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

US District Court Civil Docket as of 4/20/2012 Retrieved from the court on April 24, 2012

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

CIVIL DOCKET FOR CASE #: 1:08-cv-03095-LTS-RLE

Date Filed: 03/26/2008 Date Terminated: 03/02/2011 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

In Re: Citigroup Auction Rate Securities Litigation Assigned to: Judge Laura Taylor Swain Referred to: Magistrate Judge Ronald L. Ellis Lead case: 1:09-md-02043-LTS Member case: (View Member Case) Related Cases: 1:08-cv-05016-LTS

1:09-md-02043-LTS Cause: 15:78m(a) Securities Exchange Act

Lead Plaintiff

Dr. Michael A. Passidomo represented by Richard A Speirs Zwerling, Schachter & Zwerling (Madison Avenue) 41 Madison Avenue New York, NY 10010 2122233900 Fax: 2123715969 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Hillary Sobel Zwerling, Schachter & Zwerling (Madison Avenue) 41 Madison Avenue New York, NY 10010 (212) 223-3900 Fax: (212) 371-5969 Email: [email protected] ATTORNEY TO BE NOTICED

Justin Michael Tarshis Zwerling, Schachter & Zwerling (Madison Avenue) 41 Madison Avenue New York, NY 10010 (212) 223-3900 Fax: (212) 371-5969 Email: [email protected] ATTORNEY TO BE NOTICED

Paul Kleidman Zwerling, Schachter & Zwerling (Madison Avenue) 41 Madison Avenue New York, NY 10010 212-223-3900 Fax: 212-371-5969 Email: [email protected] ATTORNEY TO BE NOTICED

Robert S. Schachter Zwerling, Schachter & Zwerling (Madison Avenue) 41 Madison Avenue New York, NY 10010 212-223-3900 Fax: 212-371-5969 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

LHB Insurance Brokerage Inc. represented by Eduard Korsinsky on behalf of itself and all others similarly Zimmerman Levi & Korsinsky, LLP (NY) situated 39 Broadway, Suite 1601

New York, NY 10006 212-363-7500 Fax: 212-363-7171 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Joseph E. Levi Zimmerman, Levi & Korsinky, LLP 39 Broadway Suite 1440 New York, NY 10006 (212) 363-7500 Fax: (212) 363-7171 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Juan Eneas Monteverde Levi & Korsinsky, LLP 30 Broadway 15th Flr. New York, NY 10004 (212)-363-7500 Fax: (212)-363-7171 Email: [email protected] LEAD ATTORNEY

ATTORNEY TO BE NOTICED

Lewis T. LeClair McKool Smith, P.C. (TX) 300 Crescent Court Suite 1500 Dallas, TX 75201 (214) 978-4000 Fax: (214) 978-4044 PRO HAC VICE ATTORNEY TO BE NOTICED

Plaintiff

David Dignam represented by Lewis T. LeClair (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Plaintiff

Michael Puder represented by Robert S. Schachter Trustee of the MP Trust

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

Hillary Sobel (See above for address) ATTORNEY TO BE NOTICED

Justin Michael Tarshis (See above for address) ATTORNEY TO BE NOTICED

Lewis T. LeClair (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Paul Kleidman (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

BIV-NY

represented by Hillary Sobel (See above for address) ATTORNEY TO BE NOTICED

Justin Michael Tarshis (See above for address) ATTORNEY TO BE NOTICED

Lewis T. LeClair (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Paul Kleidman (See above for address) ATTORNEY TO BE NOTICED

Robert S. Schachter (See above for address) ATTORNEY TO BE NOTICED

V.

Consolidated Plaintiff

Wedgewood Tacoma LLC and

represented by Jerome M. Congress Jemstone LLC

Milberg LLP (NYC) individually and on behalf of all others

One Pennsylvania Plaza

similarly situated

New York, NY 10119 (212)-946-9373 Fax: (212)-273-4387 Email: [email protected] ATTORNEY TO BE NOTICED


Samuel A Stockhamer represented by Daniel Brett Rehns individually and on behalf of all others

Schoengold & Sporn, P.C.

similarly situated

19 Fulton Street Suite 408 New York, NY 10038 (212)964-0046 Fax: (212)267-8137 Email: [email protected] TERMINATED: 12/10/2009

Frank Rocco Schirripa Schoengold & Sporn, P.C. 19 Fulton Street Suite 408 New York, NY 10038 212-964-0046 Fax: 212-267-8137 Email: [email protected] TERMINATED: 02/24/2009

Joel Paul Laitman Schoengold & Sporn, P.C. 19 Fulton Street Suite 408

New York, NY 10038 (212) 964-0046 Fax: (212) 267-8137 Email: [email protected] TERMINATED: 12/17/2009 ATTORNEY TO BE NOTICED

Samuel P. Sporn Schoengold & Sporn, P.C. 19 Fulton Street Suite 408 New York, NY 10038 (212) 964-0046 Email: [email protected] ATTORNEY TO BE NOTICED


Lisa Swanson represented by Aaron Michael Sheanin individually and on behalf of all others

Girard Gibbs LLP

similarly situated

601 California Street, Suite 1400 San Francisco, CA 94108 (415)-981-4800 Fax: (415)-981-4846 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Stephen A. Weiss Seeger Weiss LLP 77 Water Street 26th Floor New York, NY 10005 (212) 584-0700 Fax: (212) 584-0799 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

A.J. De Bartolomeo Girard Gibbs & De Bartolomeo, LLP 160 Sansome Street San Francisco, CA 94104 (914) 981-4800 PRO HAC VICE ATTORNEY TO BE NOTICED

Christina H. C. Sharp Girard Gibbs LLP 601 California Street, Suite 1400

San Francisco, CA 94108 (415)-981-4800 Fax: (415)-981-4846 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Christopher Adam Seeger Seeger Weiss LLP 77 Water Street 26th Floor New York, NY 10005 212-584-0700 Fax: 212-584-0799 Email: [email protected] ATTORNEY TO BE NOTICED

Daniel Charles Girard Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco, CA 94108 (415)-981-4800 Fax: (415)-981-4846 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

David R. Buchanan Seeger Weiss LLP 77 Water Street 26th Floor New York, NY 10005 (212)-584-0700 Fax: (212)-584-0799 Email: [email protected] ATTORNEY TO BE NOTICED

Matthew L. Dameron Stueve Siegel Hanson, L.L.P. 460 Nichols Road Suite 200 Kansas City, MO 64112 (816)-714-7137 Fax: (816)-714-7101 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Norman E. Siegel Stueve Siegel Hanson LLP

460 Nichols Road Suite 200 Kansas, MO 64112 (816) 714-7112 Fax: (816) 714-7101 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED


Alice L. Stockhamer represented by Daniel Brett Rehns individually and on behalf of all others

(See above for address)

similarly situated

ATTORNEY TO BE NOTICED

Frank Rocco Schirripa (See above for address) TERMINATED: 02/24/2009

Joel Paul Laitman (See above for address) TERMINATED: 12/17/2009 ATTORNEY TO BE NOTICED

Samuel P. Sporn (See above for address) ATTORNEY TO BE NOTICED


Saed Ghalayini represented by Edith M. Kallas individually and on behalf of all others

Whatley, Drake & Kallas, LLC (NYC)

similarly situated

1540 Broadway, 37th Floor New York, NY 10036 (212) 447-7070 Fax: (212) 447-7077 Email: [email protected] ATTORNEY TO BE NOTICED

Joe R. Whatley , JR. Whatley, Drake & Kallas, LLC (NYC) 1540 Broadway, 37th Floor New York, NY 10036 (212)-447-7070 Fax: (212)-447-7077 Email: [email protected] ATTORNEY TO BE NOTICED

Joseph Peter Guglielmo Scott + Scott, L.L.P.( NYC) 500 Fifth Avenue 40th Floor

New York, NY 10110 (212) 223-6444 Fax: (212) 223-6444 Email: [email protected] TERMINATED: 12/15/2008

V.

Movant

David Dignam represented by Jonathan K. Levine Girard Gibbs LLP 601 California Street, Suite 1400 San Francisco, CA 94108 415-981-4800 Fax: 415-981-4846 Email: [email protected] ATTORNEY TO BE NOTICED

V.

Defendant

Citigroup, Inc. represented by Brad Scott Karp Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY) 1285 Avenue of the Americas New York, NY 10019 212-373-2384 Fax: 212-373-2384 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Charles Edward Davidow Paul, Weiss, Rifkind, Wharton & Garrison, LLP (DC) 2001 K Street, N.W. 5th Floor Washington, DC 20006 (202) 223-7300 Fax: (202) 223-7420 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel Paul, Weiss, Rifkind, Wharton & Garrison LLP (NY) 1285 Avenue of the Americas New York, NY 10019

212-373-3553 Fax: 212-492-0553 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Defendant

Citigroup Global Markets,Inc. represented by Brad Scott Karp (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Charles Edward Davidow (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Susanna Michele Buergel (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

V.

Consolidated Defendant

Citi Smith Barney

Consolidated Defendant

Citigroup Global Capital Markets, Inc.

Date Filed # Docket Text

03/25/2008 1 COMPLAINT against Citigroup, Inc., Citigroup Global Markets,Inc.. (Filing Fee $ 350.00, Receipt Number 645991)(jeh) (Entered: 03/28/2008)

03/26/2008 SUMMONS ISSUED as to Citigroup, Inc., Citigroup Global Markets,Inc. (jeh) (Entered: 03/28/2008)

03/26/2008 Magistrate Judge Frank Maas is so designated. (jeh) (Entered: 03/28/2008)

03/26/2008 Case Designated ECF. (jeh) (Entered: 03/28/2008)

03/26/2008 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Eduard Korsinsky for noncompliance with Section (3) of the S.D.N.Y. 3rd Amended Instructions For Filing An Electronic Case or Appeal and Section 1(d) of the S.D.N.Y. Procedures For Electronic Case Filing. E-MAIL the PDF for Document 2 Rule 7.1 Corporate Disclosure Statement, 1 Complaint to: [email protected] . (jeh) (Entered: 03/28/2008)

03/27/2008 2 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent.

Document filed by LHB Insurance Brokerage Inc.(jeh) (Entered: 03/28/2008)

04/01/2008

04/10/2008

04/17/2008

04/22/2008

3 ORDER FOR INITIAL PRETRIAL CONFERENCE:...If such a consent order is not filed within the time provided,... Initial Conference set for 5/23/2008 at 11:00 AM in Courtroom 21B, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. (Signed by Judge Colleen McMahon on 4/1/2008) (mde) (Entered: 04/01/2008)

4 ENDORSED LETTER addressed to Judges McMahon, Cedarbaum and Swain from Eduard Korsinsky dated 4/9/08 re: counsel requests that the LHB Insurance and Swanson class actions be permitted to proceed before Judge McMahon independent of the Finn action. ENDORSEMENT: As Paul Weiss is representing Citibank, this matter will have to be reassigned in any event. (Signed by Judge Colleen McMahon on 4/10/08) (djc) (Entered: 04/10/2008)

5 NOTICE OF CASE REASSIGNMENT to Judge Laura Taylor Swain. Judge Colleen McMahon is no longer assigned to the case. (rdz) (Entered: 04/22/2008)

6 ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 6/20/2008 at 03:00 PM in Courtroom 17C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 4/21/08) (djc) (Entered: 04/22/2008)

05/27/2008 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) andfor Appointment of Lead Counsel and for Consolidation . Document filed by Michael A. Passidomo. (Attachments: # 1 Text of Proposed Order, # 2 Certificate of Service)(Speirs, Richard) (Entered: 05/27/2008)

05/27/2008 8 MEMORANDUM OF LAW in Support re: 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel andfor Consolidation. MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation .. Document filed by Michael A. Passidomo. (Speirs, Richard) (Entered: 05/27/2008)

05/27/2008

05/27/2008

9 AFFIDAVIT of Richard A. Speirs, Esq. in Support re: 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation .. Document filed by Michael A. Passidomo. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Speirs, Richard) (Entered: 05/27/2008)

10 MOTION to Appoint Counsel Levi & Korsinsky, LLP . Document filed by LHB Insurance Brokerage Inc..(Monteverde, Juan) (Entered: 05/27/2008)

05/27/2008 11 MEMORANDUM OF LAW in Support re: 10 MOTION to Appoint Counsel Levi & Korsinsky, LLP .. Document filed by LHB Insurance Brokerage Inc.. (Attachments: # 1 Text of Proposed Order [proposed] Order)(Monteverde, Juan) (Entered: 05/27/2008)

05/27/2008

12 DECLARATION of Joseph Levi in Support re: 10 MOTION to Appoint Counsel Levi & Korsinsky, LLP .. Document filed by LHB Insurance Brokerage Inc.. (Monteverde, Juan) (Entered: 05/27/2008)

05/27/2008

13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s). Document filed by Wedgewood Tacoma LLC and Jemstone LLC.

(Attachments: # 1 Text of Proposed Order)(Congress, Jerome) (Entered: 05/27/2008)

05/27/2008 14 MEMORANDUM OF LAW in Support re: 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s).. Document filed by Wedgewood Tacoma LLC and Jemstone LLC. (Congress, Jerome) (Entered: 05/27/2008)

05/27/2008 15 DECLARATION of Jerome M. Congress in Support re: 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s).. Document filed by Wedgewood Tacoma LLC and Jemstone LLC. (Attachments: # 1 Exhibit A - Certifications, # 2 Exhibit B - First Notice, # 3 Exhibit C - Milberg LLP Resume)(Congress, Jerome) (Entered: 05/27/2008)

05/27/2008 16 MOTION to Appoint Counsel., MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s)., MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. Document filed by David Dignam. (Attachments: # 1 Text of Proposed Order)(Levine, Jonathan) (Entered: 05/27/2008)

05/27/2008 17 MEMORANDUM OF LAW in Support re: 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s).. Document filed by David Dignam. (Levine, Jonathan) (Entered: 05/27/2008)

05/27/2008 18 DECLARATION of Jonathan K. Levine in Support re: 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s).. Document filed by David Dignam. (Levine, Jonathan) (Entered: 05/27/2008)

06/11/2008 19 ORDER SETTING BRIEFING AND HEARING SCHEDULE FOR CONSOLIDATION APPOINTMENT OF LEAD PLAINTIFF, AND APPOINTMENT OF LEAD COUNSEL MOTIONS, any and all papers in opposition, with a courtesy copy provided for the Chambers to be filed no later than 6/16/08. Any and all reply papers, with a courtesy copy to Chambers, no later than 6/20/08. A hearing concerning the appointment of a lead plaintiff set for 6/24/08, at 12:45 pm in Courtroom 17C, and as further set forth in this document. Set Deadlines/Hearing as to 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s)., 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s)., 10 MOTION to Appoint Counsel Levi & Korsinsky, LLP ., 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) andfor Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation. :( Responses due by 6/16/2008. Replies due by 6/20/2008. Motion Hearing set for 6/24/2008 at 12:45 PM in Courtroom 17C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 6/11/08) (cd) (Entered: 06/11/2008)

06/13/2008 20 NOTICE OF APPEARANCE by Brad Scott Karp on behalf of Citigroup, Inc., Citigroup Global Markets,Inc. (Karp, Brad) (Entered: 06/13/2008)

06/13/2008

06/13/2008

06/13/2008

21 NOTICE OF APPEARANCE by Charles Edward Davidow on behalf of Citigroup, Inc., Citigroup Global Markets,Inc. (Davidow, Charles) (Entered: 06/13/2008)

22 NOTICE OF APPEARANCE by Charles Edward Davidow on behalf of Citigroup, Inc., Citigroup Global Markets,Inc. (Davidow, Charles) (Entered: 06/13/2008)

23 NOTICE OF APPEARANCE by Susanna Michele Buergel on behalf of Citigroup, Inc., Citigroup Global Markets,Inc. (Buergel, Susanna) (Entered: 06/13/2008)

06/13/2008 24 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Citigroup Global Markets Holdings Inc. and Citigroup Inc. as Corporate Parent. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc..(Karp, Brad) (Entered: 06/13/2008)

06/13/2008

33 CERTIFIED TRUE COPY OF MDL ORDER FROM THE MDL PANEL WITHDRAWING TRANSFER...that the motion, pursuant to 28 U.S.C. 1407(c), for transfer of the action to the United States District Court - District of Minnesota, be, and the same hereby is withdrawn. (Signed by MDL Panel on 06/11/2008) (jeh) (jeh). (Entered: 06/19/2008)

06/16/2008

06/16/2008

25 STIPULATION AND ORDER that Paul, Weiss, Rifkind, Wharton & Garrison LLP is authorized to accept on behalf of Defendants, and they hereby do accept service of the summons and complaint in this action without prejudice. Defendants do not waive any defenses, objections or arguments except as to sufficiency of service of process. Defendants shall not be required to answer or otherwise respond to, and are hereby expressly relieved from answering or otherwise responding to, the complaint in this action. Plaintiff shall have 60 days from the entry of the order pursuant to the PSLRA appointing Lead Plaintiff(s) and Lead Counsel to file a consolidated amended complaint. Defendants' last day to move, answer or otherwise respond shall be extended to and including the date 60 days after the filing of the Complaint. Plaintiff shall have 60 days from the date such motion is served to serve opposition papers. Defendants shall have 30 days from the date opposition papers are served by Plaintiff to serve reply papers. (Signed by Judge Laura Taylor Swain on 6/16/08) (dle) (Entered: 06/16/2008)

26 MEMORANDUM OF LAW in Opposition re: 10 MOTION to Appoint Counsel Levi & Korsinsky, LLP ., 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s)., 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) andfor Appointment of Lead Counsel and for Consolidation ., 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s).. Document filed by Samuel A Stockhamer. (Schirripa, Frank) (Entered: 06/16/2008)

06/16/2008

27 DECLARATION of Joel P. Laitman in Opposition re: 10 MOTION to Appoint Counsel Levi & Korsinsky, LLP ., 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s)., 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel andfor Consolidation. MOTION to Appoint Dr. Michael A. Passidomo to serve as lead

plaintiff(s) and for Appointment of Lead Counsel and for Consolidation ., 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s).. Document filed by Samuel A Stockhamer. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Schirripa, Frank) (Entered: 06/16/2008)

06/16/2008 28 MEMORANDUM OF LAW in Support re: 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel andfor Consolidation. MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . And in Opposition to Competing Motions . Document filed by Michael A. Passidomo. (Speirs, Richard) (Entered: 06/16/2008)

06/16/2008 29 DECLARATION of Richard A. Speirs in Support re: 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation .. Document filed by Michael A. Passidomo. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Speirs, Richard) (Entered: 06/16/2008)

06/16/2008 30 RESPONSE to Motion re: 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s).. Document filed by David Dignam. (Levine, Jonathan) (Entered: 06/16/2008)

06/16/2008 31 MEMORANDUM OF LAW in Opposition re: 10 MOTION to Appoint Counsel Levi & Korsins/cy, LLP ., 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s)., 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) andfor Appointment of Lead Counsel and for Consolidation .. Document filed by Wedgewood Tacoma LLC and Jemstone LLC. (Bronson, Kent) (Entered: 06/16/2008)

06/16/2008 32 DECLARATION of Kent A. Bronson in Opposition re: 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation. MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation ., 10 MOTION to Appoint Counsel Levi & Korsins/cy, LLP ., 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s).. Document filed by Wedgewood Tacoma LLC and Jemstone LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O)(Bronson, Kent) (Entered: 06/16/2008)

06/19/2008 34 ENDORSED LETTER addressed to Judge Laura T. Swain from Kent A. Bronson dated 6/18/2008 re: Requesting leave to file a single reply memorandum of law of no more than 15 pages in further support of the Wedgewood Movants' motion. ENDORSEMENT: The request is granted. (Signed by Judge Laura Taylor Swain on

6/18/2008) (jpo) (Entered: 06/19/2008)

06/20/2008 35 REPLY to Response to Motion re: 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s).. Document filed by David Dignam. (Levine, Jonathan) (Entered: 06/20/2008)

06/20/2008 36 REPLY to Response to Motion re: 10 MOTION to Appoint Counsel Levi & Korsinsky, LLP ., 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s)., 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) andfor Appointment of Lead Counsel and for Consolidation ., 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s). Defendants' Response to the Stockhamer Plaintiffs' Memorandum of Law in Opposition to Motions for Consolidation, Appointment of Lead Plaintiff and Selection of Lead Counsel and in Support of Coordination . Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Davidow, Charles) (Entered: 06/20/2008)

06/20/2008 37 REPLY MEMORANDUM OF LAW in Support re: 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s). And In Opposition To Competing Motions . Document filed by Wedgewood Tacoma LLC and Jemstone LLC. (Bronson, Kent) (Entered: 06/20/2008)

06/20/2008 38 REPLY AFFIDAVIT of Kent A. Bronson in Support re: 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s).. Document filed by Wedgewood Tacoma LLC and Jemstone LLC. (Attachments: # 1 Exhibit A (part 1 of 2), # 2 Exhibit A (part 2 of 2), # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F)(Bronson, Kent) (Entered: 06/20/2008)

06/20/2008 39 REPLY MEMORANDUM OF LAW in Support re: 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . And in Reply to Competing Motions . Document filed by Michael A. Passidomo. (Speirs, Richard) (Entered: 06/20/2008)

06/20/2008 40 DECLARATION of Richard A. Speirs in Support re: 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation .. Document filed by Michael A. Passidomo. (Attachments: # 1 Exhibit A)(Speirs, Richard) (Entered: 06/20/2008)

06/25/2008 41 ORDER CONSOLIDATING CASES, APPOINTING LEAD PLAINTIFF AND APPROVING SELECTION OF LEAD PLAINTIFF'S COUNSEL: Dr. Michael A. Passidomo is appointed Lead Plaintiff. Zwerling, Schachter & Zwerling LLP shall serve as Lead Counsel for all plaintiffs in the Consolidated Actions. Zwerling, Schachter & Zwerling LLP shall also serve as interim class counsel with regard to the

non-PSLRA claims in the Consolidated Actions. All other applications for appointment as lead (or co-lead) Plaintiff are denied. The motions for consolidation are granted and the above-captioned actions are hereby consolidated for all purposes pursuant to F.R.C.P. 42(a). A Master File is hereby established for the consolidation proceedings in the Consolidated Actions. The Master File shall be 08-cv-3095. The Lead Plaintiff, shall file and serve a Consolidated Amended Complaint for the Consolidated Actions and any actions subsequently consolidated with them, within sixty (60) days of the date of this Order. Defendants shall answer or otherwise respond to the Consolidated Amended Complaint within sixty (60) days after service thereof. If Defendants move to dismiss the Consolidated Amended Complaint, opposition papers shall be served and filed within forty-five days after the filing and service of such motion, and any reply papers shall be served and filed within thirty (30) days after the filing and service of plaintiffs' opposition papers. This Order resolves docket entries nos. 7, 10, 13 and 16 in case no. 08-cv-3095; docket entry no. 9 in case no. 08-cv-3139; docket entry no. 5 in case no. 08-cv-3904; and docket entry no. 5 in case no. 08- cv-4360.(Signed by Judge Laura Taylor Swain on 6/25/2008) Filed In Associated Cases: 1:08-cv-03095-LTS, 1:08-cv-03139-LTS, 1:08-cv-03904-LTS, 1:08-cv-04360- LTS, 1:08-cv-05016-LTS(tve) (Entered: 06/25/2008)

08/25/2008 42 CERTIFICATE OF SERVICE of Lead Plaintiff's Consolidated Amended Complaint served on Citigroup Inc., Citigroup Global Markets Inc. and Smith Barney on August 25, 2008. Service was made by Mail. Document filed by Michael A. Passidomo. (Schachter, Robert) (Entered: 08/25/2008)

08/26/2008 43 LEAD PLAINTIFF'S CONSOLIDATED AMENDED COMPLAINT amending 1 Complaint against Citi Smith Barney, Citigroup, Inc., Citigroup Global Markets,Inc.Document filed by Michael A. Passidomo. Related document: 1 Complaint.(dle) (rdz). (Entered: 08/26/2008)

09/09/2008 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Richard Speirs and Robert Schachter for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 43 Amended Complaint to: [email protected] . (dle) (Entered: 09/09/2008)

09/16/2008 44 LETTER addressed to Judge Laura T. Swain and Judge Barbara S. Jones from Robert Schachter dated 9/5/08 re: response to 9/4/08 letter by Kahn Gauthier Swick LLC. Document filed by Michael A. Passidomo.(dle) (Entered: 09/17/2008)

10/10/2008 46 CERTIFIED TRUE COPY OF MDL ORDER FROM THE MDL PANEL DENYING TRANSFER....that the motion, pursuant to 28 U.S.C. 1407(c), for transfer of the action to the United States District Court - Southern District of New York, be, and the same hereby is denied. (Signed by MDL Panel on 10/9/08) (laq) (Entered: 10/20/2008)

10/16/2008 45 STIPULATION AND ORDER IT IS HEREBY STIPULATED AND AGREED by the undersigned counsel for each of the parties herein that the page limit for defendants Citigroup Inc.' s and Citigroup Global Markets, Inc.'s Memorandum of Law in Support of Their Motion To Dismiss the Consolidated Amended Complaint is enlarged to 32 pages. (Signed by Judge Laura Taylor Swain on 10/16/08) (mme) (Entered: 10/16/2008)

10/24/2008 47 MOTION to Dismiss. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc..(Davidow, Charles) (Entered: 10/24/2008)

10/24/2008 48 MEMORANDUM OF LAW in Support re: 47 MOTION to Dismiss.. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Davidow, Charles) (Entered: 10/24/2008)

10/24/2008 49 DECLARATION of Charles E. Davidow in Support re: 47 MOTION to Dismiss.. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Davidow, Charles) (Entered: 10/24/2008)

10/31/2008 65 STIPULATION AND ORDER. Exhibits 3 through 7 to the declaration shall be removed from the docket for the above captioned action and replaced with the versions attached hereto. (Signed by Judge Laura Taylor Swain on 10/31/08) (djc) (Entered: 10/31/2008)

11/03/2008 66 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial ( includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Frank Maas. (Signed by Judge Laura Taylor Swain on 11/3/08) (tro) (Entered: 11/05/2008)

12/01/2008 68 NOTICE OF REASSIGNMENT OF A REFERRAL TO ANOTHER MAGISTRATE JUDGE. The referral in the above entitled action has been reassigned to Magistrate Judge Ronald L. Ellis, for for General Pretrial ( includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Magistrate Judge Frank Maas no longer referred to the case. (laq) (Entered: 12/08/2008)

12/05/2008 67 STIPULATION AND ORDER. The page limit for Plaintiff's Memorandum of Law in Opposition to Defendants' motion to dismiss the consolidated amended complaint is enlarged to 37 pages. (Signed by Judge Laura Taylor Swain on 12/5/08) (djc) (Entered: 12/08/2008)

12/08/2008 69 ORDER. This Order vacates the Stipulation that the undersigned So Ordered on October 31, 2008, docket entry no. 65. The Clerk of Court is respectfully requested to remove docket entries nos. 50 through 64. Defendants' counsel is directed to re-file the Declaration in support of Defendants' Motion to Dismiss with redacted versions of the exhibits that comply with the Federal Rule of Civil Procedure 5.2 and with Section 21 of the ECF Rules and Instructions, which is available on the website for the USDC for the SDNY. In light of the voluminous nature of the exhibits, counsel is directed to contact CM/ECF Administrator Martine Jocelyn at 212-805-5346 to coordinate filing. (Signed by Judge Laura Taylor Swain on 12/5/08) (djc) (Entered: 12/08/2008)

12/08/2008 CERTIFICATE of Clerk, ***STRICKEN DOCUMENTS. Deleted document numbers [50, 51, 52, 53, 54, 55, 56, 57, 58, 59, 60, 61, 62, 63 and 64.] from the case record. The documents were stricken from this case pursuant to [Doc #69] Order. (ad) (Entered: 12/23/2008)

12/10/2008 70 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - NOTICE of of Withdrawal of Joseph P. Guglielmo. Document filed by Saed Ghalayini, Saed Ghalayini. Filed In Associated Cases: 1:08-cv-03095-LTS-RLE, 1:08-cv-05016- LTS(Guglielmo, Joseph) Modified on 12/12/2008 (jar). (Entered: 12/10/2008)

12/11/2008 71 MEMORANDUM OF LAW in Opposition re: 47 MOTION to Dismiss.. Document filed by Michael A. Passidomo. (Schachter, Robert) (Entered: 12/11/2008)

12/11/2008 72 DECLARATION of Robert S. Schachter in Opposition re: 47 MOTION to Dismiss.. Document filed by Michael A. Passidomo. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Schachter, Robert) (Entered: 12/11/2008)

12/11/2008

12/15/2008

12/22/2008

01/06/2009

***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Joseph Guglielmo to E-MAIL Document No. 70 Notice of Withdrawal to [email protected] . This document is not filed via ECF. (jar) (Entered: 12/12/2008)

73 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL of Joseph P. Guglielmo. ENDORSEMENT: The Clerk of Court is requested to amend the records of the Court accordingly. Attorney Joseph Peter Guglielmo terminated. (Signed by Judge Laura Taylor Swain on 12/12/08) (tro) (Entered: 12/15/2008)

74 DECLARATION of Charles E. Davidow in Support re: 47 MOTION to Dismiss.. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28)(Davidow, Charles) (Entered: 12/22/2008)

75 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undesigned counsel for the parties herein, that Defendants' reply in further support of the Motion to Dismiss shall be filed no later than January 26, 2009. (Signed by Judge Laura Taylor Swain on 1/5/2009) Filed In Associated Cases: 1:08- cv-03095-LTS-RLE, 1:08-cv-03139-LTS, 1:08-cv-03904-LTS, 1:08-cv-04360-LTS, 1:08-cv-05016-LTS(jfe) (Entered: 01/07/2009)

01/20/2009 76 STIPULATION AND ORDER It is hereby stipulated and agreed that the page limit for defendants Citigroup Inc.'s and Citigroup Global Markets Inc.'s Reply Memorandum of Law in Support of Their Motion to Dismiss the Consolidated Amended Complaint should be enlarged to 19 pages. (Signed by Judge Laura Taylor Swain on 1/20/09) (mme) (Entered: 01/20/2009)

01/23/2009 77 REPLY MEMORANDUM OF LAW in Support re: 47 MOTION to Dismiss.. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Davidow, Charles) (Entered: 01/23/2009)

02/24/2009 78 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF FRANK R. SCHIRRIPA AS ATTORNEY OF RECORD: Frank R. Schirripa is no longer an attorney of record for plaintiffs Samuel A. Stockhamer and Alice L. Stockhamer in this action. Attorney Frank Rocco Schirripa terminated. (Signed by Judge Laura Taylor Swain on 2/24/2009) (jpo) (Entered: 02/24/2009)

06/12/2009

CASE ACCEPTED AS RELATED. Create association to 1:09-md-02043-LTS. (rdz) (Entered: 06/12/2009)

06/12/2009

CONSOLIDATED MDL CASE: Create association to 1:09-md-02043-LTS.. (rdz) (Entered: 06/12/2009)

06/12/2009 79 CERTIFIED TRUE COPY OF CONDITIONAL MDL TRANSFER IN ORDER

FROM THE MDL PANEL... that pursuant to 28 U.S.C. 1407, the action(s) listed... and pending... be, and the same hereby are, transferred to the Southern District of New York and, with consent of that court, assigned to the Honorable Laura Taylor Swain, for coordinated or consolidated pretrial proceedings with the actions pending in that district... (Signed by MDL Panel on 6/10/09) (rdz) (Entered: 06/12/2009)

08/13/2009 80 ORDER The Clerk of Court is respectfully requested to notify counsel in cases 09 civ. 5406 and 09 civ. 6553, which have recently been transferred to this Court and the docket of the undersigned by order of the M.D.L. Panel, for coordinated or consolidated pretrial proceedings, of the consolidation order docketed as docket entry no. 41 in case no. 08 civ. 3095, by docketing a copy of that order in 09 civ. 5406 and 09 civ. 6553, and by mailing copies of that order to the attorneys in those actions who have not yet registered with CM/ECF. All counsel in the newly transferred cases who have been admitted to this Court, either for all purposes or Pro hac vice for purposes of one of these actions, shall complete and file a CM/ECF attorney registration form. A motion to dismiss the consolidated amended complaint in action 08 civ. 3095 is currently under advisement and counsel in the newly-transferred cases are directed to meet with counsel for lead plaintiff and for defendants in that consolidated action, and all counsel are directed to appear for a conference on September 24, 2009, at 11:00 a.m. before the undersigned. By September 17, 2009, counsel must file a Joint Pre-Conference Statement addressing succinctly the parties' positions as to the following issues: the status of the transferred cases, the status of document retention agreements, whether there is any reason why the lead plaintiff and counsel appointed in 08 civ. 3095 should not continue to function in those capacities, including with respect to the additional cases that have been transferred to this Court for pretrial proceedings, whether any further amendments to pleadings are contemplated, and whether the entry of any further procedural orders is necessary or appropriate at this time. A courtesy copy of the Joint Pre-Conference Statement must be provided for Chambers. SO ORDERED. ( Status Conference set for 9/24/2009 at 11:00 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 8/13/2009) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-02975-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406-LTS, 1:09-cv-06553-LTS(jmi) (Entered: 08/13/2009)

08/25/2009 Received returned mail Mail was addressed to Jon A. Santangelo Stinson Morrison Hecker 100 S. Fourth Street Suite 700 St. Louis, MO 63102 and was returned for the following reason(s): Return To Sender. (jab) (Entered: 08/25/2009)

08/31/2009 81 NOTICE of of Withdrawal of Joel P. Laitman as Attorney of Record. Document filed by Samuel A Stockhamer, Alice L. Stockhamer. (Laitman, Joel) (Entered: 08/31/2009)

08/31/2009 82 NOTICE of Withdrawal of Daniel B. Rehns as Attorney of Record. Document filed by Samuel A Stockhamer, Alice L. Stockhamer, Samuel A. Stockhamer, Alice L. Stockhamer. Filed In Associated Cases: 1:08-cv-03095-LTS-RLE, 1:08-cv-03139- LTS, 1:08-cv-03904-LTS, 1:08-cv-04360-LTS, 1:08-cv-05016-LTS(Rehns, Daniel) (Entered: 08/31/2009)

09/11/2009 83 OPINION AND ORDER:#98021 For the foregoing reasons, Defendants' motion to dismiss the Complaint is granted, without prejudice to Plaintiffs ability to file an amended complaint. Any amended complaint must be filed and served by October 1, 2009, with a courtesy copy provided for Chambers. Failure to file and serve a timely amended pleading will result in the entry of judgment, without further advance notice to the parties to these consolidated putative class actions, dismissing Counts One and

Two with prejudice, dismissing Counts Four and Five as preempted by SLUSA insofar as they relate to "covered securities" and dismissing Counts Three, Four and Five for lack of subject matter jurisdiction insofar as they assert claims under the Investment Advisers Act or state law claims relating to securities that are not "covered" within the meaning of SLUSA. This Opinion resolves docket entry no. 47. (Signed by Judge Laura Taylor Swain on 9/11/2009) (jfe) Modified on 9/14/2009 (eef). (Entered: 09/11/2009)

09/14/2009 84 ORDER. The above-captioned cases, which were transferred to this District by order of the Judicial Panel on Multidistrict Litigation for pretrial proceedings coordinated with those in the class actions previously consolidated under the caption In re Citigroup Auction Rate Securities Litigation, Master File No. 08 Civ. 3095(LTS)(FM) and Finn v. Smith Barney, 08 Civ. 2975 (LTS)(KNF), do not assert class action claims and are not subject to consolidation pursuant to the automatic provisions of the consolidation order entered on June 25, 2008 in Master File No. 08 Civ 3095. Appropriate methodologies for the coordination of pretrial proceedings and noticing in the above-captioned cases in In re Citigroup Auction Rate Securities Litigation should be suggested in the Joint Pre-Conference statement that the parties have been directed to file by September 17, 2009. That statement should also address whether further amendments to pleadings or additional motions are contemplated, and whether the entry of any further procedural orders is necessary or appropriate at this time. The Clerk of Court is respectfully requested to docket this order under the above-captioned case numbers and in Master File No. 08 Civ. 3095. (Signed by Judge Laura Taylor Swain on 9/11/09) (rjm) (Entered: 09/14/2009)

09/17/2009 85 STATUS REPORT. Joint Pre-Conference Statement Document filed by Michael A. Passidomo. (Attachments: # 1 Text of Proposed Order annexed to Joint Pre- Conference Statement)(Schachter, Robert) (Entered: 09/17/2009)

09/18/2009 86 STATUS REPORT. Joint Pre-Conference Statement (corrected) Document filed by Michael A. Passidomo. (Attachments: # 1 Text of Proposed Order annexed to Joint Pre-Conference Statement (corrected))(Schachter, Robert) (Entered: 09/18/2009)

09/21/2009 87 LETTER addressed to Judge Laura T. Swain from Robert L. Herskovits dated 8/27/09 re: We are counsel for plaintiff K-V Pharmaceutical Company, in which KV has asserted an individual claim for losses suffered in connection with its purchase of auction rate securities. For the purpose of this letter alone, I am also writing on behalf of American Eagle Outfitters, Inc., which similarly has asserted an individual claim for losses it suffered in connection with its purchase of auction securities. Both of these individual cases were pending in other districts until they were transferred by the MDL Panel to Your Honor for coordination of pretrial discovery. (mro) (Entered: 09/21/2009)

09/21/2009 88 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Hillary Sobel dated 9/17/2009 re: Counsel for plaintiff writes requesting an extension of time until 10/15/2009 to file a consolidated amended complaint. ENDORSEMENT: The request is granted. SO ORDERED. (Signed by Judge Laura Taylor Swain on 9/21/2009) (tve) (Entered: 09/21/2009)

09/24/2009 89 PRETRIAL ORDER NO. 1: To the extent that the Court's Order dated June 25, 2008, addresses the issues herein and does not conflict with this Order, the June 25th Order remains in effect. In all other respects, this Order supplements the Court's June 25th

Order. The following actions (the "Coordinated Actions") are coordinated, pursuant the order of the Judicial Panel on Multidimict litigation dated June 10, 2009, for pre-trial proceedings only, as set forth herein. (Signed by Judge Laura Taylor Swain on 9/24/2009) (jpo) (Entered: 09/24/2009)

10/09/2009 91 STIPULATION AND ORDER: Plaintiffs' time to file and serve their response to defendant's Supplemental Memorandum of Law in Further Support of its Motion to Dismiss the complaint shall be extended until 10/16/09. (Signed by Judge Laura Taylor Swain on 10/9/09) (dle) (Entered: 10/15/2009)

10/13/2009 90 ORDER. The Clerk of Court is hereby directed to enter this Court's September 24, 2009, amended consolidation order in the above-caption cases (docket entry no. 89 in no. 08 Civ. 3095) on the docket of case no. 09 Civ. 8501, and the Lead Plaintiff is directed to take the actions contemplated by paragraph 7 of that order. The newly-referred matter is hereby coordinated pursuant to paragraph 2 of the September 24, 2009, amended consolidation order. Defendants in the matter of Ocwen Financial Com. et at v. Citigroup Global Markets, Inc., are directed to answer or move with respect to the Ocwen Financial complaint by November 6, 2009. Plaintiffs and Defendants in the Ocwen Financial action are directed to prepare and file by November 13, 2009, a joint statement addressing succinctly the parties' positions as to the following issues: the status of the transferred case, the status of document retention agreements, whether any further amendments to pleadings are contemplated, and whether the entry of any further procedural orders is necessary Or appropriate at this time. A courtesy copy of the joint statement must be provided for Chambers. A pretrial conference in all of the coordinated and consolidated actions is currently scheduled for January 22, 2010, at 11:30 a.m. in Courtroom 11 C, 500 Pearl Street, New York, New York 10007. (Pretrial Conference set for 1/22/2010 at 11:30 AM in Courtroom 11C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 10/13/09) Filed In Associated Cases: 1:09-md-02043- LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-08501-LTS(rjm) (Entered: 10/14/2009)

10/15/2009 92 SECOND CONSOLIDATED AMENDED COMPLAINT amending 43 Amended Complaint against Citi Smith Barney, Citigroup Global Capital Markets, Inc., Citigroup, Inc., Citigroup Global Markets,Inc.. Document filed by Michael A. Passidomo. Related document: 43 Amended Complaint filed by Michael A. Passidomo.(dle) (Entered: 10/16/2009)

10/22/2009 93 PRETRIAL CONFERENCE ORDER: Pretrial Conference set for 11/3/2009 at 10:00 AM in Courtroom 18D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Ronald L. Ellis. (Signed by Magistrate Judge Ronald L. Ellis on 10/22/09) (dle) (Entered: 10/23/2009)

10/23/2009 94 ORDER THAT the conference scheduled to be held before Hon. Ronald L. Ellis on November 3, 2009, is hereby ADJOURNED without date. SO ORDERED (Signed by Magistrate Judge Ronald L. Ellis on 10/23/2009) (jmi) (Entered: 10/26/2009)

10/26/2009 95 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties, that: (1) Defendants' last day to move, answer or otherwise respond to the Complaint shall be extended to, and including, December 3, 2009; (2) In the event Defendants move to dismiss the Complaint: (a) Lead Plaintiffs last day to oppose the motion shall be January 21, 2010; and (b) Defendants' last day to reply shall be February 16, 2010. (Motions due by

12/3/2009., Replies due by 2/16/2010., Responses due by 1/21/2010) (Signed by Judge Laura Taylor Swain on 10/23/09) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(rjm) (Entered: 10/26/2009)

10/26/2009 Set Deadlines/Hearings:Citi Smith Barney answer due 12/3/2009; Citigroup Global Capital Markets, Inc. answer due 12/3/2009; Citigroup, Inc. answer due 12/3/2009; Citigroup Global Markets,Inc. answer due 12/3/2009. (rjm) (Entered: 10/26/2009)

11/02/2009 96 NOTICE OF VOLUNTARY DISMISSAL OF PLAINTIFF OCWEN FINANCIAL CORPORATION: Pursuant to F.R.C.P. 41(a)(l)(A)(i), plaintiff Ocwen Financial Corporation ("Ocwen"), by its undersigned counsel, hereby gives notice that Ocwen's claims in the above captioned action are voluntarily dismissed with prejudice. The claims of plaintiffs Bankruptcy Management Solutions, Inc. and BMS Holdings, Inc. are not dismissed. (Signed by Judge Laura Taylor Swain on 11/2/2009) (jpo) Modified on 11/4/2009 (jpo). (Entered: 11/02/2009)

11/06/2009 97 STIPULATION AND ORDER, Citigroup Global Markets,Inc. answer due 12/7/2009. (Signed by Judge Laura Taylor Swain on 11/6/09) (djc) (Entered: 11/16/2009)

12/03/2009 98 MOTION to Dismiss the Second Consolidated Amended Complaint . Document filed by Citigroup, Inc., Citigroup Global Markets,Inc..(Davidow, Charles) (Entered: 12/03/2009)

12/03/2009 99 MEMORANDUM OF LAW in Support re: 98 MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Davidow, Charles) (Entered: 12/03/2009)

12/03/2009 100 DECLARATION of Charles E. Davidow in Support re: 98 MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Davidow, Charles) (Entered: 12/03/2009)

12/07/2009 101 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for each of the parties, that the Defendant's last day to move, answer or otherwise respond to the Complaint shall be extended for 30 days. Accordingly, the Defendant's response shall be due on or before January 4, 2010. (Responses due by 1/4/2010) (Signed by Judge Laura Taylor Swain on 12/7/09) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(rjm) (Entered: 12/08/2009)

12/10/2009 102 MEMO ENDORSEMENT re: Notice of Withdrawal. Daniel B. Rehns is withdrawn as attorney of record for consolidated plaintiff Samual A. Stockhammer. Attorney Daniel Brett Rehns terminated. ENDORSEMENT: SO ORDERED. (Signed by Judge Laura Taylor Swain on 12/9/09) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(db) (Entered: 12/10/2009)

12/14/2009 103 NOTICE of Withdrawal as attorney of record for Consolidated Plaintiff Samuel A. Stockhamer. Document filed by Samuel A Stockhamer. (Laitman, Joel) (Entered: 12/14/2009)

12/17/2009 104 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL. PLEASE TAKE NOTICE that Joel Paul Laitman hereby withdraws his appearance as attorney of record for Consolidated Plaintiff Samuel A. Stockhamer in the above-captioned action and requests that no further notices be given to or required of him in the action, and

that no documents or other pleadings in the action be served upon him due to the fact that Joel Paul Laitman is no longer affiliated with the firm Schoengold & Sporn P.C. The Plaintiff herein is represented by the Schoengold & Sporn firm, so there will be no prejudice resulting from this withdrawal. Attorney Joel Paul Laitman terminated. (Signed by Judge Laura Taylor Swain on 12/15/09) Filed In Associated Cases: 1:09- md-02043-LTS, 1:08-cv-03095-LTS-RLE(rjm) (Entered: 12/17/2009)

01/04/2010 105 STIPULATION AND ORDER, that the Defendant's last day to move, answer or otherwise respond to the Complaint shall be extended for 30 days. Accordingly, the Defendant's response shall be due on or before February 3, 2010. (Signed by Judge Laura Taylor Swain on 1/4/10). (pl) (Entered: 01/04/2010)

01/13/2010 106 ORDER OF DISCONTINUANCE: The attorneys for the parties have advised the Court that this action has been or will be settled. Accordingly, it is hereby ORDERED that this action is discontinued without costs to either party, and without prejudice to restoration of the action to the calendar of the undersigned ifsettlement is not achieved within thirty (30) days of the date of this Order. If a party wishes to reopen this matter or extend the time within which it may be settled, the party must make a letter application before this thirty (30)-day period expires. The parties are advised that if they wish the Court to retain jurisdiction in this matter for purposes of enforcing any settlement agreement, they shall submit the settlement agreement to the Court to be so ordered. (Signed by Judge Laura Taylor Swain on 1/13/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-06553-LTS(db) (Entered: 01/13/2010)

01/14/2010 107 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Hillary Sobel dated 1/14/10 re: Request for an adjournment of the 1/22/10 status conference. ENDORSEMENT: The conference is adjourned to May 18, 2010, at 2:00 pm. SO ORDERED. (Status Conference set for 5/18/2010 at 02:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 1/14/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(db) (Entered: 01/14/2010)

01/20/2010 108 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Hillary Sobel dated 1/19/10 re: We write on behalf of Lead Plaintiff Michael Passidomo ("Plaintiff) in the In re Citigroup Auction Rate Securities Litigation, 1:08-CV-03095-LTS, 09- MD-2043-LTS... Plaintiff seeks a five (5) page extension of the page limit to thirty (30) pages. Defendants' counsel does not object to the extension. Plaintiff has made no previous request for this extension. ENDORSEMENT: The request is granted. (Signed by Judge Laura Taylor Swain on 1/19/10) Filed In Associated Cases: 1:09-md-02043- LTS, 1:08-cv-03095-LTS-RLE(rjm) (Entered: 01/20/2010)

01/20/2010 ***DELETED DOCUMENT. Deleted document number 109 Endorse Letter. The document was incorrectly filed in this case. (tve) (Entered: 01/26/2010)

01/21/2010 111 MEMORANDUM OF LAW in Opposition re: 98 MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Michael A. Passidomo. (Schachter, Robert) (Entered: 01/21/2010)

01/21/2010 112 DECLARATION of Hillary Sobel in Opposition re: 98 MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Michael A. Passidomo. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Schachter, Robert) (Entered: 01/21/2010)

02/05/2010 113 STIPULATION AND ORDER AND AGREED, by and between the undersigned

counsel for each of the parties, that Defendant's last day to move, answer or otherwise respond to the Complaint shall be extended for 30 days. Accordingly, the Defendant's response shall be due on or before March 5, 2010. SO ORDERED (Signed by Judge Laura Taylor Swain on 2/4/2010) (jmi) (Entered: 02/05/2010)

02/05/2010 Set/Reset Deadlines: Citi Smith Barney answer due 3/5/2010; Citigroup Global Capital Markets, Inc. answer due 3/5/2010; Citigroup, Inc. answer due 3/5/2010; Citigroup Global Markets,Inc. answer due 3/5/2010. (jmi) (Entered: 02/05/2010)

02/09/2010 114 STIPULATlON AND ORDER OF DISMISSAL. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for each of the parties, that, pursuant to the terms of a settlement agreement between K-V Pharmaceutical Company ("K-V") and Citigroup Global Markets Inc. ("CGMI"), the Complaint and all of K-V's claims in the above-captioned action against CGMI are voluntarily dismissed with prejudice and without costs or attorneys' fees to either of the parties. (Signed by Judge Laura Taylor Swain on 2/8/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-06553-LTS(rjm) (Entered: 02/09/2010)

02/16/2010 115 REPLY MEMORANDUM OF LAW in Support re: 98 MOTION to Dismiss the Second Consolidated Amended Complaint .. Document filed by Citigroup, Inc., Citigroup Global Markets,Inc.. (Davidow, Charles) (Entered: 02/16/2010)

02/17/2010 116 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Karen R. King dated 2/12/2010 re: We represent defendants Citigroup Inc, and Citigroup Global Markets Inc. (together, "Citigroup") in the above-captioned action. Pursuant to Your Honors, individual Practice Rule 2(H), we write to request a page extension for Citigroup's Reply Memorandum in Further Support of its Motion to Dismiss the Second Consolidated Amended Complaint, due to be filed on February 16, 2010. Citigroup seeks a five (5) page extension of the page limit to fifteen (15) pages. Lead Plaintiffs counsel does not object to the extension. Citigroup has made no previous request for this extension. ENDORSEMENT: The request is granted. SO ORDERED. (Signed by Judge Laura Taylor Swain on 2/16/2010) (jmi) (Entered: 02/17/2010)

03/08/2010 117 NOTICE OF VOLUNTARY DISMISSAL that pursuant to Federal Rule of Civil Procedure 41(a)(I)(A)(i), plaintiffs Bankruptcy Management Solutions, Inc. and BMS Holdings, Inc. (the "BMS Parties"), by their undersigned counsel, hereby give notice that the BMS Parties' claims in the above-captioned action are voluntarily dismissed with prejudice. (Signed by Judge Laura Taylor Swain on 3/8/10) (pl) (Entered: 03/08/2010)

03/08/2010

118 NOTICE OF VOLUNTARY DISMISSAL. Pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(i), plaintiffs Bankruptcy Management Solutions, Inc. and BMS Holdings, Inc. (the "BMS Parties"), by their undersigned counsel, hereby give notice that the BMS Parties' claims in the above-captioned action are voluntarily dismissed with prejudice. (Signed by Judge Laura Taylor Swain on 3/8/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-08501-LTS(rjm) (Entered: 03/09/2010)

04/08/2010 119 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT(LETTER)- RESPONSE to April 6, 2010 Defendants' Submission of Supplemental Authority. Document filed by Michael A. Passidomo. (Attachments: # 1

Exhibit Merrill Lynch ARS First Amended Complaint)(Schachter, Robert) Modified on 4/9/2010 (KA). (Entered: 04/08/2010)

04/09/2010 ***NOTE TO ATTORNEY THAT THE ATTEMPTED FILING OF Document No. 119 HAS BEEN REJECTED. Note to Attorney Robert S. Schachter : THE CLERK'S OFFICE DOES NOT ACCEPT LETTERS FOR FILING, either through ECF or otherwise, except where the judge has ordered that a particular letter be docketed. Letters may be sent directly to a judge. (KA) (Entered: 04/09/2010)

04/27/2010 120 ORDER The Clerk of Court is hereby directed to enter this Court's September 24, 2009, Pre-Trial Order No. 1 in the above-caption cases (docket entry no. 89 in case no. 08 Civ. 3095) on the docket of case no. 10 Civ. 3053, and the Lead Plaintiff is directed to take the actions contemplated by paragraph 7 of that order. The newly-referred matter is hereby coordinated pursuant to paragraph 2 of theSeptember 24, 2009, Pre-Trial Order No. 1. Plaintiffs and Defendants in the Texas PGI action are directed to confer with each other and prepare and file by May 11, 2010, a joint statement addressing succinctly the parties' positions as to the following issues: the status of the transferred case, the status of document retention agreements, whether any amendments to pleadings are contemplated, whether any motion practice is currently contemplated, and whether the entry of any further procedural orders is necessary or appropriate at this time. A courtesy copy of the joint statement must be provided for Chambers. A pretrial conference in all of the coordinated and consolidated actions is currently scheduled for May 18, 2010, at 2:00 p.m. in Courtroom 11C, 500 Pearl Street, New York, New York 10007. SO ORDERED. ( Status Report due by 5/11/2010, Pretrial Conference set for 5/18/2010 at 02:00 PM in Courtroom 11C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 4/26/2010) Filed In Associated Cases: 1:09-md-02043- LTS, 1:08-cv-03095-LTS-RLE, 1:10-cv-03053-LTS(jmi) (Entered: 04/27/2010)

04/27/2010 121 ORDER: Plaintiff may file an amended complaint by May 28, 2010. If Plaintiff fails to file a timely amended complaint, Defendant may apply to renew its motion to dismiss as against the current Complaint. For the foregoing reasons, Defendant's motion to dismiss the Complaint is denied without prejudice to renewal. This order resolve the motion filed on April 13, 2009, in the Western District of Pennsylvania prior to the transfer of the case to this Court by the Judicial Panel on Multidistrict Litigation. ORDER denying (98) Motion to Dismiss in case 1:08-cv-03095-LTS-RLE. (Signed by Judge Laura Taylor Swain on 4/27/10) Filed In Associated Cases: 1:09-md-02043- LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406-LTS(db) (Entered: 04/27/2010)

04/27/2010 Set/Reset Deadlines: Amended Pleadings due by 5/28/2010. Associated Cases: 1:09- md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406-LTS(db) (Entered: 04/27/2010)

04/28/2010 122 ORDER. For consistency with the nomenclature used by the United States Judicial Panel on Multidistrict Litigation, Pre-Trial Order No. 1, the consolidation order, is amended to direct that the lead case caption is modified to read: IN RE: CITIGROUP, INC., AUCTION RATE SECURITIES (ARS) MARKETING LITIGATION (NO. II) The Clerk of Court is directed to update the Court's records to reflect this change, and all future filings are to use the amended caption. (Signed by Judge Laura Taylor Swain on 4/28/10) Filed In Associated Cases: 1:09-md-02043-LTS et al.(rjm) (Entered: 04/28/2010)

05/10/2010 123 NOTICE OF APPEARANCE by Eric B. Halper on behalf of Paragon Reserve Company, Texas PGI, Inc., Texas PGI, Inc Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:10-cv-03053-LTS(Halper, Eric) (Entered: 05/10/2010)

05/11/2010 124 STIPULATION AND ORDER; (a) The proceedings in this action should be stayed, pending the earliest of the following to occur: (i) Plaintiffs opt out of the putative or certified class; (ii) the Court dismisses the putative class action; (iii) the Court denies class certification or decertifies the class; or (iv) the Court excludes Plaintiffs from the class; (b) Defendants do not waive any rights, defenses, objections or arguments, including the right to move this Court to compel Plaintiffs' claims to arbitration. SO ORDERED. (Signed by Judge Laura Taylor Swain on 5/11/2010) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:10-cv-03053-LTS(tve) (Entered: 05/12/2010)

05/14/2010 125 ORDER. In light of the pending motion to dismiss in case number 08 Civ. 3095, the status conference currently scheduled for Tuesday, May 18, 2010, is hereby adjourned to Friday, July 16, 2010, at 3:00 p.m. (Status Conference set for 7/16/2010 at 03:00 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 5/14/10) Filed In Associated Cases: 1:09-md-02043-LTS et al.(rjm) (Entered: 05/14/2010)

06/08/2010 126 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for the parties herein, that: 1. Lead Plaintiff may amend the Second Consolidated Amended Complaint solely for the purpose of adding another plaintiff; and 2. The annexed Third Consolidated Amended Complaint shall be deemed filed. 3. Defendants reserve all rights to make any appropriate motion directed to the allegations pertaining to the newly added plaintiff only. (Signed by Judge Laura Taylor Swain on 6/8/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(rjm) (Entered: 06/09/2010)

06/10/2010 127 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for each of the parties herein, that the Defendant's last day to move, answer or otherwise respond to the First Amended Complaint in the above-captioned action, as filed on May 28, 2010, shall be extended by 14 days. Accordingly, the Defendant's response shall be due on or before June 28, 2010. (Motions due by 6/28/2010.) (Signed by Judge Laura Taylor Swain on 6/10/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406-LTS(rjm) (Entered: 06/10/2010)

06/17/2010 128 PLAINTIFFS' THIRD CONSOLIDATED AMENDED COMPLAINT (Jury Trial Demanded) amending 92 Amended Complaint, against Citi Smith Barney, Citigroup Global Capital Markets, Inc., Citigroup, Inc., Citigroup Global Markets, Inc. Document filed by Michael A. Passidomo, Michael Puder. Related document: 92 Amended Complaint, filed by Michael A. Passidomo. Relates to 09md2043.(rjm) (Entered: 06/22/2010)

06/28/2010 129 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED by the undersigned counsel for each of the parties herein that Defendants' last day to move, answer or otherwise respond to Plaintiffs' Third Consolidated Amended Complaint, as permitted in the Stipulation and Order entered June 8, 2010 shall be extended to August 9, 2010. Citigroup, Inc. answer due 8/9/2010; Citigroup Global

07/06/2010

07/06/2010

07/12/2010

Markets,Inc. answer due 8/9/2010.(Motions due by 8/9/2010.) (Signed by Judge Laura Taylor Swain on 6/28/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(rjm) (Entered: 06/28/2010)

130 STIPULATION AND ORDER. It is hereby stipulated and agreed, by and between the undersigned counsel for each of the parties herein that Plaintiffs' last day to respond to the Motion shall be extended to July 30, 2010; and Defendant's last day to reply shall be August 18, 2010. (Signed by Judge Laura Taylor Swain on 7/2/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406- LTS(rjm) (Entered: 07/07/2010)

Set Deadlines/Hearings: Replies due by 8/18/2010. Responses due by 7/30/2010 Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406- LTS(rjm) (Entered: 07/07/2010)

131 ORDER. In light of the pending motion to dismiss in case number 08 Civ. 3095, the status conference currently scheduled for Friday, July 16, 2010, is hereby adjourned to Wednesday, September 15, 2010, at 12:30 p.m. (Status Conference set for 9/15/2010 at 12:30 PM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 7/12/10) Filed In Associated Cases: 1:09-md-02043-LTS et al.(rjm) (Entered: 07/12/2010)

07/15/2010 132 NOTICE of Withdrawal of Richard A. Speirs as Counsel for Lead Plaintiff Michael Passidomo and Plaintiff Michael Pruder, Trustee MP Trust. Document filed by Michael A. Passidomo, Michael Puder. Filed In Associated Cases: 1:09-md-02043- LTS, 1:08-cv-03095-LTS-RLE(Schachter, Robert) (Entered: 07/15/2010)

08/09/2010 133 STIPULATION AND ORDER. IT IS HEREBY STIPULATED AND AGREED by the undersigned counsel for each of the parties herein that Defendants' last day to move, answer or otherwise respond to Plaintiffs' Third Consolidated Amended Complaint, as permitted in the Stipulation and Order entered June 28, 2010, shall be extended to September 24, 2010. (Motions due by 9/24/2010.) (Signed by Judge Laura Taylor Swain on 8/9/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(rjm) Modified on 8/9/2010 (rjm). (Entered: 08/09/2010)

08/09/2010 Set Deadlines/Hearings:Citi Smith Barney answer due 9/24/2010; Citigroup Global Capital Markets, Inc. answer due 9/24/2010; Citigroup Global Markets,Inc. answer due 9/24/2010; Citigroup, Inc. answer due 9/24/2010. (rjm) (Entered: 08/09/2010)

08/09/2010 134 STIPULATION AND ORDER FOR SUBSTITUTION OF CO-COUNSEL. IT IS HEREBY STIPULATED AND ORDERED that plaintiff, American Eagle Outfitters, Inc. and AEO Management Co. (together "AEO") substitute as co-counsel of record Smith Campbell, LLP, 110 Wall Street, New York, New York 10005, in place and stead of Kasowitz, Benson, Torres & Friedman LLP, 1633 Broadway, New York, New York 10019. The firm of Meyer. Unkovic & Scott, LLP, 535 Smithfield Street, Suite 1300, Pittsburgh, PA 15222-2315, shall continue with Smith Campbell, LLP as co-counsel of record for AEO. Attorney David Steven Smith for AEO Management Co., David Steven Smith for American Eagle Outfitters, Inc. added. Attorney Christopher Paul Johnson terminated. (Signed by Judge Laura Taylor Swain on 8/9/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406- LTS(rjm) (Entered: 08/09/2010)

09/08/2010 135 ORDER: In light of the pending motions to dismiss in case numbers 08 Civ. 3095 and

09 Civ. 5406, the status conference currently scheduled for Wednesday, 9/15/2010, is hereby adjourned to Friday, 12/3/2010 at 03:30 PM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 9/8/2010) Filed In Associated Cases: 1:09- md-02043-LTS et al.(tro) (Entered: 09/09/2010)

09/24/2010 136 STIPULATION AND ORDER Lead Plaintiff may amend the Plaintiffs' Third Consolidated Amended Complaint solely for the purpose of adding another plaintiff. Defendants' time to respond to the Plaintiffs' Fourth Consolidated Amended Complaint, pertaining to the newly added plaintiffs only, shall be 10/13/10. Plaintiffs' last day to oppose the Defendants' motion shall be 11/17/10. Defendants' last day to reply shall be 12/1/10. (Motion due by 10/13/2010. Response due by 11/17/2010. Reply due by 12/1/2010.) (Signed by Judge Laura Taylor Swain on 9/24/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(cd) (Entered: 09/27/2010)

09/29/2010 137 FOURTH CONSOLIDATED AMENDED COMPLAINT amending 128 Amended Complaint, against Citi Smith Barney, Citigroup Global Capital Markets, Inc., Citigroup Global Markets,Inc., Citigroup, Inc. Document filed by Michael A. Passidomo, Michael Puder, BIV-NY. Related document: 128 Amended Complaint, filed by Michael Puder, Michael A. Passidomo. (Attachments: # 1 part 2)(mro) (Entered: 09/30/2010)

10/13/2010 138 MOTION to Dismiss the Fourth Consolidated Amended Complaint . Document filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc..Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(Davidow, Charles) (Entered: 10/13/2010)

10/13/2010 139 MEMORANDUM OF LAW in Support re: (138 in 1:08-cv-03095-LTS-RLE, 41 in 1:09-md-02043-LTS) MOTION to Dismiss the Fourth Consolidated Amended Complaint .. Document filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc.. Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(Davidow, Charles) (Entered: 10/13/2010)

10/13/2010 140 DECLARATION of Charles E. Davidow in Support re: (138 in 1:08-cv-03095-LTS-RLE, 41 in 1:09-md-02043-LTS) MOTION to Dismiss the Fourth Consolidated Amended Complaint .. Document filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11)Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(Davidow, Charles) (Entered: 10/13/2010)

10/19/2010 141 ORDER OF DISCONTINUANCE(09-5406) that the settled action is discontinued without costs to either party, and without prejudice to restoration of the action to the calendar of the undersigned if settlement is not achieved within 30 days of the date of this Order. (Signed by Judge Laura Taylor Swain on 10/14/10) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:09-cv-05406-LTS(cd) (Entered: 10/20/2010)

11/17/2010 142 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Karen R. King and Hillary Sobel dated 11/17/2010 re: Parties respectfully request that hte Court adjourn the date for filing Plaintiffs' opposition. ENDORSEMENT: The request is

11/22/2010 143

granted. The briefing schedule is suspended pending further order of the Court. (Signed by Judge Laura Taylor Swain on 11/17/2010) (ae) (Entered: 11/17/2010)

STIPULATION AND ORDER: (1) Plaintiffs shall file Plaintiffs' Opposition on or before December 7, 2010; and (2) Defendants shall file their reply on or before December 21, 2010. Set Deadlines as to (41 in 1:09-md-02043-LTS, 138 in 1:08-cv-03095-LTS-RLE). MOTION to Dismiss the Fourth Consolidated Amended Complaint : (Responses due by 12/7/2010. Replies due by 12/21/2010.) (Signed by Judge Laura Taylor Swain on 11/22/10) Filed In Associated Cases: 1:09-md-02043- LTS, 1:08-cv-03095-LTS-RLE(db) (Entered: 11/23/2010)

11/24/2010 144 ORDER: In light of the pending motions to dismiss in case number 08 Civ. 3095, the status conference currently scheduled for Friday, December 3, 2010, is hereby adjourned to Friday, March 4, 2011, at 10:00 am. (Status Conference set for 3/4/2011 at 10:00 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 11/24/10) Filed In Associated Cases: 1:09-md-02043-LTS et al.(db) (Entered: 11/24/2010)

12/07/2010 145 MEMORANDUM OF LAW in Opposition re: (138 in 1:08-cv-03095-LTS-RLE, 41 in 1:09-md-02043-LTS) MOTION to Dismiss the Fourth Consolidated Amended Complaint .. Document filed by BIV-NY, Michael A. Passidomo, Michael Puder. (Attachments: # 1 Exhibit)Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(Schachter, Robert) (Entered: 12/07/2010)

12/07/2010 146 DECLARATION of Hillary Sobel in Opposition re: (138 in 1:08-cv-03095-LTS-RLE, 41 in 1:09-md-02043-LTS) MOTION to Dismiss the Fourth Consolidated Amended Complaint .. Document filed by BIV-NY, Michael A. Passidomo, Michael Puder. (Attachments: # 1 Exhibit A part 1, # 2 Exhibit A part 2, # 3 Exhibit B part 1, # 4 Exhibit B part 2, # 5 Exhibit C, # 6 Exhibit D, # 7 Exhibit E)Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(Schachter, Robert) (Entered: 12/07/2010)

12/21/2010 147 REPLY MEMORANDUM OF LAW in Support re: (138 in 1:08-cv-03095-LTS-RLE, 41 in 1:09-md-02043-LTS) MOTION to Dismiss the Fourth Consolidated Amended Complaint .. Document filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc.. Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(Davidow, Charles) (Entered: 12/21/2010)

02/24/2011

03/01/2011

148 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Hillary Sobel, dated 2/23/2011, re: We represent Lead Plaintiff Dr. Michael A. Passidomo, Plaintiff Michael S. Puder, and Plaintiff Banco Industrial de Venezuela, C.A. - New York Agency (collectively, "Plaintiffs") in the above-referenced matter. We have just received by e-mail a copy of another letter, dated today from Charles Davidow on behalf of the Defendants (the "Feb. 23nd Letter") providing another recent decision beyond those which Defendants submitted last week. As one of the senior partners on the matter is out of town this week, we request an opportunity to respond to the Feb. 23rd Letter by the close of business on Monday, February 28, 2011. ENDORSEMENT: The request is granted. SO ORDERED. (Signed by Judge Laura Taylor Swain on 2/24/2011) (lnl) (Entered: 02/24/2011)

149 MEMORANDUM OPINION AND ORDER, #99975 that for the foregoing reasons, Defendants' motion to dismiss the Fourth Amended Complaint is granted. This

03/01/2011

03/02/2011

03/02/2011

Opinion and Order resolves docket entries no. 98 and 138. The Clerk of Court is respectfully requested to enter judgment dismissing the complaint in consolidated cases 08 Civ. 3095, 08 Civ. 3139,08 Civ. 3904, 08 Civ. 4360, and 08 Civ. 5016, and close these cases. In light of the foregoing, the conference currently scheduled for Friday, March 4, 2011, is cancelled. re: (138 in 1:08-cv-03095-LTS-RLE) MOTION to Dismiss the Fourth Consolidated Amended Complaint . filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc.. (Signed by Judge Laura Taylor Swain on 3/1/11) Filed In Associated Cases: 1:09-md-02043- LTS, 1:08-cv-03095-LTS-RLE(pl) Modified on 3/2/2011 (ajc). (Entered: 03/01/2011)

Transmission to Judgments and Orders Clerk. Transmitted re: 149 Memorandum & Opinion, to the Judgments and Orders Clerk. (pl) (Entered: 03/01/2011)

150

Letter addressed to Judge Laura Taylor Swain from Hillary Sobel dated 2/28/11 re: for the foregoing reasons, the MRU Holdings decision has no relevance to any issue or allegation in this case. Defendants' motion to dismiss should be denied. Nonetheless, to the extent Your Honor deems this case of any import or would like further discussion of any issue, we respectfully request an opportunity to orally] address the Court. Document filed by BIV-NY, Michael A. Passidomo, Michael Puder. (djc) (Entered: 03/02/2011)

151 CLERK'S JUDGMENT That for the reasons stated in the Court's Memorandum Opinion and Order dated March 1, 2011, Defendants' motion to dismiss the Fourth Amended Complaint is granted, and judgment is entered dismissing the complaint in consolidated cases 08 Civ. 3095, 08 Civ. 3139, 08 Civ. 3904, 08 Civ. 4360, and 08 Civ. 5016; accordingly, these cases are closed. (Signed by Clerk of Court Ruby Krajick on 3/2/11) (Attachments: # 1 notice of right to appeal)Filed In Associated Cases: 1:08-cv-03095-LTS-RLE, 1:08-cv-03139-LTS, 1:08-cv-03904-LTS, 1:08-cv-04360-LTS, 1:08-cv-05016-LTS(ml) (Entered: 03/02/2011)

03/30/2011 152 ORDER: In light of the joint letters submitted by the parties in the above- captioned matters in response to the Court's March 1,2011, Order, the status conference currently scheduled for Tuesday, April 5, 2011, is canceled. (Signed by Judge Laura Taylor Swain on 3/30/2011) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095- LTS-RLE, 1:10-cv-03053-LTS, 2:08-cv-02975-LTS(jpo) (Entered: 03/30/2011)

03/30/2011 153 NOTICE OF APPEAL from (149 in 1:08-cv-03095-LTS-RLE, 51 in 1:09-md-02043- LTS) Memorandum & Opinion,,, (151 in 1:08-cv-03095-LTS-RLE) Clerk's Judgment,, (52 in 1:09-md-02043-LTS) Clerk's Judgment,. Document filed by Banco Industrial de Venezuela, C.A.- New York Agency, Michael A. Passidomo, Michael Puder. Filing fee $ 455.00, receipt number E 933396. Filed In Associated Cases: 1:09- md-02043-LTS, 1:08-cv-03095-LTS-RLE(nd) (Entered: 03/31/2011)

03/31/2011 Transmission of Notice of Appeal to the District Judge re: (54 in 1:09-md-02043-LTS, 153 in 1:08-cv-03095-LTS-RLE) Notice of Appeal,. Filed In Associated Cases: 1:09-

md-02043-LTS, 1:08-cv-03095-LTS-RLE(nd) (Entered: 03/31/2011)

03/31/2011 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: (54 in 1:09-md-02043-LTS, 153 in 1:08-cv-03095-LTS-RLE) Notice of Appeal,. Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(nd) (Entered: 03/31/2011)

03/31/2011 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal

Electronic Files for 6 Order for Initial Pretrial Conference, 100 Declaration in Support of Motion filed by Citigroup Global Markets,Inc., Citigroup, Inc., 22 Notice of Appearance filed by Citigroup Global Markets,Inc., Citigroup, Inc., 103 Notice (Other) filed by Samuel A Stockhamer, 17 Memorandum of Law in Support of Motion, filed by David Dignam, 105 Stipulation and Order, Set Deadlines/Hearings,, 24 Rule 7.1 Corporate Disclosure Statement filed by Citigroup Global Markets,Inc., Citigroup, Inc., 123 Notice of Appearance filed by Texas PGI, Inc., Texas PGI, Inc, Paragon Reserve Company, 101 Stipulation and Order, Set Deadlines/Hearings,, 27 Declaration in Opposition to Motion,,, filed by Samuel A Stockhamer, 19 Order, Set Motion and R&R Deadlines/Hearings,,,,,,,,,, 153 Notice of Appeal, filed by Michael Puder, Michael A. Passidomo, BIV-NY, 95 Stipulation and Order, Set Deadlines/Hearings,,,, 35 Reply to Response to Motion, filed by David Dignam, 117 Notice of Voluntary Dismissal - Signed, 133 Stipulation and Order, Set Deadlines/Hearings,,,, 80 Order, Set Hearings,,,,,,,,,,,,,,,, 149 Memorandum & Opinion,,, 131 Order, Set Deadlines/Hearings,, 138 MOTION to Dismiss the Fourth Consolidated Amended Complaint . filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc., 5 Notice of Case Assignment/Reassignment, 139 Memorandum of Law in Support of Motion, filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc., 45 Stipulation and Order, 49 Declaration in Support of Motion filed by Citigroup Global Markets,Inc., Citigroup, Inc., 129 Stipulation and Order, Set Deadlines/Hearings,,,, 96 Notice of Voluntary Dismissal - Signed,, 14 Memorandum of Law in Support of Motion filed by Wedgewood Tacoma LLC and Jemstone LLC, 38 Reply Affidavit in Support of Motion, filed by Wedgewood Tacoma LLC and Jemstone LLC, 39 Reply Memorandum of Law in Support of Motion, filed by Michael A. Passidomo, 89 Pretrial Order,, 74 Declaration in Support of Motion,, filed by Citigroup Global Markets,Inc., Citigroup, Inc., 37 Reply Memorandum of Law in Support of Motion, filed by Wedgewood Tacoma LLC and Jemstone LLC, 25 Stipulation and Order,,,, 111 Memorandum of Law in Opposition to Motion filed by Michael A. Passidomo, 112 Declaration in Opposition to Motion filed by Michael A. Passidomo, 128 Amended Complaint, filed by Michael Puder, Michael A. Passidomo, 93 Order, Set Hearings, 108 Endorsed Letter,, 43 Amended Complaint filed by Michael A. Passidomo, 47 MOTION to Dismiss. filed by Citigroup Global Markets,Inc., Citigroup, Inc., 29 Declaration in Support of Motion, filed by Michael A. Passidomo, 79 MDL Order Transfer Origin in S.D.N.Y., 140 Declaration in Support of Motion,, filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc., 125 Order, Set Deadlines/Hearings,, 71 Memorandum of Law in Opposition to Motion filed by Michael A. Passidomo, 12 Declaration in Support of Motion filed by LHB Insurance Brokerage Inc., 31 Memorandum of Law in Opposition to Motion,, filed by Wedgewood Tacoma LLC and Jemstone LLC, 152 Order, Terminate Deadlines and Hearings,, 151 Clerk's Judgment,, 98 MOTION to Dismiss the Second Consolidated Amended Complaint . filed by Citigroup Global Markets,Inc., Citigroup, Inc., 135 Order, Set Hearings,, 115 Reply Memorandum of Law in Support of Motion filed by Citigroup Global Markets,Inc., Citigroup, Inc., 118 Notice of Voluntary Dismissal - Signed, 83 Memorandum & Opinion, Set Deadlines,,,,,,,, 97 Stipulation and Order, Set Deadlines/Hearings, 77 Reply Memorandum of Law in Support of Motion filed by Citigroup Global Markets,Inc., Citigroup, Inc., 145 Memorandum of Law in Opposition to Motion, filed by Michael Puder, Michael A. Passidomo, BIV-NY, 143 Stipulation and Order, Set Motion and R&R Deadlines/Hearings,,,, 86 Status Report

filed by Michael A. Passidomo, 3 Order for Initial Pretrial Conference, 85 Status Report filed by Michael A. Passidomo, 46 MDL Order Denying Transfer Motion, 7 MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) andfor Appointment of Lead Counsel and for Consolidation . MOTION to Appoint Dr. Michael A. Passidomo to serve as lead plaintiff(s) and for Appointment of Lead Counsel and for Consolidation . filed by Michael A. Passidomo, 40 Declaration in Support of Motion, filed by Michael A. Passidomo, 8 Memorandum of Law in Support of Motion, filed by Michael A. Passidomo, 142 Endorsed Letter, 73 Memo Endorsement, Add and Terminate Attorneys,, 126 Stipulation and Order,, 11 Memorandum of Law in Support of Motion filed by LHB Insurance Brokerage Inc., 144 Order, Set Hearings,, 72 Declaration in Opposition to Motion filed by Michael A. Passidomo, 114 Stipulation and Order of Dismissal,, 13 MOTION to Appoint Wedgewood Tacoma LLC and Jemstone LLC to serve as lead plaintiff(s). filed by Wedgewood Tacoma LLC and Jemstone LLC, 66 Order Referring Case to Magistrate Judge, 84 Order,,,,, 15 Declaration in Support of Motion, filed by Wedgewood Tacoma LLC and Jemstone LLC, 82 Notice (Other), Notice (Other) filed by Samuel A Stockhamer, Alice L. Stockhamer, Samuel A. Stockhamer, 30 Response to Motion, filed by David Dignam, 147 Reply Memorandum of Law in Support of Motion, filed by CitiGroup Inc., Citigroup Global Markets Inc., Citigroup Global Markets,Inc., Citigroup, Inc., 69 Order,, 4 Endorsed Letter, 26 Memorandum of Law in Opposition to Motion,,, filed by Samuel A Stockhamer, 33 MDL Order Withdrawing Transfer Motion, 76 Stipulation and Order, 122 Order,, 88 Endorsed Letter, Set Deadlines,, 41 Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Counsel, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Consolidate Cases, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s), Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s),, Order on Motion to Appoint Lead Plaintiff(s), 137

Amended Complaint, filed by Michael Puder, Michael A. Passidomo, BIV-NY, 34 Endorsed Letter, Set Deadlines/Hearings,, 116 Endorsed Letter,,, 65 Stipulation and Order, 10 MOTION to Appoint Counsel Levi & Korsinsky, LLP . filed by LHB Insurance Brokerage Inc., 148 Endorsed Letter,,, 32 Declaration in Opposition to Motion,,, filed by Wedgewood Tacoma LLC and Jemstone LLC, 91 Stipulation and Order, Set Motion and R&R Deadlines/Hearings,, 90 Order, Set Deadlines/Hearings,,,,,,,,,,,, 92 Amended Complaint, filed by Michael A. Passidomo, 9 Affidavit in Support of Motion, filed by Michael A. Passidomo, 21 Notice of Appearance filed by Citigroup Global Markets,Inc., Citigroup, Inc., 106 Order of Discontinuance,,, 78 Memo Endorsement, Add and Terminate Attorneys,, 48 Memorandum of Law in Support of Motion filed by Citigroup Global Markets,Inc., Citigroup, Inc., 113 Stipulation and Order, Set Deadlines,, 18 Declaration in Support of Motion, filed by David Dignam, 20 Notice of Appearance filed by Citigroup Global Markets,Inc., Citigroup, Inc., 104 Memo Endorsement, Add and Terminate Attorneys,,,,,, 127 Stipulation and Order, Set Deadlines/Hearings,,,, 28 Memorandum of Law in Support of Motion, filed by Michael A. Passidomo, 107 Endorsed Letter, Set Hearings,, 16 MOTION to Appoint Counsel. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). MOTION to Consolidate Cases 1:08-cv-3139, 1:08-cv-3904. MOTION to Appoint David Dignam and Ted Link to serve as lead plaintiff(s). filed by David Dignam, 75 Stipulation and Order, Set Motion and R&R Deadlines/Hearings,, 132 Notice (Other), Notice (Other) filed by Michael Puder, Michael A. Passidomo, 146 Declaration in Opposition to Motion, filed by Michael Puder, Michael A. Passidomo, BIV-NY, 120 Order, Set Deadlines/Hearings,,,,,,,,,,,, 68 Notice of Reassignment of Referral to Magistrate Judge, 136 Stipulation and Order, Set Deadlines/Hearings,,,, 67 Stipulation and Order, 134 Stipulation and Order, Add and Terminate Attorneys,,,,,, 130 Stipulation and Order, 141 Order of Discontinuance, 94 Order, 121 Order on Motion to Dismiss,, 36 Reply to Response to Motion,,,, filed by Citigroup Global Markets,Inc., Citigroup, Inc., 81 Notice (Other) filed by Samuel A Stockhamer, Alice L. Stockhamer, 102 Memo Endorsement, Add and Terminate Attorneys,, 23 Notice of Appearance filed by Citigroup Global Markets,Inc., Citigroup, Inc., 42 Certificate of Service Other, filed by Michael A. Passidomo, 124 Stipulation and Order,, 99 Memorandum of Law in Support of Motion filed by Citigroup Global Markets,Inc., Citigroup, Inc. were transmitted to the U.S. Court of Appeals. (nd) (Entered: 03/31/2011)

04/04/2011 154 STIPULATION AND ORDER: It is hereby Stipulated and agreed that Plaintiff Texas PGI, Inc. ("Texas PGI") and Defendants agree to proceed in arbitration. Defendants' last day to move to compel arbitration of Plaintiff Paragon Reserve Company's ("Paragon") claims shall be 5/6/11. Paragon's last day to oppose the Defendants' motion to compel arbitration shall be 6/10/11. Defendants' last day to reply in further support of their motion to compel arbitration shall be 6/24/11. (Signed by Judge Laura Taylor Swain on 4/1/2011) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv- 03095-LTS-RLE, 1:10-cv-03053-LTS(jfe) (Entered: 04/04/2011)

05/16/2011 155 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: in case 1:08-cv-03095-LTS-RLE; granting (25) Motion for Lewis T. LeClair to Appear Pro Hac Vice in case 1:10-cv-03053-LTS. (Signed by Judge Laura Taylor Swain on 5/16/2011) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 1:10-cv-03053-LTS(jfe) (Entered: 05/16/2011)

05/20/2011 CASHIERS OFFICE REMARK on 155 Order on Motion to Appear Pro Hac Vice, in

05/25/2011 156

the amount of $25.00, paid on 05/10/2011, Receipt Number 6306. (jd) (Entered: 05/20/2011)

STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, that Plaintiffs Texas PGI, Inc. and Paragon Reserve Company ("Plaintiffs") and Defendants agree to proceed in arbitration, and to stay the proceedings in the above-captioned action pending that arbitration. The parties must make a semi annual written report, as of January 1, 2012, and each January 1 and July 1 thereafter, as to the status of the arbitration proceeding and and whether this action should be maintained on suspense, restored to the active calendar, or dismissed. (Signed by Judge Laura Taylor Swain on 5/25/2011) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095- LTS-RLE, 1:10-cv-03053-LTS(jfe) (Entered: 05/26/2011)

06/30/2011 157 STIPULATION AND ORDER OF DISMISSAL. IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned counsel for each of the parties that, this action is voluntarily dismissed with prejudice, and without costs or attorneys' fees to any of the parties, which are hereby waived. (Signed by Judge Laura Taylor Swain on 6/30/11) Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE, 2:08-cv-02975-LTS(djc) (Entered: 07/01/2011)

04/20/2012 158 MANDATE of USCA (Certified Copy) as to (54 in 1:09-md-02043-LTS, 153 in 1:08- cv-03095-LTS-RLE) Notice of Appeal, filed by Michael Puder, Michael A. Passidomo, BIV-NY USCA Case Number 11-1270-cv. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 04/20/2012. Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(nd) (Entered: 04/20/2012)

04/20/2012 Transmission of USCA Mandate/Order to the District Judge re: (158 in 1:08-cv- 03095-LTS-RLE, 63 in 1:09-md-02043-LTS) USCA Mandate,. Filed In Associated Cases: 1:09-md-02043-LTS, 1:08-cv-03095-LTS-RLE(nd) (Entered: 04/20/2012)

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