U.S. District Court Eastern District of New York (Central Islip) CIVIL DOCKET FOR CASE #: 2:17-cv LDW-GRB

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1 US District Court Civil Docket as of July 6, 2017 Retrieved from the court on July 6, 2017 U.S. District Court Eastern District of New York (Central Islip) CIVIL DOCKET FOR CASE #: 2:17-cv LDW-GRB Emerson et al v. Mutual Fund Series Trust et al Assigned to: Judge Leonard D. Wexler Referred to: Magistrate Judge Gary R. Brown Cause: 15:77 Securities Fraud Catalyst Futures Fund Investor Group Richard Kingston Margaret Pak Ken Hopkins Date Filed: 04/28/2017 Jury Demand: Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Shannon Lee Hopkins Levi & Korsinsky LLP 30 Broad Street 24th Floor New York, NY Fax: Rosen Law Firm, P.A. P.C. 275 Madison Avenue Suite 3400 New York, NY Fax:

2 The Weinstein Family Trust Kelly Farmer Eugene Almendinger William H. Tod Earle Folk Debra Folk Tom Lovelidge Robbins Geller Rudman & Dowd, LLP 58 South Service Road Suite 200 Melville, NY Fax:

3 Maryann Lovelidge Roger Emerson Mary Emerson Robert Caplin Martha J. Goodlett Individually and on Behalf of All Others Similarly Situated Jeffrey Berkowitz represented by Christopher Joseph Keller Labaton Sucharow & Rudoff LLP 100 Park Avenue 12th Flr. New York, NY Fax: Francis P. McConville Labaton Sucharow LLP 140 Broadway New York, NY Fax: V.

4 Mutual Fund Series Trust Catalyst Capital Advisors LLC Northern Lights Distributors LLC Jerry Szilagyi represented by James F. Moyle Lazare Potter Giacovas & Moyle LLP 875 Thrid Avenue, 28th Floor New York, NY Fax: represented by James F. Moyle represented by Mark Holland Goodwin Procter LLP The New York Times Building 620 Eighth Avenue New York, NY Fax: represented by James F. Moyle Tobias Caldwell Tiberiu Weisz Bert Pariser Erik Naviloff represented by James F. Moyle

5 Edward Walczak represented by John Daniel Radice Radice Law Firm, PC 34 Sunset Blvd Beach Haven, NJ Fax: Date Filed # Docket Text 04/28/ COMPLAINT for Violations of the Securities Act of 1933 against Tobias Caldwell, Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Northern Lights Distributors LLC, Bert Pariser, Jerry Szilagyi, Edward Walczak, Tiberiu Weisz filing fee $ 400, receipt number Was the Disclosure Statement on Civil Cover Sheet completed -YES,, filed by Robert Caplin, Mary Emerson, Roger Emerson, Martha J. Goodlett. (Attachments: # 1 Civil Cover Sheet) (Rudman, Samuel) (Entered: 04/28/2017) 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/ This attorney case opening filing has been checked for quality control. See the attachment for corrections that were made. (McMahon, Carol) (Entered: 05/01/2017) 05/01/2017 Case Assigned to Judge Leonard D. Wexler and Magistrate Judge Gary R. Brown. Please download and review the Individual Practices of the assigned Judges, located on our website. Attorneys are responsible for providing courtesy copies to judges

6 where their Individual Practices require such. (McMahon, Carol) (Entered: 05/01/2017) 05/01/2017 Proposed summonses are rejected; they are in PDFa making them read only documents; the Clerk's Office can not issue the summonses. Counsel is advised to submit proposed summonses that are in PDF format; use the event Proposed Summons/Civil Cover Sheet. (McMahon, Carol) (Entered: 05/01/2017) 05/01/ In accordance with Rule 73 of the Federal Rules of Civil Procedure and Local Rule 73.1, the parties are notified that if all parties consent a United States magistrate judge of this court is available to conduct all proceedings in this civil action including a (jury or nonjury) trial and to order the entry of a final judgment. Attached to the Notice is a blank copy of the consent form that should be filled out, signed and filed electronically only if all parties wish to consent. The form may also be accessed at the following link: You may withhold your consent without adverse substantive consequences. Do NOT return or file the consent unless all parties have signed the consent. (McMahon, Carol) (Entered: 05/01/2017) 05/01/ Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/02/ Summons Issued as to Tobias Caldwell, Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Northern Lights Distributors LLC, Bert Pariser, Jerry Szilagyi, Edward Walczak, Tiberiu Weisz, on 05/02/2017. (Fagan, Linda) (Entered: 05/02/2017) 05/19/ NOTICE of Appearance by John Daniel Radice on behalf of Edward Walczak (aty to be noticed) (Radice, John) (Entered: 05/19/2017) 05/22/ NOTICE of Appearance by James F. Moyle on behalf of Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Jerry Szilagyi (aty to be noticed) (Moyle, James) (Entered: 05/22/2017) 05/23/ Proposed Scheduling Order and Stipulation to Stay s' Response to Complaint by Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Jerry Szilagyi (Moyle, James) (Entered: 05/23/2017) 05/23/ NOTICE of Appearance by Mark Holland on behalf of Northern Lights Distributors LLC (aty to be noticed) (Holland, Mark) (Entered: 05/23/2017) 05/24/ Corporate Disclosure Statement by Northern Lights Distributors LLC identifying Corporate Parent NorthStar Financial Services Group, LLC for Northern Lights Distributors LLC. (Holland, Mark) (Entered: 05/24/2017) 05/26/ STIPULATION AND ORDER REGARDING STAY OF DEFENDANTS' RESPONSE TO COMPLAINT re 17 Proposed Scheduling Order filed by Catalyst Capital Advisors LLC, Erik Naviloff, Mutual Fund Series Trust, Jerry Szilagyi. So Ordered. (Ordered by Judge Leonard D. Wexler on 5/26/2017.) (Fagan, Linda) (Entered: 05/30/2017) 06/15/ NOTICE of Change of Firm Name and Contact Information by James F. Moyle (Moyle, James) (Entered: 06/15/2017)

7 06/26/ Letter re: Pre-Conference Motion by Robert Caplin, Mary Emerson, Roger Emerson, Martha J. Goodlett (Rudman, Samuel) (Entered: 06/26/2017) 06/26/ Letter re: Pre-Motion Conference CORRECTED by Robert Caplin, Mary Emerson, Roger Emerson, Martha J. Goodlett (Rudman, Samuel) (Entered: 06/26/2017) 06/27/ MOTION to Appoint Counsel and Appoint Lead by Catalyst Futures Fund Investor Group. (Attachments: # 1 Proposed Order) (Hopkins, Shannon) (Entered: 06/27/2017) 06/27/ MEMORANDUM in Support re 24 MOTION to Appoint Counsel and Appoint Lead filed by Catalyst Futures Fund Investor Group. (Hopkins, Shannon) (Entered: 06/27/2017) 06/27/ AFFIDAVIT/DECLARATION in Support re 24 MOTION to Appoint Counsel and Appoint Lead filed by Catalyst Futures Fund Investor Group. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D) (Hopkins, Shannon) (Entered: 06/27/2017) 06/27/ MOTION to Appoint Counsel and Lead s by Richard Kingston, Margaret Pak, Ken Hopkins, The Weinstein Family Trust, Kelly Farmer. (Attachments: # 1 Proposed Order) (Kim, Phillip) (Entered: 06/27/2017) 06/27/ MEMORANDUM in Support re 27 MOTION to Appoint Counsel and Lead s filed by Kelly Farmer, Ken Hopkins, Richard Kingston, Margaret Pak, The Weinstein Family Trust. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit) (Kim, Phillip) (Entered: 06/27/2017) 06/27/ MOTION to Appoint Counsel and for Appointment as Lead by Eugene Almendinger, William H. Tod, Earle Folk, Debra Folk, Tom Lovelidge, Maryann Lovelidge. (Attachments: # 1 Proposed Order) (Rudman, Samuel) (Entered: 06/27/2017) 06/27/ MEMORANDUM in Support re 29 MOTION to Appoint Counsel and for Appointment as Lead filed by Eugene Almendinger, Debra Folk, Earle Folk, Maryann Lovelidge, Tom Lovelidge, William H. Tod. (Rudman, Samuel) (Entered: 06/27/2017) 06/27/ AFFIDAVIT/DECLARATION in Support re 29 MOTION to Appoint Counsel and for Appointment as Lead filed by Eugene Almendinger, Debra Folk, Earle Folk, Maryann Lovelidge, Tom Lovelidge, William H. Tod. (Attachments: # 1 Exhibit A - PSLRA Notice, # 2 Exhibit B - Sworn Certifications, # 3 Exhibit C - Estimate of losses, # 4 Exhibit D - Joint Declaration in Support, # 5 Exhibit E - Robbins Geller Rudman & Dowd LLP firm resume) (Rudman, Samuel) (Entered: 06/27/2017) 06/27/ MOTION to Appoint Counsel by Jeffrey Berkowitz. (Attachments: # 1 Memorandum in Support, # 2 Exhibit A) (McConville, Francis) (Entered: 06/27/2017) 06/29/ Letter from Francis P. McConville Regarding Exhibit A to Jeffrey Berkowitz's Certification by Jeffrey Berkowitz (Attachments: # 1 Exhibit A) (McConville, Francis) (Entered: 06/29/2017)

8 06/29/ NOTICE of Appearance by Christopher Joseph Keller on behalf of Jeffrey Berkowitz (aty to be noticed) (Keller, Christopher) (Entered: 06/29/2017) 06/30/ Letter in response to Labaton Sucharow's June 29, 2017 letter by Eugene Almendinger, Debra Folk, Earle Folk, Maryann Lovelidge, Tom Lovelidge, William H. Tod (Rudman, Samuel) (Entered: 06/30/2017) 07/06/ MOTION for Leave to Appear Pro Hac Vice for Zachary J. Ziliak Filing fee $ 150, receipt number by Edward Walczak. (Attachments: # 1 Certificate of Good Standing for Zachary J. Ziliak, # 2 Affidavit in support of motion for Zachary J. Ziliak to appear PHV, # 3 Proposed Order) (Radice, John) (Entered: 07/06/2017) 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