U.S. District Court Eastern District of Arkansas (Little Rock) CIVIL DOCKET FOR CASE #: 4:17-cv JLH

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1 US District Court Civil Docket as of March 16, 2018 Retrieved from the court on March 16, 2018 U.S. District Court Eastern District of Arkansas (Little Rock) CIVIL DOCKET FOR CASE #: 4:17-cv JLH Owens et al v. Massey et al Assigned to: Judge J. Leon Holmes Case in other court: Pulaski County Circuit Court, 60CV Cause: 28: Petition for Removal: SEC Act Date Filed: 11/01/2017 Date Terminated: 03/16/2018 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff James Owens individually and on behalf of all others similarly situated Plaintiff Edward Hurliman individually and on behalf of all others similarly situated represented by Anthony Bryce Brewer Bryce Brewer Law Firm, LLC 800 West Fourth Street North Little Rock, AR bryce@brycebrewerlaw.com represented by Anthony Bryce Brewer V. Richard N Massey Kutak Rock LLP 124 West Capitol Avenue Suite 2000 Little Rock, AR Fax: andrew.king@kutakrock.com Kutak Rock LLP

2 124 West Capitol Avenue Suite 2000 Little Rock, AR Kutak Rock LLP 124 West Capitol Avenue Suite 2000 Little Rock, AR Fax: J Matthew Machen W Dabbs Cavin

3 William Changose K Aaron Clark Scott T Ford

4 G Brock Gearhart John J Ghirardelli Omon Fitzgerald Hill Daniel C Horton

5 Ian R Vaughan Bear State Financial Holdings LLC H. William Allen Williams & Anderson, PLC 111 Center Street, Suite 2200 Little Rock, AR hwallen@williamsanderson.com TERMINATED: 12/06/2017

6 Frank Conner Date Filed # Docket Text 11/01/ NOTICE OF REMOVAL by All s from Pulaski County Circuit Court, case number 60CV Fee $400 receipt number LIT (Attachments: # 1 Civil Cover Sheet)(cmn) (Entered: 11/01/2017) 11/01/ CLASS ACTION COMPLAINT with Jury Demand filed by Edward Hurliman and James Owens against All s. (cmn) (Entered: 11/01/2017) 11/01/ AMENDED CLASS ACTION COMPLAINT with Jury Demand filed by Edward Hurliman and James Owens against All s. (cmn) (Entered: 11/01/2017) 11/02/ ORDER directing the Clerk to reassign the above styled case currently assigned to Judge Susan Webber Wright. Signed at the Direction of the Court on 11/2/2017. (ljb) (Entered: 11/02/2017) 11/02/ (This is a TEXT ENTRY ONLY. There is no pdf document associated with this entry.) NOTICE OF REASSIGNMENT. Based on 4 Order, the Clerk's office has reassigned the case to Judge Kristine G. Baker. Signed at the Direction of the Court on 11/2/2017. (thd) (Entered: 11/02/2017) 11/08/ MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by All s (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Document)(Askew, Jess) (Entered: 11/08/2017) 11/08/ BRIEF IN SUPPORT re 6 Motion to Dismiss for Failure to State a Claim filed by All s. (Askew, Jess) (Entered: 11/08/2017) 11/08/ NOTICE of Appearance by Charles David McDaniel, Jr on behalf of W Dabbs Cavin, William Changose, K Aaron Clark, Frank Conner, Scott T Ford, G Brock Gearhart,

7 John J Ghirardelli, Omon Fitzgerald Hill, Daniel C Horton, J Matthew Machen, Richard N Massey, Ian R Vaughan (McDaniel, Charles) (Entered: 11/08/2017) 11/09/ Corporate Disclosure Statement (Rule 7.1) by Bear State Financial Holdings LLC (Allen, H.) (Entered: 11/09/2017) 11/14/ MOTION to Extend Time to respond to 6 Motion to Dismiss by James Owens and Edward Hurliman. (Brewer, Anthony) (Docket text modified on 11/15/2017 to correct the description of the document filed and to correct the party filers)(jak) (Entered: 11/14/2017) 11/14/ BRIEF IN SUPPORT re 10 Motion filed by James Owens and Edward Hurliman. (Brewer, Anthony) (Docket text modified on 11/15/2017 to correct the party filers) (jak) (Entered: 11/14/2017) 11/15/2017 NOTICE OF DOCKET CORRECTION re 10 Motion and 11 Brief in Support. CORRECTION: The docket text for docket entry 10 was modified to correct the description of the document filed and the party filers as "MOTION to Extend Time to respond to 6 Motion to Dismiss by James Owens and Edward Hurliman" as marked on the document. The docket text for docket entry 11 was modified to correct the party filers as James Owens and Edward Hurliman as marked on the document. (jak) (Entered: 11/15/2017) 11/15/ Supplemental MOTION to Amend/Correct 6 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM Supplement to s' Motion to Dismiss by All s (Attachments: # 1 Exhibit 1)(Askew, Jess) (Entered: 11/15/2017) 11/16/ RESPONSE in Opposition re 10 Motion to Extend Time s' Opposition to Plaintiffs' Motion to Stay Motion to Dismiss Briefing Pending Their Anticipated Motion to Remand filed by All s. (Askew, Jess) (Entered: 11/16/2017) 11/20/ MOTION to Remand to State Court by All Plaintiffs (Brewer, Anthony) (Entered: 11/20/2017) 11/20/ BRIEF IN SUPPORT re 14 Remand to State Court filed by All Plaintiffs. (Brewer, Anthony) (Entered: 11/20/2017) 11/21/ INITIAL SCHEDULING ORDER: Rule 26(f) Conference to occur by 1/23/2018; Rule 26(f) Report due by 2/6/2018; Jury Trial set for sometime during the week of 12/10/2018 at 09:00 AM in Little Rock Courtroom # 4C before Judge Kristine G. Baker. Signed at the direction of the Court on 11/21/2017. (tmw) (Entered: 11/21/2017) 11/22/ ORDER granting in part 10 Mr. Owens and Mr. Hurliman's motion to extend their deadline to respond to defendants' motion to dismiss. The Court at this time grants an extension to 12/8/2017, for Mr. Owens and Mr. Hurliman to respond to the motion to dismiss and takes under advisement the request for a further extension. Signed by Judge Kristine G. Baker on 11/22/2017. (cmn) (Docket text modified on 11/24/2017 to correct a typographical error and to correct the response deadline.) (thd). (Entered: 11/22/2017) 11/24/2017 NOTICE OF DOCKET CORRECTION re: 17 Order. CORRECTION: The docket text was modified to correct the deadline to 12/8/2017 as stated in the Order and to correct a typographical error in the word "defendants'". (thd) (Entered: 11/24/2017)

8 11/30/ MOTION to Substitute Attorney Motion for Substitution of Counsel for Bear State Financial Holdings, LLC by Bear State Financial Holdings LLC (Askew, Jess) (Entered: 11/30/2017) 11/30/ RESPONSE in Opposition re 14 MOTION to Remand to State Court s' Opposition to Plaintiffs' Motion to Remand filed by All s. (Attachments: # 1 Document Addendum)(Askew, Jess) (Entered: 11/30/2017) 12/05/ ORDER granting in part and denying in part 10 motion for further extension of time to respond to the pending motion to dismiss. Mr. Owens and Mr. Hurliman have up to and including 12/12/2017, to respond to the motion to dismiss. To the extent that Mr. Owens and Mr. Hurliman request an extension of time to respond to the motion to dismiss until after the Court rules on the motion to remand, the motion is denied. Signed by Judge Kristine G. Baker on 12/5/2017. (cmn) (Entered: 12/05/2017) 12/06/ ORDER granting 18 Bear State Financial Holdings LLC motion for substitution of counsel. Mr. Askew, III, Mr. McDaniel, and Mr. King are hereby substituted as counsel of record for Bear State, and Mr. Allen is relieved from any further representation of Bear State in this matter. Signed by Judge Kristine G. Baker on 12/6/2017. (cmn) (Entered: 12/06/2017) 12/12/ RESPONSE in Opposition re 6 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by All Plaintiffs. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Brewer, Anthony) (Entered: 12/12/2017) 12/19/ REPLY to Response to Motion re 6 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by All s. (Askew, Jess) (Entered: 12/19/2017) 01/24/ MOTION to Strike 23 Reply to Response to Motion by All Plaintiffs (Brewer, Anthony) (Entered: 01/24/2018) 01/24/ BRIEF IN SUPPORT re 24 Motion to Strike filed by All Plaintiffs. (Brewer, Anthony) (Entered: 01/24/2018) 01/25/ RESPONSE in Opposition re 24 MOTION to Strike 23 Reply to Response to Motion s' Response in Opposition to Plaintiffs' Motion to Strike Reply Brief in Support of s' Motion to Dismiss filed by All s. (Askew, Jess) (Entered: 01/25/2018) 02/06/ REPORT of Rule 26(f) Planning Meeting by Bear State Financial Holdings LLC, W Dabbs Cavin, William Changose, K Aaron Clark, Frank Conner, Scott T Ford, G Brock Gearhart, John J Ghirardelli, Omon Fitzgerald Hill, Daniel C Horton, J Matthew Machen, Richard N Massey, Ian R Vaughan. Joint Report Pursuant to Fed. R. Civ. P. 26(f) and Local Rule 26.1 (Askew, Jess) (Entered: 02/06/2018) 02/06/ MOTION to Compel Initial Disclosures by All Plaintiffs (Brewer, Anthony) (Entered: 02/06/2018) 02/06/ BRIEF IN SUPPORT re 28 Motion to Compel Initial Disclosures filed by All Plaintiffs. (Brewer, Anthony) (Entered: 02/06/2018) 02/15/ MOTION to Stay s' Motion to Enforce PSLRA Statutory Stay of Discovery, for Protective Order, and for Extension of Time by All s (Attachments: # 1

9 Exhibit 1 - Plaintiffs' Requests for Production, # 2 Exhibit 2 - Notice of Subpoena)(Askew, Jess) (Entered: 02/15/2018) 02/15/ BRIEF IN SUPPORT re 30 Motion to Stay, Brief in Support of Motion to Enforce the PSLRA Statutory Stay of Discovery, for Protective Order, and for Extension of Time filed by All s. (Hunter, Pierce) (Entered: 02/15/2018) 02/15/ RESPONSE in Opposition re 28 MOTION to Compel Initial Disclosures s' Response in Opposition to Plaintiffs' Motion to Compel s' Initial Disclosures filed by All s. (Askew, Jess) (Entered: 02/15/2018) 02/23/ MOTION for Protective Order ORDER VOIDING SUBPOENA SERVED TO RAYOND JAMES & ASSOCIATES, INC., AND FOR TEMPORARY RELIEF by All s (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2)(Askew, Jess) (Entered: 02/23/2018) 02/23/ BRIEF IN SUPPORT re 33 Motion for Protective Order ORDER VOIDING SUBPOENA SERVED TO RAYOND JAMES & ASSOCIATES, INC., AND FOR TEMPORARY RELIEF filed by All s. (Askew, Jess) (Entered: 02/23/2018) 02/26/ RESPONSE in Opposition re 33 MOTION to Stay s' Motion to Enforce PSLRA Statutory Stay of Discovery, for Protective Order, and for Extension of Time filed by All Plaintiffs. (Brewer, Anthony) (Docket text modified on 2/27/2018 to correct the linkage)(jak) (Entered: 02/26/2018) 02/27/ ORDER directing that any party that wishes to file a response to 33 defendants' motion for protective order, order voiding subpoena served to Raymond James & Associates, Inc., and for temporary relief, then such response should be filed by 12:00 p.m. on Thursday, 3/1/2018. Signed by Judge Kristine G. Baker on 2/27/2018. (cmn) (Entered: 02/27/2018) 02/27/2018 NOTICE OF DOCKET CORRECTION re 35 Response. CORRECTION: The docket text was modified to correct the linkage to 33 Motion. (jak) (Entered: 02/27/2018) 02/28/ RESPONSE in Opposition re 30 MOTION to Stay s' Motion to Enforce PSLRA Statutory Stay of Discovery, for Protective Order, and for Extension of Time filed by All Plaintiffs. (Brewer, Anthony) (Entered: 02/28/2018) 03/01/ REPLY to Response to Motion re 33 MOTION for Protective Order ORDER VOIDING SUBPOENA SERVED TO RAYOND JAMES & ASSOCIATES, INC., AND FOR TEMPORARY RELIEF filed by All s. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2)(Askew, Jess) (Entered: 03/01/2018) 03/01/ ORDER granting 33 defendants' motion for protective order and order voiding the subpoena served to Raymond James & Associates; and directing the plaintiff to withdraw for the time being the subpoena directed to Raymond James & Associates and to refrain from issuing any further subpoenas or discovery requests until the Court decides the pending motions to remand and to dismiss or otherwise determines whether the PSLRA applies. Signed by Judge Kristine G. Baker on 3/1/2018. (cmn) (Entered: 03/01/2018) 03/12/ ORDER OF REASSIGNMENT: Due to references in the amended class action complaint to Stephens, Inc., and The Stephens Group, LLC, which are not parties to this matter but are identified by plaintiffs as "relevant non-parties" (docket entry 3 ),

10 the case should be reassigned.the Clerk's Office is directed to issue a Notice of Reassignment. Signed at the direction of the court on 3/12/2018. (mcz) (Entered: 03/12/2018) 03/12/ (This is a TEXT ENTRY ONLY. There is no pdf document associated with this entry.) NOTICE OF REASSIGNMENT. Based on 40 Order, the Clerk's office has reassigned the case to Judge J. Leon Holmes on 3/12/2018. (scw) (Entered: 03/12/2018) 03/16/ OPINION AND ORDER granting 14 motion to remand. This action is remanded to the Circuit Court of Pulaski County, Arkansas. Signed by Judge J. Leon Holmes on 3/16/2018. (ljb) (Entered: 03/16/2018) 03/16/ JUDGMENT: Pursuant to 42 Opinion and Order entered separately today, this action is remanded to the Circuit Court of Pulaski County, Arkansas. Signed by Judge J. Leon Holmes on 3/16/2018. (ljb) (Entered: 03/16/2018) 03/16/ LETTER to the Clerk for the Circuit Court of Pulaski County transmitting a copy of the case file and certified copies of 42 Order to Remand and the docket sheet via certified mail. (ljb) (Entered: 03/16/2018) 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