Case: Cremin v. Merrill Lynch, Pierce, Fenner & Smith Inc.

COMPLAINT; jury demand - Civil cover sheet - Appearance(s) of Mary Stowell, Linda Debra Friedman as attorney(s) for plaintiff with Rule 39 affidavits (no summons(es) issued.) (Documents: 1-1 through 1-5). (fce) Modified on 07/12/1996 (Entered: 06/24/1996)

RECEIPT regarding payment of filing fee paid; on 6/21/96 in the amount of $120.00, receipt #475884. (fce)

MINUTE ORDER of 6/28/96 by Hon. Ruben Castillo : Status hearing set for 9:30 am on 8/28/96. Parties to file a joint status report by 8/23/96. Counsel for plaintiff to notify all other parties of the Court's order. (See reverse of minute order.) Mailed notice (ar) Modified on 07/12/1996 (Entered: 07/01/1996)

ATTORNEY APPEARANCE for Natl Assn of Sec by Terri L. Reicher, James Stephen Poor, Robert L. Jackson III with Rule 39 affidavits (ar) (Entered: 08/07/1996)

ATTORNEY APPEARANCES for NY Stock Ex by David L. Lee, Jonathan P. Tomes with Rule 39 affidavits (ar) (Entered: 08/21/1996)

ATTORNEY APPEARANCE for Merrill Lynch Pierce, Joseph Gannotti by James P. DeNardo, Kristin L. Dvorsky with Rule 39 affidavits (ar) (Entered: 08/21/1996)

MOTION by NY Stock Ex to dismiss pursuant to Rule 12(b)(6) . (Temporarily unavailable for docketing.) (ar) Modified on 08/30/1996 (Entered: 08/30/1996)

MEMORANDUM by NY Stock Ex in support of its motion to dismiss pursuant to Rule 12(b)(6) [9-1]. (Temporarily unavailable for docketing.) (ar) Modified on 08/30/1996 (Entered: 08/30/1996)

MOTION by Merrill Lynch Pierce and Joseph Gannotti to dismiss cause of action and for an order compelling arbitration (Exhibits); Notice of motion. (Temporarily unavailable for docketing.) (ar) Modified on 08/30/1996 (Entered: 08/30/1996)

JOINT INITIAL STATUS REPORT; Notice of filing (ar) (Entered: 08/26/1996)

MOTION by Natl Assn of Sec to dismiss Count III of the complaint ; Notice of motion (ar) (Entered: 08/30/1996)

MEMORANDUM of law by Natl Assn of Sec in support of its motion to dismiss Count III of the complaint [12-1] (Attachments) (ar) (Entered: 08/30/1996)

APPLICATION for leave to appear pro hac vice by Russell E. Brooks for NY Stock Ex ; Order entered granting leave by Hon. Ruben Castillo (ar) (Entered: 08/29/1996)

APPLICATION for leave to appear pro hac vice by B. Kelly Kiser for NY Stock Ex ; Order entered granting leave by Hon. Ruben Castillo (ar) (Entered: 08/29/1996)

MINUTE ORDER of 8/28/96 by Hon. Ruben Castillo : Status hearing held. Plaintiff's consolidated response to defendant New York Stock Exchange's motion to dismiss [9-1], defendants Merrill Lynch and Joseph Gannotti's motion to dismiss [11-1] and for an order compelling arbitration [11-2], and defendant National Association of Securities Dealers, Inc.'s motion to dismiss Count III [12-1] is due 09/27/96. Defendants' replies are due 10/18/96. Motions [9-1] [11-1] [11-2] [12-1] will be taken under advisement and the Court will rule by mail. Discovery is hereby stayed until the Court rules on the pending motions to dismiss. Mailed notice (ar) (Entered: 08/30/1996)

MOTION by plaintiff to strike motions to dismiss of defendants Merrill Lynch, Gannotti, NYSE and NASD ; Notice of motion. (Temporarily unavailable for docketing.) (ar) (Entered: 10/15/1996)

OBJECTION by NY Stock Exchange to plaintiff's motion to strike its motion to dismiss [15-1] (Attachment) (ar) (Entered: 10/15/1996)

RESPONSE by Merrill Lynch Pierce Fenner & Smith, Inc. and Joseph Gannotti to plaintiff's motion to strike defendants' motions to dismiss [15-1] (Attachment); Notice of filing and proof of service (ar) (Entered: 10/15/1996)

MINUTE ORDER of 10/11/96 by Hon. Ruben Castillo : Plaintiff's motion to strike [15-1] motions to dismiss of defendants Merrill Lynch, Gannotti, NYSE and NASD is denied. Defendants Merrill Lynch and Gannotti's motion to dismiss [11-1] and to compel arbitration [11-2] is denied without prejudice. Plaintiff is ordered to file a response on or before 11/01/96. Defendants' replies are due 11/15/96. Court will rule by mail. (See reverse of minute order.) Mailed notice (ar) (Entered: 10/15/1996)

MINUTE ORDER of 10/17/96 by Hon. Ruben Castillo : The Court issues this order nunc pro tunc to clarify its initial minute order dated 10/11/96 [18-1]. Merrill Lynch and Gannotti's motion to dismiss [11-1] and to compel arbitration [11-2] is dismissed only in part, as to the jurisdictional challenge to Counts V-VII based on the Illinois Human Rights Act, and without prejudice. Therefore, the second sentence in the fourth paragraph should read, "Merrill Lynch and Gannotti's motion to dismiss and to compel arbitration is denied in part without prejudice." Mailed notice (ar) (Entered: 10/18/1996)

MOTION by plaintiff for leave to file memorandum in excess of 15 pages ; Notice of motion. (dmkf) (Entered: 11/12/1996)

MEMORANDUM in response to the court's order of 10/11/96 by plaintiff (Attachments). (dmkf) (Entered: 11/12/1996)

MINUTE ORDER of 11/8/96 by Hon. Ruben Castillo : Plaintiff's motion for leave to file memorandum in excess of 15 pages [20-1] is granted. Telephoned notice (dmkf) (Entered: 11/12/1996)

REPLY memorandum of law by Natl Assn of Sec in support of its motion to dismiss Count III of the complaint [12-1] (ar) (Entered: 11/15/1996)

REPLY by Merrill Lynch Pierce and Joseph Gannotti to the plaintiff's memoandum in response [18-1] to the court's order of 10/11/96; Noticeof filing and proof of service (ar) (Entered: 11/18/1996)

REPLY by NY Stock Ex on its motion to dismiss [9-1] (Exhibit) (ar) (Entered: 11/19/1996)

MINUTE ORDER of 12/29/96 by Hon. Ruben Castillo : Michael Rubin is granted leave to file an additional appearance on behalf of Marybeth Cremin. No notice (ar) (Entered: 01/03/1997)

ATTORNEY APPEARANCE for Marybeth Cremin by Michael Rubin (ar) (Entered: 01/03/1997)

RULE 39 letter mailed to Michael Rubin (ar)

MOTION by NY Stock Ex for leave to file supplemental authority (Exhibit); Notice of motion (ar) (Entered: 01/14/1997)

MINUTE ORDER of 1/13/97 by Hon. Ruben Castillo : Defendant New York Stock Exchange's motion for leave to file supplemental authority [28-1] is granted. Telephoned notice (ar) (Entered: 01/14/1997)

AMENDED COMPLAINT [1-1] by plaintiff; jury demand; adding Nancy Thomas, Anne Kaspar, Alice Moss, Linda Conti, Anne Marie Kearney; Notice of filing (fce) Modified on 02/03/1997 (Entered: 01/30/1997)

MINUTE ORDER of 1/31/97 by Hon. Ruben Castillo : Plaintiff's amended complaint [30-1] is hereby stricken, with leave to refile any appropriate amended complaint after our forthcoming opinion. Terminating plaintiffs Nancy Thomas, Anne Kaspar, Alice Moss, Linda Conti and Anne Marie Kearney. (See reverse of minute order.) Mailed notice (ar) (Entered: 02/03/1997)

EMERGENCY MOTION by Marybeth Cremin to reconsider decision to strike her amended complaint ; Notice of motion (ar) (Entered: 02/07/1997)

MINUTE ORDER of 2/7/97 by Hon. Ruben Castillo : Plaintiff's memorandum in support of her emergency motion to reconsider [32-1] is due 02/10/97. Defendants' response is due 2/14/97. Motion [32-1] will be taken under advisement and the court will rule by mail. The following language of this Court's 01/31/97 docket entry is vacated: "Terminating plaintiffs Nancy Thomas, Anne Kaspar, Alice Moss, Linda Conti and Anne Marie Kearney." Mailed notice (ar) Modified on 02/12/1997 (Entered: 02/10/1997)

PLAINTIFFS Nancy Thomas, Anne Kaspar, Alice Moss, Linda Conti and Anne M. Kearney are reinstated pursuant to minute order dated 02/07/97 [33-1]. These plaintiffs were erroneously terminated on 01/31/97. (ar)

MEMORANDUM by Marybeth Cremin in support of motion to reconsider decision to strike her amended complaint [32-1] (Attachments); Notice of filing (ar) (Entered: 02/11/1997)

RESPONSE by Merrill Lynch Pierce and Joseph Gannotti to plaintiff's memorandum in support of motion to reconsider [32-1] (Exhibit); Notice of filing (ar) (Entered: 02/24/1997)

RESPONSE by NY Stock Ex to plaintiff's emergency motion to reconsider [32-1] (Exhibits) (ar) (Entered: 02/24/1997)

MEMORANDUM of law by Natl Assn of Sec in opposition to plaintiff's motion for reconsideration [32-1]; Notice of filing (ar) (Entered: 02/24/1997)

MOTION by plaintiffs for leave to file supplemental authority (Attachment); Motion for leave to file supplemental authority. (ar) (Entered: 02/24/1997)

RESPONSE by NY Stock Ex to motion for leave to file supplemental authority [38-1] (ar) (Entered: 02/24/1997)

RESPONSE by Merrill Lynch Pierce and Joseph Gannotti to plaintiff's motion for leave to file supplemental authority [38-1] (Attachment); Notice of filing and proof of service (ar) (Entered: 02/24/1997)

MEMORANDUM OPINION AND ORDER (ar) (Entered: 02/24/1997)

MINUTE ORDER of 2/21/97 by Hon. Ruben Castillo : Status hearing set for 9:15 am on 3/11/97. Enter memorandum opinion and order. Defendant New York Stock Exchange's motion to dismiss pursuant to Rule 12(b)(6) [9-1] and defendant The National Association of Securities Dealers' motion dismiss Count III of the complaint [12-1] are granted. Defendants New York Stock Exchange and The National Association of Securities Dealers are hereby dismissed from this action with prejudice. Plaintiff's motion to reconsider [32-1] is denied. Plaintiff's motion for leave to file supplemental authority [38-1] is granted. Mailed notice (ar) (Entered: 02/24/1997)

AMENDED COMPLAINT [1-1] by plaintiffs adding plaintiffs Sonia Ingram, Angelo Covo and reinstating defendants The New York Stock Exchange and The National Association of Securities Dealers; Jury demand; Notice of filing (1 vol.) (ar) Modified on 03/07/1997 (Entered: 03/07/1997)

MOTION by Natl Assn of Sec to strike Count VI of amended complaint ; Notice of motion. (Temporarily unavailable for docketing.) (ar) (Entered: 03/14/1997)

MEMORANDUM by defendant NY Stock Ex in support of its motion to strike count VI of the amended complaint (fce) (Entered: 03/07/1997)

MOTION by NY Stock Ex to strike Count VI of the amended complaint ; Notice of motion. (Temporarily unavailable for docketing.) (ar) (Entered: 03/14/1997)

MOTION by Merrill Lynch Pierce and Joseph Gannotti for leave to file appearance of Mark S. Dichter, attorney not a member of the Northern District of Illinois Bar, instanter ; Notice of motion. (Temporarily unavailable for docketing.) (ar) (Entered: 03/14/1997)

AFFIDAVIT of Mark S. Dichter regarding defendants Merrill Lynch Pierce Fenner & Smith and Joseph Gannotti's motion for leave to file appearance of Mark S. Dichter, attorney not a member of the Northern District of Illinois Bar, instanter [47-1] (ar) (Entered: 03/14/1997)

MINUTE ORDER of 3/11/97 by Hon. Ruben Castillo : Status hearing held. Any motion for class certification is to be filed by 4/11/97. Defendants Merrill Lynch Pierce Fenner & Smith and Joseph Gannotti's motion for leave to file appearance of Mark S. Dichter, attorney not a member of the Northern District of Illinois Bar, instanter [47-1], is granted. Defendant New York Stock Exchange's motion to strike Count VI of the amended complaint [46-1] and defendant NASD's motion to strike Count VI of amended complaint [45-1] are granted for the reasons stated in open court. Count VI of the amended complaint is dismissed as to all defendants. Parties are to proceed with all discovery. Mailed notice (ar) Modified on 03/14/1997 (Entered: 03/14/1997)

ATTORNEY APPEARANCE for Merrill Lynch Pierce and Joseph Gannotti by Mark S. Dichter (ar) (Entered: 03/14/1997)

MOTION by defendants Merrill Lynch Pierce, Joseph Gannotti to deny class certification (kmt) (Entered: 04/02/1997)

MOTION by defendants Merrill Lynch Pierce, Joseph Gannotti for leave to file instanter a memorandum in excess of fifteen pages in support of defendants' motion to deny class certification. ; Notice of motion (kmt) (Entered: 04/02/1997)

MOTION by defendants Merrill Lynch Pierce, Joseph Gannotti to dismiss count VII of the amended complaint (kmt) (Entered: 04/02/1997)

MOTION by defendants Merrill Lynch Pierce, Joseph Gannotti for an order compelling arbitration of, and to dismiss all non-class claims (counts I-V, VII-XV) (kmt) (Entered: 04/02/1997)

MOTION by defendants Merrill Lynch Pierce, Joseph Gannotti to dismiss counts XIII-XV of the amended complaint for lack of jurisdiction ; Notice of motion (kmt) (Entered: 04/02/1997)

TRANSCRIPT of proceedings for the following date(s): 03/11/97 before Honorable Ruben Castillo (fce) (Entered: 04/02/1997)

MINUTE ORDER of 4/1/97 by Hon. Ruben Castillo : Plaintiff's response to defendants Merrill Lynch and Joseph Gannotti's motion to dismiss count VII of the amended complaint [52-1] is due 05/02/97. Defendants' reply to answer brief due 5/12/97. Motion will be taken under advisement and the court will rule by mail. Mailed notice (kmt) (Entered: 04/02/1997)

MINUTE ORDER of 4/1/97 by Hon. Ruben Castillo : Defendants merrill Lynch and Jospeh Gannotti's motion for an order compelling arbitration of [54-1] and to dismiss all non-class claims (counts I-V, VII-XV) [54-2] and their motion to dismiss counts XIII-XV of the amended complaint for lack of jurisdiction [55-1] will be held in abeyance until further court order. Mailed notice (kmt) (Entered: 04/02/1997)

MINUTE ORDER of 4/1/97 by Hon. Ruben Castillo : Granting defendants' motion for leave to file instanter a memorandum in excess of fifteen pages in support of defendants' motion to deny class certification [58-1]. The court will consider defendants Merrill Lynch and Joseph Gannotti's motion to deny class certification as a response to plaintiff's motion for class certification. Plaintiff's motion for class certification and supporting memorandum is due 4/15/97 Defendants' supplemental response, if any, due 05/12/97. Plaintiff's reply is due 05/30/97. Motion will be taken under advisement and the court will rule by mail. Status hearing set to 9:00 a.m. on 5/16/97 . Mailed notice (kmt) (Entered: 04/02/1997)

MEMORANDUM by defendants Merrill Lynch Pierce, Joseph Gannotti in support of motion to deny class certification [57-1] (Exhibit) (kmt) (Entered: 04/02/1997)

MOTION by plaintiffs for leave to file memorandum in excess of 15 pages ; Notice of motion. (fce) (Entered: 04/18/1997)

MINUTE ORDER of 4/17/97 by Hon. Ruben Castillo : Plaintiffs' motion for leave to file memorandum in excess of 15 pages [61-1] is granted. Telephoned notice (fce) (Entered: 04/18/1997)

PETITION by plaintiffs for class certification (fce) (Entered: 04/18/1997)

MEMORANDUM by plaintiffs in support of motion for class certification [63-1](Attachments) (fce) (Entered: 04/18/1997)

RESPONSE by plaintiffs in opposition to defendants' motion to dismiss count VII of the amended complaint [52-1]; Notice of filing (ar) (Entered: 05/06/1997)

MOTION by plaintiff to compel Merrill Lynch to comply with their discovery requests (Exhibit); Notice of motion (fce) (Entered: 05/16/1997)

MOTION by defendants Merrill Lynch Pierce, Joseph Gannotti for leave to file instanter appearances of substitute local counsel (Attachments); Notice of motion (fce) (Entered: 05/16/1997)

MOTION by defendants Merrill Lynch Pierce, Joseph Gannotti for leave to file instanter brief in excess of 15 pages ; Notice of motion (fce) (Entered: 05/16/1997)

RESPONSE by defendants Merrill Lynch, Pierce, Fenner & Smith Incorporated and Joseph Gannotti to plaintiff's petition for class certification [63-1] (Attachments) (Exhibits). (fce) (Entered: 05/16/1997)

REPLY by Merrill Lynch Pierce and Joseph Gannotti in support of motion to dismiss count VII of the amended complaint [52-1]; Notice of filing (ar) (Entered: 05/19/1997)

DECLARATION by Ralph DeSalvo (Exhibit); Notice of filing (ar) (Entered: 05/19/1997)

DECLARATION by James Lusk (Attachments) (ar) (Entered: 05/19/1997)

AFFIDAVIT of Thomas O. Muller (ar) (Entered: 05/19/1997)

DECLARATION by William Murray (ar) (Entered: 05/19/1997)

AFFIDAVIT of Jerome A. Rosenthal (ar) (Entered: 05/19/1997)

AFFIDAVIT of Robert D. Sherman (ar) (Entered: 05/19/1997)

AFFIDAVIT of James F. Shoaf (ar) (Entered: 05/19/1997)

DECLARATION by Joan G Haworth Ph.D. (Attachments) (ar) (Entered: 05/19/1997)

DECLARATION by John Rapanos (ar) (Entered: 05/19/1997)

MINUTE ORDER of 5/15/97 by Hon. Ruben Castillo : Plaintiffs' motion to compel [66-1] is granted. Defendants' motion for leave to file instanter appearances of substitute local counsel [67-1] is granted. Jerold S. Solovy, Howard S. Suskin and Catherine P. Wassberg are granted leave to file their appearances on behalf of defendants Merrill Lynch Pierce Fenner & Smith, Inc., and Joseph Grannotti. Defendants' motion for leave to file instanter brief in excess of 15 pages [68-1] is granted. Plaintiffs' reply to their motion for class certification [63-1] is due 6/30/97. Status hearing reset for 6/27/97 at 9:15 a.m. Mailed notice (fce) (Entered: 05/16/1997)

APPLICATION for leave to appear pro hac vice by Andrew J. Schaffran for defendants Joseph Gannotti and Merrill Lynch, Pierce, Fenner & Smith, Inc. ; Order entered granting leave by Hon. Ruben Castillo (fce) (Entered: 05/16/1997)

RESPONSE by defendants Joseph Gannotti, Merrill Lynch Pierce to plaintiffs' petition for class certification; Notice of filing (eav) (Entered: 05/22/1997)

ATTORNEY APPEARANCE for defendants Joseph Gannotti, Merrill Lynch Pierce by Jerold Sherwin Solovy, Howard Steven Suskin, Catherine Patricia Wassberg (eav) (Entered: 05/22/1997)

NOTICE by defendants Joseph Gannotti, Merrill Lynch Pierce of filing attorney appearance [83-1] (eav) (Entered: 05/22/1997)

STIPULATION for entry of protective order (eav) (Entered: 06/25/1997)

AGREED PROTECTIVE ORDER (eav) (Entered: 06/25/1997)

MINUTE ORDER of 6/24/97 by Hon. Ruben Castillo : Enter agreed protective order. Pursuant to Fed.R.Civ.P. 26(c) this Court finds good cause for the entry of the agreed protective order. Mailed notice (eav) (Entered: 06/25/1997)

MINUTE ORDER of 6/25/97 by Hon. Ruben Castillo : Status hearing set for 6/27/97 is vacated. Plaintiff's oral request for an extension of time to file a reply brief is granted without objection. [0-1] Plaintiffs' reply to their motion for class certification [63-1] is due 7/21/97. Motion will be taken under advisement and the court will rule by mail. Mailed notice (eav) (Entered: 06/26/1997)

ORAL MOTION by plaintiffs for an extension of time to file a reply brief (eav)

AGREED MOTION by plaintiffs for extension of time to file reply memorandum in support of motion for class certification ; Notice of motion (eav) (Entered: 07/17/1997)

MINUTE ORDER of 7/16/97 by Hon. Ruben Castillo : Plaintiffs' agreed motion for extension of time to file reply memorandum in support of motion for class certification is granted. [89-1] Plaintiffs' reply to their motion for class certification [63-1] is due 8/4/97. Motion will be [63-1] taken under advisement and the court will rule by mail. Mailed notice (eav) (Entered: 07/17/1997)

MINUTE ORDER of 8/1/97 by Hon. Ruben Castillo : Telephone status conference held and continued to 8/29/97 at 9:45 a.m. By agreement between the parties all pending motions [52-1], [54-1], [54-2], [55-1], [63-1] are withdrawn without prejudice with full leave to reinstate. Mailed notice (eav) (Entered: 08/04/1997)

SCHEDULE set on 8/29/97 by Hon. Ruben Castillo : Telephone status hearing held and continued to 8:45 a.m. on 10/7/97. Mailed notice (rao)

SCHEDULE set on 10/7/97 by Hon. Ruben Castillo : Telephone status conference held and continued to 8:45 a.m. on 11/6/97. Mailed notice (rao)

SCHEDULE set on 11/6/97 by Hon. Ruben Castillo : Telephone status conference held in chambers and continued to 8:45 a.m. on 12/11/97. Mailed (rao)

NOTICE by plaintiff Anne Kaspar of change lien (Exhibits) (eav) (Entered: 11/21/1997)

SCHEDULE set on 12/11/97 by Hon. Ruben Castillo : Telephone status hearing held. Status hearing set for 9:00 a.m. on 1/28/98. in open court. Parties to file a joint motion for preliminary approval before the 1/28/98 status hearing. Mailed notice (rao)