Motions and documents in Keach v. U.S. Trust Co., N.A. et al.,

In December 1995, U.S. Trust caused the Foster & Gallagher, Inc. ESOP to purchase about 26% of the shares of Foster & Gallagher for about $70 million. In 1998, the reported net value of all ESOP assets declined by more than 90%, from $82 million to just over $7 million. Pursuing ERISA fiduciary and party in interest claims.

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First Amended Complaint
Appeal from Judge Mihm's Ruling
Ashley Anne Foster
Bartley, Norbutas and Stuber
Dickes
ESOP Committee Defendants
Foster & Regal
Freid
Gehring Defendants
Hodgson
Houlihan Lokey
Northern Trust
Pellegrino & Ostertag
McAllister
Valuemetrics
U.S. Trust
Orders

 

Document Date File
First Amended Complaint 09/14/02
File Size 1,393k
Appeal from Judge Mihm's Ruling
Brief of Plaintiffs-Appellants 06/22/04
File Size 3,442k
Separate Appendix to Brief 06/22/04
File Size 10,144k
Ashley Anne Foster
Defendants' Rule 15 Motion to Amend
Answer
09/--/02
File Size 167k
Plaintiffs' Response to Defendant's
Rule 15 Motion to Amend Answer
09/19/02
File Size 802k
Defendants' Reply Brief in Support of
Rule 15 Motion to Amend Answer
 10/01/02
File Size 313k
A. Foster Motion for Summary Judgement
Foster
 11/04/02
File Size 311k
Plaintiffs' Response to Ashley Anne
Foster
 12/13/02
File Size 484k
Plaintiffs' Consolidated Sur-Reply to the
Summary Judgment Motions of Dickes, the Gehring Defendants and A. Foster
 01/21/03
File Size 309k
A. Foster Response to Plaintiffs'
Sur-Reply
 01/31/03
File Size 78k
Order - Ashley Anne Foster Motion for
Summary Judgment is granted
 02/26/03
File Size 179k
Bartley, Norbutas and Stuber
Defendants' Rule 15 Motion to Amend
Answer
09/--/02
File Size 167k
Plaintiffs' Response to Defendant's
Rule 15 Motion to Amend Answer
09/19/02
File Size 802k
Defendants' Reply Brief in Support of
Rule 15 Motion to Amend Answer
 10/01/02
File Size 313k
Bartley, Norbutas and Stuber
Motion for Summary Judgemnt
 12/06/02
File Size 718k
Plaintiff's Response to Stuber
Motion for Summary Judgment
 01/17/03
File Size 2,555k
Reply Brief of Bartley, Norbutas
Stuber in Support of Their Motion for Summary Judgment
 01/31/03
File Size 450k
Order - Bartley, Norbutas and Stuber
for Summary Judgment is granted in part and denied in part
 03/05/03
File Size 435k
Order - Bartley, Norbutas and Stuber to
Amend Answer granted in part and denied in part
 03/17/03
File Size 68k
Dickes
Order - E. Foster & Northern Trust
Motion to Dismiss is Denied; Dickes' Motion to Dismiss is Granted as it pertains to eighth claim, but Denied in all other respects
 11/09/01
File Size 1,127k
Dickes' Motion for Summary Judgment
 07/29/02
File Size 9,978k
Order - Plaintiff's Motion for Extension
of Time to File Response to Dickes' Motion for Summary Judgment is Granted
 08/16/02
File Size 59k
Response to Defendant Dickes' Motion
for Summary Judgment
09/09/02
File Size 4,200k
Dickes' Reply to Plantiffs'
Response to Motion for Summary Judgment
10/02/02
File Size 2,195k
Plaintiffs' Consolidated Sur-Reply to the
Summary Judgment Motions of Dickes, the Gehring Defendants and A. Foster
 01/21/03
File Size 309k
Dickes' Response to Plaintiffs'
Consolidated Sur-Reply to Summary Judgment Motions
 01/31/03
File Size 297k
Order - Dickes' Motion for Summary
Judgmentis Granted in part and denied in part
 02/18/03
File Size 284k
ESOP Committee Defendants
Cole, Dix, Elletsonand Ostertag, Motion
for Summary Judgment
09/11/02
File Size 1,659k
Plaintiffs' Response to ESOP Committee
Defendants' Motion for Summary Judgment
 10/07/02
File Size 2,755k
ESOP Committee Defendants' Reply
in Support of Motion for Summary Judgment
 10/30/02
File Size 730k
Motion for Leave to
Supplement Affirmative Defenses of Defendant: Pellegrino (Count V), ESOP Committee Defendants (Count IV), and Ostertag and Pellegrino (Count IX)
 12/03/02
File Size 174k
Foster & Regal
Order - E. Foster & Northern Trust
Motion to Dismiss is Denied; Dickes' Motion to Dismiss is Granted as it pertains to eighth claim, but Denied in all other respects
 11/09/01
File Size 1,127k
E. Foster and Regal Motion for
Summary Judgment
 04/25/02
File Size 781k
Plaintiffs' First Motion for Summary
Judgment as to Liability Against E. Foster and Regal: Admitted Failure to Disclose Material Information
06/04/02
File Size 3,170k
E. Foster and Regal Response
to Plaintiffs' First Motion for Summary Judgment As to Liability
08/01/02
File Size 1,623k
Plaintiffs' Reply in Support of
Their First Motion for Summary Judgment As to Liability Against E. Foster and Regal
08/26/02
File Size 1,011k
Defendants' Rule 15 Motion to Amend
Answer
09/--/02
File Size 167k
Plaintiffs' Response to Defendant's
Rule 15 Motion to Amend Answer
09/19/02
File Size 802k
Defendants' Reply Brief in Support of
Rule 15 Motion to Amend Answer
 10/01/02
File Size 313k
Order - Plaintiffs' Motion for Partial
SummaryJudgement as to Liability against E. Foster and Regal
 11/18/02
File Size 401k
Plaintiffs' Second Motion for Summary
Judgment Against E. Foster and Regal
 11/22/02
File Size 961k
E. Foster and Regal Response
to Plaintiffs' Second Motion for Summary Judgment As to Liability
12/06/02
File Size 234k
E. Foster and Regal Second
Motion for Summary Judgment
12/06/02
File Size 203k
Plaintiffs' Response to E. Foster and
Regal Motion for Summary Judgment
 01/17/03
File Size 846k
E. Foster and Regal Reply in Support of
their Motion for Summary Judgment
 01/31/03
File Size 376k
E. Foster Reply Brief in Support of
Second Motion for Summary Judgment as to Liability
 01/31/03
File Size 161k
Order - E. Foster Second Motion
for Summary Judgment is granted
 03/05/03
File Size 100k
Order - E. Foster and Regal Motion
for Summary Judgment denied in part and moot in part
 03/06/03
File Size 133k
Order - E. Foster and Regal breach
of ERISA Sec. 404 Duty of Loyalty is denied in part and moot in part
 03/06/03
File Size 92k
Freid
Freid's Motion for Summary Judgment
 12/04/02
File Size 632k
Plaintiff's Response to Freid Motion for
Summary Judgment
 12/04/02
File Size 1,652k
Reply to Plaintiff's Response to
Freid's Motion for Summary Judgment
 01/31/03
File Size 230k
Order - Freid Motion for
Summary Judgment is granted in part and denied in part
 02/27/03
File Size 213k
Gehring Defendants
Gehring Defendants' Motion for
Summary Judgment
 10/08/02
File Size 1,163k
Plaintiffs' Response to Gehring
Defendants' Motion for Summary Judgment
 11/07/02
File Size 2,711k
Gehring Defendants' Reply in Support
of Their Motion for Summary Judgment
 12/03/02
File Size 1,571k
Plaintiffs' Consolidated Sur-Reply to the
Summary Judgment Motions of Dickes, the Gehring Defendants and A. Foster
 01/21/03
File Size 309k
Order - Hodgson motion for
Summary Judgment is Denied
 02/24/03
File Size 309k
Hodgson
Hodgson's Motion for Summary Judgment
 12/05/02
File Size 640k
Plaintiff's Response to Hodgson Motion
for Summary Judgment
 01/17/03
File Size 1,624k
Reply to Plaintiff's Response to
Hodgson's Motion for Summary Judgment
 01/31/03
File Size 232k
Order - Hodgson Motion for
Summary Judgment is Denied
 02/28/03
File Size 89k
Houlihan Lokey
Houlihan, Lokey Motion for Summary
Judgment
 09/04/02
File Size 313k
Plaintiffs' Response to Defendant
Houlihan, Lokey Motion for Summary Judgment
09/30/02
File Size 1,298k
Houlihan, Lokey Reply in Support of
their Motion for Summary Judgment
 10/24/02
File Size 705k
Order - Houlihan Lokey Motion
for Summary Judgment is Granted
12/12/02
File Size 159k
Northern Trust
Order - E. Foster and Northern Trust
Motion to Dismiss Denied; Dickes' Motion to Dismiss is Granted as it pertains to Plaintiff's eighth claim, but Denied in all other respects
 11/09/01
File Size 1,127k
Pellegrino & Ostertag
Motion for Leave to Supplement
Affirmative Defenses of: Pellegrino (Count V), ESOP Committee Defendants (Count IV), and Ostertag and Pellegrino(Count IX)
 12/03/02
File Size 401k
Ostertag and Pellegrino Motion
for Summary Judgment Count IX
 12/04/02
File Size 401k
Pellegrino Motion for Leave to
File Oversized Motion for Summary Judgment Regarding (Count V)
 12/05/02
File Size 50k
Plaintiffs’ Response to Defendants’
Motion to Supplement Affirmative Defenses
 12/20/02
File Size 288k
Order - Ostertag, Cole, Dix, and Elletson
Motion for Summary Judgment is Granted In Part and Denied In Part.
 12/18/02
File Size 147k
Plaintiff's Response to Ostertag
& Pelligrino Motion for Summary Judgment
 01/17/03
File Size 1,599k
Reply Memorandum in Support of
Ostertag and Pellegrino's Motion for Summary Judgement (Count IX)
 01/30/03
File Size 449k
Pellegrino Reply to Plaintiff's Response
to Motion of Summary Judgement (Count V)
 01/30/03
File Size 147k
Order - Pellegrino Motion for
Summary Judgement on Count V: motion is Denied
 03/06/03
File Size 203k
Order - Ostertag and Pellegrino
Motion for Summary Judgement granted in part and denied in part
 03/10/03
File Size 245k
McAllister
McAllister's Motion for
Summary Judgment
 12/05/02
File Size 736k
Plaintiff's Response to McAllister Motion
for Summary Judgment
 01/17/03
File Size 1,623k
McAllister's Reply in Support of
His Motion for Summary Judgment
 01/31/03
File Size 255k
Order - McAllister Motion for
Summary Judgement is granted
 02/26/03
File Size 203k
Valuemetrics
Order - Plaintiffs' Motion to Withdraw,
Motion to Compel Valuemetrics to Respond to Interrogatories and Production of Documents is Allowed; Plaintiffs' Resubmitted Motion to Compel is Denied
05/03/02
File Size 1,462k
Valuemetrics Motion for Summary
Judgment
10/11/02
File Size 882k
Plaintiffs' Response to Valuemetrics'
Motion for Summary Judgment
 11/22/02
File Size 1,734k
Valumetrics Reply Brief in
Support of its Motionfor Summary Judgment
 12/19/02
File Size 961k
Order - Valuemetrics' Motion
for Summary Judgment is Granted.
 12/30/02
File Size 467k
Docket Entry - Certain Defendants’
motion for leave to amend by interlineation is Granted and motion for leave to file original affidavits is GRANTED.
 12/30/02
File Size 23k
U.S. Trust
Plaintiffs' Motion for Summary
Judgment as to Liability Against U.S. Trust: Absence of Authority
06/12/02
File Size 819k
Plaintiffs' Second Motion for Summary
Judgment as to Liability Against U.S. Trust: Breach of Loyalty and Prudence, Failure to Investigate
06/21/02
File Size 1,302k
Plaintiffs' Third Motion for Summary
Judgment as to Liability Against U.S. Trust: ERISA Sec. 406 Prohibited Transactions
 07/19/02
File Size 303k
U.S. Trust Company's Response to
Plaintiffs' Motion for Summary Judgment as to Liability Against U.S. Trust: Absence of Authority
08/05/02
File Size 578k
U.S. Trust Company's Response to
Plaintiffs' Second Motion for Summary Judgment as to Liability Against U.S. Trust: Breach of Loyalty and Prudence, Failure to Investigate
08/14/02
File Size 1,358k
Order - U.S. Trust Motion
to Compel Discovery from Plaintiffs is Denied
08/19/02
File Size 246k
U.S. Trust Response to Plaintiffs'
Third Motion for Summary Judgment as to Liability Against U.S. Trust: ERISA § 406 Prohibited Transactions on December 20, 1995
08/30/02
File Size 330k
Plaintiffs' Reply in Support of
First Motion for Summary Judgment as to Liability Against U.S. Trust: Absence of Authority
08/30/02
File Size 609k
U.S. Trust's Alternative Motion for
Leave to File an Amended Answer
08/30/02
File Size 664k
Plaintiffs' Combined Reply in Support
of Third Motion for Summary Judgment as to Liability Against U.S. Trust and Response to U.S. Trust's Alternative Motion for Leave to File an Amended Answer
09/09/02
File Size 318k
Plaintiffs' Reply in Support of
Second Motion for Summary Judgment as to Liability Against U.S. Trust: Breach of Loyalty and Prudence: Failure to Investigate
 09/16/02
File Size 435k
U.S. Trust Motion to File a Reply
in Support of Its Alternative Motion for Leave to File Amended Answer
09/16/02
File Size 90k
U.S. Trust Company's Reply in
Further Support of Its Alternative Motion for Leave to File Amended Answer
 09/16/02
File Size 169k
US Trust Motion for Partial
Reconsideration
 11/27/02
File Size 358k
Order - Plaintiffs' Three Motions
for Summary Judgment are denied; US Trust Alternative Motion is granted
 11/27/02
File Size 527k
U.S. Trust Company's Motion for
Summary Judgment
 12/04/02
File Size 2,400k
U.S. Trust answer and affirmative
defenses to First Amended Complaint
 12/09/02
File Size 732k
Order, 12/11/02
 12/11/02
File Size 38k
Plaintiffs' Response to US Trust
Motion for Partial Reconsideration
 12/12/02
File Size 191k
Plaintiffs' Response to Order
Entered On December 11, 2002
 12/20/02
File Size 159k
Plaintiffs' Response to US Trust Motion
for Summary Judgment
 01/17/03
File Size 2,945k
Order - U.S. Trust ordered to provide
copy of the Joint Defense Agreement
01/30/02
File Size 796k
Reply Memorandum in Further Support of
Defendant U.S. Trust Motion for Summary Judgment
 01/31/03
File Size 959k
Order - US Trust's MSJ is
granted in part and denied in part
 03/11/03
File Size 114k
Orders
Order - E. Foster and Northern Trust
Motion to Dismiss Denied; Dickes' Motion to Dismiss is Granted as it pertains to Plaintiff's eighth claim, but Denied in all other respects
 11/09/01
File Size 1,127k
Orders Regarding Motions and
Scheduling Determined at the Nov. 8, 2001 Hearing
12/07/01
File Size 525k
Order - U.S. Trust ordered to provide
Plaintiffs with a copy of the Joint Defense Agreement
 01/30/02
File Size 796k
Order - Plaintiffs' Motion to Withdraw,
Motion to Compel Valuemetrics to Respond to Interrogatories and Production of Documents is Allowed; Plaintiffs' Resubmitted Motion to Compel is Denied
05/03/02
File Size 1,462k
Order - F&G's Motion to Compel
Plaintiffs to Return Privileged Documents is Denied
06/20/02
File Size 219k
Order - Plaintiff's Motion for an
Extension of Time to File Response to Dickes' Motion for Summary Judgment is Granted
 08/16/02
File Size 59k
Order - Motion for Leave to File
Instanter Response to Plaintiffs' Motion for Summary Judgment by Valuemetrics is Denied
8/16/02
File Size 40k
Order - Defendant U.S. Trust
Company's Motion to Compel Discovery from Plaintiffs is Denied
08/19/02
File Size 246k
Order - Plaintiffs’ Motion for Partial
Summary Judgment as to Liability Against E. Foster & Regal
 11/18/02
File Size 401k
Order - Order - Plaintiffs' Three Motions
for Summary Judgment are denied; US Trust Alternative Motion is granted
 11/27/02
File Size 527k
Order
 12/11/02
File Size 38k
Plaintiffs' Response to US Trust
Motion for Partial Reconsideration
 12/12/02
File Size 191k
Order - Houlihan Lokey Motion
for Summary Judgment is Granted
12/12/02
File Size 159k
Order - Ostertag, Cole, Dix, and Elletson
Motion for Summary Judgment is Granted In Part and Denied In Part.
12/18/02
File Size 288k
Order - Valuemetrics' Motion
for Summary Judgment is Granted.
 12/30/02
File Size 23k
Order - Dickes Motion for Summary
Judgment is Granted In Part and Denied In Part.
02/18/03
File Size 284k
Order - Gehring Defendants Motion for
Summary Judgment is Granted
02/24/03
File Size 640k
Order - A. Foster Motion for
Summary Judgment is Granted
02/26/03
File Size 179k
Order - McAllister Motion for
Summary Judgement is granted
 02/26/03
File Size 203k
Order - Freid Motion for Summary
Judgment is granted in part and denied in part
 02/27/03
File Size 213k
Order - Hodgson Motion for
Summary Judgment is Denied
 02/28/03
File Size 89k
Order - E. Foster Second Motion
for Summary Judgment is granted
 03/05/03
File Size 100k
Order - Bartley, Norbutas and Stuber
for Summary Judgment is granted in part and denied in part
 03/05/03
File Size 435k
Order - E. Foster and Regal Motion
for Summary Judgment denied in part and moot in part
 03/06/03
File Size 133k
Order - Pellegrino Motion for
Summary Judgement on Count V: motion is Denied
 03/06/03
File Size 203k
Order - E. Foster and Regal breach
of ERISA Sec. 404 Duty of Loyalty is denied in part and moot in part
 03/06/03
File Size 92k
Order - Ostertag and Pellegrino
Motion for Summary Judgement granted in part and denied in part
 03/10/03
File Size 245k
Order - US Trust's MSJ is granted
in part and denied in part
 03/11/03
File Size 114k
Order - Bartley, Norbutas and Stuber
Motion to Amend Answer is granted in part and denied in part
 03/17/03
File Size 68k
Order granting bifurcated trial
 03/28/03
File Size 55k
Pre-Trial Order
 05/01/03
File Size 808k
Order - Judge's Ruling
 02/12/04
File Size 1189k

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