u.s. district court eastern district of wisconsin...

US District Court Civil Docket as of 01/05/2006 Retrieved from the court on Friday, January 06, 2006

U.S. District Court Eastern District of Wisconsin (Milwaukee)

CIVIL DOCKET FOR CASE #: 2:00-cv-01388-JPS

White v. Heartland High-Yield, et al Assigned to: Judge J P Stadtmueller Demand: $0 Lead case: 2:00-cv-01388-JPS Member cases: 2:00-cv-01401-JPS 2:00-cv-01404-JPS 2:00-cv-01413-JPS 2:00-cv-01419-JPS 2:00-cv-01421-JPS 2:00-cv-01424-JPS 2:00-cv-01431-JPS 2:00-cv-01443-JPS 2:00-cv-01459-JPS 2:00-cv-01460-JPS 2:00-cv-01468-JPS 2:00-cv-01471-JPS 2:00-cv-01496-JPS 2:00-cv-01498-JPS 2:00-cv-01518-JPS 2:00-cv-01539-JPS 2:00-cv-01573-JPS 2:00-cv-01594-JPS 2:01-cv-00139-JPS 2:01-cv-01004-JPS Cause: 28:1331 Fed. Question: Securities Violation

Date Filed: 10/27/2000 Jury Demand: Both Nature of Suit: 160 Stockholders Suits Jurisdiction: Federal Question

Plaintiff Joseph White represented by C Oliver Burt, III

Berman DeValerio Pease Tabacco Burt & Pucillo Esperante Bldg 222 Lakeview Ave - Ste 900 West Palm Beach, FL 33401 561-835-9400 LEAD ATTORNEY ATTORNEY TO BE NOTICED Christopher T Hale Hale & Wagner SC 205 E Wisconsin Ave - Ste 300

Milwaukee, WI 53202-4207 414-278-7000 Fax: 414-278-7590 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Janice R Forde Kevin M Forde Ltd 111 W Washington St Chicago, IL 60602 312-641-1441 LEAD ATTORNEY ATTORNEY TO BE NOTICED Julie A Richmond Berman DeValerio Pease Tabacco Burt & Pucillo Esperante Bldg 222 Lakeview Ave - Ste 900 West Palm Beach, FL 33401 561-835-9400 LEAD ATTORNEY ATTORNEY TO BE NOTICED K Scott Wagner Hale & Wagner SC 205 E Wisconsin Ave - Ste 300 Milwaukee, WI 53202-4207 414-278-7000 Fax: 414-278-7590 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Kevin M Forde Kevin M Forde Ltd 111 W Washington St Chicago, IL 60602 312-641-1441 LEAD ATTORNEY ATTORNEY TO BE NOTICED Leigh R Lasky Lasky & Rifkind Ltd 351 W Hubbard St - Ste 406 Chicago, IL 60610 312-634-0057 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Michael T Matraia Berman DeValerio Pease Tabacco Burt & Pucillo 1 Liberty Sq - 8th Fl Boston, MA 2109 617-542-8300 LEAD ATTORNEY ATTORNEY TO BE NOTICED Norman Rifkind Lasky & Rifkind Ltd 351 W Hubbard St - Ste 406 Chicago, IL 60610 312-634-0057 LEAD ATTORNEY ATTORNEY TO BE NOTICED Robert K O'Reilly Ademi & O'Reilly LLP 3620 E Layton Ave Cudahy, WI 53110 414-482-8000 Fax: 414-482-8001 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Samuel H Rudman Lerach Coughlin Stoia Geller Rudman & Robbins LLP 58 S Service Rd - Ste 200 Melville, NY 11747 631-367-7100 Fax: 631-367-1173 LEAD ATTORNEY ATTORNEY TO BE NOTICED Steven G Schulman Milberg Weiss Bershad & Schulman LLP 1 Pennsylvania Plaza - 48th Fl New York, NY 10119 212-594-5300 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Alan F Sussna Trust represented by Terry Rose Saunders Saunders & Doyle

20 S Clark St - Ste 1720 Chicago, IL 60603 312-551-0051 Fax: 312-551-4467 LEAD ATTORNEY ATTORNEY TO BE NOTICED Thomas A Doyle Saunders & Doyle 20 S Clark St - Ste 1720 Chicago, IL 60603 312-551-0051 Fax: 312-551-4467 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Mario D Mansueto represented by Terry Rose Saunders (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Thomas A Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

W Caffey Norman, III represented by Terry Rose Saunders (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Thomas A Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Defendant

Heartland High-Yield Municipal Bond Fund TERMINATED: 07/18/2002

represented by Cristina D Hernandez-Malaby Quarles & Brady LLP 411 E Wisconsin Ave - Ste 2040 Milwaukee, WI 53202-4497 414-277-5377

Fax: 414-978-8977 Email: [email protected] TERMINATED: 07/18/2002 Daniel E Conley Quarles & Brady LLP 411 E Wisconsin Ave - Ste 2040 Milwaukee, WI 53202-4497 414-277-5609 Fax: 414-271-3552 Email: [email protected] TERMINATED: 07/18/2002 Matthew J Flynn Quarles & Brady LLP 411 E Wisconsin Ave - Ste 2040 Milwaukee, WI 53202-4497 414-277-5315 Fax: 414-978-8914 Email: [email protected] TERMINATED: 07/18/2002 Michael D Cicchini Quarles & Brady 411 E Wisconsin Ave - Ste 2040 Milwaukee, WI 53202-4497 414-277-5000 TERMINATED: 07/18/2002

Defendant

Heartland Short Duration High-Yield Municipal Bond Fund TERMINATED: 07/18/2002

represented by Cristina D Hernandez-Malaby (See above for address) TERMINATED: 07/18/2002 Daniel E Conley (See above for address) TERMINATED: 07/18/2002 Matthew J Flynn (See above for address) TERMINATED: 07/18/2002 Michael D Cicchini (See above for address) TERMINATED: 07/18/2002

Defendant

Heartland Advisors Inc represented by Brian A Herman

TERMINATED: 07/18/2002 Morgan Lewis & Bockius LLP 101 Park Ave - Ste 45 New York, NY 10178 212-309-6000 TERMINATED: 07/18/2002 Catherine R Grogan Meissner Tierney Fisher & Nichols 111 E Kilbourn Ave - Ste 1900 Milwaukee, WI 53202-6611 414-273-1300 TERMINATED: 07/18/2002 Dennis L Fisher Meissner Tierney Fisher & Nichols SC 111 E Kilbourn Ave - 19th Fl Milwaukee, WI 53202-6622 414-273-1300 Fax: 414-273-5840 Email: [email protected] TERMINATED: 07/18/2002 Kevin T Rover Morgan Lewis & Bockius LLP 101 Park Ave - Ste 45 New York, NY 10178 212-309-6000 TERMINATED: 07/18/2002 Thomas J Nichols Meissner Tierney Fisher & Nichols SC 111 E Kilbourn Ave - 19th Fl Milwaukee, WI 53202-6622 414-273-1300 Fax: 414-273-5840 TERMINATED: 07/18/2002

Defendant

Thomas J Conlin TERMINATED: 07/18/2002

represented by Kevin M Flynn Kevin M Flynn & Associates 77 W Wacker Dr - Ste 4800 Chicago, IL 60601 312-456-0240 Fax: 312-444-1028 Email: [email protected] TERMINATED: 07/18/2002

Defendant

PricewaterhouseCoopers LLP represented by Barbara J Janaszek Whyte Hirschboeck Dudek SC 555 E Wells St - Ste 1900 Milwaukee, WI 53202-3819 414-273-2100 Fax: 414-223-5000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Emily Nicklin Kirkland & Ellis 200 E Randolph Dr - 60th Fl Chicago, IL 60601 LEAD ATTORNEY ATTORNEY TO BE NOTICED Jonathan E Hinkemeyer Kirkland & Ellis LLP 200 E Randolph Dr - 60th Fl Chicago, IL 60601 312-861-2272 Fax: 312-861-2200 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Jonathan E Moore Kirkland & Ellis LLP 200 E Randolph Dr - 60th Fl Chicago, IL 60601 312-861-2000 Fax: 312-861-2200 LEAD ATTORNEY ATTORNEY TO BE NOTICED Pamela M Schmidt Whyte Hirschboeck Dudek SC 555 E Wells St - Ste 1900 Milwaukee, WI 53202-3819 414-273-2100 Fax: 414-223-5000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Timothy A Duffy Kirkland & Ellis LLP 200 E Randolph Dr - 60th Fl Chicago, IL 60601

312-861-2445 Fax: 312-861-2200 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant

Heartland Group Inc represented by Cristina D Hernandez-Malaby (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Matthew J Flynn (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed # Docket Text

10/27/2000 1 COMPLAINT (Summons(es) issued); jury demand Consent Forms Distributed for Magistrate Judge William E. Callahan (eeb, ) (Entered: 10/30/2000)

10/27/2000 2 CERTIFICATE of INTEREST by plaintiff Joseph - White (eeb, ) (Entered: 10/30/2000)

10/30/2000 SUMMONS issued as to Heartland High-Yield, Heartland Short Dur, Heartland Advisors, Thomas J Conlin (tlf, )

11/15/2000 3 CONSENT to Proceed before Magistrate Judge by plaintiff Joseph - White (eeb, ) (Entered: 11/16/2000)

11/20/2000 4 STIPULATION by plaintiff and defendants that defts may have an extension of time to answer or respond to complaints to and including 12/15/00, and additional 30 day extensions thereafter, until a consolidated complaint is filed and served. (eeb, ) Modified on 11/22/2000 (Entered: 11/21/2000)

11/22/2000 5 ORDER by Mag Judge William E. Callahan Jr approving Stipulation [4-1] in Case Nos. 00-C-1388, 00-C-1401, 00-C-1419, 00-C-1421 and 00-C-1424 and extending time to 12/15/00 for defendants to respond to plaintiffs' complaints with additional 30-day extensions thereafter until a consolidated complaint is served on defendants (cc: all counsel) (tlf, ) Modified on 11/22/2000

12/04/2000 6 CONSENT to Proceed before Magistrate Judge by defendant Heartland Advisors (tlf, ) (Entered: 12/05/2000)

12/08/2000 7 REQUEST by attorney Robert L Elliott (plaintiffs' counsel in 00-C-1459, 00-C-1468, 00-C-1471) that action be taken to consolidate all of the "Heartland" cases before a single judge (tlf, )

12/15/2000 8 CONSENT to Proceed before Magistrate Judge by defendant Heartland High-Yield, defendant Heartland Short Dur (tlf, )

12/15/2000 9 ATTORNEY APPEARANCE for defendant Heartland High-Yield, defendant Heartland Short Dur by Daniel E Conley (eeb, ) (Entered: 12/20/2000)

12/22/2000 10 MOTION by Wlater Kirkbride, Michael Evans, Richard Gainey & Fionnuala Gainey for order for appointment as lead plntfs & for approval of their choice of lead counsel (djd, ) (Entered: 12/26/2000)

12/22/2000 11 BRIEF by Kirkbride, Evans, Gainey & Gainey in support of motion for order for appointment as lead plntfs & for approval of their choice of lead counsel [10-1] (djd, ) (Entered: 12/26/2000)

12/22/2000 12 AFFIDAVIT of C Oliver Burt III in Support of the Motion of Plntfs Walter Kirkbride, Michael Evans, Richard Gainey, Fionnuala Gainey for Appointment as Lead Plntfs & for Approval of Their Choice of Counsel (djd, ) (Entered: 12/26/2000)

12/22/2000 13 MOTION by plaintiffs in 00-C-1460, 00-C-1496 to consolidate "Heartland" cases and for order appointing lead plaintiffs and approving lead plaintiffs' selection of lead counsel (tlf, ) (Entered: 12/27/2000)

12/22/2000 14 BRIEF by plaintiffs in 00-C-1460, 00-C-1496 in support of motion to consolidate "Heartland" cases [13-1], of motion for order appointing lead plaintiffs and approving lead plaintiffs' selection of lead counsel [13-2] (tlf, ) (Entered: 12/27/2000)

12/22/2000 15 AFFIDAVIT of Karl L Cambronne (tlf, ) (Entered: 12/27/2000)

12/22/2000 16 MOTION by plaintiffs in 00-C-1468, 00-C-1443, 00-C-1498 to consolidate "Heartland" cases (tlf, ) (Entered: 12/27/2000)

12/22/2000 17 BRIEF by plaintiffs in 00-C-1468, 00-C-1443, 00-C-1498 in support of motion to consolidate "Heartland" cases [16-1] (tlf, ) (Entered: 12/27/2000)

12/26/2000 18 MOTION by plaintiff John Raney (00-C-1421) to extend time for filing lead plaintiff motion (tlf, ) (Entered: 12/27/2000)

12/26/2000 19 BRIEF by plaintiff John Raney (00-C-1421) in support of motion to extend time for filing lead plaintiff motion [18-1] (tlf, ) (Entered: 12/27/2000)

12/26/2000 20 CERTIFICATE OF SERVICE by plaintiff John Raney (00-C-1421) (tlf, ) (Entered: 12/27/2000)

12/26/2000 21 MOTION by plaintiff Joseph White, class members Mark Poblocki, Chet and Judy Heyberger (the "Poblocki" group) to consolidate "Heartland" cases and for order appointing the "Poblocki" group lead plaintiff and approving selection of lead/liason counsel (tlf, ) (Entered: 12/27/2000)

12/26/2000 22 BRIEF by the "Poblocki" group in support of motion to consolidate "Heartland" cases [21-1], of motion for order appointing the "Poblocki" group lead plaintiff and approving selection of lead/liason counsel [21-2] (tlf, ) (Entered: 12/27/2000)

12/26/2000 23 DECLARATION of Peter E Seidman (tlf, ) (Entered: 12/27/2000)

12/26/2000 24 CERTIFICATE OF SERVICE by the "Poblocki" group (tlf, ) (Entered: 12/27/2000)

12/26/2000 25 MOTION by Weebetook Investments Ltd, Robert H Kanner, Brian C Pennington, Jeffrey G Smyser, John D Viener (the "Weebetook" group) for appointment as lead plaintiff and approval of selection of lead counsel (tlf, ) Modified on 12/27/2000 (Entered: 12/27/2000)

12/26/2000 26 BRIEF by the "Weebetook" group in support of motion for appointment as lead plaintiff and approval of selection of lead counsel [25-1] (tlf, ) Modified on 12/27/2000 (Entered: 12/27/2000)

12/26/2000 27 DECLARATION of Lewis S Sandler (tlf, ) (Entered: 12/27/2000)

12/26/2000 28 CERTIFICATE OF SERVICE by the "Weebetook" group (tlf, ) Modified on 12/27/2000 (Entered: 12/27/2000)

12/26/2000 29 MOTION by investor Dwight Rounds to consolidate "Heartland" cases and for appointment as lead plaintiff and approval of selection of lead counsel (tlf, ) (Entered: 12/27/2000)

12/26/2000 30 BRIEF by investor Dwight Rounds in support of motion to consolidate "Heartland" cases [29-1], of motion for appointment as lead plaintiff and approval of selection of lead counsel [29-2] (tlf, ) (Entered: 12/27/2000)

12/26/2000 31 AFFIDAVIT of Stuart L Berman (tlf, ) (Entered: 12/27/2000)

12/26/2000 32 CERTIFICATE OF INTEREST by investor Dwight Rounds (tlf, ) (Entered: 12/27/2000)

12/27/2000 33 AMENDED CERTIFICATE OF SERVICE by investor Dwight Rounds (tlf, ) (Entered: 12/28/2000)

12/29/2000 34 MOTION for attorney Kevin J Kenney, attorney Dennis E Murray Jr to appear pro hac vice ; (counsel represent the Delp Group) (tlf, )

12/29/2000 35 MOTION by the Delp Group for appointment as lead plaintiffs (tlf, )

12/29/2000 36 BRIEF by the Delp Group in support of motion for appointment as lead plaintiffs [35-1] (tlf, )

12/29/2000 37 REQUEST by plaintiff John Raney (00-C-1421) to withdraw his motion for extension of time [18-1]; Raney will not move for lead plaintiff (tlf, )

01/12/2001 38 BRIEF by The Weebetook Group in opposition to other plaintiffs motions for appointment as lead plaintiffs and lead counsel [35-1], [29-2], [10-1], [13-2] (tlf, ) (Entered: 01/16/2001)

01/12/2001 40 DECLARATION OF LEWIS S SANDLER by The Weebetook Group (tlf, ) (Entered: 01/18/2001)

01/12/2001 41 CERTIFICATE OF SERVICE of The Weebetook Group (tlf, ) Modified on 01/24/2001 (Entered: 01/18/2001)

01/16/2001 39 CERTIFICATE OF SERVICE by defendant Heartland Advisors (eeb, ) (Entered: 01/17/2001)

01/16/2001 42 BRIEF by Harold N Taylor, Frank Zera, William Thorley, Bruzoe Gandhi and Lawrence Bergs (the "Taylor" plaintiffs) in opposition to motion of Walter Kirkbride, et al (plaintiffs in 00-C-1468, 00-C-1443, 00-C-1498) for order for appointment as lead plntfs & for approval of their choice of lead counsel [10-1] (tlf, ) (Entered: 01/18/2001)

01/16/2001 43 DECLARATION OF RALPH M STONE by the "Taylor" plaintiffs (tlf, ) (Entered: 01/18/2001)

01/16/2001 44 CERTIFICATE OF SERVICE by the "Taylor" plaintiffs (tlf, ) (Entered: 01/18/2001)

01/16/2001 45 ATTORNEY APPEARANCE for defendant Heartland Advisors by Kevin T Rover, Brian A Herman, Dennis L Fisher, Thomas J Nichols, Catherine A Ritterbusch (tlf, ) (Entered: 01/18/2001)

01/17/2001 46 BRIEF by The Delp Group in opposition to motions of other plaintiffs for appointment as lead plaintiff [29-2], [25-1], [21-2], [10-1], [13-2] (tlf, ) (Entered: 01/19/2001)

01/19/2001 47 BRIEF by plaintiffs Walter Kirkbride, Michael Evans, Richard Gainey, Fionnuala Gainey (00-C-1468, 00-C-1443, 00-C-1498) in opposition to competing motions for appointment as lead plaintiffs and approval of choice of lead counsel [35-1], [29-2], [25-1], [21-2], [13-2] (tlf, ) (Entered: 01/22/2001)

01/19/2001 48 BRIEF by the Warner Group (00-C-1460, 00-C-1496) in opposition to motions for appointment as lead plaintiffs and lead counsel [35-1], [29-2], [25-1], [21-2], [10-1] (tlf, ) (Entered: 01/22/2001)

01/19/2001 49 AFFIDAVIT of Karl L Cambronne (tlf, ) (Entered: 01/22/2001)

01/19/2001 50 BRIEF by the Taylor plaintiffs in opposition to motions for appointment as lead plaintiffs and lead counsel [35-1], [29-2], [25-1], [21-2], [10-1], [13-2] (tlf, ) (Entered: 01/22/2001)

01/19/2001 51 DECLARATION OF RALPH M STONE by the Taylor plaintiffs (tlf, ) (Entered: 01/22/2001)

01/19/2001 52 CERTIFICATE OF SERVICE by the Taylor plaintiffs (tlf, ) (Entered: 01/22/2001)

01/23/2001 53 ORDER by Mag Judge William E. Callahan Jr granting plaintiffs' motions to consolidate "Heartland" cases [29-1], [21-1], [16-1], [13-1] and consolidating lead case 2:00-cv-1388 with member cases 2:00-cv-1401, 2:00-cv-1404, 2:00-cv-1413, 2:00-cv-1419, 2:00-cv-1421, 2:00-cv-1424, 2:00-cv-1431, 2:00-cv-1443, 2:00-cv-1459, 2:00-cv-1460, 2:00-cv-1468, 2:00-cv-1471, 2:00-cv-1496, 2:00-cv-1498, 2:00-cv-1518, 2:00-cv-1539, 2:00-cv-1573, 2:00-cv-1594; Case randomly reassigned to Judge Rudolph T. Randa due to non-consent (cc: all counsel) (tlf, ) Modified on 01/24/2001 (Entered: 01/24/2001)

01/25/2001 54 ORDER by Judge Rudolph T. Randa that pursuant to 28 USC Section 455(a), I herewith recuse myself from participation in this case. IT IS ORDERED that this matter be returned to the Clerk of Court for reassignment to another judge. Case reassigned to Chief Judge J P Stadtmueller (cc: all counsel) (bdr, ) (Entered: 01/26/2001)

01/30/2001 55 REPLY BRIEF by plntfs Kirkbride, Evans, Gainey & Gainey in support of motion for order for appointment as lead plntfs & for approval of their choice of lead counsel [10-1] (djd, )

02/02/2001 56 Plntf Dina Larsen (00cv1471) OBJECTIONS to Consolidation Order [53-2] Pursuant to Local Rule 13.02 (djd, )

02/05/2001 57 REPLY of Warner Group to Responses of Weebetook, Kirkbride, Taylor & Delp Groups to Motions for Appointment as Lead Plntf & Selection of Lead Counsel (djd, )

02/05/2001 58 AFFIDAVIT of Vernon J Vander Weide (djd, )

02/05/2001 59 REPLY Brief of Harold Taylor, Frank Zera, William Thorley, Burzoe Ghandhi & Lawrence Bergs in Support of Their Motion for the Appointment of Lead Plntfs & Lead Counsel (djd, )

02/05/2001 60 Reply DECLARATION of Ralph M Stone in Further Support of the Taylor Plntfs' Motion for the Appointment of Lead Plntfs & Lead Counsel (djd, )

02/05/2001 61 CERTIFICATE OF SERVICE by the Taylor Plntfs (djd, )

02/05/2001 62 REPLY of Walter Kirkbride, Michael Evans, Richard Gainey & Fionnuala Gainey to the Brief in Opposition to Their Appointment as Lead Plntf & Approval of Lead Counsel Submitted by the Taylor Group & the Warner Group (djd, )

02/05/2001 63 The Weebetook Group's REPLY Brief in Support of Motion for Appointment as Lead Plntf & Lead Cousnel [25-1] (djd, ) (Entered: 02/06/2001)

02/05/2001 64 (Photocopy) Reply DECLARATION of Lewis S Sandler in Further Support of The Weebetook Group's Motion for Lead Plntf (djd, ) (Entered: 02/06/2001)

02/05/2001 65 CERTIFICATE OF SERVICE of The Weebetook Group (djd, ) (Entered: 02/06/2001)

02/08/2001 66 RETURN OF SERVICE of Hugh F. Denison Denison, service executed on 12/20/00 (eeb, ) Modified on 02/09/2001 (Entered: 02/09/2001)

02/08/2001 67 RETURN OF SERVICE of Patrick J. Retzer, service executed on 12/20/00 (eeb, ) Modified on 02/09/2001 (Entered: 02/09/2001)

02/08/2001 68 RETURN OF SERVICE of William J. Nasgovitz, service executed on 12/14/00 (eeb, ) Modified on 02/09/2001 (Entered: 02/09/2001)

02/08/2001 69 RETURN OF SERVICE executed as to defendant Heartland Short Dur served on 12/14/00 (eeb, ) Modified on 02/09/2001 (Entered: 02/09/2001)

02/08/2001 70 RETURN OF SERVICE executed as to defendant Heartland High-Yield served on 12/14/00 (eeb, ) (Entered: 02/09/2001)

02/08/2001 71 RETURN OF SERVICE executed as to defendant Heartland Advisors served on 12/14/00 (eeb, ) (Entered: 02/09/2001)

02/08/2001 72 RETURN OF SERVICE of Heartland Holdings, Inc. service executed on 12/14/00 (eeb, ) Modified on 02/09/2001 (Entered: 02/09/2001)

02/08/2001 73 RETURN OF SERVICE of Heartland Group, Inc. service executed on 12/14/00 (eeb, ) Modified on 02/09/2001 (Entered: 02/09/2001)

02/08/2001 74 REPLY DECLARATION of Lewis S Sandler in Further Support of The Weebetook Group's Motion for Lead Plntf (djd, ) (Entered: 02/09/2001)

02/13/2001 75 Brief in Opposition by defts Heartland Group, Heartland High-Yield, Heartland Short Dur, Heartland Advisors & William Nasgovitz to Plntf Larsen's Objection to Consolidation Order [56-1] (djd, ) (Entered: 02/14/2001)

02/16/2001 76 ATTORNEY APPEARANCE for defts Jon Hammes, A Gary Shilling, Allan H Stefl & Linda Stephenson (the Independent Directors) by Dennis Kelleher, Stacie Fatka (djd, ) (Entered: 02/20/2001)

02/16/2001 77 CERTIFICATE of INTEREST by Hammes, Shilling, Stefl & Stephenson (djd, ) (Entered: 02/20/2001)

02/16/2001 78 STIPULATION & ORDER by Chief Judge J P Stadtmueller: that defts (in #00cv1471) may have until 3/8/01 to answer or otherwise respond to the complaint (cc: all counsel) (djd, ) (Entered: 02/20/2001)

02/16/2001 79 JOINT REPLY BRIEF of The Taylor Plntfs & The Weebetook Plntfs in Response to the Objection of Dina B Larsen to Consolidation (djd, ) (Entered: 02/20/2001)

02/16/2001 80 DECLARATION of Robert L Gegios in Response to the Objection of Dina B Larsen to Consolidation (djd, ) (Entered: 02/20/2001)

02/16/2001 81 CERTIFICATE OF SERVICE by the Taylor & Weebetook Plntfs (djd, ) (Entered: 02/20/2001)

02/16/2001 82 MOTION by Heartland Group Inc to extend time to answer complaint until 30 days after amended consolidated complaint is filed & served (djd, ) (Entered: 02/20/2001)

02/16/2001 83 BRIEF in support of Heartland Group Inc's motion to extend time to answer complaint until 30 days after amended consolidated is filed & served [82-1] (djd, ) (Entered: 02/20/2001)

02/16/2001 84 CERTIFICATE OF MAILING by Heartland Group Inc (djd, ) (Entered: 02/20/2001)

02/20/2001 85 SUR-REPLY of Warner Group to Replies of Weebetook, Kirkbride & Taylor Groups to Motions for Appointment as Lead Plntf & Selection of Lead Counsel (djd, ) (Entered: 02/21/2001)

02/20/2001 86 2nd AFFIDAVIT of Vernon J Vander Weide (djd, ) (Entered: 02/21/2001)

02/20/2001 87 ATTORNEY APPEARANCE by Barbara Janaszek & Pamela Schmidt of Whyte Hirschboeck Dudek for deft PricewaterhouseCoopers LLP (00cv1424, 00cv1459, 00cv1460, 00cv1471) (djd, ) (Entered: 02/21/2001)

02/21/2001 88 CERTIFICATE OF MAILING by defts Heartland High-Yield, Heartland Short Dur, Heartland Advisors & William Nasgovitz (djd, ) (Entered: 02/22/2001)

02/22/2001 89 Letter RESPONSE by the Taylor Plntfs (Harold Taylor, Frank Zera, William

Thorley, Burzoe Gandhi & Lawrence Bergs) that they agree to the defts' proposed extension of the answer deadline until 30 days after an amended consolidated complaint is filed & served (djd, ) (Entered: 02/23/2001)

02/23/2001 90 BRIEF by Plntfs Kirkbride, Evans, Gainey & Gainey IN RESPONSE to the Objection of Dina B Larsen to the Consolidation Order (djd, ) (Entered: 02/26/2001)

02/23/2001 91 ORDER by Chief Judge J P Stadtmueller granting Heartland Group's motion to extend time to answer complaint until 30 days after amended consolidated complaint is filed & served [82-1] (00CV1471) (cc: all counsel) (djd, ) (Entered: 02/26/2001)

02/23/2001 92 STIPULATION & ORDER by Chief Judge J P Stadtmueller: that defts (00CV1594) have until 1/30/01 to answer to the above complaints & an additional 30 day extension thereafter until a consolidated complaint is served upon the defts. At that time they will have 30 days to answer/respond to the consolidated complaint (cc: all counsel) (djd, ) (Entered: 02/26/2001)

02/23/2001 93 STIPULATION & ORDER by Chief Judge J P Stadtmueller : that defts (00CV1573) have until 1/15/01 to answer the above complaints & an additional 30 day extension thereafter until a consolidated complaint is served upon the defts. At that time they will have 30 days thereafter to answer or otherwise respond to the consolidated complaint (cc: all counsel) (djd, ) (Entered: 02/26/2001)

02/23/2001 94 STIPULATION & ORDER by Chief Judge J P Stadtmueller: that defts (00CV1460) will have until 1/2/01 to answer above complaints, & an additional 30 day extension until a consolidated complaint is served. At that time they will have 30 days thereafter to answer to the consolidated complaint (cc: all counsel) (djd, ) (Entered: 02/26/2001)

02/23/2001 95 STIPULATION & ORDER by Chief Judge J P Stadtmueller: that defts (00CV1445) have until 2/28/01 to answer the above complaint & an additional 30 day extension thereafter until a consolidated complaint is served upon defts. At that time they will have 30 days thereafter to answer the consolidated complaint (cc: all counsel) (djd, ) (Entered: 02/26/2001)

02/23/2001 96 STIPULATION & ORDER by Chief Judge JP Stadtmueller: that defts (00CV1518) have until 2/28/01 to answer the above complaint, & an additional 30 day extension thereafter until a consolidated complaint is served upon the defts. At that time they will have 30 days thereafter to answer the consolidated complaint (cc: all counsel) (djd, ) (Entered: 02/26/2001)

02/28/2001 97 RETURNS OF SERVICE unexecuted - attempted as to defts Greg Winston, Jon Hammes, Allan Steffi, Linda Stephenson, A. Gary Shilling (00cv1468) (djd, )

03/08/2001 98 MOTION by The Weebetook Group to strike sur-reply brief of Warner Group , or in the alternative for leave to file response brief (djd, ) (Entered: 03/09/2001)

03/08/2001 99 The Weebetook Group's RESPONSE to the Surr-reply of the Warner Group (djd, ) (Entered: 03/09/2001)

03/08/2001 100 CERTIFICATE OF SERVICE of the Weebetook Group (djd, ) (Entered: 03/09/2001)

03/13/2001 101 ACCEPTANCE/ACKNOWLEDGEMENT OF SERVICE on 3/7/01 by Jon Hammes, Linda Stephenson, Gary Shilling, Allan Stefl by attorney Dennis Kelleher (00CV1459) (djd, ) Modified on 03/14/2001 (Entered: 03/14/2001)

03/13/2001 102 ACCEPTANCE/ACKNOWLEDGEMENT OF SERVICE on 3/7/01 for Linda Stephenson, Gary Shilling, Allan Stefl, Jon Hammes by attorney Dennis Kelleher (00CV1460) (djd, ) Modified on 03/14/2001 (Entered: 03/14/2001)

03/13/2001 103 ACCEPTANCE/ACKNOWLEDGEMENT OF SERVICE on 3/7/01 for Linda Stephenson, Jon Hammes, Allan Stefl, Gary Shilling by attorney Dennis Kelleher (00CV1471) (djd, ) (Entered: 03/14/2001)

03/16/2001 126 BRIEF by defendant Heartland High-Yield, defendant Heartland Advisors, Heartland Group, & William Nasgovitz in support of motion to consolidate cases [0-1] (original in 01-C-139) (ers, ) (Entered: 04/09/2001)

03/22/2001 104 ACCEPTANCE OF SERVICE on 3/7/01 on behalf of Jon Hammes, A Gary Shilling, Allan Stefl & Linda Stephenson by Attys Dennis Kelleher & Stacie Fatka of Skadden Arps Slate Meagher & Flom (00CV1468) (djd, ) Modified on 03/23/2001 (Entered: 03/23/2001)

03/22/2001 105 ACCEPTANCE OF SERVICE on 3/5/01 on behalf of Greg Winston by Atty Robert Chapman (00CV1468) (djd, ) (Entered: 03/23/2001)

03/22/2001 106 ACCEPTANCE OF SERVICE by deft Thomas J Conlin on 3/3/01 by Atty Kevin Flynn (00CV1468) (djd, ) (Entered: 03/23/2001)

03/22/2001 107 CERTIFICATE of Service by plntf Walter Kirkbride (00CV1468) (djd, ) (Entered: 03/23/2001)

03/26/2001 108 Supplemental BRIEF in Support of The Delp Group's Motion for Appointment as Lead Plntf (djd, ) (Entered: 03/27/2001)

03/27/2001 109 ORDER by Chief Judge J P Stadtmueller denying Webeetook's motion to strike sur-reply brief of Warner Group [98-1], granting Webeetook's motion for leave to file response brief instanter [98-2] (cc: all counsel) (djd, ) (Entered: 03/28/2001)

03/27/2001 110 ORDER by Chief Judge J P Stadtmueller denying Dina Larsen's objection to consolidation order [56-1] (cc: all counsel) (djd, ) (Entered: 03/28/2001)

03/27/2001 111 ORDER by Chief Judge J P Stadtmueller denying as moot Raney's motion to extend time for filing lead plntf motion [18-1] ; Allowing Raney's request to withdraw 12/26/00 motion to extend [37-1] (cc: all counsel) (djd, ) (Entered: 03/28/2001)

03/27/2001 112 ORDER by Chief Judge J P Stadtmueller DENYING the Delp Group's motion for appointment as lead plntfs [35-1], DENYING Dwight Rounds' motion for appointment as lead plntf & approval of selection of lead counsel [29-2], DENYING the Weebetook Plntfs motion for appointment as lead plntf & approval of selection of lead counsel [25-1], DENYING motion for order appointing the "Poblocki" group lead plntf & approving selection of lead/liason counsel [21-2], GRANTING the Kirkbride Group's motion for order for appointment as lead plntfs & for approval of their choice of lead counsel [10-1], denying the Warner Plntfs' motion for order appointing lead plntfs & approving lead plntfs' selection of lead

counsel [13-2] FURTHER ORDERED that the Kirkbride Group's motion for approval of Burt & Pucillo, LLP as lead counsel is GRANTED; FURTHER ORDERED that the Kirkbride Group's motion for approval of Hale & Wagner as liaison counsel is GRANTED (cc: all counsel) (djd, ) (Entered: 03/28/2001)

03/30/2001 MOTION by Heartland defendants to consolidate cases ; seek to consolidate 00-cv-1388 with 01-cv-139. Original motion docketed and filed in 01-cv-139. (kmm, ) (Entered: 04/02/2001)

03/30/2001 127 BRIEF by plaintiff Frederick Chapman in opposition to motion to consolidate cases [0-1] (Original in 00-C-1388) (ers, ) (Entered: 04/09/2001)

04/02/2001 113 NOTICE of change of address for plntf Warner Group: Vernon J Vander Weide @ Head Seifert & Vander Weide, 333 S 7th St- Ste 1140, Minneapolis, MN 55402 (djd, ) (Entered: 04/03/2001)

04/06/2001 114 RETURNS OF SERVICE executed as to defts Heartland High-Yield Municipal Bond Fund, Heartland Short Duration High-Yield Municipal Fund, Heartland Advisors served on 11/3/00 via William Nasgovitz (00CV1404) (djd, ) Modified on 04/09/2001 (Entered: 04/09/2001)

04/06/2001 115 RETURN OF SERVICE executed as to deft Thomas J Conlin served on 11/8/00 (00CV1404) (djd, ) (Entered: 04/09/2001)

04/06/2001 116 ADMISSIONS OF SERVICE executed by Atty Dennis Kelleher of Skadden Arps Slate Meagher & Flom on behalf of defts Jon Hammes, Gary Shilling, Allan Stefl & Linda Stephenson; served on 3/7/01 (00CV1496, 00CV1518, 00CV1539) (djd, ) Modified on 04/09/2001 (Entered: 04/09/2001)

04/06/2001 117 RETURNS OF SERVICE executed by Heartland Holding Inc; served on 3/7/01 (00CV1518, 00CV1539) (djd, ) (Entered: 04/09/2001)

04/06/2001 118 RETURN OF SERVICE executed; Willard Davidson served on 3/12/01 (00CV1496) (djd, ) Modified on 04/09/2001 (Entered: 04/09/2001)

04/06/2001 119 RETURNS OF SERVICE executed as to defts Heartland Advisors, Patrick Retzer, Heartland Holdings, William Nasgovitz (00CV1431, 00CV1443, 00CV1496, 00CV1518, 00CV1531) Served on 12/15/00 (djd, ) (Entered: 04/09/2001)

04/06/2001 120 ACCEPTANCE OF SERVICE by defts Heartland High-Yield Municipal Bond Fund, Heartland Short Duration High-Yield Municipal Fund, Heartland Group on 12/19/00 (00CV1431, 00CV1443, 00CV1496) (djd, ) (Entered: 04/09/2001)

04/06/2001 121 RETURNS OF SERVICE executed; Hugh Denison served on 12/20/00 (00CV1496, 00CV1518, 00CV1539) (djd, ) (Entered: 04/09/2001)

04/06/2001 122 ACCEPTANCE OF SERVICE by defts Heartland High-Yield, Heartland Short Duration, Heartland Group Inc on 12/21/00 (00CV1518) (djd, ) (Entered: 04/09/2001)

04/06/2001 123 ACCEPTANCE OF SERVICE by defts Heartland High-Yield, Heartland Short Dur, Greg Winston & Heartland Groupd Inc on 2/26/01 (00CV1496, 00CV1518, 00CV1539) (djd, ) (Entered: 04/09/2001)

04/06/2001 124 ACCEPTANCE OF SERVICE by deft Thomas J Conlin on 12/29/00 (00CV1431,

00CV1443, 00CV1496, 00CV1518, 00CV1539) (djd, ) (Entered: 04/09/2001)

04/06/2001 125 CERTIFICATE of Service by defts (djd, ) (Entered: 04/09/2001)

04/06/2001 128 REPLY BRIEF by defendant Heartland High-Yield, defendant Heartland Advisors, Heartland Group & William Nasgovitz in support of motion to consolidate cases [0-1] (Original in 01-C-139) (ers, ) (Entered: 04/09/2001)

06/14/2001 129 PROPOSED Joint Scheduling Order submitted by parties (djd, ) (Entered: 06/27/2001)

06/14/2001 130 SERVICE LIST by plntfs' liaison counsel (djd, ) (Entered: 06/27/2001)

07/26/2001 131 ORDER by Chief Judge J P Stadtmueller granting motion to consolidate cases [0-1] 2:00-cv-1388 with member cases 2:01-cv-139. ALL Docketing done in 00-C-1388 (cc: all counsel) (ers, ) (Entered: 07/27/2001)

08/06/2001 132 NOTICE of Change of Name; Burt & Pucillo has changed to Berman DeValerio Pease Tabacco Burt & Pucillo w/ attached Certificate of Service (djd, ) Modified on 08/07/2001 (Entered: 08/07/2001)

09/14/2001 133 PROPOSED Joint Scheduling Order submitted by parties w/ attached Certificate of Service (djd, ) (Entered: 09/17/2001)

10/02/2001 MARGINAL ORDER by Chief Judge J P Stadtmueller granting Joint Scheduling Order; Consolidated Amended Complaint shall be served & filed w/ 30 days after entry of this Order; Each deft shall answer/respond to Consolidated Complaint no later than 45 days from date of service; Motion for Class Certification shall be served w/in 60 days after filing of Consolidated Complaint; See order for additional details (cc: all counsel) (djd, )

10/09/2001 134 REQUEST for Special Notice from putative class member Nancy Davidson (djd, ) (Entered: 10/10/2001)

10/09/2001 135 Letter NOTICE by defts that related action 01CV1004 is appropriate for consolidation (djd, ) (Entered: 10/10/2001)

10/09/2001 REMARK - Pursuant to 10/2/01 Joint Scheduling Order, case 01CV1004 has been consolidated w/ this lead case (djd, ) (Entered: 10/10/2001)

10/30/2001 136 CONSOLIDATED AMENDED CLASS ACTION COMPLAINT: by lead plntfs; jury demand (djd, )

12/11/2001 137 NOTICE by plntfs Walter Kirkbride, Michael Evans, Richard Gainery & Fionnuala Ann Gainey of Filing Certification of Plntf Howard Jenks & Corrected Pages to Consolidated Amended Complaint (djd, )

12/17/2001 138 CERTIFICATE OF SERVICE by deft Heartland Advisors (djd, ) (Entered: 12/18/2001)

12/19/2001 139 STIPULATION & ORDER by Chief Judge JP Stadtmueller: that the 10/2/01 Scheduling Order be modified; defts to answer/respond to Amended Consolidated Complaint by 2/15/02; plntfs' Motion for Class Certification w/ supporting docs be served by 2/22/02. This modification is binding on all parties, including plntfs Chapman & Nagel (cc: all counsel) (djd, ) (Entered: 12/20/2001)

01/04/2002 140 ORIGINAL Signature pages of Stipulation: [139-1] (djd, )

01/14/2002 141 AMENDED COMPLAINT (01CV1004) filed by plntfs Robert Nagel & Jane Wheeler Nagel; jury demand **STRICKEN FROM THE RECORD PER 3/25/02 ORDER (djd, ) Modified on 03/26/2002 (Entered: 01/15/2002)

01/29/2002 142 EXPEDITED MOTION by Nagel plntfs (01cv1004) to modify 10/2/01 joint scheduling order , and to extend time to effect service on defts w/ attached Certificate of Mailing (djd, ) (Entered: 01/30/2002)

01/30/2002 143 ACCEPTANCE OF SERVICE on 1/25/02 of the complaint in 01cv1004 by Atty Chapman on behalf of Greg D Winston (djd, ) Modified on 01/31/2002 (Entered: 01/31/2002)

01/30/2002 144 ACCEPTANCE OF SERVICE of the Amended Complaint of 01CV1004 on 1/30/02 by Atty Matthew Flynn on behalf of The Heartland Group, Inc (djd, ) (Entered: 01/31/2002)

02/05/2002 145 PricewaterhouseCooper's BRIEF in Opposition to Nagel Plntfs' Expedited Motion for Modification on the Joint Scheduling Order Filed 10/2/01 & Motion for Additional Time to Effect Service on Defts (djd, )

02/05/2002 146 CERTIFICATE OF SERVICE by PricewaterhouseCoopers (djd, )

02/05/2002 147 BRIEF by defts The Heartland Group, Heartland Advisors, William Nasgovitz, Hugh Denison, Thomas J Conlin, Jon Hammes, A Gary Shilling, Allan Stefl, Linda Stephenson, Patrick Retzer, & Greg Winston in Opposition to The Nagel Plntfs' (01CV1004) Expedited Motion for Modification of the Joint Scheduling Order (djd, ) Modified on 02/12/2002 (Entered: 02/06/2002)

02/11/2002 148 BRIEF by Plntfs in opposition to Nagels' motion to modify 10/2/01 joint scheduling order [142-1] w/ attached Service List (djd, ) Modified on 02/12/2002 (Entered: 02/12/2002)

02/14/2002 149 RETURNS OF SERVICE executed on defts Interactive Data Corp,William Nasgovitz Heartland Holdings Inc, Heartland Advisors Inc,Hugh Denison; served on 1/30/02 (Amended Complaint 01cv1004) (djd, ) Modified on 02/15/2002 (Entered: 02/15/2002)

02/14/2002 150 RETURN OF SERVICE as to PriceWaterhouseCoopers executed served on 1/31/02 ; (Amended Complaint 01cv1004) (djd, ) (Entered: 02/15/2002)

02/14/2002 151 REPLY BRIEF by Nagel Plntfs in support of motion to modify 10/2/01 joint scheduling order [142-1], motion to extend time to effect service on defts [142-2] (djd, ) (Entered: 02/15/2002)

02/15/2002 152 STIPULATION & ORDER by Chief Judge J P Stadtmueller: the defts will answer/respond to the Amended Consolidated Complaint by 3/4/02; plntfs' Motion for Class Certification shall be served no later than 3/11/02; all other provisions of the 10/2/01 Scheduling Order, previously amended 12/19/01, shall remain in full force & effect (cc: all counsel) (djd, )

02/15/2002 153 CERTIFICATE of Service by defts (djd, )

02/21/2002 154 RESPONSE by defendants Heartland High-Yield, Heartland Short Duration High-

Yield to plaintiffs' complaint (01-C-1004) (tlf, ) (Entered: 02/22/2002)

02/22/2002 155 NOTICE of change of address for attys for S Chandler Visherhas (00cv1404) - Weinstein Kitchenoff Scarlato & Goldman to 1845 Walnut Street - Ste 1100, Philadelphia, PA 19103 w/ attached Certificate of Service (djd, ) Modified on 02/25/2002 (Entered: 02/25/2002)

02/26/2002 156 WAIVER OF SERVICE (01cv1004) by defts Heartland High-Yield Municipal Bond Fund, deft Heartland Short Duration High Yield Municipal Bond Fund; Request sent on 1/15/02 (djd, ) (Entered: 02/27/2002)

03/04/2002 157 STIPULATION & ORDER TO MODIFY SCHEDULING ORDER by Chief Judge J P Stadtmueller: that defts will answer/respond to Amended Consolidated Complaint no later than 3/15/02; plntfs' motion for class certification w/ supporting documents shall be served no later than 3/22/02. All other provisions of the Scheduling Order shall remain in full force & effect (cc: all counsel) (djd, ) (Entered: 03/06/2002)

03/15/2002 158 MOTION by PricewaterhouseCoopers to dismiss (djd, ) (Entered: 03/18/2002)

03/15/2002 159 BRIEF by PricewaterhouseCoopers in support of motion to dismiss [158-1] (djd, ) (Entered: 03/18/2002)

03/15/2002 160 CERTIFICATE of Service by PricewaterhouseCoopers (djd, ) (Entered: 03/18/2002)

03/20/2002 161 ORIGINAL signature pages filed of stipulation Re: [157-1] (djd, ) (Entered: 03/21/2002)

03/22/2002 162 MOTION by lead plntfs for order scheduling settlement fairness hearing w/ attached Stipulation of Partial Settlement (djd, )

03/22/2002 163 MOTION by lead plntfs for class certification (djd, ) (Entered: 03/25/2002)

03/22/2002 164 BRIEF by lead plntfs in support of motion for class certification [163-1] w/ attached Certificate of Service (djd, ) (Entered: 03/25/2002)

03/22/2002 165 Corrected CERTIFICATE of Service by lead plntfs (re: Plntfs' Motion for Entry of Order Scheduling Settlement Hearing) (djd, ) (Entered: 03/25/2002)

03/25/2002 166 ORDER by Chief Judge J P Stadtmueller denying Nagel plntfs' motion to modify 10/2/01 joint scheduling order [142-1], denying Nagel plntfs' motion to extend time to effect service on defts [142-2] FURTHER ORDERED that Nagel plntfs' putative amended complaint be STRICKEN from the record (cc: all counsel) (djd, )

04/04/2002 167 HEARING MINUTES: by Chief Judge J P Stadtmueller; held 4/4/02 re pre-notification; Court Reporter: Chris Petrie (djd, ) (Entered: 04/05/2002)

04/05/2002 168 HEARING ORDER IN CONNECTION WITH PARTIAL SETTLEMENT by Chief Judge J P Stadtmueller granting motion for order scheduling settlement fairness hearing [162-1] Settlement Fairness Hearing set for 9:00 6/21/02 Rm 425; See Order for further details (cc: all counsel) (djd, ) (Entered: 04/08/2002)

04/22/2002 169 NOTICE of change of address by Atty Terry Rose Saunders representing Alan F Sussna Trust, Mario D Mansueto & WC Norman (00cv1496) w/ attached

Certificate of Service (djd, ) Modified on 04/23/2002 (Entered: 04/23/2002)

04/29/2002 170 BRIEF by plntfs in opposition to Pricewaterhouse Coopers' motion to dismiss [158-1] (djd, ) (Entered: 04/30/2002)

05/02/2002 171 ORDER by Chief Judge J P Stadtmueller denying w/out prejudice Nancy Davidson's request for special notice of all filings [134-1] (cc: all counsel) (djd, ) (Entered: 05/03/2002)

05/07/2002 172 Expedited MOTION by PricewaterhouseCoopers for leave to to take discovery concerning, & to present objections to, the proposed partial settlement (djd, ) (Entered: 05/08/2002)

05/07/2002 173 CERTIFICATE OF SERVICE by PricewaterhouseCoopers (djd, ) (Entered: 05/08/2002)

05/10/2002 174 ATTORNEY APPEARANCE for defts Jon D Hammes, A Gary Shilling, Allan H Stefl & Linda F Stephenson by Harold Laufer & Louis Raymond of Davis & Kuelthau, as co-counsel with Skadden Arps Slate Meager & Flom (djd, ) (Entered: 05/13/2002)

05/10/2002 175 CERTIFICATE OF SERVICE by defts (djd, ) (Entered: 05/13/2002)

05/13/2002 176 STIPULATION & ORDER approved by Chief Judge JP Stadtmueller: that plntfs' ddl is extended to 5/16/02 to respond to PwC's Rule 7.4 Expedited Non-Dispositive Motion for Leave to Take Discovery Concerning, & to Present Objections to, The Proposed Partial Settlement (cc: all counsel) (djd, ) (Entered: 05/14/2002)

05/14/2002 177 BRIEF by defts Thomas J Conlin & Greg Winston in opposition to PwC's motion for leave to to take discovery concerning, & to present objections to, the proposed partial settlement [172-1] ; w/ attached Certificate of Service (djd, )

05/14/2002 178 ATTORNEY APPEARANCE for deft Heartland Group, Inc by Cristina D Hernandez-Malaby (djd, ) (Entered: 05/15/2002)

05/14/2002 179 BRIEF by deft Heartland Group Inc in opposition to PwC's motion for leave to to take discovery concerning, & to present objections to, the proposed partial settlement [172-1] (djd, ) (Entered: 05/15/2002)

05/14/2002 180 CERTIFICATE OF SERVICE by deft Heartland Group Inc (djd, ) (Entered: 05/15/2002)

05/14/2002 181 BRIEF by settling defts Heartland Advisors, Heartland Holdings, William Nasgovitz & Hugh Denison in opposition to PwC's motion for leave to to take discovery concerning, & to present objections to, the proposed partial settlement [172-1] (djd, ) (Entered: 05/15/2002)

05/14/2002 182 AFFIDAVIT of Dennis L Fisher in Opposition to PwC's Expedited Non-Dispositive Motion Under Local Rule 7.4 for Leave to Take Discovery Concerning, & to Present Objections to, The Proposed Partial Settlement (djd, ) (Entered: 05/15/2002)

05/14/2002 183 CERTIFICATE OF SERVICE by settling defts (djd, ) (Entered: 05/15/2002)

05/14/2002 184 BRIEF by defts Jon Hammes, A Gary Shilling, Allan Stefl & Linda Stephenson in

opposition to PwC's motion for leave to to take discovery concerning, & to present objections to, the proposed partial settlement [172-1] (djd, ) (Entered: 05/15/2002)

05/14/2002 185 BRIEF by lead plntfs in opposition to PwC's motion for leave to to take discovery concerning, & to present objections to, the proposed partial settlement [172-1] (djd, ) (Entered: 05/15/2002)

05/14/2002 186 BRIEF by deft Patrick Retzer in opposition to PwC's motion for leave to to take discovery concerning, & to present objections to, the proposed partial settlement [172-1] (djd, ) (Entered: 05/15/2002)

05/16/2002 187 (Original) AFFIDAVIT of C Oliver Burt III (djd, ) (Entered: 05/17/2002)

05/20/2002 188 NOTICE by plntfs of attorneys' Burton Finkelstein & Jessica Whitehurst change of address; Finkelstein Thompson & Loughran to 1050 30th St, NW, Washington, DC 20007 (djd, )

05/29/2002 189 JOINT MOTION by plntfs & defts Heartland Advisors, Heartland Holdings, William Nasgovitz, Hugh Denison, & Heartland Group to amend hearing order in connection w/ partial settlement , and for leave to send supplemental notice (djd, ) (Entered: 05/30/2002)

05/29/2002 190 AFFIDAVIT of Dennis L Fisher (djd, ) (Entered: 05/30/2002)

05/29/2002 191 Unsigned CERTIFICATE OF SERVICE by defts (djd, ) (Entered: 05/30/2002)

05/29/2002 192 REPLY BRIEF by PricewaterhouseCoopers in further support of its motion to dismiss [158-1] (eeb, ) (Entered: 05/30/2002)

05/30/2002 193 ORIGINAL Document (Signed Certificate of Service) [191-1] by defts (djd, ) (Entered: 05/31/2002)

05/30/2002 194 RESPONSE by PricewaterhouseCoopers to Joint Motion by plntfs & defts to amend hearing order in connection w/ partial settlement & for leave to send supplemental notice [189-1], to [189-2] (djd, ) (Entered: 05/31/2002)

05/30/2002 195 CERTIFICATE OF SERVICE by PricewaterhouseCoopers (djd, ) (Entered: 05/31/2002)

05/31/2002 196 MOTION by plntf Dina Larsen to extend the deadlines for objections to and requests for exclusion from the partial settlement (eeb, ) Modified on 06/06/2002

05/31/2002 197 LETTER filed by deft Heartland Advisors from shareholder John Dagres objecting to proposed partial settlement agreement w/ attached Service List (djd, ) Modified on 06/03/2002 (Entered: 06/03/2002)

05/31/2002 198 LETTERS filed by plntfs from three shareholders (Jack Gildar, George Miller, John Dagres) objecting to the proposed partial settlement agreement w/ attached Service List (djd, ) Modified on 06/03/2002 (Entered: 06/03/2002)

06/03/2002 199 LETTER from shareholder William Taylor objecting to proposed partial settlement agreement w/ attached Certificate of Service (djd, ) Modified on 06/03/2002

06/03/2002 200 LETTER from shareholder James Durham objecting to proposed partial settlement agreement (djd, )

06/03/2002 201 LETTER from shareholder John Dagres objecting to proposed partial settlement agreement w/ attached Certificate of Service (djd, ) Modified on 06/03/2002

06/03/2002 202 TRANSCRIPT filed of 4/4/02 hearing regarding pre-notification (djd, )

06/04/2002 203 NOTICE OF FILING by plntfs' counsel (5 objections - John Dagres, William Taylor, James Durham, Jack Gildar, George Miller) w/ attached Certificate of Service (djd, ) (Entered: 06/05/2002)

06/05/2002 204 ORDER by Chief Judge J P Stadtmueller GRANTING IN PART & DENYING IN PART settling parties' motion to amend hearing order in connection w/ partial settlement & for leave to send supplemental notice [189-2]; The settling parties shall file a proposed order amending the court's previous hearing order reflecting a rescheduled fairness hearing date of 7/18. The settling parties shall also present for the court's approval an amended hearing notice to be sent to the Schwab beneficial owners; DENYING PricewaterhouseCooper's motion for leave to to take discovery concerning the proposed partial settlement [172-1]; FURTHER ORDERED that Dina Larsen's motion is hereby TAKEN UNDER ADVISEMENT. The settling parties shall file a brief response to the motion by 6/10/02; Larsen shall file a brief reply by 6/12/02 (cc: all counsel) (djd, ) (Entered: 06/06/2002)

06/07/2002 205 MOTION by lead plaintiffs for entry of amended hearing order (tlf, ) (Entered: 06/10/2002)

06/10/2002 206 MOTION by lead plntfs' counsel for entry of scheduling order (djd, ) (Entered: 06/11/2002)

06/11/2002 207 AGREED SCHEDULING ORDER by Chief Judge J P Stadtmueller that PricewaterhouseCoopers will file a brief in support of its objections to the proposed Partial Settlement by 6/19/02; Plntfs & Settling Defts shall file their responses to PricewaterhouseCoopers' brief by 7/3/02 (cc: all counsel) (djd, ) (Entered: 06/12/2002)

06/11/2002 208 AMENDED HEARING ORDER in Connection With Partial Settlement by Chief Judge J P Stadtmueller ; Settlement Hearing to be held 7/18/02 @ 9:00 in Courtroom 425 (cc: all counsel) (djd, ) (Entered: 06/12/2002)

06/19/2002 209 PriceWaterhouseCoopers' Objections & Brief in Opposition to the Proposed Partial Settlement (djd, ) (Entered: 06/20/2002)

06/19/2002 210 CERTIFICATE of Service by PriceWaterhouseCoopers (djd, ) (Entered: 06/20/2002)

06/26/2002 211 BRIEF by plntfs in Support of Proposed Partial Settlement & Plntfs' Counsel's Application for an Award of Attys' Fees & Reimbursement of Expenses (djd, ) (Entered: 06/27/2002)

06/26/2002 212 DECLARATION by plntfs of C Oliver Burt III, in support of the Proposed Partial Settlement & Application for an Award of Attys' Fees & Reimbursement of Expenses (djd, ) (Entered: 06/27/2002)

06/26/2002 213 EXHIBITS 1 & 2 by plntfs (Notice of Filing) (djd, ) (Entered: 06/27/2002)

06/26/2002 214 BRIEF by deft Heartland Group Inc in Support of the Proposed Partial Settlement

(djd, ) (Entered: 06/27/2002)

06/26/2002 215 CERTIFICATE OF SERVICE by deft Heartland Group Inc (djd, ) (Entered: 06/27/2002)

06/26/2002 216 BRIEF by defts Heartland Advisors, Heartland Holdings, William Nasgovitz & Hugh Denison in support of the Proposed Partial Settlement (djd, ) (Entered: 06/27/2002)

06/26/2002 217 CERTIFICATE OF SERVICE by defts Heartland Advisors, Heartland Holdings, William Nasgovtiz & Hugh Denison (djd, ) (Entered: 06/27/2002)

07/03/2002 218 RESPONSE TO OBJECTION OF PRICEWATERHOUSECOOPERS LLP TO PROPOSED PARTIAL SETTLEMENT by plaintiff Joseph White (tlf, ) (Entered: 07/05/2002)

07/05/2002 219 OBJECTION letter to proposed Partial Settlement by shareholders Ann & Harry Burke (djd, ) (Entered: 07/08/2002)

07/11/2002 220 PricewaterhouseCoopers' REPLY Regarding its Opposition to the Proposed Partial Settlement (djd, ) (Entered: 07/12/2002)

07/11/2002 221 CERTIFICATE of Service by PricewaterhouseCoopers (djd, ) (Entered: 07/12/2002)

07/12/2002 222 NOTICE OF FILING by plntfs' counsel (copies of objection letters (Burke & Dina B Larsen) (djd, )

07/15/2002 223 RESPONSE by plntfs to Objection to Proposed Partial Settlement (Burkes' objection letter) (djd, )

07/18/2002 224 HEARING MINUTES: by Chief Judge J P Stadtmueller Fairness Hearing held 7/18/02 Court enters decision that proposed settlement w/ modifications concerning PwC's objection & a provision re attorney fees is fair, reasonable & adequate. Certifying the class is appropriate. Court Reporter: Lori Upton (djd, ) (Entered: 07/19/2002)

07/18/2002 225 ORDER OF FINAL APPROVAL OF PARTIAL SETTLEMENT, FINAL JUDGMENT OF DISMISSAL & SETTLEMENT BAR ORDER signed 7/18/02 by Chief Judge J P Stadtmueller ; The Court finds that the Partial Settlement is fair, reasonable & adequate to the best interests of the Settlement Class; that the prerequisites for a class action have been satisfied [163-1]; the Class Actions are fully & finally dismissed against the Settling Defts w/ prejudice & on the merits w/out costs to the Settlement Class or the Settling Defts, consistent w/ the terms of the Stipulation; Plntfs' Counsel are awarded 25% of the principal amount of Fourteen Million Dollars in cash, plus accrued interest, if any, in attys' fees and $164,755.52 in reimbursement of expenses, terminating party all defts BUT PricewaterhouseCoopers (cc: all counsel) (djd, ) (Entered: 07/22/2002)

07/26/2002 MAIL Returned Order [225-2] addressed to Jeffrey Kodroff at Spector Roseman & Kodroff 1818 Market St 25th Fl, Philadelphia PA 19103 (djd, )

07/29/2002 226 Opt-Out List filed by plntfs w/ attached Service List (djd, ) (Entered: 07/30/2002)

07/31/2002 227 TRANSCRIPT filed of 7/18/02 Fairness Hearing (djd, )

12/10/2002 228 ORDER signed by Judge J P Stadtmueller on 12/10/02 granting in part and denying in part [158] PricewaterhouseCooper's Motion to Dismiss. (cc: all counsel) (djd )

12/19/2002 229 CERTIFICATE OF SERVICE by Deft PricewaterhouseCoopers LLP (djd ) (Entered: 12/20/2002)

12/24/2002 230 STIPULATION AND ORDER signed by Judge J P Stadtmueller on 12/24/02 that deft PricewaterhouseCoopers has until 1/10/03 to answer the remaining claim of the Consolidated Amended Class Action Complaint. (cc: all counsel)(djd ) (Entered: 12/26/2002)

01/10/2003 231 ANSWER to Consolidated Amended Class Action Complaint by PricewaterhouseCoopers LLP.(kmm, )

03/03/2003 232 LETTER from Joseph Beshay regarding his status as a class member in the Heartland Securites case (vlh, ) (Entered: 03/05/2003)

03/10/2003 233 RESPONSE by defendant PricewaterhouseCoopers LLP to plaintiffs' motion for class certification (vlh, ) (Entered: 03/11/2003)

03/10/2003 234 AFFIDAVIT of Jonathan E. Hinkemeyer in support of PWC's response to plaintiffs' motion for class certification; exhibits A through E attached (vlh, ) (Entered: 03/11/2003)

04/09/2003 235 REPLY by Plaintiff Joseph White re: motion for class certification (vlh, ) (Entered: 04/10/2003)

04/09/2003 236 AFFIDAVIT of C. Oliver Burt, III with attached exhibit A through C (vlh, ) (Entered: 04/10/2003)

04/24/2003 237 PROPOSED JOINT SCHEDULING ORDER NO. 2 filed by plaintiffs & defendant PricewaterhouseCoopers LLP (vlh, ) (Entered: 04/25/2003)

05/14/2003 238 Lead plaintiffs' MOTION to approve distribution of net settlement proceeds to class members(vlh, )

05/14/2003 239 AFFIDAVIT of Michael Rosenbaum with attached exhibits A through G (vlh, )

06/30/2003 240 Stipulation for entry of protective order and PROTECTIVE ORDER signed by Judge J P Stadtmueller on 6/30/03. See order for details. (cc: all counsel)(cms, ) (Entered: 07/01/2003)

07/02/2003 241 ORDER signed by Judge J P Stadtmueller on 7/2/03. It is ordered that the Class Period be and the same is hereby modified from 10/26/97 through 10/16/00 to 5/1/98 through 10/16/00; It is further ordered that PwC;s request to divide the class into subclasses be and the same is hereby denied without prejudice;It is further ordered that PwC's request to disqualify lead plaintiffs Kirkbride, Gainey, or any of the additional named plaintiffs be and the same is hereby denied. (cc: all counsel)(cms, ) (Entered: 07/03/2003)

07/21/2003 242 ORDER (JPS) approving distribution of net settlement proceeds from the partial settlement to class members & authorizing payment of the final statement for fees & expenses of the claims administrator in the amount of $227,143.72 (cc: all counsel)(vlh, ) (Entered: 07/22/2003)

08/04/2003 243 Mail returned (7/21/03 order) addressed to Michael Donovan. Remailed to Michael D. Donovan at Donovan Searles, LLC, 1845 Walnut St., Ste. 1100, Philadelphia, PA, 19103. (vlh, ) (Entered: 08/06/2003)

08/04/2003 244 Mail returned (7/31/03 order) addressed to Mark McNair. Remailed 8/5/03 to W. Mark McNair at Kaplan Fox & Kilsheimer, LLP, 1101 30th St., N.W., Ste. 500, Washington, DC, 20007. (vlh, ) (Entered: 08/06/2003)

08/04/2003 245 Mail returned (2 envs. with 7/31/03 order) addressed to Mark Schmitt & Mark S. Schmitt. Remailed 8/5/03 to Mark S. Schmitt at Maier, McIlnay & Schmitt, Ltd. at 101 Falls Rd., #603, Grafton, WI, 53024-2612. (vlh, ) (Entered: 08/06/2003)

08/08/2003 246 NOTICE of Change of Address by attorney Leigh R. Lasky, representing plaintiff Michael J. Evans in consolidated case, 00-C-1443(vlh, ) (Entered: 08/12/2003)

08/27/2003 247 PROPOSED Scheduling Order No. 2 filed by Plaintiffs & Defendant PricewaterhouseCoopers LLP (vlh, ) (Entered: 08/28/2003)

09/12/2003 248 SCHEDULING ORDER by Judge J P Stadtmueller: Fact discovery to be completed no later than 12/31/03;plaintiffs to disclose expert witnesses by 1/20/2004; defendant to disclose expert witnesses by 2/24/2004;e xpert discovery to be completed no later than 3/27/04; dispositive motions due by 4/26/2004. (cc: all counsel)(vlh, ) (Entered: 09/15/2003)

11/24/2003 249 JOINT MOTION to extend case management deadlines by thirty days(vlh, )

12/03/2003 250 ORDER by Judge J P Stadtmueller granting [249] joint motion for extension of case management deadlines (cc: all counsel) (vlh, ) (Entered: 12/04/2003)

12/03/2003 Set/Reset Deadlines: Merit discovery due by 1/31/2004. Plaintiffs to disclose experts by 2/20/2004. Defendants to disclose experts by 3/24/2004. All expert discovery to be completed by 4/27/04. Dispositive motions due by 5/26/2004. (vlh, ) (Entered: 12/04/2003)

01/05/2004 251 Rule 7.4 MOTION for Protective Order by Heartland Advisors Inc. (vlh, ) (Entered: 01/06/2004)

01/05/2004 252 AFFIDAVIT of Dennis L. Fisher with attached exhibit (vlh, ) (Entered: 01/06/2004)

01/05/2004 253 CERTIFICATE OF SERVICE by Heartland Advisors Inc (vlh, ) (Entered: 01/06/2004)

01/06/2004 254 Heartland Group Inc's RESPONSE to Heartland Advisor's 7.4 [251] MOTION for Protective Order (vlh, ) (Entered: 01/07/2004)

01/06/2004 255 AFFIDAVIT of Matthew J. Flynn (vlh, ) (Entered: 01/07/2004)

01/06/2004 256 CERTIFICATE OF SERVICE by Heartland Group Inc (vlh, ) (Entered: 01/07/2004)

01/07/2004 257 DOCUMENTS RECEIVED : Exhibit A and Exhibit B that were inadvertently omitted from Heartland Group Inc's Affidavit of Matthew J. Flynn filed on 1/6/04, from Heartland Group Inc (jll, ) (Entered: 01/08/2004)

01/08/2004 258 PricewaterhouseCoopers's RESPONSE to [251] Heartland Advisors' Rule 7.4 MOTION for Protective Order (vlh, ) (Entered: 01/12/2004)

01/08/2004 259 CERTIFICATE OF SERVICE by PricewaterhouseCoopers LLP (vlh, ) (Entered: 01/12/2004)

01/15/2004 260 ORDER signed by Judge J P Stadtmueller on 1/15/04 granting [251] Rule 7.4 Motion for Protective Order . It is further ordered that discovery shall be completed by 3/1/04; plaintiff's expert disclosures are due 3/26/04; defendant's expert disclosures are due 4/23/04; expert discovery shall be completed by 5/28/04; and dispositive motion shall be filed by 6/25/04. (cc: all counsel) (cms, ) (Entered: 01/16/2004)

01/15/2004 Set/Reset Deadlines/Hearings: Discovery due by 3/1/2004. Dispositive Motions due by 6/25/2004. (cms, ) (Entered: 01/16/2004)

02/20/2004 261 Assented to Rule 7.4 expedited non-dispositive MOTION for Extension of Time for discovery by Heartland Group Inc. (jld, ) (Entered: 02/23/2004)

02/20/2004 Attorney C Oliver Burt for Joseph White added. (jld, ) (Entered: 02/23/2004)

02/20/2004 262 CERTIFICATE OF SERVICE by Heartland Group Inc (jld, ) (Entered: 02/23/2004)

02/20/2004 263 MOTION for Entry of Order scheduling settlement fairness hearing; attachments by Joseph White. (jld, ) (Entered: 02/23/2004)

02/20/2004 264 NOTICE of appearance by Attorneys John L. Kirtley and Laura Steinberg for Interactive Data Corporation (jld, ) (Entered: 02/24/2004)

02/20/2004 Attorneys Michael T Matraia, Julie A Richmond, K Scott Wagner, Christopher T Hale, Leigh R Lasky, Norman Rifkind, Kevin M Forde and Janice R Forde for Joseph White added. (jld, ) (Entered: 02/24/2004)

02/25/2004 265 MOTION for Extension of Time for discovery by Heartland Group Inc. (cms, ) (Entered: 02/27/2004)

02/25/2004 266 ORDER signed by Judge J P Stadtmueller on 2/25/04 granting [265] Motion for Extension of Time by two days through and including Wednesday, March 3, 2004. (cc: all counsel) (cms, ) (Entered: 02/27/2004)

03/25/2004 267 NOTICE of pre-notification hearing set for 4/7/2004 at 03:30 PM in Courtroom 425 before Judge J P Stadtmueller. (vlh, ) Modified on 3/25/2004 (vlh, ).

03/30/2004 268 Plaintiffs' NOTICE of filing corrected order of final approval of settlement; proposed order attached(vlh, )

04/07/2004 269 ORDER (JPS), with attached exhibits 1, 2, & 3, granting [263] motion for order scheduling settlement fairness hearing; hearing scheduled for 6/23/04 at 4:00 P.M. in Ctrm. 425. Settlement class conditionally certified. Lead counsel to mail notice & proof of claim to settlement class members by 4/22/04 & cause summary notice to be published once in The Milwaukee Journal Sentinel and The Wall Street Journal by 4/22/04. Proof of claim to be submitted by 9/20/04 & received by Berdon LLP not later than 9/27/04. Written request for exclusion due 6/1/04. Written objections due 6/1/04. Memoranda due 6/10/04. (cc: all counsel) (vlh, )

(Entered: 04/08/2004)

04/07/2004 270 Hearing minutes of pre-notification hearing: settlement fairness hearing set 6/23/04 at 4:00 P.M. Parties to submit briefs by 6/10/04.(Court Reporter Christine Petrie) (vlh, ) (Entered: 04/08/2004)

05/26/2004 271 AGREED MOTION to extend discovery deadlines by plaintiffs & PricewaterhouseCoopers LLP (vlh, ) (Entered: 05/27/2004)

05/27/2004 272 ORDER by Judge J P Stadtmueller granting [271] agreed motion to extend discovery deadline (cc: all counsel) (vlh, ) (Entered: 05/28/2004)

05/27/2004 Set/Reset Deadlines: Expert discovery ddl 7/15/2004. Dispositive motions due by 8/10/2004; responses due 9/13/04; replies due 9/27/04 (vlh, ) (Entered: 05/28/2004)

06/10/2004 273 Plaintiffs' memorandum in support of proposed interactive settlement & plaintiff's counsel's application for award of attorneys' fees & reimbursement of expenses, filed pursuant to [269] 4/7/04 Order (vlh, ) (Entered: 06/14/2004)

06/10/2004 274 DECLARATION of C. Oliver Burt, III with attached exhibits A through G (vlh, ) (Entered: 06/14/2004)

06/14/2004 275 NOTICE of Hearing: (cc: all counsel)Settlement Fairness Hearing reset for 6/30/2004 03:00 PM before Judge J P Stadtmueller. (cms, ) (Entered: 06/15/2004)

06/15/2004 276 ORIGINAL DOCUMENT, minus exhibits, of [274] declaration of C. Oliver Burn, III (vlh, ) (Entered: 06/16/2004)

06/30/2004 277 Minute Entryof Settlement Fairness Hearing held before Judge J P Stadtmueller: Discussion had; proposed order for settlement tendered to the court. No dispositive motions to be filed unless fully briefed. (Court Reporter Kathy Malsom) (vlh, ) (Entered: 07/01/2004)

06/30/2004 278 ORDER (JPS) of final approval of settlement, partial final judgment, & settlement bar order; exhibits 1 & 2 attached (cc: all counsel)(vlh, ) (Entered: 07/01/2004)

07/07/2004 279 MOTION for permission to pay from escrow account monies advanced by by plaintiffs' counsel for litigation expenses(vlh, )

07/16/2004 280 ORDER by Judge J P Stadtmueller granting [279] plaintiffs' motion for permission to pay from the settlement escrow account monies advanced by plaintiffs' counsel for litigation expenses (cc: all counsel) (vlh, ) (Entered: 07/19/2004)

08/06/2004 281 TRANSCRIPT of settlement fairness hearing held on June 30, 2004 before Judge J.P. Stadtmueller, Court Reporter: Kathy A. Malsom (vlh, )

08/06/2004 282 STIPULATION by plaintiffs & PricewaterhouseCoopers LLP regarding dispositive motions(vlh, ) (Entered: 08/09/2004)

10/15/2004 283 JOINT STIPULATION to extend deadlines re: dispositive motions(vlh, )

10/18/2004 284 ORDER by Judge J P Stadtmueller extending dispositive motion deadlines (cc: all counsel)(vlh, ) (Entered: 10/19/2004)

01/10/2005 285 JOINT NOTICE of filing (vlh, )

01/10/2005 286 MOTION for Summary Judgment by PricewaterhouseCoopers LLP. (vlh, )

01/10/2005 287 BRIEF by PricewaterhouseCoopers LLP in support of its statement of undisputed material facts (vlh, )

01/10/2005 288 STATEMENT OF UNDISPUTED MATERIAL FACTS by PricewaterhouseCoopers LLP (vlh, )

01/10/2005 289 AFFIDAVIT of C. Oliver Burt, III (vlh, )

01/10/2005 290 Plaintiffs' BRIEF in Opposition to [286] PricewaterhouseCooper's MOTION for Summary Judgment (vlh, )

01/10/2005 291 Plaintiff's COUNTERSTATEMENT OF MATERIAL FACTS in opposition to defendant's statement of undisputed material facts(vlh, )

01/10/2005 292 Plaintiffs' COUNTERSTATEMENT OF UNDISPUTED MATERIAL FACTS (vlh, )

01/10/2005 293 REPLY memorandum in support of [288] statement of undisputed material facts filed by PricewaterhouseCoopers LLP. (vlh, )

01/10/2005 294 OBJECTION & REPLY by PricewaterhouseCoopers LLP to plaintiffs' counterstatement of material facts in opposition to defendant's statement of undisputed material facts & to plaintiffs' counterstatement of undisputed material facts (vlh, )

01/10/2005 295 CERTIFICATE OF SERVICE by PricewaterhouseCoopers LLP (vlh, )

01/10/2005 296 APPENDIX to plaintiffs' opposition to summary judgment (Vol. 1 - deposition transcript excerpts & exhibits, Part 1 of 3) (vlh, )

01/10/2005 297 APPENDIX to plaintiffs' opposition to summary judgment (Vol. 1 - deposition transcript excerpts & exhibits, Part 2 of 3)(vlh, )

01/10/2005 298 APPENDIX to plaintiffs' opposition to summary judgment (Vol. 1- deposition transcript excerpts & exhibits, Part 3 of 3)(vlh, )

01/10/2005 299 APPENDIX to plaintiffs' opposition to summary judgment (Vol. II - Expert Reports)(vlh, )

01/10/2005 301 APPENDIX to plaintiffs' opposition to summary judgment (Vol. IV - Documents, Part 1 of 3) (vlh, ) (Entered: 01/11/2005)

01/10/2005 300 APPENDIX to plaintiffs' opposition to summary judgment (Vol. III - Court Filings) (vlh, ) (Entered: 01/11/2005)

01/10/2005 302 APPENDIX to plaintiffs' opposition to summary judgment (Vol. V - Heartland SEC Filings, Part 1 of 2) (vlh, ) (Entered: 01/11/2005)

01/10/2005 303 APPENDIX to plaintiffs' opposition to summary judgment (Vol. V - Heartland SEC Filings, Part 2 of 2) (vlh, ) (Entered: 01/11/2005)



01/10/2005 306 DOCUMENTS cited by PricewaterhouseCoopers LLP (Vol. 1) (vlh, ) (Entered: 01/11/2005)

01/10/2005 307 DOCUMENTS cited by PricewaterhouseCoopers LLP (Vol. II) (vlh, ) (Entered: 01/11/2005)

01/10/2005 308 DOCUMENTS cited by PricewaterhouseCoopers LLP (Vol. III) (vlh, ) (Entered: 01/11/2005)

01/10/2005 309 DOCUMENTS cited by PricewaterhouseCoopers LLP (Vol. IV) (vlh, ) (Entered: 01/11/2005)

01/27/2005 310 Plaintiffs' NOTICE & attached supplemental authority (vlh, ) (Entered: 01/28/2005)

04/15/2005 311 NOTICE of Change of Address by C Oliver Burt, III. Berman DeValerio Pease Tabacco Burt & Pucillo has relocated to 222 Lakeview Ave., Esperante Bldg., Suite 900, West Palm Beach, FL, 33401, telephone no. 561-835-9400. (vlh, )

05/11/2005 312 ORDER signed by Judge J P Stadtmueller on 5/11/05 denying [286] PricewaterhouseCoopers LLP's Motion for Summary Judgment. (cc: all counsel)

06/14/2005 313 NOTICE of Final Pretrial Conference set for 10/27/2005 08:30 AM in Courtroom 425 before Judge J P Stadtmueller. (Graff, Debra)(cc: all counsel) Additional attachment(s) added on 6/15/2005 (vlh, ).

06/14/2005 314 NOTICE of Jury Trial set for 11/28/2005 08:30 AM in Courtroom 425 before Judge J P Stadtmueller. (Graff, Debra)(cc: all counsel)

06/14/2005 315 ORDER regarding final pretrial report signed by Judge J P Stadtmueller on 6/14/05. (cc: all counsel)(Graff, Debra)

06/16/2005 Copy of Notice of Hearing Final Pretrial 313, Notice of Hearing Jury Trial314, Order315 sent 6/16/05 via U.S. Mail to C. Oliver Burt, III, Timothy Duffy, Janice Forde, Kevin Forde, Jonathan Hinkemeyer, Leigh Lasky, Michael Matraia, Emily Nicklin, Julie Richmond, Norman Rifkind, Samuel Rudman, and Steven Schulman (Graff, Debra)

07/08/2005 316 ORDER directing the parties to confer and explore mediation in an attempt to settle the case short of trial. Counsel are to file an interim report and final report describing progress made in settlement attempts and include dates that counsel conferred. The interim report is to be filed by 8/10/05 and a final report by 9/15/05 (cc: all counsel)(Blackburn, Pat)

08/02/2005 317 Expedite MOTION for New Trial Date by PricewaterhouseCoopers LLP. (Attachments: # 1 Exhibit A to Motion for New Trial Date)(Janaszek, Barbara)

08/02/2005 318 CERTIFICATE OF SERVICE by PricewaterhouseCoopers LLP of Motion for New Trial Date (Janaszek, Barbara)

08/03/2005 MARGIN ORDER signed by Judge J P Stadtmueller on 8/3/05 denying 317 PricewaterhouseCoopers LLP's Rule 7.4 Expedited Motion for a New Trial Date.

(cc: all counsel)

08/05/2005 319 STIPULATION and Order regarding pretrial conference by all plaintiffs (Wagner, K)

08/05/2005 320 CERTIFICATE OF SERVICE by all plaintiffs (Wagner, K)

08/09/2005 321 Docket Annotation - E-mail sent to attorney K. Scott Wagner regarding proposed order at no. 319. (vlh, )

08/09/2005 322 Interim Report from plaintiffs' (cms, ) (Entered: 08/10/2005)

08/17/2005 323 ORDER based on 319 stipulation of parties that final pretrial conference is scheduled for 10/19/05 and joint final pretrial report is due 10/7/05. (cc: all counsel)(Blackburn, Pat)

08/17/2005 Set Deadlines/Hearings: Final/Joint Pretrial Report due by 10/7/2005. Final Pretrial Conference set for 10/19/2005 08:30 AM in Courtroom 425 before Judge J P Stadtmueller. (vlh, ) (Entered: 08/18/2005)

08/18/2005 324 NOTICE of Change of Address by attorneys Terry Rose Saunders &Thomas A Doyle (vlh, )

10/07/2005 325 Joint Final PRETRIAL REPORT by Joseph White, PricewaterhouseCoopers LLP. (Attachments: # 1 Exhibit Plaintiffs' Witness List# 2 Exhibit Plaintiffs' Exhibit List with PwC's Objections# 3 Exhibit PwC's Exhibit List with Plaintiffs' Objections# 4 Exhibit Deposition Designations# 5 Exhibit Plaintiffs' Proposed Jury Instructions# 6 Exhibit PwC's Objections re: Plaintiffs' Proposed Jury Instructions# 7 Exhibit Plaintiffs' Response to PwC's Objections to Jury Instructions# 8 Exhibit PwC's Proposed Jury Instructions# 9 Exhibit Plaintiffs' Objections to PwC's Jury Instructions# 10 Exhibit Plaintiffs' Verdict Form# 11 Exhibit PwC's Verdict Form)(Wagner, K)

10/07/2005 326 CERTIFICATE OF SERVICE by Joseph White, PricewaterhouseCoopers LLP re: Joint Final Pretrial Report (Wagner, K)

10/17/2005 327 MOTION in Limine RE: Scope of Potential Liability Under Section 11 by PricewaterhouseCoopers LLP. (Janaszek, Barbara)

10/17/2005 328 MOTION in Limine RE: PWC's Independence by PricewaterhouseCoopers LLP. (Janaszek, Barbara)

10/17/2005 329 MOTION in Limine RE: Opinion Testimony That the Bonds Held by the Funds Were Illiquid by PricewaterhouseCoopers LLP. (Janaszek, Barbara)

10/17/2005 330 MOTION in Limine RE: Opinion Testimony of Michael J. Barclay by PricewaterhouseCoopers LLP. (Janaszek, Barbara)

10/19/2005 331 Minute Entry for proceedings held before Judge J P Stadtmueller : Final Pretrial Conference held on 10/19/2005. Final Pretrial Conference set for 11/4/2005 01:30 PM in Courtroom 425 before Judge J P Stadtmueller. (Court Reporter Kathy Malsom) (Chambers-jps, 2)

11/02/2005 332 MOTION in Limine to Preclude Evidence and Argument Concerning the SEC's Failure to Proceed Against PwC in Connection with the Heartland Matter by

Joseph White. (Attachments: # 1 Exhibit A# 2 Exhibit B# 3 Exhibit C)(Wagner, K)

11/02/2005 333 CERTIFICATE OF SERVICE by Joseph White (Wagner, K)

11/02/2005 334 MOTION in Limine to Preclude Evidence and Argument Concerning Individualized Issues of the Class Representative by Joseph White. (Attachments: # 1 Exhibit A)(Wagner, K)


11/02/2005 336 MOTION in Limine to Preclude PwC from Arguing that the Jury can Consider Disclosures Made in Portions of the Registration Statements Other than the Financial Statements to Determine Whether any Misstatement and/or Omission was Material Under Section 11 by Joseph White. (Wagner, K)


11/02/2005 338 MOTION in Limine Regarding Settlement Agreement; SEC Consent Orders; SEC Complaint; and Receiver Court Filings by Joseph White. (Wagner, K)


11/03/2005 340 RESPONSE to Motion re 332 MOTION in Limine to Preclude Evidence and Argument Concerning the SEC's Failure to Proceed Against PwC in Connection with the Heartland Matter filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/03/2005 341 RESPONSE to Motion re 334 MOTION in Limine to Preclude Evidence and Argument Concerning Individualized Issues of the Class Representative filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/03/2005 342 RESPONSE to Motion re 336 MOTION in Limine to Preclude PwC from Arguing that the Jury can Consider Disclosures Made in Portions of the Registration Statements Other than the Financial Statements to Determine Whether any Misstatement and/or Omission was Material Under Sectio filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/03/2005 343 RESPONSE to Motion re 338 MOTION in Limine Regarding Settlement Agreement; SEC Consent Orders; SEC Complaint; and Receiver Court Filings filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/03/2005 344 RESPONSE to Motion re 327 MOTION in Limine RE: Scope of Potential Liability Under Section 11 filed by Joseph White. (Wagner, K)


11/03/2005 346 RESPONSE to Motion re 328 MOTION in Limine RE: PWC's Independence filed by Joseph White. (Wagner, K)


11/03/2005 348 RESPONSE to Motion re 330 MOTION in Limine RE: Opinion Testimony of Michael J. Barclay filed by Joseph White. (Wagner, K)


11/03/2005 350 RESPONSE to Motion re 329 MOTION in Limine RE: Opinion Testimony That

the Bonds Held by the Funds Were Illiquid filed by Joseph White. (Wagner, K)


11/03/2005 352 STATUS REPORT [Joint] on Parties' Agreement Re: ABA's Principles for Juries and Jury Trials by Joseph White, PricewaterhouseCoopers LLP (Attachments: # 1 Exhibit A - Juror Questionnaire# 2 Exhibit B - Cover Letter for Juror Questionnaire)(Wagner, K)


11/04/2005 354 Minute Entry for proceedings held before Judge J.P. Stadtmueller: Final Pretrial Conference held on 11/4/2005. (Court Reporter Cindy Bohman)(Chambers-jps, 2)

11/07/2005 355 REPLY BRIEF in Support re 330 MOTION in Limine RE: Opinion Testimony of Michael J. Barclay filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/07/2005 356 REPLY BRIEF in Support re 328 MOTION in Limine RE: PWC's Independence filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/07/2005 357 REPLY BRIEF in Support re 329 MOTION in Limine RE: Opinion Testimony That the Bonds Held by the Funds Were Illiquid filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/07/2005 358 REPLY BRIEF in Support re 327 MOTION in Limine RE: Scope of Potential Liability Under Section 11 filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/18/2005 359 REPLY BRIEF in Support re 336 MOTION in Limine to Preclude PwC from Arguing that the Jury can Consider Disclosures Made in Portions of the Registration Statements Other than the Financial Statements to Determine Whether any Misstatement and/or Omission was Material Under Sectio filed by Joseph White. (Wagner, K)


11/18/2005 361 REPLY BRIEF in Support re 338 MOTION in Limine Regarding Settlement Agreement; SEC Consent Orders; SEC Complaint; and Receiver Court Filings filed by Joseph White. (Wagner, K)


11/21/2005 363 MOTION to Strike Offer of Judgment as Inadequate and Made in Bad Faith by Joseph White. (Attachments: # 1 Exhibit A - PwC Offer of Judgment - 11142005)(Wagner, K)

11/21/2005 364 BRIEF in Support re 363 MOTION to Strike Offer of Judgment as Inadequate and Made in Bad Faith filed by Joseph White. (Wagner, K)


11/22/2005 366 RESPONSE to Motion re 363 MOTION to Strike Offer of Judgment as Inadequate and Made in Bad Faith filed by PricewaterhouseCoopers LLP. (Attachments: # 1 Exhibit A)(Duffy, Timothy)

11/22/2005 367 MOTION for Settlement [Motion to Approve Final Report of Claims Administrator

With Respect to the IDC Settlement by Joseph White. (Attachments: # 1 Affidavit of Michael Rosenbaum - Part 1# 2 Affidavit of Michael Rosenbaum - Part 2# 3 Affidavit of Michael Rosenbaum - Part 3# 4 Affidavit of Michael Rosenbaum - Part 4# 5 Affidavit of Michael Rosenbaum - Part 5# 6 Affidavit of Michael Rosenbaum - Part 6)(Wagner, K)

11/22/2005 368 CERTIFICATE OF SERVICE by Joseph White Re: Motion to Approve Final Report of Claims Administrator With Respect to the IDC Settlement (Wagner, K)

11/23/2005 369 Proposed Jury Instructions by Joseph White, PricewaterhouseCoopers LLP. (Attachments: # 1 Exhibit A (Agreed Statement of the Case)# 2 Exhibit B (Agreed Statement of Issues)# 3 Exhibit C (Agreed Jury Instructions)# 4 Exhibit D (Plaintiffs' Proposed Jury Instructions)# 5 Exhibit E (PwC's Proposed Jury Instructions))(Duffy, Timothy)

11/27/2005 370 BRIEF Regarding Preliminary Instruction No. 4 filed by Joseph White. (Wagner, K)


11/27/2005 372 MOTION to Exclude Untimely Trial Exhibits and to Preclude Improper Supplementation of PwC's Expert Reports by Joseph White. (Wagner, K)


11/28/2005 374 BRIEF re Preliminary Instruction No. 4 filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/28/2005 375 BRIEF in Opposition re 372 MOTION to Exclude Untimely Trial Exhibits and to Preclude Improper Supplementation of PwC's Expert Reports filed by PricewaterhouseCoopers LLP. (Duffy, Timothy)

11/28/2005 376 ORDER denying 327 Motion in Limine; denying 328 Motion in Limine; denying 329 Motion in Limine; denying 330 Motion in Limine; granting plaintiff's 332 Motion in Limine,defendant PricewaterhouseCoopers shall not introduce evidence or otherwise refer at trial to the fact that the SEC did not bring an enforcement action against defendant PwC in connection with this case; denying 334 Motion in Limine; denying 336 Motion in Limine; granting in part and denying in part 338 Motion in Limine, the parties shall not introduce evidence or otherwise refer at trial to the settlement between the plaintiff class and the Heartland defendants or to the SEC complaint or consent orders. (cc: all counsel) (Blackburn, Pat)

11/28/2005 393 Minute Entry for proceedings held before Judge J P Stadtmueller: Jury Trial begun on 11/28/2005.(Court Reporter John Schindhelm, Vicky St. George)(Chambers-jps, 2) (Entered: 01/05/2006)

12/03/2005 377 PROPOSED VERDICT filed by PricewaterhouseCoopers LLP. (Attachments: # 1 Exhibit PwC's Revised Proposed Verdict Form)(Duffy, Timothy)

12/04/2005 378 Proposed Jury Instructions by Joseph White. (Attachments: # 1 Exhibit Plaintiffs' Proposed Instructions# 2 Exhibit Plaintiffs' Proposed Verdict Form)(Wagner, K)


12/30/2005 Minute Entry for proceedings held before Judge J P Stadtmueller: Court Trial

completed on 12/30/2005 as a result of settlement. (Court Reporter John Schindhelm, Vicky St. George) (Chambers-jps, 2) (Entered: 01/05/2006)

12/30/2005 394 Most recent draft of the jury instructions. (Chambers-jps, 2) (Entered: 01/05/2006)

12/30/2005 397 Most recent draft of the special verdict form. (Chambers-jps, 2) (Entered: 01/05/2006)

01/03/2006 380 TRANSCRIPT (Vol. 1) of jury trial held on 11/28/05 before Judge J.P. Stadtmueller (Court Reporters: John T. Schindhelm & Vicky L. St. George) (vlh, )













01/05/2006 395 Jury Strike List(vlh, )

01/05/2006 396 Envelope containing Jury Communications [PAPER FORMAT ONLY](vlh, ) Note: Links in this docket are stored in the PACER system (Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at http://pacer.psc.uscourts.gov/pacerdesc.html