united states district court northern district of illinois...

US District Court Civil Docket as of March 14, 2013 Retrieved from the court on March 26, 2013

United States District Court Northern District of Illinois - CM/ECF LIVE, Ver 5.1.1 (Chicago)

CIVIL DOCKET FOR CASE #: 1:11-cv-00991

Brasher v. Broadwind Energy, Inc. et al Assigned to: Honorable James B. Zagel Cause: 15:78m(a) Securities Exchange Act

Plaintiff

Arthur L. Brasher Individually and on Behalf of All Others Similarly Situated TERMINATED: 05/15/2012

Date Filed: 02/11/2011 Jury Demand: Both Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

represented by Lori Ann Fanning Miller Law LLC 115 South LaSalle Street Suite 2910 Chicago, IL 60603 (312) 332-3400 Fax: (312) 676-2676 Email: [email protected] ATTORNEY TO BE NOTICED

Marvin Alan Miller Miller Law LLC 115 South LaSalle Street Suite 2910 Chicago, IL 60603 (312) 332-3400 Fax: (312) 676-2676 Email: [email protected] ATTORNEY TO BE NOTICED

William B Federman Federman & Sherwood 10205 North Pennsylvania Avenue Oklahoma City, OK 73120 (405) 235-1560 Fax: (405) 239-2112 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Brian M. Grothues represented by William B Federman (See above for address)

LEAD ATTORNEY ATTORNEY TO BE NOTICED

Joseph Russello Coughlin Stoia Geller Rudman & Robbins LLP 58 South Service Road Suite 200 Melville, NY 11747 631 367 7100 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Plaintiff

Jerry Pehlke TERMINATED: 11/26/2012

represented by Andrea Y. Lee Robbins Geller Rudman & Dowd LLP 58 South Service Road Melville, NY 11747 631-367-7100 LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

William B Federman (See above for address) ATTORNEY TO BE NOTICED

V.

Defendant

Broadwind Energy, Inc. represented by James Wallace Ducayet Sidley Austin LLP One South Dearborn Street Chicago, IL 60603 (312) 853-7000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Brian S. Shull Sidley Austin LLP One South Dearborn Street Chicago, IL 60603 312 853 2100 Email: [email protected] ATTORNEY TO BE NOTICED

David Michael Baron Sidley Austin LLP

One South Dearborn Chicago, IL 60603 (312) 853-4603 Email: [email protected] ATTORNEY TO BE NOTICED

Kristen R Seeger Sidley Austin LLP One South Dearborn Street Chicago, IL 60603 (312) 853-7000 Email: [email protected] ATTORNEY TO BE NOTICED

Meredith Jenkins Laval Sidley Austin LLP One South Dearborn Street Chicago, IL 60603 312 853 7121 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

J. Cameron Drecoll represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

David Michael Baron (See above for address) ATTORNEY TO BE NOTICED

Kristen R Seeger (See above for address) ATTORNEY TO BE NOTICED

Meredith Jenkins Laval (See above for address) ATTORNEY TO BE NOTICED

Defendant

Stephanie K. Kushner represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Matthew J. Gadow represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Stephen E. Graham represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Kevin E. Johnson represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Tontine Capital Partners, L.P. represented by Gary Stein Schulte Roth & Zabel Llp 919 Third Avenue

New York, NY 10022 (212) 756-2441 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

John Conroy Martin Law Offices of John C. Martin 30 North LaSalle Street #3400 Chicago, IL 60602 (312) 368-9000 Email: [email protected] ATTORNEY TO BE NOTICED

Michael G. Cutini Schulte Roth & Zabel Llp 919 Third Avenue New York, NY 10022 (212) 756-2224 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Tontine Capital Overseas Master Fund, represented by Gary Stein L.P. (See above for address)

PRO HAC VICE ATTORNEY TO BE NOTICED

John Conroy Martin (See above for address) ATTORNEY TO BE NOTICED

Michael G. Cutini (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Tontine Partners, L.P. represented by Gary Stein (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED



Defendant

Tontine Overseas Fund, Ltd. represented by Gary Stein (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED



Defendant

Tontine 25 Overseas Master Fund, L.P. represented by Gary Stein (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED



Defendant

Jeffrey Gendell represented by Gary Stein (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED


Defendant

James M Lindstrom represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

David P. Reiland

represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Charles H. Beynon represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

William T. Fejes, Jr. represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Terence P. Fox represented by James Wallace Ducayet (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Movant

Jerry Pehlke TERMINATED: 11/26/2012

represented by James T. Crotty James T. Crotty & Associates 208 S LaSalle St Suite 1750 Chicago, IL 60604 312-623-1599 Email: [email protected] ATTORNEY TO BE NOTICED

Jennifer S. Montagna Federman & Sherwood 10205 North Pennsylvania Avenue Oklahoma City, OK 73120 (405) 235-1560 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

William B Federman (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Movant

Jeff Bischoff

Movant

Eugene Stepniak

Date Filed

# Docket Text

02/11/2011

1 COMPLAINT for Violation of the Federal Securities Laws filed by Arthur L. Brasher; Jury Demand. Filing fee $ 350, receipt number 0752-5698514.(Miller, Marvin)

(Entered: 02/11/2011)

02/11/2011

02/11/2011

2 CIVIL Cover Sheet (Miller, Marvin) (Entered: 02/11/2011)

3 ATTORNEY Appearance for Plaintiff Arthur L. Brasher by Marvin Alan Miller (Miller, Marvin) (Entered: 02/11/2011)

4 ATTORNEY Appearance for Plaintiff Arthur L. Brasher by Lori Ann Fanning (Fanning, Lori) (Entered: 02/11/2011)

CASE ASSIGNED to the Honorable James B. Zagel. Designated as Magistrate Judge the Honorable Susan E. Cox. (nsf, ) (Entered: 02/11/2011)

02/11/2011

02/11/2011

02/11/2011 5 SUMMONS Issued as to Defendants Broadwind Energy, Inc., J. Cameron Drecoll, Matthew J. Gadow, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner (mb, ) (Entered: 02/14/2011)

02/14/2011

02/24/2011

03/01/2011

03/07/2011

03/07/2011

03/07/2011

03/15/2011

03/15/2011

03/21/2011

03/30/2011

04/07/2011

04/11/2011

6 SUMMONS Returned Executed by Arthur L. Brasher as to Broadwind Energy, Inc. on 2/14/2011, answer due 3/7/2011. (Miller, Marvin) (Entered: 02/14/2011)

7 SUMMONS Returned Executed by Arthur L. Brasher as to Matthew J. Gadow on 2/16/2011, answer due 3/9/2011. (Miller, Marvin) (Entered: 02/24/2011)

8 SUMMONS Returned Executed by Arthur L. Brasher as to Kevin E. Johnson on 2/24/2011, answer due 3/17/2011. (Miller, Marvin) (Entered: 03/01/2011)

9 ATTORNEY Appearance for Defendant Broadwind Energy, Inc. by James Wallace Ducayet (Ducayet, James) (Entered: 03/07/2011)

10 ATTORNEY Appearance for Defendant Broadwind Energy, Inc. by Kristen R Seeger I (Seeger, Kristen) (Entered: 03/07/2011)

11 ATTORNEY Appearance for Defendant Broadwind Energy, Inc. by Brian S. Shull (Shull, Brian) (Entered: 03/07/2011)

12 STIPULATION Regarding Scheduling (Shull, Brian) (Entered: 03/07/2011)

13 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by Broadwind Energy, Inc. (Shull, Brian) (Entered: 03/07/2011)

14 SUMMONS Returned Unexecuted by Arthur L. Brasher as to J. Cameron Drecoll. (Miller, Marvin) (Entered: 03/15/2011)

15 SUMMONS Returned Executed by Arthur L. Brasher as to Stephanie K. Kushner on 2/16/2011, answer due 3/9/2011. (Miller, Marvin) (Entered: 03/15/2011)

16 SUMMONS Returned Executed by Arthur L. Brasher as to Stephen E. Graham on 2/26/2011, answer due 3/21/2011. (Miller, Marvin) (Entered: 03/21/2011)

17 MINUTE entry before Honorable James B. Zagel: Status hearing set for 4/18/2011 at 10:00 AM.Mailed notice (drw, ) (Entered: 03/30/2011)

18 WAIVER OF SERVICE returned executed by Arthur L. Brasher. J. Cameron Drecoll waiver sent on 4/6/2011, answer due 6/6/2011. (Miller, Marvin) (Entered: 04/07/2011)

19 MINUTE entry before Honorable James B. Zagel:Status hearing set for 4/18/2011 is

03/07/2011

03/07/2011

stricken. By agreement, defendants need not answer or file any motion directed to the pending complaint. Plaintiff shall either file a consolidated complaint or notify defendants that the current complaint shall be the operative complaint 49 days after entry of the Courts order appointing lead plaintiff and lead counsel. Defendants answer(s) or motion(s) to dismiss and accompanying memorandum of law shall be filed within 49 days of the filing of the consolidated complaint or, if none is filed, within 49 days of the iling designating the current complaint as the operative complaint. Any memoranda in opposition to the motion(s) to dismiss shall be filed within 49 days of the filing of the motion(s) to dismiss. Any reply to memoranda in opposition to he motion(s) to dismiss shall be filed within 28 days of the filing of the memoranda opposing the motion(s) to dismiss.Mailed notice (drw, ) (Entered: 04/11/2011)

04/12/2011 20 MOTION by Movant Jerry PehlkeAppointment of Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead and Liaison Counsel (Crotty, James) (Entered: 04/12/2011)

04/12/2011 21 RESPONSE by Jerry Pehlkein Support of MOTION by Movant Jerry PehlkeAppointment of Lead Plaintiff and Approval of Lead Plaintiff's Selection of Lead and Liaison Counsel 20 (Attachments: # 1 Exhibit Exhibit 1)(Crotty, James) (Entered: 04/12/2011)

04/12/2011

04/12/2011

04/12/2011

22 CERTIFICATE of Service by James T. Crotty on behalf of Jerry Pehlke (Crotty, James) (Entered: 04/12/2011)

23 ATTORNEY Appearance for Movant Jerry Pehlke by James T. Crotty (Crotty, James) (Entered: 04/12/2011)

24 MOTION by Movants Jeff Bischoff, Eugene StepniakAPPOINTMENT AS LEAD PLAINTIFF AND FOR APPROVAL OF LEAD PLAINTIFFS SELECTION OF LEAD AND LIAISON COUNSEL (Attachments: # 1 Text of Proposed Order Ex. A - Proposed Order, # 2 Exhibit Ex. B - Notice, # 3 Exhibit Ex. C - Certification, # 4 Exhibit Ex. D - Loss Chart, # 5 Exhibit Ex. E - Miller Law LLC Firm Resume, # 6 Exhibit Ex. F - Robbins Geller Rudman & Dowd LLP Firm Resume)(Miller, Marvin) (Entered: 04/12/2011)

04/12/2011 25 MEMORANDUM by Jeff Bischoff, Eugene Stepniak in support of motion for miscellaneous relief, 24 MEMORANDUM OF LAW IN SUPPORT OF JEFF BISCHOFF AND EUGENE STEPNIAKS MOTION FOR APPOINTMENT AS LEAD PLAINTIFF AND FOR APPROVAL OF LEAD PLAINTIFFS SELECTION OF LEAD AND LIAISON COUNSEL (Miller, Marvin) (Entered: 04/12/2011)

04/12/2011 26 NOTICE of Motion by Marvin Alan Miller for presentment of motion for miscellaneous relief, 24 before Honorable James B. Zagel on 4/19/2011 at 10:15 AM. (Miller, Marvin) (Entered: 04/12/2011)

04/14/2011 27 NOTICE of Motion by James T. Crotty for presentment of motion for miscellaneous relief 20 , motion for miscellaneous relief, 24 before Honorable James B. Zagel on 4/19/2011 at 10:15 AM. (Crotty, James) (Entered: 04/14/2011)

04/14/2011 28 STIPULATION regarding notice of motion 27 (Crotty, James) (Entered: 04/14/2011)

04/18/2011 29 MINUTE entry before Honorable James B. Zagel:Set deadlines as to motion for

appointment of lead plaintiff 20 , motion for appointment of lead counsel 24 responses due by 5/3/2011. Replies due by 5/10/2011. Noticed hearing 4/19/2011 is stricken.Mailed notice (drw, ) (Entered: 04/18/2011)

04/28/2011

04/28/2011

05/12/2011

05/13/2011

30 MOTION by Plaintiff Arthur L. BrasherNotice of Withdrawal of Motion for Appointment as Lead Plaintiff and for Approval of Lead Plaintiff's Selection ofLead and Liaison Counsel (Miller, Marvin) (Entered: 04/28/2011)

MOTION by Plaintiff Arthur L. Brasher to withdraw motion for appointment as lead plaintiff. (mb, ) (Entered: 05/03/2011)

31 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752- 5997287. (Federman, William) (Entered: 05/12/2011)

32 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752- 5998617. (Montagna, Jennifer) (Entered: 05/13/2011)

05/16/2011 33 MINUTE entry before Honorable James B. Zagel:Motion 30 is withdrawn; Motion to withdraw is granted. Application to appear pro hac vice 31 is granted. Application to appear pro hac vice 32 is granted.Mailed notice (drw, ) (Entered: 05/16/2011)

07/05/2011 34 MOTION by Plaintiff Arthur L. Brasher to appoint counsel (Attachments: # 1 Exhibit I Exhibit 1)(Crotty, James) (Entered: 07/05/2011)

07/05/2011 35 NOTICE of Motion by James T. Crotty for presentment of motion to appoint counsel 34 , motion for miscellaneous relief 20 before Honorable James B. Zagel on 7/7/2011 at 10:15 AM. (Crotty, James) (Entered: 07/05/2011)

07/06/2011 36 ATTORNEY Appearance for Defendants J. Cameron Drecoll, Matthew J. Gadow, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner by James Wallace Ducayet (Ducayet, James) (Entered: 07/06/2011)

07/06/2011 37 ATTORNEY Appearance for Defendants J. Cameron Drecoll, Matthew J. Gadow, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner by Kristen R Seeger (Seeger, Kristen) (Entered: 07/06/2011)

07/06/2011 38 ATTORNEY Appearance for Defendants Broadwind Energy, Inc., J. Cameron Drecoll, Matthew J. Gadow, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner by Meredith Jenkins Laval (Laval, Meredith) (Entered: 07/06/2011)

07/07/2011 39 MINUTE entry before Honorable James B. Zagel: Motion hearing held on 7/7/2011. Plaintiff's Motion for Appointment as Lead Plaintiff and for Approval of Lead Plaintiff's Selection and Liaison Counsel [20,34] is granted. Mailed notice (drw, ) (Entered: 07/26/2011)

08/05/2011

40 MINUTE entry before Honorable James B. Zagel:Consolidated complaint filing deadline is set for 9/13/2011.Mailed notice (drw, ) (Entered: 08/05/2011)

09/13/2011

41 AMENDED complaint by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke against All Defendants (Attachments: # 1 Exhibit 1- Grothues Declaration)(Federman, William) (Entered: 09/13/2011)

09/26/2011 42 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Jeffrey Gendell waiver sent on 9/19/2011, answer due 11/18/2011. (Federman, William) (Entered: 09/26/2011)

09/26/2011 43 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Tontine Partners, L.P. waiver sent on 9/19/2011, answer due 11/18/2011. (Federman, William) (Entered: 09/26/2011)

09/26/2011 44 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Tontine 25 Overseas Master Fund, L.P. waiver sent on 9/19/2011, answer due 11/18/2011. (Federman, William) (Entered: 09/26/2011)

09/26/2011 45 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Tontine Capital Partners, L.P. waiver sent on 9/19/2011, answer due 11/18/2011. (Federman, William) (Entered: 09/26/2011)

09/26/2011 46 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Tontine Capital Overseas Master Fund, L.P. waiver sent on 9/19/2011, answer due 11/18/2011. (Federman, William) (Entered: 09/26/2011)

09/26/2011 47 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Tontine Overseas Fund, Ltd. waiver sent on 9/19/2011, answer due 11/18/2011. (Federman, William) (Entered: 09/26/2011)

10/04/2011 48 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. James M Lindstrom waiver sent on 9/21/2011, answer due 11/21/2011. (Federman, William) (Entered: 10/04/2011)

10/04/2011 49 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. DAVID P REILAND waiver sent on 9/21/2011, answer due 11/21/2011. (Federman, William) (Entered: 10/04/2011)

10/04/2011 50 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Charles H. Beynon waiver sent on 9/21/2011, answer due 11/21/2011. (Federman, William) (Entered: 10/04/2011)

10/04/2011 51 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. William T. Fejes, Jr waiver sent on 9/21/2011, answer due 11/21/2011. (Federman, William) (Entered: 10/04/2011)

10/04/2011 52 WAIVER OF SERVICE returned executed by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke. Terence P. Fox waiver sent on 9/21/2011, answer due 11/21/2011. (Federman, William) (Entered: 10/04/2011)

10/17/2011 53 ATTORNEY Appearance for Defendants Tontine 25 Overseas Master Fund, L.P., Tontine Capital Overseas Master Fund, L.P., Tontine Capital Partners, L.P., Tontine Overseas Fund, Ltd., Tontine Partners, L.P. by John Conroy Martin (Martin, John) (Entered: 10/17/2011)

10/18/2011 54 ATTORNEY Appearance for Defendants Charles H. Beynon, William T. Fejes, Jr, Terence P. Fox, James M Lindstrom, DAVID P REILAND by James Wallace Ducayet (Ducayet, James) (Entered: 10/18/2011)

10/18/2011 55 ATTORNEY Appearance for Defendants Charles H. Beynon, William T. Fejes, Jr, Terence P. Fox, James M Lindstrom, DAVID P REILAND by Kristen R Seeger (Seeger, Kristen) (Entered: 10/18/2011)

10/18/2011 56 ATTORNEY Appearance for Defendants Charles H. Beynon, William T. Fejes, Jr,

Terence P. Fox, James M Lindstrom, DAVID P REILAND by Meredith Jenkins Laval (Laval, Meredith) (Entered: 10/18/2011)

10/19/2011

57 STIPULATION Regarding Scheduling and Extension of Page Limitations (Laval, Meredith) (Entered: 10/19/2011)

11/01/2011 58 MOTION by Defendants Charles H. Beynon, Broadwind Energy, Inc., J. Cameron Drecoll, William T. Fejes, Jr, Terence P. Fox, Matthew J. Gadow, Jeffrey Gendell, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner, James M Lindstrom, DAVID P REILAND, Tontine 25 Overseas Master Fund, L.P., Tontine Capital Overseas Master Fund, L.P., Tontine Capital Partners, L.P., Tontine Overseas Fund, Ltd., Tontine Partners, L.P., Plaintiffs Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke for order Granting Stipulation Regarding Scheduling and Extension of Page Limitations (Dkt. # 57) (Laval, Meredith) (Entered: 11/01/2011)

11/01/2011 59 NOTICE of Motion by Meredith Jenkins Laval for presentment of motion for order,, 58 before Honorable James B. Zagel on 11/3/2011 at 10:15 AM. (Laval, Meredith) (Entered: 11/01/2011)

11/02/2011 60 MINUTE entry before Honorable James B. Zagel:Notice of motion hearing 11/3/2011 is stricken. Joint motion for entry of order granting joint stipulation regarding scheduling and extension of page limitation 58 is granted. Motion to dismiss now due 11/18/2011. Response now due 1/6/2012. Reply now due 2/2/2012. Briefs in excess of fifteen pages shall be filed.Mailed notice (drw, ) (Entered: 11/02/2011)

11/03/2011

11/03/2011

11/18/2011

61 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752- 6534632. (Stein, Gary) (Entered: 11/03/2011)

62 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752- 6534670. (Cutini, Michael) (Entered: 11/03/2011)

63 MOTION by Defendants DAVID P REILAND, Kevin E. Johnson, Broadwind Energy, Inc., Terence P. Fox, James M Lindstrom, William T. Fejes, Jr, Stephen E. Graham, Charles H. Beynon, J. Cameron Drecoll, Stephanie K. Kushner, Matthew J. Gadow to dismiss (Ducayet, James) (Entered: 11/18/2011)

11/18/2011 64 MEMORANDUM by Charles H. Beynon, Broadwind Energy, Inc., J. Cameron Drecoll, William T. Fejes, Jr, Terence P. Fox, Matthew J. Gadow, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner, James M Lindstrom, DAVID P REILAND in support of motion to dismiss, 63 (Attachments: # 1 Exhibit List, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J, # 12 Exhibit K, # 13 Exhibit L, # 14 Exhibit M, # 15 Exhibit N, # 16 Exhibit O, # 17 Exhibit P, # 18 Exhibit Q, # 19 Exhibit R, # 20 Exhibit S)(Ducayet, James) (Entered: 11/18/2011)

11/18/2011 65 ATTORNEY Appearance for Defendant Jeffrey Gendell by John Conroy Martin (Martin, John) (Entered: 11/18/2011)

11/18/2011 66 MOTION by Defendants Tontine 25 Overseas Master Fund, L.P., Tontine Capital Overseas Master Fund, L.P., Jeffrey Gendell, Tontine Overseas Fund, Ltd., Tontine Capital Partners, L.P., Tontine Partners, L.P. to dismiss (Martin, John) (Entered: 11/18/2011)

11/18/2011 67 MEMORANDUM by Jeffrey Gendell, Tontine 25 Overseas Master Fund, L.P

Tontine Capital Overseas Master Fund, L.P., Tontine Capital Partners, L.P., Tontine Overseas Fund, Ltd., Tontine Partners, L.P. in support of motion to dismiss 66 (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Martin, John) (Entered: 11/18/2011)

11/22/2011 68 NOTIFICATION of Affiliates pursuant to Local Rule 3.2 by Tontine 25 Overseas Master Fund, L.P., Tontine Capital Overseas Master Fund, L.P., Tontine Capital Partners, L.P., Tontine Overseas Fund, Ltd., Tontine Partners, L.P. (Martin, John) (Entered: 11/22/2011)

12/23/2011

69 STIPULATION regarding order on motion for order, terminate hearings, terminate motions,,, 60 (Montagna, Jennifer) (Entered: 12/23/2011)

01/03/2012

70 JOINT STIPULATION regarding scheduling by James T. Crotty (Crotty, James) (Docket Text Modified by Clerk's Office on 1/5/2012) (mb, ). (Entered: 01/03/2012)

01/04/2012 71 MINUTE entry before Honorable James B. Zagel:Application to appear pro hac vice 61 is granted. Application to appear pro hac vice 62 is granted. Set deadlines/hearing as to motion to dismiss, 63 and motion to dismiss 66 :; Motions terminated: Motions to dismiss 63 and 66 responses due by 1/20/2012. Replies due by 2/21/2012. Status hearing set for 3/26/2012 at 10:00 AM. Motion hearing set for 1/5/2012 is stricken.Mailed notice (drw, ) (Entered: 01/04/2012)

01/20/2012

01/20/2012

02/21/2012

02/21/2012

72 MEMORANDUM by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke in Opposition to motion to dismiss 66 (Federman, William) (Entered: 01/20/2012)

73 MEMORANDUM by Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke in Opposition to motion to dismiss, 63 (Federman, William) (Entered: 01/20/2012)

74 REPLY by Charles H. Beynon, Broadwind Energy, Inc., J. Cameron Drecoll, William T. Fejes, Jr, Terence P. Fox, Matthew J. Gadow, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner, James M Lindstrom, DAVID P REILAND to memorandum in opposition to motion 73 , MOTION by Defendants DAVID P REILAND, Kevin E. Johnson, Broadwind Energy, Inc., Terence P. Fox, James M Lindstrom, William T. Fejes, Jr, Stephen E. Graham, Charles H. Beynon, J. Cameron Drecoll, Stephanie K. Kushner, Matthew J. Gadow to dismiss 63 (Laval, Meredith) (Entered: 02/21/2012)

75 REPLY by Jeffrey Gendell, Tontine 25 Overseas Master Fund, L.P., Tontine Capital Overseas Master Fund, L.P., Tontine Capital Partners, L.P., Tontine Overseas Fund, Ltd., Tontine Partners, L.P. to MOTION by Defendants Tontine 25 Overseas Master Fund, L.P., Tontine Capital Overseas Master Fund, L.P., Jeffrey Gendell, Tontine Overseas Fund, Ltd., Tontine Capital Partners, L.P., Tontine Partners, L.P. to dismiss 66 (Stein, Gary) (Entered: 02/21/2012)

03/07/2012 76 MOTION by Plaintiffs Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke for leave to file Surreply Memo of Law in Response to Reply Memo of Law in Support of the Broadwind Defendants' Motion to Dismiss (Attachments: # 1 Exhibit 1)(Crotty, James) (Entered: 03/07/2012)

03/07/2012 77 NOTICE of Motion by James T. Crotty for presentment of motion for leave to file, 76 before Honorable James B. Zagel on 3/13/2012 at 10:15 AM. (Crotty, James) (Entered: 03/07/2012)

03/13/2012 78 SUR-REPLY by Plaintiffs Arthur L. Brasher, Brian M. Grothues, Jerry Pehlke to motion to dismiss, 63 (Crotty, James) (Entered: 03/13/2012)

03/13/2012 79 MINUTE entry before Honorable James B. Zagel:Motion hearing held. Plaintiffs' motion for leave to file surreply 76 is granted; defendants' response is due by 3/20/2012. Each side is limited to a four page brief.Mailed notice (clw, ) (Entered: 03/13/2012)

03/16/2012 80 MINUTE entry before Honorable James B. Zagel: Status hearing (3-26-2012) is reset for 4/5/2012 at 10:00 AM.Mailed notice (drw, ) (Entered: 03/16/2012)

03/20/2012 81 RESPONSE by Defendants Charles H. Beynon, Broadwind Energy, Inc., J. Cameron Drecoll, William T. Fejes, Jr, Terence P. Fox, Matthew J. Gadow, Stephen E. Graham, Kevin E. Johnson, Stephanie K. Kushner, James M Lindstrom, DAVID P REILAND to sur-reply 78 (Laval, Meredith) (Entered: 03/20/2012)

04/05/2012 82 MINUTE entry before Honorable James B. Zagel:Status hearing held on 4/5/2012. Motion to dismiss written ruling to be made by mail. Status hearing set for 5/21/2012 at 10:00 AM.Mailed notice (drw, ) (Entered: 04/05/2012)

04/19/2012 83 MINUTE entry before Honorable James B. Zagel:Motions to dismiss 63 66 are granted in part and denied in part.Mailed notice (drw, ) (Entered: 04/19/2012)

04/19/2012 84 MEMORANDUM OPINION AND ORDER. Mailed notice(drw, ) (Entered: 04/19/2012)

05/01/2012 85 STIPULATION Extending Time to Answer (Laval, Meredith) (Entered: 05/01/2012)

05/01/2012 86 MINUTE entry before Honorable James B. Zagel:By agreement, defendants answer due on or by 5/21/2012. Said answer may be filed in excess of the page limitation.Mailed notice (drw, ) (Entered: 05/14/2012)

05/14/2012 87 REPORT of Rule 26(f) Planning Meeting (Ducayet, James) (Entered: 05/14/2012)

05/14/2012 97 I PROTECTIVE ORDER. Mailed notice(drw, ) (Entered: 07/13/2012)

05/15/2012 88 NOTICE of Voluntary Dismissal by Arthur L. Brasher (Federman, William) (Entered: 05/15/2012)

05/15/2012 89 MINUTE entry before Honorable James B. Zagel: Status hearing (5-21-2012) is reset for 7/16/2012 at 10:00 AM.Mailed notice (drw, ) (Entered: 05/15/2012)

05/15/2012 93 MINUTE entry before Honorable James B. Zagel:Plaintiff's Arthur L. Brasher (Individually and on Behalf of All Others Similarly Situated) is withdrawn as a party pursuant to FRCvP 41(a)(1)(A). terminated.Mailed notice (drw, ) (Entered: 06/22/2012)

05/21/2012 90 ANSWER to amended complaint by Broadwind Energy, Inc., J. Cameron

I Drecoll(Ducayet, James) (Entered: 05/21/2012)

06/20/2012 91 MOTION by Defendants Broadwind Energy, Inc., J. Cameron Drecoll, Plaintiffs Brian M. Grothues, Jerry Pehlke for leave to file excess pages for Class Certification Briefing (Federman, William) (Entered: 06/20/2012)

06/20/2012 92 NOTICE of Motion by William B Federman for presentment of motion for leave to

file excess pages 91 before Honorable James B. Zagel on 6/26/2012 at 10:15 AM. (Federman, William) (Entered: 06/20/2012)

06/22/2012 94 MOTION by Plaintiffs Brian M. Grothues, Jerry Pehlke to certify class (Federman, William) (Entered: 06/22/2012)

06/22/2012 95 MEMORANDUM by Brian M. Grothues, Jerry Pehlke in support of motion to certify class 94 (Attachments: # 1 Exhibit 1, # 2 Exhibit 2)(Federman, William) (Entered: 06/22/2012)

06/25/2012 96 MINUTE entry before Honorable James B. Zagel:Motion for leave to file excess pages regarding motion for class certification 91 is granted. Notice of motion hearing 6/26/2012 is stricken. Mailed notice (drw, ) (Entered: 06/25/2012)

07/13/2012 98 MINUTE entry before Honorable James B. Zagel:Motion to certify class 94 response due by 8/16/2012. Reply due by 9/6/2012. Status hearing (7-16-2012) is reset for 10/4/2012 at 10:00 AM.Mailed notice (drw, ) (Entered: 07/13/2012)

07/18/2012 99 MOTION by Defendants Broadwind Energy, Inc., J. Cameron Drecoll, Plaintiffs Brian M. Grothues, Jerry Pehlke Joint Motion To Adjourn Briefing Schedule On Plaintiffs Motion For Class Certification (Ducayet, James) (Entered: 07/18/2012)

07/18/2012 100 NOTICE of Motion by James Wallace Ducayet for presentment of motion for miscellaneous relief 99 before Honorable James B. Zagel on 7/24/2012 at 10:15 AM. (Ducayet, James) (Entered: 07/18/2012)

07/23/2012 101 MINUTE entry before Honorable James B. Zagel: Notice of motion hearing 7/24/2012 is stricken. Motion to stay briefing on motion for class certification 94 pending arbitration 99 is granted. Motion to certify class 94 is is held in abeyance.Mailed notice (drw, ) (Entered: 07/23/2012)

10/04/2012 104 MINUTE entry before Honorable James B. Zagel:Status hearing held on 10/4/2012. Application to appear pro hac vice 102 is granted. Application to appear pro hac vice 103 is granted. Motion to certify class 94 is entered and continued. Response due by 11/30/2012 Reply due by 1/18/2013. Status hearing set for 2/11/2013 at 10:00 AM.Mailed notice (drw, ) (Entered: 10/19/2012)

10/09/2012 102 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752- 7632264. (Crotty, James) (Entered: 10/09/2012)

10/09/2012 103 MOTION for Leave to Appear Pro Hac Vice Filing fee $ 50, receipt number 0752- 7632371. (Crotty, James) (Entered: 10/09/2012)

11/01/2012 105 MOTION by Defendants Broadwind Energy, Inc., J. Cameron Drecoll for protective order (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Ducayet, James) (Entered: 11/01/2012)

11/01/2012 106 NOTICE of Motion by James Wallace Ducayet for presentment of motion for protective order 105 before Honorable James B. Zagel on 11/20/2012 at 10:15 AM. (Ducayet, James) (Entered: 11/01/2012)

11/01/2012 107 STIPULATION regarding motion for protective order 105 Stipulation Regarding Scheduling for Motion for Protective Order (Ducayet, James) (Entered: 11/01/2012)

11/12/2012 108 MEMORANDUM by Brian M. Grothues, Jerry Pehlke in Opposition to motion for

protective order 105 (Federman, William) (Entered: 11/12/2012)

11/12/2012 109 MOTION by Plaintiffs Brian M. Grothues, Jerry Pehlke to seal certain documents and references in the Federman Declaration to such documents (Federman, William) (Entered: 11/12/2012)

11/12/2012 110 AFFIDAVIT by Plaintiff Brian M. Grothues, Movant Jerry Pehlke in Opposition to MOTION by Plaintiffs Brian M. Grothues, Jerry Pehlke to seal certain documents and references in the Federman Declaration to such documents 109 REDACTED (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Federman, William) (Entered: 11/12/2012)

11/16/2012 111 MOTION by Plaintiff Brian M. Grothues to withdraw and Substitute Lead Plaintiff (Attachments: # 1 Exhibit 1 - Declaration of Brian Grothues)(Federman, William) (Entered: 11/16/2012)

11/16/2012 112 NOTICE of Motion by William B Federman for presentment of motion to withdraw 111 before Honorable James B. Zagel on 11/27/2012 at 10:15 AM. (Federman, William) (Entered: 11/16/2012)

11/19/2012 113 REPLY by Broadwind Energy, Inc., J. Cameron Drecoll to memorandum in opposition to motion 108 (Ducayet, James) (Entered: 11/19/2012)

11/20/2012 115 MINUTE entry before Honorable James B. Zagel:Motion hearing held on 11/20/2012. MOTION by Defendants for protective order 105 is granted for the reasons stated in open court. MOTION by Plaintiffs to file under seal certain documents and references in the Federman Declaration to such documents 109 is granted. Mailed notice (drw, ) (Entered: 11/26/2012)

11/26/2012 114 STIPULATION regarding motion to withdraw 111 Stipulation regarding Plaintiffs' Motion for Withdrawal and Substitution of Lead Plaintiff (Ducayet, James) (Entered: 11/26/2012)

11/26/2012 116 MINUTE entry before Honorable James B. Zagel:Notice of motion hearing 11/27/2012 is stricken. Motion to withdraw Jerry Pehlke as lead plaintiff 111 is granted without objection. Plaintiff Jerry Pehlke is withdrawn. Motion to substitute Brian M. Grothues as lead plaintiff 111 response brief is due by 12/7/2012. Reply brief is due by 12/14/2012.Mailed notice (drw, ) (Entered: 11/26/2012)

11/27/2012 117 MOTION by Defendants Broadwind Energy, Inc., J. Cameron Drecoll, Plaintiff Brian M. Grothues for leave to file excess pages for Class Certification Briefing (Attachments: # 1 Text of Proposed Order Stipulation regarding Enlarging Page Limits for Class Certification Briefing)(Ducayet, James) (Entered: 11/27/2012)

11/27/2012 118 NOTICE of Motion by James Wallace Ducayet for presentment of motion for leave to file excess pages, 117 before Honorable James B. Zagel on 11/29/2012 at 10:15 AM. (Ducayet, James) (Entered: 11/27/2012)

11/28/2012 119 ATTORNEY Appearance for Defendants Broadwind Energy, Inc., J. Cameron Drecoll by David Michael Baron (Baron, David) (Entered: 11/28/2012)

11/28/2012 120 NOTICE by Brian M. Grothues re MOTION by Plaintiffs Brian M. Grothues, Jerry Pehlke to certify class 94 Partial Withdrawal of Motion (Federman, William) (Entered: 11/28/2012)

11/28/2012 121 MINUTE entry before Honorable James B. Zagel:Notice of motion hearing 11/28/2012 is stricken. Motion for leave to file a 35 page memorandum in opposition and a 25 page reply brief regarding the motion for class certification 117 is granted.Mailed notice (drw, ) (Entered: 11/28/2012)

11/30/2012 122 MEMORANDUM by Broadwind Energy, Inc., J. Cameron Drecoll in Opposition to motion to certify class 94 (Attachments: # 1 Exhibit List, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D)(Ducayet, James) (Entered: 11/30/2012)

12/07/2012 123 RESPONSE by Defendants Broadwind Energy, Inc., J. Cameron Drecoll in Opposition to Motion to Substitute Brian M. Grothues as Lead Plaintiff 111 (Ducayet, James) (Entered: 12/07/2012)

12/11/2012 124 STIPULATION regarding order on motion to withdraw, terminate hearings, set motion and R&R deadlines/hearings, add and terminate parties,,,, 116 (Federman, William) (Entered: 12/11/2012)

12/19/2012 125 STIPULATION Regarding Scheduling (Federman, William) (Entered: 12/19/2012)


12/27/2012 127 MINUTE entry before Honorable James B. Zagel:By agreement of the parties, reply brief to motion to substitute counsel 111 is now due by 1/11/2013.Mailed notice (drw, ) (Entered: 12/27/2012)


02/06/2013 129 MINUTE entry before Honorable James B. Zagel: Pursuant to the parties' Stipulation Regarding Scheduling 128 , the deadline for Plaintiff to file his Reply in Support of the Motion for Withdrawal is extended to 2/11/13. The deadline for Plaintiff to file his Reply Brief in Support of the Motion for Class Certification is extended to 2/18/13. Status hearing set for 2/11/13 at 10:00 a.m. is reset to 4/4/13 at 10:00 a.m. Mailed notice (ep, ) (Entered: 02/06/2013)

03/11/2013 130 STIPULATION of Settlement (Ducayet, James) (Entered: 03/11/2013)

03/11/2013 131 MOTION by Defendants Broadwind Energy, Inc., J. Cameron Drecoll, Plaintiff Brian M. Grothues for settlement Joint Motion for Preliminary Approval of Settlement (Attachments: # 1 Exhibit A, # 2 Exhibit A-1, # 3 Exhibit A-2, # 4 Exhibit A-3, # 5 Exhibit A-4, # 6 Exhibit A-5, # 7 Exhibit B, # 8 Exhibit C)(Ducayet, James) (Entered: 03/11/2013)

03/11/2013 132 NOTICE of Motion by James Wallace Ducayet for presentment of motion for settlement, 131 before Honorable James B. Zagel on 3/14/2013 at 09:30 AM. (Ducayet, James) (Entered: 03/11/2013)

03/14/2013 133 MINUTE entry before Honorable James B. Zagel: Motion hearing held. Defendants' Joint Motion for Preliminary Approval 131 is granted. Final approval hearing set for 6/27/13 at 10:00 a.m. Mailed notice (ep, ) (Entered: 03/19/2013)

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