Live Database U.S. District Court - Eastern District of Tennessee (Knoxville) CIVIL DOCKET FOR CASE #: 3:15-cv-00546

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1 US District Court Civil Docket as of December 30, 2015 Retrieved from the court on January 2, 2016 Live Database U.S. District Court - Eastern District of Tennessee (Knoxville) CIVIL DOCKET FOR CASE #: 3:15-cv Goldberg v. Miller et al Date Filed: 12/09/2015 Assigned to: Jury Demand: Plaintiff Case in other court: Circuit Court for Morgan County, Nature of Suit: 850 CV-33 Cause: 15:77 Securities Fraud Securities/Commodities Jurisdiction: Federal Question Plaintiff Marcia Goldberg Individually and on Behalf of All Others Similarly Situated represented by Christopher Martin Wood Robbins Geller Rudman & Dowd LLP (Nashville) 414 Union Street Ste 900 Nashville, TN (615) Fax: (615) cwood@rgrdlaw.com PRO HAC VICE Curtis V Trinko Law Offices of Curtis V. Trinko, LLP 16 West 46th Street 7th Floor New York, NY Fax: Douglas S Johnston, Jr Barrett, Johnston, Martin & Garrison, LLC Bank of America Plaza 414 Union Street, Suite 900 Nashville, TN Fax: djohnston@barrettjohnston.com Jerry E Martin

2 Barrett, Johnston, Martin & Garrison, LLC Bank of America Plaza 414 Union Street, Suite 900 Nashville, TN (615) PRO HAC VICE Mary K Blasy Robbins, Geller, Rudman & Dowd, LLP (NY) 58 South Service Road Suite 200 Melville, NY Fax: Samuel H Rudman Robbins, Geller, Rudman & Dowd, LLP (NY) 58 South Service Road Suite 200 Melville, NY Fax: Timothy L Miles Barrett, Johnston, Martin & Garrison, LLC Bank of America Plaza 414 Union Street, Suite 900 Nashville, TN Fax: tmiles@barrettjohnston.com William Margrabe Law Offices of Curtis V. Trinko, LLP 16 West 46th Street 7th Floor New York, NY Fax:

3 TERMINATED: 12/31/2015 V. Deloy Miller Scott M. Boruff David J. Voyticky Catherine A. Rector David M. Hall Merrill A. McPeak Gerald Hannahs Charles M. Stivers Don A. Turkleson Bob G. Gower Joseph T. Leary William B. Richardson Marceau N. Schlumberger Paul W. Boyd MLV & Co. LLC Bass, Berry & Sims, PLC (Nashville)

4 The Pinnacle At Symphony Place 150 3rd Avenue South Suite 2800 Nashville, TN (615) Bass, Berry & Sims, PLC (Knox) 900 South Gay Street Suite 1700 Knoxville, TN Fax: Bass, Berry & Sims, PLC (Nashville) The Pinnacle At Symphony Place 150 3rd Avenue South Suite 2800 Nashville, TN Williams Financial Group Maxim Group LLC represented by

5 National Securities Corporation Aegis Capital Corp. Northland Capital Markets Dominick & Dominick, LLC

6 Ladenburg Thalmann & Co. Inc. I-Bankers Securities, Inc. Date Filed # Docket Text 12/09/ NOTICE OF REMOVAL from Morgan County Circuit Court, case number 2015-cv-33. (Filing fee $ 400 receipt number ), filed by Northland Capital Markets, Williams Financial Group, Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Aegis Capital Corp. (Attachments: # 1 Exhibit A-Summons, Complaint, and Requests for Production of Documents, # 2 Exhibit B-Civil Cover Sheet, # 3 Other Civil Cover Sheet)(Phillips, W) Modified filers per counsel on 12/10/2015 (JBR). (Entered: 12/09/2015)

7 12/10/2015 sent to Magistrate Judge Shirley's chambers for related case determination. (AMP) (Entered: 12/10/2015) 12/10/ Administrative Notice to Counsel: Attorney Jerry E. Martin not admitted. Requirements due by 12/20/2015. (C/M to Jerry Martin) (AMP) (Entered: 12/10/2015) 12/10/ Administrative Notice to Counsel: Attorney Christopher M. Wood not admitted. Requirements due by 12/20/2015. (C/M to Christopher Wood) (AMP) (Entered: 12/10/2015) 12/10/ Administrative Notice to Counsel: Attorneys Samuel H. Rudman and Mary K. Blasy not admitted. Requirements due by 12/20/2015. (AMP) Modified on 12/10/2015 to reflect C/M to Samuel Rudman and Mary Blasy (AMP). (Entered: 12/10/2015) 12/10/ Administrative Notice to Counsel: Attorneys Curtis V Trinko and William Margrabe not admitted. Requirements due by 12/20/2015. (C/M to Curtis Trinko and William Margrabe) (AMP) (Entered: 12/10/2015) 12/10/2015 NOTICE OF FAILURE TO FILE Certificate of Corporate Interest as required by FRCP 7.1 by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (AMP) (Entered: 12/10/2015) 12/10/ Certificate of Corporate Interest by Aegis Capital Corp. identifying Corporate Parent Aegis Capital Holdings Corp. for Aegis Capital Corp.. (Phillips, W) (Entered: 12/10/2015) 12/10/ Certificate of Corporate Interest by Ladenburg Thalmann & Co. Inc. identifying Corporate Parent Ladenburg Thalmann Financial Services, Inc. for Ladenburg Thalmann & Co. Inc.. (Phillips, W) (Entered: 12/10/2015) 12/10/ Certificate of Corporate Interest by MLV & Co. LLC identifying Corporate Parent FBR Capital Markets Holdings, Inc., Corporate Parent FBR & Co for MLV & Co. LLC. (Phillips, W) (Entered: 12/10/2015) 12/10/ Certificate of Corporate Interest by Northland Capital Markets identifying Corporate Parent Northland Capital Holdings, Inc. for Northland Capital Markets. (Phillips, W) (Entered: 12/10/2015) 12/10/ Certificate of Corporate Interest by Williams Financial Group. (Phillips, W) (Entered: 12/10/2015) 12/11/ Certificate of Corporate Interest by Dominick & Dominick, LLC identifying Corporate Parent DM Trust for Dominick & Dominick, LLC. (Phillips, W) (Entered: 12/11/2015) 12/15/ STIPULATION Extending Time for Responsive Pleading by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Phillips, W) (Entered: 12/15/2015) 12/21/ MOTION for Leave to Appear Pro Hac Vice ( Filing fee $ 90 receipt number ) by Marcia Goldberg. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Martin, Jerry) (Entered: 12/21/2015) 12/21/ MOTION for Leave to Appear Pro Hac Vice by Marcia Goldberg. (Attachments: # 1 Other Certificate of Service)(Wood, Christopher) (Entered: 12/21/2015)

8 12/21/ MOTION for Leave to Appear Pro Hac Vice for Margaret A. Keeley ( Filing fee $ 90 receipt number ) by Aegis Capital Corp., Dominick & Dominick, LLC, I- Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit 1 - Certificates of Good Standing)(Phillips, W) (Entered: 12/21/2015) 12/21/ MOTION for Leave to Appear Pro Hac Vice for Amanda M. MacDonald ( Filing fee $ 90 receipt number ) by Aegis Capital Corp., Dominick & Dominick, LLC, I- Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit 1 - Certificates of Good Standing)(Phillips, W) (Entered: 12/21/2015) 12/21/ MOTION for Leave to Appear Pro Hac Vice for Steven M. Farina ( Filing fee $ 90 receipt number ) by Aegis Capital Corp., Dominick & Dominick, LLC, I-Bankers Securities, Inc., Ladenburg Thalmann & Co. Inc., MLV & Co. LLC, Maxim Group LLC, National Securities Corporation, Northland Capital Markets, Williams Financial Group. (Attachments: # 1 Exhibit 1 - Certificates of Good Standing)(Phillips, W) (Entered: 12/21/2015) 12/21/ MOTION for Extension of Time to File Pro Hac Vice Applications by Marcia Goldberg. (Johnston, Douglas) (Entered: 12/21/2015) 12/22/ MOTION for Leave to Appear Pro Hac Vice for Curtis V. Trinko ( Filing fee $ 90 receipt number ) by Marcia Goldberg. (Attachments: # 1 Other Certificate of Service, # 2 Other Certificate of Good Standing)(Miles, Timothy) (Entered: 12/22/2015) 12/22/2015 Clerk's Verification of PHV Requirements is complete regarding document: 19 MOTION for Leave to Appear Pro Hac Vice for Curtis V. Trinko ; 16 MOTION for Leave to Appear Pro Hac Vice for Amanda M. MacDonald ; 17 MOTION for Leave to Appear Pro Hac Vice for Steven M. Farina; 14 MOTION for Leave to Appear Pro Hac Vice for Christopher M. Wood; 15 MOTION for Leave to Appear Pro Hac Vice for Margaret A. Keeley ; 13 MOTION for Leave to Appear Pro Hac Vice for Jerry E. Martin (KMK) (Entered: 12/22/2015) 12/28/ MOTION for Leave to Appear Pro Hac Vice for Mary K. Blasy ( Filing fee $ 90 receipt number ) by Marcia Goldberg. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Miles, Timothy) (Entered: 12/28/2015) 12/28/ MOTION for Leave to Appear Pro Hac Vice for Samuel H. Rudman ( Filing fee $ 90 receipt number ) by Marcia Goldberg. (Attachments: # 1 Other Certificate of Good Standing, # 2 Other Certificate of Service)(Miles, Timothy) (Entered: 12/28/2015) 12/29/2015 Clerk's Verification of PHV Requirements is complete regarding document: 21 MOTION for Leave to Appear Pro Hac Vice for Samuel H. Rudman ( Filing fee $ 90 receipt number ) filed by Marcia Goldberg, 20 MOTION for Leave to Appear Pro Hac Vice for Mary K. Blasy ( Filing fee $ 90 receipt number ) filed by Marcia Goldberg (JBR) (Entered: 12/29/2015) 12/30/ NOTICE by Marcia Goldberg of Withdrawal of William Margrabe as Counsel ofrecord i for the Plaintiff (Miles, Timothy) (Entered: 12/30/2015)

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