Pennsylvania Eastern District Court
Judge:Joseph F Leeson, Jr
Case #: 5:18-cv-01826
Nature of Suit850 Other Statutes - Securities/Commodities/Exchange
Cause15:78m(a) Securities Exchange Act
Case Filed:May 01, 2018
Terminated:Aug 08, 2019
Last checked: Sunday Oct 28, 2018 5:26 AM EDT
Defendant
KATHERINE FLOUTON
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
LISA LAFOND
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
ALEX MARKOWITS
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
MHC SECURITIES, LLC
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
RYAN MORFIN
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
PKS HOLDINGS, LLC
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
DAVID PURCELL
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
J. PETER PURCELL
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
PURSHE KAPLAN STERLING INVESTMENTS, INC.
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
PETER SHEEHAN
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Defendant
WENTWORTH MANAGEMENT, LLC
Represented By
STEPHANIE JILL PEET
Jackson Lewis P.C.
contact info
Plaintiff
TONI CAIAZZO NEFF
Represented By
JAMES PATRICK GRIFFIN
Derek Smith Law Group, PLLC
contact info


Docket last updated: 11/26/2020 11:59 PM EST
Monday, September 09, 2019
25 25 1 pgs motion Withdraw as Attorney Mon 09/09 9:07 PM
First MOTION to Withdraw as Attorney filed by TONI CAIAZZO NEFF..(SMITH, CATHERINE)
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Friday, August 09, 2019
24 24 1 pgs order Order Fri 08/09 4:41 PM
ORDER THAT PLAINTIFFS MOTION FOR LEAVE TO FILE AMENDED COMPLAINT, ECF NO.21 , IS DENIED AS MOOT. SIGNED BY HONORABLE JOSEPH F. LEESON, JR ON 8/9/19. 8/9/19 ENTERED AND COPIES E-MAILED.(mas, )
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Thursday, August 08, 2019
23 23 1 pgs order Memorandum and/or Opinion Order Thu 08/08 2:43 PM
ORDER THAT DEFENDANTS12 MOTION TO DISMISS UNDER RULE 12(B)(2) IS GRANTED WITH RESPECT TO DEFENDANTS PKS HOLDINGS, LLC; MHC SECURITIES, LLC; WENTWORTH MANAGEMENT, LLC; J. PETER PURCELL; DAVID PURCELL; LISA LAFOND; PETER SHEEHAN; ALEX MARKOWITS; AND RYAN MORFIN, AND PLAINTIFFS CLAIMS ARE DISMISSED WITH RESPECT TO THOSE DEFENDANTS. DEFENDANTS MOTION TO DISMISS UNDER RULE 12(B)(6) IS GRANTED WITH RESPECT TO DEFENDANTS PURSHE KAPLAN STERLING INVESTMENTS, INC. AND KATHERINE FLOUTON. PLAINTIFFS AMENDED COMPLAINT IS DISMISSED WITH PREJUDICE. THIS CASE IS CLOSED. SIGNED BY HONORABLE JOSEPH F. LEESON, JR ON 8/8/19. 8/8/19 ENTERED AND COPIES E-MAILED.(mas, )
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22 22 28 pgs order Memorandum and/or Opinion Thu 08/08 2:40 PM
OPINION. SIGNED BY HONORABLE JOSEPH F. LEESON, JR ON 8/8/19. 8/8/19 ENTERED AND COPIES E-MAILED.(mas, )
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Wednesday, August 07, 2019
21 21 motion Leave to File Document Wed 08/07 5:14 PM
MOTION for Leave to File Second Amended Complaint filed by TONI CAIAZZO NEFF.Memorandum, Certificate of Service.(TUMOLO, LOUIS)
Related: [-]
Att: 1 Memorandum of Law in Support of Plaintiff's Motion For Leave to File Second Amended Complaint,
Att: 2 Text of Proposed Order,
Att: 3 Certificate of Service of Plaintiff's Motion For Leave to File Second Amended Complaint
Wednesday, July 31, 2019
20 20 notice Notice of Appearance Wed 07/31 1:40 PM
NOTICE of Appearance by LANE R. JUBB, JR on behalf of TONI CAIAZZO NEFF with Certificate of Service(JUBB, LANE)
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Att: 1 Certificate of Service
19 19 notice Notice of Appearance Wed 07/31 1:31 PM
NOTICE of Appearance by LOUIS TUMOLO on behalf of TONI CAIAZZO NEFF with Certificate of Service(TUMOLO, LOUIS)
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Att: 1 Certificate of Service
Thursday, March 28, 2019
18 18 1 pgs motion Appear Thu 03/28 10:39 AM
First MOTION for Leave to Appear Entry of Appearance on behalf of the Plaintiff filed by TONI CAIAZZO NEFF.Entry of Appearance.(SMITH, CATHERINE)
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Friday, March 08, 2019
17 17 notice Notice of Withdrawal of Appearance Fri 03/08 12:34 PM
NOTICE of Withdrawal of Appearance by JAMES PATRICK GRIFFIN on behalf of TONI CAIAZZO NEFF(GRIFFIN, JAMES)
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16 16 notice Notice of Appearance Fri 03/08 12:06 PM
NOTICE of Appearance by SAMUEL C. WILSON on behalf of TONI CAIAZZO NEFF (WILSON, SAMUEL)
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Friday, October 19, 2018
15 15 3 pgs misc Statement Fri 10/19 6:14 PM
Statement RULE 7.1 CORPORATE DISCLOSURE STATEMENT by MHC SECURITIES, LLC, PKS HOLDINGS, LLC, PURSHE KAPLAN STERLING INVESTMENTS, INC., WENTWORTH MANAGEMENT, LLC. (PEET, STEPHANIE)
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14 14 11 pgs respm Reply to Response to Motion Fri 10/19 6:06 PM
REPLY to Response to Motion re12 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM MOTION to Dismiss for Lack of Jurisdiction filed by KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN, WENTWORTH MANAGEMENT, LLC. (PEET, STEPHANIE)
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discov Disclosure Statement Form 7.1 (COURT ONLY) Mon 10/22 3:16 PM
Disclosure Statement Form pursuant to FRCP 7.1 Identifying Corporate Parent PKS HOLDINGS, LLC. for PURSHE KAPLAN STERLING INVESTMENTS, INC.; Corporate Parent WENTWORTH MANAGEMENT, LLC. for PKS HOLDINGS, LLC. with CERTIFICATE OF SERVICE by MHC SECURITIES, LLC, PKS HOLDINGS, LLC, PURSHE KAPLAN STERLING INVESTMENTS, INC., WENTWORTH MANAGEMENT, LLC. (SEE DOCUMENT15 FOR ORIGINAL AND PDF)(afm, )
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Friday, October 12, 2018
13 13 respm Response in Opposition to Motion Fri 10/12 4:29 PM
RESPONSE in Opposition re12 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM MOTION to Dismiss for Lack of Jurisdiction filed by TONI CAIAZZO NEFF.(GRIFFIN, JAMES)
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Att: 1 Memorandum Memorandum of Law,
Att: 2 Text of Proposed Order Proposed Order
Friday, September 28, 2018
12 12 motion Dismiss for Failure to State a Claim Dismiss/Lack of Jurisdiction Fri 09/28 6:44 PM
MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM , MOTION to Dismiss for Lack of Jurisdiction filed by KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN, WENTWORTH MANAGEMENT, LLC.Memorandum, Certificate of Service.(PEET, STEPHANIE)
Related: [-]
Att: 1 18 pgs Memorandum of Law,
Att: 2 Text of Proposed Order
Wednesday, September 19, 2018
11 11 1 pgs order Order on Motion to Dismiss for Failure to State a Claim Order on Motion to Dismiss/Lack of Jurisdiction Thu 09/20 10:35 AM
ORDER THAT THE MOTION TO DISMISS, ECF NO.7 , IS DENIED AS MOOT. SIGNED BY HONORABLE JOSEPH F. LEESON, JR ON 9/18/18.9/20/18 ENTERED AND COPIES E-MAILED.(mas, )
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Friday, September 14, 2018
10 10 21 pgs cmp Amended Complaint Mon 09/17 12:47 PM
First Amended Complaint against KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN and WENTWORTH MANAGEMENT, LLC filed by TONI CAIAZZO NEFF.(mbh, )
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Friday, September 07, 2018
9 9 1 pgs notice Notice (Other) Fri 09/07 3:52 PM
NOTICE by TONI CAIAZZO NEFF OF INTENT TO FILE AMENDED COMPLAINT (GRIFFIN, JAMES)
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Friday, August 24, 2018
8 8 16 pgs respm Memorandum Fri 08/24 5:54 PM
Memorandum of Law in Support of Motion to Dismiss re7 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM MOTION to Dismiss for Lack of Jurisdiction filed by KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN, WENTWORTH MANAGEMENT, LLC. (PEET, STEPHANIE)
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Friday, August 17, 2018
7 7 3 pgs motion Dismiss for Failure to State a Claim Dismiss/Lack of Jurisdiction Fri 08/17 5:20 PM
MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM , MOTION to Dismiss for Lack of Jurisdiction filed by KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN, WENTWORTH MANAGEMENT, LLC.Certificate of Service, Memorandum.(PEET, STEPHANIE)
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Att: 1 5 pgs Memorandum Defs' Summary of Grounds for Motion to Dismiss,
Att: 2 Text of Proposed Order Proposed Order
Monday, August 13, 2018
6 6 1 pgs order Order ~Util - Set Deadlines Tue 08/14 10:50 AM
ORDER THAT THE STIPULATION IS APPROVED AND GRANTED IN PART AND DISAPPROVED AND DENIED IN PART; AND DEFENDANTS DEADLINE TO FILE AN ANSWER TO PLAINTIFFS COMPLAINT, ONLY, AND FOR NO OTHER PURPOSE, IS EXTENDED THROUGH AND INCLUDING AUGUST 31, 2018. SIGNED BY HONORABLE JOSEPH F. LEESON, JR ON 8/13/18. 8/14/18 ENTERED AND COPIES E-MAILED.(mas, )
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Thursday, August 09, 2018
5 5 notice Notice of Appearance Thu 08/09 9:33 AM
NOTICE of Appearance by STEPHANIE JILL PEET on behalf of KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN, WENTWORTH MANAGEMENT, LLC with Certificate of Service(PEET, STEPHANIE)
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Wednesday, July 11, 2018
4 4 service Waiver of Service Executed Wed 07/11 2:41 PM
WAIVER OF SERVICE Returned Executed by TONI CAIAZZO NEFF. All Defendants. (GRIFFIN, JAMES)
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Thursday, July 05, 2018
3 3 notice Notice (Other) Thu 07/05 4:35 PM
NOTICE: No Proof of Service on Docket. (er, )
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Thursday, May 03, 2018
2 2 2 pgs order Order Fri 05/04 1:31 PM
ORDER THAT COUNSEL FOR PLAINTIFF[S] MUST SERVE THIS ORDER ON EVERY PARTY TO THIS CASE IMMEDIATELY AFTER THE PARTYS FIRST APPEARANCE, UNLESS THIS CASE WAS REMOVED FROM STATE COURT, IN WHICH CASE THIS RESPONSIBILITY FALLS ON COUNSEL FOR THE PARTY WHO REMOVED THE CASE; ETC. AS HEREIN. SIGNED BY HONORABLE JOSEPH F. LEESON, JR ON 5/3/18. 5/4/18 ENTERED AND COPIES E-MAILED.(mas, )
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Tuesday, May 01, 2018
1 1 20 pgs cmp Complaint Wed 05/02 8:52 AM
COMPLAINT against KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN, WENTWORTH MANAGEMENT, LLC ( Filing fee $ 400 receipt number 177644.), filed by TONI CAIAZZO NEFF.(ahf)
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Att: 1 Civil Cover Sheets
service Summons Issued Wed 05/02 8:55 AM
Summons Issued as to KATHERINE FLOUTON, LISA LAFOND, ALEX MARKOWITS, MHC SECURITIES, LLC, RYAN MORFIN, PKS HOLDINGS, LLC, DAVID PURCELL, J. PETER PURCELL, PURSHE KAPLAN STERLING INVESTMENTS, INC., PETER SHEEHAN, WENTWORTH MANAGEMENT, LLC. 11 Forwarded To: Counsel on 5/2/2018 (ahf)
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misc Jury Demand Wed 05/02 8:56 AM
DEMAND for Trial by Jury by TONI CAIAZZO NEFF. (ahf)
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