US District Court Civil Docket as of 03/23/2012 Retrieved from the court on March 27, 2012 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:07-cv-10321-DLC Mallozzi v. Industrial Enterprises of America, Inc. et al Assigned to: Judge Denise L. Cote Referred to: Magistrate Judge Ronald L. Ellis (Settlement) Related Case: 1:11-cv-08470-DLC Cause: 15:78m(a) Securities Exchange Act Date Filed: 11/14/2007 Date Terminated: 06/01/2011 Jury Demand: Plaintiff Nature of Suit: 190 Contract: Other Jurisdiction: Federal Question Lead Plaintiff The Goldenberg Group TERMINATED: 11/24/2009 represented by Gregory Mark Nespole Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10017 212-545-4657 Fax: (212) 545-4693 Email: nespole@whafh.com Matthew Moylan Guiney Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10016 (212)-545-4761 Fax: (212)-545-4758 Email: guiney@whafh.com Lead Plaintiff Carl Meisner TERMINATED: 11/24/2009 represented by Laurence Matthew Rosen The Rosen Law Firm, P.A. 350 5th Avenue, Suite 5508 New York, NY 10118 (212)-686-1060 Fax: (212)-202-3827 Email: lrosen@rosenlegal.com Phillip C. Kim The Rosen Law Firm P.A.
350 5th Avenue, Suite 5508 New York, NY 10118 (212) 686-1060 Fax: (212) 202-3827 Email: pkim@rosenlegal.com Gregory Mark Nespole Matthew Moylan Guiney Timothy William Brown The Rosen Law Firm P.A. 350 5th Avenue, Suite 5508 New York, NY 10118 (212)-686-1060 Fax: (212)-202-3827 Email: tbrown@rosenlegal.com Lead Plaintiff Ronald Goldenberg TERMINATED: 11/24/2009 represented by Phillip C. Kim Gregory Mark Nespole Matthew Moylan Guiney Timothy William Brown Lead Plaintiff Carl Haeussler TERMINATED: 11/24/2009 represented by Phillip C. Kim Gregory Mark Nespole
Matthew Moylan Guiney Timothy William Brown Plaintiff Annmarie Mallozzi on behalf of all others similarly situated represented by Laurence Matthew Rosen Phillip C. Kim Frederick Taylor Isquith, Sr Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10016 212-545-4600 Fax: 212-545-4653 Email: isquith@whafh.com Gregory Mark Nespole Matthew Moylan Guiney Plaintiff Shih Yuan Darren Lee TERMINATED: 11/24/2009 represented by Gregory Mark Nespole Timothy William Brown Plaintiff
Annmarie Mallozi Individually represented by Phillip C. Kim Frederick Taylor Isquith, Sr Gregory Mark Nespole Laurence Matthew Rosen Matthew Moylan Guiney V. Movant IEAM Investors TERMINATED: 11/24/2009 represented by Phillip C. Kim V. Defendant Industrial Enterprises of America, Inc. represented by Douglas Edward Motzenbecker Gordon & Rees, LLP 18 Columbia Turnpike, Suite220 Florham Park, NJ 07932 (973)-549-2514 Fax: (973)-377-1911 Email: dmotzenbecker@gordonrees.com Edward Hayum Cozen O'Connor 45 Broadway New York, NY 10006 212-509-9400 Fax: 212-509-9492 Email: ehayum@cozen.com
David M. Doret Cozen O'Connor 1900 Market Street Philadelphia, PA 19103 (215) 665-2000 Fax: (215) 665-2013 PRO HAC VICE H. Robert Fiebach Cozen O'Connor (Philadelphia) 1900 Market Street The Atrium Philadelphia, PA 19103 (215)-665-4166 Fax: (215)-665-2013 Email: grizzo@cozen.com PRO HAC VICE Jeffrey G. Weil Cozen O'Connor (Philadelphia) 1900 Market Street The Atrium Philadelphia, PA 19103 215 665-2000 Fax: 215 665-2013 PRO HAC VICE Defendant John Mazzuto represented by Fredric S. Newman Hoguet Newman Regal & Kenney, LLP 10 East 40th Street 35 Floor New York, NY 10016 (212)-689-8808 Fax: (212)-689-5101 Email: fnewman@hnrklaw.com Sheryl Beth Galler Hoguet, Newman and Regal 10 East 40th Street NY, NY 10016 212-689-8808
Fax: 212-689-5101 Email: sgaller@hnrklaw.com Defendant Jorge Yepes Defendant Dennis O'Neill represented by William Francis Dahill Wollmuth Maher & Deutsch LLP 500 Fifth Avenue New York, NY 10110 (212) 382-3300 Fax: (212) 382-0050 Email: Wdahill@wmd-law.com represented by Douglas Edward Motzenbecker Jonathan Honig Feder, Kaszovitz, Isaacson, Weber, Skala, Bass & Rhine LLP 750 Lexington Avenue New York, NY 10022 (212) 986-1116 Fax: 212-888-5968 Email: jhonig@fkiwsb.com David J. Sack Feder, Kaszovitz LLP 845 Third Avenue New York, NY 10022 (212) 888-8200 Fax: (212) 888-7776 Email: dsack@fedkas.com Defendant James Margulies represented by Anthony Michael Rainone Podvey, Meanor, Catenacci, Hildner, Cocoziello & Chattman The Legal Center One Riverfront Plaza Newark, NJ 07102 (973) 623-1000
Fax: (973) 623-9131 Email: arainone@bracheichler.com Douglas Edward Motzenbecker Jorge Robert Salva Fruchter & Twersky, LLP One Penn Plaza, Ste. 1910 New York, NY 10119 (973)-623-6199 Fax: (973)-623-9131 Email: jsalva@podvey.com Defendant Robert "Dan&quo Redmond TERMINATED: 11/24/2009 Date Filed # Docket Text 11/14/2007 1 COMPLAINT against Industrial Enterprises of America, Inc., John Mazzuto, Jorge Yepes, Dennis O'Neill, James Margulies. (Filing Fee $ 350.00, Receipt Number 632570)Document filed by Annmarie Mallozzi.(jpo) Additional attachment(s) added on 11/20/2007 (Polanco, Juan). (Entered: 11/20/2007) 11/14/2007 SUMMONS ISSUED as to Industrial Enterprises of America, Inc., John Mazzuto, Jorge Yepes, Dennis O'Neill, James Margulies. (jpo) (Entered: 11/20/2007) 11/14/2007 Magistrate Judge Ronald L. Ellis is so designated. (jpo) (Entered: 11/20/2007) 11/14/2007 Case Designated ECF. (jpo) (Entered: 11/20/2007) 11/20/2007 2 SUMMONS RETURNED EXECUTED. Industrial Enterprises of America, Inc. served on 11/14/2007, answer due 12/4/2007. Service was accepted by Jaclyn Flores, Receptionist. Document filed by Annmarie Mallozzi. (Kim, Phillip) (Entered: 11/20/2007) 11/20/2007 3 SUMMONS RETURNED EXECUTED. John Mazzuto served on 11/14/2007, answer due 12/4/2007. Service was accepted by Jaclyn Flores, Receptionist (Mail and Delivery). Service was made by Mail. Document filed by John Mazzuto. (Kim, Phillip) (Entered: 11/20/2007) 11/20/2007 4 SUMMONS RETURNED EXECUTED. Jorge Yepes served on 11/14/2007, answer due 12/4/2007. Service was accepted by Jaclyn Flores, Receptionist (Mail and Delivery). Service was made by Mail. Document filed by Annmarie Mallozzi. (Kim, Phillip) (Entered: 11/20/2007)
11/27/2007 5 INITIAL PRETRIAL CONFERENCE: Initial Conference set for 2/20/2008 at 09:30 AM in Courtroom 15D, 500 Pearl Street, New York, NY 10007 before Judge George B. Daniels. (Signed by Judge George B. Daniels on 11/26/2007) (jar) (Entered: 11/27/2007) 12/05/2007 6 NOTICE of Clerk's Certificate of Default as to Defendant Industrial Enterprises of America, Inc.. Document filed by Annmarie Mallozzi. (Kim, Phillip) (Entered: 12/05/2007) 12/05/2007 7 CERTIFICATE OF SERVICE of Clerk's Certificate served on Industrial Enterprises of America, Inc. on 12/5/07. Service was made by MAIL. Document filed by Annmarie Mallozzi. (Kim, Phillip) (Entered: 12/05/2007) 01/15/2008 8 MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion. Document filed by The Goldenberg Group. (Attachments: # 1 Memorandum of Law By the Goldenberg Group For Appointment as Lead Plaintiff And For Approval of Its Selection of Co-Lead Counsel, # 2 Declaration of Gregory M. Nespole In Support of the Motion, # 3 Exhibit 1 to the Nespole Declaration, # 4 Exhibit 2 to the Nespole Declaration, # 5 Exhibit 3 to the Nespole Declaration, # 6 Exhibit 4 to the Nespole Declaration, # 7 Exhibit 5 to the Nespole Declaration, # 8 Exhibit 6 to the Nespole Declaration, # 9 Text of Proposed Order Exhibit 7 to the Nespole Declaration, # 10 Declaration of Service)(Nespole, Gregory) (Entered: 01/15/2008) 01/15/2008 9 MOTION to Appoint Counsel the Rosen Law Firm, P.A.., MOTION to Appoint Steve Rash, Carl Meisner to serve as lead plaintiff(s). Document filed by IEAM Investors. (Attachments: # 1 Text of Proposed Order)(Kim, Phillip) (Entered: 01/15/2008) 01/15/2008 10 MEMORANDUM OF LAW in Support re: 9 MOTION to Appoint Counsel the Rosen Law Firm, P.A.. MOTION to Appoint Steve Rash, Carl Meisner to serve as lead plaintiff(s).. Document filed by IEAM Investors. (Kim, Phillip) (Entered: 01/15/2008) 01/15/2008 11 DECLARATION of Phillip Kim in Support re: 9 MOTION to Appoint Counsel the Rosen Law Firm, P.A.. MOTION to Appoint Steve Rash, Carl Meisner to serve as lead plaintiff(s).. Document filed by IEAM Investors. (Attachments: # 1 Exhibit 1, PSLRA Early Notice, # 2 Exhibit 2, PSLRA Certifications, # 3 Exhibit 3, Loss Chart, # 4 Exhibit 4, RLF Bio)(Kim, Phillip) (Entered: 01/15/2008) 01/30/2008 12 MEMORANDUM OF LAW in Opposition re: 8 MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion. MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion. MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion.. Document filed by IEAM Investors. (Kim, Phillip) (Entered: 01/30/2008) 01/30/2008 13 DECLARATION of Phillip Kim in Opposition re: 8 MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion. MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion. MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion.. Document filed by IEAM Investors. (Attachments: # 1 Exhibit 1 Loss Charts of all Movants)(Kim, Phillip) (Entered: 01/30/2008) 01/31/2008 14 NOTICE of Clerk's Certificate of Default as to Defendant John Mazutto. Document filed by Annmarie Mallozzi. (Kim, Phillip) (Entered: 01/31/2008)
01/31/2008 15 SUMMONS RETURNED EXECUTED. Dennis O'Neill served on 1/31/2008, answer due 2/20/2008. Service was accepted by Ted Monsour, Office Manager. Service was made by Mail. Document filed by Annmarie Mallozzi. (Kim, Phillip) (Entered: 01/31/2008) 02/04/2008 16 MEMORANDUM OF LAW in Opposition re: 9 MOTION to Appoint Counsel the Rosen Law Firm, P.A.. MOTION to Appoint Steve Rash, Carl Meisner to serve as lead plaintiff(s).. Document filed by The Goldenberg Group. (Attachments: # 1 Declaration of Ron Goldenberg, # 2 Declaration of Service)(Nespole, Gregory) (Entered: 02/04/2008) 02/05/2008 17 SUMMONS RETURNED EXECUTED. James Margulies served on 1/31/2008, answer due 2/20/2008. Service was accepted by James Margulies. Document filed by I Annmarie Mallozzi. (Kim, Phillip) (Entered: 02/05/2008) 02/06/2008 18 FILING ERROR - WRONG DOCUMENT TYPE SELECTED FROM MENU - NOTICE of Clerk's Certificate of Default as to Defendant Jorge Yepes. Document filed by Annmarie Mallozzi. (Kim, Phillip) Modified on 2/7/2008 (db). (Entered: 02/06/2008) 02/07/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DOCUMENT TYPE ERROR. Note to Attorney Phillip Kim to RE-FILE Document 18 Notice (Other). Use the document type Certificate of Service Other found under the document list Service of Process. (db) (Entered: 02/07/2008) 02/08/2008 19 CERTIFICATE OF SERVICE of Clerk's Certificate of Default as to Jorge Yepes served on Jorge Yepes on February 6, 2008. Service was made by MAIL. Document filed by Annmarie Mallozzi. (Kim, Phillip) (Entered: 02/08/2008) 02/11/2008 20 REPLY MEMORANDUM OF LAW in Support re: 8 MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion. MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion. MOTION to Appoint The Goldenberg Group to serve as lead plaintiff(s) Notice of Motion.. Document filed by The Goldenberg Group. (Attachments: # 1 Declaration of Service)(Nespole, Gregory) (Entered: 02/11/2008) 02/14/2008 21 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - NOTICE of of Partial Withdrawal of Movant Steve Rash's Motion for Appointment as a Lead Plaintiff re: 9 MOTION to Appoint Counsel the Rosen Law Firm, P.A.. MOTION to Appoint Steve Rash, Carl Meisner to serve as lead plaintiff(s). Document filed by IEAM Investors. (Kim, Phillip) Modified on 2/15/2008 (db). (Entered: 02/14/2008) 02/14/2008 22 REPLY MEMORANDUM OF LAW in Support re: 9 MOTION to Appoint Counsel the Rosen Law Firm, P.A.. MOTION to Appoint Steve Rash, Carl Meisner to serve as lead plaintiff(s).. Document filed by IEAM Investors. (Kim, Phillip) (Entered: 02/14/2008) 02/14/2008 23 DECLARATION of Phillip Kim in Support re: 9 MOTION to Appoint Counsel the Rosen Law Firm, P.A.. MOTION to Appoint Steve Rash, Carl Meisner to serve as lead plaintiff(s).. Document filed by IEAM Investors. (Attachments: # 1 Exhibit 1 PSLRA Certification of Carl Meisner)(Kim, Phillip) (Entered: 02/14/2008) 02/15/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT
ERROR. Note to Attorney Phillip Kim to E-MAIL Document No. 21 Notice of Partial Withdrawal of Movant Steve Rash's Motion for Appointment as a Lead Plaintiff to orders_and_judgments@nysd.uscourts.gov. This document is not filed via ECF. (db) (Entered: 02/15/2008) 02/19/2008 24 ENDORSED LETTER addressed to Judge George B. Daniels from Phillip Kim and Gregory M. Nespole dated 2/14/2008 re: requesting an oral argument. ENDORSEMENT: The oral argument is scheduled for February 27, 2008 at 10:30 a.m. (Signed by Judge George B. Daniels on 2/19/2008) (jpo) (Entered: 02/19/2008) 02/21/2008 25 STIPULATION AND [PROPOSED] ORDER APPOINTING LEAD PLAINTIFFS AND APPROVING SELECTION OF CO-LEAD COUNSEL, Class members Carl Meisner, on behalf of himself and his minor children, Ronald Goldenberg, and Carl Haeussler are appointed Lead Plaintiffs in this action, pursuant to Section 21D(a)(3) of the Securities Exchange Act of 1934, 15 U.S.C. 78a-4 (a)(3)(b), as amended by the PSLRA; The Court approves the selection of the Rosen Law Firm and Wolf Haldenstein Adler Freeman & Herz LLP as Co-Lead Counsel, pursuant to Section 21D(a)(3)(B) of the Securities Exchange Act of 1934, as amended by the PSLRA, and Co-Lead Counsel shall manage the prosecution of this litigation. Co-Lead Counsel are to avoid duplicative or unproductive activities and are hereby vested by the Court with the responsibilities that include, without limitation, the following;91) to prepare all pleadings, (2) to direct and coordinate the briefing and arguing of motions in accordance with the schedules set by the orders and rules of this Court; (3) to initiate and direct discovery; (4) to prepare the case for trial; (5) to engage in settlement negotiations on behalf of Lead Plaintiffs and the Class. (Signed by Judge George B. Daniels on 2/21/2008) (jmi) (Entered: 02/21/2008) 05/12/2008 26 NOTICE OF APPEARANCE by Tiffany A. Buxton on behalf of Industrial Enterprises of America, Inc., James Margulies (Buxton, Tiffany) (Entered: 05/12/2008) 05/12/2008 27 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Industrial Enterprises of America, Inc..(Buxton, Tiffany) (Entered: 05/12/2008) 05/12/2008 28 MOTION to Set Aside Default /Motion to Set Aside Entry of Default as to Defendant Industrial Enterprises of America, Inc. and Motion to Extend Time to File a Responsive Pleading. Document filed by Industrial Enterprises of America, Inc..(Buxton, Tiffany) (Entered: 05/12/2008) 05/12/2008 29 MEMORANDUM OF LAW in Support re: 28 MOTION to Set Aside Default /Motion to Set Aside Entry of Default as to Defendant Industrial Enterprises of America, Inc. and Motion to Extend Time to File a Responsive Pleading.. Document filed by Industrial Enterprises of America, Inc.. (Buxton, Tiffany) (Entered: 05/12/2008) 05/12/2008 30 MOTION for Extension of Time to File Answer re: 1 Complaint, /Motion to Enlarge Time Period to Respond to Complaint and Memorandum in Support Thereof by Defendant James W. Margulies. Document filed by James Margulies.(Buxton, Tiffany) (Entered: 05/12/2008) 05/12/2008 31 DECLARATION of James W. Margulies in Support re: 28 MOTION to Set Aside Default /Motion to Set Aside Entry of Default as to Defendant Industrial Enterprises of America, Inc. and Motion to Extend Time to File a Responsive Pleading., 30 MOTION for Extension of Time to File Answer re: 1 Complaint, /Motion to Enlarge Time
Period to Respond to Complaint and Memorandum in Support Thereof by Defendant James W. Margulies.. Document filed by Industrial Enterprises of America, Inc., James Margulies. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Buxton, Tiffany) (Entered: 05/12/2008) 05/13/2008 05/23/2008 05/23/2008 05/27/2008 06/03/2008 32 NOTICE OF APPEARANCE by John F. Cambria on behalf of Industrial Enterprises of America, Inc., James Margulies (Cambria, John) (Entered: 05/13/2008) 33 NOTICE OF APPEARANCE by Tiffany A. Buxton on behalf of Dennis O'Neill (Buxton, Tiffany) (Entered: 05/23/2008) 34 NOTICE OF APPEARANCE by William Francis Dahill on behalf of Jorge Yepes (Dahill, William) (Entered: 05/23/2008) 35 NOTICE OF APPEARANCE by John F. Cambria on behalf of Dennis O'Neill (Cambria, John) (Entered: 05/27/2008) 36 STIPULATION AND CONSENT ORDER SETTING ASIDE DEFAULT AND SETTING SCHEDULE FOR FILING OF FIRST AMENDED CLASS ACTION COMPLAINT: It is hereby stipulated and agreed by and between the parties that the entries of default against defendants Industrial Enterprises of America, Inc., John Mazzuto, and Jorge Yepes, are hereby set aside, deemed void, and are of no further force or effect. The deadline for all defendants answers, motions and/or other responsive pleadings to the complaint is hereby extended through and including forty (40) days after service of the Amended Complaint. Lead Plaintiffs shall no later than thirty (30) days from the entry of this order file and serve an Amended Complaint which will supersede the original Complaint filed in this action. In the event that defendants file and serve any motion directed at the Amended Complaint, Plaintiffs shall file and serve their brief in opposition thereto within forty (40) days after the service of the motion. Defendants shall file serve any reply to plaintiffs opposition within twenty five (25) days after of the opposition. The time frames and deadlines for the initial disclosures pursuant to F.R.C.P. 26(a), the conference of the parties pursuant to F.R.C.P. 26(l), the initial pretrial conference pursuant to F.R.C.P. 16, and related obligations are hereby suspended until further order of the Court. (Signed by Judge George B. Daniels on 6/3/2008) (jpo) (Entered: 06/03/2008) 06/10/2008 37 MOTION for Theodore J. Sawicki, Robert R. Long, Kerry K. Vatzakas to Appear Pro Hac Vice. Document filed by Industrial Enterprises of America, Inc., Dennis O'Neill, James Margulies.(dle) (Entered: 06/11/2008) 06/12/2008 38 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, granting 37 Motion for Theodore J. Sawicki, Robert R. Long IV, and Kerry K. Vatzakas to Appear Pro Hac Vice for defendants. (Signed by Judge George B. Daniels on 6/12/08) (cd) (Entered: 06/12/2008) 06/12/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 38 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd) (Entered: 06/12/2008) 06/16/2008 39 AFFIDAVIT OF SERVICE of Pro Hac Vice Order served on The Goldenberg Group, Carl Mesiter, Ann Marie Mallozzi and Jorge Yepes on 6/16/08. Service was made by mail. Document filed by Industrial Enterprises of America, Inc., Dennis O'Neill, James Margulies. (Buxton, Tiffany) (Entered: 06/16/2008)
06/18/2008 06/18/2008 06/20/2008 CASHIERS OFFICE REMARK on 38 Order on Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 06/10/2008, Receipt Number 653686. (jd) (Entered: 06/18/2008) 40 NOTICE OF APPEARANCE by Kerry K. Vatzakas on behalf of Industrial Enterprises of America, Inc., Dennis O'Neill, James Margulies (Vatzakas, Kerry) (Entered: 06/18/2008) 41 NOTICE OF APPEARANCE by Robert R. Long on behalf of Industrial Enterprises of America, Inc., Dennis O'Neill, James Margulies (Long, Robert) (Entered: 06/20/2008) 07/02/2008 07/02/2008 42 NOTICE OF APPEARANCE by Sheryl Beth Galler on behalf of John Mazzuto (Galler, Sheryl) (Entered: 07/02/2008) 43 NOTICE OF APPEARANCE by Fredric S. Newman on behalf of John Mazzuto (Newman, Fredric) (Entered: 07/02/2008) 07/02/2008 44 FIRST AMENDED COMPLAINT amending 1 Complaint, against Industrial Enterprises of America, Inc., John Mazzuto, Jorge Yepes, Dennis O'Neill, James Margulies.Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. Related document: 1 Complaint, filed by Annmarie Mallozzi.(dle) (Entered: 07/03/2008) 07/10/2008 45 SUMMONS RETURNED EXECUTED Summons and Amended Complaint, served. Robert "Dan&quo Redmond served on 7/3/2008, answer due 7/23/2008. Service was accepted by Leesha Daniels, Client Services Representative. Document filed by Ronald Goldenberg; Carl Haeussler; Shih Yuan Darren Lee; Carl Meisner. (Kim, Phillip) (Entered: 07/10/2008) 07/25/2008 46 NOTICE OF APPEARANCE by Edward Hayum on behalf of Industrial Enterprises of America, Inc. (Hayum, Edward) (Entered: 07/25/2008) 07/28/2008 47 NOTICE of Substitution of Attorney. Old Attorney: Alston & Bird, LLP, New Attorney: Cozen O'Connor, Address: Cozen O'Connor, 45 Broadway, New York, New York, USA 10006, (212) 509-9400. Document filed by Industrial Enterprises of America, Inc.. (Hayum, Edward) (Entered: 07/28/2008) 08/01/2008 48 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION for Leave to Appear pro hac vice of H. Robert Fiebach and David Doret. Document filed by Industrial Enterprises of America, Inc.. (Attachments: # 1 Text of Proposed Order)(Hayum, Edward) Modified on 8/4/2008 (KA). (Entered: 08/01/2008) 08/04/2008 49 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - CONSENT MOTION for Extension of Time to File Answer or otherwise respond to First Amended Complaint until September 11, 2008(STIPULATION AND ORDER). Document filed by Industrial Enterprises of America, Inc..(Hayum, Edward) Modified on 8/4/2008 (KA). (Entered: 08/04/2008) 08/04/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Edward Hayum to MANUALLY RE-FILE Document No. 48 Motion to Admit Counsel Pro Hac Vice. This document is not filed via ECF. (KA) (Entered: 08/04/2008) 08/04/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT
ERROR. Note to Attorney Edward Hayum to E-MAIL pdf copy to judgments@nysd.uscourts.gov Stipulation and Order. This document is not filed via ECF. (KA) (Entered: 08/04/2008) 08/07/2008 50 MOTION for H. Robert Fiebach and David Doret to Appear Pro Hac Vice. Document filed by Industrial Enterprises of America, Inc.(dle) (Entered: 08/08/2008) 08/14/2008 51 ORDER FOR ADMISSION PRO HAC VICE 50 Motion for H. Robert Fiebach and David M. Doret to Appear Pro Hac Vice is granted.. (Signed by Judge George B. Daniels on 8/14/08) (mme) (Entered: 08/14/2008) 08/14/2008 Transmission to Attorney Admissions Clerk. Transmitted re: 51 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (mme) (Entered: 08/14/2008) 08/19/2008 CASHIERS OFFICE REMARK on 51 Order on Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 8/7/08, Receipt Number 659293. (Quintero, Marcos) (Entered: 08/19/2008) 08/19/2008 52 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT (CLERKS CERTIFICATE OF DEFAULT) - NOTICE of Clerk's Certificate of Default of Defendant Robert Dan Redmond. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Kim, Phillip) Modified on 8/20/2008 (jar). (Entered: 08/19/2008) 08/19/2008 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Phillip Kim re: Document No. 52 Clerk's Certificate of Default. This document is not filed via ECF. (jar) (Entered: 08/20/2008) 08/28/2008 53 NOTICE of Substitution of Attorney. Old Attorney: Robert R. Long, New Attorney: Douglas E. Motzenbecker, Address: Podvey Meanor Catenacci Hildner Cocoziello & Chattman, One Riverfront Plaza, 8th Floor, Newark, NJ, USA 07102, 973 623 1000. Document filed by James Margulies. (Attachments: # 1 Affidavit in Support of Substitution of Attorney)(Rainone, Anthony) (Entered: 08/28/2008) 09/03/2008 09/08/2008 09/08/2008 54 SUBSTITUTION OF ATTORNEY It is hereby stipulated and agreed that the firm of Podvey, Meanor, Catenacci, Hildner, Cocoziello & Chattman, P.C. be and hereby is substituted as counsel for defendant James W. Margulies in place of withdrawing counsel Alston & Bird, LLP, with the consent of Mr. Margulies as set forth in his affidavit dated August 7, 2008, given Alston & Bird LLPs advice that it cannot continue as counsel in this litigation for defendants Industrial Enterprises of America, Inc., John Mazzuto, and Mr. Margulies. (Signed by Judge George B. Daniels on 9/3/08) (mme) (Entered: 09/03/2008) 55 NOTICE OF APPEARANCE by Jonathan Honig on behalf of Dennis O'Neill (Honig, Jonathan) (Entered: 09/08/2008) 56 NOTICE OF APPEARANCE by David J. Sack on behalf of Dennis O'Neill (Sack, David) (Entered: 09/08/2008) 09/08/2008 57 ENDORSED LETTER addressed to Judge George B. Daniels from Ezio Scaldaferri dated 9/4/2008 re: Counsel writes to respectfully request a three week adjournment of the time for defendant Dennis O'Neill to respond to the Amended Complaint to 10/2/2008. ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels
on 9/8/2008) (tve) (Entered: 09/08/2008) 09/08/2008 58 NOTICE of Substitution of Attorney. Old Attorney: Robert R. Long, New Attorney: Douglas E. Motzenbecker, Address: Podvey Meanor Catenacci Hildner Cocoziello & Chattman, One Riverfront Plaza, 8th Floor, Newark, New Jersey, USA 07102, 9736231000. Document filed by James Margulies. (Attachments: # 1 Affidavit in support)(rainone, Anthony) (Entered: 09/08/2008) 09/09/2008 59 SUBSTITUTION OF ATTORNEY It is hereby stipulated and agreed, that the firm of Feder, Kaszovitz, Issacson, Weber, Skala, Bass & Rhine LLP, be and hereby is substituted as counsel for defendant Dennis ONeill, in place of withdrawing counsel Alston & Bird, LLP, with the consent of Mr. ONeill as set forth in his affidavit dated September 3, 2008, given that Alston & Bird, LLP is no longer in a position to represent Dennis ONeill and two other parties in this litigation, defendants Industrial Enterprises of America, Inc. and James W. Margulies. Attorney Jonathan Honig for Dennis O' and Neill added. Attorney Robert R. Long terminated. (Signed by Judge George B. Daniels on 9/9/08) (mme) (Entered: 09/09/2008) 09/11/2008 60 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss First Amended Class Action Complaint. Document filed by Industrial Enterprises of America, Inc. Responses due by 9/25/2008 Return Date set for 10/2/2008 at 09:30 AM. (Attachments: # 1 Memorandum of Law in Support of Motion to Dismiss, # 2 Text of Proposed Order)(Hayum, Edward) Modified on 9/12/2008 (db). (Entered: 09/11/2008) 09/11/2008 61 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Dismiss. Document filed by John Mazzuto. Responses due by 9/25/2008 Return Date set for 10/3/2008 at 09:30 AM. (Attachments: # 1 Memorandum of Law in Support of Defendant John Mazzuto's Motion to Dismiss, # 2 Text of Proposed Order Text of Proposed Order)(Galler, Sheryl) Modified on 9/12/2008 (db). (Entered: 09/11/2008) 09/11/2008 62 MOTION to Dismiss First Amended Class Action Complaint. Document filed by Industrial Enterprises of America, Inc.. Responses due by 9/25/2008 Return Date set for 10/3/2008 at 09:30 AM. (Attachments: # 1 Text of Proposed Order)(Hayum, Edward) (Entered: 09/11/2008) 09/11/2008 63 MEMORANDUM OF LAW in Support re: 62 MOTION to Dismiss First Amended Class Action Complaint.. Document filed by Industrial Enterprises of America, Inc.. (Hayum, Edward) (Entered: 09/11/2008) 09/11/2008 64 FILING ERROR - DEFICIENT DOCKET ENTRY - (MISSING THE PROPOSED ORDER) - MOTION to Dismiss. Document filed by Jorge Yepes. Responses due by 9/25/2008(Dahill, William) Modified on 9/15/2008 (lb). (Entered: 09/11/2008) 09/11/2008 65 FILING ERROR - DEFICIENT DOCKET ENTRY - (LINKED TO A DEFICIENT DOCKET ENTRY) - MEMORANDUM OF LAW in Support re: 64 MOTION to Dismiss.. Document filed by Jorge Yepes. (Dahill, William) Modified on 9/15/2008 (lb). (Entered: 09/11/2008) 09/11/2008 66 MOTION to Dismiss. Document filed by Jorge Yepes. Responses due by 9/25/2008 (Attachments: # 1 Text of Proposed Order)(Dahill, William) Modified on 9/12/2008 (db). Modified on 4/2/2009 (jar). (Entered: 09/11/2008)
09/11/2008 67 MEMORANDUM OF LAW in Support re: 66 MOTION to Dismiss. Document filed by Jorge Yepes. (Dahill, William) Modified on 9/12/2008 (db). Modified on 4/2/2009 (jar). (Entered: 09/11/2008) 09/11/2008 09/11/2008 09/11/2008 09/11/2008 09/11/2008 09/12/2008 09/12/2008 68 MOTION to Dismiss. Document filed by James Margulies. Responses due by 9/25/2008 Return Date set for 10/3/2008 at 09:00 AM.(Rainone, Anthony) (Entered: 09/11/2008) 69 DECLARATION of Douglas E. Motzenbecker, Esq. in Support re: 68 MOTION to Dismiss.. Document filed by James Margulies. (Rainone, Anthony) (Entered: 09/11/2008) 70 MEMORANDUM OF LAW in Support re: 68 MOTION to Dismiss.. Document filed by James Margulies. (Rainone, Anthony) (Entered: 09/11/2008) ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Edward Hayum to RE-FILE Document 60 MOTION to Dismiss First Amended Class Action Complaint. ERROR(S): Supporting Document must be filed separately. (db) (Entered: 09/12/2008) ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Sheryl Beth Galler to RE-FILE Document 61 MOTION to Dismiss. ERROR(S): Supporting Document must be filed separately. (db) (Entered: 09/12/2008) 71 SUBSTITUTION OF ATTORNEY It is hereby stipulated and agreed, that the firm of Podvey, Meanor, Catenacci, Hildner, Cocoziello & Chattman, P.C., be and hereby is substituted as counsel for defendant James W. Marguiles, in place of withdrawing counsel Alston & Bird, L.L.P., with the consent as set forth in his affidavit dated August, 2008, given Alston & Bird L.L.P.s advice that it cannot continue as counsel in this litigation for defendants Industrial Enterprises of America, Inc., Dennis ONeill, and Mr. Margulies. (Signed by Judge George B. Daniels on 9/12/08) (mme) (Entered: 09/12/2008) 72 FILING ERROR - DUPLICATED DOCKET ENTRY - MOTION to Dismiss. Document filed by John Mazzuto. Responses due by 9/25/2008 Return Date set for 10/3/2008 at 09:30 AM.(Galler, Sheryl) Modified on 9/12/2008 (kw). (Entered: 09/12/2008) 09/12/2008 73 MOTION to Dismiss. Document filed by John Mazzuto. Responses due by 9/25/2008 Return Date set for 10/3/2008 at 09:30 AM. (Attachments: # 1 Text of Proposed Order)(Galler, Sheryl) (Entered: 09/12/2008) 09/12/2008 74 MEMORANDUM OF LAW in Support re: 73 MOTION to Dismiss.. Document filed by John Mazzuto. (Galler, Sheryl) (Entered: 09/12/2008) 09/15/2008 75 NOTICE OF APPEARANCE by Jorge Robert Salva on behalf of James Margulies (Salva, Jorge) (Entered: 09/15/2008) 09/22/2008 76 ENDORSED LETTER addressed to Judge George B. Daniels from Phillip Kim dated 9/19/2008 re: Counsel request that the Court "memo endorse" the following briefing schedule: Opposition to all motions to dismiss shall be filed within 40 days after the filling of the defendant Dennis O'Nell's response to the first amended complaint, and replies, if any, shall be filed within 25 days after the filing of the respective
oppositions. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 9/22/2008) (jfe) (Entered: 09/22/2008) 09/29/2008 77 ENDORSED LETTER addressed to Judge George B. Daniels from Sheryl B. Galler dated 9/25/08 re: Counsel requests that the conference currently scheduled for 10/1/08 be adjourned until after defendants' motions to dismiss the amended complaint are fully briefed. ENDORSEMENT: The conference is adjourned to January 14, 2008 at 9:45 a.m. (Signed by Judge George B. Daniels on 9/29/08) (tro) (Entered: 09/29/2008) 09/29/2008 78 MOTION to Dismiss. Document filed by Dennis O'Neill. Responses due by 11/11/2008 Return Date set for 12/9/2008 at 09:30 AM.(Sack, David) (Entered: 09/29/2008) 09/29/2008 79 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - PROPOSED MOTION to Dismiss Order Dismissing the Complaint. Document filed by Dennis O'Neill.(Sack, David) Modified on 9/30/2008 (db). (Entered: 09/29/2008) 09/29/2008 09/29/2008 09/29/2008 80 MEMORANDUM OF LAW in Support re: 78 MOTION to Dismiss.. Document filed by Dennis O'Neill. (Sack, David) (Entered: 09/29/2008) 81 MEMORANDUM OF LAW in Support re: 78 MOTION to Dismiss. (part 2). Document filed by Dennis O'Neill. (Sack, David) (Entered: 09/29/2008) ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney David J. Sack to E-MAIL Document No. 79 Order to judgments@nysd.uscourts.gov. This document is not filed via ECF. (db) (Entered: 09/30/2008) 11/10/2008 82 MEMORANDUM OF LAW in Opposition re: 62 MOTION to Dismiss First Amended Class Action Complaint., 73 MOTION to Dismiss. Opposition to Motions to Dismiss filed by defendants Industrial Enterprises of America and John Mazzuto. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Kim, Phillip) (Entered: 11/10/2008) 11/10/2008 83 MEMORANDUM OF LAW in Opposition re: 68 MOTION to Dismiss. Opposition to Motion to Dismiss filed by Defendant James Margulies. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Kim, Phillip) (Entered: 11/10/2008) 11/10/2008 84 DECLARATION of Phillip Kim in Opposition re: 68 MOTION to Dismiss.. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Attachments: # 1 Exhibit 1, Forms 4)(Kim, Phillip) (Entered: 11/10/2008) 11/10/2008 85 MEMORANDUM OF LAW in Opposition re: 64 MOTION to Dismiss. Opposition to Motion to Dismiss by defendant Jorge Yepes. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Kim, Phillip) (Entered: 11/10/2008) 11/10/2008 86 DECLARATION of Phillip Kim in Opposition re: 64 MOTION to Dismiss.. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Attachments: # 1 Exhibit 1, February 19, 2008 Press Release)(Kim, Phillip) (Entered: 11/10/2008) 11/10/2008 87 MEMORANDUM OF LAW in Opposition re: 78 MOTION to Dismiss. Opposition to
Motion to Dismiss defendant Dennis O'Neill. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Kim, Phillip) (Entered: 11/10/2008) 11/10/2008 88 DECLARATION of Phillip Kim in Opposition re: 78 MOTION to Dismiss.. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Attachments: # 1 Exhibit 1, May 15, 2007 Press Release)(Kim, Phillip) (Entered: 11/10/2008) 11/13/2008 89 NOTICE OF APPEARANCE by Timothy William Brown on behalf of Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner (Brown, Timothy) (Entered: 11/13/2008) 11/20/2008 90 ENDORSED LETTER addressed to Judge George B. Daniels from Edward Hayum dated 11/19/08 re: Counsel requests that date for their reply papers be adjourned for two weeks until December 19. ENDORSEMENT: So ordered. (Signed by Judge George B. Daniels on 11/20/08) (mme) (Entered: 11/20/2008) 12/01/2008 91 ENDORSED LETTER addressed to Judge George B. Daniels from Phillip Kim dated 11/25/2008 re: Counsel respectfully request that the Court stay all further briefing on defendant's motion to dismiss the amended complaint including any further proceedings related thereto - for 90 days. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 12/1/2008) (jfe) (Entered: 12/01/2008) 03/30/2009 92 ENDORSED LETTER addressed to Judge George B. Daniels from Edward Hayum dated 3/27/09 re: Counsel requests permission to file a reply brief which is three pages in excess of the 10 limit page set forth in the Courts Individual's Practices. ENDORSEMENT: So ordered. (Signed by Judge George B. Daniels on 3/30/09) (mme) (Entered: 03/30/2009) 04/01/2009 93 REPLY MEMORANDUM OF LAW in Support re: 78 MOTION to Dismiss.. Document filed by Dennis O'Neill. (Sack, David) (Entered: 04/01/2009) 04/01/2009 94 REPLY MEMORANDUM OF LAW in Support re: 62 MOTION to Dismiss First Amended Class Action Complaint.. Document filed by Industrial Enterprises of America, Inc.. (Hayum, Edward) (Entered: 04/01/2009) 04/01/2009 95 REPLY MEMORANDUM OF LAW in Support re: 66 MOTION to Dismiss. Reply Memorandum of Law in Further Support of Defendant Jorge Yepes' Motion to Dismiss Plaintiffs' First Amended Class Action Complaint. Document filed by Jorge Yepes. (Dahill, William) (Entered: 04/01/2009) 04/01/2009 96 DECLARATION of Thomas Filardo in Support re: 66 MOTION to Dismiss.. Document filed by Jorge Yepes. (Dahill, William) (Entered: 04/01/2009) 04/01/2009 97 REPLY MEMORANDUM OF LAW in Support re: 73 MOTION to Dismiss.. Document filed by John Mazzuto. (Galler, Sheryl) (Entered: 04/01/2009) 04/01/2009 98 REPLY MEMORANDUM OF LAW in Support re: 68 MOTION to Dismiss.. Document filed by James Margulies. (Salva, Jorge) (Entered: 04/01/2009) 04/06/2009 99 STATUS REPORT. Letter Seeking Leave to Withdraw Motion Document filed by Dennis O'Neill.(Sack, David) (Entered: 04/06/2009)
04/08/2009 100 SETTLEMENT AGREEMENT of Proposed Settlement of Class Action. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Attachments: # 1 Exhibit A, Preliminary Approval Order, # 2 Exhibit A-1 To Preliminary Approval Order, Notice of Pendency, # 3 Exhibit A-2 to Preliminary Approval Order, Summary Notice, # 4 Exhibit A-3 to Preliminary Approval Order, Proof of Claim, # 5 Exhibit B, Final Judgment and Order)(Kim, Phillip) (Entered: 04/08/2009) 04/08/2009 101 MOTION for Settlement Unopposed Motion for Preliminary Approval of class action settlement. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Attachments: # 1 Text of Proposed Order Preliminary Approval Order, # 2 Exhibit A- 1 to Preliminary Approval Order, Notice of Pendency, # 3 Exhibit A-2 to Preliminary Approval Order, Summary Notice, # 4 Exhibit A-3 To Preliminary Approval Order, Proof of Claim)(Kim, Phillip) (Entered: 04/08/2009) 04/14/2009 102 ENDORSED LETTER: addressed to Judge George B. Daniels from Jonathan Honig dated 4/13/09 re: Counsel for defendant request that they be excused from attending the settlement conference to be held April 16, 2009. ENDORSEMENT: So Ordered. (Signed by Judge George B. Daniels on 4/14/09) (js) (Entered: 04/14/2009) 04/14/2009 103 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION for Leave to Appear pro hac vice for Jeffrey G. Weil. Document filed by Industrial Enterprises of America, Inc..(Hayum, Edward) Modified on 4/17/2009 (jar). (Entered: 04/14/2009) 04/14/2009 104 MOTION for Jeffrey G. Weil to Appear Pro Hac Vice. Document filed by Industrial Enterprises of America, Inc.(dle) (Entered: 04/15/2009) 04/15/2009 105 ORDER FOR ADMISSION PRO HAC VICE: granting 103 Motion for Leave to Appear ; granting 104 Motion for Jeffrey G. Weil to Appear Pro Hac Vice. (Signed by Judge George B. Daniels on 4/15/2009) (jfe) (Entered: 04/15/2009) 04/15/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 105 Order on Motion for Leave to Appear, Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (jfe) (Entered: 04/15/2009) 04/16/2009 Minute Entry for proceedings held before Judge George B. Daniels: Conference held and concluded on April 16, 2009 with plaintiff counsel and defense counsel. Subsequent hearing regarding settlement approval scheduled for July 29, 2009 at 10:00am. (mro) (Entered: 04/17/2009) 04/17/2009 106 ORDER OF PRELIMINARY APPROVAL OF SETTLEMENT: The terms defined in the Stipulation are incorporated herein. The settlement of the Litigation, as set forth in the Stipulation, is preliminary approved as fair, reasonable and adequate. Pursuant to terms and conditions in the Stipulation, the Court preliminary finds, for the purpose of this Settlement only, that the Litigation meets the class certification requirements of Rule 23 of the F.R.C.P. and that the Class consists of: "all persons who purchased or otherwise acquired any common stock ("Stock") of Industrial Enterprises of America, Inc. during the period from 12/4/06 through and including 11/7/07, and were damaged thereby. The Court hereby preliminary designates Lead Plaintiffs Carl Haeussler as Class Representatives for the purposes of settlement only...as further set forth herein. Settlement Hearing set for 7/29/2009 at 10:00 AM in Courtroom 15D, 500 Pearl Street, New York, NY 10007 before Judge George B. Daniels. (Signed by Judge George B. Daniels on 4/16/09) (tro) (Entered: 04/17/2009)
04/28/2009 CASHIERS OFFICE REMARK on 104 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 04/14/2009, Receipt Number 684156. (jd) (Entered: 04/28/2009) 05/08/2009 107 NOTICE of Suggestion of Bankruptcy. Document filed by Industrial Enterprises of America, Inc.. (Hayum, Edward) (Entered: 05/08/2009) 06/29/2009 108 ORDER: The conference before this Court, previously scheduled for July 29, 2009, is adjourned to August 5, 2009 at 10:00 am. (Signed by Judge George B. Daniels on 6/29/2009) (jar) (Entered: 06/29/2009) 07/13/2009 109 NOTICE of Order Granting Relief From Automatic Stay Pursuant to Section 362 of the Bankruptcy Code For Limited Purpose of Consummating Settlement re: 107 Notice (Other). Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Attachments: # 1 Exhibit A, Order Lifting Bankruptcy Stay)(Kim, Phillip) (Entered: 07/13/2009) 07/15/2009 110 MOTION for Settlement Plaintiffs' Notice of Motion and Motion for: (1) Final Approval of Class Action Settlement; and (2) Award of Counsel Fees and Reimbursement of Expenses., MOTION for Attorney Fees. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Attachments: # 1 Exhibit 1, Order and Final Judgment With Exclusion List)(Kim, Phillip) (Entered: 07/15/2009) 07/15/2009 111 MEMORANDUM OF LAW in Support re: 110 MOTION for Settlement Plaintiffs' Notice of Motion and Motion for: (1) Final Approval of Class Action Settlement; and (2) Award of Counsel Fees and Reimbursement of Expenses. MOTION for Attorney Fees. MOTION for Settlement Plaintiffs' Notice of Motion and Motion for: (1) Final Approval of Class Action Settlement; and (2) Award of Counsel Fees and Reimbursement of Expenses.. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Kim, Phillip) (Entered: 07/15/2009) 07/15/2009 112 DECLARATION of Phillip Kim in Support re: 110 MOTION for Settlement Plaintiffs' Notice of Motion and Motion for: (1) Final Approval of Class Action Settlement; and (2) Award of Counsel Fees and Reimbursement of Expenses. MOTION for Attorney Fees. MOTION for Settlement Plaintiffs' Notice of Motion and Motion for: (1) Final Approval of Class Action Settlement; and (2) Award of Counsel Fees and Reimbursement of Expenses.. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, Part 1of4, # 5 Exhibit 4, part2of4, # 6 Exhibit 4, part3of4, # 7 Exhibit 4, part4of4, # 8 Exhibit 5, # 9 Exhibit 6, # 10 Exhibit 7, # 11 Exhibit 8, # 12 Exhibit 9)(Kim, Phillip) (Entered: 07/15/2009) 07/16/2009 113 ENDORSED LETTER addressed to Judge George B. Daniels from Phillip Kim dated 7/14/09 re: Counsel for Plaintiffs write this letter in advance of the filing of plaintiffs motion and supporting memorandum in support of final approval of class action settlement and award of counsel fees and reimbursement of expenses. Counsel request permission to file one memorandum of law of 37 pages or less in support of these motions. ENDORSEMENT: SO ORDERED. (Signed by Judge George B. Daniels on 7/16/09) (tro) (Entered: 07/17/2009) 07/24/2009 114 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Settlement. Referred to Magistrate Judge Ronald L. Ellis. (Signed by Judge George B. Daniels on
7/24/09) (pl) (Entered: 07/24/2009) 07/31/2009 115 SETTLEMENT CONFERENCE ORDER, A CONFERENCE WILL BE HELD IN THIS CASE BY THE JUDGE ON SEPTEMBER 17, 2009, AT 11:00 A.M. IN COURTROOM 180, 500 PEARL STREET. All counsel must be present. Plaintifrs counsel is responsible for confinning with each defendant's counsel that all necessary participants are aware of this conference. (Signed by Magistrate Judge Ronald L. Ellis on 7/30/09) (pl) (Entered: 07/31/2009) 08/06/2009 116 NOTICE OF APPEARANCE by Matthew Moylan Guiney on behalf of Ronald Goldenberg, Carl Haeussler, The Goldenberg Group, Carl Meisner (Guiney, Matthew) (Entered: 08/06/2009) 08/18/2009 117 ENDORSED LETTER addressed to Magistrate Judge Ronald L. Ellis from Matthew Guiney dated 8/7/09 re: Request to adjourn the 9/17 settlement conference. ENDORSEMENT: Adjourned to 10/13/09 at 11:00 am. ( Settlement Conference reset for 10/13/2009 at 11:00 AM before Magistrate Judge Ronald L. Ellis.) (Signed by Magistrate Judge Ronald L. Ellis on 8/18/09) (cd) (Entered: 08/19/2009) 10/14/2009 118 ORDER: IT IS HEREBY ORDERED THAT the Parties SHALL appear for a Settlement Conference on 11/19/2009 at 02:30 PM before Magistrate Judge Ronald L. Ellis. (Signed by Magistrate Judge Ronald L. Ellis on 10/14/09) (tro) (Entered: 10/19/2009) 11/23/2009 119 STIPULATION AND ORDER GRANTING LEAVE TO AMEND THE COMPLAINT AND PROVIDING FOR NOTICE (THE "ORDER"): NOW THEREFORE, the parties to this Action consent, agree and stipulate as follows: 1. Lead Plaintiffs are granted leave to file the second amended complaint attached hereto as Exhibit B which contains an amended class definition that excludes defendants and the Optouts (the "Second Amended Complaint"). 2. Within five (5) business days of the approval of this Order, Lead Plaintiffs shall file the Second Amended Complaint. 3. Within ten (10) business days of the approval of this Order, Lead Plaintiffs' counsel shall send the following documents to the Optouts via United States Postal Service Certified Mail- Return Receipt (said day being the "Mailing Date"): (a) a copy of the Order; (b) a copy of the Second Amended Complaint; (c) a copy of the notice attached hereto as Exhibit C informing the Optouts that any tolling of the statute of limitations that may have resulted as a consequence of this Action shall end three (3) days after the Mailing Date. Lead Plaintiffs' counsel shall also, to the extent practicable, e-mail said documents to the Optouts as well. 4. The pending motions to dismiss filed by defendants are deemed to be applicable to the Second Amended Complaint and no further briefing will be allowed absent further Court Order. (Signed by Judge George B. Daniels on 11/23/2009) (jfe) (Entered: 11/23/2009) 11/24/2009 120 SECOND AMENDED COMPLAINT amending 44 Amended Complaint, against Industrial Enterprises of America, Inc., John Mazzuto, Jorge Yepes, Dennis O'Neill, James Margulies.Document filed by Annmarie Mallozzi, Annmarie Mallozi. Related document: 44 Amended Complaint, filed by Shih Yuan Darren Lee, Ronald Goldenberg, Carl Haeussler, Carl Meisner.(ama) (laq). (Entered: 11/25/2009) 11/25/2009 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Laurence M. Rosen for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 120 Amended Complaint, to:
case_openings@nysd.uscourts.gov. (ama) (Entered: 11/25/2009) 02/25/2010 Minute Entry for proceedings held before Magistrate Judge Ronald L. Ellis: Settlement Conference held on 2/25/2010. Subsequent conference scheduled for 4/27/10 at 11am. (mro) (Entered: 03/09/2010) 03/01/2010 121 ORDER: (1) Pursuant to the discussions at the conference, the Parties shall submit a letter indicating the status of settlement negotiations by March 3, 2010; (2) Defendant's counsel Jonathan Honig shall submit a progress report to Judge Ellis's chambers by March 19, 2010; and (3) The Parties shall appear for a settlement conference before the Court on April 27, 2010, at 11:00 a.m. SO ORDERED. (Signed by Magistrate Judge Ronald L. Ellis on 2/25/2010) (tve) Modified on 3/9/2010 (tve). (Entered: 03/02/2010) 04/26/2010 122 NOTICE of Requesting Adjournment of Status Conference. Document filed by Dennis O'Neill. (Sack, David) (Entered: 04/26/2010) 04/27/2010 123 ENDORSED LETTER addressed to Magistrate Judge Ronald L. Ellis from Jonathan Honig dated 4/26/2010 re: Counsel request that the conference currently scheduled for 4/27/2010, be adjourned to 5/27/2010 at 2:30 p.m. ENDORSEMENT: SO ORDERED. (Signed by Magistrate Judge Ronald L. Ellis on 4/27/2010) (tro) (Entered: 04/28/2010) 04/29/2010 124 ENDORSED LETTER addressed to Magistrate Judge Ronald L Ellis from Jonathan Honig dated 4/26/10 re: Request that the 4/27/10 status conference be adjourned to 5/27/10 at 2:30 pm. ENDORSEMENT: Granted. So ordered. ( Status Conference reset for 5/27/2010 at 02:30 PM before Magistrate Judge Ronald L. Ellis.) (Signed by Magistrate Judge Ronald L. Ellis on 4/29/10) (cd) (Entered: 04/29/2010) 05/27/2010 Minute Entry for proceedings held before Magistrate Judge Ronald L. Ellis: Telephone Status Conference held on 5/27/2010. Parties reviewed settlement options. (mro) (Entered: 06/01/2010) 10/29/2010 125 NOTICE of Attorney Address Change for Laurence Rosen, Phillip Kim, and Timonthy Brown. Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Rosen, Laurence) (Entered: 10/29/2010) 10/29/2010 126 NOTICE of Attorney Address Change for Laurence Rosen, Phillip Kim, and TImothy Brown (CORRECTED) re: 125 Notice (Other). Document filed by Ronald Goldenberg, Carl Haeussler, Shih Yuan Darren Lee, Carl Meisner. (Rosen, Laurence) (Entered: 10/29/2010) 01/12/2011 127 MOTION for Settlement Motion for Preliminary Approval of Class Action Settlement. Document filed by Ronald Goldenberg, Carl Haeussler, Annmarie Mallozzi, Carl Meisner, The Goldenberg Group. (Attachments: # 1 Exhibit Stipulation of Settlement, # 2 Text of Proposed Order Preliminary Approval Order, # 3 Exhibit Proposed Notice, # 4 Exhibit Proposed Summary Notice, # 5 Exhibit Proposed Proof of Claim, # 6 Text of Proposed Order Proposed Final Order)(Guiney, Matthew) (Entered: 01/12/2011) 01/13/2011 128 ENDORSED LETTER addressed to Judge George B. Daniels from Matthew M. Guiney dated 1/12/11 re: Pursuant to instructions from Your Honor's calendar clerk, we have conferred with counsel for all defendants and propose to present the joint unopposed motion for preliminary approval to the Court on February 1, 2 or 3. ENDORSEMENT: So ordered. The conference is adjourned to 2/2/11 at 9:30 a.m.
(Conference set for 2/2/2011 at 09:30 AM before Judge George B. Daniels.) (Signed by Judge George B. Daniels on 1/13/11) (rjm) (Entered: 01/13/2011) 02/02/2011 Minute Entry for proceedings held before Judge George B. Daniels: Settlement Conference held on 2/2/2011. Plaintiff counsel and Defense counsel present. Court reporter also present. Settlement preliminarily approved. Final settlement conference set for 5/18/2011 at 10:00am. (eef) (Entered: 02/08/2011) 02/03/2011 129 ORDER OF PRELIMINARY APPROVAL OF SETTLEMENT: 1. The terms defined in the Stipulation are incorporated herein. 2. The settlement of the Litigation, as set forth in the Stipulation, is preliminarily approved as fair, reasonable and adequate. 3. Pursuant to terms and conditions in the Stipulation, the Court preliminarily finds, for the purpose of this Settlement only, that the Litigation meets the class certification requirements of Rule 23 of the FRCP and that the Class consists of: "all persons who purchased or otherwise acquired any common stock of Industrial Enterprises of America, Inc. during the period from December 4, 2006 through and including November 7, 2007, and were damaged thereby (collectively, the "Class"). Excluded from the Class are (1) Defendants, (2) members of Defendants' immediate families, (3) Defendants' legal representatives, heirs, predecessors, successors and assigns, and any entity in which any Defendant has or had a controlling interest, (4) Trinity Bui, with respect to the Bui Shares, defined as those shares ofieam stock that were the subject of the litigation captioned Trinity Bui v. IEAM, 08 Civ. 0583 (SDNY Jan. 23, 2008) that was decided adversely to plaintiffs on the merits on January 15, 2009, (5) Peter Vanucci, (6) Catherine Tamme, (7) River Valley Asset Management, LLC, (8) any entity in which Peter Vanucci, Catherine Tamme, or River Valley Asset Management, LLC, has or had a controlling interest, (9) those persons who file valid and timely requests for exclusion in accordance with this Order, and (10) each person or entity that timely requested exclusion from the settlement class certified by the Court's Order filed and entered as of April 17, 2009, as set forth in Exhibit A to the Second Amended Complaint." The Court hereby preliminarily designates Lead Plaintiffs Carl Meisner, on behalf of himself and his minor children, Ronald Goldenberg, and Carl Haeussler as Class Representatives for the purposes of settlement only. 4. In preliminarily certifying this Class, the Court preliminarily concludes for the purposes of settlement only that: (a) the requirements of Rules 23(a) and 23(b)(3) of the FRCP are satisfied; (b) the Class is so numerous that joinder of all members is impractical; ( c) there are questions of law and fact common to all members of the Class; (d) the claims of the Lead Plaintiffs are typical of the claims of the members of the Class; (e) Lead Plaintiffs will fairly and adequately protect the interests of the members of the Class; (f) Plaintiffs' Lead Counsel are qualified to represent the Class; (g) common questions of law and/or fact predominate over any such questions that may affect Class Members individually; and (h) a class action is superior to all other available methods for the fair and efficient adjudication of this Litigation. If the Stipulation is terminated or is not consummated for any reason, the certification of the Class shall be void, and Plaintiffs and Defendants shall be deemed to have reserved all of their rights to propose or oppose any and all class certification issues. 5. A hearing (the "Settlement Hearing") shall be held before this Court on 5/18/11, at 10:00 am, in Courtroom 21D, of the United States Courthouse, 500 Pearl Street, New York, NY 10007-1312, to determine: (i) whether the proposed Settlement of the Litigation on the terms and conditions provided for in the Stipulation is fair, reasonable, and adequate and should be approved by the Court; (ii) whether a Judgment as provided in Paragraph J of the Stipulation should be entered herein; (iii) whether the Plan of Allocation of the Net
Settlement Fund as set forth in Schedule A of the Stipulation should be approved; and (iv) whether the motion of Lead Plaintiffs' Counsel for the payment of Attorneys' Fees and Expenses and an award to Lead Plaintiffs is reasonable and should be approved. All other details are as further set forth in said Order. ORDER granting 127 Motion for Settlement. (Signed by Judge George B. Daniels on 2/2/11) (db) (Entered: 02/03/2011) 02/03/2011 Set/Reset Hearings: Settlement (Hearing) Conference set for 5/18/2011 at 10:00 AM in Courtroom 21D, 500 Pearl Street, New York, NY 10007 before Judge George B. Daniels. (db) (Entered: 02/03/2011) 04/20/2011 130 MOTION to Approve Final Approval of Settlement and Request for Attorneys' Fees and Reimbursement of Expenses. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner.(Kim, Phillip) (Entered: 04/20/2011) 04/20/2011 131 MEMORANDUM OF LAW in Support re: 130 MOTION to Approve Final Approval of Settlement and Request for Attorneys' Fees and Reimbursement of Expenses.. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Kim, Phillip) (Entered: 04/20/2011) 04/20/2011 132 DECLARATION of Phillip Kim in Support re: 130 MOTION to Approve Final Approval of Settlement and Request for Attorneys' Fees and Reimbursement of Expenses.. Document filed by Ronald Goldenberg, Carl Haeussler, Carl Meisner. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)(Kim, Phillip) (Entered: 04/20/2011) 05/16/2011 133 ORDER: The conference is adjourned until May 31, 2011 at 9:30 a.m. (Signed by Judge George B. Daniels on 5/16/2011) (jfe) (Entered: 05/16/2011) 05/16/2011 Set/Reset Hearings: Status Conference set for 5/31/2011 at 09:30 AM before Judge George B. Daniels. (jfe) (Entered: 05/16/2011) 05/31/2011 Minute Entry for proceedings held before Judge George B. Daniels: Settlement Conference held on 5/31/2011. Plaintiff counsel and Defense counsel present. Court Reporter also present. Final settlement approved. (mbe) (Entered: 06/06/2011) 06/01/2011 134 ORDER AND FINAL JUDGMENT Settling Action. (Signed by Judge George B. Daniels on 5/31/11) (Attachments: # 1 Notice of Right to Appeal)(dt) (Entered: 06/01/2011) 03/23/2012 135 NOTICE OF CASE REASSIGNMENT to Judge Denise L. Cote. Judge George B. Daniels is no longer assigned to the case. (pgu) (Entered: 03/23/2012) 03/23/2012 CASE ACCEPTED AS RELATED. Create association to 1:11-cv-08470-DLC. (pgu) (Entered: 03/23/2012) 03/23/2012 136 ORDER: These actions are now assigned to me for all purposes. It is hereby ORDERED that there will be a conference for all parties in these actions on March 30, 2012 at 2:30 p.m. ( Status Conference set for 3/30/2012 at 02:30 PM before Judge Denise L. Cote.) (Signed by Judge Denise L. Cote on 3/23/2012) (mro) Modified on 3/27/2012 (mro). (Entered: 03/26/2012)