u.s. district court district of nebraska (8...
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US District Court Civil Docket as of 08/31/2004 Retrieved from the court on Tuesday, October 17, 2006
U.S. District Court District of Nebraska (8 Omaha)
CIVIL DOCKET FOR CASE #: 8:03-cv-00421-JFB-PRSE
Keener v. Ameritrade Holding et al (PAPER FILE) Assigned to: Chief Judge Joseph F. Bataillon Referred to: Pro Se Docket Cause: 28:1332 - Diversity: Securities & Exchange Commiss
Date Filed: 10/10/2003 Jury Demand: Plaintiff Nature of Suit: 990 Other Statutory Actions Jurisdiction: Diversity
Plaintiff Denton L. Keener et al , Pro Se, and on behalf of all others similarly situated doing business as Raging Bull Holdings agent of The Raging Bull Investment Group LLC
represented by Denton L. Keener 177 Walnut Street Suite 9 Waynesville, NC 28786 (828) 734-2097 PRO SE
V.
Defendant
Ameritrade Holding Inc., et al
represented by Joshua D. Yount MAYER, BROWN LAW FIRM - ILLINOIS 71 South Wacker Drive Chicago, IL 60606-4637 (312) 782-0600 Fax: (312) 701-7711 Email: [email protected] ATTORNEY TO BE NOTICED Robert J. Kriss MAYER, BROWN LAW FIRM - ILLINOIS 71 South Wacker Drive Chicago, IL 60606-4637 (312) 782-0600 Fax: (312) 701-7711 Email: [email protected] ATTORNEY TO BE NOTICED Patrick B. Griffin KUTAK, ROCK LAW FIRM
1650 Farnam Street Omaha, NE 68102-2186 (402) 346-6000 Fax: (402) 346-1148 Email: [email protected] ATTORNEY TO BE NOTICED
Defendant
J. Joe Ricketts represented by Joshua D. Yount (See above for address) ATTORNEY TO BE NOTICED Robert J. Kriss (See above for address) ATTORNEY TO BE NOTICED Patrick B. Griffin (See above for address) ATTORNEY TO BE NOTICED Thomas H. Dahlk BLACKWELL, SANDERS LAW FIRM - OMAHA 1620 Dodge Street Suite 2100 Omaha, NE 68102 (402) 964-5000 Fax: (402) 964-5050 Email: [email protected] ATTORNEY TO BE NOTICED
Defendant
Gene L. Finn represented by Joshua D. Yount (See above for address) ATTORNEY TO BE NOTICED Robert J. Kriss (See above for address) ATTORNEY TO BE NOTICED Patrick B. Griffin (See above for address) ATTORNEY TO BE NOTICED Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED
Defendant
Knight Trading Group Inc., et al
represented by Janet A. Beer CAHILL, GORDON LAW FIRM 80 Pine Street New York, NY 10005 (212) 701-3418 Fax: (212) 269-5420 Email: [email protected] ATTORNEY TO BE NOTICED Jessica B. Liberman CAHILL, GORDON LAW FIRM 80 Pine Street New York, NY 10005 (212) 701-3000 Fax: (212) 269-5420 Email: [email protected] TERMINATED: 08/26/2004 Kristen L. Hauser CAHILL, GORDON LAW FIRM 80 Pine Street New York, NY 10005 (212) 701-3000 Fax: (212) 269-5420 Email: [email protected] TERMINATED: 04/01/2004 Thorn Rosenthal CAHILL, GORDON LAW FIRM 80 Pine Street New York, NY 10005 (212) 701-3823 Fax: (212) 269-5420 Email: [email protected] ATTORNEY TO BE NOTICED Angela M. Lisec BLACKWELL, SANDERS LAW FIRM - OMAHA 1620 Dodge Street Suite 2100 Omaha, NE 68102 (402) 964-5000 Fax: (402) 964-5050 Email: [email protected] ATTORNEY TO BE NOTICED Theresa D. Koller BLACKWELL, SANDERS LAW FIRM -
OMAHA 1620 Dodge Street Suite 2100 Omaha, NE 68102 (402) 964-5017 Fax: (402) 964-5050 Email: [email protected] ATTORNEY TO BE NOTICED Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED
Defendant
Kenneth D. Pasternak represented by Janet A. Beer (See above for address) ATTORNEY TO BE NOTICED Jessica B. Liberman (See above for address) TERMINATED: 08/26/2004 Thorn Rosenthal (See above for address) ATTORNEY TO BE NOTICED Angela M. Lisec (See above for address) ATTORNEY TO BE NOTICED Theresa D. Koller (See above for address) ATTORNEY TO BE NOTICED Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED
Defendant
Steven L. Steinman represented by Janet A. Beer (See above for address) ATTORNEY TO BE NOTICED Jessica B. Liberman (See above for address) TERMINATED: 08/26/2004 Kristen L. Hauser
(See above for address) TERMINATED: 04/01/2004 Thorn Rosenthal (See above for address) ATTORNEY TO BE NOTICED Angela M. Lisec (See above for address) ATTORNEY TO BE NOTICED Theresa D. Koller (See above for address) ATTORNEY TO BE NOTICED Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED
Defendant
Walter F. Raquet represented by Janet A. Beer (See above for address) ATTORNEY TO BE NOTICED Jessica B. Liberman (See above for address) TERMINATED: 08/26/2004 Kristen L. Hauser (See above for address) TERMINATED: 04/01/2004 Thorn Rosenthal (See above for address) ATTORNEY TO BE NOTICED Angela M. Lisec (See above for address) ATTORNEY TO BE NOTICED Theresa D. Koller (See above for address) ATTORNEY TO BE NOTICED Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED
Defendant
Robert M. Lazarowitz represented by Janet A. Beer (See above for address) ATTORNEY TO BE NOTICED Jessica B. Liberman (See above for address) TERMINATED: 08/26/2004 Kristen L. Hauser (See above for address) TERMINATED: 04/01/2004 Thorn Rosenthal (See above for address) ATTORNEY TO BE NOTICED Angela M. Lisec (See above for address) ATTORNEY TO BE NOTICED Theresa D. Koller (See above for address) ATTORNEY TO BE NOTICED Thomas H. Dahlk (See above for address) ATTORNEY TO BE NOTICED
Date Filed # Docket Text
10/10/2003 1 COMPLAINT with jury demand against all defendants; Ameritrade Holding, Gene L. Finn, Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, J. Joe Ricketts, and Steven L. Steinman. No Summonses issued, with receipt number 817347, in the amount of $ 150.00; filed by Plaintiff, Denton L. Keener (Attachments: # 1)(KBJ) (Entered: 10/16/2003)
10/10/2003 2 CIVIL COVER SHEET (KBJ ) (Entered: 10/16/2003)
10/10/2003 3 NOTICE by Clerk acknowledging receipt of complaint filed by a pro se party. (KBJ) (Entered: 10/16/2003)
10/28/2003 4 Summons Issued (COPY) as to defendant Ameritrade Holding, Gene L. Finn, Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, J. Joe Ricketts, Steven L. Steinman. (TJS, ) (Entered: 10/28/2003)
12/15/2003 5 MOTION for Extension of Time to File Answer by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 12/15/2003)
12/16/2003 6 ORDER granting 5 Motion for Extension of Time to Answer. Answer Deadline set for 1/16/04, as to Defendant Ameritrade Holding Corporation, J. Joe Ricketts and Gene L. Finn. Signed by Deputy Clerk on 12/16/2003. (TJS, ) (Entered: 12/16/2003)
12/16/2003 7 NOTICE of Appearance by Attorney Thomas H. Dahlk on behalf of Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman (Dahlk, Thomas) (Entered: 12/16/2003)
12/16/2003 8 NOTICE of Appearance by Attorney Theresa D. Koller on behalf of Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman (Koller, Theresa) (Entered: 12/16/2003)
12/16/2003 9 NOTICE of Appearance by Attorney Angela M. Lisec on behalf of Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman (Lisec, Angela) (Entered: 12/16/2003)
12/16/2003 10 MOTION for Extension of Time to File Answer by Attorney Thomas H. Dahlk on behalf of Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman (Dahlk, Thomas) (Entered: 12/16/2003)
12/16/2003 11 ORDER granting 10 Motion for Extension of Time to Answer. Answer Deadline set for 1/16/04, as to Defendants Knight Trading Group, Inc., Kenneth D. Pasternak, Steven L. Steinman, Walter F. Raquet and Robert M. Lazarowitz. Signed by Deputy Clerk on 12/16/2003. (JSF) (Entered: 12/16/2003)
12/19/2003 12 APPLICATION/ORDER admitting pro hac vice Attorney Thorn Rosenthal for Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman. Signed by Deputy Clerk on 12/19/2003. (KBJ) (Entered: 12/22/2003)
12/22/2003 13 ATTORNEY LETTER by Clerk that Attorney Thorn Rosenthal has not registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (KBJ) (Entered: 12/22/2003)
12/31/2003 14 APPLICATION/ORDER admitting pro hac vice Attorney Joshua D. Yount for Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts. Signed by Deputy Clerk on 12/31/2003. (KBJ) (Entered: 12/31/2003)
12/31/2003 15 APPLICATION/ORDER admitting pro hac vice Attorney Robert Kriss for Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts. Signed by Deputy Clerk on 12/31/2003. (KBJ, ) (Entered: 12/31/2003)
01/08/2004 16 APPLICATION/ORDER admitting pro hac vice Attorney Kristen L. Hauser for Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman. Signed by Deputy Clerk on 1/8/2004. (TJS, ) (Entered: 01/09/2004)
01/08/2004 17 DUPLICATE APPLICATION/ORDER admitting pro hac vice Attorney Thorn Rosenthal for Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman. Signed by Deputy Clerk on 1/8/2004. (TJS, ) (Entered: 01/09/2004)
01/08/2004 18 APPLICATION/ORDER admitting pro hac vice Attorney Janet A. Beer for Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman. Signed by Deputy Clerk on 1/8/2004. (TJS, ) (Entered: 01/09/2004)
01/09/2004 19 ATTORNEY LETTER by Clerk that Attorney Janet A. Beer has not registered for the system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (TJS, ) (Entered: 01/09/2004)
01/09/2004 20 ATTORNEY LETTER by Clerk that Attorney Kristen L. Hauser has not registered for system. If the requested action is not taken within fifteen (15) days of the date of this letter, this matter will be referred to the assigned magistrate judge for the entry of a show cause order. (TJS, ) (Entered: 01/09/2004)
01/16/2004 21 MOTION to Dismiss and Motion to Strike by Attorney Thomas H. Dahlk on behalf of Defendants Gene L. Finn, Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, J. Joe Ricketts, Steven L. Steinman (Dahlk, Thomas) (Entered: 01/16/2004)
01/16/2004 22 BRIEF in Support of Motion to Dismiss21 and Motion to Strike by Attorney Thomas H. Dahlk on behalf of Defendants Gene L. Finn, Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, J. Joe Ricketts, Steven L. Steinman (Dahlk, Thomas) (Entered: 01/16/2004)
01/16/2004 23 MOTION to Dismiss Complaint by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 01/16/2004)
01/16/2004 24 BRIEF in Support of Motion to Dismiss23 by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 01/16/2004)
01/16/2004 25 INDEX in Support of Motion to Dismiss23 by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Attachments: # 1 # 2 # 3 # 4 # 5 # 6 # 7 # 8 # 9 # 10 # 11 # 12 # 13 # 14 # 15 # 16 # 17 # 18 # 19 # 20 # 21 # 22 # 23 # 24)(Griffin, Patrick) (Entered: 01/16/2004)
01/16/2004 26 MOTION to Deny Class Certification by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 01/16/2004)
01/16/2004 27 BRIEF in Support of Motion for Miscellaneous Relief26 Denial of Class Certification by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 01/16/2004)
01/16/2004 28 INDEX in support of Motion for Miscellaneous Relief26 Denial of Class Certification by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Attachments: # 1 # 2 # 3 # 4 # 5 # 6 # 7 # 8 # 9 # 10 # 11 # 12 # 13 # 14 # 15 # 16)(Griffin, Patrick) (Entered: 01/16/2004)
01/20/2004 29 MOTION for Oral Argument regarding MOTION to Deny Class Certification26, MOTION to Dismiss and Motion to Strike21, MOTION to Dismiss Complaint23 by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene
L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 01/20/2004)
01/30/2004 30 ORDER granting 26 Motion to deny class certification insofar as no class will be certified at this time; and the Motion for oral argument 29 is denied without prejudice. Signed by Magisrate Judge F. A. Gossett on 1/30/2004. (KBJ) (Entered: 01/30/2004)
02/20/2004 31 MOTION to Deny Definitively Class Certification and Stay Action Pending Arbitration by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 02/20/2004)
02/20/2004 32 BRIEF in Support Motion for Miscellaneous Relief31 by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 02/20/2004)
02/20/2004 33 INDEX in Support of Motion for Miscellaneous Relief31 by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Attachments: # 1 # 2 # 3 # 4 # 5 # 6 # 7 # 8 # 9 # 10 # 11 # 12 # 13 # 14 # 15 # 16 # 17 # 18 # 19 # 20 # 21 # 22 # 23 # 24 # 25 # 26 # 27)(Griffin, Patrick) (Entered: 02/20/2004)
04/01/2004 34 ORDER that in light of District Judge Thomas M. Shanahan's retirment to senior status, is it necessary to reassign Judge Shanahan's pending civil cases. Judge Joseph F. Bataillon added. Judge Thomas M. Shanahan no longer assigned to case. Signed by Judge Richard G. Kopf on 4/1/2004. (PSM, ) (Entered: 04/01/2004)
04/01/2004 35 Mail Returned as Undeliverable addressed to Kristen Hauser regarding Order 34. NOT RESENT to Ms. Hauser. She has left the firm; Mr. Thorne Rosenthal is getting ECF notice. (KBJ) (Entered: 04/06/2004)
04/08/2004 36 MOTION to Withdraw as Attorney for Kristen Hauser by Attorney Thomas H. Dahlk on behalf of Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman (Dahlk, Thomas) (Entered: 04/08/2004)
04/12/2004 37 APPLICATION/ORDER admitting pro hac vice Attorney Jessica B. Liberman for Defendants Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, Steven L. Steinman. Signed by Deputy Clerk on 4/12/2004. (KBJ, ) (Entered: 04/13/2004)
04/23/2004 38 ORDER granting 36 Motion to Withdraw as Attorney of Kristen Hauser. Signed by Magistrate Judge F. A. Gossett on 4/23/2004. (copies as directed) (KBJ) (Entered: 04/23/2004)
04/23/2004 39 Mail Returned as Undeliverable addressed to [email protected] regarding Order on Motion to Withdraw as Attorney38. NOT RESENT; Angie Janke is no longer with this firm. (KBJ) (Entered: 04/26/2004)
04/29/2004 40 MOTION for Leave to File Memorandum Addressing Issues Raised by Co-Defendants' Motion to Compel Arbitration by Attorney Thomas H. Dahlk on behalf of Defendants Gene L. Finn, Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, J. Joe Ricketts, Steven L. Steinman (Attachments: # 1 Exhibit)(Dahlk, Thomas) (Entered: 04/29/2004)
05/21/2004 41 MOTION for Leave to File Brief by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Attachments: # 1 Tendered Brief)(Griffin, Patrick) (Entered: 05/21/2004)
07/19/2004 42 MEMORANDUM AND ORDER that 21 the Motion to Dismiss and Motion to Strike filed by theKnight Defendants, is granted insofar as: (a) certification of a plaintiff class is denied; and(b) by August 20, 2004, the plaintiff shall file an Amended Complaint in compliance withthis Memorandum and Order; That, in the absence of a timely and sufficient Amended Complaint, theplaintiff's claims against the Knight Defendants may be subject to dismissal upon arenewed motion by those defendants;And 23 the Motion to Dismiss Complaint filed by the Ameritrade Defendants, is denied as moot in light of 31; 31 the Motion to Deny Definitively Class Certification and toStay Action Pending Arbitration filed by the Ameritrade Defendants, is granted; That, upon the filing of the plaintiff's Amended Complaint, the AmeritradeDefendants may reassert a motion to compel arbitration; if the motion is filed, the plaintiff'sclaims against the Ameritrade Defendants will be stayed pending arbitration; In the absence of a timely and sufficient Amended Complaint, theplaintiff's claims against the Ameritrade Defendants may be subject to dismissal upon arenewed motion by those defendants; and the Motions for Leave 40 and 41 are granted, and the briefs attached to thosemotions are accepted for filing instanter. Signed by Judge Joseph F. Bataillon on 7/19/2004. (KBJ) (Entered: 07/19/2004)
08/25/2004 43 MOTION to Dismiss (Renewed) by Attorney Patrick B. Griffin on behalf of Defendants Ameritrade Holding, Gene L. Finn, J. Joe Ricketts (Griffin, Patrick) (Entered: 08/25/2004)
08/25/2004 44 MOTION to Dismiss (Renewed) by Attorney Thomas H. Dahlk on behalf of Defendants Gene L. Finn, Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, J. Joe Ricketts, Steven L. Steinman (Dahlk, Thomas) (Entered: 08/25/2004)
08/26/2004 45 Mail Returned as Undeliverable addressed to Jessica Liberman regarding MOTION to Dismiss (Renewed)44. NOT RESENT; Ms. Liberman is no longer with the firm. (KBJ) (Entered: 08/26/2004)
08/27/2004 46 Mail Returned as Undeliverable addressed to Jessica Liberman regarding MOTION to Dismiss (Renewed)43. NOT RESENT; NO LONGER WITH THE FIRM. (KBJ, ) (Entered: 08/27/2004)
08/30/2004 47 NOTICE of Withdrawal of Jessica Liberman by Attorney Thomas H. Dahlk on behalf of Defendants Gene L. Finn, Knight Trading Group, Robert M. Lazarowitz, Kenneth D. Pasternak, Walter F. Raquet, J. Joe Ricketts, Steven L. Steinman (Dahlk, Thomas) (Entered: 08/30/2004)
08/31/2004 48 MEMORANDUM AND ORDER granting 43 Motion to Dismiss, granting 44 Motion to Dismiss. Pursuant to Fed. R. Civ. P. 58, a separate judgment will be entered inaccordance with this Memorandum and Order. Signed by Judge Joseph F. Bataillon on 8/31/2004. (ADB) (Entered: 08/31/2004)
08/31/2004 49 JUDGMENT in accordance with the Memorandum and Order 48, this action and the plaintiff'scomplaint are dismissed. Each party shall bear its own costs. Signed by Judge Joseph F. Bataillon on 8/31/2004. (ADB) (Entered: 08/31/2004)
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