Augst-Johnson v. Morgan Stanley & Company

Augst-Johnson v. Morgan Stanley

Augst-Johnson v. Morgan Stanley & Company

Augst-Johnson v. Morgan Stanley & Company

Augst-Johnson v. Morgan Stanley & Company

Augst-Johnson v. Morgan Stanley & Company

Augst-Johnson v. Morgan Stanley & Company

Augst-Johnson v. Morgan Stanley

COMPLAINT against MORGAN STANLEY DW, INC. (Filing fee $ 350) filed by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW.(jf, ) (Entered: 06/23/2006)

SUMMONS Not Issued as to MORGAN STANLEY DW, INC. (jf, )

Summons (1) Issued as to MORGAN STANLEY DW, INC.. (jf, )

MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Mara R. Thompson, Christopher M. Moody & Whitney Warner. :Address- 310 Fourth Avenue S., Minneapolis, MN 55415 & 4169 Montgomery Blvd. NE, Albuquerque, NM 87109. Phone No. - 612-871-8910 and 505-944-0033. Fax No. - 612-871-9270 and 505-944-0034 by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Declaration of Mara R. Thompson# 2 Declaration of Christopher M. Moody# 3 Declaration of Whitney Warner# 4 Text of Proposed Order)(Sprenger, Steven) (Entered: 07/07/2006)

1 Declaration of Mara R. Thompson

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2 Declaration of Christopher M. Moody

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3 Declaration of Whitney Warner

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4 Text of Proposed Order

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ADDITIONAL ATTACHMENT Certificate of Service by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW 2 MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Mara R. Thompson, Christopher M. Moody & Whitney Warner. :Address- 310 Fourth Avenue S., Minneapolis, MN 55415 & 4169 Montgomery Blvd. NE, Albuquerque, NM 87109. Phone No. - 612-871-8910 and 505 filed by DEBRA SHAW,, JOANNE AUGUST-JOHNSON,, NANCY REEVES,, CHERYL GUISTINIANO,, LAURIE BLACKBURN,. (Sprenger, Steven) (Entered: 07/07/2006)

Joint MOTION for Leave to Appear and Set Status Conference by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGUST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Text of Proposed Order)(Sprenger, Steven). (Entered: 07/07/2006)

1 Text of Proposed Order

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MINUTE ORDER: It is hereby ORDERED that plaintiffs' motion 2 regarding admissions pro hac vice be, and hereby is, GRANTED. Mara R. Thompson, Christopher M. Moody, and Whitney Warner are admitted pro hac vice in this action. Issued by Judge Richard W. Roberts on 7/25/2006. (EHS)

MOTION for Leave to Appear Pro Hac Vice :Attorney Name- Mark S. Dichter and Kenneth J. Turnbull. :Address- Morgan, Lewis & Bockius LLP, 1701 Market St., Philadelphia, PA 19103/Morgan, Lewis & Bockius LLP, 101 Park Avenue, New York, New York 10178. Phone No. - 215-962-5291/212-309-6055. Fax No. - 215-963-5001/212-309-6001 by MORGAN STANLEY DW, INC.. (Attachments: # 1 Exhibit Exhibit A - Declaration of Mark S. Dichter# 2 Exhibit Exhibit B - Declaration of Kenneth J. Turnbull# 3 Text of Proposed Order # 4 Certificate of Service)(Speights, Grace) (Entered: 08/03/2006)

1 Exhibit Exhibit A - Declaration of Mark S. Dichter

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2 Exhibit Exhibit B - Declaration of Kenneth J. Turnbull

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3 Text of Proposed Order

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4 Certificate of Service

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Consent MOTION for Extension of Time to Respond to the Complaint by MORGAN STANLEY DW, INC.. (Attachments: # 1 Text of Proposed Order # 2 Certificate of Service)(Speights, Grace) (Entered: 08/08/2006)

1 Text of Proposed Order

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2 Certificate of Service

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ORDER granting 6 Motion for Extension of Time to answer complaint to 11/1/06.. Signed by Judge Richard W. Roberts on 8/10/06. (lin, ) (Entered: 08/15/2006)

Set/Reset Deadlines: Answer due by 11/1/2006. (lin, )

Set/Reset Deadlines: Answer due by 11/1/2006. (lin, )

MINUTE ORDER: It is hereby ORDERED that defendant's motion 5 for leave to permit Mark S. Dichter and Kenneth J. Turnbull to appear pro hac vice be, and hereby is, GRANTED. Issued by Judge Richard W. Roberts on 8/28/2006. (EHS)

NOTICE of Change of Address by Cyrus Mehri (Mehri, Cyrus) (Entered: 10/23/2006)

NOTICE of Hearing: Settlement Conference set for 11/13/2006 09:30 AM in Courtroom 4 before Magistrate Judge Deborah A. Robinson. (lin, )

CASE REFERRED to Magistrate Judge Deborah A. Robinson for Settlement Conference at November 13 at 9:30am. (jsc)

ANSWER to Complaint by MORGAN STANLEY DW, INC.. Related document: 1 Complaint filed by DEBRA SHAW,, NANCY REEVES,, CHERYL GUISTINIANO,, LAURIE BLACKBURN,, JOANNE AUGST-JOHNSON,.(Speights, Grace) (Entered: 11/13/2006)

LCvR 7.1 - CERTIFICATE OF DISCLOSURE of Corporate Affiliations and Financial Interests by MORGAN STANLEY DW, INC. (Speights, Grace) (Entered: 11/13/2006)

Minute Entry for proceedings held before Magistrate Judge Deborah A. Robinson : Settlement Conference held on 11/13/2006. Status Conference set for 1/23/2007 11:00 AM in Courtroom 4 before Magistrate Judge Deborah A. Robinson. (EW)

STATUS REPORT (Joint) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Speights, Grace) (Entered: 11/16/2006)

ORDER that the parites shall continue to engage in their effort to reach a settlemtnt in this action.. Signed by Magistrate Judge Deborah A. Robinson on 11/17/06. (lm ) (Entered: 11/17/2006)

Set Hearing: Status Conference set for 1/30/2007 @ 09:30 AM in Courtroom 4 before Magistrate Judge Deborah A. Robinson. (mm)

Minute Entry for proceedings held before Magistrate Judge Deborah A. Robinson : Settlement Conference held on 1/30/2007. (EW)

STATUS REPORT (JOINT) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Speights, Grace) (Entered: 02/26/2007)

MINUTE ORDER: Based on the parties' most recent status report 13, it is hereby ORDERED that the parties be, and hereby are, DIRECTED to file another joint status report by April 12, 2007, unless settlement documents are submitted for review before then. Issued by Judge Richard W. Roberts on 2/27/2007. (EHS)

Emergency MOTION for Permanent Injunction (Joint) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order # 2 Declaration of Mark S. Dichter (and attached exhibits)# 3 Declaration of Cyrus Mehri)(Speights, Grace) (Entered: 04/06/2007)

1 Text of Proposed Order

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2 Declaration of Mark S. Dichter (and attached exhibits)

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3 Declaration of Cyrus Mehri

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ERRATA To Joint Emergency Application For An Injunction by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW 14 Emergency MOTION for Permanent Injunction (Joint)Emergency MOTION for Permanent Injunction (Joint) filed by CHERYL GUISTINIANO, JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, NANCY REEVES, MORGAN STANLEY DW, INC., DEBRA SHAW. (Attachments: # 1 Declaration of Mark S. Dichter With Corrected Exhibits A and B)(Speights, Grace) (Entered: 04/06/2007)

1 Declaration of Mark S. Dichter With Corrected Exhibits A and B

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ORDER granting Joint Emergency Motion 14 for an Injunction. Signed by Judge Richard W. Roberts on 4/6/07. (lcrwr3) (Entered: 04/06/2007)

STATUS REPORT (JOINT) by CHERYL GUISTINIANO, LAURIE BLACKBURN, MORGAN STANLEY DW, INC., JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Speights, Grace) (Entered: 04/12/2007)

STIPULATION /Defendant's Consent to Plaintiffs' Filing of Amended Complaint by MORGAN STANLEY DW, INC.. (Attachments: # 1 Exhibit Amended Complaint)(Speights, Grace) (Entered: 04/24/2007)

1 Exhibit Amended Complaint

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AMENDED COMPLAINT against MORGAN STANLEY & CO. INCORPORATED filed by JAN TYLER, ERMA TARANTINO, ELIZABETH REINKE, CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW.(nmw, ) (Entered: 04/24/2007)

Joint MOTION Preliminary Approval by CHERYL GUISTINIANO, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Exhibit Exhibit 1: Settlement Agreement# 2 Exhibit A to Settlement Agreement# 3 Exhibit B to Settlement Agreement# 4 Exhibit C to Settlement Agreement# 5 Exhibit D to Settlement Agreement# 6 Declaration of Steven M. Sprenger# 7 Exhibit A to Declaration of Steven M. Sprenger# 8 Declaration of Cyrus Mehri# 9 Declaration of Joanne Augst-Johnson# 10 Declaration of Nancy Reeves# 11 Declaration of Debra Shaw# 12 Declaration of Jan Tyler# 13 Declaration of Cheryl Giustiniano# 14 Declaration of Laurie Blackburn# 15 Delcaration of Erna Tarantino# 16 Declaration of Elizabeth Reinke# 17 Proposed Order)(Sprenger, Steven) (Entered: 04/24/2007)

1 Exhibit Exhibit 1: Settlement Agreement

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2 Exhibit A to Settlement Agreement

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3 Exhibit B to Settlement Agreement

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4 Exhibit C to Settlement Agreement

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5 Exhibit D to Settlement Agreement

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6 Declaration of Steven M. Sprenger

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7 Exhibit A to Declaration of Steven M. Sprenger

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8 Declaration of Cyrus Mehri

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9 Declaration of Joanne Augst-Johnson

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10 Declaration of Nancy Reeves

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11 Declaration of Debra Shaw

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12 Declaration of Jan Tyler

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13 Declaration of Cheryl Giustiniano

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14 Declaration of Laurie Blackburn

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15 Delcaration of Erna Tarantino

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16 Declaration of Elizabeth Reinke

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17 Proposed Order

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MOTION for Attorney Fees by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum in Support of Joint Motion for Preliminary Approval of Class Action Settlement and Class Counsel's Motion for Award of Attorneys' Fees and Expenses)(Sprenger, Steven) (Entered: 04/24/2007)

1 Memorandum in Support of Joint Motion for Preliminary Approval of Class Action

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MEMORANDUM re 20 Joint MOTION Preliminary Approval filed by CHERYL GUISTINIANO, JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, NANCY REEVES, DEBRA SHAW by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Sprenger, Steven) (Entered: 04/24/2007)

Joint MOTION for Leave to File Appendices 1 and 2 to the Settlement Agreement Under Seal by CHERYL GUISTINIANO, ELIZABETH REINKE, MORGAN STANLEY & CO. INCORPORATED, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Speights, Grace) (Entered: 05/02/2007)

1 Text of Proposed Order

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Joint MOTION for Hearing /To Set Status Conference by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, MORGAN STANLEY & CO. INCORPORATED, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum In Support of Motion# 2 Text of Proposed Order)(Speights, Grace) (Entered: 06/26/2007)

1 Memorandum In Support of Motion

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2 Text of Proposed Order

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Minute Entry. Proceedings held before Judge Richard W. Roberts : Status Conference held on 7/5/2007.Final Fairness Hearing set for 10/11/2007 10:30 AM in Courtroom 9 before Judge Richard W. Roberts. (Court Reporter Scott Wallace.) (lin, ) Modified on 7/6/2007 (lin, ).

ORDER granting 23 Motion for Leave to File. Signed by Judge Richard W. Roberts on 7/6/2007. (EHS) (Entered: 07/06/2007)

NOTICE Regarding Filing of Sealed Materials, Appendices 1 and 2 to the Settlement Agreement by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 20 Joint MOTION Preliminary Approval (Sprenger, Steven) (Entered: 07/06/2007)

NOTICE of Filing Revised Settlement Agreement, Revised Notice of Class Action, and Revised Proposed Order by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 20 Joint MOTION Preliminary Approval (Attachments: # 1 Revised Settlement Agreement# 2 Revised Notice of Settlement, Proposed Settlement Agreement and Settlement Hearing# 3 Revised Proposed Order# 4 Certificate of Service)(Sprenger, Steven) (Revised Appendix 2 to Settlement Agreement FILED UNDER SEAL) Modified on 7/16/2007 (tg, ). (Entered: 07/11/2007)

1 Revised Settlement Agreement

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2 Revised Notice of Settlement, Proposed Settlement Agreement and Settlement Hear

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3 Revised Proposed Order

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4 Certificate of Service

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NOTICE Regarding Filing of Sealed Materials for Revised Appendix 2 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 27 Notice (Other), Notice (Other) (Sprenger, Steven) (Entered: 07/13/2007)

NOTICE of Filing Second Revised Settlement Agreement, Revised Class Notice and Revised Proposed Preliminary Approval Order by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 20 Joint MOTION Preliminary Approval, 27 Notice (Other), Notice (Other), Notice (Other) (Attachments: # 1 Second Revised Settlement Agreement# 2 Revised Notice of Class Action, Proposed Settlement Agreement & Settlement Hearing# 3 Revised Proposed Preliminary Approval Order# 4 Certificate of Service)(Sprenger, Steven) (Entered: 07/17/2007)

1 Second Revised Settlement Agreement

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2 Revised Notice of Class Action, Proposed Settlement Agreement & Settlement Hear

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3 Revised Proposed Preliminary Approval Order

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4 Certificate of Service

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ORDER granting motion 20 for preliminary approval of the Class Settlement, and approving the Notice to the Class. Signed by Judge Richard W. Roberts on 07/17/07. (Attachments: # 1 Notice to Class) (EHS) (Entered: 07/17/2007)

1 Supplement Notice to Class

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ADMINISTRATIVE ORDER NO.1. Issued by Judge Richard W. Roberts on 7/17/07. (lin, ) (Entered: 07/18/2007)

Consent MOTION for Extension of Time to File Proposed Final Approval Order and Supplemental Memorandum in Support of Class Counsel's Motion For an Award of Attorneys' Fees and Expenses by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum in Support# 2 Text of Proposed Order)(Mehri, Cyrus) (Entered: 10/01/2007)

1 Memorandum in Support

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2 Text of Proposed Order

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Joint MOTION for Settlement Final Approval by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Memorandum in Support# 2 Exhibit 1 Mehri Declaration in Support of Final Approval# 3 Exhibit A to Exhibit 1 Mehri Declaration# 4 Exhibit B to Exhibit 1 Mehri Declaration# 5 (SEALED) Exhibit C to Exhibit 1 Mehri Declaration# 6 (SEALED) Exhibit D to Exhibit 1 Mehri Declaration# 7 (SEALED) Exhibit E to Exhibit 1 Mehri Declaration# 8 (SEALED) Exhibit F to Exhibit 1 Mehri Declaration# 9 (SEALED) Exhibit G to Exhibit 1 Mehri Declaration# 10 Exhibit 2# 11 Exhibit 3 Declaration of Mark Patton# 12 (SEALED) Exhibit 4 Declaration of Mark Dichter)(Mehri, Cyrus) Modified on 10/5/2007 (lc, ). Modified on 10/11/2007 (jf, ). Modified on 10/11/2007 (lc, ). (Entered: 10/01/2007)

1 Memorandum in Support

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2 Exhibit 1 Mehri Declaration in Support of Final Approval

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3 Exhibit A to Exhibit 1 Mehri Declaration

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4 Exhibit B to Exhibit 1 Mehri Declaration

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5 *Restricted*

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6 *Restricted*

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7 *Restricted*

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8 *Restricted*

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9 *Restricted*

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10 *Restricted*

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11 Exhibit 3 Declaration of Mark Patton

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12 *Restricted*

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MEMORANDUM re 21 MOTION for Attorney Fees filed by ERMA TARANTINO, CHERYL GUISTINIANO, JAN TYLER, JOANNE AUGST-JOHNSON, ELIZABETH REINKE, LAURIE BLACKBURN, NANCY REEVES, DEBRA SHAW by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Exhibit 1 Mehri Declaration# 2 Exhibit A to Mehri Declaration# 3 Exhibit B to Mehri Declaration# 4 Exhibit C to Mehri Declaration# 5 Exhibit 2 Sprenger Declaration# 6 Exhibit A to Sprenger Declaration# 7 Exhibit B to Sprenger Declaration# 8 Exhibit 3 Moody Declaration# 9 Exhibit 4 Kosen v. American Express Financial Advisors)(Mehri, Cyrus) (Entered: 10/03/2007)

1 Exhibit 1 Mehri Declaration

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2 Exhibit A to Mehri Declaration

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3 Exhibit B to Mehri Declaration

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4 Exhibit C to Mehri Declaration

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5 Exhibit 2 Sprenger Declaration

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6 Exhibit A to Sprenger Declaration

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7 Exhibit B to Sprenger Declaration

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8 Exhibit 3 Moody Declaration

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9 Exhibit 4 Kosen v. American Express Financial Advisors

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ENTERED IN ERROR.....Proposed MOTION for Order Final Order Approving Class Representatives, Certifying Class, Appointing Class Counsel, Approving Settlement Agreement, Awarding Fees and Costs and Dismissing Action Subject to the Court's Continuing Jurisdiction by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Mehri, Cyrus) Modified on 10/4/2007 (jf, ). (Entered: 10/03/2007)

ENTERED IN ERROR.....Proposed MOTION for Order Administrative Order No. 2 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Mehri, Cyrus) Modified on 10/4/2007 (jf, ). (Entered: 10/03/2007)

NOTICE OF CORRECTED DOCKET ENTRY: Document No. re 35 Proposed MOTION for Order Final Order Approving Class Representatives and 36 Proposed MOTION for Order Administrative Order No. 2 was entered in error and counsel was instructed to refile using the Notices category. Counsel was notified not to file Proposed Orders using the Motion(s) category. (jf, )

NOTICE of Filing Redacted Exhibits C and D to the Declaration of Cyrus Mehri in Support of Final Approval by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Exhibit C to the Declaration of C. Mehri# 2 Exhibit D to the Declaration of C. Mehri)(Sprenger, Steven) (Entered: 10/05/2007)

1 Exhibit C to the Declaration of C. Mehri

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2 Exhibit D to the Declaration of C. Mehri

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NOTICE of Filing of Proposed Final Approval Order and Administrative Order No. 2 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Text of Proposed Order Proposed Final Approval Order# 2 Text of Proposed Order Administrative Order No. 2)(Mehri, Cyrus) (Entered: 10/05/2007)

1 Text of Proposed Order Proposed Final Approval Order

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2 Text of Proposed Order Administrative Order No. 2

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NOTICE OF CORRECTED DOCKET ENTRY: Exhibits Parts 6 and 7 of 33 Joint MOTION for Settlement Final Approval were sealed because they contained personal identifiers. Redacted versions will be filed by counsel. (lc, )

MEMORANDUM re 33 Joint MOTION for Settlement Final Approval filed by ERMA TARANTINO, CHERYL GUISTINIANO, JAN TYLER, JOANNE AUGST-JOHNSON, ELIZABETH REINKE, LAURIE BLACKBURN, NANCY REEVES, DEBRA SHAW by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Attachments: # 1 Declaration Cyrus Mehri# 2 Exhibit A to Cyrus Mehri Declaration# 3 Exhibit B to Cyrus Mehri Declaration# 4 Exhibit C to Cyrus Mehri Declaration)(Mehri, Cyrus) (Entered: 10/10/2007)

1 Declaration Cyrus Mehri

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2 Exhibit A to Cyrus Mehri Declaration

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3 Exhibit B to Cyrus Mehri Declaration

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4 Exhibit C to Cyrus Mehri Declaration

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NOTICE of Withdrawal of Attorney Sandi Farrell by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Mehri, Cyrus) (Entered: 10/10/2007)

MINUTE ORDER: In light of the fact that Mary H. Musso and Sarah Cugini received notice of the proposed class settlement after the September 10, 2007 deadline to opt-out of the class action had passed, it is hereby ORDERED that the late requests by Mary H. Musso and Sarah Cugini to opt-out be, and hereby are, GRANTED. It is further ORDERED that, in the absence of any showing by the defendant of unfair prejudice from allowing the other late-filed opt-out requests which were received on or before September 27, 2007, the late requests to opt out by Norma Sepulveda, Deborah Konigsberg and Carol Smith be, and hereby are, GRANTED. Issued by Judge Richard W. Roberts on 10/10/2007. (EHS)

MINUTE ORDER: It is hereby ORDERED that the requests by Ellen Baker, Chanie Schwartz, Rani Lau, Leigh-Ann McWherter, Audray Lohn, and Sharon Abbey to be permitted to opt out of the class action be, and hereby are, GRANTED. Issued by Judge Richard W. Roberts on 10/10/2007. (EHS)

MINUTE ORDER: It is hereby ORDERED that class member Janice Grant's request to be heard at the Final Fairness Hearing be, and hereby is, GRANTED, but limited to only those objections that Ms. Grant expressed in writing and provided to the defendant and class counsel by the deadline for filing objections. It is further ORDERED that Mary Harris Evans' request to be heard at the Final Fairness Hearing be, and hereby is, DENIED, because she is not a member of the class. Issued by Judge Richard W. Roberts on 10/10/07. (EHS)

MINUTE ORDER: It is hereby ORDERED that plaintiffs' consent motion 32 for extension of time be, and hereby is, GRANTED, nunc pro tunc. Issued by Judge Richard W. Roberts on 10/10/2007. (EHS)

NOTICE of Filing Redacted Exhibits E, F, and G to the Declaration of Cyrus Mehri in Support of Final Approval by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Exhibit E to Mehri Declaration# 2 Exhibit F to Mehri Declaration# 3 Exhibit G to Mehri Declaration)(Mehri, Cyrus) (Entered: 10/11/2007)

1 Exhibit E to Mehri Declaration

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2 Exhibit F to Mehri Declaration

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3 Exhibit G to Mehri Declaration

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NOTICE of Filing Redacted Exhibit by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 33 Joint MOTION for Settlement Final Approval (Attachments: # 1 Exhibit 4: Declaration of Mark Dichter, Redacted)(Mehri, Cyrus) (Entered: 10/11/2007)

1 Exhibit 4: Declaration of Mark Dichter, Redacted

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Minute Entry. Proceedings held before Judge Richard W. Roberts : Fairness Hearing held on 10/11/2007. The Court granted Anne Marie Slowik's opt-out request made through counsel at the hearing, directed counsel for parties to redact all confidential information in filings in accord with the directives of Local Civil Rule 5.4(f), and directed counsel for Morgan Stanley to refile his declaration with the salary information redacted. (Court Reporter Scott Wallace.) (lin) Modified on 10/23/2007 (zlin). Modified on 10/25/2007 (EHS).

ORDER certifying class, granting final approval to the settlement agreement, approving the award of attorneys fees, and dismissing action subject to limited continuing jurisdiction. Signed by Judge Richard W. Roberts on 10/26/2007. (EHS) (Entered: 10/26/2007)

ADMINISTRATIVE ORDER NO. 2. Signed by Judge Richard W. Roberts on 10/26/2007. (EHS) (Entered: 10/26/2007)

MOTION to Enforce Final Order and to Enjoin Claims by MORGAN STANLEY & CO. INCORPORATED (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4 Text of Proposed Order)(Speights, Grace) (Entered: 11/15/2007)

1 Exhibit A

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2 Exhibit B

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3 Exhibit C

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4 Text of Proposed Order

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Consent MOTION to Withdraw Motion to Enjoin Claims by MORGAN STANLEY & CO. INCORPORATED (Attachments: # 1 Text of Proposed Order)(Speights, Grace) (Entered: 11/27/2007)

1 Text of Proposed Order

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Letter from Jeremy W. Parham "Let this be filed" by Judge Richard W. Roberts. (jf, ) (Entered: 12/04/2007)

MINUTE ORDER: It is hereby ORDERED that defendant's consent motion 46 to withdraw its motion 45 to enforce be, and hereby is, GRANTED, and its motion 45 to enforce be, and hereby is, WITHDRAWN. Issued by Judge Richard W. Roberts on 12/3/07. (EHS)

ORDER TO SHOW CAUSE. Defendant's Show Cause Response due by 12/17/2007. Plaintiff Class Counsel's response due by 12/21/07. Signed by Judge Richard W. Roberts on 12/4/2007. (EHS) (Entered: 12/04/2007)

Set/Reset Deadlines: Response to Show Cause due by 12/17/2007.,Reply to Show Cause due by 12/21/2007. (lin, )

RESPONSE TO ORDER OF THE COURT re 47 Order to Show Cause Regarding Class Member Teresa Grubman filed by MORGAN STANLEY & CO. INCORPORATED. (Speights, Grace) (Entered: 12/17/2007)

RESPONSE TO ORDER TO SHOW CAUSE by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW re 47 Order to Show Cause. (Attachments: # 1 Declaration of Steven M. Sprenger# 2 Exhibit A# 3 Certificate of Service)(Sprenger, Steven) (Entered: 12/19/2007)

1 Declaration of Steven M. Sprenger

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2 Exhibit A

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3 Certificate of Service

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MEMORANDUM ORDER relating to [48, 49, 50], granting Teresa Grubman's late request to opt out of the class. Signed by Judge Richard W. Roberts on 1/2/08. (EHS) (Entered: 01/03/2008)

Letter of 12/3/07 from Jeremy Parham to Judge Roberts; Attachment (1) (lin, ) (Entered: 01/03/2008)

NOTICE OF WITHDRAWAL OF APPEARANCE as to JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Mehri, Cyrus) (Entered: 04/09/2008)

MINUTE ORDER: Counsel for the parties are hereby advised that the Special Master contacted Chambers with a question about the manner in which he should file a sealed report in this case. Counsel are hereby ORDERED to file memoranda by June 9, 2008, addressing the Special Master's question. Issued by Judge Richard W. Roberts on 6/2/2008. (DCL)

Joint MOTION for Order for Procedures for the Submission of the Special Master's Report and Recommendation to be Filed Under Seal by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Mehri, Cyrus) (Entered: 06/03/2008)

1 Text of Proposed Order

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Set/Reset Deadlines: Memoranda due by 6/9/2008 (zlin, )

ORDER granting 54 Motion for Order setting certain procedures. Signed by Judge Richard W. Roberts on 6/9/08. (lin, ) (Entered: 06/10/2008)

NOTICE Regarding Filing of Sealed Materials (Report & Recommendation of Special Master Thomas A. Warren, and Exhibits A-G) by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Sprenger, Steven) (Entered: 06/12/2008)

MINUTE ORDER: It is hereby ORDERED that counsel of record file by January 9, 2009 a joint memorandum and proposed order addressing the issue raised in the Special Master's letter dated December 5, 2008, a copy of which he e-mailed to all counsel of record. Issued by Judge Richard W. Roberts on 12/17/2008. (DCL)

Letter from Thomas A. Warren. "Let this be filed" by Judge Richard W. Roberts on 12/16/08 (jf, )FILED UNDER SEAL on 3/23/2009 per Minute Order of 3/20/09 (jf, ). (Entered: 12/19/2008)

Joint MOTION for Leave to File the Parties' Joint Memorandum in Support of the Special Master's Request Under Seal by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Mehri, Cyrus) (Entered: 01/09/2009)

Joint MOTION to Seal the Special Master's December 5, 2008 Letter to the Court re 57 Letter by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW (Attachments: # 1 Text of Proposed Order)(Mehri, Cyrus) (Entered: 01/09/2009)

MINUTE ORDER: Counsel for the parties and the Special Master are hereby advised that plaintiff Joanne Augst-Johnson notified Chambers by letter of her earlier unsuccessful requests to counsel and the Special Master for information pertaining to her case. Counsel and the Special Master are hereby ORDERED to confer and file memoranda jointly or separately by March 11, 2009, addressing the requests and giving justifications, if there are any, why this issue should not be resolved by a mutually selected mediator as called for in Section X of the Settlement Agreement. Issued by Judge Richard W. Roberts on 2/11/09. (DCL)

RESPONSE TO ORDER OF THE COURT Memorandum in Response to Minute Order filed by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (Mehri, Cyrus) (Entered: 03/10/2009)

ORDER directing parties to resolve dispute in accordance with Section X of the Settlement Agreement, and order to class counsel directing service. See Order for additional information. Signed by Judge Richard W. Roberts on 3/11/2009. (DCL) (Entered: 03/11/2009)

ORDER re 57 Letter of the Special Master (FILED UNDER SEAL) Signed by Judge Richard W. Roberts on 3/21/2009. (mm) (Entered: 03/23/2009)

JOINT MEMORANDUM IN SUPPORT OF re 57 Letter from Thomas A. Warren. "Let this be filed" by Judge Richard W. Roberts on 12/16/08 (jf, )FILED UNDER SEAL on 3/23/2009 per Minute Order of 3/20/09 by JAN TYLER, ERMA TARANTINO, CHERYL GUISTINIANO, ELIZABETH REINKE, LAURIE BLACKBURN, JOANNE AUGST-JOHNSON, NANCY REEVES, DEBRA SHAW. (jf, ) (Entered: 06/19/2009)

MINUTE ORDER: It is hereby ORDERED that the parties' motions 58 59 to seal the Special Master's December 5, 2008 letter 57 to the Court and the parties' joint memorandum in support of the Special Master's request be, and hereby are, GRANTED. The clerk is DIRECTED to seal these filings consistent with the parties' requests. Issued by Judge Richard W. Roberts on 3/23/2009. (DCL)

Leave to File Denied by Judge Richard W. Roberts. Plaintiff's Motion for cm/ecf password. (jf, )

ENTERED IN ERROR.....NOTICE of Letter to the Court by JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, CHERYL GUISTINIANO, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW, INC., NANCY REEVES, ELIZABETH REINKE, DEBRA SHAW, ERMA TARANTINO, JAN TYLER (Mehri, Cyrus) Modified on 6/24/2011 (jf, ). (Entered: 06/23/2011)

NOTICE OF CORRECTED DOCKET ENTRY: Document No. re 64 Notice (Other), Notice (Other) was entered in error and counsel was instructed to refile said pleading in proper format in accordance with the rules.(Counsel should review LCvR 5.1 (b) CORRESPONDENCE WITH COURT)(jf, )

Joint MOTION for Hearing by JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, CHERYL GUISTINIANO, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW, INC., NANCY REEVES, ELIZABETH REINKE, DEBRA SHAW, ERMA TARANTINO, JAN TYLER (Attachments: # 1 Exhibit MSSB Consolidated Settlement Agreement, # 2 Exhibit Key Differences Between Original and Proposed Settlement Agreements)(Mehri, Cyrus) (Entered: 06/29/2011)

NOTICE of Appearance by Ellen Louise Eardley on behalf of All Plaintiffs (Eardley, Ellen) (Entered: 06/29/2011)

MINUTE ORDER: The parties jointly proposed to seek transfer of a related case from the Northern District of California to this Court for consideration of a proposed consolidated settlement agreement. The California case has not appeared on this Court's docket yet, but upon review of the joint filing, it may suggest that the parties viewed a status conference as a prerequisite to a transfer rather than as an adjunct to it. This Court is prepared to move forward with a transferred and consolidated related case without the need for a status conference preceding a transfer, but would contemplate a status conference as appropriate after the transfer occurs. Accordingly, the joint motion 65 for a status conference is DENIED without prejudice to renewing it after the transfer occurs. Issued by Judge Richard W. Roberts on 09/19/2011. (DCL)

ORDER directing the parties to file a joint status report on or before December 1, 2011. Signed by Judge Richard W. Roberts on 11/17/2011. (DCL) (Entered: 11/18/2011)

Set/Reset Deadlines: Joint Status Report due by 12/1/2011 (hs)

STATUS REPORT by JOANNE AUGST-JOHNSON, LAURIE BLACKBURN, CHERYL GUISTINIANO, MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW, INC., NANCY REEVES, ELIZABETH REINKE, DEBRA SHAW, ERMA TARANTINO, JAN TYLER. (Attachments: # 1 Exhibit, # 2 Exhibit, # 3 Exhibit)(Eardley, Ellen) (Entered: 12/01/2011)

ORDER directing that Civil Action No. 11-1785 be administratively closed, and directing that all future filings be filed only under Civil Action No. 06-1142. Signed by Judge Richard W. Roberts on 12/08/2011. (DCL) (Entered: 12/08/2011)