US District Court Civil Docket as of May 13, 2013 Retrieved from the court on May 14, 2013 U.S. District Court Northern District of Texas (Dallas) CIVIL DOCKET FOR CASE #: 3:11-cv-02098-O Friedman v. Penson Worldwide, Inc. et al Date Filed: 08/23/2011 Assigned to: Judge Reed C O'Connor Jury Demand: Plaintiff Related Case: 3:11-cv-03049-L Nature of Suit: 850 Cause: 15:78m(a) Securities Exchange Act Securities/Commodities Jurisdiction: Federal Question Plaintiff Reid Friedman on behalf of himself and all others similarly situated represented by Ryan Rosser Cordell Hicks Schneider Wallace Cottrell Brayton Konecky, LLP 3700 Buffalo Speedway, Ste. 1100 Houston, TX 77098 713/338-2560 Fax: 866/505-8036 Email: rhicks@schneiderwallace.com Dena DeNooyer Stroh Murchison Oil & Gas Inc 1100 Mira Vista Boulevard Plano, TX 75093-4698 214-884-2491 Fax: 972/931-0701 Email: dstroh@jdmii.com Frederic S Fox Kaplan Fox & Kilsheimer LLP 850 Third Ave 14th Floor New York, NY 10022 212/687-1980 Fax: 212/687-7714 Bar Status: Not Admitted Jeffrey P Campisi Kaplan Fox & Kilsheimer LLP
850 Third Ave 14th Floor New York, NY 10022 212/687-1980 Fax: 212/687-7114 Email: jcampisi@kaplanfox.com Bar Status: Not Admitted Laurence D King Kaplan Fox & Kilsheimer LLP 350 Sansome Street Suite 400 San Francisco, CA 94104 415/772-4700 Fax: 415/772-4707 Email: lking@kaplanfox.com PRO HAC VICE Mario M Choi Kaplan Fox & Kilsheimer LLP 350 Sansome Street Suite 400 San Francisco, CA 94104 415/772-4700 Fax: 415/772-4707 Email: mchoi@kaplanfox.com PRO HAC VICE Michael K Hurst Gruber Hurst Johansen & Hail LLP 1445 Ross Ave Suite 2500 Dallas, TX 75202 214-855-6800 Fax: 214-855-6808 Email: mhurst@ghjhlaw.com Peter B Schneider Grady Schneider 801 Congress Ave 4th Floor Houston, TX 77002 713/228-2200 Fax: 713/228-2210 Bar Status: Not Admitted
V. Defendant Penson Worldwide Inc represented by Michelle A Reed Akin Gump Strauss Hauer & Feld 1700 Pacific Ave Suite 4100 Dallas, TX 75201-4618 214/969-2713 Fax: 214/969-4343 Email: mreed@akingump.com Ashley E Markow Young Conaway Stargatt & Taylor LLP 1000 N Kint St Wilmington, DE 19801 302/571-6600 Fax: 302/571-1253 Bar Status: Not Admitted M Scott Barnard Akin Gump Strauss Hauer & Feld 1700 Pacific Ave Suite 4100 Dallas, TX 75201-4618 214/969-2800 Fax: 214/969-4343 Email: sbarnard@akingump.com Orrin Lea Harrison, III Akin Gump Strauss Hauer & Feld 1700 Pacific Ave Suite 4100 Dallas, TX 75201-4618 214/969-2860 Fax: 214/969-4343 Email: oharrison@akingump.com Defendant Philip A Pendergraft represented by Michelle A Reed
M Scott Barnard Orrin Lea Harrison, III Defendant Kevin W McAleer represented by Michelle A Reed M Scott Barnard Orrin Lea Harrison, III Defendant Roger J. Engemoen represented by Michelle A Reed M Scott Barnard Orrin Lea Harrison, III Defendant Daniel P. Son represented by Michelle A Reed
Defendant M Scott Barnard Orrin Lea Harrison, III R. Thomas Johnson represented by Greg Weselka Secore & Waller LLP 12222 Merit Drive Suite 1350 Dallas, TX 75251 972/776-0200 Fax: 972/776-0240 Email: greg@secorewaller.com Defendant BDO Seidman LLP represented by Jessica B Pulliam Baker Botts - Dallas 2001 Ross Ave Suite 600 Dallas, TX 75201-2980 214/953-6500 Fax: 214/661-4677 Email: jessica.pulliam@bakerbotts.com Robb L Voyles Baker Botts LLP 2001 Ross Ave Suite 600 Dallas, TX 75201 214/953-6500 Fax: 214/953-6503 Email: robb.voyles@bakerbotts.com
Timothy W Mountz Baker Botts LLP 2001 Ross Ave Suite 600 Dallas, TX 75201-2980 214/953-6423 Fax: 214/661-4423 Email: t.mountz@bakerbotts.com Defendant BDO USA LLP represented by Jessica B Pulliam Robb L Voyles Timothy W Mountz V. Movant Revalon Capital Limited Fund represented by Roger F Claxton Claxton Law Firm 10000 N Central Expwy Suite 725 Dallas, TX 75231 214/969-9029 Fax: 214/953-0583 Email: roger@claxtonlaw.com Date Filed # Docket Text 08/23/2011 1 COMPLAINT WITH JURY DEMAND against All Defendants filed by Reid Friedman. Clerk to issue summons(es). In each Notice of Electronic Filing, the judge assignment is indicated, and a link to the Judges Copy Requirements is provided. The court reminds
the filer that any required copy of this and future documents must be delivered to the judge, in the manner prescribed, within three business days of filing. (Filing fee $350; Receipt number 0539-4079157) Unless exempted, attorneys who are not admitted to practice in the Northern District of Texas should seek admission promptly. Forms, instructions, and exemption information may be found at www.txnd.uscourts.gov, or by clicking here: Attorney Information - Bar Membership (Attachments: # 1 Declaration(s) Certification of Named Plaintiff) (Hicks, Ryan) (Entered: 08/23/2011) 08/23/2011 08/23/2011 08/23/2011 2 ADDITIONAL ATTACHMENTS to 1 Complaint by Plaintiff Reid Friedman. (Attachments: # 1 Cover Sheet) (Hicks, Ryan) (Entered: 08/23/2011) 3 CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Reid Friedman. (Hicks, Ryan) (Entered: 08/23/2011) 4 Summons Issued as to Kevin W McAleer, Philip A Pendergraft, Penson Worldwide, Inc. (tln) (Entered: 08/23/2011) 08/23/2011 5 New Case Notes: A filing fee has been paid. Magistrate Judge Toliver preliminarily assigned. File to Judge O Connor. Pursuant to Misc. Order 6, Plaintiff is provided the Notice of Right to Consent to Proceed Before A U.S. Magistrate Judge. Clerk to provide copy to plaintiff if not received electronically. (tln) (Entered: 08/23/2011) 09/12/2011 6 Agreed Motion for Extension of Time to File Answer filed by Reid Friedman, Kevin W McAleer, Philip A Pendergraft, Penson Worldwide, Inc. (Attachments: # 1 Proposed Order) (Reed, Michelle) (Entered: 09/12/2011) 09/13/2011 09/13/2011 09/13/2011 7 CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc. (Barnard, M) (Entered: 09/13/2011) 8 NOTICE of Attorney Appearance by M Scott Barnard on behalf of Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc. (Barnard, M) (Entered: 09/13/2011) 9 ORDER granting 6 Agreed Motion for Extension of Time. (Ordered by Judge Reed C O'Connor on 9/13/2011) (twd) (Entered: 09/14/2011) 09/16/2011 10 Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Jeffrey P. Campisi (Filing fee $25; Receipt number 0539-4124386) filed by Reid Friedman (Campisi, Jeffrey) (Entered: 09/16/2011) 09/19/2011 11 ELECTRONIC ORDER denying 10 Application for Admission Pro Hac Vice of Jeffrey P. Campisi. Clerk shall return admission fee to Applicant. (Ordered by Judge Reed C O'Connor on 9/19/2011) (chmb)(amv) (Entered: 09/19/2011) 09/29/2011 12 NOTICE of Attorney Appearance by Ryan Rosser Cordell Hicks for Michael K. Hurst on behalf of Reid Friedman. (Hicks, Ryan) (Entered: 09/29/2011) 09/30/2011 13 Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Jeffrey P. Campisi (Filing fee $25; Receipt number 0539-4152250) filed by Reid Friedman (Attachments: # 1 Proposed Order) (Campisi, Jeffrey) (Entered: 09/30/2011) 10/24/2011 14 MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund filed by Revalon Capital Limited Fund with Brief/Memorandum in Support. (Claxton, Roger) (Entered: 10/24/2011)
10/24/2011 15 MEMORANDUM OF LAW IN SUPPORT OF THE REVALONG CAPITAL LIMITED FUNDS MOTION FOR (1) APPOINTMENT AS LEAD PLAINTIFF AND (2) APPROVAL OF LEAD PLAINTIFFS SELECTION OF LEAD COUNSEL by Revalong Capital Limited Fund Brief in Support filed by Revalon Capital Limited Fund (Claxton, Roger) Modified on 10/25/2011 (rrr). (Entered: 10/24/2011) 10/24/2011 16 APPENDIX IN SUPPORT OF THE REVALONG CAPITAL LIMITED FUND'S MOTION FOR (1) APPOINTMENT AS LEAD PLAINTIFF AND (2) APPROVAL OF LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL by Revalong Capital Limited Fund Brief in Support Appendix to Motion and Brief filed by Revalon Capital Limited Fund (Claxton, Roger) Modified on 10/25/2011 (rrr). (Entered: 10/24/2011) 10/24/2011 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff filed by Reid Friedman (Attachments: # 1 Proposed Order). Party Reid Friedman added. (Hicks, Ryan) (Entered: 10/24/2011) 10/24/2011 18 Memorandum of Law in Support filed by Reid Friedman re 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff (Hicks, Ryan) Modified on 10/27/2011 (skt). (Entered: 10/24/2011) 10/24/2011 19 Appendix in Support filed by Reid Friedman re 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff (Hicks, Ryan) (Entered: 10/24/2011) 10/28/2011 20 ELECTRONIC ORDER granting 13 Application for Admission Pro Hac Vice of Jeffrey P. Campisi. Clerk shall deposit application fee to the Non-Appropriated Fund of this Court. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Reed C O'Connor on 10/28/2011) (chmb) (amv) (Entered: 10/28/2011) 10/31/2011 21 ADDITIONAL ATTACHMENTS Certificate of Conference to 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff by Plaintiff Reid Friedman. (Hicks, Ryan) (Entered: 10/31/2011) 11/14/2011 22 REPLY filed by Revalon Capital Limited Fund re: 7 MOTION to Appointment, and RESPONSE to 17 MOTION to Appoint Counsel (Claxton, Roger) (Entered: 11/14/2011) 11/17/2011 23 Memorandum in Support of 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff, RESPONSE to 14 MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund filed by Reid Friedman (Campisi, Jeffrey) (Entered: 11/17/2011) 11/17/2011 24 Appendix in Support filed by Reid Friedman re 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff (Campisi, Jeffrey) (Entered: 11/17/2011)
12/01/2011 25 REPLY filed by Revalon Capital Limited Fund re: 14 MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund (Claxton, Roger) (Entered: 12/01/2011) 12/01/2011 26 Appendix in Support filed by Revalon Capital Limited Fund re 25 Reply in support of Revalong's Motion for Appointment as Lead Plaintiff (Claxton, Roger) (Entered: 12/01/2011) 12/01/2011 27 REPLY filed by Reid Friedman re: 17 MOTION to Appoint Counsel Kaplan Fox & Kilsheimer LLP and Schneider Wallace Cottrell Brayton Konecky LLP as Co-Lead Counsel, and Reid Friedman as Lead Plaintiff, 14 MOTION Appointment as Lead Plaintiff and Lead Counsel by Revalong Capital Limited Fund (Campisi, Jeffrey) (Entered: 12/01/2011) 01/18/2012 28 ORDER deferring ruling on 14 and 17 Motion to appoint Counsel. Hearing set for 9:30 am January 19, 2012.(Ordered by Judge Reed C O'Connor on 1/18/2012) (Judge Reed C O'Connor) (Entered: 01/18/2012) 01/18/2012 Utility Event - Motion Hearing set for 1/19/2012 09:30 AM in US Courthouse, Courtroom 1516, 1100 Commerce St., Dallas, TX 75242-1310 before Judge Reed C O'Connor. (Ordered by Judge Reed C O'Connor on 1/18/2012) (chmb) (Entered: 01/18/2012) 01/19/2012 29 ELECTRONIC Minute Entry for proceedings held before Judge Reed C O'Connor: Motion Hearing held on 1/19/2011 for 17 Motion to Appoint Counsel, filed by Reid Friedman and 14 Motion for Miscellaneous Relief filed by Revalon Capital Limited Fund. Attorney Appearances: Plaintiff - Jeffrey Campisi; Defense - Michelle Reed, Scott Barnard, Roger Claxton. (Court Reporter: Denver Roden) (No exhibits) Time in Court - :15. (chmb) (Entered: 01/19/2012) 01/19/2012 30 ORDER denying 14 Revalong's Motion for Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead Counsel; granting 17 Friedman's Motion for Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead Counsel. It is ORDERED that Friedman will be lead Plaintiff in this case. (Ordered by Judge Reed C O'Connor on 1/19/2012) (axm) (Entered: 01/20/2012) 02/03/2012 31 Agreed MOTION to Extend Time Regarding Amended Complaint and Briefing Schedule filed by Penson Worldwide Inc (Attachments: # 1 Proposed Order) (Reed, Michelle) (Entered: 02/03/2012) 02/06/2012 32 Order Requiring Scheduling Conference and Report for Contents of Scheduling Order: Proposed Scheduling Order due by 3/5/2012. (Ordered by Judge Reed C O'Connor on 2/6/2012) (aaa) (Entered: 02/06/2012) 02/14/2012 33 ELECTRONIC ORDER denying 31 Motion to Extend Time. (Ordered by Judge Reed C O'Connor on 2/14/2012) (chmb) (amv) (Entered: 02/14/2012) 02/22/2012 34 STATUS REPORT Regarding Contents of Scheduling Order and Request for Extension of Time for Good Cause filed by Reid Friedman. (Campisi, Jeffrey) (Entered: 02/22/2012) 02/23/2012 35 Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Mario M. Choi (Filing fee $25; Receipt number 0539-4420664) filed by Reid Friedman (Attachments: # 1 Proposed Order) (Choi, Mario) (Entered: 02/23/2012)
02/24/2012 36 ELECTRONIC ORDER granting 35 Application for Admission Pro Hac Vice of Mario M. Choi. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Reed C O'Connor on 2/24/2012) (chmb) (amv) (Entered: 02/24/2012) 02/24/2012 37 ORDER denying Extension of time requested in 34 Status Report. The Court will enter a separate Scheduling Order. (Ordered by Judge Reed C O'Connor on 2/24/2012) (cea) (Entered: 02/24/2012) 02/24/2012 38 SCHEDULING ORDER: Trial on this Court's four-week docket beginning 2/25/2013 before Judge Reed C O'Connor. Joinder of Parties due by 4/24/2012. Amended Pleadings due by 4/24/2012. Motions due by 10/27/2012. Deadline for mediation is on or before 8/27/2012. Discovery due by 9/27/2012. Pretrial Materials due by 1/15/2013. Pretrial Order due by 1/15/2013. (Ordered by Judge Reed C O'Connor on 2/24/2012) (cea) (Entered: 02/24/2012) 02/29/2012 39 Application for Admission Pro Hac Vice with Cert. of Good Standing for Attorney Laurence D. King (Filing fee $25; Receipt number 0539-4430596) filed by Reid Friedman (Attachments: # 1 Proposed Order) (King, Laurence) (Entered: 02/29/2012) 03/01/2012 40 ELECTRONIC ORDER granting 39 Application for Admission Pro Hac Vice of Laurence D. King. If not already done, Applicant must register as an ECF User within 14 days (LR 5.1(f)). (Ordered by Judge Reed C O'Connor on 3/1/2012) (chmb) (amv) (Entered: 03/01/2012) 03/02/2012 41 MOTION to Dismiss filed by Kevin W McAleer, Phil Pendergraft, Penson Worldwide Inc with Brief/Memorandum in Support. (Barnard, M) (Entered: 03/02/2012) 03/02/2012 42 Appendix in Support filed by Kevin W McAleer, Phil Pendergraft, Penson Worldwide Inc re 41 MOTION to Dismiss (Attachments: # 1 Exhibit(s) 1 - Feb 2011 Form 8-K, # 2 Exhibit(s) 2 - Mar 2011 Form 10-K (part 1), # 3 Exhibit(s) 2 - Mar 2011 Form 10-K (part 2), # 4 Exhibit(s) 3 - May 2011 Form 10-Q, # 5 Exhibit(s) 4 - Aug 2011 Form 8- K, # 6 Exhibit(s) 5 - Aug 2011 Form 10-Q, # 7 Exhibit(s) 6 - Barnard Declaration, # 8 Exhibit(s) 7 - Allied Capital (SDNY 2003), # 9 Exhibit(s) 8 - Barclays (SDNY 2011), # 10 Exhibit(s) 9 - Barrie (ND Tex 2002), # 11 Exhibit(s) 10 - Gap Sec Litig (ND Cal 1988), # 12 Exhibit(s) 11 - Milano (ND Tex 2006), # 13 Exhibit(s) 12 - Osio (DNJ 2006), # 14 Exhibit(s) 13 - Pilgrims Pride (ED Tex 2010), # 15 Exhibit(s) 14 - R2 Invs (ND Tex 2003), # 16 Exhibit(s) 15 - Umsted (ND Tex 2003)) (Barnard, M) (Entered: 03/02/2012) 03/23/2012 43 AMENDED COMPLAINT WITH JURY DEMAND against All Defendants filed by Reid Friedman. Clerk to issue summons(es). (Campisi, Jeffrey) (Entered: 03/23/2012) 03/23/2012 44 NOTICE OF FILING OF AMENDED COMPLAINT IN RESPONSE TO DEFENDANTS' MOTION TO DISMISS filed by Reid Friedman (Campisi, Jeffrey) (Entered: 03/23/2012) 03/26/2012 45 Summons Reissued as to Roger J Engemoen, R Thomas Johnson, Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc, Daniel P Son and issued as to BDO Seidman LLP, BDO USA LLP. (cea) (Entered: 03/26/2012) 03/28/2012 46 SUMMONS Returned Executed as to BDO Seidman LLP ; served on 3/27/2012; BDO USA LLP ; served on 3/27/2012. (Hurst, Michael) (Entered: 03/28/2012)
04/06/2012 47 MOTION to Dismiss Plaintiff's Amended Complaint filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc with Brief/Memorandum in Support. (Attachments: # 1 Exhibit(s) Appendix 1-48, # 2 Exhibit(s) Appendix 49-84, # 3 Exhibit(s) Appendix 85-154, # 4 Exhibit(s) Appendix 155-196, # 5 Exhibit(s) Appendix 197-256, # 6 Exhibit(s) Appendix 257-309, # 7 Exhibit(s) Appendix 310-375, # 8 Exhibit(s) Appendix 376-457, # 9 Exhibit(s) Appendix 458-615) (Reed, Michelle) Modified on 4/9/2012 to state the appendix attached to this motion was additionally filed at 48 per local rules (cea). (Entered: 04/06/2012) 04/06/2012 48 Appendix in Support filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc re 47 MOTION to Dismiss Plaintiff's Amended Complaint (Attachments: # 1 Exhibit(s) Appendix 49-84, # 2 Exhibit(s) Appendix 85-154, # 3 Exhibit(s) Appendix 155-196, # 4 Exhibit(s) Appendix 197-256, # 5 Exhibit(s) Appendix 257-309, # 6 Exhibit(s) Appendix 310-375, # 7 Exhibit(s) Appendix 376-457, # 8 Exhibit(s) Appendix 458-615) (Reed, Michelle) (Entered: 04/06/2012) 04/17/2012 49 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support filed by BDO Seidman LLP, BDO USA LLP with Brief/Memorandum in Support. (Attachments: # 1 Exhibit(s), # 2 Exhibit(s)) (Pulliam, Jessica) (Entered: 04/17/2012) 04/18/2012 50 Unopposed MOTION FOR SUPPLEMENTAL SCHEDULING CONFERENCE filed by Reid Friedman (Campisi, Jeffrey) (Entered: 04/18/2012) 04/20/2012 51 MOTION to Dismiss filed by Roger J. Engemoen, Daniel P. Son with Brief/Memorandum in Support. (Barnard, M) (Entered: 04/20/2012) 04/20/2012 52 Appendix in Support filed by Roger J. Engemoen, Daniel P. Son re 51 MOTION to Dismiss (Attachments: # 1 Exhibit(s) S/E App. 1-145) (Barnard, M) (Entered: 04/20/2012) 04/23/2012 53 ORDER denying 50 Motion for Supplemental Scheduling Conference. Accordingly, it is ORDERED that all deadlines in the Scheduling Order are hereby STAYED. (Ordered by Judge Reed C O'Connor on 4/23/2012) (ctf) (Entered: 04/23/2012) 04/25/2012 54 MOTION for Leave to File A CONSOLIDATED BRIEF IN EXCESS OF PAGE LIMITATIONS filed by Reid Friedman (Campisi, Jeffrey) (Entered: 04/25/2012) 04/26/2012 55 ORDER granting in part 54 Motion for Leave to File A CONSOLIDATED BRIEF IN EXCESS OF PAGE LIMITATIONS. It is ORDERED that if Plaintiff desires to file a consolidated response to Defendants' motions to dismiss, he may do so in a response not exceeding fifty pages. (Ordered by Judge Reed C O'Connor on 4/26/2012) (cea) (Entered: 04/26/2012) 04/27/2012 56 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support filed by R. Thomas Johnson (Weselka, Greg) (Entered: 04/27/2012) 04/27/2012 57 Appendix in Support filed by R. Thomas Johnson re 56 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support (Attachments: # 1 Exhibit(s), # 2 Exhibit(s)) (Weselka, Greg) (Entered: 04/27/2012) 04/27/2012 58 CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by R. Thomas Johnson. (Weselka, Greg) (Entered: 04/27/2012) 04/27/2012 59 NOTICE OF INTENTION TO FILE A CONSOLIDATED BRIEF IN OPPOSITION TO
ALL MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT Reid Friedman (Campisi, Jeffrey) (Entered: 04/27/2012) 04/27/2012 60 CERTIFICATE OF INTERESTED PERSONS/DISCLOSURE STATEMENT by Roger J. Engemoen, Daniel P. Son. (Barnard, M) (Entered: 04/27/2012) filed by 05/18/2012 61 Appendix in Support filed by Reid Friedman APPENDIX IN SUPPORT OF LEAD PLAINTIFFS CONSOLIDATED MEMORANDUM OF LAW IN OPPOSITION TO DEFENDANTS MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT (Attachments: # 1 Exhibit(s) 1, # 2 Exhibit(s) 2, # 3 Exhibit(s) 3, # 4 Exhibit(s) 4, # 5 Exhibit(s) 5, # 6 Exhibit(s) 6, # 7 Exhibit(s) 7, # 8 Exhibit(s) 8, # 9 Exhibit(s) 9, # 10 Exhibit(s) 10, # 11 Exhibit(s) 11, # 12 Exhibit(s) 12, # 13 Exhibit(s) 13, # 14 Exhibit(s) 14, # 15 Exhibit(s) 15, # 16 Exhibit(s) 16, # 17 Exhibit(s) 17, # 18 Exhibit(s) 18, # 19 Exhibit(s) 19, # 20 Exhibit(s) 20, # 21 Exhibit(s) 21, # 22 Exhibit(s) 22, # 23 Exhibit(s) 23, # 24 Exhibit(s) 24, # 25 Exhibit(s) 25, # 26 Exhibit(s) 26) (Campisi, Jeffrey) (Entered: 05/18/2012) 05/19/2012 62 Brief/Memorandum in Support filed by Reid Friedman re 61 Appendix in Support,,, IN OPPOSITION TO ALL DEFENDANTS MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT (Campisi, Jeffrey) Docket text and filer modified on 5/25/2012 (twd). (Entered: 05/19/2012) 05/22/2012 63 MOTION for Leave to File MOTION TO DEEM AS TIMELY FILED LEAD PLAINTIFFS CONSOLIDATED MEMORANDUM OF LAW IN OPPOSITION TO ALL DEFENDANTS MOTIONS TO DISMISS THE AMENDED CLASS ACTION COMPLAINT filed by Reid Friedman (Campisi, Jeffrey) (Entered: 05/22/2012) 05/25/2012 64 ELECTRONIC ORDER granting 63 Motion for Leave to File. (Ordered by Judge Reed C O'Connor on 5/25/2012) (chmb) (amv) (Entered: 05/25/2012) 06/01/2012 65 REPLY filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc re: 47 MOTION to Dismiss Plaintiff's Amended Complaint (Barnard, M) (Entered: 06/01/2012) 06/01/2012 66 Appendix in Support filed by Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc re 65 Reply (Attachments: # 1 Compendium of Unpublished Decisions) (Barnard, M) (Entered: 06/01/2012) 06/01/2012 67 REPLY filed by Roger J. Engemoen, Daniel P. Son re: 51 MOTION to Dismiss (Barnard, M) (Entered: 06/01/2012) 06/01/2012 68 Appendix in Support filed by Roger J. Engemoen, Daniel P. Son re 67 Reply (Attachments: # 1 Compendium of Unpublished Decisions) (Barnard, M) (Entered: 06/01/2012) 06/01/2012 69 REPLY filed by BDO Seidman LLP, BDO USA LLP re: 49 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support (Pulliam, Jessica) (Entered: 06/01/2012) 06/01/2012 70 REPLY filed by R. Thomas Johnson re: 56 MOTION to Dismiss Plaintiff's Amended Class Action Complaint and Brief in Support (Weselka, Greg) (Entered: 06/01/2012) 11/27/2012 71 ORDER: Accordingly, the parties are ORDERED to file a status report no later than Thursday, 11/29/2012, clarifying whether or not the parties have reached a settlement
agreement. (Ordered by Judge Reed C O'Connor on 11/27/2012) (ctf) (Entered: 11/27/2012) 11/29/2012 72 STATUS REPORT filed by Reid Friedman. (Hurst, Michael) (Entered: 11/29/2012) 11/29/2012 73 ORDER: The Court has been notified that the above-styled case has settled. Accordingly, the parties are ORDERED to file the necessary dismissal papers with the Clerk's office no later than 12/28/2012. If further proceedings become necessary or desirable, the parties should immediately file a Joint Status Report with the Court. (Ordered by Judge Reed C O'Connor on 11/29/2012) (ctf) (Entered: 11/30/2012) 12/28/2012 74 MOTION FOR (I) PRELIMINARY APPROVAL OF SETTLEMENT; (II) PRELIMINARY CERTIFICATION OF THE SETTLEMENT CLASS; (III) APPROVAL OF FORM AND MANNER OF NOTICE; AND (IV) APPOINTMENT OF SETTLEMENT ADMINISTRATOR filed by Reid Friedman (Campisi, Jeffrey) (Entered: 12/28/2012) 12/28/2012 75 Brief/Memorandum in Support filed by Reid Friedman re 74 MOTION FOR (I) PRELIMINARY APPROVAL OF SETTLEMENT; (II) PRELIMINARY CERTIFICATION OF THE SETTLEMENT CLASS; (III) APPROVAL OF FORM AND MANNER OF NOTICE; AND (IV) APPOINTMENT OF SETTLEMENT ADMINISTRATOR (Campisi, Jeffrey) (Entered: 12/28/2012) 12/28/2012 76 Appendix in Support filed by Reid Friedman re 74 MOTION FOR (I) PRELIMINARY APPROVAL OF SETTLEMENT; (II) PRELIMINARY CERTIFICATION OF THE SETTLEMENT CLASS; (III) APPROVAL OF FORM AND MANNER OF NOTICE; AND (IV) APPOINTMENT OF SETTLEMENT ADMINISTRATOR (Campisi, Jeffrey) (Entered: 12/28/2012) 12/28/2012 77 STIPULATION of Settlement by Reid Friedman, Daniel P. Son, Penson Worldwide Inc, Philip A Pendergraft, Kevin W McAleer, Roger J. Engemoen, R. Thomas Johnson, BDO USA LLP, BDO Seidman LLP. (Campisi, Jeffrey) Modified on 12/31/2012 (skt). (Entered: 12/28/2012) 01/18/2013 78 NOTICE/SUGGESTION OF BANKRUPTCY Penson Worldwide Inc (Attachments: # 1 Exhibit A) (Barnard, M) (Entered: 01/18/2013) 01/22/2013 79 ORDER: The Court takes judicial notice of Defendant Penson Worldwide, Inc.'s Chapter 11 bankruptcy pending in the United States Bankruptcy Court for the District of Delaware. It is hereby ORDERED that this case is stayed until the automatic stay imposed under 11 U.S.C. 362 is no longer in effect or until the parties obtain the relief from the automatic stay required to proceed with this litigation. It is further ORDERED that the parties shall file a status report with this Court within ten days of the lifting of the automatic stay imposed under 11 U.S.C. 362 or discharge of the claims forming the basis of this suit. (Ordered by Judge Reed C O'Connor on 1/22/2013) (tln) (Entered: 01/22/2013) 01/23/2013 80 SUGGESTION OF BANKRUPTCY Upon the Record as to Penson Worldwide, Inc. by Penson Worldwide, Inc. (tln) (Entered: 01/23/2013) 04/04/2013 Notice to the Parties: Please be advised that as of Monday, April 8, 2013, Judge Reed C. O'Connor's chambers will be located at 1100 Commerce Street, Room 1312, Dallas, Texas 75242. All hearings and trial proceedings will be held in United States District
Judges Courtroom 1310, 1100 Commerce Street, Dallas, Texas 75242. (drh) (Entered: 04/04/2013) 04/05/2013 81 Joint STATUS REPORT filed by BDO Seidman LLP, BDO USA LLP, Roger J. Engemoen, Reid Friedman, R. Thomas Johnson, Kevin W McAleer, Philip A Pendergraft, Penson Worldwide Inc, Daniel P. Son. (Attachments: # 1 Exhibit(s) A) (Barnard, M) (Entered: 04/05/2013) 04/09/2013 82 ORDER LIFTING STAY. (Ordered by Judge Reed C O'Connor on 4/9/2013) (tln) (Entered: 04/09/2013) 05/13/2013 83 ORDER granting 74 Motion for (I) Preliminary Approval of Settlement; (II) Preliminary Certification of the Settlement Class; (III) Approval of Form and Manner of Notice; and (IV) Appointment of Settlement Administrator. Final Settlement Approval Hearing set for 8/23/2013 09:00 AM before Judge Reed C O'Connor. (Ordered by Judge Reed C O'Connor on 5/13/2013) (ndt) (Entered: 05/13/2013) 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