US District Court Civil Docket as of 12/15/2010 Retrieved from the court on March 25, 2011 U.S. District Court Western District of Tennessee (Memphis) CIVIL DOCKET FOR CASE #: 2:10-cv-02248-SHM-dkv Jones et al v. Morgan Keegan & Company, Inc. et al Date Filed: 04/08/2010 Assigned to: Judge Samuel H. Mays, Jr Jury Demand: Plaintiff Referred to: Magistrate Judge Diane K. Vescovo Nature of Suit: 850 Lead case: 2:09-md-02009-SHM Securities/Commodities Member case: (View Member Case) Jurisdiction: Federal Question Cause: 15:77 Securities Fraud Plaintiff Charles Jones represented by Adam Julien Gana Individually and On Behalf of All Others NAPOLI BERN RIPKA & Similarly Situated ASSOCIATES, LLP 350 Fifth Avenue Suite 7413 New York, NY 10118 212-267-3700 Email: agana@nbrlawfirm.com Frank L. Watson, III WATSON BURNS, LLC 11 South Idlewild Street Memphis, TN 38104 901-578-3528 Fax: 901-578-2649 Email: fwatson@watsonburns.com Jeffrey R. Sonn Sonn & Erez, PLC 500 East Broward Blvd. Ste. 1600 Ft. Lauderdale, FL 33394 954-763-4700 Fax: 954-763-1866 Email: jsonn@sonnerez.com Marc Jay Bern Napoli Bern Ripka, LLP 350 Fifth Avenue, Suite 7413 New York, NY 10118 212-267-3700 Fax: 212-587-0031
Plaintiff Email: mjbern@nbrlawfirm.com Scott l. Adkins Sonn & Erez, PLC 500 East Broward Blvd. Sste. 1600 Ft. Lauderdale, FL 33394 954-763-4700 Fax: 954-763-1866 Email: sadkins@sonnerez.com Ira Horowitz represented by Adam Julien Gana Individually and On Behalf of All Others Similarly Situated Plaintiff Frank L. Watson, III Jeffrey R. Sonn Marc Jay Bern Scott l. Adkins Edge Partners Ltd represented by Frank L. Watson, III Adam Julien Gana Jeffrey R. Sonn Marc Jay Bern
Scott l. Adkins V. Movant RMK Investor Group represented by J. Gerard Stranch, IV BRANSTETTER STRANCH & JENNINGS, PLLC 227 2nd Avenue North 4th Floor Nashville, TN 37201 615-254-8801 Fax: 615-255-5419 Email: gstranch@branstetterlaw.com V. Morgan Keegan & Company, Inc. represented by Matthew M. Curley BASS BERRY & SIMS PLC 150 Third Avenue South Ste. 2800 Nashville, TN 37201 615-742-6200 Email: mcurley@bassberry.com Michael L. Dagley BASS BERRY & SIMS PLC 150 Third Avenue South Ste. 2800 Nashville, TN 37201 615-742-6200 Fax: 615-742-2803 Email: mdagley@bassberry.com W. Brantley Phillips, Jr. BASS BERRY & SIMS PLC- Nashville 150 3rd Avenue South Suite 2800 Nashville, TN 37201
615-742-7723 Email: bphillips@bassberry.com Morgan Asset Management, Inc represented by Matthew M. Curley Regions Financial Corporation RMK Advantage Income Fund, Inc. RMK Strategic Income Fund, Inc. RMK High Income Fund, Inc. RHY Multi-Sector High Income Fund, Inc. Carter E. Anthony Allen B. Morgan, Jr. Joseph C. Weller James Stillman R. McFadden Michael L. Dagley W. Brantley Phillips, Jr.
Archie W. Willis, III Mary S. Stone W. Randall Pittman J. Kenneth Alderman J. Thompson Weller James C. Kelsoe, Jr. David H. Tannehill Jack R. Blair Albert C. Johnson Charles D. Maxwell PricewaterhouseCoopers LLP represented by Emily Nicklin KIRKLAND & ELLIS LLP 300 North LaSalle Street Chicago, IL 60654 312-861-2387 Fax: 312-861-2200 Email: enicklin@kirkland.com Kristopher S. Ritter KIRKLAND & ELLIS LLP 300 North LaSalle Street Chicago, IL 60654 312-862-2000 Fax: 312-862-2200 Email: ritterk@kirkland.com
Timothy A. Duffy KIRKLAND & ELLIS LLP 300 North LaSalle Street Chicago, IL 60654 312-861-2445 Fax: 312-861-2200 Email: tduffy@kirkland.com Eugene J. Podesta, Jr. BAKER DONELSON BEARMAN CALDWELL & BERKOWITZ First Tennessee Bank Building 165 Madison Ave. Ste. 2000 Memphis, TN 38103 901-526-2000 Fax: 901-577-2303 Email: gpodesta@bakerdonelson.com Leo Maurice Bearman, Jr. BAKER DONELSON BEARMAN CALDWELL & BERKOWITZ- Memphis First Tennessee Bank Building 165 Madison Ave. Ste. 2000 Memphis, TN 38103 901-526-2000 Fax: 901-577-0717 Email: lbearman@bakerdonelson.com Date Filed # Docket Text 04/08/2010 1 COMPLAINT against All s (Filing fee $ 350.00.), filed by Charles Jones, Ira Horowitz. (Attachments: # 1 Civil Cover Sheet, # 2 joint notice of intent, # 3 order instituting proceedings, # 4 complaint - FIRA, # 5 plaintiff's certification - CHJ, # 6 plaintiff's certification - IAH, # 7 RMK - The Abuse of Structured Finance, # 8 judges' cards)(agj) (Entered: 04/09/2010) 04/09/2010 2 Case initiation fee: PAID $ 350, receipt number M123455 (vjm) (Entered: 04/09/2010) 04/19/2010 3 Summons Issued as to Allen B. Morgan, Jr. (jld) (Entered: 04/20/2010) 04/19/2010 4 Summons Issued as to Morgan Asset Management, Inc. (jld) (Entered: 04/20/2010) 04/19/2010 5 Summons Issued as to Morgan Keegan & Company, Inc.. (jld) (Entered: 04/20/2010)
04/19/2010 6 Summons Issued as to J. Kenneth Alderman. (jld) (Entered: 04/20/2010) 04/19/2010 7 Summons Issued as to J. Thompson Weller. (jld) (Entered: 04/20/2010) 04/19/2010 8 Summons Issued as to James C. Kelsoe, Jr. (jld) (Entered: 04/20/2010) 04/19/2010 9 Summons Issued as to Joseph C. Weller. (jld) (Entered: 04/20/2010) 04/19/2010 10 Summons Issued as to Charles D. Maxwell. (jld) (Entered: 04/20/2010) 04/19/2010 11 Summons Issued as to Carter E. Anthony. (jld) (Entered: 04/20/2010) 04/19/2010 12 Summons Issued as to David H. Tannehill. (jld) (Entered: 04/20/2010) 04/20/2010 13 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Morgan Asset Management, Inc. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 14 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Morgan Asset Management, Inc. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 15 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Allen B. Morgan, Jr. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 16 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Carter E. Anthony. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 17 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Charles D. Maxwell. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 18 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to David H. Tannehill. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 19 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to J. Kenneth Alderman. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 20 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to J. Thompson Weller. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 21 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to James C. Kelsoe, Jr. (Watson, Frank) (Entered: 04/20/2010) 04/20/2010 22 SUMMONS Returned Executed by Charles Jones, Ira Horowitz as to Joseph C. Weller. (Watson, Frank) (Entered: 04/20/2010) 04/21/2010 23 MOTION for Leave to Appear Pro Hac Vice for Attorneys Jeffrey R. Sonn, Scott L. Adkins and Adam J. Gana (proposed order submitted) by Ira Horowitz, Charles Jones. (Watson, Frank) (Entered: 04/21/2010) 04/22/2010 24 MOTION to Appoint Counsel Plaintiffs Charles Jones, Ira Horowitz', and Edge Partners Ltd Motion for Appointment as Lead Plaintiffs (proposed order submitted) by All Plaintiffs. (Attachments: # 1 Memo in Support of Plaintiffs Motion for Appointment as Lead Plaintiff and in Opposition to TAL Groups Motion for Appointment as Lead Plaintiff, # 2 Exhibit A - Certifications of Plaintiffs Charles Jones, Edge Partners Ltd and Ira Horowitz, # 3 Exhibit B - Certification of Plaintiff C. Fred Daniels, Trustee Ad Litem, # 4 Exhibit C - Law Firm Resume of Napoli Bern Ripka, LLP, # 5 Exhibit D - Law Firm Resume of Sonn & Erez, PLC, # 6 Exhibit E - Declaration of Frank L.
TWatson, III)(Watson, Frank) (Entered: 04/22/2010) 04/27/2010 25 DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure, document 23 MOTION for Leave to Appear Pro Hac Vice for Attorneys Jeffrey R. Sonn, Scott L. Adkins and Adam J. Gana (proposed order submitted) filed by Charles Jones, Ira Horowitz has been filed. However, the following deficiency has been found: Please note that motion pro hac vices are submitted directly and only through the ECF policies and procedures(from the main webpage, you will click on 'Case Information' then in the drop down area click on ECF policies and procedures, then proceed to page 9 for instructions). (Motion will be termed from pending motion list). Thanks and if you have questions please call me at 901-495-1505.. The filer has one business day to correct the deficiency. (jml) (Entered: 04/27/2010) 04/28/2010 26 NOTICE of Appearance by Matthew M. Curley on behalf of Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. (Curley, Matthew) (Entered: 04/28/2010) 04/28/2010 27 Corporate Disclosure Statement by Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. identifying Corporate Parent MK Holding, Inc. for Morgan Asset Management, Inc; Corporate Parent Regions Financial Corporation for Morgan Keegan & Company, Inc... (Curley, Matthew) (Entered: 04/28/2010) 04/28/2010 28 NOTICE of Appearance by Michael L. Dagley on behalf of Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. (Dagley, Michael) (Entered: 04/28/2010) 04/28/2010 29 NOTICE of Appearance by W. Brantley Phillips, Jr on behalf of Morgan Asset Management, Inc, Morgan Keegan & Company, Inc. (Phillips, W.) (Entered: 04/28/2010) 04/29/2010 30 Summons Issued as to RHY Multi-Sector High Income Fund, Inc.. (vjm) (Entered: 04/29/2010) 04/29/2010 31 Summons Issued as to RMK Advantage Income Fund, Inc.. (vjm) (Entered: 04/29/2010) 04/29/2010 32 Summons Issued as to RMK Strategic Income Fund, Inc.. (vjm) (Entered: 04/29/2010) 04/29/2010 33 Summons Issued as to Regions Financial Corporation. (vjm) (Entered: 04/29/2010) 04/29/2010 36 MOTION for Leave to Appear Pro Hac Vice. (Attachments: # 1 Exhibit Declartion of Jeffrey R. Sonn, Esq., # 2 Exhibit Declartion of Scott L. Adkins, Esq., # 3 Exhibit Declaration of Adam J. Gana, Esq., # 4 Receipt #M123728)(jld) (Entered: 04/30/2010) 04/30/2010 34 NOTICE of Appearance by Leo Maurice Bearman, Jr on behalf of PricewaterhouseCoopers LLP (Bearman, Leo) (Entered: 04/30/2010) 04/30/2010 35 NOTICE of Appearance by Eugene J. Podesta, Jr on behalf of PricewaterhouseCoopers LLP (Podesta, Eugene) (Entered: 04/30/2010) 04/30/2010 51 ORDER granting 36 Motion for Leave to Appear Pro Hac Vice. Signed by Judge Samuel H. Mays, Jr on 4/30/2010. (Mays, Samuel) (Entered: 05/04/2010) 04/30/2010 52 Summons Issued as to James Stillman R. McFadden. (jld) (Entered: 05/04/2010)
04/30/2010 53 Summons Issued as to W. Randall Pittman. (jld) (Entered: 05/04/2010) 04/30/2010 54 Summons Issued as to Jack R. Blair. (jld) (Entered: 05/04/2010) 04/30/2010 55 Summons Issued as to Albert C. Johnson. (jld) (Entered: 05/04/2010) 04/30/2010 56 Summons Issued as to Mary S. Stone. (jld) (Entered: 05/04/2010) 04/30/2010 57 Summons Issued as to PricewaterhouseCoopers LLP. (jld) (Entered: 05/04/2010) 05/03/2010 37 NOTICE of Appearance by Emily Nicklin on behalf of PricewaterhouseCoopers LLP (Nicklin, Emily) (Entered: 05/03/2010) 05/03/2010 38 NOTICE of Appearance by Kristopher S. Ritter on behalf of PricewaterhouseCoopers LLP (Ritter, Kristopher) (Entered: 05/03/2010) 05/03/2010 39 NOTICE of Appearance by Timothy A. Duffy on behalf of PricewaterhouseCoopers LLP (Duffy, Timothy) (Entered: 05/03/2010) 05/03/2010 40 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Regions Financial Corporation. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 41 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to PricewaterhouseCoopers LLP. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 42 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RMK Strategic Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 43 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RMK High Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 44 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RMK Advantage Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 45 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to RHY Multi-Sector High Income Fund, Inc.. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 46 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Albert C. Johnson. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 47 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Jack R. Blair. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 48 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to James Stillman R. McFadden. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 49 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to Mary S. Stone. (Watson, Frank) (Entered: 05/03/2010) 05/03/2010 50 SUMMONS Returned Executed by Edge Partners Ltd, Charles Jones, Ira Horowitz as to W. Randall Pittman. (Watson, Frank) (Entered: 05/03/2010) 05/12/2010 58 MOTION for Leave to Appear Pro Hac Vice of Attorney Marc J. Bern (proposed Order submitted) by All Plaintiffs. (Attachments: # 1 Exhibit 1 - Declaration of Marc Bern and Certificate of Good Standing)(Watson, Frank) (Entered: 05/12/2010) 05/12/2010 59 DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure,
document 58 MOTION for Leave to Appear Pro Hac Vice of Attorney Marc J. Bern (proposed Order submitted) filed by Charles Jones, Edge Partners Ltd, Ira Horowitz has been filed. However, the following deficiency has been found: Please note that Motion Pro Hac Vices are submitted directly and only through the 'phv email link' located under policies and procedures(from our main webpage, you will go to Case Information, then in drop down area select ECF Policies and Procedures----go to page 9). Motion will be termed from pending motion list. Thanks and if you have questions please call me at 901-495-1505.. The filer has one business day to correct the deficiency. (jml) (Entered: 05/12/2010) 05/12/2010 60 MOTION for Leave to Appear Pro Hac Vice. (Attachments: # 1 Declaration)(jld) (Entered: 05/13/2010) 05/18/2010 61 ORDER granting 60 Motion for Leave to Appear Pro Hac Vice as to Marc J. Bern. Signed by Judge Samuel H. Mays, Jr on 5/18/2010. (Mays, Samuel) (Entered: 05/19/2010) 07/02/2010 62 MOTION to Consolidate Cases, MOTION for Appointment as Lead Plaintiff, MOTION to Appoint Counsel, Proposed Order submitted by RMK Investor Group. (Attachments: # 1 Memorandum of Law in Support, # 2 Affidavit Declaration of J. Gerard Stranch, IV, in Support)(Stranch, J.) (Entered: 07/02/2010) 07/16/2010 63 RESPONSE to Motion re (164 in 2:07-cv-02830-SHM-dkv, 164 in 2:07-cv-02830- SHM-dkv, 164 in 2:07-cv-02830-SHM-dkv, 45 in 2:09-md-02009-SHM, 45 in 2:09- md-02009-shm, 45 in 2:09-md-02009-SHM) MOTION to Consolidate Cases MOTION for Appointment as Lead Plaintiff MOTION to Appoint Counsel Trustee Ad Litem's Response to Motions for Appointment as Lead Plaintiff and Approval of Lead Counsel filed by C. Fred Daniels. Associated Cases: 2:09-md-02009-SHM et al.(harvey, Albert) (Entered: 07/16/2010) 07/16/2010 64 RESPONSE to Motion re 62 MOTION to Consolidate Cases MOTION for Appointment as Lead Plaintiff MOTION to Appoint Counsel, Proposed Order submitted and in Opposition to Competing Motions filed by RMK Investor Group. (Attachments: # 1 Declaration of Alan I. Ellman, # 2 Exhibit 1 to the Decl. of Alan I. Ellman, # 3 Exhibit 2 to the Decl. of Alan I. Ellman, # 4 Exhibit 3 to the Decl. of Alan I. Ellman, # 5 Exhibit 4 to the Decl. of Alan I. Ellman)(Stranch, J.) (Entered: 07/16/2010) 07/23/2010 65 DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure, document 64 Response to Motion, filed by RMK Investor Group has been filed. However, the following deficiency has been found: Please note that document should reflect a certificate of service page. You will need to go under the notice other category then in the drop down area select 'notice of correction' and submit the certificate of service page only. Thanks and if you have questions pease call me at 901-495-1505.. The filer has one business day to correct the deficiency. (jml) (Entered: 07/23/2010) 07/26/2010 66 Notice of Correction to 64 Response to Motion, Certificate of Service. (Stranch, J.) (Entered: 07/26/2010) 07/30/2010 67 REPLY to Response to Motion re (170 in 2:07-cv-02830-SHM-dkv) Response in Opposition to Motion,,,,,, (168 in 2:07-cv-02830-SHM-dkv) Response in Opposition to Motion,,, filed by RMK Investor Group. (Attachments: # 1 Reply Declaration of J. Gerard Stranch, IV, # 2 Exhibit A to the Reply Decl. of J. Gerard Stranch, IV, # 3
Exhibit B to the Reply Decl. of J. Gerard Stranch, IV, # 4 Exhibit C to the Reply Decl. of J. Gerard Stranch, IV, # 5 Exhibit D to the Reply Decl. of J. Gerard Stranch, IV, # 6 Exhibit E to the Reply Decl. of J. Gerard Stranch, IV, # 7 Exhibit F to the Reply Decl. of J. Gerard Stranch, IV)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830- SHM-dkv, 2:10-cv-02248-SHM-dkv, 2:10-cv-02380-SHM-dkv(Stranch, J.) (Entered: 07/30/2010) 12/15/2010 68 ORDER ON PENDING MOTIONS 24 62. Signed by Judge Samuel H. Mays, Jr., on December 15, 2010. (Mays, Samuel) (Entered: 12/15/2010) Note: Links in this docket are stored in the PACER system ( Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at http://pacer.psc.uscourts.gov/pacerdesc.html