US District Court Civil Docket as of
09/30/2010
Retrieved from the court on October
4, 2010
|
Cause:
15:78m(a) Securities Exchange Act |
|
|
Plaintiff
|
|
|
|
David
T. Vining
|
represented by |
Christopher
Adam Seeger |
|
Plaintiff
|
||
|
Patricia
Burness
|
represented by |
Aaron
Michael Sheanin |
|
|
||
|
Defendant
|
||
|
Oppenheimer
Holdings Inc. |
represented by |
Howard
Wilson |
|
Defendant
|
||
|
Oppenheimer
& CO. Inc.
|
represented by |
Howard
Wilson |
|
Defendant
|
||
|
Oppenheimer
Asset Management Inc
|
represented by |
Howard
Wilson |
|
Date
Filed |
# |
Docket
Text |
|
05/12/2008 |
COMPLAINT
against Oppenheimer Holdings Inc., Oppenheimer & CO. Inc., Oppenheimer
Asset Management Inc. (Filing Fee $ 350.00, Receipt Number 650404)Document
filed by David T. Vining.(rdz)
(Entered: 05/14/2008) |
|
|
05/12/2008 |
|
SUMMONS
ISSUED as to Oppenheimer Holdings Inc., Oppenheimer & CO. Inc., Oppenheimer
Asset Management Inc. (rdz) (Entered: 05/14/2008) |
|
05/12/2008 |
|
CASE
REFERRED TO Judge Loretta A. Preska as possibly
Related to 08-cv-3528. (rdz) (Entered: 05/14/2008) |
|
05/12/2008 |
|
Case
Designated ECF. (rdz) (Entered: 05/14/2008) |
|
05/22/2008 |
NOTICE
OF APPEARANCE by Stephen Leonard Ratner on behalf
of Oppenheimer Holdings Inc., Oppenheimer & CO. Inc., Oppenheimer Asset
Management Inc (Ratner, Stephen) (Entered:
05/22/2008) |
|
|
05/22/2008 |
NOTICE
OF APPEARANCE by Scott Arthur Eggers on behalf of Oppenheimer Holdings Inc.,
Oppenheimer & CO. Inc., Oppenheimer Asset Management Inc (Eggers, Scott)
(Entered: 05/22/2008) |
|
|
05/22/2008 |
RULE
7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate
Parent. Document filed by Oppenheimer Holdings Inc., Oppenheimer & CO.
Inc., Oppenheimer Asset Management Inc.(Eggers, Scott) (Entered: 05/22/2008) |
|
|
05/23/2008 |
|
CASE
ACCEPTED AS RELATED. Create association to 1:08-cv-03528-LAP. Notice of
Assignment to follow. (rdz) (Entered: 05/30/2008) |
|
05/23/2008 |
NOTICE
OF CASE ASSIGNMENT to Judge Loretta A. Preska. (rdz) (rdz).
(Entered: 05/30/2008) |
|
|
05/23/2008 |
|
Magistrate
Judge Michael H. Dolinger is so designated. (rdz) (Entered: 05/30/2008) |
|
05/27/2008 |
NOTICE
OF APPEARANCE by Howard Wilson on behalf of Oppenheimer Holdings Inc.,
Oppenheimer & CO. Inc., Oppenheimer Asset Management Inc (Wilson, Howard)
(Entered: 05/27/2008) |
|
|
05/27/2008 |
NOTICE
OF APPEARANCE by John Hoover Snyder on behalf of Oppenheimer Holdings Inc.,
Oppenheimer & CO. Inc., Oppenheimer Asset Management Inc (Snyder, John)
(Entered: 05/27/2008) |
|
|
06/02/2008 |
MOTION
for A.J. De Bartolomeo to Appear Pro Hac Vice. Document filed by David T. Vining.(dle) (Entered: 06/03/2008) |
|
|
06/02/2008 |
MOTION
for Christine H. C. Sharp to Appear Pro Hac Vice.
Document filed by David T. Vining.(dle) (Entered: 06/03/2008) |
|
|
06/02/2008 |
MOTION
for Aaron M. Sheanin to Appear Pro Hac Vice. Document filed by David T. Vining.(dle) (Entered: 06/03/2008) |
|
|
06/02/2008 |
MOTION
for Daniel C. Girard to Appear Pro Hac Vice.
Document filed by David T. Vining.(dle) (Entered: 06/03/2008) |
|
|
06/05/2008 |
AFFIDAVIT
OF SERVICE of Summons and Complaint. Oppenheimer & CO. Inc. served on
5/23/2008, answer due 6/12/2008; Oppenheimer Asset Management Inc served on
5/23/2008, answer due 6/12/2008. Document filed by David T. Vining. (Weiss, Stephen) (Entered: 06/05/2008) |
|
|
06/06/2008 |
|
CASHIERS
OFFICE REMARK on 9
Motion to Appear Pro Hac Vice, 11 Motion to Appear
Pro Hac Vice, 10 Motion to Appear
Pro Hac Vice, 8 Motion to Appear
Pro Hac Vice in the amount of $100.00, paid on
06/02/2008, Receipt Number 652822. (jd) (Entered:
06/06/2008) |
|
06/09/2008 |
ORDER
granting 8
Motion for A.J. De Bartolomeo to Appear Pro Hac Vice. (Signed by Judge Loretta A. Preska
on 6/9/2008) (jp) (Entered: 06/09/2008) |
|
|
06/09/2008 |
|
Transmission
to Case Assignment Clerk. Transmitted re: 13 Order on Motion
to Appear Pro Hac Vice, to the Case Assignment
Clerk for preparation of notice of case assignment/reassignment. (jp) (Entered: 06/09/2008) |
|
06/09/2008 |
ORDER
granting 11
Motion for Daniel C. Girard to Appear Pro Hac Vice.
(Signed by Judge Loretta A. Preska on 6/9/2008) (jp) (Entered: 06/09/2008) |
|
|
06/09/2008 |
|
Transmission
to Case Assignment Clerk. Transmitted re: 14 Order on Motion
to Appear Pro Hac Vice, to the Case Assignment
Clerk for preparation of notice of case assignment/reassignment. (jp) (Entered: 06/09/2008) |
|
06/09/2008 |
ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 10 Motion for Aaron
M. Sheanin to Appear Pro Hac
Vice. (Signed by Judge Loretta A. Preska on 6/9/08)
(mme) (Entered: 06/09/2008) |
|
|
06/09/2008 |
ORDER
granting 9
Motion for Christine H.C. Sharp to Appear Pro Hac
Vice. (Signed by Judge Loretta A. Preska on
6/9/2008) (jp) (Entered: 06/09/2008) |
|
|
06/09/2008 |
ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting 9 Motion for
Christina H. C. Sharp to Appear Pro Hac Vice.
(Signed by Judge Loretta A. Preska on 6/9/08) (mme) (Entered: 06/09/2008) |
|
|
06/09/2008 |
|
Transmission
to Case Assignment Clerk. Transmitted re: 16 Order on Motion
to Appear Pro Hac Vice, to the Case Assignment
Clerk for preparation of notice of case assignment/reassignment. (jp) (Entered: 06/09/2008) |
|
06/10/2008 |
ORDER,
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 he 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 6/9/08) (cd) (Entered: 06/10/2008) |
|
|
10/10/2008 |
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) |
|
|
02/17/2009 |
MOTION
for Rachel E. Schwartz to Appear Pro Hac Vice.
Document filed by David T. Vining.(dle) (Entered: 02/18/2009) |
|
|
02/17/2009 |
MOTION
for Norman Siegel to Appear Pro Hac Vice. Document
filed by David T. Vining.(dle)
(Entered: 02/18/2009) |
|
|
02/20/2009 |
|
CONSOLIDATED
MEMBER CASE: Create association to 1:08-cv-03528-LAP..
(jmi) (Entered: 02/25/2009) |
|
02/20/2009 |
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) |
|
|
02/24/2009 |
ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: Rachel E. Schwartz is admitted
to practice pro hac vice as counsel for David T. Vining in this case in the USDC for the SDNY as further
set forth herein. (Signed by Judge Loretta A. Preska
on 2/24/09) (dle) (Entered: 02/24/2009) |
|
|
02/24/2009 |
|
Transmission
to Attorney Admissions Clerk. Transmitted re: 22 Order on Motion
to Appear Pro Hac Vice,,
to the Attorney Admissions Clerk for updating of Attorney Information. (dle) (Entered: 02/24/2009) |
|
02/24/2009 |
ORDER
FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: Norman E. Siegel is admitted to
practice pro hac vice as counsel for David T. Vining in this case in the USDC for the SDNY as further
set forth herein. Counsel shall forward the pro hac
vice fee to the Clerk of the Court. (Signed by Judge Loretta A. Preska on 2/24/09) (dle)
(Entered: 02/24/2009) |
|
|
02/24/2009 |
|
Transmission
to Attorney Admissions Clerk. Transmitted re: 23 Order on Motion
to Appear Pro Hac Vice,,
to the Attorney Admissions Clerk for updating of Attorney Information. (dle) (Entered: 02/24/2009) |
|
03/03/2009 |
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) |
|
|
03/06/2009 |
|
CASHIERS
OFFICE REMARK on 20
Motion to Appear Pro Hac Vice, 21 Motion to Appear
Pro Hac Vice in the amount of $50.00, paid on
02/17/2009, Receipt Number 679469. (jd) (Entered:
03/06/2009) |
|
04/10/2009 |
FIRST
AMENDED CONSOLIDATED COMPLAINT against Oppenheimer Holdings Inc., Oppenheimer
& CO. Inc., Oppenheimer Asset Management Inc. Document filed by David T. Vining.(dle) (Entered:
04/13/2009) |
|
|
06/04/2009 |
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) |
|
|
07/10/2009 |
SECOND
AMENDED COMPLAINT amending 26 Amended
Complaint against Oppenheimer Holdings Inc., Oppenheimer & CO. Inc.
Document filed by Patricia Burness, David T. Vining. Related document: 26 Amended
Complaint filed by David T. Vining.(dle) (Entered: 07/10/2009) |
|
|
09/08/2009 |
ENDORSED
LETTER addressed to Judge Loretta A. Preska from
Scott A. Eggers dated 9/4/2009 re: Requesting an expansion of the Court's
page limits to 35 pages with respect to the memorandum of law in support of
defendants motion to dismiss the second amended consolidated class action
complaint. ENDORSEMENT: SO ORDERED. (Signed by Judge Loretta A. Preska on 9/4/2009) (jpo)
(Entered: 09/08/2009) |
|
|
09/10/2009 |
MOTION
to Dismiss Plaintiffs' Second Amended Consolidated Class Action Complaint.
Document filed by Oppenheimer Holdings Inc., Oppenheimer & CO. Inc.. Responses due by 10/23/2009(Wilson, Howard)
(Entered: 09/10/2009) |
|
|
09/10/2009 |
DECLARATION
of Howard Wilson, Esq. in Support re: 30 MOTION to
Dismiss Plaintiffs' Second Amended Consolidated Class Action Complaint.. Document filed by Oppenheimer Holdings Inc.,
Oppenheimer & CO. Inc.. (Attachments: # 1 Exhibit 1, Part
2, # 2 Exhibit
2, # 3 Exhibit 3
& 4)(Wilson, Howard) (Entered: 09/10/2009) |
|
|
09/10/2009 |
MEMORANDUM
OF LAW in Support re: 30
MOTION to Dismiss Plaintiffs' Second Amended Consolidated Class Action
Complaint.. Document filed by Oppenheimer
Holdings Inc., Oppenheimer & CO. Inc.. (Wilson,
Howard) (Entered: 09/10/2009) |
|
|
10/23/2009 |
ENDORSED
LETTER addressed to Judge Loretta A. Preska from
Rachel E. Schwartz dated 10/20/09 re: Counsel for Lead Plaintiff request the
same page extension for Plaintiffs' Memorandum in Opposition to Defendants'
Motion to Dismiss, which will be filed on 10/23/09. ENDORSEMENT: SO ORDERED.
Set Deadlines/Hearing as to 30 MOTION to
Dismiss Plaintiffs' Second Amended Consolidated Class Action Complaint:(
Responses due by 10/23/2009) (Signed by Judge Loretta A. Preska
on 10/23/09) (tro) (Entered: 10/23/2009) |
|
|
10/23/2009 |
MEMORANDUM
OF LAW in Opposition re: 30 MOTION to
Dismiss Plaintiffs' Second Amended Consolidated Class Action Complaint.. Document filed by Patricia Burness,
David T. Vining. (Siegel, Norman) (Entered:
10/23/2009) |
|
|
11/19/2009 |
ENDORSED
LETTER addressed to Judge Loretta A. Preska from
Scott A Eggers dated 11/17/09 re: counsel requests an extension of the
Court's page limits to 15 pages with respect to the Reply Memorandum of Law
in Support. ENDORSEMENT: So Ordered. (Signed by Judge Loretta A. Preska on 11/19/09) (djc)
(Entered: 11/19/2009) |
|
|
11/20/2009 |
REPLY
MEMORANDUM OF LAW in Support re: 30 MOTION to
Dismiss Plaintiffs' Second Amended Consolidated Class Action Complaint.. Document filed by Oppenheimer Holdings Inc.,
Oppenheimer & CO. Inc., Oppenheimer Asset Management Inc. (Ratner, Stephen) (Entered: 11/20/2009) |
|
|
11/20/2009 |
DECLARATION
of Stephen L. Ratner in Support re: 30 MOTION to
Dismiss Plaintiffs' Second Amended Consolidated Class Action Complaint.. Document filed by Oppenheimer Holdings Inc.,
Oppenheimer & CO. Inc., Oppenheimer Asset Management Inc. (Attachments: #
1 Exhibit 1, # 2 Exhibit 2)(Ratner, Stephen) (Entered: 11/20/2009) |
|
|
09/29/2010 |
OPINION
AND ORDER: For the foregoing reasons Defendants, motion to dismiss [dkt. no. 30] is GRANTED, and Plaintiff's complaint
against Defendants is dismissed in its entirety without prejudice. The Clerk
of Court shall mark this action CLOSED and all pending motions DENIED as
moot. (Signed by Judge Loretta A. Preska on
9/27/2010) (jpo) (Entered: 09/29/2010) |
|
|
09/29/2010 |
|
Transmission
to Judgments and Orders Clerk. Transmitted re: 38 Opinion and Order, to the Judgments and Orders Clerk. (jpo) (Entered: 09/29/2010) |
|
09/30/2010 |
CLERK'S
JUDGMENT That for the reasons stated in the Court's Opinion and Order dated
September 27, 2010, defendants' motion to dismiss is granted and plaintiff's
complaint against defendants is dismissed in its entirety without prejudice;
accordingly, the case is closed and all pending motions denied as moot.
(Signed by Clerk of Court Ruby Krajick on 9/30/10)
(Attachments: # 1
notice of right to appeal)(ml) (Entered: 09/30/2010) |
Note: Links in this docket are stored in the PACER system (Public
Access to Court Electronic Records). PACER is a
service of United States Judiciary. To view and retrieve the linked documents
from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United
States Congress has given the Judicial Conference of the United States, the
judicial governing body of the U.S. Federal Courts, authority to impose user
fees for electronic access to case information. For more information visit the
PACER site at http://pacer.psc.uscourts.gov/pacerdesc.html