US District Court Civil Docket as of 12/09/2004 Retrieved from the court on Thursday, June 30, 2005 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:01-cv-01254-JSR-DFE P. Stolz Family v. Daum, et al Assigned to: Judge Jed S. Rakoff Referred to: Magistrate Judge Douglas F. Eaton Demand: $0 Cause: 15:77 Securities Fraud Plaintiff P. Stolz Family Partnership, L.P. on behalf of itself and others similarly situated Date Filed: 02/20/2001 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Peter D. Morgenstern Bragar, Wexler, Eagel & Morgenstern, L.L.P. 885 Third Avenue Suite 3040 New York, NY 10022 (212) 308-5858 Email: morgenstern@bragarwexler.com V. Defendant Steven B. Daum represented by Barry Shawn Pollack Donnelly, Conroy & Gelhaar, L.L.P. One Beacon Street 33rd Flr Boston, MA 02108 (617) 720-2880 Frank W Ryan Nixon Peabody LLP (437 Madison, NY) 437 Madison Avenue NY, NY 10022 (212) 940-3129 Fax: (866) 947-2289 Email: fryan@nixonpeabody.com ATTORNEY TO BE NOTICED Robert A. Cohen Dechert, Price & Rhoads
30 Rockefeller Plaza New York, NY 10112-2200 (212) 698-3500 Email: robert.cohen@dechert.com TERMINATED: 03/29/2002 Defendant Paula B. Daum represented by Barry Shawn Pollack Frank W Ryan ATTORNEY TO BE NOTICED Robert A. Cohen TERMINATED: 03/29/2002 Defendant Philip Spies TERMINATED: 10/01/2001 Defendant Smart World Technologies, LLC Counter Claimant Steven B. Daum represented by Barry Shawn Pollack Frank W Ryan ATTORNEY TO BE NOTICED Robert A. Cohen TERMINATED: 03/29/2002 Counter Claimant
Paula B. Daum represented by Barry Shawn Pollack Frank W Ryan ATTORNEY TO BE NOTICED Robert A. Cohen TERMINATED: 03/29/2002 V. Counter Defendant P. Stolz Family Partnership, L.P. represented by Peter D. Morgenstern Date Filed # Docket Text 02/20/2001 1 CLASS ACTION COMPLAINT filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). FILING FEE $ 150.00 RECEIPT # 397874. (db) (Entered: 02/21/2001) 02/20/2001 Magistrate Judge Douglas F. Eaton is so Designated. (db) (Entered: 02/21/2001) 02/20/2001 2 RULE 1.9 CERTIFICATE filed by P. Stolz Family. (db) (Entered: 02/21/2001) 03/06/2001 3 CERTIFICATION of Peter W. Stolz by P. Stolz Family Re: the "Partnership" (lf) (Entered: 03/07/2001) 04/16/2001 Telephone Conference held before Judge Jed S. Rakoff. (pl) (Entered: 04/19/2001) 04/23/2001 Pretrial Conference held before Judge Jed S. Rakoff. (djc) (Entered: 04/27/2001) 04/30/2001 4 NOTICE OF MOTION (FILED ON SERVICE DATE) by P. Stolz Family, for an roder appointing Stolz as the Lead Plaintiff herein ; for an order approving Stolz's selection of lead and liaison counsel. Declaration of Paul D. Wexler in support is attached. Return date 6/28/01. (kw) (Entered: 05/08/2001) 05/02/2001 5 MEMORANDUM OF LAW by P. Stolz Family in support of [4-1] motion for an roder appointing Stolz as the Lead Plaintiff herein, and [4-2] motion for an order approving Stolz's selection of lead and liaison counsel. (kw) (Entered: 05/08/2001) 05/07/2001 Telephone Conference held before Judge Jed S. Rakoff. (pl) (Entered: 05/10/2001) 06/05/2001 6 AMENDED CLASS ACTION COMPLAINT by P. Stolz Family (Answer due
6/18/01 for Philip Spies, for Paula B. Daum, for Steven B. Daum ) amending [1-1] complaint against Smart World Technolo; Summons issued. (pl) (Entered: 06/08/2001) 06/05/2001 6 DEMAND for jury trial by P. Stolz Family. (pl) (Entered: 06/08/2001) 06/15/2001 7 NOTICE OF MOTION (filed on service date) by Steven B. Daum, Paula B. Daum, Philip Spies; for an order purs to Rule 12(b)(6) of the FRCP dismissing the action against them with prejudice for failure to state a claim upon which relief can be granted l Return date not indicated (djc) (Entered: 07/02/2001) 06/29/2001 8 REPLY MEMORANDUM by Steven B. Daum, Paula B. Daum, Philip Spies in Support of [7-1] motion for an order purs to Rule 12(b)(6) of the FRCP dismissing the action against them with prejudice for failure to state a claim upon which relief can be granted (djc) (Entered: 07/02/2001) 06/29/2001 9 MEMORANDUM OF LAW by Steven B. Daum, Paula B. Daum, Philip Spies in support of [7-1] motion for an order purs to Rule 12(b)(6) of the FRCP dismissing the action against them with prejudice for failure to state a claim upon which relief can be granted. (djc) (Entered: 07/02/2001) 06/29/2001 10 MEMORANDUM OF LAW by P. Stolz Family in opposition to [7-1] motion for an order purs to Rule 12(b)(6) of the FRCP dismissing the action against them with prejudice for failure to state a claim upon which relief can be granted. (djc) (Entered: 07/02/2001) 06/29/2001 11 AFFIDAVIT of Paul D. Wexler by P. Stolz Family to place before the Court certain documents referenced in the amended complaint. (djc) (Entered: 07/02/2001) 07/08/2001 Oral argument held before Judge Jed S. Rakoff re: [7-1] motion for an order purs to Rule 12(b)(6) of the FRCP dismissing the action against them with prejudice for failure to state a claim upon which relief can be granted; Decision Reserved (cd) (Entered: 07/10/2001) 07/25/2001 12 ORDER; at the in-court conference on 7/6/01, see transcript, the Court determined that pltff's counsel's previously published notice of this punitive class action was inadequate, and directed pltff's counsel to furnish the Court with a corrected notice for the Court's approval prior to republication. Having reviewed the proposed new notice, the Court is satisfied that it meets all relevant requirements and approves such notice for publication. Pltff's counsel is directed to mail the revised notice to all 369 equity holders, as well as publishing it. ( signed by Judge Jed S. Rakoff ); Copies mailed. (sn) (Entered: 07/27/2001) 08/03/2001 Telephone Conference held before Judge Jed S. Rakoff. (sn) (Entered: 08/08/2001) 08/21/2001 13 AFFIDAVIT OF SERVICE of Summons and Complaint as to Smart World Technolo by Paula Daum on 7/10/01. Answer due on 7/30/01 for Smart World Technolo. (bai) (Entered: 08/22/2001) 08/24/2001 14 ANSWER TO THE AMENDED COMPLAINT by Steven B. Daum, Paula B. Daum (Attorney Robert A. Cohen from the Firm: Dechert, Price & Rhoads). (kkc) (Entered: 08/27/2001)
08/24/2001 14 COUNTERCLAIM by Steven B. Daum, Paula B. Daum against P. Stolz Family. (kkc) (Entered: 08/27/2001) 08/30/2001 15 REPLY by P. Stolz Family to [14-1] counterclaim; Firm of: Bragar, Wexler, Eagel & Morgenstern LLP by attorney Peter D. Morgenstern for counter-defendant P. Stolz Family. (kkc) (Entered: 08/31/2001) 10/01/2001 16 MEMORANDUM ORDER; for the reasons stated herein, Count I of the amended complaint is dismissed as to deft Philip Spies, and Count II is dismissed in its entirety. The remaining claims against the remaining defts will proceed on the schedule previously set by the Court in its scheduling order. ( signed by Judge Jed S. Rakoff ); Copies mailed. (sn) (Entered: 10/03/2001) 10/04/2001 A telephone conference was held before Honerable Judge Jed S. Rakoff. (bai) (Entered: 10/11/2001) 10/15/2001 17 ORDER; the [4-1,2] motion to appoint plaintiff P. Stolz Family Partnership, L.P. as lead plaintiff in this putative class action and to approve that plaintiff's selection of the firm of Bragar Wexler Eagel & Morgenstein, LLP as lead counsel is granted. ( signed by Judge Jed S. Rakoff ); Copies mailed. (kkc) (Entered: 10/15/2001) 11/15/2001 Telephone Conference held before Judge Jed S. Rakoff. (kkc) (Entered: 11/20/2001) 11/19/2001 18 SECOND AMENDED COMPLAINT by P. Stolz Family (Answer due 12/10/01 for Smart World Technolo, for Paula B. Daum, for Steven B. Daum amending [6-1] amended complaint. (jco) (Entered: 11/28/2001) 11/19/2001 18 DEMAND for jury trial by P. Stolz Family. (jco) (Entered: 11/28/2001) 12/03/2001 19 NOTICE OF MOTION (filed on service date) by Steven B. Daum, Paula B. Daum pursuant to Rule 12(b)(6) of the FRCP dismissing the above-captioned action against them with prejudice for failure to state a claim upon which relief can be granted. Return date 12/28/01. (yv) (Entered: 12/26/2001) 12/21/2001 20 MEMORANDUM OF LAW by Steven B. Daum, Paula B. Daum in support of [19-1] motion pursuant to Rule 12(b)(6) of the FRCP dismissing the above-captioned action against them with prejudice for failure to state a claim upon which relief can be granted. (yv) (Entered: 12/26/2001) 12/21/2001 21 MEMORANDUM OF LAW by P. Stolz Family in opposition to [19-1] motion pursuant to Rule 12(b)(6) of the FRCP dismissing the above-captioned action against them with prejudice for failure to state a claim upon which relief can be granted. (yv) (Entered: 12/26/2001) 12/21/2001 22 DECLARATION of Paul D. Wexler by P. Stolz Family. (yv) (Entered: 12/26/2001) 12/21/2001 23 REPLY MEMORANDUM by Steven B. Daum, Paula B. Daum in support of: [19-1] motion pursuant to Rule 12(b)(6) of the FRCP dismissing the above-captioned action against them with prejudice for failure to state a claim upon which relief can be granted (yv) (Entered: 12/26/2001) 12/28/2001 24 REPLY MEMORANDUM by Steven B. Daum, Paula B. Daum in support of: [19-
1] motion pursuant to Rule 12(b)(6) of the FRCP dismissing the above-captioned action against them with prejudice for failure to state a claim upon which relief can be granted (yv) (Entered: 01/02/2002) 01/02/2002 Oral argument held before Judge Jed S. Rakoff re: [19-1] motion pursuant to Rule 12(b)(6) of the FRCP dismissing the above-captioned action against them with prejudice for failure to state a claim upon which relief can be granted. (db) (Entered: 01/03/2002) 03/27/2002 26 UNOPPOSED NOTICE OF MOTION (filed on service date) by Steven B. Daum, Paula B. Daum for leave to substitute attorney in the above-captioned matter. Certification of Barry S. Pollack in support of motion attached. Return date not indicated. (yv) Modified on 04/03/2002 (Entered: 04/03/2002) 03/29/2002 25 Memo endorsed on motion;, substituting attorney Donnelly Conroy & Gelhaar, LLP for Dechert Price & Rhoads for the individual defts ( signed by Judge Jed S. Rakoff ); Copies mailed. (cd) (Entered: 04/03/2002) 05/29/2002 27 MEMORANDUM ORDER, the Second Amended Complaint is dismissed with prejudice, in its entirety, as untimely. Clerk to enter judgment. ( signed by Judge Jed S. Rakoff ); Copies mailed. (Sent to the Judgment Clerk). (kw) (Entered: 05/31/2002) 05/31/2002 28 JUDGMENT; that for the reasons stated in the Court's Memorandum Order dated 5/29/02, Judgment is entered dismissing with prejudice the second amended complaint as untimely. (signed by James M. Parkison, Clerk of Court); Mailed copies and notice of right to appeal. Entered On Docket: 6/3/02. (kkc) (Entered: 06/03/2002) 05/31/2002 Case closed. (kkc) (Entered: 06/03/2002) 06/06/2002 29 NOTICE OF APPEAL by P. Stolz Family from [28-1] judgment order. Copies of notice of appeal mailed to Attorney(s) of Record: Barry Shawn Pollack. $105.00 appeal filing fee paid, 6/6/02, rect. # 441214. (pr) (Entered: 06/06/2002) 06/06/2002 Notice of appeal and certified copy of docket to USCA: [29-1] appeal by P. Stolz Family ; Copy of notice of appeal sent to District Judge. (pr) (Entered: 06/06/2002) 09/03/2002 USCA Case Number Re: [29-1] appeal by P. Stolz Family USCA NUMBER: 02-7680. (dt) (Entered: 09/03/2002) 10/01/2002 30 Notice that the record on appeal has been certified and transmitted to the U.S. Court of Appeals: [29-1] appeal by P. Stolz Family (pr) (Entered: 10/03/2002) 06/03/2003 by P. Stolz Family, Indexed record on appeal files (02-7680) sent to the U.S.C.A. to Vincenza Singleton. (dt) (Entered: 06/03/2003) 02/05/2004 31 MANDATE of USCA (Certified Copy) as to [29] Notice of Appeal filed by P. Stolz Family Partnership, L.P. USCA Case Number 02-7680. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED IN PART AND REVERSED IN PART IN ACCORDANCE WITH THE OPINION OF THIS COURT. MACKECHNIE, Clerk USCA. Issued As Mandate: 2/2/04. (pr, ) (Entered: 02/05/2004)
02/27/2004 32 Post -Appeal Amendments to Answer and Coutnerclaim by defts Steven Daum and Paula Daum re Amended Complaint. Document filed by Paula B. Daum, Steven B. Daum. (cd, ) (Entered: 03/03/2004) 03/16/2004 33 ORDER; all discovery on the remaining claim in this case to be completed by 06/14/04; If any such discovery results in the need of any party to call an expert, the proponent of such an expert must make all necessary disclosures by 05/14/04, with any response to such disclosures by 05/28/04. Moving papers on any motion for summary judgment must be served by 06/28/04, answering papers by 07/12/04, and reply papers by 07/19/04. F final pre-trial conference, as well as oral argument on any summary judgment motion, will be held on 07/26/04 at 5:00p.m.; (Signed by Judge Jed S. Rakoff on 3/15/04) (djc, ) (Entered: 03/19/2004) 03/17/2004 34 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 Douglas F. Eaton. (Signed by Judge Jed S. Rakoff on 3/16/2004) (jp, ) (Entered: 03/19/2004) 06/28/2004 35 MOTION (FILED ON SERVICE DATE) for Summary Judgment. Document filed by Paula B. Daum, Steven B. Daum. (cd, ) (Entered: 06/30/2004) 06/28/2004 36 AFFIDAVIT of Barry Pollack in Support re: [35] MOTION (FILED ON SERVICE DATE) for Summary Judgment. Document filed by Paula B. Daum, Steven B. Daum. (cd, ) (Entered: 06/30/2004) 06/28/2004 37 RULE 56.1 STATEMENT. Document filed by Paula B. Daum, Steven B. Daum. (cd, ) (Entered: 06/30/2004) 06/28/2004 38 MEMORANDUM OF LAW in Support re: [35] MOTION (FILED ON SERVICE DATE) for Summary Judgment. Document filed by Paula B. Daum, Steven B. Daum. (cd, ) (Entered: 06/30/2004) 07/20/2004 39 MEMORANDUM OF LAW in Opposition re: [35] MOTION (FILED ON SERVICE DATE) for Summary Judgment.. Document filed by P. Stolz Family Partnership, L.P.. (rag, ) (Entered: 07/20/2004) 07/20/2004 40 RULE 56.1 STATEMENT. Document filed by P. Stolz Family Partnership, L.P.. (rag, ) (Entered: 07/20/2004) 07/20/2004 41 DECLARATION of Peter W. Stolz in Opposition re: [35] MOTION (FILED ON SERVICE DATE) for Summary Judgment.. Document filed by P. Stolz Family Partnership, L.P.. (rag, ) (Entered: 07/20/2004) 07/22/2004 42 REPLY in Support re: [35] MOTION (FILED ON SERVICE DATE) for Summary Judgment. Document filed by Paula B. Daum, Steven B. Daum. (ps, ) (Entered: 07/26/2004) 07/23/2004 Minute Entry for proceedings held before Judge Douglas F. Eaton : Settlement Conference held on 7/23/2004 and held further settlement discussions through 8/4/2004. The parties did not reach a settlement agreement. (jeh, ) (Entered: 08/09/2004) 07/26/2004 43 MEMORANDUM TO THE DOCKET CLERK: oral argument, on summary judgment motion, was held in this case. The Court reserved decision. (pl, )
(Entered: 07/27/2004) 07/26/2004 Minute Entry for proceedings held before Judge Jed S. Rakoff : Oral Argument held on 7/26/2004 re: [35] MOTION (FILED ON SERVICE DATE) for Summary Judgment. filed by Steven B. Daum, Paula B. Daum. (pl, ) (Entered: 07/27/2004) 07/30/2004 44 ORDER denying [35] Motion for Summary Judgment; counsel for the parties should jointly call Chambers at 4:00 p.m. on Friday 7/30/2004 to schedule a trial date.. (Signed by Judge Jed S. Rakoff on 7/29/2004) (jp, ) (Entered: 07/30/2004) 08/02/2004 Minute Entry for proceedings held before Judge Jed S. Rakoff : Telephone Conference held on 8/2/2004. (jco, ) (Entered: 08/04/2004) 08/05/2004 MEMORANDUM TO THE DOCKET CLERK: Magistrate Judge Douglas F. Eaton closes the order of reference for magistrate judge statistical purposes. This case remains open. I held settlement conference on 7/23/04, and held further settlement discussions through 8/4/04. The parties didnot reach a settlement agreement. (dle, ) (Entered: 08/06/2004) 08/20/2004 45 Minute Entry for proceedings held before Judge Jed S. Rakoff : Telephone Conference held on 8/20/2004. (djc, ) (Entered: 08/24/2004) 09/03/2004 46 MOTION (FILED ON SERVICE DATE) for an order pursuant to Rule 39(a) determining whether the matter will proceed by way of a jury trial or a bench trial. Document filed by Paula B. Daum, Steven B. Daum. (dle, ) (Entered: 09/10/2004) 09/03/2004 47 MEMORANDUM OF LAW in Support re: [46] MOTION (FILED ON SERVICE DATE).. Document filed by Paula B. Daum, Steven B. Daum. (dle, ) (Entered: 09/10/2004) 09/15/2004 48 RESPONSE to Motion re: [46] MOTION (FILED ON SERVICE DATE). Document filed by P. Stolz Family Partnership, L.P. (cd, ) (Entered: 09/17/2004) 09/17/2004 49 REPLY MEMORANDUM OF LAW in Support re: [46] MOTION (FILED ON SERVICE DATE).. Document filed by Paula B. Daum, Steven B. Daum. (pa, ) (Entered: 09/20/2004) 10/21/2004 Minute Entry for proceedings held before Judge Jed S. Rakoff : Telephone Conference held on 10/21/2004. (jeh, ) (Entered: 10/26/2004) 10/29/2004 Minute Entry for proceedings held before Judge Jed S. Rakoff : Telephone Conference held on 10/29/2004. (jeh, ) (Entered: 11/01/2004) 11/08/2004 50 STIPULATION AND ORDER OF DISMISSAL, this action is hereby discontinued with prejudice and without costs to either party. (Signed by Judge Jed S. Rakoff on 11/8/04) (dt, ) (Entered: 11/09/2004) 11/18/2004 51 CLERK'S JUDGMENT that for the reasons stated in the Court's Stipulation and Order of Dismissal dated Nov 8, 2004, provided that any party may, by Nov 29, 2004,apply for restoration. (Signed by J. Michael McMahon, Clerk on 11/18/04) (jf, ) (Entered: 11/18/2004) 12/09/2004 Mailed notice of Right to Appeal to Attorney(s) of Record: Peter D. Morgenstern, Barry Shawn Pollack, Frank W Ryan. (snu, ) (Entered: 12/09/2004)
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