IN RE: Baldwin-United Corporation Litigation

ThrtomoRM SAC. g
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JUDICIAL PANEL ON MULTIDISTRICT LITIGATION Lo
okay ne. 581 _. In re Baldwin-United Corporation Litigation
BNBEE EE ee	}
83/12/23 1 ! MOTION, SCHEDULES A and B, AFFIDAVIT OF THOMAS F. CURNIN,
BRIEF, CERT. OF SERVICE -- 23 Major Defendants -- SUGGESTED
TRANSFEREE DISTRICT: Southern District of New York (cds)
|
83/12/23 | 2 LETTER -- requesting motion to be scheduled for January 26,
| 1984 hearing -- signed by Charles A. Gilman, for 23 major
| | defendants (cds)84/01/03 | | APPEARANCES --~ "KENNETH V. HANDAL, ESQ. for Thomson McKinnon
Securities, Inc.; JOHN M. FRIEDMAN, JR., ESQ. for Prudential-
| Bache Securities, Inc.; RICHARD E. CARLTON, ESQ. for Kidder
| Peabody & Co., Inc., and Kidder Peabody Insurance Agency, Inc.;| HARVEY D. MYERSON, ESQ. for Shearson/American Express, Inc. and
; | Robinson Humphrey Co., Inc.; MARTIN P. UNGER, ESQ. for
; | Paine, Webber, Jackson & Curtis, Inc.; JOHN F. LAURO, ESQ. for
; Janney Montgomery Scott, Inc.:; THOMAS F. CURNIN, ESQ. for
| E.F. Hutton & Co., Inc., Smith Barney Harris Upham, Inc., E.F.
Hutton Group, Inc. and SBHU Life Agency, Inc.; JAMES-B--WEIDNER,
| | ESQ--for-Merrill-Lynch-Pierce-Fenner-& Smiths-Ines;-Merriid	| Lyach-Life-Ageney,-Ines,-Mh-Life-Agneeys;-Ines;-Wiltliam-6<
| Schumacher, -Roger-E~-Birk,-Dakin-B:-Ferris;-WsA;-Sehreyer,i Randy-Weber-and-Merrill-Lyneh-&-Co-7-fne-+-WILLIAM-RICHTER;	-BSQ+
! ! for-A.-G.-Edwards-&	Sens; CHARLES W. HAVENS,-III;-ESQ.-foxr
: | University-Iitfe--Insurance	Co. of America; ROBERT-H--FORD;-EEQ.
| for-Wayne-Tuckers-et-al-,-JFimmy-ELz-Caldwell;-Blizabeth-€--Heed,
i and-William-S--Clark,-e&-al.s JAOHN G. BRADSHAW, ESQ. for
| Walter C. Monson, et al.; JAMES C. STURDEVANT, ESQ. for Judith	Shay; JACOB N. GROSS, ESQ. for Lewis Levin, et al.:; STEPHEN M.
| MERRICK, ESQ. for Steven Domeny, et al.; STEPHEN E. SMITH, ESQ.
; for Leonard Brenner; MARVIN A. MILLER, ESQ. for David Morris,
| ! et al., Robert M. Goodwin, M.D., et al.; JOHN T. RILEY, JR., ESQ.
| for Sam Gesualdo, et al.; HENRY H, FEIKEMA, ESQ. for Kenneth
| Tomnitz; STEPHEN D. SUSMAN, ESQ. for Robert R. Moore, John Terrill,
| Jean Maier, Nils Ostin; RICHARD D. GREENFIELD, ESQ. for Richard
: | Meyers, et al., Frederick J. oberst; Jean Blumberg, et al.,
| Bernice V. Abrams, Sonia Sokoloff, Hambleton Shepperd, Vincent
] | Erti and Alfred Linton; STANLEY S. ARKIN,ESQ. for Charles B.
i Scarborough, et al.; LAWRENCE MILBERG, ESQ. for Harry Factor,
: | Florence Silver, Harry Olson and Richard J. Boyle, et al.:
: | ROBERT S. SCHACHTER, ESQ. for Douglas M. Mann; STANLEY R. WOLFE,
ESQ. for Willa June Morgan and Thomas G. Phillips, III; ROBERT
. | E. JUSHNER, ESQ. for Martin A. Burton; LAWRENCE MILBERG, ESQ. FOR
{ Philip Rhodes, Jr., et al.; HOWARD F. MESSER, ESQ. for Sylvia
: | Michaels, Jerome W. Eichelsbacher, and Joseph Chupko, et al.:
| CHARLES J. GEARHISER, ESQ. for Lyle A. Graves, et al. and
| Lloyd R. Greenwood, et al.; (ds)
: ||
|

Pe
JPML FORM 1A =o LT
\ DOCKET ENTRIES .
. JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
84/01/04 | APPEARANCE -- RICHARD C. COLE, ESQ. for University Life
| Insurance Co. of America; MARC S. MOLLER, ESQ. for Revella
| | Price. (ds)84/01/04 | APPEARANCES -- JAMES B., WEIDNER, ESQ. for Merrill Lynch Pierce
| Fenner & Smith, Inc., Merrill Lynch Life Agency, Inc., ML
! i Life Agency, Inc., Roger E. Birk, Dakin B. Ferris, W.A.,
! Schreyer, Randy Weber, William S. Schumacher, Merrell Lynch &
; ! Co., Inc. and Merrell Lynch Life Agency, Inc.; KATHLEEN M.
{ RICHARDS, ESQ. for Steven H. Grossman, et al. (ds)
84/01/05 3 | REQUEST FOR EXTENSION OF TIME -- 13 plaintiffs pending in the: N.D. Illinois, D. Minnesota, W.D. Pennsylvania and the N.D.
i California -- Extension was GRANTED to and ineluding January
| 11, 1984 to the 13 requesting plaintiffs ONLY. Notified
| | involved counsel. (ds)
84/01/05 | AMENDMENT TO HEARING ORDER AND ATTACHED SCHEDULE FILED ON| DECEMBER 19, 1983 -- Setting Motion of twenty-three major
: ! defendants for Panel hearing in Atlanta, Ga. on Jan. 26,
| | 1984 (cds)J
|
84/01/05 { APPEARANCE -- WILLIAM A. RICHTER, ESQ. for A. G. Edwards
| | & Sons, Inc. (ds)| I
|
84/01/09 by | RESPONSE -- pltfs. in A-19 thru A=41, (S.D.N.Y. actions)
| | w/exhibit A and cert. of sve. (ds)! i
84/01/09: | NOTICE OF RELATED ACTION -- Joseph and Eva Lowry v. Uniersity Life
: i Insurance Co., et al., D. New Jersey, C.A. No. 83-4707 -- filed
| by William A. Richter. (ds)	|
gu/01/090 © 5 t RESPONSF. --= University Life Insurance Co. of America --
; w/cert. of sve. (emh)
84/01/09 : 6 | RESPONSE, -= Janney Montgomery Scott Inc. -- w/cert. of sve.
: i (emh)
Co
!
:
/

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JUDICIAL PANEL ON MULTIDISTRICT LITIGATION .
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Co oo
84/01/11 ' 7 NOTICE OF RELATED ACTIONS -- Bernard L. Shipman, et al. v.
Nat'l Investors Life Insurance Co., et al., W.D. Wash., C.A.
No. €83-1767; Quinten G. Quinn, et al. v. Merrill Lynch
Pierce Fenner & Smith, Inc., et al., D. Colo., C.A. No.
83-JM-2450; Joseph Lowry, et al. v. University Life Insurance
| Co., of America, et al., D.N.J., C.A. No. . -- filed hy
| movants w/exhibits 1 thru 3 and cert. of sve. (ds)
84/01/11 | 8 RESPONSE -- pltfs. Graves, et al. and Greenwood, et al.
| w/cert. of sve. (ds)
84/01/11 | 9 STATEMENT (APPENDIX) -- stating they do not object to
transfer and waiving oral argument -- pltfs. Domeny, Lavin,
Morris, Gesualdo, Grossman, Goodwin, Levin, Tomnitz,
i Michaels, Eichelsbacher and Chupko w/cert. of sve. (Appendix
i was attached to notice of hearing) (ds)	i ‘
8u/01/12 | 10 REQUEST FOR EXTENSION OF TIME -- pltf. Leonard Rrenner =--! Extension was DENIED. (ds)
84/01/17 | 11 |REQUEST TO FILE LATE MEMORANDUM -- Filed by pltf. Shay
w/cert. of sve. -- Accepted for filing on 1/17/84. (ds)
84/01/17 | 12 MEMORANDUM -- pltf. Shay w/cert. of svc. (ds)|
84/01/17 13 NOTICE OF RELATED ACTIONS -- Everett Denison, et al. v.
{ Merrill Lynch Pierce, Fenner & Smith Inc., M.D. Fla., C.A.
| | No. 84-64-Civ-T-17 and Geroge Edward Harrill, et al., Vv.	Merrill Lynch Pierce Fenner & Smith, Inc., et al., W.D.N.C.,
C.A. No. SH-C-84-25 ~-- Filed by Merrill Lynch & Co., Inc.
: w/cert. of sve. (ds)
84/01/17 | 14 NOTICE OF RELATED ACTIONS -- Edward Kissel, Jr. v.
Parker/Hunter, Inc., W.D. Pa., C.A. No. 84-38 and Sandra S.
| Miller v. Boenning & Scattergood, Inc., W.D. Pa., C.A. No.
: 83-3259 -- filed by pltfs. Kissel and Miller w/cert. of sve.
| (as)
84/01/18 ! 15 | corres -- (re: Shay v. Merrill Lynch) -- filed by Merrill: | Lynch, Pierce, Fenner & Smith w/Notice of Motlon, Memorandum
© Law, Order and Declaration of Service as attachments (ds)
i _ .

petIPML FORM 1A A
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v JLOTCLALL AE a nn rs ECT LITIGATION
ve .
84/01/18 APPEARANCES -- ESANU, KATSKY, KORINS & SIGER for Planco, Inc.
~ and EDWARD A. JORDAN, ESQ. for Dennis P. Attalla (ds)
BU sO 20 ~——tF = BIPONSR	~~ —(Iyterented= ~Fames Rudolf and Rowald-	ERA terested Tarty) fame Sudo? arg hem +e
! :
84/01/20f{ 16 - NOTICE OF RELATED ACTION -- Ernst	v. Shearson/American
. Express, Inc., E.D. Missouri, C.A. No. 84~0037-C -- filed by
~ Shearson/American Express, Inc. -- w/sve. (emh)
84/01/20 17 ; RESPONSE -- (Interested Party) James Rudolf and Ronald
! Schooling -- w/exhibits and cert. of sve. (emh)
84/01/23 18 LETTER REQUESTING TO PRESENT ORAL ARGUMENT =-- at Panel
Hearing on January 26, 1984 in Atlanta, Georgia -- filed by
James Rudolf and Ronald Schooling (Interested Parties). (ds)
Bl4/01/23 19 LETTER ADVISING DISMISSALS IN FOUR ACTIONS =-- (A-1 thru A-14)
=— filed by deft. Thomson McKinnon Securities, Inc. w/copiles
of dismissals and docket sheets and cert. of svc. (ds)
84/01/23 20 ' NOTICE OF RELATED ACTION -- Daniel R. Cavalier, et al. v.
Prudential-Bache Securities, Inc., et al., D. Minn., C.A. No.
' 4-84-11 -- filed by pltfs. Cavalier, et al. (ds)
84/01/24 HEARING APPEARANCES: Richard Carlton, Esq. for Kidder Peabody
& Co., Inc. and Kidder Peabody Ins. Agency, Inc.; JAMES B.
WEIDNER, ESQ. for Merrill Lynch, Pierce, Fenner & Smith, Inc.,
© Merrill Lynch & Co., Inc, Merrill Lynch Life Agency, Inc.,
© ML Life Agency Inc., Robert E. Birk, Dakin Ferris, W.A.
' schreyer, Randy Weber and Wm. Schumacher; JOHN R. VAUGHAN,
"ESQ. for E.F. Hutton & Co., Inc., E.F. Hutton Group, Inc.,
' E.F. Hutton Ins. Inc., Paul Hines, Smith Barney, Harris Upham
Inc. and SBHU Life Agency Inc.; HARVEY D. MYERSON, ESQ. for
~ Shearson/American Express, Inc., Robinson Humphrey Co., Inc.j;
RICHARD C. COLE, ESQ. for Don H. Miller, etc.; LAWRENCE
MILBERG, ESQ. for Harry Factor, John F. Terrill, willa J.
Morgan, Robert Moore, Jean & Louis Blumberg, et al,; STEPHEN
E. SMITH, ESQ. for Leonard Brenner; JOHN M. FRIEDMAN, JR.,
ESQ. for Prudential-Bache Securities Inc.; ARMIN FRANK, ESQ.
for James Rudolph and Ronald A. Schooling (potential pltfs) (cds)
84/01/24 WAIVERS OF ORAL ARGUMENT: Douglass Mann; Lyle A. Graves, et a.;
Judith Shay; Paine Webber, Inc., Pain, Webber, Jackson &Curtin,
Inc., PWJC Ins. Sales, Inc.; A.G. Edwards & Sons, Inc.; Thomson
McKinnon Sec. Inc.; Janney Montgomery Scott Inc.:; (cont. next page)

PNTOPORM	IA Cr 5
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JUDICIAL PANEL ON MULTIDISTRICT LITIGATION J
covor	in. 58l -- In reBaldwin-United	Corporation Litigation
84/01/24 | (continued from page 4) WAIVERS OF ORAL ARGUMENT: David H.
: | Wellman, Karen G. Wellman, Richard H. Farr, Karen M. Wright,
et al.; Plaintiffs Domeny, Lavin, Morris, Gesualdo, Grossman,
: Goodwin, Levin, Tomnitz, Michaels, Eichelsbacher and Chupko (cds)
84/01/25 {21 IMOTION TO CONTINUE HEARING (Schedule for 1/26/84) -- George
| iE. Harrill, et al. -- w/cert. of svc. (emh) Co
84/01/26 WAIVER OF ORAL ARGUMENT -- Prudential-Bache Securities, Inc. (ds)
84/02/01] 2la| LETTER (re dismissal of A-6 Shay action) -- signed by James
| C. Sturdevant, counsel for Shay -- w/service (cds) :
B4/02/02 | 22 [REQUEST FOR EXTENSION OF TIME -- W.H. Newbold's	Son & Co.,
i Inc. (plaintiffs in potential tag-along) -- NOT ENTITLED TO
XTENSION (eds)
84/02/03 23 | LETTER, AFFIDAVIT (stating that plaintiff Schooling should
; not have ‘béen named	in Ohio potential tag-along) =-- signed by
| Thomas F. Curnin, counsel for Ronald A. Schooling (cds)
84/02/07 | 24 |RESPONSE/MEMORANDUM -- W.H. Newbold's Son & Co., Inc.w/exhibit A and cert. of sve. (ds)
84/02/08 25 | AFFIDAVIT OF ROBERT P. FRUKIN -- (counsel for pltf. Wood in
potential tag-along action) (ds)
84/02/13 26 LETTER-RESPONSE (to pldg. #23) -- signed by John W. Allured,
counsel for James Smith Rudolph (cds)
84/02/16 27 LETTER (re reinstatement of Shay action (A-6) -- signed by
James B. Weidner, counsel for defts. Merrill Lynch, Plerce,
Fenner & Smith, Inc. and Merrill Lynch Life Agency, Inc. --
w/copy of N.California order of Feb. 13, 1984 and cert. of
| service (cds)
84/02/21! 28 ! LETTER (re pldg. 27) =-- signed by James C. Sturdevant,
counsel for Judith Shay -- w/cert. of service (cds)
BY /02/22 9 RESPONSE -- Arkansas Ins. Commissioner -- w/Affidavit of; Linda N. Garner and cert. of service (submitted at 1/26/84
| Panel hearing, held for cert. of service) (eds)
bl 02/23 130 ETTER (notifying Panel of 6 potential tag-along actions) --
signed by Charles A. Gilman, counsel for movants == w/cert.
B f service (cds)
ooi 3 .
|
|

oo Cs «oo |
CIETTON
84/02/27 CONSENT OF TRANSFEREE COURT for assignment of litigation tothe Honorable Charles L. Brieant in S.D. New York (emh)
84/02/27 TRANSFER ORDER -- transferring litigation (A-T7 thru A-18,A-43 thru A-47) to the S.D. New York pursuant to 28 U.S.C.
§1407. NOTIFIED PASL(pages 1-4), clerks, Judges, recipients,
publishers and other interested counsel (emh)
84/02/29 CORRECTION ORDER -- correcting Page 1, lines 1 and 11 of the
Transfer Order filed on 2/27/84 -- Notified involved clerks,
judges, counsel, misc. recipients and publishers. (ds)
84/03/01 CONDITIONAL TRANSFER ORDERS FILED TODAY --B-51 thru B-55
listed below. -- Notified involved counsel and judges. (ds)
B-51 |Quinten G. Quinn, et al. v. Merrill D.Colo.| 83-IM-2450
Lynch, Pierce, Fenner & Smith, Inc. Moore
: et al. }
; : B-52 Everett Denison, et al. v. Merrill M.D.Fla 84-0064
Lynch, Pierce, Fenner & Smith, Inc., Kovachevyich
et al. .
B-53 Daniel R. Cavalier, et al. v. D.Minn.| 4-84-11
Prudential Bache Securities, Inc., Murphy
: et al.
B-54 |James S. Rudolph, et al. v. Kidder, S.D.Ohi¢ C-1-84-008
Peabody & Co., et al. Spiegel
B-55 Bernard L. Shipman, et al. v. National|W.D.Was}.CB83-1767-C
Investors Life Insurance Co., et al. Coughengur

AJPM! FORM .1A * - :
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JUDICIAL PANEL Oh MU IDISTRICT LITIGATION .
84/03/07 | CONDITIONAL TRANSFER ORDERS FILED TODAY -- B-56 thru B-60
1listed below. -- Notified involved counsel and judges. (rh)
i b-se Edward Kissel,	Je, v. Parker/Bunter’. W.D.Pa.| B4-38
Inc. - ‘Ziegler
B-57 Osodr Woods v. W.H. Newbold's Sons & | E.D.Pa. £84-0161
| Co.,:1Inc. McGlynn}| B-58 | Arnold D. Jones v. E. F. Hutton W.D.Ark| 84-1002
| Company, Inc. WatersB-59 Sandra S, Miller v. Boeaning & .W.D.Pa} 83-3259
: Scattergocd: Inc. Ziegle
| B-60 Joseph Lowry, et al., v. University D. N.J{ 83-4707: Life -Insurance Company of America, et) Cohen
, i “la. Co
Bas0sn1z. | APPEARANCE -- JOHN C. ELAM for Peat, Marwick, Mitchell	& Co. (emh)|
84/03/12 | | CONDITIONAL TRANSFER ORDER FILED TODAY -- B-61 Jackie M. Best: vo. Jack T. Dowell, et al., N.D. Miss., C.A. No. DC84-4-WK-P
|= NOTIFIED INVOLVED JUDGES AND COUNSEL (cds)
84/03/16 APPEARANCE : JAY E. SUSHELSKY, ESQ. FOR Cecilia C. Ernst (cds)
84/03/16 | 31 | JOINT STIPULATION TO TRANSFER (of B-62 Cecelia C. Ernst v.	| Shearson/American Express, Inc., E.D. Mo., #84-0037-C(1) --
| ALL parties -- w/cert. of service (cds)
84/03/16 | CONDITIONAL TRANSFER ORDER FILED TODAY -- (B-62) Cecelia C.
| Ernst v. Shearson/American Express, Inc., E.D. Mo.,
| | #84-0037-C(1) -- NOTIFIED INVOLVED JUDGES AND COUNSEL (cds)
84/03/46 32-—+ NOPICE- OF OPPOSE...__no El Ca ER
BY /03/16 | 32 NOTICE OF OPPOSITION == BrSii-fames-§=-Rudotphs-et-at<-r--emh
Kidder, Peabody & Co., et al., S.D.Ohio, C-1-84~0084 -- filed
| by deft. Peat, Marwick, Mitchell & Co. (emh) *
BL /03/19 (CONDITIONAL TRANSFER ORDERS FINAL TODAY -- B-51 Quinn, et al.
- iv. Merrill Lynch, Pierce, Fenner & Smith, Inc., et al.,
D.Colo., 83-JM-2450; B-52 Denison, et al. v. Merrill Lynch,
Pierce, Fenner & Smith, Inc., et al., M.D.Fla., 84-0064;: B-53 Cavalier, et al. v. Prudential Bache Securities, Inc.,
et al., D.Minn., 4-84-11; and B-55 Shipman, et al. v. Nat'l
: Investors Life Insurance Co., et al., W.D.Wash., C83-1767-C
j== NOTIFIED involved clerks and judges. (emh)
:
| |

TPMI, FORM 1A : Co % A
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. JUDICIAL PANEL ON MUL IDISTRICT LITIGATION
DOGCEET MO. 94 SN
84/03/23 | | CONDITIONAL TRANSFER ORDERS FINAL TODAY =-- B-56 Kissel, Jr.
v. Parker/Hunter Inc., W.D.Pa., 84-38; B-57 Woods v. W.H.
| Newbold's Sons & Co., Inc., E.D.Pa., 84-0161; B-58 Jones v.
| E.F. Hutton Co., Inc., W.D.Ark., 84-1002; B-59 Miller v.
Boenning & Scattergood, Ine., W.D.Pa., 83-3259; B-60 Lowry,
et al. v. Univ. Life Insurance Co. of America, et al.,
D.N.J., 83-4707 -- NOTIFIED involved clerks and judges.
(emh)
84/03/27 33 NOTICE OF OPPOSITION TO CONDITIONAL TRANSFER ORDER (E-61)
qackle fl. Dest v. Jack T. Dowell, et al., N.D. Miss., C.A.
84/03/29 PHANSFER ONDER -= tohdferiins	5-6 TOY Larfondf Seager	ds)i Lynch Pierce Fenner & Smith, Inc., et al., N.D. Cal.,
| #C83-5894-MHP -- NOTIFIED INVOLVED JUDGES, CLERKS AND COUNSEL
(cds)
34/03/30 CONDITIONAL TRANSFER ORDERS FILED TODAY -- B-63 Thru R-f5
listed below. -- Notified involved counsel and indees (rh)
| B-63 Morton D, Cohen, et al. v. Piper D.Minn.| CV-3-84-103
| | Jaffray and Hopwood, Incorporated, et | Renneral. .
B-64 William B. Messinger, et al. v. D.Idaho| CIV-84-1089
E.F. Hutton &-Company, Inc., et al. McNichojls
| B-65 | Donald Van Bramer, et al. v. Merrill | N.D.ILL{.84C-1994
| Lynch Pierce Fenner & Smith, Inc. Decker
84/03/30! 3h MOTION/MEMORANDUM TO VACATE CTO -- B-54 Rudolph, et al. v.
| Kidder, Peabody & Co., et al., S.D.Ohio, C-1-84-0084 -- Deft.
| Peat, Marwick, Mitchell & Co. -- w/cert. of sve. (emh)84/04/02 | 35 MOTION/BRIEF TO VACATE CTO =-- B-61 Best v. Jack T. Dowell, et
al., N.D.Miss., DC8U4-4-WK-P -- pltf. Jackie M. Best --
| w/cert. of sve. (emh)
84/04/03 | CONDITIONAL TRANSFER ORDER FINAL TODAY -- B-62 Ernst v.
| Shearson/American Express, Inc., E.D. Missouri, 84-0037-C(1)| -> NOTIFIED involved clerks and judges. (emh)
B4 0443 i Setti oppositions to ansfer of B-61/and| | B-54 fop“Panel heari in Washington, ®.C. on May 17, 84
7 | (cas)
4 J see NeXT
| vd T pAQE

SPN FORM 1A So Vat 7
} ’ DOCKET ENTRIES ’
JUDICIAL PANEL ON MULWIDISTRICT LITIGATION .
: —
soexer Neo IB -- LL |
i | ITI peshomies Se— a	Pe A EE SVP AA SSP speed
84/04/13 | 36 | RESPONSE -- defts. Prudential-Bache Securities, Inc.; E.F.	Hutton & Co., Inc.; E.F. Hutton Group, Inc.; E.F. Hutton
i Insurance, Inc.; Paul Hines; Smith Barney Harris Upham
i Incorp.; SBHU Life Agency, Inc.; Merrill Lynch, Plerce,
’ Fenner & Smith, Inc.; Merrill Lynch & Co., Inc.; Merrill
: Lynch Life Agency, Inc.; ML Life Agency, Inc.; Roger E. Birk;
Dakin B. Ferris; W.A. Schreyer; Randy Weber; William B.
| Schumacher; Kidder Peabody & Co., Inc.; Kidder Peabody
| Insurance Agency, Inc.; Shearson/American Express, Inc. and
~ | Robinson Humpnrey Co., Inc. w/cert. of svc. (ds)
84/04/13 | HEARING ORDER -- Setting oppositions to transfer of B-61 andPo B-54 for Panel hearing in Washington, D.C. on May 17, 1984
(cds)
|
84/0L/16 | CONDITIONAL TRANSFER ORDERS FINAL TODAY -- B-63 thru B-64listed below. Notified involved clerks and judges. (ds)
| B-63 Cohen, et al. v. Piper Jaffray and Hopwood, Inc.,et al., D. Minn., CV3-84-103
B-64 Messinger, et al. v. E.F. Hutton & Co., Inc., et al.,
| D. Idaho, Civ 84-1089	B-65 Donald Van Bramer, et al. ve. Merrill Lynch Plerce
Fenner & Smith, Inc., N.D.Ill., 84-C-1994
84/04/17 | 37 NOTICE OF OPPOSITION -- B-63 Cohen, et al. v. Piper Jaffray
| and Hopwood, Inc., et al., D.Minn., CV-3-84-103 -- deft's.
| Piper, Jaffray & Hopwood Inc.
84/04/17 | 38. | RESPONSE (to pldg. 35) =-- Prudential-Bache Securities, Inc.| and Jack T. Dowell -- w/cert. of service (eds) trae Co	BEER LIE A
84 /OL/1T | : CONDITIONAL TRANSFER ORDER FILED TODAY =-- B-66 Dawid D.
: | Tlgenfritz, et al. v. Merrill Lynch, Pierce, .Fenneni& Smith,; ""Inec., et al., N.D. Ind., H8L4-185 -- NOTIFIED ‘INVOLVED JUDGES
| AND COUNSEL (eds) IAAT
84/04/20] 39 | NOTICE OF OPPOSITION -- B-64 Messinger v. E. B:'Hutton, D.| Idaho, 84-1089 -- plaintiff Messinger -- Foo amene
] | B-63 (Cohen) and B-64 (Messinger) stays	wes lifted on 4/16/84
; | and orders transmitted to the Southern District of New York
oo | for filing and distribution pursuant to 28 U.S.C. §1bOT7.i | Notice of Opposition for B-63 was received on’ 4/17/8L.
i Telephone notification of Notice of Opposition for BR-64 was
I. received on April 18, 1984, For both cases the Southern
| ! District of New York was instructed not to process the
: | conditional orders in accordance with the instructions
: I- contained in the conditional orders transmitted	on L/16/84
: but to return the conditional orders to the JPML in order: oo o-po ns could be pursued.

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* DOCKET ENTRIES :
’ JUDICIAL PANEL On SMULTLDISTRICT LITIGATION
POCKET NO. 54/ TT ———
84/04/24 | | CONDITIONAL TRANSFER ORDER FILED TODAY - B-67 Melvin E.
Lo | Morace v. A.G. Edwards & Sons, Inc., D. Kansas, C.A. No.
| | BH-1147. Notified involved judge, and Counsel (rh)|
8/0/30 1 - 5 - — + RESPONSE ~~ National Bonding & Accident Insurance Coo w/certe ==
{of sve and Exirtotts A thru De - (ds)
! |
84/04/30 bo | ADDITIONAL RESPONSE =-- pltf. Jackie M. Best w/cert. of sve.
i (ds)
84/05/03 | coNDITIONAL TRANSFER ORDER FINAL TODAY -- B-66 David D.
i ‘Ilgenfritz, et al. v. Merrill Lynch, Pierce, Fenner & Smith,
; ‘Inc., et al., N.D. Indlana, C.A. No. H-84-185. Notified
iinvolved clerks and judges. (ds)
84/05/03 41 MOTION /MEMORANDUM TO VACATE CTO -- B-63 Morton Cohen, et al.iv. Piper Jaffray and Hopwood, Inc., et al., D. Minn., C.A.
; No. CV-3-84-~103 filed	by deft. Piper, Jaffray & Hopwood, Inc.
| w/affidavit and cert. of sve. (ds)
84/05/04 | 42 | MOTION /BRIEF TO VACATE CTO -- B-64 Messinger, etal. v. E.F.
} : Hutton & Co., Inc., et al., D. Idaho, C.A. No. 84-1089 --
Tiled by pltf. William B. Messinger, et al. w/cert. of sve.
| ds84/05/10 | ! CONDITIONAL TRANSFER ORDER FINAL TODAY -- B-67 Melvin E.
: Morace v. A.G. Edwards & Sons, Inc., D. Kansas, C.A. No.
| 84-1147 -- NOTIFIED INVOLVED JUDGES AND CLERKS (cds)
84/05/11 ° , CONDITIONAL TRANSFER ORDERS FILED TODAY -- B-68 Burstein v.
| Prudential-Bache Securities, Inc., E.D. Pa., 84-1885; B-69
| RomJue v. Prudential-Bache Securities, Inc., et al., S.D.
: ! Indiana, IP-84-685C; and B-70 Howard v. Bache, Halsey,
| Stuart, Shields, Inc., D. N.J., 84-1612 -- NOTIFIED counsel
land judges. (emh)
84/05/11 | 43 | RESPONSE (to pldg. 41) -- Morton D. and Ethel Cohen --
lw/cert. of service (cds)
QA OE LL 1 _—— dua Ivwr_orn_gRahk -ARGY
84/05/11 WAIVER OF ORAL ARGUMENT -- Prudential-Bache Securities, Inc. (ds)
84/05/14 { APPEARANCE: JAMES D. MORTON, ESQ. for Parker/Hunter Inc. (cds)

JPMI, FORM 17 . p. 11
: Cer TTR TES
REVERE Bo : Cook LITIGATION
sori no. 581 ee OS
Tao bo a ERNIE TT	LD LON
‘84/05/16 HEARING APPEARANCES -- David S. Cupps, Esq. for Peat, Marwick,
Mitchell & Co.; LLoyd S. Clareman, Esq. for Shearson/American
Express, Inc.; Richard E. Carlton, Esq. for Kidder, Peabody
. & Co., Inc. and Kidder Peabody Insurance Agency, Inc.;
© James B. Weidner, Esq. for Merrill Lynch & Co., Inc., Merrill
: ' hyaLynch, Pierce, Fenner & Smith, Inc., Merrill Lynch Life
Agency, Inc., ML Life Agency, In., Roger E. Birk, Dakin B.
© Ferris, W.A. Schreyer, Randy Weber, William Schumacher, Chet
Westergard, Oppenheimer & Co. & Oppenheimer Texas Agency, Inc. ;
84/05/16 WAIVERS OR ORAL ARGUMENT -- Paine, Webber, Jackson & Curtis (ds)
; Inc.; Prudential Bache Securities, Inc.; E.F. Hutton & Co., Inc.,
E.F. Group, Inc., E.F. Hutton Insurance, Inc., Smith Barney,
Harris Upham & Co., Inc. and SBHU Life Agency; Janney Montgomery
Scott, Inc.; A.G. Edwards & Sons, Inc.; Jackie M. Best;
: : Thomson McKinnon Securities, Inc.; (ds)
84/05/17 -' APPEARANCE: William M. Shields, Esq. for Boenning & Scattergood,
‘ Inc. (cds)
84/05/17 44 NOTICE OF OPPOSITION TO CTO -- B-67 Melving E. Morace v. A.G.
Edwards & Sons, Inc., D. Kansas, C.A. No. 84-1147 -- w/letter
of May 14, 1984 asking Panel to accept this opposition
i w/cert. of sve. (ds)
84/05/18 45 MEMORANDUM -- E.F.Hutton & Co., Inc. and William Clifford
| w/cert. of sve. (ds)
84/05/21 46 MOTION TO VACATE CONDITIONAL TRANSFER ORDER (B-67) -- w/cert.
of service —(cds) filed by Melvin E. Morace (cds)
84/05/24 47 REPLY -- Piper, Jaffray & Hopwood Inc. -- w/cert. of service
: ‘ (eds)
84/05/29 {CONDITIONAL TRANSFER ORDERS FILED TODAY -- B-73 Susan L.
Cyrus, et al. v. Prudential-Bache Securities, Inc., et al.,
S.D. Indiana, C.A. No. IP84-8U5C; B-74 Catherine L. Emmitt,
et al. v. Prudential-Bache Securities, Inc., et al., S.D.
‘Indiana, C.A. No. IP84-808C; B-75 William P. McPartland v.
E.F. Hutton & Co., Inc., N.D. Texas, C.A. No. CA3-84-06T4-F.
Notified involved counsel and judge. (rh)
84/05/29 4y LETTER REQUESTING TRANSFER OF TWO TAG-ALONG ACTIONS (Harry
Moran, et al. v. Merrill Lynch, Pierce, Fenner & Smith, Inc.,
et al., M.D. Fla., 84-723-Civ-T-15 and Phillip J. Plummer, et
al. v. Merrill Lynch, Pierce, Fenner & Smith, Inc., et al.,
S.D. Ind., IP84-859-C) -- signed by James Weldner, counsel
for Merrill Lynch & Co., Inc., et al. -- w/cert. of service
and complaints (cds)
| | )

| SO
JPML FORM 1A : oo }
DOCKET ENTRIES :
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
SOUR NO. ee
84/05/30 | CONDITIONAL TRANSFER ORDERS FINAL TODAY -- B-68 Burstein v.Prudential-Bache Securities, Inc., E.D. Pa., 84-1885; B-69
| Romjue v. Prudential-Bache Securities, Inc., et al., S.D.
| Indiana, IP-84-685C; and B-70 Howard v. Bache, Halsey,
Stuart, Shields, Inc., D. N.J., 84-1612 -- NOTIFIED INVOLVED
| ! JUDGES AND CLERKS (eds)!
84/06/01 | 49 | RESPONSE (to pldg. 46) Re: B-67 -- A.G. Edwards & Sons, Inc.
-- w/cert. of svc. (emh)
84/06/14 | CONDITIONAL TRANSFER ORDERS FINAL TODAY ~-- B-73 thru B-75
listed below. Notified involved clerks and judges. (ds)
| B-73 [Susan L. Cyrus, et al. v. Prudential- |S.D.Ind.] 1P84-845C : |
| Bache Securities, Inc., et al. Steckley _
| B-74 Catherine L. Emmitt, et al. wv. S.D.Ind. 1pB4-808C	Prudential-Bache Securities, Inc., Steckley -
| I let al. .
| B-75 William P. McPartland v. E.F. Hutton N.D.Tex. CA3-84-0674-F
| ! & Co., Inc. Porter
84/06/15 | APPEARANCE -- HARVEY D. MYERSON, ESQ. for Shearson Lehman/
i American Express, Inc. and Robinson Humphrey/American Express,
| Inc. Ids)1
|
84/06/22 | 50 NOTICE OF RELATED ACTION (Pemberton H. Shober, Jr. v. Merrill
| Lynch & Co., Inc., et al., N.D. Illinois, C.A. No. 84-C-5096
| -- filef by Merrill Lynch & Co., Inc. -- w/cert. of sve.
| (emh)
|
84/06/26 HEARING ORDER -- Setting oppositions to transfer of B-63,
| | B-64 and B-67 for Panel hearing in Boston, Massachusetts
on July 26, 1984 (emh)
gL4/06/2b CONDITIONAL TRANSFER ORDERS FILED TODAY -- B-T76 Phillip J.
| Plummer, et al. v. Merrill Lynch Pierce Fenner & Smith, Inc.,
: | et al., S.D. Indiana, C.A. No. IP-84-859C; B-77 William H.
| Ross, et al. v. Prudential-Bache Securities, Inc., et al.,
S.D., Indiana, C.A. No. IP-84-887C; B-78 Joe D. Richardson,
et al. v. E.F. Hutton & Company, Inc., E.D. Missouri, C.A.
| No. 84-1232-C(5). Notified involved judge and counsel (rh)
s
i .

SDMI, FORM 1A . 6 J
: DOCKET ENTRIES
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
SORBET NGsg)-— In re Baldwin-UnitedCorporationLitigation =.
LT IIIT mT nil— mreI III TI I ITT III I ITIL IAT
essa Lawe BiReto}	had os Plfeading Description iS poSeppd
|
i .
84/07/02 i CONDITIONAL TRANSFER ORDERS FILED TODAY -- B-79 E. Herbert
Reynolds v. Robinson-Humphrey Company, Inc., et al., S.D.
| Ala., C.A. No. CV-84-0685C; B-80 Pemberton H. Shober, Jr. v.
: Merrill Lynch & Co., Inc., et al., N.D. Illinois, C.A. No.
{ | 84-C-5096 and B-81 Kathleen A. Dickinson, et al. v. A.G.
Edwards & Sons, Inc., et al., C.A. No. D. Minnesota, C.A. No.
| 484-CIV-523. Notified involved judges and counsle. (rh)
84/07/05 | 51 LETTER (re potential tag-along action Garner & Springborn v
| J.C. Bradford, M.D. Tenn., #3-84-0445) -- Liaison Counsel
| | Lawrence Milberg on behalf of Plaintiffs Steering Committee
| | (cds)|
84/07/12 CONDITIONAL TRANSFER ORDERS FINAL TODAY -- B-76 Plummer, et
al. v. Merrill Lynch Pierce Fenner & Smith, Inc., S.D. Ind.,
! C.A. No. IP-84-859C; B-77 Ross, et al. v. Prudential Bache
Securities Inc., et al., S.D. Ind., C.A. No. IP-84-887C; B-78
. Richardson, et al. v. E.F., Hutton & Co., Inc., E.D. Mo., C.A.
| No. 84-1232-C. Notified involved clerks and judges. (ds)
84/07/18 | CONDITIONAL TRANSFER ORDERS FINAL TODAY -- B-79 Reynolds Vv.
Robinson-Humphrey Co., Inc., S.D. Ala., C.A. No. CV-84-0685C;
| B-80 Shober, Jr. v. Merrill Lynch & Co., Inc., et al., N.D.I11., C.A. No. 84-C-5096; B-81 Dickinson, et al. v. A.G.
| Edwards & Sons, Inc., et al., D. Minn., C.A. No.
4-84-Civ-523. Notified involved clerks and judges. (ds)
84/07/24 | HEARING APPEARANCES: ROBERT L. SCHNELL, JR., ESQ. for Piper,
| Jaffray & Hopwood Incorporated; LAWRENCE MILBERG, ESQ. for
| | Morton	D., Cohen & Ethel Cohen; WALTER	C. WILLIAMSON, ESQ. for| Melvin A, Morace; SUSAN BENNETT GREEN, ESQ. for A.G. Edwards & Sons	Inc. . oo .
) | WAIVERS OF ORAL ARGUMENT: E.F. Hutton & Co., Inc; William Clifford
| Janney Montgomery Scott Inc., et al.; W.H. Newbold's Sons & Co.,! { Inc.; Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner &
| Smith, Inc.,: Merrill Lynch Life Agnecy, Inc.,; ML Life Agency
: Inc.,; Roger E. Birk; Dakin B. Ferris; W.A. Schreyer; Randy
| Weber; william S. Schumacher; Chet Westergard; Oppenheimer & Co.,
: | Inc. and Oppenheimer Texas Agency; Paine Webber Jackson & Curtis: Inc.; Shearson Lehman/American Express, Inc.; Planco, Inc.;
: i Thomson McKinnon Securities Inc.; Prudential Bache Securities Inc.
| (rh)
|: |
|

JPML FORM 15 . pula,
IOCKET ENTRIES :
n JUDICIAL PANAL ON MULTIDIOTRICT LITIGATION
DOCKET NC. 581-- _ In re Baldwin United Corporation Litigation eee	me
84/07/26 . ORDER -- transferring B-54 Rudolph, et al. v. Kidder Peabody
| , & Co., et ai., 3.D.Ohio, C-1-84-0084; ORDER ALSO STATES that
i Claims in that action against Peat Marwick be Separated and
i Remanded to the S.D. Ohio -- Notified invoived clerks and
| | judges and counsel. (emh)	|
84/07/26 ‘ ORDER VACATING CTO -- BR-61 Best v. Jack T. Dowell, et ai.,
| N.D.Miss., DC8U-L-WK-P -- Notified involved clerks and judges; | and counsel. (emh)
| |
84/08/01 CONDITIONAL TRANSFER ORDERS FILED TODAY -- B-82 Ed
! Springborn, et al. v. J.C. Bradford & Co., et al., M.D.
. Tenn., C.A. No. 3-84-0455 and B-83 William J. Hogan, et al.
A LV. Paine, Webber, Jackson & Curtis, Inc., et al., N.D. Ill.,
) : C.A. No. 84C-5583. Notified involved judge and counsel (rh)
84/08/06 | CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-88 Moran, et al.
|v. Merrill, Lynch, Pierce, Fenner & Smith, Inc., et al., M.D.'Ffa., C.A. No. 84-0723 and C-89 Dale Schroeder, et al. v. A.
.G. Edwards & Sons, Inec., E.D. Mo., C.A. No. 84-1648-C-2.
| |Notified involved counsel and judges. (ds);
84/08/08 52 | NOTICE OF POTENTIAL TAG-ALONG ACTION -- Johanna F. Patterson
v. Merrill Lynch & Co., et al., W.D. Tenn., 84-26036A --
| signed by Finley T.R. Harckham for Merrill Lynch & Co., Inc.,
| et al. -- w/Complaint and cert. of svc. (emh)	i i :	
! |
84/08/10 . TRANSFER ORDER -- transferring B-63 Cohen, et al. v. Piper,
: Jaffray & Hopwood, Inc., et al., D. Minn., CV-3-84-103; B-64
: i- Messinger, et al. v. E.F. Hutton & Co., Inc., et al., D.
; i Idaho, Civ-84-1089; and B-67 Morace v. A.G. Edwards & Sons,
i Inc., D. Kansas, 84-1147 -- NOTIFIED involved clerks, judges,
| and counsel (emh)
: J
84/08/13 | 53 NOTICE OF OPPOSITION -- B-82 Ed Springborn, et al. v. J.C.
: Bradford & Company, et al., M.D. Tennessee, C.A. No.
{ 3-88-0455 ~~ filed by deft. J.C. Bpadford & Company --
| Notified PASL & involved judges. CTW)
84/08/13 54 SUPPLEMENTAL BRIEF -- pltf. Melvin E. Morace -- w/cert. of
. service (cds)
| | |
|
: :

JPM, FORM ihe A. \s”
: DOCKET ENTRIES
JUDTCTAL PANEL ON ml JO TDITRICT LITIGATION
LOCKET NO<\-- _In.reBaldwin-lnited Corporation Litigation—— mmm
IY PARAbetiorFeHa Em I TL II I TI I I TT ee re eee
— 55 NOTICE OF OPPOSITION -- B-82 Ed Springborn, et al. v. J.C.| Bradford & Company, et al., M.D. Tennessee, C.A. No.
{| 3-88-0455 -- filed by pltf. Ed Springborn, et al. -- Notified
| | PASL & involved judges (rh)
84/08/16 | APPEARANCE: STEVEN G. SCHEMBER, ESQ. FOR Harry Moran, et al. (cds)
| |
84/08/16 | 56 NOTICE OF OPPOSITION -- C-88 Harry Moran, et al. v. Merrill
| Lynch, Pierce, & Smith, et al., M.D.Fla., 84-0723 -- pltf.
] | Harry Moran -- w/svc. (cds)
84/08/17 | CONDITIONAL TRANSFER ORDER FINAL TODAY -- B-83 William J.
| Hogan, et al. v. Paine, Webber, Jackson & Curtis, Inc., et
‘'al., N.D. Illinois, C.A. No. 84C-5583 -- NOTIFIED INVOLVED
| JUDGES AND CLERKS (cds)
|
84/08/17 CONDITIONAL TRANSFER ORDER FILED TODAY -- Tony H. Hughey, et
: i al. v. Jack Dowell, et al., W.D.Tenn., 84-2574-HB -- NOTIFIED
| INVOLVED JUDGES AND COUNSEL (cds)
84/08/21 57 | LETTER -- signed by Robert L. Schnell, Jr. counsel for Piper,| Jaffray & Hopwood, Inc. -- w/service (cds)
84/08/22! © CONDITIONAL TRANSFER ORDER FINAL TODAY -- C-89 Dale
| Schroeder, et al. v. A.G. Edwards & Sons, Inc., E.D.| Missouri, C.A. No. 84-1648-C-2 -- Notified involved clerks
; | and judges (rh)
84/08/22; 58 NOTICE OF POTENTIAL TAG-ALONG ACTION -- Seymour H. Mandell,
i et al. v. Merrill Lynch Pierce Fenner & Smith Inc., et al.,
| E.D. Mich., C.A. No. 84-CV-3891 D.T. -- signed by Daniel R.
| Waltcher for Merrill Lynch & Co., Inc., et al. -- w/Complaint .| and cert. of sve. (rh)
i ]
BU/08/27 59 IMOTION/BRIEF TO VACATE CTO -- B-82 Ed Springborn, et al. v.
J.C. Bradford & Co., et al., M.D. Terin., C.A. No. 3-84-0455
-- filed by defts. J.C. Bradford & Co. w/cert. of sve. (ds)
| | : “
: i . “
! | “
| | - | CST a

JPML FORM 1A . * Je - | ® )
DOCKET ENTRIES :
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
SCOKET NO. 581 —-- In re Baldwin-United Corporation Litigation ee
a Se a = rp	rhe Hr
84/08/31! | CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-91 Roland A. :
: | Kline, et al. v. E.F. Hutton & Co., Inc., et al., S.D.
California, C.A. No. 84-1538-JLI(CM); C-92 Kermit W. Studer,
| et al. v. Piper & Jaffray & Hopwood, Inc., et al., N.D. Iowa,
| C.A. No. 2C84-3060 Notified involved counsel and judge (rh)
84/09/04 60 | MOTION/BRIEF TO VACATE CTO -- B-82 Ed Springborn, et ai. v.
J.C. Bradford & Co., et al., M.D. Tenn., C.A. No. 3-84-0455
-- filed by pitf. Ed Springborn, et al. w/cert. of sve. (rh)
| - -
84/09/04 | 61 MOTION/BRIEF TO VACATE CTO -- C-88 Henry E. Moran, et_al. v.
: Merrill Lynch, Pierce, Fenner & Smith, Inc., et al., M.D.
| Florida, C.A. No. 84-0723 -- filed by pltfs. Henry E. Moran,
| et al. w/cert. of svc. (rh)
|
84/09/05 | CONDITIONAL TRANSFER ORDER FINAL TODAY -- C-90 Tony H.Hughey, et al. v. Jack Dowell, et al., W.D. Tenn., 84-25T74-HR
-- NOTIFIED involved clerks and judges. (rh)
D9/10 oof NOTICE OF OPPOSITION -- C-91 Roland A. Klime, et al/ v. E.F.: | w Hut on & Co., Inc., et al., S.D. California, C.A. No. .
i B84A1538-JLI(CM) =--'filed by pltf. Roland A. Kline ~- Notified
| 1irvlolved PASL and judge (rh)
||
B4/09/10 | 62 NOTICE OF OPPOSITION -- C-91 Roland A. Kline, et al. v. E.F.
Hutton & Co., Inc., et al., S.D. California, C.A. No.
84-1538-JLI(CM) -- filed by pltf. Roland A. Kline -- Notified
| involved PASL and judge (rh)
84/09/12 | CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-93 Patterson v.
{ Merrill Lynch & Co., et ai., W.D.Tenn., #84-2603CA; C-94
| | Feinstein, M.D. v. A.G. Edwards & Sons, Inc., W.D.Tenn.,
| 84-2600-H/A; C-95 Mandell, et ali. v. Merrill Lynch, Pierce,| Fenner & Smith, et al., E.D.Mich., 84CV389iDT ~-- NOTIFIED
INVOLVED JUDGES AND COUNSEL (cds)
| ~
H AN N
| \ NN ~| \ \ N
N\ AN: H \, \,
‘ | \ *,
: | N N
| ' \ \ -
|
|

JPML FORM 1a * . J. |]
‘ DOCKET ENTRIES
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
SOCKET vo. | ee
84/09/14 | 63 |MOTION/BRIEF TO VACATE CTO -- (re pldg. #61) C-88 Henry E.
a Moran, et al. v. Merrill Lynch, Pierce, Fenner & Smith, Inc.,
jet al., M.D. Fiorida, C.A. No. 84-0723 -- filed by Deft.
|Merrill Lynch, Pierce, Fenner & Smith, Inc., et al. w/cert.
| jof sve. (rh) :
i i
84/09/18 | ! CONDITIONAL TRANSFER ORDER FINAL TODAY --C-92 Kermit Ww.
! | Studer, et al. v. Piper Jaffray & Hopwood, Inc., et ali., N.D.
Iowa, C.A. No. 2084-3060 -- Notified involved Judge and clerk
| (rh)
:
84/09/18 64 | RESPONSE (to Pidg. #60) -- filed by Liaison Counsel for pltf.
i Steering Committee -- w/cert. of svc. (rh)
84/09/21 : HEARING ORDER -- B-82 Ed Springborn; C-88 Harry Moran; C-91 Roland
A. Kline, hearing in Galveston, Texas on Oct. 23, 1984 (rh)
i ii
84/09/25 | 65 woron, BRIEF TO VACATE CTO -- C-91 Roland A. Kline, et al.| | Vv. E.F., Hutton & Co., Inc., et al., S.D. Cal., C.A. No.
| : 84-1538-JLI(CM) -- filed by pltf. Roland A. Kline w/cert. of
| sve. (rh)
|
84/09/26 66 | NOTICE OF OPPOSITION -- C-95 Seymour H. Mandell, et al. v.
Merrill Lynch, Pierce, Fenner & Smith, Inc., et ali., E.D.
: ! Michigan, C.A. No. 84CV3891-DT -- filed by pltf. Seymour H. -
| Mandell (rh) i
:
84/09/28 | | CONDITIONAL TRANSFER ORDERS FINAL TODAY -- C-93 Johanna ¥F.
: . Patterson v. Merrill Lynch & Co., et al., Ww.D. Tenn., C.A.
{ No. 84-2603GA; C-94 Harold Feinstein, M.D. v. A.G. Edwards &
| Sons, Inc., W.D. Tenn., C.A. No. 84-2600-H/A -- Notified
| | involved Judge and clerk (rh)
: - C- Merrill
84/09/28 67 | NOTICE OF OPPOSITION C-93 Johanna F. Patterson v.
' Lynch & Co., et al., W.D. Tenn., C.A. No. 84-2603GA -- filed
by pltf. Johanna F. Patterson (rh)
|
du/10/02 AMENDMENT TO HEARING ORDER AND ATTACHED SCHEDULE FILED ON
SEPTEMBER 21, 1984 -- B-82 Springborn, et al. v. J.C.
. . Bradford & Co., M.D.Tenn., 3-84-0455 (emh)
84/10/02 68 | NOTICE OF POTENTIAL TAG-ALONG ACTION -- Mary A. Burns v.
Merrill Lynch, Pierce, Fenner & Smith, Inc., et al. -- filed
"by Merrill Lynch & Co., Inc. (emh)

oe / 7 )
JPML FORM 1A . RP SP
DOCKET ENTRIES :
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 581 ~~ _In re Baldwin-United Corporation Litigation — oo. .
84/10/04 CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-96 Raymond E.
Townsend v. John G. Scott, et al., M.D. North Carolina, C.A.
No. C-84-870-G; C-97 Juan R. Santarriaga v. Kidder, Peabody &
Co., Inc., S.D. Texas, C.A. No. H-8U4-3440 -- Notified
involved counsel and Judge (rh)
| |
64/10/09 | 69 | MEMORANDUM (to pldg. 65 re: C-91) -- defts. E.F. Hutton &
i Co., Inc. and Timothy Jobe w/cert. of sve. (ds)
|
&4/10/11 | 70 MOTION TO VACATE CTO -- C-95 Seymour H. Mandell, et al. v.Merrill Lynch, Pierce, Fenner & Smith, Inc., et al. -- Pitf.
: Mandeli, et al. -- w/cert. of sve. (emh)
|
84/10/16! 71 PLAINTIFFS' WITHDRAWL OF OPPOSITION TO TRANSFER AND.
PLAINTIFFS' MOTION TO TRANSFER (pldg. #55) =-- w/cert. of svc.
| (rh)
84/10/18 | ORDER LIFTING STAY OF CONDITIONAL TRANSFER ORDER -- C-93
Johana F. Patterson v. Merrill Lynch & Company, W.D.
Tennessee, C.A. No. 84-2603GA. Notified involved judge and
clerk (rh)
84/10/19 | HEARING APPEARANCES:MICHAEL E. TERRY, ESQ. for Ed Springborn,
| et al.; AMES DAVIS, ESQ. for J.C. Bradform & Co.; DAVID J.BERSHAD, ESQ. for plaintiffs steering committee; STEVEN G.
: SCHEMBER, ESQ. for Harry Moran, et al.; JAMES B. WEIDNER, ESQ.
j for Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Esq.
| for Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch
| Life Agency, Inc. and David R. Bishop (cds)
84/10/19 WAIVERS OF ORAL ARGUMENT: Paine Webber, Inc., Paine Webber Group,
| Inc. and PWJC Ins. Sales, Inc.; Seymour H. Mandell and MarleneMandell; Kidder Peabody & Co., Inc., Kidder Peabody Ins. Agency,
! Inc.; E.F. Hutton & Co., Inc. and Timothy Jobe; W.H. Newbold's
Son & Co., Inc. ; Shearson Lehman/American Express, Inc. and
| Robinson Humphrey/American Express, Inc.; Peat Marwick, Mitchell
| & Co.; Planco, Inc.; Thomson McKinnon Securities, Inc.; Janney
Montgomery Scott Inc.; Parker/Hunter, Inc. (cds)
. : {
-| i

t i / ; /
SPM. FORM 1A v ;
. DOCKET ENTRIES
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
;LET NO<A— - _ ee, . psAncmisBmSr8mm	A
EERET shiva	por sd1UIA
84/10/19 | CONDITIONAL TRANSFER ORDER FILED TODAY -- C-98 Allan MeSwain
v. Merrill Lynch Pierce Fenner & Smith, Inc., et al., E.D.
Kentucky, C.A. No. 84-34, Notified involved counsel and
judge (rh)
BU4/10/22 ! CONDITIONAL TRANSFER ORDERS FINAL TDOAY -- C-96 Townsend Vv.
i John G. Scott, et al., M.D. N.C., C-84-870-G; C-97
! Santarriaga v. Kidder, Peabody & Co., Inc.., S.D. Tex.,
| H-84-3440 -- NOTIFIED involved clerks and judges. (emh)
B4/10/23 T1A WITHDRAWAL OF NOTICE OF OPPOSITION -- pltf. C-88 Harry Moran
| w/cert. of sve. (rh)
B4/10/23 ORDER LIFTING STAY OF CTO AND VACATING HEARING -- C-88 Harry
: oran, et al. v. Merrill, Lynch, Pierce, Fenner & Smith,
i Inc., et al., M.D. Florida, C.A. No. 84-0723 -- Notified
involved counsel, judge and clerk (rh)
BU4/10/24 ~ WAIVER OF ORAL ARGUMENT: Prudential-Bache Securities, Inc.1 , (emh) Ly hee PRTC 3
84/10/25 | ONDITIONAL TRANSFER ORDER FILED TODAY -- C-99 Mary Ann Burns. Merrill Lynch, Pierce, Fenner & Smith, Inc., et al., W.D.
: issouri, C.A. No. 84-1023-CV-W-3. Notified involved counsel
| nd judge (rh)
84/10/26 | 72 | RESPONSE/MEMORANDUM (to pldg. 70) -- Defts. Merrill Lynch,Pierce, Fenner & Smith, Inc. and Merrill Lynch Life. Agency,
Inc. -- w/Exhibits and cert. of sve. (emh) Ces|
8h/i1/02 | TRANSFER ORDER -- transferring B-82 Springborn, -et-al. v. .{J.C. Bradford & Co., et ai., M.D.Tenn., #3-84-0455 and C-91h Kiine, et al. v. E.F. Hutton & Co., et ai., S.D.Cail.,
#84-1528-JLI(CHM) -- NOTIFIED INVOLVED JUDGES, .CLERKS. AND
COUNSE (cds) g
| «
: |
| SN|
Po
a.

. Ne .
REE 2] > ye . .
84/11/05 CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-100 Ann Disser
(Jones) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., W.D.
North Carolina, C.A. No. A-C-84-358; C-101 Drs. Teague and
McCartney & Assoc., Inc., et al. v. E.F. Hutton Group, et
al., S.D. Indiana, C.A. No. IP84-1386C; C-102 Richard A.
Pelto, et al. v. Smith Barney, Harris, Upham & Co., Inc., et
al., W.D. Wash., C.A. No. 84-1419R. Notified involved
counsel and judges (rh)
84/11/06 CONDITIONAL TRANSFER ORDER FINAL TODAY -- C-98 McSwain v.
Merrill Lynch Fenner & Smith, Inc., et al., W.D. Missouri,
C.A. No. 84-34, Notified involved clerks and judges. (ds)
84/11/13 CONDITIONAL TRANSFER ORDER FINAL TODAY -- C-99 Mary Ann Burns
v. Merrill Lynch, Pierce, Fenner & Smith, Inc., et al., W.D.
Missouri, C.A. No. 84-1023-CV-W-3. Notified involved clerks
and judges. (ds)
BL/11/21 CONDITIONAL TRANSFER ORDERS FINAL TODAY -- C-100 and C-101
listed below. Notified involved clerks and judges. (ds)
- C-100 Ann Disser (Jones) v. Merrill Lynch, |W.D.N.C A-C-84-358eg Pierce, Fenner & Smith, Inc. : Jones
Cc-101 | Drs.TeagueandMcCartney& Assoc., s.D.Ind] IP84-1386C. Inc., et al, v., E.F, Hutton Group, Noland
+ et al. : —
84/11/21 73 NOTICE OF OPPOSITION =-- C-102 Richard A. Pelto, et al. v.
Smith, Barney, Harris, Upham & Co., Inc., et al., W.D. Wash.,
C.A. No. 84-1419R. -- filed by plitfs. Richard A. Pelto, et
9%. w/esrs, of sve. Notified involved counsel and judges. }	ds
84/11/26 74 ‘NOTICE OF POTENTIAL TAG-ALONG ACTION -- John C. Diffenderfer
v. E.F. Hutton, et al., D. Nevada, C.A. No. CV-LV-84-703~RDF
~~ Filed by Merrill Lynch & Co., Inc., Merrill Lynch, Pierce,
Fenner & Smith, Inc., Roger E. Birk, Daken B. Ferris, W.A.
Schreyer, Randy Weber, William S. Schumacher, Chet
Westergard, Russell E. Werner, Oppenheimer & Co., Inc. and
Oppenheimer Texas Agency w/sve. (ds)
ANY .
NU AN te -

Yan . >
84/12/03 CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-1(3 thru C-106
listed below. Notified involved counsel and judges (rh)
c-103 Marietta Bryant v. E.F., H © -
Company, Inc. Y utton & orn: - 84-3106
c-104 Leonard A. Kiernan, Jr. v. Merrill D.R.I. | 84-0580
Lynch, Pierce, Fenner & Smith, Inc,, |Pettine
: et al, . . .
-105% Company. soender for v. E.F, Hutton & |D.Nev. | €V-Lv-84-I. - lY » ey © al, . Foley 703=-RDF
C-106~ | Barbara Spiegelman v. Prudential	: Lo . - D.N.J. | 84-0893
Bache Securities, Inc. Swi
4/12/13 75 NOTICE OF OPPOSITION -- C-104 Leonard A. Kiernan, Jr. v.
Merrill Lynch, Pierce, Fenner & Smith, Inc., et al., -D. Rhode
Island, C.A. No. 84-0580 -- filed by pitf. Leonard A.
Kiernan, Jr. Notified involved counsel and judges. (ds)
84/12/14 HEARING ORDER -- Setting motion for transfer of C~95, C-102 for
Panel Hearing in New Orleans, Louisiana on January 24, 1985 (rh)
BY4/12/19 | CONDITIONAL TRANSFER ORDERS FINAL TODAY -- C-103, C-105 and
Lr C-106 1isted below. Notified involved clerks and iudeges.
Hie (ds) o_y03 | Marietta Bryant v. E.F. Hutton & p.D.C. | 84-3106
} Company, Inc, Green }
€-105%" Jon C. Diffenderfer v. E.F. Hutton & ([D.Nev.: CV-LV-84="
. _ Company, Inc., et al.. Foley 703-RDF
. c-106= | Barbara Spiegelman v. Prudential- D.N.J. | 84-0893
Bache Securities, Inc. Gerry
8u/12/21 76 MOTION TO VACATE CONDITIONAL TRANSFER ORDER (C-102) Richard
A. Pelto, et al. v. Smith, Barney, HARRIS, Upham & Co., Inc.,
et al., W.D. Wash., #84-1419R -- platintiffs Pelto -- w/cert.
of service (cds)

p. 22 .
JPML FORM 1A SLE
DOCKET ENTRIES .
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NC. 581 -- In re Baldwin-United Corporation Litigation
FAIR hsSassi RE mn mere eT ean ee ee a a mE eeom. ea mm mr a
84/12/26 | 77 | MOTION TO VACATE CONDITIONAL TRANSFER ORDER (C-104 Leonard A.
| | Kiernan, Jr. v. Merrill Lynch, Pierce, Fenner & Smith, Inc.,	et al., D.R.I., #84-0580 -- pitf. Leonard A. Kiernar, Jr. --
| w/Brief and cert. of service (cds)	84/12/26 78 | MOTION TO MAKE FINAL THE CONDITIONAL TRANSFER ORDER (in C-102
| Pelto, et al. v. Smith, Barney, Harris, Upham & Co., Inc., et
al., W.D. Wash., #84-1419R) ~- Smith Barney, Harris Upham &
Co. =-- w/Brief, Schedule, Exhibits and cert. of service
(cds)
85/01/08 | 79 {RESPONSE -- (to pldg. # 77) Deft. Merrill Lynch, Pierce,| Fenner & Smith, Inc. and Deft. Merrill Lynch Life Agency,
Inc. w/cert. of sve. (rh)
| |
85/01/09 CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-107 thru C-111
| == listed below. Notified involved counsel and judge (rh)
! C-107 |sandra Watson, et al. v, E.F. Hutton |S.D.Ala{ 84-1267-C
: & Co., Inc., et al. Cox
c-108 Frank J. Jost, et al. v. Edward D. S.D.Fla] 84-6821-CIV-
! Jones, et al. Roettge NCR
| c~109 Sigmund Westerman, et al. v. . wu. ..-D.N.J. 84-5123APrudential Bache Securities, Inc., Ackerm
et al. .
c-110 Keith E. Bogost v. Prudential Bache D.N.J. 84-1710
Securities, Inc. . Brotman
| C-111 Marvin Smith, et al. v. Merrill- wW.D.0Okla. 84-2801
[ | Lynch, Pierce, Fenner & Smith, Inc., [Eubanks —
: et al. i
|
85/01/22 80 _— -- Pift. Leonard A. Kiernan, Jr. -- w/cert. of svc.| t (rh)
1
i N “
|
Ne
! | AN
| \
|
aN N: A EN -; - \,
: | N
|

Sp XORM 1a p. 23
: DOCKET ENTRIES .
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET MNO. 581 -- _In re Baldwin-United Corporation Litigation
8 ere he I LF eact A ——
85/01/22 | | WAIVERS OF ORAL ARGUMENT -- ALL WAIVED (cds)
{
J
85/01/25 CONDITIONAL TRANSFER ORDERS FINAL TODAY -- C-107 --C-111| listed below. Notified involved clerks and judges (rh)
| | c-107 [sandra Watson, et al. v. E.F. Hutton |S.D.Ala] 84-1267-Ci ; & Co., Inc., et al. “|cox
a : )
C-108 |Frank J. Jost, et al. v. Edward D. S.D.Fla] 84-6821-CIY-
Jones, et al. Roettge NCR
C~109 |Sigmund Westerman, et al. v. . u.- .2._D.N.J. 84-5123
Prudential Bache Securities, Inc., Ackerm
et al. .
| C-110 |Keith E. Bogost v. Prudential Bache |D.N.J. | 84-1710
| Securities, Inc, . Brotman
a. C-111 |Marvin Smith, et al. v. Merrill- W.D.Okla. 84-2801
| | Lynch, Pierce, Fenner & Smith, Inc., |Eubanks
| ! et al. J jE : oo. ~
! i
85/01/28 | 81 _ OF POINTS AND AUTHORITIES IN RESPONSE TO| { DEFENDANTS' MEMORANDUM ON MOTION TO REMAND -- P1tf. Richard
| A. Pelto, et al. -- w/cert. of sve. (rh)
| "ior	85/01/29| 82 NOTICE OF OPPOSITION -- E=58% Sandra Watson, et al. v. E.F.
Hutton & Co., Inc., et al., S.D. Ala., C.A. No. 84-1267-C
| Notified involved counsel and judges. (rh)
85/02/06 TRANSFER ORDER -- transferring C-95 Seymour H. Mandell, et
al. v. Merrell Lynch, Pierce, Fenner & Smith, Inc., et al.,
| E.D. Michigan, C.A. No. 84-CV-3891DT; C-102 Richard A. Pelto,
| et al. v. Smith, Barney, Harris, Upham & Co., Inc., et al.,W.D. Washington, C.A. No. 84-1U419R to the S.D. New York
| pursuant to 28 U.S.C. §1407. Notified involved clerks,
| judges, counsel, and misc. recipients (rh)
! —
| Te
| - |
; -
|

p. 24.
581 In re Baldwin-United Corporation Litigation... oo. i
85/02/12 CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-112 Harvey
Kleiner, et al. v. Stifel-Nicolaus & Co., Inc., et al., E.D.
Wisc., C.A. No. 84-C-1427; C-113 Joseph Cerasoli, et al. v.
Edward Jones & Co., W.D. Mich., C.A. No. 84-299CA2 --
Notified involved counsel and judge (rh)
85/02/15 83 MOTION TO VACATE CONDITIONAL TRANSFER ORDER -- Sandra Watson,
et al. -- w/Brief, Exhibit and cert. of service (cds)
85/02/21 HEARING ORDER -- Setting oppositions of plaintiffs	in
C-104 and L-581 for Panel Hearing on March 28, 1985
in Los Angeles, California (emh)
85/02/25 84 RESPONSE (to pldg. #83) -- Defts. E.F. Hutton & Co., Inc.,
Brian Hunt and William Hanlein -- w/cert. of service and
Exhibits A and B (cds)
85/02/28 CONDITIONAL TRANSFER ORDERS FINAL TODAY -- C-112 Harvey
Kleiner, et al. v. Stifel-Nicolaus & Co., Inc., et al., E.D.
Wisc., C.A. No. 84-C-1427; C-113 Joseph Cerasoli, et al. v.
Edward Jones & Co., W.D. Mich., C.A. No. M84-299CA2.
Notified involved clerks and judges. (ds)
85/02/28 CONDITIONAL TRANSFER ORDER FILED TODAY -- C-114 Sumner E.
Robinson, et al. v. Planco, Inc., D. Mass., C.A. No.
84-4037-MA. Notified involved counsel and judges. (ds)
85/03/06 CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-115 State of
Tennessee, et al. v. Edward D. Jones & Co., Inc., M.D. Tenn.,
C.A. No. 3-85-0143; C-116 State of Tennessee, et al. v.
PaineWebber, Inc., W.D. Tenn., C.A. No. 85-2116-GB and C-117
State of Tennessee, et al. v. Shearson Lehman/American
Express, Inc., W.D. Tenn., C.A. No. 85-2117-GB -- Notified
involved counsel and judge (rh)
85/03/14 85 NOTICE OF OPPOSITION -- C-114 Sumner E. Robinson, et al. Vv.
Planco, Inc., D. Mass., C.A. No. 84-4037-MA -- filed by pltf.
Robinson, et al. Notified involved counsel and judges. (ds)
85/03/20 APPEARANCE -- DOUGLAS BERRY, ESQ. for State of Tennessee, et al.
(ds)
/
Lo 7 yd /
rd pe yd pd .

. . - p.25
SrMT FORM 1A
. DOCKET ENTRIES
JUDICIAL PANEL ON MULTIDIZTRICT LITIGATION
LOCKETT MO. 581 -- In reBaldwin-United	Corporation Litigation .___ ... .. _.__.
0 LSII SIII SREfate camer ——S SS SS Les IIIT IT [dapat TI Te EE EETeTTII TS Dm mS III I TIT
pete Covel JPIending DESCEIDEION
85/03/21 . 86 {NOTICE OF OPPOSITION -- C-115 State of Tennessee, et al. Vv.
Edward D. Jones & Co., Inec., M.D. Tennessee, C.A. No.
3-85-1043; C-116 State of Tennessee, et al. v. Paine Webber,
| Inc., W.D. Tennessee, C.A. No. 85-2116-GB and C-117 State of
| Tennessee, et al. v. Shearson Lehman/American Express, Inc.,
| WD. Tennessee, C.A. No. 85-2117-GB -- filed by pltfs. Stateof Tennessee, et al. Notified involved counsel and Judges.
85/03/28 87 MOTION/BRIEF TO VACATE CTO -- C-114 Sumner E. Robinson, et
al. v. Planco, Inc., D. Mass., C.A. No. 84-4037-MA -- filed
by pltfs. Sumner E. Robinson w/cert. of sve. (ds)
{
85/03/29! | WAIVER OF ORAL ARGUMENT: ILeonard A. Kieran, Jr.; Merrill Lynch,
Pierce, Fenner & Smith, Inc.; Brian Hunt; Bill Hanlein; E.F. Hutton
& Co., Inc.; Thomson McKinnon Securities, Inc.; Peat, Marwick,
| sen td & Co., Piper, Jaffray & Hopwood Inc.; Prudential-Bache	i Securities Inc.; Shearson Lehman/American Express, Inc.; Robinson
! | Humphrey Coe., Inc.; W.H. Newbold's Son & Co., Inc.; Kidder Peabody
i 5 Co., Inc.; Kidder Peabody Sales Agency, Inc., Planco, Inc.:;| PaineWebber Inc., PaineWebber Group, Inc.; PWJC Insurance Sales,Cd Inc.; Janney Montgomery Scoot Inc. and Liaison Counsel for
Plaintiff (rh)
|
85/01/08 88 MOTION TO VACATE CONDITIONAL TRANSFFR ORDER -~- C-115 State of
| Tennessee, et al. v. Edward D. Jones & Co., Inc., M.D.
| Tennessee, C.A. No. 3-85-1043 filed by pltf. State of
| Tennessee, et al. -- w/cert. of sve. (rh)
85/04/08 | 89 MOTION TO VACATE CONDITIONAL TRANSFER ORDER -- C-116 State of
| Tennessee, et al. v. Paine Webber, Inc., W.D. Tennessee, C.A.
: | No. 85-2116-CB filed by pltf. State of Tennessee, et al. --
| w/cert. of sve. (rh)85/04/08 | 90 MOTION TO VACATE CONDITIONAL TRANSFER ORDER -- C-117 State of
: Tennessee, et al. v. Shearson Lehman/American Express, Inec.,
! | W.D. Tennessee, C.A. No. 85-2117-GB filed by pltf. State of
| | Tennessee, et al. -- w/cert of sve. (rh)	85/04/42 91 RESPONSE (to pldg. #87) ~-- deft. Planco, Inc. w/cert. of svc.
| and Fxhibits 1 thru 5 (ds)
I.
Co
}

Fo
JPML FORM 1A | E Lo.
DOCKET ENTRIES .
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 581+-- _In.re	Baldwin-United.	Corporation Litigation -——
mety et ee STRAITee TITIAN i Er er TE eeoes
85/04/17 92 ' SUPPLEMENTAL MEMORANDUM -- pltfs. State of Tennessee, et al. ‘
| w/cert. of sve. (ds)
85/04/18 TRANSFER ORDER -- transferring C-~104 Leonard A. Kiernan, Jr.
'v. Merrill Lynch, Pierce, Fenner & Smith, Inc., et al.,
‘D.R.I., C.A. No. 84-0580 and C-107 Sandra Watson, et al. v.
E.F. Hutton & Co., Inc., et al., S.D. Ala., C.A. No.
84~1267-C. Notified involved clerks, judges and counsel.
H | ( d 8 ) i
85/04/24 93 Jon MEMORANDUM -- defts. Shearson Lehman Brothers, Inc.	| (Shearson Lehman/American Express, Inc.) and PaineWebber,
! i Inc. w/exhibits A thru C and cert. of svc. (ds)
| |
85/05/01 | 94 | RESPONSE -- (to pldg. #88) deft. Edward D. Jones & Co.
| | w/cert. of sve. and Exhibts A thru L (rh)85/05/02 | SUPPLEMENTAL CERTIFICATE OF SERVICE -- (Attached to Pldg. # 88,
| | 89 and 90) pltf. State of Tennessee, et al. (rh)85/05/06 i CONDITIONAL TRANSFER ORDER FILED TODAY -- C-118 Moses Kando,
| et al. v. E.F. Hutton & Co., Inc., et al., D. Rhode Island,
i | c.a. No. CA85-0155 -- Notified involved counsel and
| | judge. (ds)
|85/05/08 | CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-119 Bennett v.
: | Legg Mason Wood Walker, Inc., D.Md., M84-4657; C-120 Mikula
F | v. Kidder, Peabody & Co., Inc., et al., N.D. Ohio, C85-1005;
{ and C-121 Gasparro v. Tucker, Anothony & R.L. Day, Inc.,
] | etc., D. R.I., CA85-0142 -- NOTIFIED involved counsel and
| judges. (emh)
85/05/15 WAIVERS OF ORAL ARGUMENT: ALL WAIVED (cds)
85/05/16: 95 | NOTICE OF OPPOSITION -- C-121 Vincent J. Gasparro v. Tucker,
| Anthony & R.L. Day, Inc., et al., D. Rhode Island, C.A. No.
: | 85-0142-S -- filed by pltf. Vincent J. Gasparro. Notified
involved counsel and judges (rh)
Co |
| |i i

| i 3y
SY |
85/05/21 ORDER VACATING CONDITIONAL TRANSFER ORDER =- C-120 Mary Grace
Mikula v. Kidder, Peabody & Co., Inc., et al., N.D. Ohio,
C.A. No. C85-1005. Notified involved clerk, judges and
counsel. (ds)
85/05/22 CONDITIONAL TRANSFER ORDER FINAL TODAY -- C-118 Moses Kando,
et al. v. E.F. Hutton & Co., Inc., et al., D. Rhode Island,
C.A. No. CAB85-0155 -- Notified involved judge and clerks (rh)
85/05/23 TRANSFER ORDER =-- transferring C-114 Sumner E. Robinson, et
al. v. Planco, Inc., D. Mass., C.A. No. 84-4037-MA; C-115
State of Tennessee, et al. v. Fdward D. Jones & Co., Inc.,
‘M.D. Tennessee, C.A. No. 3-85-0143; C-116 State of Tennessee,
et al. v. PaineWebber, Inc., W.D. Tennessee, C.A. No.
85-2116-GB; C-117 State of Tennessee, et al. v. Shearson
Lehman/American Express, Inc., W.D. Tennessee, C.A. No.
85-2117~GB to the Southern District of New York for pretrial
proceedings pursuant to 28 U.S.C. §1407 -- Notified involved
clerks, judges and counsel. (ds)
85/05/24 CONDITIONAL TRANSFER ORDER FINAL TODAY -- C-119 Alan T.
Bennett	v. Legg Mason Wood Walker, Inc., D. Maryland, C.A.
No. M84-U4E57 -- Notified involved judges and clerks (rh)
85/06/05 CONDITIONAL TRANSFER ORDERS FILED TODAY -- C-122 - C-126
listed below -- Notified involved counsel and judge (rh)
€-122 fFState of Georgia v. Merrill Lynch & |[N.D.Ga. | C85-3084-A
-|” Company, Inc., et al. Freeman
C-123 | Gaetano Lapriore, et al. v. E.F. Huttoh D.Mass B5-2155->
: and Company, Inc. Skinner
. C-124 | Robert R. Garrison, et al. v. Merrill |S5.D.Ohi C-2-85-378
Lynch, Pierce, Fenner & Smith, Inc., Duncan
: et al. }
C-125 | Marian Steinberg v. ‘Merrill Lynch, E.D.Pa.| 85-1916
. Pierce, Fenner & Smith, Inc., et al. Kelly
C-126 |Elizabeth K. Adrian, et al. v. Allen po . 85-2066-G	| — lereem, etar. Gibbons]

JPML, FORM 1A oe ‘
DOCKET ENTRIES -
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 581 -— _In re Baldwin-United Corporation Litigation
|
i
85/06/07 | CONDITIONAL TRANSFER ORDER FILED TODAY -- C-127 State of
| Tennessee, et al. v. Stifel, Nicholaus & Co., Inc., W.D.
Tenn., 85-2250-GA -- NOTIFIED involved counsel and judges.
| (emh)
85/06/10] HEARING ORDER -- setting opposition to transfer of C-121
| (Gasparro) for Panel hearing in Boston, Mass. on July 11, 1985
85/06/10 ; ORDER VACATING HEARING ORDER (re: C-121) -- motion and brief
| not filed (cds)
85/06/11 | ORDER LIFTING STAY OF CONDITIONAL TRANSFER ORDER -- C-121	Vincent J. Gasparro v. Tucker, Anthony & R.L. Day, Inc.,
| ete., D. R.I., C.A. No. CA85-0142 -- NOTIFIED INVOLVED
JUDGES, CLERKS AND COUNSEL (cds)
85/06/18 96 MOTION/BRIEF TO RECONSIDER -- pltfs. Sandra Watson, et al.
| w/cert. of sve. (ds)
|
85/06/19 | 97 NOTICE OF OPPOSITION -- C-122 State of Georgla, et al. v.
| Merrill Lynch & Co., Inc., et al., N.D. Georgia, C.A. No.
| C85-3084A -- filed by pltfs. State of Georgia, et al. --
; Notified involved counsel and judges. (ds)
|
85/06/21 | CONDITIONAL TRANSFER ORDERS FINAL TODAY -- C-123 thru C-126
| listed below. Notified involved clerks and judges. (ds)
f D.Mass} 85-2155=®
| Cc-123 |Gaetano Lapriore, et al. v. E.F. Hutto Skinner	and Company. Inc. . id C-2-85-378
con, et al. v. Merrill |S.D.Ohi¢ C-2-85
ce Toman: eros. Fenner & Smith, Inc.., Duncan
| et al. | :. D.Pa.| 85-1916
- ian Steinberg v. Merrill Lynch. | E- 1
: coi Pierce, Fenner & Smith, IncC., et al. Kelly
| W.D.Tenth. 85-2066-G
| C-126 | Elizabeth K. Adrian, et al. v. Allen cipbonsGreen, et al.
85/06/25 CONDITIONAL TRANSFER ORDER FINAL TODAY -- C-127 State of
| | Tennessee, et al. v. Stifel, Nicholaus & Co., Inc., W.D.
; | Tenn., C.A. No. 85-2250-GA. Notified involved clerks and
Judees: (ds) :
CO
| |

JEML FORE A 27
* DUCEDT ENTRIES
JUDICIAL PANGLL on MULT IDI 00 LUT LGATION
vom 581 In re Baldwin United Corporation Litigation
85/07/10 98 | MOTION TO VACATE CONDITIONAL TRANSFER ORDER -- C-122 State of
: | Georgia, et al. v. Merrill Lynch & Co., Inc., et al., N.D.
: . Georgia, C.A. No. C85-3084A -- pltf. State of Georgia --
| . w/cert. of sve. (rh)
85/07/10 © CONDITIONAL TRANSFER ORDERS FILED TODAY -- D-134 Frank
. Castiglia v. Merrill Lynch, Pierce, Fenner & Smith, Inc.,
: , M.D. Fla., C.A. No. 85-0606-CIV-ORL and D-135 Leonard A.
. Kiernan, Jr. v. Gerard J. Venable, Alias, D. Rhode Island,
| C.A. No. 85-0323-B -- Notified involved counsel and judges
: i (rh)
85/07/22; 99 : NOTICE OF OPPOSITION TO CONDITIONAL TRANSFER ORDER (D-135)
" Leonard A. Kiernan, Jr. v. Gerard J. Venable, Alias, D. R.I.,
: . #85-0323-B -- pltf. Leonard A. Kiernan,, Jr. -- NOTIFIED
| | INVOLVED JUDGES AND COUNSEL (cds)
85/07/22© 100; JOINT RESPONSE (to pldg. #98) -- defts. Shearson
Lehman/American Express, Inc. f/k/a Shearson/American
' Express, Inc.; Robinson-Humphrey/American Express, Inc. f/k/a
; . The Robinson-Humphrey Co., Inc.; Bear, Stearns & Co., Inc.;
Kidder, Peabody & Co., Inc.; Kidder Peabody Sales Agency,
. Inc.; Drexel Burnham, Lambert, Inc.; E.F. Hutton & Co., Inc.;
. Smith Barney, Harris Upham & Co., Inc.; SBHU Life Agency,
' Inc.; J.D. Bradford & Co.; Merrill Lynch & Co., Inc.; Merrill
: . Lynch, Pierce, Fenner & Smith, Inc.; Merrill Lynch Life
; Agency, Inc.; Prudential-Bache Securities, Inc.; Paine
~ Webber, Inc. f/k/a Paine, Webber, Jackson & Curtis, Inc.;
. PWJC Insurance Sales, Inc.; Piper, Jaffray & Hopwood, Inc.;
: . Planco, Inc.; A.G. Edwards & Sons, Inc. -- w/Exhibits and
cert. of service (cds)
85/07/26 ' CONDITIONAL TRANSFER ORDER FINAL TODAY -~ 134 Frank Castiglia
\ v. Merrill Lynch, Pierce, Fenner & Smith, Inc., M.D. Florida,
: © C.A. No. 85-0606-CIV-ORL --Notified involved Judges and
: . clerks. (paa)
85/08/01 - ORDER =-- correcting civil action number of C-122 State of
- Georgia v. Merrill Lynch to read C85-3164. Notified involved
counsel and corrected case listing. (rew)
85/08/01 - Order from Ga.,N. consolidating State of Ga. action numbers
C85-3164A. C85-3084A and C85-3086A and ordering that all
future filings be under C85-3164A. See previous docket
‘entry. (rew)
‘ i
| |

oO
JPMI, FORM 1A : Co.
DOCKET ENTRIES 8
’
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET 80. 98[ —= a a
aT ha TIT ] ee EU Sh gh TT TL 0 Tm LT TT A nn ERR
85/08/06' 101 RESPONSE -- (TO PLDG. NO. 100) Pltf. State of Georgia —--
| w/cert. of svc. (rh)|
85/08/06 I 102 MOTION TO VACATE CONDTITIONAL TRANSFER ORDER =~- D-135 Leonard
| A. Kiernan, Jr. v. Gerard J. Venable, Alias, D. Rhode Island,
C.A. No. 85-0323-B -- Pltf. Leonard A. Kiernan -- w/cert. of
| svc. (rh)
85/08/16 | HEARING ORDER ~- setting opposition to transfer of C-122 and
D-135 for Panel hearing in Indianapolis, Indiana (rh) ©0#
| September 19, 1985
85/08/21 | 103 | RESPONSE -- (to pldge.# 102) Detf Gerard J. Venable, Alias
| -- w/cert. of sve. (rh)
|
85/08/21; 104| PLAINTIFF'S STATUS NOTICE -- pltf. State of Georgia --
| w/cert. of svc. (rh)
85/08/26 | ORDER VACATING CTO AND HEARING ORDER -- (C-122) State of
Georgia v. Merrill Lynch & Co., Inc., et al., N.D. Ga.,
| #C85-3164A -~- NOTIFIED INVOLVED JUDGES, CLERKS AND COUNSEL
| (cds)i
85/09/18 | WAIVERS OF ORAL ARGUMENT -- All parties waived (cds) )| |
85/09/18 105 |SUPPLEMENTAL BRIEF (to pldg. #102) -- pltf. Leonard A.
Kiernan, Jr. w/cert. of sve. (ds)
|
85/09/20 | 106 {LETTER (supplemental information re: pldg. #105) -- Merrilli Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith,
Inc., Merrill Lynch Life Agency, Inc., ML Life Agency, Inc.,
! Roger E. Birk, Daken B. Ferris, W.A. Schreyer, Randy Weber,
| William S. Schumacher, Chet Westergard, Russell E. Werner,
Oppenheimer & Co., Inc., Oppenheimer Texas Agency and Gerard
J. Venable w/sve. (ds)
85/09/25 : 107| LETTER (Supplemental Information) -- Merrill Lynch Pierce
; | Fenner & Smith, Inc., Merrill Lynch Life Agency, Inc., ML	Life Agency, William S. Schumacher, Riger E. Birk, Dakin B.
: Ferris, W.A. Schreyer, Randy Weber, Merrill Lynch & Co., Inc.
i and Oppenheimer and Co., Inc. w/copy of Memorandum (ds)
|
| B ;.

JPML FORM 1A
mr
DOCKET ENTRIES
JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
COCKET NO 581 __ In re Baldwin-United Corporation Litigation Page 31
i ee	TR A EE ee|
85/09/30 | ORDER DENYING MOTION FOR RECONSIDERATION -- C-107, Sandra
Watson, et al. v. E.F. Hutton, & Co., et al., S.D., New York,
| C.A., No., 85 Civ 3436. Notified Transferee Clerk, Judge, and
| involved Counsel. (paa)85/10/01 | 108 | LETTER (referring to pldg. #108) -- signed by James
! | Lofgoluceo and Patricia Vinci, counsel for pltf. Leonard A.	! Kiernan, Jr. (cds)
i
D-135 Kiernan, Jr. ,
86/01/31 ORDER -- from D. Rhode Island, remanding
113 | back to state court —-- signed by Judge Raymond J. Pettine, D.Rhode Island
86/01/31 | ORDER VACATING CONDITIONAL TRANSFER ORDER -- D-135 Leonard A.i Kiernan, Jr. v. Gerard J. Venable Alias, D. Rhode Island,
: C.A. No, 85-0323-B —- Notified involved counsel, judges and
| clerk (rh)86/02/03 CONDITIONAL TRANSFER ORDER -- D-136 Mary Bussman v. Paine
Webber, Inc., et al., S.D. Ohio, C.A. No. C-1-86-0039 -~
Notified involved counsel and judges (tmgq)
86/02/18 | 109| NOTICE OF OPPOSITION -- filed by pltf. Mary Bussman, D-136
| Mary Bussman v. Paine Webber, Inc., et al., S.D. Ohio, C.A.
: Le No. C-1-86-0039 -- Notified involved counsel and judges (rh)
86/03/06 110 MOTION TO VACATE CONDITIONAL TRANSFER ORDER -- D-136 Mary
| Bussman v. Paine Webber Inc., et al., S.D. Ohio, C.A. No.
C-1-86-0039 -- Atty Theodore R. Shaman, Jr. -- w/cert. of
sve. (paa)
b/03/21 - ESPONSE ~-- Paine Webber Incorporated -- (to pleading #110)| /certificate of service. (paa)
| -
86/04/11 HEARING ORDER -- Setting opposition to transfer of D-136 (Bussmann) for
| Panel hearing in Washington, D.C. on May 16, 1986 (cds)
86/04/18) 112] MOTION, BRIEF, CERT. OF SVC. -- All defendants for transfer| of D-137 Ronald E. Lasinski et al. v. Manley, Bennett,
McDonald & Co. et al. E.D. Michigan, C.A. No. 8R-CV-7L404QDT
(tmq)
86/04/23 | 113 |ORDER FROM S.D. OHIO -- remanding Bussman action to state| court -- signed by Judge Carl Rubin (cds)
86/04/23 ORDER VACATING CONDITIONAL TRANSFER ORDER AND VACATING
| HEARING -- D-136 Mary Bussman v. Paine Webber, Inc., et al,,
: iS.D. Ohio, C.A. No. C-1-86-0039 -- NOTIFIED INVOLVED JUDGES,
@GLERK AND COUNSEL (cds)
{ LY
i ~
| .

ow FORM 1A - ®
Page 42
DOCKET ENTRIES ol
UDC TLL Teo ol MULT	YD REC rprear To
UR. 581 In re Baldwin-United Corporation Litigation
en ese lpbion
86/05/02 114 RESPONSE (to Pldg. #112) -- Pltfs. Ronald E. Lasinski, et al.
~~ w/cert. of service (cds)
|
86/05/02 | APPEARANCE: Michael H. Whiting, Esq. for Ronald E. Lasinski (cds)
86/05/05 | 115 RESPONSE, ATTACHMENT, BRIEF (to pldg. #112) -- pltfs. Ronald
: E. Lasinskil, et al. -- w/cert. of service (cds)
86/05/09 116| REPLY BRIEF (in support of pldg. 112) -- defts. Manley,
: Bennett, McDonald & Co., Kenneth Osler, Richard Burman, David
: . S. Cooper and Noel Reschke -- w/cert. of service (cds)
86/06/20: . HEARING ORDER -- Setting motion of defendants Manley,
Bennett, McDonald & Co., et al. for transfer D-137. Notified
: involved counsel, clerks and judges. (tmq) 7/24/86, Buffalo,
| New York.
86/07/22 WAIVERS OF ORAL ARGUMENT -- ALL WAIVED (hearing for July 24, 1986)
; i (rh)
oo
86/07/28: { TRANSFER ORDER -- D-137 Ronald E. Lasinskil, et al. v. Manley,
; Bennett, McDonald & Co., et al., E.D. Michigan, C.A. No.
| 85-CV-T74049DT (transferred to S.D. New York) -- Notified
; . involved counsel, judges and clerks (rh)
4
|

' JPML Form 1
[:]
Revised: 8/78
DOCKET NO. 58l —_ JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
N
CAPTION: IN RE BALDWIN-UNITED CORPORATION LITIGATION
SUMMARY OF LITIGATION :
February 26, 1984] pates Filed Type Citation District - Name of Judge Assigned From
8 i .
2/27/84 To 99/ F.Supp. 37] s.D.New York Charles L. Brieant
bo og Special Transferee Information )
RR SYR SR nsGO DATE CLOSED: 7/J/30
FY
SEP IME A

¢ - » oF ’ | ey
© § TEwL8 FORM 1 LISTING OF INVOLVED ACTIONS .
. DOCKET NO. 581 -—-- IN RE BALDWIN-UNITED CORPORATION LITIGATION
[]
Intra- District] Civil rans feredDate of
Office and Action ransfer| Docket [Dismissal
Number Caption Judge Number Date Number Jor Remand | Misc.
{¢ «
A-1 Wayne Tucker, et al. v. Thomson .D.Ala. =L=p83 end Cw, NMcKinnon Securities Inc. ynne - > 5 J
A-2 Jimmy L. Caldwell v. Thomson Mc- .D.Ala.| 83-L,5834 ’ \ / ne
Kinnon Securities Inc. . ynne NE Clo R / - / ;
~ A-3 Elizabeth C. Hood	v. Thomson .D.Ala., 83-L;58 a. ! A SI
| McKinnon Securities Inc. ynne | NE (U0 f / iYA-4 William S. Clark, et al. v. Thomson [N.D.Ala.. 83-L-5836 , : EE
McKinnon Securities Inc. ynne . I Ne yp, A ‘ >- 4
: A-5 Walter C. Monson, et al. v. E.F. .D.Cal. V83-838% 1 $ 73 = = (Jals ;Hutton & Co., Inc. Byrne : . :
30s ffl ave 5/1]950	~ A-6 Judith Shay v. Merrill Lynch Pierce [N.D.Cal.[83-5894-MHH	D/. Jo $Y ws o
Fenner & Smith, Inc., et al. ¢ Patel re ,
r 9g [ios ©A-7 Irving Cohen v. E.F. Hutton & Co. S.D.Fla.| 83-3091 F§{B 2 71 $40, 522King \
), J5¢ NRA-8 Lewis Levin, et al. v. Prudential- N.D.Il1ll. 83-C-8566¢ Bo 7i4¢ ST 50	Bache Securities Inc. etzendaphner BR 7
/ foo HyA-9 Steven Domeny, et al. v. E.F. Hutton N.D.Ill.| 83-C-703}f 9 7 198k Srigs J& Co., Inc. Leighton SL) ER (N
A-10 Leonard Brenner v. E.F, Hutton & Co. N.D.I1ll.| 83-C-74gdgn ez A | >)	— . Lf / Coo son .
Inc. i edighton fad 7 1384 b] 77S 3 ( ; : - /
A-11 Lillie Lavin v. Merrill Lynch Life [N.D.I11.| 83-c-7538HB 2 71854 S37 | © / esdAgency Inc., et al. Moran
. ‘
A-12 David Morris, et al. v. Thomson .D.I11l.|] 83-C-7257 =. 1s Ng MNMcKinnon Securities, Inc. Aspen FEB 2 7 1984] ¢v- 753% | =>/77%
ahd

. H ] > So I So oo So (
,, ETN ‘Casa MDL No. 581 Document5 Filed 06/01/15 Page 35 of 58 :
APPR JEML FORM 1 -=-= edits ion Listing of Involved Actions -- p. 2
. DOCKET NO. 58 -- _
ee
Intra-— Distric Civil : Date of
Office and Action TransferflransfereepPismissal
Number Caption Judge Number Date pocket No.pr Remand| Misc.
I FEB[2 71984 [39-1537 |S //¥s”	{}
A-13 Sam Gesualdo, et al. v. E.F. Hutton & |N.D.Ill} 83-C-8562
Co., Inc. Kocoras > of Jes iN	: J-JjSY S5/v/%
A-14 Steven H. Grossman, et al. v. E.F. N.D.I1ll 83-c-85d% 2 719845Hutton & Co., Inc. Bua : 3
a ¢ - NCA WAAR {
A-15 |Robert M. Goodwin, M.D., et al. v. N.D.I11} 83-c-7258FBB 2 7 1984 34" N
A.G., Edwards & Sons, Inc. Nordberg NN
ed si] es : NN	A-16 |David H. Wellman, et al. v. E.F. i D.Maine| 83-0388FEB|2 7 184| ¢° A
Hutton & Co., Inc. Carter N\
iS U3 giles |A-17 Kenneth Tomnitz v. Merrell Lynch & Co.|D.Minn.| 4-83-1027FEB 2 7 18 §¢/-15"
Inc., et-al. McLaughlin Pp
cy 154 of 5/1/87 :A-18 |Dennis P. Attalla v. E.F. Hutton & D.N.H. 83-776 FEB| 2 7 1984] ° To
Co., Inc. Devine
. lols D 0	v A-19 Robert R. Moore v. E.F. Hutton €xroup S.D.N.Y{ 83-Civ- 3
Inc., et al. Griesa 7197
: 5/195 X
A-20 Richard Meyers, et al. v. E.F. Hutton |S.D.N.Y{ 83-Civ-~
Co., Inc. Leval 8085 </ [8 0
A-21 Charles B. Scarborough, et al. v. S.D.N.Y{ 83-Civ- [
E.F. Hutton & Co., Inc. Sofaer | 7628 oi gs D
A-22 Harry Factor v. Merrill Lynch & Co. S.D.N.Y{ 83-Civ- / NInc., et al. Haight | 7009 57, Jz = Ay
A-23 John F. Terrill v. Merrill Lynch S.D.N.Y| 83-Civ- { uy& Co., Inc., et al. Haight 7063 57: )gs D
A-24 Douglas M. Mann v. Merrill Lynch & S.D.N.Y4 83-Civ- ¢
Co., Inc., et al. Haight | TAD <li)ec DA-25 Willa June Morgan v. Merrill Lynch & S.D.N.Y{ 83-Civ- ’
Co., Inc., et al. Haight 7092
! ! ) ’ :
| | 5	Iv
| | B

Case MDL No. 581 Document 5 Filed 06/01/15 Page 36 of 58 EE o
JBEML, FORM 1 -- Continuation e . . } Ze /
Listing ofInvolved Actions --"‘p.	3 °°
pOCKET No. 581 -- .
Intra- Distric Civil : Date of
Office and Action TransferflransfereepPismissal
Number Caption Judge Number Date pocket No.pr Remand Misc.¢
A-26 | Martin A. Burton v. Merrill Lynch S.D.N.Y.| 83-Civ-768 Shilds ie
& Co., Inc., et al. Haight 12% oy
ies PB
A-27 Frederick J. Oberst v. Merrill Lynch [S.D.N.Y.| 83-Civ-7360 TARE he
& Co., Inc., et al. Haight
J wo] old P
A-28 Jean and Louis Blumberg v. Prudential |S.D.N.Y.| 83-Civ-7358
Bache Securities, Inc. Brieant
= / [5 _ DbA-29 Jean Maier v. Prudential-Bache S.D.N.Y.| 83~-Civ-7642 SOLES
Investment, Inc. _ |Brieant
A-30 Bernice v. Abrams v. Thomson S.D.N.Y.| 83-Civ-7359 S [ lg.McKinnon Securities Inc. Duffy ’
A-31 Nils Ostin, et'al. v. Oppenheimer & S.D.N.Y.| 83-Civ-7568 BE
Co., Inc., et al. Carter v
A-32 Revella Price v. Merrill Lynch & Co. |S.D.N.Y.] 83-Civ-856 6/10/%s D
Inc., et al. Haight /
s/h ged
A-33 Florence Silver v. Merrill Lynch & S.D.N.Y. 83-Civ-8866 .
Co., et al. Haight - A :
CVs .
A-34 Harry Olson v. Thomson McKinnon S.D.N.Y. 83-Civ-886
Securities, Inc. Duffy
A-35 Sonia Sokoloff v. Janney Montgomery |S.D.N.Y, 83-Civ-8084————--| oles D’ Scott Incorp., et al. Brieant
A-36 | Richard J. and Patricia A. Boyle v. S.D.N.Y, 83-Civ-8684 | Je DPrudential-Bache Securities, Inc. Brieant 5/1/ES
A-37 | Hambleton Shepperd v. Smith Barney S.D.N.YJ 83-Cive8474___ | sc / ;Harris Upham, Inc., et al. Brieant eS eS
A-38 Vincent Erti v. Paine Webber Jackson [S,D.N.Y., 83-Civ-908 9/4 /3 DD& Curtis Incorp. Brieant
A-39 | Thomas G. Phillips, III v. Kidder, S.D.N.Y] 83-Civ-847% : <f a~Reabody & Co., Inc., et al. Brieant ES
k | | | © ER

he BMI FORM 1 Case MDL No. 581 Document5 Filed 06/01/15 Page 37 of 58toe J - Continuation e i Listing of Involved Actions -- p. 4
* DOCKET No. 581 --
Intra- Distric Civil : Date of
Office and Action TransferflransfereePismissal
A Numbe$ Caption Judge Number Date [pocket No.pr Remand Misc.
A-40 Alfred Linton v. Shearson/American 5.D.N.Y. 83-Civ-8476 | (7 (737)p ’Express, Inc. Brieant (71
1 ;
A-41 Philip Rhodes, Jr., et al. v. E.F. 5.D.N.Y.| 83-Civ-900 ci REDHutton Group, Inc., et al.
A-42 Franchot A.S. Golub v. Merrill Lynch .D. Pa.) 8374123
Fenner & Smith, Inc., et al. cGlynn | ° EE | | [oe P	lsh
A-43 Sylvia Michaels v. Prudential-Bache W.D.Pa.| 83-2445 FER 27 1084 wtf-1STS	og. . -
Securities, Inc. Viegler TP
AY
A-44 Jerome W. Eichelsbacher v. Shearson/ |W.D.Pa.| 83-2600 FEB 2 7 198 go-15 le ”
American Express, Inc. Ziegler J oo 3	“LES
A-45 Joseph and Elizabeth Chupko, et al. W.D.Pa.| 83-2446FEB 2 7 1984 54-1597 >A
v. Paine Webber Jackson & Curtis ~ Ziegler \
Inc. | ,
Vv A-46 [Lyle A. Graves, et al. v. Merrill E.D.Tenn 83-570FEB 2 7 1984 5q- 1578 7-00-57 |
Lynch & Co., Inc., et al. Milburn
~ v A-47 Lloyd R. Greenwood,	et al. v. Merrill E.D.Tenh. 83-593 FEB 2 7 198 yi- 1549 G15Lynch & Co., Inc. Milburn :
XYZ-48 William Neil Aicholtz, et al. wv. S.D.N.YL84 civ 100 ] WH go |	Paine Webber, Inc., et al.
XY2Z-49 | Robert C. Donnelly, etc. v. A. G. S.D.N.Y|84 Civ 98 Ce eT
Edwards & Sons, Inc. :
. I~ /y o/s 0 ¢XYZ-50 Marlene Garber, etc. v. A. G. Edwards | S.D.N.Y.L 84 Civ 99 = '
& Sons Inc. : .
Na’
\
| LL \, ) ] |

i Ii : k ST : hn
Casg MDL No. 581 Document5 Filed 06/01/15 Page 38 of 58 Co CeJEML FORM 1 Eat eri tion Listing of Involved Actions —- p._. 8:	+.
bOCKET NO. S8L —— TT.
ee ' |
Intra- Districy Civil : Date of fi
Office and Action Transfer{lransfereepPismissal
Number Caption Judge Number Date pocket No.pr Remand Misc.‘) (i
B-51 {Quinten G. Quinn, et al. v. Merrill D.Colo. | 83-JM-2450 lg-22 0 i225 ()
Lynch, Pierce, Fenner & Smith, Inc. Moore MAR 1 § 1984
et al .- - SN A
MAR 1 19 Cw REY 4%)
B-52 Everett Denison, et al. v. Merrill M.D.Fla| 84-0064MAR|1 9 1984 |“ A	: . » a
Lynch, Pierce, Fenner & Smith, Inc., Kovachevyich NU
et al. hap 1 1984 1 ~B-53 Daniel R. Cavalier, et al. v. D.Minn. 4-84-11yan 1 9 1984 §/7- 22 2b Sh Es ) LN
Prudential Bache Securities, Inc., Murphy A
et al. MAR 1 1984 oo
R . - i _ 7 - EN
B-54 James S. Rudolph, et al. v. Kidder, S.D.Ohig Cc-1-84-008 TA Ly 54 -550S bff [95D N
Peabody & Cet et Ze dE T4984 Spiegel : MY
Shanot Ae oh	B-55 Bernard L. Shi _et al. v.National|W.D.Wash -CB3-1767 0 ci-772 3 1/3 9/7<1 \ voInvestors Life Insurance Co., et al. Coughendur 1 91384 =r Ai } {Db
X , ) MAR 1 1984 . . 1984 % YJ . 2 2 3 = g J ! Ho \B-56 ‘Edward Kissel,##. v. Parker/Hunter'. w.D.Pa.| 84-38 mag 2 3 N }
Inc. MAY a4 Ziegler i
: . : 91984 CC 7-2 Hl Si L 0| B=57 Beodr Weods v. W.H. Newbold's Sons & | E.D.Pa.| 84-0161 MA} 2 > : I
Cooriame. AJ 14 neGlynn ves A	el < GS ND } 4 x ,
B-58 Arnold D. Jones v. E. F, Hutton W.D.Ark| 84-1002 MAR 2 3 1984] = f S : i
Company, Ihc. ~NiT Jog, Waters E —
tk B-59 Sandra 8. Miller v. il nping & ~W.,D.Pal 83-3259 MAR 2 95 1984 § EEE GN is. \ OD)Scattergoad: Inc,y S i 4. Ziegle aN J| NE Fe \i i Mar @ 3984S CSA DTS
B-60 Joseph Lowry, et al,, v. University 1D. N.J{| 88=4707 AR 2 i
Life -Insurance Company of America, et| CohenEE .
al. n, | odo
aA
| | I | | | |

., , } Case MDL No. 581 Document 5 Filed 06/01/15 Page 39 of 58
a JBEML FORM 1 -- Continuation e ss .
) Listing of Involved Actions -- p._,
* ,DOCKET NO. 58] -- In re Baldwin-United Corporation Litigation
Intra- Distric Civil : Date of
Office and Action (TransferflTransfereepismissal
Number Caption Judge Number Date pocket No.pr Remand Misc.
y S A mY Coad eX
B-61 |Jackie M. Best Chae v. “Bowell, “et N.D.Misg.DC84-4-WK-B~ ER — WP ne) “al. Cpe 2s	22/87 Keady oo SS
B-62 {Cecilia C. Ernst v. Shearson/American |Mo., E. |84-0037-C(1) ho o-2€ | / :	Express, Inc. “ies Nangle A R 3 1984 9-50 7 7
ios a i
B-63 Morton D. Cohen, et al. v. Piper D.Minn. V=3-84-2033 10 1 x ATH SS go :Jaffray and Hopwood, Inco regd, et | Renner AUG
al. 4 B/N ppoaedl |
A | | TANNAB-64 William B. Messinger, et al. v. D. Idaho crv-84-1en7 0 198 Seb! 80 4
E.F. 00d bl et al. McNichol s 1 / fe.Cppradl ylafy EIA [)t)54 gules 21215 b j	B-65 | Donald Van Bramer,et al. v. Merrill |N,D.ILI|.84C-1994 (
Lynch Pierce Fenner & foith, Inc. DeckerELS :
B-66 |David D. Ilgenfritz, et al. v. Merrill [N.D.Ind.| H84-185 5/54 J (320 Aes	Lynch, Pierce, Fenner & Smith, Inc., Kanne ! Coet al.
4] [8d Co L jB-67 Melvin E. Morace Vv. A.G. Edwards-/A |D.Kan. 84-1147 AUS 10 1 5 <= 6/8 / Malfe
Sons, Inc. 4 EX OPPOFF ™~ Theis " y fgs	s <3 3 ; td 59 bp 49 17
B-g8 | Frank Burstein	v. VVhe) oe a E.D.Pa. | 84-1885 |5/3¢ ks £97 =
Securities, Inc, of Kelly
5/nf® I PS YoB-6% Joan M. Romjue v. Prudential-Bache ~]S.D.IndJIP84-685C |5 [30 [94 oo :
Securities, Inc., et al. Su [84 Cody / |
B-70 William Howard v. Bache, Halsey, D, N,J. | 84-1612 5 (3c 24 3 2155 S ov
Stuart, Shields, Inc. &/n/8¢ Gerry
¥ |:
| |\

BMT CaspddRy Document5 Filed 06/01/15 Page,40 of 58 Co .J FORM 1 edtitihlfa ein Listing of Involved Actions -- p. 7 .
DOCKET Nox	J &/ -- __ .
ee ’ |
Intra- Distric Civil Date of
Office and Action [TransferTransfereepPismissal
Number Caption Judge Number Date pocket No.pr Remand| Misc.
XY7Z-71 | Jerome P. Pujol, et al. v. Janrey S.D.N.Y.[ 84 Civ 2998 SI gS
Montgomery Scott, Inc.
xY%-72 | Susan Schwartz v. E. F. Hutton & Co., |S.D.N.Y.|84 Civ 0420
Inc., et al. / }
: ald | ore] slesB-73 Susan L. Cyrus,	ef al. v. Prudentipl- |S.D.Ind. IP84-845C o/4 Co '
Bache Securities, Ine , et al. " |stecKles }	- [8 N ;
= EARSE Clféd p4- 32, | 5 lilgs	B-74 Catherine L. Emmitt, et al. wv. S.D,Ind. IP84-808C
prudential-Bache Securities, Inc., '‘Steckle
t al. g PAIL BEA
ot a1 CUS ro)	qq £7 - 2735 DIES
B-75 William P. McPartland	v. E.F. Hutton N.D.Tex. cns-sa-06746/19" gd -“372 6 '&& Co., Inc. AS g Porter :	SS 4.54
| Qectn 177% —3 &72/3 xyss (08 Vg (Hino. Boj sed8-0p 807) |
= B-76 Phillip J. Plummer,-et	al.-v. Merrill|s.D.Ind.| IP-84-859C v/s YEP 5/./1g¢Lynch Pierce Fenner & Smith, Inc. Steckler,: Sey /
et al. T- Al “N= {
B77 William H. Ross, et al. v. Prudential~S.D.Ind.| IP-84-887C 7Wfs 4 goo SCL ds
Bache Securities, Ina., et al. LL gy Steckler
B-78, | Joe D. Richardson, et al. v. E.F. E.D. Mo. sa-1232-c() TFs SOL Allee & HST| Hutton & Company, Inc. L~9. LY imbaugh
B-79 E. Herbert Reynolds v. Robinson- S.D.Ala. CV«84-0685C 70 $l [84-5273 129 (507 |Humphrey Company, Inc., et al. 9 cox !
B~-80 Pemberton H. Bhober, Jr. v. Merrill |[N.D.Illdg4-c-5096 2s [5 <li/g<
Lynch & Co., Inc., et al. \- Fahy Getzenddnner } |	NL gi <
B-81 Kathleen A. Dickinson, et al. v. A.G. [D. Minn.| 4-84-CIV-5p3 [rs er 4Edwards & Sons, Inc., et al,, acLaughlin
| | |	| | | I |

oo Ba - ST 1 -
. . . "Ca Document5 Filed 06/01/15 Page 41 of 58 |
JEML FORM 1 SEM Lid xn Listing of Involved Actions -- p. 8
. DOCKET NO. 581 -—- oo
SS
Intra- District Civil ‘ Date of
Office and Action TransferflransfereePismissal
Number Caption Judge Number Date pocket No.pr Remand Misc.
5-82 | EA Springborn, et al. PN M.D.Tenn. 3-84-0455 | I/ SE fv - 5/45 33/5	r ord Co., et al, ~ -4\ Wiseman . |
(Si vedsed 2 \ PN | :
B-83 william J. Hogan, et al. v. Paine, N.D.Ill,| 84C-5583 g|i7/4 §9- 26S V3 /)Webber, Jackson & Curtis, Inc.,, et aljMarshall : ’
E44) {0
XYZ-84 Genevieve Novicky v. Paine, Webber S.D.N.Y. 84 Civ 625- } 9/47 ,Jackson & Curtis, Inc. Brieant Le
XYZ-85 Joseph T. Moffatt, etc. Vv. Drexel S.D.N.Y. 84 Civ 1673... __
Burnham Lambert, Inc., et al. Brieant ~ 3704s
XYZ-86 Marvel S. Flatoff v. Drexel Burnham |S.D.N.Y.84 Civ 170 oY 0)Lambert, Inc. Brieant .
XYZ-87 Mary Dippolito, etc. V. Moseley S.D.N.Y.[84 Civ 3084 oo NE eb S [ 35 :Hallgarten Eastabrook & Weeden, .
Inc. i i ;
Cc-88 Harry Moran, et al. v. Merrill, Lynch,| M.D.Fla}-84-0723 Jofe3]¢4 g4-284/ ) :
Pierce, Fenner Sr Inc., et al. Castagn ‘Oppo sis] s4 50/4 ~ X-5Y
Cc-89 Dale Schroeder, et al. v. A. G. E.D.Mo.| 84-1648-C- 512k Sig |S LIESEdwards & Sons, Inc. Bl 1 Filippihe 2
Cc-90 Tony H. Hughey, et al. v. Jack .D.Tenn, 84-2574-HB S- SLY RTE ATIVAN BA LEY
Dowell, et al. - Sj7jgy Horton :
c-91 Roland	A. Kline, et al. v. E.F. S.D.Caly 84-1538-JL% ||| RELEASE Jg=
H ton & KO. Inc., et al- HA Irving (CM) fOSHC i 4A, 3 NS | J eeCc-92 Kermit W. Studer, et al. v. Piper TN.D.Iowg 2C84-3060 AST V8 Yi S $3
Jaffray & Hopwood, Inc., et al. [| |0'Brien
ENING § |
| . | | 4 ,

iy ne co So a oo B rr a ch B
3 FORM 1 Case MDL No. 581 Document 5 Filed 06/01/15 Page 42 of 58 . . ‘oo
~~ Continuation e Listing of Involved Actions -- p. 2
DOCKET NO. _581 =-- _In re Baldwin-United Corporation Litigation ‘
Intra- Distric Civil : Date of
Office and Action TransferflransfereePismissal
Number Caption Judge Number Date [pocket No.pr Remand Misc.
C-93 Johanna F. Patterson v. Merrill Lynch, & Cog W.D.Tenn. {84-2603GA i §4-7307 C gs Det al. 9iz)8Yy VNR, {2 Gibbons ie . ,[jo
C-94 Harold Feinstein, M.D. v, A.G. Edwards & W.D.Tenn. |84-2600~-H/A VIL §4 2 OO s1if 4< [DSons, Inc. U2) 8% Horton oo
| c-95 | Seymour H. Mandell, et al. v. Merrill Lynch, |E.D.Mich. |84CV3891DT 2 [80 5-336 tf1] gs DPierce, Fenner & Smith, Inc., et gl. Pratt
SSSRAEI CH Bd <1 23)£7 o/ <
C-96 Ramen E. Townsend v. John G. Scott, et al. [M.D.N.C. |C-84-870-G 10f22]ed v4 7420S of gS 10	: TT \-%- Gordon ( e/ .
§4-78006 ses	TD
Cc-97 Juan R. Santarriaga v. Kidder, Peabody & S.D.Tex. |H-84-3440 10 2284
Co., Inc. \&M~ 2 Bue } ry > iy Shs
Cc-98 Allan McSwain v. Merrill Lynch E.D.Ky. | 84-34 je $4 §4f- joi /§ D
Fenner & Smith, Inc., et al.\D»~ Qs Bertelsmhan | |
| if
C-99 Mary Ann Burns v. Merrill Lynch, W.D.Mo, | 84-1023-CV I1iafed Yi-3372 s/h Jy D
Pierce, Fenner & Smith, Inc,., et al. |Hunter w-3 /
\C IED (21/64 94-50 < 1] 4S D	C-100 Ann Disser (Jones) v., Merrill Lynch, |{wW.D.N.CJ A-C-84-358 / | CL
Pierce, Fenner & Smith, Inc. \\S=A Jones Cc s//45D	| : : (U- 86 Co
Cc-101 Drs. Teague and McCartney & #ASS0C,, |5,D.IndJ IP84-1386C nf2ifsy
Inc., et al. v, E.F. Hutton Group, Noland
et al. \\¢ SPN
C-102 | Richard A. Pelto, et al. v. Smith, |W.D.WasH. 84-1419R Ais[85 §s- 1337 [9/4280Barney, Harris, Upham & Co., Inc. Rothstein FE
st al. \ SAY sppeard ffsy |
| | | | |

Co 1 Case MDL No. 581 Document5 Filed 06/01/15 Page 43 of 58	Coe FEN BMI, —_— , ) :
J FORM Continuation e Listing of Involved Actions =-- p. )O K
~ DOCKET NO. _581 -- —.
Intra- Distric Civil : Date of
Office and Action TransferffransfereepPismissal
' Numker Caption Judge Number Date [pocket No.pr Remand] Misc.
2d se e115
c-103 Marietta Bryapt v, E.F. Hutton & D.D.C. | 84-3106 18/9/84 35-639/ 7
Company, SEAR Ne “AN Green &
Cc-104 Leonard A, Kiernan, Jr, v. Merrill D.R.I. 84-0580 Yls a5 §5- 3020-194[90 ~Lynch, ierce, Fenner & Smith, Inc., |Pettine i :
: et al. REE oppdidl 121354 IN - olio/ss 1]
Cc-105 Jon C. Diffenderfer vag k: Hutton & |D.Nev. CV-LV-84- 18/1/64 55 Cl g=¥ / [5Company, Inc,, et al. .\ 5A Foley 703-RDF ;
18] A)§9| 35 2472 3/000]	C-106 Barbara Spiegelman v. udential- D.N.J. | 84-0893 A
Bache Securities, Inc.\y- 3-4 Gerry
_ _ _ PE Ey /
c-107 Sandra Watson, et l..v. .E. Hu obo S.D.Alaj 84-1267-C 4/14 195 ¥y St Ske 19/570)& Co., Inc., et al. RY SR . Cox [7] :	NES | Cl
Cc-108 [Frank J. Jost, et al. v. Edward D. S.D.Fla{ 84-6821-CI S\ As as 55-08 3/13/56 1DJones, et al. \- | -<x =< Roettger NCR ’yo i
NON ~~ —— Co / 4
Cc-109 Sigmund Westerman, et al. wv. D.N.J. 84-5123A > 5 gs ~0862 4/10/%: /)
Prudential _ Bache Securities, Inc., Ackerma
et al. \- 1 KN / / :	| a 5 CT a { 70 g
Cc-110 Keith E. Bogost v. Prudential Bache D.N.J. 84-1710 \ >| 55- 0563 Co D
Securities, Inc. \ 3 - N < Brotman
c-111 {Marvin Smith, et al. v. Merrill- W.D.Okld. 84-2801E ok 5 55-06 L/ [95DLynch, Pierce, Fenner & Smith, Inc., Eubanks
et al. \-*\ - FS	Co CT . . CCN [.
c-112 Harvey Kleiner, et al. v. Stifel- .D.Wisc| 84~-C-1427 lag 3 1k af > 13/5 .Nicolaus & Co., Inc., et a1 hess Curran j: SHAP
Cc-113 Joseph Cerasoli, et al. v. Edward v.D. MichM84-299CA2 2J28/3 §S-1Koa b(20/56
Jones & Co. IVS Hillman
~
so) |

Document5 Filed 06/01/15 Page. 44 of 58 oo
| Jem ForM 1 Sasi	En Listing of Involved Actions -- p. +f =
DOCKET No. 584 —-
ee
Intra- Distric Civil Date of
Office and Action TransferfTransfereePismissal
Number Caption Judge Number Date Pocket No.br Remand Misc.
se <3 ©
c-114 Sumner E. Robinson, et a 3 Planco,| D.Mass.| 84-4037-MA [BRS 3s-Y IZ YohInc. 2.25/85 7% 5S azzone | i _
C-115 State of Tennessee, et al. v. Edward [M.D.Tenn|, 3-85-0143 5325S
D. Jones & Co., Pam ”?> |Neese ove5¢ lptyfaod	g . Ho end . 9	J <a,
C-116 State of RAE t x3 Ve W.D.Tennj. 85-2116-cB5P 7 55PaineWebber, Inc, 1 ) Gibbons %ord Ss lo ed g5-42€ 1 (7% 7o.c-117 State of Tennessee, et al. v. W.D.Tennf. 85-2117-GB Gla) :
Segre Lehman/American Express, Ind.Gibbons ’
LE 9x oppoed 34S p py_> SK 7529)c-118 Moses Kando, et al. v. E.F. Hutton D.R.I. |CA85-0155 |5-3%2S 5S f i 794,
& Co., Inc., et al. Te) 55 Selya
a yoy 2/13/50Cc-119 Alan T. Bennett v. Legg Mason Wood D. Md. |M84-4657 SER Qs- ~7
Walker, Inc. << Miller ,	&/8/3 - | es
| | | ls3 i : aL pe p yl TACO
Cc-120 Mary Grace Mikula v. Kidder, Pegbodf. |Db Bonig ls pH =
& Co., Inc., et al. 5/8125 ate cHl \ €
C=-121 Vincent J. Gasparro v. Tucker, Anthony D.R.I.|{CA85-0142 6/1/85 §s—S&76 09/8 D
& R. L. Day, Inc., etc. gs 9/85 Selya
| OAR ce Y SALAS /31 ~	g - ’ gf ; NN ve
: ¢ > oi SS Ani i A ok tr A
C-122 State of Georgia v. Mefrjll Fyn 24 D. Lo ésSIA ts J ~ I 8l Jaca ®Company, Inc., et a¥.\- 4&3, erécfhdn SE T677 a oto
3 Ras ahk8)
:
| TT

REA : So - Ss < E Ai SY EAR co
Case MDL No. 581 Document 5 Filed 06/01/15 Page 45 of 58JBML FORM 1 -- Continuation es J . \
Ye Listing of Involved Actions -- p.12
DOCKET No. 581 -- In re Baldwin-United Corporation Litigation
Intra- Distric Civil : Date of
Office and Action TransferTransfereepPismissal
Number Caption Judge Number Date pocket No.pr Remand Misc.
@-123 | Gaetano Lapriore, ot 21. ve. E.F. Hutton D.Mass{ 85-2155-S 6|21/85 [EERIE I FTA	and Company, Inc. \;—. <AS Skinner - fo.
C-124 | Robert R., Garrison, et al. v. Merrill |S.D.Ohi¢ C-2-85-378 bfifes ¢g-5 7% 9 bulge :Lynch, Pierce, Fenner & Smith, Inc., Duncan
et al. \ 5-42 _ o.
c oo Co bl2i/8s cua | alibi	-125 | Marian Steinberg v. Merrill Lynch, E.D.Pa.| 85-1916 Veo L \
ierce, ,Fenner & Smith, Inc., et al. Kell
(res ! of ¢ /. NC-126 | Elizabeth K. Adrian, et al. v. Allen |W.D.Tenp. 85~2066-GA Lifes 55-5 TY g/t RSGreen, et at.\ -<sid. 5 Gibbons
C-127 {State of Tennessee, et al. v. Stifel, |Tenn.,WJ 85-2250-GA Lpshs Js -5s3dp 9/polo<Nicholaus & Co., Inc. o/1/85 Gibbons | shee
XY7-128 John Suhbier, et al., etc. V. Tucker S.D.N.Y.| 84 civ 8802
Anthony & R. L. Day., inc., et L
al. <//9 =
S.D.N.Y.| 84 Civ 7297
XYZ-129 Evelyn Kardon, etc. v. Herzfeld & i}
Stern, et al. 5) /¢: BRNAe NN \
iv. 657 AYXYZ-130 Donald H. Wert, et al. v. Blont Ellis S.D.N.Y.[84 Civ.
Lowei, Inc., et al. chk
XYZ-131 Joseph T. Moffatt, et al. Vv. Drexel S.D.N.Y. 84 Civ 1673
Burnham Lambert, Inc., et al. ne} s ils
XYZ-132 Helen W. Shankroff, et al. v. S.D.N.Y|84 Civ 407
Advest, Inc., et al.
XYZ-133 J. R. Graham, et al. v. Bateman Eichl E/p.N.Y 85 civ 279 |-- J PU § | JeHill Richards, Inc., et al.
| |	(/ ys al / , : } ) 7 | TY 2H J	stot LA 3 - / ] - - /
| Hp 1955 FL TR3% "2 Lio AT Artes | C122] HTT

: Cas i Document 5 Filed 06/01/1
JEML FORM 1 THiitih@a®ion lled 06/01/15 R398 £00158 Involved Actions -- p. *_
DOCKET NO. S55 / --
Intra- Distric Civil : Date of
Office and Action TransferTransfereepismissal
Number Caption Judge Number Date Pocket No.pr Remand Misc.
D-134 |Frank Castiglia v. Merrill lynch, MOD.Fla} 85-0606- Yoo [fT )O)29/¢ NPierce, Fenner & Smith, Ine N\\p'¥S Hodges CIV-ORL
D-135 Leonard A. Kidrnang J x, v/fCerasg . BRA. AY85-0323-B \al tas avin { Div gi ( dur | amen” } oo Nace, bg	» 7 4/37) 7g } .
D-136 | Mary _Bussman Ye. Paj FWebber) Inc. , 7 7 on Co 6-0039 - Vacaked CTO
ERS PE fasA — ~ Y 2 Los
Ce)74 Gio [NRA 10 A | fO8 ZRF | Jo]	. D=137 Ronald E. Lasinski et al. v. Manley, E.D.Mich |85-Cv-74049DT'+%)q SL=. ; NIA Cd ro
Bennett, McPonald & Co. et al. Guy, Jr ed, C67 /fetliy) i o: ed
XYZ-138 | Eichelsbacher v. Shearson/American Experss N.Y.,S. [84-1546 9Jf20
XYZ-139 | Chupko v. Paine Wevver Jackson & Curtis N.Y.,S. [84-1547 | 9/4) 90
1757) 7]	2 0277 Leo ff “25	A ,
XYZ-140 | Steven A. Perell, et al. v. Rotan Mosle, N.Y.,S. | 84Civ.8879 TL h J
Inc., et al. , 7 4/200
ra a ya g. ] h
12 : Zo - dae ’ & E
Vad y ZR 77 Ai
|
| Co| : A |

JPMI: Form 4
No ATTORNEY SERVICE LISTJUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET No. 581 -- In re Baldwin United Corporation Litigation = =
LIAISON COUNSEL FOR PLAINTIFFS PAINE, WEBBER, JACKSON & CURTIS, INC.
Lawrence Milberg, Esquire Martin P. Unger, Esquire
Milberg, Weiss, Bershad, Specthrie ~ Gaston, Snow, Beekman & Bogue
& Lerach - 14 Wall Street
One Pennsylvania Plaza New York, New York 10005
New York, New York 10119
JANEY MONTGOMERY SCOTT, INC.
THOMSON MCKINNON SECURITIES INC. John F. Lauro, Esquire
Kenneth V. Handal, Esquire Morgan, lewis & Bockius
Hall, McNicol, Hamilton & Clark 101 Park Avenue
The News Building New York, New York 10178
220 East 42nd Street
New York, New York 10017 E.F. HUTTON & CO., INC.
SMITH BARNEY HARRIS UPHAM, INC.
PRUDENTIAL-BACHE SECURITIES INC. E.F. HUTTON GROUP, INC.
John M. Friedman, Jr., Esquire SBHU LIFE AGENCY, INC.
Dewey, Ballantine, Bushby, Palmer Thomas F. Curnin, Esquire
& Wood Cahill, Gordon & Reindel
140 Broadway 80 Pine Street
New York, New York 10005 New York, New York 10005
KIDDER PEABODY & CO., INC. MERRILL LYNCH PIERCE FENNER & SMITH, INC.
KIDDER PEABODY INSURANCE AGENCY, INC. MERRILL LYNCH LIFE AGENCY, INC.
Richard E. Carlton, Esquire MI. LIFE AGENCY
Sullivan & Cromwell WILLIAM S. SCHUMACHER
125 Broad Street ROGER E. BIRK
New York, New York 10004 DAKIN B. FERRIS
W. A. SCHREYER
SHEARSON/AMERICAN- EXPRESS, INC. RANDY WEBER
ROBINSON HUMPHREY CO., INC. MERRILL LYNCH & CO., INC.
Harvey D. Myerson. oy OPPENHEIMER AND CO., INC.
Pintey, Kumble. Wagner, Heine, James B. Weidner, EsquireUnderberg, Manley & Casey Louise Sommers, Esquire
425 Park Avenue Rogers & Wells
New York, NY 10022 200 Park Avenue
ee New York, New York 10166

JPML FORM 4A -- Continuation
Panel Attorney Service List -- p. 2
DOCKET NO. -—
A. G. EDWARDS & SONS BOENNING	& SCATTERGOOD, INC.
William Richter, Esquire William M. Shields, Esquire
Peper, Martin, Jensen, Maichel Monteverde, Hamphill, Maschmeyer
& Metlage & Obert
24th Floor 1610 Two Penn Center Plaza
720 Olive Street 15th & John F. Kennedy Blvd.
St. Louis, Missouri Philadelphia, PA 19102
UNIVERSITY LIFE INS. CO. OF AMERICA PARKER HUNTER, INC.
Richard C. Cole, Esquire James D. Morton, Esquire
LeBoeuf, Lamb, Leiby & MacRae Buchanana Ingersoll, P.C.
520 Madison Avenue 57th Floor
New York, New York 10022 600 Grant Street
Pittsburgh, PA 15219
PLANCO, INC, :
Richard Levy, Jr., Esquire PIPER JAFFRAY AND HOPEWOOD, INC.
Esanu, Katsnky, Karins & Siger Wendy J. Wildung, Esquire
500 5th Avenue Faegre & Benson
New York, New York 10110 2300 Multifoods Tower
33 South South Sixth Street
S. WAYNE GRIFFITH Minneapolis, Minnesota 55402
BALDWIN-UNITED INS. CO.
MORLEY THOMSON BACHE, HALSEY, STUART, SHIELDS, INC.
Hugh Rowland, Jr., Esq. LL Daniel E. Bacine, Esquire
Debevoise & Plimton Barrack, Rodos & Bacine
875 Third Avenue Suite 2100
New York, New York 10022 1845 Walnut Street
Philadelphia, PA 19103
PEAT, MARWICK, MITCHELL & CO.
John C. Elam, Esquire BREWSTER HARRINGTON
Vorys, Sater, Seymour & Pease W. Emmett Marston, Esq.
52 East Gay Street 705 Union Planters Bank Bldg.Memphis, TN 38103
P.O. Box 1008
Columbus, Ohio 43216 —TT Te
HAROLD C. PIPER, JR.
W. H. NEWBOLD'S SONS & CO. HAROLD J. BLOOM (Deft. C-92)
James S. Gkonos, Esquire Patrick M. Roby, Esquire
Drinker, Biddle & Reath 500 MNB Bldg., P.O. Box 2107
1100 PNB Bldg. Cedar Rapids, Iowa 52406
| Broad & Chestnut Streets
| Pittsburgh, PA 19107 JACK DOWELL
| WILLIAM HARRISON
William E. Frulla, Esquire
Waring Cox
- 1100 First Tennessee Bank Bldg,
“Memphis, Tennessee 38103

JPML FORM 2A -- Continuation e
Counsel of Record -- p.
DOCKET No. 581 -- _In re Baldwin-United Corporation Litigation
FRANK CASTIGLIA _(D-134) RONALD E LASINSKI (D-137)
S. Victor Tipton, Esq. Michael H. Whiting, Esq,
Steven Burrage, Esq. 1650 West Big Beaver Road Suite 210
15 South Magnolia Avenue Troy, Michigan 48084
Orlando, FL 32801
LEONARD A. KIERNAN, JR. (D-135)
James J. longolucco, Esqgs.
43 Broad Street
Westerly, Rhode Island 02891
GERARD J. VENABLE, ALIAS (Deft. in D-13§)
Deming E. Sherman, Esq. ee
2700 Hospital Trust Tower ee
Providence, Rhode Island 02903
: Defendants (D-137)
Mary Bussmann D-136 MANLEY, BENNETT, MCDONALD & COMPANY
Theodore R. Shamir, ir. £yg KENNETH OSLER, RICHARD BURMAN
) 3609 N., Dixie Drive DAVID S. .COOPER, and NOEL RESCHKE
Dayton, Ohio 45414 Alan M. Greene .
Co : Dykema, Gossett, Spencer, Goodnow &
Defendants D-136 Trigg
Donald Massa : 400 Renaissance Center - 35th Floor
c/o Paine Webber, Inc, Detroit, Michigan 48243
First National Bank Center
Suite 2400
425 Walnut Street
Cincinnati, Ohio 45202
Darrell Newland .
c/o Paine ‘Webber, Inc.
8301 Greensoboro .Drive
McLean, Virginia 22102
— Gillette
7827 eon Grose cout (SC	Cincinnati, OhT 44 TAs

} ‘ . JPML. FORM 3 p. _/
COMMON PARTY CHECKLIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION §
DOCKET NO. 9 &/ -- |
— Named as Party in Following Actions
IEEE 12
Thomson McKinnon - : - =
Securities Inc
5
5, 7. 9. 10. 12. 14. 16. 18, 10. 20, 21 » 41, 2. £7 |
E. F. Hutton & Co., Inc. 255 N14 SAN F-7¢ bog, Co. 3\ (LPL
Merrill Lynch Pierce 626 37 72 B37 38, LZ Bl ADN Fenner & Smith, Inc. 728 , C-75 C—A%, C-IN_C\ A	WCE.	477]
| , , : 4, 25, 26, 27,3 33. 74, YFMerrill Lynch Life Agency 6,11 17 ‘ ’ ; . Lf 2 :
tne, on tk CE, C43, E78 CR CAT
Life Agency, Inc. 33 IT 23, 2433 Sas
. . ‘a 8, 28, 29, 36, 72883 37 B-Gl, N-LA NLT,
‘Prudential Bache Securities #2 39277 TNN Cleo C-\Db Cod y/o, TA |
yw | ne. FEE NE
17, 22, 23, 24, 25, 26, 27, 32, 33. 70,0559 |
, Merrill Lynch & Co., Inc. an. C-93.C2/72 CARA _ 98 Cig |]
15, 8-54, 5 «OD p> (-R7, C94 (C-\J\ |
William S. Schumacher -—
53,23, 24, 25, 27,32, A&C
“Roger E. Birk ee]
~ -—
WW. A. SoChreyer FFE EEE CN

Pe _w2l R }
41 C- \A
E. F. Hutton Group, Inc.
1
Janney Montgomery Scott {35 ,(-//% ~
Inc. n |
ee
planco, Inc. 358058 COA CAO Lol 2772 CA	’ 5. 222 =v	y=
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Shearson American Express [40, 7&/ A.5¢ 5 { J Ith. VI. -\3 (-\L.Cz7 |
Inc. SEU A DARA EE A A
aka Shesess~ Lehman he | “ov ————— — ———
ee
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COMMON PARTY CHECKLIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET No. 5&/ --
| __ Name of Part a Named as Party in Fpllqwing Actions\ a Rv
University Life Ins. Co. 1, 7,	8-57 DS |S —of America _
S. Wayne Griffith 0
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LC =z:
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oo eo JPML. FORM 3 5Pe.
COMMON PARTY CHECKLIST —- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET NO. 581 --
— Named as Party in Following Actions
John Ke, Bradburn =A EI |
\ ov NE
Bo beam. Hem phasy [4 od
X EE ELAM	NE
J.C. Bradford & Company -—
James W. Davant —
Doand R Bishop ML mre
Haug ee
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COMMON PARTY CHECKLIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET No. 581 -- ee
Named as Party in Following Actions
— 1 U =m
E.F. Hutton Trust Company -
E.F. Hutton Financial —
Services 1
1|
E.F. Hutton Life Ins.,
Co.
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COMMON PARTY CHECKLIST -- JUDICIAL PANEL ON MULTIDISTRICT LITIGATION
DOCKET No. _581 —-
Named as Party in Following Actions
Cavrard J. Venable, Alias v-iss
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