Brainson v. Rye Select Broad Market Fund, LP. et al
Federal Civil Lawsuit New York Southern District Court, Case No. 1:08-cv-11212
District Judge Thomas P. Griesa, presiding

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Last Updated December 22, 2016 at 11:43 AM ST (4.5 years ago) Request Update Request UpdateSpaceE-Mail Alert Get E-Mail Alerts

No Logo Arthur M. Brainson IRA R/O, Plaintiff

Toggle Switch Represented by Bernstein Liebhard LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Stanley D Bernstein , +1 212 779 1414 +7793 779 779 3218 bernstein@bernlieb.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Jeffrey Michael Haber +1 212 779 1414 +1 212 779 3218 haber@bernlieb.com
ATTORNEY TO BE NOTICED Jeffrey D. Lerner +1 212 779 1414 +1 212 779 3218 lerner@bernlieb.com
ATTORNEY TO BE NOTICED Sandy A Liebhard +1 212 779 1414 +1 212 779 3218 liebhard@bernlieb.com

Toggle Switch Represented by Wolf Haldenstein Adler Freeman & Herz, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Gregory Mark Nespole +1 212 545 4657 +1 212 545 4693 nespole@whafh.com
No Logo Elisa Entine, Plaintiff
No Logo Family Swimmers Limited Partnership, Plaintiff
No Logo John F. Keane, Jr., Plaintiff

Toggle Switch Pro Se

Name Phone Fax E-Mail
Space John F. Keane, Jr.
No Logo Lawrence J. Rothschild, Plaintiff
v.
No Logo Jim Mitchell, Defendant
KPMG LLP KPMG LLP, Defendant

Toggle Switch Represented by Sidley Austin LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Gregory Gil Ballard +1 212 839 5662 +1 212 839 5599 gballard@sidley.com
No Logo Massachusetts Mutual Life Insurance Company, Defendant
Officially listed as "Massachusetts Mutual Life Insurance Co."

Toggle Switch Represented by Bingham McCutchen LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Sarah G. Kim +1 617 951 8768 +1 617 951 8736 sarah.kim@bingham.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Kenneth Ian Schacter +1 212 705 7487 +1 212 752 5378 kenneth.schacter@bingham.com
No Logo MassMutual Holding LLC, Defendant

Toggle Switch Represented by Bingham McCutchen LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Kenneth Ian Schacter +1 212 705 7487 +1 212 752 5378 kenneth.schacter@bingham.com
No Logo Oppenheimer Acquisition Corp., Defendant
Officially listed as "Oppenheimer Acquisition Corporation"
No Logo Robert Schulman, Defendant
No Logo Rupert Allan, Defendant
No Logo Rye Investment Management, Defendant
No Logo Rye Select Broad Market Fund, L.P., Defendant

Toggle Switch Represented by Tannenbaum Helpern Syracuse & Hirschtritt LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED David Jeffrey Kanfer +1 212 508 6700 +1 646 390 6946 kanfer@thshlaw.com
TERMINATED: 08/18/2009, LEAD ATTORNEY Alex Gregg Patchen +1 212 508 6792 +1 212 858 5713 patchen@thshlaw.com
No Logo Rye Select Broad Market Prime Fund, L.P., Defendant

Toggle Switch Represented by Tannenbaum Helpern Syracuse & Hirschtritt LLP

Name Phone Fax E-Mail
TERMINATED: 08/18/2009, LEAD ATTORNEY Alex Gregg Patchen +1 212 508 6792 +1 212 858 5713 patchen@thshlaw.com
No Logo Rye Select Broad Market XL Fund, L.P., Defendant

Toggle Switch Represented by Tannenbaum Helpern Syracuse & Hirschtritt LLP

Name Phone Fax E-Mail
TERMINATED: 08/18/2009, LEAD ATTORNEY Alex Gregg Patchen +1 212 508 6792 +1 212 858 5713 patchen@thshlaw.com
No Logo Sandra L. Manzke, Defendant
No Logo Tremont Capital Management, Defendant

Toggle Switch Represented by Skadden Arps Slate Meagher & Flom LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Seth M. Schwartz +1 212 735 2032 +1 917 777 2032 seth.schwartz@skadden.com
No Logo Tremont Group Holdings, Inc., Defendant
No Logo Tremont Market Neutral Fund, Defendant

Toggle Switch Represented by Tannenbaum Helpern Syracuse & Hirschtritt LLP

Name Phone Fax E-Mail
TERMINATED: 08/18/2009, LEAD ATTORNEY Alex Gregg Patchen +1 212 508 6792 +1 212 858 5713 patchen@thshlaw.com
No Logo Tremont Partners, Inc., Defendant
No Logo Arthur C. Lange, Interested Party
No Logo Richard Peshkin, Interested Party
No Logo Chateau Fiduciaire S.A., Movant

Toggle Switch Represented by Wolf Haldenstein Adler Freeman & Herz, LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Gregory Mark Nespole +1 212 545 4657 +1 212 545 4693 nespole@whafh.com
No Logo The Harriet Rutter Klein Revocable Trust, Movant

Toggle Switch Represented by Wolf Haldenstein Adler Freeman & Herz, LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Gregory Mark Nespole +1 212 545 4657 +1 212 545 4693 nespole@whafh.com
No Logo The Matthew L. Klein Irrevocable Family Trust, Movant

Toggle Switch Represented by Wolf Haldenstein Adler Freeman & Herz, LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Gregory Mark Nespole +1 212 545 4657 +1 212 545 4693 nespole@whafh.com
No Logo Yvette Finkelstein, Movant

Toggle Switch Represented by Bernstein Liebhard LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Jeffrey Michael Haber +1 212 779 1414 +1 212 779 3218 haber@bernlieb.com
ATTORNEY TO BE NOTICED Jeffrey D. Lerner +1 212 779 1414 +1 212 779 3218 lerner@bernlieb.com
ATTORNEY TO BE NOTICED Sandy A Liebhard +1 212 779 1414 +1 212 779 3218 liebhard@bernlieb.com

Toggle Switch Represented by Wolf Haldenstein Adler Freeman & Herz, LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Demet Basar +1 212 545 4664 +1 212 545 4677 basar@whafh.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Paulette Suzanne Fox +1 212 545 4600 +1 212 545 4653 pfox@whafh.com
ATTORNEY TO BE NOTICED Stacey Theresa Kelly +1 212 545 4600 +1 212 545 4653 SKELLY@WHAFH.COM
ATTORNEY TO BE NOTICED Daniel W. Krasner +1 212 545 4600 +1 212 545 4653 krasner@whafh.com
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Gregory Mark Nespole +1 212 545 4657 +1 212 545 4693 nespole@whafh.com
No Logo Cynthia J. Nicoll, Consolidated Defendant
No Logo Foredestine Series Fund, LLC, Consolidated Defendant
No Logo Foredestine Series Fund, LLC- Broad Market Series, Consolidated Defendant
No Logo Foredestine Series Fund, LLC-Broad Market XL Series, Consolidated Defendant
No Logo Foredestine, LLC, Consolidated Defendant
No Logo John V. Murphy, Consolidated Defendant
No Logo MassMutual Holding Trust I, Consolidated Defendant
No Logo Massmutual Holdings Co., Consolidated Defendant
No Logo Oppenheimerfunds, Inc., Consolidated Defendant
No Logo Dematteis FLP Assets, LLC, Consolidated Plaintiff

Toggle Switch Represented by Ruskin Moscou Faltischek, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Thomas Anthoney Telesca +1 973 533 4224 +1 973 535 9217 ttelesca@rmfpc.com
No Logo Group Defined Pension Plan & Trust, Consolidated Plaintiff

Toggle Switch Represented by Unknown Firm

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Jeffrey L. Koenig +1 646 453 5571 +1 212 791 1230 jeffreylkoenig@gmail.com

Toggle Switch Represented by Bernstein Liebhard LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Jeffrey Michael Haber +1 212 779 1414 +1 212 779 3218 haber@bernlieb.com
ATTORNEY TO BE NOTICED Jeffrey D. Lerner +1 212 779 1414 +1 212 779 3218 lerner@bernlieb.com
ATTORNEY TO BE NOTICED Sandy A Liebhard +1 212 779 1414 +1 212 779 3218 liebhard@bernlieb.com

Toggle Switch Represented by Levin, Fishbein, Sedran & Berman

Name Phone Fax E-Mail
PRO HAC VICE, ATTORNEY TO BE NOTICED Laurence S. Berman +1 215 592 1500 +1 215 592 4663 lberman@lfsblaw.com

Toggle Switch Represented by Wolf Haldenstein Adler Freeman & Herz, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Gregory Mark Nespole +1 212 545 4657 +1 212 545 4693 nespole@whafh.com
No Logo John D. Case, Consolidated Plaintiff

Toggle Switch Represented by Ruskin Moscou Faltischek, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Thomas Anthoney Telesca +1 973 533 4224 +1 973 535 9217 ttelesca@rmfpc.com
No Logo M. Kenneth Witover, Consolidated Plaintiff

Toggle Switch Represented by Ruskin Moscou Faltischek, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Thomas Anthoney Telesca +1 973 533 4224 +1 973 535 9217 ttelesca@rmfpc.com
No Logo Madelyn Haines, Consolidated Plaintiff

Toggle Switch Represented by Pastor Law Office, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED David Pastor +1 617 742 9700 +1 617 742 9701 dpastor@pastorlawoffice.com

Toggle Switch Represented by Peter A. Lagorio, Law Office

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Peter A. Lagorio +1 617 367 4200 +1 617 227 3384 plagorio@conversent.net
No Logo Paul Zamrowski, Consolidated Plaintiff

Toggle Switch Represented by Pastor Law Office, LLP

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED David Pastor +1 617 742 9700 +1 617 742 9701 dpastor@pastorlawoffice.com

Toggle Switch Represented by Peter A. Lagorio, Law Office

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Peter A. Lagorio +1 617 367 4200 +1 617 227 3384 plagorio@conversent.net
No Logo Ronald Gallatin, Consolidated Plaintiff

Toggle Switch Represented by Ruskin Moscou Faltischek, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Thomas Anthoney Telesca +1 973 533 4224 +1 973 535 9217 ttelesca@rmfpc.com
No Logo The, Consolidated Plaintiff
Officially listed as "The 2001 Frederick Dematteis Revocable Trust"

Toggle Switch Represented by Ruskin Moscou Faltischek, PC

Name Phone Fax E-Mail
LEAD ATTORNEY, ATTORNEY TO BE NOTICED Thomas Anthoney Telesca +1 973 533 4224 +1 973 535 9217 ttelesca@rmfpc.com
No Logo Ernst & Young, LLP, Objector
No Logo Meridian Absolute Return Erisa Fund Ltd., Objector
No Logo Meridian Diversified Compass Fund Ltd., Objector
No Logo Meridian Diversified Erisa Fund Ltd., Objector
No Logo Meridian Diversified Fund, LP, Objector
No Logo Meridian Diversified Fund Ltd., Objector
No Logo Meridian Horizon Fund II, LP, Objector
No Logo Meridian Horizon Fund, LP, Objector
Royal Bank of Scotland NV Royal Bank of Scotland NV, Objector
Officially listed as "The Royal Bank of Scotland, N.V."

Toggle Switch Represented by Allen & Overy, LLP

Name Phone Fax E-Mail
ATTORNEY TO BE NOTICED Lanier Saperstein +1 212 756 1136 +1 212 610 6399 saperstein.lanier@dorsey.com
Citation Section 15 U.S.C. § 78m(a)
Nature of Suit 850 - Other Statutes: Securities/Commodities/Exchange
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Legal Document (Payment Possibly Required) 182 Filed: 6/10/2016, Entered: None Court Filing
ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL granting (1225) Motion for Jason C. Vigna to Withdraw as Attorney. Before the Court is the Motion To Withdraw the appearance of Jason C. Vigna as a counsel of record for defendants Tremont Capital Management, Tremont Group Holdings, Inc., Tremont Partners, Inc., Rye Investment Management, Harry Hodges, James Mitchell, Lynn O. Keeshan, Patrick Kelly, Robert I. Schulman, Rupert A. Allan, Stephen Thomas Clayton, Stuart Pologe and Cynthia J. Nicoll (collectively, "Tremont") in the above-captioned consolidated cases. Having considered, the Motion, the Court is of the opinion that it should be granted. IT IS on this 10th day of June, 2016, hereby ORDERED that Jason C. Vigna shall be deemed to have withdrawn as counsel for Tremont. Attorney Jason Christopher Vigna terminated in case 1:08-cv-11117-TPG. (Signed by Judge Thomas P. Griesa on 6/10/2016) Filed In Associated Cases: 1:08-cv-11117-TPG et al. (kl) (Entered: 06/10/2016)
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    Legal Document (Payment Possibly Required) 181 Filed: 6/6/2016, Entered: None Court Filing
    MEMO ENDORSEMENT granting (1223) Motion to Withdraw in case 1:08-cv-11117-TPG. ENDORSEMENT: So Ordered. Jeffrey Michael Haber terminated. (Signed by Judge Thomas P. Griesa on 6/6/2016) Filed In Associated Cases: 1:08-cv-11117-TPG et al. (kl) Modified on 6/6/2016 (kl). (Entered: 06/06/2016)
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      Legal Document (Payment Possibly Required) 180 Filed: 3/25/2016, Entered: None Court Filing
      LETTER addressed to Judge Thomas P. Griesa from Gary S. Graifaman dated 03/25/2016 re: Class Counsel's Request to Hold Improper Reserve Amount and Martin's Emergency Motion to Second Circuit. Document filed by Michael S Martin.Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Graifman, Gary) (Entered: 03/25/2016)
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        Legal Document (Payment Possibly Required) 179 Filed: 9/16/2015, Entered: None Court Filing
        ORDER AND FINAL JUDGMENT GRANTING PLAINTIFFS' SETTLEMENT CLASS COUNSEL'S MOTION FOR APPROVAL OF FUND DISTRIBUTION ACCOUNT PLAN OF ALLOCATION, DISTRIBUTION PROCEDURES, ATTORNEYS' FEES AND REIMBURSEMENT OF EXPENSES: This Order and Final Judgment incorporates by reference the definitions in the Consensus FDA POA, as amended, Stipulation of Partial Settlement, dated as of February 23, 2011 (ECF No. 392-1) (the "Stipulation"), and any additional definitions in the Cirami FDA Affidavit, and all terms used herein shall have the meanings as set forth in the Stipulation, the Consensus FDA POA, as amended, and the Cirami FDA Affidavit. This Court has jurisdiction over the subject matter of the Actions and over all parties to the Actions, including the Fund Distribution Claimants. The portion of Class Counsel's Motion seeking approval of the Consensus FDA POA, as amended, attached hereto as Exhibit A, is GRANTED; The portion of Class Counsel's Motion seeking attorneys' fees and the reimbursement of expenses is GRANTED as follows: Class Counsel is awarded 3% of the current FDA and all future amounts deposited into the FDA (excluding: (i) the amounts used to repay the loan taken out by the two Rye Funds to complete the settlement with the Madoff Trustee; and (ii) the XL Priority Allocation) which may be paid on entry of this Order and Judgment and without further application to the Court, however, such award shall not exceed 2.5 times Class Counsel's lodestar, to be determined at the time of any subsequent FDA recoveries; Class Counsel is reimbursed for $975,322.56 in total out-of-pocket costs and expenses that were reasonably and necessarily incurred in respect of post May 6, 2011 litigation and related activities. (As further set forth in this Order) (Signed by Judge Thomas P. Griesa on 9/16/2015) (kl) (Entered: 09/16/2015)
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          Legal Document (Payment Possibly Required) 178 Filed: 8/10/2015, Entered: None
          NOTICE OF APPEARANCE by Mary Christina Pennisi on behalf of AIG Life Insurance Company, Delaware Life Insurance Company, John Hancock Life Insurance Company (U.S.A.), Metropolitan Life Insurance Company, Nationwide Life Insurance Company, New York Life Insurance And Annuity Corporation, Pacific Life Insurance Company, Pruco Life Insurance Company, Security Life of Denver Insurance Company. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Pennisi, Mary) (Entered: 08/10/2015)
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            Legal Document (Payment Possibly Required) 177 Filed: 8/10/2015, Entered: None
            NOTICE OF APPEARANCE by John Michael Vassos on behalf of New York Life Insurance And Annuity Corporation, Metropolitan Life Insurance Company, John Hancock Life Insurance Company (U.S.A.), Pacific Life Insurance Company, Security Life of Denver Insurance Company, AIG Life Insurance Company, Delaware Life Insurance Company, Pruco Life Insurance Company, Nationwide Life Insurance Company. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Vassos, John) (Entered: 08/10/2015)
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              Legal Document (Payment Possibly Required) 176 Filed: 7/24/2015, Entered: None
              NOTICE OF APPEARANCE by Gary Steven Graifman on behalf of Michael S Martin. (Attachments: # 1 Certificate of Service)Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Graifman, Gary) (Entered: 07/24/2015)
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                Legal Document (Payment Possibly Required) 175 Filed: 6/5/2015, Entered: None Court Filing
                OPINION: The court finds the motion to distribute the Net Settlement Fund to be fair and reasonable. The objections to the motion are overruled. This resolves the motions at numbers 1056 and 1069 on the docket. (Signed by Judge Thomas P. Griesa on 6/5/2015) (kl) (Entered: 06/09/2015)
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                  Legal Document (Payment Possibly Required) 174 Filed: 6/5/2015, Entered: None Court Filing
                  ORDER GRANTING SETTLING CLASS PLAINTIFFS' MOTION FOR APPROVAL OF: (i) CREATION OF NET SETTLEMENT FUND RESERVE AND DISTRIBUTION OF UNRESERVED PORTION OF NET SETTLEMENT FUND TO AUTHORIZED CLAIMANTS; AND (ii) READMISSION TO SETTLEMENT CLASS OF SETTLING PLAINTIFFS: The portion of Settling Class Plaintiffs' Motion seeking approval of creation of a Net Settlement Fund Reserve and Initial Distribution of the unreserved portion of the Net Settlement Fund to Authorized Claimants is GRANTED and objections thereto are overruled. The portion of Settling Class Plaintiffs' Motion seeking approval of readmission to the Settlement Class of the Settling Plaintiffs and distribution of the NSF Reserve to Authorized Claimants including existing Class Members, when and as approved by GCG, is GRANTED, and objections thereto are overruled. GCG shall be paid the sum of $555,461.23 from the Net Settlement Fund as payment for its outstanding fees and expenses incurred and to be incurred in connection with administration of the Settlement and the Distribution Plan. (Signed by Judge Thomas P. Griesa on 6/5/2015) (kl) (Entered: 06/09/2015)
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                    Legal Document (Payment Possibly Required) 173 Filed: 3/27/2015, Entered: None
                    JOINDER to join re: (1003 in 1:08-cv-11117-TPG) MOTION for Disbursement of Funds Notice of Motion by Settling Class Plaintiffs for Approval of Distribution of Net Settlement Fund. . Document filed by MassMutual Holding LLC, Massachusetts Mutual Life Insurance Company, Massmutual Holding LLC, Rye Investment Management, Rye Select Broad Market Fund, Rye Select Broad Market Insurance Fund LP, Rye Select Broad Market Portfolio Limited, Rye Select Broad Market Prime Fund, Rye Select Broad Market XL Fund, Tremont Arbitrage Fund LP, Tremont Arbitrage Fund-Ireland, Tremont Market Neutral Fund, Tremont Market Neutral Fund II LP, Tremont Market Neutral Fund Limited, Tremont Opportunity Fund II LP, Tremont Opportunity Fund III LP, Tremont Opportunity Fund Limited, Tremont Strategic Insurance Fund LP, MassMutual Holding Trust I, Massmutual Holdings Co..Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(Schwartz, Seth) (Entered: 03/27/2015)
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                      Legal Document (Payment Possibly Required) 172 Filed: 12/22/2014, Entered: None Court Filing
                      ORDER GRANTING SETTLING CLASS PLAINTIFFS' MOTION FOR APPROVAL OF NET SETTLEMENT FUND PLAN OF ALLOCATION AND SCHEDULING MOTION FOR DISTRIBUTION granting (987) Motion to Approve in case 1:08-cv-11117-TPG. IT IS HEREBY ORDERED THAT: 1. This Order incorporates by reference the definitions in the Cirami Affidavit and in the Stipulation of Partial Settlement dated as of February 23, 2011 (the "Stipulation") (ECF No. 392-1), and all terms used herein shall have the meanings as set forth in the Cirami Affidavit and in the Stipulation. 2. This Court has jurisdiction over the subject matter of the Actions and over all parties to the Actions, including the Settlement Class Members. 3. Settling Class Plaintiffs' Motion is GRANTED. Accordingly, a. The NSF POA submitted with the Motion is approved; b. The administrative determinations by GCG with respect to processing NSF Proofs of Claim, as set forth in the Cirami Affidavit, are approved. 4. Settling Class Plaintiffs shall move for approval of Distribution of the Net Settlement Fund to Authorized Claimants, on the following schedule. a. On or before January 30, 2015, Settling Class Plaintiffs shall move for approval of Distribution of the Net Settlement Fund; b. Any opposing papers shall be served on or before February 27, 2015; c. Reply papers shall be served on or before March 13, 2015. SO ORDERED. (Signed by Judge Thomas P. Griesa on 12/22/2014) Filed In Associated Cases: 1:08-cv-11117-TPG et al. (ajs) (Entered: 12/23/2014)
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                        Legal Document (Payment Possibly Required) 171 Filed: 1/27/2014, Entered: None
                        ORDER of USCA (Certified Copy) as to (615 in 1:08-cv-11117-TPG, 213 in 1:08-cv-11183-TPG, 41 in 1:11-cv-01851-TPG, 16 in 1:10-cv-09251-TPG, 133 in 1:08-cv-11212-TPG, 148 in 1:09-cv-00557-TPG) Notice of Appeal, filed by 2005 Tomchin Family Charitable Trust, Lakeview Investments, LP, Phoenix Lake Partners, LP, Edward L White, (149 in 1:09-cv-00557-TPG, 134 in 1:08-cv-11212-TPG, 42 in 1:11-cv-01851-TPG, 214 in 1:08-cv-11183-TPG, 17 in 1:10-cv-09251-TPG, 617 in 1:08-cv-11117-TPG) Notice of Appeal,,, filed by Madelyn Haines, Paul Zamrowski USCA Case Number 11-3899(L); 11-4030 (con). Following remand and the subsequent restoration of this Court's jurisdiction, Appellants Madelyn Haines and Paul Zamrowski seek an order requiring the district court to forward the remand record to this Court in the same manner as it ordinarily does when a notice of appeal is first filed. It is hereby ordered that the motion is GRANTED, and the district court is instructed to forward the record accordingly. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 1/27/2014. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(nd) (Entered: 01/28/2014)
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                          Legal Document (Payment Possibly Required) 170 Filed: 1/8/2014, Entered: None
                          ORDER of USCA (Certified Copy) as to (131 in 1:08-cv-11212-TPG, 14 in 1:10-cv-09251-TPG, 613 in 1:08-cv-11117-TPG, 211 in 1:08-cv-11183-TPG, 146 in 1:09-cv-00557-TPG, 39 in 1:11-cv-01851-TPG) Notice of Appeal, filed by Orloff Family Trust, (149 in 1:09-cv-00557-TPG, 134 in 1:08-cv-11212-TPG, 42 in 1:11-cv-01851-TPG, 214 in 1:08-cv-11183-TPG, 17 in 1:10-cv-09251-TPG, 617 in 1:08-cv-11117-TPG) Notice of Appeal,,, filed by Madelyn Haines, Paul Zamrowski USCA Case Number 11-3899(L); 11-4030(con). By Summary Order dated October 25, 2013, the Court remanded this matter to the district court pursuant to the procedure outlined in United States v. Jacobson, 15 F.3d 19, 22 (2d Cir. 1994), and permitted any party to restore jurisdiction to this Court within 30 days after the district court's decision by filing a letter with the Clerks Office. By letters dated December 16, 2013, and December 23, 2013, the parties informed the Court of the district courts decision on remand and in accordance with the Court's October 25, 2013 Summary Order sought restoration of this Court's jurisdiction.IT IS HEREBY ORDERED that the mandate is recalled and the appeal is reinstated. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 01/08/2014. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(nd) (Entered: 01/10/2014)
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                            Legal Document (Payment Possibly Required) 169 Filed: 12/23/2013, Entered: None
                            DECLARATION of Vincent T. Gresham re: (913 in 1:08-cv-11117-TPG) Order. Document filed by Madelyn Haines. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 12/23/2013)
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                              Legal Document (Payment Possibly Required) 168 Filed: 12/13/2013, Entered: None Court Filing
                              STIPULATION AND ORDER REGARDING SCOPE OF SETTLEMENT RELEASES: that Appellants' potential $80,000 claim arising out of the Trustee Settlement was not released or otherwise discharged by the Settlement and dismissal of the Actions. (Signed by Judge Thomas P. Griesa on 12/13/2013) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG (tn) (Entered: 12/13/2013)
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                                Legal Document (Payment Possibly Required) 167 Filed: 12/10/2013, Entered: None
                                REPLY re: (910 in 1:08-cv-11117-TPG) Memorandum of Law in Opposition,. Document filed by Madelyn Haines. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 12/10/2013)
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                                  Legal Document (Payment Possibly Required) 166 Filed: 12/9/2013, Entered: None
                                  MEMORANDUM OF LAW in Opposition re: (903 in 1:08-cv-11117-TPG) Response,. Document filed by Rupert Allan, Steven Thomas Clayton, Harry Hodges, Lynn O. Keeshan, Patrick Kelly, Jim Mitchell, Stuart Pologe, Rye Investment Management, Robert I. Schulman, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc, Cynthia J. Nicoll. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 12/09/2013)
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                                    Legal Document (Payment Possibly Required) 165 Filed: 12/5/2013, Entered: None
                                    RESPONSE re: (900 in 1:08-cv-11117-TPG) Reply Memorandum of Law, (902 in 1:08-cv-11117-TPG) MOTION for Joinder Plaintiffs' Joinder in Reply Memorandum of the Tremont Defendants on Remand from the Second Circuit., (901 in 1:08-cv-11117-TPG) Declaration,,. Document filed by Madelyn Haines. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 12/05/2013)
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                                      Legal Document (Payment Possibly Required) 164 Filed: 12/3/2013, Entered: None
                                      DECLARATION of Jason C. Vigna re: (900 in 1:08-cv-11117-TPG) Reply Memorandum of Law,. Document filed by Rupert Allan, Steven Thomas Clayton, Harry Hodges, Lynn O. Keeshan, Patrick Kelly, Jim Mitchell, Stuart Pologe, Rye Investment Management, Robert I. Schulman, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc, Cynthia J. Nicoll. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 12/03/2013)
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                                        Legal Document (Payment Possibly Required) 163 Filed: 12/3/2013, Entered: None
                                        REPLY MEMORANDUM OF LAW re: (889 in 1:08-cv-11117-TPG) Memorandum of Law,. Document filed by Rupert Allan, Steven Thomas Clayton, Harry Hodges, Lynn O. Keeshan, Patrick Kelly, Jim Mitchell, Stuart Pologe, Rye Investment Management, Robert I. Schulman, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc, Cynthia J. Nicoll. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 12/03/2013)
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                                          Legal Document (Payment Possibly Required) 162 Filed: 11/26/2013, Entered: None
                                          MEMORANDUM OF LAW in Opposition Corrected Joinder to Haines' Opposition. Document filed by George P Turner. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 11/26/2013)
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                                            Legal Document (Payment Possibly Required) 161 Filed: 11/26/2013, Entered: None
                                            MEMORANDUM OF LAW in Opposition (Corrected). Document filed by Madelyn Haines. (Attachments: # 1 Exhibit Exhibit 1 (part a), # 2 Exhibit Exhibit 1 (part b), # 3 Exhibit Exhibit 2)Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 11/26/2013)
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                                              Legal Document (Payment Possibly Required) 160 Filed: 11/26/2013, Entered: None
                                              MEMORANDUM OF LAW in Opposition JOINDER., MEMORANDUM OF LAW in Support. Document filed by George P Turner. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 11/26/2013)
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                                                Legal Document (Payment Possibly Required) 159 Filed: 11/26/2013, Entered: None
                                                MEMORANDUM OF LAW in Opposition re: (894 in 1:08-cv-11117-TPG) Joinder, (893 in 1:08-cv-11117-TPG) Joinder, (890 in 1:08-cv-11117-TPG) Declaration in Support,, (891 in 1:08-cv-11117-TPG) Joinder,, (889 in 1:08-cv-11117-TPG) Memorandum of Law, Declaration of Vincent T. Gresham. Document filed by Madelyn Haines. (Attachments: # 1 Affidavit, # 2 Affidavit, # 3 Affidavit, # 4 Affidavit)Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 11/26/2013)
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                                                  Legal Document (Payment Possibly Required) 158 Filed: 11/20/2013, Entered: None
                                                  NOTICE of Ex Parte Communication. Document filed by Madelyn Haines. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Gresham, Vincent) (Entered: 11/20/2013)
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                                                    Legal Document (Payment Possibly Required) 157 Filed: 11/12/2013, Entered: None
                                                    JOINDER to join re: (889 in 1:08-cv-11117-TPG) Memorandum of Law,. Document filed by Massachusetts Mutual Life Insurance Company, Massmutual Holding LLC.Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Head, Carol) (Entered: 11/12/2013)
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                                                      Legal Document (Payment Possibly Required) 156 Filed: 11/12/2013, Entered: None
                                                      JOINDER to join re: (889 in 1:08-cv-11117-TPG) Memorandum of Law, Plaintiffs' Joinder in Memorandum of the Tremont Defendants on Remand from The Second Circuit. Document filed by Arthur E. Lange Revocable Trust.Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Entwistle, Andrew) (Entered: 11/12/2013)
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                                                        Legal Document (Payment Possibly Required) 155 Filed: 11/12/2013, Entered: None
                                                        JOINDER to join re: (153 in 1:08-cv-11212-TPG, 248 in 1:08-cv-11183-TPG, 889 in 1:08-cv-11117-TPG, 237 in 1:09-cv-00557-TPG) Memorandum of Law,. Document filed by Oppenheimer Acquisition Corporation, Oppenheimerfunds, Inc..Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Kotler, David) (Entered: 11/12/2013)
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                                                          Legal Document (Payment Possibly Required) 154 Filed: 11/12/2013, Entered: None
                                                          DECLARATION of Jason C. Vigna in Support re: (153 in 1:08-cv-11212-TPG, 248 in 1:08-cv-11183-TPG, 237 in 1:09-cv-00557-TPG, 889 in 1:08-cv-11117-TPG) Memorandum of Law,. Document filed by Rupert Allan, Steven Thomas Clayton, Harry Hodges, Lynn O. Keeshan, Patrick Kelly, Jim Mitchell, Stuart Pologe, Rye Investment Management, Robert I. Schulman, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 11/12/2013)
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                                                            Legal Document (Payment Possibly Required) 153 Filed: 11/12/2013, Entered: None
                                                            MEMORANDUM OF LAW On Remand From The Second Circuit. Document filed by Rupert Allan, Steven Thomas Clayton, Harry Hodges, Lynn O. Keeshan, Patrick Kelly, Jim Mitchell, Stuart Pologe, Rye Investment Management, Robert I. Schulman, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc, Cynthia J. Nicoll. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 11/12/2013)
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                                                              Legal Document (Payment Possibly Required) 152 Filed: 10/25/2013, Entered: None
                                                              MANDATE of USCA (Certified Copy) as to (149 in 1:09-cv-00557-TPG, 134 in 1:08-cv-11212-TPG, 42 in 1:11-cv-01851-TPG, 214 in 1:08-cv-11183-TPG, 17 in 1:10-cv-09251-TPG, 617 in 1:08-cv-11117-TPG) Notice of Appeal,,, filed by Madelyn Haines, Paul Zamrowski USCA Case Number 11-4030. Ordered, Adjudged and Decreed that the judgment of the District Court is REMANDED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 10/25/2013. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(nd) (Entered: 10/25/2013)
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                                                                Legal Document (Payment Possibly Required) 151 Filed: 3/13/2013, Entered: None
                                                                MANDATE of USCA (Certified Copy) as to (131 in 1:08-cv-11212-TPG, 14 in 1:10-cv-09251-TPG, 613 in 1:08-cv-11117-TPG, 211 in 1:08-cv-11183-TPG, 146 in 1:09-cv-00557-TPG, 39 in 1:11-cv-01851-TPG) Notice of Appeal, filed by Orloff Family Trust USCA Case Number 11-3899(L). IT IS HEREBY ORDERED that the motion by appellant Orloff Family Trust for voluntary dismissal of the appeal, pursuant to FRAP 42(b), is GRANTED. The appeal shall proceed with respect to the remaining appellants. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 3/13/2013. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(nd) (Entered: 03/14/2013)
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                                                                  Legal Document (Payment Possibly Required) 150 Filed: 3/1/2013, Entered: None Court Filing
                                                                  OPINION: Accordingly, the motion is denied. This opinion resolves the motion listed under document number 799 on the docket of case 08 Civ. 11117. (Signed by Judge Thomas P. Griesa on 3/1/2013) Filed In Associated Cases: 1:08-cv-11117-TPG et al.(ago) (Entered: 03/04/2013)
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                                                                    Legal Document (Payment Possibly Required) 149 Filed: 9/12/2012, Entered: None Court Filing
                                                                    STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties hereto, as follows: 1. The time for filing papers in opposition to the motion of objectors Madelyn Haines and Paul Zamrowski ("Haines") to vacate the final judgment entered in these actions (the "Motion," Dkt. 799) shall be and hereby is adjourned from September 10, 2012 to September 17, 2012. 2. The time for Haines to file reply papers in further support of the Motion shall be and hereby is adjourned from September 27, 2012 to October 4, 2012, and as further set forth. (Responses due by 9/17/2012. Replies due by 10/4/2012.) (Signed by Judge Thomas P. Griesa on 9/12/2012) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(rjm) (Entered: 09/13/2012)
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                                                                      Legal Document (Payment Possibly Required) 148 Filed: 8/16/2012, Entered: None
                                                                      Costs Taxed as to (147 in 1:08-cv-11212-TPG, 792 in 1:08-cv-11117-TPG) USCA Mandate, USCA Case Number 11-3725-cv. in the amount of $219.06. Docketed as Judgment #12,1507 on 8/16/2012 in favor of Appellee KPMG LLP against Appellants Brainson et al. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(nd) (Entered: 08/16/2012)
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                                                                        Legal Document (Payment Possibly Required) 147 Filed: 8/13/2012, Entered: None
                                                                        MANDATE of USCA (Certified Copy) as to (130 in 1:08-cv-11212-TPG, 610 in 1:08-cv-11117-TPG) Notice of Appeal, filed by Group Defined Pension Plan & Trust, Yvette Finkelstein, Arthur M. Brainson IRA R/O USCA Case Number 11-3725. Ordered, Adjudged and Decreed that the judgments of the District Court are AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 08/13/2012. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(nd) (Entered: 08/13/2012)
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                                                                          Legal Document (Payment Possibly Required) 146 Filed: 7/18/2012, Entered: None
                                                                          NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a MOTION proceeding held on 8/8/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:08-cv-11117-TPG et al.(McGuirk, Kelly) (Entered: 07/18/2012)
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                                                                            Legal Document (Payment Possibly Required) 145 Filed: 7/18/2012, Entered: None Court Filing
                                                                            TRANSCRIPT of Proceedings re: MOTION held on 8/8/2011 before Judge Thomas P. Griesa. Court Reporter/Transcriber: Jerry Harrison, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/13/2012. Redacted Transcript Deadline set for 8/23/2012. Release of Transcript Restriction set for 10/19/2012.Filed In Associated Cases: 1:08-cv-11117-TPG et al.(McGuirk, Kelly) (Entered: 07/18/2012)
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                                                                              Legal Document (Payment Possibly Required) 144 Filed: 3/13/2012, Entered: None Court Filing
                                                                              ORDER: William Dodds of Dechert LLP, who represents Oppenheimer Acquisition Corp. and Oppenheimer Funds, Inc., has filed a request to withdraw as counsel in all of the actions listed above. The request is granted. (Signed by Judge Thomas P. Griesa on 3/13/2012) Filed In Associated Cases: 1:09-md-02052-TPG et al.(js) (Entered: 03/13/2012)
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                                                                                Blank 143 Filed: 2/28/2012, Entered: None
                                                                                NOTICE OF APPEARANCE by David Adam Kotler on behalf of Oppenheimer Acquisition Corporation (Kotler, David) (Entered: 02/28/2012)
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                                                                                    Blank 142 Filed: 11/4/2011, Entered: None Court Filing
                                                                                    NOTICE OF VOLUNTARY DISMISSAL: By letter filed with this Court on September 14, 2011 ("September 14 Letter"), the Tremont Defendants represented that the plaintiff in the above-captioned action, Lawrence J. Rothschild ("Rothschild"), was continuing to litigate this action because it either was not a member of the settlement class certified by this Court on August 19, 2011 ("Settlement Class"), or had opted out of the settlement. This is incorrect. Rothschild intends to participate fully as a member of the Settlement Class. To avoid any confusion raised by the September 14 Letter, pursuant to Fed. R. Civ. P. 41(a)(1), Rothschild hereby voluntarily dismisses all claims asserted in the action originally filed on April 14, 2009 in the Superior Court of Massachusetts, Suffolk County at docket number 09-1511-BLS; subsequently removed to the United States District Court for the District of Massachusetts at Docket Number 1:09-cv-10858-DPW; and subsequently consolidated before this Court under the above caption against Defendants Rye Select Broad Market XL Fund, L.P., Tremont Partners, Inc., Tremont Group Holdings, Inc., Oppenheimer Acquisition Corporation, MassMutual Holding LLC, Massachusetts Mutual Life Insurance Company, BNY Alternative Investment Services, Inc., Bank of New York Mellon, Robert Ivan Schulman, Stephen Thomas Clayton, Lynn O. Keeshan, Rupert Andrew Allan, Harry Hodges, Stuart Pologe, and Patrick Kelly. This notice of voluntary dismissal is made before any opposing party served their answer or a motion for summary judgment. Rothschild, however, reserves all rights as a member of the Settlement Class, and nothing in this Voluntary Dismissal should be construed as a waiver of any of those rights. (Signed by Judge Thomas P. Griesa on 11/4/2011) (mro) Modified on 11/8/2011 (mro). (Entered: 11/07/2011)
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                                                                                        Blank 141 Filed: 11/4/2011, Entered: None Court Filing
                                                                                        NOTICE OF VOLUNTARY DISMISSAL: By letter filed with this Court on September 14, 2011, the Tremont Defendants represented that the plaintiff in the above-captioned action, Family Swimmers Limited Partnership, was continuing to litigate this action because it either was not a member of the settlement class certified by this Court on August 19, 2011, or had opted out of the settlement. This is incorrect. Family Swimmers intends to participate fully as a member of the Settlement Class. To avoid any confusion raised by the September 14 Letter, pursuant to Fed. R. Civ. P. 41(a)(1), Family Swimmers hereby voluntarily dismisses all claims asserted in the action originally filed on April 1, 2009 in the Superior Court of Massachusetts, Suffolk County at docket number 09-1346-BLS; subsequently removed to the United States District Court for the District of Massachusetts at Docket Number 1:09-cv-10784-JLT; and subsequently consolidated before this Court under the above caption against Defendants Rye Select Broad Market Fund, L.P., Tremont Partners, Inc., Tremont Group Holdings, Inc., Oppenheimer Acquisition Corporation, MassMutual Holding LLC, Massachusetts Mutual Life Insurance Company, Robert Ivan Schulman, Steven Thomas Clayton, Lynn O. Keeshan, Rupert Andrew Allan, Harry Hodges, Sandra Manzke, and Susan Hammond. This notice of voluntary dismissal is made before any opposing party served their answer or a motion for summary judgment. Family Swimmers, however, reserves all rights as a member of the Settlement Class, and nothing in this Voluntary Dismissal should be construed as a waiver of any of those rights. (Signed by Judge Thomas P. Griesa on 11/4/2011) (mro) (Entered: 11/07/2011)
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                                                                                            Legal Document (Payment Possibly Required) 140 Filed: 10/26/2011, Entered: None
                                                                                            NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 10/20/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:08-cv-11117-TPG et al.(McGuirk, Kelly) (Entered: 10/26/2011)
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                                                                                              Legal Document (Payment Possibly Required) 140
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                                                                                                Legal Document (Payment Possibly Required) 139 Filed: 10/26/2011, Entered: None Court Filing
                                                                                                TRANSCRIPT of Proceedings re: Conference held on 10/20/2011 before Judge Thomas P. Griesa. Court Reporter/Transcriber: Carol Ganley, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 11/21/2011. Redacted Transcript Deadline set for 12/1/2011. Release of Transcript Restriction set for 1/27/2012.Filed In Associated Cases: 1:08-cv-11117-TPG et al.(McGuirk, Kelly) (Entered: 10/26/2011)
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                                                                                                  Legal Document (Payment Possibly Required) 139
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                                                                                                    Legal Document (Payment Possibly Required) 138 Filed: 10/20/2011, Entered: None
                                                                                                    DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, WITHOUT prejudice against the defendant(s) BNY Alternative Investment Services, Inc., Bank of New York Mellon Corporation, Steven Thomas Clayton, Harry Hodges, Lynn O. Keeshan, Patrick Kelly, Massachusetts Mutual Life Insurance Company, Massmutual Holding LLC, Oppenheimer Acquisition Corporation, Stuart Pologe, Rye Select Broad Market XL Fund, L.P., Robert I. Schulman, Tremont Group Holdings, Inc., Rupert Allan, Tremont Partners, Inc. Document filed by Lawrence J. Rothschild. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Egan, Patrick) Modified on 10/21/2011 (dt). (Entered: 10/20/2011)
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                                                                                                      Legal Document (Payment Possibly Required) 138
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                                                                                                        Legal Document (Payment Possibly Required) 137 Filed: 10/20/2011, Entered: None
                                                                                                        DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, WITHOUT prejudice against the defendant(s) Steven Thomas Clayton, Susan Hammond, Harry Hodges, Lynn O. Keeshan, Sandra Manzke, Massachusetts Mutual Life Insurance Company, Massmutual Holding LLC, Oppenheimer Acquisition Corporation, RYE Select Broad Market Fund, L.P, Robert I. Schulman, Tremont Group Holdings, Inc., Tremont Partners, Inc, Rupert Allan. Document filed by Family Swimmers Limited Partnership. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Egan, Patrick) Modified on 10/21/2011 (dt). (Entered: 10/20/2011)
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                                                                                                          Legal Document (Payment Possibly Required) 137
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                                                                                                            Legal Document (Payment Possibly Required) 136 Filed: 10/17/2011, Entered: None
                                                                                                            NOTICE OF APPEARANCE by Patrick Thomas Egan on behalf of Lawrence J. Rothschild Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Egan, Patrick) (Entered: 10/17/2011)
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                                                                                                              Legal Document (Payment Possibly Required) 136
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                                                                                                                Legal Document (Payment Possibly Required) 135 Filed: 10/17/2011, Entered: None
                                                                                                                NOTICE OF APPEARANCE by Patrick Thomas Egan on behalf of Family Swimmers Limited Partnership Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Egan, Patrick) (Entered: 10/17/2011)
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                                                                                                                  Legal Document (Payment Possibly Required) 135
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                                                                                                                    Legal Document (Payment Possibly Required) 134 Filed: 9/20/2011, Entered: None
                                                                                                                    NOTICE OF APPEAL from (126 in 1:08-cv-11212-TPG, 10 in 1:10-cv-09251-TPG, 207 in 1:08-cv-11183-TPG, 141 in 1:09-cv-00557-TPG, 604 in 1:08-cv-11117-TPG, 33 in 1:11-cv-01851-TPG) Judgment, (127 in 1:09-cv-00557-TPG, 6 in 1:10-cv-09251-TPG, 190 in 1:08-cv-11183-TPG, 100 in 1:08-cv-11212-TPG, 419 in 1:08-cv-11117-TPG) Order, (205 in 1:08-cv-11183-TPG, 554 in 1:08-cv-11117-TPG, 122 in 1:08-cv-11212-TPG) Order, (603 in 1:08-cv-11117-TPG, 206 in 1:08-cv-11183-TPG, 125 in 1:08-cv-11212-TPG) Judgment, (367 in 1:08-cv-11117-TPG) Endorsed Letter, (44 in 1:08-cv-11117-TPG) Order, (314 in 1:08-cv-11117-TPG) Order. Document filed by Madelyn Haines, Madelyn Haines, Paul Zamrowski. Filing fee $ 455.00, receipt number 465401016996. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(tp) (Entered: 09/23/2011)
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                                                                                                                      Legal Document (Payment Possibly Required) 134
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                                                                                                                        Legal Document (Payment Possibly Required) 133 Filed: 9/16/2011, Entered: None
                                                                                                                        JOINT NOTICE OF APPEAL from (141 in 1:09-cv-00557-TPG, 207 in 1:08-cv-11183-TPG, 126 in 1:08-cv-11212-TPG, 10 in 1:10-cv-09251-TPG, 604 in 1:08-cv-11117-TPG, 33 in 1:11-cv-01851-TPG) Judgment. Document filed by Phoenix Lake Partners, LP, Lakeview Investments, LP, 2005 Tomchin Family Charitable Trust, Edward L White znd Rigdon O. Dees, III. Filing fee $ 455.00, receipt number 465401016755. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(tp) (Entered: 09/19/2011)
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                                                                                                                          Legal Document (Payment Possibly Required) 133
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                                                                                                                            Legal Document (Payment Possibly Required) 132 Filed: 9/19/2011, Entered: None
                                                                                                                            NOTICE OF APPEAL from (141 in 1:09-cv-00557-TPG, 207 in 1:08-cv-11183-TPG, 126 in 1:08-cv-11212-TPG, 10 in 1:10-cv-09251-TPG, 604 in 1:08-cv-11117-TPG, 33 in 1:11-cv-01851-TPG) Judgment. Document filed by Philadelphia Financial Life Assurance Company. Filing fee $ 455.00, receipt number 465401016762. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(tp) (Entered: 09/19/2011)
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                                                                                                                              Legal Document (Payment Possibly Required) 132
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                                                                                                                                Legal Document (Payment Possibly Required) 131 Filed: 9/16/2011, Entered: None
                                                                                                                                NOTICE OF APPEAL from (141 in 1:09-cv-00557-TPG, 207 in 1:08-cv-11183-TPG, 126 in 1:08-cv-11212-TPG, 10 in 1:10-cv-09251-TPG, 604 in 1:08-cv-11117-TPG, 33 in 1:11-cv-01851-TPG) Judgment, (602 in 1:08-cv-11117-TPG, 140 in 1:09-cv-00557-TPG) Judgment, (603 in 1:08-cv-11117-TPG, 206 in 1:08-cv-11183-TPG, 125 in 1:08-cv-11212-TPG) Judgment. Document filed by Orloff Family Trust. Filing fee $ 455.00, receipt number 465401016728. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(tp) (Entered: 09/19/2011)
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                                                                                                                                  Legal Document (Payment Possibly Required) 131
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                                                                                                                                    Legal Document (Payment Possibly Required) 130 Filed: 9/12/2011, Entered: None
                                                                                                                                    NOTICE OF APPEAL from (601 in 1:08-cv-11117-TPG, 124 in 1:08-cv-11212-TPG) Judgment,,. Document filed by Yvette Finkelstein, Group Defined Pension Plan & Trust, Arthur M. Brainson.. Filing fee $ 455.00, receipt number 465401016196. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(nd) (Entered: 09/13/2011)
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                                                                                                                                      Legal Document (Payment Possibly Required) 129 Filed: 9/7/2011, Entered: None Court Filing
                                                                                                                                      STIPULATION AND [PROPOSED] ORDER REGARDING WITHDRAWAL OF OBJECTION AND EXCLUSION REQUEST BY JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.). IT IS HEREBY STIPULATED AND AGREED AS FOLLOWS: 1. John Hancock withdraws its objections to the extent they may not have been explicitly overruled on August 8, 2011, and waives any right to appeal the Court's determination overruling the objections and any right to appeal the approval of the Settlement and State and Securities Law Class Counsel's request for Attorneys' Fees and Expenses (except that none of John Hancock's rights with respect to objecting to any material modifications to the previously filed Plans of Allocation and the Plan of Distribution to be filed in the future by State and Securities Law Class Counsel with respect to the Fund Distribution Account are waived by this Stipulation). 2. John Hancock withdraws its request for exclusion from the Settlement Class and hereby opts into the Settlement Class. 3. As a member of the Settlement Class, upon submitting an executed Proof of Claim and Release form, John Hancock is entitled to receive a distribution from the Net Settlement Fund based on its Recognized Claim in the manner of other similarly situated Settlement Class Members. (Signed by Judge Thomas P. Griesa on 9/7/11) Filed In Associated Cases: 1:08-cv-11117-TPG et al.(rjm) (Entered: 09/07/2011)
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                                                                                                                                        Legal Document (Payment Possibly Required) 128 Filed: 8/23/2011, Entered: None
                                                                                                                                        NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a MOTION proceeding held on 8/8/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:08-cv-11117-TPG et al.(McGuirk, Kelly) (Entered: 08/23/2011)
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                                                                                                                                          Legal Document (Payment Possibly Required) 127 Filed: 8/23/2011, Entered: None Court Filing
                                                                                                                                          TRANSCRIPT of Proceedings re: Motion held on 8/8/2011 before Judge Thomas P. Griesa. Court Reporter/Transcriber: Jerry Harrison, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/16/2011. Redacted Transcript Deadline set for 9/26/2011. Release of Transcript Restriction set for 11/24/2011.Filed In Associated Cases: 1:08-cv-11117-TPG et al.(McGuirk, Kelly) (Entered: 08/23/2011)
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                                                                                                                                            Legal Document (Payment Possibly Required) 126 Filed: 8/19/2011, Entered: None Court Filing
                                                                                                                                            FINAL JUDGMENT AND ORDER OF DISMISSAL with prejudice regarding settlement and rules 23 and 23.1. (Signed by Judge Thomas P. Griesa on 8/19/11) (Attachments: # 1 notice of right to appeal)Filed In Associated Cases: 1:08-cv-11117-TPG et al.(ml) (Entered: 08/22/2011)
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                                                                                                                                              Legal Document (Payment Possibly Required) 125 Filed: 8/19/2011, Entered: None Court Filing
                                                                                                                                              JUDGMENT AND ORDER granting plaintiffs' state and securities law settlement class insurance class counsels' motion for an award of attorneys' fee, reimbursement of expenses, and awards to state law and securities plaintiffs. (Signed by Judge Thomas P. Griesa on 8/19/11) (Attachments: # 1 notice of right to appeal)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(ml) (Entered: 08/22/2011)
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                                                                                                                                                Blank 124 Filed: 8/15/2011, Entered: None
                                                                                                                                                Rule 54(b) JUDGMENT That for the reasons stated in the Court's Order dated August 12, 2011, KPMG and Ernst & Young's joint motion for entry of judgment is granted; accordingly, there is no just reason for delay, pursuant to Fed. R. Civ. P. 54(b), judgment is entered dismissing the Securities Actions as to KPMG and Ernst & Young. (Signed by Clerk of Court Ruby Krajick on 8/15/11) (Attachments: # 1 notice of right to appeal)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(ml) Modified on 8/15/2011 (ml). (Entered: 08/15/2011)
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                                                                                                                                                  Legal Document (Payment Possibly Required) 123 Filed: 8/12/2011, Entered: None Court Filing
                                                                                                                                                  ORDER. For the reasons set forth on the record in the hearing of May 27, 2011, KPMG and Ernst & Young's joint motion for entry of judgment is granted. This disposes of the motion listed as document number 347 on this docket. Granting (347) Motion for Entry of Judgment under Rule 54(b) in case 1:08-cv-11117-TPG; Granting (93) Motion for Entry of Judgment under Rule 54(b) in case 1:08-cv-11212-TPG. (Signed by Judge Thomas P. Griesa on 8/12/11) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(rjm) (Entered: 08/12/2011)
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                                                                                                                                                    Legal Document (Payment Possibly Required) 122 Filed: 6/28/2011, Entered: None Court Filing
                                                                                                                                                    ORDER APPROVING ISSUANCE OF SUPPLEMENTAL NOTICE: The attached form of Supplemental Notice is approved for service on the Class. (Signed by Judge Barbara S. Jones for Judge Thomas P. Griesa on 6/28/2011)- PART I Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(tro) (Entered: 06/28/2011)
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                                                                                                                                                      Blank 121 Filed: 6/10/2011, Entered: None
                                                                                                                                                      AFFIDAVIT OF SERVICE of The Tremont Defendants' Memorandum in Opposition to the Haines Objectors' Motion for Relief from Mediation and Settlement Confidentiality Provisions on 6/10/11. Service was made by Mail in box. Document filed by Jim Mitchell, Rye Investment Management, Robert Schulman, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc, Rupert Allan. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 06/10/2011)
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                                                                                                                                                        Blank 120 Filed: 6/10/2011, Entered: None
                                                                                                                                                        MEMORANDUM OF LAW in Opposition re: (531 in 1:08-cv-11117-TPG) MOTION Relief from Mediation & Settlement Confidentiality Provisions.. Document filed by Harry Hodges, Rye Investment Management, Robert Schulman, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc, Rupert Allan, Jim Mitchell, Cynthia J. Nicoll, Robert Schulman, Tremont Capital Management, Tremont Partners, Inc., Tremont [Bermuda] Limited. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 06/10/2011)
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                                                                                                                                                          Legal Document (Payment Possibly Required) 119 Filed: 5/24/2011, Entered: None
                                                                                                                                                          MOTION for Michael Frederick Cockson to Appear Pro Hac Vice. Document filed by Spectrum Equities, L.P., Spectrum Select II, L.P..Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(sjo) (Entered: 06/01/2011)
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                                                                                                                                                            Blank 118 Filed: 5/26/2011, Entered: None
                                                                                                                                                            AFFIDAVIT OF SERVICE of The Tremont Defendants' Memorandum in Support of Final Approval of Partial Settlement and in Response to Certain Objections to Settlement. Document filed by Harry Hodges, Jim Mitchell, Rye Investment Management, Robert Schulman, Rupert Allan, Tremont (Bermuda) Ltd, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 05/26/2011)
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                                                                                                                                                              Blank 117 Filed: 5/25/2011, Entered: None
                                                                                                                                                              MEMORANDUM OF LAW in Support re: (436 in 1:08-cv-11117-TPG) MOTION for Settlement , Class Certification and Derivative Findings.. Document filed by Harry Hodges, Jim Mitchell, Rye Investment Management, Robert Schulman, Tremont (Bermuda) Ltd, Rupert Allan, Tremont Capital Management Inc., Tremont Group Holdings, Inc., Tremont Partners, Inc. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Schwartz, Seth) (Entered: 05/25/2011)
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                                                                                                                                                                Legal Document (Payment Possibly Required) 116 Filed: 5/13/2011, Entered: None
                                                                                                                                                                CERTIFICATE OF SERVICE of Notice of Intention to Appear and Objection (ECF Document No. 462) served on Andrew Entwistle, Robert Cappucci, Reed Kathrein, and Lee Gordon (Counsel for the State Law Actions); Jeffrey Haber (Counsel for the Securities Actions); Jack Auspitz and Gary Lee (Counsel for Joint Official Liquidators of Rye Select Broad Market INsurance Portfolio LDC, Rye Select Broad Market XL Portfolio Limited and Broad Market XL Holdings Limited); Seth Schwartz (Counsel for Tremont Capital Management, Tremont Group Holdings, Inc., Tremont Partners, Inc., Rye Investment Management, Harry Hodges, James Mitchell, Lynn Keeshan, Patrick Kelly, Robert Schulman, Rupert Allan, Stephen Thomas Clayton, Stuart Pologe and Cynthia Nicoll); Jamie Stecher and Joseph Kociubes (Counsel for Massachusetts Mutual Life Insurance Co., MassMutual Holdings Trust I, MassMutual Holding Company, MassMutual Life Insurance Co.); and William Dodds (Counsel for Oppenheimer Acquisition Corporation and Oppenheimerfunds, Inc.) on 5/11/2011. Service was made by ECF and U.S. MAIL. Document filed by Spectrum Equities, L.P., Spectrum Select II, L.P.. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Orenstein, John) (Entered: 05/13/2011)
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                                                                                                                                                                  Legal Document (Payment Possibly Required) 115 Filed: 5/12/2011, Entered: None
                                                                                                                                                                  CERTIFICATE OF SERVICE of Objection on 5/11/2011. Document filed by Meridian Absolute Return ERISA Fund, Ltd., Meridian Diversified Compass Fund, Ltd., Meridian Diversified ERISA Fund, Ltd., Meridian Diversified Fund, LP, Meridian Diversified Fund, Ltd., Meridian Horizon Fund II, LP, Meridian Horizon Fund, LP. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Frankel, Steven) (Entered: 05/12/2011)
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                                                                                                                                                                    Legal Document (Payment Possibly Required) 114 Filed: 5/11/2011, Entered: None
                                                                                                                                                                    DECLARATION of Lanier Saperstein re: (436 in 1:08-cv-11117-TPG) MOTION for Settlement , Class Certification and Derivative Findings., (440 in 1:08-cv-11117-TPG) MOTION to Approve Plans of Allocation., (445 in 1:08-cv-11117-TPG) MOTION for Settlement Plaintiffs' State and Securities Settlement Class Counsels' Motion for Attorneys' Fees, Reimbursement of Expenses, and Awards to State and Securities Plaintiffs. Declaration in Support of Joint Objection of Class Members ABN AMRO Bank (Ireland) Ltd., HSBC Bank plc, HSBC USA Inc., and The Royal Bank of Scotland, N.V. to the Proposed Partial Settlement, Plans of Allocation, and Award of Attorneys' Fees., DECLARATION of Lanier Saperstein in Opposition re: (436 in 1:08-cv-11117-TPG) MOTION for Settlement , Class Certification and Derivative Findings., (440 in 1:08-cv-11117-TPG) MOTION to Approve Plans of Allocation., (445 in 1:08-cv-11117-TPG) MOTION for Settlement Plaintiffs' State and Securities Settlement Class Counsels' Motion for Attorneys' Fees, Reimbursement of Expenses, and Awards to State and Securities Plaintiffs.. Document filed by The Royal Bank of Scotland, N.V.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Declaration of Service)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(Feldberg, Michael) (Entered: 05/11/2011)
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                                                                                                                                                                      Legal Document (Payment Possibly Required) 113 Filed: 5/11/2011, Entered: None
                                                                                                                                                                      Objection re: (436 in 1:08-cv-11117-TPG) MOTION for Settlement , Class Certification and Derivative Findings., (440 in 1:08-cv-11117-TPG) MOTION to Approve Plans of Allocation., (445 in 1:08-cv-11117-TPG) MOTION for Settlement Plaintiffs' State and Securities Settlement Class Counsels' Motion for Attorneys' Fees, Reimbursement of Expenses, and Awards to State and Securities Plaintiffs. Joint Objection of Class Members ABN AMRO Bank (Ireland) Ltd., HSBC Bank PLC, HSBC USA Inc., and the Royal Bank of Scotland, N.V. to the Proposed Partial Settlement, Plans of Allocation, and Award of Attorneys' Fees. Document filed by The Royal Bank of Scotland, N.V.. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(Feldberg, Michael) (Entered: 05/11/2011)
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                                                                                                                                                                        Legal Document (Payment Possibly Required) 112 Filed: 5/11/2011, Entered: None
                                                                                                                                                                        NOTICE OF APPEARANCE by Lanier Saperstein on behalf of The Royal Bank of Scotland, N.V. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(Saperstein, Lanier) (Entered: 05/11/2011)
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                                                                                                                                                                          Legal Document (Payment Possibly Required) 111 Filed: 5/11/2011, Entered: None
                                                                                                                                                                          RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying RBS Holdings N.V. as Corporate Parent. Document filed by The Royal Bank of Scotland, N.V..Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(Feldberg, Michael) (Entered: 05/11/2011)
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                                                                                                                                                                            Legal Document (Payment Possibly Required) 110 Filed: 5/11/2011, Entered: None
                                                                                                                                                                            NOTICE OF APPEARANCE by Michael Svetkey Feldberg on behalf of The Royal Bank of Scotland, N.V. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(Feldberg, Michael) (Entered: 05/11/2011)
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                                                                                                                                                                              Legal Document (Payment Possibly Required) 109 Filed: 5/11/2011, Entered: None
                                                                                                                                                                              NOTICE of Intent to Appear. Document filed by Ernst & Young, KPMG, Ernst & Young LLP, KPMG L.L.P., KPMG. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Ballard, Gregory) (Entered: 05/11/2011)
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                                                                                                                                                                                Legal Document (Payment Possibly Required) 108 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                NOTICE of of Intent to Appear. Document filed by The 2001 Frederick Dematteis Revocable Trust. (Attachments: # 1 Certificate of Service)(Telesca, Thomas) (Entered: 05/11/2011)
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                                                                                                                                                                                  Legal Document (Payment Possibly Required) 107 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                  Objection to Proposed Settlement. Document filed by Dematteis FLP Assets, LLC, The 2001 Frederick Dematteis Revocable Trust. (Attachments: # 1 Certificate of Service)(Telesca, Thomas) (Entered: 05/11/2011)
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                                                                                                                                                                                    Legal Document (Payment Possibly Required) 106 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                    NOTICE of of Intent to Appear. Document filed by John D. Case, Ronald Gallatin, M. Kenneth Witover. (Attachments: # 1 Certificate of Service)(Telesca, Thomas) (Entered: 05/11/2011)
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                                                                                                                                                                                      Legal Document (Payment Possibly Required) 105 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                      Objection to the Proposed Final Judgment and Order of Dismissal Regarding Settlement and Rules 23 and 23.1. Document filed by Ernst & Young, KPMG, Ernst & Young LLP, KPMG L.L.P., KPMG. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Ballard, Gregory) (Entered: 05/11/2011)
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                                                                                                                                                                                        Legal Document (Payment Possibly Required) 104 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                        Objection to proposed settlement. Document filed by John D. Case, Ronald Gallatin, M. Kenneth Witover. (Attachments: # 1 Certificate of Service)(Telesca, Thomas) (Entered: 05/11/2011)
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                                                                                                                                                                                          Legal Document (Payment Possibly Required) 103 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                          Objection to the Class Counsel's Request for Attorneys' Fees in the Amount of 3% of the Fund Distribution Account and to the Fairness of the Proposed Settlement, and Notice to Appear at the Fairness Hearing. Document filed by Meridian Horizon Fund, LP, Meridian Horizon Fund II, LP, Meridian Diversified Fund, LP, Meridian Diversified Fund, Ltd., Meridian Diversified ERISA Fund, Ltd., Meridian Diversified Compass Fund, Ltd., Meridian Absolute Return ERISA Fund, Ltd.. (Attachments: # 1 Appendix A, # 2 Appendix B)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Berman, Scott) (Entered: 05/11/2011)
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                                                                                                                                                                                            Legal Document (Payment Possibly Required) 102 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                            MEMORANDUM OF LAW in Opposition re: (441 in 1:08-cv-11117-TPG) MOTION for Attorney Fees . Insurance Class Counsels' Motion for an Award of Attorneys' Fees and Expenses and Insurance Class Plaintiffs' Incentive Awards., (436 in 1:08-cv-11117-TPG) MOTION for Settlement , Class Certification and Derivative Findings., (440 in 1:08-cv-11117-TPG) MOTION to Approve Plans of Allocation., (445 in 1:08-cv-11117-TPG) MOTION for Settlement Plaintiffs' State and Securities Settlement Class Counsels' Motion for Attorneys' Fees, Reimbursement of Expenses, and Awards to State and Securities Plaintiffs.. Document filed by Select Spectrum Partners, LLC, Spectrum Select L.P.. (Attachments: # 1 Appendix 1)Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Orenstein, John) (Entered: 05/11/2011)
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                                                                                                                                                                                              Legal Document (Payment Possibly Required) 101 Filed: 5/11/2011, Entered: None
                                                                                                                                                                                              FILING ERROR - DEFICIENT DOCKET ENTRY - MEMORANDUM OF LAW in Opposition re: (441 in 1:08-cv-11117-TPG) MOTION for Attorney Fees . Insurance Class Counsels' Motion for an Award of Attorneys' Fees and Expenses and Insurance Class Plaintiffs' Incentive Awards., (436 in 1:08-cv-11117-TPG) MOTION for Settlement , Class Certification and Derivative Findings., (440 in 1:08-cv-11117-TPG) MOTION to Approve Plans of Allocation., (445 in 1:08-cv-11117-TPG) MOTION for Settlement Plaintiffs' State and Securities Settlement Class Counsels' Motion for Attorneys' Fees, Reimbursement of Expenses, and Awards to State and Securities Plaintiffs.. Document filed by Select Spectrum Partners LLC, Spectrum Select L.P.. Filed In Associated Cases: 1:08-cv-11117-TPG et al.(Orenstein, John) Modified on 5/24/2011 (lb). (Entered: 05/11/2011)
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                                                                                                                                                                                                Legal Document (Payment Possibly Required) 100 Filed: 4/5/2011, Entered: None Court Filing
                                                                                                                                                                                                ORDER DIRECTING NOTICE AND SETTING FINAL FAIRNESS HEARING IN CONNECTION WITH MOTION FOR APPROVAL OF PROPOSED SETTLEMENT AND MOTION FOR ATTORNEYS' FEES AND EXPENSES: Having considered the proposed Settlement set forth in the Stipulation in light of the requirements of Rules 23, 23(a), 23 (b)(3), and Rule 23.1, the Court makes all findings necessary, subject to further consideration at the Fairness Hearing to be held on June 1, 2011, to direct the Plaintiffs Settlement Class Counsel to cause the" Summary Notice of Pendency of Consolidated Actions, Motion for Final Approval of Settlement, Hearing on Proposed Settlement and Motion for Attorneys' Fees and Expenses", "Notice of Pendency of Consolidated Actions, Motion for Final Approval of Settlement, Hearing on Proposed Settlement and Motion for Attorneys' Fees and Expenses" and "Insurance Notice" (each substantially in the form hereby approved by this Order and attached hereto as Exhibits AI, A2 and A3 respectively) to be disseminated to limited partners and/or shareholders of the Settling Funds and members of the following subclasses certified subject to further consideration at the Fairness Hearing: All other provisions as further set forth in this order. So Ordered (Signed by Judge Thomas P. Griesa on 4/5/2011) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG, 1:10-cv-09251-TPG(js) (Additional attachment(s) added on 4/7/2011: # 1 Exhibit A1) (tro). (Additional attachment(s) added on 4/7/2011: # 2 Exhibit A2) (tro). (Additional attachment(s) added on 4/7/2011: # 3 Exhibit A3) (tro). Modified on 4/7/2011 (js). (Entered: 04/06/2011)
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                                                                                                                                                                                                  Blank 99 Filed: 3/9/2011, Entered: None
                                                                                                                                                                                                  NOTICE OF APPEARANCE by Thomas Anthoney Telesca on behalf of John D. Case, Dematteis FLP Assets, LLC, The 2001 Frederick Dematteis Revocable Trust, Ronald Gallatin, M. Kenneth Witover (Telesca, Thomas) (Entered: 03/09/2011)
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                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 98 Filed: 3/4/2011, Entered: None
                                                                                                                                                                                                    NOTICE of of Withdrawal of Counsel - R. Corey Worcester. Document filed by KPMG. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG, 1:10-cv-09251-TPG(Worcester, Richard) (Entered: 03/04/2011)
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                                                                                                                                                                                                      Blank 97 Filed: 2/9/2011, Entered: None Court Filing
                                                                                                                                                                                                      ORDER: The Clerk of the Court is therefore directed to consolidate this case with the Securities Action under docket number 08 Civ. 11212, and upon doing so, to close the docket in the above-captioned case. Any document hereinafter filed in connection with the above-captioned case must be filed under the master docket, 08 Civ. 11117. The parties are directed to read this Court's Order and Memorandum, both dated March 26, 2009, which can be found under the master docket. These documents prescribe the requirements for future submissions to this Court. (Signed by Judge Thomas P. Griesa on 2/9/2011) Filed In Associated Cases: 1:08-cv-11212-TPG, 1:10-cv-09226-TPG, 1:10-cv-09228-TPG(jfe) (Entered: 02/10/2011)
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                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 96 Filed: 5/27/2010, Entered: None
                                                                                                                                                                                                        REPLY MEMORANDUM OF LAW in Support re: (93 in 1:08-cv-11212-TPG, 347 in 1:08-cv-11117-TPG) MOTION for Entry of Judgment under Rule 54(b). REDACTED VERSION. Document filed by Ernst & Young, KPMG, KPMG LLP, Ernst & Young LLP. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 05/27/2010)
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                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 95 Filed: 4/29/2010, Entered: None
                                                                                                                                                                                                          DECLARATION of Richard Cashman in Support re: (93 in 1:08-cv-11212-TPG, 347 in 1:08-cv-11117-TPG) MOTION for Entry of Judgment under Rule 54(b).. Document filed by Ernst & Young, Ernst & Young LLP. (Attachments: # 1 Exhibit A)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Cashman, Richard) (Entered: 04/29/2010)
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                                                                                                                                                                                                            Blank 94 Filed: 4/29/2010, Entered: None
                                                                                                                                                                                                            JOINT MEMORANDUM OF LAW in Support re: (93 in 1:08-cv-11212-TPG, 347 in 1:08-cv-11117-TPG) MOTION for Entry of Judgment under Rule 54(b).. Document filed by Ernst & Young, KPMG, KPMG LLP, Ernst & Young LLP. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 04/29/2010)
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                                                                                                                                                                                                              Blank 93 Filed: 4/29/2010, Entered: None
                                                                                                                                                                                                              JOINT MOTION for Entry of Judgment under Rule 54(b). Document filed by Ernst & Young, KPMG, KPMG LLP, Ernst & Young LLP.Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 04/29/2010)
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                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 92 Filed: 3/30/2010, Entered: None Court Filing
                                                                                                                                                                                                                OPINION re: (103 in 1:08-cv-11117-TPG, 35 in 1:08-cv-11212-TPG) MOTION to Dismiss the Complaint or Alternatively to Compel Arbitration and to Stay the Consolidated Securities Action. filed by KPMG, KPMG LLP, (45 in 1:08-cv-11212-TPG) MOTION to Dismiss. filed by Ernst & Young LLP. For the reasons set forth herein, E&Y's and KPMG's motions to dismiss are granted (Docket Nos. 35 and 45 on 08 Civ. 11212; Docket No. 103 on 08 Civ. 11117). (Signed by Judge Thomas P. Griesa on 3/30/2010) Filed In Associated Cases: 1:09-md-02052-TPG, 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(jmi) (Entered: 03/31/2010)
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                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 91 Filed: 3/30/2010, Entered: None Court Filing
                                                                                                                                                                                                                  ORDER. The motions to dismiss filed by the Tremont Defendants (Docket No. 140 on 08 Civ. 11117), Oppenheimer Defendants (Docket No. 125 on 08 Civ. 11117), MassMutual Defendants (Docket No. 116 on 08 Civ. 11117), Rye Defendants (Docket No. 143 on 08 Civ. 11117), and Sandra L. Manzke (Docket No. 216 on 08 Civ. 11117) are denied as moot. (Signed by Judge Thomas P. Griesa on 3/30/10) Filed In Associated Cases: 1:09-md-02052-TPG, 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(rjm) (Entered: 03/30/2010)
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                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 90 Filed: 1/26/2010, Entered: None
                                                                                                                                                                                                                    NOTICE OF APPEARANCE by Jeffrey Koenig on behalf of Group Defined Pension Plan & Trust (Koenig, Jeffrey) (Entered: 01/26/2010)
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                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 89 Filed: 1/26/2010, Entered: None
                                                                                                                                                                                                                      NOTICE OF CHANGE OF ADDRESS by Jeffrey Koenig on behalf of Group Defined Pension Plan & Trust. New Address: Spar & Bernstein, PC, 225 Broadway, 5th Floor, New York, New York, USA 10007, 646-453-5571. (Koenig, Jeffrey) (Entered: 01/26/2010)
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                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 88 Filed: 12/10/2009, Entered: None
                                                                                                                                                                                                                        NOTICE OF APPEARANCE by Paulette Suzanne Fox on behalf of Yvette Finkelstein Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Fox, Paulette) (Entered: 12/10/2009)
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                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 87 Filed: 12/8/2009, Entered: None
                                                                                                                                                                                                                          FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) all plaintiffs pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Richard Peshkin, NPV Positive Corp., Eastham Capital Appreciation Fund LP, John Dennis, Laborers Local 17 Pension Plan, Daniel Jackson. (Attachments: # 1 Exhibit A: Tolling Agreement)Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Gordon, Lee) Modified on 12/9/2009 (dt). (Entered: 12/08/2009)
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                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 86 Filed: 9/25/2009, Entered: None Court Filing
                                                                                                                                                                                                                            ORDER; Upon review of these complaints, this Court finds that these cases arise out of the same subject matter as the proceedings under 08 Civ. 11117 and that these cases therefore should be consolidated. The William Kretschmar Revocable Trust, et al. v. Rye Select Broad Mkt. Fund, L.P., et al., 09 Civ. 5440 (TPG), which asserts claims against certain Tremont entities, certain Rye entities, and other defendants based solely on state law, should be consolidated for pre-trial proceedings with the State Law Action. The Clerk of the Court therefore is directed to consolidate this case with the State Law Action under docket number 09 Civ. 11183, and upon doing so, to close the docket in 09 Civ. 5440 (TPG). Madelyn Haines, et aI. v. Mass. Mut. Life Ins. Co., et al., 09 Civ. 5441 (TPG), which asserts claims against certain Tremont entities and other defendants primarily arising under the federal securities laws, should be consolidated for pre-trial proceedings with the Securities Action. The Clerk of the Court therefore is directed to consolidate this case with the Securities Action under docket number 09 Civ. 11212, and upon doing so, to close the docket in 09 Civ. 5441 (TPG). The Lugano Trust. et al. v. Tremont Capital Mgmt. Inc. et al., 09-cv-6840 (TPG), which asserts claims against certain Tremont entities, certain Rye entities, and other defendants, based solely on state law, and includes allegations charging improper investments by insurance companies, should be consolidated for pre-trial proceedings with the Insurance Action. The Clerk of the Court is therefore directed to consolidate this case with the Insurance Action under docket number 09 Civ. 557, and upon doing so, to close the docket in 09-cv-6840 (TPG). A copy of this Order shall be placed in the dockets for all the cases listed herein. Any document hereinafter filed in connection with the above captioned cases must be filed under the master docket, 08 Civ. 11117, and the MDL case number, 09 md 2052. The parties are directed to read this Court's Order and Memorandum, both dated March 26, 2009, which can be found under the master docket. These documents prescribe the requirements for future submissions to this Court. (Signed by Judge Thomas P. Griesa on 9/25/09) (ae) (Entered: 09/28/2009)
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                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 85 Filed: 9/18/2009, Entered: None
                                                                                                                                                                                                                              MEMORANDUM OF LAW in Opposition re: (298 in 1:08-cv-11117-TPG) MOTION to Intervene.. Document filed by Richard Peshkin, NPV Positive Corp., Eastham Capital Appreciation Fund LP, John Dennis, Laborers Local 17 Pension Plan, Daniel Jackson. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Gordon, Lee) (Entered: 09/18/2009)
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                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 84 Filed: 8/28/2009, Entered: None
                                                                                                                                                                                                                                MOTION for Sarah G. Kim to Appear Pro Hac Vice. Document filed by Massachusetts Mutual Life Insurance Co.(dle) (Entered: 09/03/2009)
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                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 83 Filed: 9/2/2009, Entered: None Court Filing
                                                                                                                                                                                                                                  ORDER ADMITTING SARAH G. KIM, PRO HAC VICE: Sarah G. Kim is admitted to practice pro hac vice as counsel for MassMutual in this case in the USDC for the SDNY as further set forth herein. (Signed by Judge Thomas P. Griesa on 9/1/09) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(dle) (Entered: 09/02/2009)
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                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 82 Filed: 8/18/2009, Entered: None Court Filing
                                                                                                                                                                                                                                    ORDER: IT IS HEREBY ORDERED that Alex G. Patchen is granted leave to withdraw from his representation of the Rye Fund Defendants and Tremont Market Neutral Fund, L.P. in this action and that such withdrawal is effective immediately. (Signed by Judge Thomas P. Griesa on 8/18/2009) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(jfe) (Entered: 08/18/2009)
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                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 81 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                      REPLY MEMORANDUM OF LAW in Support re: (143 in 1:08-cv-11117-TPG, 50 in 1:08-cv-11212-TPG) MOTION to Dismiss Consolidated Amended Class Action Complaint.. Document filed by Rye Select Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund L.P., Tremont Market Neutral Fund, Rye Select Broad Market Fund, LP.. (Attachments: # 1 Affidavit Service)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Kanfer, David) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 80 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                        DECLARATION of Jason C. Vigna in Support re: (48 in 1:08-cv-11212-TPG, 140 in 1:08-cv-11117-TPG) MOTION to Dismiss.. Document filed by Jim Mitchell, Robert Schulman, Tremont Capital Management, Rupert Allan, Tremont Partners, Inc., Tremont Group Holdings, Inc., Rye Investment Management. (Attachments: # 1 Exhibit P, # 2 Exhibit Q, # 3 Exhibit R, # 4 Exhibit S, # 5 Exhibit T, # 6 Exhibit U, # 7 Exhibit V, # 8 Exhibit W, # 9 Exhibit X, # 10 Exhibit Y)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schwartz, Seth) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 79 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                          REPLY MEMORANDUM OF LAW in Support re: (140 in 1:08-cv-11117-TPG, 48 in 1:08-cv-11212-TPG) MOTION to Dismiss the Consolidated And Amended Class Action Complaint.. Document filed by Jim Mitchell, Robert Schulman, Tremont Capital Management, Rupert Allan, Tremont Partners, Inc., Tremont Group Holdings, Inc., Rye Investment Management. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schwartz, Seth) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 78 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                            CERTIFICATE OF SERVICE of Reply Memorandum of Law of Defendant Ernst & Young LLP In Support of Its Motion to Dismiss the Complaint, Reply Declaration of Richard Cashman served on All Counsel of Record on August 14, 2009. Document filed by Ernst & Young. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 77 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                              DECLARATION of Richard Cashman in Support re: (133 in 1:08-cv-11117-TPG, 45 in 1:08-cv-11212-TPG) MOTION to Dismiss the Complaint.. Document filed by Ernst & Young. (Attachments: # 1 Exhibit A, # 2 Exhibit B-1, # 3 Exhibit B-2, # 4 Exhibit B-3)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 76 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                                REPLY MEMORANDUM OF LAW in Support re: (133 in 1:08-cv-11117-TPG, 45 in 1:08-cv-11212-TPG) MOTION to Dismiss the Complaint.. Document filed by Ernst & Young. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 75 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                                  REPLY MEMORANDUM OF LAW in Support re: (43 in 1:08-cv-11212-TPG, 125 in 1:08-cv-11117-TPG) MOTION to Dismiss.. Document filed by Oppenheimer Acquisition Corporation. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Dodds, William) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 74 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                                    REPLY MEMORANDUM OF LAW in Support re: (39 in 1:08-cv-11212-TPG, 116 in 1:08-cv-11117-TPG) MOTION to Dismiss.. Document filed by Massmutual Holding LLC, Massachusetts Mutual Life Insurance Co.. (Attachments: # 1 Unreported Case, # 2 Unreported Case, # 3 Unreported Case, # 4 Unreported Case, # 5 Unreported Case, # 6 Unreported Case, # 7 Unreported Case, # 8 Unreported Case, # 9 Unreported Case, # 10 Unreported Case, # 11 Unreported Case, # 12 Unreported Case, # 13 Unreported Case, # 14 Unreported Case, # 15 Unreported Case, # 16 Unreported Case)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schacter, Kenneth) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 73 Filed: 8/14/2009, Entered: None
                                                                                                                                                                                                                                                      REPLY MEMORANDUM OF LAW in Support re: (103 in 1:08-cv-11117-TPG, 35 in 1:08-cv-11212-TPG) MOTION to Dismiss the Complaint or Alternatively to Compel Arbitration and to Stay the Consolidated Securities Action.. Document filed by KPMG LLP. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Ballard, Gregory) (Entered: 08/14/2009)
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                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 72 Filed: 8/3/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                        ENDORSED LETTER addressed to Judge Thomas P. Griesa from Ben Seessel dated 7/31/09 re: Request that the Court extend the date by which NY Life may submit its reply memorandum in further support of its motion to dismiss until 8/7/09. ENDORSEMENT: Approved. Set Deadlines/Hearing as to (197 in 1:08-cv-11117-TPG, 73 in 1:09-cv-00557-TPG) MOTION to Dismiss. ( Reply due by 8/7/2009.) (Signed by Judge Thomas P. Griesa on 8/3/09) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(cd) (Entered: 08/03/2009)
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                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 71 Filed: 7/24/2009, Entered: None
                                                                                                                                                                                                                                                          MEMORANDUM OF LAW in Support re: (69 in 1:08-cv-11212-TPG) MOTION for Alex G. Patchen to Withdraw as Attorney.. Document filed by Rye Select Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund L.P., Tremont Market Neutral Fund, Rye Select Broad Market Fund, LP.. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Patchen, Alex) (Entered: 07/24/2009)
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                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 70 Filed: 7/24/2009, Entered: None
                                                                                                                                                                                                                                                            DECLARATION of Alex G. Patchen in Support re: (69 in 1:08-cv-11212-TPG) MOTION for Alex G. Patchen to Withdraw as Attorney.. Document filed by Rye Select Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund L.P., Tremont Market Neutral Fund, Rye Select Broad Market Fund, LP.. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Patchen, Alex) (Entered: 07/24/2009)
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                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 69 Filed: 7/24/2009, Entered: None
                                                                                                                                                                                                                                                              MOTION for Alex G. Patchen to Withdraw as Attorney. Document filed by Rye Select Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund L.P., Tremont Market Neutral Fund, Rye Select Broad Market Fund, LP.. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Certificate of Service)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Patchen, Alex) (Entered: 07/24/2009)
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                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 68 Filed: 7/23/2009, Entered: None
                                                                                                                                                                                                                                                                RESPONSE /The MassMutual Defendants' Response to the Haines' Plaintiffs Objection to Consolidation/. Document filed by Massmutual Holding LLC, Massachusetts Mutual Life Insurance Co.. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schacter, Kenneth) (Entered: 07/23/2009)
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                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 67 Filed: 7/22/2009, Entered: None
                                                                                                                                                                                                                                                                  RESPONSE TO THE HAINES PLAINTIFFS' OBJECTION TO CONSOLIDATION. Document filed by Oppenheimer Acquisition Corporation, Oppenheimerfunds, Inc.. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Dodds, William) (Entered: 07/22/2009)
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                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 66 Filed: 7/21/2009, Entered: None
                                                                                                                                                                                                                                                                    AMENDED BRIEF Lead Plaintiffs' Memorandum in Opposition to Haines Plaintiffs' Objection to Consolidation. Document filed by Arthur M. Brainson. (Attachments: # 1 Appendix A, # 2 Appendix B, # 3 Appendix C, # 4 Certificate of Service)Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Seidman, Joseph) (Entered: 07/21/2009)
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                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 65 Filed: 7/20/2009, Entered: None
                                                                                                                                                                                                                                                                      DECLARATION of Jeffrey D. Lerner, Esq. in Support. Document filed by Arthur M. Brainson. (Attachments: # 1 Exhibit A Part 1, # 2 Exhibit A Part 2, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J, # 12 Exhibit K, # 13 Exhibit L, # 14 Exhibit M, # 15 Exhibit N, # 16 Exhibit O, # 17 Exhibit P, # 18 Exhibit Q, # 19 Exhibit R, # 20 Exhibit S, # 21 Exhibit T, # 22 Exhibit U, # 23 Exhibit V, # 24 Exhibit W, # 25 Exhibit X, # 26 Exhibit Y, # 27 Exhibit Z, # 28 Exhibit AA, # 29 Exhibit BB)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Seidman, Joseph) (Entered: 07/20/2009)
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                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 64 Filed: 7/20/2009, Entered: None
                                                                                                                                                                                                                                                                        JOINDER to join re: (62 in 1:08-cv-11212-TPG) Brief, RESPONSE TO HAINES PLAINTIFFS' OBJECTION TO CONSOLIDATION. Document filed by Tremont Group Holdings, Inc., Rye Investment Management, Tremont Partners, Inc, Tremont Capital Management Inc., Robert Schulman, Jim Mitchell, Rupert Allan, Robert Schulman, Tremont Capital Management, Tremont Partners, Inc..Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schwartz, Seth) (Entered: 07/20/2009)
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                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 63 Filed: 7/20/2009, Entered: None
                                                                                                                                                                                                                                                                          BRIEF Lead Plaintiffs' Omnibus Memorandum in Opposition to the Haines Plaintiffs' Motion to Modify the Class Definition in the Securities Consolidated and Amended Complaint and Motion Requesting Ruling on Nicolas Meyer's Lead Plaintiff Motion. Document filed by Arthur M. Brainson.Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Seidman, Joseph) (Entered: 07/20/2009)
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                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 62 Filed: 7/20/2009, Entered: None
                                                                                                                                                                                                                                                                            BRIEF Memorandum in Opposition to the Haines Plaintiffs' Objection to Consolidation. Document filed by Arthur M. Brainson. (Attachments: # 1 Certificate of Service)Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Seidman, Joseph) (Entered: 07/20/2009)
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                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 61 Filed: 6/11/2009, Entered: None
                                                                                                                                                                                                                                                                              CERTIFIED TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL that pursuant to 28 U.S.C. 1407, the action(s) listed and pending be, and the same hereby are, transferred to the Southern District of New York and, with consent of that court, assigned to the Honorable Thomas P. Griesa, for coordinated or consolidated pretrial proceedings with the actions pending in that district. (Signed by MDL Panel on 6/11/2009) (mbe) (Entered: 06/12/2009)
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                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 60 Filed: 5/29/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                STIPULATION AND ORDER TO EXTEND BRIEFING SCHEDULE: THEREFORE, IT IS HEREBY AGREED THAT: 1) Lead Plaintiffs shall serve and file one 125 page omnibus memorandum, the State Law Plaintiffs shall serve and file their memoranda, and the Meridian Plaintiffs shall serve and file their memoranda, in opposition to Defendants' motions to dismiss on or before July 14, 2009; and 2) Defendants shall file and serve any replies to such memoranda by August 14, 2009, not to exceed twenty (20) pages in length. This is Lead Plaintiffs, State Law Plaintiffs, and the Meridian Plaintiffs' first request for an extension of time. (Signed by Judge Thomas P. Griesa on 5/29/2009) (jfe) (Entered: 06/11/2009)
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                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 59 Filed: 6/4/2009, Entered: None
                                                                                                                                                                                                                                                                                  NOTICE OF CHANGE OF ADDRESS by Christopher Lometti on behalf of Laborers Local 17 Pension Plan, Daniel Jackson. New Address: Cohen Milstein Sellers & Toll, PLLC, 150 East 52nd Street, 30th Floor, New York, New York, USA 10022, (212)838-7797. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Lometti, Christopher) (Entered: 06/04/2009)
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                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 58 Filed: 6/2/2009, Entered: None
                                                                                                                                                                                                                                                                                    FILING ERROR - DEFICIENT DOCKET ENTRY - (SELECTED THE WRONG FILER) - NOTICE OF CHANGE OF ADDRESS by Christopher Lometti on behalf of all parties. New Address: Cohen Milstein Sellers & Toll, PLLC, 150 East 52nd Street, 30th Floor, New York, New York, USA 10022, (212) 838-7797. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Lometti, Christopher) Modified on 6/4/2009 (lb). (Entered: 06/02/2009)
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                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 57 Filed: 5/21/2009, Entered: None
                                                                                                                                                                                                                                                                                      NOTICE OF APPEARANCE by Daniel W. Krasner on behalf of Yvette Finkelstein Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Krasner, Daniel) (Entered: 05/21/2009)
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                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 56 Filed: 5/21/2009, Entered: None
                                                                                                                                                                                                                                                                                        NOTICE OF APPEARANCE by Stacey Theresa Kelly on behalf of Yvette Finkelstein (Kelly, Stacey) (Entered: 05/21/2009)
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                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 55 Filed: 5/21/2009, Entered: None
                                                                                                                                                                                                                                                                                          NOTICE OF APPEARANCE by Stacey Theresa Kelly on behalf of Yvette Finkelstein Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Kelly, Stacey) (Entered: 05/21/2009)
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                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 54 Filed: 5/21/2009, Entered: None
                                                                                                                                                                                                                                                                                            NOTICE OF APPEARANCE by Demet Basar on behalf of Yvette Finkelstein (Basar, Demet) (Entered: 05/21/2009)
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                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 53 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                              CERTIFICATE OF SERVICE. Document filed by RYE Select Broad Market Prime Fund, L.P, RYE Select Broad Market Fund, L.P, Rye Select Broad Market XL Fund, Tremont Market Neutral Fund. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Patchen, Alex) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 52 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                MEMORANDUM OF LAW in Support re: (143 in 1:08-cv-11117-TPG, 50 in 1:08-cv-11212-TPG) MOTION to Dismiss Consolidated Amended Class Action Complaint.. Document filed by Rye Select Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund L.P., Tremont Market Neutral Fund, Rye Select Broad Market Fund, LP.. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Patchen, Alex) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 51 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                  DECLARATION of Jason C. Vigna in Support re: (48 in 1:08-cv-11212-TPG, 140 in 1:08-cv-11117-TPG) MOTION to Dismiss.. Document filed by Tremont Group Holdings, Inc., Rye Investment Management, Tremont Partners, Inc, Tremont Capital Management Inc., Robert Schulman, Jim Mitchell, Rupert Allan. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schwartz, Seth) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 50 Filed: 5/20/2009, Entered: None Motion to Dismiss
                                                                                                                                                                                                                                                                                                    MOTION to Dismiss Consolidated Amended Class Action Complaint. Document filed by Rye Select Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund L.P., Tremont Market Neutral Fund, Rye Select Broad Market Fund, LP..Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Patchen, Alex) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                      Blank 49 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                      MEMORANDUM OF LAW in Support re: (140 in 1:08-cv-11117-TPG, 48 in 1:08-cv-11212-TPG) MOTION to Dismiss the Consolidated And Amended Class Action Complaint.. Document filed by Tremont Group Holdings, Inc., Rye Investment Management, Tremont Partners, Inc, Robert Schulman, Jim Mitchell, Rupert Allan, Tremont Capital Management. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schwartz, Seth) (Entered: 05/20/2009)
                                                                                                                                                                                                                                                                                                        LREF
                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 48 Filed: 5/20/2009, Entered: None Motion to Dismiss
                                                                                                                                                                                                                                                                                                        MOTION to Dismiss the Consolidated And Amended Class Action Complaint. Document filed by Tremont Group Holdings, Inc., Rye Investment Management, Tremont Partners, Inc, Robert Schulman, Jim Mitchell, Rupert Allan, Tremont Capital Management.Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schwartz, Seth) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 47 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                          MEMORANDUM OF LAW in Support re: (133 in 1:08-cv-11117-TPG, 45 in 1:08-cv-11212-TPG) MOTION to Dismiss the Complaint.. Document filed by Ernst & Young LLP. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 46 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                            DECLARATION of Richard Cashman in Support re: (133 in 1:08-cv-11117-TPG, 45 in 1:08-cv-11212-TPG) MOTION to Dismiss the Complaint.. Document filed by Ernst & Young LLP. (Attachments: # 1 Exhibit A, # 2 Exhibit B)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 45 Filed: 5/20/2009, Entered: None Motion to Dismiss
                                                                                                                                                                                                                                                                                                              MOTION to Dismiss the Complaint. Document filed by Ernst & Young LLP.Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Zweifach, Lawrence) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 44 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                MEMORANDUM OF LAW in Support re: (43 in 1:08-cv-11212-TPG, 125 in 1:08-cv-11117-TPG) MOTION to Dismiss.. Document filed by Oppenheimer Acquisition Corporation. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Dodds, William) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 43 Filed: 5/20/2009, Entered: None Motion to Dismiss
                                                                                                                                                                                                                                                                                                                  MOTION to Dismiss Consolidated and Amended Class Action Complaint. Document filed by Oppenheimer Acquisition Corporation.Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Dodds, William) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 42 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                    DECLARATION of Carol E. Head in Support re: (39 in 1:08-cv-11212-TPG, 116 in 1:08-cv-11117-TPG) MOTION to Dismiss., (112 in 1:08-cv-11117-TPG, 83 in 1:08-cv-11183-TPG) MOTION to Dismiss /Notice of Motion to Dismiss the "State Law" Complaint/.. Document filed by Massachusetts Mutual Life Insurance Company, Massmutual Holding LLC, Massachusetts Mutual Life Insurance Co.. (Attachments: # 1 Unpublished Cases 1-2, # 2 Unpublished Case 3, # 3 Unpublished Case 4, # 4 Unpublished Cases 5-7, # 5 Unpublished Cases 8-10, # 6 Unpublished Cases 11-13, # 7 Unpublished Cases 14-15, # 8 Unpublished Case 16, # 9 Unpublished Cases 17-18, # 10 Unpublished Cases 19-20, # 11 Unpublished Cases 21-22, # 12 Unpublished Cases 23-34)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG(Schacter, Kenneth) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 41 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                      DECLARATION of Kenneth I. Schacter in Support re: (116 in 1:08-cv-11117-TPG, 39 in 1:08-cv-11212-TPG) MOTION to Dismiss /Notice of Motion to Dismiss The "Securities Actions" Complaint/.. Document filed by Massmutual Holding LLC, Massachusetts Mutual Life Insurance Co.. (Attachments: # 1 Exhibit A, # 2 Exhibit B)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schacter, Kenneth) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 40 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                        MEMORANDUM OF LAW in Support re: (116 in 1:08-cv-11117-TPG, 39 in 1:08-cv-11212-TPG) MOTION to Dismiss /Notice of Motion to Dismiss The "Securities Actions" Complaint/.. Document filed by Massmutual Holding LLC, Massachusetts Mutual Life Insurance Co.. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schacter, Kenneth) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 39 Filed: 5/20/2009, Entered: None Motion to Dismiss
                                                                                                                                                                                                                                                                                                                          MOTION to Dismiss /Notice of Motion to Dismiss The "Securities Actions" Complaint/. Document filed by Massmutual Holding LLC, Massachusetts Mutual Life Insurance Co..Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Schacter, Kenneth) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 38 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                            CERTIFICATE OF SERVICE. Document filed by KPMG. (Attachments: # 1 Text of Proposed Order)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Ballard, Gregory) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 37 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                              DECLARATION of R. Corey Worcester in Support re: (35 in 1:08-cv-11212-TPG) MOTION to Dismiss.. Document filed by KPMG, KPMG LLP. (Attachments: # 1 Exhibit 01, # 2 Exhibit 02, # 3 Exhibit 03, # 4 Exhibit 04, # 5 Exhibit 05, # 6 Exhibit 06, # 7 Exhibit 07, # 8 Exhibit 08, # 9 Exhibit 09, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23)Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Ballard, Gregory) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                                Blank 36 Filed: 5/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                MEMORANDUM OF LAW in Support re: (35 in 1:08-cv-11212-TPG) MOTION to Dismiss. or Alternatively to Compel Arbitration and to Stay the Consolidated Securities Action. Document filed by KPMG, KPMG LLP. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Ballard, Gregory) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                                  Blank 35 Filed: 5/20/2009, Entered: None Motion to Dismiss
                                                                                                                                                                                                                                                                                                                                  MOTION to Dismiss the Complaint or Alternatively to Compel Arbitration and to Stay the Consolidated Securities Action. Document filed by KPMG, KPMG LLP.Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(Ballard, Gregory) (Entered: 05/20/2009)
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                                                                                                                                                                                                                                                                                                                                    Blank 34 Filed: 4/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                    CONSOLIDATED AND AMENDED CLASS ACTION COMPLAINT amending 1 Complaint, against Rye Select Broad Market Prime Fund L.P., Rye Select Broad Market XL Fund L.P., Tremont Capital Management, Tremont Market Neutral Fund, Rupert Allan, Sandra L. Manzke, Oppenheimer Acquisition Corporation, Massmutual Holding LLC, Massachusetts Mutual Life Insurance Co., KPMG LLP, Broad Market Prime Fund, The Broad Market Fund, Tremont Market Neutral Fund, L.P., Jim Mitchell, Robert Schulman, Rye Select Broad Market Fund, LP., Tremont Partners, Inc., Tremont Group Holdings, Inc., Ernst & Young LLP, Rye Investment Management. Document filed by Arthur M. Brainson IRA R/O, Yvette Finkelstein, Group Defined Pension Plan & Trust. Related document: 1 Complaint, filed by Arthur M. Brainson IRA R/O.(dle) Modified on 4/24/2009 (dle). (Additional attachment(s) added on 4/24/2009: # 1 A.C. part 2) (dle). (Entered: 04/23/2009)
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                                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 33 Filed: 4/14/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                      NOTICE of Partial Voluntary Dismissal of Claims Against BDO Seidman L.L.P. in Complaint in Plaintiff Keane's Action (09 Civ. 1396 (TPG)). Document filed by John F. Keane, Jr. Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(Ditzion, Robert) (Entered: 04/14/2009)
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                                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 32 Filed: 4/9/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                        MEMORANDUM Lead plaintiffs in the Securities Action shall submit their amended complaint by April 20, 2009. Defendants shall submit their motions or answers by May 20, 2009. (Signed by Judge Thomas P. Griesa on 4/9/09) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11212-TPG(mme) (Entered: 04/09/2009)
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                                                                                                                                                                                                                                                                                                                                          Blank 31 Filed: 3/26/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                          MEMORANDUM: On March 26, 2009, this Court issued an order of consolidation, which (1) divided the actions then pending before the Court into three groups, the Securities Law Actions, the State Law Actions, and the Insurance Actions, and then (2) consolidated the cases within each grouping for pretrial proceedings. The purpose of this Memorandum is to remind counsel in all of the consolidated cases that any document hereinafter filed in connection with this action must be filed in the master file, 08 Civ. 11117, and the document must indicate, immediately after the phrase "This Document Relates to:", whether the document relates to "All Actions" or only to one or more of the Securities Law Actions, 08 Civ. 11212, State Law Actions, 08 Civ. 11183, and/or Insurance Actions, 09 Civ. 557. It is only by marking the document appropriately that the Clerk's Office will know to then file this document on the docket that corresponds with the appropriate consolidated grouping. In addition, once the Clerk of the Court has closed the dockets for the cases pending before the Court that have not been designated as the lead case in any of the consolidated actions, nor designated as the master docket, counsel in all of the consolidated cases shall not hereinafter file any document on these closed dockets. (Signed by Judge Thomas P. Griesa on 3/26/2009) Filed In Associated Cases: 1:08-cv-11117-TPG, 1:08-cv-11183-TPG, 1:08-cv-11212-TPG, 1:09-cv-00557-TPG(jfe) (Entered: 03/26/2009)
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                                                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 30 Filed: 3/26/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                            ORDER THAT: Pursuant to Fed. R. Civ. P. 42(a) and Section 21 D(a)(3)(B) of the Securities Exchange Act of 1934 (the "Exchange Act"), 15 U.S.C. § 78u-4 (a)(3)(B)(ii), the Securities Law Actions, as defined above, are consolidated for pretrial proceedings into one "Securities Action" with docket number 08 Civ. 11212. Pursuant to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. § 78u-4(a)(3)(B), Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust are appointed Lead Plaintiffs in the Securities Action, and the law firm of Bernstein Liebhard LLP is appointed Lead Counsel for plaintiffs in the Securities Action. Pursuant to Fed. R. Civ. P. 42(a), the State Law Actions are consolidated for pretrial proceedings into one "State Law Action" with docket number 08 Civ. 11183. Under the law applicable to these actions, only the appointment of interim lead counsel is required at this time for the State Law Action. Pursuant to Fed. R. Civ. P. 23(g)(2)(A), the Court appoints the law firms of Entwistle & Cappucci LLP and Hagens Berman Sobol Shapiro LLP as interim co-lead counsel to act on behalf of the putative plaintiff class. Pursuant to Fed. R. Civ. P. 42(a), the Insurance Actions are consolidated for pretrial proceedings into one "Insurance Action" with docket number 09 Civ. 557. Under the law applicable to these actions, only the appointment of interim lead counsel is required at this time for the Insurance Action. Pursuant to Fed. R. Civ. P. 23(g)(2)(A), the Court appoints the law firms of Wolf Haldenstein Adler Freeman & Herz LLP and Coughlin Stoia Geller Rudman & Robbins as interim co-lead counsel to act on behalf of the putative plaintiff class. The docket in 08 Civ. 11117 shall constitute the Master Docket for the Securities Action, State Law Action and Insurance Action. Every pleading filed in the Securities Action, State Law Action, and Insurance Action shall bear the following caption: The file in docket 08 Civ. 11117 shall constitute a master file for the Securities Action, State Law Action, and Insurance Action. When a document being filed pertains to the Securities Action, State Law Action, and Insurance Action, the phrase "All Actions" shall appear immediately after the phrase "This Document Relates to:". When a document applies only to one or more, but not all, of the actions, the document shall list, immediately after the phrase "This Document Relates to:", Securities Action, 08 Civ. 11212, and/or State Law Action, 08 Civ. 11183, and/or Insurance Action, 09 Civ. 557, as applicable. Courtesy copies of all correspondence and filings shall be provided to the assigned judge, Judge Thomas P. Griesa. A copy of this Order shall be placed in the dockets for all the cases listed in pages 3-4 herein. The Clerk of the Court is directed to then close each of those dockets, other than the dockets in the Securities Action, 08 Civ. 11212, the State Law Action, 08 Civ. 11183, the Insurance Action, 09 Civ. 557, and the Master Docket, 08 Civ. 11117. When a case, that arises out of the same subject matter as in the Securities Action, the State Law Action, or the Insurance Action, is hereinafter filed in this Court, counsel for the plaintiff(s) in the newly-filed case shall indicate on the civil cover sheet to which action the new case is related. If a case that arises out of the same subject matter as m the Securities Action, the State Law Action, or the Insurance Action is hereinafter filed in this Court or transferred to this Court from another court, but the Clerk of the Court has not been informed that it relates to one of the consolidated actions, counsel in any of the consolidated cases shall inform the Clerk's Office of any related case that comes to their attention. The Clerk's Office will then notify Judge Griesa, who shall take whatever action is deemed appropriate. As to any case accepted by Judge Griesa as related, the Clerk's Office will consolidate that case with the Securities Action, the State Law Action, or the Insurance Action, as designated by the judge, unless an objection to such consolidation is duly made and is sustained by the judge. Once the newly-filed or transferred case is consolidated with the Securities Action, the State Law Action or the Insurance Action, as applicable, the Clerk of the Court is directed to close the docket of that newly-filed or transferred case. SO ORDERED (Signed by Judge Thomas P. Griesa on 3/26/2009) (jmi) (Entered: 03/26/2009)
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                                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 29 Filed: 3/18/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                              REPLY MEMORANDUM OF LAW in Support re: 17 MOTION to Consolidate Cases 08-11141, 08-11212, 08-11359, 09-01111. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Counsel Wolf Haldenstein Adler Freeman & Herz LLP, Bernstein Liebhard LLP, and Levin Fishbein Sedran & Berman LLP as Co-Lead Counsel. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). REPLY MEMORANDUM OF ARTHUR M. BRAINSON, YVETTE FINKELSTEIN, AND GROUP DEFINED PENSION PLAN & TRUST IN FURTHER SUPPORT OF THEIR MOTION FOR CONSOLIDATION, APPOINTMENT AS LEAD PLAINTIFFS, APPROVAL OF SELECTION OF COUNSEL, AND IN FURTHER OPPOSITION TO THE COMPETING MOTIONS. Document filed by Arthur M. Brainson IRA R/O, Yvette Finkelstein, Group Defined Pension Plan & Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Certificate of Service)(Bruckner, Gustavo) (Entered: 03/18/2009)
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                                                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 28 Filed: 3/13/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                DECLARATION of Gregory M. Nespole in Support re: 26 MOTION to Transfer Case 09-1466, 09-2253, 09-2254. MOTION to Consolidate Cases 09-1466, 09-2253, 09-2254, 09-557. MOTION for Coordination of the Consolidated Action with the Related PSLRA and State Cases 08-11141, 08-11212, 08-11359, 09-01111, 08-11183, 08-11117, 09-1396.. Document filed by Chateau Fiduciaire S.A., The Matthew L. Klein Irrevocable Family Trust, The Harriet Rutter Klein Revocable Trust. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Nespole, Gregory) (Entered: 03/13/2009)
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                                                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 27 Filed: 3/13/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                  MEMORANDUM OF LAW in Support re: 26 MOTION to Transfer Case 09-1466, 09-2253, 09-2254. MOTION to Consolidate Cases 09-1466, 09-2253, 09-2254, 09-557. MOTION for Coordination of the Consolidated Action with the Related PSLRA and State Cases 08-11141, 08-11212, 08-11359, 09-01111, 08-11183, 08-11117, 09-1396.. Document filed by Chateau Fiduciaire S.A., The Matthew L. Klein Irrevocable Family Trust, The Harriet Rutter Klein Revocable Trust. (Attachments: # 1 Certificate of Service, # 2 Text of Proposed Order)(Nespole, Gregory) (Entered: 03/13/2009)
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                                                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 26 Filed: 3/13/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                    MOTION to Transfer Case 09-1466, 09-2253, 09-2254., MOTION to Consolidate Cases 09-1466, 09-2253, 09-2254, 09-557., MOTION for Coordination of the Consolidated Action with the Related PSLRA and State Cases 08-11141, 08-11212, 08-11359, 09-01111, 08-11183, 08-11117, 09-1396. Document filed by Chateau Fiduciaire S.A., The Matthew L. Klein Irrevocable Family Trust, The Harriet Rutter Klein Revocable Trust. (Attachments: # 1 Certificate of Service, # 2 Text of Proposed Order)(Nespole, Gregory) (Entered: 03/13/2009)
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                                                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 25 Filed: 3/9/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                      REPLY MEMORANDUM OF LAW in Opposition re: 14 MOTION to Appoint Elisa Entine to serve as lead plaintiff(s). Memorandum of Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust in Further Support of Their Motion for Consolidation, Appointment as Lead Plaintiffs, Approval of Selection of Co-Lead Counsel and in Opposition to the Competing Motions. Document filed by Arthur M. Brainson IRA R/O, Yvette Finkelstein, Group Defined Pension Plan & Trust. (Attachments: # 1 Certificate of Service)(Nespole, Gregory) (Entered: 03/09/2009)
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                                                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 24 Filed: 3/9/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                        NOTICE of of Withdrawal of Lead Plaintiff Application re: 14 MOTION to Appoint Elisa Entine to serve as lead plaintiff(s).. Document filed by Elisa Entine. (Attachments: # 1 Certificate of Service)(Subramanian, Arun) (Entered: 03/09/2009)
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                                                                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 23 Filed: 3/6/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                          DECLARATION of Lawrence J. Zweifach in Opposition re: 17 MOTION to Consolidate Cases 08-11141, 08-11212, 08-11359, 09-01111. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Counsel Wolf Haldenstein Adler Freeman & Herz LLP, Bernstein Liebhard LLP, and Levin Fishbein Sedran & Berman LLP as Co-Lead Counsel. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s).. Document filed by Ernst & Young LLP. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P, # 17 Exhibit Q-1, # 18 Exhibit Q-2, # 19 Exhibit R, # 20 Exhibit S, # 21 Exhibit T, # 22 Exhibit U-1, # 23 Exhibit U-2, # 24 Exhibit U-3, # 25 Exhibit V, # 26 Exhibit W-1, # 27 Exhibit W-2, # 28 Exhibit W-3, # 29 Exhibit X, # 30 Exhibit Y, # 31 Exhibit Z)(Zweifach, Lawrence) (Entered: 03/06/2009)
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                                                                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 22 Filed: 3/6/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                            RESPONSE to Motion re: 17 MOTION to Consolidate Cases 08-11141, 08-11212, 08-11359, 09-01111. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Counsel Wolf Haldenstein Adler Freeman & Herz LLP, Bernstein Liebhard LLP, and Levin Fishbein Sedran & Berman LLP as Co-Lead Counsel. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s).. Document filed by Ernst & Young LLP. (Attachments: # 1 Certificate of Service)(Zweifach, Lawrence) (Entered: 03/06/2009)
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                                                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 21 Filed: 3/6/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                                              STATUS REPORT. Letter to Judge Griesa re Opposition to Consolidation of Non-Securities Cases Document filed by Richard Peshkin.(Nalven, David) (Entered: 03/06/2009)
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                                                                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 20 Filed: 2/26/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                                                NOTICE OF CASE REASSIGNMENT to Judge Thomas P. Griesa. Judge Richard M. Berman is no longer assigned to the case. (laq) (Entered: 02/27/2009)
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                                                                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 19 Filed: 2/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                  DECLARATION of Gregory M. Nespole in Support re: 17 MOTION to Consolidate Cases 08-11141, 08-11212, 08-11359, 09-01111. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Counsel Wolf Haldenstein Adler Freeman & Herz LLP, Bernstein Liebhard LLP, and Levin Fishbein Sedran & Berman LLP as Co-Lead Counsel. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s).. Document filed by Arthur M. Brainson IRA R/O, Yvette Finkelstein, Group Defined Pension Plan & Trust. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Nespole, Gregory) (Entered: 02/20/2009)
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                                                                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 18 Filed: 2/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                    MEMORANDUM OF LAW in Support re: 17 MOTION to Consolidate Cases 08-11141, 08-11212, 08-11359, 09-01111. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Counsel Wolf Haldenstein Adler Freeman & Herz LLP, Bernstein Liebhard LLP, and Levin Fishbein Sedran & Berman LLP as Co-Lead Counsel. MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s). MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s).. Document filed by Arthur M. Brainson IRA R/O, Yvette Finkelstein, Group Defined Pension Plan & Trust. (Nespole, Gregory) (Entered: 02/20/2009)
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                                                                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 17 Filed: 2/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                      MOTION to Consolidate Cases 08-11141, 08-11212, 08-11359, 09-01111., MOTION to Appoint Arthur M. Brainson, Yvette Finkelstein, and Group Defined Pension Plan & Trust to serve as lead plaintiff(s)., MOTION to Appoint Counsel Wolf Haldenstein Adler Freeman & Herz LLP, Bernstein Liebhard LLP, and Levin Fishbein Sedran & Berman LLP as Co-Lead Counsel. Document filed by Yvette Finkelstein, Group Defined Pension Plan & Trust, Arthur M. Brainson IRA R/O. (Attachments: # 1 Certificate of Service, # 2 Text of Proposed Order)(Nespole, Gregory) (Entered: 02/20/2009)
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                                                                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 16 Filed: 2/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                        DECLARATION of Johnny W. Carter in Support re: 14 MOTION to Appoint Elisa Entine to serve as lead plaintiff(s).. Document filed by Elisa Entine. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Subramanian, Arun) (Entered: 02/20/2009)
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                                                                                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 15 Filed: 2/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                          MEMORANDUM OF LAW in Support re: 14 MOTION to Appoint Elisa Entine to serve as lead plaintiff(s).. Document filed by Elisa Entine. (Subramanian, Arun) (Entered: 02/20/2009)
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                                                                                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 14 Filed: 2/20/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                            MOTION to Appoint Elisa Entine to serve as lead plaintiff(s). Document filed by Elisa Entine.(Subramanian, Arun) (Entered: 02/20/2009)
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                                                                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 13 Filed: 2/12/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                                                              ENDORSED LETTER addressed to Judge Richard M. Berman from Michael H. Gruenglas dated 2/11/2009 re: Requesting that the February 17 conference be adjourned until issues are resolved. ENDORSEMENT: Application granted. Conferences in 08-cv-11183 and 08-cv-11212 adjourned to 3/19/2009 at 9:00 a.m. (Signed by Judge Richard M. Berman on 2/11/2009) (jpo) (Entered: 02/13/2009)
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                                                                                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 12 Filed: 2/12/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                NOTICE OF APPEARANCE by Alex Gregg Patchen on behalf of Rye Select Broad Market Fund, LP. (Patchen, Alex) (Entered: 02/12/2009)
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                                                                                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 11 Filed: 2/12/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                  NOTICE OF APPEARANCE by David Jeffrey Kanfer on behalf of Rye Select Broad Market Fund, LP. (Kanfer, David) (Entered: 02/12/2009)
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                                                                                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 10 Filed: 2/12/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                    NOTICE OF APPEARANCE by George F. Dupont on behalf of Rye Select Broad Market Fund, LP. (Dupont, George) (Entered: 02/12/2009)
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                                                                                                                                                                                                                                                                                                                                                                                      Legal Document (Payment Possibly Required) 9 Filed: 2/12/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                      RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Rye Select Broad Market Fund, LP..(Stecher, Jamie) (Entered: 02/12/2009)
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                                                                                                                                                                                                                                                                                                                                                                                        Legal Document (Payment Possibly Required) 8 Filed: 2/12/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                        NOTICE OF APPEARANCE by Jamie Benjamin Walton Stecher on behalf of Rye Select Broad Market Fund, LP. (Stecher, Jamie) (Entered: 02/12/2009)
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                                                                                                                                                                                                                                                                                                                                                                                          Legal Document (Payment Possibly Required) 7 Filed: 2/9/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                          STATUS REPORT. Regarding Defendants' Motion to Consolidate Document filed by Arthur C. Lange.(Entwistle, Andrew) (Entered: 02/09/2009)
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                                                                                                                                                                                                                                                                                                                                                                                            Legal Document (Payment Possibly Required) 6 Filed: 2/6/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                            RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Tremont Group Holdings, Inc. as Corporate Parent. Document filed by Tremont Partners, Inc..(Gruenglas, Michael) (Entered: 02/06/2009)
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                                                                                                                                                                                                                                                                                                                                                                                              Legal Document (Payment Possibly Required) 5 Filed: 2/6/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                              RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Oppenheimer Acquisition Corporation as Corporate Parent. Document filed by Tremont Group Holdings, Inc..(Gruenglas, Michael) (Entered: 02/06/2009)
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                                                                                                                                                                                                                                                                                                                                                                                                Legal Document (Payment Possibly Required) 4 Filed: 1/23/2009, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                                STATUS REPORT. 1-23-09 Letter Opposing Consolidation Document filed by Arthur C. Lange.(Entwistle, Andrew) (Entered: 01/23/2009)
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                                                                                                                                                                                                                                                                                                                                                                                                  Legal Document (Payment Possibly Required) 3 Filed: 1/23/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                                                                                  ENDORSED LETTER addressed to Judge Kimba M. Wood, Judge Sidney H. Stein, Judge Shirely W. Kram, and Judge Richard M. Berman from Michael H. Gruenglas dated 1/22/09 re: For the reasons set forth in this letter, counsel requests the Actions be transferred to Judge Stein, the judge with the lowest assigned docket number; the Actions be consolidated pursuant to Fed. R. Civ. P. 42(a), or in the alternative coordinated, upon transfer; the scheduling conference currently set for January 27, 2009, before Judge Berman be adjourned pending resolution of this application; the current deadlines to respond to each Action be adjourned pending resolution of this application. ENDORSEMENT: Conference in 08Civ. 11183 and 08Civ. 11212 adjourned pending resolution of the issues raised in this letter until 2/17/09 at 9:30 a.m. (Signed by Judge Richard M. Berman on 1/22/09) (mme) (Entered: 01/23/2009)
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                                                                                                                                                                                                                                                                                                                                                                                                    Legal Document (Payment Possibly Required) 2 Filed: 1/14/2009, Entered: None Court Filing
                                                                                                                                                                                                                                                                                                                                                                                                    STIPULATION AND ORDER FOR EXTENSION OF TIME the undersigned parties, by and through their counsel of record, stipulate as follows: Defendants shall have no obligation to respond to the individual complaint filed in the above-captioned action. Plaintiff shall file and serve a Consolidated Complaint sixty (60) days from the entry of the Court's Order deciding the Lead Plaintiff Motions. Conference to be held on 1/27/09 at 9:00 instead of 2/9/09 at 9:00. This is the first extension of Defendants' time to respond to the Complaint. IT IS SO ORDERED( Status Conference set for 1/27/2009 at 09:00 AM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 1/14/2009) (jmi) (Entered: 01/14/2009)
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                                                                                                                                                                                                                                                                                                                                                                                                      Blank 1 Filed: 12/23/2008, Entered: None
                                                                                                                                                                                                                                                                                                                                                                                                      COMPLAINT against Jim Mitchell, Robert Schulman, Rye Select Broad Market Fund, LP., Tremont Partners, Inc., Tremont Group Holdings, Inc., Rye Investment Management. (Filing Fee $ 350.00, Receipt Number 673370)Document filed by Arthur M. Brainson IRA R/O.(ama) (Entered: 12/29/2008)
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