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WM HIGH YIELD FUND v. O'HANLON

Civil Action No. 04-3423.

WM HIGH YIELD FUND, et al. v. MICHAEL A. O'HANLON, et al.

United States District Court, E.D. Pennsylvania.

June 27, 2013.

Attorney(s) appearing for the Case

WM HIGH YIELD FUND, Plaintiff, represented by BRIAN M. ROSTOCKI , GRANT & EISENHOFER PA, DAVID E. SELLINGER , GRANT & EISENHOFER PA, JAMES P. MC EVILLY, III , GRANT & EISENHOFER PA, JOHN A. CURSEADEN , GRANT & EISENHOFER PA, JOHN C. KAIRIS , GRANT & EISENHOFER P.A., LAUREN E. WAGNER , GRANT & EISENHOFER PA, MARY S. THOMAS , GRANT & EISENHOFER PA, STUART M. GRANT , GRANT & EISENHOFER, P.A., RALPH N. SIANNI , STEWARTS LAW US LLP & STEPHEN G. GRYGIEL , GRANT & EISENHOFER PA.

WM INCOME FUND, Plaintiff, represented by BRIAN M. ROSTOCKI , GRANT & EISENHOFER PA, DAVID E. SELLINGER , GRANT & EISENHOFER PA, JAMES P. MC EVILLY, III , GRANT & EISENHOFER PA, JOHN A. CURSEADEN , GRANT & EISENHOFER PA, JOHN C. KAIRIS , GRANT & EISENHOFER P.A., LAUREN E. WAGNER , GRANT & EISENHOFER PA, MARY S. THOMAS , GRANT & EISENHOFER PA, STUART M. GRANT , GRANT & EISENHOFER, P.A., RALPH N. SIANNI , STEWARTS LAW US LLP & STEPHEN G. GRYGIEL , GRANT & EISENHOFER PA.

AT HIGH YIELD FUND, Plaintiff, represented by BRIAN M. ROSTOCKI , GRANT & EISENHOFER PA, DAVID E. SELLINGER , GRANT & EISENHOFER PA, JAMES P. MC EVILLY, III , GRANT & EISENHOFER PA, JOHN A. CURSEADEN , GRANT & EISENHOFER PA, JOHN C. KAIRIS , GRANT & EISENHOFER P.A., LAUREN E. WAGNER , GRANT & EISENHOFER PA, MARY S. THOMAS , GRANT & EISENHOFER PA, STUART M. GRANT , GRANT & EISENHOFER, P.A., RALPH N. SIANNI , STEWARTS LAW US LLP & STEPHEN G. GRYGIEL , GRANT & EISENHOFER PA.

WM VT INCOME FUND, Plaintiff, represented by BRIAN M. ROSTOCKI , GRANT & EISENHOFER PA, DAVID E. SELLINGER , GRANT & EISENHOFER PA, JAMES P. MC EVILLY, III , GRANT & EISENHOFER PA, JOHN A. CURSEADEN , GRANT & EISENHOFER PA, JOHN C. KAIRIS , GRANT & EISENHOFER P.A., LAUREN E. WAGNER , GRANT & EISENHOFER PA, MARY S. THOMAS , GRANT & EISENHOFER PA, STUART M. GRANT , GRANT & EISENHOFER, P.A., RALPH N. SIANNI , STEWARTS LAW US LLP & STEPHEN G. GRYGIEL , GRANT & EISENHOFER PA.

AT INCOME FUND, Plaintiff, represented by BRIAN M. ROSTOCKI , GRANT & EISENHOFER PA, DAVID E. SELLINGER , GRANT & EISENHOFER PA, JAMES P. MC EVILLY, III , GRANT & EISENHOFER PA, JOHN A. CURSEADEN , GRANT & EISENHOFER PA, JOHN C. KAIRIS , GRANT & EISENHOFER P.A., LAUREN E. WAGNER , GRANT & EISENHOFER PA, MARY S. THOMAS , GRANT & EISENHOFER PA, STUART M. GRANT , GRANT & EISENHOFER, P.A., RALPH N. SIANNI , STEWARTS LAW US LLP & STEPHEN G. GRYGIEL , GRANT & EISENHOFER PA.

STELLAR FUNDING, LTD., Plaintiff, represented by DAVID E. SELLINGER , GRANT & EISENHOFER PA, JAMES P. MC EVILLY, III , GRANT & EISENHOFER PA, JOHN A. CURSEADEN , GRANT & EISENHOFER PA, LAUREN E. WAGNER , GRANT & EISENHOFER PA, STUART M. GRANT , GRANT & EISENHOFER, P.A., RALPH N. SIANNI , STEWARTS LAW US LLP & STEPHEN G. GRYGIEL , GRANT & EISENHOFER PA.

MICHAEL A. O'HANLON, Defendant, represented by RICHARD L. SCHEFF , MONTGOMERY MCCRACKEN WALKER & RHOADS LLP.

STEVEN R. GARFINKEL, Defendant, represented by MAURA FAY MCILVAIN , DILWORTH PAXSON LLP.

RICHARD MILLER, Defendant, represented by JAMES J. ROHN , CONRAD O'BRIEN & PATRICIA M. HAMILL , CONRAD O'BRIEN.

ANTHONY J. TUREK, Defendant, represented by WILLIAM TAYLOR , COZEN O'CONNOR & STUART M. GRANT , GRANT & EISENHOFER, P.A..

JOHN P. BOYLE, Defendant, represented by ROBERT E. KELLY , LAW OFFICES OF ROBERT E. KELLY LLC.

GERALD COHN, Defendant, represented by MARY MARGULIS-OHNUMA , STILLMAN FRIEDMAN & SHECHTMAN PC, RICHARD R. HARRIS , LITTLER MENDELSON, THOMAS A. LEONARD , OBERMAYER REBMANN MAXWELL & HIPPEL LLP, CAROLYN BARTH RENZIN , STILLMAN FREIDMAN & SHECHTMAN, ELIZABETH S. WEINSTEIN , STILLMAN FRIEDMAN & SHECHTMAN & WILLIAM J. LEONARD , OBERMAYER, REBMANN, MAXWELL & HIPPEL, LLP.

HARRY T.J. ROBERTS, Defendant, represented by JEFFREY M. LINDY , LAW OFFICES OF JEFFREY M. LINDY.

DOLPHIN MEDICAL, INC., Defendant, represented by LEAH J. DOMITROVIC , KATTEN, MUCHIN, ZAVIS, ROSENMAN & RICHARD A. LEVAN , WIGGIN & DANA LLP.

UNITED STATES OF AMERICA, Movant, represented by AMY L. KURLAND , U.S. ATTORNEY'S OFFICE.

40/86 ADVISORS, INC., Movant, represented by JAMES P. MC EVILLY, III , GRANT & EISENHOFER PA.

RADNET MANAGEMENT, INC., Movant, represented by WILLIAM J. O'BRIEN , DELANY & O'BRIEN.

MICHAEL A. O'HANLON, Cross Defendant, represented by RICHARD L. SCHEFF , MONTGOMERY MCCRACKEN WALKER & RHOADS LLP.

STEVEN R. GARFINKEL, Cross Defendant, represented by MAURA FAY MCILVAIN , DILWORTH PAXSON LLP.

RICHARD MILLER, Cross Defendant, represented by PATRICIA M. HAMILL , CONRAD O'BRIEN.

MEMORANDUM

LEGROME D. DAVIS, District Judge.

Plaintiffs — six institutional Funds1 that invested in debt securities issued by Diagnostic Ventures, Inc. (DVI) — sue for violations of Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b) and Rule 10b-5, 17 C.F.R. § 240.10b-5.2 Jurisdiction is the Exchange Act, 15 U.S.C. § 78aa, and federal question, 28...

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