US District Court Civil Docket as of June 8, 2020 Retrieved from the court on June 8, 2020
United States District Court Northern District of Illinois - CM/ECF LIVE, Ver 6.3.3 (Chicago) CIVIL DOCKET FOR CASE #: 1:18-cv-01039
Sokolow v. LJM Funds Management, Ltd. et al Date Filed: 02/09/2018 Assigned to: Honorable Robert M. Dow, Jr Jury Demand: Both
related Cases: 1:18-cv-01312 Nature of Suit: 850
1:18-cv-01589 Securities/Commodities Cause: 15:77 Securities Fraud Jurisdiction: Federal Question Plaintiff Leonard Sokolow represented by Brian M. Hogan Individually and on Behalf of All Others Freed Kanner London & Millen, LLC Similarly Situated 2201 Waukegan Road Suite 130 Bannockburn, IL 60015 (312) 645-8433 Email: [email protected] ATTORNEY TO BE NOTICED
Lindsey Caryn Grossman Criden & Love, P.A. Suite 515 7301 SW 57th Court South Miami, FL 33143 (305) 357-9000 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Matthew Langley Robbins Geller Rudman & Dowd 120 East Palmetto Park Road Suite 500 Boca Raton, FL 33432 561.750.3000 Email: [email protected] PRO HAC VICE
Michael Elliot Criden Criden & Love, P.A. Suite 515 7301 SW 57th Court South Miami, FL 33143 (305) 357-9000 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Rhiana L Swartz Scott+Scott, Attorneys at Law, LLP The Helmsley Building 230 Park Avenue, 17th Floor New York, NY 10169 (212) 223-6444 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Thomas L. Laughlin , IV Scott+Scott, Attorneys at Law, LLP The Helmsley Building 230 Park Avenue, 17th Floor New York, NY 10169 (212) 223-6444 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
William Henry London Freed Kanner London & Millen, LLC 2201 Waukegan Road Suite 130 Bannockburn, IL 60015 (224) 632-4500 Email: [email protected] ATTORNEY TO BE NOTICED
Michael Jerry Freed Freed Kanner London & Millen, LLC 2201 Waukegan Road Suite 130 Bannockburn, IL 60015 (224) 632-4500 Email: [email protected] ATTORNEY TO BE NOTICED
V. Defendant LJM Funds Management, Ltd. represented by Peter G. Rush Greenberg Traurig LLP 77 W. Wacker Drive, Suite 3100 Chicago, IL 60601 312 476 5046 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Jeffry Mark Henderson Greenberg Traurig, LLP 77 W. Wacker Drive Suite 3100 Chicago, IL 60601 (312)456-8400 Email: [email protected] ATTORNEY TO BE NOTICED
Kyle L Flynn Greenberg Traurig 77 W. Wacker Dr. Suite #3100 Chicago, IL 60601 (312) 476-5126 Email: [email protected] ATTORNEY TO BE NOTICED
Steven Marc Malina Greenberg Traurig, LLP 77 W. Wacker Drive Suite 3100 Chicago, IL 60601 312-456-8400 Email: [email protected] ATTORNEY TO BE NOTICED
Todd Edward Pentecost Greenberg Traurig LLP 77 West Wacker Drive Suite 3100 Chicago, IL 60601 312 476 5030 Email: [email protected] ATTORNEY TO BE NOTICED Defendant Two Roads Shared Trust represented by Bradley Joseph Andreozzi Faegre Drinker Biddle & Reath LLP 191 North Wacker Drive Suite 3700 Chicago, IL 60606-1698 (312) 569-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Daniel J. Delaney Faegre Drinker Biddle & Reath LLP 191 North Wacker Drive Suite 3700 Chicago, IL 60606-1698 (312) 569-1175 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Matthew M Morrissey Faegre Drinker Biddle & Reath LLP 191 N. Wacker Dr. Suite 3700 Chicago, IL 60606 (312) 5691365 Email: [email protected] ATTORNEY TO BE NOTICED Defendant Northern Lights Distributors, LLC represented by Thomas K. Cauley , Jr. Sidley Austin LLP (Chicago) One South Dearborn Street Chicago, IL 60603 (312) 853-7000 Email: [email protected] TERMINATED: 04/16/2019 LEAD ATTORNEY
Alex Jason Kaplan Sidley Austin LLP 787 Seventh Avenue New York, NY 10019 (212) 839-5839 Email: [email protected] TERMINATED: 04/16/2019
Amy Curtner Andrews Riley Safer Holmes Cancila LLP 2900 70 W. Madison Chicago, IL 60602 312-471-8756 Email: [email protected] ATTORNEY TO BE NOTICED
Ashley Katharine Martin Fox, Swibel, Levin & Carroll, LLP 200 West Madison Street Suite 3000 Chicago, IL 60606 312 224 1240 Email: [email protected] TERMINATED: 04/16/2019
Bradley Allen Tucker Sidley Austin LLP (Chicago) One South Dearborn Street Chicago, IL 60603 (312)853-9974 Email: [email protected] TERMINATED: 06/19/2018
Deborah Rachel Sands Sidley Austin LLP 787 Seventh Avenue New York, NY 10019 (212) 839-5426 Email: [email protected] TERMINATED: 04/16/2019 PRO HAC VICE Defendant Andrew Rogers represented by Bradley Joseph Andreozzi (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Daniel J. Delaney (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Matthew M Morrissey (See above for address) ATTORNEY TO BE NOTICED Defendant Mark Gertsen represented by Charles Alphonsus Fitzpatrick , IV Blank Rome LLP 130 North 18th Street One Logan Square Philadelphia, PA 19103 (215) 569-5608 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Daniel R Fine Barack Ferrazano Kirschbaum & Nagelberg LLP 200 W. Madison Street Suite 3900 Chicago, IL 60606 (312) 984-3100 Email: [email protected] TERMINATED: 08/21/2019
Evan Lechtman Blank Rome LLP One Logan Square Philadelphia, PA 19103 (215) 569-5367 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Joshua Wendell Mahoney Barack Ferrazano Kirschbaum & Nagelberg LLP 200 W. Madison Street Suite 3900 Chicago, IL 60606 (312)984-3100 Email: [email protected] ATTORNEY TO BE NOTICED Defendant Mark Garbin represented by Charles Alphonsus Fitzpatrick , IV (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Daniel R Fine (See above for address) TERMINATED: 08/21/2019
Evan Lechtman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Joshua Wendell Mahoney (See above for address) ATTORNEY TO BE NOTICED Defendant Neil Kaufman represented by Charles Alphonsus Fitzpatrick , IV (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Daniel R Fine (See above for address) TERMINATED: 08/21/2019
Evan Lechtman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Joshua Wendell Mahoney (See above for address) ATTORNEY TO BE NOTICED Defendant Anita Krug represented by Charles Alphonsus Fitzpatrick , IV (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Daniel R Fine (See above for address) TERMINATED: 08/21/2019
Evan Lechtman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Joshua Wendell Mahoney (See above for address) ATTORNEY TO BE NOTICED Defendant James Colantino represented by Bradley Joseph Andreozzi (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Daniel J. Delaney (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Matthew M Morrissey (See above for address) ATTORNEY TO BE NOTICED Defendant Anish Parvataneni represented by Peter G. Rush (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Jeffry Mark Henderson (See above for address) ATTORNEY TO BE NOTICED
Kyle L Flynn (See above for address) ATTORNEY TO BE NOTICED
Steven Marc Malina (See above for address) ATTORNEY TO BE NOTICED
Todd Edward Pentecost (See above for address) ATTORNEY TO BE NOTICED Defendant Anthony Caine represented by Peter G. Rush (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Jeffry Mark Henderson (See above for address) ATTORNEY TO BE NOTICED
Kyle L Flynn (See above for address) ATTORNEY TO BE NOTICED
Steven Marc Malina (See above for address) ATTORNEY TO BE NOTICED
Todd Edward Pentecost (See above for address) ATTORNEY TO BE NOTICED Defendant NorthStar Financial Services Group, represented by Daniel P. Roeser LLC Goodwin Procter Llp 620 Eighth Avenue New York, NY 10018 (212) 813-8800 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Thomas K. Cauley , Jr. (See above for address) TERMINATED: 04/16/2019 LEAD ATTORNEY
Alex Jason Kaplan (See above for address) TERMINATED: 04/16/2019
Ashley Moore Drake Goodwin Procter LLP 100 Northern Avenue Boston, MA 02210 (617) 570-1000 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Ashley Katharine Martin (See above for address) TERMINATED: 04/16/2019
Mark Holland Goodwin Proctger LLP 620 Eighth Avenue New York, NY 10018 212.813.8800 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Roberto M. Braceras Goodwin Procter LLP Exchange Place Boston, MA 02109 (617)570-1000 Email: [email protected] ATTORNEY TO BE NOTICED Service List represented by Frank Anthony Richter Robbins Geller Rudman & Dowd 200 S. Wacker 31st Floor Chicago, IL 60606 312-674-4674 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
James E Barz Robbins Geller Rudman & Dowd LLP 200 S. Wacker Drive Suite 3100 Chicago, IL 60606 (312) 674-4674 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Louis Carey Ludwig Pomerantz LLP 10 S. LaSalle Street Suite 3505 Chicago, IL 60603 312-377-1181 Email: [email protected] ATTORNEY TO BE NOTICED
V. Movant Stanley Bennett represented by Louis Carey Ludwig (See above for address) ATTORNEY TO BE NOTICED Movant Paragon National, LP represented by Michael C Dell'Angelo BERGER MONTAGUE PC 1818 Market Street Suite 3600 PHILADELPHIA, PA 19103 (215) 875-3080 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Jennifer Winter Sprengel Cafferty Clobes Meriwether & Sprengel LLP 150 South Wacker Drive Suite 3000 Chicago, IL 60606 (312) 782-4880 Email: [email protected] ATTORNEY TO BE NOTICED Movant Lynda Godkin represented by Carol V Gilden Cohen Milstein Sellers & Toll PLLC 190 S. LaSalle Street Suite 1705 Chicago, IL 60603 (312) 357-0370 Email: [email protected] ATTORNEY TO BE NOTICED
Gregg S. Levin Motley Rice LLC 28 Bridgeside Blvd. Mount Pleasant, SC 29464 (843) 216-9000 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Mathew Jasinski Motley Rice LLC One Corporate Center 20 Church St., 17th Floor Hartford, CT 06103 (860) 218-2725 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Movant High Country Capital Management represented by Carol V Gilden (See above for address) ATTORNEY TO BE NOTICED Movant Tradition Capital Management LLC represented by Brian E. Cochran Robbins Geller Rudman & Dowd Llp 200 S. Wacker Dr., 31st Fl. Chicago, IL 60606 (312) 674-4674 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
James W. Johnson Labaton Sucharow LLP 140 Broadway 34th Floor New York, NY 10005 (212) 907-0700 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Michael H Rogers Labaton Sucharow LLP 140 Broadway New York, NY 10005 (212) 907-0700 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Francis P. Mcconville Labaton Sucharow LLP 140 Broadway New York, NY 10005-1108 212-907-0650 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Margaret Schmidt Labaton Sucharow LLP 140 Broadway New York, NY 10005 (212) 907-0700 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Nicole M. Zeiss Labaton Sucharow LLp 140 Broadway 34th Floor New York, NY 10005 (212) 907-0867 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
James E Barz (See above for address) ATTORNEY TO BE NOTICED Movant SRS Capital Advisors, Inc. represented by Brian E. Cochran (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
James W. Johnson (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Michael H Rogers (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED
Francis P. Mcconville (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Margaret Schmidt (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Nicole M. Zeiss (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
James E Barz (See above for address) ATTORNEY TO BE NOTICED Movant Donn Glander represented by Kara Anne Elgersma Wexler Wallace LLP 55 West Monroe #3300 Chicago, IL 60603 312-346-2222 Email: [email protected] TERMINATED: 10/10/2018 Movant Charles Irvine represented by Kara Anne Elgersma (See above for address) TERMINATED: 10/10/2018 ATTORNEY TO BE NOTICED Movant Gustav Swanson represented by Kara Anne Elgersma (See above for address) TERMINATED: 10/10/2018 Movant Pell, LLC represented by Kara Anne Elgersma (See above for address) TERMINATED: 10/10/2018 ATTORNEY TO BE NOTICED Movant Justin Kaufman represented by Brian E. Cochran (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
David A Rosenfeld Robbins Geller Rudman & Dowd LLP 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Dominic C. LoVerde Robbins Geller Rudman & Dowd LLP 200 S. Wacker Dr. 31st Floor Chicago, IL 60606 312-674-4674 Email: [email protected] TERMINATED: 06/10/2019
Ellen Gusikoff Stewart Robbins Geller Rudman & Dowd LLP 655 W. Broadway Suite 1900 San Diego, CA 92101 (619) 231-1058 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED
Frank Anthony Richter (See above for address) ATTORNEY TO BE NOTICED
James E Barz (See above for address) ATTORNEY TO BE NOTICED
Matthew Langley (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Nicole M. Zeiss (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Movant Jenny Kaufman represented by Brian E. Cochran (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
David A Rosenfeld (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Dominic C. LoVerde (See above for address) TERMINATED: 06/10/2019
Ellen Gusikoff Stewart (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Frank Anthony Richter (See above for address) ATTORNEY TO BE NOTICED
James E Barz (See above for address) ATTORNEY TO BE NOTICED
Matthew Langley (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Nicole M. Zeiss (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Movant Joseph N. Wilson represented by Brian E. Cochran (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
David A Rosenfeld (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Dominic C. LoVerde (See above for address) TERMINATED: 06/10/2019
Ellen Gusikoff Stewart (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Frank Anthony Richter (See above for address) ATTORNEY TO BE NOTICED
James E Barz (See above for address) ATTORNEY TO BE NOTICED
Matthew Langley (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Nicole M. Zeiss (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Movant Dr. Larry Cohen represented by Brian E. Cochran (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
David A Rosenfeld (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Dominic C. LoVerde (See above for address) TERMINATED: 06/10/2019
Ellen Gusikoff Stewart (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Frank Anthony Richter (See above for address) ATTORNEY TO BE NOTICED
James E Barz (See above for address) ATTORNEY TO BE NOTICED
Matthew Langley (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Nicole M. Zeiss (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Movant Marilyn Cohen represented by Brian E. Cochran (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
David A Rosenfeld (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Dominic C. LoVerde (See above for address) TERMINATED: 06/10/2019
Ellen Gusikoff Stewart (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Frank Anthony Richter (See above for address) ATTORNEY TO BE NOTICED
James E Barz (See above for address) ATTORNEY TO BE NOTICED
Matthew Langley (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Nicole M. Zeiss (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Movant MWH Investments, LLC represented by Thomas L. Laughlin , IV ScottScott, Attorneys at Law, LLP The Helmsley Building 230 Park Avenue, 17th Floor New York, NY 10169 (212) 223-6444 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED
Rhiana L Swartz ScottScott, Attorneys at Law, LLP The Helmsley Building 230 Park Avenue, 17th Floor New York, NY 10169 (212) 223-6444 Email: [email protected] ATTORNEY TO BE NOTICED Movant Personal CFO Solutions, LLC represented by Thomas L. Laughlin , IV (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Rhiana L Swartz (See above for address) ATTORNEY TO BE NOTICED Movant John W. Kapouch represented by Thomas L. Laughlin , IV (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Rhiana L Swartz (See above for address) ATTORNEY TO BE NOTICED Movant James Fruge represented by Thomas L. Laughlin , IV (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Rhiana L Swartz (See above for address) ATTORNEY TO BE NOTICED
Date Filed # Docket Text 02/09/2018 1 COMPLAINT filed by Leonard Sokolow; Jury Demand. Filing fee $ 400, receipt number 0752-14105700. (Attachments: # 1 Certification)(Freed, Michael) (Entered: 02/09/2018) 02/09/2018 2 CIVIL Cover Sheet (Freed, Michael) (Entered: 02/09/2018) 02/09/2018 3 ATTORNEY Appearance for Plaintiff Leonard Sokolow by Michael Jerry Freed (Freed, Michael) (Entered: 02/09/2018) 02/09/2018 4 ATTORNEY Appearance for Plaintiff Leonard Sokolow by William Henry London (London, William) (Entered: 02/09/2018) 02/09/2018 5 ATTORNEY Appearance for Plaintiff Leonard Sokolow by Brian M. Hogan (Hogan, Brian) (Entered: 02/09/2018) 02/09/2018 CASE ASSIGNED to the Honorable Robert M. Dow, Jr. Designated as Magistrate Judge the Honorable Sheila Finnegan. (meg, ) (Entered: 02/12/2018) 02/12/2018 6 NOTICE TO THE PARTIES - The Court is participating in the Mandatory Initial Discovery Pilot (MIDP). The key features and deadlines are set forth in the attached Notice which includes the MIDP Standing Order. Also attached is a checklist for use by the parties. In cases subject to the pilot, all parties must respond to the mandatory initial discovery requests set forth in the Standing Order before initiating any further discovery in this case. Please note: The discovery obligations in the Standing Order supersede the disclosures required by Rule 26(a)(1). Any party seeking affirmative relief must serve a copy of the attached documents (Notice to Parties and the Standing Order) on each new party when the Complaint, Counterclaim, Crossclaim, or Third-Party Complaint is served. (jk, ) (Entered: 02/12/2018) 02/12/2018 7 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14110033. (Attachments: # 1 Exhibit A - Bar Admissions)(Laughlin, Thomas) (Entered: 02/12/2018) 02/13/2018 8 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14114732. (Attachments: # 1 Exhibit A - Bar Admissions)(Swartz, Rhiana) (Entered: 02/13/2018) 02/13/2018 9 MINUTE entry before the Honorable Robert M. Dow, Jr: Initial status hearing is set for 3/28/2018 at 9:00 a.m. and parties are to report the following: (1) Possibility of settlement in the case; (2) If no possibility of settlement exists, the nature and length of discovery necessary to get the case ready for trial. Plaintiff is to advise all other parties of the courts action herein. Lead counsel is directed to appear at this status hearing. The parties are requested to file a joint status report at least two days prior to the initial status. For further details see the Court's website available at www.ilnd.uscourts.gov. Mailed notice (cdh, ) (Entered: 02/13/2018) 02/27/2018 SUMMONS Issued as to Defendants Anthony Caine, James Colantino, Mark Garbin, Mark Gertsen, Neil Kaufman, Anita Krug, LJM Funds Management, Ltd., Northern Lights Distributors, LLC, Anish Parvataneni, Andrew Rogers, Two Roads Shared Trust (pg, ) (Entered: 02/27/2018) 02/28/2018 10 MINUTE entry before the Honorable Robert M. Dow, Jr: Rhiana Swartz and Thomas Laughlin's motions for leave to appear pro hac vice on behalf of the Plaintiff Lenard Sokolow 7 , 8 are granted. Mailed notice (cdh, ) (Entered: 02/28/2018) 03/15/2018 11 SUMMONS Returned Executed filed by Plaintiff Leonard Sokolow regarding Summons and Complaint served on LJM Funds Management, Ltd. on 3/1/2018, answer due 3/22/2018. (Laughlin, Thomas) (Docket Text Modified by Clerk's Office) Modified on 3/19/2018 (jk, ). (Entered: 03/15/2018) 03/15/2018 12 SUMMONS Returned Executed filed by Plaintiff Leonard Sokolow regarding Summons and Complaint served on Northern Lights Distributors, LLC on 2/28/2018, answer due 3/21/2018. (Laughlin, Thomas) (Docket Text Modified by Clerk's Office) Modified on 3/19/2018 (jk, ). (Entered: 03/15/2018) 03/15/2018 13 SUMMONS Returned Executed filed by Plaintiff Leonard Sokolow regarding Summons and Complaint served on Two Roads Shared Trust on 3/1/2018, answer due 3/22/2018. (Laughlin, Thomas) (Docket Text Modified by Clerk's Office) Modified on 3/19/2018 (jk, ). (Entered: 03/15/2018) 03/20/2018 14 ATTORNEY Appearance for Defendants Mark Garbin, Mark Gertsen, Neil Kaufman, Anita Krug by Daniel R Fine (Fine, Daniel) (Entered: 03/20/2018) 03/21/2018 15 ATTORNEY Appearance for Defendant Two Roads Shared Trust by Bradley Joseph Andreozzi (Andreozzi, Bradley) (Entered: 03/21/2018) 03/21/2018 16 ATTORNEY Appearance for Defendant Two Roads Shared Trust by Daniel J. Delaney (Delaney, Daniel) (Entered: 03/21/2018) 03/21/2018 17 ATTORNEY Appearance for Defendant Two Roads Shared Trust by Matthew M Morrissey (Morrissey, Matthew) (Entered: 03/21/2018) 03/21/2018 18 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by Two Roads Shared Trust (Morrissey, Matthew) (Entered: 03/21/2018) 03/22/2018 19 SUMMONS Returned Executed by Leonard Sokolow as to Anita Krug on 3/5/2018, answer due 3/26/2018. (Laughlin, Thomas) (Entered: 03/22/2018) 03/22/2018 20 SUMMONS Returned Executed by Leonard Sokolow as to Mark Gertsen on 3/15/2018, answer due 4/5/2018. (Laughlin, Thomas) (Entered: 03/22/2018) 03/22/2018 21 ATTORNEY Appearance for Defendants Anthony Caine, LJM Funds Management, Ltd., Anish Parvataneni by Todd Edward Pentecost (Pentecost, Todd) (Entered: 03/22/2018) 03/22/2018 22 ATTORNEY Appearance for Defendants Anthony Caine, LJM Funds Management, Ltd., Anish Parvataneni by Steven Marc Malina (Malina, Steven) (Entered: 03/22/2018) 03/22/2018 23 ATTORNEY Appearance for Defendants Anthony Caine, LJM Funds Management, Ltd., Anish Parvataneni by Kyle L Flynn (Flynn, Kyle) (Entered: 03/22/2018) 03/22/2018 24 WAIVER OF SERVICE returned executed by Anthony Caine. Anthony Caine waiver sent on 3/22/2018, answer due 5/21/2018. (Pentecost, Todd) (Entered: 03/22/2018) 03/22/2018 25 ATTORNEY Appearance for Defendants Anthony Caine, LJM Funds Management, Ltd., Anish Parvataneni by Peter G. Rush (Rush, Peter) (Entered: 03/22/2018) 03/22/2018 26 STIPULATION JOINT STIPULATION AND AGREED MOTION OF PLAINTIFF AND CERTAIN DEFENDANTS (Laughlin, Thomas) (Entered: 03/22/2018) 03/22/2018 27 MOTION by Defendant Two Roads Shared Trust to consolidate cases Agreed, MOTION by Defendant Two Roads Shared Trust to reassign case Agreed (Attachments: # 1 Exhibit, # 2 Exhibit)(Delaney, Daniel) (Entered: 03/22/2018) 03/22/2018 28 NOTICE of Motion by Daniel J. Delaney for presentment of motion to consolidate cases, motion to reassign case 27 before Honorable Robert M. Dow Jr. on 3/28/2018 at 09:15 AM. (Delaney, Daniel) (Entered: 03/22/2018) 03/23/2018 29 SUMMONS Returned Executed by Leonard Sokolow as to Anish Parvataneni on 3/8/2018, answer due 3/29/2018. (Laughlin, Thomas) (Entered: 03/23/2018) 03/23/2018 30 SUMMONS Returned Executed by Leonard Sokolow as to Neil Kaufman on 3/15/2018, answer due 4/5/2018. (Laughlin, Thomas) (Entered: 03/23/2018) 03/23/2018 31 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14272876. (Grossman, Lindsey) (Entered: 03/23/2018) 03/23/2018 32 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14272977. (Criden, Michael) (Entered: 03/23/2018) 03/27/2018 33 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14280524. (Lechtman, Evan) (Entered: 03/27/2018) 03/27/2018 34 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14280610. (Fitzpatrick, Charles) (Entered: 03/27/2018) 03/27/2018 35 MINUTE entry before the Honorable Robert M. Dow, Jr: Upon review of the motion to reassign and consolidate 27 , which will be presented on 3/28/2018 at 9:15 a.m., the Court strikes the responsive pleading deadlines and the initial status hearing in this individual case set for 3/28/2018 at 9:00 a.m. pending the resolution of the motion to reassign and consolidate. Mailed notice (cdh, ) (Entered: 03/27/2018) 03/27/2018 36 MINUTE entry before the Honorable Robert M. Dow, Jr:Lindsey Caryn Grossman and Michael Elliot Criden's motions for leave to appear pro hac vice on behalf of Plaintiff Leonard Sokolow 31 , 32 are granted. Evan H. Lechtman and Charles A. Fitzpatrick IV's motions for leave to appear pro hac vice on behalf of Defendants M. Gertsen, M. Garbin, N. Kaufman and A. Krug 33 , 34 are granted. Mailed notice (cdh, ) (Entered: 03/27/2018) 03/27/2018 37 ATTORNEY Appearance for Defendant Northern Lights Distributors, LLC by Thomas K. Cauley, Jr (Cauley, Thomas) (Entered: 03/27/2018) 03/28/2018 38 ATTORNEY Appearance for Movant Stanley Bennett by Louis Carey Ludwig (Ludwig, Louis) (Entered: 03/28/2018) 03/28/2018 78 ORDER: Motion hearing held. Defendant Two Roads Shared Trust's agreed motion to reassign and consolidate related cases 27 is granted. Bennett v. LJM Funds Management, Ltd., et al., No. 18-cv-01312 (N.D. Ill.) and Nosewicz v. LJM Funds Management, Ltd, et al., No. 18-cv- 01589 (N.D. Ill.) shall be reassigned to this Court. Executive Committee Order to follow. Deadlines are stayed until further order of the Court. Parties to file a joint status report by 4/20/2018 and suggest a further status hearing date. The Clerk's Office shall consolidate the cases for all purposes. Signed by the Honorable Robert M. Dow, Jr on 3/28/2018. (Received for docketing on 4/10/2018). Mailed notice (jk, ) (Entered: 04/11/2018) 04/02/2018 39 SUMMONS Returned Executed by Leonard Sokolow as to Andrew Rogers on 3/15/2018, answer due 4/5/2018. (Laughlin, Thomas) (Entered: 04/02/2018) 04/02/2018 40 ATTORNEY Appearance for Defendants Anthony Caine, LJM Funds Management, Ltd., Anish Parvataneni by Jeffry Mark Henderson (Henderson, Jeffry) (Entered: 04/02/2018) 04/02/2018 41 ATTORNEY Appearance for Defendant Northern Lights Distributors, LLC by Bradley Allen Tucker (Tucker, Bradley) (Entered: 04/02/2018) 04/05/2018 42 SUMMONS Returned Executed by Leonard Sokolow as to Mark Garbin on 3/9/2018, answer due 3/30/2018. (Laughlin, Thomas) (Entered: 04/05/2018) 04/06/2018 43 SUMMONS Returned Executed by Leonard Sokolow as to Mark Garbin on 3/9/2018, answer due 3/30/2018. (Laughlin, Thomas) (Docket Text Modified by Clerk's Office) Modified on 4/9/2018 (jk, ). (Entered: 04/06/2018) 04/06/2018 44 SUMMONS Returned Executed by Leonard Sokolow as to James Colantino on 3/23/2018, answer due 4/13/2018. (Laughlin, Thomas) (Entered: 04/06/2018) 04/10/2018 45 ATTORNEY Appearance for Movant Paragon National, LP by Jennifer Winter Sprengel (Sprengel, Jennifer) (Entered: 04/10/2018) 04/10/2018 46 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by Northern Lights Distributors, LLC (Tucker, Bradley) (Entered: 04/10/2018) 04/10/2018 47 MOTION by Movant Paragon National, LP to Consolidate Cases, Appoint Lead Plaintiff, and Approve Lead Plaintiffs Selection of Counsel (Sprengel, Jennifer) (Entered: 04/10/2018) 04/10/2018 48 MEMORANDUM by Paragon National, LP in support of motion for miscellaneous relief 47 to Consolidate Cases, Appoint Lead Plaintiff, and Approve Lead Plaintiffs Selection of Counsel (Sprengel, Jennifer) (Entered: 04/10/2018) 04/10/2018 49 DECLARATION of Michael Dell'Angelo regarding memorandum in support of motion 48 , motion for miscellaneous relief 47 to Consolidate Any Subsequently- Filed Related Cases, Appoint Lead Plaintiff, and Approve Lead Plaintiffs Selection of Counsel (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)(Sprengel, Jennifer) (Entered: 04/10/2018) 04/10/2018 50 NOTICE of Motion by Jennifer Winter Sprengel for presentment of motion for miscellaneous relief 47 before Honorable Robert M. Dow Jr. on 4/25/2018 at 09:15 AM. (Sprengel, Jennifer) (Entered: 04/10/2018) 04/10/2018 51 ATTORNEY Appearance for Movant Lynda Godkin by Carol V Gilden (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 52 MOTION by Movant Lynda Godkin to consolidate cases , appoint lead plaintiff and approve selection of counsel (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 53 NOTICE of Motion by Carol V Gilden for presentment of motion to consolidate cases 52 before Honorable Robert M. Dow Jr. on 4/17/2018 at 09:15 AM. (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 54 MEMORANDUM by Lynda Godkin in support of motion to consolidate cases 52 , appoint lead plaintiff and approve selection of counsel (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 55 DECLARATION of Carol V. Gilden regarding motion to consolidate cases 52 , appoint lead plaintiff and approve selection of counsel (Attachments: # 1 Certification, # 2 Loss Chart, # 3 Notice, # 4 Motley Rice Resume, # 5 Cohen Milstein Resume)(Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 56 ATTORNEY Appearance for Movant High Country Capital Management by Carol V Gilden (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 57 MOTION by Movant High Country Capital Management to consolidate cases , appoint lead plaintiff and approve selection of counsel (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 58 NOTICE of Motion by Carol V Gilden for presentment of motion to consolidate cases 57 before Honorable Robert M. Dow Jr. on 4/17/2018 at 09:15 AM. (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 59 MEMORANDUM by High Country Capital Management in support of motion to consolidate cases 57 , appoint lead plaintiff and approve selection of counsel (Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 60 DECLARATION of Carol V. Gilden regarding motion to consolidate cases 57 , appoint lead plaintiff and approve selection of counsel (Attachments: # 1 Notice, # 2 Certification, # 3 Declaration Napoli Declaration, # 4 Loss Charts, # 5 Rosen Law Resume, # 6 Cohen Milstein Resume)(Gilden, Carol) (Entered: 04/10/2018) 04/10/2018 61 MOTION by Movants Tradition Capital Management LLC, SRS Capital Advisors, Inc.Motion of the Investment Advisor Group for Appointment as Lead Plaintiff, Approval of Selection of Lead Counsel, and Consolidation of Related Cases (Smith, Michael) (Entered: 04/10/2018) 04/10/2018 62 MEMORANDUM by SRS Capital Advisors, Inc., Tradition Capital Management LLC in support of motion for miscellaneous relief, 61 MEMORANDUM OF LAW IN SUPPORT OF THE MOTION OF THE INVESTMENT ADVISOR GROUP FOR APPOINTMENT AS LEAD PLAINTIFF, APPROVAL OF SELECTION OF LEAD COUNSEL, AND CONSOLIDATION OF RELATED CASES (Smith, Michael) (Entered: 04/10/2018) 04/10/2018 63 DECLARATION of Michael D. Smith regarding motion for miscellaneous relief, 61 MOTION OF THE INVESTMENT ADVISOR GROUP FOR APPOINTMENT AS LEAD PLAINTIFF, APPROVAL OF SELECTION OF LEAD COUNSEL, AND CONSOLIDATION OF RELATED CASES (Attachments: # 1 Exhibit A - Certifications, # 2 Exhibit B - Loss Analysis, # 3 Exhibit C - Joint Declaration, # 4 Exhibit D - Notice, # 5 Exhibit E - Labaton Sucharow Firm Resume, # 6 Exhibit F - Michael D. Smith Firm Resume)(Smith, Michael) (Entered: 04/10/2018) 04/10/2018 64 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by SRS Capital Advisors, Inc., Tradition Capital Management LLC re MOTION by Movants Tradition Capital Management LLC, SRS Capital Advisors, Inc.Motion of the Investment Advisor Group for Appointment as Lead Plaintiff, Approval of Selection of Lead Counsel, and Consolidation of Related Cases 61 (Smith, Michael) (Entered: 04/10/2018) 04/10/2018 65 NOTICE of Motion by Michael D Smith for presentment of motion for miscellaneous relief, 61 before Honorable Robert M. Dow Jr. on 4/17/2018 at 09:15 AM. (Smith, Michael) (Entered: 04/10/2018) 04/10/2018 66 ATTORNEY Appearance for Movants Donn Glander, Charles Irvine, Gustav Swanson, Pell, LLC by Kara Anne Elgersma (Elgersma, Kara) (Entered: 04/10/2018) 04/10/2018 67 MOTION by Movants Donn Glander, Charles Irvine, Pell, LLC, Gustav Swanson for order of Appointment as Lead Plaintiffs and Approval of Selection of Counsel and Joinder in Consolidation (Elgersma, Kara) (Entered: 04/10/2018) 04/10/2018 68 ATTORNEY Appearance for Movants Justin Kaufman, Jenny Kaufman, Joseph N. Wilson, Larry Cohen, Marilyn Cohen by James E Barz (Barz, James) (Entered: 04/10/2018) 04/10/2018 69 DECLARATION of David Stein regarding motion for order 67 (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I)(Elgersma, Kara) (Entered: 04/10/2018) 04/10/2018 70 NOTICE of Motion by Kara Anne Elgersma for presentment of motion for order 67 before Honorable Robert M. Dow Jr. on 4/17/2018 at 09:15 AM. (Elgersma, Kara) (Entered: 04/10/2018) 04/10/2018 71 MOTION by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, Joseph N. Wilson for Appointment as Lead Plaintiff and Approval of Selection of Lead Counsel (Attachments: # 1 Exhibit A: LJM Fund Investor Group's Joint Declaration, # 2 Exhibit B: Notice of pendency of class action, # 3 Exhibit C: LJM Fund Investor Group's Certifications, # 4 Exhibit D: LJM Fund Investor Group's loss estimate, # 5 Exhibit E: RGRD resume)(Barz, James) (Entered: 04/10/2018) 04/10/2018 72 NOTICE of Motion by James E Barz for presentment of motion for miscellaneous relief, 71 before Honorable Robert M. Dow Jr. on 5/1/2018 at 09:15 AM. (Barz, James) (Entered: 04/10/2018) 04/10/2018 73 MEMORANDUM by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, Joseph N. Wilson in support of motion for miscellaneous relief, 71 (Barz, James) (Entered: 04/10/2018) 04/10/2018 74 ATTORNEY Appearance for Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, Joseph N. Wilson by Frank Anthony Richter (Richter, Frank) (Entered: 04/10/2018) 04/10/2018 75 MOTION by Movants MWH Investments, LLC, Personal CFO Solutions, LLC, John W. Kapouch, James Fruge to consolidate cases , appoint Lead Plaintiff, and approval of selection of Lead and Liaison Counsel and Memorandum of Law in Support (Laughlin, Thomas) (Entered: 04/10/2018) 04/10/2018 76 DECLARATION of Thomas L. Laughlin, IV regarding motion to consolidate cases, 75 (Attachments: # 1 Exhibit A (Sokolow Notice), # 2 Exhibit B (Nosewicz Notice), # 3 Exhibit C (MWH Investments, LLC Certification), # 4 Exhibit D (Personal CFO Solutions, LLC Certification), # 5 Exhibit E (John W. Kapouch Certification), # 6 Exhibit F (James Fruge Certification), # 7 Exhibit G (MWH Investments, LLC Assignments), # 8 Exhibit H (Personal CFO Solutions, LLC Assignments), # 9 Exhibit I (John W. Kapouch Assignments), # 10 Exhibit J (Joint Declaration), # 11 Exhibit K (Scott+Scott Resume), # 12 Exhibit L (Freed Kanner Resume))(Laughlin, Thomas) (Entered: 04/10/2018) 04/10/2018 77 NOTICE of Motion by Thomas L. Laughlin, IV for presentment of motion to consolidate cases, 75 before Honorable Robert M. Dow Jr. on 4/17/2018 at 09:15 AM. (Laughlin, Thomas) (Entered: 04/10/2018) 04/11/2018 79 Corrected NOTICE of Motion by Kara Anne Elgersma for presentment of motion for order 67 before Honorable Robert M. Dow Jr. on 4/17/2018 at 09:15 AM. (Elgersma, Kara) (Entered: 04/11/2018) 04/11/2018 80 Corrected NOTICE of Motion by James E Barz for presentment of motion for miscellaneous relief, 71 before Honorable Robert M. Dow Jr. on 4/17/2018 at 09:15 AM. (Barz, James) (Entered: 04/11/2018) 04/12/2018 81 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14346306. Motion of Francis P. McConville on Behalf of Tradition Capital Management LLC and SRS Capital Advisors, Inc. (Mcconville, Francis) (Entered: 04/12/2018) 04/12/2018 82 ATTORNEY Appearance for Movants James Fruge, John W. Kapouch, MWH Investments, LLC, Personal CFO Solutions, LLC by Thomas L. Laughlin, IV (Laughlin, Thomas) (Entered: 04/12/2018) 04/12/2018 83 ATTORNEY Appearance for Movants James Fruge, John W. Kapouch, MWH Investments, LLC, Personal CFO Solutions, LLC by Rhiana L Swartz (Swartz, Rhiana) (Entered: 04/12/2018) 04/13/2018 84 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14350754. (Rosenfeld, David) (Entered: 04/13/2018) 04/13/2018 85 ATTORNEY Appearance for Defendants James Colantino, Andrew Rogers by Bradley Joseph Andreozzi (Andreozzi, Bradley) (Entered: 04/13/2018) 04/13/2018 86 ATTORNEY Appearance for Defendants James Colantino, Andrew Rogers by Daniel J. Delaney (Delaney, Daniel) (Entered: 04/13/2018) 04/13/2018 87 ATTORNEY Appearance for Defendants James Colantino, Andrew Rogers by Matthew M Morrissey (Morrissey, Matthew) (Entered: 04/13/2018) 04/16/2018 88 MINUTE entry before the Honorable Robert M. Dow, Jr: Motion of Francis P. McConville for leave to appear pro hac vice on behalf of Traditional Capital Management LLC and SRS Capital Advisors, Inc. 84 is granted. Motion of David A. Rosenfeld for leave to appear pro hac vice on behalf of proposed lead Plaintiffs Justin and Jenny Kaufman, Joseph N. Wilson and Dr. Larry and Marilyn Cohen ( the"LJM Fund Investor Group"). 85 is granted. Mailed notice (cdh, ) (Entered: 04/16/2018) 04/16/2018 89 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by James Fruge, John W. Kapouch, MWH Investments, LLC, Personal CFO Solutions, LLC (Laughlin, Thomas) (Entered: 04/16/2018) 04/17/2018 90 MINUTE entry before the Honorable Robert M. Dow, Jr: Motion hearing held. Status report due date of 4/20/2018 is stricken. Motions ( 47 , 52 , [57 ], 61 , 67 , 71 , 75 ) are taken under advisement; responses are due 4/24/2018; and replies are due 5/1/2018. Notice of motion date of 4/25/2018 is stricken and no appearances are necessary on that date. Mailed notice (cdh, ) (Entered: 04/17/2018) 04/17/2018 91 ATTORNEY Appearance for Movant Paragon National, LP by Michael C Dell'Angelo (Dell'Angelo, Michael) (Entered: 04/17/2018) 04/24/2018 92 NOTICE by Donn Glander, Charles Irvine, Pell, LLC, Gustav Swanson of Non- Opposition to Competing Lead Plaintiff Motions (Elgersma, Kara) (Entered: 04/24/2018) 04/24/2018 93 MEMORANDUM by James Fruge, John W. Kapouch, MWH Investments, LLC, Personal CFO Solutions, LLC in Opposition to motion for miscellaneous relief, 61 , motion to consolidate cases 52 , motion for miscellaneous relief, 71 , motion to consolidate cases 57 , motion for miscellaneous relief 47 , motion for order 67 (Laughlin, Thomas) (Entered: 04/24/2018) 04/24/2018 94 DECLARATION of Thomas L. Laughlin, IV regarding memorandum in opposition to motion, 93 (Attachments: # 1 Exhibit A - Loss Chart)(Laughlin, Thomas) (Entered: 04/24/2018) 04/24/2018 95 RESPONSE by Lynda Godkinin Support of MOTION by Movant Lynda Godkin to consolidate cases , appoint lead plaintiff and approve selection of counsel 52 (Gilden, Carol) (Entered: 04/24/2018) 04/24/2018 96 DECLARATION of Lynda Godkin regarding response in support of motion 95 (Gilden, Carol) (Entered: 04/24/2018) 04/24/2018 97 RESPONSE by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilsonin Support of MOTION by Movants Tradition Capital Management LLC, SRS Capital Advisors, Inc.Motion of the Investment Advisor Group for Appointment as Lead Plaintiff, Approval of Selection of Lead Counsel, and Consolidation of Related Cases 61 , MOTION by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, Joseph N. Wilson for Appointment as Lead Plaintiff and Approval of Selection of Lead Counsel 71 (Attachments: # 1 Exhibit A: Joint Declaration, # 2 Exhibit B: Certified Order, # 3 Exhibit C: Declarations of Assignment)(Barz, James) (Entered: 04/24/2018) 04/24/2018 98 NOTICE by Paragon National, LP OF NON-OPPOSITION TO INVESTMENT ADVISOR GROUPS MOTION FOR APPOINTMENT AS LEAD PLAINTIFF, APPROVAL OF SELECTION OF LEAD COUNSEL (Dell'Angelo, Michael) (Entered: 04/24/2018) 04/25/2018 99 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14393433. (Kaplan, Alex) (Entered: 04/25/2018) 04/26/2018 100 MINUTE entry before the Honorable Robert M. Dow, Jr: Alex J. Kaplan's motion for leave to appear pro hac vice on behalf of Northern Lights Distributors, LLC 99 is granted. Mailed notice (cdh, ) (Entered: 04/26/2018) 04/30/2018 101 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14411009. (Attachments: # 1 List of Court Admissions)(Jasinski, Mathew) (Entered: 04/30/2018) 04/30/2018 102 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14411176. (Attachments: # 1 List of Court Admissions)(Levin, Gregg) (Entered: 04/30/2018) 05/01/2018 103 REPLY by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson to motion for miscellaneous relief, 61 , motion for miscellaneous relief, 71 Joint Reply Brief in Further Support of LJM Fund Investor Group's and Investment Advisor Group's Motions for Appointment as Lead Plaintiff and Approval of Selection of Lead Counsel (Attachments: # 1 Exhibit A - Joint Declaration)(Barz, James) (Entered: 05/01/2018) 05/01/2018 104 REPLY by Movant Lynda Godkin to motion to consolidate cases 52 , appoint lead plaintiff and approve selection of counsel (Gilden, Carol) (Entered: 05/01/2018) 05/01/2018 105 REPLY by Movants James Fruge, John W. Kapouch, MWH Investments, LLC, Personal CFO Solutions, LLC to motion to consolidate cases, 75 in Further Support (Laughlin, Thomas) (Entered: 05/01/2018) 05/01/2018 106 DECLARATION of Thomas L. Laughlin, IV regarding reply 105 (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Laughlin, Thomas) (Entered: 05/01/2018) 06/14/2018 107 MOTION by Attorney Bradley A. Tucker to withdraw as attorney for Northern Lights Distributors, LLC. No party information provided (Tucker, Bradley) (Entered: 06/14/2018) 06/14/2018 108 NOTICE of Motion by Bradley Allen Tucker for presentment of motion to withdraw as attorney 107 before Honorable Robert M. Dow Jr. on 6/20/2018 at 09:15 AM. (Tucker, Bradley) (Entered: 06/14/2018) 06/19/2018 109 MINUTE entry before the Honorable Robert M. Dow, Jr: Mathew P. Jasinski and Gregg S. Levin's motions to appear pro hac vice on behalf of Lynda Godkin 101 and 102 are granted. Motion of Bradley A. Tucker to withdraw as attorney 107 is granted. Attorney Bradley Allen Tucker terminated. Notice of motion date of 6/20/2018 is stricken and no appearances are necessary on that date. Mailed notice (cdh, ) (Entered: 06/19/2018) 06/26/2018 110 ORDER: To the extent the motions ( 47 ; 52 ; 57 ; 61 ; 67 ; 71 ; 75 ) request that the Court consolidate the above-captioned cases, the motions ( 47 ; 52 ; 57 ; 61 ; 67 ; 71 ; 75 ) are denied as moot because the Court has already consolidated the above- captioned cases. (See 78 .) For the foregoing reasons, the Court grants in part the motions of the Investment Advisor Group 61 and the Kaufman Group 71 and appoints the Combined Group as lead plaintiff. The Court approves the selection of Robbins Geller Rudman & Dowd and Labaton Sucharow LLP as co-lead counsel. The Court denies the remaining motions ( 47 ; 52 ; 57 ; 67 ; 75 ) in full. The case is set for further status on July 17, 2018 at 10:15 a.m. Signed by the Honorable Robert M. Dow, Jr on 6/26/2018. Mailed notice (jk, ) (Entered: 06/27/2018) 06/26/2018 111 MEMORANDUM Opinion and Order. Signed by the Honorable Robert M. Dow, Jr on 6/26/2018. Mailed notice (jk, ) (Entered: 06/27/2018) 07/12/2018 112 ATTORNEY Appearance for Movants SRS Capital Advisors, Inc., Tradition Capital Management LLC by James W. Johnson (Johnson, James) (Entered: 07/12/2018) 07/17/2018 113 MINUTE entry before the Honorable Robert M. Dow, Jr: Status hearing held. The Court adopts the Parties' proposed scheduling order. Lead Plaintiffs Tradition Capital Management LLC, SRS Capital Advisors, Inc., Justin and Jenny Kaufman, Joseph N. Wilson, and Dr. Larry and Marilyn Cohen shall file their Consolidated Class Action Complaint (the "Consolidated Complaint") on or before August 16, 2018. Defendants LJM Funds Management, Ltd., Anish Parvataneni, Anthony Caine, Two Roads Shared Trust, Andrew Rogers, James Colantino, Northern Lights Distributors, LLC, Mark Gertsen, Mark Garbin, Neil Kaufman, and Anita Krug shall answer, move to dismiss or otherwise respond to the Consolidated Complaint on or before October 1, 2018. If Defendants move to dismiss the Consolidated Complaint, Lead Plaintiffs shall file a brief in opposition to that motion or motions on or before November 5, 2018. Defendants may file a reply in further support of their motion(s) to dismiss the Consolidated Complaint on or before November 26, 2018. Mailed notice (cdh, ) (Entered: 07/17/2018) 08/16/2018 114 Consolidated Complaint for Violations of the Federal Securities Laws AMENDED complaint by Tradition Capital Management LLC, Marilyn Cohen, Joseph N. Wilson, Justin Kaufman, Jenny Kaufman, SRS Capital Advisors, Inc., Larry Cohen against Anthony Caine, James Colantino, Mark Garbin, Mark Gertsen, Neil Kaufman, Anita Krug, LJM Funds Management, Ltd., Northern Lights Distributors, LLC, Anish Parvataneni, Andrew Rogers, Two Roads Shared Trust, NorthStar Financial Services Group, LLC (Barz, James) (Entered: 08/16/2018) 08/17/2018 SUMMONS Issued as to Defendant NorthStar Financial Services Group, LLC. (lw, ) (Entered: 08/17/2018) 08/22/2018 115 NOTICE by Michael C Dell'Angelo of Change of Address (Dell'Angelo, Michael) (Entered: 08/22/2018) 08/31/2018 116 SUMMONS Returned Executed by Tradition Capital Management LLC, Marilyn Cohen, Joseph N. Wilson, Justin Kaufman, Jenny Kaufman, SRS Capital Advisors, Inc., Larry Cohen as to NorthStar Financial Services Group, LLC on 8/24/2018, answer due 9/14/2018. (Richter, Frank) (Entered: 08/31/2018) 09/14/2018 117 NOTICE of Voluntary Dismissal by Leonard Sokolow Pursuant to Rule 41(a)(1)(A)(i) (Laughlin, Thomas) (Entered: 09/14/2018) 09/20/2018 118 MINUTE entry before the Honorable Robert M. Dow, Jr: Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure and notice of voluntary dismissal 117 filed on 9/14/2018, this action is dismissed without prejudice. Mailed notice (cdh, ) (Entered: 09/20/2018) 09/20/2018 119 ATTORNEY Appearance for Defendant NorthStar Financial Services Group, LLC by Thomas K. Cauley, Jr (Cauley, Thomas) (Entered: 09/20/2018) 09/20/2018 120 ATTORNEY Appearance for Defendants NorthStar Financial Services Group, LLC, Northern Lights Distributors, LLC by Ashley Katharine Martin (Martin, Ashley) (Entered: 09/20/2018) 09/20/2018 121 ATTORNEY Appearance for Defendant NorthStar Financial Services Group, LLC by Alex Jason Kaplan (Kaplan, Alex) (Entered: 09/20/2018) 09/20/2018 122 MOTION by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson to stay Joint Motion for Stay of Briefing Schedule (Richter, Frank) (Entered: 09/20/2018) 09/20/2018 123 NOTICE of Motion by Frank Anthony Richter for presentment of motion to stay 122 before Honorable Robert M. Dow Jr. on 9/25/2018 at 09:15 AM. (Richter, Frank) (Entered: 09/20/2018) 09/20/2018 124 MINUTE entry before the Honorable Robert M. Dow, Jr: The Court vacates Minute entry 118 and the case is reopened. Joint Motion for Stay of Briefing Schedule and for a referral to Magistrate Judge Finnegan for settlement 122 is granted. Notice of motion date of 9/25/2018 is stricken and no appearances are necessary on that date. Mailed notice (cdh, ) (Entered: 09/20/2018) 09/20/2018 125 Pursuant to Local Rule 72.1, this case is hereby referred to the calendar of Honorable Sheila M. Finnegan for the purpose of holding proceedings related to settlement conference. (cdh, )Mailed notice. (Entered: 09/20/2018) 09/21/2018 126 EXECUTIVE COMMITTEE ORDER: Case referred to the Honorable Sidney I. Schenkier or the purpose of holding proceedings related to settlement conference. Signed by Executive Committee on 9/21/2018. (mma, ) (Entered: 09/21/2018) 09/24/2018 127 MINUTE entry before the Honorable Sidney I. Schenkier: The Court, sua sponte, sets the matter for a status hearing before the magistrate judge on 10/03/18 at 10:00 a.m. Mailed notice. (jj, ) (Entered: 09/24/2018) 09/25/2018 128 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 14987472. (Rogers, Michael) (Entered: 09/25/2018) 09/27/2018 129 MINUTE entry before the Honorable Robert M. Dow, Jr: Motion of Michael H. Rogers for leave to appear pro hac vice on behalf of Tradition Capital Management LLC and SRS Capital Advisors, Inc. 128 . Mailed notice (cdh, ) (Entered: 09/27/2018) 10/03/2018 130 ORDER: Status hearing held. Defense counsel, Evan Lechtman, appears by telephone conference. The parties report on the status of the case and that they are interested in participating in a settlement conference. Settlement discussions held off of the record. Settlement conference is set for 12/21/18 at 9:00 a.m. The settlement conference will be held in the Courtroom, Room #1843. The Court further orders that all levels of insurance carriers personally appear for the settlement conference. The settlement conference will be conducted in accordance with the Court's Standing Order on Instructions for Settlement Conference, which is enclosed and which can also be accessed from the Court's webpage at http://www.ilnd.uscourts.gov/judge- info.aspx?EBclBxz8ceU=. The schedule for exchange of settlement letters required by the Standing Order is as follows: plaintiff's counsel shall serve a settlement letter on defense counsel by 10/25/18, and defendants' counsel shall serve a consolidated 15-page settlement letter for all defendants on plaintiff's counsel by 11/15/18; plaintiff's reply to defense counsels' response is due by 11/29/18. The parties may not change these dates for exchange without either written agreement of the parties or Court order. The plaintiff's counsel shall deliver all copies of all responsive pleadings and settlement letters to chambers by noon on 11/30/18. The parties may not change this date absent Court order. Parties with "full and complete settlement authority," as defined in the Standing Order, must personally attend the conference. The parties who attend the conference shall read all settlement letters prior to the commencement of the conference. Failure to comply with the Standing Order or with the schedule set in this order may result in sanctions. (For further details see order(s) attached). Signed by the Honorable Sidney I. Schenkier on 10/3/2018. (Exhibits). Mailed notice. (jj, ) (Entered: 10/03/2018) 10/05/2018 131 MOTION by Attorney Kara A. Elgersma to withdraw as attorney for Donn Glander, Charles Irvine, Pell, LLC, Gustav Swanson. No party information provided (Elgersma, Kara) (Entered: 10/05/2018) 10/05/2018 132 NOTICE of Motion by Kara Anne Elgersma for presentment of motion to withdraw as attorney 131 before Honorable Robert M. Dow Jr. on 10/11/2018 at 09:15 AM. (Elgersma, Kara) (Entered: 10/05/2018) 10/10/2018 133 MINUTE entry before the Honorable Robert M. Dow, Jr: Uncontested motion of Kara A. Elgersma to withdraw her appearance 131 is granted. Notion of motion date of 10/112018 is stricken and no appearances are necessary on that date. Mailed notice (cdh, ) (Entered: 10/10/2018) 11/30/2018 134 MINUTE entry before the Honorable Sidney I. Schenkier: The matter is set for a status hearing with the magistrate judge on 12/04/18 at 8:30 a.m. to discuss with the parties their settlement letters and whether the settlement conference set for 12/21/18 should proceed. Mailed notice. (jj, ) (Entered: 11/30/2018) 12/04/2018 135 MINUTE entry before the Honorable Sidney I. Schenkier: Status hearing held. Defendants' counsel, Evan Lechtman, Alex Jason Kaplan and Ashley Martin, Movants' counsel, James Johnson, appeared by phone. The parties reported on the status of the case. Settlement discussions held off the record. The settlement conference set for 12/21/18 at 9:00 a.m. remains unchanged. By 5:00 p.m. on 12/17/18, the parties shall deliver to chambers a chart showing the settlement proposal by each party or group of parties, along with the names and titles of the clients and insurance representatives who will participate and which of those people will attend the conference in person and which will participate by telephone. Mailed notice. (cc, ) (Entered: 12/04/2018) 12/14/2018 136 Letter to The Honorable Sidney I. Schenkier regarding December 21 Mediation by Leonard Sokolow (Freed, Michael) (Entered: 12/14/2018) 12/18/2018 137 MINUTE entry before the Honorable Sidney I. Schenkier: We have reviewed the letter from Michael J. Freed, counsel for plaintiffs in Melcher v. LJM Partners, Ltd., et al., 2018 CH 10346, which is pending in the Circuit Court of Cook County, stating his intent to appear at the settlement conference in this case on behalf of the putative class in the Melcher case. We note that at the time we set the settlement conference in this case, there was a difference of opinion among the parties as to whether the conference in this case should include counsel for the plaintiffs in Melcher: defendants wanted counsel to participate, and plaintiff did not. Mr. Freed's letter states that defense counsel indicated a preference for his involvement, but did not state that plaintiff shared that view. We have no objection to Mr. Freed participating in the conference so long as all parties in this case agree. However, if there is not agreement by all parties on his participation, then we will not include him in any group or breakout sessions and we will expect the parties in this case to maintain the confidentiality of all settlement discussions in this case. Mailed notice. (jj, ) (Entered: 12/18/2018) 12/19/2018 138 ATTORNEY Appearance for Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson by Brian E. Cochran (Cochran, Brian) (Entered: 12/19/2018) 12/21/2018 139 MINUTE entry before the Honorable Sidney I. Schenkier: Settlement conference held. The matter is set for a status hearing with the magistrate judge on 1/08/19 at 9:00 a.m. Mailed notice. (jj, ) (Entered: 12/21/2018) 01/03/2019 140 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15331396. (Langley, Matthew) (Entered: 01/03/2019) 01/03/2019 141 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15331469. (Langley, Matthew) (Entered: 01/03/2019) 01/04/2019 142 MINUTE entry before the Honorable Robert M. Dow, Jr: Motion for leave to appear pro hac vice 140 is stricken as it was inadvertently filed. Attorney Matthew Langley terminated. Mailed notice (cdh, ) (Entered: 01/04/2019) 01/04/2019 143 MINUTE entry before the Honorable Robert M. Dow, Jr: Matthew J. Langley's motion for leave to appear pro hac vice on behalf of Justin Kaufman, Jenny Kaufman, Joseph N. Wilson, Dr. Larry Cohen, and Marilyn Cohen 141 is granted. Mailed notice (cdh, ) (Entered: 01/04/2019) 01/08/2019 144 MINUTE entry before the Honorable Sidney I. Schenkier: Status hearing held. Defendant's counsel Evan Lechtman and plaintiff/movant's counsel James W. Johnson appear by telephone conference. Settlement discussions held off of the record. The parties report that settlement discussions are at an impasse and that they will proceed with filing motions for summary judgment. All matters subject to the referral having been concluded, the referral is hereby terminated. Mailed notice. (jj, ) (Entered: 01/08/2019) 01/09/2019 145 MINUTE entry before the Honorable Robert M. Dow, Jr: In light of Magistrate Judge Schenkier's Minute entry 144 , atatus hearing is set for 1/16/2019 at 9:30 a.m. Mailed notice (cdh, ) (Entered: 01/09/2019) 01/09/2019 146 MOTION by Defendant Two Roads Shared Trust to set a briefing schedule and to Exceed Local Rule 7.1 Page Limit (Delaney, Daniel) (Entered: 01/09/2019) 01/09/2019 147 NOTICE of Motion by Daniel J. Delaney for presentment of motion by filer to set a briefing schedule 146 before Honorable Robert M. Dow Jr. on 1/16/2019 at 09:30 AM. (Delaney, Daniel) (Entered: 01/09/2019) 01/15/2019 148 MINUTE entry before the Honorable Robert M. Dow, Jr: The parties' joint motion for an agreed briefing schedule and to exceed page limits 146 is granted. Defendants shall file their anticipated motions to dismiss and a joint supporting memorandum on or before February 4, 2019; Lead Plaintiffs shall file their response to Defendants motions to dismiss on or before March 4, 2019; Defendants shall file their joint reply in support of their motions to dismiss on or before March 25, 2019; Defendants are granted leave to file a joint memorandum in support of their motions to dismiss that is not more than thirty pages in length; Lead Plaintiffs are granted leave to file a response brief in opposition to Defendants motions to dismiss that is not more than thirty pages in length. Status hearing and notice of motion date of 1/16/2019 is stricken and no appearances are necessary on that date. The Court will issue a ruling by mail. If, after reviewing the briefs, the Court would like to schedule a hearing/oral argument, the Courtroom Deputy will notify the parties. Mailed notice (cdh, ) (Entered: 01/15/2019) 02/04/2019 149 ATTORNEY Appearance for Defendant NorthStar Financial Services Group, LLC by Daniel P. Roeser (Roeser, Daniel) (Entered: 02/04/2019) 02/04/2019 150 MOTION by Defendants Mark Garbin, LJM Funds Management, Ltd., James Colantino, Anish Parvataneni, Mark Gertsen, Two Roads Shared Trust, Anita Krug, Anthony Caine, Neil Kaufman, NorthStar Financial Services Group, LLC, Northern Lights Distributors, LLC, Andrew Rogers to dismiss The Consolidated Complaint (Cauley, Thomas) (Entered: 02/04/2019) 02/04/2019 151 MEMORANDUM by Anthony Caine, James Colantino, Mark Garbin, Mark Gertsen, Neil Kaufman, Anita Krug, LJM Funds Management, Ltd., NorthStar Financial Services Group, LLC, Northern Lights Distributors, LLC, Anish Parvataneni, Andrew Rogers, Two Roads Shared Trust in support of motion to dismiss, 150 (Attachments: # 1 Index of Exhibits, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5, # 7 Exhibit 6, # 8 Exhibit 7, # 9 Exhibit 8, # 10 Exhibit 9, # 11 Exhibit 10, # 12 Exhibit 11)(Cauley, Thomas) (Entered: 02/04/2019) 02/15/2019 152 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15492637. (Holland, Mark) (Entered: 02/15/2019) 02/15/2019 153 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15492688. (Drake, Ashley) (Entered: 02/15/2019) 02/15/2019 154 MINUTE entry before the Honorable Robert M. Dow, Jr: Motions of Ashley Moore Drake and Mark Holland for leave to appear pro hac vice on behalf of NorthStar Financial Services Group, LLC 151 , 152 are granted. Mailed notice (cdh, ) (Entered: 02/15/2019) 02/21/2019 155 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15508680. (Braceras, Roberto) (Entered: 02/21/2019) 02/21/2019 156 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15510611. (Esmay, John) (Entered: 02/21/2019) 02/22/2019 157 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15514584. (Schmidt, Margaret) (Entered: 02/22/2019) 02/22/2019 158 MINUTE entry before the Honorable Robert M. Dow, Jr: Motions by Margaret Schmidt and John Esmay for leave to appear pro hac vice on behalf of Tradition Capital Management LLC and SRS Capital Advisors, Inc. 157 , 156 are granted. Motion by Roberto M. Braceras for leave to appear pro hac vice on behalf of NorthStar Financial Services Group, LLC 155 is granted. Mailed notice (cdh, ) (Entered: 02/22/2019) 03/04/2019 159 MEMORANDUM by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson in Opposition to motion to dismiss, 150 PLAINTIFFS MEMORANDUM OF LAW IN OPPOSITION TO DEFENDANTS JOINT MOTION TO DISMISS THE CONSOLIDATED COMPLAINT (Attachments: # 1 Exhibit Preservation Funds Statement of Additional Information")(Langley, Matthew) (Entered: 03/04/2019) 03/05/2019 160 ATTORNEY Appearance for Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, Joseph N. Wilson by Dominic C. LoVerde (LoVerde, Dominic) (Entered: 03/05/2019) 03/19/2019 161 MOTION by All Defendants for leave to file Overlength Reply Brief in Support of Defendant' Joint Motion to Dismiss (Cauley, Thomas) Docket Text Modified by Clerk's Office on 3/20/2019 (ph, ). (Entered: 03/19/2019) 03/19/2019 162 NOTICE of Motion by Thomas K. Cauley, Jr for presentment of motion for leave to file 161 before Honorable Robert M. Dow Jr. on 3/22/2019 at 11:30 AM. (Cauley, Thomas) (Entered: 03/19/2019) 03/20/2019 163 RESPONSE by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilsonin Opposition to MOTION by Defendants NorthStar Financial Services Group, LLC, Northern Lights Distributors, LLC for leave to file Overlength Reply Brief in Support of Defendant' Joint Motion to Dismiss 161 (Johnson, James) (Entered: 03/20/2019) 03/21/2019 164 MINUTE entry before the Honorable Robert M. Dow, Jr: Upon consideration of Defendants' motion for leave to file oversized reply brief 161 and Plaintiffs' response in opposition 163 , the motion 161 is granted. Defendants are given leave to file a reply brief of no more than 20 pages; Plaintiffs are given leave to file a sur-reply of no more than 5 pages, but only if Plaintiffs raise new arguments in their reply brief. The Court notes that the original motion for oversized briefs 146 made no mention of the reply brief whatsoever. Perhaps it was implicit or understood by the parties that a 15-page reply brief would be filed, but that was not addressed one way or the other in the motion filed with the Court. Plaintiffs' observation that a "typical" reply brief is half the length of an opening brief is true in the court of appeals, but not in this district. Under our local rules, all briefs have a 15-page limit, and thus a typical reply brief is the same length of a typical opening and response brief. Of course, especially in the eyes of busy district judges, brevity is a virtue and prolixity a vice. But oversized briefs in securities fraud cases--especially ones in which 163 docket entries have been generated and we are still at the motion to dismiss stage--also are typical. And the words "simple and straightforward" and "$600 million" are not often found in the same sentence for good reason. Perhaps this is the rare "simple and straightforward" case involving more than a half a billion dollars... we shall see. But an extra five pages for a reply brief is fine, as is five more pages for a sur-reply IF it is warranted by the raising of new arguments. Notice of motion date of 3/21/2019 is stricken and no appearances are necessary on that date. Mailed notice (cdh, ) (Entered: 03/21/2019) 03/25/2019 165 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 15629750. (Sands, Deborah) (Entered: 03/25/2019) 03/25/2019 166 REPLY by Defendants Anthony Caine, James Colantino, Mark Garbin, Mark Gertsen, Neil Kaufman, Anita Krug, LJM Funds Management, Ltd., NorthStar Financial Services Group, LLC, Northern Lights Distributors, LLC, Anish Parvataneni, Andrew Rogers, Two Roads Shared Trust to memorandum in opposition to motion, 159 (Cauley, Thomas) (Entered: 03/25/2019) 03/26/2019 167 MINUTE entry before the Honorable Robert M. Dow, Jr: Motion of Deborah Sands for leave to appear pro hac vice on behalf of Northern Lights Distributors, LLC 165 is granted. Mailed notice (cdh, ) (Entered: 03/26/2019) 04/04/2019 168 SUR-REPLY by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson to motion to dismiss, 150 PLAINTIFFS SURREPLY IN OPPOSITION TO DEFENDANTS JOINT MOTION TO DISMISS THE CONSOLIDATED COMPLAINT (Langley, Matthew) (Entered: 04/04/2019) 04/05/2019 169 MOTION by Attorney Thomas K. Cauley, Jr.; Alex J. Kaplan; and Ashley K. Martin to withdraw as attorney for NorthStar Financial Services Group, LLC. No party information provided (Cauley, Thomas) (Entered: 04/05/2019) 04/11/2019 170 MOTION by Attorney Ashley K. Martin to withdraw as attorney for Northern Lights Distributors, LLC. No party information provided (Martin, Ashley) (Entered: 04/11/2019) 04/11/2019 171 NOTICE of Motion by Ashley Katharine Martin for presentment of motion to withdraw as attorney 170 before Honorable Robert M. Dow Jr. on 4/17/2019 at 09:15 AM. (Martin, Ashley) (Entered: 04/11/2019) 04/11/2019 172 NOTICE of Motion by Thomas K. Cauley, Jr for presentment of motion to withdraw as attorney 169 before Honorable Robert M. Dow Jr. on 4/17/2019 at 09:15 AM. (Cauley, Thomas) (Entered: 04/11/2019) 04/16/2019 173 ORDER: Motion for leave to withdraw appearance of Sidley Austin LLP as attorney for Defendant Northstar Financial Services Group, LLC 169 is granted. Motion for leave to withdraw appearance 170 is granted. Notice of motion date of 4/17/2019 is stricken and no appearances are necessary on that date. Signed by the Honorable Robert M. Dow, Jr on 4/16/2019. Mailed notice (tt, ) (Entered: 04/16/2019) 05/20/2019 174 MOTION by Defendant Northern Lights Distributors, LLC to stay pending settlement discussions (Agreed) (Cauley, Thomas) (Entered: 05/20/2019) 05/21/2019 175 MINUTE entry before the Honorable Robert M. Dow, Jr: Joint motion for stay pending settlement discussions 174 is granted. The parties are requested to file joint status reports at 30-day intervals as indicated in the motion. Mailed notice (cdh, ) (Entered: 05/21/2019) 06/07/2019 176 NOTICE OF PRESENTMENT OF THE UNOPPOSED MOTION TO WITHDRAW AS COUNSEL NOTICE of Motion by Frank Anthony Richter for presentment of before Honorable Robert M. Dow Jr. on 6/13/2019 at 09:15 AM. (Richter, Frank) (Entered: 06/07/2019) 06/07/2019 177 MOTION by Attorney Dominic C. LoVerde to withdraw as attorney for Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson. No party information provided (Richter, Frank) (Entered: 06/07/2019) 06/10/2019 178 ORDER: Motion by Attorney Dominic C. LoVerde to withdraw as attorney for Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, and Joseph N. Wilson 177 is granted. Notice of motion date of 6/13/2019 is stricken and no appearances are necessary on that date. Signed by the Honorable Robert M. Dow, Jr on 6/10/2019. Mailed notice(las, ) (Entered: 06/11/2019) 06/20/2019 179 STATUS Report JOINT STATUS REPORT by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson (Richter, Frank) (Entered: 06/20/2019) 07/22/2019 180 STATUS Report JOINT STATUS REPORT by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson (Richter, Frank) (Entered: 07/22/2019) 08/09/2019 181 ATTORNEY Appearance for Defendants Mark Garbin, Mark Gertsen, Neil Kaufman, Anita Krug by Joshua Wendell Mahoney (Mahoney, Joshua) (Entered: 08/09/2019) 08/09/2019 182 MOTION by Attorney Daniel R. Fine to withdraw as attorney for Mark Garbin, Mark Gertsen, Neil Kaufman, Anita Krug. No party information provided (Fine, Daniel) (Entered: 08/09/2019) 08/09/2019 183 NOTICE of Motion by Daniel R Fine for presentment of motion to withdraw as attorney 182 before Honorable Robert M. Dow Jr. on 8/22/2019 at 09:15 AM. (Fine, Daniel) (Entered: 08/09/2019) 08/12/2019 184 MINUTE entry before the Honorable Robert M. Dow, Jr: Upon review of the parties' most recent joint status report 180 , the settling parties may file their motion for preliminary approval at any time. The parties are directed to file another joint status report no later than 8/19/2019 advising (1) when they anticipate filing the motion for preliminary approval as to the settling parties (if the motion has not already been filed), (2) the status of any further settlement discussions as to the LJM Defendants, and (3) whether they wish to continue settlement discussions as to the LJM Defendants or alternatively they request that the stay be lifted and the motion to dismiss decided. In the meantime, at the request of the parties, the stay will remain in place. In regard to the motion to dismiss 150 , due to the Court's trial schedule in August and September, it will is not likely that the Court will be in position to issue a ruling before the end of September. Accordingly, the Court directs Defendants to refile the motion only 150 by 8/16/2019, leaving all briefing in place, so that motion is not reported on the Courts six-month pending motions list.Mailed notice (cdh, ) (Entered: 08/12/2019) 08/16/2019 185 ATTORNEY Appearance for Defendant Northern Lights Distributors, LLC by Amy Curtner Andrews (Andrews, Amy) (Entered: 08/16/2019) 08/16/2019 186 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Defendant Northern Lights Distributors, LLC (Joint Motion) (Andrews, Amy) (Entered: 08/16/2019) 08/16/2019 187 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Defendant Northern Lights Distributors, LLC (Joint Motion) (Andrews, Amy) (Entered: 08/16/2019) 08/19/2019 188 STATUS Report Joint Status Report by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson (Richter, Frank) (Entered: 08/19/2019) 08/19/2019 189 MOTION by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson for settlement [Lead Plaintiffs' Unopposed Motion for Preliminary Approval of Partial Class Action Settlement] (Barz, James) (Entered: 08/19/2019) 08/19/2019 190 NOTICE of Motion by James E Barz for presentment of motion for settlement, 189 before Honorable Robert M. Dow Jr. on 8/28/2019 at 09:15 AM. (Barz, James) (Entered: 08/19/2019) 08/19/2019 191 MEMORANDUM by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson in support of motion for settlement, 189 (Attachments: # 1 Exhibit A)(Barz, James) (Entered: 08/19/2019) 08/19/2019 192 SETTLEMENT Agreement (Attachments: # 1 Index of Exhibits, # 2 Exhibit A, # 3 Exhibit A-1, # 4 Exhibit A-2, # 5 Exhibit A-3, # 6 Exhibit B)(Barz, James) (Entered: 08/19/2019) 08/21/2019 193 MINUTE entry before the Honorable Robert M. Dow, Jr: Motion to withdraw as attorney 182 is granted, Attorney Daniel R Fine terminated as counsel for defendants. Motion hearing date of 8/22/2019 is stricken. Mailed notice (ags, ) (Entered: 08/21/2019) 08/21/2019 194 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 16161262. (Stewart, Ellen) (Entered: 08/21/2019) 08/23/2019 195 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 150, receipt number 0752- 16168270. (Zeiss, Nicole) (Entered: 08/23/2019) 08/26/2019 196 Notice of Partial Class Action Settlement in Parallel Sokolow State Court Case by Anthony Caine, LJM Funds Management, Ltd. (Attachments: # 1 Exhibit A)(Pentecost, Todd) (Entered: 08/26/2019) 08/28/2019 197 ORDER GRANTING PRELIMINARY APPROVAL OF PARTIAL CLASS ACTION SETTLEMENT, APPROVING FORM AND MANNER OF NOTICE, AND SETTING DATE FOR HEARING ON FINAL APPROVAL OF PARTIAL CLASS ACTION SETTLEMENT Signed by the Honorable Robert M. Dow, Jr. on 8/28/2019. Mailed notice(cdh, ) (Entered: 08/28/2019) 08/28/2019 198 MINUTE entry before the Honorable Robert M. Dow, Jr: Motion hearing held. Lead Plaintiffs' unopposed motion for preliminary approval of partial class action settlement 189 is granted. Settlement hearing is set for 12/18/2019 at 9:15 a.m. As discussed on the record, Defendants' joint motion to dismiss 150 is stricken without prejudice. Mailed notice (cdh, ) (Entered: 08/28/2019) 09/30/2019 199 MINUTE entry before the Honorable Robert M. Dow, Jr: Motions for leave to appear pro hac vice 194 , 195 are granted. Mailed notice (cdh, ) (Entered: 09/30/2019) 10/01/2019 200 ATTORNEY Appearance for Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, Joseph N. Wilson by Ellen Gusikoff Stewart (Stewart, Ellen) (Entered: 10/01/2019) 10/04/2019 201 ATTORNEY Appearance for Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson by Nicole M. Zeiss (Zeiss, Nicole) (Entered: 10/04/2019) 11/13/2019 202 MOTION by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson for settlement for final approval of partial class action settlement and approval of plan of allocation (Barz, James) (Entered: 11/13/2019) 11/13/2019 203 NOTICE of Motion by James E Barz for presentment of motion for settlement, 202 before Honorable Robert M. Dow Jr. on 12/18/2019 at 09:15 AM. (Barz, James) (Entered: 11/13/2019) 11/13/2019 204 MOTION by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson for attorney fees and expenses and an award to lead plaintiffs pursuant to 15 U.S.C. §77z-1(a)(4) (Barz, James) (Entered: 11/13/2019) 11/13/2019 205 NOTICE of Motion by James E Barz for presentment of motion for attorney fees, 204 before Honorable Robert M. Dow Jr. on 12/18/2019 at 09:15 AM. (Barz, James) (Entered: 11/13/2019) 11/13/2019 206 MEMORANDUM by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson in support of motion for settlement, 202 (Barz, James) (Entered: 11/13/2019) 11/13/2019 207 MEMORANDUM by Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson in support of motion for attorney fees, 204 (Barz, James) (Entered: 11/13/2019) 11/13/2019 208 DECLARATION of James E. Barz regarding motion for attorney fees, 204 , motion for settlement, 202 (Barz, James) (Entered: 11/13/2019) 11/13/2019 209 DECLARATION of James W. Johnson regarding motion for attorney fees, 204 , motion for settlement, 202 (Attachments: # 1 Index of Exhibits, # 2 Exhibit 1 -Joint Declaration of the Individual Lead Plaintiffs, # 3 Exhibit 2 -Declaration on Behalf of SRS Capital Advisors, Inc., # 4 Exhibit 3 -Declaration on Behalf of Tradition Capital Management LLC, # 5 Exhibit 4 -Declaration of Michael McGuinness on Behalf of Epiq, # 6 Exhibit 5 -Declaration of James W. Johnson on Behalf of Labaton Sucharow, # 7 Exhibit 6 -Declaration of James E. Barz on Behalf of Robbins Geller, # 8 Exhibit 7 -Summary Table of Time and Expenses, # 9 Exhibit 8 -Appendix of Unreported Authorities)(Barz, James) (Entered: 11/13/2019) 12/11/2019 210 REPLY by Movants Larry Cohen, Marilyn Cohen, Jenny Kaufman, Justin Kaufman, SRS Capital Advisors, Inc., Tradition Capital Management LLC, Joseph N. Wilson to motion for attorney fees, 204 , motion for settlement, 202 (Johnson, James) (Entered: 12/11/2019) 12/11/2019 211 DECLARATION of Michael McGuinness regarding reply, 210 /Supplemental Declaration Regarding: (A) Mailing of the Notice and Claim Form; (B) Claims Received To Date; and (C) Requests for Exclusion and Objections (Attachments: # 1 Exhibit A)(Johnson, James) (Entered: 12/11/2019) 12/18/2019 212 MINUTE entry before the Honorable Robert M. Dow, Jr: Status hearing held and continued to 6/9/2020 at 9:00 a.m. Motion hearing held. Lead Plaintiffs' motion for final approval of partial class action settlement and approval of plan of allocation 202 is granted. Lead counsel's motion for award of attorneys' fees and expenses and an award to lead Plaintiffs pursuant to 15 U.S.C. §77z-1(a)(4) 204 is granted. As discussed on the record, the court will stay its ruling on the motion to dismiss (which is to be refiled). Courtesy copy is not necessary. Mailed notice (cdh, ) (Entered: 12/18/2019) 12/18/2019 215 FINAL Order and Judgment as to Settling Defendants Signed by the Honorable Robert M. Dow, Jr on 12/18/2019 (Attachment). Mailed notice(las, ) (Entered: 12/20/2019) 12/18/2019 216 ORDER Awarding Attorneys' Fees and Expenses and an Award to Individual Lead Plaintiffs pursuant to 15 U.S.C. 77z-1(a)(4) Signed by the Honorable Robert M. Dow, Jr on 12/18/2019. Mailed notice(las, ) (Entered: 12/20/2019) 12/18/2019 217 ORDER Approving Plan of Allocation Signed by the Honorable Robert M. Dow, Jr on 12/18/2019. Mailed notice(las, ) (Entered: 12/20/2019) 12/19/2019 213 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Defendants Anthony Caine, LJM Funds Management, Ltd., Anish Parvataneni (Rush, Peter) (Entered: 12/19/2019) 12/20/2019 214 MINUTE entry before the Honorable Robert M. Dow, Jr: moot 187 Motion to Dismiss for Failure to State a Claim 187 is terminated as moot, as it is superseded by 213 . Mailed notice (cdh, ) (Entered: 12/20/2019) 03/16/2020 218 ORDER Amended General Order 20-0012 IN RE: CORONAVIRUS COVID-19 PUBLIC EMERGENCY Signed by the Chief Judge Rebecca R. Pallmeyer on March 16, 2020. All open cases are impacted by this Amended General Order. See attached Order for guidance.Signed by the Honorable Rebecca R. Pallmeyer on 3/16/2020: Mailed notice. (pj, ) (Entered: 03/18/2020) 03/30/2020 219 ORDER Seconded Amended General Order 20-0012 IN RE: CORONAVIRUS COVID-19 PUBLIC EMERGENCY Signed by the Chief Judge Rebecca R. Pallmeyer on March 30, 2020. All open cases are impacted by this Second Amended General Order. Amended General Order 20-0012, entered on March 17, 2020, and General Order 20-0014, entered on March 20, 2020, are vacated and superseded by this Second Amended General. See attached Order for guidance.Signed by the Honorable Rebecca R. Pallmeyer on 3/30/2020: Mailed notice. (docket3, ) (Entered: 03/31/2020) 04/24/2020 220 ORDER Third Amended General Order 20-0012 IN RE: CORONAVIRUS COVID- 19 PUBLIC EMERGENCY Signed by the Chief Judge Rebecca R. Pallmeyer on April 24, 2020. All open cases are impacted by this Third Amended General Order. Parties are must carefully review all obligations under this Order, including the requirement listed in paragraph number 5 to file a joint written status report in most civil cases. See attached Order. Signed by the Honorable Rebecca R. Pallmeyer on 4/24/2020: Mailed notice. (docket3, ) (Entered: 04/27/2020) 05/18/2020 221 STATUS Report (Joint) by Anthony Caine, LJM Funds Management, Ltd., Anish Parvataneni (Rush, Peter) (Entered: 05/18/2020) 05/26/2020 222 ORDER ORDER Fourth Amended General Order 20-0012 IN RE: CORONAVIRUS COVID-19 PUBLIC EMERGENCY Signed by the Chief Judge Rebecca R. Pallmeyer on May 26, 2020. This Order does not extend or modify any deadlines set in civil cases. For non-emergency motions, no motion may be noticed for presentment on a date earlier than July 15, 2020. See attached Order. Signed by the Honorable Rebecca R. Pallmeyer on 5/26/2020: Mailed notice. (docket3, ) (Entered: 05/26/2020) 05/27/2020 223 MINUTE entry before the Honorable Robert M. Dow, Jr: Upon review of the joint status report 221 filed on 5/18/2020, the status hearing set for 6/9/2020 at 9:00 a.m. will remain on the schedule and likely will be a telephonic hearing. The Courtroom Deputy will provide the call-in information to counsel by email in advance of the hearing. Mailed notice (cdh, ) (Entered: 05/27/2020) 06/05/2020 224 NOTICE by Anthony Caine, LJM Funds Management, Ltd. of Entry of an Order and Final Judgment Approving Partial Class Action Settlement in Parallel Sokolow State Court Case (Pentecost, Todd) (Entered: 06/05/2020) 06/08/2020 225 MINUTE entry before the Honorable Robert M. Dow, Jr: Based on the notice 224 filed on 6/5/2020 and subsequent communications from counsel confirming that the entire case has been settled, the status hearing set for 6/9/2020 is stricken and reset to 7/14/2020 at 9:00 a.m. If a stipulation of dismissal as to the remaining parties is filed prior to that date, the status hearing will be cancelled and the case will be closed. The pending motion to dismiss 213 is stricken without prejudice as moot. Mailed notice (cdh, ) (Entered: 06/08/2020)
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