US District Court Civil Docket as of 1/18/2008 Retrieved from the court on Friday, August 15, 2008 U.S. District Court Northern District of Ohio (Cleveland) CIVIL DOCKET FOR CASE #: 1:07-cv-01716-JG Strougo v. Brantley Capital Corporation, et al Date Filed: Jun. 11, 2007 Status: Open Nature of suit: 850 Securities/Commodities Assigned to: Judge James S. Gwin Case in other court: U.S. District Court Southern District of New York, 7:06CV13315 Cause: 15:78m(a) Securities Exchange Act Date terminated: Jan. 04, 2008 Jurisdiction: Federal Question Jury demand: Plaintiff Plaintiff Barbara Strougo Parties and Attorneys Robert I. Harwood Harwood Feffer 488 Madison Avenue 8th Floor New York, NY 10022 (212) 935-7400 Fax: (212) 753-3630 rharwood@hfesq.com Samuel K. Rosen Harwood Feffer 488 Madison Avenue 8th Floor New York, NY 10022 (212) 935-7400 Fax: (212) 753-3630 Plaintiff Karpus Management, Inc. William C. Rand
Ste. 1505 711 Third Avenue New York, NY 10017 (212) 286-1425 Fax: (212) 599-7909 wcrand@wcrand.com John N. Childs Brennan, Manna & Diamond 75 East Market Street Akron, OH 44308 (330) 253-5060 Fax: (330) 253-1977 jnchilds@bmdllc.com Defendant Brantley Capital Corporation Howard Schiffman Dickstein Shapiro - Washington 1825 Eye Street, NW Washington, DC 20006 (202) 420-2200 Fax: (202) 420-2201 schiffmanh@dicksteinshapiro.com Edward F. Siegel Siegel & Associates Ste. 340 27600 Chagrin Blvd. Cleveland, OH 44122 (216) 831-3424 Fax: (216) 831-6584 efsiegel@efs-law.com Eric A. Bensky Dickstein Shapiro - Washington 1825 Eye Street, NW Washington, DC 20006 (202) 420-2200 Fax: (202) 420-2201 benskye@dicksteinshapiro.com Nicole Pappas Wrobleski Dickstein Shapiro - New York 1177 Avenue of the Americas New York, NY 10036 (212) 277-6589
Fax: (212) 277-6501 debellon@dicksteinshapiro.com Defendant Robert P Pinkas Geoffrey J. Ritts Jones Day - Cleveland 901 Lakeside Avenue Cleveland, OH 44114 (216) 586-3939 Fax: (216) 579-0212 gjritts@jonesday.com John M. Newman, Jr. Jones Day - Cleveland 901 Lakeside Avenue Cleveland, OH 44114 (216) 586-7207 Fax: (216) 579-0212 jmnewman@jonesday.com Jonathan B. Leiken Jones Day - Cleveland 901 Lakeside Avenue Cleveland, OH 44114 (216) 586-3939 Fax: (216) 579-0212 jleiken@jonesday.com Defendant Michael J. Finn Jonathan B. Leiken (See above for address) Geoffrey J. Ritts (See above for address) John M. Newman, Jr. (See above for address) Defendant Tab A. Keplinger Clinton Warren Calhoun, Esq. Briccetti, Calhoun and Lawrence 81 Main Street White Plains, NY 10601 (914) 946-5900
Fax: (914) 946-5906 TERMINATED: 07/11/2007 Matthew L. Fornshell Schottenstein, Zox & Dunn- Columbus Ste. 700 250 West Street P.O. Box 165020 Columbus, OH 43216-5020 (614) 462-2700 Fax: (614) 462-5135 mfornshell@szd.com Matthew T. Green Schottenstein, Zox & Dunn- Columbus Ste. 700 250 West Street P.O. Box 165020 Columbus, OH 43216-5020 (614) 462-1058 Fax: (614) 221-3218 mgreen@szd.com Defendant Shawn Wynne Mitchell G. Blair Calfee, Halter & Griswold- Cleveland 1400 McDonald Investment Center 800 Superior Avenue Cleveland, OH 44114 (216) 622-8361 Fax: (216) 241-0816 mblair@calfee.com Fritz E. Berckmueller Calfee, Halter & Griswold- Cleveland 1400 McDonald Investment Center 800 Superior Avenue Cleveland, OH 44114 (216) 622-8671 Fax: (216) 241-0816 fberckmueller@calfee.com
Docket ProceedingsReverse Proceedings Req # Filed # Docket Text 1 Nov. 17, 2006 1 Complaint with jury demand against Robert P Pinkas, Michael J. Finn, Tab A. Keplinger, and Brantley Capital Corporation. Filed by Barbara Strougo. (K, K) (Entered: 06/11/2007) 2 Dec. 18, 2006 3 WAIVER OF SERVICE RETURNED EXECUTED. Robert P. Pinkas waiver sent 12/12/2006, answer due 2/12/2007; Michael J. Finn waiver sent on 12/12/2006, answer due 2/12/2007. Document filed by Barbara Strougo. (K, K) (Entered: 06/11/2007) 3 Jan. 20, 2007 17 Corporate Disclosure Statement filed by Karpus Management, Inc. (K, K) (Entered: 06/11/2007) 4 Jan. 23, 2007 19 Return of Service Executed. Brantley Capital Corporation served on 12/14/2006, answer due 1/3/2007. Service was accepted by Jalyn Shapiro, designated agent. Filed by Barbara Strougo.(K, K) (Entered: 06/11/2007) 5 Jan. 23, 2007 20 Return of Service Executed. Tab A. Keplinger served on 1/3/2007, answer due 2/12/2007. Service was accepted by Tab Keplinger. Filed by Barbara Strougo. (K, K) (Entered: 06/11/2007) 6 Jun. 04, 2007 48 Decision and Order granting Motion to Transfer Case; denying Motion to Appoint Karpus Management, Inc. as Lead Plaintiff(s); granting Motion to Appoint Karpus Managment, Inc. as Lead Plaintiff(s)...This case is TRANSFERRED to the United States District Court for the Northern District of Ohio for all further proceedings. The Clerk of the Court for the Southern District of New York is directed to close this case. IT IS SO ORDERED. Signed by Judge Stephen C. Robinson, USDC Southern District of New York, on 6/3/2007.(K, K) (Entered: 06/11/2007) 7 Jun. 11, 2007 Random Assignment of Magistrate Judge pursuant to Local Rule 3.1. In the event of a referral, case will be assigned to Magistrate Judge Limbert. (K, K) (Entered: 06/11/2007) 8 Jun. 11, 2007 49 Transfer Case (District). Certified copy of docket and order of transfer received from Southern District Court of New York; case number 7:06CV13315. (K, K) (Entered: 06/11/2007) 9 Jun. 11, 2007 50 Attorney Appearance by John M. Newman, Jr filed by Robert P Pinkas, Michael J. Finn. (Newman, John) Modified text on 6/12/2007 (S, T). (Entered: 06/11/2007) 10 Jun. 11, 2007 51 Attorney Appearance by Geoffrey J. Ritts filed by Robert P Pinkas, Michael J. Finn. (Ritts, Geoffrey) Modified text on 6/12/2007 (S, T). (Entered: 06/11/2007) 11 Jun. 11, 2007 52 Notice of Related Case filed by Robert P Pinkas, Michael J. Finn. (Leiken, Jonathan) (Entered: 06/11/2007) 12 Jun. 18, 2007 53 Response to defendants Pinkas and Finn's Notice of Related Case filed by Tab A. Keplinger. Related document(s) 52. (Fornshell, Matthew) Modified text on 6/19/2007 (S, T). (Entered: 06/18/2007) 13 Jun. 21, 2007 54 Response to Notice of Related Case filed by Brantley Capital Corporation. (Related Document # 52 )(Siegel, Edward) Modified text on 6/22/2007 (S, T). (Entered: 06/21/2007) 14 Jun. 22, 2007 55 Response to notice of related case filed by Karpus Management, Inc.
Related document(s) 52.(Childs, John) Modified text on 6/25/2007 (S, T). (Entered: 06/22/2007) 15 Jun. 25, 2007 56 Motion for attorney William C. Rand to Appear Pro Hac Vice Filing fee 100, receipt number 54660000953. filed by Karpus Management, Inc.. Filing fee paid; receipt number 54660000953. (Attachments: # 1 Affidavit of William C. Rand# 2 Affidavit Certificate of Good Standing for William C. Rand)(Childs, John) (Entered: 06/25/2007) 16 Jun. 25, 2007 57 Order reassigning case to Judge James S. Gwin for all further proceedings as this matter is related to case #1:07CV645. Signed by Judge John R. Adams on 6/25/07.(K,C) (Entered: 06/25/2007) 17 Jun. 28, 2007 58 Marginal Order signed by Judge James S. Gwin on 6/28/07 granting the motion for admission pro hac vice of Attorney William C. Rand on behalf of plaintiff, Karpus Management, Inc. (Related Doc. 56 ) (M,G) Modified text on 6/28/2007 (Mackey, Gwen). (Entered: 06/28/2007) 18 Jun. 28, 2007 59 Motion for joint conference in light of the transfer of this case from the Southern District of New York filed by Robert P Pinkas, Michael J. Finn. (Leiken, Jonathan) Modified text on 7/3/2007 (B, B). (Entered: 06/28/2007) 19 Jun. 29, 2007 60 Notice of Magistrate Consent form issued 6/29/07. (M,G) (Entered: 06/29/2007) 20 Jun. 29, 2007 61 Case Management Conference Scheduling Order signed by Judge James S. Gwin on 6/29/07 setting a conference for 7/16/07 at 10:00 a.m., in Chambers 18A (Cleveland). (Attachments: # 1 Local Rule 30.1) (M,G) (Entered: 06/29/2007) 21 Jul. 02, 2007 62 Notice that the case management conference set for 7/16/07 at 10:00 a.m., in Chambers 18A (Cleveland) before Judge James S. Gwin will also include Case No. 1:07cv645. (Related Doc. 61 ) (M,G) (Entered: 07/02/2007) 22 Jul. 03, 2007 63 Motion for attorney Eric Bensky to Appear Pro Hac Vice Filing fee 100, receipt number 14660009818. filed by Brantley Capital Corporation. Filing fee paid; receipt number 14660009818. (Attachments: # 1 Affidavit # 2 Certificate of Good Standing)(B,B) (Entered: 07/09/2007) 23 Jul. 03, 2007 64 Motion for attorney Howard Schiffman to Appear Pro Hac Vice Filing fee 100, receipt number 14660009819. filed by Brantley Capital Corporation. Filing fee paid; receipt number 14660009819. (Attachments: # 1 Affidavit # 2 Certificate of Good Standing)(B,B) (Entered: 07/09/2007) 24 Jul. 03, 2007 65 Motion for attorney Nicole P. Wrobleski to Appear Pro Hac Vice Filing fee 100, receipt number 14660009820. filed by Brantley Capital Corporation. Filing fee paid; receipt number 14660009820. (Attachments: # 1 Affidavit # 2 Certificate)(B,B) (Entered: 07/09/2007) 25 Jul. 06, 2007 Financial Transaction in the amount of $100 received for motion to appear pro hac vice by attorney Eric Bensky, Receipt # 14660009818 (M,P) (Entered: 07/06/2007) 26 Jul. 06, 2007 Financial Transaction in the amount of $100 received for motion to appear pro hac vice by attorney Howard Schiffman, Receipt # 14660009819 (M,P) (Entered: 07/06/2007) 27 Jul. 06, 2007 Financial Transaction in the amount of $100 received for motion to appear pro hac vice by attorney Nicole P. Wrobleski, Receipt #
14660009820 (M,P) (Entered: 07/06/2007) 28 Jul. 09, 2007 66 Marginal Order signed by Judge James S. Gwin on 7/9/07 granting the motion for admission pro hac vice of Nicole P. Wrobleski on behalf of defendant, Brantley Capital Corp. (Related Doc. 65 ) (M,G) (Entered: 07/09/2007) 29 Jul. 09, 2007 67 Marginal Order signed by Judge James S. Gwin on 7/9/07 granting the motion for admission pro hac vice of Howard Schiffman on behalf of Brantley Capital Corp. (Related Doc. 64 ) (M,G) (Entered: 07/09/2007) 30 Jul. 09, 2007 68 Marginal Order signed by Judge James S. Gwin on 7/9/07 granting the motion for admission pro hac vice of Eric A. Bensky on behalf of Brantley Capital Corp. (Related Doc. 63 ) (M,G) (Entered: 07/09/2007) 31 Jul. 09, 2007 69 Motion to withdraw as attorney, Clinton W. Calhoun, III as Co-Counsel, filed by Tab A. Keplinger. (Fornshell, Matthew) (Entered: 07/09/2007) 32 Jul. 10, 2007 70 Notice that the case management conference set for 7/16/07 has been rescheduled to 1:45 p.m., in Chambers 18A (Cleveland) before Judge James S. Gwin. (Related Doc. 62 ) (M,G) (Entered: 07/10/2007) 33 Jul. 11, 2007 71 Proposed Order regarding stipulation of time to respond filed by Robert P Pinkas, Michael J. Finn. (Leiken, Jonathan) (Entered: 07/11/2007) 34 Jul. 11, 2007 72 Marginal Order signed by Judge James S. Gwin on 7/11/07 granting the motion to allow Clinton W. Calhoun, III to withdraw as counsel for Tab Keplinger. (Related Doc. 69 ) (M,G) (Entered: 07/11/2007) 35 Jul. 11, 2007 73 Report of Parties' Planning Meeting. Parties do not consent to this case being assigned to the magistrate judge. filed by Robert P Pinkas, Michael J. Finn. (Leiken, Jonathan) (Entered: 07/11/2007) 36 Jul. 13, 2007 74 Stipulation regarding time to respond approved by Judge James S. Gwin on 7/13/07 as amended by the Court. (Related Doc. 71 ) (M,G) (Entered: 07/13/2007) 37 Jul. 16, 2007 75 Initial Disclosures re Legal Fees filed by Karpus Management, Inc.. (Childs, John) (Entered: 07/16/2007) 38 Jul. 16, 2007 76 Minutes of case management conference before Judge James S. Gwin on 7/16/07. (Court Reporter: none) (M,G) (Entered: 07/17/2007) 39 Jul. 17, 2007 77 Order signed by Judge James S. Gwin on 7/17/07. Concerning the class certification issue, the following dates are assigned: motion for class certification due 8/20/07; memorandum in response by all parties due 11/5/07; replies due 11/19/07; discovery due by 10/29/07; plaintiffs to identify experts by 8/6/07 and defendant by 8/22/07. (M,G) (Entered: 07/17/2007) 40 Jul. 17, 2007 78 Case Management Conference Plan/Order signed by Judge James S. Gwin. This case is assigned to the Standard Track. Preliminary discovery due by 12/3/07 with all discovery due by 2/18/08. Dispositive motions to be filed by 12/10/07 with responses due by 12/24/07 and replies due by 12/31/07. Status conference set for 12/13/07 at 12:00 p.m., and final pretrial conference set for 2/19/08 at 4:00 p.m., both in Chambers 18A (Cleveland). Jury trial is set on a two-week standby basis beginning 2/25/08 at 8:00 a.m., in Courtroom, 18A (Cleveland). (M,G) (Entered: 07/17/2007) 41 Jul. 17, 2007 79 Order signed by Judge James S. Gwin on 7/17/07 that plaintiffs shall identify experts by 8/22/07 and defendants shall identify experts by 9/17/07. (M,G) (Entered: 07/17/2007)
42 Aug. 01, 2007 80 First Amended complaint against all defendants. Filed by Karpus Management, Inc.. (Attachments: # 1 Exhibit Amended Complaint Exh. 1# 2 Exhibit Amended Complaint Exh. 2# 3 Exhibit Amended Complaint Exh. 3# 4 Exhibit Amended Complaint Exh. 4# 5 Exhibit Amended Complaint Exh. 5# 6 Exhibit Amended Complaint Exh. 6# 7 Exhibit Amended Complaint Exh. 7# 8 Exhibit Amended Complaint Exh. 8# 9 Exhibit Amended Complaint Exh. 10# 10 Exhibit Amended complaint Exh. 11# 11 Exhibit Amended Complaint Exh. 12# 12 Exhibit Amended Complaint Exh. 13# 13 Exhibit Amended Complaint Exh. 14# 14 Exhibit Amended Complaint Exh. 15# 15 Exhibit Amended Complaint Exh. 16# 16 Exhibit Amended Complaint Exh. 17# 17 Exhibit Amended Complaint Exh. 18# 18 Exhibit Amended Complaint Exh. 19)(Rand, William) (Entered: 08/01/2007) 43 Aug. 02, 2007 81 Exhibit Number 9 to Amended Complaint filed by Karpus Management, Inc. Related document(s) 80. (Rand, William) Modified on 8/3/2007 (E, P). (Entered: 08/02/2007) 44 Aug. 15, 2007 82 Motion for extension of Dates in the Court's Order Dated July 17, 2007 filed by Karpus Management, Inc.. Related document(s) 77. (Childs, John) (Entered: 08/15/2007) 45 Aug. 15, 2007 83 Motion for attorney Robert I. Harwood to Appear Pro Hac Vice Filing fee 100, receipt number 14660011076. filed by Barbara Strougo. Filing fee paid; receipt number 14660011076. (Attachments: # 1 Affidavit # 2 Certificate of Good Standing)(B,B) (Entered: 08/16/2007) 46 Aug. 17, 2007 84 Marginal Order signed by Judge James S. Gwin on 8/17/07 granting motion of Plaintiff Karpus Management, Inc., for an extension of certain deadlines as follows: motion for class certification due 8/27/07; memorandum in response due 11/12/07; reply due 11/26/07; discovery deadline extended from 10/29/07 to 11/6/07 and defendants' deadline to identify experts to oppose class certification motion due 8/29/07. (Related Doc. 82 ) (M,G) (Entered: 08/17/2007) 47 Aug. 20, 2007 85 Marginal Order signed by Judge James S. Gwin on 8/20/07 granting the motion for admission pro hac vice of Attorney Robert I. Harwood on behalf of Barbara Strougo. (Related Doc. 83 ) (M,G) (Entered: 08/20/2007) 48 Aug. 24, 2007 86 Minutes of telephone conference with counsel 8/24/07. (Court Reporter: none) (M,G) (Entered: 08/24/2007) 49 Aug. 24, 2007 87 Order signed by Judge James S. Gwin on 8/24/07 that any deadlines assigned to this case the week of 8/27/07 are cancelled. (M,G) (Entered: 08/24/2007) 50 Aug. 27, 2007 88 Joint Motion to stay proceedings filed by Karpus Management, Inc., Robert P Pinkas, Michael J. Finn, Tab A. Keplinger, Brantley Capital Corporation. (Newman, John) (Entered: 08/27/2007) 51 Aug. 27, 2007 89 Marginal Order signed by Judge James S. Gwin on 8/27/07 granting the parties' joint motion for stay of proceedings. (Related Doc. 88 ) (M,G) (Entered: 08/27/2007) 52 Sep. 17, 2007 90 Motion to amend complaint filed by Karpus Management, Inc.. (Childs, John) (Entered: 09/17/2007) 53 Sep. 19, 2007 91 Marginal Order signed by Judge James S. Gwin on 9/18/07 granting plaintiff's motion for leave to amend the complaint for the sole purpose
of alleging a shorter class period. (Related Doc. 90 ) (M,G) (Entered: 09/19/2007) 54 Sep. 21, 2007 92 Second Amended complaint against all defendants. Filed by Karpus Management, Inc.. (Rand, William) (Entered: 09/21/2007) 55 Sep. 25, 2007 93 Returned Mail addressed to Samuel K. Rosen marked "return to sender, not deliverable as addressed, unable to forward". Document re-mailed to correct address on docket ( Hardwood Feffer, 8th Floor, 488 Madison Avenue, New York, NY 10022 )Related document(s) 84. (B,IE) (Entered: 09/25/2007) 56 Oct. 05, 2007 94 Joint Motion for extension of Delivery of Settlement Stipulation until October 15, 2007 filed by Robert P Pinkas, Michael J. Finn, Tab A. Keplinger, Karpus Management, Inc., Brantley Capital Corporation. (Newman, John) (Entered: 10/05/2007) 57 Oct. 10, 2007 95 Marginal Order signed by Judge James S. Gwin on 10/10/07 granting the joint motion for an extension of time until 10/15/07 to submit the settlement stipulation. Failure to file the settlement stipulation will result in this case being returned to trial preparation status. (Related Doc. 94 ) (M,G) (Entered: 10/10/2007) 58 Oct. 15, 2007 96 Proposed Order Preliminarily Approving Settlement of Class Action filed by Karpus Management, Inc.. (Attachments: # 1 Exhibit Exh A- Proposed Preliminary Order Approving Settlement# 2 Exhibit Exh A-1-- Notice of Settlement# 3 Exhibit Exhibit A-2 -- Proof of Claim# 4 Exhibit Exh. A-3 -- Summary Notice for Publication# 5 Exhibit Exh. B -- Proposed Final Order# 6 Exhibit Exh. C- Relation Back Election Form)(Rand, William) (Entered: 10/15/2007) 59 Oct. 17, 2007 97 Order preliminarily approving settlement and providing for notice. Class Counsel shall cause a copy of the notice and proof of claim to be mailed by first class mail to all Settlement Class Members who can be identified with reasonable effort by 11/5/2007, Class Counsel shall cause the summary notice to be published in Investor's Business Daily by 11/12/2007, at least 7 days before the settlement hearing, Class Counsel shall serve on counsel for all Defendants and file with the Court proof, by affidavit or declaration, of such mailing and publishing. Nominees who purchased the common stock of Brantley during the period beginning August 1, 2002 through and including October 24, 2005 inclusive, shall send the Notice and Proof of Claim to all beneficial owners of such Brantley stock within 10 business days after receipt thereof, or send a list of the names and addresses of such beneficial owners to the Claims Adminsitrator within 10 business days after receipt thereof in which event the Claims Administrator shall promptly mail the Notice and Proof of Claim to such beneficial owners. Nominees may seek reimbursement from the Claims Administrator for their reasonable expenses incurred in complying with this order. Any Person who desires to request exclusion from the Settlement Class shall do so prior to the date 21 calendar days prior to the Settlement Hearing. All papers in support of the Proposed Settlement, the Plan of Allocation and the Fee and Expense Application are due by 12/14/2007, Responses to any objections are due by 12/21/2007. At or after the Settlement Hearing, the Court shall determine whether the Plan of Allocation proposed by
Plaintiff's Settlement Counsel, and the Fee and Expense Application, shall be approved. If the Settlement shall not be approved or consumated for any reason whatsoever, the Settlement and all proceedings had in connection therewith shall be without prejudice to the status quo ante rights of the parties to the Litigation, except as otherwise set forth in the Stipulation. Signed by Judge James S. Gwin on 10/17/2007. (Attachments: # 1 Exhibit A-1: Notice of Pendency of Class Action, Proposed Settlement of Class Action, and Settlement Hearing# 2 Exhibit A-2: Proof of Claim and Release# 3 Exhibit A-3: Summary Notice for Publication)(Related doc 96 )(B,B) (Entered: 10/18/2007) 60 Oct. 17, 2007 98 Minutes of Court's telephone conference call with counsel concerning proposed schedule. Counsel to submit entry for Judge's approval. (Court Reporter: none) (M,G) (Entered: 10/18/2007) 61 Oct. 23, 2007 99 Attorney Appearance by Mitchell G. Blair and Fritz Berckmueller filed on behalf of Shawn Wynne. (Berckmueller, Fritz) Modified text on 10/26/2007 (E, P). (Entered: 10/23/2007) 62 Dec. 13, 2007 100 FILING ERROR - COUNSEL NOTIFIED 12/28/07 TO REFILE IN PDF TEXT SEARCHABLE FORMAT. Objection to settlement filed by Barbara Strougo. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E) (B,B) Modified on 12/28/2007 (M,G). (Entered: 12/13/2007) 63 Dec. 14, 2007 101 Motion for Final approval of Settlement filed by Plaintiff Karpus Management, Inc.. (Attachments: # 1 Affidavit Declaration of Cody Bartlett Jr., # 2 Affidavit Mailing of Notice, # 3 Affidavit Publishing of Notice, # 4 Brief in Support final approval of Settlement)(Rand, William) (Entered: 12/14/2007) 64 Dec. 14, 2007 102 Motion for Seeking Award of Legal Fees and Expenses filed by Plaintiff Karpus Management, Inc.. (Attachments: # 1 Affidavit Declaration of Cody Bartlett Jr., # 2 Affidavit John Childs, Esq - Lodestar, # 3 Affidavit Declaration-William C. Rand, Esq. Supporting Settlement and Fee Award, # 4 Exhibit A to Declaration of William C. Rand, Esq., # 5 Exhibit B to Declaration of William C. Rand, Esq.-Bio)(Rand, William) (Entered: 12/14/2007) 65 Dec. 15, 2007 103 Brief In Support of Award of Legal Fees and Expenses filed by Karpus Management, Inc.. (Rand, William) (Entered: 12/15/2007) 66 Dec. 21, 2007 104 Response of Defendants Pinkas, Finn and Cascio to Strougo's Objection to Final Settlement Approval filed by Robert P Pinkas, Michael J. Finn. Related document(s) 100. (Leiken, Jonathan) (Entered: 12/21/2007) 67 Dec. 21, 2007 105 Appendix to Response of Defendants Pinkas, Finn and Cascio To Strougo's Objection To Final Settlement Approval filed by Robert P Pinkas, Michael J. Finn. Related document(s) 104. (Attachments: # 1 Exhibit A: Decision & Order, # 2 Exhibit B: Nelson Declaration, # 3 Exhibit C: Article, # 4 Exhibit D: June 28, 2005 8-K (Part 1 of 3), # 5 Exhibit D: June 28, 2005 8-K (Part 2 of 3), # 6 Exhibit D: June 28, 2005 8-K (Part 3 of 3), # 7 Exhibit E: Oct. 24, 2005 8-K, # 8 Exhibit F: Unreported Cases)(Leiken, Jonathan) (Entered: 12/21/2007) 68 Dec. 21, 2007 106 Brief Responding to Strougo Objection filed by Karpus Management, Inc.. (Attachments: # 1 Exhibit A-Prior Brief Supporting Karpus Lead Plaintiff Motion, # 2 Exhibit B- Court's Decison Appointing Karpus
Lead Plaintiff) (Rand, William) (Entered: 12/21/2007) 69 Dec. 21, 2007 107 Affidavit/Declaration of Cody Bartlett Jr. In Response to Strougo Objection and in Further Support of Proposed Settlement filed by Karpus Management, Inc.. (Attachments: # 1 Exhibit A-Prior Declaration in Support of Karpus Lead Plaintiff Motion)(Rand, William) (Entered: 12/21/2007) 70 Jan. 02, 2008 108 Motion for award of legal fees and expenses filed by Plaintiff Barbara Strougo. (Attachments: # 1 Declaration of Samuel K. Rosen, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit A, # 5 Exhibit C, # 6 Exhibit D, # 7 Proposed Order)(B,B) (Entered: 01/02/2008) 71 Jan. 02, 2008 109 Opposition to 108 Motion for costs and Legal Fees of Barbara Strougo filed by Karpus Management, Inc.. (Attachments: # 1 Exhibit A- Order Dismissing Derivative Action, # 2 Exhibit B - Auction House Case Discussing Legal Fee Awards, # 3 Exhibit C - Letter from Gerald Hellerman re Brantley Special Committee)(Rand, William) (Entered: 01/02/2008) 72 Jan. 04, 2008 110 Proposed Order Final Judment of Dismissal with Prejudice filed by Karpus Management, Inc.. (Rand, William) (Entered: 01/04/2008) 73 Jan. 04, 2008 111 Proposed Order Approving Plan of Allocation filed by Karpus Management, Inc.. (Rand, William) (Entered: 01/04/2008) 74 Jan. 04, 2008 112 Proposed Order Awarding Fees and Expenses filed by Karpus Management, Inc.. (Rand, William) (Entered: 01/04/2008) 75 Jan. 04, 2008 113 Minutes of fairness hearing before Judge James S. Gwin on 1/4/08. (Court Reporter: J. Gage) (M,G) (Entered: 01/04/2008) 76 Jan. 04, 2008 114 Order signed by Judge James S. Gwin on 1/4/08 approving Plan Allocation. (Related Doc. 111 ) (M,G) (Entered: 01/04/2008) 77 Jan. 04, 2008 115 Order signed by Judge James S. Gwin on 1/4/08 granting the motion of Karpus Management, Inc., seeking fees and expenses as set forth in this entry. (Related Docs. 102, 112 ) (M,G) (Entered: 01/04/2008) 78 Jan. 04, 2008 116 Order signed by Judge James S. Gwin on 1/4/08 granting the motion for fees and expenses of class member, Barbara Strougo, as set forth in this entry. (Related Doc. 108 ) (M,G) (Entered: 01/04/2008) 79 Jan. 04, 2008 117 Judgment of dismissal with prejudice approved by Judge James S. Gwin on 1/4/08. (Related Docs. 101, 110 ) (M,G) (Entered: 01/04/2008) 80 Jan. 10, 2008 Financial Transaction in the amount of $100.00 received for motion to appear pro hac vice by attorney Samuel K. Rosen, Receipt # 14660015693 (M,P) (Entered: 01/10/2008) 81 Jan. 10, 2008 118 Motion for attorney Samuel K. Rosen to Appear Pro Hac Vice. Filing fee $ 100, receipt number 14660015693, filed by Plaintiff Barbara Strougo. (Attachments: # 1 Affidavit of Samuel K. Rosen, # 2 Certificate of Good Standing)(B,B) (Entered: 01/10/2008) 82 Jan. 18, 2008 119 Marginal Order signed by Judge James S. Gwin on 1/18/08 granting the motion for admission pro hac vice of Attorney Samuel K. Rosen on behalf of Barbara Strougo. (Related Doc. 118 ) (M,G) (Entered: 01/18/2008)