U.S. District Court Eastern District of New York (Uniondale) CIVIL DOCKET FOR CASE #: 9:98-cv TCP-MLO

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1 US District Court Civil Docket as of 08/05/2005 Retrieved from the court on Monday, August 29, 2005 U.S. District Court Eastern District of New York (Uniondale) CIVIL DOCKET FOR CASE #: 9:98-cv TCP-MLO Lipson v. Simon, et al Assigned to: Senior Judge Thomas C. Platt Referred to: Magistrate Michael L. Orenstein Demand: $0 Cause: 15:78m(a) Securities Exchange Act Plaintiff Sam Lipson on behalf of himself and all others similarly situated Date Filed: 07/06/1998 Jury Demand: Plaintiff Nature of Suit: 160 Stockholders Suits Jurisdiction: Federal Question represented by J. James Carriero Law Offices of J. James Carriero Butler Street East Elmhurst, NY (718) V. Martin J. Simon Proskauer Rose, LLP 1585 Broadway New York, NY Fax: Solomon, Zauderer, Ellenhorn, Frischer & Sharp 45 Rockefeller Plaza New York, NY (212) Saul Erdman

2 Herbert V. Friedman Harvey Mass Joseph P. Ciorciari Ralph J. Drabkin

3 Joan M. Locascio Andrew W. Attivissimo Harvey S. Jacobs Louis V. Siracusano Seymour D. Uslan

4 Joel I. Dollinger Allan R. Goodman Raymond Brancaccio Louis Gottlieb

5 McGladrey & Pullen, LLP represented by James M. Wicks Farrell Fritz, P.C. EAB Plaza 14th Floor, West Tower Uniondale, NY Fax: John Joseph Lavelle Sidley, Austin, Brown & Wood 875 Third Avenue New York, NY (212) Michael J. Sweeney Sidley, Austin, Brown & Wood Bank One Plaza 10 S. Dearborn Street Chicago, IL (312) Michael J. Sweeney Sidley Austin Brown & Wood Bank One Plaza 10 South Dearborn Street Chicago, IL (312) Sara K. Rankin Sidley Austin Brown & Wood Bank One Plaza 10 South Dearborn Street Chicago, IL (312) Steven M. Farina Williams & Connolly

6 725 Twelfth Street, N.W. Washington, D.C (202) Carol S. Clark Sidley & Austin One First National Plaza Chicago, IL (312) Thomas H.L. Selby Williams & Connolly, LLP 725 Twelfth Street, N.W. Washington, DC (202) William P. Ashworth Williams & Connolly, LLP 725 Twelfth Street, N.W. Washington, DC (202) Date Filed # Docket Text 07/06/ COMPLAINT filed and summons(es) issued for Martin J. Simon, Saul Erdman, Herbert V. Friedman, Harvey Mass, Joseph P. Ciorciari, Ralph J. Drabkin, Joan M. Locascio, Andrew W. Attivissimo, Harvey S. Jacobs, Louis V. Siracusano, Seymour D. Uslan, Joel I. Dollinger, Allan R. Goodman, Raymond Brancaccio, Louis Gottlieb, McGladrey & Pullen FILING FEE $ RECEIPT # (Campbell, Jennifer) (Entered: 07/09/1998) 10/28/ RETURN OF SERVICE executed as to Martin J. Simon, Herbert V. Friedman, Andrew W. Attivissimo, Louis V. Siracusano, Allan R. Goodman, Raymond Brancaccio, Louis Gottlieb 10/14/98 Answer due on 11/3/98 for Louis Gottlieb, for Raymond Brancaccio, for Allan R. Goodman, for Louis V. Siracusano, for Andrew W. Attivissimo, for Herbert V. Friedman, for Martin J. Simon (Branciforte, Ralph) (Entered: 11/02/1998) 11/02/ RETURN OF SERVICE executed as to Ralph J. Drabkin, McGladrey & Pullen 10/20/98 Answer due on 11/9/98 for McGladrey & Pullen, for Ralph J. Drabkin (Branciforte, Ralph) (Entered: 11/05/1998) 11/02/ RETURN OF SERVICE executed as to Harvey Mass 10/22/98 Answer due on

7 11/11/98 for Harvey Mass (Branciforte, Ralph) (Entered: 11/05/1998) 11/02/ RETURN OF SERVICE executed as to Joel I. Dollinger 10/21/98 Answer due on 11/10/98 for Joel I. Dollinger (Branciforte, Ralph) (Entered: 11/05/1998) 11/02/ RETURN OF SERVICE executed as to Joan M. Locascio 10/19/98 Answer due on 11/8/98 for Joan M. Locascio (Branciforte, Ralph) (Entered: 11/05/1998) 11/02/ RETURN OF SERVICE executed as to Joseph P. Ciorciari 10/17/98 Answer due on 11/6/98 for Joseph P. Ciorciari (Branciforte, Ralph) (Entered: 11/05/1998) 11/20/ STIPULATION and ORDER dtd. 11/23/98 resetting answer due for 12/21/98 for McGladrey & Pullen ( signed by Judge Thomas C. Platt ) CM (Branciforte, Ralph) (Entered: 11/27/1998) 11/23/ RETURN OF SERVICE executed as to Harvey S. Jacobs 11/6/98 Answer due on 11/26/98 for Harvey S. Jacobs (Branciforte, Ralph) (Entered: 12/03/1998) 12/17/ STIPULATION and ORDER dtd. 12/17/98 resetting answer due for 2/15/99 for McGladrey & Pullen ( signed by Judge Thomas C. Platt ) CM (Branciforte, Ralph) (Entered: 12/30/1998) 01/13/ MOTION by McGladrey & Pullen for Carol S. Clark to appear pro hac vice for McGladrey & Pullen, Motion hearing (Branciforte, Ralph) (Entered: 01/25/1999) 01/13/ AFFIDAVIT by Martin Scott for McGladrey & Pullen in support of [11-1] motion for Carol S. Clark to appear pro hac vice for McGladrey & Pullen (Branciforte, Ralph) (Entered: 01/25/1999) 01/13/ AFFIDAVIT by Carol Clark for McGladrey & Pullen in suppor of [11-1] motion for Carol S. Clark to appear pro hac vice for McGladrey & Pullen (Branciforte, Ralph) (Entered: 01/25/1999) 01/13/ MOTION by McGladrey & Pullen for Michael J. Sweeney to appear pro hac vice on behalf of McGladrey & Pullen. Fee $25.00 Receipt #: , No motion hearing Motion file stamped: 1/13/99 and mailed/served: 1/13/99 (Imrie, Robert) (Entered: 07/30/2001) 01/13/ AFFIDAVIT of Martin R. Scott by McGladrey & Pullen in support of the [53-1] motion for Michael J. Sweeney to appear pro hac vice on behalf of McGladrey & Pullen. (Imrie, Robert) (Entered: 07/30/2001) 01/13/ DECLARATION of Michael J. Sweeney by McGladrey & Pullen in support of the [53-1] motion for Michael J. Sweeney to appear pro hac vice on behalf of McGladrey & Pullen. (Imrie, Robert) (Entered: 07/30/2001) 01/25/ ORDER dtd. 1/25/99 granting [11-1] motion for Carol S. Clark to appear pro hac vice for McGladrey & Pullen ( signed by Judge C. Platt ) (Branciforte, Ralph) (Entered: 01/25/1999) 01/25/1999 Pro Hac Vice Filing Fee Paid for Carol Clark to appear for McGaldrey & Pullen; FILING FEE $ RECEIPT # (attached to pro hac vice motion) (Branciforte, Ralph) (Entered: 01/25/1999) 01/25/ ORDER granting [53-1] motion for Michael J. Sweeney to appear pro hac vice on

8 behalf of McGladrey & Pullen. (signed by Senior Judge Thomas C. Platt, on 1/25/99) c/m (annexed to doc #53) (Imrie, Robert) (Entered: 07/30/2001) 02/16/ LETTER dated 2/12/99 from to USDJ Platt RE: Requesting a Pre- Motion Conference to dismiss the amended complaint. (Branciforte, Ralph) (Entered: 02/18/1999) 02/16/ LETTER dated 2/12/99 from Michael Sweeney to USDJ Platt RE: Requesting a Pre-Motion Conference to dismiss the Amended Complaint and advising the Court of dates of which I am not available. (Branciforte, Ralph) (Entered: 02/18/1999) 02/26/ LETTER dated 2/23/99 from Carol Clark to USDJ Platt RE: Confrimation that a pre-motion conference has been scheduled for 10:30 AM. (Branciforte, Ralph) (Entered: 03/02/1999) 04/09/ Calendar entry: Before Judge Platt on 4/9/99 at 10:30 A.M., civil cause for premotion conference. CR: Harry Rapaport Counsel for both sides present. Pre-motion conference held. Following schedule set: movants papers to be served by overnight mail by 5/10/99 not filed; answering papers to be served 6/9/99 by overnight mail, not filed; reply papers to be served 6/30/99 by overnight mail, not filed; set motion filing deadline for 7/2/99 Argument set for 7/9/99 at 11:00 A.M. (Jafer, Halide) (Entered: 04/15/1999) 05/10/ LETTER dated 5/10/99 from Emily Stern to J, James Carriero, David Harrison, and Michael Sweeney RE: Please find enclosed (1) Notice of motion with Supporting Affidavit of ; and (2) The Individual defendants' memorandum of Law in Support of Their Motion to Dismiss The First Amended Class Complaint. (Branciforte, Ralph) (Entered: 05/14/1999) 06/11/ STIPULATION and ORDER that the motion schedule shall be amended as follows: Opposition papers served on 6/21/99; Reply papers, if any, to be served and papers to be filed on 7/16/99; Argument scheduled for 11:00 AM. ( signed by Judge Thomas C. Platt, on 6/11/99) CM (Branciforte, Ralph) (Entered: 06/14/1999) 06/11/ LETTER dated 6/11/99 from J. James Carriero to USDJ Platt RE: Enclosing a copy of the Order To Show Cuase which includes a Temporary Restraining Order, signed by USBJ Feller. It is my understanding that this TRO stays the briefing schedule on 's motion to dismiss. We await your instructions. (Branciforte, Ralph) (Entered: 06/22/1999) 07/09/ Calendar entry: Before Judge Platt on 7/9/99 at 11:00 a.m. Civil cause for motion hearing (individual defts. motion to dismiss the amended complaint). Motions withdrawn. See letter dated 6/11/99 from James Carriero to Judge Platt indicating that this matter is Stayed by order of Bankruptcy Judge Feller unti 6/30/99 the date the hearing is to take place before the bankruptcy court. Judge Feller signed an OTSC in connection with a Chapter 7 bankruptcy proceeding and TRO staying the defendants in that action ( which included the plaintiff Lipson and the individual defts. in this action.) from proceeding with the Lipson action. (O'Hara, Karen) (Entered: 07/12/1999) 02/28/ LETTER dated 2/28/00 from Counsel to Judge Platt re: Confirming availability of all parties in 99cv6730 and requesting that new briefing sched be considered.

9 (Jafer, Halide) (Entered: 03/06/2000) 03/16/ LETTER dated 3/16/00 from J. James Carriero to Ms. O'Hara re: Confirming cnf for 3/31/00. (Jafer, Halide) (Entered: 03/17/2000) 03/20/ LETTER dated 3/16/00 from J. James Carriero to Karen O'Hara re: pre-motion conference for 3/31/00 cancelled (Talbott, Thomas) (Entered: 03/23/2000) 05/04/ Letter MOTION request that the plaintiff be permitted to file one opposition brief of not more than forty pages, rather than two separate twenty-five page opposing briefs, No motion hearing (Coleman, Laurie) (Entered: 05/16/2000) 05/04/2000 Endorsed order granting in part and denying in part [26-1] motion request that the plaintiff be permitted to file one opposition brief of not more than forty pages, rather than two separate twenty-five page opposing briefs Granted: for 35 pages Denied: for 40 or 50 pages (Signed by Judge Thomas C. Platt, on 5/4/00) EOD #26 c/m (Coleman, Laurie) Modified on 05/16/2000 (Entered: 05/16/2000) 05/31/2000 CASE NO LONGER REFERRED TO Magistrate Viktor V. Pohorelsky (Chow, Alice) (Entered: 05/31/2000) 05/31/2000 CASE REFERRED to Magistrate William D. Wall (Chow, Alice) (Entered: 05/31/2000) 07/14/ MOTION by McGladrey & Pullen, Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon to dismiss with prejudice the first amended class action, Motion hearing Motion file stamped: 7/14/00 and mailed/served: 7/14/00 (O'Hara, Karen) (Entered: 07/18/2000) 07/14/ MEMORANDUM by McGladrey & Pullen, Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon in support of the [27-1] motion to dismiss with prejudice the first amended class action (O'Hara, Karen) (Entered: 07/18/2000) 07/14/ AFFIDAVIT of J. James Carriero Re: in oppostion to the [27-1] motion to dismiss with prejudice the first amended class action (O'Hara, Karen) (Entered: 07/18/2000) 07/14/ REPLY MEMORANDUM OF LAW by McGladrey & Pullen, Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon in further support of the [27-1] motion to dismiss with prejudice the first amended class action (O'Hara, Karen) (Entered: 07/18/2000) 07/14/ MOTION by McGladrey & Pullen to dismiss plaintiff's first amended complaint, Motion hearing set for 7/21/00 [31-1] motion, set for 7/21/00 [27-1] motion to dismiss with prejudice the first amended class action Motion file stamped: 7/14/00 and mailed/served: 7/14/00 (O'Hara, Karen) (Entered: 08/02/2000)

10 07/14/ AFFIDAVIT of J. James Carriero Re: [31-1] motion to dismiss plaintiff's first amended complaint (O'Hara, Karen) (Entered: 08/02/2000) 07/14/ MEMORANDUM by McGladrey & Pullen in support of [31-1] motion to dismiss plaintiff's first amended complaint (O'Hara, Karen) (Entered: 08/02/2000) 07/14/ MEMORANDUM by Sam Lipson in opposition to [31-1] motion to dismiss plaintiff's first amended complaint (O'Hara, Karen) (Entered: 08/02/2000) 07/14/ REPLY MEMORANDUM OF LAW by McGladrey & Pullen in further support of the [31-1] motion to dismiss plaintiff's first amended complaint (O'Hara, Karen) (Entered: 08/02/2000) 07/21/2000 Motion hearing held re: [31-1] motion to dismiss plaintiff's first amended complaint, [27-1] motion to dismiss with prejudice the first amended class action (O'Hara, Karen) (Entered: 08/02/2000) 07/21/ Calendar entry: Before Judge Platt on 7/21/00 at 10:30 a.m. Civil cause for motion. Case called. Counsel for all sides present. CR: Ron Tolkin. Motion hearing held. Motion argued. Decision reserved. (O'Hara, Karen) (Entered: 08/02/2000) 03/15/ MEMORANDUM and ORDER denying with respect to Counts I and Count III the [31-1] motion to dismiss plaintiff's first amended complaint and denying the [27-1] motion to dismiss with prejudice the first amended class action (Signed by Senior Judge Thomas C. Platt, on 3/15/01) C/M (Valle, Christine) (Entered: 03/19/2001) 03/30/ STIPULATION and ORDER - extending time to answer; reset answer due for 4/20/01 for Martin J. Simon, for Saul Erdman, for Herbert V. Friedman, for Harvey Mass, for Joseph P. Ciorciari, for Ralph J. Drabkin, for Joan M. Locascio, for Andrew W. Attivissimo, for Harvey S. Jacobs, for Louis V. Siracusano, for Seymour D. Uslan, for Joel I. Dollinger, for Allan R. Goodman, for Raymond Brancaccio, for Louis Gottlieb (Signed by Senior Judge Thomas C. Platt, on 3/30/01) C/M (Valle, Christine) (Entered: 04/04/2001) 04/17/ ORDER - set initial scheduling conference for 10:30 on 6/5/01 before Magistrate William D. Wall (Signed by Magistrate William D. Wall, on 4/17/01) C/M (Valle, Christine) (Entered: 04/18/2001) 04/23/ ANSWER to Complaint by Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon (Valle, Christine) (Entered: 04/26/2001) 05/03/ LETTER dated 5/2/01 from John J. Lavelle to Ms. Lori Mason RE: Pursuant to your instructions to our managing clerk, we therefore respectfully request that you amend the Court's records to make sure that the following attorneys of record receive notice of all actions in this matter. (Valle, Christine) (Entered: 05/09/2001) 05/08/ ANSWER by McGladrey & Pullen to amended complaint (Valle, Christine) (Entered: 05/09/2001) 05/30/ Letter MOTION by dfts to extend time of the initial conference until 6/19/01, No motion hearing (Valle, Christine) (Entered: 05/31/2001)

11 05/30/2001 Endorsed order granting [43-1] motion to extend time of the initial conference until 6/19/01; reset initial scheduling conference for 12:00 on 6/19/01 before Magistrate William D. Wall. (Signed by Magistrate William D. Wall, on 5/30/01) EOD #43 C/M (Valle, Christine) (Entered: 05/31/2001) 06/19/2001 Initial conference held (Valle, Christine) (Entered: 06/21/2001) 06/19/ Calendar entry: Before Magistrate Wall on 6/19/01 at 12:00PM. Civil Cause for Initial Conference. Counsel for all sides present. Set next status conference for 11:00 on 11/14/01 before Magistrate William D. Wall. (Valle, Christine) (Entered: 06/21/2001) 06/20/ SCHEDULING ORDER setting Discovery cutoff 8/31/01; Joining of parties,amending of pleadings on 2/15/02; Status conference by 11:00 11/14/01; Pretrial conference for 11:00 7/31/02; Pretrial order to be submitted on or before 11:00 7/31/02; (Signed by Magistrate William D. Wall, on 6/20/01) (Valle, Christine) (Entered: 06/22/2001) 06/21/ LETTER dated 6/21/01 from John J. Lavelle to Judge Platt RE: We represent dft McGladrey & Pullen, LLP in this action. Enclosed for Your Honor's records is a courtesy copy of a Notice of Change of Firm Name and Address that we have filed with the Clerk of the Court. (Valle, Christine) (Entered: 06/25/2001) 06/21/ NOTICE OF CHANGE OF FIRM NAME AND ADDRESS by McGladrey & Pullen (Valle, Christine) (Entered: 06/25/2001) 06/28/ MOTION by McGladrey & Pullen for Sara K. Rankin to appear pro hac vice; Fee: $25.00 Receipt #3397. No motion hearing Motion file stamped: 6/28/01 and mailed/served: 6/28/01 (Valle, Christine) (Entered: 07/02/2001) 06/28/ AFFIDAVIT of John J. Lavelle on behalf of McGladrey & Pullen Re: in support of the [48-1] motion for Sara K. Rankin to appear pro hac vice. (Valle, Christine) (Entered: 07/02/2001) 06/28/ AFFIDAVIT of Sara K. Rankin on behalf of McGladrey & Pullen Re: in support of the [48-1] motion for Sara K. Rankin to appear pro hac vice. (Valle, Christine) (Entered: 07/02/2001) 06/28/2001 Endorsed order granting [48-1] motion for Sara K. Rankin to appear pro hac vice; Fee: $25.00 Receipt #3397 (Signed by Senior Judge Thomas C. Platt, on 6/28/01) EOD #48 C/M (Valle, Christine) (Entered: 07/02/2001) 06/29/ TRANSCRIPT of Civil Motion before Magistrate Judge Boyle filed for for date of 10:30 a.m. (Imrie, Robert) (Entered: 07/03/2001) 06/29/ AFFIDAVIT of James Carriero by Sam Lipson in opposition to the [31-1] motion to dismiss plaintiff's first amended complaint. (recd in dkting 6/29/01) (Imrie, Robert) (Entered: 07/03/2001) 09/18/ SCHEDULING ORDER setting Discovery cutoff 8/31/02; Deadline for filing of all motions 6/28/02 ; Status conference by 11:30 12/14/01 ; Pretrial conference for 7/31/02; ( signed by Magistrate William D. Wall, on 9/13/01) (Barhome, Sydelle) (Entered: 09/24/2001)

12 11/01/ LETTER dated 10/31/01 from Sara Rankin, Esq. to Hon. J. Wall written tomove the court to compel the production of two Proposed Intervenor Plfs for class depositions in New York (Barhome, Sydelle) (Entered: 12/11/2001) 12/06/ LETTER dated 11/2/01 from J. James Carriero to Mag. J. Wall responding to Ms. Rankin's 10/31/01 letter, that all out of state intervenors be required to travel to New York for their depositions under threat of dismissal of their claims. A more flexible arrangement approach should be utilized, for reasons outlined in this letter. (Barhome, Sydelle) (Entered: 12/11/2001) 12/06/ LETTER dated 11/26/01 from Sara Rankin, Esq. to Mag. J. Wall requesting the Two Proposed Intervenor Plfs Haroldson and Lippert be compelled to make themselves available to be deposed. If they persist in their refusal to come to New York for depositions it is requested that the court deny the Motion for Intervention as it relates to them. (Barhome, Sydelle) (Entered: 12/11/2001) 12/06/ LETTER from J. James Carriero, Esq. to Mag. J. Wall, responding to depositions of remaining intervenors, who reside in Ohio and Oregon, be taken in New York, which would be an unnecessary travel expense. (Barhome, Sydelle) (Entered: 12/11/2001) 12/06/ ORDER, dtd. 12/3/01 granting [58-1] letter to produce Messrs. Haroldsen and Lippert for deposition in New York on or before 1/25/02 and the deadline for discovery regarding class certification shall be extended to 2/6/02. (signed by Magistrate William D. Wall, on 12/3/01) (Barhome, Sydelle) (Entered: 12/11/2001) 12/11/ Letter MOTION by McGladrey & Pullen; that the status conference scheduled in this action fo 10:00 a.m. on 12/14/01 be conducted by telephone. Motion hearing not scheduled. (Fagan, Linda) (Entered: 12/12/2001) 12/11/2001 Endorsed order; granting [63-1] motion that the status conference scheduled in this action for 10:00 a.m. on 12/14/01 be conducted by telephone. The status conference of 12/14/01 shall be held by telephone. Counsel for deft McGladrey & Pullen is directed to initiate the call and have all parties on the line before connecting to the court at (631) ( Signed by Magistrate William D. Wall, on 12/11/01) c/f EOD #63 (Fagan, Linda) (Entered: 12/12/2001) 12/14/2001 Status conference held (Lopez, Luz) (Entered: 01/04/2002) 12/14/ Calendar entry: Case called before USMJ Wall on 12/14/01 at 10:00 a.m. Civil cause for status conference. Counsel for both sides present. RULINGS: The parties have requesed the Court's resommendation for a special master to be retained by the parties, at their expense, to oversee discovery and other matters, in this case and related matters. The Court provides the names of four experienced commercial and civil litigators and/or mediators: Hon. George C. Pratt, William M. Savino, Esq., Joseph W. Ryan, Jr., Esq. and Joseph J. Ortego, Esq. SO ORDERED. cm (Lopez, Luz) (Entered: 01/04/2002) 01/08/ Letter MOTION by McGladrey & Pullen to compel plaintiff to make disclosures required under FRCP 26(a)(1)(c), No motion hearing (Lopez, Luz) (Entered: 01/11/2002) 01/08/2002 Endorsed order granting [65-1] motion to compel plaintiff to make disclosures

13 required under FRCP 26(a)(1)(c). The plaintiff shall serve the defendant with a computation of damages claimed, along with documents or evidentiary material on which the computation is based, on or before 1/21/02 (Signed by Magistrate William D. Wall, on 1/8/02)cf EOD# 65 (Lopez, Luz) (Entered: 01/11/2002) 01/10/ LETTER dated 1/9/02 from Sara Rankin to USMJ Wall re: The defendant's motion to compel, which was granted on 1/8/01 was not served to plaintiff due to a facsimile problem. (Lopez, Luz) (Entered: 01/16/2002) 01/10/ ORDER, In light of the defendant's failure to serve its letter motion upon all parties, the order of 1/8/02 is vacated The defendant's 1/9/02 letter will be treated as a renewal of its 12/19/01 motion. The plaintiff may respond to the motion on or before 1/14/02. ( signed by Magistrate William D. Wall, on 1/10/02) cf (Lopez, Luz) (Entered: 01/17/2002) 01/14/ Letter MOTION by Sam Lipson for reconsideration of [62-1] order compelling the proposed intervenor plts Thomas Lippert and Floyd Haroldsen to appear in NYED for depositions, No motion hearing (Lopez, Luz) (Entered: 02/11/2002) 01/17/ LETTER dated 1/16/02 from Emily Stern to USMJ Wall re: Dfts respectfully requests that the Court deny the motion for reconsideration. (Lopez, Luz) (Entered: 02/11/2002) 01/24/ LETTER dated 1/23/02 from J. James Carriero to USMJ Wall re: In reply to Ms. Stern's opposition papers and submitting affidavit of Floyd Haroldsen that sets forth additional details regarding his medical condition and inability to travel to EDNY. (Affidavit annexed.) (Lopez, Luz) (Entered: 02/11/2002) 02/06/ ORDER Granting dfts motion to compel. Plt shall serve the dft with a computation of the damages alleged in the complaint, along with any non-privilaged documents or evidentiary materials. Plaintiffs [68-1] motion for reconsideration is granted in part and denied in part. The Court vacates the portion of its 12/3 order which compelled Mr. Lippert to appear in the EDNY for a deposition. Mr. Haroldsen can persue his motion to be added as a class representative and appear for deposition or he can withdraw his motion, in which the Court will vacate its order compelling his deposition. ( signed by Magistrate William D. Wall, on 2/6/02) cf (Lopez, Luz) (Entered: 02/11/2002) 02/25/ LETTER dated 2/19/02 from J. James Carriero to USDJ Wall re: Requesting that the portion of the motion for the intervention of FLoyd Haroldsen as plt and for appoinment as co-lead plt be withdrawn. Counsel further requests that plt's motion for class certification, appoinment of co-lead plts and intervention be deemed submitted on behalf of plt Sam Lipson and proposed Intervenor Nora Tolins. (Lopez, Luz) (Entered: 03/05/2002) 02/25/2002 Endorsed order - Based on the plts representation that he will withdraw the motion for the intervention of Floyd Haroldson as plt, this Court's Order dated 2/6/02 [71-1] is vacated to the extent tha it compels Mr. Haroldsons' deposition in the E.D.N.Y. The plts request to withdraw his motion for intervention and to deem his class certification motion submitted must be made to the District Judge. (Signed by Magistrate William D. Wall, on 2/25/02) cf EOD#72 (Lopez, Luz) (Entered: 03/05/2002)

14 03/05/ Letter MOTION by defendants and plaintiff requesting that the Court modify the scheduling Order in this case only to the extent that is set forth briefing schedule on plaintiff's motions relating to class certification and appoinment of lead counse., No motion hearing (Lopez, Luz) (Entered: 03/07/2002) 03/05/2002 Endorsed order granting [73-1] motion requesting that the Court modify the scheduling Order in this case only to the extent that is set forth briefing schedule on plaintiff's motions relating to class certification and appoinment of lead counsel. The deadline to oppose the plaintiff's motion for class certification is extended to 3/15/02 reply papers shall be served 14 days thereafter. SO ORDERED ( Signed by Magistrate William D. Wall, on ) cf EOD#73 (Lopez, Luz) (Entered: 03/07/2002) 03/15/ NOTICE of attorney appearance for McGladrey & Pullen by James M. Wicks of Farrell Fritz, P.C. (Lopez, Luz) (Entered: 03/19/2002) 03/15/ MOTION by McGladrey & Pullen for Steven M. Farina to appear pro hac vice to argue or try this case in whole or in part as counsel; Fee #: Receipt #: 5638, no motion hearing ( Affidavit of Steven M. Farina in support of motion attached) (Lopez, Luz) (Entered: 03/20/2002) 03/18/ ORDER granting [75-1] motion for Steven M. Farina to appear pro hac vice to argue or try this case in whole or part as co-counsel with Farrell Fritz, PC. ( signed by Senior Judge Thomas C. Platt, on ) cm (Lopez, Luz) (Entered: 03/20/2002) 03/21/ ORDER of recusal ( signed by Magistrate William D. Wall, on 3/21/02) (Branciforte, Ralph) (Entered: 03/25/2002) 03/21/2002 CASE REFERRED to Magistrate Michael L. Orenstein (Bowens, Priscilla) (Entered: 03/29/2002) 04/01/ Letter MOTION by Sam Lipson Pltffs request that they be permitted to extend the lenght of their reply memorandum to twenty pages, or such other length as the court deems appropriate, no motion hearing (Lopez, Luz) (Entered: 04/10/2002) 04/01/2002 Endorsed order granting [78-1] motion Pltffs request that they be permitted to extend the lenght of their reply memorandum to twenty pages, or such other length as the court deems appropriate ( Signed by Senior Judge Thomas C. Platt, on ) (Lopez, Luz) (Entered: 04/10/2002) 05/15/ MOTION by McGladrey & Pullen, Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon for an ORDER denying intervention as plf by Nora Tolins, denying appointment of Samuel Lipson and Nora Tolins as lead plfs and their attorneys as co-lead counsel, denying certification of this action as a class action, and denying appointment of Samuel Lipson and Nora Tolins as class representatives, Motion hearing [80-1] motion, [80-2] motion, [80-3] motion Motion file stamped: 5/17/02 and mailed/served: 5/15/02 (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ MOTION by Sam Lipson for an order to permit intervention by Floyd Haroldson,

15 Thomas Lippert and Nora Tolins, for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as co-lead plfs and their attorneys as co-lead counsel, to certify this action as a class action and all plfs as class representatives., Motion hearing [79-1] motion, [79-2] motion, [79-3] motion (As per chambers:document 79a, motion withdrawing motion for intervention by Floyd Haroldson & Thomas Lippert; 79b, Dfts' motion in opposition to plf's motion are both part of this Document #79.) Motion file stamped: 5/17/02 and mailed/served: 5/17/02 (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ MEMORANDUM by Sam Lipson in support of [79-1] motion to permit intervention by Floyd Haroldson, Thomas Lippert and Nora Tolins, [79-2] motion for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as colead plfs and their attorneys as co-lead counsel, [79-3] motion to certify this action as a class action and all plfs as class representatives. (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ AFFIDAVIT of David C. Harrison on behalf of Sam Lipson Re: [79-1] motion to permit intervention by Floyd Haroldson, Thomas Lippert and Nora Tolins, [79-2] motion for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as co-lead plfs and their attorneys as co-lead counsel, [79-3] motion to certify this action as a class action and all plfs as class representatives. (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ MEMORANDUM by McGladrey & Pullen in opposition to [79-1] motion to permit intervention by Floyd Haroldson, Thomas Lippert and Nora Tolins, [79-2] motion for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as co-lead plfs and their attorneys as co-lead counsel, [79-3] motion to certify this action as a class action and all plfs as class representatives. (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ MEMORANDUM by Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon in opposition to [79-1] motion to permit intervention by Floyd Haroldson, Thomas Lippert and Nora Tolins, [79-2] motion for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as co-lead plfs and their attorneys as co-lead counsel, [79-3] motion to certify this action as a class action and all plfs as class representatives. (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ AFFIDAVIT by Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon Re: [79-1] motion to permit intervention by Floyd Haroldson, Thomas Lippert and Nora Tolins, [79-2] motion for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as co-lead plfs and their attorneys as co-lead counsel, [79-3] motion to certify this action as a class action and all plfs as class representatives. (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ REPLY MEMORANDUM OF LAW by Sam Lipson in further [79-1] motion to permit intervention by Floyd Haroldson, Thomas Lippert and Nora Tolins, [79-2]

16 motion for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as co-lead plfs and their attorneys as co-lead counsel, [79-3] motion to certify this action as a class action and all plfs as class representatives. (Barhome, Sydelle) (Entered: 05/30/2002) 05/17/ CERTIFICATE OF SERVICE by Louis Gottlieb, Raymond Brancaccio, Allan R. Goodman, Joel I. Dollinger, Seymour D. Uslan, Louis V. Siracusano, Harvey S. Jacobs, Andrew W. Attivissimo, Joan M. Locascio, Ralph J. Drabkin, Joseph P. Ciorciari, Harvey Mass, Herbert V. Friedman, Saul Erdman, Martin J. Simon, ofaff. of Emily Stern and Individual s Memorandum of Law in Opposition to Plf's Motions for Class Certification, Intervention and Appointment of Lead Plfs (Barhome, Sydelle) (Entered: 05/30/2002) 05/30/ MEMORANDUM and ORDER denying [79-1] motion to permit intervention by Floyd Haroldson, Thomas Lippert and Nora Tolins, denying [79-2] motion for appointment of counsel; to appoint plf Lipson and the Intervention Plfs as co-lead plfs and their attorneys as co-lead counsel, denying [79-3] motion to certify this action as a class action and all plfs as class representatives. ( signed by Senior Judge Thomas C. Platt, on 5/24/02) (Barhome, Sydelle) (Entered: 05/30/2002) 05/30/ LETTER dated 5/22/02 from J. James Carriero to Hon. J. Platt. Plf and Individual s request an adjournment of the motion pending renewed settlement discussions involving the parties. (Motion has been denied on Docl #79). (Barhome, Sydelle) (Entered: 05/30/2002) 06/04/ ORDER, setting status conference for 3:00 6/25/02 before Magistrate Michael L. Orenstein ( signed by Magistrate Michael L. Orenstein, on ) cm (Lopez, Luz) (Entered: 06/11/2002) 06/25/ Letter MOTION by Sam Lipson requesting an adjourment of the conference pending settlement discussions, no Motion hearing (Lopez, Luz) (Entered: 07/01/2002) 06/25/2002 Endorsed order granting [90-1] motion requesting an adjourment of the conference pending settlement setting status conference for 2:30 7/10/02 before Magistrate Michael L. Orenstein No further adjournments to discuss settlement will be permitted. Parties have had 4 years to discuss settlement. ( Signed by Magistrate Michael L. Orenstein, on ) eod # 90. cf (Lopez, Luz) (Entered: 07/01/2002) 07/09/ MOTION by McGladrey & Pullen for Aleksander Goranin to appear pro hac vice as co-counsel in this case. Fee #: Receipt #: 6694, No Motion hearing (Lopez, Luz) (Entered: 07/25/2002) 07/10/ Letter MOTION by Officers and directors of First Central Financial Corp requesting an adjournment of the status conference scheduled for 7/10/02, No Motion hearing (Lopez, Luz) (Entered: 07/18/2002) 07/10/2002 Endorsed order granting [91-1] motion requesting an adjournment of the status conference scheduled for 7/10/02, resetting status conference for 2:30 7/26/02 before Magistrate Michael L. Orenstein Dont' even think about or ask for an adjournment. Only settlement will offer you a chance in this old case. (Signed by Magistrate Michael L. Orenstein, on ) (Lopez, Luz) (Entered: 07/18/2002)

17 07/10/ ORDER granting [93-1] motion for Aleksander Goranin to appear pro hac vice as co-counsel in this case. ( signed by Senior Judge Thomas C. Platt, on ) c/m (Lopez, Luz) (Entered: 07/25/2002) 07/18/ MAIL RETURNED as to Carol S. Clarke of Sidley & Austin. Copy of Doc 89 returned on 7/18/02 (Imrie, Robert) (Entered: 07/22/2002) 07/26/ LETTER dated 7/24/02 from J. James Carrero to Hon. Michael L. Orenstein re: To advise the Court that the Pltff and Individual Defts have settled. (Fagan, Linda) (Entered: 08/05/2002) 07/26/2002 Status conference held. (Fagan, Linda) (Entered: 08/05/2002) 07/26/ Calendar entry: before Magistrate Judge Orenstein on 7/26/02 at 2:30 p.m. for Civil Cause for Status Conference; Terminated past due deadlines. Parties have agreed to a special master in coordingation with action pending in the state court. Parties will submit stipulation to Judge Platt appointing the special master to preside over discovery, discovery disputes, and other matters consistent with the duties of a special master. (Fagan, Linda) (Entered: 08/05/2002) 11/06/ LETTER dated from James Carriero to USDJ Platt re: Requesting approval of of appoinment for a special master and setting coordinated discovery schedule. pltff intends to renew the motions and to seek approval of the settlement with the individual dfts. (Lopez, Luz) (Entered: 11/12/2002) 11/07/ STIPULATION and ORDER, Former Magistrate Judge Kathleen Roberts shall serve as special master to resolve all disputes that arise and Setting a coordinated discovery scheduled. (Exhibits A & B) (signed by Senior Judge Thomas C. Platt, on ) CM (Lopez, Luz) (Entered: 11/12/2002) 04/01/ MOTION by Sam Lipson For an order preliminarily approving the partial settlement; Certifying this action as a class action and pltff as class representative for purposes of partial settlement; Approving form and manner of notice to class; Scheduling a date for a hearing to determine whether the partial settlement is fair, reasonable and adequate and for the best interests of the class. No Motion hearing Motion file stamped: and (Lopez, Luz) (Entered: 04/11/2003) 04/01/ AFFIDAVIT by James Carriero on behalf of Sam Lipson in support of the [100-1] motion For an order preliminarily approving the partial settlement; Certifying this action as a class action and pltff as class representative for purposes of partial settlement; form and manner of notice to class; Scheduling a date for a hearing to determine whether the partial settlement is reasonable and adequate and for the best interests of the class. (Lopez, Luz) (Entered: 04/11/2003) 04/01/ AFFIDAVIT by Nora Tolins on behalf of Sam Lipson in support of the [100-1] motion For an order preliminarily approving the partial settlement; Certifying this action as a class action and pltff as class representative for purposes of partial settlement; form and manner of notice to class; Scheduling a date for a hearing to determine whether the partial settlement is reasonable and adequate and for the best interests of the class. (Lopez, Luz) (Entered: 04/11/2003) 04/01/ Stipulation of Preliminary Partial Settlement by Sam Lipson (exhibits A-F attached) (Lopez, Luz) (Entered: 04/11/2003)

18 04/04/2003 Status conference held (Lopez, Luz) (Entered: 04/08/2003) 04/04/ Calendar entry: Case called before USDJ Platt on at 11:00 am. Civil cause for conference. Counsel for all sides present. Pltffs propose a partial settlement with the individual dfts only. The court is reluctant to approve final settlement because the pltff's have not settled the entire case. The parties will work on that. The order of proposed partial settlement was signed by the court that parties will notify the class. Set hearing for 7/7/03 at 1:30 pm. (Lopez, Luz) (Entered: 04/08/2003) 04/04/ ORDER granting [100-1] motion For an order preliminarily approving the partial settlement; The terms of the settlement are preliminary approved as fair, reasonable and adequate and for the best interests of the class subject to further consideration an the settlement hearing sheduled for 7/7/03 at 1:30 pm. Briefs in support of the settlement and in support of the request for attorney's fees and reimbursement of expenses shall be filed on or before The Court hereby appoint the pltff as representative of the class and appoints pltff's counsel as counsel for the class. All costs incurred in providing notice to the class and administering the settlement shall be paid from the settlement fund as defined in the stipulation settlement. Directing the publication of the CLass notice once in the national edition of Business Wire and in NEwsday. (signed by Senior Judge Thomas C. Platt, on )cm [for additional information see doc#104] (Lopez, Luz) (Entered: 04/11/2003) 04/14/ NOTICE of pendency of class action, proposed settlement and settlement hearing. (Lopez, Luz) (Entered: 04/15/2003) 04/14/ Proposed proof of claim and release. (Lopez, Luz) (Entered: 04/15/2003) 05/12/ TRANSCRIPT of Proceedings held on 4/4/03 before Judge USDJ Platt. Court Reporter: Joseph Barbella. (Lopez, Adriana) (Entered: 05/16/2003) 07/07/ MEMORANDUM in Support of partial class action settlement with the individual defendants and an award of expenses to pltff's counsel. Filed by Sam Lipson. (Lopez, Adriana) (Entered: 07/14/2003) 07/07/ AFFIDAVITS in Support of partial class action settlement witht he individual defendants and an award of expenses to pltff's counsel. Filed by Sam Lipson. (Lopez, Adriana) (Entered: 07/14/2003) 07/07/ Minute Entry for proceedings held before Judge Thomas C. Platt : Settlement Conference held on 7/7/2003 at 1:30 pm. Counsel for all sides present. No objections received and no opt outs received. Proofs of claims due by 10/17/03. Attorney's fees deferred until administration of claims. Final judgment approving settlement and interim order approving expenses and costs signed. (Lopez, Adriana) (Entered: 07/14/2003) 07/07/ ORDER: This Court hereby approves the settlement. The court finds that the settlement is in all respects fair, reasonable and adequate to each of the individual dfts and each member of the class. The application of pltff's counsel for reimbursement of expenses is GRANTED and said counsel are awarded expenses of $50, for amounts disbursed as of the date of this Order and the amount of $16, for amounts reasonably to be incurred in connection with further administration of the settlement. Signed by Judge Thomas C. Platt on 7/7/03. cm(lopez, Adriana) (Entered: 07/15/2003)

19 09/30/ Letter dated 9/30/03 from James Carriero to USDJ Platt re: The settlement administrator reports that there have been 118 claims made for participation in the settlement fund. The deadline for claims submission is 10/17. It is requested that the parties report back to you regarding their progress in an additional 60 days. (Lopez, Adriana) (Entered: 10/17/2003) 06/03/ Notice of MOTION for Leave to Appear pro hac vice for the appearance of Thomas H.L. Selby and William P. Ashworth. Filed by McGladrey & Pullen, LLP. (Montero, Edher) (Entered: 06/18/2004) 06/03/ AFFIDAVIT of Thomas H.L. Selby in Support of the [113] Notice of MOTION for Leave to Appear pro hac vice. Filed by McGladrey & Pullen, LLP. (Montero, Edher) (Entered: 06/18/2004) 06/03/ AFFIDAVIT of William P. Ashworth in Support of the [113] Notice of MOTION for Leave to Appear pro hac vice. Filed by McGladrey & Pullen, LLP. (Montero, Edher) (Entered: 06/18/2004) 06/08/ ORDER granting [113] Motion for Thomas H.L. Selby and William P. Ashworth to Appear pro hac vice on behalf of deft, McGladrey & Pullen, LLP. Fee Pd. $50.00 Receipt # (signed by Judge Thomas C. Platt on 6/8/04). c/m (Montero, Edher) (Entered: 06/18/2004) 11/04/ Order Preliminary approving Class Action Settlement. The settlement hearing will be on 1/7/05 at 2:00 pm. Signed by Judge Thomas C. Platt on 11/4/04. (Lopez, Adriana) Modified on 11/4/2004 (Lopez, Adriana). (Entered: 11/04/2004) 11/04/ STIPULATION of Settlement. Filed by Sam Lipson. (Attachments: # 1)(Lopez, Adriana) (Entered: 11/04/2004) 11/04/ FAX from Jim Carriero dtd 11/4 to Karen O'Hara Regarding : Enclosed is relevant page of revised Order and Final Judgment. (Lopez, Adriana) (Entered: 11/08/2004) 11/12/ Minute Entry Case called for proceedings held before Thomas C. Platt : Status Conference held on 11/12/2004. for Plaintiff: Law offices of James Carriero by J. James Carriero, for : Steven Farma. Plaintiffs propose a settlement. The order of proposed partial settlement was signed by the Court that parties will notify the class. Settlement Conference set for 1/7/ :30 PM before Senior Judge Thomas C. Platt. (Mierzejewski, Elizabeth) (Entered: 11/12/2004) 12/29/ Letter from James Carriero dtd 12/27/04 to USDJ Platt Regarding : We submit that the $3.78 million settlement is an outstanding result for the class when weight against the risks and delay involved of continuing to trial against the accountants. (Lopez, Adriana) (Entered: 02/03/2005) 12/29/ MEMORANDUM in Support of class action settlement with McGladrey & Pullen, LLP and an award of attorneys' fees and expenses to pltff's counsel. Filed by Sam Lipson. (Lopez, Adriana) (Entered: 02/03/2005) 12/29/ AFFIDAVIT of Dawn Addazio re: A) the mailing of notice of pendency of class action, proposed settlement, and settlement hearing and proof of claim and release form; B) The mailing of "release" forms to class members who previously filed claims, and C) the publication of the summary notice. by Sam Lipson. (Lopez, Adriana) (Entered: 02/03/2005)

20 12/29/ JOINT DECLARATION of Plaintiff's counsel in Support of partial settlement and an award of counsel fees and reimbursements of expenses. Filed by Sam Lipson. (Attachments: # 1 Exhibit)(Lopez, Adriana) (Entered: 02/03/2005) 12/29/ Letter from James Carriero, Esq. Dtd 12/28/04 to USDJ Platt Regarding : Enclosed please find page 3 of the memorandum of law in support which was inadvertently left out. (Lopez, Adriana) (Entered: 02/03/2005) 01/20/ JUDGMENT ORDER- Order and Final Judment approving settlement and awarding fees and expenses. Signed by Judge Thomas C. Platt on 1/20/05. (Lopez, Adriana) (Entered: 01/27/2005) 07/26/ MOTION for Disbursement of Funds by Sam Lipson. (Attachments: # 1 # 2 # 3 # 4 # 5 # 6)(Carriero, J.) (Entered: 07/26/2005) 08/05/ AMENDED DOCUMENT by Sam Lipson.. (Carriero, J.) (Entered: 08/05/2005) 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