united states district court central district of...

US District Court Civil Docket as of May 4, 2016 Retrieved from the court on May 4, 2016

UNITED STATES DISTRICT COURT CENTRAL DISTRICT OF CALIFORNIA (Western Division - Los Angeles)

CIVIL DOCKET FOR CASE #: 2:11-cv-02769-JAK-SS

Dan Katz v. China Century Dragon Media, Inc. et al Assigned to: Judge John A. Kronstadt Referred to: Magistrate Judge Suzanne H. Segal Cause: 15:78m(a) Securities Exchange Act

Date Filed: 04/01/2011 Date Terminated: 06/23/2014 Jury Demand: Both Nature of Suit: 890 Other Statutory Actions Jurisdiction: Federal Question

Plaintiff

Dan Katz Individually and on behalf of all others similarly situated

represented by Laurence M Rosen The Rosen Law Firm PA 355 South Grand Avenue Suite 2450 Los Angeles, CA 90071 213-785-2610 Fax: 213-226-4684 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Julius Shapiro represented by Laurence M Rosen (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Peter Van Nuis represented by Laurence M Rosen The Rosen Law Firm PA 355 S. Grand Avenue, Suite 2450 Los Angeles, CA 90071 (213) 785-2610 Fax: (213) 226-4684 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Defendant

China Century Dragon Media, Inc. represented by Amanda J Sherman Loeb and Loeb LLP 10100 Santa Monica Boulevard 22nd Floor Century City, CA 90067 310-282-2261 Fax: 310-919-3760

Email: [email protected] TERMINATED: 03/26/2012 Eugene R Licker Loeb and Loeb LLP 345 Park Avenue 18th Floor New York, NY 10154 212-407-4000 Fax: 212-219-7454 Email: [email protected] TERMINATED: 03/26/2012 PRO HAC VICE Laura M Vasey Loeb and Loeb LLP 345 Park Avenue 18th Floor New York, NY 10154 212-407-4117 TERMINATED: 03/26/2012 Robert J Catalano Loeb & Loeb LLP 10100 Santa Monica Boulevard Suite 2200 Los Angeles, CA 90067 310-282-2316 Fax: 310-282-2200 Email: [email protected] TERMINATED: 03/26/2012 Walter Allan Edmiston Loeb and Loeb LLP 10100 Santa Monica Boulevard Suite 2200 Los Angeles, CA 90067-4164 310-282-2000 Fax: 310-282-2200 Email: [email protected] TERMINATED: 03/26/2012

Defendant

Haiming Fu

Defendant

Dapeng Duan

Defendant

Huhua Li

Defendant

Zhifeng Yan

Defendant

David De Campo represented by Bruce Halliday Jackson Baker and McKenzie LLP Two Embarcadero Center 11th Floor San Francisco, CA 94111 415-576-3000 Fax: 415-576-3099 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Brian K Tomkiel Baker and McKenzie LLP Two Embarcadero Center 11th Floor San Francisco, CA 94111 415-576-3092 Fax: 415-576-3099 Email: [email protected] ATTORNEY TO BE NOTICED Irene V Gutierrez Earthjustice 50 California Street Suite 500 San Francisco, CA 94111 415-217-2000 Fax: 415-217-2040 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Yue Lu

Defendant

Fang Yuan

Defendant

Wespark Capital, Inc. represented by Julie Elise Kamps WestPark Capital Financial Services LLC 1900 Avenue of the Stars Suite 310 Los Angeles, CA 90067 310-203-2942 Fax: 310-843-9389 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel D Harshman

FisherBroyles LLP 2110 Artesia Boulevard Suite 606 Redondo Beach, CA 90278 310-400-5668 Fax: 310-400-5669 Email: [email protected] TERMINATED: 12/27/2011 Issa Fouad Mikel Keller Rackauckas Umberg Zipser LLP 18300 Von Karman Ave., Suite 930 Irvine, CA 92612-1057 United Sta 949.476.8700 Email: [email protected] TERMINATED: 11/15/2013 Megan Rae Peitzke Cozen O'Connor 601 South Figueroa Street Suite 3700 Los Angeles, CA 90017 213-892-7900 Fax: 213-892-7999 Email: [email protected] TERMINATED: 06/13/2013 Robert W Hayes Cozen O'Connor 1900 Market Street Philadelphia, PA 19103 215-665-2094 Fax: 215-701-2094 Email: [email protected] TERMINATED: 06/13/2013 PRO HAC VICE

Defendant

Joseph Gunnar and Co, LLC represented by Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Elizabeth Anne O'Brien Lynn and O'Brien LLP 1516 Chapala Street Santa Barbara, CA 93101 805-845-5966 Fax: 805-845-5902 Email: [email protected] ATTORNEY TO BE NOTICED

Ian Y Park Law Offices of John E Lawlor 129 Third Street Mineola, NY 11501 516-248-7700 Fax: 516-742-7675 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED John E Lawlor Law Offices of John E Lawlor 129 Third Street Mineola, NY 11501 516-248-7700 Fax: 516-742-7675 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Joshua Eric Lynn Lynn and O'Brien LLP 1516 Chapala Street Santa Barbara, CA 93101 805-845-5966 Fax: 805-845-5902 Email: [email protected] ATTORNEY TO BE NOTICED Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

Defendant

I-Bankers Securities, Inc. represented by Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013

PRO HAC VICE

Defendant

AEGIS Capital Corporation represented by Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

Defendant

Richard Rappaport represented by Julie Elise Kamps (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Issa Fouad Mikel (See above for address) TERMINATED: 11/15/2013 Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

Defendant

MaloneBailey LLP represented by Christopher F Wong Drinker Biddle & Reath LLP 1800 Century Park East 14th Floor Los Angeles, CA 90067-1517 310-203-4000 Fax: 310-229-1285 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Bryan T Mohler Pryor Cashman LLP 7 Times Square New York, NY 10036 212-326-0466 Fax: 212-798-6907 Email: [email protected] TERMINATED: 01/20/2012 David S Eisen Wilson Elser Moskowitz Edelman & Dicker L.L.P. 555 South Flower Street Suite 2900 Los Angeles, CA 90071 213-443-5100 Fax: 213-443-5101 Email: [email protected] ATTORNEY TO BE NOTICED Jennifer J Moon Fidelity National Law Group 915 Wilshire Blvd., Ste. 2100 Los Angeles, CA 90017 213-438-4410 Fax: 213-438-4417 Email: [email protected] TERMINATED: 05/05/2015 ATTORNEY TO BE NOTICED Lisa M Buckley Pryor Cashman LLP 410 Park Avenue 10th Floor New York, NY 10022 212-326-0174 Fax: 212-798-6368 Email: [email protected] TERMINATED: 01/20/2012 Michael J Niborski Pryor Cashman LLP 1801 Century Park East 24th Floor Los Angeles, CA 90067 310-556-9608 Fax: 310-556-9670 Email: [email protected] TERMINATED: 01/20/2012 Patricia Ann Golson Wilson Elser Moskowitz Edelman and

Dicker LLP 555 South Flower Street Suite 2900 Los Angeles, CA 90071 213-443-5100 Fax: 213-443-5101 Email: [email protected] TERMINATED: 04/29/2015 ATTORNEY TO BE NOTICED Patrick Michael Kelly Wilson Elser Moskowitz Edelman & Dicker LLP 555 South Flower Street Suite 2900 Los Angeles, CA 90071 213-443-5100 Fax: 213-443-5101 Email: [email protected] ATTORNEY TO BE NOTICED

Interested Party

WestPark Capital Financial Services, LLC 1900 Ave. of the Stars Suite 310, CA 90067 310-843-9300

Cross Claimant

Wespark Capital, Inc. represented by Julie Elise Kamps (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

Cross Claimant

I-Bankers Securities, Inc. represented by Daniel D Harshman (See above for address) TERMINATED: 12/27/2011

Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

Cross Claimant

Joseph Gunnar and Co, LLC represented by Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Ian Y Park (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED John E Lawlor (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

Cross Claimant

AEGIS Capital Corporation represented by Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

Cross Claimant

Richard Rappaport represented by Julie Elise Kamps

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Daniel D Harshman (See above for address) TERMINATED: 12/27/2011 Megan Rae Peitzke (See above for address) TERMINATED: 06/13/2013 Robert W Hayes (See above for address) TERMINATED: 06/13/2013 PRO HAC VICE

V.

Cross Defendant

MaloneBailey LLP represented by Christopher F Wong (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Bryan T Mohler (See above for address) TERMINATED: 01/20/2012 David S Eisen (See above for address) ATTORNEY TO BE NOTICED Jennifer J Moon (See above for address) TERMINATED: 05/05/2015 ATTORNEY TO BE NOTICED Lisa M Buckley (See above for address) TERMINATED: 01/20/2012 Michael J Niborski (See above for address) TERMINATED: 01/20/2012 Patricia Ann Golson (See above for address) TERMINATED: 04/29/2015 ATTORNEY TO BE NOTICED

Patrick Michael Kelly (See above for address) ATTORNEY TO BE NOTICED

Date Filed # Docket Text

04/01/2011 1 COMPLAINT against Defendants AEGIS Capital Corporation, China Century Dragon Media, Inc., David De Campo, Dapeng Duan, Haiming Fu, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Huhua Li, Yue Lu, Wespark Capital, Inc., Zhifeng Yan, Fang Yuan.Case assigned to Judge Ronald S.W. Lew for all further proceedings. Discovery referred to Magistrate Judge Suzanne H Segal.(Filing fee $ 350 PAID) Jury Demanded, filed by plaintiff Dan Katz.(car) (mg). (Entered: 04/06/2011)

04/01/2011 21 DAY Summons Issued re Complaint - (Discovery) 1 as to Defendants AEGIS Capital Corporation, China Century Dragon Media, Inc., David De Campo, Dapeng Duan, Haiming Fu, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Huhua Li, Yue Lu, Wespark Capital, Inc., Zhifeng Yan, Fang Yuan. (car) (Entered: 04/06/2011)

04/01/2011 2 CERTIFICATION AND NOTICE of Interested Parties filed by Plaintiff Dan Katz (car) (mg). (Entered: 04/06/2011)

04/06/2011 3 ORDER RETURNING CASE FOR REASSIGNMENT by Judge Ronald S.W. Lew. ORDER case returned to the Clerk for random reassignment pursuant to General Order 08-05. Case randomly reassigned from Judge Ronald S.W. Lew to Judge Philip S. Gutierrez for all further proceedings. The case number will now reflect the initials of the transferee Judge CV 11-02769 PSG(SSx). (rn) (Entered: 04/06/2011)

04/07/2011 4 MINUTE ORDER IN CHAMBERS re CASE TRANSFERRED TO JUDGE GUTIERREZ: PLEASE BE ADVISED that this action has been reassigned to the Honorable Philip S. Gutierrez, United States District Judge. Please substitute the initials PSG in place of the initials RSWL. The case number will now read:CV 11-02769-PSG (SSx). Henceforth, it is imperative that the initials PSG be used on all documents to prevent any delays in processing of documents. (see document for further details) (bm) (Entered: 04/07/2011)

04/07/2011 5 STANDING ORDER regarding Newly Assigned Cases (See document for further details) by Judge Philip S. Gutierrez. (bm) (Entered: 04/07/2011)

04/26/2011 6 ORDER OF THE CHIEF JUDGE (#11-013) approved by Chief Judge Audrey B. Collins. Pursuant to the recommended procedure adopted by the Court for the Creation of calendar of Judge John A. Kronstadt, this case is transferred from Judge Philip S. Gutierrez to the calendar of Judge John A Kronstadt for all further proceedings. The case number will now reflect the initials of the transferee Judge CV11-2769 JAK(SSx). (sn) (Entered: 04/28/2011)

05/25/2011 7 INITIAL STANDING ORDER FOR CASES ASSIGNED TO JUDGE JOHN A. KRONSTADT by Judge John A Kronstadt. PLEASE READ THIS ORDER CAREFULLY. IT GOVERNS THIS CASE AND DIFFERS IN SOME RESPECTS FROM THE LOCAL RULES. This case has been assigned to the calendar of Judge John A. Kronstadt. (See Order for Details). (rp) (Entered: 05/25/2011)

05/31/2011 8 NOTICE OF MOTION AND MOTION for Appointment of Counsel and Lead Plaintiff

filed by Movant Dan Katz. Motion set for hearing on 7/11/2011 at 01:30 PM before Judge John A Kronstadt. (Attachments: # 1 Proposed Order)(Rosen, Laurence) (Entered: 05/31/2011)

05/31/2011 9 MEMORANDUM in Support of MOTION for Appointment of Counsel and Lead Plaintiff 8 filed by Plaintiff Dan Katz. (Rosen, Laurence) (Entered: 05/31/2011)

05/31/2011 10 DECLARATION of Laurence Rosen in support of MOTION for Appointment of Counsel and Lead Plaintiff 8 filed by Plaintiff Dan Katz. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) (Entered: 05/31/2011)

06/07/2011 11 PROOF OF SERVICE Executed by Plaintiff Dan Katz, upon Defendant China Century Dragon Media, Inc. served on 6/3/2011, answer due 6/24/2011. Service of the Summons and Complaint were executed upon Paul Matthews, Process Agent in compliance with Federal Rules of Civil Procedure by service on a domestic corporation, unincorporated association, or public entity. Original Summons returned. (Rosen, Laurence) (Entered: 06/07/2011)

06/21/2011 12 NOTICE OF NON-OPPOSITION to MOTION for Appointment of Counsel and Lead Plaintiff 8 filed by Plaintiff Dan Katz. (Rosen, Laurence) (Entered: 06/21/2011)

06/21/2011 13 PROOF OF SERVICE Executed by Plaintiff Dan Katz, upon Defendant Wespark Capital, Inc. served on 6/16/2011, answer due 7/7/2011. Service of the Summons and Complaint were executed upon Cynthia Aragon, General Counsel in compliance with Federal Rules of Civil Procedure by service on a domestic corporation, unincorporated association, or public entity. Original Summons returned. (Rosen, Laurence) (Entered: 06/21/2011)

06/22/2011 14 PROOF OF SERVICE Executed by Plaintiff Dan Katz, upon Defendant Joseph Gunnar and Co, LLC served on 6/22/2011, answer due 7/13/2011. Service of the Summons and Complaint were executed upon Toni Ann Romano, Executive Assistant in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Rosen, Laurence) (Entered: 06/22/2011)

06/22/2011 15 PROOF OF SERVICE Executed by Plaintiff Dan Katz, upon Defendant AEGIS Capital Corporation served on 6/22/2011, answer due 7/13/2011. Service of the Summons and Complaint were executed upon Kevin McKenna, Chief Compliance Officer in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Rosen, Laurence) (Entered: 06/22/2011)

06/22/2011 16 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Non-Opposition to Motion 12 . The following error(s) was found: Incorrect event selected. The correct event is: Motions & Related Docs - Non-Opposition. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (shb) (Entered: 06/27/2011)

07/07/2011 17 NOTICE of (1) Waiver of Oral Argument on Upposed Motion; and (2) Notice of Calendar Conflict of Lead Counsel Due to Hearing Before Judge Gutierrez filed by Movant Dan Katz. filed by Movant Dan Katz. (Rosen, Laurence) (Entered: 07/07/2011)

07/08/2011 18 APPLICATION to Continue Lead Plaintiff Motion Hearing Docket #8 from July 11, 2011 at 1:30 p.m. to July 18, 2011 at 1:30 p.m. Re: MOTION for Appointment of Counsel and Lead Plaintiff 8 (Attachments: # 1 Declaration of Laurence Rosen in

Support of Continuance, # 2 Proposed Order)(Rosen, Laurence) (Entered: 07/08/2011)

07/08/2011 19 ORDER by Judge John A Kronstadt: Plaintiff Daniel Katz' application for a continuance 18 is GRANTED. The hearing set for July 11, 2011 at 1:30 p.m. on plaintiff Daniel Katzs motion for appointment as lead plaintiff 8 shall be continued to July 18, 2011 at 2:15 p.m. (ir) (Entered: 07/12/2011)

07/18/2011 20 MINUTES OF MOTION OF DAN KATZ FOR APPOINTMENT AS LEAD PLAINTIFF AND APPROVAL OF CHOICE OF COUNSEL 8 . The Court grants plaintiffs motion. If it were to develop that a party later seeks to contest or review the granting of this Order, the Court will inquire as to why this person failed to appear today or file an opposition. The Court sets a scheduling conference for September 12, 2011 at 10:30 a.m. Court Reporter: AlexJoko. (shb) (Entered: 07/20/2011)

07/25/2011 21 STIPULATION for Extension of Time to File Answer filed by Plaintiff Dan Katz. (Attachments: # 1 Proposed Order)(Rosen, Laurence) (Entered: 07/25/2011)

07/27/2011 22 ORDER APPROVING STIPULATION 21 FOR EXTENSION OF TIME TO RESPOND TO COMPLAINT by Judge John A Kronstadt. Lead Plaintiffs shall file an Amended Complaint on or before thirty days after the Court appoints lead plaintiffs and approves selection of lead counsel. Defendants shall move, answer or otherwise respond to the Amended Complaint on or before thirty days after the Amended Complaint isfiled. If Defendants file a motion to dismiss, Lead Plaintiffs shall file theiropposition on or before twenty-one days following the filing of such motion, andDefendants shall file their reply briefs on or before ten days after Lead Plaintiffs file their opposition. (vdr) (Entered: 07/28/2011)

08/01/2011 23 NOTICE of Change of Attorney Information for attorney Laurence M Rosen counsel for Plaintiff Dan Katz. Changing Address to 355 South Grand Avenue, Suite 2450, Los Angeles, California 90071. Filed by Plaintiff Dan Katz (Rosen, Laurence) (Entered: 08/01/2011)

08/17/2011 24 FIRST AMENDED COMPLAINT against Defendant AEGIS Capital Corporation, China Century Dragon Media, Inc., David De Campo, Dapeng Duan, Haiming Fu, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Huhua Li, Yue Lu, Wespark Capital, Inc., Zhifeng Yan, Fang Yuan, Richard Rappaport, Malonebailey LLP amending Complaint 1 , filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis (shb) (shb). (Additional attachment(s) added on 8/18/2011: # 1 Summons on First Amended Complaint) (shb). (Entered: 08/18/2011)

08/17/2011 21 DAY Summons Issued re First Amended Complaint, 24 as to Defendants AEGIS Capital Corporation, China Century Dragon Media, Inc., David De Campo, Dapeng Duan, Haiming Fu, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Huhua Li, Yue Lu, Malonebailey LLP, Richard Rappaport, Wespark Capital, Inc., Zhifeng Yan, Fang Yuan. (shb) (Entered: 08/18/2011)

08/19/2011 25 PROOF OF SERVICE Executed by Plaintiff Dan Katz, upon Defendant I-Bankers Securities, Inc. served on 6/29/2011, answer due 7/20/2011. Service of the Summons and Complaint were executed upon I-Bankers Securities, Inc. in compliance with Federal Rules of Civil Procedure by substituted service on a domestic corporation, unincorporated association, or public entity and by also mailing a copy. Original Summons returned. (Rosen, Laurence) (Entered: 08/19/2011)

08/19/2011 26 PROOF OF SERVICE Executed by Plaintiff Dan Katz, upon Defendant Malonebailey

LLP served on 8/19/2011, answer due 9/9/2011. Service of the Summons and Complaint were executed upon John Kruger, Manager, Senior Accountant in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Rosen, Laurence) (Entered: 08/19/2011)

09/02/2011 27 STIPULATION Extending Time to Answer the complaint as to China Century Dragon Media, Inc. answer now due 10/7/2011, re Amended Complaint, 24 filed by Defendant China Century Dragon Media, Inc..(Catalano, Robert) (Entered: 09/02/2011)

09/02/2011 28 CERTIFICATE of Interested Parties filed by Defendant China Century Dragon Media, Inc., (Catalano, Robert) (Entered: 09/02/2011)

09/02/2011 29 Notice of Withdrawal of Stipulation Extending Time to Answer (30 days or less) 27 filed by Defendant China Century Dragon Media, Inc.. (Catalano, Robert) (Entered: 09/02/2011)

09/02/2011 30 STIPULATION Extending Time to Answer the complaint as to re Amended Complaint, 24 filed by Defendant China Century Dragon Media, Inc.. (Attachments: # 1 Proposed Order)(Catalano, Robert) (Entered: 09/02/2011)

09/06/2011 31 JOINT REPORT Rule 26(f) Discovery Plan ; estimated length of trial 6 days, filed by Plaintiff Dan Katz.. (Rosen, Laurence) (Entered: 09/06/2011)

09/07/2011 32 REQUEST to Substitute attorney Daniel D. Harshman in place of attorney Steve A. Buchwalter filed by defendant AEGIS Capital Corporation. (Attachments: # 1 Proposed Order Proposed Order on Request for Approval of Substitution of Attorney)(Harshman, Daniel) (Entered: 09/07/2011)

09/07/2011 33 CERTIFICATE OF SERVICE filed by defendant AEGIS Capital Corporation, re REQUEST to Substitute attorney Daniel D. Harshman in place of attorney Steve A. Buchwalter 32 served on September 7, 2011. (Harshman, Daniel) (Entered: 09/07/2011)

09/07/2011 34 ORDER by Judge John A Kronstadt, re Stipulation Extending Time to Answer (30 days or less) 27 , 30 . IT IS ORDERED THAT: Defendant shall move, answer or otherwise respond to the Amended Complaint on or before 30 days after the Amended Complaint is filed; and If defendant files a motion, lead Plaintiff shall file its opposition on or before twenty-one days following the filing of such motion, and defendant shall file its reply brief on or before ten days after lead plaintiff files its opposition. (shb) (Entered: 09/07/2011)

09/08/2011 36 ORDER by Judge John A Kronstadt: granting 32 Request to Substitute Attorney Daniel D Harshman in place and stead of Steve A Buchwalter. (shb) (Entered: 09/12/2011)

09/09/2011 35 NOTICE of Appearance filed by attorney Walter Allan Edmiston on behalf of Defendant China Century Dragon Media, Inc. (Edmiston, Walter) (Entered: 09/09/2011)

09/12/2011 56 MINUTES OF SCHEDULING CONFERENCE held before Judge John A Kronstadt. The Court confers with counsel and sets the following deadlines: September 16, 2011: Last day to file motions to dismiss; November 3, 2011: Status Report re Settlement and the Selection of Private Neutral; November 10, 2011 at 8:30 a.m.: Motions to Dismiss; Status Conference re Settlement and the Selection of a Private Neutral, Discovery, and Service of China Defendants; June 4, 2012 at 1:30 p.m.: Motion for Class Certification; September 14, 2012: Discovery Cut Off; October 31, 2012: Expert Discovery Cut Off; November 5, 2012: Last day to hear motions; November 19, 2012 at 1:30 p.m.: Final Pretrial Conference; November 30, 2012 at 3:00 p.m.: Status Conference re Exhibits; and

December 4, 2012 at 9:00 a.m.: Jury Trial (est 6 days). The Court confers with Plaintiff's counsel regarding the Defendants who reside in China, who have not been served. Defendant Malonebailey has not made an appearance but was served on August 19, 2011. Counsel for defendant shall provide to Plaintiff's counsel, no later than September 22, 2011, the names and addresses of the Defendants in China. The Court grants the parties' request to participate in a settlement conference before a private neutral. Counsel shall confer regarding the name(s) of a settlement officer(s) and include the name(s) in the parties' November 3 joint report. Court Reporter: Alex Joko. (lom) (Entered: 09/19/2011)

09/16/2011 37 APPLICATION for attorney Eugene Licker to Appear Pro Hac Vice(PHV Fee of $275 receipt number 0973-9233972 paid.) filed by defendant China Century Dragon Media, Inc.. (Edmiston, Walter) (Entered: 09/16/2011)

09/16/2011 38 APPLICATION for attorney Laura M. Vasey to Appear Pro Hac Vice(PHV Fee of $275 receipt number 0973-9234582 paid.) filed by defendant China Century Dragon Media, Inc.. (Attachments: # 1 Proposed Order Order -Application of Non-Resident Attorney)(Edmiston, Walter) (Entered: 09/16/2011)

09/16/2011 39 CERTIFICATE of Interested Parties filed by Defendant Wespark Capital, Inc., identifying WestPark Capital Financial Services, LLC; Richard Rappaport. (Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 40 CERTIFICATE of Interested Parties filed by Defendant Joseph Gunnar and Co, LLC, identifying Joseph A. Algana, Jr.. (Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 41 CERTIFICATE of Interested Parties filed by Defendants I-Bankers Securities, Inc., identifying James M. McCrory; Shelly K. Gluck. (Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 42 CERTIFICATE of Interested Parties filed by Defendant AEGIS Capital Corporation, identifying Aegis Capital Holding Corporation; Robert J. Eide. (Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 43 NOTICE OF MOTION AND MOTION to Dismiss First Amended Complaint filed by defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc.. Motion set for hearing on 11/10/2011 at 08:30 AM before Judge John A Kronstadt. (Attachments: # 1 Memorandum of Points and Authorities in Support of Motion to Dismiss the First Amended Complaint Filed by WestPark Capital, Inc., Joseph Gunnar & Co., LLC, I-Bankers Securities, Inc. and Aegis Capital Corporation)(Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 44 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss First Amended Complaint 43 Part 1 filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc.. (Attachments: # 1 Exhibit Part 1 Exhibit A)(Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 45 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss First Amended Complaint 43 Part 2 filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc.. (Attachments: # 1 Exhibit B, # 2 Exhibit C, # 3 Exhibit D, # 4 Exhibit E)(Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 46 Proposed Order filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc.. Motion set for hearing on

11/10/2011 at 08:30 AM before Judge John A Kronstadt. (Harshman, Daniel) Modified on 9/19/2011 (vdr). (Entered: 09/16/2011)

09/16/2011 47 CERTIFICATE OF SERVICE filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc., re MOTION to Dismiss First Amended Complaint 43 , Request for Judicial Notice, Request for Relief,, 44 , Certificate/Notice of Interested Parties 40 , MOTION for Order for Dismissing First Amended Complaint With Prejudice Against Defendants Westpark Capital, Inc., Joseph Gunnar & Co., LLC, I-Bankers Securities, Inc. and Aegis Capital Corporation 46 , Request for Judicial Notice, Request for Relief,, 45 , Certificate/Notice of Interested Parties 41 , Certificate/Notice of Interested Parties 42 , Certificate/Notice of Interested Parties 39 served on September 16, 2011. (Harshman, Daniel) (Entered: 09/16/2011)

09/16/2011 48 NOTICE OF MOTION AND MOTION to Dismiss Plaintiffs' First Amended Complaint filed by Defendant China Century Dragon Media, Inc.. Motion set for hearing on 11/10/2011 at 08:30 AM before Judge John A Kronstadt. (Edmiston, Walter) (Entered: 09/16/2011)

09/16/2011 49 MEMORANDUM of Points and Authorities in Support filed by Defendant China Century Dragon Media, Inc.. Re: MOTION to Dismiss Plaintiffs' First Amended Complaint 48 (Edmiston, Walter) (Entered: 09/16/2011)

09/16/2011 50 DECLARATION of W. Allan Edmiston re MOTION to Dismiss Plaintiffs' First Amended Complaint 48 filed by Defendant China Century Dragon Media, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Edmiston, Walter) (Entered: 09/16/2011)

09/17/2011 55 ORDER ON JURY/COURT TRIAL by Judge John A Kronstadt: Final Pretrial Conference/Motions in Limine: November 19, 2012 at 1:30 p.m.; Status Conference re ExhibitsNovember 30, 2012 at 3:00 p.m.; and Jury Trial:December 4, 2012 at 9:00 a.m. (See attached document for other requirements.) (lom) (Entered: 09/19/2011)

09/19/2011 51 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: (Proposed Order) 46 . The following error(s) was found: Incorrect event selected. The correct event is: Notice of Lodging. Proposed orders shall be efiled as an attachment to the motion. If they are filed separately, a notice of lodging shall be filed with the proposed order as an attachment. (Civil Events - Notices - Notice of Lodging) (vdr) (Entered: 09/19/2011)

09/19/2011 52 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS Re: Proposed Order 46 . The document is accepted. The Docket Quality Analyst shall amend the text to reference that Dkt. 46 is a proposed order and not a motion. Counsel are to take notice of the CM/ECF procedures. Any future document will be stricken for failure to follow the procedures. (vdr) (Entered: 09/19/2011)

09/19/2011 53 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: APPLICATION to Appear Pro Hac Vice 37 . The following error(s) was found: Local Rule 52-4.1, a separate proposed order shall be electronically filed (lodged) with any application. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (vdr) (Entered: 09/19/2011)

09/19/2011 54 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: MOTION to Dismiss Plaintiffs' First Amended Complaint 48 and MOTION to Dismiss First Amended Complaint 43 . The following error(s) was found: Hearing information is missing, incorrect, or not timely. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (vdr) (Entered: 09/19/2011)

09/19/2011 57 NOTICE OF LODGING filed Proposed Order Granting Application to Appear Pro Hac Vice re Notice of Deficiency in Electronically Filed Documents (G-112), Notice of Deficiency in Electronically Filed Documents (G-112), Notice of Deficiency in Electronically Filed Documents (G-112) 53 , APPLICATION for attorney Eugene Licker to Appear Pro Hac Vice(PHV Fee of $275 receipt number 0973-9233972 paid.) 37 (Attachments: # 1 Exhibit A)(Edmiston, Walter) (Entered: 09/19/2011)

09/19/2011 58 NOTICE OF LODGING filed of Proposed Order Dismissing Plaintiffs' First Amended Complaint Against Defendant China Century Dragon Media, Inc. With Prejudice re Notice of Deficiency in Electronically Filed Documents (G-112), Notice of Deficiency in Electronically Filed Documents (G-112), Notice of Deficiency in Electronically Filed Documents (G-112) 53 , MOTION to Dismiss Plaintiffs' First Amended Complaint 48 (Attachments: # 1 Exhibit A)(Edmiston, Walter) (Entered: 09/19/2011)

09/20/2011 59 ORDER by Judge John A Kronstadt: granting 38 Application to Appear Pro Hac Vice by Attorney Laura M. Vasey on behalf of Defendant China Century Dragon Media, Inc., designating W. Allan Edmiston as local counsel. (lt) (Entered: 09/20/2011)

09/20/2011 60 NOTICE of Appearance filed by attorney Christopher F Wong on behalf of Defendant Malonebailey LLP (Wong, Christopher) (Entered: 09/20/2011)

09/20/2011 61 STIPULATION Extending Time to Answer the complaint as to Malonebailey LLP answer now due 10/11/2011, re Amended Complaint, 24 filed by Defendant Malonebailey LLP.(Wong, Christopher) (Entered: 09/20/2011)

09/22/2011 62 PROOF OF SERVICE Executed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis, upon Defendant Richard Rappaport served on 9/19/2011, answer due 10/10/2011. Service of the Summons and Complaint were executed upon Richard Rappaport in compliance with California Code of Civil Procedure by substituted service at business address and by also mailing a copy. Original Summons returned. (Rosen, Laurence) (Entered: 09/22/2011)

09/28/2011 63 Quarterly STIPULATION to Exceed Page Limitation as to Combined Memo of law in opposition to Motions to dismiss filed by plaintiff Dan Katz. (Attachments: # 1 Proposed Order)(Rosen, Laurence) (Entered: 09/28/2011)

09/28/2011 64 ORDER by Judge John A Kronstadt: granting 37 Application to Appear Pro Hac Vice by Attorney Eugene Licker on behalf of Defendant China Century Dragon Media, Inc., designating W. Allan Edmiston as local counsel. (lt) (Entered: 09/28/2011)

09/30/2011 65 ORDER by Judge John A Kronstadt, re Stipulation to Exceed Page Limitation 63 : Plaintiffs shall file a single memorandum of points and authorities in opposition to both the Underwriters motion to dismiss and China Centurys motion to dismiss. Plaintiffs single memorandum of points and authorities shall not exceed thirty-five pages. (lc) (Entered: 10/03/2011)

10/05/2011 66 NOTICE of Appearance filed by attorney Michael J Niborski on behalf of Defendant

Malonebailey LLP (Niborski, Michael) (Entered: 10/05/2011)

10/06/2011 67 STIPULATION for Extension of Time to File Answer to October 25, 2011 filed by Defendant Malonebailey LLP. (Attachments: # 1 Declaration, # 2 Proposed Order)(Niborski, Michael) (Entered: 10/06/2011)

10/07/2011 68 MEMORANDUM in Opposition to MOTION to Dismiss First Amended Complaint 43 , MOTION to Dismiss Plaintiffs' First Amended Complaint 48 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 10/07/2011)

10/07/2011 69 ORDER GRANTING STIPULATION 67 by Judge John A Kronstadt. Defendant MaloneBailey, LLP may have up to and including 10/25/2011 to answer, move or otherwise respond to the Complaint in this action. (vdr) (Entered: 10/11/2011)

10/12/2011 70 NOTICE of Decision: Decision of Court in Central District of California addressing issues in this case filed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit Attached Decision of Other Court)(Rosen, Laurence) (Entered: 10/12/2011)

10/12/2011 71 CERTIFICATE OF SERVICE filed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis, re Notice of Decision by other Court 70 served on October 12. (Rosen, Laurence) (Entered: 10/12/2011)

10/12/2011 72 MINUTE ORDER IN CHAMBERS by Judge John A Kronstadt: The Court, on its own motion, continues the time of the above-referenced motions 43 48 hearing(s) and status conference, currently on calendar for November 10, 2011, from 8:30 a.m. to 10:30 a.m. (rne) (Entered: 10/12/2011)

10/13/2011 73 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendant Richard Rappaport. Motion set for hearing on 11/10/2011 at 10:30 AM before Judge John A Kronstadt. (Attachments: # 1 Memorandum of Points and Authorities in Support of Defendant Richard Rappaport's Motion to Dismiss the Amended Complaint, # 2 Proposed Order Dismissing First Amended Complaint with Prejudice Against Defendant Richard Rappaport)(Harshman, Daniel) (Entered: 10/13/2011)

10/13/2011 74 CERTIFICATE OF SERVICE filed by Defendant Richard Rappaport, re MOTION to Dismiss Case 73 served on 10/13/2011. (Harshman, Daniel) (Entered: 10/13/2011)

10/17/2011 75 REPLY In Support of Motion to Dismiss MOTION to Dismiss Plaintiffs' First Amended Complaint 48 filed by Defendant China Century Dragon Media, Inc.. (Edmiston, Walter) (Entered: 10/17/2011)

10/18/2011 76 CERTIFICATE OF SERVICE filed by defendant Richard Rappaport, Application of Non-Resident Attorney to Appear in a Specific Case; Order on Application of Non-Resident to Appear in a Specific Case served on 10/17/11. (Harshman, Daniel) (Entered: 10/18/2011)

10/18/2011 77 APPLICATION for attorney Robert W Hayes to Appear Pro Hac Vice. (PHV FEE PAID.) filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc. (rne) Modified on 3/20/2012 (mat). (Entered: 10/19/2011)

10/19/2011 81 ORDER by Judge John A Kronstadt: granting 77 Application to Appear Pro Hac Vice by Attorney Robert W. Hayes on behalf of Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark

Capital, Inc, designating Daniel D. Harshman as local counsel. (lt) (Entered: 10/20/2011)

10/20/2011 78 MEMORANDUM in Opposition to MOTION to Dismiss Case 73 filed by Plaintiff Dan Katz. (Rosen, Laurence) (Entered: 10/20/2011)

10/20/2011 79 DECLARATION of Laurence Rosen in opposition to MOTION to Dismiss Case 73 filed by Plaintiff Dan Katz. (Attachments: # 1 Exhibit 1-10)(Rosen, Laurence) (Entered: 10/20/2011)

10/20/2011 80 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case 73 filed by Plaintiff Dan Katz. (Rosen, Laurence) (Entered: 10/20/2011)

10/25/2011 82 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendant Malonebailey LLP. Motion set for hearing on 1/23/2012 at 08:30 AM before Judge John A Kronstadt. (Attachments: # 1 Memorandum, # 2 Declaration of Michael J. Niborski, # 3 Exhibit A, # 4 Exhibit B, # 5 Exhibit C, # 6 Exhibit D-1, # 7 Exhibit D-2, # 8 Exhibit D-3, # 9 Exhibit D-4, # 10 Proposed Order)(Niborski, Michael) (Entered: 10/25/2011)

10/26/2011 83 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: MOTION to Dismiss 82 . The following error(s) was found: Local Rule 7.1-1 No Certification of Interested Parties and or no copies. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (vdr) (Entered: 10/26/2011)

10/27/2011 84 Notice of Interested Parties filed by Defendant Malonebailey LLP, (Niborski, Michael) (Entered: 10/27/2011)

10/27/2011 85 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS Re: Motion 82 to Dismiss Case. Counsel shall comply with L.R. 7.1-1 and file a notice of interested parties on behalf of Defendant, Malonebailey LLP no later than 10/31/2011. Failure to file the notice by 10/31/2011 will result in the motion being stricken. (vdr) (Entered: 10/27/2011)

10/27/2011 86 REPLY in support of MOTION to Dismiss First Amended Complaint 43 filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc.. (Harshman, Daniel) (Entered: 10/27/2011)

10/27/2011 87 CERTIFICATE OF SERVICE filed by DEFENDANTS AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc., re Reply (Motion related) 86 served on 10/27/11. (Harshman, Daniel) (Entered: 10/27/2011)

10/27/2011 88 REPLY in support of MOTION to Dismiss Case 73 filed by Defendant Richard Rappaport. (Harshman, Daniel) (Entered: 10/27/2011)

10/27/2011 89 OBJECTIONS to Request for Judicial Notice, Request for Relief 80 filed by Defendant Richard Rappaport. (Harshman, Daniel) (Entered: 10/27/2011)

10/27/2011 90 CERTIFICATE OF SERVICE filed by defendant Richard Rappaport, re Objections - non-motion 89 , Reply (Motion related) 88 served on 10/27/11. (Harshman, Daniel) (Entered: 10/27/2011)

10/28/2011 91 NOTICE of Decision: Decision of Other Court in this District relevant to issues in this case filed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit 1)(Rosen, Laurence) (Entered: 10/28/2011)

10/28/2011 92 REPLY filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis to Request for Judicial Notice, Request for Relief 80 in support of request for judicial notice (Rosen, Laurence) (Entered: 10/28/2011)

11/02/2011 93 APPLICATION for attorney Bryan T. Mohler to Appear Pro Hac Vice(PHV Fee of $325 receipt number 0973-9457763 paid.) filed by Defendant Malonebailey LLP. (Attachments: # 1 Certificate of Good Standing, # 2 Proposed Order)(Niborski, Michael) (Entered: 11/02/2011)

11/03/2011 94 STATUS REPORT Joint filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 11/03/2011)

11/04/2011 95 REQUEST for Leave to TO APPEAR TELEPHONICALLY AT NOVEMBER 10, 2011 HEARING filed by defendant China Century Dragon Media, Inc.. Request set for hearing on 11/10/2011 at 10:30 AM before Judge John A Kronstadt. (Attachments: # 1 Proposed Order Granting Request For Leave To Appear Telephonically At November 10, 2011 Hearing)(Edmiston, Walter) (Entered: 11/04/2011)

11/04/2011 96 ORDER by Judge John A Kronstadt: granting 93 Application to Appear Pro Hac Vice by Attorney Bryan T. Mohler on behalf of Defendant MaloneBailey LLP, designating Michael J. Niborski as local counsel. (lt) (Entered: 11/07/2011)

11/07/2011 97 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: REQUEST for Leave to TO APPEAR TELEPHONICALLY AT NOVEMBER 10, 2011 HEARING 95 . The following error(s) was found: Incorrect event selected. The correct event is: Civil Events > Requests > Leave. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (rne) (Entered: 11/07/2011)

11/08/2011 98 ORDER GRANTING REQUEST 95 FOR LEAVE TO APPEAR TELEPHONICALLY on 11/10/2011 by Judge John A Kronstadt. (vdr) (Entered: 11/08/2011)

11/10/2011 99 TRANSCRIPT ORDER for date of proceedings 11/10/2011 to 11/10/2011 re: Motion to Dismiss (cause or other) 48 , as to Defendant China Century Dragon Media, Inc. Court Reporter Alexander Joko. Order for: China Century Dragon Media, Inc.. Transcript portion requested: Pre-Trial Proceeding: 11/10/2011 Hearing on Motion to Dismiss. Category: Expedited. 7 Day Expedited Transcript Order due by 11/17/2011. (Edmiston, Walter) (Entered: 11/10/2011)

11/10/2011 100 MINUTES OF Motions to Dismiss 43 , 48 , 73 Hearing and Status Conference held before Judge John A Kronstadt. The motion hearing and status conference are held. The Court states its detailed, tentative views on the record and is inclined to grant Defendants motions to dismiss with leave to amend so that Plaintiffs can plead with greater specificity, as their claims sound in fraud. The Court takes the matters under submission and will issue a written order.Court Reporter: Alex Joko. (vdr) (Entered: 11/15/2011)

11/23/2011 101 TRANSCRIPT for proceedings held on THURSDAY, NOVEMBER 10, 2011, 10:30 AM. Court Reporter/Electronic Court Recorder: ALEXANDER T. JOKO, CSR NO. 12272, email [email protected]. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 12/14/2011. Redacted Transcript Deadline set for 12/24/2011. Release of Transcript

Restriction set for 2/21/2012. (mw) (Entered: 11/23/2011)

11/23/2011 102 NOTICE OF FILING TRANSCRIPT filed for proceedings THURSDAY, NOVEMBER 10, 2011, 10:30 AM (mw) (Entered: 11/23/2011)

11/28/2011 103 STIPULATION for Extension of Time to File Answer to a date dependent upon the Court's order re other defendants' motions to dismiss re Amended Complaint, 24 filed by defendant David De Campo. (Attachments: # 1 Proposed Order Approving Stipulation Extending Time for Defendant De Campo to Respond to Plaintiffs' First Amended Complaint)(Jackson, Bruce) (Entered: 11/28/2011)

11/28/2011 104 CERTIFICATE of Interested Parties filed by Defendant David De Campo, identifying None. (Jackson, Bruce) (Entered: 11/28/2011)

11/29/2011 105 ORDER APPROVING STIPULATION 103 by Judge John A Kronstadt. *See order for extension of Defendant De Campo specifics.* (vdr) (Entered: 11/29/2011)

11/30/2011 106 MINUTES (IN CHAMBERS) ORDER GRANTING DEFENDANTS' MOTIONS 43 , 48 AND 73 TO DISMISS by Judge John A Kronstadt. The Court heard oral argument in the matter on 11/10/2011 and took the matter under submission 100 . For the following reasons, the Court GRANTS Defendants motions to dismiss with leave to amend. (vdr) (Entered: 11/30/2011)

11/30/2011 107 TRANSCRIPT ORDER for date of proceedings 11/10/2011 to 11/10/2011 re: Motion to Dismiss (cause or other) 48 , as to Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis Court Reporter Alexander Joko. Order for: Laurence Rosen. Transcript portion requested: Pre-Trial Proceeding: 11/10/2011 (10:00AM). Category: Daily. Daily Transcript Order due by 12/1/2011. (Rosen, Laurence) (Entered: 11/30/2011)

12/07/2011 108 APPLICATION for attorney Lisa M. Buckley to Appear Pro Hac Vice(PHV Fee of $325 receipt number 0973-9619591 paid.) filed by Defendant MaloneBailey LLP. (Attachments: # 1 Proposed Order)(Niborski, Michael) (Entered: 12/07/2011)

12/08/2011 109 ORDER by Judge John A Kronstadt: granting 108 Application to Appear Pro Hac Vice by Attorney Lisa M. Buckley on behalf of Defendant MaloneBailey LLP, designating Michael J. Niborski as local counsel. (lt) (Entered: 12/09/2011)

12/23/2011 110 MINUTE ORDER IN CHAMBERS by Judge John A Kronstadt: re: MOTION to Dismiss Case 82 . The Court, on its own motion, continues the above-referenced motion from January 23, 2012 to March 5, 2012 at 8:30 a.m. (shb) (Entered: 12/27/2011)

12/27/2011 111 NOTICE of Change of Attorney Information for attorney Megan Rae Peitzke counsel for Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc.. Adding Megan R. Peitzke as attorney as counsel of record for WestPark Capital, Joseph Gunnar & Co, LLC; I-Bankers Securities, Inc. and Aegis Capital Corporation for the reason indicated in the G-06 Notice.Daniel D. Harshman is no longer attorney of record for the aforementioned party in this case for the reason indicated in the G-06 Notice. Filed by defendant WestPark Capital; Joseph Gunnar & Co, LLC; I-Bankers Securities, Inc. and Aegis Capital Corporation (Peitzke, Megan) (Entered: 12/27/2011)

12/27/2011 112 NOTICE of Change of Attorney Information for attorney Megan Rae Peitzke counsel for Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Wespark Capital, Inc.. Adding Megan R. Peitzke as attorney as counsel of record for WestPark Capital, Joseph Gunnar & Co, LLC, I-Bankers Securities, Inc., and

Aegis Capital Corporation for the reason indicated in the G-06 Notice.Daniel D. Harshman is no longer attorney of record for the aforementioned party in this case for the reason indicated in the G-06 Notice. Filed by defendant WestPark Capital, Joseph Gunnar & Co, LLC, I-Bankers Securities, Inc., and Aegis Capital Corporation (Peitzke, Megan) (Entered: 12/27/2011)

01/06/2012 113 SECOND AMENDED COMPLAINT against Defendant AEGIS Capital Corporation, China Century Dragon Media, Inc., David De Campo, Dapeng Duan, Haiming Fu, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Huhua Li, Yue Lu, MaloneBailey LLP, Richard Rappaport, Wespark Capital, Inc., Zhifeng Yan, Fang Yuan amending First Amended Complaint, 24 ; Jury Demand,filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis (shb) (shb). (Additional attachment(s) added on 1/19/2012: # 1 Summons on Second Amended Complaint) (shb). (Main Document 113 replaced on 4/5/2012) (rne). (Entered: 01/11/2012)

01/09/2012 21 DAY Summons Issued re Second Amended Complaint, 113 as to Defendants AEGIS Capital Corporation, China Century Dragon Media, Inc., David De Campo, Dapeng Duan, Haiming Fu, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Huhua Li, Yue Lu, MaloneBailey LLP, Richard Rappaport, Julius Shapiro, Peter Van Nuis, Wespark Capital, Inc., Zhifeng Yan, Fang Yuan. (shb) (Entered: 01/11/2012)

01/18/2012 114 REQUEST to Substitute attorney Patrick M. Kelly in place of attorney Lisa M Buckley filed by Defendant MaloneBailey LLP. (Moon, Jennifer) (Entered: 01/18/2012)

01/18/2012 115 [DOCUMENT IS STRICKEN] REQUEST for Order for Request for Approval of Substitution of Attorney filed by Defendant MaloneBailey LLP. (Moon, Jennifer) Modified on 1/19/2012 (vdr). (Entered: 01/18/2012)

01/19/2012 116 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: REQUESTS for Approval of Substitution of Attorney 114 & 115 . The following error(s) was found: Incorrect event selected. Proposed Document was not submitted as a separate attachment. (vdr) (Entered: 01/19/2012)

01/19/2012 117 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS Re: Requests to Substitute. Document 114 is accepted as filed Document 115 is stricken. (vdr) (Entered: 01/19/2012)

01/19/2012 118 NOTICE OF LODGING filed by MaloneBailey LLP re REQUEST to Substitute attorney Patrick M. Kelly in place of attorney Lisa M Buckley 114 (Attachments: # 1 Proposed Order Order On Request For Approval Of Substitution of Attorney)(Moon, Jennifer) (Entered: 01/19/2012)

01/20/2012 119 ORDER by Judge John A Kronstadt: granting 114 Request to Substitute Attorney. Added attorney Patrick Michael Kelly for MaloneBailey LLP. Attorney Jennifer J Moon; Michael J Niborski; Lisa M Buckley and Bryan T Mohler terminated (shb) (Entered: 01/20/2012)

01/25/2012 120 STIPULATION Extending Time to Answer the complaint as to China Century Dragon Media, Inc. answer now due 2/29/2012, re Amended Complaint,, 113 filed by defendant China Century Dragon Media, Inc.. (Attachments: # 1 Proposed Order)(Sherman, Amanda) (Entered: 01/25/2012)

01/26/2012 121 ORDER granting Stipulation Extending Time to Answer (30 days or less), Stipulation Extending Time to Answer (30 days or less) 120 , by Judge John A Kronstadt. IT IS ORDERED THAT: The time for Defendants to respond to the Summons and Second

Amended Complaint is February 29, 2012. In the event of the Defendants move to dismiss the second amended complaint, Lead plaintiff shall file any opposition to such motion on or before March 30, 2012. Defendants shsll file their respective reply brief if any on or before April 20, 2012. (shb) (Entered: 01/26/2012)

02/23/2012 122 NOTICE OF MOTION AND MOTION of Eugene R. Licker, Laura M. Vasey, W. Allan Edmiston, and Loeb & Loeb LLP to Withdraw as Attorney filed by Defendant China Century Dragon Media, Inc.. Motion set for hearing on 3/26/2012 at 10:00 AM before Judge John A Kronstadt. (Attachments: # 1 Declaration Laura M. Vasey, # 2 Proposed Order)(Edmiston, Walter) (Entered: 02/23/2012)

02/23/2012 123 EX PARTE APPLICATION for Extend Time to File Answer to 3/28/2012 re Amended Complaint,, 113 filed by DEFENDANT China Century Dragon Media, Inc.. (Attachments: # 1 Declaration Laura M. Vasey, # 2 Proposed Order)(Edmiston, Walter) (Entered: 02/23/2012)

02/24/2012 124 MEMORANDUM in Opposition to EX PARTE APPLICATION for Extend Time to File Answer to 3/28/2012 re Amended Complaint,, 113 123 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 02/24/2012)

02/24/2012 125 NOTICE of Withdrawal of Defendant MaloneBailey, LLP's Motion to Dismiss First Amended Complaint filed by Defendant MaloneBailey LLP. (Golson, Patricia) (Entered: 02/24/2012)

02/24/2012 126 Amendment to MOTION of Eugene R. Licker, Laura M. Vasey, W. Allan Edmiston, and Loeb & Loeb LLP to Withdraw as Attorney 122 filed by Defendant China Century Dragon Media, Inc.. (Edmiston, Walter) (Entered: 02/24/2012)

02/27/2012 127 ORDER GRANTING EX PARTE APPLICATION 123 by Judge John A Kronstadt. Defendant China Century Dragon Media, Inc. to file its answer by 3/28/2012. No further extensions will be granted. (vdr) (Entered: 02/28/2012)

02/28/2012 128 STIPULATION Extending Time to Answer the complaint as to Wespark Capital, Inc. answer now due 3/7/2012; I-Bankers Securities, Inc. answer now due 3/7/2012; Joseph Gunnar and Co, LLC answer now due 3/7/2012; AEGIS Capital Corporation answer now due 3/7/2012; Richard Rappaport answer now due 3/7/2012, re Amended Complaint,, 113 filed by Defendants Wespark Capital, Inc.; I-Bankers Securities, Inc.; Joseph Gunnar and Co, LLC; AEGIS Capital Corporation; Richard Rappaport. (Attachments: # 1 Proposed Order Approving Stipulation Extending Time for Defendants to Respond to Second Amended Complaint)(Peitzke, Megan) (Entered: 02/28/2012)

02/28/2012 129 Certificate OF SERVICE filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc., re Stipulation Extending Time to Answer (30 days or less), Stipulation Extending Time to Answer (30 days or less), Stipulation Extending Time to Answer (30 days or less) 128 served on 2/28/12. (Peitzke, Megan) (Entered: 02/28/2012)

02/29/2012 130 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendant MaloneBailey LLP. Motion set for hearing on 5/7/2012 at 08:30 AM before Judge John A Kronstadt. (Attachments: # 1 Memorandum of Law in Support of MaloneBailey, LLP's Motion to Dismiss Second Amended Complaint, # 2 Declaration of Patricia Ann Golson in Support of Defendant MaloneBailey, LLP's Motion to Dismiss Second Amended Complaint, # 3 Exhibit A to Declaration of Patricia Ann Golson, # 4 Exhibit B

to Declaration of Patricia Ann Golson, # 5 Exhibit C to Declaration of Patricia Ann Golson, # 6 Exhibit D-1 to Declaration of Patricia Ann Golson, # 7 Exhibit D-2 to Declaration of Patricia Ann Golson, # 8 Exhibit D-3 to Declaration of Patricia Ann Golson, # 9 Exhibit D-4 to Declaration of Patricia Ann Golson, # 10 Proposed Order)(Golson, Patricia) (Entered: 02/29/2012)

02/29/2012 131 ANSWER to Amended Complaint,, 113 (Answer to Second Amended Complaint) filed by Defendant David De Campo.(Jackson, Bruce) (Entered: 02/29/2012)

02/29/2012 132 ORDER APPROVING Stipulation Extending Time for Defendants to Respond to Second Amended Complaint 128 by Judge John A Kronstadt. Defendants Westpark Capital Inc., Joseph Gunnar and Co LLC, I-Bankers Securities Inc., Aegis Capital Corporation, and Richard Rappaport, to move, and answer, or otherwise respond to the Summons and Second Amended Complaint in this action shall be extended from 2/29/2012 to 3/7/2012; Defendants move to dismiss the Second Amended Complaint, Lead Plaintiff shall file any opposition to such motion on or before 4/6/2012. Defendants shall file their respective reply brief, if any, or on before 4/20/2012. (jp) (Entered: 03/02/2012)

03/07/2012 133 REQUEST for Leave to Eugene R. Licker to Appear Telephonically at March 26, 2012 Hearing on Motion to Withdraw filed by Defendant China Century Dragon Media, Inc.. Request set for hearing on 3/26/2012 at 10:00 AM before Judge John A Kronstadt. (Edmiston, Walter) (Entered: 03/07/2012)

03/07/2012 134 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. Motion set for hearing on 5/14/2012 at 08:30 AM before Judge John A Kronstadt. (Attachments: # 1 Memorandum Points and Authorities, # 2 Declaration Megan R. Peitzke, # 3 Proposed Order, # 4 Appendix Compendium of Unreported Decision, # 5 Exhibit A to Compendium)(Peitzke, Megan) (Entered: 03/07/2012)

03/07/2012 135 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case 134 filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Peitzke, Megan) (Entered: 03/07/2012)

03/08/2012 TEXT ONLY ENTRY: (IN CHAMBERS) ORDER CONTINUING DEFENDANTS' MOTION TO DISMISS THE SECOND AMENDED COMPLAINT (Dkt. 134) by Judge John A Kronstadt: The Court, on its own motion, advances the motion from May 14, 2012 to May 7, 2012 at 8:30 a.m., to be heard with the Defendant MaloneBailey LLP's motion to dismiss. 134 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(ake) TEXT ONLY ENTRY (Entered: 03/08/2012)

03/08/2012 136 NOTICE OF LODGING filed [Proposed] Order Granting re REQUEST for Leave to Eugene R. Licker to Appear Telephonically at March 26, 2012 Hearing on Motion to Withdraw 133 (Attachments: # 1 Proposed Order)(Edmiston, Walter) (Entered: 03/08/2012)

03/14/2012 137 ORDER GRANTING REQUEST 133 FOR LEAVE TO APPEAR TELEPHONICALLY by Judge John A Kronstadt. Eugene R. Licker, counsel for defendant China Dragon, is granted leave to appear by telephone on 3/26/2012. (vdr) (Entered: 03/15/2012)

03/23/2012 TEXT ONLY ENTRY: (IN CHAMBERS) ORDER NOTING TIME OF LOEB & LOEB'S MOTION TO WITHDRAW AS COUNSEL OF RECORD (Dkt. 122) by Judge John A Kronstadt: The Court hears motions at 8:30 a.m. Defendant noticed the motion for 10:00 a.m. Therefore, the time of the motion is advanced from 10:00 a.m. to 8:30 a.m. on March 26, 2012. 122 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(ake) TEXT ONLY ENTRY (Entered: 03/23/2012)

03/26/2012 140 MINUTES OF re 122 Loeb & Loeb's Motion to Withdraw as Counsel held before Judge John A Kronstadt. Counsel for Loeb & Loeb address the Court regarding its interactions with China Century Dragon Media. The Court GRANTS Loeb & Loeb's motion to withdraw. Court Reporter: Alexander Joko. (lom) (Entered: 03/30/2012)

03/30/2012 138 REQUEST for Clerk to Enter Default against Defendant China Century Dragon Media, Inc. filed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 03/30/2012)

03/30/2012 139 DECLARATION of Laurence Rosen in support of REQUEST for Clerk to Enter Default against Defendant China Century Dragon Media, Inc. 138 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 03/30/2012)

03/30/2012 141 MEMORANDUM in Opposition to MOTION to Dismiss Case 130 , MOTION to Dismiss Case 134 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 03/30/2012)

03/30/2012 142 DECLARATION of Yu Shi in opposition to MOTION to Dismiss Case 130 , MOTION to Dismiss Case 134 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) (Entered: 03/30/2012)

03/30/2012 143 DECLARATION of Yuxia Zhang in opposition to MOTION to Dismiss Case 130 , MOTION to Dismiss Case 134 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Rosen, Laurence) (Entered: 03/30/2012)

03/30/2012 144 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case 130 , MOTION to Dismiss Case 134 filed by plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 03/30/2012)

04/03/2012 145 DEFAULT BY CLERK ENTERED as to *Defendant China Century Dragon Media, Inc.* (vdr) (Entered: 04/03/2012)

04/05/2012 146 NOTICE OF CLERICAL ERROR: Due to clerical error Re: Second Amended Complaint 113 . (Attachments: # 1 Second Amended Complaint) (rne) (Entered: 04/05/2012)

04/20/2012 147 REPLY IN SUPPORT OF MOTION to Dismiss Case 82 REPLY MEMORANDUM OF LAW IN FURTHER SUPPORT OF ITS MOTION TO DISMISS SECOND AMENDED COMPLAINT filed by Defendant MaloneBailey LLP. (Moon, Jennifer) (Entered: 04/20/2012)

04/20/2012 148 REPLY in support of motion MOTION to Dismiss Case 134 filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. (Peitzke, Megan) (Entered: 04/20/2012)

04/20/2012 149 OBJECTIONS to Request for Judicial Notice, Request for Relief, 144 filed by

Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. (Peitzke, Megan) (Entered: 04/20/2012)

04/20/2012 150 CERTIFICATE OF SERVICE filed by DEFENDANTS AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc., re Objections - non-motion 149 , Reply (Motion related) 148 served on April 20, 2012. (Peitzke, Megan) (Entered: 04/20/2012)

04/27/2012 151 REPLY filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis to Request for Judicial Notice, Request for Relief, 144 Reply Memorandum of Points and Authorities in Support of Plaintiffs' Request for Judicial Notice (Rosen, Laurence) (Entered: 04/27/2012)

05/07/2012 152 MINUTES OF Defendant MaloneBailey LLP's Motion 130 to Dismiss; Defendants West Park, Joseph Gunnar, I-Bankers, Aegis and Richard Rappaport's Motion 134 to Dismiss Hearing held before Judge John A Kronstadt. The Court adheres to its tentative views and DENIES both motions to dismiss. The parties shall meet and confer on or before 5/17/2012 regarding scheduling.Court Reporter: Alex Joko. (vdr) (Entered: 05/10/2012)

05/07/2012 153 ORDER RULING ON EVIDENTIARY OBJECTIONS 149 by Judge John A Kronstadt. (vdr) (Entered: 05/10/2012)

05/21/2012 154 STIPULATION Extending Time to Answer the complaint as to Wespark Capital, Inc. answer now due 6/6/2012; I-Bankers Securities, Inc. answer now due 6/6/2012; Joseph Gunnar and Co, LLC answer now due 6/6/2012; AEGIS Capital Corporation answer now due 6/6/2012; Richard Rappaport answer now due 6/6/2012, re Amended Complaint,, 113 filed by defendant Wespark Capital, Inc.; I-Bankers Securities, Inc.; Joseph Gunnar and Co, LLC; AEGIS Capital Corporation; Richard Rappaport. (Attachments: # 1 Proposed Order Granting Stipulation of Plaintiff and Defendants to Extend Time to File Answer by 30 Days)(Peitzke, Megan) (Entered: 05/21/2012)

05/24/2012 155 ORDER granting Stipulation Extending Time to Answer (30 days or less) 154 , Defendants China Century Dragon Media, Inc. by Judge John A Kronstadt. Defendants shall file their Answer to Plaintiff's Second Amended Complaint no later than June 6, 2012. (shb) (Entered: 05/25/2012)

06/04/2012 156 NOTICE OF MOTION AND First MOTION to Certify Class Notice of Motion and Motion for Class Certification, and Appointment of Class Representatives and Class Counsel filed by Plaintiff Julius Shapiro, Peter Van Nuis. Motion set for hearing on 9/10/2012 at 08:30 AM before Judge John A Kronstadt. (Attachments: # 1 Proposed Order)(Rosen, Laurence) (Entered: 06/04/2012)

06/04/2012 157 MEMORANDUM in Support of First MOTION to Certify Class Notice of Motion and Motion for Class Certification, and Appointment of Class Representatives and Class Counsel 156 Memorandum of Points and Authorities in Support of Motion for Class Certification, and Appointment of Class Representatives and Class Counsel filed by Plaintiffs Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 06/04/2012)

06/04/2012 158 DECLARATION of Laurence M. Rosen In Support Of First MOTION to Certify Class Notice of Motion and Motion for Class Certification, and Appointment of Class Representatives and Class Counsel 156 Declaration of Laurence M. Rosen In Support of Motion for Class Certification, and Appointment of Class Representatives and Class Counsel filed by Plaintiffs Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit 1, #

2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Rosen, Laurence) (Entered: 06/04/2012)

06/06/2012 159 ANSWER to Amended Complaint,, 113 JURY DEMAND. DEFENDANT MALONEBAILEYS ANSWER TO PLAINTIFFS SECOND AMENDED COMPLAINT AND DEMAND FOR JURY TRIAL filed by Defendant MaloneBailey LLP.(Moon, Jennifer) (Entered: 06/06/2012)

06/06/2012 160 [DOCUMENT IS STRICKEN] ANSWER to Amended Complaint,, 113 Jury Demand, & Crossclaim filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc..(Peitzke, Megan) Modified on 6/12/2012 (vdr). (Entered: 06/06/2012)

06/07/2012 161 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Answer to Complaint 160 . The following error(s) was found: Other error(s) with document(s) are specified below. Other error(s) with document(s): Pursuant to Local Rule 3-2, claim-initiating documents (including Crossclaims) are to be manually, not electronically, filed. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (rne) (Entered: 06/07/2012)

06/07/2012 163 ANSWER to Second Amended Complaint, 113 and CROSSCLAIM against MaloneBailey LLP; Jury Demand filed by Defendants and Cross claimants Wespark Capital, Inc., I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, AEGIS Capital Corporation, Richard Rappaport.(shb) (Entered: 06/13/2012)

06/07/2012 164 CERTIFICATE OF SERVICE filed by Defendants and Cross claimants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc., re Answer to Complaint (Discovery), Crossclaim, Answer to Complaint (Discovery), 163 served on 6/7/2012. (shb) (Entered: 06/13/2012)

06/12/2012 162 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN ELECTRONICALLY FILED DOCUMENTS Re: Answer and Crossclaim 160 ; the document is stricken. (vdr) (Entered: 06/12/2012)

06/21/2012 165 JOINT REPORT Rule 26(f) Discovery Plan ; estimated length of trial 15 days, filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc... (Peitzke, Megan) (Entered: 06/21/2012)

06/26/2012 166 PROOF OF SERVICE Executed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis, upon Defendant Fang Yuan served on 2/28/2012, answer due 6/6/2012. Service of the Summons and Complaint were executed upon Yuan Fang- Individual Defendant in compliance with Federal Rules of Civil Procedure by personal service. Original Summons returned. (Rosen, Laurence) (Entered: 06/26/2012)

06/26/2012 167 TRANSCRIPT ORDER for date of proceedings May 7, 2012 to May 7, 2012 as to defendant AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc. Court Reporter Alexander Joko. Court will contact Leesa Lund at [email protected] with any questions regarding this order. Transcript portion requested: Testimony of: Motion to Dismiss May 7, 2012. Other: May 7, 2012. Category: Ordinary. Transcript preparation will not begin until payment has been satisfied with the court reporter/recorder. (Peitzke, Megan) (Entered: 06/26/2012)

06/26/2012 168 STIPULATION Extending Time to Answer the complaint as to MaloneBailey LLP answer now due 7/13/2012, filed by Cross-Defendant MaloneBailey LLP.(Golson, Patricia) (Entered: 06/26/2012)

06/27/2012 169 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Stipulation Extending Time to Answer 168 . The following error(s) was found: Pursuant to Local Rule 11-3.8 the title page should contain the name, state bar number, office address and numbers for the attorney presenting the document. (vdr) (Entered: 06/27/2012)

06/27/2012 170 STIPULATION Extending Time to Answer the complaint as to filed by Cross-Defendant MaloneBailey LLP.(Golson, Patricia) (Entered: 06/27/2012)

07/12/2012 171 Joint STIPULATION for Discovery filed by Plaintiff Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Proposed Order Proposed Order Setting Schedule for Discovery, Class Certification and Trial)(Rosen, Laurence) (Entered: 07/12/2012)

07/13/2012 172 NOTICE OF MOTION AND MOTION to Dismiss Cross-Claim of Westpark Capital Against MaloneBailey filed by Defendant MaloneBailey LLP. Motion set for hearing on 10/1/2012 at 08:30 AM before Judge John A Kronstadt. (Moon, Jennifer) (Entered: 07/13/2012)

07/16/2012 173 (IN CHAMBERS) ORDER ADVANCING MALONEBAILEY LLP'S MOTION TO DISMISS CROSS-CLAIM OF WESTPARK CAPITAL (Dkt. 172) by Judge John A Kronstadt: The Court, on its own motion, advances MaloneBailey LLP's Motion from October 1, 2012 to September 10, 2012 at 8:30 a.m., to be heard with the motion for class certification. 172 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(ake) TEXT ONLY ENTRY (Entered: 07/16/2012)

07/26/2012 174 (IN CHAMBERS) ORDER SETTING BRIEFING SCHEDULE FOR PLAINTIFFS' MOTION FOR CLASS CERTIFICATION (DKT. 156) by Judge John A Kronstadt: The Court has reviewed the parties' Joint Stipulation (Dkt. 171) and orders Defendants to file their opposition to the motion by August 10, 2012, with Plaintiffs' reply to be filed no later than August 29, 2012. The hearing will remain on calendar for September 10, 2012 at 8:30 a.m. The Court will issue a separate order by July 30, 2012, which will address the remaining disputes set forth in the Joint Stipulation. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(ake) TEXT ONLY ENTRY (Entered: 07/26/2012)

08/10/2012 175 MEMORANDUM in Opposition to First MOTION to Certify Class Notice of Motion and Motion for Class Certification, and Appointment of Class Representatives and Class Counsel 156 filed by Defendant MaloneBailey LLP. (Golson, Patricia) (Entered: 08/10/2012)

08/10/2012 176 MEMORANDUM in Opposition to First MOTION to Certify Class Notice of Motion and Motion for Class Certification, and Appointment of Class Representatives and Class Counsel 156 filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. (Attachments: # 1 Declaration in support of Opposition, # 2 Exhibit A to Declaration, # 3 Exhibit B to Declaration, # 4 Exhibit C to Declaration, # 5 Exhibit D to Declaration, # 6 Exhibit E to Declaration, # 7 Exhibit F to Declaration, # 8 Exhibit G to Declaration, # 9 Exhibit H to Declaration, # 10 Exhibit I to Declaration, # 11 Exhibit J to Declaration, # 12 Exhibit K to Declaration, # 13 Exhibit L to Declaration)(Peitzke, Megan) (Entered: 08/10/2012)

08/16/2012 177 MINUTE ORDER IN CHAMBERS by Judge John A Kronstadt: re: Stipulation for Discovery 171 . the Court adopts the following dates for this matter:Completion of Non-Expert Discovery: April 30, 2013; Plaintiffs' Expert Disclosure, including any Report(s): May 31, 2013; Defendants' Expert Disclosure, including any Report(s): July 15, 2013; Completion of Expert Discovery: Sept. 13, 2013; Last Day to Hear Motions: Oct. 28, 2013 at 8:30 AM;Final Pretrial Conference/Motions in Limine: Dec. 2, 2013 at 3:00 PM; Status Conference Re Exhibits (if needed): Dec. 13, 2013 at 3:00 PM; Jury Trial: Jan. 7, 2014 at 9:00 AM. (shb) (Entered: 08/17/2012)

08/20/2012 178 MEMORANDUM in Opposition to MOTION to Dismiss Cross-Claim of Westpark Capital Against MaloneBailey 172 filed by Cross Claimants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. (Attachments: # 1 Declaration in support of Opposition)(Peitzke, Megan) (Entered: 08/20/2012)

08/20/2012 179 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Cross-Claim of Westpark Capital Against MaloneBailey 172 filed by Cross Claimants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. (Attachments: # 1 Exhibit A)(Peitzke, Megan) (Entered: 08/20/2012)

08/27/2012 180 REPLY to Opposition of Westpark Capital to MOTION to Dismiss Cross-Claim of Westpark Capital Against MaloneBailey 172 filed by Cross Defendant MaloneBailey LLP. (Golson, Patricia) (Entered: 08/27/2012)

08/29/2012 181 REPLY Reply is in support of motion for class certification First MOTION to Certify Class Notice of Motion and Motion for Class Certification, and Appointment of Class Representatives and Class Counsel 156 filed by Plaintiffs Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Declaration Declaration of Laurence M. Rosen In Support of Plaintiffs' Reply in Further Support of Motion For Class Certificatio, and Appointment of Class Representatives and Class Counsel, # 2 Exhibit Exhibit 1, # 3 Exhibit Exhibit 2)(Rosen, Laurence) (Entered: 08/29/2012)

09/07/2012 182 (IN CHAMBERS) ORDER CONTINUING PLAINTIFF'S MOTION FOR CLASS CERTIFICATION (DKT. 156) AND MOTION TO DISMISS CROSS-CLAIM OF WESTPARK CAPITAL DEFENDANTS AGAINST MALONEBAILEY, LLP (DKT. 172) by Judge John A Kronstadt: The Court, on its own motion, continues the motions from September 10, 2012 to November 5, 2012 at 8:30 a.m. 156 172 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(ake) TEXT ONLY ENTRY (Entered: 09/07/2012)

11/05/2012 183 TRANSCRIPT for proceedings held on 05-07-2012 9:30 a.m.. Court Reporter/Electronic Court Recorder: ALEXANDER T. JOKO, CSR NO. 12272, email [email protected]. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 11/26/2012. Redacted Transcript Deadline set for 12/6/2012. Release of Transcript Restriction set for 2/3/2013. (Duvall, Richard) (Entered: 11/05/2012)

11/05/2012 184 NOTICE OF FILING TRANSCRIPT filed for proceedings 05-07-2012 9:30 a.m. re Transcript 183 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(Duvall, Richard) TEXT ONLY ENTRY (Entered: 11/05/2012)

11/05/2012 185 MINUTES OF MOTION FOR CLASS CERTIFICATION (Dkt.156) MOTION TO

DISMISS CROSS-CLAIM OF WESTPARK CAPITAL DEFENDANTS AGAINST MALONEBAILEY LLP (Dkt.172) Hearing held before Judge John A Kronstadt: The Court takes the matter under submission and will issue a written order.Court Reporter: Alex Joko. (bp) (Entered: 11/07/2012)

12/18/2012 186 MINUTES: (IN CHAMBERS) ORDER GRANTING IN PART AND DENYING IN PART MOTION FOR CLASS CERTIFICATION 156 AND GRANTING MOTION TO DISMISS CROSS-CLAIM OF WESTPARK CAPITAL DEFENDANTS AGAINST MALONEBAILEY LLP 172 : For the foregoing reasons, the Motion to Dismiss the Cross-Claim for Indemnity is granted with prejudice, the Motion to Dismiss the Cross-Claim for Contribution is granted without prejudice, and the Motion for Class Certification is granted in part and denied in part IT IS SO ORDERED by Judge John A Kronstadt. (ir) (Entered: 12/20/2012)

01/24/2013 187 APPLICATION for attorney John E. Lawlor to Appear Pro Hac Vice(PHV Fee of $325 receipt number 0973-11562466 paid.) filed by defendant Joseph Gunnar and Co, LLC. (Lynn, Joshua) (Entered: 01/24/2013)

01/24/2013 188 APPLICATION for attorney Ian Y. Park to Appear Pro Hac Vice(PHV Fee of $325 receipt number 0973-11562999 paid.) filed by defendant Joseph Gunnar and Co, LLC. (Attachments: # 1 Proposed Order)(Lynn, Joshua) (Entered: 01/24/2013)

01/24/2013 189 NOTICE of Appearance filed by attorney Joshua Eric Lynn on behalf of Defendant Joseph Gunnar and Co, LLC (Lynn, Joshua) (Entered: 01/24/2013)

01/24/2013 190 NOTICE of Appearance filed by attorney Joshua Eric Lynn on behalf of Defendant Joseph Gunnar and Co, LLC (Lynn, Joshua) (Entered: 01/24/2013)

01/29/2013 191 ORDER by Judge John A. Kronstadt: granting 187 Application to Appear Pro Hac Vice by Attorney John Lawlor on behalf of defendant Joseph Gunnar & Co, designating Elizabeth O'Brien as local counsel. (ak) (Entered: 01/30/2013)

01/29/2013 192 ORDER by Judge John A. Kronstadt: granting 188 Application to Appear Pro Hac Vice by Attorney Ian Park on behalf of defendant Joseph Gunnar & Co, designating Elizabeth O'Brien as local counsel. (ak) (Entered: 01/30/2013)

02/05/2013 193 NOTICE OF MOTION AND MOTION to Compel Production of Documents and Joint Stipulation Regarding Same filed by Plaintiff Peter Van Nuis. Motion set for hearing on 2/26/2013 at 10:00 AM before Magistrate Judge Suzanne H. Segal. (Rosen, Laurence) (Entered: 02/05/2013)

02/12/2013 194 OPPOSITION to MOTION to Compel Production of Documents and Joint Stipulation Regarding Same 193 filed by Defendants AEGIS Capital Corporation, I-Bankers Securities, Inc., Joseph Gunnar and Co, LLC, Richard Rappaport, Wespark Capital, Inc.. (Attachments: # 1 Proposed Order)(Dooley, Nathan) (Entered: 02/12/2013)

02/13/2013 195 MINUTE ORDER IN CHAMBERS by Magistrate Judge Suzanne H. Segal: The Court, on its own motion, hereby continues the hearing on the above referenced motion ( 193 ) from February 26, 2013 to March 5, 2013 at 10:00 a.m. IT IS SO ORDERED. (jy) (Entered: 02/13/2013)

02/25/2013 196 JOINT STIPULATION to MOTION to Compel Production of Documents and Joint Stipulation Regarding Same 193 Vacating Hearing on Plaintiffs' Motion to Compel filed by Plaintiff Peter Van Nuis. (Attachments: # 1 Proposed Order to Vacate Hearing)(Rosen, Laurence) (Entered: 02/25/2013)

02/25/2013 197 ORDER VACATING HEARING ON PLAINTIFF'S MOTION TO COMPEL by Magistrate Judge Suzanne H. Segal, re Joint Stipulation re Discovery Motion, 196 . IT IS HEREBY ORDERED THAT: 1. The Motion to Compel is withdrawn; and 2. The hearing on the Motion to Compel set for March 5, 2012 at 10:00 a.m. is vacated. (mr) (Entered: 02/25/2013)

03/05/2013 198 Request for Approval of Substitution of Attorney (with Proposed Order) filed by Defendant Joseph Gunnar and Co, LLC (Attachments: # 1 Proposed Order Proposed Order on Request for Approval of Substitution of Attorney)(Park, Ian) (Entered: 03/05/2013)

03/06/2013 199 ORDER by Judge John A. Kronstadt on Request for Approval of Substitution of Attorney of John E Lawlor in place and stead of Robert W Hayes and Megan R Peitzke of Cozen O'Connor 198 GRANTED. (ir) (Entered: 03/06/2013)

04/01/2013 200 NOTICE Notice of Proposed Settlement filed by Plaintiff Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 04/01/2013)

04/01/2013 201 Notice of Electronic Filing re Notice (Other) 200 e-mailed to [email protected] bounced due to 5.1.0 - Unknown address error 550-'5.1.1 User Unknown'. Primary e-mail address corrected. Notice of Electronic Filing resent addressed to [email protected] with a request that she update her profile. Pursuant to the General Order and Local Rules it is the attorneys obligation to maintain all personal contact information including e-mail address in the CM/ECF system. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(tyw) TEXT ONLY ENTRY (Entered: 04/01/2013)

04/02/2013 202 (IN CHAMBERS) ORDER SETTING DATE FOR PRELIMINARY SETTLEMENT AND DEFAULT MOTIONS AND VACATING TRIAL DATES by Judge John A Kronstadt: The Court has reviewed the Notice of Proposed Settlement (Dkt. 200) and sets the hearing on the Motion(s) for Preliminary Approval of Settlement and Motion(s) for Default Judgment for June 17, 2013 at 8:30 a.m. Any motion shall be filed consistent with Local Rule 6-1 and 7. In light of the settlement, the December 2, 2013 Final Pretrial Conference, December 13, 2013 Exhibit Conference and January 7, 2014 Jury Trial are vacated. 200 177 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(ake) TEXT ONLY ENTRY (Entered: 04/02/2013)

05/20/2013 203 APPLICATION for Default Judgment against Defendant China Century Dragon Media, Inc. And Case Summary In Support of Application filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. Application set for hearing on 6/17/2013 at 08:30 AM before Judge John A. Kronstadt. (Attachments: # 1 Declaration of Laurence Rosen Re: Non-Military Service of Defendant China Century In Support of Application for Entry of Judgment by Default, # 2 Declaration of Howard Mulcahey Re: Damages, # 3 Exhibit 1 to Mulcahey Declaration, # 4 Exhibit 2 to Mulcahey Declaration)(Rosen, Laurence) (Entered: 05/20/2013)

05/20/2013 204 NOTICE OF MOTION AND MOTION for Order Preliminarily Approving Settlement and Establishing Notice Procedures filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. Motion set for hearing on 6/17/2013 at 8:30 AM before Judge John A. Kronstadt (Attachments: # 1 Stipulation and Agreement of Settlement - Underwriters and De Campo, # 2 Stipulation and Agreement of Settlement - MaloneBailey, # 3 Exhibit A Proposed Order, # 4 Exhibit A-1 Notice of Pendency, # 5 Exhibit A-2 Summary Notice, # 6 Exhibit A-3 Proof of Claim, # 7 Exhibit B Final Judgment)(Rosen,

Laurence) (Entered: 05/20/2013)

05/20/2013 205 MEMORANDUM in Support Of Motion For Entry of Order Preliminarily Approving Settlement and Establishing Notice Procedures (Document 204) filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 05/20/2013)

05/29/2013 206 [DOCUMENT STRICKEN PURSUANT TO G-112A] - SUPPLEMENT to Notice (Other),, 204 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) Modified on 6/3/2013 (shb). (Entered: 05/29/2013)

05/31/2013 207 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Supplement (non-motion) 206 . The following error(s) was found: Title page is missing.Other error(s) with document(s) are specified below. Other error(s) with document(s): Imcomplete document. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (bp) (Main Document 207 replaced on 6/3/2013) (bp). (Entered: 05/31/2013)

05/31/2013 208 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Supplement (non-motion) 206 . The following error(s) was found: Title page is missing.The document is stricken. Counsel shall re e-file the complete document with all of the pages. (shb) (Entered: 06/03/2013)

06/03/2013 209 NOTICE OF CLERICAL ERROR: Due to clerical error Re: Notice of Deficiency in Electronically Filed Documents (G-112),, 207 . The clerk erroneously attached the wrong document to docket entry #207, "NOTICE TO FILER OF DEFICIENCIES" dated 5/31/13. The notice of deficiency is included as an attachment to this document. (Attachments: # 1 deficiency) (bp) (Entered: 06/03/2013)

06/03/2013 210 SUPPLEMENT to Notice (Other),, 204 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 06/03/2013)

06/08/2013 211 [STRICKEN - SEE DKT. 212] (IN CHAMBERS) ORDER TAKING PLAINTIFFS' MOTION FOR ENTRY OF ORDER PRELIMINARILY APPROVING SETTLEMENT AND ESTABLISHING NOTICE PROCEDURES (DKT. 204) AND PLAINTIFF'S APPLICATION FOR DEFAULT JUDGMENT (DKT. 203) UNDER SUBMISSION by Judge John A Kronstadt: The Court has considered the matters raised with respect to Plaintiffs' Motions and has concluded that the matters can be decided without oral argument. The Court advises counsel that the above-referenced motions, noticed for hearing on June 17, 2013, have been taken under submission and off the motion calendar. No appearance by counsel is necessary. 203 204 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY.(ake) TEXT ONLY ENTRY Modified on 6/8/2013 (ake). (Entered: 06/08/2013)

06/08/2013 212 NOTICE OF CLERICAL ERROR: Due to clerical error, the Court's June 8, 2013 Order was inadvertently issued. The Order is therefore, stricken. The motions remain on calendar for June 17, 2013 at 8:30 a.m. and counsel are required to appear. 203 204 (ake) (Entered: 06/08/2013)

06/12/2013 213 NOTICE OF MOTION AND MOTION to Substitute attorney Julie Kamps in place of attorney Megan R. Peitzke; Robert Hayes filed by Defendants Richard Rappaport, Wespark Capital, Inc.. (Attachments: # 1 Proposed Order)(Mikel, Issa) (Entered: 06/12/2013)

06/13/2013 214 ORDER by Judge John A. Kronstadt: granting 213 Motion to Substitute Attorney. Added attorney Julie Elise Kamps for Richard Rappaport Wespark Capital, Inc. Attorneys Robert W Hayes and Megan Rae Peitzke terminated. (rne) (Entered: 06/13/2013)

06/17/2013 215 Notice of Appearance or Withdrawal of Counsel: for attorney Brian K Tomkiel counsel for Defendant David De Campo. Adding Brian K. Tomkiel as attorney as counsel of record for Defendant David DeCampo for the reason indicated in the G-123 Notice. Filed by Defendant David De Campo. (Tomkiel, Brian) (Entered: 06/17/2013)

06/17/2013 216 MINUTES OF Motion Hearing held before Judge John A. Kronstadt: granting 203 Application for Default Judgment against Defendant China Century Dragon Media, Inc.; granting 204 Plaintiff's Motion for Entry of Order Preliminarily Approving Settlemetn and Establishing Notice Procedures. Court Reporter: Alex Joko. (rne) (Entered: 06/18/2013)

06/19/2013 217 MINUTE ORDER IN CHAMBERS ORDER RE PLAINTIFFS' MOTION FOR ENTRY OF PRELIMINARILY APPROVING SETTLEMENT AND ESTABLISHING NOTICE PROCEDURES; PLAINTIFFS' APPLICATION FOR DEFAULT JUDGMENT AGAINST DEFENDANT CHINA CENTURY DRAGON MEDIA, INC. (DKT.203, 204) by Judge John A. Kronstadt: The parties Motion for Preliminary Approval is GRANTED, and Plaintiffs' Motion for the Entry of Default Judgment as to China Century is GRANTED IN PART. Judgment in the amount of $4.7 Million shall be entered. Plaintiffs shall submit a proposed judgment in this amount within 10 days of the entry of this Order. (bp) (Entered: 06/20/2013)

06/21/2013 218 NOTICE OF LODGING filed re Minutes of In Chambers Order/Directive - no proceeding held,, 217 , Order on Application for Default Judgment, Motion Hearing,, 216 (Attachments: # 1 [Proposed] Order Preliminarily Approving Settlement and Providing for Notice, # 2 [Proposed] Default Judgment)(Rosen, Laurence) (Entered: 06/21/2013)

07/02/2013 219 ORDER GRANTING PRELIMINARY APPROVAL OF SETTLEMENT AND PROVIDING FOR NOTICE by Judge John A. Kronstadt:A Final Settlement Hearing pursuant to Federal Ruleof Civil Procedure 23(e) is hereby scheduled to be held before the Court onOctober 7, 2013 at 8:30 AM. The Court approves the form, substance and requirements of (a) the Notice, (b) the Summary Notice and (c) the Proof of Claim. Strategic Claims Services, Inc. is appointed and approved as the Claims Administrator for the Settlement.Plaintiffs Counsel, through the Claims Administrator, shall cause the Notice and the Proof of Claim, substantially in the forms attached hereto, to be mailed to Class members. The Litigation is stayed. (see document for other specifics and deadlines). (lc) (Entered: 07/08/2013)

07/26/2013 220 (IN CHAMBERS) ORDER RE PILOT PROGRAM FOR UNDER SEAL DOCUMENTS by Judge John A. Kronstadt. This Court is participating in a pilot program regarding the submission of sealed documents. Effective July 8, 2013, all proposed sealed documents must be submitted via email to the Judges Chambers email at: [email protected] consistent with this Order. (im) (Entered: 07/26/2013)

09/03/2013 221 NOTICE OF MOTION AND MOTION for Settlement Approval of Final Approval of Class Action Settlement and Plan of Allocation filed by Plaintiff Dan Katz. Motion set for hearing on 10/7/2013 at 08:30 AM before Judge John A. Kronstadt. (Attachments: #

1 Memorandum Memorandum of Law in Support of Final Approval of Class Action Settlement and Plan of Allocation, # 2 Declaration Declaration of Laurence M. Rosen in Support of Plaintiffs' Motion for Final Approval of Class Action Settlement and Plan of Allocation, and Award of Attorneys' Fees and Reimbursement of Expenses, # 3 Exhibit Exhibit 1 to Rosen Declaration, # 4 Exhibit Exhibit 2 to Rosen Declaration, # 5 Proposed Order Proposed Order and Final Judgment)(Rosen, Laurence) (Entered: 09/03/2013)

09/03/2013 222 NOTICE OF MOTION AND MOTION for Settlement Approval of Attorneys' Fees and Reimbursement of Expenses filed by Plaintiff Dan Katz. Motion set for hearing on 10/7/2013 at 08:30 AM before Judge John A. Kronstadt. (Attachments: # 1 Memorandum Memorandum of Law in Support of Award of Attorneys' Fees and Reimbursement of Expenses, # 2 Declaration Declaration of Laruence M. Rosen in Support of Plaintiffs' Motion for Final Approval of Class Action Settlement and Plan of Allocation and Award of Attorneys Fees and Reimbursement of Expenses, # 3 Exhibit 1 to Rosen Declaration, # 4 Exhibit 2 to Rosen Declaration, # 5 Proposed Order Awarding Plaintiffs' Counsel Attorneys Fees and Reimbursing Expenses)(Rosen, Laurence) (Entered: 09/03/2013)

09/23/2013 223 REPLY support MOTION for Settlement Approval of Attorneys' Fees and Reimbursement of Expenses 222 , MOTION for Settlement Approval of Final Approval of Class Action Settlement and Plan of Allocation 221 filed by Plaintiff Dan Katz. (Attachments: # 1 Declaration Supplemental Declaration of Josephine Bravata, # 2 Proposed Order Proposed Judgment Against WestPark Capital Financial Services, LLC)(Rosen, Laurence) (Entered: 09/23/2013)

09/26/2013 224 NOTICE OF DISCREPANCY AND ORDER: Letter from William Iverson re Settlement received 9/19/13 is NOT to be filed, but instead REJECTED and is ORDERED returned to counsel. Denial based on Local Rule 83.2-5 No letters to the judge; All matters shall be called to the Court's attention by the appropriate application consistent with the Local Rules. However, the Court directs counsel to consider this letter in connection with the settlement by Judge John A. Kronstadt. (ir) (Entered: 09/30/2013)

09/30/2013 225 REPLY Support MOTION for Settlement Approval of Attorneys' Fees and Reimbursement of Expenses 222 , MOTION for Settlement Approval of Final Approval of Class Action Settlement and Plan of Allocation 221 Supplemental Reply filed by Plaintiff Dan Katz. (Attachments: # 1 Letter Iverson Objection Letter)(Rosen, Laurence) (Entered: 09/30/2013)

10/07/2013 227 MINUTES OF PLAINTIFFS MOTION IN SUPPORT OF FINAL APPROVAL OF CLASS ACTION SETTLEMENT AND PLAN OF ALLOCATION (DKT. 221); PLAINTIFFS MOTION FOR AN AWARD OF ATTORNEYS FEES AND REIMBURSEMENT OF EXPENSES (DKT. 222). Motion Hearing held before Judge John A. Kronstadt The Court otherwise GRANTS the Settlement and Fees Motions. A detailed order will follow.Court Reporter: Alex Joko. (shb) (Entered: 10/15/2013)

10/10/2013 226 MINUTES (IN CHAMBERS): ORDER by Judge John A. Kronstadt: granting 221 Motion for Final Approval of Class Action Settlement; granting in part 222 Motion for Attorneys Fees and Reimbursement of Expenses. (rne) (Entered: 10/10/2013)

10/17/2013 228 STIPULATION for Order WestPark Capital Financial Services LLC's Proposed Payment Plan filed by Plaintiff Dan Katz. (Attachments: # 1 Proposed Order Concerning WestPark Capital Financial Services, LLC's Proposed Payment Plan)(Rosen, Laurence)

(Entered: 10/17/2013)

10/25/2013 229 ORDER by Judge John A. Kronstadt, GRANTING Stipulation concerning WPCFS's proposed payment plan 228 (See document for further details) (ir) (Entered: 10/28/2013)

10/29/2013 230 (IN CHAMBERS) ORDER DIRECTING COUNSEL TO LODGE PROPOSED JUDGMENT by Judge John A. Kronstadt: In light of the Court's October 10, 2013 Order (Dkt. 226) and the settlement between Plaintiffs and WestPark Capital Financial Services, LLC (Dkt. 229), the Court directs counsel to meet and confer and lodge a proposed judgment no later than November 4, 2013. If the parties are not able to agree on a form judgment pursuant to Rule 54, Plaintiff shall lodge a proposed judgment with defendant(s) to file any objections thereto within 7 days from the date the proposed judgment is lodged. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (ake) TEXT ONLY ENTRY (Entered: 10/29/2013)

11/04/2013 231 NOTICE OF LODGING filed [Proposed] Judgment re Text Only Scheduling Notice,, 230 (Attachments: # 1 Proposed Order [Proposed] Final Judgment)(Rosen, Laurence) (Entered: 11/04/2013)

11/07/2013 232 OBJECTIONS to Notice of Lodging 231 , Text Only Scheduling Notice,, 230 filed by Interested Party WestPark Capital Financial Services, LLC. (Attachments: # 1 Declaration Kamps Declaration, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Proposed Order Proposed Judgment)(Kamps, Julie) (Entered: 11/07/2013)

11/14/2013 233 REQUEST to Substitute attorney Julie Elise Kamps in place of attorney Issa Fouad Mikel filed by Defendants/Counter-Claimants Richard Rappaport, Wespark Capital, Inc., WestPark Capital Financial Services, LLC. (Attachments: # 1 Proposed Order)(Mikel, Issa) (Entered: 11/14/2013)

11/15/2013 234 ORDER by Judge John A. Kronstadt: granting 233 Request to Substitute Attorney Julie Elise Kamps for defendants WestPark Capital Financial Services LLC and Richard Rappaport. (shb) (Entered: 11/15/2013)

11/21/2013 235 PARTIAL JUDGMENT: Class Counsel are awarded $200,000.00 as attorneys' fees in this Action, together with a proportionate share of the interest earned on the fund, at the same rate as earned by the balance of the fund, from the date of the establishment of the fund to the date of payment. The expenses of Class Counsel shall be reimbursed out of the Settlement Fund in the amount of $38,867.94. Lead Plaintiff Dan Katz and Class Representatives Peter Van Nuisand Julius Shapiro shall be awarded $1,500 each (totaling $4,500) for an incentive fee award and reimbursement for their lost time in connection with their prosecution of this action. (See document for further details) by Judge John A. Kronstadt. (ir) (Entered: 11/22/2013)

06/23/2014 236 MINUTE ORDER IN CHAMBERS ORDER CLOSING CASE JS-6 by Judge John A. Kronstadt: In light of the Partial Judgment filed on November 12, 2013, the Court ORDERS this action closed. Dkt.235, (Made JS-6. Case Terminated.) (bp) (Entered: 06/23/2014)

04/22/2015 237 NOTICE OF MOTION AND MOTION for Disbursement of Funds distribution of class settlement funds filed by plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. Motion set for hearing on 7/13/2015 at 08:30 AM before Judge John A. Kronstadt. (Attachments: # 1 Declaration of Laurence Rosen, # 2 Exhibit A, # 3 Proposed Order)(Rosen, Laurence) (Entered: 04/22/2015)

04/29/2015 238 NOTICE OF APPEARANCE OR WITHDRAWAL OF COUNSEL filed by Defendant

MaloneBailey LLP. (Eisen, David) (Entered: 04/29/2015)

04/29/2015 239 Notice of Appearance or Withdrawal of Counsel: for attorney David S Eisen counsel for Defendant MaloneBailey LLP. Patricia Ann Golson is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Defendant Malone Bailey. (Eisen, David) (Entered: 04/29/2015)

04/29/2015 240 Notice of Withdrawal of Motion for Disbursement of Funds, 237 filed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 04/29/2015)

05/05/2015 241 (IN CHAMBERS) ORDER TAKING PLAINTIFFS' MOTION FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS (DKT. 237 ) OFF CALENDAR by Judge John A Kronstadt: In light of the Plaintiffs' Notice of Withdrawal (Dkt. 240 ), the Court takes the Motion off calendar. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (ake) TEXT ONLY ENTRY (Entered: 05/05/2015)

05/14/2015 242 NOTICE OF MOTION AND Renewed MOTION for Disbursement of Funds distribution of class settlement funds filed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. Motion set for hearing on 7/20/2015 at 08:30 AM before Judge John A. Kronstadt. (Attachments: # 1 Declaration of Laurence Rosen, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Proposed Order)(Rosen, Laurence) (Entered: 05/14/2015)

06/11/2015 243 NOTICE OF NON-OPPOSITION to Renewed MOTION for Disbursement of Funds distribution of class settlement funds 242 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Rosen, Laurence) (Entered: 06/11/2015)

06/30/2015 244 NOTICE filed by Plaintiff Dan Katz, Julius Shapiro, Peter Van Nuis. Request to Appear Telephonically (Attachments: # 1 Proposed Order)(Rosen, Laurence) (Entered: 06/30/2015)

07/01/2015 245 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice Request to Appear Telephonically 244 . The following error(s) was found: Incorrect event selected. The correct event is: Correct event is Motions and Related Filings -> Applications/Ex Parte Applications/Motions/Petitions/ Requests. In response to this notice the court may order (1) an amended or correct document to be filed (2) the document stricken or (3) take other action as the court deems appropriate. You need not take any action in response to this notice unless and until the court directs you to do so. (pso) (Entered: 07/01/2015)

07/07/2015 246 ORDER GRANTING PLAINTIFFS' COUNSEL'S REQUEST TO APPEAR TELEPHONICALLY AT HEARING ON MOTION FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS by Judge John A. Kronstadt: The Court, having received and reviewed the Request to Appear Telephonically at Hearing on Motion for Distribution of Class Settlement Funds submitted by Lead Counsel for Plaintiffs and the Class ("Plaintiffs' Counsel");IT IS HEREBY ORDERED THAT: Plaintiffs' Counsel may participate by telephone at the hearing in the above captioned matter, scheduled for July 20, 2015 at 8:30 a.m. Counsel shall contact the Clerk the week of July 13, 2015 to obtain the information for the call. (cr) Modified on 7/8/2015 (cr). (Entered: 07/07/2015)

07/15/2015 247 (IN CHAMBERS) ORDER RE PDF SEARCHABLE DOCUMENTS by Judge John A Kronstadt: Plaintiffs have filed documents that are not PDF searchable. E.g., Dkt. 242-2. Counsel shall adhere to Local Rule 5-4.3.1 with respect to the conversion of all pleadings to a PDF so that when a pleading is e-filed, it is in the proper size and format that is PDF searchable. Any future document that is filed and not PDF searchable will be stricken.

THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (jaklc4, ) TEXT ONLY ENTRY (Entered: 07/15/2015)

07/20/2015 248 MINUTES OF LEAD PLAINTIFFS' MOTION FOR DISTIRBUTION OF CLASS SETTLEMENT FUNDS (DKT. 242): Motion Hearing held before Judge John A. Kronstadt: Court and counsel confer. The Court DEFERS its ruling subject to counsel submitting supplemental briefing in support of the motion. Thus, on or before August 10, 2015, counsel shall provide any evidence justifying the requested $75,000 default judgment recovery expense and the $44,385.26 in claims administration fees. Court Reporter: Myra Ponce. (shb) (Entered: 07/21/2015)

08/10/2015 249 SUPPLEMENT to Renewed MOTION for Disbursement of Funds distribution of class settlement funds 242 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit A)(Rosen, Laurence) (Entered: 08/10/2015)

08/26/2015 250 ORDER TO STRIKE ELECTRONICALLY FILED DOCUMENTS by Judge John A. Kronstadt: the following document(s) be STRICKEN for failure to comply with the Local Rules, General Order and/or the Courts Case Management Order: Supplement(Motion related) 249 , for the following reasons: The caption does not reflect the caption on the docket; the document is not PDF searchale pursuant to this Court's Standing Orders, and Local Rule 5-4.1; and a courtesy copy was not provided to the Court. Counsel shall re-file the document by August 27, 2015, which is consistent with this Court's Standing Orders and the Local Rules.; (bp) (Entered: 08/26/2015)

08/26/2015 251 SUPPLEMENT to Renewed MOTION for Disbursement of Funds distribution of class settlement funds 242 CORRECTED filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit A)(Rosen, Laurence) (Entered: 08/26/2015)

11/19/2015 252 DEFAULT JUDGMENT by Judge John A. Kronstadt. IT IS ORDERED, ADJUDGED AND DECREED that: As the direct and proximate result of China Centurry's violations of Section 11 of the Securities Act of 1933, the class suffered statutory damages of $6,299 million, per evidence. Judgment in the amount of $4,700,00 (four million seven hundred thousand dollars) is granted against China Century, with costs to be determined, all to bear interest from this date at the legal rate. (bp) (Entered: 11/19/2015)

02/18/2016 253 [STRICKEN PURSUANT TO DOCKET ENTRY #254] MEMORANDUM in Support of Renewed MOTION for Disbursement of Funds distribution of class settlement funds 242 filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Proposed Order)(Rosen, Laurence) Modified on 2/22/2016 (bp). (Entered: 02/18/2016)

02/19/2016 254 ORDER TO STRIKE ELECTRONICALLY FILED DOCUMENTS by Judge John A. Kronstadt: the following document(s) be STRICKEN for failure to comply with the Local Rules, General Order and/or the Courts Case Management Order: Memorandum in Support of Motion 253 , for the following reasons: Incorrect event selected. Hearing information is missing, incorrect, or not timely. The docket reflects taht the document is a Memorandum but the document itself is tiltled as a Renewed Motion, which is not set for hearing consistent with the Local Rules. Counsel shall re-file the document so that the docket and tile of the document match, which sahll be e-riled using the appropriate event codes.; (bp) (Entered: 02/22/2016)

03/18/2016 255 (IN CHAMBERS) ORDER RE LEAD PLAINTIFFS' MOTION FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS (DKT. 242 ) by Judge John A. Kronstadt. The Motion is GRANTED IN PART and DENIED IN PART. (ah) (Entered: 03/18/2016)

03/28/2016 256 REPLY support Supplemental briefing addressing March 18, 2016 Order (Dkt. No. 255) filed by Plaintiffs Dan Katz, Julius Shapiro, Peter Van Nuis. (Attachments: # 1 Exhibit A)(Rosen, Laurence) (Entered: 03/28/2016)

04/05/2016 257 (IN CHAMBERS) ORDER RE LEAD PLAINTIFFS' MOTION FOR DISTRIBUTION OF CLASS SETTLEMENT FUNDS (DKT. 242 ) by Judge John A. Kronstadt: The proposals as to authorized claims are accepted. On or before April 12, 2016, Plaintiffs shall lodge a proposed judgement consistent with the terms of this and the other applicable Orders. See Dkt. 255 , 256 . (ah) (Entered: 04/05/2016)

04/11/2016 258 NOTICE OF LODGING filed Proposed Judgment Concerning Distribution of Class Settlement Funds re Minutes of In Chambers Order/Directive - no proceeding held, 257 (Attachments: # 1 Proposed Order)(Rosen, Laurence) (Entered: 04/11/2016)

05/04/2016 259 JUDGMENT CONCERNING DISTRIBUTION OF CLASS SETTLEMENT FUNDS 258 by Judge John A. Kronstadt. (ah) (Entered: 05/04/2016)

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