US District Court Civil Docket as of July 6, 2017 Retrieved from the court on July 6, 2017 U.S. District Court Eastern District of New York (Central Islip) CIVIL DOCKET FOR CASE #: 2:17-cv-02565-LDW-GRB Emerson et al v. Mutual Fund Series Trust et al Assigned to: Judge Leonard D. Wexler Referred to: Magistrate Judge Gary R. Brown Cause: 15:77 Securities Fraud Catalyst Futures Fund Investor Group Richard Kingston Margaret Pak Ken Hopkins Date Filed: 04/28/2017 Jury Demand: Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question represented by Shannon Lee Hopkins Levi & Korsinsky LLP 30 Broad Street 24th Floor New York, NY 10004 212-363-7500 Fax: 212-363-7171 Email: shopkins@zlk.com Rosen Law Firm, P.A. P.C. 275 Madison Avenue Suite 3400 New York, NY 10116 212-686-1060 Fax: 212-202-3827 Email: pkim@rosenlegal.com
The Weinstein Family Trust Kelly Farmer Eugene Almendinger William H. Tod Earle Folk Debra Folk Tom Lovelidge Robbins Geller Rudman & Dowd, LLP 58 South Service Road Suite 200 Melville, NY 11747 631-367-7100 Fax: 631-367-1173 Email: srudman@rgrdlaw.com
Maryann Lovelidge Roger Emerson Mary Emerson Robert Caplin Martha J. Goodlett Individually and on Behalf of All Others Similarly Situated Jeffrey Berkowitz represented by Christopher Joseph Keller Labaton Sucharow & Rudoff LLP 100 Park Avenue 12th Flr. New York, NY 10017 212-907-0853 Fax: 212-818-0477 Email: ckeller@labaton.com Francis P. McConville Labaton Sucharow LLP 140 Broadway New York, NY 10005 212-907-0650 Fax: 212-883-7550 Email: fmcconville@labaton.com V.
Mutual Fund Series Trust Catalyst Capital Advisors LLC Northern Lights Distributors LLC Jerry Szilagyi represented by James F. Moyle Lazare Potter Giacovas & Moyle LLP 875 Thrid Avenue, 28th Floor New York, NY 10022 212-784-2407 Fax: 212-888-0919 Email: jmoyle@lpgmlaw.com represented by James F. Moyle represented by Mark Holland Goodwin Procter LLP The New York Times Building 620 Eighth Avenue New York, NY 10018 212-813-8800 Fax: 212-355-3333 Email: mholland@goodwinlaw.com represented by James F. Moyle Tobias Caldwell Tiberiu Weisz Bert Pariser Erik Naviloff represented by James F. Moyle
Edward Walczak represented by John Daniel Radice Radice Law Firm, PC 34 Sunset Blvd Beach Haven, NJ 08008 646-245-8502 Fax: 646-386-7688 Email: jradice@radicelawfirm.com Date Filed # Docket Text 04/28/2017 1 COMPLAINT for Violations of the Securities Act of 1933 against Tobias Caldwell, Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Northern Lights Distributors LLC, Bert Pariser, Jerry Szilagyi, Edward Walczak, Tiberiu Weisz filing fee $ 400, receipt number 0207-9488742 Was the Disclosure Statement on Civil Cover Sheet completed -YES,, filed by Robert Caplin, Mary Emerson, Roger Emerson, Martha J. Goodlett. (Attachments: # 1 Civil Cover Sheet) (Rudman, Samuel) (Entered: 04/28/2017) 05/01/2017 2 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 3 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 4 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 5 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 6 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 7 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 8 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 9 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 10 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/01/2017 11 This attorney case opening filing has been checked for quality control. See the attachment for corrections that were made. (McMahon, Carol) (Entered: 05/01/2017) 05/01/2017 Case Assigned to Judge Leonard D. Wexler and Magistrate Judge Gary R. Brown. Please download and review the Individual Practices of the assigned Judges, located on our website. Attorneys are responsible for providing courtesy copies to judges
where their Individual Practices require such. (McMahon, Carol) (Entered: 05/01/2017) 05/01/2017 Proposed summonses are rejected; they are in PDFa making them read only documents; the Clerk's Office can not issue the summonses. Counsel is advised to submit proposed summonses that are in PDF format; use the event Proposed Summons/Civil Cover Sheet. (McMahon, Carol) (Entered: 05/01/2017) 05/01/2017 12 In accordance with Rule 73 of the Federal Rules of Civil Procedure and Local Rule 73.1, the parties are notified that if all parties consent a United States magistrate judge of this court is available to conduct all proceedings in this civil action including a (jury or nonjury) trial and to order the entry of a final judgment. Attached to the Notice is a blank copy of the consent form that should be filled out, signed and filed electronically only if all parties wish to consent. The form may also be accessed at the following link: http://www.uscourts.gov/uscourts/formsandfees/forms/ao085.pdf. You may withhold your consent without adverse substantive consequences. Do NOT return or file the consent unless all parties have signed the consent. (McMahon, Carol) (Entered: 05/01/2017) 05/01/2017 13 Proposed Summons. Re 1 Complaint,, by Robert Caplin, Mary Emerson, Roger 05/02/2017 14 Summons Issued as to Tobias Caldwell, Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Northern Lights Distributors LLC, Bert Pariser, Jerry Szilagyi, Edward Walczak, Tiberiu Weisz, on 05/02/2017. (Fagan, Linda) (Entered: 05/02/2017) 05/19/2017 15 NOTICE of Appearance by John Daniel Radice on behalf of Edward Walczak (aty to be noticed) (Radice, John) (Entered: 05/19/2017) 05/22/2017 16 NOTICE of Appearance by James F. Moyle on behalf of Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Jerry Szilagyi (aty to be noticed) (Moyle, James) (Entered: 05/22/2017) 05/23/2017 17 Proposed Scheduling Order and Stipulation to Stay s' Response to Complaint by Catalyst Capital Advisors LLC, Mutual Fund Series Trust, Erik Naviloff, Jerry Szilagyi (Moyle, James) (Entered: 05/23/2017) 05/23/2017 18 NOTICE of Appearance by Mark Holland on behalf of Northern Lights Distributors LLC (aty to be noticed) (Holland, Mark) (Entered: 05/23/2017) 05/24/2017 19 Corporate Disclosure Statement by Northern Lights Distributors LLC identifying Corporate Parent NorthStar Financial Services Group, LLC for Northern Lights Distributors LLC. (Holland, Mark) (Entered: 05/24/2017) 05/26/2017 20 STIPULATION AND ORDER REGARDING STAY OF DEFENDANTS' RESPONSE TO COMPLAINT re 17 Proposed Scheduling Order filed by Catalyst Capital Advisors LLC, Erik Naviloff, Mutual Fund Series Trust, Jerry Szilagyi. So Ordered. (Ordered by Judge Leonard D. Wexler on 5/26/2017.) (Fagan, Linda) (Entered: 05/30/2017) 06/15/2017 21 NOTICE of Change of Firm Name and Contact Information by James F. Moyle (Moyle, James) (Entered: 06/15/2017)
06/26/2017 22 Letter re: Pre-Conference Motion by Robert Caplin, Mary Emerson, Roger Emerson, Martha J. Goodlett (Rudman, Samuel) (Entered: 06/26/2017) 06/26/2017 23 Letter re: Pre-Motion Conference CORRECTED by Robert Caplin, Mary Emerson, Roger Emerson, Martha J. Goodlett (Rudman, Samuel) (Entered: 06/26/2017) 06/27/2017 24 MOTION to Appoint Counsel and Appoint Lead by Catalyst Futures Fund Investor Group. (Attachments: # 1 Proposed Order) (Hopkins, Shannon) (Entered: 06/27/2017) 06/27/2017 25 MEMORANDUM in Support re 24 MOTION to Appoint Counsel and Appoint Lead filed by Catalyst Futures Fund Investor Group. (Hopkins, Shannon) (Entered: 06/27/2017) 06/27/2017 26 AFFIDAVIT/DECLARATION in Support re 24 MOTION to Appoint Counsel and Appoint Lead filed by Catalyst Futures Fund Investor Group. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D) (Hopkins, Shannon) (Entered: 06/27/2017) 06/27/2017 27 MOTION to Appoint Counsel and Lead s by Richard Kingston, Margaret Pak, Ken Hopkins, The Weinstein Family Trust, Kelly Farmer. (Attachments: # 1 Proposed Order) (Kim, Phillip) (Entered: 06/27/2017) 06/27/2017 28 MEMORANDUM in Support re 27 MOTION to Appoint Counsel and Lead s filed by Kelly Farmer, Ken Hopkins, Richard Kingston, Margaret Pak, The Weinstein Family Trust. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit, # 4 Exhibit) (Kim, Phillip) (Entered: 06/27/2017) 06/27/2017 29 MOTION to Appoint Counsel and for Appointment as Lead by Eugene Almendinger, William H. Tod, Earle Folk, Debra Folk, Tom Lovelidge, Maryann Lovelidge. (Attachments: # 1 Proposed Order) (Rudman, Samuel) (Entered: 06/27/2017) 06/27/2017 30 MEMORANDUM in Support re 29 MOTION to Appoint Counsel and for Appointment as Lead filed by Eugene Almendinger, Debra Folk, Earle Folk, Maryann Lovelidge, Tom Lovelidge, William H. Tod. (Rudman, Samuel) (Entered: 06/27/2017) 06/27/2017 31 AFFIDAVIT/DECLARATION in Support re 29 MOTION to Appoint Counsel and for Appointment as Lead filed by Eugene Almendinger, Debra Folk, Earle Folk, Maryann Lovelidge, Tom Lovelidge, William H. Tod. (Attachments: # 1 Exhibit A - PSLRA Notice, # 2 Exhibit B - Sworn Certifications, # 3 Exhibit C - Estimate of losses, # 4 Exhibit D - Joint Declaration in Support, # 5 Exhibit E - Robbins Geller Rudman & Dowd LLP firm resume) (Rudman, Samuel) (Entered: 06/27/2017) 06/27/2017 32 MOTION to Appoint Counsel by Jeffrey Berkowitz. (Attachments: # 1 Memorandum in Support, # 2 Exhibit A) (McConville, Francis) (Entered: 06/27/2017) 06/29/2017 33 Letter from Francis P. McConville Regarding Exhibit A to Jeffrey Berkowitz's Certification by Jeffrey Berkowitz (Attachments: # 1 Exhibit A) (McConville, Francis) (Entered: 06/29/2017)
06/29/2017 34 NOTICE of Appearance by Christopher Joseph Keller on behalf of Jeffrey Berkowitz (aty to be noticed) (Keller, Christopher) (Entered: 06/29/2017) 06/30/2017 35 Letter in response to Labaton Sucharow's June 29, 2017 letter by Eugene Almendinger, Debra Folk, Earle Folk, Maryann Lovelidge, Tom Lovelidge, William H. Tod (Rudman, Samuel) (Entered: 06/30/2017) 07/06/2017 36 MOTION for Leave to Appear Pro Hac Vice for Zachary J. Ziliak Filing fee $ 150, receipt number 0207-9655499. by Edward Walczak. (Attachments: # 1 Certificate of Good Standing for Zachary J. Ziliak, # 2 Affidavit in support of motion for Zachary J. Ziliak to appear PHV, # 3 Proposed Order) (Radice, John) (Entered: 07/06/2017) 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