NEFF v. PKS HOLDINGS, LLC et al
| Pennsylvania Eastern District Court | |
| Judge: | Joseph F Leeson, Jr |
| Case #: | 5:18-cv-01826 |
| Nature of Suit | 850 Other Statutes - Securities/Commodities/Exchange |
| Cause | 15:78m(a) Securities Exchange Act |
| Case Filed: | May 01, 2018 |
| Terminated: | Aug 08, 2019 |
| Last checked: Sunday Oct 28, 2018 5:26 AM EDT |
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Defendant
KATHERINE FLOUTON
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Represented By
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Defendant
LISA LAFOND
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Represented By
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Defendant
ALEX MARKOWITS
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Represented By
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Defendant
MHC SECURITIES, LLC
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Represented By
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Defendant
RYAN MORFIN
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Represented By
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Defendant
PKS HOLDINGS, LLC
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Represented By
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Defendant
DAVID PURCELL
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Represented By
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Defendant
J. PETER PURCELL
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Represented By
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Defendant
PURSHE KAPLAN STERLING INVESTMENTS, INC.
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Represented By
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Defendant
PETER SHEEHAN
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Represented By
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Defendant
WENTWORTH MANAGEMENT, LLC
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Represented By
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Plaintiff
TONI CAIAZZO NEFF
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Represented By
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GPO
Aug 08 2019
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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GPO
Aug 08 2019
ORDER THAT DEFENDANTS 12 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, ) |
| Docket last updated: 05/09/2025 11:59 PM EDT |
| 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) |
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Att: 1
Memorandum of Law in Support of Plaintiff's Motion For Leave to File Second Amended Complaint,
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Att: 2
Text of Proposed Order,
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Att: 3
Certificate of Service of Plaintiff's Motion For Leave to File Second Amended Complaint
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| 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
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| 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
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| 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 | ||
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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,
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Att: 2
Text of Proposed Order Proposed Order
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| 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) |
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Att: 1
18 pgs
Memorandum of Law,
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Att: 2
Text of Proposed Order
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| 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,
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Att: 2
Text of Proposed Order Proposed Order
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| 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
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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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