notice of Appeal. (ac, ) (Entered: 06/03/2008) 08/27/ Certified Copy of Order from USCA that the foregoing Motion by Appellants Requesting that the Appeals at Nos and be Administratively consolidated; that the Issue of Validity of the Delaware Chancery Court Release be Bifurcated from the Merits of the Frucher Case and Addressed First; and that the Request for a Remand in be Withdrawn and the Motion by Appellees Keefe Bruyette & Woods, Inc. and Joseph J. Spalluto in No to Dismiss Appeal and Response in Opposition to Appellants' Procedural Motion is hereby Granted. (ac, ) (Entered: 08/27/2008) 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