U.S. District Court Eastern District of Missouri (LIVE) (St ...securities.stanford.edu/.../2009727_r01k_04CV00086.pdfUS District Court Civil Docket as of July 27, 2009 Retrieved from

US District Court Civil Docket as of July 27, 2009Retrieved from the court on August 07, 2009

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

CIVIL DOCKET FOR CASE #: 4:04-cv-00086-HEA

Spahn v. Edward D. Jones & Co., L.P. et al Date Filed: 01/23/2004

Assigned to: Honorable Henry E. Autrey Date Terminated: 10/25/2007

Member case: (View Member Case) Jury Demand: Plaintiff

Cause: 15:78m(a) Securities Exchange Act Nature of Suit: 850 Securities/Commodities

Jurisdiction: Federal Question

Plaintiff

John M. Spahn, IRA represented by Andrei V. Rado

on Behalf of Himself and All Others Similarly MILBERG LLP

Situated One Pennsylvania Plaza

Suite 4915

New York, NY 10119

212-594-5300

Fax: 212-868-1229

LEAD ATTORNEY

ATTORNEY TO BE NOTICED

Charles J. Piven

BROWER PIVEN

The World Trade Center - Baltimore

401 E. Pratt Street

Suite 2525

Baltimore, MD 21202

410-332-0030

Fax: 410-685-1300

Email: [email protected]

LEAD ATTORNEY


Jerome M. Congress

MILBERG LLP

One Pennsylvania Plaza

Suite 4915

New York, NY 10119

212-594-5300

Fax: 212-868-1229


LEAD ATTORNEY


Marshall N. Perkins

BROWER PIVEN

The World Trade Center - Baltimore

401 E. Pratt Street

Suite 2525

Baltimore, MD 21202

410-332-0030

Fax: 410-685-1300


LEAD ATTORNEY


Martin W. Blanchard

SAUERWEIN AND SIMON, P.C.

147 N. Meramec

Suite 200

Clayton, MO 63105

314-863-9100

Fax: 314-863-9101


LEAD ATTORNEY


Michael R. Reese

MILBERG LLP


Suite 4915

New York, NY 10119

212-594-5300

Fax: 212-868-1229


LEAD ATTORNEY

Peter E. Seidman

MILBERG LLP


Suite 4915

New York, NY 10119

212-594-5300

Fax: 212-868-1229


LEAD ATTORNEY

PRO HAC VICE


Steven G. Schulman

STEVEN G. SCHULMAN

245 Park Avenue

39th Floor

New York, NY 10167

212-792-4175

Fax: 212-792-4176


LEAD ATTORNEY


William L. Sauerwein

SAUERWEIN AND SIMON, P.C.

147 N. Meramec

Suite 200

Clayton, MO 63105

314-863-9100

Fax: 314-863-9101


LEAD ATTORNEY


Robert D. Blitz

BLITZ AND BARDGETT

120 S. Central

Suite 1650

Clayton, MO 63105

314-863-1500

Fax: 314-863-1877


TERMINATED: 04/19/2004


Plaintiff

Colton Bowser represented by Kenneth E. Nelson

The Nelson Law Firm P.C.

1100 Main Street

Suite 2900

Kansas City, MO 64105

816-421-7225

Fax: 816-642-8274

LEAD ATTORNEY


V.

Consolidated Filer Plaintiff

Michael Maller represented by Jerome M. Congress

(See above for address)

LEAD ATTORNEY


Martin W. Blanchard




Ronald Alexander represented by Jerome M. Congress


LEAD ATTORNEY


Martin W. Blanchard




Rachel M. Enriquez represented by Christopher O. Bauman

TERMINATED: 04/30/2004 BLITZ AND BARDGETT

120 S. Central

Suite 1650

Clayton, MO 63105

314-863-1500

Fax: 314-863-1877



LEAD ATTORNEY


Kirk B. Hulett

HULETT AND HARPER

550 W. C Street

Suite 1600

San Diego, CA 92101

619-338-1133

Fax: 619-338-1139



LEAD ATTORNEY


Matthew J. Zevin

STANLEY AND MANDEL

550 W. C Street

Suite 1600

San Diego, CA 92101

619-235-5306

Fax: 815-377-8419


LEAD ATTORNEY


R. Thomas Avery

BLITZ AND BARDGETT

120 S. Central

Suite 1650

Clayton, MO 63105

314-863-1500

Fax: 314-863-1877



LEAD ATTORNEY


Robert D. Blitz



LEAD ATTORNEY


Wayne T. Lamprey

GOODIN AND MCBRIDE

505 Sansome Street

Suite 900

San Francisco, CA 94111

415-392-7900

Fax: 415-398-4321



LEAD ATTORNEY



Mr. Joe Garcia represented by Aaron L. Brody

STULL AND STULL

Six E. 45th Street

New York, NY 10017

212-687-7230

Fax: 212-490-2022


LEAD ATTORNEY


Bradley P. Dyer

STULL AND STULL

Six E. 45th Street

New York, NY 10017

212-687-7320

Fax: 212-490-2022


LEAD ATTORNEY


David C. Katz

WEISS AND YOURMAN

551 Fifth Avenue

Suite 1600

New York, NY 10176

212-682-3025

LEAD ATTORNEY


Jack I. Zwick

WEISS AND YOURMAN

551 Fifth Avenue

Suite 1600

New York, NY 10176

212-682-3025

LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss

WEISS AND YOURMAN

551 Fifth Avenue

Suite 1600

New York, NY 10176

212-682-3025

Fax: 212-682-3010

LEAD ATTORNEY


Jules Brody

STULL AND STULL

Six E. 45th Street

New York, NY 10017

212-687-7230

Fax: 212-490-2022


LEAD ATTORNEY


Richard A. Acocelli

WEISS AND YOURMAN

551 Fifth Avenue

Suite 1600

New York, NY 10176

212-682-3025

Fax: 212-682-3010


LEAD ATTORNEY


Leonard Komen

LAW OFFICES OF LEONARD KOMEN, P.C.

7733 Forsyth Boulevard

Suite 2000

St. Louis, MO 63105

314-862-3535

Fax: 314-726-2340



Martin W. Blanchard



Robert D. Blitz





Lois Zabriskie represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




John Oldner represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Hubert Freehan represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Betty Weible represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Susan Legg represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Marylou Jeffs represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




James Pingatore represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Cheryl McDowell represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Juan Cedillo represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Jim Boswell represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Allen Wells represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Murray Zucker represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Illinois Valley YMCA represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Robert Searcy represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Robert Bahnson represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Robert Wood represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Jay Haack represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Carol Chiumentu represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Nancy Lawrence represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




William Duggan represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Loretta Carlson represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Denise McCutchen represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Marina Berti represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Leonard Komen



Martin W. Blanchard




Carol Maller represented by Jerome M. Congress


LEAD ATTORNEY


Martin W. Blanchard


LEAD ATTORNEY



Mary Oldner represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Leonard Komen


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Martin W. Blanchard




Randy McDowell represented by Aaron L. Brody


LEAD ATTORNEY


Bradley P. Dyer


LEAD ATTORNEY


David C. Katz


LEAD ATTORNEY


Jack I. Zwick


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Leonard Komen


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Martin W. Blanchard




Michael Howard represented by David A. Rosenfeld

COUGHLIN STOIA, LLP

58 S. Service Road

Suite 200

Melville, NY 11747

631-367-7100

Fax: 631-367-1173


LEAD ATTORNEY

PRO HAC VICE


Jerome M. Congress


LEAD ATTORNEY


Marc A. Topaz

SCHIFFRIN AND BARROWAY

280 King of Prussia Road

Radnor, PA 19087

610-667-7706

Fax: 610-667-7056


LEAD ATTORNEY


Martin W. Blanchard


LEAD ATTORNEY


Richard A. Maniskas

SCHIFFRIN AND BARROWAY

280 King of Prussia Road

Radnor, PA 19087

610-667-7706


LEAD ATTORNEY


Samuel H. Rudman

COUGHLIN STOIA, LLP

58 S. Service Road

Suite 200

Melville, NY 11747

631-367-7100

Fax: 631-367-1173


LEAD ATTORNEY


William L. Sauerwein


LEAD ATTORNEY



Frada Pasik represented by David Jaroslawicz

JAROSLAWICZ AND JAROS

150 Williams Street

New York, NY 10038

212-227-2780

Fax: 212-732-6746


LEAD ATTORNEY


Donald L. Wolff

SCHLUETER AND MAN DEL

1108 Olive Street

Fifth Floor

St. Louis, MO 63101

314-621-701

Fax: 314-621-4800


LEAD ATTORNEY


H. Adam Prussin

POMERANTZ AND HAUDEK

100 Park Avenue

New York, NY 10017

212-661-1100

Fax: 212-661-8665

LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Paul J. D'Agrosa

WOLFF AND D'AGROSA

7710 Carondelet Avenue

Suite 200

Clayton, MO 63105

314-725-8019

Fax: 314-725-8443


LEAD ATTORNEY


Ronen Sarraf


100 Park Avenue

New York, NY 10017

212-661-1100

Fax: 212-661-8665


LEAD ATTORNEY


Stanley M. Grossman


100 Park Avenue

New York, NY 10017

212-661-1100

Fax: 212-661-8665


LEAD ATTORNEY


Martin W. Blanchard




Richard H. Gerding represented by Jerome M. Congress


LEAD ATTORNEY


Lauren S. Antonino

CHITWOOD AND HARLEY

1230 Peachtree Street,N.E.

Suite 2300

Atlanta , GA 30309

404-873-3900

Fax: 404-876-4476



LEAD ATTORNEY

Martin W. Blanchard


LEAD ATTORNEY


Martin D. Chitwood

CHITWOOD HARLEY HARNES LLP

1230 Peachtree Street, N.E

2300 Promenade II

Atlanta , GA 30309

404-873-3900

Fax: 404-876-4476


LEAD ATTORNEY



Nicholas J. Corbi represented by Aaron L. Brody


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Martin W. Blanchard




Stanley D. Gadway represented by Aaron L. Brody


LEAD ATTORNEY


Jerome M. Congress


LEAD ATTORNEY


Joseph H. Weiss


LEAD ATTORNEY


Jules Brody


LEAD ATTORNEY


Richard A. Acocelli


LEAD ATTORNEY


Tzivia Brody

STULL AND STULL

Six E. 45th Street

New York, NY 10017

212-687-7230

Fax: 212-490-2022


LEAD ATTORNEY


Martin W. Blanchard




Thomas Auer represented by Jerome M. Congress


LEAD ATTORNEY


Martin W. Blanchard


LEAD ATTORNEY



William D. Potter represented by James J. Rosemergy

CAREY AND DANIS

8235 Forsyth Boulevard

Suite 1100

Clayton, MO 63105

314-725-7700

Fax: 314-721-0905



Martin W. Blanchard




Todd Bressler represented by James J. Rosemergy



Martin W. Blanchard




Robert D. Blitz represented by Robert D. Blitz



V.

Defendant

Edward D. Jones & Co., L.P. represented by Andrei V. Rado



LEAD ATTORNEY


David P. Niemeier

GREENSFELDER AND HEMKER, PC

2000 Equitable Building

10 South Broadway

St. Louis, MO 63102

314-241-9090

Fax: 314-345-5467


LEAD ATTORNEY


Kimber L. Monroe



10 South Broadway

St. Louis, MO 63102

314-345-4734

Fax: 314-345-5467



LEAD ATTORNEY

Lisa A. Nielsen



10 South Broadway

St. Louis, MO 63102

314-345-4734

Fax: 314-345-5467


LEAD ATTORNEY


Melvyn I. Weiss

MILBERG LLP


Suite 4915

New York, NY 10119

212-594-5300

Fax: 212-868-1229


LEAD ATTORNEY


Peter E. Seidman



LEAD ATTORNEY

PRO HAC VICE


Robert W. Gottlieb

KATTEN MUCHIN ROSENMAN LLP

575 Madison Avenue

New York, NY 10022

LEAD ATTORNEY


Sharon M. Lee

MILBERG LLP


Suite 4915

New York, NY 10119

212-594-5300


LEAD ATTORNEY


Steven G. Schulman



LEAD ATTORNEY


David M. Harris



10 South Broadway

St. Louis, MO 63102

314-241-9090

Fax: 314-345-5467



James H. Ferrick, III



10 South Broadway

St. Louis, MO 63102

314-241-9090

Fax: 314-345-5467



Defendant

John W. Bachmann represented by David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


David M. Harris






Defendant

Douglas E. Hill represented by David P. Niemeier



LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen



LEAD ATTORNEY


David M. Harris




Gordon L. Ankney

THOMPSON COBURN

One US Bank Plaza

Suite 26

St. Louis, MO 63101

314-552-6003

Fax: 314-552-7003






John S. Kingston

THOMPSON COBURN

One US Bank Plaza

Suite 26

St. Louis, MO 63101

314-552-6000



Michael J. Morris

THOMPSON COBURN

One US Bank Plaza

St. Louis, MO 63101

314-552-6000

Fax: 314-552-7082



Defendant

Michael R. Holmes represented by David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


David M. Harris






Defendant

Richie L. Malone represented by David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


David M. Harris






Defendant

Steven Novik represented by David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


David M. Harris






Defendant

Darryl L. Pope represented by David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


David M. Harris






Defendant

Robert Virgil, Jr. represented by David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


David M. Harris






V.

Consolidated Filer Defendant

Jones Financial Companies, The represented by David M. Harris


LEAD ATTORNEY


David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


Consolidated Filer Defendant

EDJ Holding Company, Inc. represented by David M. Harris


LEAD ATTORNEY


David P. Niemeier


LEAD ATTORNEY


Kimber L. Monroe



LEAD ATTORNEY

Lisa A. Nielsen


LEAD ATTORNEY


V.

Objector

Alyssa Bowser represented by Kenneth E. Nelson


LEAD ATTORNEY


Objector

Janine Bowser represented by Kenneth E. Nelson


LEAD ATTORNEY


Objector

Ryan Bowser represented by Kenneth E. Nelson


LEAD ATTORNEY


Objector

Rebecca Diederich represented by Kenneth E. Nelson


LEAD ATTORNEY


Objector

Mark Hill represented by Kenneth E. Nelson


LEAD ATTORNEY


Objector

Denise Slomovitz represented by Edward F. Siegel

EDWARD F. SIEGEL CO., L.P.A.

5910 Landerbrook Drive

Suite 200

Cleveland, OH 44122

440-544-1107

Fax: 440-446-1240


LEAD ATTORNEY


Objector

Shirley Barnes represented by John W. Davis

Law Office of John W. Davis

4445 Eastgate Mall

Second Floor

San Diego, CA 92121

858-812-2976

Fax: 858-658-0072

LEAD ATTORNEY


Richard R. Lozano

LOZANO AND LOZANO, LLC

16371 C. Lakefield Place Dr.

St. Louis, MO 63040

314-650-5217

Fax: 1-866-401-7772

LEAD ATTORNEY


Objector

Herbert Wayne Laye represented by Charles M. Thompson

CHARLES M. THOMPSON, PC

5615 Canongate Lane

Birmingham, AL 35242

205-995-0068

Fax: 205-995-0078

LEAD ATTORNEY


Richard R. Lozano


LEAD ATTORNEY


Objector

Louise Gilford Laye represented by Charles M. Thompson


LEAD ATTORNEY


Richard R. Lozano


LEAD ATTORNEY


Objector

Sandra Stokes represented by Charles M. Thompson


LEAD ATTORNEY


Richard R. Lozano


LEAD ATTORNEY


Objector

David Stokes represented by Charles M. Thompson


LEAD ATTORNEY


Richard R. Lozano


LEAD ATTORNEY


Objector

Margot Kern represented by Edward F. Siegel


LEAD ATTORNEY


Objector

Fred Yancey

Objector

Ellen Goodman

Objector

Atty General for CA Edmund G. Brown, Jr. represented by Irene K. Tamura

ATTORNEY GENERAL OF CALIFORNIA

1300I Street

Sacramento, CA 95814

916-322-2587

Fax: 916-327-6833


LEAD ATTORNEY

PRO HAC VICE


Jon M. Ichinaga


300 S. Spring Street

Los Angeles, CA 90013

213-897-0012

Fax: 213-897-2801


LEAD ATTORNEY


Xianchun Vendler


300 S. Spring Street

Los Angeles, CA 90013

213-576-7769

Fax: 213-897-2801


LEAD ATTORNEY


Movant

Kuniko Johnson represented by Chet B. Waldman

individually and on behalf of WOLF AND POPPER, LLP

on behalf of 845 Third Avenue

Patrick Johnson New York, NY 10022

212-451-9624

Fax: 212-486-2093


LEAD ATTORNEY


David Boies, III

STRAUS AND BOI ES, LLP

Two Depot Plaza

Bedford Hills, NY 10507

914-244-3200

LEAD ATTORNEY


Kenneth G. Walsh

KIRBY MCINERNEY, LLP

825 Third Avenue

16th Floor

New York, NY 10022

212-371-6600

Fax: 212-751-2540


LEAD ATTORNEY


Paul Napoli

NAPOLI AND KAISER, LLP

115 Broadway

New York, NY 10006

212-267-3700

LEAD ATTORNEY


Movant

Rachel M. Enriquez represented by Christopher O. Bauman


LEAD ATTORNEY


Kirk B. Hulett


LEAD ATTORNEY


Matthew J. Zevin


LEAD ATTORNEY


R. Thomas Avery


LEAD ATTORNEY


Robert D. Blitz


LEAD ATTORNEY


Wayne T. Lamprey


LEAD ATTORNEY


Date Filed # Docket Text

01/23/2004 I 1 COMPLAINT against defendant John W. Bachmann, Edward D. Jones & Co., L.P., Douglas E.

Hill, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr. 8 @

20 days Summons(es) issued, in the amount of $150, Consents issued 9, Disclosure of

Corporate Interest issued to deft, Jury Demand,, filed by John M. Spahn IRA. (Attachments:

#(1) Civil Cover Sheet #(2) Original Filing Form)(SAJ,) (Entered: 01/23/2004)

01/23/2004 I 2 NOTICE OF PRIVATE PROCESS SERVER; by Plaintiff John M. Spahn IRA Process Server TerryPohlmann, (SAJ,) (Entered: 01/23/2004)

01/23/2004 I 3 NOTICE of a Certificate of named Plaintiff Pursuant to Federal Securities Law by Plaintiff John

M. Spahn IRA re 1 Complaint. (SAJ,) (Entered: 01/23/2004)

01/23/2004 Receipt # S2004-003642 in the amount of $150.00 for CIVIL FILING FEE, CIVIL FILING FEE-2ND

1/2 on behalf of SAUERWEIN & BLANCHARD, PC. (CSW,) (Entered: 01/23/2004)

01/26/2004 4 Letter to attorneys Steven G. Schulman, Peter E. Seidman, Andrei V. Rado at MILBERG AND

WEISS from Clerk Re:Pro Hac Vice (SAJ,) (Entered: 01/26/2004)

01/26/2004 I 5 Letter to attorney Charles J. Piven at the Law Offices of Charles J. Piven from Clerk Re:Pro Hac

Vice (SAJ,) (Entered: 01/26/2004)

02/03/2004 Receipt # S2004-003856 in the amount of $75.00 for ATTORNEY ADM. FEE - PHV- Andrei V.

Rado, ATTORNEY ADM. FEE - PHV- Peter Seidman, ATTORNEY ADM. FEE - PHV- Steven G.

Schulman on behalf of SAUERWEIN & BLANCHARD, PC. (CSW,) (Entered: 02/03/2004)

02/03/2004 6 MOTION for Leave to Appear Pro Hac Vice Steven G. Schulman by Plaintiff John M. Spahn IRA.

Receipt # S2004-003856 for Filing Fee.(GLF) (Entered: 02/06/2004)

02/03/2004 7 MOTION for Leave to Appear Pro Hac Vice Peter Seidman by Plaintiff John M. Spahn IRA.

(Receipt #S2004-003856 for filing fee)(GLF) (Entered: 02/06/2004)

02/03/2004 I 8 MOTION for Leave to Appear Pro Hac Vice Andrei V. Rado by Plaintiff John M. Spahn IRA.

Receipt for filing fee # S2004-003856. (GLF) (Entered: 02/06/2004)

02/09/2004 Docket Text ORDER re 6 MOTION for Leave to Appear Pro Hac Vice Steven G. Schulman filed

by John M. Spahn, 7 MOTION for Leave to Appear Pro Hac Vice Peter Seidman filed by John

M. Spahn, 8 MOTION for Leave to Appear Pro Hac Vice Andrei V. Rado filed by John M. Spahn

; ORDERED GRANTED. Signed by Judge Audrey G. Fleissig on February 9, 2004. (MLR, )

(Entered: 02/09/2004)

02/17/2004 I 9 ENTRY of Appearance by David M. Harris Defendants Edward D. Jones & Co., L.P., John W.

Bachmann, Douglas E. Hill, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope,

Robert Virgil Jr.. (Harris, David) (Entered: 02/17/2004)

02/17/2004 10 Joint MOTION for Extension of Time to File ;Extension to file the following: Answer, Motion or

other Responsive Pleading ;Proposed extension date March 18, 2004 by Defendants John W.

Bachmann, Edward D. Jones & Co., L.P., Douglas E. Hill, Michael R. Holmes, Richie L. Malone,

Steven Novik, Darryl L. Pope, Robert Virgil Jr.. (Harris, David) (Entered: 02/17/2004)

02/18/2004 Docket Text ORDER re 10 Joint MOTION for Extension of Time to File ;Extension to file the

following: Answer, Motion or other Responsive Pleading;Proposed extension date March 18,

2004 filed by Edward D. Jones & Co., L.P., John W. Bachmann, Douglas E. Hill, Michael R.

Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil; ORDERED GRANTED

through and including March 18, 2004. Signed by Judge Audrey G. Fleissig on February 18,

2004. (MLR, ) (Entered: 02/18/2004)

03/12/2004 I 11 CJRA ORDER (jgw). Judge Audrey G. Fleissig termed. Case reassigned to Judge Henry E. Autreyfor all further proceedings. (MCB) (Entered: 03/12/2004)

03/18/2004 I 12 Joint MOTION for Extension of: Time to File Responsive Pleadings by Defendants John W.Bachmann, Edward D. Jones & Co., L.P., Douglas E. Hill, Michael R. Holmes, Richie L. Malone,

Steven Novik, Darryl L. Pope, Robert Virgil Jr.. (Harris, David) (Entered: 03/18/2004)

03/19/2004 Docket Text ORDER re 12 Joint MOTION for Extension of: Time to File Responsive Pleadings

filed by Edward D. Jones & Co., L.P., John W. Bachmann, Douglas E. Hill, Michael R. Holmes,

Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil ; ORDERED Granted through and

including 4/2/04. Signed by Judge Henry E. Autrey on 3/19/04. (MJM, ) (Entered: 03/22/2004)

03/23/2004 13 1 First MOTION to Appoint Lead Counsel names:Robert D. Blitz by Plaintiff John M. Spahn IRA.

(Attachments: # 1 # 2 # 3 # 4)(Blitz, Robert) (Entered: 03/23/2004)

03/23/2004 14 First MOTION to Appoint Lead Counsel names:Blanchard by Plaintiff John M. Spahn IRA.

(Blanchard, Martin) Modified on 3/24/2004 (MJM, ) ** NOTE: This doc has the wrong

scanned image attached (a declaration instead of mtn), Amd mtn with correct attachment

filed as #16. (Entered: 03/23/2004)

03/23/2004 15 DECLARATION filed by Plaintiff John M. Spahn IRA. (Blanchard, Martin) (Entered: 03/23/2004)

03/23/2004 16 Amended MOTION to CONSOLIDATE w/cause nos. 04cv118 (CAS),04cv189 (CEJ),04cv225(DJS)

and 04cv282(DJS) and to Appoint Lead Counsel names:Blanchard by Plaintiff John M. Spahn

IRA. (Blanchard, Martin) (Modified on 3/31/2004 - to add motion to consolidate (CEL, ).

(Entered: 03/23/2004)

03/23/2004 I 17 MOTION to Appoint Lead Counsel Plaintiff Maller names:Blanchard. (Blanchard, Martin)(Entered: 03/23/2004)

03/23/2004 18 DECLARATION filed by Consolidated Filer Plaintiff Michael and Carol Maller. (Blanchard,

Martin) (Entered: 03/23/2004)

03/23/2004 I 19 MOTION to Appoint Lead Counsel Plaintiff Alexander names:Abel. (Blanchard, Martin)(Entered: 03/23/2004)

03/23/2004 I 20 MEMORANDUM in Support of Motion re 19 MOTION to Appoint Lead Counsel Plaintiff

Alexander names:Abel filed by Plaintiff Ronald Alexander. (Blanchard, Martin) (Entered:

03/23/2004)

03/23/2004 I 25 MOTION for Leave to Appear Pro Hac Vice Chet B. Waldman by Movant Kuniko Johnson,Individually and on behalf of Patrick Johnson. (Receipt # S2004-5304) (MJM, ) (Entered:

03/24/2004)

03/24/2004 21 MEMORANDUM in Support of Motion re 16 Amended MOTION to Appoint Lead Counsel

names:Blanchard Motion for Leave to File Memorandum of Law in Support of Motion for

Consolidation, Appointment as Lead Plaintiff, Appointment of Steering Committee, and

Approval of Selection of Lead Counsel, Coordinating Counsel, and Liason Counsel Out of Time

and in Excess of Fifteen Pages filed by Plaintiff John M. Spahn IRA. (Blanchard, Martin)

(Entered: 03/24/2004)

03/24/2004 22 MEMORANDUM in Support of Motion re 16 Amended MOTION to Appoint Lead Counsel

names:Blanchard Memorandum of Law in Support of the Motion of the Edward Jones Lead

Plaintiff Movants for Consolidation, Appointment as Lead Plaintiff, Appointment of Steering

Committee, and Approval of Selection of Coordinating Counsel, Lead Counsel, and Liaison

Counsel filed by Plaintiff John M. Spahn IRA. (Blanchard, Martin) (Entered: 03/24/2004)

03/24/2004 23 MOTION for Leave to File Memorandum of Law in Support of Motion for Consolidation of

Related Actions, For Appointment as Lead Plaintiffs and for Approval of Their Selection of

Lead Counsel and Liaison Counsel Out of Time and in Excess of Fifteen Pages by Consolidated

Filer Plaintiff Michael and Carol Maller. (Blanchard, Martin) (Entered: 03/24/2004)

03/24/2004 I 24 MEMORANDUM in Support of Motion re 17 MOTION to Appoint Lead Counsel Plaintiff Maller

names:Blanchard filed by Consolidated Filer Plaintiff Michael and Carol Maller. (Blanchard,


03/24/2004 Receipt # S2004-005304 in the amount of $25.00 for ATTORNEY ADM. FEE - PHV on behalf of

WALDMAN, CHET B.. (CSW,) (Entered: 03/24/2004)

03/25/2004 Docket Text ORDER re 25 MOTION for Leave to Appear Pro Hac Vice Chet B. Waldman filed by

Kuniko Johnson, Individually and on behalf of Patrick Johnson ; ORDERED Granted, Attorney

Chet B. Waldman for Kuniko Johnson, Individually and on behalf of Patrick Johnson added. .

Signed by Judge Henry E. Autrey on 3/25/04. (MJM, ) (Entered: 03/26/2004)

i

03/25/2004 I 26 MOTION Appointment of Lead Plaintiff And for Approval of Selection of Class Counsel byMovant Kuniko Johnson, Individually and on behalf of Patrick Johnson. (Attachments: # 1 Text

of Proposed Order)(MJM, ) (Entered: 03/26/2004)

03/25/2004 27 MEMORANDUM in Support of Motion re 26 MOTION Appointment of Lead Plaintiff And for

Approval of Selection of Class Counsel filed by Movant Kuniko Johnson, Individually and on

behalf of Patrick Johnson. (MJM, ) (Entered: 03/26/2004)

03/26/2004 I 28 DECLARATION of Chet B. Waldman filed by Movant Kuniko Johnson, Individually and onbehalf of Patrick Johnson re 26 MOTION Appointment of Lead Plaintiff And for Approval of

Selection of Class Counsel.W/ exhibits (MJM, ) (Entered: 03/26/2004)

03/30/2004 I 29 MEMORANDUM in Opposition re 26 MOTION Appointment of Lead Plaintiff And for Approvalof Selection of Class Counsel, 16 Amended MOTION to Appoint Lead Counsel

names:Blanchard, 17 MOTION to Appoint Lead Counsel Plaintiff Maller names: Blanchard, 19

MOTION to Appoint Lead Counsel Plaintiff Alexander names:Abel. (Blitz, Robert) (Entered:

03/30/2004)

04/01/2004 30 MEMORANDUM in Opposition re 16 Amended MOTION to Appoint Lead Counsel

names:Blanchard filed by Plaintiff John M. Spahn IRA. (Blanchard, Martin) **Originally filed

on 3/31/04** Modified on 4/2/2004 (MJM, ). (Entered: 04/01/2004)

04/01/2004 31 1 STIPULATION re 16 Amended MOTION to Appoint Lead Counsel names:Blanchard AND

(PROPOSED) ORDER SETTING SCHEDULE FOR RESPONSE TO COMPLAINT FOLLOWING

MOTIONS FOR CONSOLIDATION AND APPOINTMENT OF LEAD PLAINTIFFAND LEAD COUNSEL

by Defendants John W. Bachmann, Edward D. Jones & Co., L.P., Douglas E. Hill, Michael R.

Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr.. (Harris, David)

(Entered: 04/01/2004)

i

04/01/2004 I 32 MEMORANDUM in Opposition re 14 First MOTION to Appoint Lead Counselnames:Blanchard,13 First MOTION to Appoint Lead Counsel names:Robert D. Blitz, 26

MOTION Appointment of Lead Plaintiff And for Approval of Selection of Class Counsel, 16

Amended MOTION to Appoint Lead Counsel names:Blanchard,17 MOTION to Appoint Lead

Counsel Plaintiff Maller names:Blanchard, 19 MOTION to Appoint Lead Counsel Plaintiff

Alexander names:Abel filed by Consolidated Filer Plaintiffs Robert Bahnson, Marina Berti, Jim

Boswell, Loretta Carlson, Juan Cedillo, Carol Chiumentu, William Duggan, Hubert Freehan, Joe

Garcia, Jay Haack, Illinois Valley YMCA, Marylou Jeffs, Nancy Lawrence, Susan Legg, Denise

McCutchen, Cheryl & Randy McDowell, John & Mary Oldner, James Pingatore, Robert Searcy,

Betty Weible, Allen Wells, Robert Wood, Lois Zabriskie, Murray Zucker. (Komen, Leonard)

**NOTE: Due to docketing error..this doc was correctly docketed as #35 (see doc # 35 for

correct entry)..Originally filed on 3/31/04** Modified on 4/2/2004 (MJM, ). (Entered:

04/01/2004)

04/01/2004 I 33 ENTRY of Appearance by Leonard Komen Consolidated Filer Plaintiff Murray Zucker. (Komen,

Leonard) **NOTE: Due to docketing error..this doc is correctly re-docketed as doc #34 (see

doc #34 for correct image) Originally filed on 3/31/04** Modified on 4/2/2004 (MJM, ).

(Entered: 04/01/2004)

04/02/2004 I 34 ENTRY of Appearance by Leonard Komen Consolidated Filer Plaintiffs Robert Bahnson, Marina

Berti, Loretta Carlson, Juan Cedillo, Carol Chiumentu, William Duggan, Hubert Freehan, Joe




(Entered: 04/02/2004)

04/02/2004 I 35 MEMORANDUM in Opposition re 14 First MOTION to Appoint Lead Counsel

names:Blanchard,13 First MOTION to Appoint Lead Counsel names:Robert D. Blitz, 26

MOTION Appointment of Lead Plaintiff And for Approval of Selection of Class Counsel, 16

Amended MOTION to Appoint Lead Counsel names:Blanchard,17 MOTION to Appoint Lead


Alexander names:Abel filed by Consolidated Filer Plaintiffs Robert Bahnson, Marina Berti,

Loretta Carlson, Juan Cedillo, Carol Chiumentu, William Duggan, Hubert Freehan, Joe Garcia,

Jay Haack, Illinois Valley YMCA, Marylou Jeffs, Nancy Lawrence, Susan Legg, Denise



(Entered: 04/02/2004)

04/02/2004 Receipt # S2004-005517 in the amount of $75.00 for ATTORNEY ADM. FEE - PHV- Aaron L.

Brody, ATTORNEY ADM. FEE - PHV- Bradley P. Dyer, ATTORNEY ADM. FEE - PHV- Jules Brody

on behalf of KOMEN, LEONARD. (CSW,) (Entered: 04/02/2004)

04/02/2004 I 36 MOTION for Leave to Appear Pro Hac Vice Aaron L. Brody by Consolidated Filer PlaintiffsRobert Bahnson, Marina Berti, Jim Boswell, Loretta Carlson, Juan Cedillo, Carol Chiumentu,

William Duggan, Hubert Freehan, Joe Garcia, Jay Haack, Illinois Valley YMCA, Marylou Jeffs,

Nancy Lawrence, Susan Legg, Denise McCutchen, Cheryl McDowell, Randy McDowell, John

Oldner, Mary Oldner, James Pingatore, Robert Searcy, Betty Weible, Allen Wells, Robert

Wood, Lois Zabriskie, Murray Zucker. (MJM, ) (Entered: 04/06/2004)

04/02/2004 I 37 MOTION for Leave to Appear Pro Hac Vice Bradley P. Dyer by Consolidated Filer PlaintiffsRobert Bahnson, Marina Berti, Jim Boswell, Loretta Carlson, Juan Cedillo, Carol Chiumentu,




Wood, Lois Zabriskie, Murray Zucker. (MJM, ) (Entered: 04/06/2004)

04/02/2004 I 38 MOTION for Leave to Appear Pro Hac Vice Jules Brody by Consolidated Filer Plaintiffs RobertBahnson, Marina Berti, Jim Boswell, Loretta Carlson, Juan Cedillo, Carol Chiumentu, William

Duggan, Hubert Freehan, Joe Garcia, Jay Haack, Illinois Valley YMCA, Marylou Jeffs, Nancy

Lawrence, Susan Legg, Denise McCutchen, Cheryl McDowell, Randy McDowell, John Oldner,

Mary Oldner, James Pingatore, Robert Searcy, Betty Weible, Allen Wells, Robert Wood, Lois

Zabriskie, Murray Zucker. (MJM, ) (Entered: 04/06/2004)

04/05/2004 39 ORDER IT IS HEREBY ORDERED that cases 4:04CV86 HEA, 4:04CV118 CAS, 4:04CV189 CEJ,

4:04CV255 DJS, and 4:04CV282 DJS are consolidated for all purposes. The parties shall file all

further pleadings in case No. 4:04CV86 HEA ONLY.. Signed by Judge Henry E. Autrey on

4/5/04. (MJM,) (Entered: 04/06/2004)

04/06/2004 I 41 ORDER re 37 MOTION for Leave to Appear Pro Hac Vice Bradley P. Dyer filed by Allen Wells,Robert Wood, Cheryl McDowell, Murray Zucker, Joe Garcia, Jim Boswell, Juan Cedillo, James

Pingatore, Marylou Jeffs, Susan Legg, Betty Weible, Hubert Freehan, Lois Zabriskie, Robert

Bahnson, Robert Searcy, Illinois Valley YMCA, Marina Berti, Denise McCutchen, Loretta

Carlson, William Duggan, Nancy Lawrence, Carol Chiumentu, Jay Haack, John Oldner, Mary

Oldner, Randy McDowell GRANTED. Signed by Judge Henry E. Autrey on 4/6/04. (CEL, )

(Entered: 04/08/2004)

04/07/2004 Docket Text ORDER re 36 MOTION for Leave to Appear Pro Hac Vice Aaron L. Brody filed by

Allen Wells, Robert Wood, Cheryl McDowell, Murray Zucker, Joe Garcia, Jim Boswell, Juan

Cedillo, James Pingatore, Marylou Jeffs, Susan Legg, Betty Weible, Hubert Freehan, Lois

Zabriskie, Robert Bahnson, Robert Searcy, Illinois Valley YMCA, Marina Berti, Denise

McCutchen, Loretta Carlson, William Duggan, Nancy Lawrence, Carol Chiumentu, Jay Haack,

John Oldner, Mary Oldner, Randy McDowell; ORDERED GRANTED. Signed by Judge Henry E.

Autrey on 4/7/04. (CEL, ) (Entered: 04/07/2004)

04/07/2004 40 ORDER re 38 MOTION for Leave to Appear Pro Hac Vice Jules Brody filed by Allen Wells,

Robert Wood, Cheryl McDowell, Murray Zucker, Joe Garcia, Jim Boswell, Juan Cedillo, James

Pingatore, Marylou Jeffs, Susan Legg, Betty Weible, Hubert Freehan, Lois Zabriskie, Robert

Bahnson, Robert Searcy, Illinois Valley YMCA, Marina Berti, Denise McCutchen, Loretta

Carlson, William Duggan, Nancy Lawrence, Carol Chiumentu, Jay Haack, John Oldner, Mary

Oldner, Randy McDowell GRANTED. Signed by Judge Henry E. Autrey on 4/7/04. (CEL, )

(Entered: 04/08/2004)

04/08/2004 I 42 MOTION for Extension of Time to File Reply to Memo in Opposition to Plaintiff's Motion toRemand by Consolidated Filer Plaintiff Rachel M. Enriquez. (Blitz, Robert) (motion termed in

this case and remains pending in 04cv189 along with pending motion to remand-Modified on

4/8/2004 (CEL, ). (Entered: 04/08/2004)

04/08/2004 I 43 ORDER - motion for extension of time to file reply to pltff Enriquez' motion to remand(pending in 4:04CV189HEA) GRANTED pltff Enriquez granted until 4/16/04 to reply. Signed by

Judge Henry E. Autrey on 4/8/04. (CEL, ) (Entered: 04/08/2004)

04/08/2004 I 45 ORDER AND MEMORANDUM It is hereby ordered that each party moving for appointment aslead pltff. and appointment or approval as lead counsel provide notice and disclosure as to

whether or not there are any conflicts with the interests of other members of the class. The

notice and disclosure is to be provided to the court on or before 5/19/2004. Response to

Court due by 5/19/2004. Signed by Judge Henry E. Autrey on 4/8/04. (CLA, ) (Entered:

04/12/2004)

04/09/2004 44 REPLY to Response to Motion re 13 First MOTION to Appoint Lead Counsel names:Robert D.

Blitz, 14 First MOTION to Appoint Lead Counsel names:Blanchard, 26 MOTION Appointment

of Lead Plaintiff And for Approval of Selection of Class Counsel, 17 MOTION to Appoint Lead


Alexander names:Abel filed by Consolidated Filer Plaintiffs Robert Bahnson, Marina Berti, Jim

Boswell, Loretta Carlson, Juan Cedillo, Carol Chiumentu, William Duggan, Hubert Freehan, Joe


McCutchen, Cheryl McDowell, Randy McDowell, John Oldner, Mary Oldner, James Pingatore,

Robert Searcy, Betty Weible, Allen Wells, Robert Wood, Lois Zabriskie, Murray Zucker.

(Attachments: # 1 # 2 # 3)(Komen, Leonard) (Entered: 04/09/2004)

04/12/2004 I 46 REPLY to Response to Motion re 14 First MOTION to Appoint Lead Counsel names:Blanchardfiled by Plaintiff John M. Spahn IRA. (Blanchard, Martin) (Entered: 04/12/2004)

04/14/2004 47 MOTION for Leave to Withdraw by Consolidated Filer Plaintiff Joe Garcia. (Attachments: # 1

Exhibit)(Blitz, Robert) (Entered: 04/14/2004)

04/16/2004 48 REPLY (Pltf Reply to Deft's Response to Motion to Remand Doc. 20 in Enrique 4:04cv189HEA)

by Consolidated Filer Plaintiff Rachel M. Enriquez. (Blitz, Robert) Modified on 4/16/2004

(MJM, ). (Entered: 04/16/2004)

04/19/2004 I 49 First MOTION for Hearing by Consolidated Filer Plaintiff Rachel M. Enriquez. (Blitz, Robert)(Entered: 04/19/2004)

04/19/2004 Docket Text ORDER re 47 MOTION for Leave to Withdraw filed by Joe Garcia; ORDERED

Granted, Attorney Robert D. Blitz terminated.. Signed by Judge Henry E. Autrey on 4/19/04.

(MJM,) (Entered: 04/20/2004)

04/20/2004 I 50 ORDER re 49 First MOTION for Hearing filed by Rachel M. Enriquez IT IS HEREBY ORDEREDthat a hearing on plaintiff's Motion to Remand [Doc. #13] in case number 4:04cv189 HEA is

set for Friday, April 30, 2004 at 10:00 a.m. in the courtroom of the undersigned. In Court

Hearing set for 4/30/200410:00 AM in Courtroom 10N before Honorable Henry E. Autrey..


i

04/21/2004 I 51 MOTION for Leave to File an Overlength Memorandum Concerning Plaintiff's Motion toRemand by Consolidated Filer Plaintiff Rachel M. Enriquez. (Blitz, Robert) (Entered:

04/21/2004)

04/21/2004 52 MOTION for Leave to File Amended Plaintiff Enriquez's Reply Memorandum to Defendants'

Response to Plaintiff's Motion to Remand by Consolidated Filer Plaintiff Rachel M. Enriquez.

(Attachments: # 1)(Blitz, Robert) (Entered: 04/21/2004)

04/22/2004 I 53 MEMORANDUM to the Court by Defendant Edward D. Jones & Co., L.P.. (Attachments: # 1

Exhibit Exhibit 1-Stipulation and Order)(Harris, David) (Entered: 04/22/2004)

04/26/2004 Docket Text ORDER re 51 MOTION for Leave to File an Overlength Memorandum Concerning

Plaintiff's Motion to Remand filed by Rachel M. Enriquez; ORDERED Granted. Signed by Judge

Henry E. Autrey on 4/26/04. (MJM, ) (Entered: 04/27/2004)

04/26/2004 Docket Text ORDER re 52 MOTION for Leave to File Amended Plaintiff Enriquez's Reply

Memorandum to Defendants' Response to Plaintiff's Motion to Remand filed by Rachel M.

Enriquez; ORDERED Granted. Signed by Judge Henry E. Autrey on 4/26/04. (MJM, ) (Entered:

04/27/2004)

04/26/2004 54 AMENDED REPLY (Pltf Enriquez's Reply Memorandum To Defendants' Response To Plaintiff's

Motion to Remand in case 4:04CV189HEA) by Consolidated Filer Plaintiff Rachel M. Enriquez.

(MJM,) (Entered: 04/27/2004)

04/29/2004 Receipt # S2004-006503 in the amount of $50.00 for ATTORNEY ADM. FEE - PHV- Charles J.

Piven, ATTORNEY ADM. FEE - PHV- Marshall N. Perkins on behalf of PIVEN, CHARLES J.. (CSW,)

(Entered: 04/29/2004)

04/29/2004 I 55 MOTION for Leave to Appear Pro Hac Vice Marshall N. Perkins by Plaintiff John M. SpahnIRA.(GLF) attachment(s) Proposed Order. Fee paid $25.00 Receipt # S2004-6503 (Entered:

04/30/2004)

04/30/2004 I 56 Minute Entry for proceedings held before Judge Henry E. Autrey: In Court Hearing held on4/30/2004 (for Mtn to Remand in 4:04CV189HEA Enriquez). Arguments hrd; Mtn granted

(HEA); Formal Order to follow (Court Reporter or FTR Gold Operator initials:A. Daley.) (FTR

Gold yes or no: NO.) (MJM,) (Entered: 04/30/2004)

04/30/2004 I 57 MOTION for Leave to Appear Pro Hac Vice Richard A. Acocelli by Consolidated Filer PlaintiffsRobert Bahnson, Marina Berti, Jim Boswell, Loretta Carlson, Juan Cedillo, Carol Chiumentu,




Wood, Lois Zabriskie, Murray Zucker. (Receipt # S2004-6507) (MJM, ) (Entered: 04/30/2004)

04/30/2004 Docket Text ORDER re 57 MOTION for Leave to Appear Pro Hac Vice; ORDERED Granted,

Attorney Richard A. Acocelli for Jim Boswell; Loretta Carlson; Juan Cedillo; Carol Chiumentu;

William Duggan; Hubert Freehan; Joe Garcia; Jay Haack; Illinois Valley YMCA; Marylou Jeffs;

Nancy Lawrence; Susan Legg; Denise McCutchen; Cheryl McDowell; Randy McDowell; John

Oldner; Mary Oldner; James Pingatore; Robert Searcy; Betty Weible; Allen Wells; Robert

Wood; Lois Zabriskie; Murray Zucker; Robert Bahnson and Marina Berti added.. Signed by

Judge Henry E. Autrey on 4/30/04. (MJM, ) (Entered: 04/30/2004)

04/30/2004 I 58 MOTION for Leave to Appear Pro Hac Vice Kirk Bartlett Hulett by Consolidated Filer PlaintiffRachel M. Enriquez. (Receipt # S2004-6511) (MJM, ) (Entered: 04/30/2004)

04/30/2004 Docket Text ORDER re 58 MOTION for Leave to Appear Pro Hac Vice Kirk Bartlett Hulett filed

by Rachel M. Enriquez; ORDERED Granted, Attorney Kirk B. Hulett for Rachel M. Enriquez

added.. Signed by Judge Henry E. Autrey on 4/30/04. (MJM, ) (Entered: 04/30/2004)

04/30/2004 59 MOTION for Leave to Appear Pro Hac Vice Wayne Travis Lamprey by Consolidated Filer

Plaintiff Rachel M. Enriquez. (Receipt # S2004-6511) (MJM, ) (Entered: 04/30/2004)

04/30/2004 Docket Text ORDER re 59 MOTION for Leave to Appear Pro Hac Vice Wayne Travis Lamprey

filed by Rachel M. Enriquez; ORDERED Granted, Attorney Wayne T. Lamprey for Rachel M.

Enriquez added.. Signed by Judge Henry E. Autrey on 4/30/04. (MJM, ) (Entered: 04/30/2004)

04/30/2004 60 MOTION for Leave to Appear Pro Hac Vice Matthew J. Zevin by Consolidated Filer Plaintiff

Rachel M. Enriquez. (Receipt # S2004-6511) (MJM, ) (Entered: 04/30/2004)

04/30/2004 Docket Text ORDER re 60 MOTION for Leave to Appear Pro Hac Vice Matthew J. Zevin filed by

Rachel M. Enriquez; ORDERED Granted, Attorney Matthew J. Zevin for Rachel M. Enriquez


04/30/2004 I 61 ORDER IT IS HEREBY ORDERED that the motion (In case # 4:04CV189 Enriquez) is granted andthis matter is remanded to the Circuit Court of the City of St. Louis, Missouri. Attorney Kirk B.

Hulett; Wayne T. Lamprey; Matthew J. Zevin; R. Thomas Avery and Christopher O. Bauman

terminated., Rachel M. Enriquez terminated.. Signed by Judge Henry E. Autrey on 4/30/04.

(MJM,) (Entered: 04/30/2004)


ACOCELLI, RICHARD. (CSW,) (Entered: 04/30/2004)

04/30/2004 Receipt # S2004-006511 in the amount of $75.00 for ATTORNEY ADM. FEE - PHV Zevin,

Matthew J., ATTORNEY ADM. FEE - PHVHulett, Kirk B., ATTORNEY ADM. FEE - PHVLamprey,

Wayne T. on behalf of BLITZ, BARDGETT & DEUTSCH. (CSW,) (Entered: 04/30/2004)

05/03/2004 I 62 ORDER IT IS HEREBY ORDERED that cases 4:04CV467 HEA and 4:04CV466 HEA areconsolidated into Cause Number 4:04CV86 HEA for all purposes. The parties shall file all

further pleadings in case No. 4:04CV86 HEA only.. Signed by Judge Henry E. Autrey on 5/3/04.

(MJM,) (Entered: 05/03/2004)

05/03/2004 Docket Text ORDER re 55 MOTION for Leave to Appear Pro Hac Vice Marshall N. Perkins filed

by John M. Spahn; ORDERED Granted, Attorney Marshall N. Perkins for John M. Spahn


05/13/2004 I 63 NOTICE by Plaintiff John M. Spahn IRA Change of Firm Name (Blanchard, Martin) (Entered:05/13/2004)

05/19/2004 I 64 STIPULATION for Appointment of Lead Plaintiff, Lead Counsel and Lead Liaison Counsel byPlaintiff John M. Spahn IRA. (Blanchard, Martin) (Entered: 05/19/2004)

05/19/2004 65 NOTICE by Consolidated Filer Plaintiff Jim Boswell and Disclosure re No Conflicts of Interest

(Blanchard, Martin) (Entered: 05/19/2004)

05/19/2004 I 66 NOTICE by Consolidated Filer Plaintiff Thomas Auer and Disclosure re No Conflicts of Interest


05/21/2004 67 STIPULATION for Appointment of Lead Plaintiff, Lead Counsel and Lead Liaison Counsel (re-

filed with add'lsignatures) by Plaintiff John M. Spahn IRA. (Blanchard, Martin) (Entered:

05/21/2004)

05/28/2004 I 68 ENTRY of Appearance by John S. Kingston Defendant Douglas E. Hill. (Kingston, John)(Entered: 05/28/2004)

05/28/2004 I 69 ENTRY of Appearance by Michael J. Morris Defendant Douglas E. Hill. (Morris, Michael)(Entered: 05/28/2004)

05/28/2004 I 70 MOTION to Withdraw as Attorney ;attorney/firm David M. Harris, Lisa A. Nielsen, David P.Niemeier, Kimber L. Monroe and the law firm of Greensfelder, Hemker & Gale, P.C. by

Defendant Douglas E. Hill. (Harris, David) (Entered: 05/28/2004)

06/01/2004 Docket Text ORDER re 70 MOTION to Withdraw as Attorney;attorney/firm David M. Harris,

Lisa A. Nielsen, David P. Niemeier, Kimber L. Monroe and the law firm of Greensfelder,

Hemker & Gale, P.C. filed by Douglas E. Hill; ORDERED Granted, Attorney Lisa A. Nielsen;

David P. Niemeier; David M. Harris and Kimber L. Monroe terminated.. Signed by Judge Henry

E. Autrey on 6/1/04. (MJM, ) (Entered: 06/02/2004)

06/02/2004 I 71 NOTICE by Consolidated Filer Plaintiffs Carol Maller, Michael Maller re 67 Stipulation Consent

to Spahn Stipulation Regarding Lead Plaintiffs (Blanchard, Martin) (Entered: 06/02/2004)

06/07/2004 I 72 STIPULATION re 67 Stipulation Consent to Spahn Stipulation Regarding Lead Plaintiffs byConsolidated Filer Plaintiff Ronald Alexander. (Blanchard, Martin) (Entered: 06/07/2004)

06/08/2004 I 73 STIPULATION re 67 Stipulation Consent to Spahn Stipulation Regarding Lead Plaintiffs byMovant Kuniko Johnson. (Blanchard, Martin) (Entered: 06/08/2004)

06/10/2004 74 SUPPLEMENTAL Notice and Disclosure re No Conflicts of Interest by Consolidated Filer Plaintiff

Thomas Auer. (Blanchard, Martin) (Entered: 06/10/2004)

06/10/2004 I 75 SUPPLEMENTAL Notice and Disclosure re No Conflicts of Interest by Consolidated Filer PlaintiffJim Boswell. (Blanchard, Martin) (Entered: 06/10/2004)

06/14/2004 I 76 ORDER IT IS HEREBY ORDERED as follows: The following plaintiffs are appointed as leadplaintiff: Jim D. Boswell and Thomas J. Auer ("Lead Plaintiffs"). The law firms of Stull Stull &

Brody, Weiss & Yourman and Milberg Weiss Bershad & Schulamn LLP are appointed as Co-

Lead Counsel ("Co-Lead Counsel"). Sauerwein & Blanchard P.C. and the Law Offices of

Leonard Komen, P.C. are appointed as Co-Liason Counsel. SEE ORDER FOR DETAILS. Signed by


06/14/2004 ORDER RECEIPT: (see receipt) Mon Jun 1415:29:47 CDT 2004 (MJM,) (Entered: 06/14/2004)

06/22/2004 I 77 ENTRY of Appearance by James H. Ferrick III Defendants Edward D. Jones & Co., L.P., John W.Bachmann, Douglas E. Hill, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope,

Robert Virgil Jr.. (Ferrick, James) (Entered: 06/22/2004)

06/24/2004 Mail Returned as Undeliverable. Mail sent to Lauren S. Antonino Docket Text Order Receipts

(MJM,) (Entered: 06/29/2004)


REESE, MICHAEL. (CSW,) (Entered: 06/28/2004)

06/25/2004 78 MOTION for Leave to Appear Pro Hac Vice Michael R. Reese by Plaintiff John M. Spahn IRA.

(Receipt # S2004-8036) (MJM, ) (Entered: 06/29/2004)

06/29/2004 Docket Text ORDER re 78 MOTION for Leave to Appear Pro Hac Vice Michael R. Reese filed by

John M. Spahn; ORDERED Granted, Attorney Michael R. Reese for John M. Spahn added. .


06/30/2004 I 79 AMENDED DOCUMENT Amended Stipulation And [Proposed] Order Setting Schedule For Filing

The Consolidated Amended Complaint And Response. (Blanchard, Martin) (Entered:

06/30/2004)


CONGRESS, JEROME M. (CSW,) (Entered: 06/30/2004)

06/30/2004 80 MOTION for Leave to Appear Pro Hac Vice Jerome M. Congress by Plaintiff John M. Spahn

IRA. (Receipt #S2004-8153) (MJM, ) (Entered: 07/01/2004)

07/02/2004 Docket Text ORDER; ORDERED SO ORDERED HEA AMENDED STIPULATION AND (PROPOSED)

ORDER SETTING SCHEDULE FOR FILING THE CONSOLIDATED AMENDED COMPLAINT AND

RESPONSE. Signed by Judge Henry E. Autrey on 7/2/04. (CLA, ) (Entered: 07/02/2004)

07/02/2004 I 81 Joint MOTION to Stay Discovery in the State Court Actions by Defendants John W. Bachmann,Edward D. Jones & Co., L.P., Douglas E. Hill, Michael R. Holmes, Richie L. Malone, Steven

Novik, Darryl L. Pope, Robert Virgil Jr., Consolidated Filer Defendants EDJ Holding Company,

Inc., Jones Financial Companies, The. (Attachments: # 1 Exhibit Exhibit 1# 2 Exhibit Exhibit 2#

3 Exhibit Exhibit 3# 4 Exhibit Exhibit 4# 5 Exhibit Exhibit 5# 6 Exhibit Exhibit 6)(Harris, David)

(Termed per minute entry #88) (Entered: 07/02/2004)

07/02/2004 82 1 MEMORANDUM in Support of Motion re 81 Joint MOTION to Stay Discovery in the State

Court Actions filed by Defendants John W. Bachmann, Edward D. Jones & Co., L.P., Douglas E.

Hill, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr.,

Consolidated Filer Defendants EDJ Holding Company, Inc., Jones Financial Companies, The.

(Harris, David) (Entered: 07/02/2004)

07/02/2004 Docket Text ORDER re 80 MOTION for Leave to Appear Pro Hac Vice Jerome M. Congress filed

by John M. Spahn ; ORDERED GRANTED HEA. Signed by Judge Henry E. Autrey on 7/2/04.

(CLA, ) (Entered: 07/06/2004)

07/06/2004 83 SCHEDULING ORDER: 81 ORDERED that a hearing on defts' motion to stay discovery is set for

7/13/2004 02:00 PM before Honorable Henry E. Autrey.. Signed by Judge Henry E. Autrey on

7/6/04. (CEL, ) (Entered: 07/06/2004)

07/06/2004 ORDER RECEIPT: (see receipt) Tue Jul 616:31:41 CDT 2004 (CEL, ) (Entered: 07/06/2004)

07/08/2004 I 84 ORDER IT IS HEREBY ORDERED that a hearing on defendants' Motion to Stay Discovery in theState Court Actions is previously set for Tuesday, July 13, 2004 is hereby reset for Wednesday,

July 14, 2004 at 2:00 p.m. in the courtroom of the undersigned. In Court Hearing set for

7/14/2004 02:00 PM in Courtroom 10N before Honorable Henry E. Autrey.. Signed by Judge


07/08/2004 ORDER RECEIPT: (see receipt) Thu Jul 815:48:29 CDT 2004 (MJM, ) (Entered: 07/08/2004)

07/09/2004 85 RESPONSE in Opposition re 81 Joint MOTION to Stay Discovery in the State Court Actions by

Non-Party and Specially Appearing Respondent Rachel Enriquez . (MJM, ) (Entered:

07/12/2004)

07/14/2004 I 86 MOTION for Leave to File Authority in Opposition to Defendants' Motion to Stay. (Rosemergy,James) (Entered: 07/14/2004)

07/14/2004 I 87 MEMORANDUM in Opposition re 81 Joint MOTION to Stay Discovery in the State Court

Actions filed by Consolidated Filer Plaintiffs Todd Bressler, William D Potter. (Attachments: #

1 Exhibit A# 2 Exhibit B)(Rosemergy, James) (Entered: 07/14/2004)

07/14/2004 88 Minute Entry for proceedings held before Judge Henry E. Autrey: Motion Hearing held on

7/14/2004 re 81 Joint MOTION to Stay Discovery in the State Court Actions filed by Jones

Financial Companies, The, Edward D. Jones & Co., L.P., EDJ Holding Company, Inc., John W.


Robert Virgil. Arguments heard; MOTION OVERRULED (HEA) (Court Reporter or FTR Gold

Operator initials:A. Daley.) (FTR Gold yes or no: no.) Associated Cases: 4:04-cv-00086-

HEA,4:04-cv-00466-HEA,4:04-cv-00467-HEA(CEL, ) (Entered: 07/15/2004)

07/15/2004 ORDER RECEIPT: (see receipt) Thu Jul 15 13:39:52 CDT 2004 (CEL, ) Minute entry sent to attys

with ruling on motion to stay (Entered: 07/15/2004)

08/04/2004 89 ORIGINAL TRANSCRIPT (Pilot) procedings of Motion Hearing held on 7/14/04 before Judge

Henry E. Autrey. Court Reporter: A. Daley. The transcript filed with the court will not be

remotely available until such time as the period for redaction has expired or a request for

redaction has been received and the redacted transcript filed. For additional information see

the Notice/Instructions to the Bar regarding Electronic Availability of Civil Transcripts on the

Court's website at www.moed.uscourts.gov (KCM, ) (Entered: 08/04/2004)

08/17/2004 Docket Text ORDER re 86 MOTION for Leave to File Authority in Opposition to Defendants'

Motion to Stay filed by Todd Bressler, William D. Potter; ORDERED Granted. Signed by Judge


08/23/2004 I 90 AMENDED COMPLAINT against defendant(s) Edward D. Jones & Co., L.P., filed by John M.Spahn IRA.(Blanchard, Martin) (Entered: 08/23/2004)

09/22/2004 I 91 ENTRY of Appearance by Gordon L. Ankney Defendant Douglas E. Hill. (Ankney, Gordon)(Entered: 09/22/2004)

i

10/01/2004 I 92 MOTION for Extension of Time to File Answer or Other Responsive Pleadings by DefendantsJohn W. Bachmann, Edward D. Jones & Co., L.P., Douglas E. Hill, Michael R. Holmes, Richie L.

Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr., Consolidated Filer Defendants EDJ

Holding Company, Inc., Jones Financial Companies, The. (Harris, David) (Entered: 10/01/2004)

10/05/2004 Docket Text ORDER re 92 MOTION for Extension of Time to File Answer or Other Responsive

Pleadings filed by Jones Financial Companies, The, Edward D. Jones & Co., L.P., EDJ Holding

Company, Inc., John W. Bachmann, Douglas E. Hill, Michael R. Holmes, Richie L. Malone,

Steven Novik, Darryl L. Pope, Robert Virgil; ORDERED Granted up to and including 11/22/04.


10/06/2004 I 93 MOTION to Lift Stay (Partial) re Discovery by Consolidated Filer Plaintiff Thomas Auer.(Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C)(Blanchard, Martin) (Entered:

10/06/2004)

10/06/2004 I 94 MEMORANDUM in Support of Motion re 93 MOTION to Lift Stay (Partial) re Discovery (Part 1)

filed by Consolidated Filer Plaintiff Thomas Auer. (Attachments: # 1 Exhibit A# 2 Exhibit B# 3

Exhibit C# 4 Exhibit D# 5 Exhibit E# 6 Exhibit F# 7 Exhibit G# 8 Exhibit H# 9 Exhibit I# 10 Exhibit

J# 11 Exhibit K# 12 Exhibit L)(Blanchard, Martin) (Entered: 10/06/2004)

10/06/2004 95 MEMORANDUM in Support of Motion re 93 MOTION to Lift Stay (Partial) re Discovery (Part 2)

filed by Consolidated Filer Plaintiff Thomas Auer. (Blanchard, Martin) (Entered: 10/06/2004)

10/13/2004 96 1 Joint MOTION for Extension of Time to File Response/Reply as to 93 MOTION to Lift Stay

(Partial) re Discovery by Defendants John W. Bachmann, Edward D. Jones & Co., L.P., Douglas

E. Hill, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr.,



i

10/13/2004 I 97 MOTION to Amend/Correct 96 Joint MOTION for Extension of Time to File Response/Reply asto 93 MOTION to Lift Stay (Partial) re Discovery by Defendants John W. Bachmann, Edward D.

Jones & Co., L.P., Douglas E. Hill, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L.

Pope, Robert Virgil Jr., Consolidated Filer Defendants EDJ Holding Company, Inc., Jones

Financial Companies, The. (Harris, David) (Entered: 10/13/2004)

10/13/2004 98 MOTION for Hearing re 93 MOTION to Lift Stay (Partial) re Discovery Request for Oral

Argument by Consolidated Filer Plaintiff Thomas Auer. (Blanchard, Martin) (Entered:

10/13/2004)

10/14/2004 Docket Text ORDER re 97 MOTION to Amend/Correct 96 Joint MOTION for Extension of Time

to File Response/Reply as to 93 MOTION to Lift Stay (Partial) re Discovery filed by Jones

Financial Companies, The, Edward D. Jones & Co., L.P., EDJ Holding Company, Inc., John W.


Robert Virgil, 96 Joint MOTION for Extension of Time to File Response/Reply as to 93 MOTION

to Lift Stay (Partial) re Discovery filed by Jones Financial Companies, The, Edward D. Jones &

Co., L.P., EDJ Holding Company, Inc., John W. Bachmann, Douglas E. Hill, Michael R. Holmes,

Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil; ORDERED Extension of time

Granted through and including 10/25/04. Signed by Judge Henry E. Autrey on 10/14/04.

(MJM,) (Entered: 10/19/2004)

10/18/2004 Docket Text ORDER re 98 MOTION for Hearing re 93 MOTION to Lift Stay (Partial) re Discovery

Request for Oral Argument filed by Thomas Auer; ORDERED Granted. Signed by Judge Henry

E. Autrey on 10/18/04. (MJM, ) (Entered: 10/19/2004)

10/19/2004 99 ORDER IT IS HEREBY ORDERED that a hearing on plaintiff's Motion to Partially Lift the

Automatic Stay of Discovery [Doc. #93] is set for Wednesday, October 27, 2004 at 10:30 a.m.

in the courtroom of the undersigned. Motion Hearing set for 10/27/200410:30 AM in

Courtroom 10N before Honorable Henry E. Autrey.. Signed by Judge Henry E. Autrey on

10/19/04. (MJM,) (Entered: 10/20/2004)

10/20/2004 ORDER RECEIPT: (see receipt) Wed Oct 2010:45:23 CDT 2004 (MJM,) (Entered: 10/20/2004)

10/25/2004 100 MEMORANDUM in Opposition re 93 MOTION to Lift Stay (Partial) re Discovery filed by

Defendants John W. Bachmann, Edward D. Jones & Co., L.P., Douglas E. Hill, Michael R.

Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr.. (Attachments: #1

Exhibit Defs Ex. A - Part 1# 2 Exhibit Defs Ex. A - Part 2# 3 Exhibit Defs Ex. A - Part 3# 4 Exhibit

Defs. Ex. A - Part 4)(Harris, David) (Entered: 10/25/2004)

10/25/2004 101 MOTION to Stay Discovery in the State Court Actions by Defendants John W. Bachmann,

Edward D. Jones & Co., L.P., Douglas E. Hill, Michael R. Holmes, Richie L. Malone, Steven

Novik, Darryl L. Pope, Robert Virgil Jr.. (Harris, David) (Entered: 10/25/2004)

10/26/2004 102 REPLY to Response to Motion re 93 MOTION to Lift Stay (Partial) re Discovery In Support of

Motion to Lift Stay filed by Consolidated Filer Plaintiff Thomas Auer. (Attachments: # 1 Exhibit

M# 2 Exhibit N# 3 Exhibit O# 4 Exhibit P)(Blanchard, Martin) (Entered: 10/26/2004)

10/27/2004 103 Minute Entry for proceedings held before Judge Henry E. Autrey: In Court Hearing held on

10/27/2004 re: Motion to partially lift stay. Arguments heard. Motion granted in part and

denied in part - see record. Defts. granted 7 days to provide documents to pltffs. Defts'

motion to renew motion to stay - Withdrawn. (Court Reporter or FTR Gold Operator initials:A.

Daley.) (FTR Gold yes or no: no.) (proceedings started: 12:10pm.) (proceedings ended:

1:10pm.) Associated Cases: 4:04-cv-00086-HEA,4:04-cv-00466-HEA,4:04-cv-00467-HEA(CEL, )

(Entered: 10/28/2004)

11/08/2004 104 ORIGINAL TRANSCRIPT (Pilot) procedings of Motion Hearing held on 10/27/04 before Judge

Henry E. Autrey. Court Reporter: A. Daley. The transcript filed with the court will not be

remotely available until such time as the period for redaction has expired or a request for

redaction has been received and the redacted transcript filed. For additional information see

the Notice/Instructions to the Bar regarding Electronic Availability of Civil Transcripts on the

Court's website at www.moed.uscourts.gov (KCM, ) (Entered: 11/08/2004)

11/22/2004 105 Joint MOTION for Extension of: Time to File Their Answers, Motions or Other Responsive

Pleadings by Defendants John W. Bachmann, Edward D. Jones & Co., L.P., Douglas E. Hill,

Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr.,



11/23/2004 Docket Text ORDER re 105 Joint MOTION for Extension of: Time to File Their Answers,

Motions or Other Responsive Pleadings filed by Jones Financial Companies, The, Edward D.

Jones & Co., L.P., EDJ Holding Company, Inc., John W. Bachmann, Douglas E. Hill, Michael R.

Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil; ORDERED Granted.


11/24/2004 106 Joint MOTION to Strike by Defendant Douglas E. Hill. (Kingston, John) (Entered: 11/24/2004)

11/24/2004 107 MEMORANDUM in Support of Motion re 106 Joint MOTION to Strike filed by Defendant

Douglas E. Hill. (Kingston, John) (Entered: 11/24/2004)

11/24/2004 1 108 MOTION to Dismiss Case 4:04-CV-00086-HEA by Defendants John W. Bachmann, Edward D.

Jones & Co., L.P., Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert

Virgil Jr., Consolidated Filer Defendants EDJ Holding Company, Inc., Jones Financial

Companies, The. (Harris, David) (Entered: 11/24/2004)

11/24/2004 109 MOTION for Leave to File in Excess of Page Limitation by Defendants John W. Bachmann,

Edward D. Jones & Co., L.P., Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L.

Pope, Robert Virgil Jr., Consolidated Filer Defendants EDJ Holding Company, Inc., Jones

Financial Companies, The. (Harris, David) (Entered: 11/24/2004)

11/24/2004 110 MEMORANDUM in Support of Motion re 108 MOTION to Dismiss Case 4:04-CV-00086-HEA

filed by Defendants John W. Bachmann, Edward D. Jones & Co., L.P., Michael R. Holmes,

Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil Jr., Consolidated Filer Defendants

EDJ Holding Company, Inc., Jones Financial Companies, The. (Harris, David) (Entered:

11/24/2004)

11/24/2004 111 MOTION to Dismiss Case by Defendant Douglas E. Hill. (Kingston, John) (Entered: 11/24/2004)

11/24/2004 112 MEMORANDUM in Support of Motion re 111 MOTION to Dismiss Case filed by Defendant


12/07/2004 Docket Text ORDER re 109 MOTION for Leave to File in Excess of Page Limitation filed by

Jones Financial Companies, The, Edward D. Jones & Co., L.P., EDJ Holding Company, Inc., John

W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert

Virgil; ORDERED Granted. Signed by Judge Henry E. Autrey on 12/7/04. (MJM, ) (Entered:

12/07/2004)

12/14/2004 113 STIPULATION re 108 MOTION to Dismiss Case 4:04-CV-00086-HEA, 111 MOTION to Dismiss

Case Stipulation and (Proposed) Order Setting Schedule for Plaintiffs Opposition Papers by

Consolidated Filer Plaintiff Thomas Auer. (Blanchard, Martin) (Entered: 12/14/2004)

12/16/2004 Docket Text ORDER ;RE: Stipulation [Doc. #113] ORDERED SO ORDERED. Signed by Judge


01/26/2005 114 STIPULATION re 108 MOTION to Dismiss Case 4:04-CV-00086-HEA Stipulation And (Proposed)

Order Setting The Schedule For Plaintiffs Opposition Papers by Consolidated Filer Plaintiff

Thomas Auer. (Blanchard, Martin) (Entered: 01/26/2005)

01/28/2005 Docket Text ORDER; ORDERED Granted SO ORDERED **SEE LAST PARAGRAPH** Plaintiffs

shall have up to and including February 2, 2005 to file and serve opposition papers to

Defendants' motion to dismiss and motion to strike; The rest of the briefing schedule that

was previously agreed to by the parties remains intact. Specifically, Defendants shall have

forty-five (45) days after service of Plaintiffs' opposition papers to file and serve their reply

papers, or until March 21, 2005.. Signed by Judge Henry E. Autrey on 1/28/05. (MJM, )

(Entered: 01/28/2005)

02/02/2005 115 MEMORANDUM in Opposition re 106 Joint MOTION to Strike Plaintiffs' Opposition to

Defendants'Joint Rule 12(f) Motion to Strike filed by Consolidated Filer Plaintiffs Ronald

Alexander, Thomas Auer, Robert Bahnson, Marina Berti, Jim Boswell, Todd Bressler, Loretta

Carlson, Juan Cedillo, Carol Chiumentu, Nicholas J. Corbi, William Duggan, Rachel M. Enriquez,

Hubert Freehan, Stanley D. Gadway, Joe Garcia, Richard H. Gerding, Jay Haack, Michael

Howard, Illinois Valley YMCA, Marylou Jeffs, Nancy Lawrence, Susan Legg, Carol Maller,

Michael Maller, Denise McCutchen, Cheryl McDowell, Randy McDowell, John Oldner, Mary

Oldner, Frada Pasik, James Pingatore, William D. Potter, Robert Searcy, Betty Weible, Allen

Wells, Robert Wood, Lois Zabriskie, Murray Zucker, Plaintiff John M. Spahn IRA. (Blanchard,


02/02/2005 116 MOTION for Leave to File an Overlength Opposition to Defendants' Motions to Dismiss by

Consolidated Filer Plaintiffs Ronald Alexander, Thomas Auer, Robert Bahnson, Marina Berti,

Jim Boswell, Todd Bressler, Loretta Carlson, Juan Cedillo, Carol Chiumentu, Nicholas J. Corbi,

William Duggan, Hubert Freehan, Stanley D. Gadway, Joe Garcia, Richard H. Gerding, Jay

Haack, Michael Howard, Illinois Valley YMCA, Marylou Jeffs, Nancy Lawrence, Susan Legg,

Carol Maller, Michael Maller, Denise McCutchen, Cheryl McDowell, Randy McDowell, John

Oldner, Mary Oldner, Frada Pasik, James Pingatore, William D. Potter, Robert Searcy, Betty

Weible, Allen Wells, Robert Wood, Lois Zabriskie, Murray Zucker, Plaintiff John M. Spahn IRA.


02/02/2005 117 MEMORANDUM in Opposition re 108 MOTION to Dismiss Case 4:04-CV-00086-HEA, 111

MOTION to Dismiss Case Plaintiffs' Opposition to Defendants' Motions to Dismiss filed by

Consolidated Filer Plaintiffs Ronald Alexander, Thomas Auer, Robert Bahnson, Marina Berti,

Jim Boswell, Todd Bressler, Loretta Carlson, Juan Cedillo, Carol Chiumentu, Nicholas J. Corbi,

William Duggan, Hubert Freehan, Stanley D. Gadway, Joe Garcia, Richard H. Gerding, Jay

Haack, Michael Howard, Illinois Valley YMCA, Marylou Jeffs, Nancy Lawrence, Susan Legg,

Carol Maller, Michael Maller, Denise McCutchen, Cheryl McDowell, Randy McDowell, John

Oldner, Mary Oldner, Frada Pasik, James Pingatore, William D. Potter, Robert Searcy, Betty

Weible, Allen Wells, Robert Wood, Lois Zabriskie, Murray Zucker, Plaintiff John M. Spahn IRA.

(Attachments: # 1 Plaintiffs' Opposition Part 2)(Blanchard, Martin) (Entered: 02/02/2005)

02/02/2005 118 DECLARATION filed by Consolidated Filer Plaintiffs Ronald Alexander, Thomas Auer, Robert

Bahnson, Marina Berti, Jim Boswell, Todd Bressler, Loretta Carlson, Juan Cedillo, Carol

Chiumentu, Nicholas J. Corbi, William Duggan, Hubert Freehan, Stanley D. Gadway, Joe

Garcia, Richard H. Gerding, Jay Haack, Michael Howard, Illinois Valley YMCA, Marylou Jeffs,

Nancy Lawrence, Susan Legg, Carol Maller, Michael Maller, Denise McCutchen, Cheryl

McDowell, Randy McDowell, John Oldner, Mary Oldner, Frada Pasik, James Pingatore, William

D. Potter, Robert Searcy, Betty Weible, Allen Wells, Robert Wood, Lois Zabriskie, Murray

Zucker, Plaintiff John M. Spahn IRA re 117 Memorandum in Opposition to Motion,,,

Declaration of Michael R. Reese in Support of Plaintiffs' Opposition to Defendants' Motions to

Dismiss. (Attachments: # 1 Exhibit A - Jones SEC settlement# 2 Exhibit B - NASD Letter of

Acceptance# 3 Exhibit C - CAAG Complaint# 4 Exhibit D - Form N-1A part 1# 5 Exhibit D - Form

N-1A part 2# 6 Exhibit D - Form N-1A part 3# 7 Exhibit E - PA SEC Order# 8 Exhibit F - Franklin

SEC Order# 9 Exhibit G - Form ADV)(Blanchard, Martin) (Entered: 02/02/2005)

i

02/11/2005

119 MOTION for Extension of Time to File Response/Reply as to 117 Memorandum in Opposition

to Motion,,,, 118 Declaration,,,,, 115 Memorandum in Opposition to Motion,,, for an

additional 30 days to File their Replies by Consolidated Filer Defendant Jones Financial

Companies, The. (Harris, David) (Entered: 02/11/2005)

03/01/2005

120 MOTION to Amend/Correct 119 MOTION for Extension of Time to File Response/Reply as to

117 Memorandum in Opposition to Motion,,,, 118 Declaration,,,,, 115 Memorandum in

Opposition to Motion,,, for an additional 30 days to File their Replies by Defendants John W.


Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones Financial

Companies, The, EDJ Holding Company, Inc.. (Harris, David) (Entered: 03/01/2005)

03/03/2005

Docket Text ORDER re 120 MOTION to Amend/Correct 119 MOTION for Extension of Time to

File Response/Reply as to 117 Memorandum in Opposition to Motion,,,, 118 Declaration,,,,,

115 Memorandum in Opposition to Motion,,, for an additional 30 days to File their R filed by

Jones Financial Companies, The,, Edward D. Jones & Co., L.P.,, EDJ Holding Company, Inc.,,

John W. Bachmann,, Douglas E. Hill,, Michael R. Holmes,, Richie L. Malone,, Steven Novik,,

Darryl L. Pope,, Robert Virgil, Jr. ; ORDERED Granted to and including 4/20/05, in which to file

replies to Pltf's responses to Dft's Motions to Dismiss and Motion to Strike.. Signed by Judge


04/14/2005

121 MOTION for Extension of Time to File Response/Reply as to 117 Memorandum in Opposition

to Motion,,, Defendants' Stipulated Motion for an Extension of Time to Reply to Plaintiffs'

Response to Defendants' Motions to Dismiss and Motion to Strike by Defendants John W.


Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones Financial

Companies, The, EDJ Holding Company, Inc.. (Monroe, Kimber) (Entered: 04/14/2005)

04/19/2005 Docket Text ORDER re 121 MOTION for Extension of Time to File Response/Reply as to 117

Memorandum in Opposition to Motion,,, Defendants' Stipulated Motion for an Extension of

Time to Reply to Plaintiffs' Response to Defendants' Motions to Dismiss and Motion to Strike

by Defendants John W. Bachmann, Douglas E. Hill, Michael R. Holmes, Richie L. Malone,

Steven Novik, Darryl L. Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer

Defendants Jones Financial Companies, The, EDJ Holding Company, Inc.. (Monroe, Kimber)

filed by Jones Financial Companies, The,, Edward D. Jones & Co., L.P.,, EDJ Holding Company,

Inc.,, John W. Bachmann,, Douglas E. Hill,, Michael R. Holmes,, Richie L. Malone,, Steven

Novik,, Darryl L. Pope,, Robert Virgil, Jr.; ORDERED GRANTED; SO ORDERED UP TO AND

INCLUDING 5/10/05 TO REPLY. HEA. Signed by Judge Henry E. Autrey on 4/19/05. (CLA,)

(Entered: 04/19/2005)

04/20/2005 ORDER RECEIPT: (see receipt) Wed Apr 20 08:21:16 CDT 2005 (CLA, ) (Entered: 04/20/2005)

05/10/2005 122 MEMORANDUM in Support of Motion re 106 Joint MOTION to Strike Irrelevant and

Prejudicial Allegations from the Consolidated Amended Complaint filed by Defendants John

W. Bachmann, Douglas E. Hill, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L.

Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones

Financial Companies, The, EDJ Holding Company, Inc.. (Kingston, John) (Entered: 05/10/2005)

05/10/2005 123 MEMORANDUM in Support of Motion re 111 MOTION to Dismiss Case filed by Defendant


05/10/2005 124 MOTION for Leave to FILE AN OVERLENGTH MEMORANDUM OF LAW IN SUPPORT OF

DEFENDANTS' MOTION TO DISMISS by Defendants John W. Bachmann, Michael R. Holmes,

Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P.,

Consolidated Filer Defendants Jones Financial Companies, The, EDJ Holding Company, Inc..


i

05/10/2005 125 MEMORANDUM in Support of Motion re 108 MOTION to Dismiss Case 4:04-CV-00086-HEA

filed by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik,

Darryl L. Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendant

Jones Financial Companies, The. (Harris, David) (Entered: 05/10/2005)

05/12/2005 Docket Text ORDER re 124 MOTION for Leave to FILE AN OVERLENGTH MEMORANDUM OF

LAW IN SUPPORT OF DEFENDANTS' MOTION TO DISMISS by Defendants John W. Bachmann,

Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil, Jr, Edward D.

Jones & Co., L.P., Consolidated Filer Defendants Jones Financial Companies, The, EDJ Holding

Company, Inc.. (Harris, David) filed by Jones Financial Companies, The,, Edward D. Jones &

Co., L.P.,, EDJ Holding Company, Inc.,, John W. Bachmann,, Michael R. Holmes,, Richie L.

Malone,, Steven Novik,, Darryl L. Pope,, Robert Virgil, Jr.; ORDERED: GRANTED. Signed by

Judge Henry E. Autrey on 5/12/05. (CEL, ) (Entered: 05/12/2005)

05/12/2005 ORDER RECEIPT: (see receipt) Thu May 12 15:42:03 CDT 2005 (CEL, ) (Entered: 05/12/2005)

05/13/2005 126 MOTION to Withdraw as Counsel by Defendants John W. Bachmann, Michael R. Holmes,


Consolidated Filer Defendants Jones Financial Companies, The, EDJ Holding Company, Inc..

(Monroe, Kimber) (Entered: 05/13/2005)

05/17/2005 Docket Text ORDER re 126 MOTION to Withdraw as Counsel by Defendants John W.

I

Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil,

Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones Financial Companies, The,

EDJ Holding Company, Inc.. (Monroe, Kimber) filed by Jones Financial Companies, The,,

Edward D. Jones & Co., L.P.,, EDJ Holding Company, Inc.,, John W. Bachmann,, Michael R.

Holmes,, Richie L. Malone,, Steven Novik,, Darryl L. Pope,, Robert Virgil, Jr.; ORDERED

GRANTED; SO ORDERED HEA. Signed by Judge Henry E. Autrey on 5/17/05. (CLA, ) (Entered:

05/18/2005)

i

06/09/2005 127 MOTION for Hearing re 106 Joint MOTION to Strike, 108 MOTION to Dismiss Case 4:04-CV-

00086-HEA, 111 MOTION to Dismiss Case Lead Plaintiffs Request for Presentation of Oral

Argument on Defendants Motions to Dismiss and Motion to Strike by Consolidated Filer

Plaintiff Thomas Auer. (Blanchard, Martin) (Entered: 06/09/2005)

06/14/2005 Docket Text ORDER re 127 MOTION for Hearing re 106 Joint MOTION to Strike, 108 MOTION

to Dismiss Case 4:04-CV-00086-HEA, 111 MOTION to Dismiss Case Lead Plaintiffs Request for

Presentation of Oral Argument on Defendants Motions to Dismiss and Motion to Strike by

Consolidated Filer Plaintiff Thomas Auer. (Blanchard, Martin) filed by Thomas Auer,;

ORDERED GRANTED HEA. Signed by Judge Henry E. Autrey on 6/14/05. (CLA, ) (Entered:

06/14/2005)

06/17/2005 128 ORDER IT IS HEREBY ORDERED that a hearing on defendants' Motion to Dismiss and Motion

to Strike is set for Thursday, June 30, 2005 at 2:30 p.m. in the courtroom of the undersigned.

Motion Hearing set for 6/30/2005 02:30 PM in Courtroom 10N before Honorable Henry E.

Autrey.. Signed by Judge Henry E. Autrey on 6/17/05. (MJM, ) (Entered: 06/17/2005)

06/17/2005 ORDER RECEIPT: (see receipt) Fri Jun 1715:47:11 CDT 2005 (MJM, ) (Entered: 06/17/2005)

06/23/2005 129 ORDER IT IS HEREBY ORDERED that the hearing in this matter on defendants' Motions to

Dismiss and Motion to Strike previously set for Thursday, June 30, 2005, is reset to Thursday,

July 28, 2005, at 2:00 p.m. in the courtroom of the undersigned. Motion Hearing set for

7/28/2005 02:00 PM in Courtroom 10N before Honorable Henry E. Autrey.. Signed by Judge


06/23/2005 ORDER RECEIPT: (see receipt) Thu Jun 23 11:56:53 CDT 2005 (MJM, ) (Entered: 06/23/2005)

07/01/2005 130 MOTION to Stay Discovery Proceedings in Enriquez by Defendants John W. Bachmann,



Company, Inc.. (Harris, David) (Entered: 07/01/2005)

07/01/2005 131 MEMORANDUM in Support of Motion re 130 MOTION to Stay Discovery Proceedings in

Enriquez filed by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven

Novik, Darryl L. Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer

Defendants Jones Financial Companies, The, EDJ Holding Company, Inc.. (Attachments: # 1

Exhibit June 22 and 30, 2005 E-mail Correspondences from Plaintiffs' Counsel# 2 Exhibit

Petition)(Harris, David) (Entered: 07/01/2005)

07/01/2005 132 MOTION for Hearing re 130 MOTION to Stay Discovery Proceedings in Enriquez by Defendants

John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert

Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones Financial


07/11/2005 133 RESPONSE in Opposition re 130 MOTION to Stay Discovery Proceedings in Enriquez filed by

Consolidated Filer Plaintiff Rachel M. Enriquez. (Attachments: # 1 # 2)(Bauman, Christopher)

(Entered: 07/11/2005)

07/11/2005 134 MOTION for Extension Adjournment of: July 28, 2005 Hearing Date on Defendants' Motion to

Dismiss and Motion to Strike by Plaintiff John M. Spahn, IRA. (Attachments: # 1 Text of

Proposed Order Proposed Order# 2 Certificate of Service)(Reese, Michael) (Entered:

07/11/2005)

07/11/2005 135 MEMORANDUM in Support of Motion re 134 MOTION for Extension Adjournment of: July 28,

2005 Hearing Date on Defendants' Motion to Dismiss and Motion to Strike filed by Plaintiff

John M. Spahn, IRA. (Reese, Michael) (Entered: 07/11/2005)

i

07/11/2005 136 DECLARATION filed by Plaintiff John M. Spahn, IRA re 134 MOTION for Extension

Adjournment of: July 28, 2005 Hearing Date on Defendants' Motion to Dismiss and Motion to

Strike Declaration of Kim E. Miller in Support. (Attachments: # 1 Exhibit A - Edward Jones SEC

Cease-and-Desist Order# 2 Exhibit B - NASD Letter of Acceptance# 3 Exhibit C -12/21/04

Article)(Reese, Michael) (Entered: 07/11/2005)

07/11/2005 137 MEMORANDUM in Opposition re 130 MOTION to Stay Discovery Proceedings in Enriquez filed

by Plaintiff John M. Spahn, IRA. (Attachments: # 1 Exhibit A - Reese Letter# 2 Exhibit B - Order

and Judgement# 3 Certificate of Service)(Reese, Michael) (Entered: 07/11/2005)

07/21/2005 138 ORDER IT IS HEREBY ORDERED that Plaintiff's Motion to Adjourn July 28, 2005, Hearing Date

on Defendant's Motion to Dismiss and Motion to Strike [Doc. #134] is granted. Plaintiff is

given until October 1, 2005, to review all documents produced by defendants. IT IS FURTHER

ORDERED, pursuant to telephone conference with counsel for the parties, that plaintiff is

granted until October 15, 2005, to file an amended pleading. The hearing on defendant's

Motions to Dismiss and Motion to Strike is set for hearing on Tuesday, November 22, 2005, at

10:30 a.m. Amended/Supplemental Pleadings due by 10/15/2005. Motion Hearing set for

11/22/2005 10:30 AM in Courtroom 10N before Honorable Henry E. Autrey.. Signed by Judge


07/21/2005 ORDER RECEIPT: (see receipt) Thu Jul 2115:59:55 CDT 2005 (MJM, ) (Entered: 07/21/2005)

07/21/2005 139 REPLY to Response to Motion re 130 MOTION to Stay Discovery Proceedings in Enriquez filed

by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl

L.Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones

Financial Companies, The, EDJ Holding Company, Inc.. (Harris, David) (Entered: 07/21/2005)

07/25/2005 140 ORDER IT IS HEREBY ORDERED that discovery in Enriquez v. Edward D. Jones and Co., L.P., et

al., is stayed pending adjudication of the Motion to Dismiss in this matter.. Signed by Judge


07/25/2005 ORDER RECEIPT: (see receipt) Mon Jul 25 14:31:21 CDT 2005 (MJM,) (Entered: 07/25/2005)

08/03/2005 141 MOTION for Reconsideration re 140 Order by Movant Rachel M. Enriquez. (Attachments: # 1

Exhibit 1# 2 Exhibit 2# 3 Exhibit 3# 4 Exhibit 4)(Bauman, Christopher) (Entered: 08/03/2005)

08/08/2005 142 MOTION to Amend/Correct 141 MOTION for Reconsideration re 140 Order by Movant Rachel

M.Enriquez. (Attachments: # 1 Exhibit Ex. 1 Part A# 2 Exhibit Ex. 1 Part B# 3 Exhibit Ex.

2)(Blitz, Robert) (Entered: 08/08/2005)

08/18/2005 143 MEMORANDUM in Opposition re 141 MOTION for Reconsideration re 140 Order, 142

MOTION to Amend/Correct 141 MOTION for Reconsideration re 140 Order filed by

Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L.



08/19/2005 144 MOTION to Stay Class Certification Hearing in Enriquez by Defendants John W. Bachmann,




08/19/2005 145 MEMORANDUM in Support of Motion re 144 MOTION to Stay Class Certification Hearing in

Enriquez filed by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven



Exhibit A (August 18, 2005 Order))(Harris, David) (Entered: 08/19/2005)

08/19/2005 146 NOTICE by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven


Defendants Jones Financial Companies, The, EDJ Holding Company, Inc. re 144 MOTION to

Stay Class Certification Hearing in Enriquez Oral Argument: (Harris, David) (Entered:

08/19/2005)

08/22/2005 1 147 RESPONSE in Opposition re 144 MOTION to Stay Class Certification Hearing in Enriquez filed

by Consolidated Filer Plaintiff Rachel M. Enriquez. (Blitz, Robert) (Entered: 08/22/2005)

08/22/2005 148 ORDER IT IS HEREBY ORDERED that upon argument of counsel and in consideration of the

memoranda filed, Defendants' Motion to Expand the Discovery Stay or Enjoin the Enriquez

Action, Including the Class Certification Hearing Scheduled for Tuesday, August 23, 2005, is

overruled and denied.. Signed by Judge Henry E. Autrey on 8/22/05. (MJM, ) (Entered:

08/22/2005)

08/22/2005 ORDER RECEIPT: (see receipt) Mon Aug 22 16:00:49 CDT 2005 (MJM,) (Entered: 08/22/2005)

08/23/2005 149 MEMORANDUM in Support of Motion re 141 MOTION for Reconsideration re 140 Order, 142

MOTION to Amend/Correct 141 MOTION for Reconsideration re 140 Order Federal Plaintiffs'

Memorandum of Law in Response to Non-Party Respondent Enriquez's Motion and Amended

Motion to Reconsider July 26, 2005 Order Staying Discovery in Enriquez State Court

Proceeding filed by Consolidated Filer Plaintiffs Jim Boswell, Thomas Auer, Plaintiff John M.

Spahn, IRA. (Attachments: # 1 Exhibit A# 2 Exhibit B)(Reese, Michael) (Entered: 08/23/2005)

08/29/2005 150 MOTION for Leave to Respond to Federal Plaintiffs' Memorandum of Law by Defendants John

W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert

Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones Financial


08/29/2005 Docket Text ORDER re 141 MOTION for Reconsideration re 140 Order by Movant Rachel M.

Enriquez. (Attachments: # Exhibit 1# Exhibit 2# Exhibit 3# Exhibit 4)(Bauman, Christopher)

filed by Rachel M. Enriquez,; ORDERED DENIED. Signed by Judge Henry E. Autrey on 8/29/05.

(MJM,) (Entered: 08/30/2005)

08/29/2005 I Docket Text ORDER re 142 MOTION to Amend/Correct 141 MOTION for Reconsideration re

140 Order by Movant Rachel M. Enriquez. (Attachments: # Exhibit Ex. 1 Part A# Exhibit Ex. 1

Part B# Exhibit Ex. 2)(Blitz, Robert) filed by Rachel M. Enriquez, ; ORDERED DENIED. Signed by


10/05/2005 151 Joint MOTION for Extension of Time to File Second Amended Complaint ;Extension to file the

following: Second Amended Complaint;Proposed extension date December 1, 2005 by

Consolidated Filer Plaintiff Thomas Auer. (Blanchard, Martin) (Entered: 10/05/2005)

10/05/2005 Docket Text ORDER re 151 Joint MOTION for Extension of Time to File Second Amended

Complaint ;Extension to file the following: Second Amended Complaint;Proposed extension

date December 1, 2005 by Consolidated Filer Plaintiff Thomas Auer. (Blanchard, Martin) filed

by Thomas Auer,; ORDERED Granted SO ORDERED. Signed by Judge Henry E. Autrey on

10/5/05. (MJM,) (Entered: 10/07/2005)

I ^

11/15/2005 152 STIPULATION and proposed Order Extending the Filing Date for Plaintiffs Second Amended

Complaint Due to the Parties On Going Mediation by Plaintiff John M. Spahn, IRA. (Blanchard,


11/17/2005 153 ORDER IT IS HEREBY ORDERED that the order setting this matter for a hearing on defendants'

Motions to Dismiss and Motion to Strike on November 22, 2005 is vacated.. Signed by Judge


11/17/2005 ORDER RECEIPT: (see receipt) Thu Nov 1716:01:26 CST 2005 (MJM, ) (Entered: 11/17/2005)

11/30/2005 Docket Text ORDER; ORDERED : The Stipulation (#152)for an extension of the filing of the 2nd

amended complaint to January 13, 2006 is GRANTED. Signed by Judge Henry E. Autrey on

11/30/05. (CEL, ) (Entered: 11/30/2005)

11/30/2005 ORDER RECEIPT: (see receipt) Wed Nov 3014:48:45 CST 2005 (CEL, ) (Entered: 11/30/2005)

01/09/2006 154 STIPULATION and (Proposed) Order Extending the Filing Date for Plaintiffs' Second Amended

Complaint by Plaintiff John M. Spahn, IRA. (Blanchard, Martin) (Entered: 01/09/2006)

01/10/2006 Docket Text ORDER SO ORDERED HEA Stipulation and Proposed order extending the filing

date of second amended complaint by pltff. Signed by Judge Henry E. Autrey on 1/10/06.

(CLA, ) (Entered: 01/10/2006)

02/23/2006 155 NOTICE by Consolidated Filer Plaintiffs Michael Maller, Carol Maller, Richard H. Gerding

Change of Firm Name and Notice of Substitution of Counsel: (Chitwood, Martin) (Entered:

02/23/2006)

04/12/2006 156 STIPULATION And (Proposed) Order Extending The Filing Date For Plaintiffs' Second Amended

Complaint by the parties. (FILED UNDER SEAL) (MJM, ) (Entered: 04/13/2006)

04/13/2006 Docket Text ORDER; ORDERED :Stipulation, #156, GRANTED - extension granted to May 30,

2006:. Signed by Judge Henry E. Autrey on 4/13/06. (CEL, ) (Entered: 04/13/2006)

04/13/2006 ORDER RECEIPT: (see receipt) Thu Apr 1315:54:36 CDT 2006 (CEL, ) (Entered: 04/13/2006)

05/30/2006 157 STIPULATION And [Proposed] Order Extending The Filing Date For Plaintiffs' Second Amended

Complaint by the parties. (FILED UNDER SEAL) (MJM, ) (Entered: 05/31/2006)

06/01/2006 Docket Text ORDER; ORDERED Stipulation #157 - GRANTED - 2nd amended complaint due

7/31/06. Signed by Judge Henry E. Autrey on 6/1/06. (CEL, ) (Entered: 06/02/2006)

I I

06/02/2006 ORDER RECEIPT: (see receipt) Fri Jun 2 10:30:53 CDT 2006 (CEL, ) (Entered: 06/02/2006)

06/02/2006 158 MEMORANDUM by Plaintiff John M. Spahn, IRA. (Blanchard, Martin) (Entered: 06/02/2006)

07/14/2006 159 MOTION to Enforce The Settlement by Consolidated Filer Plaintiffs Jim Boswell, Thomas Auer.

(FILED UNDER SEAL) (MJM, ) (Entered: 07/21/2006)

07/14/2006 160 MEMORANDUM in Support of Motion re 159 MOTION to Enforce The Settlement filed by

Consolidated Filer Plaintiffs Jim Boswell, Thomas Auer. (FILED UNDER SEAL) (MJM, ) (Entered:

07/21/2006)

07/14/2006 161 MOTION for Presentation of Oral Argument by Consolidated Filer Plaintiffs Jim Boswell,

Thomas Auer. (FILED UNDER SEAL) (MJM, ) (Entered: 07/21/2006)

07/14/2006 162 DECLARATION OF Matthew Zevin In Support re 159 MOTION to Enforce The Settlement.

(FILED UNDER SEAL) (MJM, ) (Entered: 07/21/2006)

07/14/2006 163 DECLARATION OF Jerome Congress w/ exhs A-S attached re 159 MOTION to Enforce The

Settlement. (FILED UNDER SEAL). (MJM, ) (Entered: 07/21/2006)

07/25/2006 164 Consent MOTION for Extension of Time to File Response/Reply by Defendants John W.



EDJ Holding Company, Inc.. (Niemeier, David) (Entered: 07/25/2006)

07/26/2006 165 ORDER IT IS HEREBY ORDERED that a hearing on Lead Plaintiff's Motion to Enforce the

Settlement [Doc. #159] is set for Thursday, August 31, 2006, at 11:00 a.m. Motion Hearing set

for 8/31/200611:00 AM in Courtroom 10N before Honorable Henry E. Autrey.. Signed by


07/26/2006 ORDER RECEIPT: (see receipt) Wed Jul 2614:42:45 CDT 2006 (MJM,) (Entered: 07/26/2006)

07/26/2006 Docket Text ORDER re 164 Consent MOTION for Extension of Time to File Response/Reply by



Financial Companies, The, EDJ Holding Company, Inc.. (Niemeier, David) filed by Jones

Financial Companies, The,, Edward D. Jones & Co., L.P.,, EDJ Holding Company, Inc.,, John W.

Bachmann,, Michael R. Holmes,, Richie L. Malone,, Steven Novik,, Darryl L. Pope,, Robert

Virgil, Jr. ; ORDERED Granted up to and including 8/4/06.. Signed by Judge Henry E. Autrey on

7/26/06. (MJM,) (Entered: 07/26/2006)

07/31/2006 1 166 STIPULATION And [Proposed] Order Extending The Filing Date For Plaintiffs' Second Amended

Complaint by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven

Novik, Darryl L. Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P. (MJM, ) (FILED UNDER

SEAL) (Entered: 08/01/2006)

08/03/2006 Docket Text ORDER ;RE: [Doc. #166] Stipulation and Proposed Order ORDERED SO ORDERED.


08/03/2006 167 Consent MOTION for approval of Stipulation and (Proposed) Order For Briefing Schedule for

Lead Plaintiffs' Motion To Enforce The Settlement filed by Defendants John W. Bachmann,



Company, Inc.. (Niemeier, David) (Entered: 08/03/2006)

08/03/2006 168 MOTION for Leave to File Brief Under Seal by Defendants John W. Bachmann, Michael R.

Holmes, Richie L. Malone, Steven Novik, Darryl L. Pope, Robert Virgil, Jr, Edward D. Jones &

Co., L.P., Consolidated Filer Defendants Jones Financial Companies, The, EDJ Holding


08/07/2006 Docket Text ORDER re 168 MOTION for Leave to File Brief Under Seal by Defendants John W.



EDJ Holding Company, Inc.. (Niemeier, David) filed by Jones Financial Companies, The,,

Edward D. Jones & Co., L.P.,, EDJ Holding Company, Inc.,, John W. Bachmann,, Michael R.

Holmes,, Richie L. Malone,, Steven Novik,, Darryl L. Pope,, Robert Virgil, Jr.; ORDERED

Granted So Ordered. Signed by Judge Henry E. Autrey on 8/7/06. (MJM, ) (Entered:

08/07/2006)

08/07/2006 169 STIPULATION AND PROPOSED ORDER by Defendants John W. Bachmann, Michael R. Holmes,


Consolidated Filer Plaintiffs Jim Boswell, Thomas Auer, Consolidated Filer Defendants Jones

Financial Companies, The, EDJ Holding Company, Inc. (SEE ORDER FOR DETAILS). (MJM, )

(Entered: 08/07/2006)





08/11/2006 Docket Text ORDER re 170 MOTION for Leave to File in Excess of Page Limitation by



Financial Companies, The, EDJ Holding Company, Inc.. (Niemeier, David) filed by Jones

Financial Companies, The,, Edward D. Jones & Co., L.P.,, EDJ Holding Company, Inc.,, John W.

Bachmann,, Michael R. Holmes,, Richie L. Malone,, Steven Novik,, Darryl L. Pope,, Robert

Virgil, Jr.; ORDERED Granted. Signed by Judge Henry E. Autrey on 8/11/06. (MJM, ) (Entered:

08/11/2006)

08/11/2006 171 MEMORANDUM in Opposition w/ Exhs 1-13 attached re 159 MOTION to Enforce The

Settlement filed by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone,


Defendants Jones Financial Companies, The, EDJ Holding Company, Inc.(FILED UNDER SEAL).

(MJM,) (Entered: 08/11/2006)

08/23/2006 172 MOTION for Leave to File Over Length Memorandum in Further Support of Lead Plaintiffs'

Motion to Enforce the Settlement by Plaintiff John M. Spahn, IRA. (Blanchard, Martin)

(Entered: 08/23/2006)

08/23/2006 173 REPLY MEMORANDUM IN FURTHER SUPPORT OF LEAD PLAINTIFFS' re 159 MOTION to

Enforce The Settlement filed by Consolidated Filer Plaintiffs Jim Boswell, Thomas Auer. (FILED

UNDER SEAL) (MJM, ) (Entered: 08/24/2006)

08/25/2006 174 MOTION for Leave to File Pleading Under Seal by Movant Rachel M. Enriquez. (Blitz, Robert)

(Entered: 08/25/2006)

08/25/2006 Docket Text ORDER re 172 MOTION for Leave to File Over Length Memorandum in Further

Support of Lead Plaintiffs' Motion to Enforce the Settlement by Plaintiff John M. Spahn, IRA.

(Blanchard, Martin) filed by John M. Spahn, IRA; ORDERED Granted. Signed by Judge Henry E.

Autrey on 8/25/06. (MJM, ) (Entered: 08/25/2006)

08/28/2006 Docket Text ORDER re 174 MOTION for Leave to File Pleading Under Seal by Movant Rachel

M. Enriquez. (Blitz, Robert) filed by Rachel M. Enriquez, ; ORDERED Granted. Signed by Judge


08/30/2006 175 NOTICE by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven


Defendants Jones Financial Companies, The, EDJ Holding Company, Inc. Filing Document

Under Seal: (Ferrick, James) (Entered: 08/30/2006)

08/30/2006 176 STIPULATION by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven


Defendants Jones Financial Companies, The, EDJ Holding Company, Inc. (FILED UNDER SEAL).

(MJM,) (Entered: 08/31/2006)

08/30/2006 Docket Text ORDER ;RE: [Doc. #176] Stipulation ORDERED Stay Granted until 9/26/06, Case

I

stayed.. Signed by Judge Henry E. Autrey on 8/30/06. (MJM, ) (Entered: 08/31/2006)

09/26/2006 177 STIPULATION And (Proposed) Order Extending The Filing Date To Submit Documents by



Financial Companies, The, EDJ Holding Company, Inc.. (Niemeier, David) (Entered:

09/26/2006)

09/27/2006 STIPULATION AND (PROPSED) ORDER [RE: Doc. #177] EXTENDING THE FILING DATE TO

SUBMIT A COMPLETE SET OF SETTLEMENT DOCUMENTS ORDERED Granted Extension to

submit settlement documents. Signed by Judge Henry E. Autrey on 9/27/06. (MJM, )

(Entered: 09/28/2006)

10/31/2006 178 MOTION for Ruling on Motion for Approval of Class Action Settlement by Plaintiff John M.

Spahn, IRA. (Blitz, Robert) (Entered: 10/31/2006)

10/31/2006 179 MEMORANDUM in Support of Motion re 178 MOTION for Ruling on Motion for Approval of

Class Action Settlement filed by Plaintiff John M. Spahn, IRA. (Blitz, Robert) (Entered:

10/31/2006)

i

10/31/2006 180 MOTION for Leave to File Overlength Memorandum in Support by Plaintiff John M. Spahn,

IRA. (Blitz, Robert) (Entered: 10/31/2006)

10/31/2006 181 DECLARATION filed by Plaintiff John M. Spahn, IRA re 178 MOTION for Ruling on Motion for

Approval of Class Action Settlement. (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4

Exhibit D# 5 Exhibit E# 6 Exhibit F# 7 Exhibit G# 8 Exhibit H# 9 Exhibit I(1)# 10 Exhibit

I(2))(Blitz, Robert) (Entered: 10/31/2006)

11/09/2006 182 ORDER IT IS HEREBY ORDERED that a hearing on Lead Plaintiff's Motion For An Order

Preliminarily Approving Class Action Settlement, Conditionally Certifying The Settlement

Class, Approving The Form And Manner Of Notice, And Setting Fairness Hearing [Doc. #178] is

set for Wednesday, November 15, 2006, at 10:00 a.m. in the courtroom of the undersigned.

Motion Hearing set for 11/15/200610:00 AM in Courtroom 10N before Honorable Henry E.

Autrey.. Signed by Judge Henry E. Autrey on 11/9/06. (MJM, ) (Entered: 11/09/2006)

11/09/2006 ORDER RECEIPT: (see receipt) Thu Nov 9 14:57:40 CST 2006 (MJM, ) (Entered: 11/09/2006)

11/15/2006 183 Minute Entry for proceedings held before Judge Henry E. Autrey : Parties present for motion

hearing. Upon request of parties, cause continued to December 12, 2006 at 1:30pm. re 178

(Court Reporter or FTR Gold Operator initials:A. Daley.) (FTR Gold yes or no: no.) (proceedings

started: 10:10am.) (proceedings ended: 10:20am.) (CEL, ) (Entered: 11/15/2006)

12/12/2006 184 STIPULATION. (Attachments: # 1 # 2 # 3 # 4 # 5 # 6 # 7)(Blitz, Robert) (Entered: 12/12/2006)

12/12/2006 185 MOTION for Leave to File in Excess of Page Limitation by Consolidated Filer Plaintiff Robert D.

Blitz. (Blitz, Robert) (Entered: 12/12/2006)

12/12/2006 186 MOTION for Ruling on Amended Motion for Approval of Class Action Settlement by

Consolidated Filer Plaintiff Robert D. Blitz. (Blitz, Robert) (Entered: 12/12/2006)

12/12/2006 187 MEMORANDUM in Support of Motion re 186 MOTION for Ruling on Amended Motion for

Approval of Class Action Settlement filed by Consolidated Filer Plaintiff Robert D. Blitz. (Blitz,

Robert) (Entered: 12/12/2006)

12/12/2006 188 Minute Entry for proceedings held before Judge Henry E. Autrey: Motion Hearing held on

12/12/2006 re 178186 . Settlement outlined presented. Order to issue. Pending motions,

filed prior to 12/12/06, denied as moot. (Court Reporter or FTR Gold Operator initials:A.

Daley.) (FTR Gold yes or no: no.) (proceedings started: 1:50pm.) (proceedings ended:

2:30pm.) Associated Cases: 4:04-cv-00086-HEA,4:04-cv-00466-HEA,4:04-cv-00467-HEA(CEL, )

(Entered: 12/12/2006)

12/12/2006 189 ORDER PRELIMINARY APPROVING CLASS ACTION SETTLEMENT, CONDITIONALLY CERTIFYING

THE PURCHASER SETTLEMENT CLASS, APPROVING THE FORM AND MANNER OF NOTICE AND

SETTING FAIRNESS HEARING: 178186: See order for Details - 4:06cv547 Enrquez v. Jones

remanded to State Court per this order Motion Hearing set for 7/20/200610:30 AM in

Courtroom 10N before Honorable Henry E. Autrey.. Signed by Judge Henry E. Autrey on

12/12/06. (CEL, ) (Entered: 12/12/2006)

12/12/2006 ORDER RECEIPT: (see receipt) Tue Dec 12 15:25:43 CST 2006 (CEL, ) (Entered: 12/12/2006)

12/12/2006 190 STIPULATION re 184 Stipulation (Proposed Injunction) by Defendant Edward D. Jones & Co.,

L.P.. (Niemeier, David) (Entered: 12/12/2006)

12/14/2006 191 ORDER: ORDERED that all actions or proceedings instituted after 11/20/06 in any court or

tribunal based upon any claim that is related to Edward Jones' revenue sharing practices are

hereby enjoined until further order of this Court. This injunction does not apply to the

Bressler Action or extend to those Class members who have irrevocably opted out or

otherwise excluded themselves from participation in the settlement. Further, this injunction

does not prevent the Circuit Court of the City of St. Louis, MO from approving the terms and

conditions of the Settlement Agreement in the Enriquez Action.. Signed by Judge Henry E.

Autrey on 12/14/06. (LGK, ) (Entered: 12/18/2006)

12/18/2006 ORDER RECEIPT: (see receipt) Mon Dec 1810:08:38 CST 2006 (LGK, ) (Entered: 12/18/2006)

06/08/2007 1 192 NOTICE Of Objection and Objection to Proposed Settlement: (Attachments: # 1 Affidavit Class

Member Authorizations)(Kessinger, Jeffrey) (Entered: 06/08/2007)

06/08/2007 Receipt # S2007-007642 in the amount of $100.00 for ATTORNEY ADM. FEE - PHV on behalf

of NELSON, KENNETH E.. (CSW,) (Entered: 06/08/2007)

06/08/2007 194 MOTION for Leave to Appear Pro Hac Vice Kenneth E. Nelson by Objectors Alyssa Bowser,

Janine Bowser, Ryan Bowser, Rebecca Diederich, Mark Hill, Plaintiff Colton Bowser. (Receipt

#S2007-7642) (MJM,) (Entered: 06/11/2007)

06/11/2007 193 NOTICE Objections to Settlement Agreement: (Attachments: # 1 Exhibit Logan Moshman

Moore study)(Siegel, Edward) (Entered: 06/11/2007)

06/11/2007 195 MOTION for Leave to Appear Pro Hac Vice John W. Davis (Filing fee $100) by Objector Shirley

Barnes. (MJM, ) (Entered: 06/13/2007)

06/11/2007 196 OBJECTION TO PROPOSED SETTLEMENT by Objectors Herbert Wayne Laye, Louise Gilford

Laye, Sandra Stokes, David Stokes. Associated Cases: 4:04-cv-00086-HEA,4:04-cv-00466-

HEA,4:04-cv-00467-HEA(MJM,) (Entered: 06/13/2007)

06/11/2007 197 OBJECTION TO PROPOSED SETTLEMENT by Objector Shirley Barnes. (Attachments: # 1 Exhibit

A# 2 Exhibit B)Associated Cases: 4:04-cv-00086-HEA,4:04-cv-00466-HEA,4:04-cv-00467-

HEA(MJM,) (Entered: 06/13/2007)

06/11/2007 198 CERTIFICATE OF SERVICE filed by Objector Shirley Barnes re 195 MOTION for Leave to Appear

Pro Hac Vice John W. Davis (Filing fee $100),197 Objection to Proposed Settlement. (MJM, )

(Entered: 06/13/2007)

06/13/2007 199 MOTION for Leave to Appear Pro Hac Vice Edward F. Siegel (Filing fee $100)S007-7708. by

Objector Denise Slomovitz. (CLA, ) (Entered: 06/13/2007)


of SIEGEL, EDWARD F.. (CSW,) (Entered: 06/13/2007)


of DAVIS, JOHN. (CSW,) (Entered: 06/13/2007)

06/14/2007 200 NOTICE of Change of Address filed by Leonard Komen (Komen, Leonard) (Entered:

06/14/2007)

06/18/2007 Docket Text ORDER: Re: 199 MOTION for Leave to Appear Pro Hac Vice Edward F. Siegel

(Filing fee $100)S007-7708. by Objector Denise Slomovitz. (CLA, ) filed by Denise Slomovitz, ;

ORDERED Granted, Attorney Edward F. Siegel for Denise Slomovitz and Margot Kern added.


06/18/2007 Docket Text ORDER: Re: 195 MOTION for Leave to Appear Pro Hac Vice John W. Davis (Filing

fee $100) by Objector Shirley Barnes. (MJM, ) filed by Shirley Barnes,; ORDERED Granted,

Attorney John W. Davis for Shirley Barnes added. Signed by Judge Henry E. Autrey on

6/18/07. (MJM,) (Entered: 06/18/2007)

06/18/2007 Docket Text ORDER: Re: 194 MOTION for Leave to Appear Pro Hac Vice Kenneth E. Nelson by

Objectors Alyssa Bowser, Janine Bowser, Ryan Bowser, Rebecca Diederich, Mark Hill, Plaintiff

Colton Bowser. (Receipt #S2007-7642) (MJM, ) filed by Mark Hill, Rebecca Diederich, Janine

Bowser, Ryan Bowser, Alyssa Bowser, Colton Bowser,; ORDERED SO ORDERED, Attorney

Kenneth E. Nelson added. Signed by Judge Henry E. Autrey on 6/18/07. (MJM, ) (Entered:

06/18/2007)

06/20/2007 201 MOTION to Amend/Correct Motion to Send Notice and to Amend the Settlement Schedule by



Financial Companies, The, EDJ Holding Company, Inc.. (Attachments: # 1 Exhibit A# 2 Exhibit

B# 3 Exhibit C# 4 Exhibit D# 5 Exhibit E# 6 Text of Proposed Order)(Harris, David) (Entered:

06/20/2007)

06/20/2007 202 MEMORANDUM in Support of Motion re 201 MOTION to Amend/Correct Motion to Send

Notice and to Amend the Settlement Schedule filed by Defendants John W. Bachmann,




06/20/2007 203 MOTION to Expedite Hearing on Motion to Send Notice and to Amend the Settlement

Schedule by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven


Defendants Jones Financial Companies, The, EDJ Holding Company, Inc.. (Harris, David)

(Entered: 06/20/2007)

06/22/2007 204 RESPONSE in Opposition re 203 MOTION to Expedite Hearing on Motion to Send Notice and

to Amend the Settlement Schedule filed by Consolidated Filer Plaintiff Rachel M. Enriquez.

(Attachments: # 1 Exhibit A)(Blitz, Robert) (Entered: 06/22/2007)

06/25/2007 205 REPLY to Response to Motion re 203 MOTION to Expedite Hearing on Motion to Send Notice

and to Amend the Settlement Schedule filed by Defendants John W. Bachmann, Michael R.




06/27/2007

206 RESPONSE in Opposition re 201 MOTION to Amend/Correct Motion to Send Notice and to

Amend the Settlement Schedule filed by Consolidated Filer Plaintiff Rachel M. Enriquez.

(Attachments: # 1 Text of Proposed Order)(Blitz, Robert) (Entered: 06/27/2007)

07/02/2007

207 MEMORANDUM in Support of Motion re 201 MOTION to Amend/Correct Motion to Send

Notice and to Amend the Settlement Schedule filed by Objectors Alyssa Bowser, Janine

Bowser, Ryan Bowser, Plaintiff Colton Bowser. (Kessinger, Jeffrey) (Entered: 07/02/2007)

07/02/2007 208 ORDER re: 201 203 The Motion to Send Notice is granted as provided herein and the Motion

to Expedite Hearing is denied as moot. Signed by Judge Henry E. Autrey on 7/2/07. (CEL, )

(Entered: 07/02/2007)

07/02/2007 ORDER RECEIPT: (see receipt) Mon Jul 2 14:08:59 CDT 2007 (CEL, ) (Entered: 07/02/2007)


of THOMPSON, CHARLES M. & ASSOCIATES. (CSW,) (Entered: 07/12/2007)

07/12/2007 209 VERIFIED MOTION for Admission Pro Hac Vice of Charles Medford Thompson (Filing fee $100)

by Objectors Herbert Wayne Laye, Louise Gilford Laye. (TRC) (Entered: 07/13/2007)

07/13/2007 ORDER RECEIPT: (see receipt) Fri Jul 13 10:33:13 CDT 2007 (TRC, ) (Entered: 07/13/2007)

07/13/2007

210 Joint MOTION to Amend/Correct Settlement Schedule (Stipulated) by Defendants John W.



EDJ Holding Company, Inc.. (Attachments: # 1 Exhibit A# 2 Text of Proposed Order)(Harris,

David) (Entered: 07/13/2007)

07/16/2007

211 ORDER granting 209 Motion for Leave to Appear Pro Hac Vice Charles Medford Thompson

Added Charles M. Thompson for Herbert Wayne Laye and Louise Gilford Laye Signed by Judge

Henry E. Autrey on 7/16/07. (CEL, ) (Entered: 07/17/2007)

07/17/2007 ORDER RECEIPT: (see receipt) Tue Jul 17 08:30:38 CDT 2007 (CEL, ) (Entered: 07/17/2007)

07/17/2007 212 ORDER granting 210 Motion to Amend/Correct - see order for new schedule Signed by Judge

Henry E. Autrey on 7/17/07. (CEL, ) (Entered: 07/17/2007)

07/17/2007 ORDER RECEIPT: (see receipt) Tue Jul 1716:06:15 CDT 2007 (CEL, ) (Entered: 07/17/2007)

I I

07/23/2007 213 NOTICE by Plaintiff John M. Spahn, IRA -Notice of Change of Law Firm Name: (Congress,

Jerome) (Entered: 07/23/2007)

07/25/2007 214 NOTICE by Plaintiff John M. Spahn, IRA re 213 Notice (Other) (Certificate of Service for Notice

of Change of Law Firm Name): (Congress, Jerome) (Entered: 07/25/2007)

07/27/2007 ***REMARK Order of 7/27/07 docketed in wrong case, Order deleted.*** (MJM, ) (Entered:

07/27/2007)

08/17/2007 215 OBJECTION TO THE SETTLEMENT by Objectors Ellen Goodman and Fred Yancey. Associated

Cases: 4:04-cv-00086-HEA,4:04-cv-00466-HEA,4:04-cv-00467-HEA(TRC) (Entered:

08/17/2007)

08/17/2007 ORDER RECEIPT: (see receipt) Fri Aug 17 15:08:28 CDT 2007 (TRC, ) (Entered: 08/17/2007)

09/11/2007 216 NOTICE by Plaintiff John M. Spahn, IRA Change Of Law Firm Name: (Attachments: # 1

Certificate of Service)(Perkins, Marshall) (Entered: 09/11/2007)

10/09/2007 217 MOTION for Leave to File in Excess of Page Limitation for Memorandum of Law in Support of

Final Approval of the Settlement and in Opposition to Objections by Defendants John W.



EDJ Holding Company, Inc.. (Harris, David) (Entered: 10/09/2007)

10/09/2007 218 MEMORANDUM of Law in Support of Final Approval of the Settlement and in Opposition to

Objections by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven



Affidavit Rodney Bahr# 2 Affidavit Mary Berry)(Harris, David) (Entered: 10/09/2007)

10/09/2007 219 MOTION for Leave to file over-length brief by Consolidated Filer Plaintiff Robert D. Blitz. (Blitz,


10/09/2007 220 MOTION for Attorney Fees by Consolidated Filer Plaintiff Robert D. Blitz. (Attachments: # 1

Appendix A# 2 Appendix B)(Blitz, Robert) (Entered: 10/09/2007)

10/09/2007 221 DECLARATION filed by Consolidated Filer Plaintiff Robert D. Blitz Joint Declaration of Zevin,

Glancy, and Acocelli. (Blitz, Robert) (Entered: 10/09/2007)

10/09/2007 222 DECLARATION filed by Consolidated Filer Plaintiff Robert D. Blitz Declaration of Julia Sun.

(Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4 Exhibit D# 5 Exhibit E)(Blitz, Robert)

(Entered: 10/09/2007)

10/09/2007 223 DECLARATION filed by Consolidated Filer Plaintiff Robert D. Blitz Declaration of Keith Johnson.

(Attachments: # 1 Exhibit A-1# 2Exhibit A-2 # 3 Exhibit A-3# 4 Exhibit B# 5 Exhibit C)(Blitz,

Robert) Modified on 10/10/2007 (CEL, ). (Entered: 10/09/2007)

10/09/2007 224 DECLARATION filed by Consolidated Filer Plaintiff Robert D. Blitz Declaration of McFarland.

(Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C# 4 Exhibit D# 5 Exhibit E# 6 Exhibit F# 7

Exhibit G# 8 Exhibit H# 9 Exhibit I# 10 Exhibit J# 11 Exhibit K# 12 Exhibit L# 13 Exhibit M# 14

Exhibit N# 15 Exhibit O# 16 Exhibit P# 17 Exhibit Q# 18 Exhibit R# 19 Exhibit S# 20 Exhibit T#

21 Exhibit U# 22 Exhibit V# 23 Exhibit W# 24 Exhibit X)(Blitz, Robert) (Entered: 10/09/2007)

10/09/2007 225 MEMORANDUM Lead Plaintiffs' Memorandum of Law in Response to Objections and in

Further Support of Final Approval of Settlement by Consolidated Filer Plaintiff Robert D. Blitz.

(Blitz, Robert) (Entered: 10/09/2007)

10/09/2007 226 MEMORANDUM Lead Plaintiffs' Memorandum of Points and Authorities in Support of Final

Approval of Class Action Settlement, Final Approval of Plan of Allocation of Settlement

Proceeds; and Certification of the Purchaser Settlement Class by Consolidated Filer Plaintiff

Robert D. Blitz. (Blitz, Robert) (Entered: 10/09/2007)

10/10/2007 227 MEMORANDUM Certificate of Service by Consolidated Filer Plaintiff Robert D. Blitz. (Blitz,


10/11/2007 Docket Text ORDER: Re: 217 MOTION for Leave to File in Excess of Page Limitation for

Memorandum of Law in Support of Final Approval of the Settlement and in Opposition to

Objections by Defendants; 219 MOTION for Leave to file over-length brief by Consolidated

Filer Plaintiff; ORDERED GRANTED HEA. Signed by Judge Henry E. Autrey on 10/11/07. (CLA, )

(Entered: 10/12/2007)

10/16/2007 228 MEMORANDUM re 225 Memorandum Reply to Lead Plaintiffs' Memorandum in Response to

Objections by Objectors Alyssa Bowser, Janine Bowser, Ryan Bowser, Plaintiff Colton Bowser.

(Attachments: # 1 Exhibit B# 2 Exhibit C# 3 Exhibit D# 4 Exhibit E# 5 Exhibit F# 6 Exhibit G# 7

Exhibit H# 8 Exhibit I# 9 Exhibit J# 10 Exhibit K# 11 Exhibit L# 12 Exhibit M# 13 Exhibit N# 14

Exhibit O# 15 Exhibit P# 16 Exhibit Q# 17 Exhibit R# 18 Exhibit S)(Kessinger, Jeffrey) (Entered:

10/16/2007)

10/17/2007 229 STIPULATION Proposed Final Judgment and Order of Dismissal by Consolidated Filer Plaintiff

Robert D. Blitz. (Blitz, Robert) (Entered: 10/17/2007)


of LOZANO, RICHARD R.. (CSW,) (Entered: 10/17/2007)

10/17/2007 1 230 MOTION for Leave to Appear Pro Hac Vice Richard R. Lozano by Objectors Shirley Barnes,

Herbert Wayne Laye, Louise Gilford Laye, Sandra Stokes, David Stokes. (MJM, ) (Entered:

10/18/2007)

10/18/2007 Docket Text ORDER: Re: 230 MOTION for Leave to Appear Pro Hac Vice Richard R. Lozano by

Objectors Shirley Barnes, Herbert Wayne Laye, Louise Gilford Laye, Sandra Stokes, David

Stokes. (MJM, ) filed by Shirley Barnes,, Herbert Wayne Laye,, Louise Gilford Laye,, Sandra

Stokes,, David Stokes,; ORDERED SO ORDERED. Signed by Judge Henry E. Autrey on 10/18/07.

(CLA, ) (Entered: 10/18/2007)

10/18/2007 ORDER RECEIPT: (see receipt) Thu Oct 18 12:18:09 CDT 2007 (CLA, ) (Entered: 10/18/2007)

10/18/2007 231 Minute Entry for proceedings held before Judge Henry E. Autrey: Settlement Conference held

on 10/18/2007. Heard; argued; taken under submission. (Court Reporter or FTR Gold

Operator initials:Angie Daley.) (FTR Gold yes or no: no.) (proceedings started: 10:10.)

(proceedings ended: 12:00.) Associated Cases: 4:04-cv-00086-HEA,4:04-cv-00466-HEA,4:04-

cv-00467-HEA(CLA, ) (Entered: 10/18/2007)

10/25/2007 232 ORDER The Objections filed with respect to the Proposed Class Action Settlement are

overruled. A separate order as to the proposed settlement will be forthcoming. Signed by


10/25/2007 ORDER RECEIPT: (see receipt) Thu Oct 25 15:44:20 CDT 2007 (MJM, ) (Entered: 10/25/2007)

10/25/2007 233 FINAL JUDGMENT AND ORDER OF DISMISSAL IT IS ORDERED THAT: The Court has jurisdiction

over the subject matter of the Federal Class Action, the Purchaser Settlement Class

Representatives, all Purchaser Settlement Class Members, and the Defendants. [SEE ORDER

FOR DETAILS] . Signed by Judge Henry E. Autrey on 10/25/07. (MJM, ) Additional

attachment(s) added on 10/26/2007 pursuant to 234 (TRC). (Entered: 10/25/2007)

10/25/2007 ORDER RECEIPT: (see receipt) Thu Oct 25 15:51:16 CDT 2007 (MJM, ) (Entered: 10/25/2007)

10/26/2007 234 ORDER: This matter is before the Court on its own motion. Exhibit 1 was indavertently

omitted from the Court's Order of October 25, 2007. Accordingly, the Clerk of the Court is

ordered to attach Exhibit 1, which is also Exhibit A Rodney Bahr's Afidavit (Exhibit 1 to 218 ),

to the October 25, 2007 Order, nunc pro tunc. Signed by Judge Henry E. Autrey on 10/26/07.

(TRC) (Entered: 10/26/2007)

10/26/2007 ORDER RECEIPT: (see receipt) Fri Oct 26 13:37:40 CDT 2007 (TRC, ) (Entered: 10/26/2007)

11/21/2007 236 NOTICE OF APPEAL as to 233 Judgment - (Case), Judgment - (Case) by Objector Shirley Barnes.

Filing fee $ 455. S2008-1731(CLA) (Entered: 11/26/2007)

11/23/2007 1 237 NOTICE OF APPEAL as to 233 Judgment - (Case), Judgment - (Case) by Objectors Herbert

Wayne Laye, Louise Gilford Laye, Sandra Stokes. Filing fee $ 455.(CLA) (Entered: 11/26/2007)

11/26/2007 235 NOTICE OF APPEAL by Objectors Alyssa Bowser, Janine Bowser, Ryan Bowser, Plaintiff Colton

Bowser. Filing fee $ 455, receipt number 08650000000001274528. (Entered: 11/26/2007)

11/28/2007 238 NOTIFICATION OF APPEAL AND NOA SUPPLEMENT by clerk to USCA regarding 235 Notice of

Appeal. Notice of Appeal filed on 11/26/2007 by Objectors Alyssa Bowser, Janine Bowser,

Ryan Bowser, Plaintiff Colton Bowser. NOTIFICATION TO COUNSEL AND PRO SE PARTY: FILE

REQUEST FOR TRANSCRIPT WITH DISTRICT COURT CLERKS OFFICE. SUBMIT FORM A & B TO

EIGHTH CIRCUIT CLERKS OFFICE(DLT) (Entered: 11/28/2007)


Appeal. Notice of Appeal filed on 11/21/2007 by Objector Shirley Barnes. NOTIFICATION TO

COUNSEL AND PRO SE PARTY: FILE REQUEST FOR TRANSCRIPT WITH DISTRICT COURT CLERKS

OFFICE. SUBMIT FORM A & B TO EIGHTH CIRCUIT CLERKS OFFICE(DLT) (DLT). (Entered:

11/28/2007)


Appeal. Notice of Appeal filed on 11/23/2007 by Objector Herbert Wayne Laye.

NOTIFICATION TO COUNSEL AND PRO SE PARTY: FILE REQUEST FOR TRANSCRIPT WITH

DISTRICT COURT CLERKS OFFICE. SUBMIT FORM A & B TO EIGHTH CIRCUIT CLERKS

OFFICE(DLT) (Entered: 11/28/2007)

12/07/2007 241 STIPULATION re: Dismissal of Appeals by Consolidated Filer Plaintiffs Rebecca Diederich, Mark

Hill, Janine Bowser, Ryan Bowser, Alyssa Bowser, Colton Bowser, Denise Slomovitz, Margo

Kern, Sandra Stokes, Herbert Wayne Laye, Louise Gilford Laye, and Shirley Barns and

Defendants Edward D. Jones & Co. LP, The Jones Financial Companies, LLLP, and EDJ Holding

Company, Inc. (Blitz, Robert) Modified text to add filers on 12/10/2007 (TRC). (Entered:

12/07/2007)

12/10/2007 Docket Text ORDER: STIPULATION RE: DISMISSAL OF APPEALS. Filed by appellants.SO

ORDERED HEA. Signed by Honorable Henry E. Autrey on 12/10/07. (CLA) (Entered:

12/11/2007)

12/11/2007 ORDER RECEIPT: (see receipt) Tue Dec 1110:57:03 CST 2007 (Abrams, Carrie) (Entered:

12/11/2007)

12/12/2007 ***REMARK: Docket Text ORDER: filed on 12/10/2007 - STIPULATION RE: DISMISSAL OF

APPEALS, and document 241 forwarded to the U.S.C.A. (DLT) (Entered: 12/12/2007)

02/19/2008 242 Letter to Court from pltff. Re:status of case. Copy of docket sheet mailed. (CLA) (Entered:

I I ^

02/20/2008)

03/24/2008 243 Letter to Clerk of Court from Stanley N. Staples Re: Change of Address (TRC) (Entered:

04/02/2008)





05/14/2008 245 MOTION for Order to Show Cause Why the Settlement Class Injunction Should Not Apply to

the Attorney General of the State of California by Defendants John W. Bachmann, Michael R.



Company, Inc.. (Attachments: # 1 Text of Proposed Order)(Harris, David) (Entered:

05/14/2008)

05/14/2008 246 MEMORANDUM in Support of Motion re 245 MOTION for Order to Show Cause Why the

Settlement Class Injunction Should Not Apply to the Attorney General of the State of California

filed by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik,

Darryl L. Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants

Jones Financial Companies, The, EDJ Holding Company, Inc.. (Attachments: # 1 Exhibit A, # 2

Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Harris, David) (Entered: 05/14/2008)

05/14/2008 247 MOTION to Expedite Hearing on Motion to Show Cause by Defendants John W. Bachmann,




05/15/2008 Docket Text ORDER: Re: 244 MOTION for Leave to File in Excess of Page Limitation by



Financial Companies, The, EDJ Holding Company, Inc.. (Harris, David) filed by Steven Novik,

John W. Bachmann, Richie L. Malone, Jones Financial Companies, The, Darryl L. Pope, Edward

D. Jones & Co., L.P., Michael R. Holmes, EDJ Holding Company, Inc., Robert Virgil, Jr.;

ORDERED Leave To File Is Granted. Signed by Honorable Henry E. Autrey on 5/15/08. (MJM)

(Entered: 05/15/2008)

05/15/2008 ORDER RECEIPT: (see receipt) Thu May 15 16:29:54 CDT 2008 (Mosley, Misty) (Entered:

05/15/2008)

05/22/2008 248 Verified MOTION for Admission Pro Hac Vice of Xianchun J. Vendler (Filing fee $100) for

Edmund G. Brown Jr. (TRC) (Entered: 05/23/2008)

05/22/2008 249 Verified MOTION for Admission Pro Hac Vice of Jon Morris Ichinaga (Filing fee $100) by

Objector Edmund G. Brown, Jr. (TRC) (Entered: 05/23/2008)

05/23/2008 Docket Text ORDER: Re: 248 Verified MOTION for Admission Pro Hac Vice of Xianchun J.

Vendler (Filing fee $100) for Edmund G. Brown Jr. (TRC) filed by Edmund G. Brown, Jr.;

ORDERED : SO ORDERED. Signed by Honorable Henry E. Autrey on 5/23/08. (CEL) (Entered:

05/27/2008)

05/23/2008 Docket Text ORDER: Re: 249 Verified MOTION for Admission Pro Hac Vice of Jon Morris

Ichinaga (Filing fee $100) by Objector Edmund G. Brown, Jr. (TRC) filed by Edmund G. Brown,

Jr.; ORDERED : SO ORDERED. Signed by Honorable Henry E. Autrey on 5/23/08. (CEL)

(Entered: 05/27/2008)

05/23/2008 Receipt # S2008-006642 in the amount of $100.00 for PRO HAC VICE on behalf of ICHINAGO,

JON MORRIS (TRC) (Entered: 05/29/2008)

05/23/2008 Receipt # S2008-006642 in the amount of $100.00 for PRO HAC VICE on behalf of VENDLER,

XIANCHUM J. (TRC) (Entered: 05/29/2008)

05/27/2008 ORDER RECEIPT: (see receipt) Tue May 2713:35:08 CDT 2008 (Lippold, Carrie) (Entered:

05/27/2008)

05/27/2008 ORDER RECEIPT: (see receipt) Tue May 2713:36:30 CDT 2008 (Lippold, Carrie) (Entered:

05/27/2008)

05/27/2008 250 MOTION to Dismiss for Lack of Jurisdiction. (Attachments: # 1 Exhibit 1 (Motion for Summary

Judgment), # 2 Exhibit 2 Memorandum of Law)(Ichinaga, Jon) (Entered: 05/27/2008)

06/05/2008 251 MEMORANDUM in Opposition re 250 MOTION to Dismiss for Lack of Jurisdiction filed by




06/10/2008 252 REPLY to Response to Motion re 250 MOTION to Dismiss for Lack of Jurisdiction filed by

miscellaneous Edmund G Brown. (Vendler, Xianchun) (Entered: 06/10/2008)

06/13/2008 253 Verified MOTION for Admission Pro Hac Vice of Irene K. Tamura (Filing fee $100) by Objector

Edmund G. Brown, Jr. (TRC) (Entered: 06/16/2008)

06/13/2008 Receipt 4644000836 in the amount of $100.00 for PRO HAC VICE on behalf of IRENE K.

TAMURA (CCAM) (Entered: 06/17/2008)

06/17/2008 Docket Text ORDER: Re: 253 Verified MOTION for Admission Pro Hac Vice of Irene K. Tamura

(Filing fee $100) by Objector Edmund G. Brown, Jr. (TRC) filed by Edmund G. Brown, Jr.;

ORDERED SO ORDERED HEA. Signed by Honorable Henry E. Autrey on 6/17/08. (CLA)

(Entered: 06/18/2008)

06/19/2008 254 ORDER IT IS HEREBY ORDERED that a hearing on all pending motions is set for Wednesday,

July 2, 2008, at 10:45 a.m. Motion Hearing set for 7/2/200810:45 AM in Courtroom 10N

before Honorable Henry E. Autrey. Signed by Honorable Henry E. Autrey on 6/19/08. (MJM)

(Entered: 06/19/2008)

06/19/2008 ORDER RECEIPT: (see receipt) Thu Jun 19 11:11:23 CDT 2008 (Mosley, Misty) (Entered:

06/19/2008)

06/27/2008 255 ORDER: ORDERED that the hearing on all pending motions previously set forWednesday, July

2, 2008, is reset to Friday, August 8, 2008, at 10:30 a.m. Motion Hearing set for 8/8/2008

10:30 AM in Courtroom 10N before Honorable Henry E. Autrey.. Signed by Honorable Henry

E. Autrey on 6/27/08. (CEL) (Entered: 06/27/2008)

06/27/2008 ORDER RECEIPT: (see receipt) Fri Jun 2712:06:05 CDT 2008 (Lippold, Carrie) (Entered:

06/27/2008)

07/14/2008 256 Letter to USDC EDMO from Bruce Graham Re: Notice of Case Settlement (MJM) (Entered:

07/14/2008)

08/07/2008 257 MOTION for Leave to File Sur-Reply in Opposition to Motion to Dismiss for Lack of Jurisdiction

by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone, Steven Novik, Darryl

L. Pope, Robert Virgil, Jr, Edward D. Jones & Co., L.P., Consolidated Filer Defendants Jones

Financial Companies, The, EDJ Holding Company, Inc.. (Attachments: # 1 Exhibit A)(Harris,

David) (Entered: 08/07/2008)

08/07/2008 258 RESPONSE to Motion re (257 in 4:04-cv-00086-HEA) MOTION for Leave to File Sur-Reply in

Opposition to Motion to Dismiss for Lack of Jurisdiction filed by miscellaneous Edmund G

Brown. Associated Cases: 4:04-cv-00086-HEA, 4:04-cv-00466-HEA, 4:04-cv-00467-

HEA(Ichinaga, Jon) (Entered: 08/07/2008)

08/08/2008 259 Minute Entry for proceedings held before Honorable Henry E. Autrey: In Court Hearing held

on 8/8/2008. Mtn. hrg.; arguments heard; Doc. #245 and #250 taken under submission; Doc.

#257 is denied HEA. (Court Reporter or FTR Gold Operator initials:A. D..) (FTR Gold yes or no:

no.) (CLA) (Entered: 08/08/2008)

08/08/2008 Docket Text ORDER: Re: 257 MOTION for Leave to File Sur-Reply in Opposition to Motion to

Dismiss for Lack of Jurisdiction by Defendants; ORDERED DENIED. Signed by Honorable Henry

E. Autrey on 8/8/08. (CLA) (Entered: 08/08/2008)

09/03/2008 260 Consent MOTION to Withdraw 245 MOTION for Order to Show Cause Why the Settlement

Class Injunction Should Not Apply to the Attorney General of the State of California by



Financial Companies, The, EDJ Holding Company, Inc.. (Niemeier, David) (Entered:

09/03/2008)

09/03/2008 261 TRANSCRIPT procedings of Motion Hearing held on 8/8/08 before Judge Henry E. Autrey.

Court Reporter A. Daley. (CEL) (Entered: 09/03/2008)

09/03/2008 Docket Text ORDER: Re: 260 Consent MOTION to Withdraw 245 MOTION for Order to Show

Cause Why the Settlement Class Injunction Should Not Apply to the Attorney General of the

State of California by Defendants John W. Bachmann, Michael R. Holmes, Richie L. Malone,


Defendants Jones Financial Companies, The, EDJ Holding Company, Inc.. (Niemeier, David)

filed by Steven Novik, John W. Bachmann, Richie L. Malone, Jones Financial Companies, The,

Darryl L. Pope, Edward D. Jones & Co., L.P., Michael R. Holmes, EDJ Holding Company, Inc.,

Robert Virgil, Jr.; ORDERED GRANTED. Signed by Honorable Henry E. Autrey on 9/3/08. (TRC)

(Entered: 09/04/2008)

09/03/2008 ORDER withdrawing 245 Motion for Order to Show Cause. Signed by Honorable Henry E.

Autrey on 9/3/08. (Copy of order forwarded to non-ecf attorneys) (TRC) (Entered:

09/04/2008)

09/03/2008 ORDER finding as moot 250 Motion to Dismiss for Lack of Jurisdiction. Signed by Honorable

Henry E. Autrey on 9/3/08. (copy forwarded to non-ecf attorneys) (TRC) (Entered:

09/04/2008)

09/04/2008 ORDER RECEIPT: (see receipt) Thu Sep 414:09:38 CDT 2008 (Christopher, Timothy) (Entered:

09/04/2008)

09/16/2008 262 Mail Returned as Undeliverable. Mail sent to David Boies III Docket Text Order dated 9/3/08.

(TRC) (Entered: 09/16/2008)

02/23/2009 263 Letter to Edward Jones from Eldon L. Gilbert Re: Settlement Check (copy of letter forwarded

to David Harris per Chambers' instructions) (TRC) (Entered: 02/26/2009)

07/22/2009 265 Letter to Clerk (via fax) from Eddie Sebastian Re:case information (CSR) (Entered:

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08/04/2009)

07/27/2009 264 Letter to Clerk from Sue C. Campbell Re:Case (CSR) (Entered: 07/27/2009)

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