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Case: 13-2106 Document: 00116582437 Page: 1 Date Filed: 09/13/2013 Entry ID: 5763663

UNITED STATES DISTRICT COURT
DISTRICT OF MASSACHUSETTS

CLERK’S CERTIFICATE AND APPEALS COVER SHEET

ABBREVIATED ELECTRONIC RECORD

Case Caption:

Keros et al v. Massachusetts Mutual Life Insurance Company et al
____________________________________________________

District Court Number:

3:12-cv-11294-MAP
____________________________________________________

Fee: Paid? Yes ___ No ___ Government filer ___ In Forma Pauperis Yes ___ No ___

x

Motions Pending
If yes, document #

Yes ____ No ____
_______________

x

Sealed documents
If yes, document #

Yes ____ No ____
_______________

x

Ex parte documents Yes ____ No ____
_______________
If yes, document #

x

Transcripts
If yes, document #

x

Yes ____ No ____
_______________
47

Notice of Appeal filed by: Plaintiff/Petitioner ____ Defendant/Respondent ____ Other: ____

x

Appeal from:
#50
Other information:

I, Robert M. Farrell, Acting Clerk of the United States District Court for the District of

Massachusetts, do hereby certify that the annexed electronic documents:
#50 & #51
with the electronic docket sheet, constitute the abbreviated record on appeal in the above entitled
case for the Notice of Appeal, document # _________ filed on__________________.

51

8/23/2013

In testimony whereof, I hereunto set my hand and affix the seal of this Court on

_____________.
9/6/2013

ROBERT M. FARRELL
Acting Clerk of Court

/s/Chris Danieli
____________________________
Deputy Clerk

COURT OF APPEALS DOCKET NUMBER ASSIGNED: _______________________________

PLEASE RETURN TO THE USDC CLERK’S OFFICE

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Case: 13-2106 Document: 00116582437 Page: 2 Date Filed: 09/13/2013 Entry ID: 5763663

APPEAL

United States District Court

District of Massachusetts (Springfield)

CIVIL DOCKET FOR CASE #: 3:12-cv-11294-MAP

Keros et al v. Massachusetts Mutual Life Insurance Company et
al
Assigned to: Judge Michael A. Ponsor
Cause: 28:1332 Diversity-Declaratory Judgement

Date Filed: 07/13/2012
Date Terminated: 08/05/2013
Jury Demand: Plaintiff
Nature of Suit: 160 Stockholders Suits
Jurisdiction: Diversity

Plaintiff
Madaline S Keros

represented by Bernard C. Devieux

Grant & Eisenhofer, P.A.
123 Justison Street, 7th Floor
Wilmington, DE 19801
302-622-7110
Email: [email protected]
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

Jeremy Y. Weltman
Clark, Hunt, Ahern & Embry
55 Cambridge Parkway
Suite 401
Cambridge, MA 02142
617-494-1920
Fax: 617-494-1920
Email: [email protected]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Michael J. Barry
Grant & Eisenhofer, P.A.
123 Justison Street
7th Floor
Wilmington, DE 19801
302-622-7000
Email: [email protected]
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

Reuben A Guttman
Grant & Eisenhofer, P.A.
1920 L. Street, N.W., Ste. 400

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Case: 13-2106 Document: 00116582437 Page: 3 Date Filed: 09/13/2013 Entry ID: 5763663

Washington, DC 20036
202-386-9500
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

William J. Hunt
Clark, Hunt & Embry
Suite 401
55 Cambridge Parkway
Cambridge, MA 02142
617-494-1920
Fax: 617-494-1921
Email: [email protected]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Plaintiff
William J Keros

represented by Bernard C. Devieux

(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

Jeremy Y. Weltman
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Michael J. Barry
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

Reuben A Guttman
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

William J. Hunt
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Plaintiff
The George W. Keros Irrevocable Trust
Agreement
F/B/O William J. Keros Dated June 24,

represented by Bernard C. Devieux

(See above for address)
LEAD ATTORNEY

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1994, On Behalf of Themselves and All
Others Similarly Situated

V.
Defendant
Massachusetts Mutual Life Insurance
Company

PRO HAC VICE
ATTORNEY TO BE NOTICED

Jeremy Y. Weltman
(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Michael J. Barry
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

Reuben A Guttman
(See above for address)
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

Bingham McCutchen LLP - MA
One Federal Street
Boston, MA 02110-1726
617-951-8000
Fax: 617-951-8736
Email: [email protected]
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
Bingham McCutchen LLP
One Federal Street
Boston, MA 02110
617-951-8872
Fax: 617-951-8736
Email: [email protected]
ATTORNEY TO BE NOTICED

J. Lizette Richards
Bulkley Richardson & Gelinas
1500 Main Street
Suite 2700
PO Box 15507
Springfield, MA 01115-5507
413-272-6291
Email: [email protected]

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Case: 13-2106 Document: 00116582437 Page: 5 Date Filed: 09/13/2013 Entry ID: 5763663

ATTORNEY TO BE NOTICED

John P. Pucci
Bulkley Richardson & Gelinas
1500 Main Street
Suite 2700
PO Box 15507
Springfield, MA 01115-5507
413-272-6290
Email: [email protected]
ATTORNEY TO BE NOTICED

Scott T. Lashway
Massachusetts Mutual LIfe Insurance
Company
1295 State Street
Springfield, MA 01111
413-744-7383
Fax: 413-226-4268
Email: [email protected]
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)

Defendant
Thomas C Barry

Defendant
Cristobal I Conde

Defendant
Kathleen A Corbet

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Defendant
Roger W Crandall

Defendant
James H Degraffenreidt, Jr

Defendant
Patricia Diaz Dennis

Defendant
Robert A Essner

Defendant
Robert M. Furek

ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)

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Defendant
Raymond W Lebouef

Defendant
Cathy E Minehan

Defendant
Marc F Racicot

Defendant
William T Spitz

Defendant
H Todd Stitzer

ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)
ATTORNEY TO BE NOTICED

represented by Joseph L. Kociubes

(See above for address)
LEAD ATTORNEY
ATTORNEY TO BE NOTICED

Frances S. Cohen
(See above for address)

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ATTORNEY TO BE NOTICED

Date Filed
07/13/2012

07/13/2012

07/13/2012

07/13/2012

07/13/2012

07/13/2012

07/13/2012

07/13/2012

07/13/2012

#

Docket Text

1 COMPLAINT (Verified Class Action) against All Defendants Filing

fee: $ 350, receipt number 0101-4027131 (Fee Status: Filing Fee
paid), filed by Madaline S Keros, William J Keros, The George W.
Keros Irrevocable Trust Agreement f/b/o Willliam J. Keros Date June
24, 1994. (Attachments: # 1 Civil Cover Sheet Civil Cover Sheet, # 2
Category Sheet)(Weltman, Jeremy) (Entered: 07/13/2012)

2 AFFIDAVIT of William J. Keros re 1 Complaint, (Verification) by

William J Keros. (Weltman, Jeremy) (Entered: 07/13/2012)

3 AFFIDAVIT of Madaline S. Keros re 1 Complaint, (Verification) by

Madaline S Keros. (Weltman, Jeremy) (Entered: 07/13/2012)

4 MOTION for Leave to Appear Pro Hac Vice for admission of Reuben

A. Guttman Filing fee: $ 100, receipt number 0101-4027386 by
Madaline S Keros, William J Keros, The George W. Keros Irrevocable
Trust Agreement f/b/o Willliam J. Keros Date June 24, 1994.
(Attachments: # 1 Affidavit)(Weltman, Jeremy) (Entered: 07/13/2012)
5 MOTION for Leave to Appear Pro Hac Vice for admission of Bernard

C. Devieux Filing fee: $ 100, receipt number 0101-4027397 by
Madaline S Keros, William J Keros, The George W. Keros Irrevocable
Trust Agreement f/b/o Willliam J. Keros Date June 24, 1994.
(Attachments: # 1 Affidavit)(Weltman, Jeremy) (Entered: 07/13/2012)

Case transferred to Western Division (Springfield) (Maynard,

Timothy) (Entered: 07/13/2012)

6 Case transferred in from Eastern Division (Boston) on 7/13/12. Case
Number 1:12-cv-11294. (Stuckenbruck, John) (Entered: 07/13/2012)

7 ELECTRONIC NOTICE of Case Assignment. Judge Michael A.

Ponsor assigned to case. If the trial Judge issues an Order of
Reference of any matter in this case to a Magistrate Judge, the matter
will be transmitted to Magistrate Judge Kenneth P. Neiman. (Abaid,
Kimberly) (Finn, Mary). (Entered: 07/13/2012)

8 Summons Issued as to Thomas C Barry, Cristobal I Conde, Kathleen A

Corbet, Roger W Crandall, James H Degraffenreidt, Jr, Patricia Diaz
Dennis, Robert A Essner, Robert M. Furek, Raymond W Lebouef,
Massachusetts Mutual Life Insurance Company, Cathy E Minehan,
Marc F Racicot, William T Spitz, H Todd Stitzer. Counsel receiving
this notice electronically should download this summons, complete
one for each defendant and serve it in accordance with
Fed.R.Civ.P. 4 and LR 4.1. Summons will be mailed to plaintiff(s)
not receiving notice electronically for completion of service. (Finn,
Mary) (Entered: 07/13/2012)

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07/13/2012

07/13/2012

08/20/2012

08/20/2012

08/21/2012

08/21/2012

08/21/2012

08/21/2012

08/21/2012

08/22/2012

9 Judge Michael A. Ponsor: ELECTRONIC ORDER entered granting 4

Motion for Leave to Appear Pro Hac Vice Added Bernard C.
Devieux. Attorneys admitted Pro Hac Vice must register for
electronic filing if the attorney does not already have an ECF
account in this district. To register go to the Court website at
www.mad.uscourts.gov. Select Case Information, then Electronic
Filing (CM/ECF) and go to the CM/ECF Registration Form. ;
granting 5 Motion for Leave to Appear Pro Hac Vice Added Bernard
C. Devieux. Attorneys admitted Pro Hac Vice must register for
electronic filing if the attorney does not already have an ECF
account in this district. To register go to the Court website at
www.mad.uscourts.gov. Select Case Information, then Electronic
Filing (CM/ECF) and go to the CM/ECF Registration Form.
(Finn, Mary) Modified on 7/13/2012 to correct the Judge who entered
this electronic order. (Finn, Mary). (Entered: 07/13/2012)

10 NOTICE issued to Attorney Rueben A. Guttman and Bernard C.

Devieux regarding mandatory registration and use with ECF in
compliance with the Standing Order entered by Judge Ponsor and
Magistrate Judge Neiman. (Finn, Mary) (Finn, Mary). (Entered:
07/13/2012)

11 SUMMONS Returned Executed Massachusetts Mutual Life Insurance

Company served on 8/1/2012, answer due 8/22/2012. (Weltman,
Jeremy) (Entered: 08/20/2012)

12 SUMMONS Returned Executed Roger W Crandall served on
8/1/2012, answer due 8/22/2012. (Weltman, Jeremy) (Entered:
08/20/2012)

13 NOTICE of Appearance by John P. Pucci on behalf of Massachusetts
Mutual Life Insurance Company (Pucci, John) (Entered: 08/21/2012)

14 NOTICE of Appearance by J. Lizette Richards on behalf of

Massachusetts Mutual Life Insurance Company (Richards, J.)
(Entered: 08/21/2012)

15 NOTICE of Appearance by Frances S. Cohen on behalf of Roger W

Crandall, Massachusetts Mutual Life Insurance Company (Cohen,
Frances) (Entered: 08/21/2012)

16 Assented to MOTION for Extension of Time to August 24, 2012 to

File Response/Reply To Complaint by Roger W Crandall,
Massachusetts Mutual Life Insurance Company.(Cohen, Frances)
(Entered: 08/21/2012)

17 Assented to MOTION for Extension of Time , MOTION for Extension

of Time to File Response/Reply To Complaint ( Responses due by
9/4/2012) by Massachusetts Mutual Life Insurance Company.(Cohen,
Frances) (Entered: 08/21/2012)

Judge Michael A. Ponsor: ELECTRONIC ORDER entered granting
16 Motion for Extension of Time to Answer re 1 Complaint, granting
17 Motion for Extension of Time to Answer re 1 Complaint. Deft'

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08/24/2012

08/24/2012

08/24/2012

08/24/2012

08/24/2012

08/24/2012

08/24/2012

08/24/2012

08/24/2012

Massachusetts Mutual Life Insurance Company and Roger W.
Crandall's answer due 8/24/2012. (Finn, Mary) (Entered: 08/22/2012)

18 NOTICE of Appearance by Scott T. Lashway on behalf of

Massachusetts Mutual Life Insurance Company (Lashway, Scott)
(Entered: 08/24/2012)

19 NOTICE of Appearance by Frances S. Cohen on behalf of Thomas C

Barry, Cristobal I Conde, Kathleen A Corbet, Roger W Crandall,
James H Degraffenreidt, Jr, Patricia Diaz Dennis, Robert A Essner,
Robert M. Furek, Raymond W Lebouef, Massachusetts Mutual Life
Insurance Company, Cathy E Minehan, Marc F Racicot, William T
Spitz, H Todd Stitzer (Cohen, Frances) (Entered: 08/24/2012)

20 NOTICE of Appearance by Frances S. Cohen on behalf of Thomas C

Barry, Cristobal I Conde, Kathleen A Corbet, Roger W Crandall,
James H Degraffenreidt, Jr, Patricia Diaz Dennis, Robert A Essner,
Robert M. Furek, Raymond W Lebouef, Cathy E Minehan, Marc F
Racicot, William T Spitz, H Todd Stitzer (Cohen, Frances) (Entered:
08/24/2012)

21 MOTION to Dismiss by Massachusetts Mutual Life Insurance

Company.(Cohen, Frances) (Entered: 08/24/2012)

22 MEMORANDUM in Support re 21 MOTION to Dismiss filed by
Massachusetts Mutual Life Insurance Company. (Cohen, Frances)
(Main Document 22 replaced on 8/27/2012, by request of attorneys)
(Pelegano, Theresa). (Entered: 08/24/2012)

23 MOTION to Dismiss by Thomas C Barry, Cristobal I Conde, Kathleen

A Corbet, Roger W Crandall, James H Degraffenreidt, Jr, Patricia
Diaz Dennis, Robert A Essner, Robert M. Furek, Raymond W
Lebouef, Cathy E Minehan, Marc F Racicot, William T Spitz, H Todd
Stitzer.(Cohen, Frances) (Entered: 08/24/2012)

24 MEMORANDUM in Support re 23 MOTION to Dismiss filed by
Thomas C Barry, Cristobal I Conde, Kathleen A Corbet, Roger W
Crandall, James H Degraffenreidt, Jr, Patricia Diaz Dennis, Robert A
Essner, Robert M. Furek, Raymond W Lebouef, Cathy E Minehan,
Marc F Racicot, William T Spitz, H Todd Stitzer. (Cohen, Frances)
(Entered: 08/24/2012)

25 AFFIDAVIT of Sheryl A. Avery re 23 MOTION to Dismiss , 21

MOTION to Dismiss by Thomas C Barry, Cristobal I Conde, Kathleen
A Corbet, Roger W Crandall, James H Degraffenreidt, Jr, Patricia
Diaz Dennis, Robert A Essner, Robert M. Furek, Raymond W
Lebouef, Massachusetts Mutual Life Insurance Company, Cathy E
Minehan, Marc F Racicot, William T Spitz, H Todd Stitzer. (Cohen,
Frances) (Entered: 08/24/2012)

26 AFFIDAVIT of Laura Ally re 23 MOTION to Dismiss , 21 MOTION

to Dismiss by Thomas C Barry, Cristobal I Conde, Kathleen A Corbet,
Roger W Crandall, James H Degraffenreidt, Jr, Patricia Diaz Dennis,
Robert A Essner, Robert M. Furek, Raymond W Lebouef,

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08/24/2012

08/24/2012

08/24/2012

09/06/2012

09/07/2012

Massachusetts Mutual Life Insurance Company, Cathy E Minehan,
Marc F Racicot, William T Spitz, H Todd Stitzer. (Cohen, Frances)
(Entered: 08/24/2012)

27 APPENDIX/EXHIBIT re 22 Memorandum in Support of Motion by

Massachusetts Mutual Life Insurance Company. (Cohen, Frances)
(Entered: 08/24/2012)

28 CORPORATE DISCLOSURE STATEMENT by Massachusetts

Mutual Life Insurance Company. (Cohen, Frances) (Entered:
08/24/2012)

29 NOTICE of Appearance by Frances S. Cohen on behalf of Thomas C

Barry, Cristobal I Conde, Kathleen A Corbet, Roger W Crandall,
James H Degraffenreidt, Jr, Patricia Diaz Dennis, Robert A Essner,
Robert M. Furek, Raymond W Lebouef, Massachusetts Mutual Life
Insurance Company, Cathy E Minehan, Marc F Racicot, William T
Spitz, H Todd Stitzer (Cohen, Frances) (Entered: 08/24/2012)

30 Joint MOTION for Leave to File Excess Pages (Regarding Briefing of

Defendants' Motion to Dismiss) by Thomas C Barry, Cristobal I
Conde, Kathleen A Corbet, Roger W Crandall, James H
Degraffenreidt, Jr, Patricia Diaz Dennis, Robert A Essner, Robert M.
Furek, Madaline S Keros, William J Keros, Raymond W Lebouef,
Massachusetts Mutual Life Insurance Company, Cathy E Minehan,
Marc F Racicot, William T Spitz, H Todd Stitzer, The George W.
Keros Irrevocable Trust Agreement.(Weltman, Jeremy) (Entered:
09/06/2012)

31 Opposition re 21 MOTION to Dismiss , 23 MOTION to Dismiss

(Plaintiffs Memorandum of Law in Opposition to Defendant
Massachusetts Mutual Life Insurance Company and the Individual
Defendants Motions to Dismiss) filed by Madaline S Keros, William J
Keros, The George W. Keros Irrevocable Trust Agreement.
(Attachments: # 1 Exhibit A, # 2 Exhibit B-1, # 3 Exhibit B-2, # 4
Exhibit B-3, # 5 Exhibit B-4, # 6 Exhibit B-5, # 7 Exhibit B-6, # 8
Exhibit B-7, # 9 Exhibit B-8, # 10 Exhibit B-9, # 11 Exhibit B-10, #
12 Exhibit B-11, # 13 Exhibit C, # 14 Exhibit D, # 15 Exhibit E-1, #
16 Exhibit E-2, # 17 Exhibit E-3, # 18 Exhibit F, # 19 Exhibit G, # 20
Exhibit H, # 21 Exhibit I, # 22 Exhibit J-1, # 23 Exhibit J-2, # 24
Exhibit J-3, # 25 Exhibit J-4, # 26 Exhibit J-5, # 27 Exhibit J-6, # 28
Exhibit J-7, # 29 Exhibit J-8, # 30 Exhibit J-9, # 31 Exhibit J-10, # 32
Exhibit J-11, # 33 Exhibit J-12, # 34 Exhibit J-13, # 35 Exhibit J-14, #
36 Exhibit J-15, # 37 Exhibit J-16, # 38 Exhibit J-17, # 39 Exhibit
J-18, # 40 Exhibit J-19, # 41 Exhibit J-20, # 42 Exhibit J-21, # 43
Exhibit K, # 44 Exhibit L, # 45 Exhibit M)(Weltman, Jeremy)
(Attachment 43 replaced on 9/10/2012) (Pelegano, Theresa). (Main
Document 31 replaced on 9/10/2012 with correct signed opposition)
(Finn, Mary). Modified on 9/10/2012 (Finn, Mary). (Main Document
31 replaced on 9/11/2012 with correct main document) (Finn, Mary).
Modified on 9/11/2012 (Finn, Mary). (Entered: 09/07/2012)

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09/07/2012

09/10/2012

09/10/2012

09/10/2012

09/10/2012

09/10/2012

09/13/2012

32 AFFIDAVIT of Bernard C. Devieux in Support re 31 Opposition to 23

MOTION to Dismiss , 21 MOTION to Dismiss (Declaration of
Bernard C. Devieux In Support of Plaintiffs' Memorandum of Law in
Opposition to Defendants' Motion to Dismiss) filed by Madaline S
Keros, William J Keros, The George W. Keros Irrevocable Trust
Agreement. (Weltman, Jeremy) Modified on 9/10/2012 to link this
document to document 31 , not 21 and 23 . Mary). (Entered:
09/07/2012)

ELECTRONIC NOTICE issued requesting courtesy copy for 31

Opposition to Motion and supporting exhibits. Counsel who filed this
document are requested to submit a courtesy copy of this document
(or documents) to the Clerk's Office by September 14, 2012. These
documents must be clearly marked as a Courtesy Copy and reflect
the document number assigned by CM/ECF. (Finn, Mary) (Entered:
09/10/2012)

33 Judge Michael A. Ponsor: ENDORSED ORDER entered granting 30

Motion for Leave to File Excess Pages. (Finn, Mary) (Entered:
09/10/2012)

34 CERTIFICATE OF SERVICE pursuant to LR 5.2 by Madaline S
Keros, William J Keros, The George W. Keros Irrevocable Trust
Agreement re 32 Affidavit in Support of Motion, (re Declaration of
Bernard C. Devieux in Support of Plaintiffs' Memorandum of Law in
Opposition to Defendants' Motion to Dismiss). (Weltman, Jeremy)
(Entered: 09/10/2012)

35 Assented to MOTION for Leave to File Reply Briefs on or before

September 20, 2012 by Thomas C Barry, Cristobal I Conde, Kathleen
A Corbet, Roger W Crandall, James H Degraffenreidt, Jr, Patricia
Diaz Dennis, Robert A Essner, Robert M. Furek, Madaline S Keros,
William J Keros, Raymond W Lebouef, Massachusetts Mutual Life
Insurance Company, Cathy E Minehan, Marc F Racicot, William T
Spitz, H Todd Stitzer.(Kociubes, Joseph) (Main Document 35 replaced
on 9/11/2012 with correct signed motion) (Finn, Mary). Modified on
9/11/2012 (Finn, Mary). (Entered: 09/10/2012)

36 Judge Michael A. Ponsor: ELECTRONIC ORDER entered granting
35 Motion for Leave to File Reply Brief re: Defts' motion to dismiss
by 9/20/2012 - brief not to exceed 15 pages. Counsel using the
Electronic Case Filing System should now file the document for which
leave to file has been granted in accordance with the CM/ECF
Administrative Procedures. Counsel must include - Leave to file
granted on (date of order)- in the caption of the document. (Finn,
Mary) (Entered: 09/10/2012)

37 ELECTRONIC NOTICE Setting Hearing on Motion 21 MOTION to

Dismiss , 23 MOTION to Dismiss : Motion Hearing set for 10/25/2012
02:30 PM in Hampden Courtroom before Judge Michael A. Ponsor.
(Pelegano, Theresa) (Entered: 09/13/2012)

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09/20/2012

09/21/2012

09/21/2012

09/21/2012

10/04/2012

10/29/2012

10/30/2012

10/30/2012

11/19/2012

38 REPLY to Response to 21 MOTION to Dismiss On Behalf of All

Defendants, 23 MOTION to Dismiss filed by Thomas C Barry,
Cristobal I Conde, Kathleen A Corbet, Roger W Crandall, James H
Degraffenreidt, Jr, Patricia Diaz Dennis, Robert A Essner, Robert M.
Furek, Raymond W Lebouef, Massachusetts Mutual Life Insurance
Company, Cathy E Minehan, Marc F Racicot, William T Spitz, H Todd
Stitzer. (Kociubes, Joseph) Modified on 9/20/2012 to link to document
23 also. (Finn, Mary). (Entered: 09/20/2012)

39 MOTION for Leave to Appear Pro Hac Vice for admission of Michael
J. Barry Filing fee: $ 100, receipt number 0101-4125520 by Madaline
S Keros, William J Keros, The George W. Keros Irrevocable Trust
Agreement. (Attachments: # 1 Exhibit Affidavit of Michael J. Barry
for Admission Pro Hac Vice)(Weltman, Jeremy) (Entered:
09/21/2012)

40 Judge Michael A. Ponsor: ELECTRONIC ORDER entered granting

39 Motion for Leave to Appear Pro Hac Vice Added Michael J. Barry.
Attorneys admitted Pro Hac Vice must register for electronic
filing if the attorney does not already have an ECF account in this
district. To register go to the Court website at
www.mad.uscourts.gov. Select Case Information, then Electronic
Filing (CM/ECF) and go to the CM/ECF Registration Form.
(Finn, Mary) (Entered: 09/21/2012)

41 Assented to MOTION to Continue Hearing on Defendants' Motions to
Dismiss to November 1, 2012 by Madaline S Keros, William J Keros,
The George W. Keros Irrevocable Trust Agreement.(Weltman,
Jeremy) (Entered: 09/21/2012)

42 Judge Michael A. Ponsor: ELECTRONIC ORDER entered granting

41 Motion to Continue Hearing set for 11/1/2012 02:00 PM in
Hampden Courtroom before Judge Michael A. Ponsor. (The hearing
0n 10/25/12 has been rescheduled) (Pelegano, Theresa) (Entered:
10/04/2012)

43 Assented to MOTION to Continue Hearing on Defendants Motions to
Dismiss to 11/7/12 due to Hurricane by Madaline S Keros, William J
Keros, The George W. Keros Irrevocable Trust Agreement.(Weltman,
Jeremy) (Entered: 10/29/2012)

44 Judge Michael A. Ponsor: ELECTRONIC ORDER entered granting
43 Motion to Continue. The hearing on 11/1/12 will be rescheduled.
(Pelegano, Theresa) (Entered: 10/30/2012)

45 ELECTRONIC NOTICE Resetting Hearing on Motion 21 MOTION

to Dismiss , 23 MOTION to Dismiss : Motion Hearing set for
11/19/2012 11:00 AM in Hampden Courtroom before Judge Michael
A. Ponsor. (Pelegano, Theresa) (Entered: 10/30/2012)

46 ELECTRONIC Clerk's Notes for proceedings held before Judge

Michael A. Ponsor: Motion Hearing held on 11/19/2012 re 23
MOTION to Dismiss filed by Raymond W Lebouef, Kathleen A
Corbet, Cristobal I Conde, Marc F Racicot, Robert A Essner, Patricia

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12/14/2012

12/14/2012

08/05/2013

08/05/2013

08/23/2013

Diaz Dennis, James H Degraffenreidt, Jr, William T Spitz, Roger W
Crandall, Thomas C Barry, Cathy E Minehan, Robert M. Furek, H
Todd Stitzer, 21 MOTION to Dismiss filed by Massachusetts Mutual
Life Insurance Company. After hearing the motions are taken under
advisement. (Court Reporter: Alice Moran at 413-731-0086.)
(Stuckenbruck, John) (Entered: 11/19/2012)

47 Transcript of Motion Hearing held on November 19, 2012, before

Judge Michael A. Ponsor. The Transcript may be purchased through
the Court Reporter, viewed at the public terminal, or viewed through
PACER after it is released. Court Reporter Name and Contact
Information: Alice Moran at 413-731-0086 Redaction Request due
1/4/2013. Redacted Transcript Deadline set for 1/14/2013. Release of
Transcript Restriction set for 3/14/2013. (Scalfani, Deborah) (Entered:
12/14/2012)

48 NOTICE is hereby given that an official transcript of a proceeding has

been filed by the court reporter in the above-captioned matter.
Counsel are referred to the Court's Transcript Redaction Policy,
available on the court website at http://www.mad.uscourts.gov
/attorneys/general-info.htm (Scalfani, Deborah) (Entered: 12/14/2012)

49 Judge Michael A. Ponsor: MEMORANDUM AND ORDER entered.

As follows: For the reasons stated in the attached memo and order,
Defendants Motions to Dismiss (Dkt. Nos. 21 & 23 ) are hereby
ALLOWED. The clerk is ordered to enter judgment for Defendants.
This case may now be closed. It is So Ordered. See the attached memo
and order for complete details. (Lindsay, Maurice) (Entered:
08/05/2013)

50 Judge Michael A. Ponsor: ORDER entered. JUDGMENT for

defendants. (Lindsay, Maurice) (Entered: 08/05/2013)

51 NOTICE OF APPEAL as to 50 Judgment by Madaline S Keros,

William J Keros, The George W. Keros Irrevocable Trust Agreement
Filing fee: $ 455, receipt number 0101-4602552 Fee Status: Not
Exempt. NOTICE TO COUNSEL: A Transcript Report/Order Form,
which can be downloaded from the First Circuit Court of Appeals web
site at http://www.ca1.uscourts.gov MUST be completed and
submitted to the Court of Appeals. Counsel shall register for a First
Circuit CM/ECF Appellate Filer Account at
http://pacer.psc.uscourts.gov/cmecf. Counsel shall also review the
First Circuit requirements for electronic filing by visiting the
CM/ECF Information section at http://www.ca1.uscourts.gov
/efiling.htm. US District Court Clerk to deliver official record to
Court of Appeals by 9/12/2013. (Weltman, Jeremy) (Entered:
08/23/2013)

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Case: 13-2106 Document: 00116582437 Page: 15 Date Filed: 09/13/2013 Entry ID: 5763663

UNITED STATES DISTRICT COURT
DISTRICT OF MASSACHUSETTS

MADALINE S. KEROS, WILLIAM J.
KEROS, and THE GEORGE W. KEROS
IRREVOCABLE TRUST AGREEMENT
F/B/O WILLIAM J. KEROS DATED JUNE
24, 1994, ON BEHALF OF THEMSELVES
AND ALL OTHERS SIMILARLY
SITUATED,

Plaintiffs,

v.

MASSACHUSETTS MUTUAL LIFE
INSURANCE COMPANY,
THOMAS C. BARRY, CRISTÓBAL I.
CONDE, KATHLEEN A. CORBET, ROGER
W. CRANDALL, JAMES H.
DEGRAFFENREIDT, JR., PATRICIA DIAZ
DENNIS, ROBERT A. ESSNER, ROBERT
M. FUREK, RAYMOND W. LEBOEUF,
CATHY E. MINEHAN, MARC F.
RACICOT, WILLIAM T. SPITZ, and H.
TODD STITZER,

Defendants.

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CIVIL ACTION NO. 3:12-CV-11294-
MAP

NOTICE OF APPEAL

NOTICE IS HEREBY GIVEN that Madaline S. Keros, William J. Keros, and The

George W. Keros Irrevocable Trust Agreement f/b/o William J. Keros dated June 24, 1994,

Plaintiffs in the above named case, hereby appeal to the United States Court of Appeals for the

First Circuit from an August 5, 2013, Memorandum and Order granting Defendants’ motion to

dismiss (Dkt. No. 49) and an Order entering judgment for Defendants (Dkt. No. 50) entered on

August 5, 2013.

Case: 13-2106 Document: 00116582437 Page: 16 Date Filed: 09/13/2013 Entry ID: 5763663

Dated: August 23, 2013

Respectfully submitted,

/s/ Jeremy Y. Weltman
William J. Hunt (No. 244720)
Jeremy Y. Weltman (No. 662293)
CLARK, HUNT, AHERN & EMBRY
55 Cambridge Parkway
Cambridge, MA 02142
Tel: (617) 229-7949
Fax: (617) 494-1921
[email protected]
[email protected]

Counsel for Plaintiffs and the Proposed
Class

Of Counsel:

Jay W. Eisenhofer
Michael J. Barry
Bernard C. Devieux
GRANT & EISENHOFER P.A.
123 Justison Street
Wilmington, DE 19801
Tel: (302) 622-7000
Fax: (302) 622-7100
[email protected]
[email protected]
[email protected]

Reuben A. Guttman
GRANT & EISENHOFER P.A.
1920 L Street, N.W., Suite 400
Washington, D.C. 20036
Tel: (202) 386-9500
Fax: (202) 386-9505
[email protected]

Counsel for Plaintiffs and the Proposed Class

2

Case: 13-2106 Document: 00116582437 Page: 17 Date Filed: 09/13/2013 Entry ID: 5763663

CERTIFICATE OF SERVICE

I hereby certify that this Notice of Appeal filed through the ECF system will be sent

electronically to the registered participants as identified on the Notice of Electronic Filing, and

paper copies will be sent to those indicated as non-registered participants on August 23, 2013.

/s/ Jeremy Y. Weltman
William J. Hunt (No. 244720)
Jeremy Y. Weltman (No. 662293)
CLARK, HUNT, AHERN & EMBRY
55 Cambridge Parkway
Cambridge, MA 02142
Tel: (617) 229-7949
Fax: (617) 494-1921
[email protected]
[email protected]

Case: 13-2106 Document: 00116582437 Page: 18 Date Filed: 09/13/2013 Entry ID: 5763663

UNITED STATES DISTRICT COURT

DISTRICT OF MASSACHUSETTS

MADALINE S. KEROS, ET AL.,
Plaintiffs





v.

)
MASSACHUSETTS MUTUAL LIFE )
INSURANCE COMPANY, ET AL.,
)
)
Defendants

)
)




) CIVIL ACTION
) NO. 3:12-cv-11294-MAP

JUDGMENT IN A CIVIL CASE

Michael A. Ponsor, D.J.
[ ]

Jury Verdict. This action came before the court for a trial by jury. The issues
have been tried and the jury has rendered its verdict.

[x] Decision by the Court. This action came to trial or hearing before the Court.

The issues have been tried or heard and a decision has been rendered.

IT IS ORDERED AND ADJUDGED

JUDGMENT entered for the defendants Massachusetts Mutual Life Insurance Company, et al,
against the plaintiffs Madaline S. Keros, et al., pursuant to the court's memorandum and order
entered this date, granting the defendants motion to dismiss.

ROBERT M. FARRELL,

ACTING CLERK OF COURT

Dated: August 5, 2013 /s/ `tâÜ|vxZA_|Çwátç
Maurice G. Lindsay

Deputy Clerk

(Civil Judgment (Routine) 7.wpd - 11/98)

[jgm.]