This case was last updated from U.S. District Courts on 09/02/2021 at 11:03:16 (UTC).

Johnson et al v. National Securities Corporation et al

Case Summary

On 07/03/2019 Johnson filed a Finance - Security/Commodity/Exchange lawsuit against National Securities Corporation. This case was filed in U.S. District Courts, New York Southern District Court. The Judges overseeing this case are Laura Taylor Swain and Ona T. Wang. The case status is Disposed - Other Disposed.
Case Details Parties Documents Dockets

 

Case Details

  • Case Number:

    1:19-CV-06197

  • Filing Date:

    07/03/2019

  • Case Status:

    Disposed - Other Disposed

  • Case Type:

    Finance - Security/Commodity/Exchange

Judge Details

Presiding Judge

Laura Taylor Swain

Referral Judge

Ona T. Wang

 

Party Details

Plaintiff

Kay Johnson

Defendants

National Securities Corporation

Michael Singer

Daniel Hume

Jeffrey Gary

Neil Herskowitz

Billy Groeneveld

National Asset Management, Inc.

National Holdings Corporation

Rene Kageff

John Does 1-10

Michael Mullen

Daniel Ortega

Barbara Creagh

Robert Fagenson

Glenn Worman

Michael Weiss

Athanassios Michas

Nassos Michas

Nominal Defendant and Defendant

National Holdings Corporation

Attorney/Law Firm Details

Plaintiff Attorneys

Kari Parks

Ryan James Whalen

Defendant and Nominal Defendant Attorneys

Michael G. Bongiorno

Andrew Nathan Goldman

Jonathan D Rosenfeld

 

Court Documents

#106

#105

#104

#103

#102

#101

#100

#99

#78

#6

#5

#4

#3

#2

1 #3

Exhibit Exhibit B

1 #2

Exhibit Exhibit A

1 #1

Affidavit Verification of Kay Johnson

#1

131 More Documents Available

 

Docket Entries

  • 03/08/2021
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  • Docket(#106) MEMO ENDORSEMENT on re: #105 Notice of Settlement filed by Kay Johnson. ENDORSEMENT: SO ORDERED. (Signed by Judge Laura Taylor Swain on 3/8/2021) (mro) (Entered: 03/09/2021)

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  • 03/04/2021
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  • Docket(#105) NOTICE of Settlement . Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari) (Entered: 03/04/2021)

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  • 02/08/2021
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  • Docket(#104) ORDER OF DISMISSAL: The attorneys for the parties have advised the Court that this putative class action has been or will be settled. Accordingly, it is hereby ORDERED that this action is dismissed with prejudice as to the named plaintiff and without prejudice as to all other plaintiffs and without costs to either party, but without prejudice to restoration of the action to the calendar of the undersigned if settlement is not achieved within thirty (30) days of the date of this Order. If a party wishes to reopen this matter or extend the time within which it may be settled, the party must make a letter application before this thirty (30)-day period expires. The parties are advised that if they wish the Court to retain jurisdiction in this matter for purposes of enforcing any settlement agreement, they shall submit the settlement agreement to the Court to be so ordered. SO ORDERED. (Signed by Judge Laura Taylor Swain on 2/08/2021) (ama) (Entered: 02/08/2021)

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  • 01/29/2021
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  • Docket(#103) STATUS REPORT. (Eighth Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael) (Entered: 01/29/2021)

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  • 01/21/2021
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  • Docket(#102) MEMO ENDORSEMENT: on re: #101 Status Report filed by Kay Johnson. ENDORSEMENT: In light of the progress of settlement efforts, the pending motion to dismiss the complaint (DE# 78) is terminated without prejudice to restoration if settlement efforts are unsuccessful. SO ORDERED., Motions terminated: #78 MOTION to Dismiss Amended Verified Complaint filed by Athanassios Michas, Barbara Creagh, Robert Fagenson, National Securities Corporation, Daniel Ortega, Daniel Hume, Jeffrey Gary, Michael Singer, Glenn Worman, National Asset Management, Inc., Michael Mullen, National Holdings Corporation, Rene Kageff, Billy Groeneveld. (Signed by Judge Laura Taylor Swain on 1/21/2021) (ama) (Entered: 01/21/2021)

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  • 01/20/2021
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  • Docket(#101) STATUS REPORT. Parties have agreed on monetary terms of settlement Document filed by Kay Johnson(derivatively on behalf of National Holdings Corporation), Kay Johnson(Individually)..(Parks, Kari) (Entered: 01/20/2021)

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  • 01/04/2021
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  • Docket(#100) STATUS REPORT. (Seventh Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael) (Entered: 01/04/2021)

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  • 12/28/2020
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  • Docket(#99) STIPULATION AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Magistrate Judge Ona T. Wang on 12/28/2020) (va) (Entered: 12/28/2020)

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  • 12/22/2020
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  • Docket(#98) JOINT LETTER addressed to Magistrate Judge Ona T. Wang from Michael G. Bongiorno dated December 22, 2020 re: Differing Protective Order. Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman. (Attachments: #1 Exhibit A - Proposed Protective Order, #2 Exhibit B - Blackline Comparison).(Bongiorno, Michael) (Entered: 12/22/2020)

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  • 12/04/2020
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  • Docket(#97) STATUS REPORT. (Sixth Joint Status Report) Document filed by Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Daniel Hume, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Glenn Worman..(Bongiorno, Michael) (Entered: 12/04/2020)

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101 More Docket Entries
  • 07/03/2019
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  • Docket(#10) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Neil Herskowitz, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#9) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Michael Weiss, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#8) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Rene Kageff, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#7) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Daniel Ortega, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#6) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Billy Groeneveld, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#5) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Glenn Worman, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#4) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Michael Mullen, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#3) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to National Asset Management, Inc., re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#2) FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to National Securities Corporation, re: #1 Complaint,,. Document filed by Kay Johnson. (Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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  • 07/03/2019
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  • Docket(#1) FILING ERROR - DEFICIENT PLEADING - SIGNATURE ERROR - COMPLAINT against Barbara Creagh, Robert Fagenson, Jeffrey Gary, Billy Groeneveld, Neil Herskowitz, Daniel Hume, John Does 1-10, Rene Kageff, Athanassios Michas, Michael Mullen, National Asset Management, Inc., National Holdings Corporation, National Securities Corporation, Daniel Ortega, Michael Singer, Michael Weiss, Glenn Worman. (Filing Fee $ 400.00, Receipt Number ANYSDC-17185141)Document filed by Kay Johnson. (Attachments: #1 Affidavit Verification of Kay Johnson, #2 Exhibit Exhibit A, #3 Exhibit Exhibit B)(Parks, Kari) Modified on 7/8/2019 (jgo). (Entered: 07/03/2019)

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