ECF

U.S. District Court
United States District Court for the Southern District of New York (Foley Square)
CIVIL DOCKET FOR CASE #: 1:08-cv-03528-LAP

Grossman v. Oppenheimer & CO. Inc. et al
Assigned to: Judge Loretta A. Preska
Member case:

1:08-cv-04435-LAP

Related Case:

1:08-cv-04435-LAP

Cause: 15:78m(a) Securities Exchange Act

Date Filed: 04/11/2008
Jury Demand: Plaintiff
Nature of Suit: 850 Securities/Commodities
Jurisdiction: Federal Question

Lead Plaintiff
David T. Vining	represented by	Jonathan K. Levine Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco , CA 94108 415-981-4800 Fax: 415-981-4846 Email: jkl@girardgibbs.com LEAD ATTORNEY ATTORNEY TO BE NOTICED
Plaintiff
Bette M Grossman on behalf of herself and all others similarly situated	represented by	Aaron Lee Brody Stull Stull & Brody 6 East 45th Street, 5th Floor New York , NY 10017 212-687-7230 Fax: 212-4902022 Email: ssbny@aol.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Jason Robert D'Agnenica Stull Stull & Brody 6 East 45th Street, 5th Floor New York , NY 10017 (212)-687-7230 Fax: (212)-490-2022 Email: jasondag@ssbny.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Jordan L. Lurie Weiss & Yourman 10940 Wilshire Boulevard 24th Floor Los Angeles , CA 90024 (310) 208-2800 Fax: 310 209 2348 LEAD ATTORNEY ATTORNEY TO BE NOTICED Jules Brody Stull Stull & Brody 6 East 45th Street, 5th Floor New York , NY 10017 (212)-687-7230 Fax: (212)-490-2022 Email: ssbny@aol.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Tzivia Brody Stull, Stull & Brody 6 East 45th Street New YorK , NY 10017 (212) 687-7230 Fax: 212 490 2022 LEAD ATTORNEY ATTORNEY TO BE NOTICED
V.
Defendant
Oppenheimer & CO. Inc.	represented by	Howard Wilson Proskauer Rose LLP (New York) 1585 Broadway New York , NY 10036 (212)-969-3190 Fax: (212)-969-2900 Email: hwilson@proskauer.com LEAD ATTORNEY ATTORNEY TO BE NOTICED John Hoover Snyder Proskauer Rose LLP (New York) 1585 Broadway New York , NY 10036 (212)-969-3188 Fax: (212)-969-2900 Email: jsnyder@proskauer.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Scott Arthur Eggers Proskauer Rose LLP (New York) 1585 Broadway New York , NY 10036 212.969.3412 Fax: (212)969-2900 Email: Seggers@proskauer.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Stephen Leonard Ratner Proskauer Rose LLP (New York) 1585 Broadway New York , NY 10036 212-969-3000 Fax: 212-969-2900 Email: sratner@proskauer.com LEAD ATTORNEY ATTORNEY TO BE NOTICED
Defendant
Freedom Investments Inc	represented by	Howard Wilson (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED John Hoover Snyder (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Scott Arthur Eggers (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Stephen Leonard Ratner (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Defendant
Oppenheimer Asset Management	represented by	Howard Wilson (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED John Hoover Snyder (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Scott Arthur Eggers (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Stephen Leonard Ratner (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Defendant
Oppenheimer Holdings Inc.	represented by	Howard Wilson (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED John Hoover Snyder (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Scott Arthur Eggers (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Stephen Leonard Ratner (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed	#	Docket Text
04/11/2008	1	COMPLAINT against Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc.. (Filing Fee $ 350.00, Receipt Number 647412)Document filed by Bette M Grossman.(rdz) (mbe). (Entered: 04/15/2008)
04/11/2008		SUMMONS ISSUED as to Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc.. (rdz) (Entered: 04/15/2008)
04/11/2008		Magistrate Judge Michael H. Dolinger is so designated. (rdz) (Entered: 04/15/2008)
04/11/2008		Case Designated ECF. (rdz) (Entered: 04/15/2008)
04/11/2008	2	RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Bette M Grossman.(rdz) (mbe). (Entered: 04/15/2008)
05/20/2008	3	ORDER that to the extent that defendants believe that the complaint is insufficient, they shall so inform plaintiff by letter, detailing all perceived deficiencies. Plaintiff shall then inform the Court whether she wishes to stand on the present complaint, without further amendment, or file an amended complaint with the understanding that no further amendments will be permitted thereafter. Counsel shall confer and agree upon a proposed schedule. (Signed by Judge Loretta A. Preska on 5/20/08) (cd) (Entered: 05/20/2008)
05/21/2008	4	NOTICE OF APPEARANCE by Scott Arthur Eggers on behalf of Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc. (Eggers, Scott) (Entered: 05/21/2008)
05/21/2008	5	RULE 7.1 CORPORATE DISCLOSURE STATEMENT. no Corporate Parent. Document filed by Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc..(Eggers, Scott) (Entered: 05/21/2008)
05/22/2008	6	AFFIDAVIT OF SERVICE of Anthony Lopez of Notice of Appearance of Scott Eggers and Rule 7.1 Statement served on Jordan L. Lurie of Weiss & Yourman and Tzivia Brody of Stull, Stull & Brody on 05/21/08. Service was made by Mail. Document filed by Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc.. (Eggers, Scott) (Entered: 05/22/2008)
05/22/2008	7	NOTICE OF APPEARANCE by Stephen Leonard Ratner on behalf of Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc. (Ratner, Stephen) (Entered: 05/22/2008)
05/23/2008	8	AFFIDAVIT OF SERVICE of Notice of Appearance for Stephen L. Ratner served on Jordan L. Lurie, Esq. of Weiss & Yourman and Tzivia Brody, Esq. of Stull, Stull & Brody- Attorneys for Plaintiff on 5/22/08. Service was made by Mail. Document filed by Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc.. (Ratner, Stephen) (Entered: 05/23/2008)
05/27/2008	9	NOTICE OF APPEARANCE by John Hoover Snyder on behalf of Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc. (Snyder, John) (Entered: 05/27/2008)
05/27/2008	10	NOTICE OF APPEARANCE by Howard Wilson on behalf of Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc. (Wilson, Howard) (Entered: 05/27/2008)
05/27/2008	11	AFFIDAVIT OF SERVICE of Notices of Appearance for Howard Wilson and John H. Snyder served on Jordan L. Lurie, Esq. of Weiss & Yourman and Tzivia Brody, Esq. of Stull on 5/27/08. Service was made by Mail. Document filed by Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc.. (Snyder, John) (Entered: 05/27/2008)
06/10/2008	12	MOTION to Consolidate Cases 1:08-cv-4435., MOTION to Appoint David T. Vining to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by David T. Vining. (Attachments: # 1 Text of Proposed Order)(Levine, Jonathan) (Entered: 06/10/2008)
06/10/2008	13	MEMORANDUM OF LAW in Support re: 12 MOTION to Consolidate Cases 1:08-cv-4435. MOTION to Appoint David T. Vining to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by David T. Vining. (Levine, Jonathan) (Entered: 06/10/2008)
06/10/2008	14	DECLARATION of Jonathan K. Levine in Support re: 12 MOTION to Consolidate Cases 1:08-cv-4435. MOTION to Appoint David T. Vining to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by David T. Vining. (Levine, Jonathan) (Entered: 06/10/2008)
06/10/2008	15	MOTION to Consolidate Cases 1:08-cv-4435. Document filed by Bette M Grossman. (Attachments: # 1 Text of Proposed Order)(D'Agnenica, Jason) (Entered: 06/10/2008)
06/10/2008	16	MEMORANDUM OF LAW in Support re: 15 MOTION to Consolidate Cases 1:08-cv-4435.. Document filed by Bette M Grossman. (D'Agnenica, Jason) (Entered: 06/10/2008)
06/10/2008	17	DECLARATION of Jason D'Agnenica in Support re: 15 MOTION to Consolidate Cases 1:08-cv-4435.. Document filed by Bette M Grossman. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(D'Agnenica, Jason) (Entered: 06/10/2008)
06/24/2008	18	RESPONSE to Motion re: 12 MOTION to Consolidate Cases 1:08-cv-4435. MOTION to Appoint David T. Vining to serve as lead plaintiff(s). MOTION to Appoint Counsel., 15 MOTION to Consolidate Cases 1:08-cv-4435. Defendants' Response to Motions For Consolidation of Actions, Appointment of Lead Plaintiff, and Appointment of Lead Counsel. Document filed by Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Wilson, Howard) (Entered: 06/24/2008)
06/24/2008	19	AFFIDAVIT OF SERVICE of Defendants' Response to Motions For Consolidation of Actions, Appointment of Lead Plaintiff, and Appointment of Lead Counsel. served on Jordn L. Lurie, Esq. and Tzivia Brody,Esq. on 6/24/08. Service was made by Mail. Document filed by Oppenheimer & CO. Inc., Freedom Investments Inc, Oppenheimer Asset Management, Oppenheimer Holdings Inc.. (Wilson, Howard) (Entered: 06/24/2008)
06/27/2008	20	RESPONSE to Motion re: 12 MOTION to Consolidate Cases 1:08-cv-4435. MOTION to Appoint David T. Vining to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Bette M Grossman. (Brody, Aaron) (Entered: 06/27/2008)
06/27/2008	21	RESPONSE in Support re: 12 MOTION to Consolidate Cases 1:08-cv-4435. MOTION to Appoint David T. Vining to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by David T. Vining. (Sheanin, Aaron) (Entered: 06/27/2008)
06/27/2008	22	DECLARATION of Aaron M. Sheanin in Support re: 12 MOTION to Consolidate Cases 1:08-cv-4435. MOTION to Appoint David T. Vining to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by David T. Vining. (Sheanin, Aaron) (Entered: 06/27/2008)
07/10/2008	23	REPLY MEMORANDUM OF LAW in Support re: 12 MOTION to Consolidate Cases 1:08-cv-4435. MOTION to Appoint David T. Vining to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by David T. Vining. (Sheanin, Aaron) (Entered: 07/10/2008)
10/10/2008	24	CERTIFIED TRUE COPY OF MDL ORDER FROM THE MDL PANEL DENYING TRANSFER....that the motion, pursuant to 28 U.S.C. 1407(c), for transfer of the action to the United States District Court - Southern District of New York, be, and the same hereby is denied. (Signed by MDL Panel on 10/9/08) (laq) (Entered: 10/20/2008)
02/20/2009	25	ORDER CONSOLIDATING ACTIONS, APPOINTING DAVID T. VINING AS LEAD PLAINTIFF, AND APPROVING LEAD PLAINTIFFS' SELECTION OF COUNSEL granting (12) Motion to Consolidate Cases 08-3528 (as Lead Case) with 08-4435; granting (12) Motion to Appoint David T. Vining as Lead Plaintiff(s); granting (12) Motion to Appoint Counsel ; granting (15) Motion to Consolidate Cases 08-3528 (as Lead Case) with 08-4435 in case 1:08-cv-03528-LAP. (Signed by Judge Loretta A. Preska on 2/20/2009) Filed In Associated Cases: 1:08-cv-03528-LAP, 1:08-cv-04435-LAP(jmi) (Entered: 02/25/2009)
03/03/2009	26	ENDORSED LETTER addressed to Judge Loretta A. Preska from Rachel E. Schwartz dated 3/2/09 re: counsel to parties jointly propose the following schedule for the above referenced cases (08 cv 3528 and 08 cv 4435); Lead Plaintiff shall file a Consolidated Class Action Complaint on or before April 10, 2009; Defendants shall submit a letter to Lead Plaintiff's counsel on or before May 1, 2009 regarding Defendants' perceived deficiencies of Lead Plaintiff's Consolidated Complaint. On or before June 1, 2009, Lead Plaintiff shall inform the Court and Defendants whether he intends to stand on, or amend, the Consolidated Complaint. On or before July 1, 2009, Defendants shall move, answer or otherwise respond to the Consolidated Complaint. In the event that Lead Plaintiff Chooses to Amend the Consolidated complaint: Lead plaintiff shall file an Amended consolidated Complaint on or before June 15, 2009. ENDORSEMENT: The schedule set out above is approved with the understanding that, under either option, once briefing has commenced, no other amendments shall be permitted. (Signed by Judge Loretta A. Preska on 3/2/09) Filed In Associated Cases: 1:08-cv-03528-LAP, 1:08-cv-04435-LAP(djc) (Entered: 03/03/2009)
06/04/2009	27	ENDORSED LETTER addressed to Judge Loretta A. Preska from Rachel Schwartz dated 6/1/09 re: Request that Lead Plaintiff shall file an Amended Complaint on or before 7/10/09. Defendants shall answer on or before 9/10/09. If a motion is made addressed to the Amended Complaint, opposition to be served on or before 10/23/09. Defendants shall serve their reply on or before 11/20/09. ENDORSEMENT: So ordered. ( Amended Pleadings due by 7/10/2009. Motion due by 9/10/2009.) (Signed by Judge Loretta A. Preska on 6/4/09) Filed In Associated Cases: 1:08-cv-03528-LAP, 1:08-cv-04435-LAP(cd) (Entered: 06/04/2009)