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DOCKET 5:80cv00841
Case Name: Ann Scala, et al v. Great American Ind., et al
Status: Terminated
Terminated: 12/30/1993
Disposition: Dismissed - Settled
Filed: 2/4/1993
Court: New York Northern District Court
Assigned to: Neal P. McCurn
Jury demand: Defendant
Amount demanded: $0.00
Nature of Suit: Other Statutes - Securities/Commodities/Exchanges (850)
Jurisdiction: Federal Question
Basis: 15:78m(a) Securities Exchange Act
Origin: 4
Office: Syracuse
County: Broome

PARTIES and ATTORNEYS
Plaintiff(s)
 Ann Scala, Plaintiff

Defendant(s)
 Anthony Mincolla, Defendant
 Burton I. Koffman, Defendant
 Chenango Industries, Inc., Defendant
 David Dyer, Defendant
 Gary Crounse, Defendant
 Great American Industries, Inc., Defendant
 Joseph M. Stack, Defendant
 Milton Koffman, Defendant
 Richard E. Koffman, Defendant
 William Starner, Defendant

Movant(s)
 Harold J. Barend, Movant

Notice Only Party(s)
 Blanche M. Stento, Notice Only Party

DOCKET DETAIL
10-17-19800.1THIS IS A SKELETON DOCKET - ORIGINAL DOCKET ON MICROFILM. (cbm) (Entered: 02/04/1993)
10-17-19801COMPLAINT filed; RECEIPT # 71985 ; (cbm) (Entered: 02/04/1993)
01-15-198112ANSWER to Complaint by Milton Koffman, Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla (Attorney Donald J. Kemple), (cbm) (Entered: 02/04/1993)
01-19-198113ANSWER to Complaint by Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman (Attorney John S. Guttman) (cbm) (Entered: 02/04/1993)
03-12-198234MEMROANDUM-DECISION AND ORDER Certifying this matter as a Class action ( signed by Chief Judge Neal P. McCurn ) (cbm) (Entered: 02/04/1993)
03-21-1983134AMENDED COMPLAINT by Alexander Wilson , , amends [1-1] complaint (cbm) (Entered: 02/04/1993)
04-08-1983136ANSWER by Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman to amended complaint (cbm) (Entered: 02/04/1993) (LM)
05-21-1984183Second AMENDED COMPLAINT by Alexander Wilson , , amends [1-1] complaint (cbm) (Entered: 02/04/1993)
05-30-1984184ANSWER by Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla to 2nd amended complaint (cbm) (Entered: 02/04/1993)
05-30-1984185ANSWER by Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman to 2nd amended complaint (cbm) (Entered: 02/04/1993)
07-29-1984199MEMORANDUM-DECISION AND ORDER denying pltf's and defts' motions for Summary Judgment ( signed by Chief Judge Neal P. McCurn ) (cbm) (Entered: 02/04/1993)
02-11-1987199.1Bench trial held (continues through 3/5/87). (cbm) (Entered: 02/04/1993)
06-12-1987228MEMORANDUM-DECISION AND ORDER granting judgment in favor of defts ( signed by Chief Judge Neal P. McCurn ) (cbm) (Entered: 02/04/1993)
06-17-1987228.1Case closed. (cbm) (Entered: 02/04/1993)
06-17-1987229JUDGMENT for Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman, Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla against Alexander Wilson (cbm) (Entered: 02/04/1993)
07-08-1987230NOTICE OF APPEAL by Alexander Wilson . (cbm) (Entered: 02/04/1993)
10-03-1988249MANDATE OF USCA (certified copy) Re: [230-1] appeal by Alexander Wilson ; reversing and remanding for further proceedings consistent w/attached slip opinion. (cbm) (Entered: 02/04/1993)
10-25-1988249.1Case re-opened. (cbm) (Entered: 02/04/1993)
06-20-1989249.2Non-jury hearing on damages, continues through 6/29/89. (cbm) (Entered: 02/04/1993)
09-05-1990291MEMORANDUM-DECISION AND ORDER awarding damages to pltf class in amt of $776,000 as a result of defts' fraudulent conduct in 1979 merger. ( signed by Chief Judge Neal P. McCurn ) (cbm) (Entered: 02/04/1993)
09-12-1990292JUDGMENT for Alexander Wilson against Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman, Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla (cbm) (Entered: 02/04/1993)
09-14-1990292.1Case closed. (cbm) (Entered: 02/04/1993)
09-21-1990293NOTICE OF APPEAL by Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman, Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla . (cbm) (Entered: 02/04/1993)
09-25-1990298NOTICE OF CROSS-APPEAL by Alexander Wilson (cbm) (Entered: 02/04/1993)
11-13-1990305JUDGMENT OF USCA (certified copy) dismissing appeal. (cbm) (Entered: 02/04/1993)
04-25-1991312ORDER directing clerk to Amend [292-1] judgment to correct interest calculation, etc. ( signed by Chief Judge Neal P. McCurn ) (cbm) (Entered: 02/04/1993)
07-02-1991312.1Amended judgment entered at JD7-194. (cbm) (Entered: 02/04/1993)
07-02-1991320ORDER that total amt of damages due to pltf class is $808,892.27, w/interest compounded annually at a rate of 9% from 10/31/79 ( signed by Chief Judge Neal P. McCurn ) (cbm) (Entered: 02/04/1993)
07-02-1991321JUDGMENT for Alexander Wilson against Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman, Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla (cbm) (Entered: 02/04/1993)
07-11-1991322NOTICE OF APPEAL by Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman, Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla . (cbm) (Entered: 02/04/1993)
07-18-1991328NOTICE OF CROSS-APPEAL by Alexander Wilson (cbm) (Entered: 02/04/1993)
08-21-1991334Bill of costs taxed in favor of pltf and against all defts in amt of $13,484.74. [entered at JD7-194] (cbm) (Entered: 02/04/1993)
12-26-1991354ORDER directing that defts file a supplemental supersedeas bond, and that stay shall remain in effect pending determination of appeal ( signed by Chief Judge Neal P. McCurn ) (cbm) (Entered: 02/04/1993)
02-04-1993354.1Case re-opened. (cbm) (Entered: 02/04/1993)
02-04-1993355LETTER of the Court scheduling a post trial conference for 2/16/93 at 2:30 p.m. (fce) (Entered: 02/09/1993)
02-16-1993356Minute entry for 2/15/93: Tel. Conf. - attys. to advise Ct by 3/10/93 on settlement negotiations; if close to settlement, action stayed; if require intervention of settlement judge, Ct will appoint one; if no settlement, Ct to issue order setting schedule for briefs, etc., as to 15 USC Sec. 14(a), 10(b) & 18(a) of 1934 Act & 15 USC Sec. 12(2) of 1933 Act & attys. to designate proof already in the record in support of their respective positions. APP: Peter Bouman for Pltfs.; John Guttman & Donald Kemple for Defts. Court Reporter/ECRO: None (Law Clerk - DEM) (lmp) (Entered: 02/16/1993)
05-26-1993357MANDATE OF USCA (certified copy), issued 5/20/93, Re: defts' [322-1] appeal and pltf's [328-1] cross-appeal; affirming in part, reversing in part the judgment of the district court, and remanding for further proceedings in accordance w/attached slip opinion. (cbm) (Entered: 05/26/1993)
06-25-1993357.1Record on appeal returned from U.S. Court of Appeals: [322-1] appeal by Anthony Mincolla, William Starner, David Dyer, Gary Crounse, Joseph M. Stack, Chenango Industries, Richard E. Koffman, Burton I. Koffman, Milton Koffman, Great American Ind. (bam) (Entered: 06/25/1993)
08-25-1993358MEMORANDUM OF LAW by pltf. Alexander Wilson in support of its application to subsititue Ann Wilson Scala, Executrix of the Estate of Alexander Wilson, as the class representative in this action (dmf) (Entered: 09/01/1993)
08-25-1993359AFFIDAVIT of Mark S. Gorgos, Esq. by Alexander Wilson Re: [358-1] support of the pltf's application for permission to substitute Ann Wilson Scala, Executrix of the Estate of Alexander Wilson; with exhibit (dmf) Modified on 09/03/1993 (Entered: 09/01/1993)
08-25-1993360AFFIDAVIT of Ann Wilson Scala by Alexander Wilson Re: [358-1] application to substitute Ann Wilson Scala, Executrix of the Estate of Alexander Wilson (dmf) (Entered: 09/03/1993)
08-25-1993361ORDER granting [358-1] Application to substitute Ann Wilson Scala, Executrix of the Estate of Alexander Wilson ( signed by Senior Judge Neal P. McCurn 8/31/93 ) (dmf) (Entered: 09/03/1993)
08-25-1993362PROPOSED STRIPULATION OF SETTLEMENT; with exhibit (dmf) (Entered: 09/03/1993)
08-25-1993363AFFIDAVIT of Peter H. Bouman, Esq. in support of Re: [362-1] Proposed Stipulation of Settlement; with exhibits (dmf) (Entered: 09/03/1993)
08-25-1993364ORDER: that hearing be held to determine whether settlement Re: [362-1] should be approved by court and notice of hearing should be given to members of pltf. class pursuant to Fed. R.Civ.P. 23(e) ; RESPONSE papers in support of proposed settlement & application for counsel fees & to be served & filed by 10/1/93; REPLY papers and briefs to be served & filed no later than 10/15/93; HEARING set for 3:00 PM on 11/29/93; class counsel shall cause annexed Notice to be mailed to class members whose current address can be located no later than 9/24/93; class counsel to file w/court Affidavit setting forth names of class members whose current address can't be located & methods used to do so by 9/24/93; court then to direct manner & date by which class counsel to notify these class memebers; class counsel to file w/ clerk by 10/23/93 Affidavit identifying members of class to whom Notice mailed & to whom such other notice has been provided; Ann Scala appointed as class representative for purposed of settlement; any calss member wishing to be heard at hearing must file notice of intention to appear & basis for opposiiton & serve copies upon class counsel & defendants no later than 11/11/93; within 5 days of filing of this order defts to pay to Ann Scala, as class representative, $1,900,000.00, to be held by her in trust for benefit of class members in accordance w/ terms of settlement stipulation; (Signed by Senior Judge Neal P. McCurn) (dmf) Modified on 09/03/1993 (Entered: 09/03/1993)
09-13-1993365NOTICE of Hearing on Proposed Settlement; copies returned to Atty. Bouman for service on pltf. class (dmf) (Entered: 09/13/1993)
09-28-1993366ORDER TO SHOW CAUSE: by Pltf. Ann Scala Why Defts. should not be held in contempt of Court Order of 8/32/93 , Why judgment should not be entered against all Defts. for $1.9 million , for Attorney Fees & Costs and for Sanctions ; Order directing Hearing Notice be mailed by 9/24/93 is held in abeyance pending this hearing; service of this Order shall be made by express mail by 9/27/93. Show Cause Hearing set for 2:00 p.m. on 10/4/93 in Syracuse, NY, before Judge McCurn. Attached hereto are Affidavits of Peter H. Bouman and Douglas F. Bissonette. (Signed by Senior Judge Neal P. McCurn dtd 9/24/93) (lmp) (Entered: 09/28/1993)
10-01-1993367Scheduling Notice: Letter from Atty. Bouman dtd 9/30/93, withdrawing [366-1] motion Why Defts. should not be held in contempt of Court Order of 8/32/93 and withdrawing [366-2] motion Why judgment should not be entered against all Defts. for $1.9 million, confirming Judge McCurn has authorized Pltf. to mail Notice of Hearing to class members on 10/1/93 & to submit fee application by 10/7/93 , Motion Hearing set for 3:00 p.m. on 11/29/93 re: [366-3] motion for Attorney Fees & Costs and re: [366-4] motion for Sanctions (lmp) (Entered: 11/26/1993)
10-12-1993368MEMORANDUM OF LAW by Ann Scala in support of [366-3] motion for Attorney Fees & Costs (dmf) (Entered: 10/13/1993)
10-12-1993369AFFIDAVIT of Peter H. Bouman, Esq. by Ann Scala in support Re: [366-3] motion for Attorney Fees & Costs; with exhibits (dmf) (Entered: 10/13/1993)
10-27-1993370LETTER from H.J. Barend dtd 10/26/93 (dmf) (Entered: 10/27/1993)
11-01-1993371AFFIDAVIT of Peter H. Bouman, Esq. by Ann Scala Re: 364 the Hearing Order filed on 8/25/93, with exhibits (dmf) Modified on 11/02/1993 (Entered: 11/02/1993)
11-01-1993372AFFIDAVIT of Tracy Poplawski, Esq. by Ann Scala Re: 364 the Hearing Order filed on 8/25/93, with exhibits (dmf) (Entered: 11/02/1993)
11-12-1993373ORDER - that the notice of the 11/29/93 hearing to determine whether the proposed settlement in this case should be approved shall be provided to Mary Ann Carroll, Paul E. Crounch, Charles Deegan, Virginia Mayne, Clarence Obletz, Albert Tice and Electronic Management Associates by placing a legal notice in the Wall Street Journal by 11/12/93; the contents of the notice shall be that set forth in Exhibit A attached to the 10/29/93 affidavit of Peter H. Bouman; the 11/11/93 deadline for filing objections is hereby waived (signed by Senior Judge Neal P. McCurn 11/3/93) (dmf) (Entered: 11/12/1993)
11-15-1993374AFFIDAVIT of Janet M. Budine by Ann Scala Re: [373-1] order; attached is original notice printed in The Wall Street Journal on 11/12/93 (dmf) (Entered: 11/15/1993)
11-15-1993375AFFIDAVIT of Notice by Publication of Peter H. Bouman, Esq. by Ann Scala Re: [373-1] Order of 11/3/93i; with exhibit (dmf) (Entered: 11/15/1993)
11-23-1993376AFFIDAVIT by Peter H. Bouman for Pltf. Ann Scala Re: [366-3] motion for Attorney Fees & Costs and [366-4] motion for Sanctions (lmp) (Entered: 11/23/1993)
11-29-1993377Minute entry: [366-3] motion for Attorney Fees & Costs & [366-4] motion for Sanctions - denied; Atty. Guttman to submit proposed order; and [364-1] motion to approve proposed settlement of class action & for Attorney Fees & Costs - granted; Atty. Bouman to submit proposed order w/copy to Defts. attys. who have 5 days to file objections in writing w/Court. APP: Peter Bouman & Richard Mertens for Pltfs.; John Guttman & Donald Kemple for Defts. Court Reporter/ECRO: K. Crewell (Law Clerk - DEM) (lmp) (Entered: 11/29/1993)
12-20-1993378ORDER denying [366-3] motion for Attorney Fees & Costs denying [366-4] motion for Sanctions. Each side shall bear its own costs. ( signed by Senior Judge Neal P. McCurn on 12/20/93 ) (fce) (Entered: 12/21/1993)
12-28-1993379ORDER, Re: Settlement The settlement offer dated 8/24/93 is approved. Ann Scala is authorized and empowered to settle and compromise the action and claims for $1,900,000.00 in accordance w/terms and conditions of the Stip. of Settlement dated 8/24/93. Deductions from the Settlement Fund - Coughlin & Gerhart, as counsel to pltf. class, to receive $659,465.50 for services, and, an additional sum of $230,209.07 for costs and expenses (Cahill, Gordon & Reindel to rec. $100,000.00 of this amt.) . The amt. of $10,325.43 shall be set aside to pay costs and disbursements incurred in the administration and distribution of funds (Coughlin & Gerhart to rec. $4,168.13 of this amt. for publishing the notice in the Wall Street Journal). On or after 12/29/93, and within 5 days, counsel for the defts. shall certify to the court, and counsel for the pltf. class, that no Petition in Bankruptcy or insolvency proceeding has been filed. Upon receipt of said certification, a final Order of this Court shall be entered dismissing the complaint, directing the class representative to deliver an executed release and authorizing the distribution of Settlement Funds as outlined. The Court shall retain jurisdiction in this action. ( signed by Senior Judge Neal P. McCurn on 12/23/93 ) (fce) (Entered: 12/29/1993)
12-30-1993379.1Case closed (fce) (Entered: 01/05/1994)
12-30-1993380FINAL ORDER, to Dismiss In accordance w/conditions of Stip. of Settlement, the compaint is dismissed on merits and w/prejudice, and without costs or disbursements to any party. Ann Scalais is authorized and directed to execute and deliver a release and distribute the Settlement Funds, as outlined in said Order, on or before 1/31/94. ( signed by Senior Judge Neal P. McCurn on 12/30/93 ) (fce) (Entered: 01/03/1994)
12-30-1993381Certification by Defts that no Petition in Bankruptcy or other insolvency has been filed by or against any of the defts. (fce) (Entered: 01/03/1994)
12-30-1993382ORDER, The Clerk of the U.S. Dist. Court to pay to the attys. for the defts. $78,877.61 plus the interest, which has been in an interest bearing account since 1/10/92. ( signed by Senior Judge Neal P. McCurn 12/30/93 ) (fce) (Entered: 01/03/1994)
01-26-1994383MOTION to Intervene by Harold J. Barend , Hearing set for 10:00 2/10/94 , Response Deadline 1/27/94 , Reply to Response Deadline 2/3/94 Motion returnable before Judge/Mag. Judge: McCurn w/attached Affidavit of Harold J. Barend (lmp) (Entered: 01/26/1994)
01-26-1994384Scheduling Notice: Letter by Law Clerk Moore dtd 1/26/94 to Atty. Allio advising motion papers are deficient & he must comply w/Local Rule 10 by 2/8/94; Motion Hearing rescheduled for 3/1/94 re: [383-1] motion to Intervene by Harold J. Barend , Response to Motion reset to 2/15/94 for [383-1] motion to Intervene by Harold J. Barend , Reply to Response to Motion reset to 2/22/94 for [383-1] motion to Intervene by Harold J. Barend; motion to be taken on submission without oral argument; copies of letter sent to Attys. Bouman, Guttmann & Kemple. (lmp) (Entered: 01/26/1994)
02-09-1994385RE-NOTICE OF MOTION TO INTERVENE by Harold J. Barend with AFFIDAVITS by Harold J. Barend and Remo A. Allio, Esq. in support of: [383-1] motion to Intervene by Harold J. Barend, returnable 3/1/94 in Albany, NY, before Senior Judge McCurn w/Affidavits of Service. (lmp) (Entered: 02/09/1994)
02-09-1994386MEMORANDUM by Harold J. Barend in support of [383-1] motion to Intervene by Harold J. Barend (lmp) (Entered: 02/09/1994)
02-15-1994387AFFIDAVIT in OPPOSITION by John S. Guttmann, Esq. for Great American Ind., Milton Koffman, Burton I. Koffman, Richard E. Koffman Re: [383-1] motion to by Harold J. Barend. (fce) (Entered: 02/15/1994)
02-15-1994388AFFIDAVIT in OPPOSITION by Donald J. Kemple, Esq. for Chenango Industries, Joseph M. Stack, Gary Crounse, David Dyer, William Starner, Anthony Mincolla Re: [383-1] motion to Intervene by Harold J. Barend. (fce) (Entered: 02/15/1994)
02-16-1994389AFFIDAVIT and attached Exhibits A-E by Peter H. Bouman, Esq. for Ann Scala in Opposition Re: [383-1] motion to Intervene by Harold J. Barend. (fce) (Entered: 02/16/1994)
03-01-1994390Minute entry: [383-1] motion to Intervene by Harold J. Barend - submitted. APP: None Court Reporter/ECRO: None (Law Clerk - DEM) (lmp) (Entered: 03/01/1994)
03-07-1994391ORDER denying [383-1] motion to Intervene by Harold J. Barend ( signed by Senior Judge Neal P. McCurn on 3/4/94 ) (fce) (Entered: 03/09/1994)
11-08-1994392LETTER MOTION by Richard W. Mertens, Esq. for Ann Scala for the remaining bal. of the Settlement Fund ($4,063.87) be issued to offset espenses incurred in locating the missing class members, and the paralegal time spent Motion returnable before Judge/Mag. Judge: McCurn (fce) (Entered: 11/18/1994)
11-08-1994393AFFIDAVIT W/Attached Exhibits A & B of Richard W. Mertens, Esq. for pltf. in Support Re: [392-1] motion for the remaining bal. of the Settlement Fund ($4,063.87) be issued to offset espenses incurred in locating the missing class members, and the paralegal time spent. (fce) (Entered: 11/18/1994)
11-08-1994394AFFIDAVIT of Tracy Poplawski W/Attached Exhibits A-C in Support Re: [392-1] motion for the remaining bal. of the Settlement Fund ($4,063.87) be issued to offset espenses incurred in locating the missing class members, and the paralegal time spent (fce) (Entered: 11/18/1994)
11-17-1994395ORDER granting [392-1] motion for the remaining bal. of the Settlement Fund ($4,063.87) be issued to offset expenses incurred in locating the missing class members, and the paralegal time spent ( signed on 11/15/94 by Senior Judge Neal P. ) (fce) (Entered: 11/18/1994)
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