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US District Court Civil Docket as of 09/29/2006
Retrieved from the court on Monday, March 12, 2007
U.S. District Court
Southern District of California (San Diego)
CIVIL DOCKET FOR CASE #: 3:01-cv-00205-BEN-AJB
Ruffalo, et al v. En Pointe, et al Date Filed: 02/02/2001
Assigned to: Judge Roger T. Benitez Jury Demand: Plaintiff
Referred to: Magistrate Judge Anthony J. Battaglia Nature of Suit: 850
Demand: $50,000,000 Securities/Commodities
Cause: 15:78m(a) Securities Exchange Act Jurisdiction: Federal Question
Plaintiff
Gregg A Ruffalo represented by Patrick Nathaniel Keegan
on behalf of himself and all others Keegan and Baker
similarly situtated 4180 La Jolla Village Drive
TERMINATED: 10/07/2002 Suite 450
San Diego, CA 92037
(858)552-6750
Email: pkeegan@kmb-law.com
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
George Levey represented by Patrick Nathaniel Keegan
on behalf of himself and all other similarly (See above for address)
situated TERMINATED: 10/07/2002
TERMINATED: 10/07/2002 LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Richard Casper represented by Michael David Braun
on behalf of himself and all others Braun Law Group
similarly situated 12400 Wilshire Boulevard
TERMINATED: 10/07/2002 Suite 920
Los Angeles, CA 90025
(310)442-7755
Fax: (310)442-7756
Email: service@braunlawgroup.com
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Marc Nelson represented by Michael David Braun
on behalf of himself and all others (See above for address)
similarly situated TERMINATED: 10/07/2002
TERMINATED: 10/07/2002 LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Albert Halegous represented by Jeffrey R Krinsk
on behald of himself and all others Finkelstein and Krinsk
similarly situated 501 West Broadway
TERMINATED: 10/07/2002 Suite 1250
San Diego, CA 92101-3593
(619)238-1333
Fax: (619)238-5425
Email: jrk@classactionlaw.com
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Robert Flamberg represented by Burton H Finkelstein
Finkelstein Thompson and Loughran
1055 Thomas Jefferson Street Northwest
Suite 601
Washington, DC 20007
(202)337-8000
Fax: (202)337-8090
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James C Krause
Krause Kalfayan Benink and Slavens
625 Broadway
Suite 635
San Diego, CA 92101
(619)232-0331
Fax: (619)232-4019
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Nathaniel Keegan
(See above for address)
TERMINATED: 10/29/2004
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Wilford Gentry represented by Burton H Finkelstein
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James C Krause
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Nathaniel Keegan
(See above for address)
TERMINATED: 10/29/2004
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Robert Mayer represented by Burton H Finkelstein
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James C Krause
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Nathaniel Keegan
(See above for address)
TERMINATED: 10/29/2004
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Dennis Pasko represented by Burton H Finkelstein
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James C Krause
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Nathaniel Keegan
(See above for address)
TERMINATED: 10/29/2004
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Plaintiff
Richard Tavano represented by Burton H Finkelstein
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James C Krause
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Patrick Nathaniel Keegan
(See above for address)
TERMINATED: 10/29/2004
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
V.
Defendant
En Pointe Technologies, Inc. represented by Todd Eliot Gordinier
Stradling Yocca Carlson and Rauth
660 Newport Center Drive
Suite 1600
Newport Beach, CA 92660-6441
(949)725-4000
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Javed Latif represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Naureen Din represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Zubair Ahmed represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Ellis Posner represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Mark Briggs represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Verdell Garroutte represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Jacob Stetton represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Eric Keating represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Robert Mercer represented by Todd Eliot Gordinier
TERMINATED: 10/07/2002 (See above for address)
TERMINATED: 10/07/2002
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Hampton-Porter Investment Bankers represented by Todd Eliot Gordinier
LLC (See above for address)
TERMINATED: 08/25/2003 TERMINATED: 08/25/2003
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
H-P Holdings, LLC represented by Todd Eliot Gordinier
TERMINATED: 08/25/2003 (See above for address)
TERMINATED: 08/25/2003
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Time Holdings LLC represented by Todd Eliot Gordinier
TERMINATED: 08/25/2003 (See above for address)
TERMINATED: 08/25/2003
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
JSL Holdings L.P. represented by Todd Eliot Gordinier
TERMINATED: 08/25/2003 (See above for address)
TERMINATED: 08/25/2003
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
JSL Enterprises LLC represented by Todd Eliot Gordinier
TERMINATED: 08/25/2003 (See above for address)
TERMINATED: 08/25/2003
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
John William Laurienti represented by Todd Eliot Gordinier
TERMINATED: 08/25/2003 (See above for address)
TERMINATED: 08/25/2003
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Gregory Walker represented by Todd Eliot Gordinier
TERMINATED: 08/25/2003 (See above for address)
TERMINATED: 08/25/2003
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Defendant
Attiazaz Attiazaz Bob Din represented by Todd Eliot Gordinier
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
ThirdParty Plaintiff
En Pointe Technologies, Inc. represented by Todd Eliot Gordinier
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
ThirdParty Plaintiff
Attiazaz Attiazaz Bob Din represented by Todd Eliot Gordinier
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
V.
ThirdParty Defendant
First Union Securities, Inc. represented by Christopher J Barber
Gardner Carton and Douglas
191 North Wacker Drive
Suite 3700
Chicago, IL 60606
(312)569-1000
Fax: (312)569-3402
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Katherine C Helzer
Gardner Carton and Douglas
191 North Wacker Drive
Suite 3700
Chicago, IL 60606
(312)569-1000
Fax: (312)569-3431
Email: khelzer@gcd.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Nancy L Hendrickson
Gardner Carton and Douglas
191 North Wacker Drive
Suite 3700
Chicago, IL 60606
(312)569-1000
Fax: (312)569-3404
Email: nhendrickson@gcd.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
ThirdParty Defendant
Wachovia Securities LLC represented by Katherine C Helzer
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Date Filed # Docket Text
02/02/2001 1 Complaint Filed; (referred to Magistrate Judge Cynthia G. Aaron) Receipt No/Amt
of Fee: #68094/$150; Jury demand (dkt clerk) Modified on 05/02/2006 (Entered:
02/05/2001)
02/02/2001 2 Summons issued (dkt clerk) (Entered: 02/05/2001)
02/22/2001 3 Return of Service executed upon defendant Gregory Walker on 2/8/01 (jrl)
(Entered: 02/23/2001)
02/22/2001 4 Return of Service executed upon defendant Time Holdings LLC on 2/8/01 (jrl)
(Entered: 02/23/2001)
02/22/2001 5 Return of Service executed upon defendant Robert Mercer on 2/7/01 (jrl) (Entered:
02/23/2001)
02/22/2001 6 Return of Service executed upon defendant HP Holdings LLC on 2/7/01 (jrl)
(Entered: 02/23/2001)
02/22/2001 7 Return of Service executed upon defendant En Pointe on 2/7/01 (jrl) (Entered:
02/23/2001)
03/06/2001 8 Stipulation and Order by Judge M. J. Lorenz. The En Pointe dfts response to cmp
whether by mot, answer or otherwise, shall be filed and served 30 days from receipt
of the court's order on the mot for designation of lead pla and lead pla's cnsl. (dkt
clerk) (Entered: 03/06/2001)
03/09/2001 9 Return of Service of summons and cmp executed upon defendant Ellis Posner on
2/25/01 (dkt clerk) (Entered: 03/12/2001)
03/09/2001 10 Return of Service of summons and cmp executed upon defendant Naureen Din on
2/9/01 (dkt clerk) (Entered: 03/12/2001)
03/09/2001 11 Return of Service of summons and cmp executed upon defendant Mark Briggs on
2/11/01 (dkt clerk) (Entered: 03/12/2001)
03/09/2001 12 Return of Service of summons and cmp executed upon defendant Attiazaz Din on
2/9/01 (dkt clerk) (Entered: 03/12/2001)
03/09/2001 13 Return of Service of summons and cmp executed upon defendant Javed Latif on
2/10/01 (dkt clerk) (Entered: 03/12/2001)
03/09/2001 14 Return of Service of summons and cmp executed upon defendant Hampton Porter
Invst on 2/8/01 (dkt clerk) (Entered: 03/12/2001)
03/09/2001 15 Return of Service of summons and cmp executed upon defendant Zubair Ahmed on
2/11/01 (dkt clerk) (Entered: 03/12/2001)
04/03/2001 16 Notice of Motion and Motion by plaintiff Gregg A Ruffalo for appointment of lead
plas , for approval of movants' selection of lead cnsl [ motion(s) referred to Judge
M. J. Lorenz ], motion hrg set for 5/7/01 at 10:00 am (dkt clerk) (Entered:
04/04/2001)
04/03/2001 17 Memorandum of points and authorities by plaintiff Gregg A Ruffalo in support of
motion for appointment of lead plas [16-1], in support of motion for approval of
movants' selection of lead cnsl [16-2] (dkt clerk) (Entered: 04/04/2001)
04/03/2001 18 Declaration of Patrick N. Keegan by plaintiff Gregg A Ruffalo re motion for
appointment of lead plas [16-1], re motion for approval of movants' selection of
lead cnsl [16-2] (dkt clerk) (Entered: 04/04/2001)
04/03/2001 19 Notice of lodgment by plaintiff Gregg A Ruffalo ; motion for appointment of lead
plas [16-1], motion for approval of movants' selection of lead cnsl [16-2] (dkt
clerk) (Entered: 04/04/2001)
04/03/2001 20 Notice of Motion and Motion by plaintiff Gregg A Ruffalo to consolidate related
actions for violations of the Securities Exchange Act of 1934 [ motion(s) referred to
Judge M. J. Lorenz ]; motion hrg set for 5/7/01 at 10:00 am (dkt clerk) (Entered:
04/04/2001)
04/03/2001 21 Memorandum of points and authorities by plaintiff Gregg A Ruffalo in support of
motion to consolidate related actions for violations of the Securities Exchange Act
of 1934 [20-1] (dkt clerk) (Entered: 04/04/2001)
04/03/2001 22 Declaration of Patrick N. Keegan by plaintiff Gregg A Ruffalo re motion to
consolidate related actions for violations of the Securities Exchange Act of 1934
[20-1] (dkt clerk) (Entered: 04/04/2001)
04/04/2001 23 ****DOCUMENT WITHDRAWN 4/19/01 by pla Thomas M Magrath and pla
Charles Burke, Jr. **** Notice of Motion and Motion by movant Thomas M
Magrath, movant Charles Burke Jr to appoint lead pla pursuant to 21D(a)(3)(B)of
the Securities Exchange Act of 1934 , and to approve proposed lead pla's choice of
cnsl [ motion(s) referred to Judge M. J. Lorenz ], motion hrg set for 5/7/01 at 10:30
am (atty maint) (dkt clerk) Modified on 04/20/2001 (Entered: 04/05/2001)
04/04/2001 24 ****DOCUMENT WITHDRAWN 4/19/01 by pla Thomas M Magrath and pla
Charles Burke, Jr. ***** Memorandum of points and authorities by movant
Thomas M Magrath, movant Charles Burke Jr in support of motion to appoint lead
pla pursuant to 21D(a)(3)(B)of the Securities Exchange Act of 1934 [23-1], in
support of motion to proposed lead pla's choice of cnsl [23-2] (dkt clerk) Modified
on 04/20/2001 (Entered: 04/05/2001)
04/09/2001 25 Amended Proof of service by movant Thomas M Magrath, movant Charles Burke
Jr of mot to appt lead pla and memo of points and authorities. (dkt clerk) (Entered:
04/10/2001)
04/19/2001 26 Withdrawal by movant Thomas M Magrath, movant Charles Burke Jr of motion to
appoint lead pla pursuant to 21D(a)(3)(B)of the Securities Exchange Act of 1934
[23-1], motion to approve proposed lead pla's choice of cnsl [23-2]and p/a 24 (ksr)
(Entered: 04/20/2001)
04/23/2001 27 Non-opposition by defendant En Pointe to motion for appointment of lead plas [16-
1] (dkt clerk) (Entered: 04/24/2001)
04/23/2001 28 Non-opposition by defendant En Pointe to motion for approval of movants'
selection of lead cnsl [16-2] (dkt clerk) (Entered: 04/24/2001)
05/03/2001 29 Order by Judge M. J. Lorenz granting motion to consolidate related actions for
violations of the Securities Exchange Act of 1934 [20-1] case consolidated 3:01-cv-
205 with member cases 3:01-cv-417, 3:01-cv-531, 3:01-cv-572, 3:01-cv-371,
granting motion for appointment of lead plas [16-1], Robert Flamberg, Wilford
Gentry, Robert Mayer, Dennis Pasko and Richard Tavano to be lead plas. Granting
motion for approval of movants' selection of lead cnsl [16-2]; lead counsel to be
law firms of Krause and Kalfayan and Finkelstein, Thompson and Loughran; all
further docketing to be done in lead case 01cv205. (mam) (Entered: 05/04/2001)
06/18/2001 30 Amended Summons issued (tkl) (Entered: 06/19/2001)
06/18/2001 31 Consolidated First Amended Class Action Complaint; Jury trial demanded (dkt
clerk) (Entered: 06/20/2001)
06/19/2001 32 Notice of lodgment by plas of exhs to consolidated amd class action cmp (cag)
(Entered: 06/20/2001)
08/06/2001 33 Notice of Motion and Motion by defendant En Pointe, Javed Latif, Naureen Din,
Zubair Ahmed, Ellis Posner, Mark Briggs, Verdell Garroutte, Jacob Stetton, Eric
Keating, Robert Mercer, to dismiss pursuant to Rule 12(b)(6) [ motion(s) referred
to Judge M. J. Lorenz ]; motion hrg set for 10/31/01 at 10:30 am (dkt clerk)
(Entered: 08/07/2001)
08/06/2001 34 Memorandum of points and authorities by defendants En Pointe, Javed Latif,
Naureen Din, Zubair Ahmed, Ellis Posner, Mark Briggs, Verdell Garroutte, Jacob
Stetton, Eric Keating, Robert Mercer in support of motion to dismiss pursuant to
Rule 12(b)(6) [33-1] (dkt clerk) (Entered: 08/07/2001)
08/06/2001 35 Declaration of John F. Cannon by defendants En Pointe, Javed Latif, Naureen Din,
Zubair Ahmed, Ellis Posner, Mark Briggs, Verdell Garroutte, Jacob Stetton, Eric
Keating, Robert Mercer, re motion to dismiss pursuant to Rule 12(b)(6) [33-1] (dkt
clerk) (Entered: 08/07/2001)
08/06/2001 36 Appendix of authorities filed by dfts En Pointe Javed Latif, Naureen Din, Zubair
Ahmed, Ellis Posner, Mark Briggs, Verdell Garroutte, Jacob Stetton, Eric Keating,
Robert Mercer in support of dfts mot to dismiss. (dkt clerk) (Entered: 08/07/2001)
08/06/2001 37 Request for Judicial Notice by dfts En Pointe, Javed Latif, Naureen Din, Zubair
Ahmed, Ellis Posner, Mark Briggs, Verdell Garroutte, Jacob Stetton, Eric Keating,
Robert Mercer in support of motion to dismiss pursuant to Rule 12(b)(6) [33-1]
(dkt clerk) (Entered: 08/07/2001)
08/22/2001 38 Amended Proof of service by defendant En Pointe in 3:01-cv-00205, defendant
Javed Latif in 3:01-cv-00205, defendant Naureen Din in 3:01-cv-00205, defendant
Zubair Ahmed in 3:01-cv-00205, defendant Ellis Posner in 3:01-cv-00205,
defendant Mark Briggs in 3:01-cv-00205, defendant Verdell Garroutte in 3:01-cv-
00205, defendant Jacob Stetton in 3:01-cv-00205, defendant Eric Keating in 3:01-
cv-00205, defendant Robert Mercer in 3:01-cv-00205, defendant Attiazaz Din of:
doc no's 33-37 (ksr) (Entered: 08/23/2001)
09/20/2001 39 Return of Service of amd summons and consolidated amd cmp executed upon
defendant Hampton Porter Invst in 3:01-cv-00205 on 9/12/01 (dkt clerk) Modified
on 09/24/2001 (Entered: 09/24/2001)
09/20/2001 40 Return of Service of amd summons and consolidated amd cmp executed upon
defendant HP Holdings LLC in 3:01-cv-00205 on 9/12/01 (dkt clerk) (Entered:
09/24/2001)
09/20/2001 41 Return of Service of amd summons and consolidated amd cmp executed upon
defendant Gregory Walker in 3:01-cv-00205 on 9/12/01 (dkt clerk) (Entered:
09/24/2001)
10/19/2001 42 Stipulation and Order signed by Judge Napoleon Jones for Judge M. J. Lorenz
continuing hrg date and setting briefing schedule re motion to dismiss pursuant to
Rule 12(b)(6) [33-1]; opposition to motion due 11/5/01; reply to opposition to
motion due 12/3/01; motion hearing set for 10:30 12/17/01. (dkt clerk) Modified on
10/22/2001 (Entered: 10/22/2001)
11/05/2001 43 Opposition by plaintiff in 3:01-cv-00205 to motion to dismiss pursuant to Rule
12(b)(6) [33-1] (dkt clerk) (Entered: 11/06/2001)
11/14/2001 44 Request by plaintiff in 3:01-cv-00205 for: default against dfts Hampton-Porter
investment bankers LLC, H-P Holdings, LLC and Gregory Walker (dkt clerk)
(Entered: 11/15/2001)
11/14/2001 45 Declaration of Patrick Keegan by plaintiffs in 3:01-cv-00205 in support of request
to enter default against dfts Hampton-Porter Investment Bankers LLC, H-P
Holdings, LLC and Gregory Walker [44-1] (dkt clerk) (Entered: 11/15/2001)
11/15/2001 46 Default entered as to defendant Hampton Porter Invst in 3:01-cv-00205, defendant
HP Holdings LLC in 3:01-cv-00205, defendant Gregory Walker in 3:01-cv-00205
(dkt clerk) (Entered: 11/15/2001)
12/07/2001 47 Stipulation and Order setting revised briefing schedule on en pointe dft motion to
dismiss pursuant to Rule 12(b)(6) by Judge M. J. Lorenz: the reply to opposition to
motion to dismiss is due 12/7/01 (dkt clerk) (Entered: 12/10/2001)
12/07/2001 48 Reply by defendant En Pointe in 3:01-cv-00205, defendant Javed Latif in 3:01-cv-
00205, defendant Naureen Din in 3:01-cv-00205, defendant Zubair Ahmed in 3:01-
cv-00205, defendant Ellis Posner in 3:01-cv-00205, defendant Mark Briggs in
3:01-cv-00205, defendant Verdell Garroutte in 3:01-cv-00205, defendant Jacob
Stetton in 3:01-cv-00205, defendant Eric Keating in 3:01-cv-00205, defendant
Robert Mercer in 3:01-cv-00205 to opposition to motion to dismiss pursuant to
Rule 12(b)(6) [33-1] (bar) (Entered: 12/11/2001)
12/07/2001 49 Evidentiary Objections to declaration of Sam Tedesco by defendant En Pointe in
3:01-cv-00205, defendant Javed Latif in 3:01-cv-00205, defendant Naureen Din in
3:01-cv-00205, defendant Zubair Ahmed in 3:01-cv-00205, defendant Ellis Posner
in 3:01-cv-00205, defendant Mark Briggs in 3:01-cv-00205, defendant Verdell
Garroutte in 3:01-cv-00205, defendant Jacob Stetton in 3:01-cv-00205, defendant
Eric Keating in 3:01-cv-00205, defendant Robert Mercer in 3:01-cv-00205 to (bar)
(Entered: 12/11/2001)
12/10/2001 50 Notice by plaintiff in 3:01-cv-00205 of filing entry of default against dfts Hampton-
Porter Investment Bankers. (dkt clerk) (Entered: 12/11/2001)
12/13/2001 51 Notice by defendant En Pointe, Javed Latif, Naureen Din, Zubair Ahmed, Ellis
Posner, Mark Briggs, Verdell Garroutte, Jacob Stetton, Eric Keating, Robert
Mercer of filing notice of cont hrg re dfts mot to dismiss from 12/17/01 to 2/19/02.
(dkt clerk) (Entered: 12/14/2001)
12/14/2001 52 Stipulation and Order by Judge M. J. Lorenz to cont hrg re motion to dismiss
pursuant to Rule 12(b)(6) [33-1]; motion hearing cont to 10:30 2/19/02 before
Judge M. Lorenz (dkt clerk) (Entered: 12/17/2001)
02/13/2002 53 Amended Motion submitted by defendant En Pointe, Javed Latif, Naureen Din,
Zubair Ahmed, Ellis Posner, Mark Briggs, Verdell Garroutte, Jacob Stetton, Eric
Keating, Robert Mercer to dismiss pursuant to Rule 12(b)(6) [ motion(s) referred to
Judge M. J. Lorenz ]; motion hrg set for 5/6/02 at 10:30 am (dkt clerk) (Entered:
02/14/2002)
04/15/2002 54 Notice by attorneys of the Law Firm Finkelstein Thompson and Loughran for
defendant En Pointe in 3:01-cv-00205 of change of address (joeh) Modified on
04/15/2002 (Entered: 04/15/2002)
05/06/2002 55 Minutes: Enter Order by Judge M. J. Lorenz granting motion to dismiss pursuant to
Rule 12(b)(6), with leave to amend [53-1]; amended complaint due within 60 days;
Court Reporter: J. Hill (bar) (Entered: 05/06/2002)
05/13/2002 56 Order by Judge M. J. Lorenz granting dfts' motion to dismiss pursuant to Rule
12(b)(6) [33-1]. The amended and consolidated cmp is dismissed without prejudice
and with leave to amend. Plas shall file and serve an amd cmp w/in 60 days of the
date this order is stampted "filed." (dkt clerk) (Entered: 05/15/2002)
07/15/2002 57 Stipulation and Order by Judge M. J. Lorenz: Lead plaintiffs shall have until
8/19/02 to file and serve an amd cmp and ther En Pointe dfts shall have until
9/30/02 to file and serve their response to such amd cmp, including motion to
dismiss. (dkt clerk) Modified on 07/16/2002 (Entered: 07/16/2002)
09/05/2002 58 Stipulation and Order by Judge M. J. Lorenz: Lead plaintiffs shall have until
9/30/02 to file an serve an amd cmp and Answer to amended cmp including a
motion to dismiss is due 12/2/02 for (En Pointe dfts) Attiazaz Din, for Gregory
Walker, for John William Laurienti, for JSL Enterprises LLC, for JSL Holdings
LP, for Time Holdings for HP Holdings LLC, for Hampton Porter Invst, for Robert
Mercer, for Eric Keating, for Jacob Stetton, for Verdell Garroutte, for Mark Briggs,
for Ellis Posner, for Zubair Ahmed, for Naureen Din, for Javed Latif, for En Pointe
(dkt clerk) (Entered: 09/05/2002)
09/30/2002 59 Notice by Frederick W Gerkens III attorney for Wechsler Harwood Halebian and
Feffer in re: defendant En Pointe in 3:01-cv-00205 of change of firm name to
Weschler Harwood. (dkt clerk) (Entered: 10/03/2002)
10/02/2002 60 Stipulation and Order by Judge M. J. Lorenz: Lead plaitniffs shall have until
10/7/02 to file and serve an amd cmp Answer to 1st amd cmp, including motion to
dismiss to be filed by 12/9/02 for Attiazaz Din, for Gregory Walker, for John
William Laurienti, for JSL Enterprises LLC, for JSL Holdings LP, for Time
Holdings LLC, for HP Holdings LLC, Hampton Porter Invst, for Robert Mercer,
for Eric Keating, for Jacob Stetton, for Verdell Garroutte, for Mark Briggs, for Ellis
Posner, for Zubair Ahmed, for Naureen Din, for Javed Latif, for En Pointe (dkt
clerk) (Entered: 10/03/2002)
10/07/2002 61 1st Amended Consolidated Complaint complaint [31-1] deleting party Albert
Halegous in 3:01-cv-00205, party Marc Nelson in 3:01-cv-00205, party Richard
Casper in 3:01-cv-00205, party George Levey in 3:01-cv-00205, party Charles
Burke in 3:01-cv-00205, party Thomas M Magrath in 3:01-cv-00205, party Robert
Mercer in 3:01-cv-00205, party Eric Keating in 3:01-cv-00205, party Jacob Stetton
in 3:01-cv-00205, party Verdell Garroutte in 3:01-cv-00205, party Mark Briggs in
3:01-cv-00205, party Ellis Posner in 3:01-cv-00205, party Zubair Ahmed in 3:01-
cv-00205, party Naureen Din in 3:01-cv-00205, party Javed Latif in 3:01-cv-00205,
party Gregg A Ruffalo in 3:01-cv-00205; jury trial demanded (dkt clerk) Modified
on 10/09/2002 (Entered: 10/09/2002)
12/03/2002 62 Stipulation and Order by Judge M. J. Lorenz: Answer to 1st amd consolidated class
action cmp shall be filed and served by 1/10/03 for En Pointe dfts (dkt clerk)
(Entered: 12/03/2002)
01/03/2003 63 Stipulation and Order by Judge Jones for Judge M. J. Lorenz : Answer shall be
filed and served by 1/24/03 for En Pointe re first amended consolidated class action
complaint(bar) Modified on 01/06/2003 (Entered: 01/06/2003)
01/07/2003 64 Order of Transfer by Magistrate Judge Cynthia G. Aaron Case referred to
Magistrate Judge John A. Houston (dkt clerk) (Entered: 01/08/2003)
01/24/2003 65 Notice of Motion and Motion by defendant En Pointe and Attiazaz Din in 3:01-cv-
00205 to dismiss pursuant to Rule 12(b)(6) referred to Judge M. J. Lorenz] motion
hrg set for 3/31/03 at 10:30 a.m. (dkt clerk) Modified on 01/27/2003 (Entered:
01/27/2003)
01/24/2003 66 Memorandum of points and authorities by defendant En Pointe in 3:01-cv-00205 in
support of motion to dismiss pursuant to Rule 12(b)(6) referred to Judge M. J.
Lorenz] motion hrg set for 3/31/03 at 10:30 a.m. [65-1] (dkt clerk) (Entered:
01/27/2003)
01/24/2003 67 Declaration of John F. Cannon by defendant En Pointe in 3:01-cv-00205 in support
of motion to dismiss pursuant to Rule 12(b)(6) referred to Judge M. J. Lorenz]
motion hrg set for 3/31/03 at 10:30 a.m. [65-1] t/w exh (dkt clerk) (Entered:
01/27/2003)
01/24/2003 68 Request for Judicial Notice by defendant En Pointe in 3:01-cv-00205 in support
motion to dismiss pursuant to Rule 12(b)(6) referred to Judge M. J. Lorenz] motion
hrg set for 3/31/03 at 10:30 a.m. [65-1] t/w exhs (dkt clerk) (Entered: 01/27/2003)
01/24/2003 69 Appendix of authorities by defendant En Pointe in 3:01-cv-00205 in support of En
Pointe dfts' motion to dismiss [65-1] t/w exhs (dkt clerk) (Entered: 01/27/2003)
01/24/2003 70 Proof of service by defendant En Pointe in 3:01-cv-00205 of: document nos. 65-69
(dkt clerk) (Entered: 01/27/2003)
02/11/2003 71 Order by Judge M. J. Lorenz setting motion to dismiss pursuant to Rule 12(b)(6)
continued to 10:30 4/1/03 before Judge M. James Lorenz (dkt clerk) (Entered:
02/12/2003)
03/10/2003 72 Notice of change of firm name and address: Firm of Holzer & Holzer will change
to Holzer, Holzer, & Cannon LLC. (not lead counsel) (dkt clerk) (Entered:
03/12/2003)
03/17/2003 73 Memo of p/a's by lead plaintiffs in 3:01-cv-00205 in opposition to dft En Pointe
Technologies, Inc.'s motion to dismiss pursuant to Rule 12(b)(6) [65-1] (dkt clerk)
(Entered: 03/18/2003)
03/25/2003 74 Reply by defendant En Pointe in 3:01-cv-00205 to opposition to motion to dismiss
pursuant to Rule 12(b)(6) referred to Judge M. J. Lorenz] motion hrg set for
3/31/03 at 10:30 a.m. [65-1] (bar) (Entered: 03/26/2003)
03/25/2003 75 Declaration of Edward S. Kim in support of defendant En Pointe in 3:01-cv-00205
re motion reply [74-1] (bar) (Entered: 03/26/2003)
03/27/2003 76 Order Re: Oral Argument by Judge M. J. Lorenz: Dfts' motion to dismiss pursuant
to Rule 12(b)(6) is submitted on the papers and w/out oral argument. No
appearances are required. (dkt clerk) (Entered: 03/27/2003)
06/30/2003 77 DISCREPANCY ORDER by Judge M. J. Lorenz accepting document:
supplemental submission in further opposition from lead plaintiffs in 3:01-cv-
00205, non-compliance with local rule 15.1, the document is to be filed nunc pro
tunc to the date received (dkt clerk) (Entered: 06/30/2003)
06/30/2003 78 Supplemental submission by lead plaintiffs in 3:01-cv-00205 in further opposition
to dft En Pointe Technologies, Inc.'s motion to dismiss pursuant to Rule 12(b)(6)
referred to Judge M. J. Lorenz] motion hrg set for 3/31/03 at 10:30 a.m. [65-1] t/w
exh (nunc pro tunc to 6/27/03) (dkt clerk) (Entered: 06/30/2003)
07/08/2003 79 Objection by defendant En Pointe in 3:01-cv-00205, defendant Attiazaz Din in
3:01-cv-00205 to plaintiffs' supplemental opposition to motion to dismiss [78-1]
(dkt clerk) (Entered: 07/09/2003)
07/24/2003 80 Memorandum of law by lead plaintiffs' in 3:01-cv-00205 in opposition to dft En
Pointe Technologies, Inc.'s objection to plaintiffs' supplemental submission (dkt
clerk) (Entered: 07/25/2003)
07/25/2003 81 Order of Transfer by Magistrate Judge John A. Houston: Case transferred to
Magistrate Judge Jan M. Adler (dkt clerk) (Entered: 07/28/2003)
08/19/2003 82 Response by defendant En Pointe in 3:01-cv-00205, defendant Attiazaz Din in
3:01-cv-00205 to plaintiffs' 2nd supplemental opposition to motion to dismiss (dkt
clerk) (Entered: 08/20/2003)
08/25/2003 83 Order by Judge M. J. Lorenz granting in part/denying in part dfts' motion to dismiss
the 1st amd consolidated class action cmp [65-1]. The following parties are
dismissed w/out prej and the dismissal shall apply to all matters that have been
consolidated to the instant master file: terminating party Gregory Walker in 3:01-
cv-00205, party John William Laurienti in 3:01-cv-00205, party JSL Enterprises
LLC in 3:01-cv-00205, party JSL Holdings LP in 3:01-cv-00205, party Time
Holdings LLC in 3:01-cv-00205, party HP Holdings LLC in 3:01-cv-00205, party
Hampton Porter Invst in 3:01-cv-00205. The En Pointe dfts shall file an answer to
the relevant allegations in the first amd cmp w/in 30 days of the date this order is
stamped "Filed." (copy filed in consolidated matters, 01cv371,01cv471, 01cv531,
and 01cv572) (dkt clerk) (Entered: 08/26/2003)
09/24/2003 84 Answer to 1st amd consolidated class action cmp by defendant En Pointe in 3:01-
cv-00205, defendant Attiazaz Din in 3:01-cv-00205 (dkt clerk) (Entered:
09/25/2003)
09/29/2003 85 Order by Magistrate Judge Jan M. Adler recuses himself from this matter and
reassigns this case to Mag Judge Houston; Case referred to Magistrate Judge John
A. Houston (new case no. 01cv205-L(JAH) (dkt clerk) (Entered: 10/01/2003)
10/01/2003 86 Notice and Order by Magistrate Judge John A. Houston: E.N.E. Conference set for
9:30 10/30/03 before Mag Judge John Houston (dkt clerk) (Entered: 10/01/2003)
10/14/2003 87 Order of Transfer by Magistrate Judge John A. Houston: Case referred to
Magistrate Judge Anthony J. Battaglia; E.N.E. Conf set for 9:30 10/30/03 before
Mag Judge Houston is vacated (dkt clerk) (Entered: 10/16/2003)
10/21/2003 88 Order by Magistrate Judge Anthony J. Battaglia: E.N.E. Conference set for 10:00
11/17/03 before Mag Judge Anthony Battaglia (dkt clerk) (Entered: 10/21/2003)
10/21/2003 89 Order of Transfer by Judge M. J. Lorenz: Case reassigned to Judge John A.
Houston (dkt clerk) (Entered: 10/22/2003)
11/13/2003 90 Order by Magistrate Judge Anthony J. Battaglia E.N.E. Conference vacated 10:00
11/17/03; Settlement status conf set for 9:30 1/14/04 before Mag Judge Anthony
Battaglia (ksr) (Entered: 11/14/2003)
01/08/2004 91 Order granting telephonic participation at the 1/14/04 settlement status conf by
Magistrate Judge Anthony J. Battaglia (ksr) (Entered: 01/09/2004)
01/14/2004 92 Order by Magistrate Judge Anthony J. Battaglia Settlement status conf held 9:30
1/14/04; Voluntary Settlement conf set for 10:00 3/17/04 before Mag Judge
Anthony Battaglia (ksr) (Entered: 01/15/2004)
03/12/2004 93 Order by Magistrate Judge Anthony J. Battaglia: Settlement Conf set for 10:00
5/12/04 before Mag Judge Anthony Battaglia (label prepared) (dkt clerk) Modified
on 03/12/2004 (Entered: 03/12/2004)
05/14/2004 94 Order Following Settlement Conference by Magistrate Judge Anthony J. Battaglia:
Settlement Conf held 5/12/04 Settlement Conf set for 10:00 6/7/04 before Mag
Judge Anthony Battaglia (dkt clerk) (Entered: 05/17/2004)
06/07/2004 95 Order by Magistrate Judge Anthony J. Battaglia: Settlement Conf continued to 1:30
7/12/04 before Mag Judge Anthony Battaglia (dkt clerk) (Entered: 06/07/2004)
07/15/2004 96 Order Following Settlement Conference by Magistrate Judge Anthony J. Battaglia:
Settlement Conf held 7/12/04; telephonic Case Management Conf set for 9:00
10/15/04 before Mag Judge Anthony Battaglia (dkt clerk) (Entered: 07/15/2004)
07/16/2004 97 Order Transferring Cases by Judge John A. Houston: Case reassigned to Judge
Roger T. Benitez (dkt clerk) (Entered: 07/20/2004)
07/30/2004 98 Notice of Motion and Motion by plaintiff Robert Flamberg in 3:01-cv-00205,
plaintiff Richard Tavano in 3:01-cv-00205 for class certification [motion(s)
referred to Judge Roger T. Benitez] motion hrg set for 12/3/04 at 10:30 a.m. (dkt
clerk) (Entered: 08/03/2004)
07/30/2004 99 Memorandum of points and authorities by plaintiff and the class in 3:01-cv-00205
in support of motion for class certification [98-1] (dkt clerk) (Entered: 08/03/2004)
07/30/2004 100 Declaration of Eric J. Benink by plaintiff in 3:01-cv-00205 in support of motion for
class certification [98-1] (dkt clerk) (Entered: 08/03/2004)
07/30/2004 101 Notice of lodgment by plaintiff in 3:01-cv-00205 in support of motion for class
certification [98-1] t/w exhs (dkt clerk) (Entered: 08/03/2004)
10/15/2004 102 Order by Magistrate Judge Anthony J. Battaglia: Case Management Conference
held 9:00 10/15/04 ; Ct and counsel will discuss scheduling further at the 10/27/04
hearing on the motion to compel (lmh) (Entered: 10/18/2004)
10/19/2004 103 Notice of Motion and Motion by defendant En Pointe in 3:01-cv-00205 to compel
the production of documents from plas Richard Tavano and Robert Flamberg ; [
motion(s) referred Magistrate Judge Anthony J. Battaglia ], motion hrg set 1:00
10/27/04 (lmh) (Entered: 10/20/2004)
10/19/2004 104 Memorandum of points and authorities by defendant En Pointe in 3:01-cv-00205 in
support of motion to compel the production of documents from plas Richard
Tavano and Robert Flamberg [103-1] (lmh) (Entered: 10/20/2004)
10/19/2004 105 Declaration of Edward S. Kim by defendant En Pointe in 3:01-cv-00205 in support
of motion to compel the production of documents from plas Richard Tavano and
Robert Flamberg [103-1]; t/w exhibits (lmh) (Entered: 10/20/2004)
10/19/2004 106 Certificate of Compliance re Local Rule 26.1 by defendant En Pointe in 3:01-cv-
00205 (lmh) (Entered: 10/20/2004)
10/19/2004 107 Stipulation setting briefing schedule and Order thereon by Magistrate Judge
Anthony J. Battaglia re motion to compel the production of documents from plas
Richard Tavano and Robert Flamberg [103-1]; motion hearing set for 1:00
10/27/04 before Mag Judge Anthony Battaglia, opposition to motion by 10/20/04,
reply to opposition to motion by 10/25/04 (lmh) (Entered: 10/20/2004)
10/20/2004 108 Memo of p/a's by lead plaintiffs in 3:01-cv-00205 in opposition to En Pointe
Technologies, Inc.'s motion to compel the production of documents [103-1] t/w exh
(dkt clerk) (Entered: 10/21/2004)
10/25/2004 109 Reply Memo of P/A by defendant En Pointe in 3:01-cv-00205 in support of motion
to compel the production of documents from plas Richard Tavano and Robert
Flamberg [103-1] (lmh) (Entered: 10/26/2004)
10/25/2004 110 Compendium of unpublished opinions filed by defendant En Pointe in 3:01-cv-
00205 (lmh) (Entered: 10/26/2004)
10/26/2004 111 DISCREPANCY ORDER by Magistrate Judge Anthony J. Battaglia accepting
document: Appendix in support of Oppos; Notice of Errata from lead plaintiffs in
3:01-cv-00205, non-compliance with local rule 15.1, document is to be filed nunc
pro tunc to the date received (lmh) (Entered: 10/27/2004)
10/26/2004 112 Appendix of Authorities by lead plaintiffs in 3:01-cv-00205 in support of
opposition to dft's motion to compel production of documents; Notice of Errata.
[NUNC PRO TUNC 10/22/04] (lmh) (Entered: 10/27/2004)
10/27/2004 113 Order by Magistrate Judge Anthony J. Battaglia denying motion to compel the
production of documents from plas Richard Tavano and Robert Flamberg [103-1]
(lmh) (Entered: 10/27/2004)
10/27/2004 114 Stipulation and Order by Judge Roger T. Benitez continuing hearing on plas'
motion for class certification [98-1]; motion hearing is continued to 10:30 2/11/05
before Judge Roger T. Benitez. (label) (lmh) (Entered: 10/27/2004)
10/29/2004 115 Attorney Designation: terminating attorney Patrick Nathaniel Keegan for Richard
Tavano in 3:01-cv-00205, for Dennis Pasko in 3:01-cv-00205, for Robert Mayer in
3:01-cv-00205, for Wilford Gentry in 3:01-cv-00205, for Robert Flamberg in 3:01-
cv-00205 and designating attorney James C Krause. (atty maint) (lmh) Modified on
11/02/2004 (Entered: 11/02/2004)
12/06/2004 116 Notice of withdrawal by plaintiffs and the Class in 3:01-cv-00205 of motion for
class certification [98-1] (dkt clerk) (Entered: 12/07/2004)
01/06/2005 117 Notice of Motion and Motion by lead plaintiffs Robert Flamberg in 3:01-cv-00205
and Richard Tavano in 3:01-cv-00205 for class certification [motion(s) referred to
Judge T. Benitez] motion hrg set for 2/11/05 at 10:30 a.m. (dkt clerk) Modified on
02/17/2005 (Entered: 01/07/2005)
01/06/2005 118 Memorandum of points and authorities by lead plaintiffs Robert Flamberg in 3:01-
cv-00205 and Richard Tavano in 3:01-cv-00205 in support of motion for class
certification [117-1] (dkt clerk) (Entered: 01/07/2005)
01/06/2005 119 Declaration of Eric J. Benink by plaintiff Robert Flamberg in 3:01-cv-00205,
plaintiff Richard Tavano in 3:01-cv-00205 in support of plaintiffs' motion for class
certification [117-1] (dkt clerk) (Entered: 01/07/2005)
01/06/2005 120 Notice of lodgment by lead plaintiffs Robert Flamberg in 3:01-cv-00205 and
Richard Tavano in 3:01-cv-00205 in support of plaintiffs' motion for class
certification [117-1] t/w exhs (dkt clerk) (Entered: 01/07/2005)
01/28/2005 121 Memo of P/A in Opposition by defendants En Pointe and Attiazaz Din in 3:01-cv-
00205 to plas' motion for class certification [117-1] (lmh) (Entered: 02/01/2005)
01/28/2005 122 Declaration of Robert Mercer by defendants in 3:01-cv-00205 in support of
opposition to plas' motion for class certification [121-1] (lmh) (Entered:
02/01/2005)
01/28/2005 123 Declaration of John F Cannon by defendants in 3:01-cv-00205 in support of
opposition to plas' motion for class certification [121-1] (lmh) (Entered:
02/01/2005)
02/02/2005 124 Order Regarding Hearing Date and Time on Plaintiff's Motion For Class
Certification by Magistrate Judge Anthony J. Battaglia: Pla's motion for class
certification [117-1] set for 1:00 2/11/05 before Mag Judge Anthony Battaglia (dkt
clerk) (Entered: 02/02/2005)
02/02/2005 125 Stipulation and Order by Magistrate Judge Anthony J. Battaglia to file documents
under seal in support of En Pointe's oppos to pla's motion for class certification;
documents hereto as Exhibits A through J of the Decl of Robert Mercer shall be
filed under seal. (lmh) (Entered: 02/03/2005)
02/02/2005 126 Document Sealed (pursuant to Court Order) re motion response [121-1] (lmh)
(Entered: 02/03/2005)
02/02/2005 127 Appendix of Authorities by defendants in 3:01-cv-00205 re opposition to plas'
motion for class certification; t/w exhibits (lmh) (Entered: 02/03/2005)
02/04/2005 128 Memo of P/A in Reply by plaintiff in 3:01-cv-00205 to En Pointe and Attiazaz
Din's opposition to motion for class certification [117-1] (lmh) (Entered:
02/07/2005)
02/04/2005 129 Declaration of Eric J. Benink by plaintiffs in 3:01-cv-00205 in support of motion
reply [128-1] (lmh) (Entered: 02/07/2005)
02/04/2005 130 Appendix of Authorities and Exhibits Filed by plaintiffs in 3:01-cv-00205 in
support of motion reply [128-1] (lmh) (Entered: 02/07/2005)
02/08/2005 131 Minutes: Enter Order by Judge Roger T. Benitez; no counsel present, Pla's motion
for class certification [117-1] - motion(s) referred to Magistrate Judge Anthony J.
Battaglia for Report and Recommendation; Court Reporter: N/A (lmh) (Entered:
02/09/2005)
02/09/2005 132 Minutes: Enter Order by Magistrate Judge Anthony J. Battaglia re motion for class
certification [117-1] is hereby moved from 1:00 to 1:30 on 2/11/05 before Mag
Judge Anthony Battaglia. (lmh) (Entered: 02/11/2005)
02/11/2005 133 Suppl Appendix by plaintiffs in 3:01-cv-00205 of Authorities in support of plas'
reply to En Pointe's and Attiazaz Din's oppos to plas' motion for class certification
(lmh) (Entered: 02/14/2005)
02/14/2005 134 DISCREPANCY ORDER by Magistrate Judge Anthony J. Battaglia accepting
document: Suppl Decl from defendant En Pointe, defendant Attiazaz Din in 3:01-
cv-00205, non-compliance with local rule 15.1, document is to be nunc pro tunc to
the date received (lmh) (Entered: 02/14/2005)
02/14/2005 135 Suppl Declaration of John F. Cannon by defendants in 3:01-cv-00205 in support of
opposition to plas' motion for class certification [121-1]. [NUNC PRO TUNC
2/11/05] (lmh) (Entered: 02/14/2005)
02/16/2005 136 DISCREPANCY ORDER by Judge Roger T. Benitez accepting document: Notice
of Lodgment in Oppos from defendant En Pointe in 3:01-cv-00205, defendant
Attiazaz Din in 3:01-cv-00205, non-compliance with local rule 7.1.e or 47.1.b.1,
document is to be filed nunc pro tunc to the date received (lmh) (Entered:
02/17/2005)
02/16/2005 137 Notice of lodgment by defendants En Pointe, Attiazaz Din in 3:01-cv-00205, re
oppos to plas' motion for class certification [117-1]. [NUNC PRO TUNC 2/15/05]
(lmh) (Entered: 02/17/2005)
02/16/2005 138 Report and Recommendation by Magistrate Judge Anthony J. Battaglia to grant
lead pla's motion for class certification [117-1] (lmh) (Entered: 02/17/2005)
02/22/2005 139 Minutes: Enter Order by Magistrate Judge Anthony J. Battaglia: motion hrg held,
motion re class certification [117-1] - taken under submission; Court Reporter:
AJB05-1:34-3446 [NUNC PRO TUNC 2/11/05] (lmh) (Entered: 02/23/2005)
03/01/2005 140 Objections by defendant En Pointe in 3:01-cv-00205, defendant Attiazaz Din in
3:01-cv-00205 to Report & Recommendation [138-1] (lmh) (Entered: 03/02/2005)
03/07/2005 141 Reply by plaintiffs in 3:01-cv-00205 to objections to Report and Recommendations
[140-1] (lmh) (Entered: 03/10/2005)
03/07/2005 142 Declaration of Vincent D. Slavens by plaintiffs in 3:01-cv-00205 in support of
reply to objections to Report and Recommendations [141-1] (lmh) (Entered:
03/10/2005)
05/26/2005 143 Order by Magistrate Judge Anthony J. Battaglia: a telephonic Case Management
conf shall be held 9:30 6/1/05 with Mag Judge Anthony Battaglia (lmh) (Entered:
05/26/2005)
05/31/2005 144 Order by Judge Roger T. Benitez: the proposed classes meet all the requirements of
Rule 23(b)(3); accordingly, Ct adopts the Report & Recommendation [138-1], plas'
motion for class certification [117-1] is granted. (lmh) (Entered: 06/01/2005)
06/01/2005 145 Minutes: Enter Order by Magistrate Judge Anthony J. Battaglia; telephonic Case
Management Conference convened 9:30 6/1/05, Order will follow. (lmh) (Entered:
06/02/2005)
06/03/2005 146 Order by Magistrate Judge Anthony J. Battaglia; case management conf convened
on 6/1/05; Case Management conf set for 9:00 8/25/05 before Mag Judge Anthony
Battaglia (bar) (Entered: 06/06/2005)
07/13/2005 147 Notice by plaintiffs in 3:01-cv-00205 of change of firm name (atty maint) (lmh)
(Entered: 07/15/2005)
07/26/2005 148 Preliminary Discovery Plan and Order thereon by Magistrate Judge Anthony J.
Battaglia (lmh) (Entered: 07/28/2005)
08/29/2005 149 Order by Magistrate Judge Anthony J. Battaglia: ENE Conf convened on 8/25/05; a
telephonic Case Management conf set for 9:00 11/18/05 before Mag Judge
Anthony Battaglia (lmh) Modified on 08/30/2005 (Entered: 08/30/2005)
11/21/2005 150 Order by Magistrate Judge Anthony J. Battaglia; case management conf convened
on 11/18/05; Case Management conf set for 9:00 1/27/06 before Mag Judge
Anthony Battaglia (bar) (Entered: 11/22/2005)
01/10/2006 151 Third-Party Complaint: by defendant En Pointe in 3:01-cv-00205 to case(s) 3:01-
cv-00205, (joeh) (Entered: 01/11/2006)
01/13/2006 152 Third Party Summons issued (joeh) (Entered: 01/17/2006)
01/31/2006 153 Order by Magistrate Judge Anthony J. Battaglia. Case management conf held
1/27/06. Case Management conf set for 11:00 2/10/06 before Mag Judge Anthony
Battaglia (joeh) Modified on 02/02/2006 (Entered: 02/01/2006)
02/02/2006 154 Return of Service executed of summons and complaint upon third-party defendant
First Union in 3:01-cv-00205, third-party defendant Wachovia Securities in 3:01-
cv-00205 on 1/13/06 (joeh) (Entered: 02/03/2006)
02/03/2006 155 Notice of Motion and Motion by third-party defendant Wachovia Securities in
3:01-cv-00205 to dismiss third-party complaint pursuant to rule 12(b)(6), , or in the
alternative to compel arbitration , and to stay ; [ motion(s) referred to Judge Roger
T. Benitez], motion hrg set for 03/13/06 10:30AM (joeh) Modified on 07/11/2006
(Entered: 02/06/2006)
02/03/2006 156 Memorandum of points and authorities by third-party defendant Wachovia
Securities in 3:01-cv-00205 in support of motion to dismiss third-party complaint
pursuant to rule 12(b)(6), [155-1], in support of motion to compel arbitration [155-
2], in support of motion to stay [155-3] (joeh) (Entered: 02/06/2006)
02/03/2006 157 Request for Judicial Notice by third-party defendant Wachovia Securities in 3:01-
cv-00205 motion to dismiss third-party complaint pursuant to rule 12(b)(6), [155-
1], motion to compel arbitration [155-2], motion to stay [155-3] (joeh) (Entered:
02/06/2006)
02/10/2006 158 Pro Hac Vice approved on behalf of third-party defendant First Union in 3:01-cv-
00205 for Christopher J Barber (joeh) (Entered: 02/10/2006)
02/10/2006 159 Pro Hac Vice approved on behalf of third-party defendant First Union in 3:01-cv-
00205 for Nancy L Hendrickson (joeh) (Entered: 02/10/2006)
02/14/2006 160 Order by Magistrate Judge Anthony J. Battaglia. Case Management conf held
02/10/06. Case Management conf set for 10:00 2/17/06 before Mag Judge Anthony
Battaglia (joeh) (Entered: 02/14/2006)
02/17/2006 161 Order by Judge Anthony J. Battaglia. Case Management conf held 02/17/06. Case
Management conf set for 9:30 2/24/06 before Mag Judge Anthony Battaglia (joeh)
(Entered: 02/17/2006)
02/24/2006 162 Order by Judge Anthony J. Battaglia. CMC held 02/24/06. Case Management conf
set for 9:30 3/3/06 before Mag Judge Anthony Battaglia (joeh) Modified on
02/24/2006 (Entered: 02/24/2006)
02/27/2006 163 Opposition by defendant En Pointe in 3:01-cv-00205, defendant Attiazaz Din in
3:01-cv-00205 to motion to dismiss third-party complaint pursuant to rule 12(b)(6),
[155-1], motion to compel arbitration [155-2] (joeh) (Entered: 03/01/2006)
02/27/2006 164 Document Sealed (pursuant to Court Order) (joeh) (Entered: 03/01/2006)
03/06/2006 165 Order following case management conference by Magistrate Judge Anthony J.
Battaglia; Case Management Conference convened 9:30 3/3/06 ; the parties have
agreed to the date of 4/21/06 for mediation with Mr. Piazza; plaintiff's counsel will
advise the Court following the mediation of the status of the case; a further status
conference will be set at that time; all further dates remain confirmed (smv)
(Entered: 03/06/2006)
03/06/2006 166 Reply by third-party defendant First Union in 3:01-cv-00205, third-party defendant
Wachovia Securities in 3:01-cv-00205 to opposition to motion to dismiss third-
party complaint pursuant to rule 12(b)(6), [155-1], motion to compel arbitration
[155-2], motion to stay [155-3] (joeh) (Entered: 03/07/2006)
03/13/2006 167 Minutes: Enter Order by Judge Roger T. Benitez. Motion hearing is off calendar.
No parties present. The motion to dismiss third-party complaint pursuant to rule
12(b)(6), [155-1] is submitted, the motion to compel arbitration [155-2] is
submitted, the motion to stay [155-3] is submitted. Motions taken under
submission. CT to prepare order. Court Reporter: N/A (joeh) Modified on
03/14/2006 (Entered: 03/14/2006)
04/25/2006 168 Order by Magistrate Judge Anthony J. Battaglia. Settlement Dispo Conf is set for
9:00 5/26/06 before Mag Judge Anthony Battaglia (joeh) (Entered: 04/26/2006)
04/28/2006 169 Amended Order by Magistrate Judge Anthony J. Battaglia. Settlement Dispo Conf
and CMC is rescheduled 10:00 5/26/06 before Mag Judge Anthony Battaglia (joeh)
Modified on 05/02/2006 (Entered: 04/28/2006)
05/30/2006 170 Order by Mag Judge Anthony J. Battaglia. Settlement Disposition conf and Case
Management Conf was held 05/26/06. Case Management conf set for 10:00 7/17/06
before Mag Judge Anthony Battaglia (joeh) Modified on 05/30/2006 (Entered:
05/30/2006)
06/26/2006 171 Order and consent by Judge Roger T. Benitez to proceed before Magistrate Judge
Battaglia re class action settlement aproval proceedings. (joeh) (Entered:
06/26/2006)
07/03/2006 172 Order by Judge Anthony J. Battaglia. Settlement Status Conf held 06/29/06. The
CT preliminarily sets a fairness hearing for 9:00 9/29/06 before Mag Judge
Anthony Battaglia (joeh) (Entered: 07/05/2006)
07/06/2006 173 Preliminary Order by Magistrate Judge Anthony J. Battaglia. Fairness Hearing set
for 9:00 9/29/06 before Mag Judge Anthony Battaglia (joeh) (Entered: 07/06/2006)
07/06/2006 174 Order and consent by Judge Roger T. Benitez to proceed before judge Battaglia re
class action settlement approval proceedings and first union's pending motion to
dismiss third-party cross-claim. Motions [155-1,2,3] reasigned to Magistrate Judge
Battaglia. (joeh) Modified on 07/11/2006 Additional attachment(s) added on
12/26/2006 (tel, ). (Entered: 07/06/2006)
07/07/2006 175 Stipulation of settlement. Approval hearing set for 09/29/06 at 9:00AM. Nunc Pro
Tunc 06/26/06. (joeh) (Entered: 07/10/2006)
07/19/2006 176 Minutes: Enter Order by Magistrate Judge Anthony J. Battaglia. Dft's will be filing
a consent to jurisdition to the Magistrate Judge today re motion to dismiss third-
party complaint pursuant to rule 12(b)(6), [155-1], motion to compel arbitration
[155-2], motion to stay [155-3]. Both parties waived oral argument for the motion
to dismiss. Court Reporter: N/A (joeh) (Entered: 07/21/2006)
07/28/2006 177 DISCREPANCY ORDER by Judge Roger T. Benitez accepting document:
Consent to proceed before the Magistrate Judge from defendant En Pointe in 3:01-
cv-00205, non-compliance with local rules, document is to be filed nunc pro tunc to
the date received (joeh) (Entered: 07/28/2006)
07/28/2006 178 Consent to proceed before the Magistrate Judge Battaglia by defendant En Pointe in
3:01-cv-00205, defendant Attiazaz Din in 3:01-cv-00205 in support of motion to
dismiss third-party complaint pursuant to rule 12(b)(6), [155-1], of motion to
compel arbitration [155-2], of motion to stay [155-3]. Nunc Pro Tunc 07/20/06.
(joeh) (Entered: 07/28/2006)
08/22/2006 179 Order by Magistrate Judge Anthony J. Battaglia denying the motion to dismiss
third-party complaint pursuant to rule 12(b)(6), [155-1] as moot., denying the
motion to compel arbitration [155-2] as moot. denying the motion to stay [155-3]
as moot. (joeh) (Entered: 08/23/2006)
09/25/2006 187 REDACTED MEMORANDUM OF POINTS AND AUTHORITIES in support of
lead plaintiffs' motion for final approval of settlement and reimbursement of attys'
fees and costs by plaintiffs Robert Flamberg, Wilford Gentry, Robert Mayer,
Dennis Pasko, Richard Tavano. (jah) (Entered: 10/19/2006)
09/25/2006 188 REDACTED DECLARATION of James C. Krause in Support of Motion to
Approve the Settlement and Application for Attys Fees and Expenses by Plaintiffs
Gregg A Ruffalo, George Levey, Richard Casper, Marc Nelson, Albert Halegous,
Robert Flamberg, Wilford Gentry, Robert Mayer, Dennis Pasko, Richard Tavano.
(Attachments: # 1 Declaration Part 2)(jah) (Entered: 10/19/2006)
09/28/2006 184 NOTICE of Change of Address by counsel for Robert Flamberg, Wilford Gentry,
Robert Mayer, Dennis Pasko, Richard Tavano (joeh, ) (Entered: 10/02/2006)
09/29/2006 180 Minute Entry for proceedings held before Judge Anthony J. Battaglia : Fairness
Hearing held on 9/29/2006. Crt finds that the settlement was fair and reasonable.
Crt approves Final Judgment & Order submitted by counsel and filed in court.
Counsel request to place under seal certain portions of the brief and declaration
submitted to chambers. Counsel to submit a redacted copy to be filed. (Tape
#AJB06-1:0-582).(Plaintiff Attorney Burton H. Finkelstein, James C.
Krause).(Defendant Attorney Kent W. Easter). (ymm, ) (Entered: 10/02/2006)
09/29/2006 181 Discrepancy Order by Judge Anthony J. Battaglia accepting document:
Memorandum from Plaintiffs Robert Flamberg, Wilford Gentry, Robert Mayer,
Dennis Pasko, Richard Tavano, non-compliance with local rules. Signed by Judge
Anthony J. Battaglia on 09/28/06. (joeh, ) (Entered: 10/02/2006)
09/29/2006 182 Memorandum of points and authorities in support of lead pla's motion for final
approval of the settlement and reimbursement of attorney's fees and costs by Robert
Flamberg, Wilford Gentry, Robert Mayer, Dennis Pasko, Richard Tavano. Nunc
Pro Tunc 09/25/06. (Attachments: # 1 Decl, James C Krause)(joeh, ) Additional
attachment(s) added on 10/2/2006 (joeh, ). (Entered: 10/02/2006)
09/29/2006 183 DECLARATION of Carole K. Sylvester by Plaintiffs Robert Flamberg, Wilford
Gentry, Robert Mayer, Dennis Pasko, Richard Tavano. Nunc Pro Tunc 09/25/06.
(joeh, ) (Entered: 10/02/2006)
09/29/2006 185 DECLARATION of Burton H. Finkelstein in support of application (Nunc pro tunc
9/25/06). (av1, ) (Entered: 10/02/2006)
09/29/2006 186 FINAL JUDGMENT - This Court hereby dismisses this Action on the merits and
with prejudice against all persons or entities who are Class Members, in favor of
Defendants and without costs to any of the parties as against any other settling
party, except as provided in the Stipulation. Plaintiff's counsel are awarded fees of
$600,000.00 (33 1/3%) plus interest of the same rate earned in the settlement fund
until the date of payment, and dispursements of $60,461.39. The two lead plaintiffs
(Robert Famberg and Richard Tavano) shall receive a payment of $5,000.00 each,
for their services to the Class.Signed by Judge Anthony J. Battaglia on 9/29/2006.
(jsp, ) (Entered: 10/04/2006)
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