u.s. district court southern district of new york (foley...

US District Court Civil Docket as of April 16, 2013 Retrieved from the court on May 7, 2013

U.S. District Court Southern District of New York (Foley Square)

CIVIL DOCKET FOR CASE #: 1:09-md-02075-TPG

Date Filed: 08/13/2009 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

IN RE: Austin Capital Management, Ltd., Securities & Employee Retirement Income Security Act (ERISA) Litigation Assigned to: Judge Thomas P. Griesa Member case: (View Member Case) Related Cases: 1:09-cv-07135-TPG

1:09-cv-07134-TPG 1:09-cv-03614-TPG 1:09-cv-10342-TPG 1:09-cv-07660-TPG 1:09-cv-07889-TPG

Cause: 15:78m(a) Securities Exchange Act

Lead Plaintiff

International Brotherhood of Teamsters Local 705 Pension Fund

Lead Plaintiff

represented by David Avi Rosenfeld Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 631-367-7100 Fax: 631-367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Edward Y. Kroub Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Operating Engineers Trust Funds represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Edward Y. Kroub (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Construction Industry and Laborers Joint Pension Trust on behalf of themselves

represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Edward Y. Kroub (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Marc H. Rifkind Slevin & Hart 1625 Massachusetts Ave. N.W., Suite 450 Washington, DC 20036 202 797-8700 Fax: (202) 234-8231 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Thomas J. Hart Slevin & Hart, P.C 1625 Massachusetts Ave, Suite # 450 Washington, DC 20036 (202) 797-8700 Fax: (202) 234-8231 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

represented by Darren J. Robbins Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] LEAD ATTORNEY PRO HAC VICE

Lead Plaintiff

Sheet Metal Workers' National Pension Fund

ATTORNEY TO BE NOTICED

David C. Walton Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 LEAD ATTORNEY ATTORNEY TO BE NOTICED

John K. Grant Robbins Geller Rudman & Dowd LLP ( SFran. ) One Montgomery Street, Suite 1800 San Francisco, CA 94104 (415) 288-4545 Fax: (415) 288-4534 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity

represented by Andrew D. Abramowitz Spector, Roseman & Kodroff Willis, P.C. (PA) 1818 Market Street, 25th Floor Philadelphia, PA 19103 (215) 496-0300 Fax: (215)-496-6611 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Theodore M. Lieverman Spector, Roseman & Kodroff Willis, P.C. (PA)

1818 Market Street, 25th Floor Philadelphia, PA 19103 (215)-496-0300 Fax: (215)-496-6611 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Henry Nicholas represented by Andrew D. Abramowitz (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Theodore M. Lieverman (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

Steamfitters Local 449 Pension Fund

represented by Andrew D. Abramowitz (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Plaintiff

Joseph Little represented by Andrew D. Abramowitz (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Plaintiff

Regis R. Claus represented by Andrew D. Abramowitz (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Plaintiff

Laborers District Council of Western Pennsylvania Pension Fund

represented by Andrew D. Abramowitz (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Plaintiff

Phillip Ameris represented by Andrew D. Abramowitz (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Plaintiff

John C. Busse represented by Andrew D. Abramowitz (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Plaintiff

Plumbers and Pipefitters Union Local

represented by Darren J. Robbins 525 Pension Plan

(See above for address) on behalf of themselves

LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

David C. Walton (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Samuel Howard Rudman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Plumbers and Pipefitters Union Local 525 Pension Plan and all others similarly situated

represented by Darren J. Robbins (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

David C. Walton (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Samuel Howard Rudman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Plaintiff

Richard Peshkin On behalf of himself as an individual

represented by David S. Nalven Hagens Berman Sobol Shapiro LLP (MA) One Main Street 4th Floor Cambridge, MA 02142 (617) 482-3700 Fax: (617) 482-3003 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Lee Matthew Gordon Hagens Berman Sobol Shapiro LLP (Los Angeles) 700 South Flower Street Suite 2940 Los Angeles, CA 90017 (213) 330-7150 Fax: (213) 330-7152 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Reed Richard Kathrein Hagens Berman Sobol Shapiro LLP (B'kly) 715 Hearst Avenue Suite 202 Berkeley, CA 94710 (510) 725-3000

Fax: (510) 725-3001 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Steve W. Berman Hagens Berman Sobol Shapiro LLP (Seattle) 1918 8th, Avenue Suite 3300 Seattle, WA 98101 (206) 268-9320 Fax: (206) 623-0594 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Consolidated Plaintiff

John Witt





represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY

V.


Oerating Engineers Health and Welfare Trust Fund


Daniel Jackson


Russell E. Burns


Pension Trust Fund For Operating Engineers



Operating Engineers Pension Plan represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Texas Treasury Safekeeping Trust represented by David Avi Rosenfeld Keeping

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


New Mexico Educational Retirement represented by David Avi Rosenfeld Board

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


Ronald Palmerick



Michael J. Sullivan represented by David Avi Rosenfeld (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Movant

Laborers Local 17 Pension Fund represented by Christopher Lometti Cohen Milstein Sellers & Toll P.L.L.C. 88 Pine Street 14th, Floor New York, NY 10005 (212) 838-7797 Fax: (212) 838-7745 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

David Avi Rosenfeld (See above for address) LEAD ATTORNEY


Joel Paul Laitman Cohen Milstein Sellers & Toll P.L.L.C. 88 Pine Street 14th, Floor New York, NY 10005 (212) 838-7797 Fax: (212) 838-7745 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Kenneth Mark Rehns Cohen Milstein Sellers & Toll P.L.L.C. 88 Pine Street 14th, Floor New York, NY 10005 (212) 838-7797 Fax: (212) 838-7745 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Marc Ira Machiz Cohen Milstein Sellers & Toll ( Philadelphia) 255 South 17th Street Suite 1307 Philadelphia, PA 19103 (215)-825-4010 Fax: (215)-825-4001 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Karen L. Handorf Cohen Milstein Sellers & Toll PLLC 1100 New York Ave., Nw, Suite 500 West Tower Wachington, DC 20005 (202)-408-3628 Fax: (202)-408-4699 Email: [email protected] ATTORNEY TO BE NOTICED

Michelle Celia Yau Cohen Milstein Sellers & Toll PLLC (DC) 1100 New York Avenue, N.W.

Suite 500, West Tower Washington, DC 20005 (202) 408-4600 Fax: (202) 408-4699 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

V.

Defendant

Austin Capital Management, Ltd. represented by Harold Keith Gordon Jones Day (NYC) 222 East 41st Street New York, NY 10017 212-326-3939 Fax: 212-755-7306 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Louis A. Chaiten Jones Day (Cleveland ) 901 Lakeside Avenue Cleveland, OH 44114 (216) 586-3939 Fax: (216) 579-0212 LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

The Board of Trustees of the Texas Iron represented by Deidre Ann Grossman Worker' Pension Fund

Littler Mendelson, P.C. (NYC) 900 Third Avenue 7th Floor New York, NY 10022 (212)-497-8491 Fax: (212)-832-2719 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Douglas Mark Selwyn Conner & Winters, L.L.P. 1001 McKinney Street Suite 550 Houston, TX 77002 (713) 650-3850 Fax: (713)650-3851

Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

R. Richard Love , III Conner & Winters, L.L.P. 4000 One Williams Center Tulsa, OK 74172 (918) 586-5679 Fax: (918) 586-8679 LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Roy Richard Love , III Conner & Winters, LLP 4000 One Williams Center Tulsa, OK 74172 (918)-586-5679 Fax: (918)-586-8679 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

The Texas Iron Workers' Pension Fund represented by Deidre Ann Grossman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

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

R. Richard Love , III (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Roy Richard Love , III (See above for address) ATTORNEY TO BE NOTICED

Defendant

David C. Brown represented by Harold Keith Gordon (See above for address) LEAD ATTORNEY


represented by Harold Keith Gordon (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED





represented by Louis A. Chaiten (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Does 1-100

Defendant

David E. Friedman

Defendant

Brent A. Martin

Defendant

James P. Owen

Defendant

Charles W. Riley

Defendant

Rothstein, Kass & Company (Cayman)

Defendant

Rothstein, Kass & Company, P.L.L.C.

Defendant

Robert Wagner

Defendant

Austin Capital Management GP Corp.

Harold Keith Gordon

(See above for address) ATTORNEY TO BE NOTICED

Defendant

Ronald J. Dugas

Defendant

Kyle McDaniel

Defendant

Montgomery Green

Defendant

Jay W. Van Ert

represented by Harold Keith Gordon (See above for address) ATTORNEY TO BE NOTICED






Defendant

Keycorp

Defendant

Victory Capital Management, Inc.

Date Filed

08/13/2009

# Docket Text

1 CERTIFIED TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL... transferring this action from the United States District Court - that pursuant to 28 U.S.C. 1407, the actions listed on the attached schedule A and pending in the Districts of New York (Southern District), Pennsylvania (Eastern District) C.A. No. 2:09-615, Texas (Western District) C.A. No. 1:09-351, and the same hereby are, transferred to the Southern District of New York, with the consent of that court, assigned to the Honorable Judge Thomas P. Griesa, for coordinated or consolidated pretrial proceedings with the actions pending in that district and listed on Schedule A. IT IS FURTHER ORDERED that the claim against ACM in the Southern District of New York Peshkin consolidated action (count XIV of the operative complaint) which is currently included in MDL No. 2052 proceedings and listed on Schedule A is severed and included in MDL No. 2075 proceedings in this district. IT IS FURTHER ORDERED that this docket is renamed as follows: IN RE: Austin Capital Management, Ltd., Securities & Employee Retirement Income Security Act (ERISA)

Litigation. (Signed by MDL Panel on 8/11/09) (rjm) (Entered: 08/14/2009)

08/13/2009 Magistrate Judge Ronald L. Ellis is so designated. (rjm) (Entered: 08/14/2009)

08/13/2009 CASES ORIGINATING FROM THE SOUTHERN DISTRICT OF NEW YORK: 1:08-cv-11183 (TPG) the claim against ACM in the Southern District of New York Peshkin consolidated action (count XIV of the operative complaint) which is currently included in MDL No. 2052 proceedings and listed on Schedule A is severed and included in MDL No. 2075 proceedings in this district, 1:09-cv-3614 (TPG). (rjm). (Entered: 08/14/2009)

08/13/2009 2 ORDER RENAMING LITIGATION (true certified copy). IT IS THEREFORE ORDERED that this litigation is renamed as IN RE: Austin Capital Management, Ltd., Securities & Employee Retirement Income Security Act (ERISA) Litigation. (Signed by MDL Panel on 8/12/09) (rjm) (Entered: 08/14/2009)

08/20/2009 3 Objection PLAINTIFFS OBJECTIONS TO THE REPORT & RECOMMENDATION OF THE UNITED STATES MAGISTRATE JUDGE REGARDING THE TEXAS IRON WORKERS PENSION FUNDS RENEWED MOTION TO COMPEL ARBITRATION AND TO DISMISS . Document filed by Austin Capital Management, Ltd.. Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-07135-TPG(Gordon, Harold) (Entered: 08/20/2009)

09/01/2009 4 NOTICE OF APPEARANCE by Deidre Ann Grossman on behalf of The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund (Grossman, Deidre) (Entered: 09/01/2009)

09/02/2009 6 CERTIFIED TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL (CTO-1)... transferring this action from the United States District Court - that pursuant to 28 U.S.C. 1407, the actions listed on the attached schedule A and pending in the District of Other than the S.D.N.Y., and the same hereby are, transferred to the Southern District of New York, with the consent of that court, assigned to the Honorable Judge Thomas P. Griesa, for coordinated or consolidated pretrial proceedings with the actions pending in that district and listed on Schedule A. (Signed by MDL Panel on 9/2/2009) (jmi) (Entered: 09/11/2009)

09/10/2009 5 STIPULATION. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys tor the parties, that defendants The Board of Trustees of the Texas Iron Workers' Pension Fund and the Texas Iron Workers' Pension Fund shall have until September 22,2009 to oppose the Austin Capital Plaintiffs' Objections to the Report & Recommendation of the United States Magistrate Judge Regarding The Texas Iron Workers' Pension Fund's Renewed Motion to Compel Arbitration and to Dismiss. (Signed by Judge Thomas P. Griesa on 9/2/09) Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-07135-TPG(rjm) (Entered: 09/10/2009)

09/14/2009 11 CERTIFIED TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER FROM THE MDL PANEL (CTO-2)... transferring this action from the United States District Court - that pursuant to 28 U.S.C. 1407, the actions listed on the attached schedule A and pending in the District of other than the SDNY, and the same hereby are, transferred to the Southern District of New York, with the consent of that court, assigned to the Honorable Judge Thomas P. Griesa, for coordinated or consolidated pretrial proceedings with the actions pending in that district and listed on Schedule A. (Signed by MDL Panel on 8/27/09) (rjm) (Entered: 09/18/2009)

09/14/2009 12 NOTICE OF MOTION for John Grant to Appear Pro Hac Vice. Document filed by Construction Industry and Laborers Joint Pension Trust. Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 09/18/2009)

09/15/2009 7 NOTICE OF APPEARANCE by Theodore M. Lieverman on behalf of Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, Henry Nicholas, Steamfitters Local 449 Pension Fund, Joseph Little, Regis R. Claus, Laborers District Council of Western Pennsylvania Pension Fund, Phillip Ameris, John C. Busse (Lieverman, Theodore) (Entered: 09/15/2009)

09/15/2009 9 MOTION for Douglas M. Selwyn to Appear Pro Hac Vice. Document filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, The Board of Trustees of the Texas Iron Workers' Pension Fund.Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-03614-TPG, 1:09-cv-07134-TPG, 1:09-cv-07135-TPG, 1:09-cv-07660-TPG(rjm) (Entered: 09/16/2009)

09/15/2009 10 MOTION for R. Richard Love, III to Appear Pro Hac Vice. Document filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, The Board of Trustees of the Texas Iron Workers' Pension Fund.Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-03614-TPG, 1:09-cv-07134-TPG, 1:09-cv-07135-TPG, 1:09-cv-07660-TPG(rjm) (Entered: 09/16/2009)

09/16/2009 8 ORDER FOR ADMISSION PRO HAC VICE. Attorney John Grant for Construction Industry and Laborers Joint Pension Trust admitted Pro Hac Vice. (Signed by Judge Thomas P. Griesa on 9/15/09) Filed In Associated Cases: 1:09-md-02075-TPG, 1:09- cv-03614-TPG, 1:09-cv-07134-TPG, 1:09-cv-07135-TPG, 1:09-cv-07660-TPG(rjm) (Entered: 09/16/2009)

09/16/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (7 in 1:09-cv-07135-TPG, 8 in 1:09-md-02075-TPG, 4 in 1:09-cv-07134-TPG, 27 in 1:09-cv-03614-TPG, 2 in 1:09-cv-07660-TPG) Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-03614-TPG, 1:09-cv-07134-TPG, 1:09-cv-07135-TPG, 1:09-cv-07660-TPG(rjm) (Entered: 09/16/2009)

09/18/2009 13 ORDER FOR ADMISSION PRO HAC VICE ON MOTION granting (9) Motion for Douglas M. Selwyn to Appear Pro Hac Vice in case 1:09-md-02075-TPG; granting (8) Motion for Douglas M. Selwyn to Appear Pro Hac Vice in case 1:09-cv-07135-TPG. (Signed by Judge Thomas P. Griesa on 9/18/09) Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-07135-TPG(rjm) (Entered: 09/18/2009)

09/18/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (13 in 1:09-md-02075- TPG, 11 in 1:09-cv-07135-TPG) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-07135-TPG(rjm) (Entered: 09/18/2009)

09/18/2009 14 ORDER FOR ADMISSION PRO HAC VICE ON MOTION granting (10) Motion for R. Richard Love, III to Appear Pro Hac Vice in case 1:09-md-02075-TPG; granting (9) Motion for R. Richard Love, III to Appear Pro Hac Vice in case 1:09-cv-07135-TPG. (Signed by Judge Thomas P. Griesa on 9/18/09) Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-07135-TPG(rjm) (Entered: 09/18/2009)

09/18/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (12 in 1:09-cv-07135-

TPG, 14 in 1:09-md-02075-TPG) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-07135-TPG(rjm) (Entered: 09/18/2009)

09/22/2009 15 RESPONSE re: 3 Objection (non-motion), Objection (non-motion) to Report & Recommendation of the U.S. Magistrate Judge . Document filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund. (Love, Roy) (Entered: 09/22/2009)

09/22/2009 16 DECLARATION of R. Richard Love, III re: 15 Response, to Plaintiff's Objection to Report and Recommendation . Document filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund. (Love, Roy) (Entered: 09/22/2009)

09/23/2009 CASHIERS OFFICE REMARK on 10 Motion to Appear Pro Hac Vice, 9 Motion to Appear Pro Hac Vice, in the amount of $50.00, paid on 09/15/2009, Receipt Number 700108 & 700109. (jd) (Entered: 09/23/2009)

09/23/2009 17 NOTICE OF APPEARANCE by Roy Richard Love, III on behalf of The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund (Love, Roy) (Entered: 09/23/2009)

09/24/2009 18 NOTICE OF APPEARANCE by Douglas Mark Selwyn on behalf of The Texas Iron Workers' Pension Fund (Selwyn, Douglas) (Entered: 09/24/2009)

09/25/2009 19 ORDER FOR ADMISSION PRO HAC VICE. IT IS HEREBY ORDERED that John Grant of Coughlin Stoia Geller Rudman & Robbins LLP, 100 Pine Street, Suite 2600, San Francisco, California, telephone number 415/288-4545, fax number 415/288-4534, email address [email protected] , is hereby admitted to practice pro hac vice as counsel for Plaintiff Construction Industry and Laborers Joint Pension Trust in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. If this action is assigned to the Electronic Case Filing (ECF) system, counsel shall immediately apply for an ECF password at nysd.uscourts.gov . Counsel shall forward the pro hac vice fee to the Clerk of the Court. (Signed by Judge Thomas P. Griesa on 9/24/09) Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 09/25/2009)

09/25/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (31 in 1:09-cv-03614- TPG, 8 in 1:09-cv-07134-TPG, 4 in 1:09-cv-07889-TPG, 19 in 1:09-md-02075-TPG, 17 in 1:09-cv-07135-TPG, 7 in 1:09-cv-07660-TPG) Order, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075- TPG et al.(rjm) (Entered: 09/25/2009)

09/29/2009 20 NOTICE OF APPEARANCE by Christopher Lometti on behalf of Laborers Local 17 Pension Fund Filed In Associated Cases: 1:09-md-02075-TPG et al.(Lometti, Christopher) (Entered: 09/29/2009)

09/29/2009 21 NOTICE OF APPEARANCE by Kenneth Mark Rehns on behalf of Laborers Local 17 Pension Fund Filed In Associated Cases: 1:09-md-02075-TPG et al.(Rehns, Kenneth) (Entered: 09/29/2009)

10/16/2009 22 NOTICE OF APPEARANCE by Joel Paul Laitman on behalf of Laborers Local 17

Pension Fund Filed In Associated Cases: 1:09-md-02075-TPG et al.(Laitman, Joel) (Entered: 10/16/2009)

10/19/2009 23 ORDER FOR ADMISSION PRO HAC VICE ON MOTION. IT IS HEREBY ORDERED that R. Richard Love, III is admitted to practice pro hac vice as counsel for defendants Texas Iron Workers Pension Fund and the Texas Iron Workers Board of Trustees in the above-captioned case. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. If this action is assigned to the Electronic Case Filing (ECF) system, counsel shall immediately apply for an ECF password at nysd.uscourts.gov . Counsel shall forward the pro hac vice fee to the Clerk of Court. granting (29) Motion for R. Richard Love, III to Appear Pro Hac Vice in case 1:09-cv-03614-TPG; granting (6) Motion for R. Richard Love, III to Appear Pro Hac Vice in case 1:09-cv-07134-TPG; granting (4) Motion for R. Richard Love, III to Appear Pro Hac Vice in case 1:09-cv-07660-TPG. (Signed by Judge Thomas P. Griesa on 10/16/09) Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 10/19/2009)

10/19/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (35 in 1:09-cv-03614- TPG, 23 in 1:09-cv-07135-TPG, 9 in 1:09-cv-07889-TPG, 23 in 1:09-md-02075-TPG, 12 in 1:09-cv-07134-TPG, 12 in 1:09-cv-07660-TPG) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 10/19/2009)

10/19/2009 24 ORDER FOR ADMISSION PRO HAC VICE ON MOTION. IT IS HEREBY ORDERED that Douglas M. Selwyn, is admitted to practice pro hac vice as counsel for defendants Texas Iron Workers Pension Fund and the Texas Iron Workers Board of Trustees in the above-captioned case. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. If this action is assigned to the Electronic Case Filing (ECF) system, counsel shall immediately apply for an ECF password at nysd.uscourts.gov . Counsel shall forward the pro hac vice fee to the Clerk of Court. granting (28) Motion for Douglas M. Selwyn to Appear Pro Hac Vice in case 1:09-cv-03614-TPG; granting (5) Motion for Douglas M. Selwyn to Appear Pro Hac Vice in case 1:09-cv-07134-TPG; granting (3) Motion for Douglas M. Selwyn to Appear Pro Hac Vice in case 1:09-cv-07660-TPG. (Signed by Judge Thomas P. Griesa on 10/16/09) Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 10/19/2009)

10/19/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (36 in 1:09-cv-03614- TPG, 24 in 1:09-cv-07135-TPG, 13 in 1:09-cv-07660-TPG, 10 in 1:09-cv-07889-TPG, 13 in 1:09-cv-07134-TPG, 24 in 1:09-md-02075-TPG) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 10/19/2009)

10/23/2009 25 ORDER OF CONSOLIDATION. NOW THEREFORE IT IS HEREBY ORDERED THAT: 1. Pursuant to Fed. R. Civ. P. 42(a) and Section 21D(a)(3)(B) of the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. § 78u4(a)(3)(B)(ii), this court finds that these cases should be consolidated for pretrial proceedings. 2. Pursuant to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. § 78u-4(a)(3)(B), Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund, and International Brotherhood of Teamsters Local 705 Pension Fund are appointed Lead Plaintiffs, and the law firms of Coughlin Stoia Geller Rudman & Robbins LLP and Hagens Berman Sobel Shapiro LLP are appointed Co-Lead Counsel for plaintiffs. 3. Courtesy copies of

all correspondence and filings shall be provided to the assigned judge, Judge Thomas P. Griesa. 4. A copy of this Order shall be placed in the dockets for all the cases listed herein. The Clerk of the Court is directed then to close the docket in 09 Civ. 3614 (TPG), 09 Civ. 7134 (TPG), and 09 Civ. 7135. 5. The Clerk of the Court is directed to sever Count XIV of Richard Peshkin, et aI. v. Tremont Group Holdings, Inc., et al., 08 Civ. 11183, for consolidation with this action. 6. Any document hereinafter filed in connection with the above-captioned cases must be filed under the MDL case number, 09md2075. 7. If a case that arises out of the same subject matter 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 this action, 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. 8. As to any case accepted by Judge Griesa as related, the Clerk's Office will consolidate that case with this action unless an objection to such consolidation is duly made and is sustained by the judge. 9. Once the newly-filed or transferred case is consolidated with this action, the Clerk of the Court is directed to close the docket of that newly-filed or transferred case. (Signed by Judge Thomas P. Griesa on 10/22/09) Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 10/23/2009)

10/28/2009 26 TRANSCRIPT of proceedings held on 10/22/09, 2:45pm before Judge Thomas P. Griesa. (rjm) (Entered: 10/29/2009)

10/29/2009 27 NOTICE OF MOTION for Marc I. Machiz to Appear Pro Hac Vice. Document filed by Laborers Local 17 Pension Fund. Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 11/03/2009)

11/02/2009 28 ORDER GRANTING APPLICATION OF MARC I. MACHIZ FOR ADMISSION PRO HAC VICE granting (166) Motion for Marc I. Machiz to Appear Pro Hac Vice in case 1:08-cv-11183-TPG; granting (38) Motion for Marc I. Machiz to Appear Pro Hac Vice in case 1:09-cv-03614-TPG; granting (27) Motion for Marc I. Machiz to Appear Pro Hac Vice in case 1:09-md-02075-TPG; granting (15) Motion for Marc I. Machiz to Appear Pro Hac Vice in case 1:09-cv-07134-TPG; granting (28) Motion for Marc I. Machiz to Appear Pro Hac Vice in case 1:09-cv-07135-TPG; granting (14) Motion for Marc I. Machiz to Appear Pro Hac Vice in case 1:09-cv-07660-TPG; granting (11) Motion for Marc I. Machiz to Appear Pro Hac Vice in case 1:09-cv-07889-TPG. (Signed by Judge Thomas P. Griesa on 11/2/09) Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 11/03/2009)

11/02/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (29 in 1:09-cv-07135- TPG, 12 in 1:09-cv-07889-TPG, 167 in 1:08-cv-11183-TPG, 16 in 1:09-cv-07134-TPG, 39 in 1:09-cv-03614-TPG, 15 in 1:09-cv-07660-TPG, 28 in 1:09-md-02075-TPG) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 11/03/2009)

11/05/2009 29 BRIEF Reply in Support of Emergency Motion for a Temporary Stay of Arbitration (09- cv-7135-TPG) . Document filed by Austin Capital Management, Ltd..(Bedell, Richard) (Entered: 11/05/2009)

11/05/2009 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. Document filed by Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, Henry Nicholas, Steamfitters Local 449 Pension Fund, Joseph Little, Regis R. Claus, Laborers District

Council of Western Pennsylvania Pension Fund, Phillip Ameris, John C. Busse. (Attachments: # 1 Certificate of Service)(Lieverman, Theodore) (Entered: 11/05/2009)

11/05/2009 31 MEMORANDUM OF LAW in Support re: 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. MOTION for Reconsideration re; 25 Order,,,,,,,,,.. Document filed by Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, Henry Nicholas, Steamfitters Local 449 Pension Fund, Joseph Little, Regis R. Claus, Laborers District Council of Western Pennsylvania Pension Fund, Phillip Ameris, John C. Busse. (Lieverman, Theodore) (Entered: 11/05/2009)

11/05/2009 32 DECLARATION of Theodore M. Lieverman in Support re: 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. MOTION for Reconsideration re; 25 Order,,,,,,,,,.. Document filed by Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, Henry Nicholas, Steamfitters Local 449 Pension Fund, Joseph Little, Regis R. Claus, Laborers District Council of Western Pennsylvania Pension Fund, Phillip Ameris, John C. Busse. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3)(Lieverman, Theodore) (Entered: 11/05/2009)

11/05/2009 34 MOTION for Louis A. Chaiten to Appear Pro Hac Vice. Document filed by Austin Capital Management, Ltd., Austin Capital Management GP Corp. Filed In Associated Cases: 1:09-md-02075-TPG et al. (rjm) (Entered: 11/12/2009)

11/09/2009 33 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION. IT IS HEREBY ORDERED that Louis A. Chaiten is admitted to practice pro hac vice as counsel for Austin Capital in the above-captioned cases in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. If this action is assigned to the Electronic Case Filing ("ECF") system, counsel shall immediately apply for an ECF password at nysd.uscourts.gov . Counsel shall forward the, pro hac vice fee to the Clerk of the Court. Attorney Louis A. Chaiten for Austin Capital Management, Ltd., Austin Capital Management GP Corp. admitted Pro Hac Vice. (Signed by Judge Thomas P. Griesa on 11/9/09) Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) Modified on 11/9/2009 (rjm). (Entered: 11/09/2009)

11/09/2009 Transmission to Attorney Admissions Clerk. Transmitted re: (16 in 1:09-cv-07660- TPG, 30 in 1:09-cv-07135-TPG, 17 in 1:09-cv-07134-TPG, 168 in 1:08-cv-11183-TPG, 13 in 1:09-cv-07889-TPG, 33 in 1:09-md-02075-TPG, 40 in 1:09-cv-03614-TPG) Order Admitting Attorney Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-md-02075-TPG et al.(rjm) (Entered: 11/09/2009)

11/10/2009 35 TRANSCRIPT of proceedings held on 10/22/09, 2:45pm before Judge Thomas P. Griesa. (rjm) (Entered: 11/13/2009)

11/16/2009 36 JUDGMENT is rendered in favor of the defendants and against the plaintiffs compelling arbitration and dismissing the action brought by the plaintiffs for declaratory relief (This relates to 09 cv 7135 (TPG) ). (Signed by Judge Thomas P. Griesa on 11/13/09) (Attachments: # 1 notice of right to appeal)Filed In Associated Cases: 1:09-md-02075-TPG, 1:09-cv-07135-TPG(ml) (Entered: 11/16/2009)

11/17/2009 CASHIERS OFFICE REMARK on 34 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 11/05/2009, Receipt Number 705247. (jd) (Entered: 11/17/2009)

11/20/2009 37 RESPONSE to Motion re: 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. MOTION for Reconsideration re; 25 Order,,,,,,,,,.. Document filed by Brent A. Martin, James P. Owen, Charles W. Riley, Austin Capital Management GP Corp., Austin Capital Management, Ltd.. (Bedell, Richard) (Entered: 11/20/2009)

11/23/2009 38 MEMORANDUM OF LAW in Opposition re: 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. MOTION for Reconsideration re; 25 Order,,,,,,,,,.. Document filed by International Brotherhood of Teamsters Local 705 Pension Fund, Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund. (Rosenfeld, David) (Entered: 11/23/2009)

11/23/2009 39 DECLARATION of David A. Rosenfeld in Opposition re: 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. MOTION for Reconsideration re; 25 Order,,,,,,,,,.. Document filed by International Brotherhood of Teamsters Local 705 Pension Fund, Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund. (Attachments: # 1 Exhibit A - 10/22/09 transcript, # 2 Exhibit B - 10/21/09 transcript, # 3 Exhibit C (part 1) docket, # 4 Exhibit C (part 2) - docket, # 5 Exhibit D - firm resume)(Rosenfeld, David) (Entered: 11/23/2009)

12/04/2009 40 REPLY MEMORANDUM OF LAW in Support re: 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. MOTION for Reconsideration re; 25 Order,,,,,,,,,.. Document filed by Laborers District Council of Western Pennsylvania Pension Fund. (Lieverman, Theodore) (Entered: 12/04/2009)

12/09/2009 42 MOTION for Andrew D. Abramowitz to Appear Pro Hac Vice. Document filed by Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, Henry Nicholas, Steamfitters Local 449 Pension Fund, Joseph Little, Regis R. Claus, Laborers District Council of Western Pennsylvania Pension Fund, Phillip Ameris, John C. Busse.(rjm) (Entered: 12/14/2009)

12/11/2009 41 ORDER. Pennsylvania Pension Fund plaintiffs' motion for reconsideration under Local Civil Rule 6.3 and Fed. R. Civ. P. 59(e) is denied. denying 30 Motion for Reconsideration re 25 Order of Consolidation. (Signed by Judge Thomas P. Griesa on 12/11/09) (rjm) (Entered: 12/11/2009)

12/16/2009 43 ORDER FOR ADMISSION PRO HAC VICE UPON WRITTEN MOTION granting 42 Motion for Andrew D. Abramowitz to Appear Pro Hac Vice. (Signed by Judge Thomas P. Griesa on 12/16/09) (rjm) (Entered: 12/16/2009)

12/16/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 43 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (rjm) (Entered: 12/16/2009)

12/16/2009 44 NOTICE OF APPEAL from 36 Judgment,. Document filed by Brent A. Martin, James P. Owen, Charles W. Riley, Austin Capital Management GP Corp., Austin Capital Management, Ltd. Montgomery "Buck" Green, Kyle McDaniel, Jay W. Van Ert. Filing fee $ 455.00, receipt number E 708288. This appeal also docketed in consolidated case 09cv7135 on 12/11/2009, DOC # 44. (nd) Modified on 12/17/2009 (nd). (Entered: 12/17/2009)

12/17/2009 Transmission of Notice of Appeal to the District Judge re: 44 Notice of Appeal,. (nd) (Entered: 12/17/2009)

12/17/2009 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 44 Notice of Appeal,. (nd) (Entered: 12/17/2009)

12/23/2009 CASHIERS OFFICE REMARK on 42 Motion to Appear Pro Hac Vice, in the amount of $25.00, paid on 12/09/2009, Receipt Number 708088. (jd) (Entered: 12/23/2009)

01/04/2010 Appeal Record Sent to USCA (Electronic File). U.S. C.A. # 09-5199-cv, Certified Indexed record on Appeal Electronic Files for 1 MDL Conditional Transfer In Order,,,, 18 Notice of Appearance filed by The Texas Iron Workers' Pension Fund, 13 Order on Motion to Appear Pro Hac Vice, 39 Declaration in Opposition to Motion,, filed by Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund, International Brotherhood of Teamsters Local 705 Pension Fund, 30 MOTION for Reconsideration re; 25 Order,,,,,,,,,. MOTION for Reconsideration re; 25 Order,,,,,,,,,. filed by Steamfitters Local 449 Pension Fund, Phillip Ameris, Laborers District Council of Western Pennsylvania Pension Fund, John C. Busse, Joseph Little, Henry Nicholas, Regis R. Claus, Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, 41 Order on Motion for Reconsideration, 8 Order Admitting Attorney Pro Hac Vice, 36 Judgment, 15 Response, filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, 44 Notice of Appeal, filed by Brent A. Martin, Charles W. Riley, Austin Capital Management GP Corp., Austin Capital Management, Ltd., James P. Owen, 10 MOTION for R. Richard Love, III to Appear Pro Hac Vice. filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, The Board of Trustees of the Texas Iron Workers' Pension Fund, 14 Order on Motion to Appear Pro Hac Vice, 23 Order on Motion to Appear Pro Hac Vice,,,, 12 MOTION for John Grant to Appear Pro Hac Vice. filed by Construction Industry and Laborers Joint Pension Trust, 7 Notice of Appearance, filed by Steamfitters Local 449 Pension Fund, Phillip Ameris, Laborers District Council of Western Pennsylvania Pension Fund, John C. Busse, Regis R. Claus, Henry Nicholas, Joseph Little, Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, 28 Order on Motion to Appear Pro Hac Vice,,, 9 MOTION for Douglas M. Selwyn to Appear Pro Hac Vice. filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, The Board of Trustees of the Texas Iron Workers' Pension Fund, 3 Objection (non-motion), Objection (non-motion) filed by Austin Capital Management, Ltd., 4 Notice of Appearance filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, 32 Declaration in Support of Motion,, filed by Steamfitters Local 449 Pension Fund, Phillip Ameris, Laborers District Council of Western Pennsylvania Pension Fund, John C. Busse, Regis R. Claus, Henry Nicholas, Joseph Little, Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, 17 Notice of Appearance filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, 24 Order on Motion to Appear Pro Hac Vice,,, 31 Memorandum of Law in Support of Motion, filed by Steamfitters Local 449 Pension Fund, Phillip Ameris, Laborers District Council of Western Pennsylvania Pension Fund, John C. Busse, Regis R. Claus, Henry Nicholas, Joseph Little, Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, 33 Order Admitting Attorney Pro Hac Vice,,, 27 MOTION for Marc I. Machiz to Appear Pro Hac Vice. filed by Laborers Local 17 Pension Fund, 21 Notice of Appearance filed by Laborers Local 17 Pension Fund, 34 MOTION for Louis A. Chaiten to Appear Pro Hac Vice. filed by Austin Capital Management Ltd., Austin Capital Management GP Corp., Austin Capital Management, Ltd., 42 MOTION for Andrew D. Abramowitz to Appear Pro Hac Vice. filed by Steamfitters Local 449

Pension Fund, Phillip Ameris, Laborers District Council of Western Pennsylvania Pension Fund, John C. Busse, Regis R. Claus, Henry Nicholas, Joseph Little, Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, 5 Stipulation and Order,, 16 Declaration, filed by The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, 20 Notice of Appearance filed by Laborers Local 17 Pension Fund, 19 Order,,, 37 Response to Motion, filed by Brent A. Martin, Charles W. Riley, Austin Capital Management GP Corp., Austin Capital Management, Ltd., James P. Owen, 6 MDL Conditional Transfer In Order,, 29 Brief filed by Austin Capital Management, Ltd., 38 Memorandum of Law in Opposition to Motion, filed by International Brotherhood of Teamsters Local 705 Pension Fund, Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund, 2 Order, 11 MDL Conditional Transfer In Order,, 22 Notice of Appearance filed by Laborers Local 17 Pension Fund, 25 Order,,,,,,,,, 43 Order on Motion to Appear Pro Hac Vice, 40 Reply Memorandum of Law in Support of Motion, filed by Laborers District Council of Western Pennsylvania Pension Fund were transmitted to the U.S. Court of Appeals. (nd) (Entered: 01/04/2010)

01/29/2010 45 NOTICE OF CHANGE OF ADDRESS by Lee Matthew Gordon on behalf of all plaintiffs. New Address: Hagens Berman Sobol Shapiro: SEATTLE, 1918 8th Avenue, Suite 3300, Seattle, WA, USA 98101, (206)623-7292. (Gordon, Lee) (Entered: 01/29/2010)

03/24/2010 46 NOTICE of Firm Name Change. Document filed by International Brotherhood of Teamsters Local 705 Pension Fund, Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund. (Rudman, Samuel) (Entered: 03/24/2010)

08/24/2010 47 NOTICE OF CHANGE OF ADDRESS by John K. Grant on behalf of Construction Industry and Laborers Joint Pension Trust. New Address: Robbins Geller Rudman & Robbins LLP, Post Montgomery Center, One Montgomery Street, Suite 1800, San Francisco, CA, US 94104, 415/288-4545. (Grant, John) (Entered: 08/24/2010)

09/29/2010 48 TRUE COPY ORDER of USCA as to 44 Notice of Appeal, filed by Brent A. Martin, Austin Capital Management GP Corp., Austin Capital Management, Ltd., James P. Owen, Charles W. Riley USCA Case Number 09-5199-cv. The undersigned counsel for the parties stipulate that the above-captioned case is withdrawn without costs or attorneys' fees and pursuant to Local Rule 42.1. Appellant may reinstate the case by filing written notice with the Clerk, and serving such notice upon the undersigned appellee, by March 18, 2011. The time tolled under FRAP 31.1, if any, begins to run again from the date of appellant's notice to the Clerk. If not timely reinstated, the appeal shall be mandated pursuant to FRAP 41. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 9/28/2010. (nd) (Entered: 09/29/2010)

10/06/2010 49 CONSOLIDATED AMENDED CLASS ACTION COMPLAINT against Austin Capital Management GP Corp., Austin Capital Management, Ltd., David C. Brown, Does 1-100, Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Keycorp, Brent A. Martin, Kyle McDonald, James P. Owen, Charles W. Riley, Rothstein, Kass & Company (Cayman), Rothstein, Kass & Company, P.L.L.C., Sheet Metal Workers' National Pension Fund, The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, Victory Capital Management, Inc., Robert Wagner with JURY DEMAND.Document filed by Steamfitters Local 449 Pension Fund, Richard Peshkin, Henry Nicholas, Plumbers and Pipefitters Union Local 525 Pension Plan(on behalf of themselves), Joseph Little,

Plumbers and Pipefitters Union Local 525 Pension Plan(and all others similarly situated), Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, Laborers District Council of Western Pennsylvania Pension Fund, Construction Industry and Laborers Joint Pension Trust, Phillip Ameris, Regis R. Claus, John C. Busse.(mbe) (rdz). (Entered: 10/13/2010)

10/20/2010 50 STIPULATION: It is hereby Stipulated and agreed that the time by which Defendants may move to dismiss the Consolidated Amended Class Action Complaint is extended up to and including 12/10/2010; the time by which Plaintiffs may oppose such motion to dismiss is extended up to and including 2/8/2011; and the time by which defendants may file their reply is extended up to and inlcuding 3/10/2011. The parties also stipulate and agree to a limitation of 50 pages for the memoranda of law in support of and in opposition to the motion to dismiss and 20 pages for the reply memorandum. (Signed by Judge Thomas P. Griesa on 10/20/2010) (jfe) (Entered: 10/20/2010)

12/10/2010 51 CONSOLIDATED SECOND AMENDED COMPLAINT amending 49 Amended Complaint against Austin Capital Management GP Corp., Austin Capital Management, Ltd., Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Brent A. Martin, Kyle McDaniel, James P. Owen, Charles W. Riley, Victory Capital Management, Inc., Robert Wagner.Document filed by Laborers Local 17 Pension Fund, Oerating Engineers Health and Welfare Trust Fund, Daniel Jackson, Russell E. Burns, Pension Trust Fund For Operating Engineers, John Witt, Operating Engineers Pension Plan, Texas Treasury Safekeeping Trust Keeping, New Mexico Educational Retirement Board, Ronald Palmerick, Michael J. Sullivan. Related document: 49 Amended Complaint filed by Steamfitters Local 449 Pension Fund, Phillip Ameris, Laborers District Council of Western Pennsylvania Pension Fund, Plumbers and Pipefitters Union Local 525 Pension Plan, John C. Busse, Construction Industry and Laborers Joint Pension Trust, Richard Peshkin, Joseph Little, Henry Nicholas, Regis R. Claus, Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity.(mro) (Additional attachment(s) added on 2/1/2011: # 1 Sec. Amended Comp. Part 2, # 2 Second Amended Comp. Part 3) (ama). (Entered: 12/13/2010)

12/13/2010 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney David Avi Rosenfeld for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 51 Amended Complaint,,,, to: [email protected] . (mro) (Entered: 12/13/2010)

12/13/2010 52 STIPULATION AND ORDER: It is hereby stipulated and agreed by and between the parties that pursuant to Fed. R. Civ. P. 15(a)(2), Defendants do not oppose Plaintiffs' filing of the Second Amended Consolidated Class Action Complaint, as set forth in this Stipulation and Order. (Signed by Judge Thomas P. Griesa on 12/13/2010) (jpo) (Entered: 12/13/2010)

12/15/2010 53 STIPULATION AND ORDER, by and between the undersigned attorneys for the parties, that, pursuant to Fed. R. Civ. P. l5(a)(2), Defendants do not oppose Plaintiffs' filing of the Second Amended Consolidated Class Action Complaint, a copy of which has been provided to them in advance of its filing. FURTHER THAT, subject to approval by the Court, Defendants shall answer, move to dismiss, or otherwise respond to the Second Amended Consolidated Class Action Complaint within fourteen days after the filing of the Second Amended Consolidated Class Action Complaint. Should Defendants move to dismiss the Second Amended Consolidated Class Action

I Complaint, Plaintiffs shall oppose such motion within sixty (60) days of the filing of

such motion to dismiss, and Defendants shall file their reply within thirty (30) days of Plaintiffs' filing of their opposition. The parties also stipulate and agree to a limitation of fifty (50) pages for the memoranda of law in support of and in opposition to the motion to dismiss and twenty (20) pages for the reply memorandum. FURTHER THAT Defendants do not need to respond to the current Consolidated Amended Class Action Complaint. (Signed by Judge Thomas P. Griesa on 12/15/2010) (lnl) (Entered: 12/15/2010)

12/23/2010 54 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint . Document filed by Austin Capital Management, Ltd., David C. Brown, Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Keycorp, Brent A. Martin, Kyle McDaniel, James P. Owen, Charles W. Riley, Victory Capital Management, Inc., Robert Wagner.(Gordon, Harold) (Entered: 12/23/2010)

12/23/2010 55 MEMORANDUM OF LAW in Support re: 54 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint .. Document filed by Austin Capital Management, Ltd., David C. Brown, Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Keycorp, James P. Owen, Charles W. Riley, Victory Capital Management, Inc., Robert Wagner. (Gordon, Harold) (Entered: 12/23/2010)

12/23/2010 56 DECLARATION of Geoffrey J. Ritts in Support re: 54 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint .. Document filed by Austin Capital Management GP Corp., Austin Capital Management, Ltd., David C. Brown, Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Keycorp, Brent A. Martin, Kyle McDaniel, James P. Owen, Charles W. Riley, Robert Wagner. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F Part 1, # 7 Exhibit F Part 2, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J Part 1, # 12 Exhibit J Part 2, # 13 Exhibit K, # 14 Exhibit L Part 1, # 15 Exhibit L Part 2, # 16 Exhibit L Part 3)(Gordon, Harold) (Entered: 12/23/2010)

02/23/2011 57 MEMORANDUM OF LAW in Opposition re: 54 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint .. Document filed by International Brotherhood of Teamsters Local 705 Pension Fund, Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund. (Rosenfeld, David) (Entered: 02/23/2011)

02/23/2011 58 DECLARATION of David A. Rosenfeld in Opposition re: 54 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint .. Document filed by International Brotherhood of Teamsters Local 705 Pension Fund, Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Rosenfeld, David) (Entered: 02/23/2011)

02/23/2011 59 CERTIFICATE OF SERVICE of Memorandum of Law and David A. Rosenfeld Declaration in Opposition to Defendants' Motion to Dismiss the Consolidated Second Amended Class Action Complaint served on All Counsel registered for ECF service on 2/22/2011. Document filed by International Brotherhood of Teamsters Local 705 Pension Fund, Operating Engineers Trust Funds, Sheet Metal Workers' National Pension Fund. (Rosenfeld, David) (Entered: 02/23/2011)

03/01/2011 60 MOTION for Thomas J. Hart to Appear Pro Hac Vice. Document filed by Sheet Metal Workers' National Pension Fund.(mro) (Entered: 03/11/2011)

03/01/2011 61 MOTION for Marc H. Rifkind to Appear Pro Hac Vice. Document filed by Sheet Metal

J Workers' National Pension Fund.(mro) (Entered: 03/11/2011)

03/10/2011 CASHIERS OFFICE REMARK in the amount of $50.00, paid on 03/01/2011, Receipt Number 930771. PRO HAC VICE PAYMENT FOR THOMAS J. HART & MARC H. RIFKIND. (jd) (Entered: 03/10/2011)

03/10/2011 62 ORDER ON MOTION TO ADMIT COUNSEL PRO HAC VICE granting 61 Motion for Marc H. Rifkind to Appear Pro Hac Vice. Marc H. Rifkind is admitted to practice pro hac vice as counsel for Plaintiff Sheet Metal Workers' National Pension Fund in this action. (Signed by Judge Thomas P. Griesa on 3/10/2011) (tro) Modified on 3/14/2011 (tro). (Entered: 03/14/2011)

03/10/2011 63 ORDER ON MOTION TO ADMIT COUNSEL PRO HAC VICE granting 60 Motion for Thomas J. Hart to Appear Pro Hac Vice. Thomas J. Hart is admitted to practice pro hac vice as counsel for Plaintiff Sheet Metal Workers' National Pension Fund in this action. (Signed by Judge Thomas P. Griesa on 3/10/2011) (tro) (Entered: 03/14/2011)

03/21/2011 64 MANDATE of USCA (Certified Copy) as to 44 Notice of Appeal, filed by Brent A. Martin, Austin Capital Management GP Corp., Austin Capital Management, Ltd., James P. Owen, Charles W. Riley USCA Case Number 09-5199-cv....that the appeal is hereby WITHDRAWN pursuant to Rule 42.1 of the Local Rule. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 03/21/2011. (nd) (Entered: 03/21/2011)

03/24/2011 65 REPLY MEMORANDUM OF LAW in Support re: 54 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint .. Document filed by Austin Capital Management, Ltd., David C. Brown, Does 1-100, Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Keycorp, Brent A. Martin, Kyle McDaniel, James P. Owen, Charles W. Riley, Rothstein, Kass & Company (Cayman), Rothstein, Kass & Company, P.L.L.C., The Board of Trustees of the Texas Iron Worker' Pension Fund, The Texas Iron Workers' Pension Fund, Victory Capital Management, Inc., Robert Wagner. (Gordon, Harold) (Entered: 03/24/2011)

03/24/2011 66 DECLARATION of GEOFFREY J. RITTS in Support re: 54 MOTION to Dismiss the Consolidated Second Amended Class Action Complaint .. Document filed by Austin Capital Management GP Corp., Austin Capital Management, Ltd., David C. Brown, Does 1-100, Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Keycorp, Brent A. Martin, Kyle McDaniel, James P. Owen, Charles W. Riley, Victory Capital Management, Inc., Robert Wagner. (Attachments: # 1 Exhibit A, # 2 Exhibit B Part 1, # 3 Exhibit B Part 2, # 4 Exhibit B Part 3)(Gordon, Harold) (Entered: 03/24/2011)

04/26/2012 67 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/4/2012 before Judge Thomas P. Griesa. Court Reporter/Transcriber: Alena Lynch, (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 5/21/2012. Redacted Transcript Deadline set for 6/1/2012. Release of Transcript Restriction set for 7/30/2012.(McGuirk, Kelly) (Entered: 04/26/2012)

04/26/2012 68 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/4/12 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...(McGuirk, Kelly) (Entered: 04/26/2012)

05/08/2012 69 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/4/2012 before Judge Thomas P. Griesa. Court Reporter/Transcriber: Alena Lynch, (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 6/1/2012. Redacted Transcript Deadline set for 6/11/2012. Release of Transcript Restriction set for 8/9/2012.Filed In Associated Cases: 1:09-md-02075-TPG et al.(McGuirk, Kelly) (Entered: 05/08/2012)

05/08/2012

06/11/2012

06/11/2012

70 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/4/12 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: 1:09-md-02075-TPG et al.(McGuirk, Kelly) (Entered: 05/08/2012)

71 TRANSCRIPT of Proceedings re: CONFERENCE held on 4/4/2012 before Judge Thomas P. Griesa. Court Reporter/Transcriber: Alena Lynch, (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 7/5/2012. Redacted Transcript Deadline set for 7/16/2012. Release of Transcript Restriction set for 9/13/2012.Filed In Associated Cases: 1:09-md-02075-TPG et al.(McGuirk, Kelly) (Entered: 06/11/2012)

72 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/4/12 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: 1:09-md-02075-TPG et al.(McGuirk, Kelly) (Entered: 06/11/2012)

12/21/2012 73 OPINION: #102728 Counts 1 through 3 and counts 6 through 15 are dismissed. The motion to dismiss is denied with respect to counts 4 and 5. (Signed by Judge Thomas P. Griesa on 12/21/2012) (djc) Modified on 12/27/2012 (jab). (Entered: 12/21/2012)

01/04/2013 74 MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 . Document filed by Russell E. Burns, International Brotherhood of Teamsters Local 705 Pension Fund, Daniel Jackson, Laborers Local 17 Pension Fund, New Mexico Educational Retirement Board, Ronald Palmerick, Pension Trust Fund For Operating Engineers, Sheet Metal Workers' National Pension Fund, Michael J. Sullivan, Texas Treasury Safekeeping Trust Keeping, John Witt.(Rosenfeld, David) (Entered: 01/04/2013)

01/04/2013 75 MEMORANDUM OF LAW in Support re: 74 MOTION for Reconsideration re; 73

Memorandum & Opinion dated December 21, 2012 . MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 .. Document filed by Russell E. Burns, International Brotherhood of Teamsters Local 705 Pension Fund, Daniel Jackson, Laborers Local 17 Pension Fund, New Mexico Educational Retirement Board, Ronald Palmerick, Pension Trust Fund For Operating Engineers, Sheet Metal Workers' National Pension Fund, Michael J. Sullivan, Texas Treasury Safekeeping Trust Keeping, John Witt. (Attachments: # 1 Exhibit A - April 3, 2012 Letter to Court)(Rosenfeld, David) (Entered: 01/04/2013)

01/07/2013 76 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys for the parties, that pending the Court's decision on the plaintiffs' Motion for Partial Reconsideration of the Court's Opinion Dated December 21, 2012, Defendants shall not be required to answer those portions of the Second Amended Consolidated Class Action Complaint that were not dismissed by the Court in its Opinion dated December 21, 2012. SO ORDERED. (Signed by Judge Thomas P. Griesa on 1/07/2013) (ama) (Entered: 01/07/2013)

01/18/2013 77 MEMORANDUM OF LAW in Opposition re: 74 MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 . MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 .. Document filed by Austin Capital Management GP Corp., Austin Capital Management, Ltd., David C. Brown, Ronald J. Dugas, Jay W. Van Ert, David E. Friedman, Montgomery Green, Keycorp, Brent A. Martin, Kyle McDaniel, James P. Owen, Charles W. Riley, Robert Wagner. (Attachments: # 1 Exhibit A)(Gordon, Harold) (Entered: 01/18/2013)

01/23/2013 78 MOTION for Karen L. Handorf to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8168538. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Laborers Local 17 Pension Fund.(Handorf, Karen) (Entered: 01/23/2013)

01/24/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 78 MOTION for Karen L. Handorf to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8168538. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bwa) (Entered: 01/24/2013)

01/28/2013 79 REPLY MEMORANDUM OF LAW in Support re: 74 MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 . MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 .. Document filed by Russell E. Burns, David E. Friedman, International Brotherhood of Teamsters Local 705 Pension Fund, Daniel Jackson, Laborers Local 17 Pension Fund, New Mexico Educational Retirement Board, Ronald Palmerick, Pension Trust Fund For Operating Engineers, Sheet Metal Workers' National Pension Fund, Michael J. Sullivan, Texas Treasury Safekeeping Trust Keeping, John Witt. (Rosenfeld, David) (Entered: 01/28/2013)

03/18/2013 80 MOTION for Michelle Celia Yau to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-8332575. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Laborers Local 17 Pension Fund.(Yau, Michelle) (Entered: 03/18/2013)

03/19/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document

No. 80 MOTION for Michelle Celia Yau to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-8332575. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 03/19/2013)

04/16/2013 81 OPINION re: #103119 74 MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 . MOTION for Reconsideration re; 73 Memorandum & Opinion dated December 21, 2012 . filed by Ronald Palmerick, International Brotherhood of Teamsters Local 705 Pension Fund, Texas Treasury Safekeeping Trust Keeping, Pension Trust Fund For Operating Engineers, Laborers Local 17 Pension Fund, Daniel Jackson, Sheet Metal Workers' National Pension Fund, John Witt, Michael J. Sullivan, Russell E. Burns, New Mexico Educational Retirement Board. The entirety of plaintiff's complaint was dismissed with leave to re-plead. Accordingly, plaintiffs motion for reconsideration is denied.(Signed by Judge Thomas P. Griesa on 4/16/2013) (ama) Modified on 4/22/2013 (jab). (Entered: 04/17/2013)

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