US District Court Civil Docket as of 02/09/2006 Retrieved from the court on Friday, October 13, 2006 U.S. District Court Eastern District of Tennessee (Chattanooga) CIVIL DOCKET FOR CASE #: 1:03-cv-01005 Bernstein v. CorTS Trust, et al Assigned to: Honorable Curtis L Collier Referred to: Magistrate C Clifford Shirley Demand: $0 Cause: 15:78m(a) Securities Exchange Act Plaintiff Harriet Bernstein Date Filed: 11/17/2003 Jury Demand: Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Edward P Dietrich Lerach, Coughlin, Stoia, Geller, Rudman & Robbins 655 West Broadway, Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: edd@lerachlaw.com Gary S Graifman Kantrowitz, Goldhamer & Graifman 210 Summit Avenue Montvale, NJ 07645 Email: ggraifman@kgglaw.com Pamela E Kulsrud 830 Third Avenue New York, NY 10022 212-371-6600 Fax: 212-751-2540 Email: pkulsrud@kmslaw.com V. CorTS Trust for Provident Financing Trust I represented by T Maxfield Bahner Chambliss, Bahner & Stophel, PC Two Union Square Suite 1000 Tallan Building Chattanooga, TN 37402-2502
423-756-3000 Email: mbahner@cbslawfirm.com W Jeffrey Hollingsworth Chambliss, Bahner & Stophel, PC Two Union Square Suite 1000 Tallan Building Chattanooga, TN 37402-2502 423-756-3000 Email: jhollingsworth@cbslawfirm.com Provident Financing Trust I Unumprovident Corp represented by John P Konvalinka Grant, Konvalinka & Harrison, PC 633 Chestnut Street Suite 900 One Republic Centre Chattanooga, TN 37450 423-756-8400 Fax: 423-756-6518 Email: jkonvalinka@gkhpc.com J Harold Chandler represented by William H Horton Horton, Maddox & Anderson, PLLC 835 Georgia Avenue Suite 600 One Central Plaza Chattanooga, TN 37402 423-265-2560 Email: whorton@chattanooga-law.com Robert C Greving represented by John P Konvalinka
Salomon Smith Barney represented by T Maxfield Bahner W Jeffrey Hollingsworth Citigroup, Inc Structured Products Corp. represented by T Maxfield Bahner W Jeffrey Hollingsworth Salomon Smith Barney Holdings, Inc. represented by T Maxfield Bahner W Jeffrey Hollingsworth Date Filed # Docket Text 11/17/2003 1 Order Transferring case to EASTERN DIST TN w/original record from Eastern District of NY (AWH) Modified on 12/02/2003 (Entered: 11/19/2003) 01/06/2004 2 ATTORNEY APPEARANCE by T. Maxfield Bahner and W. Jeffrey
Hollingsworth for the law firm of Chambliss, Bahner and Stophel, P.C. for dfts Salomon Smith Barney and Citigroup, Inc C/S (AWH) Modified on 01/12/2004 (Entered: 01/12/2004) 01/09/2004 3 MOTION by plaintiff Harriet Bernstein for attorney Gary S. Graifman to appear pro hac vice w/certificate of good standing from the District of New Jersey (AWH) (Entered: 01/15/2004) 01/15/2004 5 MOTION by LEAD PLA GLICKENHAUS to vacate 9/17/03 lead pla's order in BERNSTEIN V CORTS TRUST, and to consolidate all "CORTS" CASES into in re Unumprovident Securites Litigation (original located in 1:03-cv-49) (AWH) (Entered: 02/06/2004) 01/21/2004 4 ORDER by Mag Judge William B. Carter granting motion for Attorney Gary S. Graifman of Kantrowitz, Goldhamer & Graifman to appear pro hac vice [3-1] (cc: all counsel) (TJG) (Entered: 01/23/2004) 02/03/2004 REMARK. file #2 begins with pleading no. 9 (TJG) (Entered: 02/08/2004) 02/04/2004 6 OPPOSITION by plaintiff Harriet Bernstein to [5-1] [5-2] (AWH) (Entered: 02/06/2004) 02/04/2004 7 DECLARATION w/attachments of Howard T. Longman re [6-1] (AWH) (Entered: 02/06/2004) 02/04/2004 9 MEMORANDUM IN LAW IN RESPONSE to motion to vacate 9/17/03 lead pla's order in BERNSTEIN V CORTS TRUST [5-1], to motion to consolidate all "CORTS" CASES into in re Unumprovident Securites Litigation (original located in 1:03-cv-49) [5-2] C/S (TJG) (Entered: 02/08/2004) 02/04/2004 10 DECLARATION OF Atty W. Jeffrey Hollingsworth. (TJG) (Entered: 02/08/2004) 02/05/2004 8 NOTICE by pla of filing certificates of service for pleadings nos 6 and 7 (AWH) (Entered: 02/06/2004) 02/11/2004 11 REPLY in support by plaintiff re [5-1], re [5-2] C/S (TJG) (Entered: 02/11/2004) 02/17/2004 12 MOTION by defendant Salomon Smith Barney, defendant Citigroup, Inc., Prudential Securities Inc. and First Union for leave to file sur-reply to Glickenhaus & Co's response C/S (TJG) (Entered: 02/23/2004) 02/18/2004 13 MEMORANDUM by Honorable Curtis L. Collier in support of the following order. (cc: all counsel) (TJG) (Entered: 02/23/2004) 02/18/2004 14 ORDER by Honorable Curtis L. Collier denying motion to vacate 36; Court grants the joint motion to consolidate cases; Court to consolidate cases 1:03-cv-1003 (lead case) with member cases 1:03-cv-1006 and 1:03-cv-1007. (cc: all counsel) (TJG) (Entered: 02/23/2004) 03/09/2004 15 MOTION by plaintiff Harriet Bernstein for modification of the second management order to allow filing of amended complaint C/S (TJG) Modified on 03/10/2004 (Entered: 03/10/2004) 03/09/2004 16 MEMORANDUM IN SUPPORT by plaintiff of motion for modification of the second management order to allow filing of amended complaint [15-1] C/S (TJG)
Modified on 03/10/2004 (Entered: 03/10/2004) 03/16/2004 17 ORDER by Honorable Curtis L. Collier granting pla Bernstein's motion modifying the second management order and 2/18/04 order to allow filing of amended complaint [15-1] (cc: all counsel) (AWH) Modified on 03/17/2004 (Entered: 03/17/2004) 03/19/2004 18 AMENDED CLASS ACTION COMPLAINT FOR VIOLATIONS OF FEDERAL SECURITIES LAWS [1-1] by plaintiff Harriet Bernstein; adding Structured Products, Salomon Holdings Inc; jury demand (TJG) Modified on 03/22/2004 (Entered: 03/22/2004) 03/31/2004 19 MOTION by plaintiff Harriet Bernstein for an order to appoint liaison counsel (with proposed order) C/S (TJG) (Entered: 03/31/2004) 03/31/2004 20 MEMORANDUM IN SUPPORT by plaintiff of motion for an order to appoint liaison counsel [19-1] C/S (TJG) (Entered: 03/31/2004) 04/07/2004 21 NOTICE OF FILING of Exhibit A by plaintiff re memorandum [20-1] C/S (TJG) (Entered: 04/07/2004) 04/12/2004 22 ORDER by Honorable Curtis L. Collier denying Lead pla's motion to appoint liaison counsel [19-1] (cc: all counsel) (TJG) (Entered: 04/12/2004) 04/12/2004 NOTICE OF TELEPHONE CONFERENCE before Mag Judge C Clifford Shirley ; telephone conference set for 3:00 4/14/04 (cc: all counsel) (AYB) (Entered: 04/12/2004) 04/19/2004 23 MOTION by defendant Unumprovident Corp, defendant Robert C Greving to dismiss the consolidated amended complaints C/S (TJG) (Entered: 04/21/2004) 04/19/2004 24 MEMORANDUM IN SUPPORT by defendant Unumprovident Corp, defendant Robert C Greving of motion to dismiss the consolidated amended complaints [23-1] C/S (TJG) (Entered: 04/21/2004) 04/19/2004 25 MOTION by defendant J Harold Chandler to dismiss C/S (TJG) (Entered: 04/21/2004) 04/19/2004 REMARK. File #3 begins with pleading #26 (TJG) (Entered: 04/21/2004) 04/19/2004 26 NOTICE of motion and motion for enlargment of page limit to file a single combined motion to dismiss counts I, II and III of the amended Bernstein Class Action complaint and the third claim for relief of the amended consolidate Azzolini class action complaint by defendant CorTS Trust, defendant Salomon Smith Barney, defendant Structured Products, defendant Salomon Holdings Inc C/S (TJG) (Entered: 04/21/2004) 04/19/2004 27 MOTION for enlargement of page limit to file a single combined motion to dismiss counts I, II and III of the amended Bernstein class action complaint and the third claim for relief of the amended consolidated Azzolini class action complaint by defendant CorTS Trust, defendant Salomon Smith Barney, defendant Structured Products, defendant Salomon Holdings Inc for order C/S (TJG) (Entered: 04/21/2004) 04/19/2004 28 NOTICE of motion to dismiss counts I,II and III of the Amended bernstein
complaint and the third claim for relief of the amended consolidated Azzolini class action complaint by defendant CorTS Trust, defendant Salomon Smith Barney, defendant Structured Products, defendant Salomon Holdings Inc C/S (TJG) (Entered: 04/21/2004) 04/19/2004 29 MOTION by defendant CorTS Trust, defendant Salomon Smith Barney, defendant Structured Products, defendant Salomon Holdings Inc to dismiss counts I, II and III of the amended Bernstein class action complaint and the third claim for relief of the amended consolidated Azzolini class action complaint C/S (TJG) (Entered: 04/21/2004) 04/19/2004 30 MEMORANDUM IN SUPPORT by defendant of motion to dismiss counts I, II and III of the amended Bernstein class action complaint and the third claim for relief of the amended consolidated Azzolini class action complaint [29-1] reference case 1:03-cv-1003 (cf no. 20) for full pleading with exhibits. C/S (TJG) (Entered: 04/21/2004) 04/19/2004 31 DECLARATION OF T. MAXFIELD BAHNER in support by defendant re memorandum [30-1]; reference case no. 1:03-cv-1003, cf #21 for full document with exhibits. C/S (TJG) Modified on 04/21/2004 (Entered: 04/21/2004) 05/11/2004 32 ORDER granting [27] Motion enlargement of page limit with respect to memorandum in support of motions to dismiss. Signed by Judge Curtis L Collier on 5/11/04.(CHP, ) (Entered: 05/12/2004) 05/27/2004 33 STATUS REPORT on Joint Meeting with Mediator by Unumprovident Corp. (Konvalinka, John) (Entered: 05/27/2004) 06/03/2004 34 STATUS REPORT Relative to Joint Discovery Plan by Unumprovident Corp. (Konvalinka, John) (Entered: 06/03/2004) 06/03/2004 37 Notice of motion for modification of the second management order by Harriet Bernstein. (AWH, ) (Entered: 06/10/2004) 06/03/2004 38 Declaration of Gary S. Graifman in support of motion for modification of second management order and for extension of time to file opposition briefs by Harriet Bernstein. (AWH, ) (Entered: 06/10/2004) 06/10/2004 First MOTION for Leave to File Excess Pages by Harriet Bernstein. (Graifman, Gary) Modified on 6/10/2004 to delete this document because it was filed without attachments per Atty Griafman's office (AWH, ). (Entered: 06/10/2004) 06/10/2004 36 First MOTION for Leave to File Excess Pages by Harriet Bernstein. (Attachments: # 1 # 2 # 3 # 4 # 5)(Graifman, Gary) (Entered: 06/10/2004) 06/10/2004 RESPONSE in Opposition re [25] Motion to Dismiss, [23] Motion to Dismiss The CorTS Plaintiffs' (Azzolini and Bernstein) Memorandum in Opposition to the UnumProvident s' Motion to Dismiss the Consolidated Amended Complaints filed by Harriet Bernstein. (Kulsrud, Pamela) Modified on 6/17/2004; document to be refiled to correct format and sequence (TJG, ). Modified on 6/17/2004 (TJG, ). (Entered: 06/10/2004) 06/10/2004 MOTION for Leave to File Excess Pages Motion by Lead Plaintiffs in the CorTS Actions for Permission to Exceed the Page Limitation for their Joint Memorandum
in Opposition to the UnumProvident s' Motion to Dismiss the Consolidated Amended Complaints by Harriet Bernstein. (Attachments: # (1) Text of Proposed Order Proposed Order Permitting Lead Plaintiffs in the CorTS Actions Permission to Exceed the Page Limitation)(Kulsrud, Pamela) Modified on 6/15/2004 to delete attachment of the proposed order (AWH, ). Modified on 6/17/2004; document to be refiled to correct format and proper sequence (TJG, ). (Entered: 06/10/2004) 06/15/2004 41 MOTION for Leave to File Excess Pages Motion by Lead Plaintiffs in the CorTS Actions for Permission to Exceed the Page Limitation for their Joint Memorandum in Opposition to the UnumProvident s' Motion to Dismiss Consolidated Amended Complaints by Harriet Bernstein. (Attachments: # 1 Exhibit The CorTS Plaintiffs' Joint Memorandum in Opposition to the Unum Provident s' Motion to Dismiss the Consolidated Amended Complaints)(Kulsrud, Pamela) (Entered: 06/15/2004) 06/15/2004 42 ORDER granting 37 Motion to extend time and extending time in which lead plaintiffs may respond to defendants motion(s) for summary judgment up to and including 6/10/04. Signed by Judge Curtis L Collier on 6/15/2004. (CHP, ) (Entered: 06/16/2004) 06/21/2004 43 ORDER granting 41 Motion for Leave to File Excess Pages; lead plaintiffs are permitted to exceed the 25 page limitation and to file a joint opposition brief not to exceed 45 pages. Signed by Judge Curtis L Collier on 6/21/04(CHP, ) (Entered: 06/21/2004) 06/24/2004 44 RESPONSE in Opposition re [25] Motion to Dismiss, [23] Motion to Dismiss The CorTS Plaintiffs' Joint Memorandum in Opposition to the Unum Provident s' Motion to Dismiss the Cons. Am. Complaint filed by Harriet Bernstein. (Attachments: # 1 Exhibit Slip Opinion from Muzinich v. Raytheon, et al.)(kulsrud, Pamela) (Entered: 06/24/2004) 06/28/2004 45 MEMORANDUM in Support of Motion re [29] Motion to Dismiss Reply Memorandum in Further Support of Their Motion to Dismiss filed by CorTS Trust for Provident Financing Trust I. (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C - Part I# 4 Exhibit C - Part II# 5 Exhibit C - Part III# 6 Exhibit C - Part IV)(Bahner, T) (Entered: 06/28/2004) 06/28/2004 46 REPLY to Response to Motion re [23] Motion to Dismiss the Consolidated Amended Complaint filed by Unumprovident Corp. (Konvalinka, John) (Entered: 06/28/2004) 07/02/2004 47 REPLY to Response to Motion re [25] Motion to Dismiss Consolidated Amended Complaint filed by J Harold Chandler. (Horton, William) (Entered: 07/02/2004) 07/08/2004 48 DISCOVERY ORDER to be set forth more fully in this Order.Signed by Judge C Clifford Shirley on July 8, 2004. (AYB) (Entered: 07/08/2004) 07/20/2004 NOTICE of Hearing: Telephone Status Conference set for 7/22/2004 02:30 PM in chambers before Magistrate C Clifford Shirley. (AYB) (Entered: 07/20/2004) 07/22/2004 49 Minute Entry for proceedings held before Judge C Clifford Shirley: Telephone Conference held on 7/22/2004, with the Court clarifying paragraphs 2 and
4(A)(1)(a)(ii) of the Discovery Order relative to the statutory stay and start of discovery. (CRS, Courtroom Deputy) (Entered: 07/27/2004) 01/05/2005 50 STATUS REPORT (The Parties' Joint Submission Concerning the Discovery Order) by Unumprovident Corp. (Konvalinka, John) (Entered: 01/05/2005) 02/07/2005 51 NOTICE by Unumprovident Corp re 46 Reply to Response to Motion of Recent Developments (Attachments: # 1 Exhibit Lentell v. Merrill Lynch)(Konvalinka, John) (Entered: 02/07/2005) 04/29/2005 52 NOTICE by Unumprovident Corp Notice of Recent Developments (Attachments: # 1 Exhibit Dura Pharmaceuticals v Broudo)(Konvalinka, John) (Entered: 04/29/2005) 05/26/2005 53 RESPONSE BY CORTS I PLAINTIFFS. (Attachments: # 1 Letter to Judge Collier with Response and Commentary# 2 Certification of Service of Plaintiff Response)(Graifman, Gary) (Entered: 05/26/2005) 08/11/2005 54 ORDER granting the motion for enlargment of page limit re 36 First MOTION for Leave to File Excess Pages filed by pla Harriet Bernstein. Accordingly, the Court orders the Clerk of Court to redocket pla Bernstein's responsive brief. Signed by Judge Curtis L Collier on 8/11/2005. (TJG, ) (Entered: 08/11/2005) 08/11/2005 55 MEMORANDUM OF LAW in Opposition to motion of SSB defts to dismiss amended complaint re [29] Motion to Dismiss filed by pla Harriet Bernstein. (TJG, ) (Entered: 08/11/2005) 09/12/2005 56 MEMORANDUM AND OPINION in support of the following order.signed by Judge Curtis L Collier on 9/12/2005. (TJG, ) (Entered: 09/12/2005) 09/12/2005 57 ORDER granting UnumProvident deft's [23] Motion to Dismiss the consolidated complaints; granting [25] deft Chandler's Motion to Dismiss the consolidated amended complaints and DISMISSES Count IV and Count V of pla Bernstein's 'amended class action complaint.'[18] Signed by Judge Curtis L Collier on 9/12/2005. (TJG, ) (Entered: 09/12/2005) 09/16/2005 58 MEMORANDUM AND OPINION in support of the following order.signed by Judge Curtis L Collier on 9/16/2005. (TJG, ) (Entered: 09/16/2005) 09/16/2005 59 ORDER granting in part and denying in part [29] deft SSB's Motion to Dismiss counts 1, 2 and 3; RESERVES RULING IN PART with respect to valid Section 12(a)(2) claim; GRANTS IN PART Bernstein's request for leave to amend [27]; DENIES IN PART Bernstein's request for leave to amend with respect to any claim other thatn the Section 15 claim and the Section 11 claim against deft SSB Holdings. Signed by Judge Curtis L Collier on 9/16/2005. (TJG, ) (Entered: 09/16/2005) 09/30/2005 60 MOTION to Alter Judgment Alter or AMend the Court's Order of 9/16/05 and for Judgment on the Pleadings Order on Motion to Dismiss, by Salomon Smith Barney. (Hollingsworth, W) (Entered: 09/30/2005) 09/30/2005 61 AFFIDAVIT in Support re 60 MOTION to Alter Judgment Alter or AMend the Court's Order of 9/16/05 and for Judgment on the Pleadings Order on Motion to Dismiss, filed by Salomon Smith Barney. (Attachments: # 1 Exhibit
A)(Hollingsworth, W) (Entered: 09/30/2005) 09/30/2005 62 MEMORANDUM in Support of Motion re 60 MOTION to Alter Judgment Alter or AMend the Court's Order of 9/16/05 and for Judgment on the Pleadings Order on Motion to Dismiss, filed by Salomon Smith Barney. (Attachments: # 1 # 2 # 3 # 4 # 5 # 6)(Hollingsworth, W) (Entered: 09/30/2005) 09/30/2005 63 ANSWER to Amended Complaint by Salomon Smith Barney Holdings, Inc., Salomon Smith Barney, Structured Products Corp..(Hollingsworth, W) (Entered: 09/30/2005) 10/03/2005 64 SSB s ANSWER to Complaint Answer & Affirmative Defenses to Amended Class Action Complaint by Salomon Smith Barney.(Hollingsworth, W) (Entered: 10/03/2005) 10/19/2005 65 MOTION for Extension of Time to File Response/Reply and for Judgment by CorTS Trust for Provident Financing Trust I. (Hollingsworth, W) (Entered: 10/19/2005) 10/19/2005 66 Agreed Proposed Order by CorTS Trust for Provident Financing Trust I. (Hollingsworth, W) (Entered: 10/19/2005) 10/19/2005 67 AGREED ORDER FOR ENLARGEMENT OF TIME for plas to reply to motion to alter or amend the court's order by 11/4/05; dfts have up to and including 11/18/05. tp reply 65 filed by CorTS Trust for Provident Financing Trust I, Signed by Judge Curtis L Collier on 10/21/05. (AWH, ) (Entered: 10/21/2005) 10/26/2005 68 Joint MOTION misc. for Entry of Agreed Amended Discovery Order by Harriet Bernstein. (Attachments: # 1 # 2)(Dietrich, Edward) (Entered: 10/26/2005) 11/07/2005 69 RESPONSE in Opposition re 60 MOTION to Alter Judgment Alter or AMend the Court's Order of 9/16/05 and for Judgment on the Pleadings Order on Motion to Dismiss, filed by Harriet Bernstein. (Attachments: # 1 Exhibit Declaration Concerning Inability to File Electronically# 2 Exhibit Letter to Clerk)(Kulsrud, Pamela) Modified on 11/9/2005 (FILED STAMPED DATE OF 11/4/05 IS PROTECTED) (Entered: 11/07/2005) 11/18/2005 70 RESPONSE to Motion re 60 MOTION to Alter Judgment Alter or AMend the Court's Order of 9/16/05 and for Judgment on the Pleadings Order on Motion to Dismiss, THE SSB DEFENDANTS' REPLY MEMORANDUM OF LAW IN FURTHER SUPPORT OF THEIR MOTION (A) TO ALTER OR AMEND THE COURT'S ORDER OF SEPTEMBER 16, 2005 AND/OR (B) FOR JUDGMENT ON THE PLEADINGS ON COUNTS I AND II ON THE AMENDED BERNSTEIN CLASS ACTION COMPLAINT AND THE THIRD CLAIM FOR RELIEF OF THE AMENDED CONSOLIDATED AZZOLINI CLASS ACTION COMPLAINT filed by CorTS Trust for Provident Financing Trust I. (Attachments: # 1 # 2)(Bahner, T) (Entered: 11/18/2005) 11/30/2005 71 MEMORANDUM & ORDER Denying as moot Doc. 149 and granting Doc. 150 in lead case 1:03-cv-49.Signed by Judge C Clifford Shirley on 11/30/2005. (LAK) (Entered: 11/30/2005) 11/30/2005 72 AGREED AMENDED DISCOVERY ORDER re 48 Order, 68 Joint MOTION for Entry of Agreed Amended Discovery Order filed by Harriet Bernstein. The parties
shall meet and confer to establish a joint mediation plan and submit it to the Court by no later than 12/15/05 or an alternate date at the Court's directionsigned by Judge C Clifford Shirley on 11/30/05. (DCP) (Entered: 11/30/2005) 11/30/2005 Set/Reset Deadlines: Have parties submitted joint mediation plan to the court? Status Report due by 12/15/2005. (DCP) (Entered: 11/30/2005) 12/14/2005 73 MEMORANDUM with order to follow; Signed by Judge Curtis L Collier on 12/14/05. (AWH, ) (Entered: 12/15/2005) 12/14/2005 ORDER granting in part and denying in part the motion to alter judgment.60. Signed by Judge Curtis L Collier on 12/14/05. (AWH, ) Modified on 12/15/2005 (AWH, ). (ORDER IS BEING DISABLED DUE TO JUDGE'S SIGNATURE NOT BEING ON ORDER.) (Entered: 12/15/2005) 12/14/2005 75 ORDER granting in part and denying in part the motion to alter judgment. re 60 Signed by Judge Curtis L Collier on 12/14/05. (AWH, ) (Entered: 12/15/2005) 02/09/2006 76 ORDER DISMISSING CASESigned by Judge Curtis L Collier on 2/9/06. (TJG, ) (Entered: 02/09/2006) 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