Oppenheimer & Company, Inc. Litigation, Intellectual Property, Attorneys, SEC Filings, and Other Public Records

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Date Filed	Venue	Case Number	Title	Party Type

9/10/2014	California Northern District Court	3:14-cv-04114	Mehrotra v. Rocket Fuel Inc. et al	Defendant

5/2/2014	California Central District Court	2:14-cv-03406	Kannan Rajasekaran v. Cytrx Corporation et al	Defendant

2/14/2014	New York Southern District Court	1:14-cv-00950		Consolidated Defendant

11/22/2013	New York Southern District Court	1:13-cv-08364	Medina v. Tremor Video, Inc.	Defendant

10/28/2013	New York Southern District Court	1:13-cv-07608	Ho v. NQ Mobile, Inc	Defendant

4/10/2013	Illinois Northern District Court	1:13-cv-02694	Weir v. Elmhurst Lincoln-Mercury, Inc.	Cross Claimant

4/10/2013	Illinois Northern District Court	1:13-cv-02694	Weir v. Elmhurst Lincoln-Mercury, Inc.	Cross Claimant

4/10/2013	Illinois Northern District Court	1:13-cv-02694	Weir v. Elmhurst Lincoln-Mercury, Inc.	Cross Claimant

4/10/2013	Illinois Northern District Court	1:13-cv-02694	Weir v. Elmhurst Lincoln-Mercury, Inc.	Cross Claimant

10/15/2012	New York Southern District Court	1:12-cv-07587	Shierry v. Facebook, Inc. et al	Defendant

10/12/2012	New York Southern District Court	1:12-cv-07547	Stokes v. Facebook, Inc. et al	Defendant

10/11/2012	New York Southern District Court	1:12-cv-07546	Lazar v. Facebook, Inc.	Defendant

10/5/2012	New York Southern District Court	1:12-md-02389	In re: Facebook, Inc., IPO Securities and Derivative Litigat...	Defendant

6/22/2012	Georgia Northern District Court	1:12-cv-02170	Akpele v. Pacific Life Insurance Company et al	Defendant

6/20/2012	California Northern District Court	3:12-cv-03203-MMC	Stokes v. Facebook, Inc. et al	Defendant

6/20/2012	California Northern District Court	3:12-cv-03199-MMC	Lazar v. Facebook, Inc. et al	Defendant

6/15/2012	New York Southern District Court	1:12-cv-04726	Oppenheimer & Co., Inc. v. Trans Energy, Inc. et al	Plaintiff

6/11/2012	New York Southern District Court	1:12-cv-04539	EGI-TRB LLC v. ABN AMRO Clearing Chicago LLC	Defendant

5/23/2012	New York Southern District Court	1:12-cv-04099	Twining v. Facebook, Inc. et al	Defendant

4/5/2012	New York Southern District Court	1:12-cv-02652	Marc S. Kirschner, as Litigation Trustee for the Tribune Lit...	Defendant

3/26/2012	Massachusetts District Court	1:12-cv-10552	Brockton Retirement Board v. Oppenheimer Global Resource Pri...	Defendant

12/20/2011	New York Southern District Court	1:11-md-02296-DLC	In Re: Tribune Company Fraudulent Conveyance Litigation	Defendant

12/20/2011	New York Southern District Court	1:11-md-02296-DLC	In Re: Tribune Company Fraudulent Conveyance Litigation	Defendant

12/12/2011	Tennessee Middle District Court	3:11-cv-01170	Daniels v. HCA Holdings, Inc. et al	Defendant

11/16/2011	Tennessee Middle District Court	3:11-cv-01098	Kishtah v. HCA Holdings, Inc. et al	Defendant

10/28/2011	Tennessee Middle District Court	3:11-cv-01033	Schuh v. HCA Holdings, Inc. et al	Consol Defendant

10/11/2011	New York Southern District Court	1:11-cv-07133	Peters v. Jinkosolar Holding Co., Ltd. et al	Defendant

7/1/2011	New York Southern District Court	1:11-cv-04538	Niese et al v. AllianceBernstein L.P. et al	Defendant

7/1/2011	New York Southern District Court	1:11-cv-04522	Deutsche Bank Trust Company Americas et al v. Abu Dhabi Inve...	Defendant

1/4/2011	New York Southern District Court	1:11-cv-00034	Brady v. Mecox Lane Limited et al	Defendant

11/12/2010	Superior Court of California, County of Los Angeles	EC054308	Jp Morgan Chase Bank, N.a. v. Stella Dehnoushi, et al	Defendant

9/20/2010	New York Southern District Court	1:10-cv-07233	Li v. Duoyuan Global Water, Inc. et al	Defendant

9/16/2010	New York Southern District Court	1:10-cv-07097	TPTCC NY, Inc. et al v. Radiation Therapy Services, Inc. et ...	Defendant

5/24/2010	Florida Southern District Court	9:10-cv-80644	Miyahira v. Vitacost.Com, Inc. et al	Defendant

3/26/2010	Illinois Northern District Court	1:10-cv-01937	Crotteau v. Addus Homecare Corporation	Defendant

3/19/2010	New York Southern District Court	1:10-cv-02515	Mahapatra v. Fuqi International, Inc. et al	Defendant

9/29/2009	New York Southern District Court	1:09-cv-08268	City of Livonia Employees' Retirement System v. Wachovia Cor...	Defendant

7/16/2009	New York Southern District Court	1:09-cv-06374	Orange County Employees' Retirement System et al v. Carlson ...	Defendant

7/15/2009	New York Southern District Court	1:09-cv-06351	In re: Wachovia Preferred Securities and Bond/Notes Litigat...	Movant

4/23/2009	Superior Court of California, County of San Francisco	CGC-09-487641	The People Of The State Of California v. Wells Fargo Investm...	Other Party

4/16/2009	Kentucky Eastern District Court	5:09-cv-00135	Ashland Inc. et al v. Oppenheimer & Co., Inc.	Defendant

3/6/2009	California Northern District Court	5:09-cv-00999	Orange County Employees' Retirement System et al v. Carlson ...	Defendant

2/20/2009	California Northern District Court	3:09-cv-00766	Shipway v. Rigel Pharmaceuticals, Inc. et al	Defendant

2/9/2009	Alabama Middle District Court	2:09-cv-00104	Dees et al v. Colonial BancGroup, Inc. et al (LEAD)	Defendant

2/6/2009	California Northern District Court	3:09-cv-00546	Inter-Local Pension Fund GCC/IBT v. Rigel Pharmaceuticals, I...	Defendant

1/9/2009	New York Southern District Court	1:09-md-02017	In Re: Lehman Brothers Securities and ERISA Litigation	Consolidated Defendant

12/3/2008	New York Southern District Court	1:08-cv-10483	American General Life Insurance Company v. Oppenheimer Life ...	Defendant

12/3/2008	New York Southern District Court	1:08-cv-10483	American General Life Insurance Company v. Oppenheimer Life ...	Third Party Plaintiff

11/12/2008	New York Southern District Court	1:08-cv-09793	Stark et al v. Callan et al	Defendant

11/6/2008	New York Southern District Court	1:08-cv-09554		Defendant