U.S. District Court District of Nebraska (8 Omaha) CIVIL ...securities.stanford.edu/filings-documents/1044/... · 08/11/2010 20 REPORT AND RECOMMENDATION that reference of this case

US District Court Civil Docket as of August 5, 2013 Retrieved from the court on August 7, 2013

U.S. District Court District of Nebraska (8 Omaha)

CIVIL DOCKET FOR CASE #: 8:10-cv-00199-JFB-TDT

Ray v. Lundstrom et al Date Filed: 05/20/2010 Assigned to: Judge Joseph F. Bataillon Date Terminated: 11/08/2012 Referred to: Magistrate Judge Thomas D. Thalken Jury Demand: Plaintiff Case in other court: USDC-NE, 4:10cv03132 Nature of Suit: 160 Stockholders Suits

USDC-NE, 8:10cv00332 Jurisdiction: Federal Question

Cause: 15:77 Securities Fraud

Plaintiff

David G. Ray represented by Christopher S. Hinton Individually and on behalf of all others

ROSEN LAW FIRM - NEW YORK

similarly situated

275 Madison Avenue 34th Floor New York, NY 10016 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Laurence M. Rosen ROSEN LAW FIRM - NEW YORK 275 Madison Avenue 34th Floor New York, NY 10016 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Phillip C. Kim ROSEN LAW FIRM - NEW YORK 275 Madison Avenue 34th Floor New York, NY 10016 (212) 686-1060 Fax: (212) 202-3827 Email: [email protected] LEAD ATTORNEY PRO HAC VICE

ATTORNEY TO BE NOTICED

Plaintiff

Gabriel D'Souza represented by V. Gene Summerlin , Jr. HUSCH, BLACKWELL LAW FIRM - LINCOLN 610 J Street Suite 200 Lincoln, NE 68508 (402) 434-8040 Fax: (402) 434-8044 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Valentino Group represented by Christopher S. Hinton (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Phillip C. Kim (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant

Gilbert G. Lundstrom represented by David A. Yudelson KOLEY, JESSEN LAW FIRM 1125 South 103rd Street Suite 800, One Pacific Place Omaha, NE 68124 (402) 390-9500 Fax: (402) 390-9005 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Gregory C. Scaglione KOLEY, JESSEN LAW FIRM 1125 South 103rd Street Suite 800, One Pacific Place Omaha, NE 68124 (402) 390-9500 Fax: (402) 390-9005 Email: [email protected]

LEAD ATTORNEY ATTORNEY TO BE NOTICED

Patrice D. Ott KOLEY, JESSEN LAW FIRM 1125 South 103rd Street Suite 800, One Pacific Place Omaha, NE 68124 (402) 390-9500 Fax: (402) 390-9005 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant

Michael J. Falbo represented by Bryan B. House FOLEY, LARDNER LAW FIRM - MILWAUKEE 777 East Wisconsin Avenue Suite 3800 Milwaukee, WI 53202-5306 (414) 271-2400 Fax: (414) 297-4900 Email: [email protected] (Inactive) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Nancy J. Sennett FOLEY, LARDNER LAW FIRM - MILWAUKEE 777 East Wisconsin Avenue Suite 3800 Milwaukee, WI 53202-5306 (414) 271-2400 Fax: (414) 271-4900 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

TierOne Corporation

Defendant

Eugene B. Witkowicz represented by David A. Yudelson (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Gregory C. Scaglione (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Patrice D. Ott (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant

Charles W. Hoskins represented by Chelsea L. Warren JENNER, BLOCK LAW FIRM - CHICAGO 353 North Clark Chicago, IL 60654 (312) 222-9350 Fax: (312) 840-8946 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Douglas A. Sondgeroth JENNER, BLOCK LAW FIRM - CHICAGO 353 North Clark Chicago, IL 60654 (312) 222-9350 Email: [email protected] TERMINATED: 07/16/2013 LEAD ATTORNEY

James K. McCall JENNER, BLOCK LAW FIRM - CHICAGO 353 North Clark Chicago, IL 60654 (312) 923-2686 Fax: (312) 840-8797 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

James L. Thompson JENNER, BLOCK LAW FIRM - CHICAGO 353 North Clark Chicago, IL 60654 (312) 923-2944 Fax: (312) 840-7344

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

Michael L. Cebula JENNER, BLOCK LAW FIRM - CHICAGO 353 North Clark Chicago, IL 60654 (312) 840-7227 Fax: (312) 840-7327 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant

James A. Laphen represented by Edward G. Warin KUTAK, ROCK LAW FIRM - OMAHA 1650 Farnam Street Omaha, NE 68102-2186 (402) 346-6000 Fax: (402) 346-1148 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Kathryn E. Jones KUTAK, ROCK LAW FIRM - OMAHA 1650 Farnam Street Omaha, NE 68102-2186 (402) 346-6000 Fax: (402) 346-1148 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Thomas J. Kenny KUTAK, ROCK LAW FIRM - OMAHA 1650 Farnam Street Omaha, NE 68102-2186 (402) 346-6000 Fax: (402) 346-1148 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Mediator

Layn R. Phillips represented by Layn R. Phillips TERMINATED: 11/16/2011

IRELL, MANELLA, LLP 840 Newport Center Drive

Suite 400 Newport Beach, CA 92660 (949) 760-5296 Fax: (949) 760-5200 TERMINATED: 11/16/2011 LEAD ATTORNEY

V.

Interested Party

U.S. Bankruptcy Court represented by U.S. Bankruptcy Clerk - Omaha U.S. BANKRUPTCY COURT - OMAHA Roman L. Hruska Courthouse 111 South 18th Plaza Suite 1125 Omaha, NE 68102 (402) 661-7444 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed # Docket Text

05/20/2010 1 COMPLAINT with jury demand against Michael J Falbo, Charles W Hoskins, Gilbert G Lundstrom, TierOne Corporation, Eugene B Witkowicz, by Attorney Christopher S. Hinton on behalf of David G Ray. ($350 filing fee paid, receipt #0867-1786259) (Hinton, Christopher) Modified on 5/21/2010 to add filing fee receipt number (ADB, ). (Entered: 05/20/2010)

05/20/2010

2 Summons Requested as to regarding Complaint 1 . (Hinton, Christopher) (Entered: 05/20/2010)

05/21/2010

3 TEXT NOTICE OF JUDGES ASSIGNED: Chief Judge Joseph F. Bataillon and Magistrate Judge Thomas D. Thalken assigned. (KBJ) (Entered: 05/21/2010)

05/21/2010 4 Summons Issued as to defendant Michael J Falbo, Charles W Hoskins, Gilbert G Lundstrom, TierOne Corporation, Eugene B Witkowicz YOU MUST PRINT YOUR ISSUED SUMMONS, WHICH ARE ATTACHED TO THIS DOCUMENT. PAPER COPIES WILL NOT BE MAILED. (KBJ) (Entered: 05/21/2010)

05/21/2010 5 ATTORNEY LETTER by Clerk that Attorney Phillip Kim has not registered for admittance to practice nor registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (ADB, ) (Entered: 05/21/2010)

05/21/2010 6 ATTORNEY LETTER by Clerk that Attorney Laurence M. Rosen has not registered for admittance to practice nor registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (ADB, ) (Entered: 05/21/2010)

06/01/2010 7 APPLICATION/ORDER admitting pro hac vice Attorney Phillip Kim for Plaintiff David G. Ray. Ordered by Deputy Clerk. (TCL ) (Entered: 06/02/2010)

06/07/2010 8 APPLICATION/ORDER admitting pro hac vice Attorney Laurence M. Rosen for Plaintiff David G. Ray. Ordered by Deputy Clerk. (TCL ) (Entered: 06/08/2010)

06/18/2010 9 SUMMONS Returned Executed upon defendant TierOne Corporation on 6/10/2010. (Kim, Phillip) (Entered: 06/18/2010)

06/24/2010 10 NOTICE of Appearance by Attorney Gregory C. Scaglione on behalf of Defendant Gilbert G. Lundstrom (Scaglione, Gregory) (Entered: 06/24/2010)

07/07/2010 11 SUGGESTION OF BANKRUPTCY by Attorney Gregory C. Scaglione on behalf of Defendant Gilbert G. Lundstrom.(Scaglione, Gregory) (Entered: 07/07/2010)

07/08/2010 12 ORDER - Pursuant to NEGenR 1.5(a)(1) and 28 U.S.C. § 157, this case is referred to the United States Bankruptcy Court for the District of Nebraska. This case shall be terminated for statistical purposes by the Clerk of the Court for the District of Nebraska. The Clerk of the Court for the District of Nebraska shall deliver the court file to the Clerk of the Bankruptcy Court for the District of Nebraska. Ordered by Magistrate Judge Thomas D. Thalken. (TCL ) (Entered: 07/08/2010)

07/14/2010 13 NOTICE of Appearance of Counsel by Attorney Gregory C. Scaglione on behalf of Defendant Eugene B. Witkowicz (Scaglione, Gregory) (Entered: 07/14/2010)

07/20/2010 14 MOTION for Appointment as Lead Plaintiff and for Appointment of Lead and Liaison Counsel by Attorney V. Gene Summerlin, Jr on behalf of Plaintiff Gabriel D'Souza.(Summerlin, V.) (Entered: 07/20/2010)

07/20/2010 15 INDEX in support of MOTION for Appointment as Lead Plaintiff and for Appointment of Lead and Liaison Counsel 14 by Attorney V. Gene Summerlin, Jr on behalf of Plaintiff Gabriel D'Souza. (Attachments: # 1 Declaration of Gene Summerlin in Support of Motion of Gabriel D'Souza for Appointment as Lead Plaintiff and for Appointment of Lead and Liaison Counsel)(Summerlin, V.) (Entered: 07/20/2010)

07/20/2010 16 BRIEF in support of MOTION for Appointment as Lead Plaintiff and for Appointment of Lead and Liaison Counsel 14 by Attorney V. Gene Summerlin, Jr on behalf of Plaintiff Gabriel D'Souza.(Summerlin, V.) (Entered: 07/20/2010)

08/03/2010 17 MOTION to Withdraw Gabriel Souza's Motion for Appointment as Lead Plaintiff and for Appointment of Lead and Liaison Counsel regarding MOTION for Appointment as Lead Plaintiff and for Appointment of Lead and Liaison Counsel 14 by Attorney V. Gene Summerlin, Jr on behalf of Plaintiff Gabriel D'Souza.(Summerlin, V.) (Entered: 08/03/2010)

08/03/2010 18 TEXT ORDER granting 17 Motion to Withdraw Gabriel D'Souza's Motion for Appointment as Lead Plaintiff and for Appointment of Lead and Liaison Counsel and withdrawing 14 Gabriel D'Souza's Motion for Appointment. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 08/03/2010)

08/04/2010 19 TEXT NOTICE OF DEFICIENCY by Deputy Clerk that the Motion for Miscellaneous Relief 17 has been filed and is considered deficient due to no certificate of service. The plaintiff is advised of this notice for future filings. See NECivR 5.4(c) regarding certificates of service.(ADB, ) (Entered: 08/04/2010)

08/11/2010 20 REPORT AND RECOMMENDATION that reference of this case be withdrawn for further proceedings to the U.S. District Court for the District of Nebraska. (Attachments: # 1 Transmittal Letter)Ordered by Chief Judge Thomas L. Saladino. (TCL ) (Entered: 08/11/2010)

08/11/2010 21 MOTION of the Valentino Group for Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Counsel in Shareholder Class Action. by Attorney Christopher S. Hinton (Attachments: # 1 Declaration of Christopher S. Hinton, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Memorandum of Law)(TCL ) (Entered: 08/11/2010)

08/23/2010

08/23/2010

08/23/2010

08/24/2010

22 NOTICE of Appearance of Counsel by Attorney James L. Thompson on behalf of Defendant Charles W. Hoskins (Thompson, James) (Entered: 08/23/2010)

23 NOTICE of Appearance of Counsel by Attorney Douglas A. Sondgeroth on behalf of Defendant Charles W. Hoskins (Sondgeroth, Douglas) (Entered: 08/23/2010)

24 NOTICE of Appearance of Counsel by Attorney Chelsea L. Warren on behalf of Defendant Charles W. Hoskins (Warren, Chelsea) (Entered: 08/23/2010)

25 NOTICE of Appearance of Counsel by Attorney James K. McCall on behalf of Defendant Charles W. Hoskins (McCall, James) (Entered: 08/24/2010)

09/30/2010 26 ORDER - IT IS ORDERED: The Report and Recommendation of Chief Bankruptcy Judge Thomas L. Saladino, Filing No. 20, is adopted in its entirety. The referral of this case to the Bankruptcy Court for the District of Nebraska is withdrawn. Ordered by Chief Judge Joseph F. Bataillon. (TCL ) (Entered: 09/30/2010)

10/01/2010

10/04/2010

10/07/2010

27 ORDER - IT IS ORDERED: The Motion of the Valentino Group for Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Counsel in Shareholder Class Action (Filing No. 21 ) is held in abeyance. The non-movants shall have to on or before October 8, 2010, to file any response or objection to the motion of the Valentino Group. Ordered by Magistrate Judge Thomas D. Thalken. (TCL ) (Entered: 10/01/2010)

28 SCHEDULING PACKET: Rule 26 Meeting Report Deadline set for November 1, 2010 . Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 10/04/2010)

29 Joint MOTION to Approve Scheduling Agreement by Attorney David A. Yudelson on behalf of Defendants Gilbert G. Lundstrom, Eugene B. Witkowicz.(Yudelson, David) (Entered: 10/07/2010)

10/07/2010 30 TEXT ORDER granting 29 Joint Motion to Approve Scheduling Agreement. The defendants' deadline to answer or otherwise respond to the plaintiff's Complaint is suspended until further order of the court. The parties shall submit, within 14 days after the entry of an order appointing Lead Plaintiff 21 , a joint schedule for initial progression of the case. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 10/07/2010)

10/12/2010 31 ORDER granting 21 Motion of the Valentino Group of Appointment as Lead Plaintiff and Approval of Lead Plaintiff's Selection of Counsel in Shareholder Class Action. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 10/12/2010)

10/26/2010 32 Joint MOTION to Approve Agreed Schedule for Initial Progress of Case by Attorney

James L. Thompson on behalf of Defendants Charles W. Hoskins, Gilbert G. Lundstrom, Eugene B. Witkowicz, Plaintiff David G. Ray.(Thompson, James) (Entered: 10/26/2010)

10/27/2010 33 ORDER - The parties' Joint Motion to Approve Agreed Schedule for Initial Progress of Case (Filing No. 32 ) is granted as follows. 1. Lead Plaintiff shall have until January 31, 2011, to file an amended complaint. 2. The defendants shall have until March 17, 2011, to answer or otherwise respond to the amended complaint. 3. If the defendants file a motion to dismiss the amended complaint, the Lead Plaintiff shall have until May 2, 2011, to file any opposition, and the defendants shall have until May 23, 2011, to file any reply. 4. The parties shall file their planning report pursuant to Fed. R. Civ. P. 26(f) within thirty days of the earlier of the defendants filing an answer to the amended complaint or the court's ruling on the defendants' motion to dismiss. Ordered by Magistrate Judge Thomas D. Thalken. (TCL ) (Entered: 10/27/2010)

10/29/2010 34 NOTICE Attorney Address Change for Christopher Hinton, Phillip Kim, and Laurence Rosen of The Rosen Law Firm, P.A. by Attorney Christopher S. Hinton on behalf of Plaintiff David G. Ray (Hinton, Christopher) (Entered: 10/29/2010)

11/16/2010 35 NOTICE of Appearance by Attorney Patrice D. Ott on behalf of Defendants Gilbert G. Lundstrom, Eugene B. Witkowicz (Ott, Patrice) (Entered: 11/16/2010)

12/03/2010 36 ORDER - The parties shall conduct discovery as if these consolidated cases are part of a single case. All future filings shall contain the consolidated case caption, which appears on this order. The Clerk of Court shall serve Mr. Stejskal with copies of the docket sheet and orders filed on October 12, 2010, and October 27, 2010, from Case No. 8:10CV199. Lead Counsel shall confer with Mr. Stejskal and apprise him of the status of this case. Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB - TDTOrdered by Magistrate Judge Thomas D. Thalken. (Copies mailed as directed)(TCL ) (Entered: 12/03/2010)

12/23/2010 37 ORDER - Any party shall have to on or before January 19, 2011, to show cause why Douglas L. Stejskal v. James A. Laphen, 8:10CV332, should not be consolidated with David G. Ray, et al. v. Gilbert G. Lundstrom, et al., 8:10CV199, and Douglas L. Stejskal v. Gilbert G. Lundstrom, 4:10CV3177, for all purposes. Member Cases: 8:10- cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT Ordered by Magistrate Judge Thomas D. Thalken. (Copy mailed to pro se party)(TCL ) (Entered: 12/23/2010)

01/04/2011 38 APPLICATION/ORDER admitting for full-time admission Attorney Michael L. Cebula for Defendant Charles W. Hoskins. Ordered by Deputy Clerk. (TEL) (Entered: 01/04/2011)

01/19/2011 39 RESPONSE regarding Order to Show Cause, 37 by Attorney Christopher S. Hinton on behalf of Plaintiff David G. Ray.(Hinton, Christopher) (Entered: 01/19/2011)

01/21/2011 40 ORDER - IT IS ORDERED: Douglas L. Stejskal v. James A. Laphen, 8:10CV332, is hereby consolidated for all purposes with David G. Ray, et al. v. Gilbert G. Lundstrom, et al., 8:10CV199, and Douglas L. Stejskal v. Gilbert G. Lundstrom, 4:10CV3177. The parties shall conduct discovery as if these consolidated cases are part of a single case. All future filings shall contain the consolidated case caption, which appears on this order, and shall be served on the parties' counsel in all cases as described below. Case No. 8:10CV199 was previously designated as the "Lead Case."

Case No. 8:10CV332 is hereby designated as a "Member Case," along with Case No. 4:10CV3177. The court's CM/ECF System has the capacity for "spreading" text among the consolidated cases. If properly docketed, the documents filed in the Lead Case will automatically be filed in all Member Cases. To this end, the parties are instructed to file all further documents (except those described in paragraph 5) in the Lead Case, No. 8:10CV199, and to select the option "yes" in response to the System's question whether to spread the text. The parties may not use the spread text feature to file complaints, amended complaints, and answers; to pay filing fees electronically using pay.gov; or to file items related to service of process. If a party believes that an item in addition to those described in paragraph 5 should not be filed in all the consolidated cases, the party must move for permission to file the item in one or more member cases. The motion must be filed in all the consolidated cases using the spread text feature. The order setting an initial progression for these cases was filed on October 27, 2010, and is the operable progression order governing this consolidated matter. See Filing No. 33 in case 8:10CV199. Lead Counsel shall confer with Mr. Stejskal and apprise him of the status of this case. Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDTOrdered by Magistrate Judge Thomas D. Thalken. (Copy mailed to pro se party)(TCL ) (Entered: 01/21/2011)

01/26/2011 41 MOTION to Extend Deadlines in Order on Motion for Miscellaneous Relief,,, 33 by Attorney Christopher S. Hinton on behalf of Plaintiff Valentino Group.(Hinton, Christopher) (Entered: 01/26/2011)

01/28/2011 42 RESPONSE regarding MOTION to Extend Deadlines in Order on Motion for Miscellaneous Relief,,, (33)(41 in 8:10-cv-00199-JFB -TDT) by Attorney James K. McCall on behalf of Defendants Gilbert G. Lundstrom, Charles W. Hoskins, Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10- cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(McCall, James) (Entered: 01/28/2011)

01/31/2011 43 REPLY regarding Order on Motion for Miscellaneous Relief,,, 33 by Attorney Christopher S. Hinton on behalf of Plaintiff Valentino Group. (Attachments: # 1 Exhibit 1)(Hinton, Christopher) (Entered: 01/31/2011)

01/31/2011 44 ORDER - The plaintiffs' Motion to Extend Deadlines in the Initial Progress of Case Order (Filing No. 41 ) is granted, in part, as follows. 1. The Lead Plaintiff shall have until March 2, 2011, to file an amended complaint. 2. The defendants shall have until April 18, 2011, to answer or otherwise respond to the amended complaint. 3. If the defendants file a motion to dismiss the amended complaint, the Lead Plaintiff shall have until June 1, 2011, to file any opposition, and the defendants shall have until June 22, 2011, to file any reply. 4. The parties shall file their planning report pursuant to Fed. R. Civ. P. 26(f) within thirty days of the earlier of the defendants filing an answer to the amended complaint or the courts ruling on the defendants' motion to dismiss. Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10- cv-00332-JFB -TDTOrdered by Magistrate Judge Thomas D. Thalken. (Copy mailed to pro se party)(TCL ) (Entered: 01/31/2011)

02/01/2011 45 TEXT NOTICE OF INDEX OF EVIDENCE regarding filing 43 by Deputy Clerk. Pursuant to NECivR 7.0.1(a)(2) and (b)(2), evidence in support of a motion or brief shall be identified on an electronically-filed index of evidence. The index of evidence must identify the motion or brief to which it relates. Attachments to the index must be

described using the System-generated prompt box. This notice is for your information for future filings.(GJG) (Entered: 02/01/2011)

03/02/2011 46 AMENDED COMPLAINT against Defendant Michael J. Falbo, Charles W. Hoskins, Gilbert G. Lundstrom, TierOne Corporation, Eugene B. Witkowicz, James A. Laphen, by Attorney Phillip C. Kim on behalf of Valentino Group (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Kim, Phillip) (Entered: 03/02/2011)

03/02/2011 47 Summons Requested as to James A. Laphen regarding Amended Complaint, 46 . (Kim, Phillip) (Entered: 03/02/2011)

03/03/2011 48 Summons Issued as to defendant James A. Laphen. YOU MUST PRINT YOUR ISSUED SUMMONS, WHICH ARE ATTACHED TO THIS DOCUMENT. PAPER COPIES WILL NOT BE MAILED. (TEL) (Entered: 03/03/2011)

03/07/2011

03/18/2011

03/23/2011

49 Summons Requested as to Michael J. Falbo regarding Amended Complaint, 46 . (Kim, Phillip) (Entered: 03/07/2011)

50 SUMMONS Returned Executed upon defendant Michael J. Falbo on 3/11/2011. (Kim, Phillip) (Entered: 03/18/2011)

51 WAIVER OF SERVICE Returned Executed upon defendant James A. Laphen. Waiver sent on 3/18/2011. (Kim, Phillip) (Entered: 03/23/2011)

04/07/2011 52 Joint MOTION to Extend Deadlines in the Initial Progress of Case Order by Attorney Thomas J. Kenny on behalf of Defendant James A. Laphen.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Kenny, Thomas) (Entered: 04/07/2011)

04/08/2011 53 TEXT ORDER granting (52) Motion to Extend in case 8:10cv199; (16) in case 4:10cv3177; (18) in case 8:10cv332. The January 31, 2011, order is amended. Defendants shall have until May 2, 2011 , to file an answer or otherwise respond to the Amended Complaint. Lead Plaintiff may have until June 15, 2011, in which to file opposition to any motion to dismiss and Defendants shall have until July 6, 2011, to file a reply. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 04/08/2011)

04/11/2011 54 ATTORNEY LETTER by Clerk that Attorney Nancy Sennett has not registered for admittance to practice or registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (AOA) (Entered: 04/11/2011)

04/18/2011 55 APPLICATION/ORDER admitting pro hac vice Attorney Bryan B. House for Defendant Michael J. Falbo. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT Ordered by Deputy Clerk. (TEL) Modified on 4/18/2011 to reflect correct party. (TEL) (Entered: 04/18/2011)

04/18/2011 56 APPLICATION/ORDER admitting pro hac vice Attorney Nancy J. Sennett for Defendant Michael J. Falbo. Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT Ordered by Deputy Clerk. (TEL) (Entered: 04/18/2011)

05/02/2011 57 Joint MOTION to Dismiss (Omnibus) by Attorney David A. Yudelson on behalf of

Defendants James A. Laphen, Gilbert G. Lundstrom, Michael J. Falbo, Charles W. Hoskins, James A. Laphen, Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB - TDT(Yudelson, David) (Entered: 05/02/2011)

05/02/2011 58 BRIEF in support of Joint MOTION to Dismiss (Omnibus) Joint MOTION to Dismiss (Omnibus) (20 in 4:10-cv-03177-JFB -TDT, 22 in 8:10-cv-00332-JFB -TDT, 57 in 8:10-cv-00199-JFB -TDT) by Attorney David A. Yudelson on behalf of Defendants James A. Laphen, Gilbert G. Lundstrom, Michael J. Falbo, Charles W. Hoskins, James A. Laphen, Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10- cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Yudelson, David) (Entered: 05/02/2011)

05/02/2011 59 INDEX in support of Joint MOTION to Dismiss (Omnibus) Joint MOTION to Dismiss (Omnibus) (20 in 4:10-cv-03177-JFB -TDT, 22 in 8:10-cv-00332-JFB -TDT, 57 in 8:10-cv-00199-JFB -TDT), Brief, (21 in 4:10-cv-03177-JFB -TDT, 58 in 8:10-cv-00199-JFB -TDT, 23 in 8:10-cv-00332-JFB -TDT) (Evidence) by Attorney David A. Yudelson on behalf of Defendants James A. Laphen, Gilbert G. Lundstrom, Michael J. Falbo, Charles W. Hoskins, James A. Laphen, Gilbert G. Lundstrom, Eugene B. Witkowicz. (Attachments: # 1 Exhibit 1 - Form 10-K dated 3/10/08, # 2 Exhibit 2 - Form 10-K dated 3/7/07, # 3 Exhibit 3 - Form 8-K dated 3/4/08, # 4 Exhibit 4 - Form 10-K dated 3/11/09, # 5 Exhibit 5 - Form 10-K dated 3/8/06, # 6 Exhibit 6 - Form 10- Q dated 5/3/06, # 7 Exhibit 7 - Form 10Q dated 5/6/09, # 8 Exhibit 8 - Form 8-K dated 6/30/08, # 9 Exhibit 9 - Form 10-K dated 3/4/05, # 10 Exhibit 10 - Form 10-Q dated 8/7/08, # 11 Exhibit 11 - Form 10-Q dated 8/5/09, # 12 Exhibit 12 - Financial Accounting Standards No. 5, # 13 Exhibit 13 - Form 10-Q dated 5/12/08, # 14 Exhibit 14 - Form 10-Q dated 11/7/08, # 15 Exhibit 15 - Form 8-K dated 2/23/09, # 16 Exhibit 16 - Form 10-Q dated 8/1/06, # 17 Exhibit 17 - Form 10-Q dated 11/2/06, # 18 Exhibit 18 - Form 10-Q dated 5/8/07, # 19 Exhibit 19 - Form 10-Q dated 8/6/07, # 20 Exhibit 20 - Form 8-K dated 1/15/09, # 21 Exhibit 21 - Form 8-K dated 7/23/09, # 22 Exhibit 22 - Form 8-K dated 2/5/10, # 23 Exhibit 23 - Form 8-K dated 4/2/10, # 24 Exhibit 24 - Form 8-K dated 5/4/10, # 25 Exhibit 25 - Form 8-K dated 5/17/07, # 26 Exhibit 26 - Form 8-K dated 2/18/08, # 27 Exhibit 27 - Form 8-K dated 3/20/08, # 28 Exhibit 28 - Form 8-K dated 9/3/09, # 29 Exhibit 29 - Bloomberg Law Company Report, # 30 Exhibit 30 - Form 8-K dated 6/3/10, # 31 Exhibit 31 - Financing Accounting Standards No. 114, # 32 Exhibit 32 - Glossary of Professional Practices)Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB - TDT(Yudelson, David) (Entered: 05/02/2011)

05/02/2011 60 AFFIDAVIT Authenticating Evidence by David A. Yudelson regarding Joint MOTION to Dismiss (Omnibus) Joint MOTION to Dismiss (Omnibus) (20 in 4:10-cv-03177-JFB -TDT, 22 in 8:10-cv-00332-JFB -TDT, 57 in 8:10-cv-00199-JFB -TDT), Index,,,,,,,, (24 in 8:10-cv-00332-JFB -TDT, 59 in 8:10-cv-00199-JFB -TDT, 22 in 4:10-cv-03177-JFB -TDT), Brief, (23 in 8:10-cv-00332-JFB -TDT, 58 in 8:10-cv-00199-JFB -TDT, 21 in 4:10-cv-03177-JFB -TDT) by Attorney David A. Yudelson on behalf of Defendants James A. Laphen, Gilbert G. Lundstrom, Michael J. Falbo, Charles W. Hoskins, James A. Laphen, Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Yudelson, David) (Entered: 05/02/2011)

05/02/2011 61 MOTION to Dismiss by Attorney David A. Yudelson on behalf of Defendants Gilbert

G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10- cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Yudelson, David) (Entered: 05/02/2011)

05/02/2011 62 BRIEF in support of MOTION to Dismiss(24 in 4:10-cv-03177-JFB -TDT, 26 in 8:10-cv-00332-JFB -TDT, 61 in 8:10-cv-00199-JFB -TDT) by Attorney David A. Yudelson on behalf of Defendants Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Yudelson, David) (Entered: 05/02/2011)

05/02/2011 63 INDEX in support of MOTION to Dismiss(26 in 8:10-cv-00332-JFB -TDT, 24 in 4:10-cv-03177-JFB -TDT, 61 in 8:10-cv-00199-JFB -TDT) by Attorney David A. Yudelson on behalf of Defendants Gilbert G. Lundstrom, Eugene B. Witkowicz. (Attachments: # 1 Exhibit 1 - Form 8-K dated 1/15/09, # 2 Exhibit 2 - Form 10-K dated 3/13/09, # 3 Exhibit 3 - Form 10-Q dateed 8/5/09, # 4 Exhibit 4 - Form 10-Q dated 5/6/09, # 5 Exhibit 5 - SEC Form 4 dated 8/12/08, # 6 Exhibit 6 - SEC Form 4 dated 4/25/08, # 7 Exhibit 7 - Authenticating Affidavit of David A. Yudelson)Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB - TDT(Yudelson, David) (Entered: 05/02/2011)

05/02/2011 64 MOTION to Dismiss by Attorney Bryan B. House on behalf of Defendant Michael J. Falbo.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(House, Bryan) (Entered: 05/02/2011)

05/02/2011 65 BRIEF in support of MOTION to Dismiss(27 in 4:10-cv-03177-JFB -TDT, 29 in 8:10-cv-00332-JFB -TDT, 64 in 8:10-cv-00199-JFB -TDT) by Attorney Bryan B. House on behalf of Defendant Michael J. Falbo.Member Cases: 8:10-cv-00199-JFB - TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(House, Bryan) (Entered: 05/02/2011)

05/02/2011 66 MOTION to Dismiss by Attorney Thomas J. Kenny on behalf of Defendants James A. Laphen, James A. Laphen.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177- JFB -TDT, 8:10-cv-00332-JFB -TDT(Kenny, Thomas) (Entered: 05/02/2011)

05/02/2011 67 BRIEF in support of Motion to Dismiss by Attorney Thomas J. Kenny on behalf of Defendants James A. Laphen, James A. Laphen.Member Cases: 8:10-cv-00199-JFB - TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Kenny, Thomas) (Entered: 05/02/2011)

05/02/2011 68 MOTION to Dismiss by Attorney James K. McCall on behalf of Defendant Charles W. Hoskins.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(McCall, James) (Entered: 05/02/2011)

05/02/2011 69 BRIEF in support of MOTION to Dismiss(33 in 8:10-cv-00332-JFB -TDT) / Defendant Charles W. Hoskins' Memorandum In Support Of His Motion To Dismiss And Request For Oral Argument by Attorney James K. McCall on behalf of Defendant Charles W. Hoskins.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(McCall, James) (Entered: 05/02/2011)

05/02/2011 70 INDEX in support of MOTION to Dismiss(31 in 4:10-cv-03177-JFB -TDT, 33 in 8:10-cv-00332-JFB -TDT, 68 in 8:10-cv-00199-JFB -TDT) by Attorney James K. McCall on behalf of Defendant Charles W. Hoskins. (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)Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(McCall, James) (Entered: 05/02/2011)

06/11/2011 71 Joint MOTION to Extend Order on Motion to Extend,, 53 by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.(Kim, Phillip) (Entered: 06/11/2011)

06/13/2011 72 TEXT ORDER granting (71) Motion to Extend. Lead Plaintiff may have until July 29, 2011 , in which to file an opposition to the defendants' motions to dismiss and the defendants shall have until August 19, 2011 , to file replies. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 06/13/2011)

07/21/2011 73 Joint MOTION to Extend BRIEFING SCHEDULE ON DEFENDANTS MOTIONS TO DISMISS BY ONE WEEK Order on Motion to Extend, 72 by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.(Kim, Phillip) (Entered: 07/21/2011)

07/25/2011 74 TEXT ORDER granting (73) Motion to Extend in case 8:10cv199. Lead Plaintiff may have until August 5, 2011 , in which to file an opposition to the defendants' motions to dismiss and the defendants shall have until August 26, 2011 , to file replies. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 07/25/2011)

08/01/2011 75 MOTION MOTION TO: (1) SUSPEND PLAINTIFFS OBLIGATION TO RESPOND TO DEFENDANTS MOTIONS TO DISMISS; AND (2) TO A SET AUGUST 15, 2011 AS THE DEADLINE FOR PLAINTIFFS TO FILE A MOTION SEEKING LEAVE TO AMEND THE COMPLAINT, OR IN THE ALTERNATIVE SETTING AUGUST 15, 2011 AS THE DEADLINE FOR THE FILING OF THE SECOND AMENDED COMPLAINT regarding MOTION to Dismiss 66 , Joint MOTION to Dismiss (Omnibus) Joint MOTION to Dismiss (Omnibus) 57 , MOTION to Dismiss 61 , MOTION to Dismiss 68 , MOTION to Dismiss 64 by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group. (Attachments: # 1 Index, # 2 Ex 1 to Index)(Kim, Phillip) (Entered: 08/01/2011)

08/02/2011 76 TEXT NOTICE OF INDEX OF EVIDENCE 75 by Deputy Clerk. Pursuant to NECivR 7.0.1(a)(2) and (b)(2), evidence in support of a motion or brief shall be identified on an electronically-filed index of evidence. The index of evidence must identify the motion or brief to which it relates. Attachments to the index must be described using the System-generated prompt box. This notice is for your information for future filings.(ETC) (Entered: 08/02/2011)

08/02/2011 77 TEXT ORDER granting (75) Motion in case 8:10cv199. The plaintiffs' deadline to respond to the defendants' motions to dismiss is suspended. The plaintiffs shall have until August 15, 2011 , to file a motion to amend the complaint. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 08/02/2011)

08/15/2011 78 MOTION for Leave to File a Second Amended Consolidated Complaint; Memorandum of Law In Support by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group. (Attachments: # 1 Index of Evidence, # 2 Ex. 1 to Index, "redline" second amended consoldiated complaint, # 3 Ex. 2, "clean" second amended consolidated complaint, # 4 Text of Proposed Order)Member Cases: 8:10-cv-00199- JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Kim, Phillip)

(Entered: 08/15/2011)

08/16/2011 79 TEXT NOTICE REGARDING PROPOSED ORDER (78 in 8:10-cv-00199-JFB - TDT, 39 in 8:10-cv-00332-JFB -TDT, 39 in 4:10-cv-03177-JFB -TDT) by Deputy Clerk. Pursuant to NECivR 7.0.2, a moving party shall submit a proposed order to the judge. Electronically submitted proposed orders may not be combined with the motion into one document. The proposed order should be e-mailed in a word-processing format to the assigned judge. This notice is for your information for future filings.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(GJG) (Entered: 08/16/2011)

08/22/2011 80 RESPONSE regarding MOTION for Leave to File a Second Amended Consolidated Complaint; Memorandum of Law In Support (78 in 8:10-cv-00199-JFB -TDT, 39 in 8:10-cv-00332-JFB -TDT, 39 in 4:10-cv-03177-JFB -TDT) / Defendants' Joint Response to Lead Plaintiffs' Motion for Leave to File a Second Amended Consolidated Complaint by Attorney James K. McCall on behalf of Defendants Michael J. Falbo, Charles W. Hoskins, James A. Laphen, Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(McCall, James) (Entered: 08/22/2011)

08/23/2011 81 TEXT ORDER granting (78) Motion for Leave to File a Second Amended Consolidated Complaint in case 8:10cv199; (39) in case 4:10cv3177; (39) in case 8:10cv332. The plaintiffs shall have until August 31, 2011, to file the Second Amended Consolidated Complaint . Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 08/23/2011)

08/24/2011 82 AMENDED COMPLAINT Second Amended Consolidated Compliant against Defendant Michael J. Falbo, Charles W. Hoskins, James A. Laphen, Gilbert G. Lundstrom, TierOne Corporation, Eugene B. Witkowicz, by Attorney Phillip C. Kim on behalf of Valentino Group(Kim, Phillip) (Entered: 08/24/2011)

08/25/2011 83 NOTICE of Mediation and Request for Entry of Proposed Mediation Reference Order (Joint) by Attorney Gregory C. Scaglione on behalf of Defendant Gilbert G. Lundstrom Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332-JFB -TDT(Scaglione, Gregory) (Entered: 08/25/2011)

08/26/2011 84 MEDIATION REFERENCE ORDER - Case is referred to Layn R. Phillips. Objection to this Order shall be submitted within 2 days; case is stayed until further Order of the Court. The Clerk shall set a case management deadline for December 2, 2011. Member Cases: 8:10-cv-00199-JFB -TDT, 4:10-cv-03177-JFB -TDT, 8:10-cv-00332- JFB -TDTOrdered by Magistrate Judge Thomas D. Thalken. (Copies mailed as directed, and copy of complaint, amended complaint and docket sheet mailed to mediator)(TCL ) (Entered: 08/26/2011)

12/05/2011 85 STATUS REPORT Joint Mediation/Settlement Status Update by Attorney David A. Yudelson on behalf of Defendants Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10- cv-00332-JFB-TDT(Yudelson, David) (Entered: 12/05/2011)

12/05/2011 86 ORDER - IT IS ORDERED that: On or before February 6, 2012, the parties shall move for preliminary approval of a class settlement or file a joint stipulation for dismissal (or other dispositive stipulation) and shall submit to the Honorable Joseph F.

Bataillon, at [email protected] , a draft order which will fully dispose of the case. If the case is being dismissed, the stipulation shall comply with Fed. R. Civ. P. 41(a) and shall state whether the dismissal is with or without prejudice. Absent compliance with this order, this case (including all counterclaims and the like) may be dismissed without further notice. All pending motions shall be terminated upon the representation that this case is settled. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10- cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDTOrdered by Magistrate Judge Thomas D. Thalken. (TCL ) (Entered: 12/05/2011)

02/01/2012 87 Joint MOTION to Extend Time to Seek Preliminary Approval of Class Settlement by Attorney James L. Thompson on behalf of Defendants Michael J. Falbo, Charles W. Hoskins, James A. Laphen, Gilbert G. Lundstrom, Eugene B. Witkowicz, Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Thompson, James) (Entered: 02/01/2012)

02/01/2012 88 TEXT ORDER granting the parties' Joint Motion for Extension of Time to Seek Preliminary Approval of Class Settlement. The parties shall have an extension of time until February 27, 2012 , to perfect their settlement and file a motion for preliminary approval of class settlement or file a joint stipulation for dismissal. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 02/01/2012)

02/24/2012 89 Joint MOTION to Extend Time to Seek Preliminary Approval of Class Settlement by Attorney David A. Yudelson on behalf of Defendants Gilbert G. Lundstrom, Eugene B. Witkowicz.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Yudelson, David) (Entered: 02/24/2012)

02/24/2012 90 TEXT ORDER granting Joint Motion for Extension of Time to Seek Preliminary Approval of Class Settlement. The parties shall have an extension of time until March 19, 2012, to perfect their settlement and file a motion for preliminary approval of class settlement or file a joint stipulation for dismissal. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 02/24/2012)


03/20/2012 92 TEXT ORDER granting Joint Motion for Extension of Time to Seek Preliminary Approval of Class Settlement. The parties shall have an extension of time until April 9, 2012 , to perfect their settlement and file a motion for preliminary approval of class settlement or file a joint stipulation for dismissal. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 03/20/2012)


04/10/2012

94 TEXT ORDER granting Joint Motion for Extension of Time to Seek Preliminary Approval of Class Settlement. The parties shall have an extension of time until April 23, 2012 , to perfect their settlement and file a motion for preliminary approval of class settlement or file a joint stipulation for dismissal. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 04/10/2012)


04/24/2012 96 TEXT ORDER granting Joint Motion for Extension of Time to Seek Preliminary Approval of Class Settlement. The parties shall have an extension of time until April 30, 2012, to perfect their settlement and file a motion for preliminary approval of class settlement or file a joint stipulation for dismissal. Member Cases: 8:10cv199, 4:10cv3177, 8:10cv332. Ordered by Magistrate Judge Thomas D. Thalken. (TRL) (Entered: 04/24/2012)

04/30/2012 97 Unopposed MOTION for Settlement Preliminary Approval of Settlement by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group. (Attachments: # 1 Stipulation of Settlement, # 2 Ex-A-1- to Stipulation, Long Notice, # 3 Ex. A-2 to Stipulation, Summary Notice, # 4 x A-3- to Stipulation, Proof of Claim and Release, # 5 Ex. A to Stipulation, Preliminary Apporval Order, # 6 Ex.B to Stipulation, Proposed Judgment)Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10- cv-00332-JFB-TDT(Kim, Phillip) (Entered: 04/30/2012)

04/30/2012 98 BRIEF in support of Unopposed MOTION for Settlement Preliminary Approval of Settlement (57 in 8:10-cv-00332-JFB-TDT, 57 in 4:10-cv-03177-JFB-TDT, 97 in 8:10- cv-00199-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 04/30/2012)

05/01/2012 99 TEXT NOTICE OF INDEX OF EVIDENCE (57 in 8:10-cv-00332-JFB-TDT, 57 in 4:10-cv-03177-JFB-TDT, 97 in 8:10-cv-00199-JFB-TDT) by Deputy Clerk. Pursuant to NECivR 7.0.1(a)(2) and (b)(2), evidence in support of a motion or brief shall be identified on an electronically-filed index of evidence. The index of evidence must identify the motion or brief to which it relates. Attachments to the index must be described using the System-generated prompt box. This notice is for your information for future filings. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT (TEL) (Entered: 05/01/2012)

05/16/2012 100 ORDER - IT IS ORDERED The pending motion for preliminary approval of class settlement is denied as moot. The parties shall file a revised motion for preliminary approval of class settlement within 10 days from the date of this order. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDTOrdered by Judge Joseph F. Bataillon. (TCL ) (Entered: 05/16/2012)

05/29/2012 101 Unopposed MOTION for Settlement FOR PRELIMINARY APPROVAL OF SETTLEMENT by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-

00332-JFB-TDT(Kim, Phillip) (Entered: 05/29/2012)

05/29/2012 102 INDEX in support of Unopposed MOTION for Settlement FOR PRELIMINARY APPROVAL OF SETTLEMENT (61 in 8:10-cv-00332-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 05/29/2012)

05/29/2012 103 BRIEF in support of Unopposed MOTION for Settlement FOR PRELIMINARY APPROVAL OF SETTLEMENT (61 in 8:10-cv-00332-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 05/29/2012)

05/29/2012

06/12/2012

06/12/2012

07/06/2012

07/11/2012

104 ATTACHMENT - CONTINUED regarding Index, (62 in 8:10-cv-00332-JFB-TDT, 102 in 8:10-cv-00199-JFB-TDT, 62 in 4:10-cv-03177-JFB-TDT). AMENDED ATTACHMENT TO STIPULATION OF SETTLEMENT, DKT. # 102-1 by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199- JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 05/29/2012)

105 ORDER - IT IS ORDERED that a hearing on the motion for preliminary approval of class settlement is scheduled before the undersigned in Courtroom No. 3, Roman Hruska U.S. Courthouse, 111 South 18th Plaza, Omaha, Nebraska, on June 20, 2012, at 9:00 a.m.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10- cv-00332-JFB-TDTOrdered by Judge Joseph F. Bataillon. (TCL ) (Entered: 06/12/2012)

106 ORDER - IT IS ORDERED that the hearing on the motion for preliminary approval of class settlement is rescheduled before the undersigned in Courtroom No. 3, Roman Hruska U.S. Courthouse, 111 South 18th Plaza, Omaha, Nebraska, on July 6, 2012, at 10:00 a.m. Attorneys and pro se plaintiff, Douglas Stejskal, may participate telephonically by contacting chambers (402/661-7302) at least 24 hours before the hearing. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT. Ordered by Judge Joseph F. Bataillon. (TCL ) (Entered: 06/13/2012)

107 TEXT MINUTE ENTRY for proceedings held before Judge Joseph F. Bataillon. Motion Hearing held on 7/6/2012 regarding Unopposed MOTION for Settlement FOR PRELIMINARY APPROVAL OF SETTLEMENT (101 in 8:10-cv-00199-JFB-TDT, 61 in 8:10-cv-00332-JFB-TDT, 61 in 4:10-cv-03177-JFB-TDT). Hearing held in Omaha. Written order forthcoming. Courtroom Deputy: Amy Brunswick; Reporter: Rogene Schroder; Appearance for Plaintiff: Phillip Kim: Appearance for Defendants: Gregory Scaglione and David A. Yudelson for Gilbert Lundstrom; James K. McCall for Charles Hoskins; Edward Warin, Thomas Kenny, and Ed Fox for James Laphen; Bryan House by phone for Michael Falbo; Douglas Stejskal, pro se by phone. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT Time Start: 9:59 AM; Time Stop: 10:15 AM; Time in Court: 16 Minutes. (ADB) (Entered: 07/06/2012)

108 NOTICE regarding Unopposed MOTION for Settlement FOR PRELIMINARY APPROVAL OF SETTLEMENT (61 in 4:10-cv-03177-JFB-TDT, 101 in 8:10-cv-

00199-JFB-TDT, 61 in 8:10-cv-00332-JFB-TDT) Submission of Revised Proposed Order by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group (Attachments: # 1 Exhibit A-1, Long Notice, # 2 Exhibit A-2, Summary Notice, # 3 Exhibit A-3, Proof of Claim)Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 07/11/2012)

07/12/2012

07/12/2012

07/12/2012

09/04/2012

109 TEXT NOTICE REGARDING PROPOSED ORDER (68 in 8:10-cv-00332-JFB- TDT, 108 in 8:10-cv-00199-JFB-TDT, 68 in 4:10-cv-03177-JFB-TDT) by Deputy Clerk. Pursuant to NECivR 7.0.2, a moving party shall submit a proposed order to the judge. The proposed order should be e-mailed in a word-processing format to the assigned judge. This notice is for your information for future filings. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT (TEL) (Entered: 07/12/2012)

110 MEMORANDUM AND ORDER - IT IS ORDERED: The plaintiffs' unopposed motion for certification of class and for preliminary approval of settlement (Filing No. 101 ) is granted. Pursuant to Rule 23(a) and (b)(3) of the Federal Rules of Civil Procedure and for the purposes of the Settlement only, this action is hereby preliminarily certified as a class action on behalf of: All persons who purchased the common stock of TierOne Corporation during the time period of August 9, 2007 through May 14, 2010, inclusive, and allegedly were damaged thereby. The individual defendants and all former officers and directors of TierOne Corporation, and such excluded persons immediate families, legal representatives, heirs, predecessors, successors, and assigns, and any entity in which any excluded person has or had a controlling interest are excluded from the Class. Those who file valid and timely requests for exclusion in accordance with this order are excluded from the Class. Lead Plaintiffs are certified as the Class representatives on behalf of the Class, and the Lead Counsel previously selected by Lead Plaintiffs and appointed by the Court is hereby appointed as Lead Counsel for the Class. An Order Preliminarily Approving Settlement and Providing for Notice will issue this date. A Fairness Hearing is scheduled on October 25, 2012 at 1:00 p.m. in Courtroom No. 3, Roman Hruska Federal Courthouse, 11 South 18th Plaza, Omaha, Nebraska. The Clerk of Court is directed to mail a copy of this order and the order preliminarily approving the Settlement by first class mail to: Douglas J. Stejskal PO Box 1222 Columbus, NE 68602. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT.Ordered by Judge Joseph F. Bataillon. (Copy mailed as directed)(TCL ) (Entered: 07/12/2012)

111 ORDER PRELIMINARILY APPROVING SETTLEMENT AND PROVIDING FOR NOTICE - A fairness hearing (the "Final Settlement Hearing") pursuant to Federal Rule of Civil Procedure 23(e) is hereby scheduled to be held before the Court on October 25, 2012 at 1:00 p.m. in Courtroom No. 3, Roman L. Hruska U.S. Courthouse, 111 South 18th Plaza, Omaha, Nebraska. The Court retains exclusive jurisdiction over the action to consider all further matters arising out of, or connected with, the Settlement. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDTOrdered by Judge Joseph F. Bataillon. (Copy mailed as directed)(TCL ) (Entered: 07/12/2012)

112 NOTICE to be excluded from the class on behalf of Gary L. Peck. (TCL ) (Entered: 09/04/2012)

09/13/2012 113 OBJECTION to the settlement on behalf of Betty L. Van Boening. (TCL ) (Entered:

09/13/2012)

09/20/2012 114 OBJECTION to the settlement on behalf of Ron Brimmer.(TCL ) (Entered: 09/21/2012)

09/24/2012 115 OBJECTION to the settlement on behalf of John Reimnitz. (TCL ) (Entered: 09/24/2012)

09/25/2012 116 MOTION for Settlement Final Approval of Class Action Settlement by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199- JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 09/25/2012)

09/25/2012 117 BRIEF in support of MOTION for Settlement Final Approval of Class Action Settlement (72 in 8:10-cv-00332-JFB-TDT, 72 in 4:10-cv-03177-JFB-TDT, 116 in 8:10-cv-00199-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 09/25/2012)

09/25/2012 118 MOTION for Attorney Fees Reimbursement of Expenses, and Award to Lead Plaintiffs by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 09/25/2012)

09/25/2012 119 BRIEF in support of MOTION for Attorney Fees Reimbursement of Expenses, and Award to Lead Plaintiffs (74 in 4:10-cv-03177-JFB-TDT, 118 in 8:10-cv-00199-JFB-TDT, 74 in 8:10-cv-00332-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177- JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 09/25/2012)

09/25/2012 120 INDEX in support of MOTION for Settlement Final Approval of Class Action Settlement (72 in 8:10-cv-00332-JFB-TDT, 72 in 4:10-cv-03177-JFB-TDT, 116 in 8:10-cv-00199-JFB-TDT), MOTION for Attorney Fees Reimbursement of Expenses, and Award to Lead Plaintiffs (74 in 4:10-cv-03177-JFB-TDT, 118 in 8:10-cv-00199- JFB-TDT, 74 in 8:10-cv-00332-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)Member Cases: 8:10-cv-00199- JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 09/25/2012)

10/04/2012 121 OBJECTION on behalf of Duncan Riefler.(TCL ) (Entered: 10/05/2012)

10/12/2012 122 OBJECTION to settlement on behalf of Douglas L. Stejskal.(TCL ) (Entered: 10/15/2012)

10/15/2012 123 OBJECTION on behalf of Frank Cummings. (TCL ) (Entered: 10/16/2012)

10/19/2012 124 REPLY regarding MOTION for Settlement Final Approval of Class Action Settlement (72 in 8:10-cv-00332-JFB-TDT, 72 in 4:10-cv-03177-JFB-TDT, 116 in 8:10-cv-00199-JFB-TDT), MOTION for Attorney Fees Reimbursement of Expenses, and Award to Lead Plaintiffs (74 in 4:10-cv-03177-JFB-TDT, 118 in 8:10-cv-00199- JFB-TDT, 74 in 8:10-cv-00332-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177- JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 10/19/2012)

10/19/2012

11/08/2012

125

INDEX in support of MOTION for Settlement Final Approval of Class Action Settlement (72 in 8:10-cv-00332-JFB-TDT, 72 in 4:10-cv-03177-JFB-TDT, 116 in 8:10-cv-00199-JFB-TDT), MOTION for Attorney Fees Reimbursement of Expenses, and Award to Lead Plaintiffs (74 in 4:10-cv-03177-JFB-TDT, 118 in 8:10-cv-00199- JFB-TDT, 74 in 8:10-cv-00332-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group. (Attachments: # 1 Exhibit 8)Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 10/19/2012)

126 LETTER on behalf of Frank Cummings.(TCL ) (Entered: 10/22/2012)

127 TEXT MINUTE ENTRY for proceedings held before District Judge Joseph F. Bataillon. Motion Hearing held on 10/25/2012 in Omaha regarding MOTION for Final Approval of Class Action Settlement (72 in 8:10-cv-00332-JFB-TDT, 72 in 4:10-cv-03177-JFB-TDT, 116 in 8:10-cv-00199-JFB-TDT), OBJECTION (121 in 8:10-cv-00199-JFB-TDT), OBJECTION (113 in 8:10-cv-00199-JFB-TDT), MOTION for Award of Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs (74 in 4:10-cv-03177-JFB-TDT, 118 in 8:10-cv-00199-JFB-TDT, 74 in 8:10-cv-00332-JFB-TDT), OBJECTION (114 in 8:10-cv-00199-JFB-TDT), OBJECTION (115 in 8:10-cv-00199-JFB-TDT), OBJECTION (122 in 8:10-cv-00199-JFB-TDT), and OBJECTION (123 in 8:10-cv-00199-JFB-TDT). Statements by parties made on the record. The objections are overruled. The Motion for Final Approval of Class Action Settlement and Motion for Award of Attorney Fees, Reimbursement of Expenses, and Award to Lead Plaintiffs is taken under advisement. Written order forthcoming. Courtroom Deputy: Kathy Griess; Reporter: Sue DeVetter; Appearance of Phillip C. Kim for Plaintiffs; David A. Yudelson for Defendants Gilbert G. Lundstrom and Eugene B. Witkowicz; Bryan B. House for Defendant Michael J. Falbo (Telephonically); James K. McCall for Defendant Charles W. Hoskins; and Edward G. Warin and Thomas J. Kenny for Defendant James A. Laphen. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv- 00332-JFB-TDT Time Start: 1:08 PM; Time Stop: 1:24 PM; Time in Court: 16 Minutes. (KMG) (Entered: 10/25/2012)

128 MEMORANDUM AND FINAL ORDER OF APPROVAL - IT IS ORDERED: Pursuant to Fed. R. Civ. P. 23, the class in this action is certified as set forth above at 3. Lead Plaintiffs' motions (Filing No. 116 in 8:10CV199 and Filing No. 72 in 8:10CV332 and 4:10CV3177) for final approval of the Stipulation of Settlement dated May 25, 2012 ("Settlement"), Filing No. 102, Ex. 1, are granted. The Settlement, Filing No. 102, Ex. 1, is hereby approved and is incorporated herein as if fully set forth. Lead Plaintiffs and the Individual Defendants shall consummate the Settlement in accordance with its terms. Without further order of the Court, the parties may agree to reasonable extensions of time to carry out any of the provisions of the Settlement. The court retains jurisdiction to enforce the Settlement. Any disputes arising out of the terms of the Settlement or the implementation or enforcement thereof, shall be submitted to the Court for final resolution upon the application of any party hereto. Lead counsel's motions for attorney fees, expenses and awards to lead plaintiffs (Filing No. 118 in 8:10CV199 and Filing No. 74 in 8:10CV332 and 4:10CV3177) are granted. A Judgment in accordance with this Memorandum and Final Order of Approval will issue this date. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT Ordered by Judge Joseph F. Bataillon. (Copy mailed to pro se party)(TCL ) (Entered: 11/08/2012)

10/19/2012

10/25/2012

11/09/2012 130

JUDGMENT - Pursuant to the Memorandum and Final Order of Approval entered this date, IT IS ORDERED: The Stipulation of Settlement (Filing No. 102, Ex. 1 in 8:10CV199; and Filing No. 62, Ex. 1 in 8:10CV332 and 4:10CV3177) is incorporated herein as if fully set forth. All capitalized terms used herein shall have the same meanings as set forth and defined in the Stipulation of Settlement. Pursuant to 15 U.S.C. § 78u-4(f)(7), the Court hereby permanently bars and enjoins any future claims for contribution arising out of this Action: (a) by any person or entity against the Individual Defendants; or (b) by the Individual Defendants against any person or entity other than a person or entity whose liability has been extinguished by the Settlement reached with the Individual Defendants. The Clerk of Court is directed to mail a copy of this Judgment and the Memorandum and Final Order of Approval of Settlement by first class mail to: Douglas J. Stejskal, P.O. Box 1222, Columbus, NE 68602 Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDTOrdered by Judge Joseph F. Bataillon. (Copy mailed as directed)(TCL ) (Entered: 11/08/2012)

TRANSCRIPT (UNREDACTED) of Proceedings before District Judge Joseph F. Bataillon held on October 25, 2012. Number of Pages: 14. The transcript can only be viewed at the court's public terminal or purchased through Court Reporter Susan M. DeVetter at (402) 661-7309 or [email protected] before the expiration of the Release of Transcript Restriction deadline. The parties have 5 business days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days. Click here to view the Transcript Redaction Procedure. - Redaction Request due 11/30/2012. Redacted Transcript Deadline set for 12/10/2012. Release of Transcript Restriction set for 2/7/2013. Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT(SMD) Modified on 2/8/2013 to remove restriction text (TCL ). (Entered: 11/09/2012)

11/08/2012

129

07/16/2013

07/16/2013

131 MOTION for Release of Funds PLAINTIFFS MOTION FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS; MEMORANDUM OF POINTS AND AUTHORITIES IN SUPPORT THEREOF by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group.Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 07/16/2013)

132 INDEX in support of MOTION for Release of Funds PLAINTIFFS MOTION FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS; MEMORANDUM OF POINTS AND AUTHORITIES IN SUPPORT THEREOF (83 in 4:10-cv-03177-JFB-TDT, 131 in 8:10-cv-00199-JFB-TDT, 83 in 8:10-cv-00332-JFB-TDT) by Attorney Phillip C. Kim on behalf of Plaintiff Valentino Group. (Attachments: # 1 Exhibit 1)Member Cases: 8:10-cv-00199-JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDT(Kim, Phillip) (Entered: 07/16/2013)

08/05/2013 133 ORDER PERMITTING DISTRIBUTION OF CLASS SETTLEMENT FUNDS - IT IS HEREBY ORDERED THAT: The funds that are currently in the Net Settlement Fund (less any necessary amounts to be withheld for payment of potential tax liabilities and related fees and expenses) shall be distributed on a pro rata basis to the Authorized Claimants identified in Exhibit B-1 to the Affidavit of Paul Mulholland CPA, CVA Concerning Administrative Procedures Performed to Process and the Results Thereof ("Mulholland Affidavit"), at the direction of Lead Plaintiffs' Counsel, The Rosen Law Firm P.A., pursuant to the Stipulation and Agreement of Settlement

dated May 25, 2012 (the "Stipulation") and the Plan of Allocation set forth in the Notice of Pendency and Proposed Settlement of Class Action that was distributed pursuant to this Court's prior Order. Any person asserting any rejected or subsequently filed claims are finally and forever barred from the date of this Order. The Court finds that the administration of the Settlement and proposed distribution of the Net Settlement Fund comply with the terms of the Stipulation and the Plan of Allocation and that all persons involved in the review, verification, calculation, tabulation, or any other aspect of the processing of the claims submitted herein, or otherwise involved in the administration or taxation of the Settlement Fund or the Net Settlement Fund are released and discharged from any and all claims arising out of such involvement, and all Class Members are barred from making any further claims against the Net Settlement Fund or the Released Parties beyond the amount allocated to them pursuant to this Order. The checks for distribution to Authorized Claimants shall bear the notation "CASH PROMPTLY, VOID AND SUBJECT TO RE-DISTRIBUTION 180 DAYS AFTER DISTRIBUTION DATE." Lead Counsel and the court-appointed Claims Administrator, Strategic Claims Services ("SCS") are authorized to locate and/or contact any Authorized Claimant who has not cashed his, her or its check within said time. Pursuant to Paragraph E.14 of the Stipulation, if there are any remaining funds in the Net Settlement Fund one (1) year after the initial distribution of the Net Settlement Fund by reason of un-cashed distributions or otherwise, and after the Claims Administrator has made reasonable and diligent efforts to have Class Members who are entitled to participate in the distribution of the Net Settlement Fund cash their distribution, then any balance remaining in the Net Settlement Fund shall be re-distributed, after payment of any unpaid costs or fees incurred in administering the Net Settlement Fund for such re-distribution, to Settlement Class Members who have cashed their checks and who would receive at least $10.00 from such re-distribution. If any funds shall remain in the Net Settlement Fund six months after such re-distribution, then such balance shall be contributed to Creighton University. SCS is hereby ordered to discard paper or hard copies of Proofs of Claims and supporting documents not less than one (1) year after all distributions of the Net Settlement Fund to the eligible claimants, and electronic copies of the same not less than three (3) years after all distributions of the Net Settlement Fund to the eligible claimants. This Court retains jurisdiction over any further application or matter which may arise in connection with this action. IT IS SO ORDERED. Member Cases: 8:10-cv-00199- JFB-TDT, 4:10-cv-03177-JFB-TDT, 8:10-cv-00332-JFB-TDTOrdered by Judge Joseph F. Bataillon. (TCL ) (Entered: 08/05/2013)

Note: Links in this docket are stored in the PACER system ( Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at http://pacer.psc.uscourts.gov/pacerdesc.html

Documents

U.S. District Court District of Nebraska (8 Omaha) CIVIL ...securities.stanford.edu/filings-documents/1044/... · 08/11/2010 20 REPORT AND RECOMMENDATION that reference of this case