8 U.S. District Court Civil Docket 11/12/2013

US District Court Civil Docket as of November 12, 2013 Retrieved from the court on June 12, 2014

U.S. District Court Western District of Tennessee (Memphis)

CIVIL DOCKET FOR CASE #: 2:09-md-02009-SHM-dkv

IN RE: Regions Morgan Keegan Securities, Derivative and Date Filed: 02/17/2009 Employee Retirement Income Security Act (ERISA) Litigation - Jury Demand: None - MDL 2009 Nature of Suit: 850 Assigned to: Judge Samuel H. Mays, Jr

Securities/Commodities

Referred to: Magistrate Judge Diane K. Vescovo

Jurisdiction: Federal Question Cause: 15:77 Securities Fraud

In Re

Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Security Act (ERISA) Litigation

represented by Adam Julien Gana NAPOLI BERN RIPKA & ASSOCIATES, LLP 350 Fifth Avenue Suite 7413 New York, NY 10118 212-267-3700 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Albert C. Harvey LEWIS THOMASON One Commerce Square 40 S. Main Street 29th Floor Memphis, TN 38103 901-525-8721 Fax: 901-525-6722 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Andrew Berke BERKE BERKE & BERKE 420 Frazier Avenue P.O. Box 4747 Chattanooga, TN 37405 423-266-5171 Fax: 423-265-5307 Email: [email protected] LEAD ATTORNEY

ATTORNEY TO BE NOTICED

B. J. Wade SKOUTERIS & MCGEE, PLLC 50 N. Front Street, Suite 920 Memphis, TN 38103 901-526-2254 Fax: 901-523-2232 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Charles M Thompson LAW OFFICE OF CHARLES M. THOMPSON 1401 Doug Baker Blvd. Suite 107-135 Birmingham, AL 35242 205-995-0068 Fax: 205-995-0078 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Dale H. Tuttle GLASSMAN EDWARDS WYATT TUTTLE & COX, P.C. 26 N. Second Street Memphis, TN 38103 901-527-4673 Fax: 901-521-0940 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Derek W. Loeser KELLER ROHRBACK, LLP 1201 3rd Avenue Suite 3200 Seattle, WA 98101 206-623-1900 Fax: 206-623-3384 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Ellen M. Doyle STEMBER FEINSTEIN DOYLE PAYNE & KRAVEC, LLC 429 Forbes Avenue

1705 Allegheny Building Pittsburgh, PA 15219 412-281-8400 Fax: 412-281-1007 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Emily C. Komlossy Komlossy Law, P.A. 2131 Hollywood Boulevard Ste. 408 Hollywood, FL 33020 954-842-2021 Fax: 954-416-6223 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Frank L. Watson , III WATSON BURNS, LLC 253 Adams Ave Memphis, TN 38103 901-578-3528 Fax: 901-578-2649 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Grace Robinson Murphy MAYNARD COOPER & GALE AmSouth/ Harbert Plaza 1901 Sixth Avenue North Suite 2400 Birmingham, AL 35203-2602 205-254-1170 Fax: 205-254-1999 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Harold Naill Falls , Jr. FALLS & VEACH 1143 Sewanee Rd. Nashville, TN 37220 615-242-1800 Fax: 615-242-1823 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

J. Timothy Francis JAMES L. NORTH & ASSOCIATES 300 Richard Arrington Jr. Blvd., North Suite 700 Birmingham, AL 35203 205-251-0252 Fax: 205-251-0255 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

James G. Stranch , III BRANSTETTER STRANCH & JENNINGS, PLLC 227 2nd Avenue North 4th Floor Nashville, TN 37201 615-254-8801 Fax: 615-255-5419 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jeffrey A. Lee MAYNARD COOPER & GALE, PC 1901 Sixth Ave N. Ste 2400 Birmingham, AL 35203 205-254-1088 Fax: 205-254-1999 Email: [email protected] TERMINATED: 11/03/2011 LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Jeffrey B. Maletta K & L GATES LLP 1601 K. Street, N.W. Washington, DC 20006-1600 202-778-9062 Fax: 202-778-9100 Email: [email protected] TERMINATED: 03/11/2010 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jerome A. Broadhurst

APPERSON CRUMP, PLC 6070 Poplar Ave. Sixth Floor Memphis, TN 38119-3954 901-756-6300 Fax: 901-435-5133 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

John J. Carey CAREY & DANIS, L.L.C. 8235 Forsyth Blvd. Ste. 1100 St. Louis, MO 63105 314-725-7700 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

John David Collins MAYNARD COOPER & GALE, PC AmSouth/ Harbert Plaza 1901 6th Avenue North Suite 2400 Birmingham, AL 35203-2602 205-254-1104 Fax: 205-254-1999 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

John A. Cremer CREMER & CREMER 251 East Ohio St. Ste. 915 Indianapolis, IN 46204 317-636-8182 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

John McQuiston , II EVANS PETREE, PC 1000 Ridgeway Loop Road Suite 200 Memphis, TN 38120 901-525-6781 Fax: 901-521-0681

Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

John B. Veach , III FALLS & VEACH 20 Cedarcliff Road Asheville, NC 28803 828-277-6001 Fax: 828-277-6088 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Kenneth C Johnston Kane Russell et al 1601 Elm Street Ste 3700 Dallas, TX 75201 214-777-4200 Fax: 214-777-4299 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Kevin C. Logue PAUL HASTINGS JANOFSKY & WALKER, LLP- New York 75 East 55th Street New York, NY 10022 212-318-6223 Fax: 212-230-7620 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Mark P. Chalos LIEFF CABRASHER HEIMANN & BERNSTEIN, LLP One Nashville Place 150 Fourth Ave., North Ste. 1550 Nashville, TN 37219-2423 615-313-9000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Martin W. Zummach SPARKMAN ZUMMACH, P.C.

P.O. Box 266 Southaven, MS 38671-0266 662-349-6900 Email: [email protected] TERMINATED: 07/03/2012 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Matthew M. Curley BASS BERRY & SIMS PLC 150 Third Avenue South Ste. 2800 Nashville, TN 37201 615-742-6200 Email: [email protected] TERMINATED: 11/02/2011 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Paul J. Dobrowski DOBROWSKI LARKIN & JOHNSON, LLP 4601 Washington Avenue Suite 300 Houston, TX 77007 713-659-2900 Email: [email protected] LEAD ATTORNEY

Peter H. Burke BURKE HARVEY & FRANKOWSKI, LLC 2151 Highland Avenue South Suite 120 Birmingham, AL 35205 205-930-9091 Fax: 205-930-9054 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Peter S. Fruin MAYNARD COOPER & GALE, PC AmSouth/ Harbert Plaza 1901 6th Avenue North Suite 2400 Birmingham, AL 35203-2602 205-254-1068 Fax: 205-254-1999 Email: [email protected]

LEAD ATTORNEY ATTORNEY TO BE NOTICED

Randall K. Pulliam CAULEY BOWMAN CARNEY & WILLIAMS, PLLC 11311 Arcade Dr. Suite 200 Little Rock, AR 72211 501-312-8500 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Richard J. Davis MAYNARD COOPER & GALE, PC AmSouth/ Harbert Plaza 1901 6th Avenue North Suite 2400 Birmingham, AL 35203-2602 205-254-1872 Fax: 205-254-1999 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Richard M. Heimann LIEFF CABRASER HEIMANN & BERNSTEIN, LLP Embarcadero Center West 275 Battery St. 30th Floor San Francisco, CA 94111-3339 415-956-1000 Fax: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Richard A. Lockridge LOCKRIDGE GRINDAL NAUEN, PLLP 100 Washington Ave., South Ste. 2200 Minneapolis, MN 55401 612-339-6900 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Scott T. Beall

LAW OFFICES OF SCOTT T. BEALL 6800 Poplar Avenue Suite 215 Memphis, TN 38138 901-681-0500 Fax: 901-374-9291 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Scott S Brown MAYNARD COOPER & GALE PC 2400 AmSouth/Harbert Plaza 1901 Sixth Avenue North Birmingham, AL 35203-2618 205-254-1232 Fax: 205-254-1999 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Timothy A. Duffy KIRKLAND & ELLIS, LLP - Chicago 300 North LaSalle Street Chicago, IL 60654 312-861-2445 Fax: 312-861-2200 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

William B. Wahlheim , Jr. MAYNARD COOPER & GALE, PC AmSouth/ Harbert Plaza 1901 6th Avenue North Suite 2400 Birmingham, AL 35203-2602 205-254-1088 Fax: 205-254-1999 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Asa R. Danes SEEGER WEISS LLP 77 Water Street 26th Floor New York, NY 10005 212-584-0700 Fax: 212-584-0799

Email: [email protected] TERMINATED: 06/25/2010 ATTORNEY TO BE NOTICED

J. Gerard Stranch , IV BRANSTETTER STRANCH & JENNINGS, PLLC 227 2nd Avenue North 4th Floor Nashville, TN 37201 615-254-8801 Fax: 615-255-5419 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Karin B. Swope represented by J. Gerard Stranch , IV TERMINATED: 06/03/2011

(See above for address) TERMINATED: 06/14/2011 ATTORNEY TO BE NOTICED

Plaintiff

J. Samir Sulieman represented by David J. Goldsmith LABATON SUCHAROW, LLP 140 Broadway New York, NY 10005 212-907-0700 Fax: 212-818-0477 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Nicole M. Zeiss LABATON SUCHAROW LLP 140 Broadway New York, NY 10005 212-907-0700 Fax: 212-818-0477 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Joel H. Bernstein LABATON SUCHAROW, LLP 140 Broadway New York, NY 10005 212-907-0700 Fax: 212-818-0477 Email: [email protected]


J. Gerard Stranch , IV (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

C. Fred Daniels represented by David J. Goldsmith (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Nicole M. Zeiss (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Joel H. Bernstein (See above for address) ATTORNEY TO BE NOTICED


Plaintiff

The Lion Fund, L.P. represented by David J. Goldsmith (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED




Plaintiff

Larry Lattimore represented by David J. Goldsmith (See above for address) LEAD ATTORNEY





V.

Movant

RMK Investor Group represented by J. Gerard Stranch , IV (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant

Ken Alderman represented by Steven Lawrence Polk SUTHERLAND ASBILL & BRENNAN LLP 999 Peachtree Street N.E. Suite 2300 Atlanta, GA 30309-3996 404-853-8225 Fax: 404-853-8600 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED


W. Brantley Phillips , Jr. BASS BERRY & SIMS PLC- Nashville 150 3rd Avenue South Suite 2800 Nashville, TN 37201 615-742-7723

Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Sherry Anthony

Defendant

Candice W. Bagby

Defendant

George W. Bryan

Defendant

John Buchanan

Defendant

John Daniel

Defendant

Sharon Davis TERMINATED: 06/04/2013

Defendant

Earnest W. Deavenport, Jr.

Defendant

Alan Deer

Defendant

Harry Dinken

Defendant

represented by J. Gerard Stranch , IV (See above for address) ATTORNEY TO BE NOTICED









David B. Edmonds

Defendant

Irene Esteves

Defendant

James S.M. French

Defendant

Chris Glaub

Defendant

O.B. Grayson Hall, Jr.

Defendant

Martha R. Ingram

Defendant

Ronnie Jackson

Defendant

Bryan Jordan

Defendant

Tim Laney

Defendant

Susan Martinez TERMINATED: 11/23/2011











Defendant

Susan W. Matlock

Defendant

W. Charles Mayer, III

Defendant

Tusa McNary

Defendant

Claude B. Nielsen

Defendant

Regions Bank

Defendant

Regions Financial Corporation

Defendant

C. Dowd Ritter

Defendant

David Rupp











Defendant

Jill Shelton

Defendant

Rusty Stephenson TERMINATED: 11/23/2011

Defendant

Lea Stokes

Defendant

Lee J. Styslinger, III

Defendant

Tom Thompson

Defendant

David Turner

Defendant

Barbara H. Watson TERMINATED: 11/23/2011

Defendant

William C. Wells, II

Defendant

Alton E. Yother

Defendant

Morgan Asset Management, Inc.








represented by Britt King Latham BASS BERRY & SIMS PLC- Nashville 150 3rd Avenue South Suite 2800 Nashville, TN 37201 615-742-6200 Fax: 615-742-2847 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Peter S. Fruin (See above for address)

LEAD ATTORNEY ATTORNEY TO BE NOTICED


Scott S Brown (See above for address) ATTORNEY TO BE NOTICED

W. Brantley Phillips , Jr. (See above for address) ATTORNEY TO BE NOTICED

Defendant

Carter E. Anthony represented by R. Harold Meeks , Jr. JAMES BATES BRANNAN GROVER LLP The Lenox Building 3339 Peachtree Road NE Suite 1700 Atlanta, GA 30326 404-997-6020 Fax: 404-997-6021 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Amanda Noelle Wilson JAMES BATES BRANNAN GROVER LLP The Lenox Building 3339 Peachtree Road NE Suite 1700 Atlanta, GA 30326 404-997-6020 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED


Defendant

James C. Kelsoe, Jr. represented by J. Gerard Stranch , IV (See above for address) ATTORNEY TO BE NOTICED

Joseph Brent Crace , Jr. BASS BERRY & SIMS PLC- Nashville 150 3rd Avenue South Suite 2800 Nashville, TN 37201 615-742-7896 Fax: 615-742-2700 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

MK Holding, Inc. represented by Peter S. Fruin (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Britt King Latham (See above for address) ATTORNEY TO BE NOTICED


Joseph Brent Crace , Jr. (See above for address) ATTORNEY TO BE NOTICED

Michael A. Brady BASS BERRY & SIMS PLC- Memphis The Tower at Peabody Place 100 Peabody Place Ste. 900 Memphis, TN 38103 901-543-5900 Fax: 901-543-5999 Email: [email protected] ATTORNEY TO BE NOTICED

Michael L. Dagley BASS BERRY & SIMS PLC 150 Third Avenue South Ste. 2800 Nashville, TN 37201 615-742-6200 Fax: 615-742-2803 Email: [email protected] ATTORNEY TO BE NOTICED

Shepherd D. Tate

BASS BERRY & SIMS PLC- Memphis The Tower at Peabody Place 100 Peabody Place Ste. 900 Memphis, TN 38103 901-543-5900 Fax: 901-543-5999 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Allen B. Morgan, Jr. represented by Peter S. Fruin (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Morgan Keegan & Company, Inc. represented by Peter S. Fruin (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Britt King Latham (See above for address) ATTORNEY TO BE NOTICED


Joseph Brent Crace , Jr. (See above for address) ATTORNEY TO BE NOTICED

Michael A. Brady (See above for address) ATTORNEY TO BE NOTICED

Michael L. Dagley (See above for address) ATTORNEY TO BE NOTICED

Shepherd D. Tate (See above for address) ATTORNEY TO BE NOTICED


Defendant

Brian B. Sullivan



Defendant

RMK Multi-Sector High Income Fund, Inc.


Defendant

Joseph C. Weller represented by Peter S. Fruin (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

RMK High Income Fund, Inc.

Defendant

RMK Strategic Income Fund, Inc.

Defendant

RMK Advantage Income Fund, Inc.

Defendant




Helios Select Fund, Inc. represented by J. Gerard Stranch , IV

(See above for address) ATTORNEY TO BE NOTICED




represented by Christopher S. Campbell HARRIS SHELTON DUNLAP COBB & RYDER One Commerce Square Ste. 2700 Memphis, TN 38103 901-525-1455 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant

HELIOS Select Short Term Bond Fund, Inc.

Defendant

HELIOS Select Intermediate Bond Fund

Defendant

HELIOS Select High Income Fund

Claimant

Kathy Newsome

David P. Neuman STOLTMANN LAW OFFICES, PC 10 S. LaSalle Street Suite 3500 Chicago, IL 60603 312-332-4200 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Date Filed # Docket Text

02/17/2009 1 (certified) TRANSFER ORDER, MDL 2009. Cases transferred to the WDTN/WD. (Attachments: # 1 Panel Letter to the Clerk of WDTN/WD)(ehg) (Entered: 02/17/2009)

02/23/2009 2 Case transferred in from USDC, District of Alabama Northern (2:08-cv-1909), Bentley et al v. Morgan Keegan & Company, Inc. Assigned WDTN case # 2:09-cv-

2099. (ehg) (Entered: 02/24/2009)

05/06/2009 3 ** This entry has been corrected. SEE "Notice of Correction" @ Document #5 ** Case transferred in from USDC, Northern District of Alabama (3:08cv00816) (Woods, et al. vs Morgan Asset..). Assigned WDTN case #09-2280.. (ehg) Modified on 5/8/2009 (ehg). (Entered: 05/06/2009)

05/06/2009 7 (certified) CONDITIONAL TRANSFER ORDER (CTO-3); case to transfer in from the Northern District of Alabama (Greg E. Heim vs Morgan Keegan, Inc., et al; 2:09- 623). (Attachments: # 1 Panel Letter)(ehg) (Entered: 08/25/2009)

05/08/2009 4 Case transferred in from USDC, Northern District of Alabama (2:09-cv-00623 ; Heim vs Morgan Keegan, Inc. et al). Assigned WDTN case # 09-2286. (ehg) (Entered: 05/08/2009)

05/08/2009 5 Notice of Correction to re 3 Docket Annotation : Case transferred in from USDC, Middle District of Tennessee (Nashville) (3:08-0816 ; Woods, et al vs Morgan Asset, et al). Assigned WDTN case # 09-2280. (ehg) Modified on 5/19/2009 (ehg). (Entered: 05/08/2009)

06/10/2009 8 (certified) TRANSFER ORDER ; Case to transfer in from Northern District Alabama (Ernest Kramer vs Regions Bank, et al, ; 2:08-2409). (Attachments: # 1 Panel Letter)(ehg) Modified on 8/25/2009 (ehg). (Entered: 08/25/2009)

06/26/2009 6 Case transferred in from USDC, Northern District of Alabama (Kramer vs Regions Bank, et al., case # 2:08-cv-2409). Assigned WDTN case # 2:09-cv-2408. (ehg) (Entered: 07/07/2009)

08/10/2009 9 (certified) TRANSFER ORDER ; Case to transfer in from the Eastern District of Louisiana, case #2:09-3275 (Sandmann Davies et al vs Morgan Asset Management, Inc.); and Case to transfer in from the Southern District of Texas, case #4:09-1157 (John J. Garrett, et al vs Regions Financial Corp, et al). (Attachments: # 1 Panel Letter)(ehg) (Entered: 08/25/2009)

08/13/2009 10 Case transferred in from the USDC, Eastern District of Louisiana (Sandmann Davies, et al vs Morgan Asset Management, Inc.; 2:09-3275). Assigned WDTN case # 2:09- cv-2520. (ehg) (Entered: 08/25/2009)

08/20/2009 11 (certified) CONDITIONAL TRANSFER ORDER (CTO-7); Case to transfer in from the Southern District of New York, case # 1:09-5308 (Stewart Goddard Family Living Trust U/A et al vs Morgan Keegan & Co., Inc. et al). (Attachments: # 1 Panel Letter). (Attachments: # 1 Panel Letter)(ehg) (Entered: 08/25/2009)

08/25/2009 12 Case transferred in from the USDC, Southern District of New York (Stewart Goddard Family Living Trust U/A et al vs Morgan Keegan & Co. et al; case # 1:09-5308). Assigned WDTN case # 2:09-cv-2544. (ehg) (Entered: 08/25/2009)

08/28/2009 13 Case transferred in from the USDC, S/D Texas (John J. Garrett, et al. vs Regions Financial Corp., et al., case # 4:09-1157). Assigned WDTN case # 2:09-cv-2557. (ehg) (Entered: 09/03/2009)

11/18/2009 14 NOTICE of Appearance by John McQuiston, II on behalf of Regions Bank Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:07-cv-02830-SHM-dkv(McQuiston, John) (Entered: 11/18/2009)

11/23/2009 15 (certified) CONDITIONAL TRANSFER ORDER (CTO-10); Case to transfer in from the E/D Arkansas, case #4:09-817 (Alphonse M. Hiegle, et al vs Morgan Keegan & Co., Inc.). (ehg) (Entered: 11/23/2009)

11/27/2009 16 Letter from Clerk of Court, Eastern District of Arkansas re 15 . This case was closed in the ED/AR on 11/20/2009. Order remanding the case to the Faulkner County, AR Circuit Court is attached. (ehg) (Entered: 12/02/2009)

12/02/2009 17 (certified) TRANSFER ORDER ; (1) Case to transfer in from the Middle District of Alabama, Case # 1:09-764, Jerry W. Cobb, et al vs Regionas Bank, et al. (2) Case to transfer in from the Northern District of Alabama, Case #2:09-1485, Donald J. Schilleci, et al. vs Morgan Keegan & Co., Inc., et al. (ehg) (Entered: 12/02/2009)

12/02/2009 18 ORDER VACATING CONDITIONAL TRANSFER ORDER re 15 . Signed by Clerk of the Panel on 12/2/2009. (ehg) (Entered: 12/02/2009)

12/03/2009 19 Case transferred in from the USDC, Middle District of Alabama, (Cobb, et al vs Regions Bank, et al, case # 1:09-764), assigned WDTN Case # 09-2806-Ma. (ehg) (Entered: 01/04/2010)

01/05/2010 20 MOTION for Kirsten D. Hedberg Leave to Appear Pro Hac Vice as counsel for James H. Frazier.(proposed order submitted) (Attachments: # 1 Affidavit and Certificate of Good Standing, # 2 Rec #M121901)Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02260-SHM-dkv(jae) (Entered: 01/06/2010)

01/08/2010 21 Case transferred in from the USDC, Northern District of Alabama (Donald J. Schilleci, I et al. vs Morgan Keegan & Co., Inc., et al. Case # 2:09cv1485).Assigned WDTN Case # 10-2011-Ma.(ehg) (Entered: 01/08/2010)

01/08/2010 22 MOTION to Dismiss by Regions Bank. (Attachments: # 1 Memorandum, # 2 Exhibit Exh. A-Notice of Related Actions, # 3 Exhibit Exh B-Notice of Related Actions, # 4 Exhibit Exh C-Transfer Order, # 5 Exhibit Exh D-Notice of Tag-along, # 6 Exhibit Exh E-Order in Fannie Mae)Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02422- SHM-dkv, 2:08-cv-02533-SHM-dkv, 2:09-cv-02408-SHM-dkv(McQuiston, John) (Entered: 01/08/2010)

01/11/2010 23 ORDER granting 20 Motion for Leave to Appear Pro Hac Vice as to Kristen D. Hedberg. Signed by Judge Samuel H. Mays, Jr on 1/11/2010. (Mays, Samuel) (Entered: 01/12/2010)

01/20/2010 24 (certified) CONDITIONAL TRANSFER ORDER (CTO-12); case to transfer in from the ED/Arkansas (William A. Strong, et al. vs Morgan Asset Mangement, Inc., et al.; 4:09-905). (Attachments: # 1 Panel Letter)(ehg) (Entered: 01/20/2010)

01/22/2010 25 Case transferred in from the Eastern District of Arkansas (William A. Strong, et al et al. vs Morgan Asset Management, Inc., et al; 4:09-905). Assigned WDTN case # 10- 2046-Ma. (ehg) (Entered: 01/28/2010)

02/12/2010 26 MOTION to Dismiss by J. Kenneth Alderman, Carter E. Anthony, G. Douglas Edwards, Thomas R. Gamble, David M George, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Memorandum)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(Polk, Steven) (Entered: 02/12/2010)

02/15/2010 27 MOTION for Leave to File Reply Memorandum in Support of Regions Bank's Motion to Dismiss (proposed order submitted) by Regions Bank. (Attachments: # 1 Memorandum, # 2 Proposed Reply Memorandum)Associated Cases: 2:09-md-02009- SHM, 2:08-cv-02422-SHM-dkv, 2:08-cv-02533-SHM-dkv, 2:09-cv-02408-SHM-dkv(McQuiston, John) (Entered: 02/15/2010)

03/04/2010 28 NOTICE of Appearance by Kevin C. Logue on behalf of Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation (Logue, Kevin) (Entered: 03/04/2010)

03/04/2010 29 Corporate Disclosure Statement by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Logue, Kevin) (Entered: 03/04/2010)

03/04/2010 30 NOTICE of Appearance by Asa R. Danes on behalf of Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Danes, Asa) (Entered: 03/04/2010)

03/10/2010 31 MOTION to Withdraw as Attorney Proposed Order Submitted by Morgan Keegan Select Fund, Inc., RMK Multi-Sector High Income Fund, Inc.. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830- SHM-dkv, 2:08-cv-02071-SHM-dkv(Maletta, Jeffrey) (Entered: 03/10/2010)

03/11/2010 32 ORDER GRANTING 31 Motion to Withdraw as Attorney. Attorney Jeffrey B. Maletta terminated; Nicole A. Baker. Signed by Judge Samuel H. Mays, Jr on 3/11/2010. (Mays, Samuel) (Entered: 03/11/2010)

03/15/2010 33 MOTION for Leave to File Reply Brief (Proposed Order Submitted to Judge) by C. Fred Daniels. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02452-SHM-dkv, 2:08-cv-02453-SHM-dkv, 2:08-cv-02455-SHM-dkv, 2:08-cv-02456-SHM-dkv(Mitchell, Justin) (Entered: 03/15/2010)

03/16/2010 34 ORDER granting 33 Motion for Leave to File. Signed by Judge Samuel H. Mays, Jr on 3/16/2010. (Mays, Samuel) (Entered: 03/16/2010)

04/05/2010 35 (certified) TRANSFER ORDER. These cases have been requested from the following district courts pursuant to 28:1407: (1) Middle District of Tennessee, case #3:09-1069, and case #3:09-1070. (2) Northern District of Texas, case #3:09-2255. (ehg) (Additional attachment(s) added on 4/6/2010: # 1 main document) (ehg). (Entered: 04/06/2010)

04/13/2010 36 Case transferred in from the Northern District of Texas (Purdue Ave Investors LP, et al vs Morgan Keegan & Co Inc, et al; 3:09cv-2255). Assigned WDTN case # 10-2260- Ma. (ehg) (Entered: 04/19/2010)

04/16/2010 37 Case transferred in from the Middle District of Tennessee (Freeman et al vs Regions Bank et al; 3:09-1069). Assigned WDTN case # 10-2278-Ma. (ehg) (Entered: 04/19/2010)

04/16/2010 38 Case transferred in from the Middle District of Tennessee (Karrels vs Morgan Asset Management Inc, et al (3:09-cv-1070). Assigned WDTN case # 10-2279-Ma. (ehg) (Entered: 04/19/2010)

05/28/2010

39 REPLY to Response to Motion re (238 in 2:07-cv-02784-SHM-dkv) Response in Opposition to Motion,,,, filed by J. Kenneth Alderman, Carter E. Anthony, G. Douglas Edwards, Thomas R. Gamble, David M George, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(Polk, Steven) (Entered: 05/28/2010)

06/07/2010 40 (certified) TRANSFER ORDER; the actions listed on Schedule A are to be transferred to the USDC, WDTN pursuant to 28:1407. (Attachments: # 1 Panel Letter)(ehg) (Entered: 06/07/2010)

06/10/2010 41 Case transferred in from Northern District of Alabama (Agnes Donalson Roberts, etc. vs Regions Bank, et al ; 2:10-404). Assigned WDTN case # 10-2440-Ma. (ehg) (Entered: 06/16/2010)

06/10/2010 42 Case transferred in from the Eastern District of Tennessee (J. Scott Bolton, et al. vs Morgan Asset Management, Inc., et al.; 3:10-1). Assigned WDTN case # 10-2439-Ma. (ehg) (Entered: 06/16/2010)

06/24/2010 43 MOTION to Withdraw as Attorney Asa Danes by RMK Multi-Sector High Income Fund, Inc.. (Attachments: # 1 Declaration of Asa Danes, # 2 Certificate of Consultation, # 3 Certificate of Service)Associated Cases: 2:09-md-02009-SHM, 2:07- cv-02830-SHM-dkv(Logue, Kevin) (Entered: 06/24/2010)

06/25/2010 44 ORDER granting 43 Motion to Withdraw as Attorney. Attorney Asa R. Danes terminated. Signed by Judge Samuel H. Mays, Jr on 6/25/2010. (Mays, Samuel) (Entered: 06/25/2010)

07/02/2010 45 MOTION to Consolidate Cases, MOTION for Appointment as Lead Plaintiff, MOTION to Appoint Counsel by RMK Investor Group. (Attachments: # 1 Memorandum of Law in Support, # 2 Affidavit Declaration of J. Gerard Stranch, IV, in Support)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 07/02/2010)

07/12/2010 46 Case transferred in from Middle District of Tennessee, (Ballinger et al vs Morgan Keegan & Co, Inc et al case #3:10cv06). Assigned WDTN case # 10-2509-Ma. (ehg) (Entered: 07/12/2010)

07/16/2010 47 RESPONSE to Motion re (164 in 2:07-cv-02830-SHM-dkv, 164 in 2:07-cv-02830- SHM-dkv, 164 in 2:07-cv-02830-SHM-dkv, 45 in 2:09-md-02009-SHM, 45 in 2:09- md-02009-SHM, 45 in 2:09-md-02009-SHM) MOTION to Consolidate Cases MOTION for Appointment as Lead Plaintiff MOTION to Appoint Counsel Trustee Ad Litem's Response to Motions for Appointment as Lead Plaintiff and Approval of Lead Counsel filed by C. Fred Daniels. Associated Cases: 2:09-md-02009-SHM et al.(Harvey, Albert) (Entered: 07/16/2010)

07/16/2010 48 RESPONSE in Opposition re (163 in 2:07-cv-02830-SHM-dkv) MOTION to Appoint Counsel as Lead Plaintiff; and Approval of Lead Plaintiff's Choice of Lead and Liason Counsel and Certificate of Counsel Pursuant to Local Rule 7.2(a)(1)(B) and (Proposed Order) MOTION to Appoint Counsel as Lead Plaintiff; and Approval of Lead Plaintiff's Choice of Lead and Liason Counsel and Certificate of Counsel Pursuant to Local Rule 7.2(a)(1)(B) and (Proposed Order) MOTION to Appoint Counsel as Lead Plaintiff; and Approval of Lead Plaintiff's Choice of Lead and Liason

Counsel and Certificate of Counsel Pursuant to Local Rule 7.2(a)(1)(B) and (Proposed Order), (165 in 2:07-cv-02830-SHM-dkv) MOTION to Appoint Counsel and Appoint Lead Plaintiff (proposed order submitted) MOTION to Appoint Counsel and Appoint Lead Plaintiff (proposed order submitted) , (162 in 2:07-cv-02830-SHM-dkv) MOTION to Appoint Counsel THE JONES GROUPS SECOND AMENDED MOTION FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF LEAD COUNSEL (proposed Order submitted) MOTION to Appoint Counsel THE JONES GROUPS SECOND AMENDED MOTION FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF LEAD COUNSEL (proposed Order submitted) MOTION to Appoint Counsel THE JONES GROUPS SECOND AMENDED MOTION FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF LEAD COUNSEL (proposed Order submitted) MOTION to Appoint Counsel THE JONES GROUPS SECOND AMENDED MOTION FOR APPOINTMENT AS LEAD PLAINTIFFS AND APPROVAL OF LEAD COUNSEL (proposed Order submitted) filed by RMK Investor Group. (Attachments: # 1 Declaration of Alan I. Ellman, # 2 Exhibit 1 to the Decl. of Alan I. Ellman, # 3 Exhibit 2 to the Decl. of Alan I. Ellman, # 4 Exhibit 3 to the Decl. of Alan I. Ellman, # 5 Exhibit 4 to the Decl. of Alan I. Ellman)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 07/16/2010)

07/26/2010 49 Notice of Correction to 48 Response in Opposition to Motion,,,,,,, Certificate of Service . (Stranch, J.) (Entered: 07/26/2010)

07/30/2010 50 REPLY to Response to Motion re (170 in 2:07-cv-02830-SHM-dkv) Response in Opposition to Motion,,,,,, (168 in 2:07-cv-02830-SHM-dkv) Response in Opposition to Motion,,, filed by RMK Investor Group. (Attachments: # 1 Reply Declaration of J. Gerard Stranch, IV, # 2 Exhibit A to the Reply Decl. of J. Gerard Stranch, IV, # 3 Exhibit B to the Reply Decl. of J. Gerard Stranch, IV, # 4 Exhibit C to the Reply Decl. of J. Gerard Stranch, IV, # 5 Exhibit D to the Reply Decl. of J. Gerard Stranch, IV, # 6 Exhibit E to the Reply Decl. of J. Gerard Stranch, IV, # 7 Exhibit F to the Reply Decl. of J. Gerard Stranch, IV)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830- SHM-dkv, 2:10-cv-02248-SHM-dkv, 2:10-cv-02380-SHM-dkv(Stranch, J.) (Entered: 07/30/2010)

08/31/2010 51 (certified) CONDITIONAL TRANSFER ORDER (CTO-16); Cases to transfer in from the Northern District of Alabama (Walter C. Duncan, et al v Morgan Keenan & Co, Case #2:10-1563; and J. Timothy Francis et al v Morgan Keegan & Co, Case #2:10- 1624). (Attachments: # 1 Panel Letter)(ehg) (Entered: 08/31/2010)

09/01/2010 52 Cases transferred in from Northern District of Alabama: (1) Walter C. Duncan et al vs Morgan Keenan & Co Inc et al; ND/AL Case # 2:10-1563; Assigned WD/TN Case # 10-2640-Ma. (2) J. Timothy Francis et al vs Morgan Keegan & Co Inc et al; ND/AL Case # 2:10-1624; Assigned WD/TN Case # 10-2641-Ma. (ehg) (Entered: 09/01/2010)

09/22/2010 53 MOTION for Extension of Time to File Response/Reply as to [] MOTION to Consolidate Cases MOTION for Appointment as Lead Plaintiff MOTION to Appoint Counsel proposed Order submitted by All Plaintiffs. (Attachments: # 1 Certificate of Consultation)(Harvey, Albert) Modified on 9/23/2010 (ehg). (This motion refers to case # 10-2514 @ document #18) (Entered: 09/22/2010)

09/23/2010 54 MOTION for Extension of Time to File Response/Reply as to (45 in 2:09-md-02009- SHM, 45 in 2:09-md-02009-SHM, 45 in 2:09-md-02009-SHM) MOTION to

Consolidate Cases MOTION for Appointment as Lead Plaintiff MOTION to Appoint Counsel, (18 in 2:10-cv-02514-SHM-dkv) MOTION to Consolidate Cases and Memorandum of Law in Support (proposed order submitted) MOTION to Consolidate Cases and Memorandum of Law in Support (proposed order submitted) proposed Order submitted by All Plaintiffs. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv, 2:10-cv-02514-SHM-dkv(Harvey, Albert) (Entered: 09/23/2010)

09/23/2010 55 ORDER DENYING AS MOOT 53 Motion for Extension of Time to File Response/Reply. Signed by Judge Samuel H. Mays, Jr on 9/23/2010. (Mays, Samuel) (Entered: 09/24/2010)

09/24/2010 56 ORDER GRANTING 54 Motion for Extension of Time to File Response/Reply (Responses due by 10/7/2010). Signed by Judge Samuel H. Mays, Jr on 9/24/2010. (Mays, Samuel) (Entered: 09/24/2010)

10/07/2010 57 RESPONSE to Motion re (18 in 2:10-cv-02514-SHM-dkv) MOTION to Consolidate Cases and Memorandum of Law in Support (proposed order submitted) MOTION to Consolidate Cases and Memorandum of Law in Support (proposed order submitted) Plaintiff's Response to Motion to Consolidate filed by C. Fred Daniels. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv, 2:10-cv-02514-SHM-dkv(Harvey, Albert) (Entered: 10/07/2010)

10/07/2010 58 RESPONSE to Motion re (18 in 2:10-cv-02514-SHM-dkv) MOTION to Consolidate Cases and Memorandum of Law in Support (proposed order submitted) MOTION to Consolidate Cases and Memorandum of Law in Support (proposed order submitted) filed by Terry Hamby, Robert H, Harrison, Nancy Jackson, Gary Shamblin, Ceasar L. Smith, Barbara Williams. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192- SHM-dkv, 2:10-cv-02514-SHM-dkv(Swope, Karin) (Entered: 10/07/2010)

11/05/2010 59 ORDER GRANTING PLAINTIFF'S MOTION FOR CONSOLIDATION. Signed by Judge Samuel H. Mays, Jr on 11/5/2010. Associated Cases: 2:09-md-02009-SHM, 2:10-cv-02190-SHM-dkv, 2:10-cv-02191-SHM-cgc, 2:10-cv-02192-SHM-dkv(Mays, Samuel) (Entered: 11/08/2010)

11/12/2010 60 ORDER GRANTING (96) Motion to Substitute Party. Charles M. Crump terminated in case 2:08-cv-02260-SHM-dkv Substituted by Diana W. Crump. Signed by Judge Samuel H. Mays, Jr on 11/12/2010. (Mays, Samuel) (Entered: 11/12/2010)

11/16/2010 61 NOTICE of Change of Address by B. J. Wade Associated Cases: 2:09-md-02009- SHM, 2:07-cv-02830-SHM-dkv(Wade, B.) (Entered: 11/16/2010)

11/22/2010 62 Mail Returned as Undeliverable. Mail sent to Paul Dobrowski. (jld) (Entered: 11/23/2010)

03/22/2011 63 NOTICE by Joseph J. McGoey, III, The McDonald Group, James N. Maddox, Sam H. Pearson, Elizabeth P. Willis re (194 in 2:07-cv-02830-SHM-dkv) Notice (Other), Notice (Other), (312 in 2:07-cv-02784-SHM-dkv) Notice (Other) Notice of Attorneys' Lien on Plaintiff Elizabeth P. Willis's, Sam H. Pearson's, The McDonald Group's, James N. Maddox's, and Joseph McGoey, III's, Individually and on Behalf of All Others Similarly Situated, Recovery Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:07-cv-02830-SHM-dkv(Glassman, Richard) (Entered: 03/22/2011)

04/13/2011 64 MOTION to Dismiss the Consolidated Amended Complaint in the Closed-End Fund Case by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. (Attachments: # 1 Memorandum in Support of Its Motion to Dismiss the Consolidated Amended Complaint in the Closed-End Fund Case)(Fruin, Peter) (Entered: 04/13/2011)

04/26/2011 65 RESPONSE in Opposition re (103 in 2:08-cv-02260-SHM-dkv) Joint MOTION for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Memorandum of Understanding, proposed order submitted, filed by J. Kenneth Alderman, James C. Kelsoe, Jr, MK Holding, Inc., Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02260-SHM-dkv(Curley, Matthew) (Entered: 04/26/2011)

04/27/2011 66 REMINDER: All counsel are reminded that filings should be made to the MDL case number 09-md-2009, then spread the filing entry to any related case(s) necessary so that proper service/notification to the necessary parties are accomplished. Associated Cases: 2:09-md-02009-SHM et al.(ehg) (Entered: 04/27/2011)

05/13/2011

05/13/2011

67 Joint MOTION for Extension of Time to File Response/Reply Plaintiffs' and Funds' Unopposed Joint Motion for Leave to File Consolidated Responses to Defendants' Memoranda in Opposition to Joint Motions Regarding Preliminary Approval of the Proposed Partial Settlement of Class Action Claims and Approval of Notice and Final Approval of the Memorandum of Understanding , Joint MOTION for Leave to File Excess Pages , proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Morgan Keegan Select Fund, Inc., Frank D Tutor, Diana W Crump, H. Austin Landers, Jennifer H. Landers, Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Memorandum in Support of Plaintiffs' and Funds' Unopposed Joint Motion for Leave to File Consolidated Responses, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 05/13/2011)

68 Notice of Correction to (119 in 2:08-cv-02260-SHM-dkv) Response in Opposition to Motion,, . Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02260-SHM-dkv(Polk, Steven) (Entered: 05/13/2011)

05/13/2011 69 Notice of Correction to (326 in 2:07-cv-02784-SHM-dkv) Response in Opposition to Motion,, . Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(Polk, Steven) (Entered: 05/13/2011)

05/16/2011 70 STIPULATION AND [PROPOSED] ORDER TO EXTEND TIME FOR PLAINTIFFS TO FILE THIRD AMENDED COMPLAINT by Ken Alderman, Sherry Anthony, Candice W. Bagby, George W. Bryan, John Buchanan, John Daniel, C. Fred Daniels, Sharon Davis, Earnest W. Deavenport, Jr, Alan Deer, Harry Dinken, David B. Edmonds, G Douglas Edwards, Irene Esteves, James S.M. French, Chris Glaub, O.B. Grayson Hall, Jr, Terry Hamby, Robert H, Harrison, Martha R. Ingram, Nancy Jackson, Ronnie Jackson, Bryan Jordan, Tim Laney, Susan Martinez, Susan W. Matlock, W. Charles Mayer, III, Tusa McNary, Allen B. Morgan, Jr, Morgan Asset

Management, Inc., Morgan Keegan & Company Inc, Claude B. Nielsen, Regions Bank, Regions Financial Corporation, C. Down Ritter, David Rupp, Jill Shelton, Ceasar L. Smith, Michael S. Starnes, Rusty Stephenson, Lea Stokes, Lee J. Styslinger, III, Brian Sullivan, Tom Thompson, David Turner, Barbara H. Watson, William C. Wells, II, Kemmons Wilson, Jr, Alton E. Yother. Associated Cases: 2:09-md-02009- SHM, 2:08-cv-02192-SHM-dkv(Loeser, Derek) (Entered: 05/16/2011)

05/16/2011

05/19/2011

05/20/2011

05/20/2011

05/25/2011

71 ORDER GRANTING 67 Motion for Extension of Time to File Response/Reply [Plaintiffs' and Funds' Unopposed Joint Motion for Leave to File Consolidated Responses to Defendants' Memoranda in Opposition to Joint Motions Regarding Preliminary ApprovalJoint MOTION for Leave to File Excess Pages ( Response due by 7/20/2011); ORDER GRANTING 67 Motion for Leave to File Excess Pages. Signed by Judge Samuel H. Mays, Jr on 5/16/2011. (Mays, Samuel) (Entered: 05/18/2011)

72 MOTION Motion to Amend Scheduling Order re (183 in 2:07-cv-02830-SHM-dkv) Order on Motion for Miscellaneous Relief Proposed Order Submitted by J. Kenneth Alderman, Carter E. Anthony, James C. Kelsoe, Jr, MK Holding, Inc., Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., RMK Advantage Income Fund, Inc., RMK High Income Fund, Inc., RMK Investor Group, RMK Multi-Sector High Income Fund, Inc., RMK Strategic Income Fund, Inc., Regions Financial Corporation, Brian B. Sullivan, J. Thompson Weller. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Curley, Matthew) (Entered: 05/19/2011)

73 ORDER, signed by Judge Samuel H. Mays, Jr on 05/20/2011, granting (204) Motion for revised scheduling order in case 2:07-cv-02830-SHM-dkv; granting (72) Motion for revised scheduling order in case 2:09-md-02009-SHM. Accordingly, it is hereby ORDERED that the Parties shall adhere to the following schedule with respect to the balance of the briefing on Defendants' respective motions to dismiss: Pltfs shall file oppositions to Defts' motions to dismiss on or before June 17, 2011; and Defts shall file replies in support of their respective motions to dismiss on or before August 5, 2011. (Mays, Samuel) Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv (Entered: 05/20/2011)

74 AMENDED COMPLAINT THIRD AMENDED CONSOLIDATED CLASS ACTION CLOMPLAINT FOR VIOLATION OF ERISA against Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation, filed by All Plaintiffs. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5) (Swope, Karin) (Entered: 05/20/2011)

75 ORDER EXTENDING TIME FOR PLAINTIFFS TO FILE THIRD AMENDED COMPLAINT, signed by Judge Samuel H. Mays, Jr on 05/23/2011. The Stipulation of the parties to allow Plaintiffs an extension of time to and including May 20, 2011, within which to file a Third Amended Consolidated Complaint is hereby GRANTED. (Mays, Samuel) Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv (Entered: 05/25/2011)

05/26/2011 76 ORDER ADMINISTRATIVELY CLOSING CASE. Signed by Judge Samuel H. Mays, Jr., on 05/25/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192- SHM-dkv, 2:08-cv-02231-SHM-dkv. (Mays, Samuel) (Entered: 05/26/2011)

05/26/2011 77 ORDER ADMINISTRATIVELY CLOSING CASE. Signed by Judge Samuel H.

Mays, Jr., on 05/25/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784- SHM-dkv, 2:07-cv-02830-SHM-dkv, 2:08-cv-02071-SHM-dkv (Mays, Samuel) (Entered: 05/26/2011)

05/26/2011 78 ORDER ADMINISTRATIVELY CLOSING CASES. Signed by Judge Samuel H. Mays, Jr., on 05/25/2011. Associated Cases: 2:09-md-02009-SHM et al. (Mays, Samuel) (Entered: 05/26/2011)

05/26/2011 79 ORDER ADMINISTRATIVELY CLOSING CASE. Signed by Judge Samuel H. Mays, Jr., on 05/25/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784- SHM-dkv, 2:08-cv-02454-SHM-dkv. (Mays, Samuel) (Entered: 05/26/2011)

05/27/2011 80 ORDER GRANTING (225) Motion for Leave to Appear Pro Hac Vice in case 2:08- cv-02192-SHM-dkv. Signed by Judge Samuel H. Mays, Jr on 5/27/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Mays, Samuel) (Entered: 05/27/2011)

06/03/2011 81 NOTICE by Karin B. Swope re 74 Amended Complaint, Plaintiffs Errata of Third Amended Consolidated Complaint (Attachments: # 1 Errata Corrected Plaintiffs Third Amended Consolidated Complaint, # 2 Errata Corrected Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5)(Swope, Karin) (Entered: 06/03/2011)

06/07/2011 82 MOTION to Withdraw as Attorney of Robin Besaw, proposed order submitted by Carter E. Anthony. Associated Cases: 2:09-md-02009-SHM et al.(Besaw, Robin) (Entered: 06/07/2011)

06/07/2011 83 NOTICE of Appearance by Cari C. Laufenberg on behalf of Terry Hamby Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Laufenberg, Cari) (Entered: 06/07/2011)



06/10/2011 86 NOTICE by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. re (197 in 2:07-cv-02830-SHM-dkv) MOTION for Leave to File Excess Pages Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Curley, Matthew) (Entered: 06/10/2011)

06/10/2011 87 Notice of Correction to (209 in 2:07-cv-02830-SHM-dkv) Notice (Other), Defendants' Notice of Filing Supplemental Authority . (Attachments: # 1 Exhibit A)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Curley, Matthew) (Entered: 06/10/2011)

06/10/2011 91 ORDER GRANTING (333) Motion to Withdraw as Attorney. Attorney Robin A. Besaw terminated in case 2:07-cv-02784-SHM-dkv; in case 2:07-cv-02830-SHM-dkv; in case 2:10-cv-02188; in case 2:09-cv-02280-SHM-dkv; in case 2:10-cv-02011- SHM-dkv; in cse 2:10-cv-02278-SHM-dkv; in case 2:10-cv-02279-SHM-dkv; 2:10- cv-02439-SHM-dkv; and in case 2:10-cv-02509-SHM-dkv Attorney Robin A. Besaw terminated in case 2:09-md-02009-SHM. Signed by Judge Samuel H. Mays, Jr on 6/10/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:07- cv-02830-SHM-dkv(Mays, Samuel) (Entered: 06/14/2011)

06/13/2011

06/13/2011

88 Joint MOTION for Extension of Time to File Response/Reply as to (309 in 2:07-cv-02784-SHM-dkv) Joint MOTION for Settlement Joint Motion by Lead Plaintiffs and Settling Defendants for Preliminary Approval of Partial Settlement and Approval of Notice to Settlement Class Members, proposed order submitted, , (103 in 2:08-cv-02260-SHM-dkv) Joint MOTION for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Memorandum of Understanding, proposed order submitted, , proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Morgan Keegan Select Fund, Inc., Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Memorandum in Support, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 06/13/2011)

89 Mail Returned as Undeliverable. Mail sent to Paul Dobrowski. (jld) (Entered: 06/13/2011)

06/13/2011 92 ORDER GRANTING 88 Motion for Extension of Time to File Response/Reply re [2:07-cv-02784-SHM-dkv] AND [2:08-cv-02260-SHM-dkv] Joint MOTION for Settlement Joint Motion by Lead Plaintiffs and Settling Defendants for Preliminary Approval of Partial Settlement and Approval of Notice. Signed by Judge Samuel H. Mays, Jr on 6/13/2011. (Mays, Samuel) (Entered: 06/15/2011)

06/14/2011

06/17/2011

06/17/2011

06/20/2011

90 MOTION for Leave to File Excess Pages Proposed Order Submitted by All Plaintiffs. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 06/14/2011)


94 RESPONSE in Opposition re (198 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss, (202 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss, (201 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint , (200 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss the Consolidated Amended Complaint in the Closed-End Fund Case, (196 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss filed by C. Fred Daniels, Larry Lattimore, Dr. J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 06/17/2011)


06/23/2011 96 ORDER GRANTING (78 in 2:08-cv-02757-SHM-cgc) DEFENDANTS' MOTION TO CONSOLIDATE. Signed by Judge Samuel H. Mays, Jr., on 06/23/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv, 2:08-cv-02757- SHM-cgc. (Mays, Samuel) (Entered: 06/23/2011)

06/23/2011 97 ORDER granting (211) Motion for Leave to File Excess Pages in case 2:07-cv-02830- SHM-dkv; ORDER granting (90) Motion for Leave to File Excess Pages in case 2:09- md-02009-SHM. Signed by Judge Samuel H. Mays, Jr on 6/23/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Mays, Samuel) (Entered:

06/23/2011)

06/24/2011

06/24/2011

06/24/2011

98 Amended MOTION to Amend/Correct (309 in 2:07-cv-02784-SHM-dkv) Joint MOTION for Settlement Joint Motion by Lead Plaintiffs and Settling Defendants for Preliminary Approval of Partial Settlement and Approval of Notice to Settlement Class Members, proposed order submitted, , (103 in 2:08-cv-02260-SHM-dkv) Joint MOTION for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Memorandum of Understanding, proposed order submitted, Joint Report of the Nominal Defendants, Derivative Plaintiffs and Lead Plaintiffs and Amendment to (1) Joint Motion for Preliminary Approval of Partial Settlement and (2) Joint Motion for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Amended Memorandum of Understanding, proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Morgan Keegan Select Fund, Inc., Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Exhibit A-1 Amended Memorandum of Understanting, # 2 Exhibit A-2 AMOU Marked for Changes to MOU, # 3 Exhibit B Notice of Partial Settlement, # 4 Exhibit C Summary Notice)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 06/24/2011)

99 RESPONSE in Support re (103 in 2:08-cv-02260-SHM-dkv) Joint MOTION for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Memorandum of Understanding, proposed order submitted, filed by Morgan Keegan Select Fund, Inc., Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund. Associated Cases: 2:09-md-02009-SHM, 2:07- cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Logue, Kevin) (Entered: 06/24/2011)

100 REPLY to Response to Motion re (315 in 2:07-cv-02784-SHM-dkv) Response in Opposition to Motion, (314 in 2:07-cv-02784-SHM-dkv) Response in Opposition to Motion, (119 in 2:08-cv-02260-SHM-dkv) Response in Opposition to Motion,, (107 in 2:08-cv-02260-SHM-dkv) Response in Opposition to Motion, (326 in 2:07-cv-02784- SHM-dkv) Response in Opposition to Motion,, (108 in 2:08-cv-02260-SHM-dkv) Response in Opposition to Motion, (118 in 2:08-cv-02260-SHM-dkv) Response in Opposition to Motion, (113 in 2:08-cv-02260-SHM-dkv) Response to Motion, (316 in 2:07-cv-02784-SHM-dkv) Response in Opposition to Motion, Plaintiffs' Consolidated Memorandum in Reply to Defendants' Opposition to (1) Joint Motion for Preliminary Approval of Partial Settlement and (2) Joint Motion for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Memorandum of Understanding, filed by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Gwendolyn T Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Declaration of Mark L. Hays in Support of Plaintiffs' Consolidated Memorandum in Reply, # 2 Declaration of Jerome A. Broadhurst in Support of Plaintiffs' Consolidated Memorandum in Reply)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784- SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 06/24/2011)

06/24/2011 101 AFFIDAVIT re (128 in 2:08-cv-02260-SHM-dkv, 339 in 2:07-cv-02784-SHM-dkv)

Reply to Response to Motion,,,,, Declaration of Jerome A. Broadhurst with Exhibits 1 through 50 in Support of Plaintiffs' Consolidated Memorandum in Reply to Defendants Responses in Opposition by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Exhibits 1-6, # 2 Exhibits 7-10, # 3 Exhibits 11-19, # 4 Exhibits 20- 32, # 5 Exhibits 33-38, # 6 Exhibits 39-40, # 7 Exhibits 41-42, # 8 Exhibit 43, # 9 Exhibit 44-47, # 10 Exhibit 48-50)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 06/24/2011)

06/24/2011 102 AFFIDAVIT re (128 in 2:08-cv-02260-SHM-dkv, 339 in 2:07-cv-02784-SHM-dkv) Reply to Response to Motion,,,,, Declaration of Jerome A. Broadhurst with Exhibits A through PP in Support of Plaintiffs' Consolidated Memorandum in Reply to Defendants' Responses in Opposition by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Exhibits A-G, # 2 Exhibits H-L, # 3 Exhibits M-Q, # 4 Exhibits R-Z, # 5 Exhibits AA-JJ, # 6 Exhibits KK-PP)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 06/24/2011)

06/27/2011 103 STIPULATION : Stipulated Protective Order by Karin B. Swope. (Doyle, Ellen) (Entered: 06/27/2011)

06/29/2011 104 ORDER REVISING BRIEFING SCHEDULE, signed by Judge Samuel H. Mays, Jr on 06/28/2011. MOTION (57) for an Order Revising Briefing Schedule in case 2:10- cv-02188-SHM-tmp granted. Accordingly, it is ORDERED that the parties shall adhere to the following schedule w/respect to the balance of the briefing on Defts' respective motions to dismiss: Pltfs shall file oppositions to Defts' motions to dismiss on or before July 19, 2011; and defts shall file replies in support of their respective motions to dismiss on or before August 18, 2011. (Mays, Samuel) Associated Cases: 2:09-md-02009-SHM, 2:10-cv-02188-SHM-tmp (Entered: 06/29/2011)

06/29/2011 105 NOTICE by C. Fred Daniels, Larry Lattimore, Dr. J. Samir Sulieman, The Lion Fund, L.P. re (94 in 2:09-md-02009-SHM, 213 in 2:07-cv-02830-SHM-dkv) Response in Opposition to Motion,, Of Filing Of Supplemental Authority. (Attachments: # 1 Exhibit A, # 2 Exhibit B part 1 of 6, # 3 Exhibit B part 2 of 6, # 4 Exhibit B part 3 of 6, # 5 Exhibit B part 4 of 6, # 6 Exhibit B part 5 of 6, # 7 Exhibit B part 6 of 6, # 8 Exhibit C, # 9 Exhibit D, # 10 Exhibit E, # 11 Exhibit F, # 12 Exhibit G)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 06/29/2011)

07/08/2011 106 CONDITIONAL TRANSFER ORDER (CTO-17); Pursuant to 28: 1407. Attached is listing of Schedule CTO-17, Tag-Along Action; case to transfer in from Northern District of Alabama.. Signed by Clerk of the Panel on 5/20/2011. (ehg) (Entered: 07/08/2011)


07/11/2011 108 MOTION for Leave to Appear Pro Hac Vice of Lee E. Bains, Jr. (proposed order

submitted) by Regions Bank. (Attachments: # 1 Exhibit, # 2 copy of proposed order to be emailed to Judge)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(McQuiston, John) (Entered: 07/11/2011)

07/11/2011 109 MOTION for Leave to Appear Pro Hac Vice of Maibeth Porter (proposed order submitted) by Regions Bank. (Attachments: # 1 Exhibit A-C, # 2 proposed order to be emailed to Judge)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(McQuiston, John) (Entered: 07/11/2011)

07/11/2011 110 MOTION for Leave to Appear Pro Hac Vice Luther M. Dorr, Jr. (proposed order submitted) by Regions Bank. (Attachments: # 1 Exhibit, # 2 proposed order to be emailed to Judge)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(McQuiston, John) (Entered: 07/11/2011)


07/14/2011 112 NOTICE by Terry Hamby, Gary Shamblin, Ceasar L. Smith Notice of Intent to Serve Subpoena (Attachments: # 1 Exhibit Subpoena to Reed Smith with Attachment)Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 07/14/2011)

07/14/2011 113 ORDER granting (348) Motion for Leave to Appear Pro Hac Vice in case 2:07-cv-02784-SHM-dkv. Signed by Judge Samuel H. Mays, Jr on 7/14/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(Mays, Samuel) (Entered: 07/14/2011)



07/15/2011 116 NOTICE by Robert H, Harrison, Ceasar L. Smith Plaintiffs' Notice of Consent to File Corrected Third Amended Consolidated Complaint Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Swope, Karin) (Entered: 07/15/2011)

07/15/2011 117 AMENDED COMPLAINT Corrected Third Amended Consolidated Class Action Complaint for Violation of ERISA against Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation, filed by All Plaintiffs. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Swope, Karin) (Entered: 07/15/2011)

07/15/2011 118 STIPULATION JOINT STIPULATION AND [PROPOSED] ORDER FOR ENTRY OF A REVISED SCHEDULING ORDER by G Douglas Edwards, Terry Hamby, Robert H, Harrison, Nancy Jackson, Morgan Asset Management, Inc., Morgan Keegan & Company Inc, Ceasar L. Smith, Michael S. Starnes, Brian Sullivan, Kemmons Wilson, Jr. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Swope, Karin) (Entered: 07/15/2011)

07/19/2011 119 Case transferred in from the Northern District of Alabama; (Poole et al vs Regions Bank et al, 2:11cv1467). Assigned WDTN case #11-2610-Ma. (ehg) (Entered: 07/19/2011)


07/22/2011 121 ORDER, signed by Judge Samuel H. Mays, Jr on 07/21/2011, GRANTING 59 PLAINTIFFS' MOTION TO EXCEED PAGE LIMITS in case 2:09-md-02009-SHM; Motion for Leave to File Excess Pages in case 2:10-cv-02188-SHM-tmp, filed by pltfs Cecil Cannaday & Ronald Godfrey, is granted. Associated Cases: 2:09-md-02009- SHM, 2:10-cv-02188-SHM-tmp (Mays, Samuel) (Entered: 07/22/2011)

07/26/2011 127 MOTION for Leave to Appear Pro Hac Vice for J. TIMOTHY FRANCIS by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. receipt #M4676003334 (proposed order submitted) (agj) (Entered: 08/01/2011)

07/27/2011 122 MOTION for Extension of Time to File Response/Reply as to (198 in 2:07-cv-02830- SHM-dkv) MOTION to Dismiss, (201 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss Plaintiffs' Consolidated Amended Class Action Complaint , (200 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss the Consolidated Amended Complaint in the Closed-End Fund Case, (196 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss proposed order submitted by J. Kenneth Alderman, Carter E. Anthony, James C. Kelsoe, Jr, MK Holding, Inc., Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Regions Financial Corporation, Brian B. Sullivan, J. Thompson Weller. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Curley, Matthew) (Entered: 07/27/2011)

07/28/2011 123 ORDER GRANTING 217 Motion for Extension of Time to File Response/Reply re 217 in 2:07-cv-02830-SHM-dkv, and 122 in 2:09-md-02009-SHM) (Reply due by 8/12/2011). Signed by Judge Samuel H. Mays, Jr on 7/28/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Mays, Samuel) (Entered: 07/28/2011)

08/01/2011

08/01/2011

08/01/2011

08/01/2011

124 ORDER CLOSING CASE ADMINISTRATIVELY. Signed by Judge Samuel H. Mays, Jr., on 07/29/2011. (Mays, Samuel) (Entered: 08/01/2011)



128 MOTION for Leave to File Excess Pages proposed order submitted by J. Kenneth Alderman, G. Douglas Edwards, Thomas R. Gamble, David M George, James C. Kelsoe, Jr, MK Holding, Inc., Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Exhibit A_Sur-Reply, # 2 Attachment to Exhibit A_Moore Supplemental Declaration of N. Moore, # 3 Exhibit A_to Supplemental Declaration of N. Moore, # 4 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-

SHM-dkv, 2:08-cv-02260-SHM-dkv(Curley, Matthew) (Entered: 08/01/2011)

08/01/2011

08/02/2011

08/02/2011

129 REPLY to Response to Motion re (128 in 2:08-cv-02260-SHM-dkv, 339 in 2:07-cv-02784-SHM-dkv) Reply to Response to Motion,,,,, SURREPLY IN OPPOSITION TO JOINT MOTION filed by Regions Bank, Regions Financial Corporation. (Attachments: # 1 Exhibit A - Memorandum of Understanding, # 2 Exhibit B - Amended Memorandum of Understanding, # 3 Exhibit C- Supplemental Declaration of Professor N. Moore)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Fruin, Peter) (Entered: 08/01/2011)

130 ORDER GRANTING (352) Motion for Leave to File Excess Pages in case 2:07-cv-2784-SHM-dkv and ORDER GRANTING (331) Motion for Leave to File Excess Pages in case 2-08-cv-2260; ORDER GRANTING (128) Motion for Leave to File Excess Pages in case 2:09-md-2009-SHM. Signed by Judge Samuel H. Mays, Jr on 8/2/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(Mays, Samuel) (Entered: 08/02/2011)

131 RESPONSE in Opposition re (126 in 2:08-cv-02260-SHM-dkv) Amended MOTION to Amend/Correct (309 in 2:07-cv-02784-SHM-dkv) Joint MOTION for Settlement Joint Motion by Lead Plaintiffs and Settling Defendants for Preliminary Approval of Partial Settlement and Approval of Notice to Settlement Class Members, p Defendants' Sur-Reply in Opposition to Joint Motion for Preliminary Approval of Partial Settlement and Joint Motion for Approval of Rule 23.1 Notice to Shareholders andfor Final Approval of the Memorandum of Understanding filed by J. Kenneth Alderman, G. Douglas Edwards, Thomas R. Gamble, David M George, James C. Kelsoe, Jr, MK Holding, Inc., Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Supplemental Declaration of N. Moore, # 2 Exhibit A to Supplemental Declaration of N. Moore)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Curley, Matthew) (Entered: 08/02/2011)

08/03/2011 132 MOTION to Substitute Attorney (proposed order submitted) by Regions Bank. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(McQuiston, John) (Entered: 08/03/2011)

08/03/2011

08/04/2011

08/05/2011

133 ORDER granting 127 Motion for Leave to Appear Pro Hac Vice. Signed by Judge Samuel H. Mays, Jr on 8/3/2011. (Mays, Samuel) (Entered: 08/04/2011)

135 ORDER GRANTING (357) Motion to Substitute Attorney. Attorney Peter S. Fruin and Scott S. Brown are terminated in case 2:07-cv-02784-SHM-dkv; ORDER GRANTING(132) Motion to Substitute Attorney. Attorney Peter S. Fruin and Scott S. Brown terminated in case 2:09-md-02009-SHM. Signed by Judge Samuel H. Mays, Jr on 8/4/2011. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv(Mays, Samuel) (Entered: 08/05/2011)


08/08/2011 136 MOTION to Withdraw as Attorney (proposed order submitted) by Ken Alderman, Sherry Anthony, Candice W. Bagby, George W. Bryan, John Buchanan, John Daniel, Sharon Davis, Earnest W. Deavenport, Jr, Alan Deer, Harry Dinken, David B. Edmonds, Irene Esteves, James S.M. French, Chris Glaub, O.B. Grayson Hall, Jr,

Martha R. Ingram, Ronnie Jackson, Bryan Jordan, Tim Laney, Susan Martinez, Susan W. Matlock, W. Charles Mayer, III, Tusa McNary, Claude B. Nielsen, Regions Bank, Dowd Ritter, David Rupp, Jill Shelton, Rusty Stephenson, Lea Stokes, Lee J. Styslinger, III, Tom Thompson, David Turner, Barbara H. Watson, William C. Wells, II, Alton E. Yother. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Fruin, Peter) (Entered: 08/08/2011)

08/08/2011 137 MOTION for Summary Judgment , First MOTION to Substitute Party by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. (Francis, J.) (Entered: 08/08/2011)

08/08/2011 138 MOTION to Dismiss Claims in Counts VI, VII, and X of the Corrected Third Amended Class Action Complaint by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. (Attachments: # 1 Memorandum)(Wahlheim, William) (Entered: 08/08/2011)

08/08/2011 139 AFFIDAVIT re 138 of William B. Wahlheim, Jr. in Support of the Regions Defendants' Motion to Dismiss Claims in Counts VI, VII, and X of the Corrected Third Amended Class Action Complaint by Ken Alderman, Sherry Anthony, Candice W. Bagby, George W. Bryan, John Buchanan, John Daniel, Sharon Davis, Earnest W. Deavenport, Jr, Alan Deer, Harry Dinken, David B. Edmonds, Irene Esteves, James S.M. French, Chris Glaub, O.B. Grayson Hall, Jr, Martha R. Ingram, Ronnie Jackson, Bryan Jordan, Tim Laney, Susan Martinez, Susan W. Matlock, W. Charles Mayer, III, Tusa McNary, Claude B. Nielsen, Regions Bank, Regions Financial Corporation, Dowd Ritter, David Rupp, Jill Shelton, Rusty Stephenson, Lea Stokes, Lee J. Styslinger, III, Tom Thompson, Barbara H. Watson, William C. Wells, II, Alton E. Yother. (Attachments: # 1 Exhibit 1, # 2 Exhibit 1, continued, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5, # 7 Exhibit 6, # 8 Exhibit 7, # 9 Exhibit 8, # 10 Exhibit 9, # 11 Exhibit 10, # 12 Exhibit 11, # 13 Exhibit 12, # 14 Exhibit 13, # 15 Exhibit 14, # 16 Exhibit 15)Associated Cases: 2:09-md-02009-SHM et al.(Wahlheim, William) Modified on 8/9/2011 (ehg). (Entered: 08/08/2011)

08/08/2011 140 STIPULATION and Proposed Order to Extend Time for Regions Defendants to File Answer to Plaintiffs' Corrected Third Amended Complaint by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. (Wahlheim, William) (Entered: 08/08/2011)

08/09/2011

141 JOINT STIPULATION AND ORDER FOR ENTRY OF A REVISED SCHEDULING ORDER, signed by Judge Samuel H. Mays, Jr on 08/02/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv (Mays, Samuel) (Entered: 08/09/2011)

08/09/2011 142 DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure, document 137 MOTION for Summary Judgment First MOTION to Substitute Party filed by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation has been filed. However, the following deficiency has been found: Please note per chambers, that document should reflect a certiticate of consultion page. You will need to go under the notice category then in the drop down area select notice of correction and submit the certificate of service page only. Thanks and if you have questions please call me at 901-495-1505.. The filer has one business day to correct the deficiency. (jml) (Entered: 08/09/2011)

08/10/2011 143 Amended MOTION to Substitute Party Martin Dennis Dams/cy by Larry Bentley. Associated Cases: 2:09-md-02009-SHM, 2:09-cv-02099-SHM-dkv(Francis, J.) (Entered: 08/10/2011)

08/11/2011 145 Mail Returned as Undeliverable. Mail sent to Paul Dobrowski. (vjm) (Entered: 08/12/2011)

08/11/2011 146 ORDER GRANTING (255) Motion to Exceed Page Limit in case 2:08-cv-02192- SHM-dkv. Signed by Judge Samuel H. Mays, Jr on 8/11/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Mays, Samuel) (Entered: 08/12/2011)

08/11/2011 160 Mail Returned as Undeliverable. Mail sent to Paul Dobrowski. (vjm) (Entered: 08/16/2011)

08/12/2011 144 DEFICIENCY NOTICE: Pursuant to Rule 5 of the Federal Rules of Civil Procedure, document 143 Amended MOTION to Substitute Party Martin Dennis Dams/cy filed by Larry Bentley has been filed. However, the following deficiency has been found: Please note per chambers, that proposed order should be sent to the Judge's email for approval. Also the docket entry text should reflect that 'proposed order was submitted. Please submit order to chambers. Thanks and if you have questions please call me at 901-495-1505. The filer has one business day to correct the deficiency. (jml) (Entered: 08/12/2011)

08/12/2011 147 NOTICE by RMK Advantage Income Fund, Inc., RMK High Income Fund, Inc., RMK Multi-Sector High Income Fund, Inc., RMK Strategic Income Fund, Inc. Notice of Appearance of Edileno D. Roman on behalf of Fund Defendants Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Logue, Kevin) (Entered: 08/12/2011)

08/12/2011 148 MOTION for Leave to File Excess Pages Proposed order submitted by RMK Advantage Income Fund, Inc., RMK High Income Fund, Inc., RMK Multi-Sector High Income Fund, Inc., RMK Strategic Income Fund, Inc.. (Attachments: # 1 Exhibit A, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Logue, Kevin) (Entered: 08/12/2011)

08/12/2011 149 REPLY to Response to Motion re (213 in 2:07-cv-02830-SHM-dkv) Response in Opposition to Motion,, Fund Defendants' Reply Memorandum in support of Motion to Dismiss filed by RMK Advantage Income Fund, Inc., RMK High Income Fund, Inc., RMK Multi-Sector High Income Fund, Inc., RMK Strategic Income Fund, Inc.. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Logue, Kevin) (Entered: 08/12/2011)

08/12/2011 150 NOTICE by Morgan Keegan Select Fund, Inc., Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund Notice of Change of Law Firm Name Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784- SHM-dkv, 2:08-cv-02260-SHM-dkv(Logue, Kevin) (Entered: 08/12/2011)

08/12/2011 151 MOTION for Leave to File Excess Pages proposed order submitted by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc.. (Attachments: # 1 Exhibit A - Reply Memorandum, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Curley, Matthew) (Entered: 08/12/2011)

08/12/2011 152 REPLY to Response to Motion re (94 in 2:09-md-02009-SHM, 213 in 2:07-cv-02830- SHM-dkv) Response in Opposition to Motion,, to Dismiss filed by J. Kenneth Alderman, James C. Kelsoe, Jr, Allen B. Morgan, Jr, Brian B. Sullivan, J. Thompson Weller. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Polk, Steven) (Entered: 08/12/2011)

08/12/2011 153 AFFIDAVIT Supplemental Declaration of Matthew M. Curley in Further Support of Motion to Dismiss by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Curley, Matthew) (Entered: 08/12/2011)

08/12/2011 154 Joint MOTION for Leave to File Plaintiffs' and Funds' Joint Motion and Memorandum in Support of Joint Motion for Leave to File Sur-Sur-Replies, proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Morgan Keegan Select Fund, Inc., Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 08/12/2011)

08/12/2011 155 STIPULATION AND ORDER TO EXTEND TIME FOR REGIONS DEFENDANTS TO FILE ANSWER TO PLAINTIFFS' CORRECTED THIRD AMENDED COMPLAINT, signed by Judge Samuel H. Mays, Jr on 08/10/2011. Answer due 11/07/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv (Mays, Samuel) (Entered: 08/12/2011)

08/12/2011 156 REPLY to Response to Motion re (94 in 2:09-md-02009-SHM, 213 in 2:07-cv-02830- SHM-dkv) Response in Opposition to Motion,, To Dismiss the Consolidated Amended Complaint in the Closed-End Funds Case filed by Regions Financial Corporation. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Brown, Scott) (Entered: 08/12/2011)

08/15/2011 157 OORDER GRANTING 235 MOTION FOR PARTIAL WITHDRAWAL AS COUNSEL OF RECORDFruin terminated in case 2:08-cv-02192-SHM-dkv; and in case 2:09-md-02009-SHM. Signed by Judge Samuel H. Mays, Jr on 8/12/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Mays, Samuel) (Entered: 08/15/2011)

08/15/2011 158 ORDER GRANTING (151) MOTION for Leave to File Excess Pages filed by Morgan Asset Management, Inc., MK Holding, Inc., Morgan Keegan & Company, Inc., Motion terminated. Signed by Judge Samuel H. Mays, Jr on 8/15/2011. Associated Cases: 2:09-md-02009-SHM, 2:09-cv-02099-SHM-dkv(Mays, Samuel) (Entered: 08/15/2011)

08/15/2011 159 REPLY to Response to Motion re (94 in 2:09-md-02009-SHM, 213 in 2:07-cv-02830- SHM-dkv) Response in Opposition to Motion,, filed by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc.. Associated Cases: 2:09- md-02009-SHM, 2:07-cv-02830-SHM-dkv(Curley, Matthew) (Entered: 08/15/2011)

08/16/2011 161 ORDER GRANTING (143) Motion to Substitute Party. Selma Damsky terminated in

case 2:09-md-02009-SHM; ORDER GRANTING (13) Motion to Substitute Party. Selma Damsky terminated in case 2:09-cv-02099-SHM-dkv. Signed by Judge Samuel H. Mays, Jr on 8/16/2011. Associated Cases: 2:09-md-02009-SHM, 2:09-cv-02099- SHM-dkv(Mays, Samuel) (Entered: 08/16/2011)

08/16/2011


08/17/2011 162 ORDER DENYING DEFENDANT'S MOTIONS FOR SUMMARY JUDGMENT (19 in 2:09-cv-02462-SHM-dkv), (22 in 2:09-cv-02462-SHM-dkv). Signed by Judge Samuel H. Mays, Jr., on 08/17/2011. Associated Cases: 2:09-md-02009-SHM, 2:09- cv-02462-SHM-dkv. (Mays, Samuel) (Entered: 08/17/2011)

08/17/2011 164 ORDER GRANTING (222) Motion for Leave to File Excess Pages in case 2:07-cv-02830-SHM-dkv; ORDER GRANTING (148) Motion for Leave to File Excess Pages in case 2:09-md-02009-SHM. Signed by Judge Samuel H. Mays, Jr on 8/17/11. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02830-SHM-dkv(Mays, Samuel) (Entered: 08/17/2011)

08/18/2011 165 RESPONSE in Opposition re (138 in 2:08-cv-02260-SHM-dkv) Joint MOTION for Leave to File Plaintiffs' and Funds' Joint Motion and Memorandum in Support of Joint Motion for Leave to File Sur-Sur-Replies, proposed order submitted, proposed order submitted filed by J. Kenneth Alderman, G. Douglas Edwards, Thomas R. Gamble, David M George, James C. Kelsoe, Jr, MK Holding, Inc., Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Curley, Matthew) (Entered: 08/18/2011)

08/18/2011 166 MOTION for Leave to File Excess Pages proposed order submitted by J. Kenneth Alderman, Thomas R. Gamble, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management Inc, Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Exhibit A, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM, 2:10-cv-02188-SHM-tmp(Curley, Matthew) (Entered: 08/18/2011)

08/18/2011 167 ORDER GRANTING DEFENDANTS' MOTION TO EXCEED PAGE LIMIT (166) in case 2:09-md-02009-SHM; (66) in case 2:10-cv-02188-SHM-tmp. Signed by Judge Samuel H. Mays, Jr., on 08/18/2011. Associated Cases: 2:09-md-02009-SHM, 2:10- cv-02188-SHM-tmp. (Mays, Samuel) (Entered: 08/18/2011)





09/06/2011 182 MOTION to Strike Affidavit entered on April 18, 2011 by Matthew Curley, and 131

Response in Opposition to Motion,,,, Plaintiffs' and Funds' Joint Motion to Stike the Declaration and Supplemental Declaration of Nancy J. Moore, proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Morgan Keegan Select Fund, Inc., Frank D Tutor. (Attachments: # 1 Memorandum in Support of Joint Motion to Strike the Declaration and Supplemental Declaration of Nancy J. Moore, # 2 Declaration of Jerome A. Broadhurst in Support of Joint Motion to Strike the Declaration and Supplemental Declaration of Nancy J. Moore, # 3 Certificate of Consultation)(Broadhurst, Jerome) (Entered: 09/06/2011) (Modified by rmp as instructed by chambers on 10/07/11)(rmp) (Entered: 10/07/2011)

09/07/2011 170 NOTICE by Terry Hamby, Robert H, Harrison, Nancy Jackson, Barbara Williams Notice of Intent to Serve Subpoena (Attachments: # 1 Exhibit Subpoena to Donald J. Myers)Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 09/07/2011)

09/09/2011 173 ORDER GRANTING DEFENDANTS' MOTIONS TO DISMISS (35) (41) (44) in case 2:10-cv-02188-SHM-tmp. Signed by Judge Samuel H. Mays, Jr., on 09/09/2011. Associated Cases: 2:09-md-02009-SHM, 2:10-cv-02188-SHM-tmp. (Mays, Samuel) (Entered: 09/09/2011)


09/20/2011 175 RESPONSE in Opposition re (363 in 2:07-cv-02784-SHM-dkv) MOTION to Strike (320) Affidavit, (356) Response in Opposition to Motion,,,, Plaintiffs' and Funds' Joint Motion to Stike the Declaration and Supplemental Declaration of Nancy J. Moore, proposed order submitted, , (140 in 2:08-cv-02260-SHM-dkv) MOTION to Strike (111) Affidavit, (135) Response in Opposition to Motion,,,, Plaintiffs' and Funds' Joint Motion to Strike the Declaration and Supplemental Declaration of Nancy J. Moore, proposed order submitted, proposed order submitted filed by J. Kenneth Alderman, G. Douglas Edwards, Thomas R. Gamble, David M George, James C. Kelsoe, Jr, MK Holding, Inc., Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Regions Bank, Regions Financial Corporation, Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08- cv-02260-SHM-dkv(Curley, Matthew) (Entered: 09/20/2011)

09/22/2011 176 RESPONSE in Opposition re (138 in 2:09-md-02009-SHM) MOTION to Dismiss Claims in Counts VI, VII, and X of the Corrected Third Amended Class Action Complaint filed by Terry Hamby, Robert H, Harrison, Nancy Jackson, Gary Shamblin, Ceasar L. Smith. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 09/22/2011)

09/22/2011 177 MOTION for Leave to File Excess Pages Proposed Order Submitted by All Plaintiffs. (Attachments: # 1 Exhibit A)Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192- SHM-dkv(Gerend, Matthew) (Entered: 09/22/2011)

09/26/2011 178 ORDER GRANTING (265) Motion for Leave to File Excess Pages in case 2:08-cv-02192-SHM-dkv; ORDER GRANTING (177) Motion for Leave to File Excess Pages in case 2:09-md-02009-SHM. Signed by Judge Samuel H. Mays, Jr on 9/26/2011. Associated Cases: 2:09-md-02009-SHM, 2:08-cv-02192-SHM-dkv(Mays, Samuel)

(Entered: 09/27/2011)

09/30/2011 179 Joint MOTION for Leave to File and Memorandum in Support for Leave to File Reply to Defendants' Response in Opposition to Lead Plaintiffs', Derivative Plaintiffs' and Funds' Joint Motion to Strike the Declaration and Supplemental Declaration of Nancy J. Moore, proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Morgan Keegan Select Fund, Inc., Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High- Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009- SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 09/30/2011)

10/03/2011 180 RESPONSE in Opposition re (142 in 2:08-cv-02260-SHM-dkv) Joint MOTION for Leave to File and Memorandum in Support for Leave to File Reply to Defendants' Response in Opposition to Lead Plaintiffs', Derivative Plaintiffs' and Funds' Joint Motion to Strike the Declaration and Supplemental Defendants' Opposition to Joint Motion for Leave to File Reply (proposed order submitted) filed by J. Kenneth Alderman, G. Douglas Edwards, Thomas R. Gamble, David M George, James C. Kelsoe, Jr, MK Holding, Inc., Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Curley, Matthew) (Entered: 10/03/2011)

10/03/2011

10/07/2011

10/11/2011


183 NOTICE by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, James P. Whitaker, Peggy C. Whitaker , Notice of Change of Affiliation of Counsel (Vernon J. Vander Weide) for Plaintiffs, Associated Cases: 2:09-md-02009-SHM, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 10/07/2011)

184 ORDER REFERRING CASE to Magistrate Judge Diane K. Vescovo. Signed by Judge Samuel H. Mays, Jr on 10/11/2011. (Entered: 10/11/2011)

10/12/2011 185 MEMORANDUM in Support re (255 in 2:08-cv-02192-SHM-dkv) MOTION Motion to Exceed Page Limit re (251) Amended Complaint, proposed order submitted filed by G Douglas Edwards, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company Inc, Brian Sullivan. Associated Cases: 2:09-md-02009- dkv, 2:08-cv-02192-SHM-dkv(Curley, Matthew) (Entered: 10/12/2011)

10/12/2011

10/14/2011

186 Judge Samuel H. Mays, Jr re-added to case. Erroneously removed upon entry of order #184. (jml) (Entered: 10/12/2011)

187 ORDER GRANTING MOTION FOR LEAVE TO FILE REPLY IN SUPPORT OF MOTION FOR ATTORNEYS' FEES AND OTHER LITIGATION EXPENSES, signed by Judge Samuel H. Mays, Jr on 10/11/2011. Associated Cases: 2:09-md- 02009-SHM-dkv, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv (Entered:

10/14/2011)

10/14/2011 188 RESPONSE in Opposition re (254 in 2:08-cv-02192-SHM-dkv) MOTION to Dismiss Plaintiffs' Third Amended Consolidated Complaint (proposed order submitted) filed by Terry Hamby, Robert H, Harrison, Nancy Jackson, Ceasar L. Smith. Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Gerend, Matthew) (Entered: 10/14/2011)


10/21/2011 190 MOTION to Withdraw as Attorney Jeffrey A. Lee by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. Associated Cases: 2:09-md-02009-SHM-dkv et al.(Fruin, Peter) (Entered: 10/21/2011)

10/24/2011 191 MOTION for Leave to File Excess Pages and Memorandum in Support (proposed order submitted) by G Douglas Edwards, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company Inc, Brian Sullivan. (Attachments: # 1 Exhibit A, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Curley, Matthew) (Entered: 10/24/2011)

10/24/2011 192 REPLY to Response to Motion re 176 Response in Opposition to Motion, filed by Ken Alderman, Sherry Anthony, Candice W. Bagby, George W. Bryan, John Buchanan, John Daniel, Sharon Davis, Earnest W. Deavenport, Jr, Alan Deer, Harry Dinken, David B. Edmonds, Irene Esteves, James S.M. French, Chris Glaub, O.B. Grayson Hall, Jr, Martha R. Ingram, Ronnie Jackson, Bryan Jordan, Tim Laney, Susan Martinez, Susan W. Matlock, W. Charles Mayer, III, Tusa McNary, Claude B. Nielsen, Regions Bank, Regions Financial Corporation, C. Dowd Ritter, David Rupp, Jill Shelton, Rusty Stephenson, Lea Stokes, Lee J. Styslinger, III, Tom Thompson, David Turner, Barbara H. Watson, William C. Wells, II, Alton E. Yother. (Zumwalt, Sarah) (Entered: 10/24/2011)

10/25/2011 193 NOTICE by Nancy Jackson, Gary Shamblin, Ceasar L. Smith, Barbara Williams Notice of Intent to Serve Subpoena (Attachments: # 1 Exhibit A - Subpoena to Constangy)Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 10/25/2011)

10/26/2011 194 ORDER GRANTING (270) Motion for Leave to File Excess Pages in case 2:08-cv-02192-SHM-dkv; and ORDER GRANTING (191) Motion for Leave to File Excess Pages in case 2:09-md-02009-SHM-dkv. Signed by Judge Samuel H. Mays, Jr on 10/26/11. Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Mays, Samuel) (Entered: 10/26/2011)

10/26/2011 195 ORDER granting (365) Motion for Leave to File in case 2:07-cv-02784-SHM-dkv; granting (179) Motion for Leave to File in case 2:09-md-02009-SHM-dkv. Joint reply due 14 days from the date of entry of htis order and shall not exceed 10 pages in length. Signed by Magistrate Judge Diane K. Vescovo on 10/26/2011. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Vescovo, Diane) (Entered: 10/26/2011)

10/26/2011 196 RESPONSE in Support re (254 in 2:08-cv-02192-SHM-dkv) MOTION to Dismiss Plaintiffs' Third Amended Consolidated Complaint (proposed order submitted) filed

by G Douglas Edwards, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company Inc, Brian Sullivan. Associated Cases: 2:09-md-02009- SHM-dkv, 2:08-cv-02192-SHM-dkv(Curley, Matthew) (Entered: 10/26/2011)

10/27/2011

10/31/2011

197 REPLY to Response to Motion re (364 in 2:07-cv-02784-SHM-dkv, 141 in 2:08-cv- 02260-SHM-dkv, 175 in 2:09-md-02009-SHM-dkv) Response in Opposition to Motion,,,, proposed order submitted, filed by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Morgan Keegan Select Fund, Inc., Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Declaration of Jerome A. Broadhurst in Support of Derivative Plaintiffs', Lead Plaintiffs' and Funds' Joint Motion to Strike the Declaration and Supplemental Declaration of Nancy J. Moore,)Associated Cases: 2:09-md-02009- SHM-dkv, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 10/27/2011)

198 MOTION to Withdraw as Attorney proposed order submitted by Morgan Asset Management, Inc, Morgan Asset Management, Inc., Morgan Keegan & Company Inc, Morgan Keegan & Co., Inc., Morgan Asset Management Inc, MK Holding, Inc., Morgan Keegan & Company, Inc., MK Holdings, Inc.. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv et al.(Curley, Matthew) (Entered: 10/31/2011)

11/01/2011 199 NOTICE of Appearance by W. Brantley Phillips, Jr on behalf of MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Phillips, W.) (Entered: 11/01/2011)

11/01/2011 200 NOTICE by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. re (196 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss, (197 in 2:07-cv-02830-SHM-dkv) MOTION for Leave to File Excess Pages Defendants' Notice of Filing Supplemental Authority (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Phillips, W.) (Entered: 11/01/2011)

11/02/2011 201 NOTICE from the Court of Appeals the unpon consideration of the motion of Matthew M. Curley to withdraw as co-counsel for the appellees, It is ORDERED that the moiton be and it hereby is GRANTED. (jld) (Entered: 11/02/2011)

11/03/2011 207 ORDER granting (269) Motion to Withdraw as Attorney. Attorney Jeffrey A. Lee terminated in case 2:08-cv-02192-SHM-dkv; ORDER granting (190) Motion to Withdraw as Attorney. Attorney Jeffrey A. Lee terminated in case 2:09-md-02009- SHM-dkv. Signed by Judge Samuel H. Mays, Jr on 11/3/11. Associated Cases: 2:09- md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Mays, Samuel) (Entered: 11/17/2011)

11/04/2011 202 STIPULATION re (223 in 2:08-cv-02192-SHM-dkv, 223 in 2:08-cv-02192-SHM-dkv) Scheduling Order, Set Hearings,,,, JOINT STIPULATION FOR ENTRY OF REVISED SCHEDULING ORDER by Ken Alderman, Sherry Anthony, Candice W. Bagby, George W. Bryan, John Buchanan, John Daniel, Sharon Davis, Earnest W. Deavenport, Jr, Alan Deer, Harry Dinken, David B. Edmonds, Irene Esteves, James

S.M. French, Chris Glaub, O.B. Grayson Hall, Jr, Martha R. Ingram, Ronnie Jackson, Bryan Jordan, Tim Laney, Susan Martinez, Susan W. Matlock, W. Charles Mayer, III, Tusa McNary, Claude B. Nielsen, Regions Bank, Regions Financial Corporation, Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation, C. Dowd Ritter, David Rupp, Jill Shelton, Rusty Stephenson, Lea Stokes, Lee J. Styslinger, III, Tom Thompson, David Turner, Barbara H. Watson, William C. Wells, II, Alton E. Yother, Terry Hamby, Robert H, Harrison, Nancy Jackson, Gary Shamblin, Ceasar L. Smith, Barbara Williams, Kemmons Wilson, Jr. Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Wetherald, Margaret) (Entered: 11/04/2011)

11/07/2011 203 RESPONSE in Opposition re (196 in 2:07-cv-02830-SHM-dkv) MOTION to Dismiss I PLAINTIFFS RESPONSE TO DEFENDANTS NOTICE OF FILING SUPPLEMENTAL AUTHORITY filed by C. Fred Daniels, Larry Lattimore, Dr. J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Exhibit A)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 11/07/2011)

11/08/2011 204 NOTICE by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. re (216 in 2:07-cv-02830-SHM-dkv, 105 in 2:09-md-02009-SHM-dkv) Notice (Other),, Defendants' Response to Plaintiffs' Supplemental Authority Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Phillips, W.) (Entered: 11/08/2011)

11/14/2011 205 STIPULATION of Dismissal of Bond Fund Claims Against Defendants Stephenson, Martinez and Watson Without Prejudice (Proposed Order Submitted) by C. Fred Daniels, Terry Hamby, Robert H, Harrison, Nancy Jackson, Gary Shamblin, Ceasar L. Smith, Barbara Williams. Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Loeser, Derek) (Entered: 11/14/2011)

11/15/2011 206 ORDER GRANTING (373) Motion to Withdraw as Attorney. Attorney Matthew M. Curley terminated in ALL of the following cases 2:07-cv-02784-SHM-dkv;. Signed by Judge Samuel H. Mays, Jr on 11/15/2011. Associated Cases: 2:07-cv-02830-SHM-dkv; 2:08-cv-02192-SHM-dkv; 2:08-cv-02260-SHM-dkv; 2:08-cv-02280-SHM-dkv; 2:09-cv-02520-SHM-dkv; 2:09-cv-02544-SHM-dkv; 2:09-cv-02557-SHM-dkv; 2:10- cv-02188-SHM-dkv; 2:10-cv-02260-SHM-dkv; 2:10-cv-02278-SHM-dkv; 2:10-cv-02279-SHM-dkv; 2:10-cv-02439-SHM-dkv; 2:09-md-02009-SHM-dkv (Mays, Samuel) (Entered: 11/16/2011)

11/18/2011 208 NOTICE by Terry Hamby, Nancy Jackson, Gary Shamblin, Barbara Williams Notice of Intent to Serve Subpoena (Attachments: # 1 Subpoena to Ayco and Exhibit A)Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 11/18/2011)

11/18/2011 209 REVISED SCHEDULING ORDER, signed by Judge Samuel H. Mays, Jr on 11/17/2011. (Mays, Samuel) Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv (Entered: 11/18/2011)

11/18/2011 210 NOTICE of Appearance by Britt King Latham on behalf of Morgan Asset Management, Inc. (Latham, Britt) (Entered: 11/18/2011)

11/18/2011 211 RESPONSE to Motion re (138 in 2:09-md-02009-SHM-dkv) MOTION to Dismiss Claims in Counts VI, VII, and X of the Corrected Third Amended Class Action

Complaint Surreply in Opposition to Motion filed by C. Fred Daniels, Terry Hamby, Robert H, Harrison, Gary Shamblin, Ceasar L. Smith, Barbara Williams. Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Gerend, Matthew) (Entered: 11/18/2011)

11/18/2011 212 AFFIDAVIT re (289 in 2:08-cv-02192-SHM-dkv) Response to Motion, Declaration of Cari C. Laufenberg in Opposition to Motion by C. Fred Daniels, Terry Hamby, Robert H, Harrison, Nancy Jackson, Gary Shamblin, Ceasar L. Smith, Barbara Williams. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Laufenberg, Cari) (Entered: 11/18/2011)

11/18/2011 228 NOTICE TO COUNSEL - Text Only Entry by Judicial Panel on Multidistrict Litigation. (Associated Cases: 2:09-md-02009-SHM-dkv et al.)(rmp) (Entered: 01/11/2012)

11/23/2011 213 JOINT STIPULATION AND ORDER DISMISSING BOND FUND CLAIMS AGAINST DEFENDANTS STEPHENSON, MARTINEZ AND WATSON WITHOUT PREJUDICE. Signed by Judge Samuel H. Mays, Jr on 11/23/2011. Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Mays, Samuel) (Entered: 11/28/2011)

12/01/2011 214 NOTICE by Terry Hamby, Nancy Jackson, Gary Shamblin, Barbara Williams Notice of Intent to Serve Subpoena (Attachments: # 1 Exhibit Subpoena to Alston & Bird)Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 12/01/2011)


12/05/2011 216 ORDER, signed by Judge Samuel H. Mays, Jr on 11/23/2011. Attorney Jeffrey A. Lee is withdrawn as counsel of record for the Regions Defendants in this matter. (Mays, Samuel) Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv (Entered: 12/05/2011)

12/07/2011 217 Minute Entry for proceedings held before Magistrate Judge Diane K. Vescovo: Motion Hearing held on 12/7/2011 re (363 in 2:07-cv-02784-SHM-dkv) MOTION to Strike (320) Affidavit, (356) Response in Opposition to Motion, Plaintiffs' and Funds' Joint Motion to Stike the Declaration and Supplemental Declaration of Nancy J. Moore, filed by Dajalis, LTD, Frank D Tutor, Morgan Keegan Select Fund, Inc., H Austin Landers, Jeanette H Landers, Estate of Kathryn S. Cashdollar, (140 in 2:08-cv-02260- SHM-dkv) MOTION to Strike (111) Affidavit, (135) Response in Opposition to Motion, Plaintiffs' and Funds' Joint Motion to Strike the Declaration and Supplemental Declaration of Nancy J. Moore, filed by Morgan Keegan Select Short-term Bond Fund, Regions Morgan Keega Select Intermediate Bond Fund, James H. Frazier, Regions Morgan Keega Select High-Income Fund, Morgan Keegan Select Fund, Inc., Jennifer H. Landers, Peggy C. Whitaker, Diana W Crump, H. Austin Landers, James P. Whitaker, (182 in 2:09-md-02009-SHM-dkv) MOTION to Strike (131) Response in Opposition to Motion, filed by Regions Morgan Keegan Securities, Derivative and Employee Retirement Income Secuirty Act (ERISA) Litigation. Preliminary matters addressed. The Court informed parties of potential conflicts and informed them that if they wanted a recusal a motion should be filed. The Court noted that this motion is in

part a daubert motion. After hearing oral argument of counsel, the Court takes this matter under advisement and will enter a written opinion. Attorneys present: J. Broadhurst, V. Vander Weide, G. Fishbein, C. Reaves, K. Logue, P. Fruin, S. Tate, J. Crace, T. Barnett, A. Harvey, L. Bearman, D. Largio & J. McQuiston.- (Court Reporter Lynn Dudley.) Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784- SHM-dkv, 2:08-cv-02260-SHM-dkv(bag) (Entered: 12/07/2011)

12/15/2011

12/20/2011

12/20/2011

12/21/2011

218 MOTION to Withdraw as Attorney and Supporting Memorandum, proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Frank D Tutor, James H. Frazier, H. Austin Landers, Jennifer H. Landers, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 12/15/2011)



222 ORDER GRANTING (377) Motion to Withdraw as Attorney. Attorney Timothy J. Becker AND Kirsten D. Hedberg terminated in case 2:09-2009-SHM-dkv (docket entry 218) ; 2:07-cv-02784-SHM-dkv; AND 2:08-cv-2260 (Docket Entry 154) Attorneys Timothy J. Becker AND Kirsten D. Hedberf terminated. Signed by Judge Samuel H. Mays, Jr on 12/21/11. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07- cv-02784-SHM-dkv, 2:08-cv-2260-SHM-dkv (Mays, Samuel) (Entered: 12/22/2011)

12/22/2011 219 MOTION for Hearing by Larry Bentley, Walter C Duncan. Associated Cases: 2:09- md-02009-SHM-dkv, 2:09-cv-02099-SHM-dkv, 2:10-cv-02640-SHM-dkv(Francis, J.) (Entered: 12/22/2011)




01/04/2012 226 ORDER denying (363) Motion to Strike in case 2:07-cv-02784-SHM-dkv; denying (140) Motion to Strike in case 2:08-cv-02260-SHM-dkv; denying (182) Motion to Strike in case 2:09-md-02009-SHM-dkv. Signed by Magistrate Judge Diane K. Vescovo on 1/4/2012. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784- SHM-dkv, 2:08-cv-02260-SHM-dkv(Vescovo, Diane) (Entered: 01/04/2012)

01/06/2012 227 NOTICE of Change of Address by Ellen M. Doyle Associated Cases: 2:09-md-02009- SHM-dkv, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 01/06/2012)

01/12/2012 229 NOTICE of Appearance by Steven Lawrence Polk on behalf of Ken Alderman, Thomas R. Gamble, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Brian B. Sullivan, David H. Tannehill, THOMPSON WELLER, Joseph C. Weller, Michele F. Wood Associated Cases: 2:09-md-02009-SHM-dkv, 2:11-cv-02935-SHM-tmp(Polk, Steven) (Entered: 01/12/2012)

01/13/2012 230 MOTION to Dismiss Plaintiff's' Verified Amended Shareholder Derivative Complaint by J. Kenneth Alderman, Thomas R. Gamble, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Brian B. Sullivan, David H. Tannehill, THOMPSON WELLER, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Affidavit Declaration of Britt K. Latham, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J, # 12 Exhibit K, # 13 Exhibit L, # 14 Exhibit M, # 15 Exhibit N, # 16 Exhibit O, # 17 Exhibit P, # 18 Exhibit Q, # 19 Exhibit R, # 20 Exhibit S, # 21 Exhibit T, # 22 Exhibit U)Associated Cases: 2:09-md-02009-SHM-dkv, 2:11-cv-02935-SHM-tmp(Latham, Britt) (Entered: 01/13/2012)

01/13/2012 231 MOTION for Leave to File Excess Pages proposed order submitted by J. Kenneth Alderman, Thomas R. Gamble, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Brian B. Sullivan, David H. Tannehill, THOMPSON WELLER, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Exhibit A - Memorandum in Support of Motion to Dismiss Plaintiffs' Verified Amended Shareholder Derivative Complaint, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:11-cv-02935-SHM-tmp(Latham, Britt) (Entered: 01/13/2012)

02/24/2012 232 NOTICE by C. Fred Daniels, Robert H, Harrison, Nancy Jackson, Gary Shamblin, Ceasar L. Smith, Barbara Williams re (268 in 2:08-cv-02192-SHM-dkv) Response in Opposition to Motion, of Supplemental Authority (Attachments: # 1 Exhibit A)Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Gerend, Matthew) (Entered: 02/24/2012)

03/14/2012 233 NOTICE by Carter E. Anthony Leave of Absence Associated Cases: 2:09-md-02009- SHM-dkv et al.(Meeks, R.) (Entered: 03/14/2012)

03/23/2012 234 NOTICE by Ken Alderman, G Douglas Edwards, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company Inc, Brian Sullivan re (296 in 2:08- cv-02192-SHM-dkv, 232 in 2:09-md-02009-SHM-dkv) Notice (Other), Defendants' Response to Plaintiffs' Notice of Supplemental Authority Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Phillips, W.) (Entered: 03/23/2012)

03/26/2012 237 ORDER granting 154 Motion for Leave to File Sur-Sur-Replies. Signed by Judge Samuel H. Mays, Jr on 3/26/12. (Mays, Samuel) (Entered: 03/29/2012)

03/28/2012 235 MOTION for Leave to File Excess Pages Motion to Exceed Page Limit for Reply Memorandum in Support of Motion to Dismiss filed by Defendants, and Memorandum in Support (proposed order submitted) by J. Kenneth Alderman, Thomas R. Gamble, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Brian B. Sullivan, David H. Tannehill, THOMPSON WELLER, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Exhibit A-Reply Memorandum, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009- SHM-dkv, 2:11-cv-02935-SHM-tmp(Latham, Britt) (Entered: 03/28/2012)

03/28/2012 236 ORDER granting 98 Motion to Amend/Correct Joint Motion for Settlement. Signed by Judge Samuel H. Mays, Jr on 3/28/12. (Mays, Samuel) (Entered: 03/29/2012)

03/30/2012 238 ORDER granting (235) Motion for Leave to File Excess Pages and ORDER granting (38) Motion for Leave to File Excess Pages in case 2:11-cv-02935-SHM-tmp. Signed by Judge Samuel H. Mays, Jr on 3/30/12. Associated Cases: 2:09-md-02009-SHM-

dkv, 2:11-cv-02935-SHM-tmp(Mays, Samuel) (Entered: 03/30/2012)

03/30/2012 239 ORDER denying (196) Motion to Dismiss; granting in part and denying in part (198) Motion to Dismiss; denying (200) Motion to Dismiss; granting in part and denying in part (201) Motion to Dismiss; denying (202) Motion to Dismiss in case 2:07-cv-02830-SHM-dkv. Signed by Judge Samuel H. Mays, Jr on 3/30/12. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Mays, Samuel) (Entered: 03/30/2012)

04/02/2012 240 NOTICE of Appearance by Britt King Latham on behalf of Ken Alderman, G Douglas Edwards, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company Inc, Brian Sullivan Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Latham, Britt) (Entered: 04/02/2012)

04/04/2012 241 MEMORANDUM in Support re (230 in 2:09-md-02009-SHM-dkv, 33 in 2:11-cv-02935-SHM-tmp) MOTION to Dismiss Plaintiff's' Verified Amended Shareholder Derivative Complaint Reply Memorandum in Support of Motion to Dismiss Plaintiffs' Veritified Amended Shareholder Derivative Complaint filed by J. Kenneth Alderman, Thomas R. Gamble, James C. Kelsoe, Jr, Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Brian B. Sullivan, David H. Tannehill, THOMPSON WELLER, Joseph C. Weller, Michele F. Wood. Associated Cases: 2:09- md-02009-SHM-dkv, 2:11-cv-02935-SHM-tmp(Latham, Britt) (Entered: 04/04/2012)

04/13/2012 242 NOTICE by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Latham, Britt) (Entered: 04/13/2012)

04/13/2012 243 MOTION for Extension of Time to File Answer re (242 in 2:09-md-02009-SHM-dkv, 248 in 2:07-cv-02830-SHM-dkv) Notice (Other), (186 in 2:07-cv-02830-SHM-dkv) Amended Complaint,,, Unopposed Motion of Defendants for Extension of Time to Answer Plaintiffs' Consolidated Amended Class Action Complaint and Memorandum in Support (proposed order submitted) by J. Kenneth Alderman, Carter E. Anthony, James C. Kelsoe, Jr, MK Holding, Inc., Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., RMK Advantage Income Fund, Inc., RMK High Income Fund, Inc., RMK Multi-Sector High Income Fund, Inc., RMK Strategic Income Fund, Inc., Regions Financial Corporation, Brian B. Sullivan, Joseph C. Weller. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Latham, Britt) (Entered: 04/13/2012)

04/13/2012 244 AMENDED COMPLAINT Consolidated for Violations of the Federal Securities Laws against Ken Alderman, Morgan Asset Management, Inc., Regions Financial Corporation, Carter E. Anthony, James C. Kelsoe, Jr, MK Holding, Inc., Allen B. Morgan, Jr, Morgan Keegan & Company, Inc., RMK Multi-Sector High Income Fund, Inc., Brian B. Sullivan, Joseph C. Weller, RMK High Income Fund, Inc., RMK Strategic Income Fund, Inc., RMK Advantage Income Fund, Inc., filed by J. Samir Sulieman, C. Fred Daniels, The Lion Fund, L.P., Larry Lattimore. (Attachments: # 1 Exhibit A: Exh 134 - mk1 WMS Overview, # 2 Exhibit B: A Guide to the Lehman Brothers Global Family of Indices, # 3 Exhibit C: Exhibit 95 - Stringer Email 5-15-07 re MKIBX, # 4 Exhibit D: 2010.04.07 SEC Cease and Desist Order, # 5 Exhibit E: Certification for Lion Fund Amended, # 6 Exhibit F: Amended Certification of Sulieman, # 7 Exhibit G: Certification for Larry Lattimore, # 8 Exhibit H: Certification

for McAbee Foundation Trust, # 9 Exhibit I: Trustee Ad Litem Order - Exhibit A, # 10 Exhibit J: Exhibit 104A - Landers 2-23-07 NORMA, # 11 Exhibit K: Exhibit 104B - Landers 2-23-07 Silvers Elms, # 12 Exhibit L: Exhibit 104C - Landers 2-26-07 GSAM2, # 13 Exhibit M: Exhibit 104D - Landers 4-24-07 Centurion VII, # 14 Exhibit N: Exhibit 104E - Landers 5-1-07 Squared CDO, # 15 Exhibit O: Exhibit 104F - Landers 5-29-07 MAC, # 16 Exhibit P: Exhibit 104G - Landers 6-26-07 Broderick CDO, # 17 Exhibit Q: Exhibit 104H - Landers 6-26-07 Parcs, # 18 Exhibit R: Exhibit 104I - Landers 7-2-07 Alladin 2006-3A, # 19 Exhibit S: Exhibit 75 - Due Diligence Policy - Client Approved, # 20 Exhibit T: Exhibit 76 - Escue frustrtion email 7-23-07 re obstruction of Due Diligence, # 21 Exhibit U: Escue frustration email 7-31-07 re obstruction of Due Diligence, # 22 Exhibit V: Joint Notice of Intent)(Stranch, J.) (Entered: 04/13/2012)

04/18/2012 245 REPLY to Response to Motion re (132 in 2:08-cv-02260-SHM-dkv, 129 in 2:09-md-02009-SHM-dkv, 353 in 2:07-cv-02784-SHM-dkv) Reply to Response to Motion,, (354 in 2:07-cv-02784-SHM-dkv) Reply to Response to Motion, (134 in 2:08-cv-02260-SHM-dkv) Reply to Response to Motion, (356 in 2:07-cv-02784-SHM-dkv, 131 in 2:09-md-02009-SHM-dkv, 135 in 2:08-cv-02260-SHM-dkv) Response in Opposition to Motion,,,, (133 in 2:08-cv-02260-SHM-dkv) Reply to Response to Motion -- Plaintiffs' Consolidated Memorandum in Sur-Sur-Reply to Defendants' Sur-Replies in Opposition to (1) Joint Motion for Preliminary Approval of Partial Settlement and (2) Joint Motion for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Amended Memorandum of Understanding filed by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Frank D Tutor, Diana W Crump, James H. Frazier, H. Austin Landers, Jennifer H. Landers, James P. Whitaker, Peggy C. Whitaker. (Attachments: # 1 Declaration of Jerome A. Broadhurst)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv(Broadhurst, Jerome) (Entered: 04/18/2012)

04/18/2012 246 REPLY to Response to Motion re (132 in 2:08-cv-02260-SHM-dkv, 129 in 2:09-md-02009-SHM-dkv, 353 in 2:07-cv-02784-SHM-dkv) Reply to Response to Motion,, (354 in 2:07-cv-02784-SHM-dkv) Reply to Response to Motion, (134 in 2:08-cv-02260-SHM-dkv) Reply to Response to Motion, (356 in 2:07-cv-02784-SHM-dkv, 131 in 2:09-md-02009-SHM-dkv, 135 in 2:08-cv-02260-SHM-dkv) Response in Opposition to Motion,,,, (133 in 2:08-cv-02260-SHM-dkv) Reply to Response to Motion Settling Fund Defendants' Memorandum in Sur-Sur-Reply to Defendants' Opposition to Joint Motion for Preliminary Approval of Partial Settlement and Joint Motion for Approval of Rule 23.1 Notice to Shareholders and for Final Approval of the Amended Memorandum of Understanding filed by Morgan Keegan Select Fund, Inc., Morgan Keegan Select Fund, Inc., Regions Morgan Keega Select High-Income Fund, Regions Morgan Keega Select Intermediate Bond Fund, Morgan Keegan Select Short-term Bond Fund. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784- SHM-dkv, 2:08-cv-02260-SHM-dkv(Logue, Kevin) (Entered: 04/18/2012)

04/19/2012 247 Mail Returned as Undeliverable as to #239. Mail sent to Paul Dobrowski. (jml) (Entered: 04/19/2012)



04/25/2012 250 MOTION to Alter Judgment Motion to Amend Order of March 30, 2012 to Certify for Immediate Interlocutory Appeal and for Stay of Proceedings Pending Appeal (proposed order submitted) by J. Kenneth Alderman, James C. Kelsoe, Jr, MK Holding, Inc., Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Regions Financial Corporation, Brian B. Sullivan, Joseph C. Weller. (Attachments: # 1 Memorandum in Support of Motion to Amend Order of March 30, 2012)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Latham, Britt) (Entered: 04/25/2012)

04/26/2012 251 STIPULATION and Proposed Order re Briefing Schedule and Page Limits for Plaintiffs' Motion for Class Certification by Terry Hamby, Robert H, Harrison, Nancy Jackson, Barbara Williams. Associated Cases: 2:09-md-02009-SHM-dkv, 2:08-cv-02192-SHM-dkv(Doyle, Ellen) (Entered: 04/26/2012)

04/30/2012 252 NOTICE by Carter E. Anthony Notice of Leave of Absence Associated Cases: 2:09- md-02009-SHM-dkv et al.(Meeks, R.) (Entered: 04/30/2012)

05/08/2012 253 Joint MOTION to Stay proposed order submitted by All Parties. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Latham, Britt) (Entered: 05/08/2012)

05/08/2012 254 Joint MOTION to Stay proposed order submitted by All Parties. Associated Cases: 2:09-md-02009-SHM-dkv, 2:11-cv-02935-SHM-tmp(Latham, Britt) (Entered: 05/08/2012)

05/24/2012 255 Joint MOTION to Stay proposed order submitted by All Parties. (Loeser, Derek) (Entered: 05/24/2012)

05/25/2012 256 ORDER granting 255 Motion to Stay for 120 days pending settlement negotiations. Signed by Magistrate Judge Diane K. Vescovo on 5/25/2012. (Vescovo, Diane) (Entered: 05/25/2012)

05/31/2012 257 NOTICE of Appearance by W. Brantley Phillips, Jr on behalf of Ken Alderman, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Brian B. Sullivan (Phillips, W.) (Entered: 05/31/2012)

06/06/2012 258 MOTION for Leave to File Second Consolidated Amended Class Action Complaint, proposed order submitted, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Frank D Tutor. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv(Broadhurst, Jerome) (Entered: 06/06/2012)

06/06/2012 259 Sealed Document Lead Plaintiffs' Memorandum in Support of Motion for Leave to Amend Consolidated Amended Class Action Complaint Pursuant to Rule 15(a)(2) of the Federal Rules of Civil Procedure. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv(Broadhurst, Jerome) (Entered: 06/06/2012)

06/06/2012 260 AFFIDAVIT re (259 in 2:09-md-02009-SHM-dkv, 393 in 2:07-cv-02784-SHM-dkv) Sealed Document, (258 in 2:09-md-02009-SHM-dkv, 392 in 2:07-cv-02784-SHM-dkv) MOTION for Leave to File Second Consolidated Amended Class Action Complaint, proposed order submitted, Declaration of Jerome A. Broadhurst in Support of Lead Plaintiffs' Memorandum in Support of Motion for Leave to Amend Consolidated Amended Class Action Complaint Pursuant to Rule 15(a)(2) of the

Federal Rules of Civil Procedure, by Dajalis, LTD, Estate of Kathryn S. Cashdollar, H Austin Landers, Jeanette H Landers, Frank D Tutor. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv(Broadhurst, Jerome) (Entered: 06/06/2012)

06/06/2012 261 Sealed Document referenced as Exhibit A: [Proposed] Second Consolidated Amended Class Action Complaint in the Declaration of Jerome A. Broadhurst filed as ECF No. 260 in MDL No. 2:09-md-02009-SHM-dkv and as ECF No. 394 in Class Action Case No. 2:07-cv-02784-SHM-dkv in connection with Lead Plaintiffs' Motion for Leave to File Second Consolidated Amended Class Action Complaint (MDL ECF No. 258; Case No. 07-2784 ECF No. 392) . Associated Cases: 2:09-md-02009-SHM-dkv, 2:07- cv-02784-SHM-dkv(Broadhurst, Jerome) (Entered: 06/06/2012)

06/06/2012 262

06/20/2012 263

Sealed Document referenced as Exhibit B: [Proposed] Second Consolidated Amended Class Action Complaint marked to highlight changes to the Consolidated Amended Class Action Complaint (ECF No. 218 in Case No. 07-2784) in the Declaration of Jerome A. Broadhurst filed as ECF No. 260 in MDL No. 2:09-md-02009-SHM-dkv and as ECF No. 394 in Class Action Case No. 2:07-cv-02784-SHM-dkv in connection with Lead Plaintiffs' Motion for Leave to File Second Consolidated Amended Class Action Complaint (MDL ECF No. 258; Case No. 07-2784 ECF No. 392) . Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv(Broadhurst, Jerome) (Entered: 06/06/2012)

MOTION for Extension of Time to File Response/Reply as to (258 in 2:09-md-02009- SHM-dkv, 392 in 2:07-cv-02784-SHM-dkv) MOTION for Leave to File Second Consolidated Amended Class Action Complaint, proposed order submitted, Unopposed Motion of Defendants for Extension of Time to Respond to Lead Plaintiffs' Motion for Leave to Amend Consolidated Amended Class Action Complaint and Memorandum in Support (proposed order submitted ) by J. Kenneth Alderman, Carter E. Anthony, Jack R. Blair, G. Douglas Edwards, Thomas R. Gamble, David M George, Albert C. Johnson, James C. Kelsoe, Jr, MK Holding, Inc., William Jeffries Mann, Charles D. Maxwell, James Stillman R. McFadden, Allen B. Morgan, Jr, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., W. Randall Pittman, PricewaterhouseCoopers LLP, Regions Bank, Regions Financial Corporation, Mary S. Stone, Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Joseph C. Weller, Archie W. Willis, III, Michele F. Wood, Helios Select Fund, Inc., HELIOS Select Short Term Bond Fund, Inc., HELIOS Select Intermediate Bond Fund, HELIOS Select High Income Fund. (Attachments: # 1 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv(Latham, Britt) (Entered: 06/20/2012)

07/03/2012 264 ORDER GRANTING MOTION 391 TO WITHDRAW AS COUNSEL OF RECORD, signed by Judge Samuel H. Mays, Jr. on 07/03/2012. Atty Martin W. Zummach withdrawn as counsel of record for Regions Morgan Keegan Investor Group. (Mays, Samuel) Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv, 2:08-cv-02260-SHM-dkv (Entered: 07/03/2012)

07/06/2012 265 NOTICE by Ken Alderman, Brian B. Sullivan, Morgan Asset Management, Inc. of Substitution as Counsel of Record Associated Cases: 2:09-md-02009-SHM-dkv, 2:08- cv-02192-SHM-dkv(Fruin, Peter) (Entered: 07/06/2012)

07/06/2012 266 NOTICE by Ken Alderman, Morgan Asset Management, Inc., Brian B. Sullivan of

Substitution of Counsel of Record Associated Cases: 2:09-md-02009-SHM-dkv, 2:08- cv-02260-SHM-dkv(Fruin, Peter) (Entered: 07/06/2012)

07/06/2012 267 NOTICE by J. Kenneth Alderman, Morgan Asset Management, Inc., Brian B. Sullivan of Substitution of Counsel Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv(Fruin, Peter) (Entered: 07/06/2012)

07/06/2012 268 NOTICE by Morgan Asset Management, Inc. of Substitution of Counsel Associated Cases: 2:09-md-02009-SHM-dkv, 2:11-cv-02935-SHM-tmp(Fruin, Peter) (Entered: 07/06/2012)

08/03/2012 269 Joint MOTION to Extend Deadline of Stay..Proposed Order Submitted by All Parties. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 08/03/2012)

08/27/2012 270 ORDER GRANTING 45 MOTION to Extend Deadline of Current Stay. Signed by Judge Samuel H. Mays, Jr on 8/27/12. (jn) (Entered: 08/27/2012)


09/21/2012 272 Joint MOTION to Extend Deadline for Additional Eighteen-Day Extension of Current Stay by All Parties. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830- SHM-dkv(Latham, Britt) (Entered: 09/21/2012)

09/24/2012

273 NOTICE of the Mandate from the Court of Appeals. (jld) (Entered: 09/24/2012)


10/12/2012 276 STIPULATION AND AGREEMENT OF SETTLEMENT by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Exhibit A, # 2 Exhibit A-1, # 3 Exhibit A-2, # 4 Exhibit A-3, # 5 Exhibit B)Associated Cases: 2:09- md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Bernstein, Joel) (Entered: 10/12/2012)

10/12/2012 277 MOTION for Settlement LEAD PLAINTIFFS NOTICE OF UNOPPOSED MOTION FOR PRELIMINARY APPROVAL OF PROPOSED SETTLEMENT AND CLASS CERTIFICATION (proposed order submitted) by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE, # 2 CERTIFICATE OF CONSULTATION WITH RESPECT TO PLAINTIFFS UNOPPOSED MOTION FOR PRELIMINARY APPROVAL OF PROPOSED SETTLEMENT AND CLASS CERTIFICATION)Associated Cases: 2:09-md-02009- SHM-dkv, 2:07-cv-02830-SHM-dkv(Bernstein, Joel) (Entered: 10/12/2012)

10/12/2012 278 MEMORANDUM in Support re (261 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement LEAD PLAINTIFFS NOTICE OF UNOPPOSED MOTION FOR PRELIMINARY APPROVAL OF PROPOSED SETTLEMENT AND CLASS CERTIFICATION (proposed order submitted) filed by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Bernstein, Joel) (Entered: 10/12/2012)

10/12/2012 279 AFFIDAVIT re (261 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement LEAD

10/12/2012 280

PLAINTIFFS NOTICE OF UNOPPOSED MOTION FOR PRELIMINARY APPROVAL OF PROPOSED SETTLEMENT AND CLASS CERTIFICATION (proposed order submitted) DECLARATION OF JOEL H. BERNSTEIN IN SUPPORT OF LEAD PLAINTIFFS UNOPPOSED MOTION FOR PRELIMINARY APPROVAL OF PROPOSED SETTLEMENT AND CLASS CERTIFICATION by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Bernstein, Joel) (Entered: 10/12/2012)

Joint MOTION for Preliminary Approval of Settlement (Proposed Order Submitted) Proposed Order Submitted by Cecil Cannaday, Ronald Godfrey, Helios Advantage Income Fund, Inc., Helios High Income Fund, Inc., Helios Multi-Sector High Income Fund, Inc., Helios Strategic Income Fund, Inc.. (Attachments: # 1 Memorandum in Support of Joint Motion for Preliminary Approval, # 2 Exhibit 1-Stipulation, # 3 Exhibit 2-Proposed Order, # 4 Exhibit 3-Notice, # 5 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:11-cv-02935-SHM-tmp(Bramlett, Paul) (Entered: 10/12/2012)

12/17/2012 281 ORDER GRANTING JOINT MOTION 308 FOR EXTENSION OF STAY OF THE ACTION PENDING CONTINUED SETTLEMENT NEGOTIATIONS, signed by Judge Samuel H. Mays, Jr. on 12/14/2012. It is ORDERED that this action is stayed through January 15, 2013 to allow the Parties to continue ongoing settlement negotiations. In the event the Parties are not able to reach a settlement of the case prior to expiration of the stay, the Parties will jointly submit, on or before January 31, 2013, a Proposed Amended Scheduling Order for the completion of class certification discovery, class certification briefing, the completion of merits discovery, pre-trial disclosures, and trial. (Mays, Samuel) (Entered: 12/17/2012)

12/28/2012 282 Mail Returned as Undeliverable. Mail sent to Paul Dobrowski. (ac) (Entered: 12/28/2012)

01/02/2013 283 NOTICE of Appearance by Peter S. Fruin on behalf of Morgan Asset Management, Inc. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Fruin, Peter) (Entered: 01/02/2013)

01/04/2013 284 ORDER granting 277 Motion for Settlement. Signed by Judge Samuel H. Mays, Jr on January 4, 2013. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Order for In re Helios Closed-End Funds Litigation 11-2935, # 5 Exhibit A-1 of Order for In re Helios Closed-End Funds Litigation 11-2935) (Entered: 01/04/2013)

01/04/2013 285 ORDER granting 280 Motion. Signed by Judge Samuel H. Mays, Jr on January 4, 2013. (Attachments: # 1 Exhibit A-1, # 2 Order for In re RMK Closed-End Funds Litigation 07-2830, # 3 Exhibit 1 of Order for In re RMK Closed-End Funds Litigation 07-2830, # 4 Exhibit 2 of Order for In re RMK Closed-End Funds Litigation 07-2830, # 5 Exhibit 3 of Order for In re RMK Closed-End Funds Litigation 07-2830) (Entered: 01/04/2013)

01/28/2013 286 CONDITIONAL TRANFER ORDER (CTO-19) directing that case no. 12-04096 be transferred in from Alabama Northern to the Western District of Tennessee. Signed by Jeffery N. Luthi, Clerk of the Panel, on 12/28/12. Associated Cases: 2:09-md-02009- SHM-dkv et al. (new case no. 13-2053). (rmp) (Entered: 01/28/2013)

01/28/2013 287 ORDER LIFTING STAY as to Case No. 13-2053. Signed by Jeffery N. Luthi, Clerk

of the Panel, on 1/16/2013. Associated Cases: 2:09-md-02009-SHM-dkv et al. (rmp) (Entered: 01/28/2013)

01/30/2013 Case Stayed - Order lifting stay docketed on 1/28/2013 should not have been spread to MDL member cases. Associated Cases: 2:09-md-02009-SHM-dkv et al.(cbs) (Entered: 01/30/2013)


02/05/2013 288 NOTICE of Appearance by R. Harold Meeks, Jr on behalf of Carter E. Anthony (Meeks, R.) (Entered: 02/05/2013)



02/14/2013 292 MOTION for Leave to Appear Pro Hac Vice proposed order submitted. (Filing fee $ 100 receipt number 0651-1643646) by Carter E. Anthony. Associated Cases: 2:09-md-02009-SHM-dkv et al.(Wilson, Amanda) (Entered: 02/14/2013)

02/15/2013 293 ORDER GRANTING MOTION TO APPEAR PRO HAC VICE, signed by Judge Samuel H. Mays, Jr. on 02/14/2013. Attorney Amanda N. Wilson is admitted to participate in this action as counsel for defendant, Carter E. Anthony. MOTIONS (404) in case 2:07-cv-02784-SHM-dkv; (280) in case 2:07-cv-02830-SHM-dkv; (292) in case 2:09-md-02009-SHM-dkv; (48) in case 2:09-cv-02234-SHM-dkv; (63) in case 2:09-cv-02280-SHM-dkv; (28) in case 2:10-cv-02011-SHM-dkv; (14) in case 2:10-cv-02046-SHM-dkv; (86) in case 2:10-cv-02188-SHM-tmp; (46) in case 2:10-cv-02278- SHM-dkv; (50) in case 2:10-cv-02279-SHM-dkv; (39) in case 2:10-cv-02439-SHM-dkv; (44) in case 2:10-cv-02509-SHM-dkv; (63) in case 2:11-cv-02935-SHM-tmp GRANTED. (Mays, Samuel) (Entered: 02/15/2013)

02/15/2013 294 NOTICE by Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Regions Bank Notice of Withdrawal ofDefendants' Motion to Quash Subpoena and for a Protective Order (Attachments: # 1 Exhibit A, # 2 Exhibit B)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02784-SHM-dkv, 2:13-cv-02074-SHM-dkv, 2:13- cv-02095-SHM-dkv(Latham, Britt) (Entered: 02/15/2013)

03/05/2013 295 NOTICE of Appearance by Joseph Brent Crace, Jr on behalf of MK Holding, Inc., Morgan Keegan & Company, Inc., Morgan Keegan & Company Inc Associated Cases: 2:09-md-02009-SHM-dkv, 2:12-cv-02341-SHM-dkv(Crace, Joseph) (Entered: 03/05/2013)

03/05/2013 296 NOTICE of Appearance by Michael L. Dagley on behalf of MK Holding, Inc., Morgan Keegan & Company, Inc., Morgan Keegan & Company Inc Associated Cases: 2:09-md-02009-SHM-dkv, 2:12-cv-02341-SHM-dkv(Dagley, Michael) (Entered: 03/05/2013)

03/05/2013 297 NOTICE of Appearance by Britt King Latham on behalf of MK Holding, Inc., Morgan Keegan & Company, Inc., Morgan Keegan & Company Inc Associated Cases: 2:09- md-02009-SHM-dkv, 2:12-cv-02341-SHM-dkv(Latham, Britt) (Entered: 03/05/2013)

03/05/2013 298 NOTICE of Appearance by Michael A. Brady on behalf of MK Holding, Inc., Morgan Keegan & Company, Inc., Morgan Keegan & Company Inc Associated Cases: 2:09- md-02009-SHM-dkv, 2:12-cv-02341-SHM-dkv(Brady, Michael) (Entered: 03/05/2013)

03/05/2013 299 NOTICE of Appearance by Shepherd D. Tate on behalf of MK Holding, Inc., Morgan Keegan & Company, Inc., Morgan Keegan & Company Inc Associated Cases: 2:09- md-02009-SHM-dkv, 2:12-cv-02341-SHM-dkv(Tate, Shepherd) (Entered: 03/05/2013)

03/08/2013 300 MOTION for Settlement NOTICE OF MOTION OF PLAINTIFFS FOR FINAL APPROVAL OF PROPOSED SETTLEMENT AND PLAN OF ALLOCATION OF NET SETTLEMENT FUND AND FOR FINAL CLASS CERTIFICATION (Proposed Orders Submitted) by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 FINAL JUDGMENT AND ORDER OF DISMISSAL, # 2 [PROPOSED] ORDER APPROVING PLAN OF ALLOCATION OF NET SETTLEMENT FUND, # 3 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 03/08/2013)

03/08/2013 301 MEMORANDUM in Support re (283 in 2:07-cv-02830-SHM-dkv) MOTION for I Settlement NOTICE OF MOTION OF PLAINTIFFS FOR FINAL APPROVAL OF PROPOSED SETTLEMENT AND PLAN OF ALLOCATION OF NET SETTLEMENT FUND AND FOR FINAL CLASS CERTIFICATION (Proposed Orders Submitted) filed by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 03/08/2013)

03/08/2013 302 MOTION for Settlement NOTICE OF MOTION OF LEAD COUNSEL FOR AN AWARD OF ATTORNEYS FEES AND PAYMENT OF EXPENSES (Proposed Order Submitted) by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 [PROPOSED] ORDER AWARDING ATTORNEYS FEES AND EXPENSES, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009- SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 03/08/2013)

03/08/2013 303 MEMORANDUM in Support re (285 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF LEAD COUNSEL FOR AN AWARD OF ATTORNEYS FEES AND PAYMENT OF EXPENSES (Proposed Order Submitted) filed by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 03/08/2013)

03/08/2013 304 AFFIDAVIT re (285 in 2:07-cv-02830-SHM-dkv, 302 in 2:09-md-02009-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF LEAD COUNSEL FOR AN AWARD OF ATTORNEYS FEES AND PAYMENT OF EXPENSES (Proposed Order Submitted) , (283 in 2:07-cv-02830-SHM-dkv, 300 in 2:09-md-02009-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF PLAINTIFFS FOR FINAL APPROVAL OF PROPOSED SETTLEMENT AND PLAN OF ALLOCATION OF NET SETTLEMENT FUND AND FOR FINAL CLASS CERTIFICATION (Proposed Orders Submitted) DECLARATION OF DAVID J. GOLDSMITH IN SUPPORT OF PLAINTIFFS MOTION FOR FINAL APPROVAL OF PROPOSED SETTLEMENT AND PLAN OF ALLOCATION OF NET SETTLEMENT FUND AND FOR FINAL CLASS CERTIFICATION AND LEAD COUNSELS MOTION FOR AN AWARD OF

ATTORNEYS FEES AND PAYMENT OF EXPENSES by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 03/08/2013)

03/14/2013 305 NOTICE by Dana Howard, Mary Ann Howard, Purdue Avenue Investors LP Letter to Judge Mays Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02260-SHM-dkv(Sparks, Braden) (Entered: 03/14/2013)

03/15/2013 306 MOTION for Reconsideration re (21 in 2:12-cv-02341-SHM-dkv, 21 in 2:12-cv-02341-SHM-dkv) Order on Motion to Reassign Case, by Morgan Keegan & Company Inc. (Attachments: # 1 Exhibit)Associated Cases: 2:09-md-02009-SHM-dkv, 2:12-cv-02341-SHM-dkv(Mobley, Larry) (Entered: 03/15/2013)

03/21/2013 307 MOTION for Leave to Appear Pro Hac Vice . (Filing fee $ 100 receipt number 0651- 1664744) by Jerome M. Christenson. Associated Cases: 2:09-md-02009-SHM-dkv et al.(Prossnitz, Howard) (Entered: 03/21/2013)

03/21/2013 308 MOTION to Intervene by Jerome M. Christenson. Associated Cases: 2:09-md-02009- SHM-dkv, 2:07-cv-02830-SHM-dkv(Prossnitz, Howard) (Entered: 03/21/2013)

03/21/2013 309 RESPONSE in Opposition re (283 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF PLAINTIFFS FOR FINAL APPROVAL OF PROPOSED SETTLEMENT AND PLAN OF ALLOCATION OF NET SETTLEMENT FUND AND FOR FINAL CLASS CERTIFICATION (Proposed Orders Submitted) Objection to Final Approval of Settlement filed by Jerome M. Christenson. (Attachments: # 1 Exhibit A to C, # 2 Exhibit D to F)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Prossnitz, Howard) (Entered: 03/21/2013)

03/22/2013 310 ORDER GRANTING MOTION TO APPEAR PRO HAC VICE, signed by Judge Samuel H. Mays, Jr. on 03/22/2013. Attorney Howard B. Prossnitz is admitted to participate in this action as counsel for objectors Jerome and Gloria Christenson, Jerome Christenson as IRA Beneficiary. (Mays, Samuel) (Entered: 03/22/2013)

03/22/2013 311 NOTICE by Jerome M. Christenson re (290 in 2:07-cv-02830-SHM-dkv) MOTION for Leave to Appear Pro Hac Vice . (Filing fee $ 100 receipt number 0651-1664744) Errata Notice As to Associated Cases for Pro Hac Vice Motion Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Prossnitz, Howard) (Entered: 03/22/2013)

03/25/2013 312 ORDER GRANTING DEFENDANT'S MOTION 32 FOR LEAVE TO FILE REPLY MEMORANDUM, signed by Judge Samuel H. Mays, Jr. on 03/25/2013. Associated Cases: 2:09-md-02009-SHM-dkv, 2:12-cv-02341-SHM-dkv(Mays, Samuel) (Entered: 03/25/2013)

04/01/2013 313 Mail Returned as Undeliverable. Mail sent to Paul Dobrowski. (jae) (Entered: 04/02/2013)

04/02/2013 314 AFFIDAVIT Roman Declaration Affirming Notice of Derivative Settlement via Form 8-K by RMK Advantage Income Fund, Inc., RMK High Income Fund, Inc., RMK Multi-Sector High Income Fund, Inc., RMK Strategic Income Fund, Inc., Helios

04/02/2013 315

Advantage Income Fund, Inc., Helios High Income Fund, Inc., Helios Multi-Sector High Income Fund, Inc., Helios Strategic Income Fund, Inc., Helios Advantage Income Fund, Inc., Helios High Income Fund, Inc., Helios Multi-Sector High Income Fund, Inc., Helios Strategic Income Fund, Inc.. (Attachments: # 1 Exhibit A Form 8-K and Notice Proofs)Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02188-SHM-tmp, 2:11-cv-02935-SHM-tmp(Roman, Edileno) (Entered: 04/02/2013)

RESPONSE in Support re (285 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF LEAD COUNSEL FOR AN AWARD OF ATTORNEYS FEES AND PAYMENT OF EXPENSES (Proposed Order Submitted) , (283 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF PLAINTIFFS FOR FINAL APPROVAL OF PROPOSED SETTLEMENT AND PLAN OF ALLOCATION OF NET SETTLEMENT FUND AND FOR FINAL CLASS CERTIFICATION (Proposed Orders Submitted) Plaintiffs' Reply Memorandum of Law in Opposition to Objections and Concerning Requests for Exclusion from the Class (Proposed Order Submitted) filed by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Proposed Final Judgment and Order of Dismissal)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 04/02/2013)

04/02/2013 316 AFFIDAVIT re (285 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF LEAD COUNSEL FOR AN AWARD OF ATTORNEYS FEES AND PAYMENT OF EXPENSES (Proposed Order Submitted) , (289 in 2:07-cv-02830- SHM-dkv) Letter, (283 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement NOTICE OF MOTION OF PLAINTIFFS FOR FINAL APPROVAL OF PROPOSED SETTLEMENT AND PLAN OF ALLOCATION OF NET SETTLEMENT FUND AND FOR FINAL CLASS CERTIFICATION (Proposed Orders Submitted) , (288 in 2:07-cv-02830-SHM-dkv) Notice (Other), (292 in 2:07-cv-02830-SHM-dkv) Response in Opposition to Motion, (291 in 2:07-cv-02830-SHM-dkv) MOTION to Intervene , (296 in 2:07-cv-02830-SHM-dkv) Response in Support of Motion,,, (295 in 2:07-cv-02830- SHM-dkv) Notice (Other) Reply Declaration of David J. Goldsmith in Opposition to Obejctions and Concerning Requests for Exclusion from the Class by Ken Alderman, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 04/02/2013)

04/04/2013 317 ORDER GRANTING MOTION 70 TO APPEAR PRO HAC VICE, signed by Judge Samuel H. Mays, Jr. on 04/03/2013. Attorney Aaron S. Furniss is admitted to participate in this action as additional counsel for defendants J. Kenneth Alderman, Thomas R. Gamble, James C. Kelsoe, Jr., Charles D. Maxwell, Allen B. Morgan, Jr., Brian B. Sullivan, David H. Tannehill, Joseph C. Weller, J. Thompson Weller, and Michele F. Wood in case 2:11-cv-02935-SHM-tmp. (Mays, Samuel) (Entered: 04/04/2013)

04/05/2013 318 NOTICE by MK Holding, Inc., Morgan Keegan & Company, Inc. re (276 in 2:07-cv-02830-SHM-dkv) Order on Motion for Settlement, Notice of Filing (Attachments: # 1 Affidavit re Mailing Performed in Accordance with CAFA, # 2 Exhibit A - CAFA Notification)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Latham, Britt) (Entered: 04/05/2013)

04/05/2013 319 RESPONSE in Opposition re (298 in 2:07-cv-02830-SHM-dkv) MOTION for Leave

to File Reply Memorandum In Support of Objection , (302 in 2:07-cv-02830-SHM-dkv) MOTION for Leave to File Corrected Reply Memorandum , (299 in 2:07-cv-02830-SHM-dkv) MOTION for Leave to File Objection filed by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Bernstein, Joel) (Entered: 04/05/2013)


04/11/2013 321 NOTICE by C. Fred Daniels, Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P. Response to Second Objection by W. Allen McDonald (Attachments: # 1 Exhibit Journal of Empirical Legal Studies 3/2004, # 2 Exhibit Journal of Empirical Legal Studies 6/2010, # 3 Exhibit Fairness Hearing July 15, 2010)Associated Cases: 2:09- md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 04/11/2013)


04/17/2013 323 MOTION for Leave to Appear Pro Hac Vice Proposed Order Submitted. (Filing fee $ 100 receipt number 0651-1681610) by All Plaintiffs. (Attachments: # 1 Exhibit Certificate of Good Standing, # 2 Exhibit Attorney's Certification for Admission)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 04/17/2013)

04/19/2013 324 MOTION for Settlement LEAD PLAINTIFFS MOTION CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Certificate of Consultation, # 2 [PROPOSED] ORDER CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS, # 3 FINAL JUDGMENT AND ORDER OF DISMISSAL)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 04/19/2013)

04/19/2013 325 MOTION for Settlement LEAD PLAINTIFFS MOTION CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS (Proposed Orders Submitted) by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Certificate of Consultation, # 2 [PROPOSED] ORDER CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS, # 3 FINAL JUDGMENT AND ORDER OF DISMISSAL)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 04/19/2013)

04/19/2013 326 MEMORANDUM in Support re (315 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement LEAD PLAINTIFFS MOTION CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS (Proposed Orders Submitted) filed by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 04/19/2013)

04/19/2013 327 AFFIDAVIT re (315 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement LEAD PLAINTIFFS MOTION CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS (Proposed Orders Submitted) by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Exhibit 1 Part 1, # 2 Exhibit 1 Part 2, # 3 Exhibit 1 Part 3, # 4 Exhibit 1 Part 4, # 5 Exhibit 1 Part 5, # 6 Exhibit 1 Part 6, # 7 Exhibit 1 Part 7, # 8 Exhibit 1 Part 8, # 9 Exhibit 1 Part 9, # 10 Exhibit 1 Part 10, # 11 Exhibit 1 Part 11, # 12 Exhibit 1 Part 12, # 13 Exhibit 1 Part 13, # 14 Exhibit 1 Part 14, # 15 Exhibit 1 Part 15, # 16 Exhibit 1 Part 16, # 17 Exhibit 1 Part 17, # 18 Exhibit 1 Part 18, # 19

Exhibit 1 Part 19, # 20 Exhibit 2, # 21 Exhibit 3, # 22 Exhibit 4, # 23 Exhibit 5)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 04/19/2013)

04/19/2013 328 AFFIDAVIT of Service for Motion Concerning Requests for Exclusion From the Class Declaration of Service served on All persons and/or entities that submitted requests for exclusion from the Class on 4/19/2013, filed by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07- cv-02830-SHM-dkv(Goldsmith, David) (Entered: 04/19/2013)


04/23/2013 330 ORDER GRANTING MOTION TO APPEAR PRO HAC VICE, signed by Judge Samuel H. Mays, Jr. on 04/22/2013. Attorney Nicole M. Zeiss is hereby admitted to participate in this action as counsel for Plaintiffs The Lion Fund, L.P., Dr. J. Samir Sulieman, Larry Lattimore, C. Fred Daniels, in his capacity as Trustee ad Litem for the Leroy McAbee, Sr. Family Foundation Trust (the McAbee Foundation Trust), and on behalf of the Class and TAL Subclass. (Mays, Samuel) Associated Cases: 2:09-md- 02009-SHM-dkv, 2:07-cv-02830-SHM-dkv (Entered: 04/23/2013)

05/03/2013 331 RESPONSE in Support re (315 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement LEAD PLAINTIFFS MOTION CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS (Proposed Orders Submitted) Joint Memorandum of Law in Opposition to Motion for Approval of Opt-Out of Marion M. Stowers filed by MK Holding, Inc., Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Regions Financial Corporation. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830- SHM-dkv(Latham, Britt) (Entered: 05/03/2013)

05/07/2013 332 Mail Returned as Undeliverable. Mail sent to Paul Dobrowski. (jae) (Entered: 05/07/2013)

05/21/2013 333 NOTICE of letter from Court of Appeals. Petition for writ of mandamus or prohibition has been docketed as case number 13-5686. (Attachments: # 1 Petition for Writ of Mandamus)Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02260-SHM-dkv(jae) (Entered: 05/21/2013)

05/24/2013 334 MEMORANDUM in Support re (315 in 2:07-cv-02830-SHM-dkv) MOTION for Settlement LEAD PLAINTIFFS MOTION CONCERNING REQUESTS FOR EXCLUSION FROM THE CLASS (Proposed Orders Submitted) LEAD PLAINTIFFS SUPPLEMENTAL MEMORANDUM SUBMITTING NEWLY RECEIVED REQUEST FOR EXCLUSION AND CONFORMED EXHIBIT A TO PROPOSED FINAL JUDGMENT AND ORDER OF DISMISSAL filed by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Goldsmith, David) (Entered: 05/24/2013)

05/29/2013 335 NOTICE of Appearance by Peter S. Fruin on behalf of Morgan Keegan & Company, Inc. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Fruin, Peter) (Entered: 05/29/2013)

05/29/2013 336 MOTION Enjoin Arbitration by Morgan Keegan & Company, Inc.. (Attachments: # 1 Memorandum, # 2 Certificate of Consultation)Associated Cases: 2:09-md-02009-

SHM-dkv, 2:08-cv-02830-SHM-dkv(Fruin, Peter) (Entered: 05/29/2013)

05/29/2013 337 NOTICE by Morgan Keegan & Company, Inc. Declaration (Exhibit 1 to Memo) (Attachments: # 1 Exhibit A, # 2 Exhibit B)Associated Cases: 2:09-md-02009-SHM- dkv, 2:07-cv-02830-SHM-dkv(Fruin, Peter) (Entered: 05/29/2013)

05/29/2013 338 NOTICE by Morgan Keegan & Company, Inc. Exhibits C and D to Declaration (Attachments: # 1 Exhibit D)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Fruin, Peter) (Entered: 05/29/2013)

06/04/2013 339 STIPULATION of Dismissal of Defendant Sharon Davis by C. Fred Daniels, Sharon Davis, Larry Lattimore, J. Samir Sulieman, Karin B. Swope, The Lion Fund, L.P.. (Gerend, Matthew) (Entered: 06/04/2013)

06/04/2013 340 ORDER OF DISMISSAL, signed by Judge Samuel H. Mays, Jr. on 06/14/2013. Before the Court is the 06/04/2013 Stipulation of Dismissal of Defendant Sharon Davis. This case is therefore dismissed without prejudice as to defendant Sharon Davis only. Each party shall bear its own fees and costs. Associated Cases: 2:09-md-02009- SHM-dkv, 2:08-cv-02192-SHM-dkv (Mays, Samuel) (Entered: 06/04/2013)

06/06/2013 341 NOTICE from the Court of Appeals that the petitioner's notice of voluntary dismissal is ORDERD GRANTED. (jld) (Entered: 06/07/2013)

06/11/2013 342 NOTICE of Appearance by Christopher S. Campbell on behalf of Gary Newsome, Kathy Newsome Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Campbell, Christopher) (Entered: 06/11/2013)

06/11/2013 343 MOTION for Extension of Time to File Response/Reply as to (336 in 2:09-md-02009- SHM-dkv) MOTION Enjoin Arbitration Gary Newsome and Kathy Newsome's Unopposed Motion for Extension of Time to Respond to Motion to Enjoin Arbitration by Gary Newsome, Kathy Newsome. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Campbell, Christopher) (Entered: 06/11/2013)

06/11/2013 344 ORDER GRANTING 337 FOR EXTENSION OF TIME signed by Judge Samuel H. Mays, Jr. on 06/11/2013. The motion of Gary Newsome and Kathy Newsome for an extension of time to respond to Morgan Keegan's motion to enjoin arbitration is granted; they shall have until 06/26/2013 to file their response. (Mays, Samuel) Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv (Entered: 06/11/2013)

06/12/2013 345 REMAND ORDER; MDL 2009; pursuant to 28 U.S.C. § 1407, case was remanded to the Eastern District of Arkansas. Signed by John G. Heyburn II, Chairman of the Panel on Multidistict Litigation, on 06/07/2013 (re: Case No. 2:12-cv-02341). (rmp) (Entered: 06/12/2013)

06/13/2013 346 NOTICE of Appearance by Laura S. Martin on behalf of Gary Newsome, Kathy Newsome Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Martin, Laura) (Entered: 06/13/2013)

06/18/2013 347 NOTICE of Appearance by Peter S. Fruin on behalf of Morgan Keegan & Co Inc Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02641-SHM-dkv(Fruin, Peter) (Entered: 06/18/2013)

06/18/2013 348 MOTION to Compel Arbitration and For Stay Pending Arbitration by Allen B.

Morgan, Jr, Morgan Keegan & Company, Inc., Joseph C. Weller, R. Patrick Kruczek, Charles D. Maxwell, J. Thompson Weller, Michele F. Wood. (Attachments: # 1 Memorandum, # 2 Affidavit, # 3 Exhibit 1, # 4 Exhibit 2, # 5 Exhibit 3, # 6 Exhibit 4, # 7 Certificate of Consultation)Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02641-SHM-dkv(Fruin, Peter) (Entered: 06/18/2013)

06/18/2013 349 Mail 340 Returned as Undeliverable. Mail sent to Paul Dobrowski. (jae) (Entered: 06/19/2013)

06/25/2013 350 RESPONSE to Motion re (335 in 2:07-cv-02830-SHM-dkv) MOTION re (334) Notice (Other), (333) Notice (Other) Motion to Enjoin Arbitration Gary Newsome and Kathy Newsome's Response to Defendant Morgan Keegan's Motion to Enjoin Arbitration filed by Gary Newsome, Kathy Newsome. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Campbell, Christopher) (Entered: 06/25/2013)

07/02/2013 351 ATTACHMENT Exhibits 1 and 3 to (28 in 2:10-cv-02641-SHM-dkv) MOTION to Compel Arbitration and For Stay Pending Arbitration by Allen B. Morgan, Jr, Morgan Keegan & Company, Inc., R. Patrick Kruczek, Charles D. Maxwell, J. Thompson Weller, Joseph C. Weller, Michele F. Wood.. (Attachments: # 1 Exhibit 3)Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02641-SHM-dkv(Fruin, Peter) (Entered: 07/02/2013)

07/02/2013 352 MOTION for Leave to File Reply in Support of its Motion to Enjoin Arbitration filed by Gary Newsome and Kathy Newsome by Morgan Keegan & Company, Inc.. (Attachments: # 1 Exhibit A, # 2 Certificate of Consultation)Associated Cases: 2:09- md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Fruin, Peter) (Entered: 07/02/2013)

07/03/2013 353 ORDER GRANTING DEFENDANT MORGAN KEEGAN'S MOTION 352 FOR LEAVE TO FILE REPLY, signed by Judge Samuel H. Mays, Jr. on 07/03/2013. granting (341) Motion for Leave to File in case 2:07-cv-02830-SHM-dkv; granting (352) Motion for Leave to File in case 2:09-md-02009-SHM-dkv (Mays, Samuel) (Entered: 07/03/2013)

07/08/2013 354 RESPONSE in Support re (335 in 2:07-cv-02830-SHM-dkv) MOTION re (334) Notice (Other), (333) Notice (Other) Motion to Enjoin Arbitration Filed by Gary Newsome and Kathy Newsome filed by Morgan Keegan & Company, Inc.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Brown, Scott) (Entered: 07/08/2013)

07/09/2013 355 MOTION for Leave to Appear Pro Hac Vice Proposed Order Submitted. (Filing fee $ 100 receipt number 0651-1731286) by Gary Newsome, Kathy Newsome. (Attachments: # 1 Exhibit Cert of Admission IL, # 2 Exhibit Cert of Admission NDIL)(Neuman, David) (Entered: 07/09/2013)

07/10/2013 356 ORDER GRANTING MOTION 355 TO APPEAR PRO HAC VICE, signed by Judge Samuel H. Mays, Jr. on 07/09/2013. For good cause shown, the motion is granted and David Neuman is admitted to participate in this action as counsel for Gary Newsome and Kathy Newsome. (Mays, Samuel) (Entered: 07/10/2013)

07/12/2013 357 Mail 345 Returned as Undeliverable. Mail sent to Paul Dobrowski. (jae) (Entered: 07/12/2013)

07/22/2013 361 Mail Returned as Undeliverable in re DE 353 . Mail sent to Paul Dobrowski. (agj) (Entered: 07/25/2013)

07/23/2013 358 NOTICE of Appearance by Joseph Brent Crace, Jr on behalf of James C. Kelsoe, Jr, MK Holding, Inc., MK Holdings, Inc. Associated Cases: 2:09-md-02009-SHM-dkv, 2:09-cv-02557-SHM-dkv(Crace, Joseph) (Entered: 07/23/2013)

07/23/2013 359 STIPULATION of Dismissal with Prejudice by Elizabeth Ryrie Anthony, Richard Arispe, Jimmy A. Burke, Peggy E. Burke, Todd B. Burke, C&C Erection, Inc., Claire Hannah Howard Trust, Adele Christine Collado, Jose J. Collado, Charles K. Colvin, Christy Dauphin, David W. Dauphin, John J. Garrett, Nan Garrett, William C. Goodwin, Nancy Gordon, HSMCO, Inc., Susan W. Hackney, Henry R. Hamman, J. Stephen Harris, Henry S. Miller Jr. 1989-1 Irrevocable Trust, Carolyn R. Howard, Don H. Jones, Suzann S. Jones, James C. Kelsoe, Jr, MK Holdings, Inc., Matthew John Anthony Trust, Vance C. Miller, Morgan Asset Management, Inc., Regions Financial Corporation, William A. Rhodes, Jr, Charles C. Ryrie, Dawn Schuessler, Daniel J. Sears, Kenneth W. Sears, Kenneth W. Sears, III, Kenneth W. Sears, Jr, Reine M. Sears, Edgar Smith, Elizabeth Stein, Mary S. Stein, Russell W. Stein, Steven Charles Anthony Trust, Judy Strickland, The Ryrie Foundation. Associated Cases: 2:09-md-02009-SHM-dkv, 2:09-cv-02557-SHM-dkv(Crace, Joseph) (Entered: 07/23/2013)

07/23/2013 360 NOTICE of Appearance by Britt King Latham on behalf of James C. Kelsoe, Jr, MK Holdings, Inc. Associated Cases: 2:09-md-02009-SHM-dkv, 2:09-cv-02557-SHM-dkv(Latham, Britt) (Entered: 07/23/2013)

07/24/2013 362 Mail Returned as Undeliverable in re DE 356 . Mail sent to Paul Dobrowski. (agj) (Entered: 07/25/2013)

07/24/2013 363 JUDGMENT, signed by Judge Samuel H. Mays, Jr. on 07/24/2013. This action is dismissed with prejudice in accordance with the Order of Dismissal docketed July 24, 2013. Associated Cases: 2:09-md-02009-SHM-dkv, 2:09-cv-02557-SHM-dkv (Mays, Samuel) (Entered: 08/06/2013)

08/06/2013 364 ORDER granting Motion for Settlement; granting Motion for Award of Attorney's Fees and Expenses. Signed by Judge Samuel H. Mays, Jr on 08/05/2013. Associated Case: 2:07-cv-2830-SHM-dkv. (rmp) (Entered: 08/06/2013)

08/21/2013 365 MOTION to Enforce Settlement and to Enjoin FINRA Arbitration re (345 in 2:07-cv-02830-SHM-dkv, 345 in 2:07-cv-02830-SHM-dkv) Order on Motion for Settlement, (364 in 2:09-md-02009-SHM-dkv) Order proposed order submitted by James C. Kelsoe, Jr, Morgan Keegan & Company, Inc.. (Attachments: # 1 Certificate of Consultation, # 2 Memorandum of Law in Support of Motion to Enforce Settlement and Enjoin Arbitration)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830- SHM-dkv(Tate, Shepherd) (Entered: 08/21/2013)

08/21/2013 366 AFFIDAVIT re (365 in 2:09-md-02009-SHM-dkv, 346 in 2:07-cv-02830-SHM-dkv) MOTION to Enforce Settlement and to Enjoin FINRA Arbitration re (345 in 2:07-cv-02830-SHM-dkv, 345 in 2:07-cv-02830-SHM-dkv) Order on Motion for Settlement, (364 in 2:09-md-02009-SHM-dkv) Order proposed order submitted Declaration of Thomas Barnett by James C. Kelsoe, Jr, Morgan Keegan & Company, Inc.. (Attachments: # 1 Exhibit 1_Notice of Pendency, # 2 Exhibit 2_Statement of Claim, # 3 Exhibit 3_Letter dtd 6.26.2013 with Order and Stipulation, # 4 Exhibit 4_Claimants' Motion for Determination by FINRA, # 5 Exhibit 5_Letter dtd 8.8.2013)Associated

08/21/2013

08/21/2013

Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Tate, Shepherd) (Entered: 08/21/2013)

367 AFFIDAVIT re (365 in 2:09-md-02009-SHM-dkv, 346 in 2:07-cv-02830-SHM-dkv) MOTION to Enforce Settlement and to Enjoin FINRA Arbitration re (345 in 2:07-cv-02830-SHM-dkv, 345 in 2:07-cv-02830-SHM-dkv) Order on Motion for Settlement, (364 in 2:09-md-02009-SHM-dkv) Order proposed order submitted Affidavit of Karen Gallahar by James C. Kelsoe, Jr, Morgan Keegan & Company, Inc.. (Attachments: # 1 Exhibit A_Mr. Ball's Exclusion Request)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Tate, Shepherd) (Entered: 08/21/2013)

368 AFFIDAVIT re (365 in 2:09-md-02009-SHM-dkv, 346 in 2:07-cv-02830-SHM-dkv) MOTION to Enforce Settlement and to Enjoin FINRA Arbitration re (345 in 2:07-cv-02830-SHM-dkv, 345 in 2:07-cv-02830-SHM-dkv) Order on Motion for Settlement, (364 in 2:09-md-02009-SHM-dkv) Order proposed order submitted Affidavit of Diane L. Wilcox by James C. Kelsoe, Jr, Morgan Keegan & Company, Inc.. (Attachments: # 1 Exhibit A_Letters dtd 3.18.2013)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-

I cv-02830-SHM-dkv(Tate, Shepherd) (Entered: 08/21/2013)

09/06/2013 369

09/10/2013 370

09/10/2013 371

MOTION for Leave to File Reply Memorandum in Further Support of Motion to Enforce Settlement and Enjoin Arbitration (proposed order submitted ) by James C. Kelsoe, Jr, Morgan Keegan & Company, Inc.. (Attachments: # 1 Certificate of Consultation, # 2 Exhibit Reply Memorandum of Law in Further Support of Motion to Enforce Settlement and Enjoin Arbitration)Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Tate, Shepherd) (Entered: 09/06/2013)

ORDER GRANTING DEFENDANTS' MOTION FOR LEAVE TO FILE REPLY MEMORANDUM, signed by Judge Samuel H. Mays, Jr. on 10/10/2013. Defendants Morgan Keegan & Company, Inc. and James C. Kelsoe, Jr.s September 6, 2013 motion for leave to file a reply memorandum in further support of their motion to enforce settlement and enjoin arbitration GRANTED. granting (353) Motion for Leave to File in case 2:07-cv-02830-SHM-dkv; granting (369) Motion for Leave to File in case 2:09-md-02009-SHM-dkv (Mays, Samuel) (Entered: 09/10/2013)

MEMORANDUM in Support re (365 in 2:09-md-02009-SHM-dkv, 346 in 2:07-cv-02830-SHM-dkv) MOTION to Enforce Settlement and to Enjoin FINRA Arbitration re (345 in 2:07-cv-02830-SHM-dkv, 345 in 2:07-cv-02830-SHM-dkv) Order on Motion for Settlement, (364 in 2:09-md-02009-SHM-dkv) Order proposed order submitted Reply Memorandum of Law in Further Support of Motion to Enforce Settlement and Enjoin Arbitration filed by James C. Kelsoe, Jr, Morgan Keegan & Company, Inc.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Tate, Shepherd) (Entered: 09/10/2013)

09/18/2013 372 RESPONSE in Opposition re (352 in 2:07-cv-02830-SHM-dkv) MOTION to Amend/Correct (345) Order on Motion for Settlement, and Incorporated Memorandum in Support filed by Larry Lattimore, J. Samir Sulieman, The Lion Fund, L.P.. Associated Cases: 2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Stranch, J.) (Entered: 09/18/2013)

09/24/2013 373 ORDER DENYING MOTION AS MOOT, signed by Judge Samuel H. Mays, Jr. on 09/24/2013. Objector W. Allen McDonald's 09/04/2013 MOTION 352 to

I Amend/Correct in case 2:07-cv-02830-SHM-dkv is denied as moot. Associated Cases:

2:09-md-02009-SHM-dkv, 2:07-cv-02830-SHM-dkv(Mays, Samuel) (Entered: 09/24/2013)

10/01/2013 374 NOTICE of Appearance by Peter S. Fruin on behalf of MK Holding, Inc., Morgan Keegan & Company, Inc., Joseph C. Weller, J. Kenneth Alderman, R. Patrick Kruczek, MK Holding, Inc, Charles D. Maxwell, Allen B. Morgan, Jr, Morgan Keegan & Co, Inc, Brian B. Sullivan, David H. Tannehill, J. Thompson Weller, Michele F. Wood Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02640-SHM-dkv(Fruin, Peter) (Entered: 10/01/2013)

10/01/2013 375 MOTION to Compel Arbitration and for Stay Pending Arbitration by Allen B. Morgan, Jr, Morgan Keegan & Company, Inc., R. Patrick Kruczek, Charles D. Maxwell, J. Thompson Weller, Joseph C. Weller, Michele F. Wood. (Attachments: # 1 Memorandum Law in Support of Defendants Motion to Compel Arbitration and for Stay Pending Arbitration, # 2 Affidavit Affidavit of Bridgett Knox, # 3 Exhibit 1 - New Account Form, # 4 Exhibit 2- Client Agreement)Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02640-SHM-dkv(Fruin, Peter) (Entered: 10/01/2013)

10/09/2013 376 Corporate Disclosure Statement by MK Holding, Inc., Morgan Keegan & Company, Inc. identifying Corporate Parent Raymond James Financial, Inc for MK Holding, Inc., Morgan Keegan & Company, Inc... Associated Cases: 2:09-md-02009-SHM-dkv, 2:10-cv-02640-SHM-dkv(Fruin, Peter) (Entered: 10/09/2013)

10/25/2013 377 MOTION to Compel Arbitration and for Stay Pending Arbitration by Morgan Keegan & Company, Inc.. (Attachments: # 1 Memorandum of Law ISO Motion to Compel Arbitration, # 2 Affidavit of Bridgett Knox, # 3 Exhibit 1-5, # 4 Exhibit 6-10, # 5 Exhibit 11-17, # 6 Exhibit 18-22)Associated Cases: 2:09-md-02009-SHM-dkv, 2:09- cv-02099-SHM-dkv(Fruin, Peter) (Entered: 10/25/2013)

11/12/2013 378 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by J. Kenneth Alderman, James C. Kelsoe, Jr., MK Holdings, Inc., Allen B. Morgan, Morgan Asset Management, Inc., Regions Financial Corporation, Brian B. Sullivan, Joseph Thompson Weller. Associated Cases: 2:09-md-02009-SHM-dkv, 2:13-cv-02653- SHM-dkv(Fruin, Peter) (Entered: 11/12/2013)

11/12/2013 379 MEMORANDUM in Support re (50 in 2:13-cv-02653-SHM-dkv) MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by J. Kenneth Alderman, James C. Kelsoe, Jr., MK Holdings, Inc., Allen B. Morgan, Morgan Asset Management, Inc., Regions Financial Corporation, Brian B. Sullivan, Joseph Thompson Weller. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P)Associated Cases: 2:09-md-02009-SHM-dkv, 2:13-cv-02653-SHM-dkv(Fruin, Peter) (Entered: 11/12/2013)

11/12/2013 380 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by J. Kenneth Alderman, James C. Kelsoe, Jr., MK Holding, Inc., Allen B. Morgan, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Regions Financial Corporation, Brian B. Sullivan, Joseph Thompson Weller. Associated Cases: 2:09-md-02009-SHM- dkv, 2:13-cv-02654-SHM-cgc(Fruin, Peter) (Entered: 11/12/2013)

11/12/2013 381 MEMORANDUM in Support re (380 in 2:09-md-02009-SHM-dkv, 49 in 2:13-cv-02654-SHM-cgc) MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM

filed by J. Kenneth Alderman, James C. Kelsoe, Jr., MK Holding, Inc., Allen B. Morgan, Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., Regions Financial Corporation, Brian B. Sullivan, Joseph Thompson Weller. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N)Associated Cases: 2:09-md-02009-SHM-dkv, 2:13- cv-02654-SHM-cgc(Fruin, Peter) (Entered: 11/12/2013)

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Documents

8 U.S. District Court Civil Docket 11/12/2013