Docket as of February 6, 1998 Proceedings include all events. TERMED 3:96cv2934 Erickson v. Wheatley Ventures, et al TERMED U.S. District Court U.S. District for the Northern District of California (S.F.) CIVIL DOCKET FOR CASE #: 96-CV-2934 Erickson v. Wheatley Ventures, et al Filed: 08/15/96 Assigned to: Chief Judge Marilyn Hall Patel Jury demand: Plaintiff Demand: $5,000,000 Nature of Suit: 850 Lead Docket: None Jurisdiction: Federal Question Dkt# in other court: None Cause: 15:78m(a) Securities Exchange Act [Party and Counsel List] 8/15/96 1 COMPLAINT Summons(es) issued; Fee status pd entered on 8/15/96 in the amount of $ 120.00 (Receipt No. 40324); jury demand [3:96-cv-02934] (gba) [Entry date 08/22/96] 8/15/96 2 ORDER RE COURT PROCEDURE and SCHEDULE by Judge Marilyn H. Patel : Proof of service to be filed by 9/30/96 ; counsels' case management statement to be filed by 1/21/97 ; initial case management conference will be held 9:30 1/31/97 (cc: all counsel) (gba) [Entry date 08/22/96] 8/15/96 3 NOTICE by Plaintiff of pendency of other action or proceeding (Local Rule 3-13) [3:96-cv-02934] (gba) [Entry date 08/22/96] 9/24/96 4 WAIVER OF SERVICE by defendant Montgomery Realty, defendant Fox Realty Investors, defendant Montgomery Realty Co, defendant Emmet J. Cashin, defendant Jarold A. Evans, defendant Lisle W. Payne, defendant W. Patrick McDowell, defendant William W. Stark Jr., defendant Janet E. Larson served on 9/9/96 in response to the request for waiver sent on 8/26/96, defendant Wheatley Ventures, defendant Michael L. Ashner, defendant Martin Lifton, defendant Arthur N. Queler, defendant Northern Trust Bank served on 9/5/96 in response to the Request for Waiver sent on 8/26/96 [3:96-cv-02934] (gba) [Entry date 09/25/96] 10/16/96 5 APPLICATION by defendant Wheatley Ventures, defendant Michael L. Ashner, defendant Martin Lifton, defendant Arthur N. Queler for leave to file motion to dismiss [3:96-cv-02934] (gba) [Entry date 10/17/96] 10/16/96 -- RECEIVED Proposed Order (defendant Wheatley Ventures, defendant Michael L. Ashner, defendant Martin Lifton, defendant Arthur N. Queler) re: application [5-1] [3:96-cv-02934] (gba) [Entry date 10/17/96] 10/17/96 6 EX-PARTE APPLICATION before Judge Marilyn H. Patel by defendant Northern Trust Bank for leave to file motion to stay [3:96-cv-02934] (gba) [Entry date 10/18/96] 10/17/96 -- RECEIVED Proposed Order (defendant Northern Trust Bank) re: motion for leave to file motion to stay [6-1] [3:96-cv-02934] (gba) [Entry date 10/18/96] 10/22/96 -- RECEIVED amended proposed order granting leave to file a motion to stay submitted by defendant Northern Trust Bank [3:96-cv-02934] (gba) [Entry date 10/24/96] 10/24/96 7 APPLICATION by defendant Montgomery Realty, defendant Fox Realty Investors, defendant Montgomery Realty Co, defendant Emmet J. Cashin, defendant Jarold A. Evans, defendant Lisle W. Payne, defendant W. Patrick McDowell, defendant William W. Stark Jr., defendant Janet E. Larson for leave to file motion to dismiss [3:96-cv-02934] (gba) [Entry date 10/25/96] 10/24/96 8 ORDER by Judge Marilyn H. Patel granting defendants Montgomery Realty Company, et al application for leave to file motion to dismiss [7-1] (Date Entered: 10/25/96) (cc: all counsel) [3:96-cv-02934] (gba) [Entry date 10/25/96] 10/24/96 9 ORDER by Judge Marilyn H. Patel for leave to file motion to dismiss (cc: all counsel) [3:96-cv-02934] (gba) [Entry date 10/25/96] 10/24/96 18 ORDER by Judge Marilyn H. Patel granting defendant Northern Trust Bank of California's motion for leave to file motion to stay [6-1] (cc: all counsel) [3:96-cv-02934] (gba) [Entry date 11/06/96] 10/24/96 19 ORDER by Judge Marilyn H. Patel granting motion for leave to file motion to stay [6-1] (cc: all counsel) [3:96-cv-02934] (gba) [Entry date 11/06/96] 10/25/96 10 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Marilyn H. Patel by Plaintiff for appointment as lead plaintiff and for approval of her counsel as lead counsel with Notice set for 1/17/97 at 10:30 a.m. [3:96-cv-02934] (gba) 10/25/96 11 DECLARATION by James F. Fotenos on behalf of Plaintiff re motion for appointment as lead plaintiff and for approval of her counsel as lead counsel [10-1] [3:96-cv-02934] (gba) 10/25/96 12 DECLARATION by Richard A. Finberg on behalf of Plaintiff re motion for appointment as lead plaintiff and for approval of her counsel as lead counsel [10-1] [3:96-cv-02934] (gba) 10/25/96 -- RECEIVED Proposed Order (Plaintiff) re: motion for appointment as lead plaintiff and for approval of her counsel as lead counsel [10-1] [3:96-cv-02934] (gba) 10/25/96 13 PROOF OF SERVICE by Plaintiff of order received [0-0], declaration [12-1], declaration [11-1], motion for appointment as lead plaintiff and for approval of her counsel as lead counsel [10-1] [3:96-cv-02934] (gba) 10/25/96 14 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Marilyn H. Patel by defendant Northern Trust Bank to stay litigation of all claims against it in this action under the Colorado River abstention doctrine with Notice set for 1/24/97 10:30 a.m. [3:96-cv-02934] (gba) 10/25/96 15 DECLARATION by David B. Newdorf on behalf of defendant Northern Trust Bank re motion to stay litigation of all claims against it in this action under the Colorado River abstention doctrine [14-1] [3:96-cv-02934] (gba) 10/25/96 -- RECEIVED Proposed Order (defendant Northern Trust Bank) re: motion to stay litigation of all claims against it in this action under the Colorado River abstention doctrine [14-1] [3:96-cv-02934] (gba) 10/25/96 16 MOTION before Judge Marilyn H. Patel by Fox defendants to dismiss Fox defendants with Notice set for 1/24/97 at 10:30 [3:96-cv-02934] (ml) [Entry date 10/29/96] 10/25/96 17 REQUEST FOR JUDICIAL NOTICE by defendant motion to dismiss Fox defendants [16-1] [3:96-cv-02934] (ml) [Entry date 10/29/96] 10/25/96 -- RECEIVED Proposed Order ( defendant) re: motion to dismiss Fox defendants [16-1] [3:96-cv-02934] (ml) [Entry date 10/29/96] 10/28/96 20 NOTICE OF MOTION AND MOTION WITH MEMORANDUM OF POINTS AND AUTHORITIES before Judge Marilyn H. Patel by defendant Wheatley Ventures, defendant Michael L. Ashner, defendant Martin Lifton, defendant Arthur N. Queler to dismiss the first and second claims for relief of the complaint with Notice set for 1/24/97 10:30 [3:96-cv-02934] (gba) [Entry date 11/06/96] 10/28/96 -- RECEIVED Proposed Order (defendant Wheatley Ventures, defendant Michael L. Ashner, defendant Martin Lifton, defendant Arthur N. Queler) re: motion to dismiss the first and second claims for relief of the complaint [20-1] [3:96-cv-02934] (gba) [Entry date 11/06/96] 10/28/96 21 AMENDMENT by defendant Montgomery Realty, defendant Fox Realty Investors, defendant Montgomery Realty Co, defendant Emmet J. Cashin, defendant Jarold A. Evans, defendant Lisle W. Payne, defendant W. Patrick McDowell, defendant William W. Stark Jr., defendant Janet E. Larson to request [17-1] [3:96-cv-02934] (gba) [Entry date 11/06/96] 10/31/96 22 PROOF OF SERVICE by defendant Montgomery Realty, defendant Fox Realty Investors, defendant Montgomery Realty Co, defendant Emmet J. Cashin, defendant Jarold A. Evans, defendant Lisle W. Payne, defendant W. Patrick McDowell, defendant William W. Stark Jr., defendant Janet E. Larson of order granting defendants' application for leave to file a motion to dismiss [3:96-cv-02934] (gba) [Entry date 11/06/96] 12/20/96 23 OBJECTIONS by Plaintiff to the Fox defendants' request for judicial notice [3:96-cv-02934] (gba) 12/20/96 24 MEMORANDUM of points and authorities by Plaintiff in opposition to defendant Northern Trust Bank of California, N.A. motion to stay litigation of all claims against it in this action under the Colorado River abstention doctrine [14-1] [3:96-cv-02934] (gba) 12/20/96 -- RECEIVED Proposed Order (Plaintiff) re: opposition memorandum [24-1] [3:96-cv-02934] (gba) 12/20/96 25 MEMORANDUM of points and authorities by Plaintiff in opposition to defendant Fox and Wheatley's motion to dismiss Fox defendants [16-1] [3:96-cv-02934] (gba) 12/20/96 -- RECEIVED Proposed Order (Plaintiff) re: opposition memorandum [25-1] [3:96-cv-02934] (gba) 12/20/96 26 PROOF OF SERVICE by Plaintiff of order received [0-0], opposition memorandum [25-1], order received [0-0], opposition memorandum [24-1], objection [23-1] [3:96-cv-02934] (gba) 1/10/97 27 REPLY BRIEF by defendant Northern Trust Bank re motion to stay litigation of all claims against it in this action under the Colorado River abstention doctrine [14-1] [3:96-cv-02934] (gba) [Entry date 01/16/97] 1/10/97 28 REPLY MEMORANDUM by defendant Montgomery Realty, defendant Fox Realty Investors, defendant Montgomery Realty Co, defendant Emmet J. Cashin, defendant Jarold A. Evans, defendant Lisle W. Payne, defendant W. Patrick McDowell, defendant William W. Stark Jr., defendant Janet E. Larson re motion to dismiss Fox defendants [16-1] [3:96-cv-02934] (gba) [Entry date 01/16/97] 1/10/97 29 REPLY by defendant Montgomery Realty, defendant Fox Realty Investors, defendant Montgomery Realty Co, defendant Emmet J. Cashin, defendant Jarold A. Evans, defendant Lisle W. Payne, defendant W. Patrick McDowell, defendant William W. Stark Jr., defendant Janet E. Larson in support of request for judicial notice [3:96-cv-02934] (gba) [Entry date 01/16/97] 1/10/97 30 PROOF OF SERVICE by defendant Montgomery Realty, defendant Fox Realty Investors, defendant Montgomery Realty Co, defendant Emmet J. Cashin, defendant Jarold A. Evans, defendant Lisle W. Payne, defendant W. Patrick McDowell, defendant William W. Stark Jr., defendant Janet E. Larson of reply [29-1], reply [28-1] [3:96-cv-02934] (gba) [Entry date 01/16/97] 1/10/97 31 JOINDER by defendant Wheatley Ventures, defendant Michael L. Ashner, defendant Martin Lifton, defendant Arthur N. Queler re reply [29-1], re reply [28-1], re reply [27-1] [3:96-cv-02934] (gba) [Entry date 01/16/97] 1/10/97 32 PROOF OF SERVICE by defendant Wheatley Ventures of join/joinder [31-1] [3:96-cv-02934] (gba) [Entry date 01/16/97] 1/16/97 33 LETTER dated 1/14/97 from David Newdorf re hearing and conference schedules [3:96-cv-02934] (gba) [Entry date 01/17/97] 1/24/97 34 MINUTES: (C/R Jim Yeomans) granting motion to dismiss the first and second claims for relief of the complaint [20-1], granting motion to dismiss Fox defendants [16-1] ; Court to issue order ; [3:96-cv-02934] (gba) [Entry date 01/29/97] 1/31/97 35 ORDER by Judge Marilyn H. Patel the court hereby GRANTS the defendants' motion to dismis the federal claims with prejudice, but without prejudice as to any state law claims that the plaintiff may have. Since the federal claims are dismissed and there is no diversity jurisdiction, the court lacks supplemental jurisdiction over the state law claims. Therefore, the complaint is dismissed in its entirety ; appeal filing ddl 3/6/97 (cc: all counsel) [3:96-cv-02934] (gba) [Entry date 02/04/97] 2/13/97 36 APPLICATION by Plaintiff to file motion to amend or correct court's order of 1/31/97 dismissing complaint [3:96-cv-02934] (gba) [Entry date 02/18/97] 2/13/97 -- RECEIVED Proposed Order (Plaintiff) re: application [36-1] [3:96-cv-02934] (gba) [Entry date 02/18/97] 2/14/97 37 OPPOSITION by defendant Northern Trust Bank to plaintiff's application to file motion to amend [36-1] [3:96-cv-02934] (gba) [Entry date 02/18/97] 2/14/97 38 MOTION with memorandum in support before Judge Marilyn H. Patel by defendant Northern Trust Bank to amend or clarify order of dismissal with Notice set for 3/28/97 10:30 [3:96-cv-02934] (gba) [Entry date 02/18/97] 2/27/97 -- RECEIVED proposed order granting plaintiff's application to file motion to amend or correct court's order of 1/31/97 dismissing complaint submitted by Plaintiff [3:96-cv-02934] (gba) 3/4/97 39 AMENDED OPINION by Judge Marilyn H. Patel that the court GRANTS the Wheatley and Fox defendants' motions to dismiss the federal claims with prejudice, but without prejudice as to any state law claims that the plaintiff may have against them. (Date Entered: 3/5/97) (cc: all counsel) [3:96-cv-02934] (gba) [Entry date 03/05/97] 3/25/97 41 NOTICE OF APPEAL by Plaintiff from Dist. Court decision order [39-1] Fee status paid [3:96-cv-02934] (gba) [Entry date 05/30/97] 3/25/97 42 REPRESENTATION STATEMENT by Plaintiff [3:96-cv-02934] (gba) [Entry date 05/30/97] 3/25/97 -- Copy of notice of appeal and docket sheet to all counsel [3:96-cv-02934] (gba) [Entry date 05/30/97] 3/25/97 -- Docket fee notification form and case information sheet to USCA [41-1] [3:96-cv-02934] (gba) [Entry date 05/30/97] 4/15/97 43 TRANSCRIPT DESIGNATION and Ordering Form filed by Plaintiff for dates 1/24/97 ; C/R: Jim Yeomans; appeal [41-1] [3:96-cv-02934] (gba) [Entry date 05/30/97] 5/8/97 40 REPORTER'S TRANSCRIPT; Date of proceedings: 1/24/97 (C/R: Jim Yeomans) minutes [34-1] [3:96-cv-02934] 5/8/97 -- CERTIFICATE of Record mailed to USCA, counsel notified. [3:96-cv-02934] (gba) [Entry date 05/30/97] 6/16/97 -- NOTIFICATION by Circuit Court of Appellate Docket Number 97-16005 [3:96-cv-02934] (slh) [Entry date 06/25/97] 10/1/97 44 CERTIFIED COPY of USCA Order: 97-16005 - that appellant's motion for a stay of proceedings pending settlement negotiations is granted. [3:96-cv-02934] (gba) [Entry date 10/08/97] 12/23/97 45 CERTIFIED COPY of USCA Order: 97-16005 - dismissing the appeal [41-1] [3:96-cv-02934] (gba) [Entry date 12/29/97] 12/23/97 46 CLERK's letter spreading the mandate to counsel. re appeal [41-1] [3:96-cv-02934] (gba) [Entry date 12/29/97] 1/23/98 47 APPLICATION by Plaintiff for order re specific findings of compliance with federal rule of civil procedure 11(b) [3:96-cv-02934] (gba) [Entry date 01/26/98] 1/23/98 -- RECEIVED stipulation re specific findings of compliance with federal rule of civil procedure 11(b) submitted by Plaintiff [3:96-cv-02934] (gba) [Entry date 01/26/98] 1/26/98 48 STIPULATION and ORDER by Chief Judge Marilyn H. Patel : re specific findings of compliance with Federal Rule of Civil Procedure 11(b) {15 U.S.C. 78u-4(c)(1)} (cc: all counsel) [3:96-cv-02934] (gba) [Entry date 02/03/98] 2/6/98 49 NOTICE by Plaintiff of entry of order [3:96-cv-02934] (gba) [END OF DOCKET: 3:96cv2934] Securities Class Action U.S.D.C. 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