US District Court Civil Docket as of 5/13/2011Retrieved from the court on July 8, 2011

U.S. District CourtEastern District of Missouri (LIVE) (St. Louis)

CIVIL DOCKET FOR CASE #: 4:10-cv-00295-CEJ

McCrary v. Stifel, Nicolaus & Company, Incorporated Date Filed: 02/18/2010Assigned to: Honorable Carol E. Jackson Date Terminated: 12/28/2010Cause: 15:77 Securities Fraud Jury Demand: Plaintiff

Nature of Suit: 850Securities/CommoditiesJurisdiction: Federal Question

Plaintiff

Robert L McCrary represented by L. Steven GoldblattGOLDBLATT LAW OFFICE8000 BonhommeSuite 214St. Louis, MO 63105314-288-8455Fax: 314-569-4010Email: lsgold7@swbell.netLEAD ATTORNEYATTORNEY TO BE NOTICED

Plaintiff

Kenneth C. Thompson represented by L. Steven GoldblattTrustee of the Kenneth C. Thompson (See above for address)Living Trust U/A DTD 3-27-92 LEAD ATTORNEY

ATTORNEY TO BE NOTICED

Plaintiff

Kenneth C. Thompson represented by L. Steven GoldblattAs Beneficiary of the Kenneth C. (See above for address)Thompson IRA LEAD ATTORNEY

ATTORNEY TO BE NOTICED

V.

Defendant

Stifel, Nicolaus & Company, represented by Lisa A. NielsenIncorporated GREENSFELDER AND HEMKER,

PC10 South Broadway

Suite 2000St. Louis, MO 63102314-345-4734Fax: 314-345-5467Email: lan@greensfelder.comLEAD ATTORNEYATTORNEY TO BE NOTICED

Donald D. McBride , IIGREENSFELDER AND HEMKER,PC10 South BroadwaySuite 2000St. Louis, MO 63102314-241-9090Fax: 314-345-5467Email: ddm@greensfelder.comATTORNEY TO BE NOTICED

Defendant

Neil Rolla Harrison represented by Neil Rolla Harrison07169-025MILLINGTONP.O. Box 2000Millington, TN 38083PRO SE

Defendant

Roger Compton represented by Lisa A. NielsenGREENSFELDER AND HEMKER,PC2000 Equitable Building10 South BroadwaySt. Louis, MO 63102314-345-4734Fax: 314-345-5467Email: lan@greensfelder.comLEAD ATTORNEYATTORNEY TO BE NOTICED

Donald D. McBride , IIGREENSFELDER AND HEMKER,PC2000 Equitable Building10 South BroadwaySt. Louis, MO 63102314-241-9090

Fax: 314-345-5467Email: ddm@greensfelder.comATTORNEY TO BE NOTICED

Date Filed # Docket Text

02/18/2010 1 NOTICE OF REMOVAL from City of St. Louis Missouri Circuit Court,case number 0922-CC-10284, with receipt number08650000000002156842, in the amount of $350 Jury Demand,, filed byStifel, Nicolaus & Company, Incorporated. (Attachments: # 1 Civil CoverSheet, # 2 Original Filing Form, # 3 Exhibit A - State Court File, # 4Exhibit B - Affidavit of D. Minnick)(Nielsen, Lisa) (Entered: 02/18/2010)

02/18/2010 2 DISCLOSURE OF CORPORATION INTERESTS CERTIFICATE byDefendant Stifel, Nicolaus & Company, IncorporatedParent companies:Stifel Financial Corporation, Subsidiaries: N/A, Publicly held company:Stifel Financial Corporation,. (Nielsen, Lisa) (Entered: 02/18/2010)

02/18/2010 3 NOTICE OF FILING NOTICE OF REMOVAL filed by Defendant Stifel,Nicolaus & Company, Incorporated Sent To: L. Steven Goldblatt, attorneyfor Plaintiff in state court action (Nielsen, Lisa) (Entered: 02/18/2010)

02/18/2010 4 Complaint (Removal/Transfer) Received From: Circuit Court of the Cityof St. Louis, filed by Robert L McCrary.(BAK) (Entered: 02/18/2010)

02/18/2010 Case Opening Notification: Judge Assigned: Judge Rodney W. Sippel.(BAK) (Entered: 02/18/2010)

02/18/2010 5 NOTICE OF FILING NOTICE OF REMOVAL filed by Defendant Stifel,Nicolaus & Company, Incorporated Executed 2/18/10 by State CourtClerk (Nielsen, Lisa) (Entered: 02/18/2010)

02/18/2010 6 ENTRY of Appearance by Donald D. McBride, II for Defendant Stifel,Nicolaus & Company, Incorporated. (McBride, Donald) (Entered:02/18/2010)

02/22/2010 7 RULE 16 ORDER This case is assigned to Track: PTRACK 2 -STANDARD Joint Scheduling Plan due by 3/18/2010. Rule 16Conference set for 3/25/2010 10:30 AM In Chambers before HonorableRodney W. Sippel.. Signed by Honorable Rodney W. Sippel on 2/22/10.(LGK) (Entered: 02/22/2010)

02/22/2010 8 ORDER: I have determined that I should disqualify myself from this caseto avoid any potential appearance of impropriety. See 28 U.S.C. § 455. Iwill therefore direct the Clerk of Court to assign the case randomly to adifferent Judge. Accordingly, IT IS HEREBY ORDERED that theundersigned United States District Judge is disqualified from handling anymatters in this case, and the Clerk of Court shall randomly reassign thecase to another judge. Signed by Honorable Rodney W. Sippel on 2/22/10.

(ARL) (Entered: 02/22/2010)

02/23/2010 9 ORDER REASSIGNING CASE. Case reassigned to Honorable Henry E.Autrey for all further proceedings. Honorable Rodney W. Sippel no longerassigned to case. Signed by Clerk, U.S. District Court by Lisa Kresko on2/23/10. (LGK) (Entered: 02/23/2010)

02/24/2010 10 ORDER: ORDERED that the undersigned United States District Judge isdisqualified from handling any matters in this case. FURTHERORDERED that the Clerk of the Court transfer this case to another Judge..Signed by Honorable Henry E. Autrey on 2/24/10. (CEL) (Entered:02/25/2010)

02/24/2010 11 ORDER REASSIGNING CASE. Case reassigned to Magistrate JudgeDavid D. Noce for all further proceedings. Honorable Henry E. Autrey nolonger assigned to case. Signed by Clerk of Court on 2/24/10.(Attachments: # 1 Mag. Consent/Opt-out form)(CEL) (Entered:02/25/2010)

02/25/2010 12 MOTION to Strike by Defendant Stifel, Nicolaus & Company,Incorporated. (Attachments: # 1 Text of Proposed Order)(Nielsen, Lisa)(Entered: 02/25/2010)

02/25/2010 13 MEMORANDUM in Support of Motion re 12 MOTION to Strike filed byDefendant Stifel, Nicolaus & Company, Incorporated. (Nielsen, Lisa)(Entered: 02/25/2010)

02/25/2010 14 MOTION to Dismiss Case by Defendant Stifel, Nicolaus & Company,Incorporated. (Attachments: # 1 Text of Proposed Order)(Nielsen, Lisa)(Entered: 02/25/2010)

02/25/2010 15 MEMORANDUM in Support of Motion re 14 MOTION to Dismiss Casefiled by Defendant Stifel, Nicolaus & Company, Incorporated. (Nielsen,Lisa) (Entered: 02/25/2010)

02/25/2010 Pursuant to Local Rule 2.08, the assigned/referred magistrate judge isdesignated and authorized by the court to exercise full authority in thisassigned/referred action or matter under 28 U.S.C. 636 and 18 U.S.C3401. (CSAW) (Entered: 02/25/2010)

02/26/2010 16 CJRA ORDER (jgw). Judge Magistrate Judge David D. Noce termed.Case reassigned to Judge Honorable Carol E. Jackson for all furtherproceedings (KMS) (Entered: 02/26/2010)

03/01/2010 17 ORDER : IT IS HEREBY ORDERED that the scheduling conference setfor March 25, 2010 is canceled. The conference will be rescheduled, ifnecessary, following resolution of the pending motion to dismiss.. Signedby Honorable Carol E. Jackson on 3/1/10. (KKS) (Entered: 03/01/2010)

03/08/2010 18 First MOTION for Extension of Time to File Response/Reply as to 14MOTION to Dismiss Case, 12 MOTION to Strike, 13 Memorandum in

Support of Motion, 15 Memorandum in Support of Motion by PlaintiffRobert L McCrary. (Attachments: # 1 Exhibit Draft First AmendedComplaint)(Goldblatt, L.) (Entered: 03/08/2010)

03/09/2010 19 RESPONSE to Motion re 18 First MOTION for Extension of Time to FileResponse/Reply as to 14 MOTION to Dismiss Case, 12 MOTION toStrike, 13 Memorandum in Support of Motion, 15 Memorandum inSupport of MotionFirst MOTION for Extension of Time to FileResponse/Reply as to 14 MOTION to Dismiss Case, 12 MOTION toStrike, 13 Memorandum in Support of Motion, 15 Memorandum inSupport of Motion filed by Defendant Stifel, Nicolaus & Company,Incorporated. (Nielsen, Lisa) (Entered: 03/09/2010)

03/17/2010 20 ORDER: IT IS HEREBY ORDERED that plaintiff's motion 18 for anextension of time, up to, and including March 22, 2010, in which to file aresponse to defendant's motion to dismiss is granted. IT IS FURTHERORDERED that plaintiff's request 18 for leave of Court to file an amendedcomplaint is granted. ( Response to Court due by 3/22/2010.). Signed byHonorable Carol E. Jackson on 3/17/10. (KKS) (Entered: 03/17/2010)

03/17/2010 21 FIRST AMENDED COMPLAINT against defendant Stifel, Nicolaus &Company, Incorporated, Neil Rolla Harrison, Roger ComptonAmendment to 4 Complaint (Removal/Transfer), filed by Kenneth C.Thompson, Kenneth C. Thompson. Related document: 4 Complaint(Removal/Transfer) filed by Robert L McCrary.(KKS) (Entered:03/17/2010)

03/23/2010 22 First MOTION for Leave to Vacate First Amended Complaint Filed andSubstitute First Amended Complaint by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson. (Goldblatt, L.) (Entered:03/23/2010)

03/23/2010 23 MEMORANDUM in Opposition re 12 MOTION to Strike by DefendantStifel, Nicolaus & Company, Incorporated; 14 MOTION to Dismiss Caseby Defendant Stifel, Nicolaus & Company, Incorporated. (Attachments: #1 Exhibit Class Action Notice, # 2 Exhibit McCrary PSLRA Certificate, #3 Exhibit Thompson PSLRA Certificate)(Goldblatt, L.) (Main Document23 replaced on 3/24/2010) (KKS). Modified on 3/24/2010 (KKS).(Entered: 03/23/2010)

03/23/2010 24 AMENDED COMPLAINT (Redacted) for Class Action under 1933Securities Act Section 10-b-5 against defendant Roger Compton, NeilRolla Harrison, Stifel, Nicolaus & Company, Incorporated Amendment to22 First MOTION for Leave to Vacate First Amended Complaint Filedand Substitute First Amended Complaint, 21 Amended Complaint, NSummons(es) issued, Waivers issued N, Consents issued N, Y demand,(Redacted) for Class Action under 1933 Securities Act Section 10-b-5,filed by Robert L McCrary, Kenneth C. Thompson(As Beneficiary of theKenneth C. Thompson IRA), Kenneth C. Thompson(Trustee of the

Kenneth C. Thompson Living Trust U/A DTD 3-27-92). Relateddocument: 22 First MOTION for Leave to Vacate First AmendedComplaint Filed and Substitute First Amended Complaint filed byKenneth C. Thompson, Robert L McCrary, 21 Amended Complaint, filedby Kenneth C. Thompson. (Goldblatt, L.) (Entered: 03/23/2010)

03/23/2010 25 MOTION for Leave to File Out of TIme by Plaintiff Robert L McCrary.(Goldblatt, L.) (Entered: 03/23/2010)

03/23/2010 26 MOTION to Seal Document 24 Amended Complaint,,, and Exhibits 1 - 5by Plaintiffs Robert L McCrary, Kenneth C. Thompson, Kenneth C.Thompson. (Goldblatt, L.) (Entered: 03/23/2010)

03/23/2010 27 ***Redaction Index. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Goldblatt, L.) (Entered:03/23/2010)

03/24/2010 28 NOTICE OF PROCESS SERVER by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson Process Server: MadisonCounty Sheriff, Madison County Illinois (Goldblatt, L.) (Entered:03/24/2010)

03/24/2010 29 MEMORANDUM re 24 Amended Complaint,,, 28 Notice of ProcessServer for Issuance of Summons to Defendants Harrison and Compton byPlaintiffs Robert L McCrary, Kenneth C. Thompson, Kenneth C.Thompson. (Attachments: # 1 Summons Compton Summons, # 2Summons Harrison Summons)(Goldblatt, L.) (Entered: 03/24/2010)

03/24/2010 30 ORDER: IT IS HEREBY ORDERED that plaintiff's motion 22 tosubstitute his amended complaint is granted. IT IS FURTHER ORDEREDthat plaintiff's motion 26 for leave of Court to file an un-redacted versionof the amended complaint under seal is granted. IT IS FURTHERORDERED that plaintiff's motion 25 for leave of Court to file hisresponse to defendant's motions out of time is granted. IT IS FURTHERORDERED that defendant's motion 12 to strike portions of the complaintis denied as moot. IT IS FURTHER ORDERED that defendants motion14 to dismiss the complaint is denied as moot.. Signed by Honorable CarolE. Jackson on 3/24/10. (KKS) (Main Document 30 replaced on 3/25/2010)(KKS). (Entered: 03/24/2010)

03/25/2010 31 SEALED DOCUMENT re 24 Amended Complaint,,, by Plaintiffs RobertL McCrary, Kenneth C. Thompson, Kenneth C. Thompson. (Attachments:# 1 Exhibit 1 Thompson 2007 unredacted, # 2 Exhibit 2 Thompson 2008unredacted, # 3 Exhibit 3 McCrary 2006 unredacted, # 4 Exhibit 4McCrary 2007 unredacted, # 5 Exhibit 5 McCrary 2008unredacted)(Goldblatt, L.) (Entered: 03/25/2010)

03/25/2010 32 MOTION to Clarify 30 Order,, by Defendant Stifel, Nicolaus &Company, Incorporated. (Nielsen, Lisa) (Entered: 03/25/2010)

03/25/2010 33 MOTION for Extension of Time to File Answer re 24 AmendedComplaint,,, 31 Sealed Document, by Defendant Stifel, Nicolaus &Company, Incorporated. (Nielsen, Lisa) (Entered: 03/25/2010)

04/05/2010 34 MEMORANDUM in Opposition re 33 MOTION for Extension of Time toFile Answer re 24 Amended Complaint,,, 31 Sealed Document,, 32MOTION to Clarify 30 Order,, filed by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson. (Attachments: # 1 Exhibit#1 Stifel Response to FINRA Discovery)(Goldblatt, L.) (Entered:04/05/2010)

04/09/2010 35 REPLY to Response to Motion re 33 MOTION for Extension of Time toFile Answer re 24 Amended Complaint,,, 31 Sealed Document,, 32MOTION to Clarify 30 Order,, filed by Defendant Stifel, Nicolaus &Company, Incorporated. (Nielsen, Lisa) (Entered: 04/09/2010)

04/14/2010 36 ORDER IT IS HEREBY ORDERED that defendant's motion [#32] forclarification is granted in part and denied in part. IT IS FURTHERORDERED that defendant's motion [#33] for an extension of time, up toand including May 3, 2010, in which to file an answer or other responsivepleading directed to the second amended complaint is granted. Signed byHonorable Carol E. Jackson on 4/14/10. (KXS) (Entered: 04/14/2010)

04/22/2010 37 NOTICE OF PROCESS SERVER by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson Process Server: MadisonCounty Illinois Sheriff Department (Attachments: # 1 Summons RogerCompton summons on 2nd Amended Complaint)(Goldblatt, L.) (Entered:04/22/2010)

04/22/2010 38 NOTICE OF PROCESS SERVER by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson Process Server: ShelbyCounty Tennessee Sheriff Department (Attachments: # 1 Summons NeilRolla Harrison summons on 2nd amended complaint)(Goldblatt, L.)(Entered: 04/22/2010)

04/23/2010 39 Summons Issued as to defendant Roger Compton, Neil Rolla Harrison(emailed to attorney). (KMS) (Entered: 04/23/2010)

04/29/2010 40 MOTION for Preliminary Injunction by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson. (Goldblatt, L.) (Entered:04/29/2010)

04/29/2010 41 (DOCUMENT STRICKEN PER ORDER ENTERED 4/29/10)MEMORANDUM in Support of Motion re 40 MOTION for PreliminaryInjunction and exhibits 1, 2, and3 filed by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson. (Attachments: # 1 ExhibitFINRA Hearing Transcript, # 2 Exhibit Letter to FINRA/Neilsen, # 3Exhibit FINRA Order dated 4-16-10 not received unti l4-23 at timeindicated in fax header)(Goldblatt, L.) Modified on 4/29/2010 (KXS).(Entered: 04/29/2010)

04/29/2010 42 ORDER IT IS HEREBY ORDERED that plaintiff's memorandum insupport of his motion for a preliminary injunction [Doc # 41] is stricken.IT IS FURTHER ORDERED that plaintiff shall re-file the memorandum,in compliance with all local rules, no later than May 7, 2010. IT ISFURTHER ORDERED that defendant shall file its response to thismotion, if any, no later than seven days following the re-filing ofplaintiff's memorandum in support of his motion. Signed by HonorableCarol E. Jackson on 4/29/10. (KXS) (Entered: 04/29/2010)

04/29/2010 43 MEMORANDUM in Support of Motion re 40 MOTION for PreliminaryInjunction Amended filed by Plaintiffs Robert L McCrary, Kenneth C.Thompson, Kenneth C. Thompson. (Attachments: # 1 Exhibit TrancriptPrehearing Conference, # 2 Exhibit Letter to FINRA and Counsel forStifele, # 3 Exhibit Finra Order Dated 4-16-10 Received at Time of FaxHeader After Notice to FINRA Director of Arbitrationt and GeneralCounselsel)(Goldblatt, L.) (Entered: 04/29/2010)

04/30/2010 44 MOTION for Leave to File Amended Memorandum of 16 Pages Pursuantto Local Rule 4.01 (D) by Plaintiffs Robert L McCrary, Kenneth C.Thompson, Kenneth C. Thompson. (Goldblatt, L.) (Entered: 04/30/2010)

04/30/2010 45 AFFIDAVIT re 40 MOTION for Preliminary Injunction, 43 Memorandumin Support of Motion, by L. Steven Goldblatt by Plaintiffs Robert LMcCrary, Kenneth C. Thompson, Kenneth C. Thompson. (Goldblatt, L.)(Entered: 04/30/2010)

04/30/2010 46 MOTION for Extension of Time to File Answer to Plaintiff's SecondAmended Complaint by Defendant Stifel, Nicolaus & Company,Incorporated. (Nielsen, Lisa) (Entered: 04/30/2010)

05/06/2010 47 ORDER IT IS HEREBY ORDERED that plaintiffs motion [#44] for leaveof Court to file a memorandum in excess of the page limit is granted. IT ISFURTHER ORDERED that defendants motion [#46] for an extension oftime in which to file a response to the Second Amended Complaint isgranted. IT IS FURTHER ORDERED that defendants answer or otherresponsive pleading directed to the Second Amended Complaint shall bedue seven days after entry of the order resolving plaintiffs motion for apreliminary injunction. ORDER granting 44 Motion for Leave to ;granting 46 Motion for Extension of Time to Answer Signed byHonorable Carol E. Jackson on 5/6/2010. (KMS) (Entered: 05/06/2010)

05/06/2010 48 MOTION for Leave to File in Excess of Page Limitation by DefendantStifel, Nicolaus & Company, Incorporated. (Nielsen, Lisa) (Entered:05/06/2010)

05/06/2010 49 RESPONSE in Opposition re 40 MOTION for Preliminary Injunction, 48MOTION for Leave to File in Excess of Page Limitation and Request toExclude Mr. Thompson from the Putative Class filed by Defendant Stifel,Nicolaus & Company, Incorporated. (Attachments: # 1 Exhibit Exhibit A -

Affidavit of Lisa A. Nielsen, # 2 Exhibit Exhibit B - Affidavit of Lisa A.Nielsen, # 3 Exhibit Exhibit B-1 - Submission Agreement, # 4 ExhibitExhibit B-2 - FINRA Arbitration Submission Agreement, # 5 ExhibitExhibit C - Affidavit of James C. Browning, Jr., # 6 Exhibit Exhibit D -Affidavit of Thomas E. Douglass)(Nielsen, Lisa) (Entered: 05/06/2010)

05/06/2010 50 MOTION for Leave to File Sealed Document by Defendant Stifel,Nicolaus & Company, Incorporated. (Nielsen, Lisa) (Entered: 05/06/2010)

05/06/2010 51 SEALED DOCUMENT re 50 MOTION for Leave to File SealedDocument , Exhibit A Part 1 by Defendant Stifel, Nicolaus & Company,Incorporated. (Attachments: # 1 Exhibit A Part 2, # 2 Exhibit A Part 3, # 3Exhibit A Part 4, # 4 Exhibit A Part 5, # 5 Exhibit A Part 6, # 6 Exhibit APart 7, # 7 Exhibit A Part 8, # 8 Exhibit A Part 9, # 9 Exhibit A Part 10, #10 Exhibit A Part 11, # 11 Exhibit A Part 12, # 12 Exhibit A Part 13, # 13Exhibit A Part 14, # 14 Exhibit A Part 15)(Nielsen, Lisa) (Entered:05/06/2010)

05/11/2010 52 ORDER IT IS HEREBY ORDERED that defendants motion [Doc. #48]for leave to exceed the page limit is granted. IT IS FURTHER ORDEREDthat defendants motion [Doc. #50] for leave to file Exhibit A under seal isgranted. IT IS FURTHER ORDERED that Exhibit A [Doc. #51] todefendants memorandum in opposition to plaintiffs motion for apreliminary injunction be sealed until further order of the Court. ORDERgranting 48 Motion for Leave to File in Excess of Page Limitation;granting 50 Motion for Leave to File Sealed Document Signed byHonorable Carol E. Jackson on 5/11/2010. (KMS) (Entered: 05/11/2010)

05/12/2010 53 SUMMONS Returned Executed filed by Robert L McCrary, Kenneth C.Thompson(As Beneficiary of the Kenneth C. Thompson IRA), Kenneth C.Thompson(Trustee of the Kenneth C. Thompson Living Trust U/A DTD3-27-92). Roger Compton served on 5/3/2010, answer due 5/24/2010.(Goldblatt, L.) (Entered: 05/12/2010)

05/12/2010 54 First MOTION for Extension of Time to File Response/Reply as to 49Response in Opposition to Motion,, for Preliminary Injunction byPlaintiffs Robert L McCrary, Kenneth C. Thompson, Kenneth C.Thompson. (Goldblatt, L.) (Entered: 05/12/2010)

05/18/2010 56 ORDER granting 54 Motion for Extension of Time to FileResponse/Reply re 40 MOTION for Preliminary Injunction Replies due by5/18/2010. Signed by Honorable Carol E. Jackson on 05/18/2010. (CEJ)(Entered: 05/18/2010)

05/19/2010 57 REPLY to Response to Motion re 40 MOTION for Preliminary Injunctionand Memorandum in Opposition to Stifel Motion to Remove KennethThompson From Class filed by Plaintiffs Robert L McCrary, Kenneth C.Thompson, Kenneth C. Thompson. (Attachments: # 1 Exhibit Exhibit List,# 2 Exhibit #1, # 3 Exhibit #2, # 4 Exhibit #3, # 5 Exhibit #4, # 6 Exhibit

#5, # 7 Exhibit #6)(Goldblatt, L.) (Entered: 05/19/2010)

05/19/2010 58 MOTION for Referral to Early Neutral Evaluation E.D. Local Rule 16-602(A)(1) by Plaintiffs Robert L McCrary, Kenneth C. Thompson,Kenneth C. Thompson. (Goldblatt, L.) Modified on 5/20/2010 (KKS).(Entered: 05/19/2010)

05/19/2010 59 ENTRY of Appearance by Lisa A. Nielsen for Defendant Roger Compton.(Nielsen, Lisa) (Entered: 05/19/2010)

05/19/2010 60 MOTION for Extension of Time to File Answer re 24 AmendedComplaint,,, by Defendant Roger Compton. (Nielsen, Lisa) (Entered:05/19/2010)

05/19/2010 61 ENTRY of Appearance by Donald D. McBride, II for Defendant RogerCompton. (McBride, Donald) (Entered: 05/19/2010)

05/20/2010 62 MOTION for Discovery Request to Lift Stay on Discovery Pursuant to 15U.S. C Sec. 77z-1 (F) by Plaintiffs Robert L McCrary, Kenneth C.Thompson, Kenneth C. Thompson. (Attachments: # 1 Exhibit # 1 Requestfor Document Production)(Goldblatt, L.) (Entered: 05/20/2010)

05/20/2010 63 MEMORANDUM in Support of Motion re 62 MOTION for DiscoveryRequest to Lift Stay on Discovery Pursuant to 15 U.S.C Sec. 77z-1 (F)MOTION for Discovery Request to Lift Stay on Discovery Pursuant to 15U.S. C Sec. 77z-1 (F) filed by Plaintiffs Robert L McCrary, Kenneth C.Thompson, Kenneth C. Thompson. (Attachments: # 1 Exhibit # 1 Requestfor Production of Documents, # 2 Exhibit #2 Orginal Affidavit of NormanFrager)(Goldblatt, L.) (Entered: 05/20/2010)

05/20/2010 64 ORDER IT IS HEREBY ORDERED that defendant Roger Comptonsmotion [#60] for an extension of time in which to file a response to theSecond Amended Complaint is granted. IT IS FURTHER ORDERED thatdefendant Comptons answer or other responsive pleading directed to theSecond Amended Complaint shall be due seven days after entry of theorder resolving plaintiffs motion for a preliminary injunction. ORDERgranting 60 Motion for Extension of Time to Answer Signed byHonorable Carol E. Jackson on 5/20/2010. (KMS) (Entered: 05/20/2010)

05/21/2010 65 MEMORANDUM AND ORDER IT IS HEREBY ORDERED thatplaintiffs motion [#40] for a preliminary injunction is denied.. Signed byHonorable Carol E. Jackson on 5/21/2010. (KMS) (Entered: 05/21/2010)

05/26/2010 66 MOTION for Extension of Time to File Answer re 24 AmendedComplaint,,, up to and including 6/04/10 by Defendants Roger Compton,Stifel, Nicolaus & Company, Incorporated. (Nielsen, Lisa) (Entered:05/26/2010)

06/01/2010 67 MEMORANDUM in Opposition re 62 MOTION for Discovery Requestto Lift Stay on Discovery Pursuant to 15 U.S.C Sec. 77z-1 (F) MOTION

for Discovery Request to Lift Stay on Discovery Pursuant to 15 U.S. C Sec.77z-1 (F) filed by Defendants Roger Compton, Stifel, Nicolaus &Company, Incorporated. (Nielsen, Lisa) (Entered: 06/01/2010)

06/03/2010 68 ORDER; IT IS HEREBY ORDERED that defendants' motion for anextension of time in which to file an answer or other responsive pleadingis granted in part and denied in part. IT IS FURTHER ORDERED thatdefendants shall have until June 11, 2010, to answer or otherwise respondto the Second Amended Complaint. Signed by Honorable Carol E.Jackson on 06/03/2010. (DJO) (Entered: 06/03/2010)

06/04/2010 69 MOTION to Appoint Lead Counsel and Kenneth C. Thompson as LeadPlaintiff names:L. Steven Goldblatt by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson. (Attachments: # 1 ExhibitPSLRA Notice)(Goldblatt, L.) (Entered: 06/04/2010)

06/11/2010 70 MEMORANDUM in Support of Motion re 69 MOTION to Appoint LeadCounsel and Kenneth C. Thompson as Lead Plaintiff names :L. StevenGoldblatt as Lead Counsel filed by Plaintiffs Robert L McCrary, KennethC. Thompson, Kenneth C. Thompson. (Attachments: # 1 Exhibit AGoldblatt Class Actions and Securities Litigation Experience)(Goldblatt,L.) (Entered: 06/11/2010)

06/11/2010 71 MOTION for Extension of Time to File Response/Reply as to 69MOTION to Appoint Lead Counsel and Kenneth C. Thompson as LeadPlaintiff names:L. Steven Goldblatt by Defendants Roger Compton, Stifel,Nicolaus & Company, Incorporated. (Nielsen, Lisa) (Entered: 06/11/2010)

06/11/2010 72 MOTION to Strike by Defendants Roger Compton, Stifel, Nicolaus &Company, Incorporated. (Nielsen, Lisa) (Entered: 06/11/2010)

06/11/2010 73 MEMORANDUM in Support of Motion re 72 MOTION to Strike filed byDefendants Roger Compton, Stifel, Nicolaus & Company, Incorporated.(Nielsen, Lisa) (Entered: 06/11/2010)

06/11/2010 74 MOTION to Dismiss Case by Defendants Roger Compton, Stifel,Nicolaus & Company, Incorporated. (Nielsen, Lisa) (Entered: 06/11/2010)

06/11/2010 75 MOTION for Leave to File in Excess of Page Limitation by DefendantsRoger Compton, Stifel, Nicolaus & Company, Incorporated.(Attachments: # 1 Proposed Memorandum of Law in Support ofDefendants Stiefel, Nicolaus & Company, Incorporated's and RogerCompton's Motion to Dismiss, # 2 Affidavit of Karen L. Kehrer, # 3Exhibit A-1 Redacted, # 4 Exhibit A-2 Redacted, # 5 Exhibit A-3Redacted, # 6 Exhibit A-4 Redacted)(Nielsen, Lisa) (Entered: 06/11/2010)

06/11/2010 76 MOTION for Leave to File Sealed Document by Defendants RogerCompton, Stifel, Nicolaus & Company, Incorporated. (Nielsen, Lisa)(Entered: 06/11/2010)

06/11/2010 77 SEALED DOCUMENT re 76 MOTION for Leave to File SealedDocument Affidavit of Karen L. Kehrer (Unredacted) by DefendantsRoger Compton, Stifel, Nicolaus & Company, Incorporated.(Attachments: # 1 Exhibit A-1 Unredacted, # 2 Exhibit A-2 Unredacted, #3 Exhibit A-3 Unredacted, # 4 Exhibit A-4 Unredacted)(Nielsen, Lisa)(Entered: 06/11/2010)

06/14/2010 78 ORDER; IT IS HEREBY ORDERED that defendants' motion [# 71 ] foran extension of time, up to, and including June 25, 2010, in which to file aresponse to plaintiffs' motion for appointment of lead counsel is granted.IT IS FURTHER ORDERED that defendants' motion [# 75 ] for leave toexceed the page limitation is granted. IT IS FURTHER ORDERED thatdefendants' motion [# 76 ] for leave to file documents under seal isgranted. Signed by Honorable Carol E. Jackson on 06/14/2010; (DJO)(Entered: 06/14/2010)

06/14/2010 79 MEMORANDUM in Support of Motion re 74 MOTION to Dismiss Casefiled by Defendants Roger Compton, Stifel, Nicolaus & Company,Incorporated. (Attachments: # 1 Exhibit A-1, # 2 Exhibit A-2, # 3 ExhibitA-3, # 4 Exhibit A-4, # 5 Affidavit)(DJO) (Entered: 06/15/2010)

06/22/2010 80 First MOTION for Extension of Time to File Response/Reply as to 79Memorandum in Support of Motion, of Stifel and Compton by PlaintiffsRobert L McCrary, Kenneth C. Thompson, Kenneth C. Thompson.(Attachments: # 1 Exhibit EXHIBIT 1)(Goldblatt, L.) (Entered:06/22/2010)

06/23/2010 81 ORDER; IT IS HEREBY ORDERED that plaintiffs' motion [# 80 ] for anextension of time, up to, and including June 29, 2010, in which to file amemorandum in opposition to defendants motion to dismiss is granted.Signed by Honorable Carol E. Jackson on 06/23/2010. (DJO) (Entered:06/23/2010)

06/25/2010 82 MEMORANDUM in Opposition re 69 MOTION to Appoint LeadCounsel and Kenneth C. Thompson as Lead Plaintiff names :L. StevenGoldblatt filed by Defendants Roger Compton, Stifel, Nicolaus &Company, Incorporated. (Attachments: # 1 Exhibit A, # 2 Exhibit B-1)(Nielsen, Lisa) (Attachment 2 replaced on 6/29/2010) (KMS). (Entered:06/25/2010)

06/25/2010 83 MOTION to Stay re 69 MOTION to Appoint Lead Counsel and KennethC. Thompson as Lead Plaintiff names :L. Steven Goldblatt (Defer Rulingon the Request for Class Certification) by Defendants Roger Compton,Stifel, Nicolaus & Company, Incorporated. (Nielsen, Lisa) (Entered:06/25/2010)

06/29/2010 84 MEMORANDUM in Opposition re 83 MOTION to Stay re 69 MOTIONto Appoint Lead Counsel and Kenneth C. Thompson as Lead Plaintiffnames:L. Steven Goldblatt (Defer Ruling on the Request for Class

Certification) MOTION to Stay re 69 MOTION to Appoint Lead Counseland Kenneth C. Thompson as Lead Plaintiff names:L. Steven Goldblatt(Defer Ruling on the Request for Class Certification), 74 MOTION toDismiss Case, 72 MOTION to Strike filed by Plaintiffs Robert LMcCrary, Kenneth C. Thompson, Kenneth C. Thompson. (Goldblatt, L.)(Entered: 06/29/2010)

06/30/2010 85 MOTION for Preliminary Injunction by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson. (Goldblatt, L.) (Entered:06/30/2010)

06/30/2010 86 AFFIDAVIT re 85 MOTION for Preliminary Injunction by PlaintiffsRobert L McCrary, Kenneth C. Thompson, Kenneth C. Thompson.(Attachments: # 1 Affidavit Affidavit of Norman Frager, # 2 Exhibit, # 3Exhibit, # 4 Exhibit, # 5 Exhibit, # 6 Exhibit, # 7 Exhibit)(Goldblatt, L.)(Entered: 06/30/2010)

06/30/2010 87 MEMORANDUM in Support of Motion re 85 MOTION for PreliminaryInjunction filed by Plaintiffs Robert L McCrary, Kenneth C. Thompson,Kenneth C. Thompson. (Attachments: # 1 Affidavit, # 2 Exhibit, # 3Exhibit, # 4 Exhibit, # 5 Exhibit)(Goldblatt, L.) (Entered: 06/30/2010)

07/09/2010 88 REPLY to Response to Motion re 74 MOTION to Dismiss Case, 72MOTION to Strike filed by Defendants Roger Compton, Stifel, Nicolaus& Company, Incorporated. (Attachments: # 1 Exhibit A)(Nielsen, Lisa)(Entered: 07/09/2010)

07/12/2010 89 MEMORANDUM in Opposition re 85 MOTION for PreliminaryInjunction filed by Defendants Roger Compton, Stifel, Nicolaus &Company, Incorporated. (Attachments: # 1 Exhibit B)(Nielsen, Lisa)(Entered: 07/12/2010)

07/19/2010 90 MOTION for Extension of Time to File Response/Reply in Support ofPreliminary Injunction by Plaintiffs Robert L McCrary, Kenneth C.Thompson, Kenneth C. Thompson. (Attachments: # 1 Exhibit, # 2 Exhibit,# 3 Exhibit)(Goldblatt, L.) (Entered: 07/19/2010)

07/20/2010 91 ORDER IT IS HEREBY ORDERED that plaintiffs' motion 90 for anextension of time, up to, and including July 23, 2010, in which to file areply in support of their motion for a preliminary injunction, is granted.Replies due by 7/23/2010. Signed by Honorable Carol E. Jackson on7/20/10. (KKS) (Entered: 07/20/2010)

07/23/2010 92 REPLY to Response to Motion re 85 MOTION for Preliminary Injunctionfiled by Plaintiffs Robert L McCrary, Kenneth C. Thompson, Kenneth C.Thompson. (Goldblatt, L.) (Entered: 07/23/2010)

07/29/2010 93 SUMMONS Returned Executed filed by Robert L McCrary, Kenneth C.Thompson(As Beneficiary of the Kenneth C. Thompson IRA), Kenneth C.Thompson(Trustee of the Kenneth C. Thompson Living Trust U/A DTD

3-27-92). Neil Rolla Harrison served on 7/20/2010, answer due 8/10/2010.(Goldblatt, L.) (Entered: 07/29/2010)

08/09/2010 94 Pro Se ANSWER to 21 Amended Complaint, by Neil RollaHarrison.(KKS) (Entered: 08/09/2010)

12/28/2010 95 MEMORANDUM AND ORDER IT IS HEREBY ORDERED thatdefendants' motion to dismiss [Doc. #74] is granted. IT IS FURTHERORDERED that all pending motions are denied as moot. Signed byHonorable Carol E. Jackson on 12/28/10. (KXS) (Entered: 12/28/2010)

12/28/2010 ORDER RECEIPT: (see receipt) Docket No: 95. copy mailed to partiesnot electronically notified Tue Dec 28 11:02:07 CST 2010 (Spurgeon,Katherine) (Entered: 12/28/2010)

12/28/2010 96 ORDER OF DISMISSAL IT IS HEREBY ORDERED that the plaintiffs'complaint is dismissed for failure to state a claim. The plaintiffs shall bearthe costs. Signed by Honorable Carol E. Jackson on 12/28/10. (KXS)(Entered: 12/28/2010)

12/28/2010 ORDER RECEIPT: (see receipt) Docket No: 96. copy mailed to partiesnot electronically notified Tue Dec 28 11:04:22 CST 2010 (Spurgeon,Katherine) (Entered: 12/28/2010)

01/25/2011 97 NOTICE OF APPEAL as to 96 Order of Dismissal (case - Stipulation ofDismissal), 95 Memorandum & Order by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson. Filing fee $ 455, receiptnumber 0865-2596796. (Entered: 01/25/2011)

01/25/2011 98 DESIGNATION of Record on Appeal by Plaintiffs Robert L McCrary,Kenneth C. Thompson, Kenneth C. Thompson re 97 Notice of Appeal(Attachments: # 1 Exhibit Docket Entries) (Entered: 01/25/2011)

01/26/2011 99 NOTIFICATION OF APPEAL AND NOA SUPPLEMENT by clerk toUSCA regarding 97 Notice of Appeal. Notice of Appeal filed on01/25/2011 by Plaintiffs Robert L McCrary, Kenneth C. Thompson,Kenneth C. Thompson. NOTIFICATION TO COUNSEL AND PRO SEPARTY: FILE REQUEST FOR TRANSCRIPT WITH DISTRICTCOURT CLERKS OFFICE. SUBMIT FORM A & B TO EIGHTHCIRCUIT CLERKS OFFICE(JMW) (Entered: 01/26/2011)

01/28/2011 100 Initial Notification and or Briefing Schedule from USCA for 97 Notice ofAppeal filed by Kenneth C. Thompson, Robert L McCrary USCA AppealNumber: 11-1213 Method of Appendix due: 3/9/11 Notice of Appealforwarded to panel: No Briefs due: 3/9/11 (Attachments: # 1 Briefingschedule)(KXS) (Entered: 01/28/2011)

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