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11/6/2018 Keating et al v.

Jastremski et al Docket Sheet

Keating et al v. Jastremski et al
Court Docket Sheet
Southern District of California

3:2015-cv-00057 (casd)

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# Date Description

1 01/12/2015 COMPLAINT Against John A. Jastremski, The Retirement Group, LLC, DOES 1-5 (Filing fee $ 400, receipt
number 0974-7709130.), filed by Jeremy L. Keating, Richard P. Gigliotti, Alexander J. Mele.

1 Attachment ▼

2 01/12/2015 Summons Issued. Counsel receiving this notice electronically should print this summons and serve it in
accordance with Rule 4, Fed.R.Civ.P and LR 4.1. (acc)

3 02/12/2015 **DOCUMENT STRICKEN PER ORDER 4 ** MOTION to Dismiss Defendants The Retirement Group, LLC
and John A. Jastremskis Motion and Notice of Motion to Dismiss or for Abstention by John A. Jastremski,
The Retirement Group, LLC.

4 02/13/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 3 MOTION
to Dismiss Defendants The Retirement Group, LLC and John A. Jastremskis Motion and Notice of Motion
to Dismiss or for Abstention, from Defendants John A. Jastremski, The Retirement Group, LLC. Non-
compliance with local rule(s), ECF 2(h): Includes a proposed order or requires judges signature. IT IS
HEREBY ORDERED: The document is rejected. It is ordered that the Clerk STRIKE the document from the
record, and serve a copy of this order on all parties. Signed by Judge M. James Lorenz on 2/13/2015.(sjt)
(Additional attachment(s) added on 2/13/2015: # 1 Rejected Document)

5 02/13/2015 NOTICE of Appearance by William Patrick Keith on behalf of John A. Jastremski, The Retirement Group,
LLC.

1 Attachment ▼

6 02/13/2015 MOTION to Dismiss Defendants The Retirement Group, LLC and John A. Jastremski's Motion and Notice
of Motion to Dismiss or for Abstention by John A. Jastremski, The Retirement Group, LLC.

3 Attachments ▼

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7 02/17/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 6 MOTION
to Dismiss Defendants The Retirement Group, LLC and John A. Jastremski's Motion and Notice of Motion
to Dismiss or for Abstention, from Defendants John A. Jastremski, The Retirement Group, LLC. Non-
compliance with local rule(s), ECF 2(f): Document is not signed by the filer. IT IS HEREBY ORDERED: The
document is accepted despite the discrepancy noted above. Any further non-compliant documents may
be stricken from the record. Signed by Judge M. James Lorenz on 2/17/2015.

8 02/20/2015 MOTION to Expedite by John A. Jastremski, The Retirement Group, LLC.

4 Attachments ▼

9 02/23/2015 NOTICE of Appearance by Eileen M. Diepenbrock on behalf of The Retirement Group, LLC.

1 Attachment ▼

10 02/23/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 8 MOTION
to Dismiss Defendants Notice of Motion & Ex Parte Application for Expedited Hearing and Special
Briefing Schedule on Defendants Motion to Dismiss or for Abstention, from Defendants John A.
Jastremski, The Retirement Group, LLC. Non-compliance with local rule(s), ECF 2(a),(g): Docket entry does
not accurately reflect the document filed, ECF 2(k): Exhibits not filed as separate attachments. IT IS
HEREBY ORDERED: The document is accepted despite the discrepancy noted above. Any further non-
compliant documents may be stricken from the record. Signed by Judge M. James Lorenz on 2/23/2015.

11 02/23/2015 ORDER Setting Briefing Schedule re 8 MOTION to Expedite: Responses due by 2/25/2015 Replies due by
2/27/2015. Signed by Judge M. James Lorenz on 2/23/2015.

12 02/24/2015 SUMMONS Returned Executed by Jeremy L. Keating, Richard P. Gigliotti, Alexander J. Mele. The
Retirement Group, LLC served.

13 02/25/2015 RESPONSE in Opposition re 8 MOTION to Expedite filed by Richard P. Gigliotti, Jeremy L. Keating,
Alexander J. Mele.

2 Attachments ▼

14 02/25/2015 NOTICE of Appearance by Jonathan R. Marz on behalf of The Retirement Group, LLC.

1 Attachment ▼

15 02/26/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 13
Response in Opposition to Motion, from Plaintiffs Richard P. Gigliotti, Jeremy L. Keating, Alexander J.
Mele. Non-compliance with local rule(s), ECF 2(k): Exhibit not filed as separate attachments. IT IS HEREBY
ORDERED: The document is accepted despite the discrepancy noted above. Any further non-compliant
documents may be stricken from the record. Signed by Judge M. James Lorenz on 2/26/2015.

16 02/27/2015 REPLY to Response to Motion re 8 MOTION to Expedite Defendants Reply Re Ex Parte Application for
Expedited Hearing and Special Briefing Schedule on Defendants Motion to Dismiss or for Abstention
filed by John A. Jastremski, The Retirement Group, LLC.

1 Attachment ▼

17 02/27/2015 AMENDED COMPLAINT against The Retirement Group, LLC, filed by Jeremy L. Keating, Richard P.
Gigliotti, Alexander J. Mele.

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1 Attachment ▼

18 03/02/2015 ORDER dismissing as Moot 6 Motion to Dismiss and 8 Motion to Expedite. Amended Complaint filed.
Signed by Judge M. James Lorenz on 3/2/2015.

19 03/12/2015 Joint MOTION for Extension of Time to File Response/Reply as to 17 Amended Complaint Joint Motion
for Extension of Time to Respond to First Amended Complaint by John A. Jastremski, The Retirement
Group, LLC.

1 Attachment ▼

20 03/12/2015 Joint MOTION to Dismiss Party Defendant John A. Jastremski by Richard P. Gigliotti, Jeremy L. Keating,
Alexander J. Mele.

1 Attachment ▼

21 03/12/2015 ORDER granting 19 Joint Motion for Extension of Time to Answer. Accordingly, Defendants have until
March 23, 2015 to respond to the complaint. Signed by Judge M. James Lorenz on 3/12/2015.

22 03/13/2015 ORDER granting 20 Joint Motion to Dismiss Party John Jastremski without Prejudice. Signed by Judge
M. James Lorenz on 3/12/2015.

23 03/23/2015 ANSWER to 17 Amended Complaint by The Retirement Group, LLC.

1 Attachment ▼

24 03/23/2015 COUNTERCLAIM against Jeremy L. Keating, Richard P. Gigliotti, Alexander J. Mele, Securities America,
Inc., John Davenport, Sean Sullivan, Lloyd Silvers, Ardent Retirement Planning LLC, DOES 1 through 25,
inclusive, filed by The Retirement Group, LLC.

12 Attachments ▼

25 03/24/2015 Summons Issued on a Counterclaim. Counsel receiving this notice electronically should print this
summons and serve it in accordance with Rule 4, Fed.R.Civ.P and LR 4.1.

26 03/27/2015 NOTICE AND ORDER for Early Neutral Evaluation Conference. Early Neutral Evaluation set for 5/12/2015
10:00 AM before Magistrate Judge Jan M. Adler. Signed by Magistrate Judge Jan M. Adler on 3/27/2015.

27 04/02/2015 Minute Entry by Magistrate Judge Jan M. Adler: At the request of counsel, Early Neutral Evaluation
Conference set for 5/12/2015 continued to 6/1/2015 10:00 AM before Magistrate Judge Jan M. Adler. (no
document attached)

28 04/08/2015 SUMMONS Returned Executed by The Retirement Group, LLC. Securities America, Inc. served.

29 04/08/2015 SUMMONS Returned Executed by The Retirement Group, LLC. John Davenport served.

30 04/08/2015 SUMMONS Returned Executed by The Retirement Group, LLC. Sean Sullivan served.

31 04/08/2015 SUMMONS Returned Executed by The Retirement Group, LLC. Lloyd Silvers served.

32 04/08/2015 SUMMONS Returned Executed by The Retirement Group, LLC. Ardent Retirement Planning LLC served.

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33 04/13/2015 ANSWER to 24 Counterclaim, by Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele.

1 Attachment ▼

34 04/21/2015 ANSWER re 24 Counterclaim, filed by Securities America, Inc. Modified to reflect correct event on
4/22/2015

35 06/01/2015 Minute Entry for proceedings held before Magistrate Judge Jan M. Adler: Early Neutral Evaluation
Conference held on 6/1/2015. (Plaintiff Attorneys Erwin Shustak, Paul Reynolds, Jonah Toleno).
(Defendant Attorneys Eileen Diepenbrock, Scott Metzger). (Attorney Samuel Edgerton for
Counterdefendant Securities America, Inc.). (Attorney Patrick Hinton for Counterdefendants John
Davenport, Sean Sullivan, Lloyd Silvers, Ardent Retirement Planning, LLC). Court to issue order. (no
document attached)

36 06/02/2015 Order Following ENE. Early Neutral Evaluation Conference held on 6/1/2015.Plaintiffs shall file their
motion for summary judgment on or before July 1, 2015. A joint motion for dismissal shall be filed with
the Court, on or before July 1, 2015.1 If a joint motion for dismissal cannot be provided on or before the
date indicated above, counsel shall contact the chambers of Magistrate Judge Adler at least one court
day before the date indicated above to explain the reasons therefor. Signed by Magistrate Judge Jan M.
Adler on 6/2/2015.

37 06/22/2015 ANSWER to 24 Counterclaim, by Lloyd Silvers.Attorney Patrick Lee Hinton added to party Lloyd
Silvers(pty:cd)

38 06/22/2015 ANSWER to 24 Counterclaim, by Sean Sullivan.Attorney Patrick Lee Hinton added to party Sean
Sullivan(pty:cd)

39 06/22/2015 ANSWER to 24 Counterclaim, by John Davenport.Attorney Patrick Lee Hinton added to party John
Davenport(pty:cd)

40 06/22/2015 ANSWER to 24 Counterclaim, by Ardent Retirement Planning LLC.Attorney Patrick Lee Hinton added to
party Ardent Retirement Planning LLC(pty:cd)

41 07/01/2015 ORDER Continuing Deadline for Filing Joint Motion for Dismissal. It is Ordered that the due date for the
joint motion for dismissal as to the claims asserted between Plaintiff Richard P. Gigliotti and Defendant
The Retirement Group, LLC to be filed with the Court is continued from July 1, 2015 to July 8, 2015.
Signed by Magistrate Judge Jan M. Adler on 6/30/2015.

42 07/01/2015 MOTION for Partial Summary Judgment by Richard P. Gigliotti, Richard P. Gigliotti, Jeremy L. Keating,
Jeremy L. Keating, Alexander J. Mele, Alexander J. Mele.

23 Attachments ▼

43 07/08/2015 ORDER Continuing Deadline for Filing of Joint Motion for Dismissal. It is Ordered that the due date for
the joint motion for dismissal as to the claims asserted between Plaintiff Richard P. Gigliotti and
Defendant The Retirement Group, LLC to be filed with the Court is continued from July 8, 2015 to July
20, 2015. Signed by Magistrate Judge Jan M. Adler on 7/8/2015.

44 07/10/2015 **DOCUMENT STRICKEN PER ORDER 45 ** NOTICE of Joinder by Securities America, Inc. re 42 MOTION
for Partial Summary Judgment.

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45 07/13/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 44 Notice
of Joinder, from Counter Defendant Securities America, Inc. Non-compliance with local rule(s), ECF 2(h):
Includes a proposed order or requires judges signature, ECF 2(a),(g): Docket entry does not accurately
reflect the document filed, ECF 2(f): Lacking proper signature re: certificate of service, ECF § 2(f):
Document is not signed by the filer. IT IS HEREBY ORDERED: The document is rejected. It is ordered that
the Clerk STRIKE the document from the record, and serve a copy of this order on all parties. Signed by
Judge M. James Lorenz on 7/13/2015.(sjt) (Additional attachment(s) added on 7/13/2015: # 1 Rejected
Document)

46 07/20/2015 NOTICE of Joinder by Securities America, Inc. re 42 MOTION for Partial Summary Judgment
(DISCREPANCY PENDING)

47 07/21/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 46 Notice
of Joinder, from Counter Defendant Securities America, Inc. Non-compliance with local rule(s), ECF 2(f):
Document is not signed by the filer. IT IS HEREBY ORDERED: The document is accepted despite the
discrepancy noted above. Any further non-compliant documents may be stricken from the record.
Signed by Judge M. James Lorenz on 7/21/2015.

48 07/21/2015 NOTICE of Appearance of Counsel by Jeffrey Fields on behalf of Securities America, Inc. Attorney Jeffrey
Fields added to party Securities America, Inc.(pty:cd)

49 08/06/2015 Joint MOTION to Continue Hearing on Plaintiffs/Counter-Defendants' MSJ by Richard P. Gigliotti,


Richard P. Gigliotti, Jeremy L. Keating, Jeremy L. Keating, Alexander J. Mele, Alexander J. Mele.

1 Attachment ▼

50 08/06/2015 ORDER Granting 49 Joint Motion to Continue. Responses due by 8/17/2015, Replies due by 8/24/2015 re
Motion for Partial Summary Judgment. Signed by Judge Thomas J. Whelan for Judge M. James Lorenz
on 8/6/2015.

51 08/17/2015 RESPONSE in Opposition re 42 MOTION for Partial Summary Judgment filed by The Retirement Group,
LLC.

10 Attachments ▼

52 08/20/2015 **DOCUMENT STRICKEN PER ORDER 53 ** Joint MOTION to Continue Joint Statement of Undisputed
Facts by Jeremy L. Keating. (sjt). (Main Document 52 replaced on 8/24/2015) (sjt). Modified to strike on
8/24/2015

53 08/24/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 52 Joint
MOTION to Continue Joint Statement of Undisputed Facts, from Plaintiff Jeremy L. Keating. Non-
compliance with local rule(s), Civ. L Rule 5.2 and ECF § 2(d): Missing proof of service. IT IS HEREBY
ORDERED: The document is rejected. It is ordered that the Clerk STRIKE the document from the record,
and serve a copy of this order on all parties. Signed by Judge M. James Lorenz on 8/24/2015.(sjt)
(Additional attachment(s) added on 8/24/2015: # 1 Rejected Document)

54 08/24/2015 REPLY to Response to Motion re 42 MOTION for Partial Summary Judgment filed by Securities America,
Inc.

55 08/24/2015 Joint MOTION to Continue Deadline to File Joint Statement of Undisputed Facts by Jeremy L. Keating.

1 Attachment ▼

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56 08/24/2015 REPLY to Response to Motion re 42 MOTION for Partial Summary Judgment filed by Jeremy L. Keating.

1 Attachment ▼

57 08/25/2015 ORDER granting 55 Motion to Continue Deadline to File Joint Statement of Undisputed Facts. Signed by
Judge M. James Lorenz on 8/25/2015.

58 08/25/2015 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 54 Reply
to Response to Motion, from Counter Defendant Securities America, Inc. Non-compliance with local
rule(s), Civ. L Rule 5.2 and ECF § 2(d): Missing proof of service. IT IS HEREBY ORDERED: The document is
accepted despite the discrepancy noted above. Any further non-compliant documents may be stricken
from the record. Signed by Judge M. James Lorenz on 8/25/2015.

59 08/31/2015 Joint Statement of Undisputed Material Facts by Jeremy L. Keating, re 42 MOTION for Partial Summary
Judgment.

1 Attachment ▼

60 09/30/2015 Ex Parte MOTION to Substitute Attorney by The Retirement Group, LLC.

1 Attachment ▼

61 10/02/2015 ORDER granting 60 Motion to Substitute Attorney. Added attorney Gerald A. Klein for The Retirement
Group, LLC,Gerald A. Klein for The Retirement Group, LLC. Attorney Eileen M. Diepenbrock and Jonathan
R. Marz terminated. Signed by Judge M. James Lorenz on 10/1/2015.

62 10/09/2015 ORDER Scheduling Telephonic Case Management Conference for 10/13/2015 10:00 AM before Magistrate
Judge Jan M. Adler. Signed by Magistrate Judge Jan M. Adler on 10/9/2015.

63 10/09/2015 SUPPLEMENTAL BRIEFING by Counter Claimant The Retirement Group, LLC, Defendant The Retirement
Group, LLC re 62 Order, Set Hearings THE RETIREMENT GROUP, LLC'S BRIEF IN ADVANCE OF OCTOBER 13,
2015 CASE MANAGEMENT CONFERENCE RE OPENING DISCOVERY.

1 Attachment ▼

64 10/13/2015 Minute Entry for proceedings held before Magistrate Judge Jan M. Adler: Case Management Conference
held on 10/13/2015. (Plaintiff/Counter-defendant Attorneys Paul Reynolds, Jonah Toleno).
(Defendant/Counterclaimant Attorneys Scott Metzger, William Keith). (Counter-defendant Attorney
Jeffrey Fields). (Counter-defendant Attorney Patrick Hinton). Court to issue written order. (no document
attached)

65 10/13/2015 ORDER Granting Requests to Conduct Limited Written Discovery. Signed by Magistrate Judge Jan M.
Adler on 10/13/2015.

66 12/15/2015 Joint MOTION for Protective Order by John A. Jastremski, The Retirement Group, LLC.

2 Attachments ▼

67 12/18/2015 ORDER granting 66 Joint Motion for Protective Order. Signed by Magistrate Judge Jan M. Adler on
12/18/2015.

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68 01/29/2016 Joint MOTION for Discovery Joint Motion for Determination of Discovery Dispute by John A. Jastremski,
The Retirement Group, LLC.

5 Attachments ▼

69 02/11/2016 ORDER re: 68 Joint Motion for Determination of Discovery Dispute. Signed by Magistrate Judge Jan M.
Adler on 2/11/2016.

70 05/20/2016 **WITHDRAWN PER NOTICE 72 ** Joint MOTION for Discovery Dispute Determination by The
Retirement Group, LLC.

12 Attachments ▼

71 05/23/2016 Joint MOTION for Discovery Dispute Determination by The Retirement Group, LLC.

12 Attachments ▼

72 05/24/2016 NOTICE of Withdrawal of Document by The Retirement Group, LLC re 70 Joint MOTION for Discovery
Dispute Determination.

1 Attachment ▼

73 06/01/2016 Joint MOTION for Discovery Conducted By Plaintiffs by Richard P. Gigliotti, Jeremy L. Keating, Alexander
J. Mele.

1 Attachment ▼

74 06/03/2016 ORDER granting 73 Joint Motion to Permit Plaintiffs to Conduct Limited Discovery. Signed by Magistrate
Judge Jan M. Adler on 6/3/2016.

75 06/21/2016 ORDER Setting Telephonic Case Management Conference for 7/7/2016 09:30 AM before Magistrate
Judge Jan M. Adler. Signed by Magistrate Judge Jan M. Adler on 6/21/2016.

76 07/05/2016 ORDER Vacating the Case Management Conference and construing the Joint Case Management
Conference Statement submitted by email to the Court on July 1, 2016 as a supplemental brief regarding
the Joint Motion for Determination ofDiscovery Dispute 71 currently pending before the Court. Signed
by Magistrate Judge Jan M. Adler on 7/5/2016.

77 07/07/2016 SUPPLEMENTAL BRIEFING by Plaintiffs Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele re 71
Joint MOTION for Discovery Dispute Determination.

1 Attachment ▼

78 07/08/2016 ORDER granting 71 Joint Motion for Determination of Discovery Dispute. Signed by Magistrate Judge
Jan M. Adler on 7/8/2016.

79 09/19/2016 ORDER. Defendant The Retirement Group, LLC seeks to open discovery in this matter. Counsel for all
parties shall thoroughly meet and confer, and prepare a joint motion which fully sets forth each party's
position on the opening of discovery. The joint motion shall not exceed ten pages, shall not have any
exhibits attached, and shall be filed by no later than 10/3/2016. Signed by Magistrate Judge Jan M. Adler
on 9/19/2016.(no document attached)

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80 09/20/2016 **DOCUMENT STRICKEN PER ORDER 81 ** Ex Parte MOTION to Withdraw as Attorney by The
Retirement Group, LLC. (sjt). (Main Document 80 replaced on 9/21/2016) (sjt). Modified to strike on
9/21/2016

81 09/21/2016 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 80 Ex
Parte MOTION to Withdraw as Attorney, from Defendant The Retirement Group, LLC. Non-compliance
with local rule(s), ECF 2(f): Lacking proper signature, Civ. L. Rule 83.3: Missing declaration of service of
the adverse party, Civ. L Rule 5.2 and ECF § 2(d): No proof of service; M. James, Lorenz, Standing Order
for Civil Cases: failure to comply with requirements for ex parte applications. IT IS HEREBY ORDERED:
The document is rejected. It is ordered that the Clerk STRIKE the document from the record, and serve a
copy of this order on all parties. Signed by Judge M. James Lorenz on 9/21/2016.(sjt) (Additional
attachment(s) added on 9/21/2016: # 1 Rejected Document)

82 09/22/2016 Ex Parte MOTION to Withdraw as Attorney by The Retirement Group, LLC.

1 Attachment ▼

83 09/23/2016 ORDER denying 42 Plaintiff/ Counter-Defendant's Motion for Partial Summary Judgment. Signed by
Judge M. James Lorenz on 9/23/2016.

84 09/23/2016 ORDER Vacating September 19, 2016 Order and Setting Rule 26 Compliance and Notice of Telephonic
Case Management Conference. Case Management Conference set for 10/20/2016 09:00 AM before
Magistrate Judge Jan M. Adler. Signed by Magistrate Judge Jan M. Adler on 9/23/2016.

85 09/26/2016 ORDER granting 82 Ex Parte Motion to Withdraw as Attorney. Gerald A. Klein, Esq. is withdrawn from
representing TRG this action. Scott L. Metzger, Esq. and William P. Keith, Esq. remain counsel of record
for TRG. Signed by Judge M. James Lorenz on 9/26/2016. (sjt)

86 09/29/2016 Ex Parte MOTION to Substitute Attorney for Counter Defendants by Lloyd Silvers, Sean Sullivan.

1 Attachment ▼

87 09/30/2016 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 86 Ex
Parte MOTION to Substitute Attorney for Counter Defendants, from Counter Defendants Lloyd Silvers,
Sean Sullivan. Non-compliance with local rule(s), ECF 2(k): Exhibits not filed as separate attachments. IT
IS HEREBY ORDERED: The document is accepted despite the discrepancy noted above. Any further non-
compliant documents may be stricken from the record. Signed by Judge M. James Lorenz on 9/30/2016.

88 10/06/2016 ORDER granting 86 Counter Defendants John Davenport, Sean Sullivan, Lloyd Silvers and Ardent
Retirement Planning, LLC is Motion to Substitute Attorney. It is Ordered that David P. Hall, Esq. is
substituted as counsel of record in lieu of Patrick L. Hinton, Esq. Signed by Judge M. James Lorenz on
10/6/2016. (sjt)

89 10/20/2016 Minute Entry for proceedings held before Magistrate Judge Jan M. Adler: Case Management Conference
held on 10/20/2016. (Plaintiff/Counterdefendant Attorneys Jonah Toleno, Catherine DiDonato).
(Defendant/Counterclaim Attorneys Scott Metzger, William Keith). (Counterdefendant Attorneys Samuel
Edgerton, Jeffrey Fields). (Counterdefendant Attorney David Hall). Court to issue written order. (no
document attached)

90 10/21/2016 SCHEDULING ORDER: Mandatory Settlement Conference set for 11/16/2017 10:00 AM before Magistrate
Judge Jan M. Adler. Proposed Pretrial Order due by 12/18/2017. Final Pretrial Conference set for 1/8/2018
10:30 AM before Judge M. James Lorenz. Signed by Magistrate Judge Jan M. Adler on 10/21/2016.

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91 10/31/2016 ORDER Scheduling Settlement Conference. Settlement Conference set for 1/19/2017 09:00 AM before
Magistrate Judge Jan M. Adler. Signed by Magistrate Judge Jan M. Adler on 10/31/2016.

92 11/02/2016 **Striken per order 93 **MOTION Association of Counsel by The Retirement Group, LLC. (acc). (Main
Document 92 replaced on 11/3/2016) (acc). Modified on 11/3/2016

93 11/03/2016 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 92
MOTION Association of Counsel, from Counter Claimant The Retirement Group, LLC, Defendant The
Retirement Group, LLC. Non-compliance with local rule(s), ECF 2(f): Lacking proper signature, Civ. L. Rule
7.1 or 47.1: Lacking memorandum of points and authorities in support as a separate document, M. James,
Lorenz, Standing Order for Civil Cases: failure to comply with requirements for ex parte applications. IT
IS HEREBY ORDERED: The document is rejected. It is ordered that the Clerk STRIKE the document from
the record, and serve a copy of this order on all parties. Signed by Judge M. James Lorenz on 11/3/2016.
(acc) (Additional attachment(s) added on 11/3/2016: # 1 Rejected Document)

94 11/16/2016 TRANSFER ORDER. IT IS HEREBY ORDERED that this case be transferred from the calendar of the
Honorable Jan M. Adler to the calendar of the Honorable Andrew G. Schopler for all further proceedings.
All pending conferences before Magistrate Judge Adler, including Early Neutral Evaluation Conferences,
Case Management Conferences, and Settlement Conferences, are vacated. Counsel shall contact Judge
Schopler's chambers within thirty (30) days of this transfer order to schedule a status conference. Any
dates set before any district judge remain unchanged. The new case number is 15cv57 L (AGS). Signed by
Magistrate Judge Jan M. Adler on 11/15/2016.

95 11/18/2016 ORDER SETTING SETTLEMENT CONFERENCE AND REQUIRING STATUS REPORT. A Settlement Conference
is set for 1/19/2017 at 9:00 AM before Magistrate Judge Andrew G. Schopler. Signed by Magistrate Judge
Andrew G. Schopler on 11/18/2016.

96 11/18/2016 NOTICE of Appearance by John A. Jastremski Attorney Gerald A. Klein added to party John A.
Jastremski(pty:dft) Modified on 11/21/2016

97 11/21/2016 MOTION to Compel Better Response to Request for Production of Documents No. 67 by The Retirement
Group, LLC.

4 Attachments ▼

98 12/09/2016 NOTICE of Change of Address by William Patrick Keith (discrepancy pending)

99 12/12/2016 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 98 Notice
of Change of Address, from Counter Claimant The Retirement Group, LLC, Defendant The Retirement
Group, LLC. Non-compliance with local rule(s), Judge Lorenzs Standing Order for Civil Cases: Proof of
service not filed as separate attachment. IT IS HEREBY ORDERED: The document is accepted despite the
discrepancy noted above. Any further non-compliant documents may be stricken from the record.
Signed by Judge M. James Lorenz on 12/12/2016.

100 12/19/2016 **DOCUMENT STRICKEN PER ORDER 104 ** MOTION for Leave to File a First Amended Counter-Claim
by The Retirement Group, LLC.

101 12/19/2016 NOTICE of Hearing on Motion 97 MOTION to Compel Better Response to Request for Production of
Documents No. 67 : Motion Hearing set for 1/3/2017 at 01:30 PM before Magistrate Judge Andrew G.
Schopler. (no document attached) (yeb) Modified on 12/19/2016

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102 12/19/2016 Joint MOTION for Leave to File Plaintiffs' Second Amended Complaint and The Retirement Group, LLC's
First Amended Counterclaim by Jeremy L. Keating.

2 Attachments ▼

103 12/20/2016 RESPONSE in Opposition re 97 MOTION to Compel Better Response to Request for Production of
Documents No. 67 filed by Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele.

3 Attachments ▼

104 12/21/2016 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 100
MOTION for Leave to File a First Amended Counter-Claim, from Counter Claimant The Retirement Group,
LLC. Non-compliance with local rule(s), ECF 2(f): Lacking proper signature, Civ. L. Rule 7.1: Missing table of
contents and/or table of authorities for exhibits, Civ. L. Rule 5.2 and ECF § 2(d): Missing proof of service.
IT IS HEREBY ORDERED: The document is rejected. It is ordered that the Clerk STRIKE the document
from the record, and serve a copy of this order on all parties. Signed by Judge M. James Lorenz on
12/21/2016.(fth) (Additional attachment(s) added on 12/21/2016: # 1 Rejected Document)

105 12/21/2016 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 102 Joint
MOTION for Leave to File Plaintiffs' Second Amended Complaint and The Retirement Group, LLC's First
Amended Counterclaim, from Plaintiff Jeremy L. Keating. Non-compliance with local rule(s), Civ. L. Rule
7.1: Missing table of contents and/or table of authorities for exhibits. IT IS HEREBY ORDERED: The
document is accepted despite the discrepancy noted above. Any further non-compliant documents may
be stricken from the record. Signed by Judge M. James Lorenz on 12/21/2016.

106 12/23/2016 ORDER granting 102 Joint Motion for Leave to Plaintiffs to File Second Amended Complaint and for
Counterclaimant TRG to file First Amended Counterclaim. No later than five court days of entry of this
order, Plaintiffs and Counter Claimant The Retirement Group, LLC shall each file and serve their
respective proposed pleadings. Any parties added to this action by the amended pleadings shall be
served with process no later than the time set forth in Federal Rule of Civil Procedure 4(m). Signed by
Judge M. James Lorenz on 12/23/2016.

107 12/27/2016 REPLY to Response to Motion re 97 MOTION to Compel Better Response to Request for Production of
Documents No. 67 filed by The Retirement Group, LLC.

2 Attachments ▼

108 12/28/2016 AMENDED COUNTERCLAIM against Ardent Retirement Planning LLC, DOES 1 through 25, inclusive,
Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele, Securities America, Inc., Lloyd Silvers, Sean
Sullivan, Sean Dalton, Capital Income Advisors, LLC, filed by The Retirement Group, LLC.

10 Attachments ▼

109 12/28/2016 NOTICE of Appearance by Paul Anthony Reynolds on behalf of Richard P. Gigliotti, Jeremy L. Keating,
Alexander J. Mele.

1 Attachment ▼

110 12/29/2016 AMENDED COMPLAINT against All Defendants, filed by Jeremy L. Keating, Richard P. Gigliotti, Alexander
J. Mele.

1 Attachment ▼

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111 12/30/2016 Summons on a Second Amended Complaint Issued. Counsel receiving this notice electronically should
print this summons and serve it in accordance with Rule 4, Fed.R.Civ.P and LR 4.1.

112 12/30/2016 DEMAND for Trial by Jury by Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele.

1 Attachment ▼

113 12/30/2016 MOTION to Appear Telephonically for the Better Response Request for Production of Documents
Hearing by Securities America, Inc. re 97 MOTION to Compel Better Response to Request for Production
of Documents No. 67 (discrepancy pending) (fth). Modified to change event to motion on 1/3/2017

114 01/03/2017 ORDER granting 113 Motion for Leave to Appear Telephonically and the 1/3/2017 Motion Hearing. Signed
by Magistrate Judge Andrew G. Schopler on 1/3/2017.

115 01/04/2017 AMENDED Summons Issued on a Counterclaim. Counsel receiving this notice electronically should print
this summons and serve it in accordance with Rule 4, Fed.R.Civ.P and LR 4.1.

116 01/04/2017 SECOND AMENDED Summons Issued on a Counterclaim. Counsel receiving this notice electronically
should print this summons and serve it in accordance with Rule 4, Fed.R.Civ.P and LR 4.1.

117 01/03/2017 Minute Order for proceedings held before Magistrate Judge Andrew G. Schopler: Motion Hearing held
on 1/3/2017 re 97 MOTION to Compel Better Response to Request for Production of Documents No. 67
filed by The Retirement Group, LLC. For the reasons stated on the record, the Motion 97 Motion to
Compel is granted in part. The Court will hold a follow up hearing on 2/10/2017 at 02:00 PM before
Magistrate Judge Andrew G. Schopler, to assess the states of discovery. (CD# 1/3/2017 AGS 16:1:29-2:111).
(Plaintiff Attorney Paul Reynolds).(Defendant Attorney William Patrick Keith). (no document attached)
(yeb) Modified on 1/11/2017 to correct docket text. NEF regenerated.

118 01/06/2017 STATUS REPORT by Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele.

2 Attachments ▼

119 01/06/2017 STATUS REPORT SETTLEMENT CONFERENCE BRIEF by John A. Jastremski, The Retirement Group, LLC.

120 01/09/2017 Joint MOTION for Extension of Time to File Responsive Pleading to Second Amended Complaint and
First Amended Counterclaim by Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele.

1 Attachment ▼

121 01/10/2017 ORDER granting 120 Motion for Extension of Time to File. Any responsive pleadings to Plaintiffs Second
Amended Complaint and The Retirement Group, LLCs First Amended Counterclaim shall be filed and
served no later than January 31, 2017. Signed by Judge M. James Lorenz on 1/10/2017.

122 01/12/2017 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings (Motion Hearing) held on 1/3/2017, before
Magistrate Judge Andrew G. Schopler. Court Reporter/Transcriber: Dana Peabody. Transcript may be
viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the
deadline for Release of Transcript Restriction. After that date it may be obtained through PACER or the
Court Reporter/Transcriber. If redaction is necessary, parties have seven calendar days from the file date
of the Transcript to E-File the Notice of Intent to Request Redaction. The following deadlines would also
apply if requesting redaction: Redaction Request Statement due to Court Reporter/Transcriber 2/2/2017.
Redacted Transcript Deadline set for 2/13/2017. Release of Transcript Restriction set for 4/12/2017.

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123 01/19/2017 Minute Entry for proceedings held before Magistrate Judge Andrew G. Schopler: Settlement Conference
held on 1/19/2017. Attorney Gerald Klein appeared on behalf of the Defendant. Attornies Sam Edgerton,
Kevin Muller, Katherine DiDonato, and Paul Reynolds appeared on behalf of the for Plaintiffs. Attorney
David Hall appeared on behalf of the for Counter-Defendant. The case did not settle.(Plaintiff Attorney
Sam Edgerton, Kevin Muller, Katherine DiDonato, Paul Reynolds). (Defendant Attorney Gerald Klein).
(David Hall for Counter-Defendant).(no document attached)

124 01/31/2017 **DOCUMENT WITHDRAWN PER NOTICE 134 ** ANSWER to Amended Counterclaim by Richard P.
Gigliotti, Jeremy L. Keating, Alexander J. Mele.

1 Attachment ▼

125 01/31/2017 ANSWER to Amended Counterclaim by Securities America, Inc.

126 01/31/2017 ANSWER to 110 Amended Complaint by John A. Jastremski, The Retirement Group, LLC.Attorney Michael
Seth LeBoff added to party John A. Jastremski(pty:dft), Attorney Michael Seth LeBoff added to party
The Retirement Group, LLC(pty:dft)

127 01/31/2017 ANSWER to Amended Counterclaim by Sean Sullivan.

1 Attachment ▼

128 01/31/2017 ANSWER to Amended Counterclaim by Lloyd Silvers.

1 Attachment ▼

129 01/31/2017 ANSWER to Amended Counterclaim by Ardent Retirement Planning LLC.

1 Attachment ▼

130 01/31/2017 **DOCUMENT STRICKEN PER ORDER 133 ** ANSWER to Complaint with Jury Demand by Steven Dalton.

131 02/01/2017 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 125
Answer to Amended Counterclaim, from Counter Defendant Securities America, Inc. Non-compliance
with local rule(s), Judge Lorenzs Standing Order for Civil Cases - Proof of Service not filed as separate
attachment. IT IS HEREBY ORDERED: The document is accepted despite the discrepancy noted above.
Any further non-compliant documents may be stricken from the record. Signed by Judge M. James
Lorenz on 2/1/2017.

132 02/01/2017 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Accepting re 126
Answer to Amended Complaint, from Defendants John A. Jastremski, The Retirement Group, LLC. Non-
compliance with local rule(s), Judge Lorenzs Standing Order for Civil Cases - Proof of Service not filed as
separate attachment. IT IS HEREBY ORDERED: The document is accepted despite the discrepancy noted
above. Any further non-compliant documents may be stricken from the record. Signed by Judge M.
James Lorenz on 2/1/2017.

133 02/01/2017 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 130 Answer
to Complaint, from Counter Defendants Ardent Retirement Planning LLC, Steven Dalton. Non-compliance
with local rule(s), Duplicate Filing of ECF 129. IT IS HEREBY ORDERED: The document is rejected. It is
ordered that the Clerk STRIKE the document from the record, and serve a copy of this order on all
parties. Signed by Judge M. James Lorenz on 2/1/2017.(fth) (Additional attachment(s) added on 2/1/2017:
# 1 Rejected Document)

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134 02/01/2017 NOTICE of Withdrawal by Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele re 124 Answer to
Amended Counterclaim.

1 Attachment ▼

135 02/01/2017 ANSWER to Amended Counterclaim by Capital Income Advisors, LLC, Richard P. Gigliotti, Jeremy L.
Keating, Alexander J. Mele.

1 Attachment ▼

136 02/07/2017 Joint MOTION to Continue Hearing on Motion to Compel Better Responses to Discovery Requests by
John A. Jastremski, The Retirement Group, LLC.

1 Attachment ▼

137 02/08/2017 ORDER granting 136 Joint Motion to Continue Hearing on Motion to Compel Better Responses to
Discovery Requests. The 2/10/2017 hearing is continued until 3/27/2017 at 1:00 PM Signed by Magistrate
Judge Andrew G. Schopler on 2/8/2017.

138 02/23/2017 MOTION to Compel TRG to Produce ESI in Requested Format by Capital Income Advisors, LLC, Richard P.
Gigliotti, Jeremy L. Keating, Alexander J. Mele.

5 Attachments ▼

139 03/02/2017 Joint MOTION for Extension of Time to Complete Discovery to Modify Scheduling Order by The
Retirement Group, LLC.

2 Attachments ▼

140 03/03/2017 ORDER Resetting 138 MOTION to Compel TRG to Produce ESI in Requested Format Hearing to 4/11/2017
01:00 PM in Courtroom 1F before Magistrate Judge Andrew G. Schopler. Signed by Magistrate Judge
Andrew G. Schopler on 3/3/2017.

141 03/06/2017 ORDER granting 139 Motion to Modify Case Management Order. Signed by Magistrate Judge Andrew G.
Schopler on 3/6/2017. (sjt)

142 03/17/2017 RESPONSE in Opposition re 138 MOTION to Compel TRG to Produce ESI in Requested Format filed by
John A. Jastremski, The Retirement Group, LLC.

4 Attachments ▼

143 03/21/2017 **DOCUMENT STRICKEN PER ORDER 144 ** NOTICE of Appearance by Securities America, Inc. Attorney
Patrick Y Yoo added to party Securities America, Inc.(pty:cd) Modified on 3/22/2017 (sjt). (Main Document
143 replaced on 3/22/2017) (sjt). Modified to Strike on 3/22/2017

144 03/22/2017 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 143 Notice
(Other), from Counter Defendant Securities America, Inc. Non-compliance with local rule(s), ECF 2(f):
Improper signature on the Proof of Service s/ is reserved for ECF-registered attorneys, ECF 2(g)(2), Judge
Lorenzs Standing Order for Civil Cases Proof of Service not filed as separate attachment. IT IS HEREBY
ORDERED: The document is rejected. It is ordered that the Clerk STRIKE the document from the record,
and serve a copy of this order on all parties. Signed by Judge M. James Lorenz on 3/22/2017.(sjt)
(Additional attachment(s) added on 3/22/2017: # 1 Rejected Document)

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145 03/22/2017 NOTICE of Association of Counsel by Securities America, Inc.

1 Attachment ▼

146 03/22/2017 Joint MOTION to Continue Motion to Compel Hearings by Richard P. Gigliotti, Jeremy L. Keating,
Alexander J. Mele, Securities America, Inc.

1 Attachment ▼

147 03/24/2017 REPLY - Other re 138 MOTION to Compel TRG to Produce ESI in Requested Format filed by Richard P.
Gigliotti, Jeremy L. Keating, Alexander J. Mele.

2 Attachments ▼

148 03/24/2017 ORDER granting 146 Joint Motion to Continue Motion Hearings. Both the March 27, 2017 and April 11,
2017 motion to compel hearing dates are vacated and rescheduled for 4/28/2017 at 01:00 PM before
Magistrate Judge Andrew G. Schopler. Signed by Magistrate Judge Andrew G. Schopler on 03/24/2017.
(yeb)

149 03/29/2017 MOTION to Compel Production of Documents from Counter-Defendants Ardent Retirement Planning,
LLC; Steven Dalton; Lloyd Silvers; and Sean Sullivan by The Retirement Group, LLC.

8 Attachments ▼

150 04/14/2017 RESPONSE in Opposition re 149 MOTION to Compel Production of Documents from Counter-Defendants
Ardent Retirement Planning, LLC; Steven Dalton; Lloyd Silvers; and Sean Sullivan filed by Ardent
Retirement Planning LLC, Steven Dalton, Lloyd Silvers, Sean Sullivan.

2 Attachments ▼

151 04/19/2017 **DOCUMENT STRICKEN PER ORDER 152 ** NOTICE of Attorney Name Change by Capital Income
Advisors, LLC, Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele. Modified on to strike document

152 04/21/2017 Notice of Document Discrepancies and Order Thereon by Judge M. James Lorenz Rejecting re 151 Notice
(Other), from Plaintiffs Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele. Non-compliance with
local rule(s), FRCP 41 Plaintiffs Attorney listed on document has not made an appearance. IT IS HEREBY
ORDERED: The document is rejected. It is ordered that the Clerk STRIKE the document from the record,
and serve a copy of this order on all parties. Signed by Judge M. James Lorenz on 4/21/2017. (fth)
(Additional attachment(s) added on 4/21/2017: # 1 Rejected Document)

153 04/21/2017 REPLY to Response to Motion re 149 MOTION to Compel Production of Documents from Counter-
Defendants Ardent Retirement Planning, LLC; Steven Dalton; Lloyd Silvers; and Sean Sullivan filed by The
Retirement Group, LLC.

1 Attachment ▼

154 04/21/2017 Witness List by Securities America, Inc.

2 Attachments ▼

155 04/27/2017 NOTICE of Change of Hearing Time on Motion to Compel [Doc. 138]: The April 28, 2017, 1:00 PM Motion
Hearing is reset to 2:30 PM in Courtroom 5C before Magistrate Judge Andrew G. Schopler. (no document
attached)

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156 04/28/2017 MINUTE ORDER (AGS): The court held a Motion Hearing re 138 MOTION to Compel TRG to Produce ESI in
Requested Format and 149 MOTION to Compel Production of Documents from Counter-Defendants
Ardent Retirement Planning, LLC. Per reasons stated on the record the MOTION to Compel TRG to
Produce ESI in Requested Format 138 is granted in part and the MOTION to Compel Production of
Documents from Counter-Defendants Ardent Retirement Planning, LLC. 149 is granted. In regards to
sanctions, a fee petition is due by May 14, 2017, from Keating and TRG. A Telephonic Status Conference is
set for May 22, 2017, at 11:00 AM before Magistrate Judge Andrew G. Schopler. The parties are also
required to file any further discovery motions within thirty days of the event giving rise to them and
must provide printed courtesy copies of all filings exceeding twenty pages. (CD# 4/28/2017 AGS 17:2:28-
3:20; 3:49-4:01). (Plaintiff Attorney Paul Reynolds; Katherine Bowles).(Defendant Attorney Gerald Klein).
(David P. Hall, for Counter Defendant). (no document attached)

157 05/12/2017 MOTION for Sanctions (Terminating) by John A. Jastremski, The Retirement Group, LLC.

8 Attachments ▼

158 05/12/2017 MOTION for Attorney Fees by Plaintiffs Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele.

2 Attachments ▼

159 05/15/2017 ORDER (AGS): The Plaintiffs fee Petition [Docs. 159 ] is taken under advisement. Any interested party
may file a response or opposition by May 18, 2017. Signed by Magistrate Judge Andrew G. Schopler on
05/15/2017. (no document attached) (mxa) Modified on 5/15/2017 to correct docket text. NEF
regenerated.

160 05/18/2017 MOTION to Compel Production of Documents From Plaintiffs and Counter-Defendants Jeremy L.
Keating, Richard P. Gigliotti, and Alexander J. Mele; and Counter-Defendants Capital Income Advisors,
LLC; Ardent Retirement Planning, LLC; Steven Dalton; and Lloyd Silvers by John A. Jastremski, The
Retirement Group, LLC.

6 Attachments ▼

161 05/18/2017 RESPONSE TO PETITION by John A. Jastremski, The Retirement Group, LLC.

2 Attachments ▼

162 05/19/2017 REPLY - Other re 158 MOTION for Attorney Fees filed by Richard P. Gigliotti, Jeremy L. Keating, Alexander
J. Mele.

1 Attachment ▼

163 05/22/2017 MINUTE ENTRY {AGS}: On May 22, 2017, the Court held a telephonic status conference. The parties' joint
request to extend discovery dates is granted and an amended scheduling order will follow. The Court
also grants plaintiffs' motion for attorney's fees [Doc. 158] as against Defendant The Retirement Group
in the amount of $8,407.50. (CD# 5/22/2017 15 AGS 11:15-11:45). (Plaintiff Attorney Paul Anthony
Reynolds). (Defendant Attorney Gerald A. Klein). (Other Counterdefendants David P. Hall,
Counterdefendant Securities America Samuel Y. Edgerton, III). (no document attached)

164 05/22/2017 ORDER REFERRING MOTION: 157 MOTION for Sanctions (Terminating) filed by The Retirement Group,
LLC, John A. Jastremski. Signed by Judge M. James Lorenz on 5/22/2017. Motions set before Andrew G.
Schopler.

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165 05/22/2017 Amended SCHEDULING ORDER: Proposed Pretrial Order due by 3/12/2018. Final Pretrial Conference set
for 3/19/2018 11:00 AM before Judge M. James Lorenz. Signed by Magistrate Judge Andrew G. Schopler
on 5/22/2017.

166 05/24/2017 ORDER (AGS): The Court will hold an in-person hearing concerning the motion for terminating sanctions
[Doc. 157] on June 30, 2017, at 9:00 AM in Courtroom 1F before Judge Schopler.(no document attached)

167 05/26/2017 MOTION for Order to Show Cause re Contempt and Request for Sanctions in the Amount of $2,035 by
The Retirement Group, LLC.

3 Attachments ▼

168 05/26/2017 MOTION for Summary Judgment to First Amended Counterclaim by Ardent Retirement Planning LLC,
Steven Dalton, Lloyd Silvers, Sean Sullivan.

6 Attachments ▼

169 05/30/2017 MOTION to Compel Production of Documents from Counter-Defendant Securities America, Inc. by The
Retirement Group, LLC.

4 Attachments ▼

170 06/01/2017 DECLARATION re 169 MOTION to Compel Production of Documents from Counter-Defendant Securities
America, Inc. by Counter Claimant The Retirement Group, LLC, Defendant The Retirement Group, LLC.

2 Attachments ▼

171 06/05/2017 Joint MOTION to Continue Hearing on Motion for Terminating Sanctions by Richard P. Gigliotti, Richard
P. Gigliotti, Jeremy L. Keating, Jeremy L. Keating, Alexander J. Mele, Alexander J. Mele.

1 Attachment ▼

172 06/05/2017 Joint MOTION to Continue Hearing on Motion for Terminating Sanctions by Richard P. Gigliotti, Richard
P. Gigliotti, Jeremy L. Keating, Jeremy L. Keating, Alexander J. Mele, Alexander J. Mele.

1 Attachment ▼

173 06/05/2017 ORDER (AGS): The parties' joint motions to continue [ECF Nos. 171 and 172] are granted. The hearing on
the motion for terminating sanctions is reset to August 7, 2017, at 2:00 PM Signed by Magistrate Judge
Andrew G. Schopler on 06/05/2017. (no document attached)

174 06/06/2017 MOTION for Discovery For Leave to Take Additional Depositions by John A. Jastremski, The Retirement
Group, LLC.

4 Attachments ▼

175 06/09/2017 ORDER (AGS): Defendants' Motion for Discovery [ECF No. 174] is granted and defendants will be allowed
ten additional depositions. The same increase will apply to all other parties, as well. Signed by
Magistrate Judge Andrew G. Schopler on 06/09/2017. (no document attached)

176 06/13/2017 NOTICE of Unavailability of Counsel by John A. Jastremski, The Retirement Group, LLC.

1 Attachment ▼

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177 06/19/2017 Ex Parte MOTION to Take Motion For Summary Judgment Off Calendar re 168 MOTION for Summary
Judgment filed by The Retirement Group, LLC.

2 Attachments ▼

178 06/20/2017 RESPONSE to Motion re 177 MOTION for Order to take Motion for Summary Judgment Off Calendar filed
by Ardent Retirement Planning LLC, Steven Dalton, Lloyd Silvers, Sean Sullivan.

2 Attachments ▼

179 06/21/2017 REPLY to Response to Motion re 177 MOTION for Order, 168 MOTION for Summary Judgment to First
Amended Counterclaim ; Ex Parte Application to Take Motion For Summary Judgment Off Calendar filed
by John A. Jastremski, The Retirement Group, LLC.

2 Attachments ▼

180 06/23/2017 ORDER denying without Prejudice 168 Motion for Summary Judgment; granting 177 Ex Parte
Application. Signed by Judge M. James Lorenz on 6/23/2017.

181 06/28/2017 RESPONSE in Opposition re 169 MOTION to Compel Production of Documents from Counter-Defendant
Securities America, Inc. filed by Securities America, Inc.

3 Attachments ▼

182 06/29/2017 REPLY - Other re 167 MOTION for Order to Show Cause re Contempt and Request for Sanctions in the
Amount of $2,035 ; Notice of Non-Opposition filed by The Retirement Group, LLC.

2 Attachments ▼

183 06/29/2017 MOTION to Compel Interrogatory Responses and Production of Documents From Counter-Defendant
Securities America, Inc. by The Retirement Group, LLC.

6 Attachments ▼

184 05/26/2017 NOTICE of Hearing on Motion 167 MOTION for Order to Show Cause re Contempt and Request for
Sanctions in the Amount of $2,035 : Motion Hearing set for 7/7/2017 10:00 AM in Courtroom 5C before
Magistrate Judge Andrew G. Schopler. (no document attached)

185 07/05/2017 NOTICE of Hearing on Motion 169 MOTION to Compel Production of Documents from Counter-
Defendant Securities America, Inc. : Motion Hearing set for 7/12/2017 04:00 PM before Magistrate Judge
Andrew G. Schopler. (All non-registered users served via U.S. Mail Service)(no document attached)

186 07/05/2017 REPLY to Response to Motion re [169] MOTION to Compel Production of Documents from Counter-
Defendant Securities America, Inc. filed by The Retirement Group, LLC.

1 Attachment ▼

187 07/05/2017 MOTION to Compel Interrogatory Responses and Production of Documents From Counter-Defendant
Ardent Retirement Planning, LLC by The Retirement Group, LLC.

4 Attachments ▼

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188 07/07/2017 MINUTE ORDER (AGS): The Court held a Motion Hearing on 7/7/2017 re 167 MOTION for Order to Show
Cause re Contempt and Request for Sanctions in the Amount of $2,035 is granted per reasons stated on
the record. Counter Defendant is fined a sanction of $2,000. Failure to comply with the Courts discovery
order will result in an additional $100 per day starting on 7/10/2017. (CD# 7/7/2017 AGS 17:9:55-10:02).
(Plaintiff Attorney Michael LeBoff).(Defendant Attorney David Hall). (All non-registered users served via
U.S. Mail Service)(no document attached)

189 07/12/2017 MINUTE ORDER (AGS): The Court held a Motion Hearing re 169 Motion to Compel on 7/12/2017. The
MOTION to Compel Production of Documents from Counter-Defendant Securities America, Inc. is
granted in part per reasons stated on the record. No sanctions imposed. Documents from Counter-
Defendant Securities America, Inc. are due by 7/24/2017. (CD# 7/12/2017 AGS 17:3:59-4:00; 4:07-4:45).
(Plaintiff Attorney Michael LeBoff, Counter Claimant).(Defendant Attorney Samuel Y. Edgerton, Counter
Defendant). (All non-registered users served via U.S. Mail Service)(no document attached)

190 07/14/2017 RESPONSE in Opposition re [157] MOTION for Sanctions (Terminating) filed by Securities America, Inc.

2 Attachments ▼

191 07/14/2017 CERTIFICATE OF SERVICE by Securities America, Inc. re [190] Response in Opposition to Motion,
Declaration of Samuel Edgerton ISO Opposition to Motion for Terminating Sanctions

192 07/14/2017 RESPONSE in Opposition re [157] MOTION for Sanctions (Terminating) filed by Richard P. Gigliotti,
Jeremy L. Keating, Alexander J. Mele.

11 Attachments ▼

193 07/14/2017 RESPONSE in Opposition re [157] MOTION for Sanctions (Terminating) filed by Securities America, Inc.

2 Attachments ▼

194 07/15/2017 RESPONSE in Opposition re [157] MOTION for Sanctions (Terminating) filed by Ardent Retirement
Planning LLC, Steven Dalton, Lloyd Silvers, Sean Sullivan.

6 Attachments ▼

195 07/18/2017 Ex Parte MOTION to Consolidate Hearings re [157] MOTION for Sanctions (Terminating), [160] MOTION to
Compel Production of Documents From Plaintiffs and Counter-Defendants Jeremy L. Keating, Richard P.
Gigliotti, and Alexander J. Mele; and Counter-Defendants Capital Income Advisors, LLC; Ardent
Retirement Planning, LLC; Steven Dalton; and, [183] MOTION to Compel Interrogatory Responses and
Production of Documents From Counter-Defendant Securities America, Inc., [187] MOTION to Compel
Interrogatory Responses and Production of Documents From Counter-Defendant Ardent Retirement
Planning, LLC by John A. Jastremski, The Retirement Group, LLC.

2 Attachments ▼

196 07/19/2017 ORDER (AGS): TRG's motion to consolidate the upcoming August 4, 2017 and August 7, 2017 hearings (ECF
No. 195) is granted. All four motions will be heard on August 7, 2017, at 2:00 PM Signed by Magistrate
Judge Andrew G. Schopler on 07/19/2017. (no document attached)

197 07/21/2017 RESPONSE in Opposition re [160] MOTION to Compel Production of Documents From Plaintiffs and
Counter-Defendants Jeremy L. Keating, Richard P. Gigliotti, and Alexander J. Mele; and Counter-
Defendants Capital Income Advisors, LLC; Ardent Retirement Planning, LLC; Steven Dalton; and filed by
Capital Income Advisors, LLC, Richard P. Gigliotti, Jeremy L. Keating, Alexander J. Mele.

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3 Attachments ▼

198 07/21/2017 REPLY to Response to Motion re [157] MOTION for Sanctions (Terminating) filed by John A. Jastremski,
The Retirement Group, LLC.

10 Attachments ▼

199 07/24/2017 RESPONSE in Opposition re [183] MOTION to Compel Interrogatory Responses and Production of
Documents From Counter-Defendant Securities America, Inc. filed by Securities America, Inc.

3 Attachments ▼

200 07/25/2017 REPLY - Other re [160] MOTION to Compel Production of Documents From Plaintiffs and Counter-
Defendants Jeremy L. Keating, Richard P. Gigliotti, and Alexander J. Mele; and Counter-Defendants
Capital Income Advisors, LLC; Ardent Retirement Planning, LLC; Steven Dalton; and Notice of Non-
Opposition From Ardent Retirement Planning, LLC; Steven Dalton; and Lloyd Silvers filed by John A.
Jastremski, The Retirement Group, LLC.

1 Attachment ▼

201 07/25/2017 REPLY - Other re [187] MOTION to Compel Interrogatory Responses and Production of Documents From
Counter-Defendant Ardent Retirement Planning, LLC Notice of Non-Opposition From Ardent Retirement
Planning, LLC filed by John A. Jastremski, The Retirement Group, LLC.

1 Attachment ▼

202 07/27/2017 DECLARATION re [157] MOTION for Sanctions (Terminating) Gerald A. Klein by Defendants John A.
Jastremski, The Retirement Group, LLC, Counter Claimant The Retirement Group, LLC.

203 07/28/2017 MOTION to Quash Subpoena for Production of Documents by Ardent Retirement Planning LLC, Steven
Dalton, Lloyd Silvers, Sean Sullivan.

2 Attachments ▼

204 07/28/2017 REPLY to Response to Motion re [160] MOTION to Compel Production of Documents From Plaintiffs and
Counter-Defendants Jeremy L. Keating, Richard P. Gigliotti, and Alexander J. Mele; and Counter-
Defendants Capital Income Advisors, LLC; Ardent Retirement Planning, LLC; Steven Dalton; and Reply to
Opposition of Plaintiffs and Counter-Defendants Jeremy L. Keating, Richard P. Gigliotti, and Alexander J.
Mele, and Counter-Defendant Capital Income Advisors, LLC (ECF no. 197) filed by John A. Jastremski, The
Retirement Group, LLC.

3 Attachments ▼

205 07/28/2017 REPLY to Response to Motion re [183] MOTION to Compel Interrogatory Responses and Production of
Documents From Counter-Defendant Securities America, Inc. filed by John A. Jastremski, The Retirement
Group, LLC.

1 Attachment ▼

206 08/04/2017 MOTION to Quash Subpoena to Law Offices of Freeman Mathis & Gary, LLP and for Monetary Sanctions
against The Retirement Group by Securities America, Inc.

4 Attachments ▼

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207 08/07/2017 MINUTE ORDER (AGS): The Court held a Contempt Hearing on 8/7/2017 before Magistrate Andrew G.
Schopler. The 157 MOTION for Sanctions (Terminating) is submitted. A further Motion/Evidentiary
Hearing is set for 10/30/2017 at 09:00 AM before Magistrate Judge Andrew G. Schopler. Brief is due by
9/15/2017, Response is due by 10/16/2017. Motions Submitted 157. The MOTION to Compel 183 is granted
in part per reasons stated on the record. SAI is to turn in all docs to third party vendor by 8/17/2017. No
sanctions imposed. The Motion to Compel 187 is denied as moot per reasons stated on the record. TRG
statement of Costs is due by 8/14/2017, response is due by 8/17/2017. A Settlement Conference is set for
9/29/2017 at 02:00 PM before Magistrate Judge Andrew G. Schopler. Telephonic Status Conference is set
for 8/22/2017 at 04:00 PM before Magistrate Judge Andrew G. Schopler. (CD# 8/7/2017 AGS 17:1:59-4:28).
(Plaintiff Attorney Paul Reynolds; Katherine Bowles).(Defendant Attorney Gerald Klein).(David P. Hall, for
Counter Defendants; Samuel Y. Edgarton, Counter Dendants; Nikki Sachdera, Counter Defendants). (no
document attached)

208 08/10/2017 RESPONSE in Support re [187] MOTION to Compel Interrogatory Responses and Production of
Documents From Counter-Defendant Ardent Retirement Planning, LLC Statement of Costs filed by John
A. Jastremski, The Retirement Group, LLC.

2 Attachments ▼

209 08/14/2017 RESPONSE re [208] Response in Support of Motion for Statement of Costs filed by Ardent Retirement
Planning LLC.

1 Attachment ▼

210 08/16/2017 ORDER (AGS): The Court has considered the statement of costs (ECF No. 208) and the objections (ECF
No. 209) and finds that a reasonable sanction is $3,000, which includes a reduction in paralegal charges.
Sean Sullivan, Lloyd Silvers, Steve Dalton, and Ardent Retirement Planning, LLC have 30 days to pay the
sanction. (no document attached)

211 08/18/2017 ORDER (AGS): The Court will hear both pending discovery motions (ECF Nos. 203 & 206) on September 6,
2017, at 4:00 PM The previously set hearing for September 5, 2017, is stricken. (no document attached)

212 08/21/2017 NOTICE of Withdrawal by Securities America, Inc. re [206] MOTION to Quash Subpoena to Law Offices of
Freeman Mathis & Gary, LLP and for Monetary Sanctions against The Retirement Group

1 Attachment ▼

213 08/22/2017 NOTICE of Withdrawal of Motion to Quash by Ardent Retirement Planning LLC, Steven Dalton, Lloyd
Silvers, Sean Sullivan re 203 MOTION to Quash Subpoena for Production of Documents.

1 Attachment ▼

214 08/22/2017 ORDER (AGS): In light of the parties' notices, the motion hearing set for September 6, 2017, is stricken.
(no document attached)

215 08/22/2017 DECLARATION re 157 MOTION for Sanctions (Terminating) Gerald A. Klein by Defendants John A.
Jastremski, The Retirement Group, LLC, Counter Claimant The Retirement Group, LLC.

1 Attachment ▼

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216 08/22/2017 MINUTE ENTRY (AGS): On August 22, 2017, the Court held a telephonic status conference. The fact
discovery cutoff is extended to September 15, 2017, for the purposes of taking the identified depositions
only. Additionally, the discussed motion to compel must be filed, if at all, by September 22, 2017.(CD#
8/22/2017 AGS 17 4:00-4:30). (Plaintiff Attorneys Jonah A Toleno & David Hall). (Defendant Attorneys
Gerald A. Klein, Michael Seth LeBoff). (Counterdefendant SAI Attorneys Samuel Y Edgerton, III, Patrick Y
Yoo). (Counterdefendant Ardent Attorney David Hall).(no document attached)

217 08/29/2017 Joint MOTION to Substitute Attorney by Capital Income Advisors, LLC, Richard P. Gigliotti, Richard P.
Gigliotti, Jeremy L. Keating, Jeremy L. Keating, Alexander J. Mele, Alexander J. Mele.

2 Attachments ▼

218 09/12/2017 NOTICE Application to Schedule Four Hours of Time for Evidentiary Hearing on Motion for Terminating
Sanctions by John A. Jastremski, The Retirement Group, LLC re [157] MOTION for Sanctions (Terminating)

1 Attachment ▼

219 09/13/2017 Joint MOTION to Continue FACT DISCOVERY CUTOFF FOR THE PURPOSES OF TAKING THE DEPOSITION
OF ERIK LARSEN by Securities America, Inc.

1 Attachment ▼

220 09/13/2017 ORDER (AGS): Defendants' motion to schedule four hours for the evidentiary hearing (ECF No. 218) is
denied in part. The Court will set aside three hours for the hearing. The parties' joint motion to extend
the fact discovery cutoff (ECF No. 219) to September 22, 2017, for the sole purpose of taking Erik Larsen's
deposition, is granted. Signed by Magistrate Judge Andrew G. Schopler on 09/13/2017.(no document
attached)

221 09/15/2017 SUPPLEMENTAL BRIEFING by Defendants John A. Jastremski, The Retirement Group, LLC, Counter
Claimant The Retirement Group, LLC re [157] MOTION for Sanctions (Terminating).

1 Attachment ▼

222 09/14/2017 ORDER granting [217] Motion to Substitute Attorney. David P. Hall, Esq. is substituted in as counsel of
record for Jeremy Keating, Richard Gigliotti, Alexander Mele and Capital Income Advisors, LLC. Erwin
Shustak, Esq., Paul Reynolds, Esq., Jonah Toleno, Esq., and Kathleen Bowles, Esq. are substituted out as
counsel for these parties. Signed by Judge M. James Lorenz on 9/14/2017.

315 05/18/2018 Notice (Other)

316 05/23/2018 Order Referring Case to Special Master

317 06/12/2018 Clarify

318 06/13/2018 Response in Opposition to Motion

319 06/14/2018 Notice of Joinder

320 06/18/2018 Order on Motion to Clarify

321 06/18/2018 Order on Motion for Partial Summary Judgment

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322 06/26/2018 Affidavit

06/27/2018 Order (Text entry; no document attached.)

324 07/18/2018 Miscellaneous (Other 1)

07/19/2018 Order on Motion for Miscellaneous (Other 1) (Text entry; no document attached.)

326 08/01/2018 Order on Motion to File Documents Under Seal

328 08/22/2018 Redacted Document

09/12/2018 Order on Motion to File Documents Under Seal (Text entry; no document attached.)

333 09/19/2018 Reply - Other

09/20/2018 Order on Motion for Discovery (Text entry; no document attached.)

335 10/10/2018 Notice (Other)

336 10/11/2018 Response - Other

337 10/11/2018 Notice of Lodgment

10/12/2018 ~Util - Set Deadlines (Text entry; no document attached.)

339 10/17/2018 Status Report

340 10/17/2018 Status Report

341 10/17/2018 Status Report

342 10/17/2018 Status Report

343 10/17/2018 Status Report

344 10/17/2018 Status Report

345 10/17/2018 Status Report

346 10/18/2018 Certificate of Service

347 10/19/2018 Notice of Appearance

348 10/29/2018 Reply - Other

349 10/29/2018 Notice of Lodgment

350 11/01/2018 Order on Motion for Attorney Fees

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351 11/02/2018 Notice of Lodgment

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