U.S. District Court Middle District of Florida (Tampa) CIVIL DOCKET FOR CASE #: 8:96-cv HLA

US District Court Civil Docket as of 08/20/1999 Retrieved from the court on Monday, March 20, 2006 U.S. District Court Middle District of Florida (Tampa) CIVIL DOCKET FOR CASE #: 8:96-cv-01200-HLA Palmer, et al v. Great Western Fin., et al Assigned to: Judge Henry Lee Adams, Jr Demand: $0 Cause: 15:0078m(a) Securities Exchange Act Plaintiff William L. Palmer Date Filed: 06/18/1996 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Alan Schulman Milberg, Weiss, Bershad, Hynes & Lerach LLP 600 W. Broadway, Suite 1800 San Diego, CA 92101 619/231-1058 Christi C. Mobley Appel, Chitwood & Harley 945 E. Paces Ferry Rd. 1400 Resurgens Plaza Atlanta, GA 30326 404/266-1650 Craig G. Harley Chitwood & Harley 2900 Promenade Two 1230 Peachtree Street, N.E. Atlanta, GA 30309 404/873-3900 Jonathan L. Alpert The Alpert Law Firm 5920 River Terrace P.O. Box 3270 Tampa, FL 33604-3270 813/223-4131 Fax: 813/228-9612

Email: JONALPERT@AOL.COM Judy S. Hoyer James, Hoyer, Newcomer, & Smiljanich, P.A. One Urban Centre, 4830 W. Kennedy Blvd. Suite 550 Tampa, FL 33609 813/286-4100 Fax: 813/286-4174 Email: jhoyer@jameshoyer.com Martin D. Chitwood Chitwood & Harley 2300 Promenade Two 1230 Peachtree Street, N.E. Atlanta, GA 30309-3574 404/873-3900 Fax: 404/876-4476 Email: MChitwood@chitwoodlaw.com Jan M. Adler Milberg, Weiss, Bershad, Hynes & Lerach LLP 600 W. Broadway, Suite 1800 San Diego, CA 92101 619/231-1058 Pamela M. Parker Milberg, Weiss, Bershad, Hynes & Lerach LLP 600 W. Broadway, Suite 1800 San Diego, CA 92101 619/231-1058 Plaintiff Mary M. Palmer represented by Alan Schulman Christi C. Mobley

Craig G. Harley Jonathan L. Alpert Judy S. Hoyer Martin D. Chitwood Jan M. Adler Pamela M. Parker Plaintiff Leonard Sicari represented by Alan Schulman Christi C. Mobley Craig G. Harley Jonathan L. Alpert

Judy S. Hoyer Martin D. Chitwood Jan M. Adler Pamela M. Parker Plaintiff Marie Sicari represented by Alan Schulman Christi C. Mobley Craig G. Harley Jonathan L. Alpert Judy S. Hoyer Martin D. Chitwood Jan M. Adler Pamela M. Parker

Plaintiff Herbert Coffey individually and on behalf of a class of similarly situated persons represented by Chris A. Barker Barker, Rodems & Cook, P.A. 400 North Ashley Drive, #2100 Tampa, FL 33602 813/489-1001 Fax: 813/489-1008 Email: cbarker@barkerrodemsandcook.com Craig G. Harley Jonathan L. Alpert Martin D. Chitwood Patrick B. Calcutt Calcutt & Calcutt, P.A. 165 5th Ave. N.E. St. Petersburg, FL 33701 727/821-5681 Fax: 727/823-6353 Email: calcuttlaw@tampabay.rr.com Plaintiff Mildred Coffey individually and on behalf of a class similarly situated persons represented by Chris A. Barker Craig G. Harley Jonathan L. Alpert

Martin D. Chitwood Patrick B. Calcutt Plaintiff Roger H. Ellis individually and as trustees of the Ellis Family Trust UTD 12/22/81 and on behalf of a class of similarly situated persons represented by Chris A. Barker Craig G. Harley Jonathan L. Alpert Martin D. Chitwood Patrick B. Calcutt Plaintiff Virginia S. Ellis individually and as trustees of the Ellis Family Trust, UTD 12/22/81 and on behalf of a class of similarly situated persons represented by Chris A. Barker Craig G. Harley Jonathan L. Alpert

Martin D. Chitwood Patrick B. Calcutt V. Defendant Great Western Financial Corporation a corporation represented by Howard E. Heiss Morrison & Foerster 1290 Avenue of the Americas New York, NY 10104 212/468-8000 Maren E. Nelson Morrison & Foester LLP 555 West Fifth Street Suite 3500 Los Angeles, CA 90013-1024 213/892-5200 Michael S. Hooker Glenn, Rasmussen, Fogarty & Hooker, PA 100 S. Ashley Dr., Suite 1300 P.O. Box 3333 Tampa, FL 336023333 813/229-3333 ext:318 Fax: 813/229-5946 Email: mhooker@glennrasmussen.com Defendant Great Western Bank a federal savings bank represented by Maren E. Nelson Michael S. Hooker

Defendant Great Western Financial Securities Corporation a corporation represented by Maren E. Nelson Michael S. Hooker Defendant Great Western Investment Management Corporation represented by Maren E. Nelson Michael S. Hooker Defendant Sierra Investment Services Corporation represented by Maren E. Nelson Michael S. Hooker Defendant Sierra Investment Advisors Corporation represented by Maren E. Nelson

Michael S. Hooker Defendant Sierra Fund Administration Corporation represented by Maren E. Nelson Michael S. Hooker Defendant Great Western Investment Management Corporation Movant John Pinney represented by Alan Schulman John Ray Newcomer, Jr. James, Hoyer, Newcomer & Smiljanich, P.A. One Urban Centre, Suite 550 4830 W. Kennedy Blvd. Tampa, FL 33609 813/286-4100 Email: jnewcomer@jameshoyer.com Movant Helen Pinney represented by Alan Schulman

John Ray Newcomer, Jr. Movant Chrystell Cohen represented by Alan Schulman John Ray Newcomer, Jr. Movant LaVon Evans represented by Alan Schulman John Ray Newcomer, Jr. Movant John Mitchell represented by Alan Schulman John Ray Newcomer, Jr. Movant Roy Stevenson represented by Alan Schulman John Ray Newcomer, Jr.

Date Filed # Docket Text 06/18/1996 1 CLASS ACTION COMPLAINT filed - Private Securities Litigation Reform Act; attachments. (crb) (Entered: 06/19/1996) 06/18/1996 2 NOTICE of filing certifications as required by the Securities Exchange Act by William L. Palmer, Mary M. Palmer, Leonard Sicari and Marie Sicari. Attachments. (crb) (Entered: 06/19/1996) 06/18/1996 MAGISTRATE JUDGE CASE ASSIGNMENT Magistrate assigned: Elizabeth Jenkins (crb) (Entered: 06/19/1996) 06/24/1996 3 NOTICE of designation under Local Rule 3.05 - TRACK 2. (ctc) (crb) (Entered: 06/25/1996) 06/26/1996 4 MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari with memorandum in support to reassign case from track two to track three (crb) (Entered: 06/27/1996) 07/02/1996 5 NOTICE OF LIS PENDENS with memorandum filed by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 07/02/1996) 08/01/1996 6 ORDER granting [4-1] plaintiffs' motion to reassign case from track two to track three. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 08/02/1996) 08/13/1996 7 AMENDED NOTICE of designation under Local Rule 3.05 - TRACK 3. (ctc) (crb) (Entered: 08/13/1996) 08/13/1996 8 NOTICE of filing waiver of service of summons [9-15] by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 08/14/1996) 08/13/1996 9 WAIVER OF SERVICE Returned Executed as to Great Western Financial 8/8/96 Answer due on 10/7/96 for Great Western Financial. (crb) (Entered: 08/14/1996) 08/13/1996 10 WAIVER OF SERVICE Returned Executed as to Great Western Bank 8/8/96 Answer due on 10/7/96 for Great Western Bank (crb) (Entered: 08/14/1996) 08/13/1996 11 WAIVER OF SERVICE Returned Executed as to Great Western Security 8/8/96 Answer due on 10/7/96 for Great Western Security (crb) (Entered: 08/14/1996) 08/13/1996 12 WAIVER OF SERVICE Returned Executed as to Great Western Investment 8/8/96 Answer due on 10/7/96 for Great Western Investment (crb) (Entered: 08/14/1996) 08/13/1996 13 WAIVER OF SERVICE Returned Executed as to Sierra Investment Advisors 8/8/96 Answer due on 10/7/96 for Sierra Investment Advisors (crb) (Entered: 08/14/1996) 08/13/1996 14 WAIVER OF SERVICE Returned Executed as to Sierra Investment Services

8/8/96 Answer due on 10/7/96 for Sierra Investment Services (crb) (Entered: 08/14/1996) 08/13/1996 15 WAIVER OF SERVICE Returned Executed as to Sierra Fund Adminstration 8/8/96 Answer due on 10/7/96 for Sierra Fund Administration (crb) (Entered: 08/14/1996) 08/14/1996 16 NOTICE OF SERVICE of [7-1] amended notice of track 3 by William L. Palmer and plaintiffs. (crb) (Entered: 08/14/1996) 08/27/1996 17 NOTICE OF LIS PENDENS filed by Great Western Financial and defendants. (crb) (Entered: 08/28/1996) 08/28/1996 18 UNOPPOSED MOTION by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Invvestment Services, Sierra Investment Advisors, Sierra Fund to extend time to 10/07/96 in which to answer ; proposed order submitted. (crb) (Entered: 08/28/1996) 08/28/1996 19 MEMORANDUM by Great Western Financial and defendants in support of [18-1] motion to extend time. (crb) (Entered: 08/28/1996) 09/03/1996 20 ORDER granting [18-1] defendants' motion to extend time;, reset answer due for 10/7/96 for defendants ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 09/03/1996) 09/09/1996 21 APPLICATION of Non-Resident Counsel, Maren E. Nelson, and Designation of Local Counsel, Michael S. Hooker, as to Great Western Financial. (crb) (Entered: 09/10/1996) 09/10/1996 22 APPLICATION of Non-Resident Counsel, Howard E. Heiss, and Designation of Local Counsel, Michael S. Hooker, on behalf of Great Western Financial. (crb) (Entered: 09/11/1996) 09/13/1996 23 NOTICE of special attorney appearance as additional counsel for William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari by (gw) (Entered: 09/16/1996) 09/13/1996 24 APPLICATION of Non-Resident Counsel and Designation of Local Counsel as to William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Local Counsel: Jonathan Alpert. Non-Resident Counsel: Christi C. Mobley. (gw) (Entered: 09/16/1996) 09/13/1996 25 APPLICATION of Non-Resident Counsel and Designation of Local Counsel as to William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Local Counsel: Jonathan Alpert. Non-Resident Counsel: Martin D. Chitwood. (gw) (Entered: 09/16/1996) 09/13/1996 26 APPLICATION of Non-Resident Counsel and Designation of Local Counsel as to William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Local Counsel: Jonathan Alpert. Non-Resident Counsel: Craig G. Harley. (gw) (Entered: 09/16/1996) 09/16/1996 27 MOTION by William L. Palmer to certify class action (gw) (Entered: 09/17/1996) 09/16/1996 28 MOTION by William L. Palmer for leave to file brief in excess of 20 pages

Proposed brief submitted. (gw) (Entered: 09/17/1996) 09/16/1996 29 NOTICE of filing unpublished authority in support of motion for class certification by William L. Palmer. Exhibits attached. (gw) (Entered: 09/17/1996) 09/19/1996 30 NOTICE of filing case mangement report by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 09/19/1996) 09/19/1996 31 CASE MANAGEMENT REPORT. (crb) (Entered: 09/19/1996) 09/24/1996 32 ORDER granting [28-1] plaintiffs' motion for leave to file brief in excess of 20 pages. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 09/24/1996) 09/24/1996 33 MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in support of [27-1] motion to certify class action. (crb) (Entered: 09/24/1996) 09/27/1996 34 MOTION by Great Western Financial to communicate with potential class members (crb) (Entered: 09/30/1996) 09/27/1996 35 MEMORANDUM by Great Western Financial in support of [34-1] motion to communicate with potential class members. Attachments. (crb) (Entered: 09/30/1996) 09/27/1996 36 NOTICE of filing certificate of good faith [37] by Great Western Financial. (crb) (Entered: 09/30/1996) 09/27/1996 37 CERTIFICATE OF GOOD FAITH of by Great Western Financial Re: [34-1] motion to communicate with potential class members. (crb) (Entered: 09/30/1996) 09/27/1996 RECEIVED proposed order for [34]. (crb) (Entered: 09/30/1996) 10/04/1996 38 MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [34-1] defendants' motion to communicate with potential class members. (crb) (Entered: 10/08/1996) 10/04/1996 38 REQUEST for oral argument by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [38-1] opposition memorandum. (crb) (Entered: 10/08/1996) 10/08/1996 39 DISPOSITIVE MOTION by Great Western Financial and defendants to dismiss (crb) (Entered: 10/08/1996) 10/08/1996 40 MEMORANDUM by Great Western Financial and defendants in support of [39-1] motion to dismiss. Proposed order attached. (crb) (Entered: 10/08/1996) 10/08/1996 RECEIVED appendix and unreported cases cited in support of motion to dismiss [39]. Stored in expandable folder. (crb) (Entered: 10/08/1996) 10/22/1996 41 MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [39-1] defendants' motion to dismiss. (crb) (Entered: 10/24/1996) 10/22/1996 42 NOTICE of filing unpublished authority in support of memorandum in opposition to defendants' motion to dismiss [41] by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 10/24/1996)

11/06/1996 43 ORDER that parties shall file an amended case management report within 10 days of any order resolving defendants' motion to dismiss. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 11/07/1996) 11/12/1996 44 NOTICE of filing supplemental authority in support of motion for class certification dated 09/16/96 by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Attachment. (crb) (Entered: 11/13/1996) 11/15/1996 45 MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari with memorandum in support to compel production referred to Magistrate Judge Elizabeth A. Jenkins. Attachments. (crb) (Entered: 11/15/1996) 11/20/1996 46 NOTICE of filing depositions of Leonard Sicari, Marie Sicari, William Palmer, Mary Palmer, Gregory S. Kirkland and Michael Sheldon Frank, by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 11/21/1996) 11/20/1996 47 DEPOSITION of Leonard A. Sicari by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/1996 48 DEPOSITION of Marie Sicari by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/1996 49 DEPOSITION of William Palmer by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/1996 50 DEPOSITION of Mary Palmer by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/1996 51 DEPOSITION of Gregory S. Kirkland by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/20/1996 52 DEPOSITION of Michael Sheldon Frank by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. Transcript filed separately. (crb) (Entered: 11/21/1996) 11/22/1996 53 NOTICE of filing additional deposition of Georgia Schwab [54] in support of plaintiffs' motion for class certification by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 11/25/1996) 11/22/1996 54 DEPOSITION of Georgia Schwab by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari re: [27-1] motion to certify class action. (crb) (Entered: 11/25/1996) 11/29/1996 55 UNOPPOSED MOTION by Great Western Financial and defendants memorandum in support for leave to file brief in opposition to motion to certify class in excess of 20 pages (crb) (Entered: 12/02/1996) 11/29/1996 56 MEMORANDUM by Great Western Financial and defendants in opposition to [27-1] motion to certify class action. (crb) (Entered: 12/02/1996)

11/29/1996 57 DECLARATION of Maren E. Nelson by Great Western Financial and defendants in support of [56-1] opposition memorandum. Attachments. (crb) (Entered: 12/02/1996) 12/05/1996 58 MEMORANDUM by Great Western Financial and defendants in opposition to [45-1] plaintiffs' motion to compel. Attachments. (crb) (Entered: 12/05/1996) 12/05/1996 59 NOTICE of filing unpublished authority in support of memorandum in opposition to motion to compel [59] by Great Western Financial and defendants. Attachments. (crb) (Entered: 12/05/1996) 12/10/1996 60 ORDER granting [55-1] defendants' unopposed motion for leave to file brief in opposition to motion to certify class in excess of 20 pages. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 12/10/1996) 12/16/1996 61 NOTICE of filing deposition errata sheets of Michael Sheldon Frank, 11/20/96, and Gregory S. Kirkland, 11/20/96, in support of motion for class certification by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. Attachments. (crb) (Entered: 12/16/1996) 12/27/1996 62 ORDER denying without prejudice to refile; [45-1] plaintiffs' motion to compel production. ( Signed by Magistrate Judge Elizabeth A. Jenkins ) ctc (crb) (Entered: 12/30/1996) 01/30/1997 63 MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari to add Hubert J. Coffey, Mildred F. Coffey and Matthew R. Lifschiz as California parties plaintiff and class representatives (crb) (Entered: 01/31/1997) 01/30/1997 64 MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in support of [63-1] motion to add Hubert J. Coffey, Mildred F. Coffey and Matthew R. Lifschiz as class representatives. (crb) (Entered: 01/31/1997) 02/05/1997 65 NOTICE of filing supplemental authority in opposition to defendants' motion to dismiss and in support of plaintiffs' motion for class certification by William L. Palmer. Exhibits attached. (gw) (Entered: 02/07/1997) 02/07/1997 66 MOTION by Great Western Financial with memorandum in support for leave to file supplemental authority in support of motion to dismiss, & for leave to file supplemental authority in opposition to motion for class certification Proposed Notice of Filing attached, proposed order submitted. (gw) (Entered: 02/10/1997) 02/07/1997 67 AMENDED AND SUPPLEMENTAL NOTICE of Pendency of Other Class Actions by William L. Palmer. Exhibits attached. (gw) (Entered: 02/10/1997) 02/13/1997 68 MOTION by John Pinney, Helen Pinney, Chrystell Cohen, LaVon Evans, John Mitchell, Roy Stevenson, movants, to intervene for limited purpose of objecting to plaintiffs' motion to add California parties plaintiff/class representatives (crb) (Entered: 02/14/1997) 02/13/1997 69 MEMORANDUM of points and authorities of Pinney Class by John Pinney, Helen Pinney, Chrystell Cohen, LaVon Evans, John Mitchell, Roy Stevenson, movants, in opposition to [63-1] plaintiffs' motion to add California parties plaintiff and class representatives. (crb) (Entered: 02/14/1997)

02/13/1997 70 DECLARATION of Alan Schulman by John Pinney, Helen Pinney, Chrystell Cohen, LaVon Evans, John Mitchell, Roy Stevenson, movants, re: [69-1] opposition memorandum. (crb) (Entered: 02/14/1997) 02/14/1997 71 MEMORANDUM by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund in opposition to [63-1] plaintiffs' motion to add Hubert J. Coffey, Mildred F. Coffey and Matthew R. Lifschiz as California parties plaintiff and class representatives. Attachment. (crb) (Entered: 02/14/1997) 02/14/1997 72 AFFIDAVIT of Barbara Luttenberger by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund re: [71-1] opposition memorandum. (crb) (Entered: 02/14/1997) 02/14/1997 73 NOTICE of filing unpublished authority in support of memorandum in opposition [71] by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund. Attachment. (crb) (Entered: 02/14/1997) 02/24/1997 74 MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [66-1] defendants' motion for leave to file supplemental authority in support of motion to dismiss, [66-2] motion for leave to file supplemental authority in opposition to motion for class certification. (crb) (Entered: 02/26/1997) 02/27/1997 75 NOTICE of appearance of non-resident counsel firm, Milberg Weiss, and local counsel firm, James Hoyer, on behalf of plaintiffs William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari. (crb) (Entered: 02/28/1997) 02/27/1997 76 AFFIDAVIT of Alan Schulman by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari Re: [75-1] counsel appearance and designation. (crb) (Entered: 02/28/1997) 02/27/1997 77 AFFIDAVIT of Jan M. Adler by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari Re: [75-1] counsel appearance and designation. (crb) (Entered: 02/28/1997) 02/27/1997 78 AFFIDAVIT of Pamela M. Parker by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari Re: [75-1] counsel appearance and designation. (crb) (Entered: 02/28/1997) 03/03/1997 79 RESPONSE by Great Western Financial and defendants to [68-1] motion of Pinney Class to intervene for limited purpose. (crb) (Entered: 03/04/1997) 03/03/1997 80 RESPONSE by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari to [68-1] motion to intervene for limited purpose of objecting to plaintiffs' motion to add California parties plaintiff/class representatives (cek) (Entered: 03/05/1997) 06/10/1997 81 NOTICE of filing supplemental authority in support of motion to dismiss, in opposition to plaintiffs' motion for class certification and in opposition to plaintiffs' motion to add California parties plaintiff class representatives by Great Western Financial, Great Western Bank, Great Western Securities, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund

Administration. Attachments. (crb) (Entered: 06/11/1997) 07/07/1997 82 JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari and defendants Great Western Financial, Great Western Bank, Great Western Securties, Great Western Investment, Sierra Investment Services, Sierra Investment Advisors, Sierra Fund Adminstration for case management conference (crb) (Entered: 07/09/1997) 09/24/1997 83 JOINT STATUS REPORT by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Great Western Sec, Great Western Inv, Sierra Inv. Services, Sierra Inv. Advisors, Sierra Fund Admin. (rjc) (Entered: 09/24/1997) 09/29/1997 84 ORDER that the following motions are moot: [68-1] motion to intervene; [66-1] motion for leave to file; [66-2] motion for leave to file; [63-1] motion to add parties; [39-1] motion to dismiss; [34-1] motion to communicate with potential class members; [27-1] motion to certify class action; Plaintiffs shall file an amended complaint and motion for class certification forthwith; defendants have 20 days thereafter to respond; granting [82-1] joint motion for case management conference. Conference to be set at a later date. ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 09/29/1997) 11/25/1997 85 AMENDED CLASS ACTION COMPLAINT with jury demand by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari; amending [1-1] complaint; terminated defendants Sierra Fund, Sierra Investment Advisors, Sierra Investment Services, Great Western Investment Management Corporation. Answer due 12/5/97 for Great Western Securities, Great Western Bank, Great Western Financial. (crb) (Entered: 11/26/1997) 11/25/1997 86 NOTICE of filing certifications regarding amended complaint by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis; attachments. (crb) (Entered: 11/26/1997) 12/15/1997 87 DISPOSITIVE MOTION by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment Management to strike [85-1] amended complaint or, in the alternative, to dismiss the amended complaint (crb) (Entered: 12/16/1997) 12/15/1997 88 MEMORANDUM by Great Western Financial, Great Western Bank, Great Western Security, Great Western Investment Management in support of [87-1] dispositive motion to strike [85-1] amended complaint; [87-2] motion to dismiss the amended complaint. Attachments. Proposed order submitted. (crb) (Entered: 12/16/1997) 01/05/1998 89 MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari in opposition to [87-1] defendants' dispositive motion to strike [85-1] amended complaint, [87-2] motion to dismiss the amended complaint. Proposed order submitted. (crb) (Entered: 01/06/1998) 01/21/1998 90 JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv for the entry of an order regarding class certification briefing schedule (jlh) (Entered:

01/22/1998) 03/05/1998 91 ORDER regarding class certification briefing schedule; re: [90-1] joint motion for briefing schedule; set plaintiff's motion for class certification deadline for 4/7/98 ( Signed by Judge Henry L. Adams Jr. ) ctc (crb) (Entered: 03/06/1998) 01/22/1999 92 ORDER granting in part, denying in part [87-1] motion to strike [85-1] amended complaint, granting in part, denying in part [87-2] motion to dismiss the amended complaint. Plaintiffs shall file a motion for class certification no later than 5/28/99. See order for details. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 01/25/1999) 02/26/1999 93 STIPULATED JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Financial, Great Western Bank, Great Western Securities, Great Western Inv. with memorandum in support requesting entry of order regarding class certification briefing and discovery (eec) (Entered: 03/01/1999) 03/05/1999 94 ORDER REGARDING CLASS CERTIFICATION BRIEFING SCHEDULE AND DISCOVERY: formal discovery is stayed to and including 5/31/99; responses to the document request and requests for answers to interrogatories shall be served on or before 6/30/99; plaintiffs shall file their motion for class certification no later than 8/30/99. See order for further details. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 03/08/1999) 05/25/1999 95 STATUS REPORT by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Financial, Great Western Bank, Great Western Securities, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Investor (jnb) (Entered: 05/26/1999) 05/25/1999 95 MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Financial, Great Western Bank, Great Western Securities, Herbert Coffey, Mildred Coffey, Roger H. Virginia S. Ellis, Great Western Investors to extend time dates of order regarding class (jnb) (Entered: 05/26/1999) 06/09/1999 96 ORDER that formal discovery through the processes of this court is stayed pending further order, with the court being of the understanding and anticipating that the parties have reached a settlement in principle. On or before 6/30/99, the parties shall submit to the court a joint motion for approval of settlement. All other ordered dates are hereby vacated. ( Signed by Judge Henry L. Adams Jr. ) ctc (wlb) (Entered: 06/11/1999) 06/30/1999 97 STATUS REPORT by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Investors, Great Western Financial, Great Western Bank, Great Western Securities (mrh) (Entered: 07/01/1999) 06/30/1999 97 MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Financial, Great Western Bank, Great Western Securities, Great Western Investors to extend deadlines set in [96-1] order (mrh) (Entered: 07/01/1999) 07/14/1999 98 ORDER regarding status report and settlement and that discovery is stayed pending

further order; On or before 7/31/99 the parties shall submit a joint motion for approval of settlement ( Signed by Judge Henry L. Adams Jr. ) ctc (jlh) (Entered: 07/14/1999) 07/30/1999 99 JOINT MOTION by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv to approve settlement, and to dismiss action (eec) (Entered: 08/02/1999) 07/30/1999 100 MEMORANDUM by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv in support of [99-1] joint motion to approve settlement, [99-2] joint motion to dismiss action. (eec) (Entered: 08/02/1999) 07/30/1999 101 AFFIDAVIT of Maren E. Nelson by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Re: [99-1] joint motion to approve settlement, [99-2] joint motion to dismiss action. (eec) (Entered: 08/02/1999) 07/30/1999 102 AFFIDAVIT of Jonathan L. Alpert by William L. Palmer, Mary M. Palmer, Leonard Sicari, Marie Sicari, Great Western Fin, Great Western Bank, Great Western Sec, Herbert Coffey, Mildred Coffey, Roger H. Ellis, Virginia S. Ellis, Great Western Inv Re: [99-1] joint motion to approve settlement, [99-2] joint motion to dismiss action. (eec) (Entered: 08/02/1999) 07/30/1999 103 STIPULATION AND AGREEMENT of compromise and settlement by plaintiff William L. Palmer, plaintiff Mary M. Palmer, plaintiff Leonard Sicari, plaintiff Marie Sicari, defendant Great Western Fin, defendant Great Western Bank, defendant Great Western Sec, plaintiff Herbert Coffey, plaintiff Mildred Coffey, plaintiff Roger H. Ellis, plaintiff Virginia S. Ellis, defendant Great Western Inv. (eec) (Entered: 08/02/1999) 08/05/1999 104 ORDER set status conference for 8:30 8/18/99 Scheduled for Judge Henry L. Adams Jr. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 08/06/1999) 08/19/1999 105 MINUTE ENTRY: status conference held on 8/18/99 before Judge Henry Lee Adams, Jr. Court approves settlement. Counsel to submit proposed order. Court Reporter: Kathleen Walden. (eec) (Entered: 08/20/1999) 08/19/1999 Status conference held on 8/18/99. (eec) Modified on 08/24/1999 (Entered: 08/20/1999) 08/20/1999 106 ORDER granting [99-1] joint motion to approve settlement, granting [99-2] joint motion to dismiss action. Defendants are released from all liability. This action is dismissed with prejudice. See order for details. ( Signed by Judge Henry L. Adams Jr. ) ctc (eec) (Entered: 08/23/1999) 08/20/1999 CASE CLOSED. (eec) (Entered: 08/23/1999) 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

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