U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:16-cv WHP

Transcription

1 US District Court Civil Docket as of March 20, 2018 Retrieved from the court on March 20, 2018 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:16-cv WHP Jon D. Gruber, Individually And On Behalf Of All Others Similarly Situated v. Ryan R. Gilbertson, et al. Assigned to: Judge William H. Pauley, III Cause: 15:77 Securities Fraud Date Filed: 12/16/2016 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Lead Plaintiff Jon D. Gruber Individually And On Behalf Of All Others Similarly Situated represented by Louis Andrew Kessler Cera LLP 595 Market Street, Suite 2300 San Francisco, CA (415) Fax: (415) LEAD ATTORNEY Solomon B. Cera Gold Bennett Cera & Sidener, LLP 595 Market Street, Suite 2300 San Francisco, CA (415) x2234 Fax: (415) LEAD ATTORNEY Jeffrey Simon Abraham Abraham Fruchter & Twersky LLP One Penn Plaza Suite 2805 New York, NY Fax: Plaintiff

2 Steven Deardeuff on behalf of himself and on behalf of others similalry situated Plaintiff Jon D. & Linda W. Gruber Trust represented by Phillip C. Kim The Rosen Law Firm P.A. 275 Madison Avenue New York, NY (212) Fax: (212) represented by Louis Andrew Kessler LEAD ATTORNEY Solomon B. Cera LEAD ATTORNEY Jeffrey Simon Abraham V. Movant Nibahoo Malhotra represented by Phillip C. Kim LEAD ATTORNEY V. Defendant Dakota Plains Holdings, Inc. Defendant Craig M McKenzie represented by Bradley Gershel Ballard Spahr LLP 919 Third Avenue New York, NY Fax: gershelb@ballardspahr.com Christopher Mcbeth Proczko Lindquist & Vennum LLP

3 4200 IDS Center 80 South 8th Street Minneapolis, MN (612) Fax: (612) PRO HAC VICE Karl Jon Breyer Lindquist & Vennum LLP 4200 IDS Center 80 South 8th Street Minneapolis, MN (612) Fax: (612) PRO HAC VICE Marjorie Joan Peerce Ballard Spahr LLP 919 Third Avenue New York, NY Fax: Defendant Timothy R. Brady represented by Carrie Baker Anderson Allen & Overy, LLP 1221 Avenue of the Americas New York, NY (212) Fax: (212) LEAD ATTORNEY Ranelle A. Leier Fox Rothschild LLP (Minneapolis) 222 South Ninth Street, Suite 2000 Minneapolis, MN (612) Fax: (612) LEAD ATTORNEY

4 Oksana Gaussy Wright Fox Rothschild, LLP (NYC) 101 Park Avenue, 17th Floor New York, NY Fax: Defendant Gabriel G Claypool represented by Victoria Peng Morgan Lewis & Bockius, LLP (NY) 101 Park Avenue New York, NY (212) victoria.peng@morganlewis.com LEAD ATTORNEY Jane E. Dudzinski Morgan, Lewis & Bockius LLP (Chicago) 77 West Wacker Drive, 5th Floor Chicago, IL (312) jane.dudzinski@morganlewis.com Kenneth Michael Kliebard Morgan, Lewis & Bockius LLP (Chicago) 77 West Wacker Drive, 5th Floor Chicago, IL (312) Fax: (312) kkliebard@morganlewis.com Defendant Michael L. Reger represented by David Anthony Scheffel Dorsey & Whitney LLP 51 West 52nd Street New York, NY Fax: scheffel.david@dorsey.com LEAD ATTORNEY James K. Langdon

5 Dorsey & Whitney LLP (MN) 50 South Sixth Street, Suite 1500 Minneapolis, MN (612) Michael E. Rowe, III Dorsey & Whitney LLP (MN) 50 South Sixth Street, Suite 1500 Minneapolis, MN (612) Defendant Terry H. Rust represented by Bradley Gershel Christopher Mcbeth Proczko PRO HAC VICE Karl Jon Breyer PRO HAC VICE Marjorie Joan Peerce Defendant Paul M. Cownie represented by Bradley Gershel Christopher Mcbeth Proczko PRO HAC VICE Karl Jon Breyer PRO HAC VICE Marjorie Joan Peerce

6 Defendant David J. Fellon represented by Bradley Gershel Christopher Mcbeth Proczko PRO HAC VICE Karl Jon Breyer PRO HAC VICE Marjorie Joan Peerce Defendant Gary L. Alvord represented by Bradley Gershel Christopher Mcbeth Proczko PRO HAC VICE Karl Jon Breyer PRO HAC VICE Marjorie Joan Peerce Defendant James L. Thornton represented by Bradley Gershel Christopher Mcbeth Proczko PRO HAC VICE

7 Karl Jon Breyer PRO HAC VICE Marjorie Joan Peerce Defendant Ryan R. Gilbertson represented by Troy J. Hutchinson Rock Hutchinson, Pllp 120 South Sixth Street, Suite 2050 Minneapolis, MN (612) Fax: LEAD ATTORNEY Date Filed # Docket Text 12/16/ COMPLAINT against Timothy Brady, Gabriel G Claypool, Dakota Plains Holdings, Inc., Ryan Gilbertson, Craig M McKenzie, Michael L. Reger. (Filing Fee $ , Receipt Number )Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Attachments: # 1 Certification, # 2 Exhibit 1, # 3 Exhibit 2)(Kim, Phillip) (Entered: 12/16/2016) 12/16/ CIVIL COVER SHEET filed. (Kim, Phillip) (Entered: 12/16/2016) 12/16/ REQUEST FOR ISSUANCE OF SUMMONS as to Timothy R. Brady, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016) 12/16/ REQUEST FOR ISSUANCE OF SUMMONS as to Gabriel G. Claypool, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016) 12/16/ REQUEST FOR ISSUANCE OF SUMMONS as to Dakota Plains Holdings, Inc., re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016) 12/16/ REQUEST FOR ISSUANCE OF SUMMONS as to Ryan Gilbertson, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016)

8 12/16/ REQUEST FOR ISSUANCE OF SUMMONS as to Michael L. Reger, re: 1 Complaint,. Document filed by Steven Deardeuff(on behalf of others similalry situated), Steven Deardeuff(on behalf of himself). (Kim, Phillip) (Entered: 12/16/2016) 12/19/2016 ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Phillip C. Kim. The party information for the following party/parties has been modified: Timothy Brady. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error. (pc) (Entered: 12/19/2016) 12/19/2016 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge William H. Pauley, III. Please download and review the Individual Practices of the assigned District Judge, located at Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at (pc) (Entered: 12/19/2016) 12/19/2016 Magistrate Judge Debra C. Freeman is so designated. (pc) (Entered: 12/19/2016) 12/19/2016 Case Designated ECF. (pc) (Entered: 12/19/2016) 12/19/ ELECTRONIC SUMMONS ISSUED as to Michael L. Reger. (pc) (Entered: 12/19/2016) 12/19/ ELECTRONIC SUMMONS ISSUED as to Ryan Gilbertson. (pc) (Entered: 12/19/2016) 12/19/ ELECTRONIC SUMMONS ISSUED as to Dakota Plains Holdings, Inc.. (pc) (Entered: 12/19/2016) 12/19/ ELECTRONIC SUMMONS ISSUED as to Gabriel G Claypool. (pc) (Entered: 12/19/2016) 12/19/ ELECTRONIC SUMMONS ISSUED as to Timothy R. Brady. (pc) (Entered: 12/19/2016) 12/22/ ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 3/17/2017 at 11:30 AM in Courtroom 20B, 500 Pearl Street, New York, NY before Judge William H. Pauley III. As further set forth in this Order. (Signed by Judge William H. Pauley, III on 12/22/2016) (anc) (Entered: 12/22/2016) 01/14/ NOTICE of SUGGESTION OF BANKRUPTCY. Document filed by Dakota Plains Holdings, Inc.. (Rose, Jorian) (Entered: 01/14/2017) 01/17/ AFFIDAVIT OF SERVICE of Suggestion of Pendency of Bankruptcy Proceeding on January 17, Service was made by Mail. Document filed by Dakota Plains Holdings, Inc.. (Rose, Jorian) (Entered: 01/17/2017) 02/14/ MOTION to Appoint Counsel and Lead Plaintiff. Document filed by Nibahoo Malhotra. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 02/14/2017)

9 02/14/ MEMORANDUM OF LAW in Support re: 16 MOTION to Appoint Counsel and Lead Plaintiff.. Document filed by Nibahoo Malhotra. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Kim, Phillip) (Entered: 02/14/2017) 02/14/ MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s). Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Abraham, Jeffrey) (Entered: 02/14/2017) 02/14/ MEMORANDUM OF LAW in Support re: 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s).. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Abraham, Jeffrey) (Entered: 02/14/2017) 02/14/ DECLARATION of Solomon B. Cera in Support re: 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s).. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Abraham, Jeffrey) (Entered: 02/14/2017) 02/24/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Solomon B. Cera to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Cera, Solomon) Modified on 2/24/2017 (ma). (Entered: 02/24/2017) 02/24/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Louis A. Kessler to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Kessler, Louis) Modified on 2/24/2017 (ma). (Entered: 02/24/2017) 02/24/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Solomon B. Cera to Appear Pro Hac Vice Filing Fee Paid, receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Text of Proposed Order)(Cera, Solomon) Modified on 2/24/2017 (bcu). (Entered: 02/24/2017) 02/24/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 21 MOTION for Solomon B. Cera to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): MISSING AFFIDAVIT OR DECLARATION PURSUANT TO LOCAL RULE 1.3;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma) (Entered: 02/24/2017) 02/24/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 22 MOTION for Louis A. Kessler to Appear Pro Hac Vice. Filing fee $ , receipt number

10 Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): MISSING AFFIDAVIT OR DECLARATION PURSUANT TO LOCAL RULE 1.3;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma) (Entered: 02/24/2017) 02/24/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 23 MOTION for Solomon B. Cera to Appear Pro Hac Vice Filing Fee Paid, receipt number Motion and supporting papers to be reviewed by Clerk's Office staff., Terminate Motions,.. The filing is deficient for the following reason(s): Missing Attorney Affidavit/Declaration. Please read Local Rule 1.3;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu) (Entered: 02/24/2017) 02/24/ MOTION for Solomon B. Cera to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Solomon B. Cera, Filing Fee Paid, receipt number ,. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Affidavit, # 3 Text of Proposed Order)(Cera, Solomon) (Entered: 02/24/2017) 02/24/ MOTION for Louis A. Kessler to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Louis A. Kessler, Filing fee paid, receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Good Standing, # 2 Affidavit, # 3 Text of Proposed Order)(Kessler, Louis) (Entered: 02/24/2017) 02/27/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 25 MOTION for Louis A. Kessler to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Louis A. Kessler, Filing fee paid, receipt number Motion and supporting papers to be reviewed by Clerk', 24 MOTION for Solomon B. Cera to Appear Pro Hac Vice Corrected Motion for Admission Pro Hac Vice for Solomon B. Cera, Filing Fee Paid, receipt number ,. Motion and supporting papers to be reviewed by Clerk's Offi. The document has been reviewed and there are no deficiencies. (wb) (Entered: 02/27/2017) 02/28/ MEMORANDUM OF LAW in Opposition re: 16 MOTION to Appoint Counsel and Lead Plaintiff. of Nibahoo Malhotra. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Abraham, Jeffrey) (Entered: 02/28/2017) 03/01/ NOTICE of Withdrawal of Lead Plaintiff Motion re: 16 MOTION to Appoint Counsel and Lead Plaintiff.. Document filed by Nibahoo Malhotra. (Kim, Phillip) (Entered: 03/01/2017) 03/07/ REPLY MEMORANDUM OF LAW in Support re: 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s).. Document

11 filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Abraham, Jeffrey) (Entered: 03/07/2017) 03/10/ SCHEDULING ORDER: The initial conference scheduled for March 17, 2017 is adjourned to March 30, 2017 at 2:00 p.m. Initial Conference set for 3/30/2017 at 02:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 03/10/2017) (ap) (Entered: 03/10/2017) 03/17/2017 ***DELETED DOCUMENT. Deleted document number 30 Order. The document was incorrectly filed in this case. (ap) (Entered: 03/17/2017) 03/29/ ORDER GRANTING ADMISSION PRO HAC VICE granting 24 Motion for Solomon B. Cera to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 3/29/2017) (cla) (Entered: 03/29/2017) 03/29/ ORDER GRANTING ADMISSION PRO HAC VICE granting 25 Motion for Louis A. Kessler to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 3/29/2017) (cla) (Entered: 03/29/2017) 03/30/ SCHEDULING ORDER: Amended Pleadings due by 5/1/2017. Status Conference set for 6/23/2017 at 02:30 PM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 3/30/2017) (cla) (Entered: 03/30/2017) 03/30/ Minute Entry for proceedings held before Judge William H. Pauley, III: Initial Pretrial Conference held on 3/30/2017. (Choi, Brian) (Entered: 04/06/2017) 03/31/ NOTICE of Proposed order Granting Motion of Jon D. Gruber for: (1) Appointment as Lead Plaintiff; and (2) Approval of Selection of Lead Counsel for the Class re: 20 Declaration in Support of Motion, 19 Memorandum of Law in Support of Motion, 18 MOTION to Appoint Jon D. Gruber, Jon D. & Linda W. Gruber Trust to serve as lead plaintiff(s).. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Cera, Solomon) (Entered: 03/31/2017) 04/07/ ORDER GRANTING MOTION OF JON D. GRUBER FOR: (1) APPOINTMENT AS LEAD PLAINTIFF; AND (2) APPROVAL OF SELECTION OF LEAD COUNSEL FOR THE CLASS granting 18 Motion to Appoint Jon D. Gruber as Lead Plaintiff(s). IT IS HEREBY ORDERED THAT: 1. The Motion is granted; 2. Jon D. Gruber is hereby appointed to serve as Lead Plaintiff in the above-captioned action; and 3. Jon D. Gruber's selection of Cera LLP as Lead Counsel for the Class is approved pursuant to 15 U.S.C. 78u-4(a)(3)(B)(v). (Signed by Judge William H. Pauley, III on 4/7/2017) (cla) (Entered: 04/07/2017) 05/01/ FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR FIRST AMENDED COMPLAINT amending 1 Complaint, against Timothy R. Brady, Gabriel G Claypool, Ryan Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 1 Complaint, filed by Steven Deardeuff. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) Modified on 5/2/2017 (pc). (Entered: 05/01/2017) 05/01/ FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Ryan R.

12 Gilbertson, Michael L. Reger, Gabriel G. Claypool, Craig M. McKenzie, Timothy R. Brady, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton, re: 36 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) Modified on 5/2/2017 (pc). (Entered: 05/01/2017) 05/02/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Louis Andrew Kessler to RE-FILE re: Document No. 36 Amended Complaint,,. The filing is deficient for the following reason(s): all of the parties listed on the pleading were not entered on CM ECF; the wrong party/parties whom the pleading is against were selected; Ryan R. Gilbertson is not a party listed on CM ECF. Docket the event type Add Party to Pleading found under the event list Complaints and Other Initiating Documents. Re-file the pleading using the event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (pc) (Entered: 05/02/2017) 05/02/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney to RE-FILE Document No. 37 Request for Issuance of Amended Summons,. The filing is deficient for the following reason(s): the wrong filer/filers were selected for the request for issuance of summons; Ryan R. Gilbertson is not a party listed on CM ECF. An amended summons can only be issued to parties that have previously received one. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (pc) (Entered: 05/02/2017) 05/02/ FILING ERROR - DEFICIENT PLEADING - FRCP RULE 15 NON- COMPLIANCE FIRST AMENDED COMPLAINT amending 1 Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton, Ryan R. Gilbertson with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 1 Complaint, filed by Steven Deardeuff. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) Modified on 5/3/2017 (pc). (Entered: 05/02/2017) 05/02/ FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Ryan R. Gilbertson, Michael L. Reger, Gabriel G. Claypool, Craig M. McKenzie, Timothy R. Brady, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton, re: 38 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) Modified on 5/9/2017 (pc). (Entered: 05/02/2017) 05/03/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Louis Andrew Kessler to RE-FILE re: Document No. 38 Amended Complaint,,. The filing is deficient for the following reason(s): Court's leave has not been granted The amended complaint was filed correctly after the due date so permission from Chambers will have to be granted in order for the amended complaint to be accepted. Re-file the pleading using the

13 event type Amended Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. File the Exhibit to Pleading event found under the event list Other Documents and attach either opposing party's written consent or Court's leave. (pc) (Entered: 05/03/2017) 05/04/ LETTER addressed to Judge William H. Pauley, III from Louis A. Kessler dated May 4, 2017 re: requests permission to re-file the First Amended Class Action Complaint. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) (Entered: 05/04/2017) 05/04/ MEMO ENDORSEMENT on re: 40 Letter filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. ENDORSEMENT: Application granted. (Signed by Judge William H. Pauley, III on 5/4/2017) (mro) (Entered: 05/05/2017) 05/05/ FIRST AMENDED COMPLAINT amending 1 Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. Related document: 1 Complaint, filed by Steven Deardeuff. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) (Entered: 05/05/2017) 05/09/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney to RE-FILE Document No. 39 Request for Issuance of Amended Summons,. The filing is deficient for the following reason(s): An amended summons can only be issued to parties that have previously received one. Parties that have not yet been issued a summons can only request a standard summons. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (pc) (Entered: 05/09/2017) 05/09/ FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Michael L. Reger, Gabriel G. Claypool, Craig M. McKenzie, Timothy R. Brady, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) Modified on 5/10/2017 (pc). (Entered: 05/09/2017) 05/09/ REQUEST FOR ISSUANCE OF SUMMONS as to Ryan R. Gilbertson, Terry H. Rust, Paul M. Cownie, David J. Fellon, Gary L. Alvord, James L. Thornton, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/09/2017) 05/10/ ELECTRONIC SUMMONS ISSUED as to Gary L. Alvord, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Terry H. Rust, James L. Thornton. (pc) (Entered: 05/10/2017) 05/10/2017 ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney to RE-FILE Document No. 43 Request for Issuance of Amended Summons,. The filing is deficient for the following reason(s): Craig M. McKenzie was never issued a summons so he will require a standard summons. Re-file the document using the event type

14 Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (pc) (Entered: 05/10/2017) 05/10/ REQUEST FOR ISSUANCE OF AMENDED SUMMONS as to Michael L. Reger, Gabriel G. Claypool, Timothy R. Brady, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/10/2017) 05/10/ REQUEST FOR ISSUANCE OF SUMMONS as to Craig M. McKenzie, re: 42 Amended Complaint,. Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Kessler, Louis) (Entered: 05/10/2017) 05/11/ ELECTRONIC SUMMONS ISSUED as to Craig M McKenzie. (pc) (Entered: 05/11/2017) 05/11/ ELECTRONIC AMENDED SUMMONS ISSUED as to Timothy R. Brady, Gabriel G Claypool, Michael L. Reger. (pc) (Entered: 05/11/2017) 05/18/ NOTICE OF APPEARANCE by David Anthony Scheffel on behalf of Michael L. Reger. (Scheffel, David) (Entered: 05/18/2017) 05/30/ SUMMONS RETURNED EXECUTED. Gary L. Alvord served on 5/11/2017, answer due 6/1/2017; Timothy R. Brady served on 5/13/2017, answer due 6/5/2017; Gabriel G Claypool served on 5/16/2017, answer due 6/6/2017; Paul M. Cownie served on 5/15/2017, answer due 6/5/2017; David J. Fellon served on 5/17/2017, answer due 6/7/2017; Craig M McKenzie served on 5/15/2017, answer due 6/5/2017; Michael L. Reger served on 5/13/2017, answer due 6/5/2017; Terry H. Rust served on 5/12/2017, answer due 6/2/2017; James L. Thornton served on 5/15/2017, answer due 6/5/2017. Document filed by Jon D. Gruber; Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Kessler, Louis) (Entered: 05/30/2017) 05/31/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for James K. Langdon to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Declaration of J. Langdon in Support of Motion for Admission Pro Hac Vice)(Scheffel, David) Modified on 5/31/2017 (ma). (Entered: 05/31/2017) 05/31/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Michael E. Rowe III to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit of M. Rowe in Support of Motion to Appear Pro Hac Vice)(Scheffel, David) Modified on 5/31/2017 (ma). (Entered: 05/31/2017) 05/31/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 52 MOTION for James K. Langdon to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff., 53 MOTION for Michael E. Rowe III to Appear Pro Hac Vice. Filing fee $ ,

15 receipt number Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): THE MOTIONS MUST HAVE THE ORIGINAL SIGNATURES OF THE ATTORNEYS SEEKING TO APPEAR PRO HAC VICE.;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma) (Entered: 05/31/2017) 05/31/ MOTION for James K. Langdon to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Declaration of James K. Langdon)(Scheffel, David) (Entered: 05/31/2017) 05/31/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 54 MOTION for James K. Langdon to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 05/31/2017) 05/31/ MOTION for Michael E. Rowe III to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Michael L. Reger. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Declaration of Michael E. Rowe III)(Scheffel, David) (Entered: 05/31/2017) 05/31/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 55 MOTION for Michael E. Rowe III to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 05/31/2017) 06/02/ STIPULATION TO EXTEND TIME TO ANSWER FIRST AMENDED COMPLAINT. IT IS HEREBY STIPULATED AND AGREED by and between the undersigned attorneys for the parties that the time within which Defendant Michael L. Reger may move, answer, or otherwise respond to the First Amended Complaint (dkt. 42) is hereby extended from June 5, 2017 up to and including June 16, So ordered. Michael L. Reger answer due 6/16/2017. (Signed by Judge William H. Pauley, III on 6/2/2017) (rjm) (Entered: 06/02/2017) 06/14/ SUMMONS RETURNED EXECUTED. Ryan R. Gilbertson served on 6/14/2017, answer due 7/5/2017. Document filed by Jon D. Gruber; Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Exhibit A)(Kessler, Louis) (Entered: 06/14/2017) 06/16/ NOTICE OF APPEARANCE by Marjorie Joan Peerce on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Peerce, Marjorie) (Entered: 06/16/2017) 06/16/ FILING ERROR - DEFICIENT DOCKET ENTRY (SEE DOCUMENT #60) - LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Peerce, Marjorie) Modified on 6/19/2017 (ldi). (Entered: 06/16/2017) 06/16/ LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, Document filed by Gary L. Alvord, Paul M.

16 Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Peerce, Marjorie) (Entered: 06/16/2017) 06/16/ NOTICE OF APPEARANCE by Bradley Gershel on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Gershel, Bradley) (Entered: 06/16/2017) 06/16/ FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Conference addressed to Judge William H. Pauley, III from David A. Scheffel dated June 16, Document filed by Michael L. Reger.(Scheffel, David) Modified on 6/19/2017 (ldi). (Entered: 06/16/2017) 06/19/2017 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney David Anthony Scheffel to RE-FILE Document 62 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from David A. Scheffel dated June 16, Use the event type Leave to File Document found under the event list Motions. (ldi) (Entered: 06/19/2017) 06/19/ LETTER MOTION for Leave to File Motion to Dismiss First Amended Class Action Complaint addressed to Judge William H. Pauley, III from David A. Scheffel dated June 16, Document filed by Michael L. Reger.(Scheffel, David) (Entered: 06/19/2017) 06/19/ MEMO ENDORSEMENT on re: 60 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. ENDORSEMENT: The parties' premotion conference requests shall be discussed at the status conference scheduled for June 23. Plaintiffs may file a response in advance of the conference. So ordered. Motion(s) terminated: 60 LETTER MOTION for Conference addressed to Judge William H. Pauley, III from Marjorie J. Peerce dated June 16, filed by David J. Fellon, Craig M McKenzie, Gary L. Alvord, Terry H. Rust, James L. Thornton, Paul M. Cownie. (Signed by Judge William H. Pauley, III on 6/19/2017) (rjm) Modified on 6/19/2017 (rjm). (Entered: 06/19/2017) 06/19/ FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Karl Jon Breyer to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton.(Breyer, Karl) Modified on 6/19/2017 (jc). (Entered: 06/19/2017) 06/19/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 65 MOTION for Karl Jon Breyer to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): 1) missing Attorney Affidavit or Declaration; and 2) missing Proposed Order. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Attorney Affidavit or Declaration - attach Proposed Order. (jc) (Entered: 06/19/2017)

17 06/19/ MOTION for Karl Jon Breyer to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Exhibit Declaration of K. Jon Breyer, # 2 Exhibit Certificate of Good Standing, # 3 Exhibit Proposed Order for Admission Pro Hac Vice)(Breyer, Karl) (Entered: 06/19/2017) 06/19/ MOTION for Christopher McBeth Proczko to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Attachments: # 1 Exhibit Declaration of Christopher M. Proczko, # 2 Exhibit Certificate of Good Standing, # 3 Exhibit Proposed Order for Admission Pro Hac Vice)(Proczko, Christopher) (Entered: 06/19/2017) 06/19/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 66 MOTION for Karl Jon Breyer to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 06/19/2017) 06/20/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 67 MOTION for Christopher McBeth Proczko to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 06/20/2017) 06/20/ ORDER FOR ADMISSION PRO HAC VICE granting 54 Motion for James K. Langdon to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017) 06/20/ ORDER FOR ADMISSION PRO HAC VICE granting 55 Motion for Michael E. Rowe III to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017) 06/20/ ORDER FOR ADMISSION PRO HAC VICE granting 66 Motion for K. Jon Breyer to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017) 06/20/ ORDER FOR ADMISSION PRO HAC VICE granting 67 Motion for Christopher M. Proczko to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/20/2017) (rjm) (Entered: 06/20/2017) 06/20/ NOTICE OF APPEARANCE by Karl Jon Breyer on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 06/20/2017) 06/21/ NOTICE OF APPEARANCE by Christopher Mcbeth Proczko on behalf of Gary L. Alvord, Paul M. Cownie, David J. Fellon, Craig M McKenzie, Terry H. Rust, James L. Thornton. (Proczko, Christopher) (Entered: 06/21/2017) 06/21/ NOTICE OF APPEARANCE by James K. Langdon on behalf of Michael L. Reger. (Langdon, James) (Entered: 06/21/2017)

18 06/21/ NOTICE OF APPEARANCE by Michael E. Rowe, III on behalf of Michael L. Reger. (Rowe, Michael) (Entered: 06/21/2017) 06/22/ NOTICE OF APPEARANCE by Victoria Peng on behalf of Gabriel G Claypool. (Peng, Victoria) (Entered: 06/22/2017) 06/22/ MOTION for Kenneth M. Kliebard to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gabriel G Claypool. (Attachments: # 1 Exhibit Declaration of Kenneth M. Kliebard, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order)(Kliebard, Kenneth) (Entered: 06/22/2017) 06/22/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 77 MOTION for Kenneth M. Kliebard to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc) (Entered: 06/22/2017) 06/22/ NOTICE OF APPEARANCE by Oksana Gaussy Wright on behalf of Timothy R. Brady. (Wright, Oksana) (Entered: 06/22/2017) 06/22/ MOTION for Jane E. Dudzinski to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Gabriel G Claypool. (Attachments: # 1 Exhibit Declaration of Jane E. Dudzinski, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order)(Dudzinski, Jane) (Entered: 06/22/2017) 06/22/ LETTER addressed to Judge William H. Pauley, III from Louis A. Kessler dated June 22, 2017 re: response to letters submitted on behalf of defendant Michael Reger (ECF No. 63) and defendants Craig McKenzie, Terry Rust, Paul Cownie, David Fellon, Gary Alvord and James Thornton (ECF No. 60). Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) (Entered: 06/22/2017) 06/23/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 79 MOTION for Jane E. Dudzinski to Appear Pro Hac Vice. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 06/23/2017) 06/23/ ORDER FOR ADMISSION PRO HAC VICE granting 77 Motion for Kenneth M. Kliebard to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Kenneth M. Kliebard is admitted to practice pro hac vice in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge William H. Pauley, III on 6/23/2017) (ras) (Entered: 06/23/2017) 06/23/ ORDER FOR ADMISSION PRO HAC VICE: granting 79 Motion for Jane E. Dudzinski to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/23/2017) (js) (Entered: 06/23/2017) 06/23/ SCHEDULING ORDER granting 63 Letter Motion for Leave to File Document. Counsel for the parties having appeared for a pre-motion conference on June 23,

19 2017, the following schedule is entered on consent: 1. The parties are directed to submit a Stipulation and Proposed Order regarding amendment of the caption in this action forthwith. 2. Plaintiff is directed to advise this Court and the parties if he will seek to amend his complaint by June 30, Absent any amendment of the pleadings, the Defendants' joint motion to dismiss shall be filed by August 15, Plaintiff's opposition to the motion to dismiss shall be filed by September 15, Defendants' reply shall be filed by September 26, Oral argument on the motion to dismiss shall be held on October 20, 2017 at 11:30 a.m. Given the number of Defendants in this action, the Defendants and Plaintiff are permitted to file their respective briefs each totaling up to 40 pages in length. Further, Defendants are permitted to file a reply brief totaling up 15 pages in length. The Clerk of Court is directed to terminate the motion pending at ECF No. 63. Moreover, the docket currently lists a "Ryan Gilbertson" as having been terminated from the case on May 8, 2017, and a "Ryan R. Gilbertson" as a named defendant. To avoid any confusion, the Clerk of Court is directed to remove the former-"ryan Gilbertson"-from the docket forthwith. (Signed by Judge William H. Pauley, III on 6/23/2017) (ras) (Entered: 06/23/2017) 06/23/2017 Set/Reset Deadlines: (Motions due by 8/15/2017. Responses due by 9/15/2017, Replies due by 9/26/2017.) Set/Reset Hearings: (Oral Argument set for 10/20/2017 at 11:30 AM before Judge William H. Pauley III.) (ras) (Entered: 06/23/2017) 06/23/ Minute Entry for proceedings held before Judge William H. Pauley, III: Status Conference held on 6/23/2017, Initial Pretrial Conference held on 6/23/2017. (Choi, Brian) (Entered: 07/05/2017) 06/26/ MOTION for Troy J. Hutchinson to Appear Pro Hac Vice for Ryan R. Gilbertson. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ryan R. Gilbertson. (Attachments: # 1 Certificate of Good Standing, # 2 Declaration of T. Hutchinson, # 3 Text of Proposed Order)(Hutchinson, Troy) (Entered: 06/26/2017) 06/26/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 84 MOTION for Troy J. Hutchinson to Appear Pro Hac Vice for Ryan R. Gilbertson. Filing fee $ , receipt number Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc) (Entered: 06/26/2017) 06/26/ NOTICE OF APPEARANCE by Kenneth Michael Kliebard on behalf of Gabriel G Claypool. (Kliebard, Kenneth) (Entered: 06/26/2017) 06/26/ NOTICE OF APPEARANCE by Jane E. Dudzinski on behalf of Gabriel G Claypool. (Dudzinski, Jane) (Entered: 06/26/2017) 06/27/ ORDER FOR ADMISSION PRO HAC VICE: granting 84 Motion for Troy J. Hutchinson to Appear Pro Hac Vice. SO ORDERED. (Signed by Judge William H. Pauley, III on 6/27/2017) (ama) (Entered: 06/27/2017) 06/28/ LETTER addressed to Judge William H. Pauley, III from Solomon B. Cera dated June 28, 2017 re: Lead Plaintiff has decided to amend the complaint and can submit the amendment on July 10, Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Cera, Solomon) (Entered: 06/28/2017)

20 06/29/ MOTION for Ranelle Leier to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Timothy R. Brady. (Attachments: # 1 Affidavit Affidavit of Ranelle Leier in Support of Motion to Admit Counsel Pro Hac Vice, # 2 Exhibit Certificate of Good Standing, # 3 Text of Proposed Order Proposed Order for Admission Pro Hac Vice of Ranelle Leier)(Leier, Ranelle) (Entered: 06/29/2017) 06/29/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 89 MOTION for Ranelle Leier to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 06/29/2017) 06/30/ ORDER FOR ADMISSION PRO HAC VICE OF RANELLE LEIER granting 89 Motion for Ranelle Leier to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 6/30/2017) (anc) (Entered: 06/30/2017) 06/30/ NOTICE OF APPEARANCE by Ranelle A. Leier on behalf of Timothy R. Brady. (Leier, Ranelle) (Entered: 06/30/2017) 06/30/ NOTICE OF APPEARANCE by Carrie Baker Anderson on behalf of Timothy R. Brady. (Anderson, Carrie) (Entered: 06/30/2017) 07/06/ MEMO ENDORSED on re: 88 Letter, filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. ENDORSED: In view of Plaintiff's amendment of his Complaint, the briefing schedule for Defendants' motion to dismiss shall remain in place and unchanged. So Ordered (Signed by Judge William H. Pauley, III on 7/6/2017) (js) (Entered: 07/07/2017) 07/07/ STIPULATION AND ORDER AMENDING CAPTION. IT IS HEREBY STIPULATED AND AGREED, by and between the parties hereto through their counsel of record, that the caption of this action shall be changed pursuant to Rule 10(a) of the Federal Rules of Civil Procedure to reflect the appointment of the lead plaintiff, and all filings hereafter made in this action shall reflect the following caption: Jon D. Gruber, Individually And On Behalf Of All Others Similarly Situated v. Ryan R. Gilbertson, et al., Case No. 16-cv WHP. IT IS SO STIPULATED. (Signed by Judge William H. Pauley, III on 7/7/2017) (rjm) (Entered: 07/07/2017) 07/10/ SECOND AMENDED COMPLAINT amending 42 Amended Complaint, against Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton with JURY DEMAND.Document filed by Jon D. Gruber. Related document: 42 Amended Complaint, filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust. (Attachments: # 1 Certificate of Plaintiff)(Kessler, Louis) Modified on 7/11/2017 (pc). (Entered: 07/10/2017) 07/24/ TRANSCRIPT of Proceedings re: Conference held on 6/23/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Steven Griffing, (212) Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/14/2017. Redacted Transcript Deadline set for 8/24/2017. Release of Transcript Restriction set for 10/23/2017.(Siwik, Christine) (Entered: 07/24/2017)

21 07/24/ NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 6/23/17 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(siwik, Christine) (Entered: 07/24/2017) 07/24/ TRANSCRIPT of Proceedings re: Conference held on 3/30/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Ellen Simone, (212) Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/14/2017. Redacted Transcript Deadline set for 8/24/2017. Release of Transcript Restriction set for 10/23/2017.(Siwik, Christine) (Entered: 07/24/2017) 07/24/ NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 3/30/17 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(siwik, Christine) (Entered: 07/24/2017) 08/15/ JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6). Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton. Responses due by 9/15/2017 Return Date set for 9/26/2017 at 11:59 PM.(Breyer, Karl) (Entered: 08/15/2017) 08/15/ JOINT MEMORANDUM OF LAW in Support re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6).. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton. (Breyer, Karl) (Entered: 08/15/2017) 08/15/ DECLARATION of K. Jon Breyer in Support re: 101 JOINT MOTION to Dismiss The Second Amended Complaint for Failure to State a Claim Under Federal Rule of Civil Procedure 12(b)(6).. Document filed by Gary L. Alvord, Timothy R. Brady, Gabriel G Claypool, Paul M. Cownie, David J. Fellon, Ryan R. Gilbertson, Craig M McKenzie, Michael L. Reger, Terry H. Rust, James L. Thornton. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Breyer, Karl) (Entered: 08/15/2017) 08/17/ FILING ERROR - DEFICIENT DOCKET ENTRY (SEE 105 Letter Motion) - LETTER MOTION to Stay request limited relief from the discovery stay addressed to Judge William H. Pauley, III dated August 17, Document filed by Jon D. Gruber, Jon D. & Linda W. Gruber Trust.(Kessler, Louis) Modified on 8/21/2017 (db). (Entered: 08/17/2017)