U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:02-cv JSR

Transcription

1 US District Court Civil Docket as of 12/20/2004 Retrieved from the court on Wednesday, June 14, 2006 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:02-cv JSR In Re: Duke Energy Corp., et al v. Duke Energy Corp., et al Assigned to: Judge Jed S. Rakoff Demand: $0 Lead case: 1:02-cv JSR Member cases: 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR 1:02-cv JSR Cause: 15:78m(a) Securities Exchange Act Date Filed: 05/23/2002 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question Plaintiff The Albert Fadem Trust represented by Christopher J. Gray Law Office of Christopher J. Gray, P.C 460 Park Avenue 21st Floor New York, NY (212) Fax: (212) Christopher Lovell Lovell & Stewart, L.L.P. 500 Fifth Avenue New York, NY (212) Plaintiff Lloyd R. Fadem as Trustee, on behalf of themselves and all others similarly situated represented by Christopher J. Gray

2 Christopher Lovell V. Defendant Duke Energy Corp. Defendant Richard Priory Defendant Robert Brace Defendant William Coley Defendant Fred Fowler Defendant Harvey Padewer Defendant Deloitte & Touche, LLP Sandra Finkel represented by Brian Philip Murray Murray, Frank & Sailer, LLP 275 Madison Avenue, Ste. 801 New York, NY Fax: Ernest R. Freeman

3 Manuel O. Bordelove represented by Aaron Lee Brody Stull Stull & Brody 6 East 45th Street, 5th Floor New York, NY Fax: ssbny@aol.com Howard T. Longman Stull, Stull & Brody 6 East 45th Street New York, NY (212) Jules Brody Stull Stull & Brody 6 East 45th Street, 5th Floor New York, NY (212) Fax: (212) William W. Wickersham Entwistle & Cappucci LLP(NJ) 30 Columbia Turnpike Florham Park, NJ (212) Fax: (212) wwickersham@entwistle-law.com Joseph M. represented by Aaron Lee Brody Howard T. Longman Jules Brody

4 William W. Wickersham Shirley Ochman represented by Aaron Lee Brody Howard T. Longman Jules Brody William W. Wickersham Jerry B. Robertson represented by Aaron Lee Brody Howard T. Longman Jules Brody William W. Wickersham Karl L. Sporel represented by Aaron Lee Brody Howard T. Longman

5 Jules Brody William W. Wickersham Anna E. Sporel represented by Aaron Lee Brody Howard T. Longman Jules Brody William W. Wickersham Penn Security Bank & Trust Co. represented by Aaron Lee Brody Howard T. Longman Jules Brody William W. Wickersham Stanley Martin represented by Aaron Lee Brody

6 Howard T. Longman Jules Brody William W. Wickersham Perry Capital, LLC represented by Gregory M. Egleston Bernstein Liebhard & Lifshitz, LLP 10 East 40th Street New York, NY (212) Fax: (212) Sandy A Liebhard Bernstein Liebhard & Lifshitz, LLP 10 East 40th Street New York, NY (212) Fax: (212) liebhard@bernlieb.com Marc Eisenberg represented by Frederick Taylor Isquith, Sr Wolf, Haldenstein, Adler, Freeman & Herz, L.L.P. 270 Madison Avenue New York, NY (212) isquith@whafh.com Gustavo Bruckner Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY (212)

7 Charles V. Maffei represented by Joshua M. Lifshitz Bull & Lifshitz, LLP 18 East 41st Street New York, NY (212) Peter D. Bull Bull & Lifshitz, L.L.P. 18 East 41st Street New York, NY (212) Wickerware, Inc. Profit Sharing Plan Barry Family, LP, Individually and on Behalf of all others Similarly Situated. represented by Eric James Belfi Murray, Frank & Sailer, LLP 275 Madison Avenue, Ste. 801 New York, NY Fax: Donald Goldstein Individually and on Behalf of all other Similarly Situated. David L. Boushey Individually and on Behalf of all others Similarly Situated Margie Elstein Individually and on Behalf of all Others SImilarly Situated

8 J.B. Pozner Trust Individually and on Behalf of all Others Similarly Situated Alan Kushner Individually and On Behalf of allothers Similarly Situated Henry Willet Individually and on Behalf of All others Similarly Situated Elliot S. Honig Individually and on Behalf of All Others Similarly Situated Mikel Kinser Individually and on Behalf of all other Similarly Situated Franklin Richardson Lucille Richardson Individually and on Behalf of All others Similarly Situated V. David J. Hauser

9 Keith G. Butler Sandra P. Meyer Jeffrey L. Boyer Richard J. Osborne William Coley Morgan Stanley & Co., Incorporated Merrill Lynch, Pierce Fenner & Smith, Inc. Banc of America Securites, LLC Credit Suisse First Boston Corp. Goldman, Sachs & Company J.P. Morgan Securities, Inc. UBS Warburg, LLC

10 Date Filed # Docket Text 05/23/ CLASS ACTION COMPLAINT filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). FILING FEE $ RECEIPT # (jol) (Entered: 05/29/2002) 05/23/2002 Magistrate Judge James C. Francis is so designated. (jol) (Entered: 05/29/2002) 07/09/ AFFIDAVIT OF SERVICE of S&C as to Deloitte & Touche by personal service on 6/27/02. Answer due on 7/17/02 for Deloitte & Touche. (sac) (Entered: 07/11/2002) 07/12/2002 Telephone Conference held before Judge Jed S. Rakoff. (db) (Entered: 07/17/2002) 07/15/ Memorandum to Docket Clerk: telephone conference held before Judge Rakoff on 7/12/02. (db) (Entered: 07/17/2002) 07/17/ STIPULATION and ORDER; answer to complaint due for 7/18/02 for Harvey Padewer, for Fred Fowler, for William Coley, for Robert Brace, for Richard Priory, for Duke Energy Corp. ( by Judge Jed S. Rakoff ) (kkc) (Entered: 07/18/2002) 07/17/ STIPULATION and ORDER; that Deloitte & Touche LLP shall have an extension of time to respond to plaintiffs' complaint through 7/18/02. ( signed by Judge Jed S. Rakoff ) (kkc) (Entered: 07/18/2002) 07/17/ Memorandum to Docket Clerk: A status conference was held on 7/17/02 before Judge Rakoff. (sb) (Entered: 07/19/2002) 07/17/2002 Status Conference held on 7/17/02 before Judge Jed S. Rakoff. (sb) (Entered: 07/19/2002) 07/22/ NOTICE OF MOTION by Albert Fadem Trust, Lloyd R. Fadem for an order appointing them as lead plaintiff and approving their selection of Lovell & Stewart LLP as lead counsel in the above captioned case and consolidated actions (Nos (JSR), 02-CV-4084 (JSR), 02 CV 5055 (JSR), 02 CV 4514 (JSR), 02 CV (JSR), 02 CV 4949 (JSR), 02 CV 5023 (JSR), and 02 CV 5055 (JSR) pursuant to Section 27(a)(3)(B)(i) of the Securities Act of 1933, 15 USC }77z- 1(a)(3)(B)(i) and Section 21D(a)(3)(B)(i) of the Securities and Exchange Act of 1934, 15 U.S.C. }78u-4(a)(3)(B)(i). Return Date 8/16/02 at 0:00. (ll) (Entered: 07/25/2002) 07/22/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in support of [7-1] motion for an order appointing them as lead plaintiff and approving their selection of Lovell & Stewart LLP as lead counsel in the above captioned case and consolidated actions (Nos (JSR), 02-CV-4084 (JSR), 02 CV 5055 (JSR), 02 CV 4514 (JSR), 02 CV-4693 (JSR), 02 CV 4949 (JSR), 02 CV 5023 (JSR), and 02 CV 5055 (JSR) pursuant to Section 27(a)(3)(B)(i) of the Securities Act of 1933, 15 USC }77z-1(a)(3)(B)(i) and Section 21D(a)(3)(B)(i) of the Securities and Exchange Act of 1934, 15 U.S.C. }78u-4(a)(3)(B)(i). (ll) (Entered: 07/25/2002) 07/22/ NOTICE OF MOTION by Albert Fadem Trust, Lloyd R. Fadem for appointment as Lead Plaintiffs and for approval of selection of lead counsel. Return Date 8/16/02 at 0:00. (ll) (Entered: 07/25/2002)

11 07/22/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in support of [7-1] motion for an order appointing them as lead plaintiff and approving their selection of Lovell & Stewart LLP as lead counsel in the above captioned case and consolidated actions (Nos (JSR), 02-CV-4084 (JSR), 02 CV 5055 (JSR), 02 CV 4514 (JSR), 02 CV-4693 (JSR), 02 CV 4949 (JSR), 02 CV 5023 (JSR), and 02 CV 5055 (JSR) pursuant to Section 27(a)(3)(B)(i) of the Securities Act of 1933, 15 USC }77z-1(a)(3)(B)(i) and Section 21D(a)(3)(B)(i) of the Securities and Exchange Act of 1934, 15 U.S.C. }78u-4(a)(3)(B)(i). (ll) (Entered: 07/25/2002) 07/22/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in support of [7-1] motion for an order appointing them as lead plaintiff and approving their selection of Lovell & Stewart LLP as lead counsel in the above captioned case and consolidated actions (Nos (JSR), 02-CV-4084 (JSR), 02 CV 5055 (JSR), 02 CV 4514 (JSR), 02 CV-4693 (JSR), 02 CV 4949 (JSR), 02 CV 5023 (JSR), and 02 CV 5055 (JSR) pursuant to Section 27(a)(3)(B)(i) of the Securities Act of 1933, 15 USC }77z-1(a)(3)(B)(i) and Section 21D(a)(3)(B)(i) of the Securities and Exchange Act of 1934, 15 U.S.C. }78u-4(a)(3)(B)(i), [9-1] motion for appointment as Lead Plaintiffs and for approval of selection of lead counsel. (ll) (Entered: 07/25/2002) 07/22/ DECLARATION of Samuel H. Rudman by Albert Fadem Trust, Lloyd R. Fadem in support Re: [9-1] motion for appointment as Lead Plaintiffs and for approval of selection of lead counsel, [7-1] motion for an order appointing them as lead plaintiff and approving their selection of Lovell & Stewart LLP as lead counsel in the above captioned case and consolidated actions (Nos (JSR), 02-CV (JSR), 02 CV 5055 (JSR), 02 CV 4514 (JSR), 02 CV-4693 (JSR), 02 CV 4949 (JSR), 02 CV 5023 (JSR), and 02 CV 5055 (JSR) pursuant to Section 27(a)(3)(B)(i) of the Securities Act of 1933, 15 USC }77z-1(a)(3)(B)(i) and Section 21D(a)(3)(B)(i) of the Securities and Exchange Act of 1934, 15 U.S.C. }78u- 4(a)(3)(B)(i). (ll) (Entered: 07/25/2002) 07/22/ NOTICE OF MOTION by Ernest R. Freeman to consolidate cases, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4949, 02cv5023, 02cv5055, to appoint movant Ernest R. Freeman to serve as lead plaintiff(s) on behalf of theclass, and to approve lead plaintiff's selection of lead counsel. No Return Date(sv) (Entered: 07/29/2002) 07/22/ NOTICE OF MOTION (FILED ON SERVICE DATE) by Manuel O. Bordelove, Joseph M., Shirley Ochman, Jerry B. Robertson, Karl L. Sporel, Anna E. Sporel, Penn Security Bank, Stanley Martin to appoint movant O. Bordelove, movant Joseph M., movant Shirley Ochman, movant Jerry B. Robertson, movant Karl L. Sporel, movant Anna E. Sporel, movant Penn Security Bank, movant Stanley Martin to serve as lead plaintiff(s), to approve movants selection for lead plaintiff. No Return Date indicated. Received in night deposit box on 7/22/02 at 9:17 p.m. (db) Modified on 07/29/2002 (Entered: 07/29/2002) 07/22/ MEMORANDUM OF LAW by Manuel O. Bordelove, Joseph M., Shirley Ochman, Jerry B. Robertson, Karl L. Sporel, Anna E. Sporel, Penn Security Bank, Stanley Martin in support of [17-1] motion to appoint movant O. Bordelove, movant Joseph M., movant Shirley Ochman, movant Jerry B. Robertson, movant Karl L. Sporel, movant Anna E. Sporel, movant Penn Security Bank, movant Stanley Martin to serve as lead plaintiff(s), [17-2] motion to approve movants

12 selection for lead plaintiff. Received in night deposit box on 7/22/02 at 9:17 p.m. (db) (Entered: 07/29/2002) 07/22/ NOTICE OF MOTION (FILED ON SERVICE DATE) by Perry Capital, LLC for an order to consolidate 02cv3960, 02cv4084, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023 and02cv5055, to appoint movant Perry Capital, LLC to serve as lead plaintiff(s), to approve movants selection of lead counsel and liaison counsel. No Return Date indicated. Received in night deposit box on 7/12/02 at 6:44 p.m. (db) (Entered: 07/30/2002) 07/22/ MEMORANDUM OF LAW by Perry Capital, LLC in support of [19-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023 and02cv5055, [19-2] motion to appoint movant Perry Capital, LLC to serve as lead plaintiff(s), [19-3] motion to approve movants selection of lead counsel and liaison counsel. Received in night deposit box on 7/12/02 at 6:44 p.m. (db) (Entered: 07/30/2002) 07/22/ AFFIDAVIT of Gregory M. Egleston by Perry Capital, LLC in support of [19-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023 and02cv5055, [19-2] motion to appoint movant Perry Capital, LLC to serve as lead plaintiff(s), [19-3] motion to approve movants selection of lead counsel and liaison counsel. Received in night deposit box on 7/12/02 at 6:44 p.m. (db) (Entered: 07/30/2002) 07/22/ NOTICE OF MOTION (FILED ON SERVICE DATE) by Marc Eisenberg for an order to consolidate 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 5197, to appoint movant Marc Eisenberg to serve as lead plaintiff(s), to approve movants selection of lead counsel. No Return Date indicated. Received in night deposit box on 7/12/02 at 6:41 p.m. Original document filed in 02cv3687, Doc # 22. (db) Modified on 07/30/2002 (Entered: 07/30/2002) 07/22/ MEMORANDUM OF LAW by Marc Eisenberg in support of [22-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 5197, [22-2] motion to appoint movant Marc Eisenberg to serve as lead plaintiff(s), [22-3] motion to approve movants selection of lead counsel. Received in night deposit box on 7/12/02 at 6:41 p.m. (db) (Entered: 07/30/2002) 07/22/ AFFIDAVIT of Gustavo Bruckner by Marc Eisenberg in support of [22-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 5197, [22-2] motion to appoint movant Marc Eisenberg to serve as lead plaintiff(s), [22-3] motion to approve movants selection of lead counsel. Received in night deposit box on 7/12/02 at 6:41 p.m. (db) (Entered: 07/30/2002) 07/22/ NOTICE OF MOTION (filed on service date) by Sandra Finkel for an Order pursuant to Rule 42 of the FRCP, consolidating cases 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 02cv5197 for discovery purposes only and, pursuant to 15 U.S.C. 77z-1(a)(3)(B)(i), appointing her lead plaintiff in the action brought pursuant to 15 U.S.C. 77k and 77o on behalf of all persons or entities who purchased Duke Energy Corporation

13 Equity Unites pursuant or traceable to the public offering made pursuant to a registration statement and prospectus declared effective on or about Marh 14, 2001 and, pursuant to 15 U.S.C. 77z-1(a)(3)(B)(v), approving her selection of Rabin & Peckel LLP as lead counsel. Return Date not indicated. Proposed Order attached. Received in night deposit box on 7/22/02 at 10:02 p.m. (yv) Modified on 08/05/2002 (Entered: 08/05/2002) 07/22/ MEMORANDUM OF LAW by Sandra Finkel in support of [33-1] motion for an Order pursuant to Rule 42 of the FRCP, consolidating cases 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 02cv5197 for discovery purposes only, [33-2] motion pursuant to 15 U.S.C. 77z- 1(a)(3)(B)(i), appointing her lead plaintiff in the action brought pursuant to 15 U.S.C. 77k and 77o on behalf of all persons or entities who purchased Duke Energy Corporation Equity Unites pursuant or traceable to the public offering made pursuant to a registration statement and prospectus declared effective on or about Marh 14, 2001, [33-3] motion pursuant to 15 U.S.C. 77z-1(a)(3)(B)(v), approving her selection of Rabin & Peckel LLP as lead counsel. Received in night deposit box on 7/22/02 at 10:02 p.m. (yv) (Entered: 08/05/2002) 07/22/ DECLARATION of Eric J. Belfi by Sandra Finkel in support Re: [33-1] motion for an Order pursuant to Rule 42 of the FRCP, consolidating cases 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 02cv5197 for discovery purposes only, [33-2] motion pursuant to 15 U.S.C. 77z-1(a)(3)(B)(i), appointing her lead plaintiff in the action brought pursuant to 15 U.S.C. 77k and 77o on behalf of all persons or entities who purchased Duke Energy Corporation Equity Unites pursuant or traceable to the public offering made pursuant to a registration statement and prospectus declared effective on or about Marh 14, 2001, [33-3] motion pursuant to 15 U.S.C. 77z- 1(a)(3)(B)(v), approving her selection of Rabin & Peckel LLP as lead counsel. Received in night deposit box on 7/22/02 at 10:02 p.m. (yv) Modified on 08/05/2002 (Entered: 08/05/2002) 07/22/ NOTICE OF MOTION by Charles V. Maffei for an Order consolidating actions 02cv3960, 02cv4084, 02cv4340, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055, 02cv5197 and 02cv5529, appointing Charles V. Maffei the Preferred Shareholder lead plaintiff on behalf of Duke Energy Corporation Preferred Shareholders and, approving Maffei's selection of the law firm of Bull & Lifshitz, LLP to serve as lead counsel. Return Date not indicated. Memorandum and declaration of Joshua M. Lifshitz in support attached. Received in night deposit box on 7/22/02 at 6:07 p.m. (yv) (Entered: 08/05/2002) 07/24/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in opposition to Defendants' motion for transfer of venue. (ae) (Entered: 07/29/2002) 07/24/ DECLARATION of Steven G. Schulman by Albert Fadem Trust, Lloyd R. Fadem in support of Re: [14-1] Plaintiffs' Memorandum in Opposition to Defendants' Motion for Transfer of Venue. (ae) (Entered: 07/29/2002) 07/26/ Memorandum to Docket Clerk: telephone conference held on 7/26/02 before Judge Rakoff. (gf) (Entered: 07/29/2002) 07/26/2002 Telephone Conference held on 7/26/02 before Judge Jed S. Rakoff. (gf) (Entered:

14 07/29/2002) 07/29/ NOTICE of Withdrawal of Proposed Lead Plaintiffs by class members Nocholas, Inc. and Susquehanna Trust and Investments. Received in the night deposit box on 7/29/02 at 8:06 p.m. (sb) Modified on 07/31/2002 (Entered: 07/31/2002) 07/29/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in further support of [9-1] motion for appointment as Lead Plaintiffs and for approval of selection of lead counsel and in Opposition to the Competing motions for appointment as Lead Plaintiff. Received in the night deposit box on 7/29/02 at 8:06 p.m. (sb) Modified on 07/31/2002 (Entered: 07/31/2002) 07/29/ AFFIDAVIT of Christopher J. Gray by Albert Fadem Trust, Lloyd R. Fadem in further support of [9-1] motion for appointment as Lead Plaintiffs and for approval of selection of lead counsel and in Opposition to to the Competing Motions for appointment as lead plaintiff. Received in the night deposit box 7/29/02 at 8:06 p.m. (sb) Modified on 07/31/2002 (Entered: 07/31/2002) 07/29/ MEMORANDUM OF LAW in further support of Stoneridge Investment, SBA Artsenpesioenfondosen and Andover Brokerage's motion for appointment as lead plaintiff and approval of selection of lead counsel. Received in night deposit box on 7/29/02 at 10:18 p.m. (db) (Entered: 07/31/2002) 07/29/ DECLARATION of Steven G. Schulman in support of Stoneridge Investment, SBA Artsenpensioenfondsen and Andover Brokerage's motion for appointment as lead plaintiff and approval of selection of lead counsel. Received in night deposit box on 7/29/02 at 6:12 p.m. (db) Modified on 07/31/2002 (Entered: 07/31/2002) 07/29/ RESPONSE by Penn Security Bank to motions for appointment of lead plaintiffs and approval of their selection of lead counsel. Received in night deposit box on 7/29/02 at 6:12 p.m. (db) (Entered: 07/31/2002) 07/30/ MEMORANDUM OF LAW by Marc Eisenberg in support of [22-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 5197 and in opposition to [22-2] motion to appoint movant Marc Eisenberg to serve as lead plaintiff(s), [22-3] motion to approve movants selection of lead counsel, [17-1] motion to appoint movant O. Bordelove, movant Joseph M., movant Shirley Ochman, movant Jerry B. Robertson, movant Karl L. Sporel, movant Anna E. Sporel, movant Penn Security Bank, movant Stanley Martin to serve as lead plaintiff(s), [17-2] motion to approve movants selection for lead plaintiff, [19-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023 and02cv5055, [19-2] motion to appoint movant Perry Capital, LLC to serve as lead plaintiff(s), [19-3] motion to approve movants selection of lead counsel and liaison counsel, [9-1] motion for appointment as Lead Plaintiffs and for approval of selection of lead counsel, [13-1] motion to consolidate cases, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4949, 02cv5023, 02cv5055, [13-2] motion to appoint movant Ernest R. Freeman to serve as lead plaintiff(s) on behalf of theclass, [13-3] motion to approve lead plaintiff's selection of lead counsel, [7-1] motion for an order appointing them as lead plaintiff and approving their selection of Lovell & Stewart LLP as lead counsel in the above captioned case and consolidated actions (Nos (JSR), 02-CV-4084 (JSR), 02 CV 5055

15 (JSR), 02 CV 4514 (JSR), 02 CV-4693 (JSR), 02 CV 4949 (JSR), 02 CV 5023 (JSR), and 02 CV 5055 (JSR) pursuant to Section 27(a)(3)(B)(i) of the Securities Act of 1933, 15 USC }77z-1(a)(3)(B)(i) and Section 21D(a)(3)(B)(i) of the Securities and Exchange Act of 1934, 15 U.S.C. }78u-4(a)(3)(B)(i). Received in night deposit box on 7/30/02 at 5:42 p.m. (yv) Modified on 08/05/2002 (Entered: 08/05/2002) 07/30/ MEMORANDUM ORDER. granting [22-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 5197; granting [19-1] motion for an order to consolidate 02cv3960, 02cv4084, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023 and02cv5055; granting [13-1] motion to consolidate cases, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4949, 02cv5023, 02cv5055. The Court denies defendants' motion to transfer the above actions ; ( signed by Judge Jed S. Rakoff ); Copies mailed. (djc) (Entered: 08/05/2002) 07/30/2002 Consolidated Lead Case. (djc) (Entered: 08/05/2002) 07/31/ ORDER; In accordance with the telephonic conference of July 26, 2002, these consolidated cases are hereby recaptioned as follows: In re: Duke Energy Corp. Securities Litigation ; ( signed by Judge Jed S. Rakoff ); Copies mailed. (djc) (Entered: 08/06/2002) 08/05/ JORDER. reset oral argument on the motions for lead plaintiff for 2:00 p.m. on 8/7/02. All counsel representing plaintiff who seeks to be appointed lead plaintiff must appear ; Counsel for Pioneer Investment Mgmt., Ltd., Lovell & Stewart, LLP, is further directed to produce the individual who signed its certification as it appears in the Affidavit of Christopher J. Gray, dated July 22, 2002, Ex. 1 (certification document with first blank omitted and illegible signature, appearing immediately before the certification of Susquehanna Trust and Investments). ( signed by Judge Jed S. Rakoff ); copies mailed. (djc) Modified on 08/08/2002 (Entered: 08/07/2002) 08/07/2002 Oral argument held on 8/7/02 before Judge Jed S. Rakoff. (ae) (Entered: 08/12/2002) 08/08/ Memorandum to Docket Clerk: Oral argument held on 8/7/02 before Judge Rakoff. (ae) (Entered: 08/12/2002) 08/12/ ORDER, consolidating cases 02 civ. 3960, 4084, 4340, 4514, 4693, 4916, 4949, 5023, 5055, 5197, 5529, 5711 for all purposes as set forth in this document. ( signed by Judge Jed S. Rakoff ); Copies mailed. (kw) (Entered: 08/13/2002) 08/12/ ORDER, withdrawing [19-2] motion to appoint movant Perry Capital, LLC to serve as lead plaintiff(s), withdrawing [19-3] motion to approve movants selection of lead counsel and liaison counsel. ( signed by Judge Jed S. Rakoff ); Copies mailed. (kw) (Entered: 08/13/2002) 08/13/ AFFIDAVIT OF SERVICE of summons and complaint as to UBS Warburg, LLC by Sandra Costin on 7/25/02. Answer due on 8/14/02 for UBS Warburg, LLC. (db) (Entered: 08/15/2002) 08/13/ AFFIDAVIT OF SERVICE of summons and complaint as to Morgan Stanley &

16 Co. by John Plotnick on 7/25/02. Answer due on 8/14/02 for Morgan Stanley & Co. (db) (Entered: 08/15/2002) 08/13/ AFFIDAVIT OF SERVICE of summons and complaint as to Banc of America Sec by Allan R. Mock, officer on 7/25/02. Answer due on 8/14/02 for Banc of America Sec. (db) (Entered: 08/15/2002) 08/13/2002 Telephone Conference held on 8/13/02 before Judge Jed S. Rakoff. (sb) (Entered: 08/16/2002) 08/14/ Memorandum to Docket Clerk: A telephone conference was held on 8/13/02 before Judge Rakoff. (sb) (Entered: 08/16/2002) 08/14/ RESPONSE of Pioneer Investment Management, Ltd. to the 8/7/02 Order of the Court. Received in the night deposit box on 8/14/02 at 11:02 p.m. (sb) Modified on 08/16/2002 (Entered: 08/16/2002) 08/16/2002 Telephone Conference held before Judge Jed S. Rakoff. (yv) (Entered: 08/23/2002) 08/20/ ORDER, Defendant Duke Energy's motion for a temporary stay is denied. (signed by Judge Jed S. Rakoff ); Copies mailed. (sb) (Entered: 08/22/2002) 08/20/ Memorandum to Docket Clerk: Telephone Conference held on August 16, 2002 before Judge Jed S. Rakoff. (yv) (Entered: 08/23/2002) 08/22/ AFFIDAVIT OF SERVICE of summons and complaint as to Harvey Padewer by first class mail on 8/15/02. Answer due on 9/4/02 for Harvey Padewer. (db) (Entered: 08/29/2002) 08/22/ AFFIDAVIT OF SERVICE of summons and complaint as to Fred Fowler by first class mail on 8/15/02. Answer due on 9/4/02 for Fred Fowler. (db) (Entered: 08/29/2002) 08/22/ AFFIDAVIT OF SERVICE of summons and complaint as to William Coley by first class mail on 8/15/02. Answer due on 9/4/02 for William Coley. (db) (Entered: 08/29/2002) 08/22/ AFFIDAVIT OF SERVICE of summons and complaint as to Robert Brace by first class mail on 8/15/02. Answer due on 9/4/02 for Robert Brace. (db) (Entered: 08/29/2002) 08/22/ AFFIDAVIT OF SERVICE of summons and complaint as to Richard Priory by first class mail on 8/15/02. Answer due on 9/4/02 for Richard Priory. (db) (Entered: 08/29/2002) 08/22/ AFFIDAVIT OF SERVICE of summons and complaint as to Duke Energy Corp. by first class mail on 8/15/02. Answer due on 9/4/02 for Duke Energy Corp.. (db) (Entered: 08/29/2002) 08/22/ AFFIDAVIT OF SERVICE of summons and complaint as to Duke Energy Corp. by first class mail on 8/15/02. Answer due on 9/4/02 for Duke Energy Corp.. (db) (Entered: 08/29/2002) 08/26/ STIPULATION and ORDER (this document refers to case #02cv5711), that the

17 Underwriter defendants shall have up to 30 days from the Lead Plaintiffs' filing of the consolidated amended complaint in Lead Case #02cv3960 (JSR), to answer, move or otherwise respond to any complaint filed in the consolidated actions. ( signed by Judge Jed S. Rakoff ) (tp) (Entered: 08/28/2002) 08/26/ RESPONSE of Pioneer Investment Management, Ltd. to the 8/7/02 Order of the Court. (sb) (Entered: 08/28/2002) 08/26/ Letter filed by Pioneer Investment Management, Ltd. addressed to Judge Rakoff from Christopher Lovell, dated 8/26/02, re: Withdrawing its Motion to be Lead Plaintiff. (sb) (Entered: 08/29/2002) 08/26/ REPLY MEMORANDUM by the Stoneridge Group in further support of the motion of the Stoneridge Group for appointment as Lead Plaintiff and for approval of selection of Lead Counsel and in opposition to the motions of Pioneer and Sandra Finkel. (sb) (Entered: 08/30/2002) 08/26/ REPLY MEMORANDUM by the Stoneridge Group in further support of the motion by the Stoneridge Group for appointment as lead plaintiff and for approval of selection of lead counsel and in opposition to the motion of Pioneer. (sb) (Entered: 08/30/2002) 08/26/ REPLY MEMORANDUM by Sandra Finkel re: [33-1] motion for an Order pursuant to Rule 42 of the FRCP, consolidating cases 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 02cv5197 for discovery purposes only, [33-2] motion pursuant to 15 U.S.C. 77z- 1(a)(3)(B)(i), appointing her lead plaintiff in the action brought pursuant to 15 U.S.C. 77k and 77o on behalf of all persons or entities who purchased Duke Energy Corporation Equity Unites pursuant or traceable to the public offering made pursuant to a registration statement and prospectus declared effective on or about Marh 14, 2001, [33-3] motion pursuant to 15 U.S.C. 77z-1(a)(3)(B)(v), approving her selection of Rabin & Peckel LLP as lead counsel. (jco) (Entered: 09/04/2002) 08/26/ DECLARATION of Brian P. Murray in support Re: [33-1] motion for an Order pursuant to Rule 42 of the FRCP, consolidating cases 02cv3960, 02cv4084, 02cv4340, 02cv4514, 02cv4693, 02cv4916, 02cv4949, 02cv5023, 02cv5055 and 02cv5197 for discovery purposes only, [33-2] motion pursuant to 15 U.S.C. 77z- 1(a)(3)(B)(i), appointing her lead plaintiff in the action brought pursuant to 15 U.S.C. 77k and 77o on behalf of all persons or entities who purchased Duke Energy Corporation Equity Unites pursuant or traceable to the public offering made pursuant to a registration statement and prospectus declared effective on or about Marh 14, 2001, [33-3] motion pursuant to 15 U.S.C. 77z-1(a)(3)(B)(v), approving her selection of Rabin & Peckel LLP as lead counsel. (jco) (Entered: 09/04/2002) 08/27/2002 Oral argument held on 8/27/02 before Judge Jed S. Rakoff re: plaintiff designation motion. (gf) (Entered: 09/06/2002) 08/27/2002 Oral argument held on 8/27/02 before Judge Jed S. Rakoff re: lead plaintiff designation. (sb) (Entered: 09/09/2002) 08/29/ ORDER, if, a motion to dismiss is filed by defendants, Ms. Finkel's counsel, Rabin & Peckel, LLP, may submit separate opposition briefing and participate in oral argument, and their efforts in this regard will be taken account of by the Court in

18 any final award of attorney fees, if any. ( signed by Judge Jed S. Rakoff ); Copies mailed. (kw) (Entered: 09/03/2002) 08/30/ AFFIDAVIT OF SERVICE of Summons and Complaint as to Deloitte & Touche by Nawal Shalabi on 7/25/02. Answer due on 8/14/02 for Deloitte & Touche. (sb) (Entered: 09/05/2002) 08/30/ AFFIDAVIT OF SERVICE of summons and complaint as to Duke Energy Corp. by Deborah Edwards on 7/23/02. Answer due on 8/12/02 for Duke Energy Corp.. (sb) (Entered: 09/05/2002) 08/30/ AFFIDAVIT OF SERVICE of summons and complaint as to Richard Priory by Deborah Edwards on 7/23/02. Answer due on 8/12/02 for Richard Priory. (sb) (Entered: 09/05/2002) 08/30/ AFFIDAVIT OF SERVICE of summons and complaint as to Fred Fowler by Deborah Edwards on 7/23/02. Answer due on 8/12/02 for Fred Fowler. (sb) (Entered: 09/05/2002) 08/30/ AFFIDAVIT OF SERVICE of summons and complaint as to Robert Brace by Deborah Edwards on 7/23/02. Answer due on 8/12/02 for Robert Brace. (sb) (Entered: 09/05/2002) 08/30/ AFFIDAVIT OF SERVICE of summons and complaint as to William Coley by Deborah Edwards on 7/23/02. Answer due on 8/12/02 for William Coley. (sb) (Entered: 09/05/2002) 08/30/ AFFIDAVIT OF SERVICE of summons and complaint as to Harvey Padewer by Deborah Edwards on 7/23/02. Answer due on 8/12/02 for Harvey Padewer. (sb) (Entered: 09/05/2002) 08/30/ Memorandum to Docket Clerk: oral argument held on 8/27/02 before Judge Rakoff. argument was on lead plaintiff designation motion. (gf) (Entered: 09/06/2002) 09/03/ Memorandum to Docket Clerk: An oral argument, on lead plaintiff designation motion, was held on 8/27/02 before Judge Rakoff. (sb) (Entered: 09/09/2002) 09/20/ AMENDED COMPLAINT by Albert Fadem Trust, Lloyd R. Fadem (Answer due 9/30/02 for UBS Warburg, LLC, for J.P. Morgan Securiti, for Goldman Sachs & Co., for Credit Suisse First, for Banc of America Sec, for Merrill Lynch, Pierc, for Morgan Stanley & Co., for William Coley, for Richard J. Osborne, for Jeffrey L. Boyer, for Sandra P. Meyer, for Keith G. Butler, for David J. Hauser, for Deloitte & Touche, for Harvey Padewer, for Fred Fowler, for William Coley, for Robert Brace, for Richard Priory, for Duke Energy Corp. ) amending [1-1] complaint ; Summons issued. (dle) (Entered: 09/30/2002) 10/08/ Transcript of record of proceedings before Judge Jed S. Rakoff for the date(s) of 8/27/02 at 10:30 a.m. (gf) (Entered: 10/08/2002) 10/11/ NOTICE OF MOTION by Morgan Stanley & Co., Merrill Lynch, Pierce for an order purs to FRCP 9(b) and 12(b)(6), dismissing plaintiff's amended consolidated class action complait for failure to state a claim and lack of particularity ; Return Date 11/12/02 at 4:00. (djc) (Entered: 10/22/2002)

19 10/11/ NOTICE OF MOTION (filed on service date) by Duke Energy Corp., Richard Priory, Robert Brace, David J. Hauser, Keith G. Butler, Sandra P. Meyer, Jeffrey L. Boyer, Richard J. Osborne for an order dismissing the amended consolidated complaint ; Return Date not indicated. (djc) (Entered: 10/22/2002) 10/11/ DECLARATION of James M. Wines by Duke Energy Corp., Richard Priory, Robert Brace, David J. Hauser, Keith G. Butler, Sandra P. Meyer, Jeffrey L. Boyer, Richard J. Osborne in support of Motion to dismiss the amended consolidated complaint; (djc) Modified on 01/08/2003 (Entered: 01/08/2003) 10/11/ MEMORANDUM OF LAW by Duke Energy Corp., Richard Priory, Robert Brace, David J. Hauser, Keith G. Butler, Sandra P. Meyer, Jeffrey L. Boyer, Richard J. Osborne in support of Defendants' Motion to Dismiss the Amended Consolidated Complaint; (djc) (Entered: 01/08/2003) 10/11/ SUPPLEMENTAL MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in opposition to Defendants' Motions to Dismiss on Issues Relating to Securities Act Claims; (djc) (Entered: 01/08/2003) 10/11/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in opposition to Defendants' Motions to Dismiss; (djc) (Entered: 01/08/2003) 10/11/ REPLY MEMORANDUM by Duke Energy Corp., Richard Priory, Robert Brace, David J. Hauser, Keith G. Butler, Sandra P. Meyer, Jeffrey L. Boyer, Richard J. Osborne in further support of Motion to dismiss the amended consolidated complaint; (djc) Modified on 01/08/2003 (Entered: 01/08/2003) 11/01/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in opposition to [76-1] motion for an order dismissing the amended consolidated complaint, [75-1] motion for an order purs to FRCP 9(b) and 12(b)(6), dismissing plaintiff's amended consolidated class action complait for failure to state a claim and lack of particularity. (cd) (Entered: 11/05/2002) 11/01/ MEMORANDUM OF LAW by Albert Fadem Trust, Lloyd R. Fadem in opposition to [76-1] motion for an order dismissing the amended consolidated complaint, [75-1] motion for an order purs to FRCP 9(b) and 12(b)(6), dismissing plaintiff's amended consolidated class action complait for failure to state a claim and lack of particularity. (cd) (Entered: 11/05/2002) 11/01/ MEMORANDUM OF LAW by Morgan Stanley & Co., Merrill Lynch, Pierc in support of their motion to dismiss plntfs' Amended Complaint (cd) (Entered: 11/05/2002) 11/01/ MEMORANDUM OF LAW by Morgan Stanley & Co., Merrill Lynch, Pierc re: plntfs' Supplemental Memo of Law on issues relating to securities claims (cd) (Entered: 11/05/2002) 11/01/ DECLARATION of Robert Serio by Morgan Stanley & Co., Merrill Lynch, Pierc in support Re: [75-1] motion for an order purs to FRCP 9(b) and 12(b)(6), dismissing plaintiff's amended consolidated class action complait for failure to state a claim and lack of particularity. (cd) (Entered: 11/05/2002) 11/01/ REPLY MEMORANDUM by Morgan Stanley & Co., Merrill Lynch, Pierc re: [75-1] motion for an order purs to FRCP 9(b) and 12(b)(6), dismissing plaintiff's

20 amended consolidated class action complait for failure to state a claim and lack of particularity. (cd) (Entered: 11/05/2002) 11/13/ Transcript of record of proceedings before Judge Jed S. Rakoff for the date(s) of 8/7/02. (dt) (Entered: 11/13/2002) 11/13/2002 Oral argument held on 11/13/02 before Judge Jed S. Rakoff re: [76-1] motion for an order dismissing the amended consolidated complaint, [75-1] motion for an order purs to FRCP 9(b) and 12(b)(6), dismissing plaintiff's amended consolidated class action complait for failure to state a claim and lack of particularity. (sb) (Entered: 11/18/2002) 11/14/ Memorandum to Docket Clerk: An oral argument, on defendant's motion to dismiss consolidated complaint, was held on 11/13/02 before Judge Rakoff. The Court reserved decision on the motion. (sb) (Entered: 11/18/2002) 12/27/ ORDER, that the Court is granting defendant's [76-1] motion for an order dismissing the amended consolidated complaint, granting [75-1] motion for an order purs to FRCP 9(b) and 12(b)(6), dismissing plaintiff's amended consolidated class action complait for failure to state a claim and lack of particularity. The Clerk of the Court is directed, however, not to enter final judgment until the Court issues its written opinion stating the reasons for this ruling. ( signed by Judge Jed S. Rakoff ). (tp) (Entered: 12/30/2002) 12/31/ Transcript of record of proceedings before Judge Jed S. Rakoff for the date(s) of 11/13/02. (dt) (Entered: 01/02/2003) 07/15/ CERTIFIED TRUE COPY OF MDL ORDER DENYING TRANSFER...that the motion, pursuant to 28 U.S.C. 1407(c), for transfer of the action to the District of Western North Carolina be, and the same hereby is denied. (gmo) (Entered: 07/15/2003) 09/17/ (DUPLICATE ORIGINAL) MEMORANDUM ORDER, the Court hereby reconfirms its Order of 12/30/02 dismissing the Complaint w/ prejudice, and directs the Clerk of the Court to enter judgment in favor of the defendants. ( signed by Judge Jed S. Rakoff ); Sent orig. doc. to the Judgment Clerk. (ae) (Entered: 10/17/2003) 10/16/ NOTICE OF APPEAL by Albert Fadem Trust, Lloyd R. Fadem from [93-1] order the Court hereby reconfirms its Order of 12/30/02 dismissing the Complaint w/ prejudice, and directs the Clerk of the Court to enter judgment in favor of the defendants. Copies of notice of appeal mailed to Attorney(s) of Record: Dickstein, Shapiro, Morin & Oshinsky, LLP and Gibson, Dunn & Crutcher, LLP. $ Appeal filing fee paid 10/16/03 on receipt # E (dt) (Entered: 10/17/2003) 10/17/ JUDGMENT; that for the reasons stated in the Court's Memorandum Order dated 9/17/03, the Court's Order of 12/30/02 dismissing the complaint w/ prejudice is reconfirmed, and judgment is entered in favor of the defendants. (signed by J. Michael McMahon, Clerk of Court); Mailed copies and notice of right to appeal. Entered On Docket: 10/17/03. (ae) (Entered: 10/17/2003) 10/17/2003 Case closed. (ae) (Entered: 10/17/2003) 10/17/2003 Notice of appeal and certified copy of docket to USCA: [95-1] appeal by Lloyd R.

21 Fadem, Albert Fadem Trust ; Copy of notice of appeal sent to District Judge. (dt) (Entered: 10/17/2003) 02/11/2004 USCA Scheduling Order as to [95] Notice of Appeal, filed by The Albert Fadem Trust, Lloyd R. Fadem USCA Case Number MACKECHNIE, Clerk USCA. Appeal Record due by 3/12/2004. Appellant Brief due by 3/19/2004. Appellee Brief due by 4/19/2004. (pr, ) (Entered: 02/11/2004) 03/04/ Appeal Record Sent to USCA (Index). Notice that the Original index to the record on Appeal for [95] Notice of Appeal, filed by The Albert Fadem Trust, Lloyd R. Fadem USCA Case Number , 3 Copies of the index, Certified Clerk Certificate and Certified Docket Sheet were transmitted to the U.S. Court of Appeals. (dt, ) (Entered: 03/04/2004) 11/05/ NOTICE of Change of Address by Eric James Belfi on behalf of Barry Family, LP, Individually and on Behalf of all others Similarly Situated., David L. Boushey, Margie Elstein, Lloyd R. Fadem, Donald Goldstein, Elliot S. Honig, J.B. Pozner Trust, Mikel Kinser, Alan Kushner, Franklin Richardson, Lucille Richardson, The Albert Fadem Trust. New Address: Murray, Frank & Sailer LLP, 275 Madison Avenue, Suite 801, New York, New York, , (212) (pl, ) (Entered: 11/10/2004) 12/20/ MANDATE of USCA (Certified Copy) as to [95] Notice of Appeal, filed by The Albert Fadem Trust, Lloyd R. Fadem USCA Case Number It is Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED. Roseann B. MacKechnie, Clerk USCA. Issued As Mandate: 12/7/04. (tp, ) (Entered: 12/20/2004) 12/20/2004 Transmission of USCA Mandate/Order to the District Judge re: [98] USCA Mandate. (tp, ) (Entered: 12/20/2004) 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