Date Filed Docket # Case Name Defendant(s) Type of ...

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
6/11/2009 1:09-md-02052 IN RE: Tremont Group Holdings, Inc.,
Securities Litigation Steptoe Johnson LLP

12/22/2008 1:08-cv-11117 IN RE TREMONT SECURITIES LAW, STATE Massachusetts Mutual Life Ins. Co. Investment Advisors Breach of Fiduciary Duty Notes
Investment Manager Aiding and Abetting Breach of Fiduciary Duty
LAW AND INSURANCE LITIGATION Oppenheimer Acquisition Corporation Multi-District Litigation
Unjust Enrichment Members of this litigation:
Tremont Group Holdings, Inc. Securities Fraud 1:08-cv-11117
1:08-cv-11141
Rye Investment Management 1:08-cv-11183
1:08-cv-11212
Harry Hodges 1:08-cv-11359
1:09-cv-00557
RYE Select Broad Market Prime Fund, L.P 1:09-cv-01111
1:09-cv-01396
RYE Select Broad Market Fund, L.P 1:09-cv-01466
1:09-cv-02253
Tremont Partners, Inc 1:09-cv-02254
1:09-cv-05440
Austin Capital Management GP Corporation 1:09-cv-05441
1:09-cv-08570
Austin Capital Management Limited 1:09-cv-08571

Select Spectrum Partners LLC Member of this litigation:
1:08-cv-11183
1:08-cv-11212
1:09-cv-00557
Related cases:
1:09-cv-03708
1:09-cv-06840
1:09-cv-01396
1:09-cv-01466
Consolidated into:
1:09-md-02052

Gary Busel

Ronald Pearson

AGH

Argus International Life Bermuda Ltd.

Tremont International Insurance Limited

Tremont Capital Management Inc.

Tremont (Bermuda) Ltd.

Rye Select Broad Market Insurance Portfolio,

LDC

Sandra L. Manzke

Robert Schulman

Massmutual Holding LLC

Ernst & Young

KPMG

Oppenheimerfunds, Inc.

Bank of New York Mellon Corporation

BNY Alternative Investment Services, Inc.

SS&C Technologies Holdings, Inc.

SS&C Fund Services

FutureSelect Portfolio Management, Inc.

Ron Ward

December 2, 2009 Page 1

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
12/22/2008 1:08-cv-11141 Finkelstein et al v. Tremont Group Holdings Tremont Group Holdings Fund of Funds Exchange Act, 10b and 20a
lc., et al Oppenheimer Acquisition Corp. Steptoe Johnson LLP
Massachusetts Mutual Life Ins. Co. Investment Advisor Common Law Fraud
Ernst & Young, LLP Notes
Investment Manager Negligent Misrepresentation
Consolidated into 1:08-cv-
Auditor Breach of Fiduciary Duty 11212 which was added to
1:09-md-02052
12/23/2008 1:08-cv-11183 Peshkin et al v. Tremont Group Holdings, Inc. Oppenheimer Acquisition Corp. Hedge Fund Holding Breach of Fiduciary Duty Related cases:
et al Oppenheimer Funds, Inc. 1:08-cv-11359
Massachusetts Mutual Life Ins. Co. Co. Fraudulent Concealment 1:09-cv-01111
KPMG, LLP Members of this litigation:
Tremont Group Holdings, Inc. Investment Advisors Negligent Misrepresentation 1:09-cv-01396
Tremont Partners, Inc. 1:09-cv-02505
Rye Investment Management Auditor Violations of NY General Business Law 1:09-cv-05440
Related to:
12/23/2008 1:08-cv-11212 Brainson v. Rye Select Broad Market Fund, Rye Select Broad Market Fund, LP General Partner Exchange Act, 20a 1:09-cv-02505
LP. et al Tremont Partners, Inc. 1:09-md-02052
Tremont Group Holdings, Inc. Investment Advisor Common Law Fraud
Rye Investment Management Members of this litigation:
Jim Mitchell Investment Manager Negligent Misrepresentation 1:08-cv-11141
Robert Schulman 1:08-cv-11359
Breach of Fiduciary Duty 1:09-cv-01111
1:09-cv-05441
3/26/2009 1:08-cv-11359 Group Defined Pension Plan & Trust v. Oppenheimer Funds, Inc. Investment Manager Exchange Act, 10b and 20a Consolidated into:
1/20/2009 1:09-cv-00557 1:09-md-02052
Tremont Market Neutral Fund, L.P. et al Massachusetts Mutual Life Ins. Co. Investment Advisor Common Law Fraud Consolidated into 1:08-cv-
11212 which was added to
Ernst & Young, LLP Partnership Negligent Misrepresentation 1:09-md-02052
Related cases:
John Does 1-100 Auditor Breach of Fiduciary Duty 1:08-cv-11141
1:09-cv-01111
Tremont Market Neutral Fund, LP Unjust Enrichment
Members of this litigation:
Tremont Partners, Inc. 1:09-cv-01466
1:09-cv-02253
Tremont Group Holdings, Inc. 1:09-cv-02254
1:09-cv-03137
Oppenheimer Acquisition Corp. 1:09-cv-06840
Consolidated into:
Chateau Fiduciaire S.A. v. Argus International Argus International Life Bermuda Limited Insurance Negligent Misrepresentation 1:09-md-2052

Life Bermuda Limited et al Argus Group Holdings Limited Companies Unjust Enrichment

Massachusetts Mutual Life Insurance Co. Investment Managers Breach of Fiduciary Duty

Oppenheimer Acquisition Corporation Investment Advisors Aiding and Abetting Breach of Fiduciary Duty

Rye Investment Management

Rye Select Broad Market Fund L.P.

Rye Select Broad Market Insurance Portfolio,

LDC

Tremont [Bermuda] Limited

Tremont Capital Management Inc.

Tremont Group Holdings, Inc.

Tremont International Insurance Limited

Tremont Partners, Inc

December 2, 2009 Page 2

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
3/26/2009 1:09-cv-01111 Silvers v. Tremont Group Holdings, Inc. et al Rye Select Broad Market Fund, LP General Partner Breach of Fiduciary Duty
Rye Select Broad Market Prime Fund, LP Steptoe Johnson LLP
Rye Select Broad Market XL Fund, LP Investment Manager Exchange Act
Ernst & Young, LLP Notes
KPMG, LLP Investment Advisor Fraud Consolidated into 1:08-cv-
Tremont Group Holdings, Inc. 11212 which was added to
Tremont Partners, Inc. Independent Auditors Negligent Misrepresentation 1:09-md-02052
Rye Investment Management, Inc. Related cases:
Oppenheimer Acquisition Corp. Recission under Advisers Act 1:08-cv-11141
Massachusetts Mutual Life Ins. Co. 1:08-cv-11359

2/19/2009 1:09-cv-01396 Keane et al v. Tremont Group Holdings, Inc. Tremont Group Holdings, Inc. Investment Manager No Complaint Available Consolidated into 1:08-cv-
2/18/2009 et al 11183 which was added to
Rye Investment Management Investment Advisor 1:09-md-02052
1:09-cv-01466 The Geoffrey Rabie Credit Shelter Trust et al
v. Argus Group Holdings Ltd et al Tremont Partners, Inc. Fund of Funds Consolidated into 1:09-cv-
00557
Robert Ivan Schulman Independent Auditor which was added to 1:09-
md-02052
Rupert Andrew Allen Independent

Cynthia J. Nicoll Accountant

Stephen Thomas Clayton

Oppenheimer Acquisition Corp.

MassMutual Holdings, LLC

Massachusetts Mutual Life Ins. Co.

Select Spectrum Partners, LLC

Gary Busel

Ronald Pearson

KPMG, LLP

BDO Seidman, LLP

Argus Group Holdings Ltd. Insurance Breach of Fiduciary Duty

Argus International Life Bermuda Ltd. Companies Aiding and Abetting Breach of Fiduciary Duty

MassMutual Holding LLC Investment Managers New York General Business Law 349

Massachusetts Mutual Life Insurance Company Investment Advisors Gross Negligence

Oppenheimer Acquisition Corp. Fund of Funds Negligent Misrepresentation

Rye Investment Management Independent Auditors Unjust Enrichment

Rye Select Broad Market Fund, L.P. Accountants Promissory Estoppel

Rye Select Broad Market Insurance Portfolio Injunctive Relief

LDC

Tremont (Bermuda) Ltd.

Tremont Capital Management

Tremont Group Holdings, Inc.

Tremont International Insurance Ltd.

Tremont Partners, Inc.

Ernst & Young LLP

December 2, 2009 Page 3

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
3/11/2009 1:09-cv-02253 The Harriet Rutter Klein Revocable Trust v. Argus International Life Bermuda Limited Insurance Negligent Misrepresentation
3/11/2009 1:09-cv-02254 Argus International Life Bermuda Limited et al Argus Group Holdings Limited Steptoe Johnson LLP
4/1/2009 1:09-cv-03137 Companies Unjust Enrichment Notes
Massachusetts Mutual Life Insurance Co. Consolidated into 1:09-cv-
Oppenheimer Acquisition Corporation Investment Breach of Fiduciary Duty 00557
Rye Investment Management which was added to 1:09-
Rye Select Broad Market Fund L.P. Companies Aiding and Abetting Breach of Fiduciary Duty md-02052
Rye Select Broad Market Insurance Portfolio,
LDC Investment Managers Consolidated into 1:09-cv-
Tremont [Bermuda] Limited 00557
Tremont Capital Management, Inc. Investment Advisors which was added to 1:09-
Tremont Group Holdings, Inc. md-02052
Tremont International Insurance Limited Fund of Funds
Tremont Partners, Inc. Consolidated into 1:09-cv-
Ernst & Young LLP Independent Auditors 00557
KMPG LLP which was added to 1:09-
The Matthew L. Klein Irrevocable Family Trust Argus International Life Bermuda Limited Insurance Negligent Misrepresentation md-02052
v. Argus International Life Bermuda Limited et Argus Group Holdings Limited
al Massachusetts Mutual Life Insurance Co. Companies Unjust Enrichment
Oppenheimer Acquisition Corporation
Rye Investment Management Investment Breach of Fiduciary Duty
Rye Select Broad Market Fund L.P.
Rye Select Broad Market Insurance Portfolio, Companies Aiding and Abetting Breach of Fiduciary Duty
LDC
Tremont [Bermuda] Limited Investment Managers
Tremont Capital Management, Inc.
Tremont Group Holdings, Inc. Investment Advisors
Tremont International Insurance Limited
Tremont Partners, Inc. Fund of Funds
Ernst & Young LLP
KMPG LLP Independent Auditors
Prickett v. Massachusetts Holding LLC et al Massachusetts Holding, LLC
Massachusetts Mutual Life Ins. Co. Insurance Company Common Law Fraud
Oppenheimer Acquisition Corp.
New York Life Insurance Co. Fund of Funds Negligent Misrepresentation
New York Life Insurance & Annuity Co.
Rye Investment Management Investment Manager Unjust Enrichment
Rye Select Broad Market Prime Fund, LP
Rye Select Broad Market XL Fund, LP Fund Administrator Breach of Fiduciary Duty
Rye Select Broad Market Insurance Portfolio,
LDC Aiding and Abetting Breach of Fiduciary Duty
Tremont Capital Management, Inc.
Tremont Opportunity Fund III, LP Breach of Implied Covenant of Good Faith and Fair
Tremont (Bermuda), Ltd.
Tremont Group Holdings, Inc. Dealing
Tremont Partners, Inc.

December 2, 2009 Page 4

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
6/11/2009 1:09-cv-05440 William Kretschmar Revocable Trust, et al. v. Stephen Thomas Clayton General Partner Breach of Fiduciary Duty
Rye Select Broad Market Fund, L.P., et al. Steptoe Johnson LLP
Lynn O. Keeshan Hedge Funds Common Law Fraud Notes
Originally filed in D.Mass.
Rupert Andrew Allan Investment Managers Breach of Contract 09-cv-10146
Consolidated into 1:09-md-
Harry Hodges Investment Advisors Negligent Misrepresentation 02052

Rye Select Broad Market Fund, L.P. Breach of Duty of Good Faith and Fair Dealing Originally filed in D.Mass.
09-cv-10182
Tremont Partners, Inc. Unjust Enrichment Consolidated into 1:09-md-
02052
Tremont Group Holdings, Inc.
Originally filed in D.Mass.
Oppenheimer Acquisition Corp. 09-cv-10784
Consolidated into 1:09-md-
MassMutual Holding LLC 02052

Massachusetts Mutual Life Insurance Company

Robert Ivan Schulman

6/11/2009 1:09-cv-05441 Madelyn Haines, et al. v. Massachusetts Massachusetts Mutual Life Insurance Company General Partner Exchange Act, 10b and 20a
Mutual Life Insurance Co., et al.
Mass Mutual Holding Company Investment Managers Common Law Fraud

Mass Mutual Holding Trust I Investment Advisors Negligent Misrepresentation

Oppenheimer Acquisition Corp Breach of Fiduciary Duty

OppenheimerFunds, Inc. Aiding and Abetting Breach of Fiduciary Duty

Tremont Partners, Inc.

Tremont Group Holdings, Inc.

Robert I. Schulman

Cynthia J. Nicoll

Sandra Manzke

John V. Murphy

Rupert A. Allan

Robert I. Schulman

Cynthia J. Nicoll

10/8/2009 1:09-cv-08570 Family Swimmers LP v. Rye Select Broad Rye Select Broad Market Prime Fund L.P. General Partner Breach of Fiduciary Duty
Market Prime Fund, L.P., et al.
Tremont Partners, Inc. Investment Managers Common Law Fraud

Tremont Group Holdings, Inc. Investment Advisors Breach of Contract

Oppenheimer Acquisition Corp. Negligent Misrepresentation

Massmutal Holdings LLC Breach of Duty of Good Faith and Fair Dealing

Massachusetts Mutual Life Insurance Company Unjust Enrichment

Stephen T.Clayton Massachusetts Consumer Protection Act

Rupert A. Allan Massachusetts Uniform Securities Act

Suzanne Hammond

Harry Hodges

Lynn O. Keeshan

Sandra Manzke

Robert I. Schulman

December 2, 2009 Page 5

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
10/8/2009 1:09-cv-08571 Rothschild v. Rye Select Broad Market XL Rye Select Broad Market XL Fund, L.P. Investment Managers Breach of Fiduciary Duty
Fund, L.P., et al. Tremont Partners, Inc. Steptoe Johnson LLP
4/10/2009 Tremont Group Holdings, Inc. Investment Advisors Common Law Fraud
8/3/2009 1:09-cv-03708 Meridian Horizon Fund, LP et al v. Tremont Oppenheimer Acquisition Corp. Notes
Group Holdings, Inc. et al Massmutual Holdings LLC Investment Breach of Contract
8/13/2009 Massachusetts Mutual Life Insurance Company Originally filed in D.Mass.
12/23/2008 1:09-cv-06840 The Lugano Trust et al v. Tremont Capital BNY Alternative Investment Services Adminstrators Negligent Misrepresentation 09-cv-10858
Management, Inc. et al Bank of New York Mellon Consolidated into 1:09-md-
Rupert A. Allan Bank Breach of Duty of Good Faith and Fair Dealing 02052
1:09-md-02075 IN RE: Austin Capital Management, Ltd., Stephen T. Clayton
Securities & Employee Retirement Income Harry Hodges Unjust Enrichment Consolidated into 1:08-cv-
Security Act (ERISA) Litigation Lynn O. Keeshan 11117
Patrick Kelly Massachusetts Consumer Protection Act
1:08-cv-11183 Peshkin et al v. Tremont Group Holdings, Inc. Stuart Pologe Consolidated into 1:09-cv-
et al Robert I. Schulman Massachusetts Uniform Securities Act 00557
Tremont Group Holdings, Inc. which was added to 1:09-
Tremont Partners, Inc. General Partner Exchange Act, 10b and 20a md-02052
Tremont (Bermuda), Ltd.
Oppenheimer Acquisition Corp. Investment Sub- Fraud Multi-District Litigation
KPMG (Cayman) Members of this litigation:
KPMG, LLP advisor Breach of Fiduciary Duty 1:08-cv-11183
Tremont Capital Management, Inc. 1:09-cv-03614
Tremont Partners, Inc. Investment Manager Negligence 1:09-cv-07134
Tremont Group Holdings, Inc. 1:09-cv-07135
Tremont (Bermuda), Ltd. Auditor 1:09-cv-07660
Rye Investment Management, Inc. 1:09-cv-07889
Oppenheimer Acquisition Corp. Fund of Funds Common Law Fraud Members of this litigation:
Massachusetts Mutual Life Ins. Co. 1:09-cv-01396
KPMG, LLP Investment Manager Negligent Misrepresentation 1:09-cv-02505
Bank of New York Mellon 1:09-cv-05440
Sandra L. Manzke Investment Advisor Breach of Fiduciary Duty Related to:
Robert Schulman 1:09-cv-02505
SHL Capital, Ltd. Fund Administrator Aiding and Abetting Breach of Fiduciary Duty 1:09-md-02052
Ernst & Young, LLP *Also membero of MDL
Austin Capital Management GP Corp Officers Unjust Enrichment 2052
Austin Capital Management, Ltd
Brent A. Martin Auditor
James P. Owen
Charles W. Riley Investment Manager 15:78m(a) Securities Exchange Act
The Board of Trustees of the Texas Iron Investment Advisor
Worker' Pension Fund Pension Funds
The Texas Iron Workers' Pension Fund
Oppenheimer Acquisition Corp. Hedge Fund Holding Breach of Fiduciary Duty
Oppenheimer Funds, Inc.
Massachusetts Mutual Life Ins. Co. Co. Fraudulent Concealment
KPMG, LLP
Tremont Group Holdings, Inc. Investment Advisors Negligent Misrepresentation
Tremont Partners, Inc.
Rye Investment Management Auditor Violations of NY General Business Law

December 2, 2009 Page 6

Prepared by:
Michael Campion Miller

Steptoe Johnson LLP

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Notes

3/18/2009 1:09-cv-02505 Laborers Local 17 Pension Plan et al v. Tremont Group Holdings, Inc. Hedge Fund ERISA Violations Consolidated into 1:09-cv-
Tremont Group Holdings, Inc. et al Tremont Partners, Inc. Investment Advisor Breach of Fiduciary Duty 11183
4/8/2009 Rye Investment Management Officer & Director Malpractice and Professional Negligence
8/13/2009 Oppenheimer Acquisition Corp. Auditor Unjust Enrichment
8/13/2009 Oppenheimer Funds, Inc. Fund Administrator
Massachusetts Mutual Life Ins. Co. Fund of Funds
Robert I. Schulman
1:09-cv-03614 Construction Industry and Laborers Joint Jim Mitchell Investment Manager Exchange Act, 10b and 20a Consolidated into 1:09-md-
Pension Trust et al v. Austin Capital John V. Murphy Investment Advisor 1933 Act, 12(a)(2) 02075
Management, Ltd. et al KPMG, LLP Independent Auditors Breach of Fiduciary Duty under ERISA
Bank of New York Mellon Corp
BNY Alternative Investment Services, Inc. Unjust Enrichment
Austin Capital Management, Ltd. Negligence
Austin Capital Management Breach of Contract
GP Corporation Negligent Misrepresentation
Rye Select Broad Market Fund, LP
1:09-cv-07134 Pension Fund for Hospital & Health Care Rye Select Broad Market Prime Fund, LP Fund of Funds Breach of Fiduciary Duty Originally filed in E.D.
1:09-cv-07135 Employees - Philadelphia & Vicinity, et al. v. Rye Select Broad Market XL Fund, LP Penn.
Austin Capital Management, Ltd. Austin Capital Safe Harbor ERISA Dedicated Employee Benefit Declaratory Judgment Consolidated into 1-09-md-
Austin Capital Management, Ltd. v. The Fund Originally filed in W.D. Tex.
Board of Trustees of the Texas Iron Workers' Austin Capital Sate Harbor Master Account, Pension Plan Attorneys Fees Consolidated into 1-09-md-
Pension Fund, et al. Austin Capital Management Ltd. 02075
Rothstein Kass & Company P.L.L.C. Fund Administrators
Rothstein Kass & Co. (Cayman)
Charles W. Riley
Brent A. Martin
James P. Owen
Robert Wagner
David C. Brown
David E. Friedman
Austin Capital Management, Ltd.

The Board of Trustees of the Texas
Ironworkers’ Fund
The Texas Ironworkers’ Pension Fund

9/2/2009 1:09-cv-07660 Board of Trustees, Steamfitters Local 449 Austin Capital Management, Ltd. Fund of Funds Breach of Fiduciary Duty Originally filed in E.D.
Retirement Security Fund, et al. v. Austin Austin Capital Management Gp Corp. Penn.
Capital Management, Ltd., et al. Victory Capital Management Investment Managers Liability under ERISA of Non-Fiduciary Entities, Officers Consolidated into 1-09-md-
KeyCorp 02075
Charles W. Riley Bank and Directors
James P. Owen
Brent A. Martin
David C. Brown
Robert L. Wagner

December 2, 2009 Page 7

Prepared by:
Michael Campion Miller

Steptoe Johnson LLP

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Notes

9/14/2009 1:09-cv-07889 Laborers' District Council of Western PA. Austin Capital Management, Ltd. Fund of Funds Breach of Fiduciary Duty Consolidated into 1:09-md-
Pension Fund, et al. v. Austin Capital Austin Capital Management Gp Corp.
Management Ltd., et al. Victory Capital Management Investment Managers Liability under ERISA of Non-Fiduciary Entities, Officers 02075
KeyCorp
Charles W. Riley Bank and Directors
James P. Owen
8/12/2009 1:09-md-02082 IN RE: Meridian Funds Group Securities & Brent A. Martin 15:78m(a) Securities Exchange Act Multi-District Litigation
Employee Retirement Income Security Act David C. Brown Members of this litigation:
(ERISA) Litigation Robert L. Wagner 1:09-cv-03955
Meridian Diversified ERISA Fund, Ltd. 1:09-cv-07098
Meridian Diversified Fund, Ltd. 1:09-cv-07099
Peter M. Brown 1:09-cv-07100
Related cases:
4/20/2009 1:09-cv-03955 Pension Fund Trust For Operating Engineers John L. Sica Investment Manager Violation 10(b) of the 1934 Act and Rule 10b-5 1:09-cv-07098
v. Meridian Diversified Fund Management, Timothy M. Hickey 1:09-cv-07099
LLC et al Robert J. Murphy Investment Advisor Violation 20(a) of the 1934 Act 1:09-cv-07100
Howard B. Fischer Consolidated into 1:09-md-
Laura K. Smith Fund of Funds Violation of 12(a)(2) of the 1933 Act 02082
Peter M. Brown
Does 1-100 Breach of Fiduciary Duties and/or Aiding and Abetting
Meridian Diversified Fund Management, LLC
Meridian Capital Partners, Inc. Breaches of Fiduciary Duty Under New York Law
William H. Lawrence
Donald J. Halldin Breach of Fiduciary Duty Under ERISA

Unjust Enrichment

Negligence

Breaches of Contract

Negligent Misrepresentation

8/12/2009 1:09-cv-07098 B.A.C. Local No. 3 Pension Trust Fund, et al. Meridian Diversified ERISA Fund, Ltd. Investment Manager Breach of Fiduciary Duty Related cases:
Investment Advisor 1:09-cv-03955
v. Meridian Capital Partners, Inc., et al. Meridian Capital Partners, Inc. 1:09-cv-07099
Investment Fund Violation of Section 10(b) of 1:09-cv-07100
8/12/2009 1:09-cv-07099 The R.W. Grand Lodge of Free & Accepted Meridian Capital Partners, Inc. Investment Manager the Securities Exchange Act and Rule 10b-5 Consolidated into 1:09-md-
Masons of Pennsylvania v. Meridian Capital Meridian Diversified Fund, Ltd. Investment Advisor Violation of Section 20(a) of Originally filed in E.D.
Partners, Inc., et al. Meridian Diversified Fund Management, Ltd. Independent Auditor the Exchange Act Penn.
William H. Lawrence Related cases:
Ernst & Young LLP Fraud in the Inducement 1:09-cv-03955
Misrepresentation 1:09-cv-07098
8/12/2009 1:09-cv-07100 Maritime Association - I.L.A. Pension Fund v. Meridian Capital Partners, Inc. Negligent Misrepresentation 1:09-cv-07100
Negligence Consolidated into 1:09-md-
Unjust Enrichment 02082
Breach of Fiduciary Duty
Aiding and Abetting Breach of Fiduciary Duty Originally filed in S.D. Tex.
Conspiracy Related cases:
Violations of §§1-401 and 1-501 of the Pennsylvania 1:09-cv-03955
Securities Act of 1972 1:09-cv-07098
1:09-cv-07099
Investment Managers Breach of Fiduciary Duty Under ERISA Consolidated into 1:09-md-

Meridian Capital Partners, Inc., et al. Meridian Diversified Fund Management, LLC

December 2, 2009 Page 8

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
10/6/2009 1:09-md-02088 IN RE: Fairfield Greenwich Group Securities Fairfield Greenwich Group Investment Advisor Breach of Fiduciary Duty
Litigation Investment Manager Negligence Steptoe Johnson LLP

1/7/2009 1:09-cv-00118 Anwar et al v. Fairfield Greenwich Limited et al Fairfield Greenwich Group Unjust Enrichment Notes
Fairfield Greenwich Limited
Fairfield Greenwich (Bermuda), Ltd. Multi-District Litigation
Fairfield Greenwich Advisors, LLC Members of this litigation:
Walter M. Noel, Jr. 1:09-cv-00118
Andres Piedrahita 1:09-cv-08500
Jeffrey Tucker Members of this litigation:
Brian Francouer 1:09-cv-00134
Amit Vijayvergiya 1:09-cv-00301
1:09-cv-02222
10/6/2009 1:09-cv-08500 Headway Investment Corp. v. American American Express Bank Ltd. d/b/a Standard Banks Breach of Fiduciary Duty 1:09-cv-02269
Express Bank Ltd. Negligence 1:09-cv-02366
Chartered Private Bank a/k/a Standard Investment Advisor Unjust Enrichment 1:09-cv-02410
1:09-cv-02588
Chartered Bank International (Americas) Limited Investment 1:09-cv-04031
1:09-cv-05650
Standard Chartered Bank Management Related cases:
1:09-cv-08500
Fairfield Greenwich Group Independent Auditor Consolidated into 1:09-md-
Originally filed in S.D. Fla.
Related cases:
1:09-cv-00118
Consolidated into 1:09-md-
02088

Fairfield Greenwich Limited Funds Administrator

Fairfield Greenwich (Bermuda) Ltd.

Fairfield Greenwich Advisors LLC

PricewaterhouseCoopers LLP

Citgo Fund Services (Europe) B.V./

John G Dutkowski

Robert Friedman

Carlos Gadala-Maria

Raul N Mas

Walter M Noel, JR

Rodolfo Pages

Samuel PerruchoudAndres Piedrahita

Jeffrey H Tucker

Amit Vijayvergiya

December 2, 2009 Page 9

Prepared by:
Michael Campion Miller

Steptoe Johnson LLP

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Notes

1/8/2009 1:09-cv-00134 Pacific West Health Medical Center Inc. Fairfield Greenwich Group Placement Agent Breach of Fiduciary Duty Related cases:
Employees Retirement Trust et al v. Fairfield Fairfield Greenwich Limited Investment Advisor Gross Negligence 1:09-cv-00301
Greenwich Group et al Fairfield Greenwich (Bermuda) Ltd. Investment Manager Unjust Enrichment Consolidated into 1:09-cv-
Fairfield Greenwich Advisors LLC 00118
Walter M. Noel Jr Breach of Contract Consolidated into 1:09-md-
Andres Piedrahita Imposition of Constructive Trust 02088
Jeffrey Tucker Order of Conveyance
Brian Francouer Mutual Mistake
Amit Vijvergiya 3rd Party Beneficiary Claim for Breach of Contract
Yanko Dellaw Schiava Promissory Estoppel
Philip Toub
Lourdes Barreneche
Cornelis Boele
Matthew C. Brown
Vianney D'hendecourt
Harold Greisman
Jacqueline Harary
David Horn
Richard Landsberger
David Lipton
Julia Luongo
Mark Mckeefry
Maria Teresa Pulido Mendozo
Charles Murphy
Santiago Reyes
Andrew Smith

1/12/2009 1:09-cv-00301 Inter-American Trust et al v. Fairfield Fairfield Greenwich Group Placement Agent Recission Under the Investment Advisors Act, 15 USC § Related case:
Greenwich Group et al Fairfield Greenwich (Bermuda) Ltd. Investment Advisor 80-1(b) et. seq. 1:09-cv-00134
Fairfield Greenwich Limited Investment Manager Breach of Fiduciary Duty Consolidated into 1:09-cv-
Fairfield Greenwich Advisors LLC Bank Gross Negligence 00118
Fairfield Risk Services Ltd. Fund Administrator Unjust Enrichment Consolidated into 1:09-md-
CITGO Bank Netherland N.V. Dublin Branch Imposition of Constructive Trust 02088
CITGO Fund Services (Europe) B.V. Accounting
Walter Noel Recission
Jeffrey H. Tucker Negligent Misrepresentation
Andrew Piedrahita Third Party Beneficiary Claim for Breach of Contract
Negligence
Unjust Enrichment

December 2, 2009 Page 10

Prepared by:
Michael Campion Miller

Steptoe Johnson LLP

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Notes

3/10/2009 1:09-cv-02222 Laor et al v. Fairfield Greenwich Group et al Fairfield Greenwich Group Investment Advisor Recission Under the Investment Advisors Act, 15 USC § Consolidated into 1:09-cv-
Fairfield Greenwich Limited Investment Manager 80-1(b) et. seq. 00118
Fairfield Greenwich (Bermuda) Ltd. Fund Management Consolidated into 1:09-md-
Fairfield Greenwich Advisors LLC 02088
Fairfield Risk Services Ltd.
Walter Noel, Jr.
Jeffrey H. Tucker
Andres Piedrahita

3/11/2009 1:09-cv-02269 The Knight Services Holdings Limited et al v. Fairfield Sentry Limited Investment Manager Violation of 10(b) of the Exchange Act and Rule 10(b)-5 Consolidated into 1:09-cv-
3/13/2009 Farifield Sentry Limited et al Fairfield Greenwich (Bermuda) Ltd. 00118
Fairfield Greenwich Limited Investment Advisor of the Securities and Exchange Commission Consolidated into 1:09-md-
1:09-cv-02366 Ferber v. Fairfield Greenwich Corp. et al Fairfield Greenwich Group 02088
PricewaterhouseCoopers Fund Placement Violation of 20(a) of the Exchange Act
Jeffrey Tucker
Citco Fund Services [Europe] B.V. Agent
Citco Global Custody N.V.
Andres Piedrahita Independent Auditor
Jan Naess
Peter P. Schmid and Accountants
Amit Vijahyvergiya
Walter M. Noel, Jr. Grossly Negligent, Wilful, and Reckless Breach of Consolidated into 1:09-cv-
Fairfield Greenwich Group Fiduciary Duties 00118
Fairfield Greenwich Limited Aiding and Abetting Breach of Fiduciary Duties Consolidated into 1:09-md-
Fairfield Greenwich (Bermuda) Ltd. Negligent Misrepresentation 02088
Fairfield Greenwich Advisors LLC Professional Negligence (Malpractice)
Globeop Financial Services LLC Breach of Contract
Citgo Fund Services (Europe)BV Unjust Enrichment
Citgo (Canada) Inc. Accounting
PricewaterhouseCoopers, LLC
Pricewaterhouse Coopers Accountants NV/
Greenwich Sentry L.P,.Nominal Defendant
Jeffery Tucker
Andres Piedrahita
Brian Francouer
Amit Vijayvergiya

December 2, 2009 Page 11

Prepared by:
Michael Campion Miller

Steptoe Johnson LLP

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Notes

3/16/2009 1:09-cv-02410 Bhatia et al v. Standard Chartered Standard Chartered International USA (Ltd.) Investment Advisor Violation of 10(b) of the Exchange Act and Rule 10(b)-5 Consolidated into 1:09-cv-
3/20/2009 1:09-cv-02588 International (USA) Ltd et al Standard Chartered PLC Investment Manager of the Securities and Exchange Commission 00118
4/23/2009 1:09-cv-04031 Fairfield Greenwich Group Fund Management Violation of 20(a) of the Exchange Act Consolidated into 1:09-md-
Pierce et al v. Fairfield Greenwich Group et al Fairfield Greenwich Limited Recission Under the Investment Advisors Act, 15 USC § 02088
Fairfield Greenwich (Bermuda) Ltd 80-1(b) et. seq.
Zohar et al v. Fairfield Greenwich Group et al Fairfield Greenwich Advisors LLC Breach of Fiduciary Duty
Fairfield Sentry Ltd. Gross Negligence
Walter M. Noel, Jr. Unjust Enrichment and Constructive Trust
Jeffery Tucker Common Law Fraud
Andres Piedrahita Specific Performance Claim
Brian Francouer Conversion
Amit Vijayvergiya
Peter Schmid General Partner Grossly Negligent, Wilful, and Reckless Breach of Consolidated into 1:09-cv-
Jan Naess 00118
Fairfield Greenwich Group Fund of Funds Fiduciary Duties Consolidated into 1:09-md-
Fairfield Greenwich (Bermuda) Ltd 02088
Fairfield Greenwich Advisors LLC Investment Advisor Aiding and Abetting Breach of Fiduciary Duties
Globeop Financial Services
Citgo Fund Services (Europe)BV Investment Manager Negligent Misrepresentation
Citgo (Canada) Inc
Walter M. Noel, Jr. Fund Administrator Professional Negligence (Malpractice)
Jeffery Tucker
Andres Piedrahita Independent Auditor Breach of Contract
Brian Francouer
Amit Vijayvergiya and Accountant Unjust Enrichment
PricewaterhouseCoopers LLP/Greenwich
Sentry Partners, L.P., Nominal Defendant Accounting
Fairfield Greenwich Group
Fairfield Greenwich (Bermuda) Ltd. General Partner Grossly Negligent, Wilful, and Reckless Breach of Consolidated into 1:09-cv-
Fairfield Greenwich Advisors LLC 00118
Fairfield Sentry Limited Feeder Fund Fiduciary Duties Consolidated into 1:09-md-
Citgo Bank Nederland N.V. 02088
Dublin Branch Investment Advisor Aiding and Abetting Breach of Fiduciary Duties
Citgo Global Custody N.V.
Citgo Fund Services (Europe) B.V. Investment Manager Negligent Misrepresentation
PricewaterhouseCoopers International Limited
PricewaterhouseCoopers LLP (US) Fund Administrator Professional Negligence (Malpractice)
PricewaterhouseCoopers Bermuda
PricewaterhouseCoopers Accountants Independent Auditor Breach of Contract
PricewaterhouseCoopers LLP Chartered
Accountants and Accountant Unjust Enrichment
Walter M. Noel, Jr.
Jeffery Tucker Accounting
Andres Piedrahita
Brian Francouer
Amit Vijayvergiya

December 2, 2009 Page 12

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
6/19/2009 1:09-cv-05650 Fairfield Sentry Ltd. v. Fairfield Greenwich Fairfield Greenwich Group Fund of Funds Grossly Negligent, Wilful, and Reckless Breach of
Group et al Fairfield Greenwich Limited Steptoe Johnson LLP
Fairfield Greenwich (Bermuda) Ltd. Feeder Fund Fiduciary Duties
Fairfield Greenwich Advisors LLC Notes
Fairfield Risk Services Ltd. Investment Advisor Aiding and Abetting Breach of Fiduciary Duties
CITGO Fund Services (Europe) BV Consolidated into 1:09-cv-
CITGO Bank Netherland N.V. Dublin Branch Investment Manager Negligent Misrepresentation 00118
CITGO Global Custody N.V. Consolidated into 1:09-md-
PricewaterhouseCoopers, LLP Fund Management Professional Negligence (Malpractice) 02088
PricewaterhouseCoopers Accountants N.V.
PricewaterhouseCoopers International Limited Independent Auditor Breach of Contract Lead case; filed as New
Fairfield Sentry Limited Nominal Defendant York Law School v. Ascot
Andres Piedrahita and Accountant Unjust Enrichment Partners, LP, J. Ezra
Jan Naess Merkin, and BDO
Peter P. Schmid Placement Agent Accounting Seidman, LLP
Amit Vijahyvergiya Related cases:
Walter M. Noel, Jr. 1:08-cv-10930
Jeffrey Tucker 1:09-cv-02001
Brian Francoeur 1:09-cv-02688
Consolidated into 1:08-cv-
12/16/2008 1:08-cv-10922 In re J. EZRA MERKIN AND GABRIEL Ascot Partners, LP General Partner Exchange Act 10922
CAPITAL CORP. LITIGATION J. Ezra Merkin Independent Auditor Fraud Related cases:
BDO Seidman, LLP Negligent Misrepresentation 1:09-cv-02001
Breach of Fiduciary Duty 1:09-cv-02688
Consolidated into 1:08-cv-
12/16/2008 1:08-cv-10930 Berrie et al v. Gabriel Capital, L.P. et al Gabriel Capital, LP General Partner Exchange Act 10922
J. Ezra Merkin Independent Auditor Fraud Related cases:
BDO Seidman, LLP Negligent Misrepresentation 1:08-cv-10930
Breach of Fiduciary Duty 1:09-cv-02688
1:09-cv-04407
3/4/2009 1:09-cv-02001 Nephrology Associates, PC Pension Plan v. Ariel Fund, Ltd. Fund of Funds Breach of Fiduciary Duty
Ariel Fund Ltd. et al Gabriel Capital Corp. Consolidated into 1:08-cv-
J. Ezra Merkin Investment Manager Fraudulent Concealment 10922
Fortis Bank (Cayman), Ltd. Related cases:
Fortis Prime Solutions (Cayman), Ltd. Independent Auditor Negligent Misrepresentation 1:08-cv-10930
Fortis Bank 1:09-cv-02001
BDO Tortuga Bank Breach of Contract 1:09-cv-04407
BDO International
Gross Negligence and Mismanagement

Unjust Enrichment

Aiding and Abetting Breach of Fiduciary Duty

3/24/2009 1:09-cv-02688 Equal Investments Limited v. Merkin et al J. Ezra Merkin General Partner Unjust Enrichment
Gabriel Capital Corp. Investment Advisor Breach of Contract
Breach of Fiduciary Duty

December 2, 2009 Page 13

Prepared by:
Michael Campion Miller

Steptoe Johnson LLP

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Notes

5/7/2009 1:09-cv-04407 Finkelstein v. Ariel Fund Ltd. et al Ariel Fund, Ltd. Fund of Funds Exchange Act, 10b and 20a Consolidated into 1:08-cv-
Gabriel Capital Corp. 10922
J. Ezra Merkin Investment Manager Breach of Fiduciary Duty Related cases:
Fortis Bank (Cayman), Ltd. 1:08-cv-10930
Fortis Prime Solutions (Cayman), Ltd. Independent Auditor Fraudulent Concealment 1:09-cv-02001
Fortis Bank 1:09-cv-02688
BDO Tortuga Bank Negligent Misrepresentation
BDO International
Breach of Contract

Gross Negligence and Mismanagement

Unjust Enrichment

Aiding and Abetting Breach of Fiduciary Duty

Professional Malpractice

12/23/2008 1:08-cv-11215 Newman et al v. Family Management Family Management Corp. Feeder Funds Exchange Act, 10b and 20a Related to:
Corporation et al Seymour Zises Fund of Funds Common Law Fraud 1:09-cv-00777
Andrea Tessler Negligent Misrepresentation 1:09-cv-01540
2/11/2009 1:09-cv-00777 IN RE: Beacon Associates Litigation Andover Associates, LLC Breach of Fiduciary Duty 1:09-cv-04453
Beacon Associates, LLC Gross Negligence and Mismanagement 1:09-cv-05256
2/19/2009 1:09-cv-01540 Wolff Living Trust et al v. FM Multi-Strategy Beacon Associates Management Corp. Common Law Fraud
Investment Fund, L.P. et al Beacon/Andover Group Derivative Breach of Fiduciary Duty on behalf of Funds
Maxam Absolute Return Fund, LP
Maxam Capital Management, LLC Investment Fund Exchange Act, 10b and 20a Members of this litigation:
Fulvio & Associates, LLC I 1:09-cv-02401
Beacon Associates Management Corp. Investment Advisor Fraud 1:09-cv-03202
Joel Danziger Related to:
Harris Markhoff Independent Auditors Negligent Misrepresentation 1:08-cv-11215
Ivy Asset Management Corp. 1:09-cv-04453
The Bank of New York Mellon Corp. Fund Administrator Breach of Fiduciary Duty 1:09-cv-06910
Friedberg Smith & Co., PC
John Does Bank Gross Negligence and Mismanagement Related to:
Beacon Associates, LLC I 1:08-cv-11215
FM Multi-Strategy Investment Fund, LP Unjust Enrichment
Family Management Corp.
Seymour Zises Aiding and Abetting Breach of Fiduciary Duty
Andrea Tessler
Fulvio & Associates Derivative Claims for above on behalf of Fund

Investment Fund Common Law Fraud

Investment Advisor Negligent Misrepresentation

Independent Auditor Breach of Fiduciary Duty

Aiding and Abetting Breach of Fiduciary Duty

December 2, 2009 Page 14

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
5/8/2009 1:09-cv-04453 Towsley et al v. Beacon Associates Beacon Associates Management Corp. Employee Benefit ERISA
Management Corp. et al Joel Danziger, Esq. Steptoe Johnson LLP
Harris Markhoff, Esq. Plan Investment Breach of Fiduciary Duty Notes
6/5/2009 1:09-cv-05256 Ferrini et al v. Family Management Ivy Asset Management LLC Related to:
Corporation et al Beacon Associates LLC I Companies Co-Fiduciary Liability 1:08-cv-11215
Beacon Associates LLC II 1:09-cv-00777
3/16/2009 1:09-cv-02401 Raubvogel et al v. Beacon Associates LLC I Lawrence Simon Investment Manager
et al Howard Wohl Related to:
Adam Geiger Investment Advisors 1:08-cv-11215
4/2/2009 1:09-cv-03202 Plumbers Local 112 Health Fund v. Beacon Jeffrey R. Lindenbaum
Associates Management Corp. et al John D. Rogers Investment Advisor Exchange Act Consolidated into 1:09-cv-
Sean D. Simon Fund of Funds Negligent Misrepresentation 00777
8/5/2009 1:09-cv-06910 Beacon Associates Management Corp. v. Kevin J. Bannon Feeder Funds Breach of Fiduciary Duty
Beacon Associates LLC I Steven Pisarkiewicz Breach of Contract Consolidated into 1:09-cv-
Robert Meschi 00777
Susan Rabinowitz Fund of Funds Common Law Fraud Consolidated into 1:09-cv-
Michael Singer Officer and Director Negligent Misrepresentation 00777
Alan Chuang Investment Advisor Breach of Fiduciary Duty
Gregory Van Inwegen Auditor Gross Negligence and Mismanagement
Sean Cumiskey Unjust Enrichment
Stuart Davies Aiding and Abetting Breach of Fiduciary Duty
Peter Rose
Joseph Burns Investment Advisor Exchange Act, 10b and 20a
Mark Santero Investment Manager Breach of Fiduciary Duty
Peter D. Noris Officers
Farzine Hachemian
Scott E. Wennerholm Fund Manager Declaratory Judgment
Jonathan Little
Ronald P. O'Hanley
Family Management Corp.
Seymour Zises
Andrea Tessler
Maxam Absolute Return Fund, LP
Maxam Capital Management, LLC
Beacon Associates, LLC I
Beacon Associates Management Corp.
Beacon Associates, LLC I
Beacon Associates Management Corp.
Ivy Asset Management
Esq. Joel Danziger
Harris Markhoff
Bank of New York Mellon Corp
Friedberg & Smith Co., P.C.
Beacon Associates Management Corp.
Esq. Joel Danziger
Esq. Harris Markhoff
Ivy Asset Management Corporation
Beacon Associates, LLC I
Beacon Associates Management Corp.
Joel Danziger
Harris Markhoff

December 2, 2009 Page 15

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
1/12/2009 1:09-cv-00289 In re Herald, Primeo and Thema Funds Herald USA Fund Feeder Funds Exchange Act, 10b and 20a
Securities Litigation Herald Luxemburg Fund Investment Advisor Steptoe Johnson LLP
Bank Austria Creditanstalt Investment Funds Notes
Unicredit S.A. Banks Related case:
Primeo Select Funds Independent 1:09-cv-02032
Pioneer Alternative Investments Accountants
Thema International Fund PLC Auditors Related case:
Ernst & Young LLP 1:09-cv-00289
HSBC Holdings plc
Bernard L. Madoff Related cases:
Bernard L. Madoff Investment Securities 1:09-cv-07584
Bank Medici S.A. 1:09-cv-08278
Sonja Kohn 1:09-cv-08362
Peter Scheithauer

3/5/2009 1:09-cv-02032 Leonhardt v. Madoff et al Bernard L Madoff Feeder Funds Exchange Act, 10b and 20a
Bank Medici
Sonja Kohn Investment Advisor
Peter Scheithauer
Herald USA Fund Bank
Herald Luxemburg Fund
Bank Austria Creditanstalt Independent Auditor
Unicredit S.A.
Primeo Select Fund Investment Manager
Primeo Executive Fund
4/17/2009 1:09-cv-03907 In re: J.P. Jeanneret Associates, Inc. et al. Pioneer Alternative Investment Investment Manager Exchange Act, 10b and 20a
Thema International Fund PLC
Ernst & Young SA Investment Advisor Breach of Fiduciary Duty
Ernst & Young Global Ltd.
HSBC Holdings Plc Bank Breach of Contract
HSBC Institutional Trust Services (Ireland) Ltd.
HSBC Securities Services (Ireland) Ltd. Independent Auditor Negligent Misrepresentation
HSBC Securities Services S.A.
PricewaterhouseCoopers Chartered
Accountants
PricewaterhouseCoopers International Limited
Friehling & Horowitz
J.P. Jeanneret Associates, Inc.
John P. Jeanneret
Paul L. Perry
Ivy Asset Management Corporation
Bank of New York Mellon Corporation
Margolin, Winer & Evens LLP

December 2, 2009 Page 16

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
8/31/2009 1:09-cv-07584 Plumbers & Steamfitters Local 267 Pension J.P. Jeanneret Associates, Inc. Feeder Fund Exchange Act, 10b and 20a
Fund et al v. J.P. Jeanneret Associates, Inc. John P. Jeanneret Steptoe Johnson LLP
et al Paul L. Perry Investment Advisor Breach of Fiduciary Duty
Ivy Asset Management LLC Notes
Lawrence Simon Investment Manager Breach of Duty of Loyalty
Howard Wohl Related cases:
Adam L. Geiger Bank Fraud 1:09-cv-03907
Jeffrey R. Lindenbaum 1:09-cv-08278
John D. Rogers 1:09-cv-08362
Sean C. Simon
Kevin J. Bannon Aiding and Abetting Fraud
Steven Pisarkiewicz
Robert Meschi Breach of Contract
Susan Rabinowitz
Michael Singer Negligent Misrepresentation
Alan Chuang
Peter Rose Gross Negligence and Mismanagement
Joseph Burns
Mark Santero Unjust Enrichment
Peter D. Noris
Farzine Hachemian Aiding and Abetting Breach of Fiduciary Duty
Scott E. Wennerholm
Jonathan Little Recission under Investment Advisors Act
Ronald P. O'Hanley
Bank of New York Mellon Corporation

December 2, 2009 Page 17

Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Prepared by:
Michael Campion Miller
9/29/2009 1:09-cv-08278 Hartman et al v. Ivy Asset Management L.L.C. Ivy Asset Management, LLC Investment Managers ERISA
10/2/2009 1:09-cv-08362 Steptoe Johnson LLP
et al Bank of New York Mellon Corp. Investment Advisor Breach of Fiduciary Duty Notes
Related cases:
J.P. Jeanneret Associates, Inc. Officers Breach of Duty of Loyalty 1:09-cv-03907
1:09-cv-07584
Income-Plus Investment Fund Administrators Imprudent Investment of Plan Assets 1:09-cv-08362

John P. Jeanneret Management Failure to Act in Accordance with Plan Related cases:
1:09-cv-03907
Paul Perry Committee Prohibited Transaction Prohibition 1:09-cv-07584
1:09-cv-08278
Lawrence Simon Cofiduciary Liability

Howard Wohl Disgorgement of Profits

Adam Geiger Injunctive Relief

Jeffrey Lindenbaum

John Rogers

Sean Simon

Kevin Bannon

Steven Pisarkiewicz

Robert Meschi

Susan Rabinowitz

Michael Singer

Alan Chuang

Gregory Van Inwegen

Sean Cumiskey

Stuart Davies

Peter Rose

Joseph Burns

Mark Santero

Peter Noris

Farzine Hachemian

Colleen Baldwin

Glenn Cummins

Ivy Manager Approval Committee

Ivy Investment Committee

Ivy Strategic Operating Committee

Board of Trustees of The Buffalo Laborers J.P. Jeanneret Associates, Inc. Investment Manager ERISA
Investment Advisor Breach of Fiduciary Duties
Security Fund et al v. J.P. Jeanneret John P. Jeanneret

Associates, Inc. et al Paul L. Perry

Ivy Asset Management Corp.

December 2, 2009 Page 18