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

US District Court Civil Docket as of 11/21/2011 Retrieved from the court on November 21, 2011

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

CIVIL DOCKET FOR CASE #: 1:09-cv-03907-CM-AJP

In re: J.P. Jeanneret Associates, Inc. et al. Assigned to: Judge Colleen McMahon Referred to: Magistrate Judge Andrew J. Peck Lead case: 1:09-cv-00777-LBS-AJP Member case: (View Member Case) Related Cases: 1:09-cv-07584-CM

1:09-cv-08278-LBS

1:09-cv-08362-LBS

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

Date Filed: 04/17/2009 Jury Demand: Both Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff

Local 267 Pension Fund represented by Barbara J. Hart Lowey Dannenberg Cohen & Hart, P.C. White Plains Plaza One North Broadway Suite 509 White Plains, NY 10601 (914) 997-0500 Fax: (914) 997-0035 Email: [email protected] LEAD ATTORNEY

Lead Plaintiff

Local 267 Insurance Fund represented by Barbara J. Hart (See above for address) LEAD ATTORNEY

Plaintiff

Local 73 Annuity Fund on behalf of themselves and all other similarly situated

represented by Amy C. Williams-Derry Keller Rohrback L.L.P 1201 3rd Avenue, Suite 3200 Seattle, WA 98101 (206)-623-1900 Fax: (206)-623-3384 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Barbara J. Hart (See above for address)

LEAD ATTORNEY ATTORNEY TO BE NOTICED

David Steven Preminger Keller Rohrback L.L.P. (NYC) 770 Broadway 2nd Floor New York, NY 10003 (646) 495-6198 Fax: (646) 495-6197 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Derek W. Loeser Keller Rohrback L.L.P.(WA) 1201 Third Avenue Suite 3200 Seattle, WA 98101 (206) 224-7562 Fax: (206) 623-3384 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Havila C. Unrein Keller Rohrback L.L.P.(WA) 1201 Third Avenue Suite 3200 Seattle, WA 98101 (206) 623-1900 Fax: (206) 623-3384 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Lynn Lincoln Sarko Keller Rohrback L.L.P.(WA) 1201 Third Avenue Suite 3200 Seattle, WA 98101 (206) 224-7552 Fax: (206) 623-3384 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Shannon O. Lack Kessler Topaz Meltzer & Check, LLP

(PA) 280 King of Prussia Road Radnor, PA 19087 (610) 667-7706 Fax: (610) 667-7056 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Stephen Lowey Lowey Dannenberg Cohen & Hart, P.C. White Plains Plaza One North Broadway Suite 509 White Plains, NY 10601 (914)-997-0500 Fax: (914)-997-0035 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Deborah A. Rogozinski Lowey, Dannenberg, Bemporad & Selinger, P.C. One North Lexington Ave. White Plains, NY 10601 (914)-733-7230 Fax: (914)-997-0035 Email: [email protected] ATTORNEY TO BE NOTICED

Thomas Michael Skelton Lowey Dannenberg Cohen & Hart, P.C. White Plains Plaza One North Broadway Suite 509 White Plains, NY 10601 (914) 997-0500 Fax: (914) 997-0035 Email: [email protected] ATTORNEY TO BE NOTICED

Todd Seth Garber Lowey Dannenberg Cohen & Hart, P.C. White Plains Plaza One North Broadway Suite 509 White Plains, NY 10601 (914)-997-0500

Fax: (914)-997-0035 Email: [email protected] TERMINATED: 06/03/2011

Plaintiff

Board of Trustees of The Buffalo Laborers Security Fund

represented by Amy C. Williams-Derry (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

David Steven Preminger (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Derek W. Loeser (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Edward W. Ciolko Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 (610)-667-7706 Fax: (610)-667-7056 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Havila C. Unrein (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Joseph H. Meltzer Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 (610)667-7706 x1210 Fax: (610) 667-7056 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Lynn Lincoln Sarko (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Milo Silberstein Dealy & Silberstein, LLP 225 Broadway, Suite 1405 New York, NY 10007 (212) 385-0066 Fax: (212) 385-2117 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Peter H. LeVan , Jr Barroway Topaz Kessler Meltzer & Check, LLP 280 King of Prussia Rd. Radnor, PA 19087 (610)-667-7706 Fax: (610)-667-7056 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Shannon O. Lack (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Cheri R. Tolin Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 (610)-667-7706 Fax: (610)-667-7056 Email: [email protected] TERMINATED: 10/08/2010 PRO HAC VICE

Peter A. Muhic Kessler Topaz Meltzer & Check, LLP 280 King of Prussia Road Radnor, PA 19087 (610) 667-7706 Email: [email protected]

PRO HAC VICE ATTORNEY TO BE NOTICED

Plaintiff

Ernest A. Hartman as Trustees of the IBEW Local 139 Pension Fund


Catha Worthman Lewis, Fineberg, Lee, Renaker & Jackson, P.C. 1330 Broadway, Suite 1800 Oakland, CA 94612 (510) 839-6824 Fax: (510) 839-7839 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED




Jeffrey G Lewis Lewis, Fineberg, Lee, Renaker & Jackson, P.C. 1330 Broadway, Suite 1800 Oakland, CA 94612 (510) 839-6824 Fax: (510)-839-7839 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Lynn Lincoln Sarko

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

Margaret E. Hasselman Lewis, Fineberg, Lee, Renaker & Jackson, P.C. 1330 Broadway, Suite 1800 Oakland, CA 94612 (510) 839-6824 Fax: (510) 839-7839 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Ron Kilgard Keller Rohrback P.L.C (Phoenix) National Bank Plaza, 3101 N. Central Avenue , Suite 1400 Phoenix, AZ 85012 (602)-230-6324 Fax: (602) 230-6030 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED


Andrew Lah Lewis, Fineberg, Lee, Renaker & Jackson, P.C. 1330 Broadway, Suite 1800 Oakland, CA 94612 510-839-6824 Fax: 510-839-7839 Email: [email protected] ATTORNEY TO BE NOTICED

Plaintiff

Kimberly A. Bautista as Trustees of the IBEW Local 139 Pension Fund


Catha Worthman (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED




Jeffrey G Lewis (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Margaret E. Hasselman (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

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


Andrew Lah (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

James F. Collins as Trustees of the IBEW Local 325 Pension Fund









Ron Kilgard




Plaintiff

Kimberly A. Bautista as Trustees of the IBEW Local 325 Pension Fund







Lynn Lincoln Sarko (See above for address)






Plaintiff

James F. Collins as Trustees of the IBEW Local 325 Annuity Fund





Havila C. Unrein (See above for address) LEAD ATTORNEY

ATTORNEY TO BE NOTICED







Plaintiff

Kimberly A. Bautista as Trustees of the IBEW Local 325 Annuity Fund












Plaintiff

James F. Collins as Trustees of the IBEW Local 325 Joint Trust Fund



Plaintiff

Kimberly A. Bautista as Trustees of the IBEW Local 325 Joint Trust Fund









Ron Kilgard




Plaintiff

Michael Talarski as Trustee of the IBEW Local 241 Pension Fund













Plaintiff

Kimberly A. Bautista as Trustee of the IBEW Local 241 Pension Fund













Plaintiff

Elizabeth F. Cassada as Trustees of the IBEW Local 910 Annuity Fund












Plaintiff

James A. Williams as Trustees of the IBEW Local 910 Annuity Fund



Plaintiff

Elizabeth F. Cassada as Trustee of the IBEW Local 910 Pension Fund









Ron Kilgard




Plaintiff

James A. Williams as Trustee of the IBEW Local 910 Pension Fund













Plaintiff

Thomas R. Lostracco as Trustee of the SEIU 1199 Upstate Pension Fund










Shannon O. Lack (See above for address) LEAD ATTORNEY PRO HAC VICE


Plaintiff

George Kennedy as Trustee of the Service Employees Pension Fund of Upstate New York




Derek W. Loeser (See above for address) LEAD ATTORNEY PRO HAC VICE









Plaintiff

Rodney Malarchik as Trustee of the Upstate New York Bakery Drivers and Industry Pension Fund












Plaintiff

Irving Wood as Trustee of the Upstate New York Bakery Drivers and Industry Pension Fund










Shannon O. Lack

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


Plaintiff

James Rounds as Trustees of the Plumbers and Pipefitters Local 112 Pension Fund








Ron Kilgard (See above for address)




Plaintiff

Lyle D. Fassett as Trustees of the Plumbers and Pipefitters Local 112 Pension Fund







Lynn Lincoln Sarko (See above for address) LEAD ATTORNEY






Plaintiff

Rockne Burns as Trustee of the Engineers Joint, Welfare Fund











Plaintiff

Carmen A. Serrett as Trustees of the Laborers' Local 103 Annuity Fund












Plaintiff

Earl R. Hall as Trustees of the Laborers' Local 103 Annuity Fund



David Steven Preminger










Plaintiff

Carmen A. Serrett represented by Amy C. Williams-Derry as Trustee of the Laborers' Local 103

(See above for address)

Pension Fund LEAD ATTORNEY ATTORNEY TO BE NOTICED









Shannon O. Lack (See above for address) LEAD ATTORNEY

PRO HAC VICE ATTORNEY TO BE NOTICED


Plaintiff

Patrick Morin as Trustees of Empire State Carpenters Pension Fund TERMINATED: 05/21/2010







Plaintiff

Dale Stuhlmiller as Trustees of Empire State Carpenters Pension Fund












Plaintiff

Patrick Morin represented by Amy C. Williams-Derry

as Trustees of Empire State Carpenters

(See above for address) Annuity Fund

LEAD ATTORNEY TERMINATED: 05/21/2010







Plaintiff

Dale Stuhlmiller as Trustees of Empire State Carpenters Annuity Fund




Derek W. Loeser (See above for address) LEAD ATTORNEY PRO HAC VICE









Plaintiff

Patrick Morin as Trustees of the Empire State Carpenters Welfare Fund TERMINATED: 05/21/2010







Plaintiff

Dale Stuhlmiller as Trustees of the Empire State Carpenters Welfare Fund






Jeffrey G Lewis (See above for address)

LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED






Plaintiff

Local 73 Retirement Fund on behalf of themselves and all others similarly situated

represented by Barbara J. Hart (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Stephen Lowey Lowey Dannenberg Cohen & Hart, P.C. White Plains Plaza One North Broadway Suite 509 White Plains, NY 10601 (914) 997-0500 Fax: (914) 997-0035

Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Thomas Michael Skelton (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Vincent Briganti Lowey Dannenberg Cohen & Hart, P.C. White Plains Plaza One North Broadway Suite 509 White Plains, NY 10601 (914) 997-0500 Fax: (914) 997-0035 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Deborah A. Rogozinski (See above for address) ATTORNEY TO BE NOTICED

Todd Seth Garber (See above for address) TERMINATED: 06/03/2011

Plaintiff

Frank Spencer as Trustees of Empire State Carpenters Annuity Fund

represented by Amy C. Williams-Derry (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Andrew Lah (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


David Steven Preminger (See above for address)



Havila C. Unrein (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED


Lynn Lincoln Sarko (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED




Plaintiff

Frank Spencer as Trustees of the Empire State Carpenters Welfare Fund










Ron Kilgard (See above for address)



Plaintiff

Frank Spencer as Trustees of Empire State Carpenters Pension Fund












Plaintiff

Local 73 Health & Welfare Fund represented by Barbara J. Hart (See above for address) LEAD ATTORNEY

Plaintiff

Board of Trustees of The Buffalo Laborers Welfare Fund

Plaintiff

Board of Trustees ofThe Buffalo Laborers Welfare Fund

represented by Peter A. Muhic (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

represented by Peter A. Muhic (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

V.

Defendant

J.P. Jeanneret Associates, Inc. represented by Brian E. Whiteley Hiscock & Barclay, LLP(MA) One International Place 26th Floor Fifth Floor Boston, MA 02110

(617) 274-2900 x2903 Fax: (617) 722-6003 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Carolyn Anne Marcotte Hiscock & Barclay, L.L.P.(MA) One International Place- 26th, Floor 5th Flr Boston, MA 02110-2509 (617) 274-2904 Fax: (617) 722-6003 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED

Gabriel Mark Nugent Hiscock & Barclay, LLP (New York) Seven Time Square New York, NY 10036 (315)425-836 Fax: (315)703-0976 Email: [email protected] ATTORNEY TO BE NOTICED

John Donald Cook Hiscock & Barclay, LLP 221 South Warren Street Syracuse, NY 13221 (315)-425-2885 Fax: (315)-703-7353 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

John P. Jeanneret represented by Brian E. Whiteley (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Carolyn Anne Marcotte (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Gabriel Mark Nugent (See above for address)


John Donald Cook (See above for address) ATTORNEY TO BE NOTICED

Defendant

Paul L. Perry represented by Brian E. Whiteley (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Carolyn Anne Marcotte (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

John Donald Cook (See above for address) ATTORNEY TO BE NOTICED

Defendant

Ivy Asset Management Corporation represented by Jeffrey A. Rosenthal Cleary Gottlieb Steen & Hamilton, LLP(NYC) One Liberty Plaza New York, NY 10006 212-225-2000 Fax: 212-225-3499 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Lewis J. Liman Cleary Gottlieb Steen & Hamilton, LLP(NYC) One Liberty Plaza New York, NY 10006 212-225-2000 Fax: 212-225-3499 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Nowell D. Bamberger Cleary Gottlieb Steen & Hamilton LLP 2000 Pennsylvania Avenue, NW Washington, DC 20006 (202) 974-1752 Fax: (202) 974-1999

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

Steven J Kaiser Cleary Gottlieb Steen & Hamilton LLP (DC) 2000 Pennsylvania Avenue, NW Washington, DC 20006 (202) 974-1554 Fax: (202) 974-1999 PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Bank of New York Mellon Corporation represented by Jeffrey A. Rosenthal (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Nowell D. Bamberger (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Steven J Kaiser (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Margolin, Winer & Evens LLP represented by Scott Evan Kossove Lieben, Whitted, Houghton, Slowiaczek & Cavanagh, P.C., L.L. 100 Scoular Building, 2027 Dodge Street 3rd Floor Omaha, NE 68102 516-294-8844 Fax: 516-294-8202 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Income-Plus Investment Fund

Defendant

Paul Perry

Defendant

Lawrence Simon represented by Daniel V. Shapiro Stillman, Friedman & Shechtman, P.C. 425 Park Avenue New York, NY 10022 (212) 223-0200 Fax: (212) 4223-1942 Email: [email protected] LEAD ATTORNEY

John B. Harris Stillman, Friedman & Shechtman, P.C. 425 Park Avenue New York, NY 10022 212 223 0200 Fax: 212 223 0200 Email: [email protected] LEAD ATTORNEY


Paul Lewis Shechtman Zuckerman, Spaeder LLP(NYC) 1540 Broadway Suite 1604 New York, NY 10036-4039 (212) 704-9600 Fax: (212) 704-4256 Email: [email protected] LEAD ATTORNEY

Jeffrey A. Rosenthal (See above for address) ATTORNEY TO BE NOTICED

Defendant

Howard Wohl represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Adam Geiger represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Jeffrey Lindenbaum represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

John Rogers represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Sean Simon represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Kevin Bannon represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Steven Pisarkiewicz represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Robert Meschi TERMINATED: 04/07/2011

represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Paul A. Straus King & Spalding LLP (NYC) 1185 Avenue of the Americas New York, NY 10036 212-556-2136 Fax: 212-556-2222 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Susan Rabinowitz represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Michael Singer represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Alan Chuang represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Gregory Van Inwegen represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Sean Cumiskey represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Stuart Davies represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Peter Rose represented by Lewis J. Liman TERMINATED: 04/05/2010

(See above for address) LEAD ATTORNEY

Defendant

Joseph Burns represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Mark Santero represented by Amy C. Williams-Derry (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED





Defendant

Peter Noris represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Farzine Hachemian represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jeffrey A. Rosenthal (See above for address)


Defendant

Colleen Baldwin represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Glenn Cummins represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Ivy Manager Approval Committee

Defendant

Ivy Investment Committee

Defendant

Ivy Strategic Operating Committee

Defendant

Frank Biondi, Jr.

Defendant

Nicholas Donofrio

Defendant

Edmund Kelly

Defendant

Michael Kowalski

Defendant

John Jr. Luke

Defendant

Paul Myners

Defendant

Mark Nordenberg

Defendant

Catherine Rein

Defendant

William Richardson

Defendant

Brian Roberts

Defendant

Samuel Scott, III

Defendant

Richard Vaughan

Defendant

Wesley Von Schack

Defendant

Bank of New York Mellon Corporation Risk Committee

Defendant

Custodial Trust Company represented by Evan Glassman Steptoe & Johnson, LLP (NYC) 750 Seventh Avenue Suite 1900 New York, NY 10019 (212) 506-3900 Fax: (212) 506-3950 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jeffrey E. McFadden Steptoe & Johnson, LLP (DC) 1330 Connecticut Avenue, N.W. Washington, DC 20036 (202)-429-8022 Fax: (202)-429-3902 LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED

Defendant

Scott E. Wennerholm represented by Lewis J. Liman



Defendant

Jonathan Little represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


Defendant

Ronald P. O'Hanley represented by Lewis J. Liman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED


ADR Provider

Local 267 Pension Fund

Amicus

Secretary of Labor, U.S. Dept. of Labor Secretary of Labor, U.S. Dept. ofLabor

represented by Stephen Aaron Silverman United States Dept of Labor-Office of The Solicitor 200 Constitution Ave, N.W. Suite S-4004 Washington, DC 20210 (202) 693-5610 Fax: (202) 693-5623 Email: [email protected] ATTORNEY TO BE NOTICED

Date Filed # Docket Text

04/17/2009 1 COMPLAINT against J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry, Ivy Asset Management Corporation, Bank of New York Mellon Corporation, Margolin, Winer & Evens LLP. (Filing Fee $ 350.00, Receipt Number E 685301)Document filed by Local 73 Annuity Fund and Local 79 Retirement

Fund.(jmi) Modified on 4/22/2009 (jmi). (ama). (Entered: 04/22/2009)

04/17/2009 SUMMONS ISSUED as to J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry, Ivy Asset Management Corporation, Bank of New York Mellon Corporation, Margolin, Winer & Evens LLP. (jmi) (Entered: 04/22/2009)

04/17/2009 Magistrate Judge Frank Maas is so designated. (jmi) (Entered: 04/22/2009)

04/17/2009 Case Designated ECF. (jmi) (Entered: 04/22/2009)

04/23/2009 11 WAIVER OF SERVICE RETURNED EXECUTED. Ivy Asset Management Corporation waiver sent on 4/23/2009, answer due 6/22/2009. Document filed by Ivy Asset Management Corporation. (pl) (Entered: 05/11/2009)

04/23/2009 12 WAIVER OF SERVICE RETURNED EXECUTED. Bank of New York Mellon Corporation waiver sent on 4/23/2009, answer due 6/22/2009. Document filed by Bank of New York Mellon Corporation. (pl) (Entered: 05/11/2009)

04/29/2009 2 WAIVER OF SERVICE RETURNED EXECUTED. Ivy Asset Management Corporation waiver sent on 4/20/2009, answer due 6/19/2009. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 04/29/2009)

04/29/2009 3 WAIVER OF SERVICE RETURNED EXECUTED. Bank of New York Mellon Corporation waiver sent on 4/20/2009, answer due 6/19/2009. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 04/29/2009)

04/29/2009 4 SUMMONS RETURNED EXECUTED. Margolin, Winer & Evens LLP served on 4/27/2009, answer due 5/18/2009. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 04/29/2009)

05/01/2009 8 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by Paul L. Perry. (pl) (Entered: 05/11/2009)

05/01/2009 9 WAIVER OF SERVICE RETURNED EXECUTED. John P. Jeanneret waiver sent on 5/1/2009, answer due 6/30/2009. Document filed by John P. Jeanneret. (pl) (Entered: 05/11/2009)

05/01/2009 10 WAIVER OF SERVICE RETURNED EXECUTED. Document filed by J.P. Jeanneret Associates, Inc.. (pl) (Entered: 05/11/2009)

05/05/2009 5 WAIVER OF SERVICE RETURNED EXECUTED. J.P. Jeanneret Associates, Inc. waiver sent on 4/28/2009, answer due 6/29/2009. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 05/05/2009)

05/05/2009 6 WAIVER OF SERVICE RETURNED EXECUTED. John P. Jeanneret waiver sent on 4/28/2009, answer due 6/29/2009. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 05/05/2009)

05/05/2009 7 WAIVER OF SERVICE RETURNED EXECUTED. Paul L. Perry waiver sent on 4/28/2009, answer due 6/29/2009. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 05/05/2009)

05/27/2009 13 NOTICE OF APPEARANCE by Scott Evan Kossove on behalf of Margolin, Winer &

Evens LLP (Kossove, Scott) (Entered: 05/27/2009)

06/19/2009 14 MOTION to Appoint The Local 73 Annuity Fund and The Local 73 Retirement Fund to serve as lead plaintiff(s)., MOTION to Appoint Counsel Lowey Dannenberg Cohen & Hart, P.C. Lead Counsel. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund.(Hart, Barbara) (Entered: 06/19/2009)

06/19/2009 15 MEMORANDUM OF LAW in Support re: 14 MOTION to Appoint The Local 73 Annuity Fund and The Local 73 Retirement Fund to serve as lead plaintiff(s). MOTION to Appoint Counsel Lowey Dannenberg Cohen & Hart, P.C. Lead Counsel . MOTION to Appoint The Local 73 Annuity Fund and The Local 73 Retirement Fund to serve as lead plaintiff(s).. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 06/19/2009)

06/19/2009 16 DECLARATION of Barbara Hart in Support re: 14 MOTION to Appoint The Local 73 Annuity Fund and The Local 73 Retirement Fund to serve as lead plaintiff(s). MOTION to Appoint Counsel Lowey Dannenberg Cohen & Hart, P.C. Lead Counsel . MOTION to Appoint The Local 73 Annuity Fund and The Local 73 Retirement Fund to serve as lead plaintiff(s).. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Hart, Barbara) (Entered: 06/19/2009)

06/19/2009 17 CERTIFICATE OF SERVICE. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 06/19/2009)

07/02/2009 18 NOTICE OF APPEARANCE by Gabriel Mark Nugent on behalf of J.P. Jeanneret Associates, Inc., John P. Jeanneret (Nugent, Gabriel) (Entered: 07/02/2009)

07/02/2009 19 NOTICE OF APPEARANCE by John Donald Cook on behalf of J.P. Jeanneret Associates, Inc., John P. Jeanneret (Cook, John) (Entered: 07/02/2009)

07/06/2009 20 NOTICE OF CASE REASSIGNMENT to Judge Colleen McMahon. Judge Paul A. Crotty is no longer assigned to the case due to Judge's recusal. (ldi) (Entered: 07/07/2009)

07/07/2009 21 ORDER SCHEDULING AN INITIAL PRETRIAL CONFERENCE:... Initial Conference set for 10/30/2009 at 11:15 AM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. (Signed by Judge Colleen McMahon on 7/7/09) (cd) (Entered: 07/07/2009)

07/24/2009 22 MOTION for Brian E. Whitely to Appear Pro Hac Vice. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret.(dle) (Entered: 07/27/2009)

07/29/2009 CASHIERS OFFICE REMARK on 22 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 07/24/2009, Receipt Number 695594. (jd) (Entered: 07/29/2009)

07/31/2009 23 ORDER granting 22 Motion for Brian E.Whiteley to Appear Pro Hac Vice on behalf of defendants J.P. Jeanneret Associates, INc and John P. Jeanneret.(Signed by Judge Colleen McMahon on 7/31/09) (djc) (Entered: 07/31/2009)

07/31/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 23 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (djc) (Entered: 07/31/2009)

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ENDORSED LETTER addressed to Judge Colleen McMahon from Lewis J. Liman dated 7/30/09 re: Counsel for the parties have conferred regarding the management of this matter in response to the Court's 7/7/09 Order Scheduling an Initial Pretrial Conference. The parties have agreed to the proposed initial schedule subject to the Court's approval as further set forth in this letter. ENDORSEMENT: Not acceptable in PSLRA cases, I and only I set the schedule. And it will be shorter than this. You will be called in for a Rule 16 conference when I am ready to appoint lead plaintiff and counsel. (Signed by Judge Colleen McMahon on 8/3/09) (tro) (Entered: 08/04/2009)

NOTICE OF APPEARANCE by Thomas Michael Skelton on behalf of Local 73 Annuity Fund anf Local 79 Retirement Fund (Skelton, Thomas) (Entered: 08/10/2009)

LETTER from Judge Colleen McMahon and Judge Victor Marrero addressed to: CounselRE: You are hereby notified that counsel in the three actions assigned to Judge Marrero have until Friday of this week to show cause why those actions should not be transferred to and consolidated with the action pending before Judge McMahon. Please file any response to this notice on ECF in your own and fax the response to counsel in all four cases as well as to Judge McMahon's and Judge Marrero's chambers. (Signed by Judge Colleen McMahon on 10/19/2009) (jpo) (Entered: 10/19/2009)

NOTICE of response to the Court's Notice dated October 19, 2009 concerning consolidation. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Cook, John) (Entered: 10/23/2009)

NOTICE of Response to the Court's Notice Concerning Consolidation re: (4 in 1:09- cv-08362-VM, 3 in 1:09-cv-08278-VM, 19 in 1:09-cv-07584-VM, 26 in 1:09-cv-03907-CM) Order,,. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund, Bryan Allen, David Waby, Donald A. Little, Jr, James Fredenburg, Plumbers & Steamfitters Local 267 Pension Fund, Peter Lauze, Frank Bisesi, Donald Beckley, Patrick Bonnell, James Rood, Kevin J. Bannon, Gregory Lancette, Bradley Ward. (Attachments: # 1 Certificate of Service)(Hart, Barbara) (Entered: 10/23/2009)

NOTICE OF APPEARANCE by Jeffrey A. Rosenthal on behalf of Ivy Asset Management Corporation, Bank of New York Mellon Corporation (Attachments: # 1 Certificate of Service)(Rosenthal, Jeffrey) (Entered: 10/23/2009)

RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Attachments: # 1 Certificate of Service)(Rosenthal, Jeffrey) (Entered: 10/23/2009)

NOTICE of Response to the Court's October 19, 2009 Notice Concerning Consolidation re: 26 Order,,. Document filed by Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Attachments: # 1 Certificate of Service)(Rosenthal, Jeffrey) (Entered: 10/23/2009)

RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by J.P. Jeanneret Associates, Inc..(Cook, John) (Entered: 10/27/2009)

Calendar Notice, Status Conference set for 11/5/2009 at 11:15 AM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. (Signed by Judge Colleen McMahon on 10/30/09) (cd) (Entered: 11/02/2009)

11/05/2009 Minute Entry for proceedings held before Judge Colleen McMahon: Status Conference held on 11/5/2009 in 4 actions: 09cv3907, 09cv8278, 09cv7584 and 09cv8362. As reflected in the Court's Order dated 11/6/09, the Court consolidated those 4 actions for all pretrial purposes; appointed lead plaintiffs and lead counsel on behalf of the putative class of securities claimants; and set a schedule for amending the pleadings and the briefing of anticipated motions. (mro) (Entered: 11/06/2009)

11/06/2009 34 ORDER CONSOLIDATING THE RELATED CASES FOR PRETRIAL PURPOSES; APPOINTING LEAD PLAINTIFFS AND LEAD COUNSEL ON BEHALF OF THE PUTATIVE CLASS OF SECURITIES CLAIMANTS; AND SETTING A SCHEDULE FOR AMENDING THE PLEADINGS AND THE BRIEFING OF ANTICIPATED MOTIONS: Having concluded that the interests ofjustice will be served if the above-captioned actions are consolidated for PRETRIAL PURPOSES, and in accordance with the proceedings at the status conference held today before the Court, the four above-captioned actions are hereby consolidated for all pretrial purposes pursuant to Federal Rule of Civil Procedure 42(a). Theabove-captioned actions (the "Consolidated Actions") shall be collectively referred to as "In re J.P. Jeanneret Associates, Inc., et al." A Master File is hereby established for the consolidated proceedings in In re J.P. Jeanneret Associates, Inc., et al. The case number for the Master File shall be 09 Civ. 3907. The Clerk shall file the original of this Order in the Master File and shall enter this Order in the dockets for each of the four Consolidated Actions. A Master Docket is hereby established for the consolidated proceedings in In re J.P. Jeanneret Associates, Inc., et al. The case number for the Master Docket likewise shall be 09 Civ. 3907. Going forward, the Clerk of the Court shall file all documents applicable to any of the Consolidated Actions in the Master File and shall enter such filing in the Master Docket. No further copies need be filed or docket entries made. All documents hereafter filed in any of the Consolidated Actions shall bear the following case caption: In re J.P. Jeanneret Associates, Inc. et al., all other details are as further set forth in said Order. Defendants in In re J.P. Jeanneret Associates, Inc., et al. shall file any motions to dismiss the consolidated amended complaints by January 15,2010; and it is further ORDERED that plaintiffs shall file their oppositions by February 19, 2010; and it is further ORDERED that defendants shall file their replies by March 5, 2010; and it is further ORDERED that briefs will not be subject to the 25-page limit specified in Judge McMahon's Individual Practices. (Motions due by 1/15/2010. Replies due by 3/5/2010. Responses due by 2/19/2010) (Signed by Judge Colleen McMahon on 11/6/09) (db) (Entered: 11/06/2009)

MOTION to Appoint Counsel for ERISA Claims Pursuant to Federal Rule of Civil Procedure 23(g). Document filed by Board of Trustees of The Buffalo Laborers Security Fund.(Meltzer, Joseph) (Entered: 11/12/2009)

MEMORANDUM OF LAW in Support re: 35 MOTION to Appoint Counsel for ERISA Claims Pursuant to Federal Rule of Civil Procedure 23(g) .. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Meltzer, Joseph) (Entered: 11/12/2009)

DECLARATION of Peter H. LeVan, Jr. in Support re: 35 MOTION to Appoint Counsel for ERISA Claims Pursuant to Federal Rule of Civil Procedure 23(g) .. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Attachments: # 1 Exhibit A)(Meltzer, Joseph) (Entered: 11/12/2009)

CERTIFICATE OF SERVICE of Motion, Memorandum in Support of Motion and

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Declaration of Peter H. LeVan, Jr. on 11/12/09. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Meltzer, Joseph) (Entered: 11/12/2009)

CONSOLIDATED AMENDED CLASS ACTION COMPLAINT amending 1 Complaint, against J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry, Ivy Asset Management Corporation, Bank of New York Mellon Corporation, Margolin, Winer & Evens LLP.Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. Related document: 1 Complaint, filed by Local 73 Annuity Fund and Local 79 Retirement Fund.(mbe) (Entered: 11/20/2009)

CERTIFICATE OF SERVICE of Consolidated Amended Class Action Complaint served on J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry, Ivy Asset Management Corporation, Bank of New York Mellon Corporation and Margolin, Winer & Evens LLP on 11/16/2009. Service was made by Email. Document filed by Local 73 Annuity Fund anf Local 79 Retirement Fund. (Hart, Barbara) (Entered: 11/17/2009)

ENDORSED LETTER addressed to Judge Colleen McMahon from Jeffrey A. Rosenthal dated 12/3/2009 re: The Ivy defendants request that the Court reject the Hartman Plaintiffs' request to modify the Consolidated Order. ENDORSEMENT: I have not seen the letter to which you refer. Perhaps, it was sent by snail mail. However, I can assure you that the Hartman plaintiffs will not be permitted to file an amended complaint at this juncture, and will not be permitted to take discovery separately. If they file an amended complaint, I will put a complete hold on their lawsuit. Any discovery notices they serve out of coordination with the other actions will be quashed. (Signed by Judge Colleen McMahon on 12/3/2009) (tve) (tve). Modified on 12/8/2009 (ae). (Entered: 12/04/2009)

ENDORSED LETTER addressed to Judge Colleen McMahon from David Preminger dated 12/4/09 re: counsel for plaintiffs requests to file an amended complaint to add additional plaintiffs and include new facts and defendants that were discovered after further investigation. ENDORSEMENT: I did not receive/or see the letter - the volume of paper, I guess. I have no problem if all you do is file an amended complaint. (Signed by Judge Colleen McMahon on 12/9/09) (dle) (Entered: 12/09/2009)

MEMO ENDORSEMENT on re: 35 Motion to Appoint Counsel. ENDORSEMENT: The motion which is unopposed, is GRANTED. So Ordered. (Signed by Judge Colleen McMahon on 12/14/2009) (jfe) (Entered: 12/14/2009)

NOTICE OF APPEARANCE by Lynn Lincoln Sarko on behalf of All Plaintiffs in 1:09-cv-08278-CM (Sarko, Lynn) (Entered: 12/17/2009)

NOTICE OF APPEARANCE by Derek W. Loeser on behalf of All Plaintiffs in 1:09- cv-08278-CM (Loeser, Derek) (Entered: 12/17/2009)

NOTICE OF APPEARANCE by Amy C. Williams-Derry on behalf of All Plaintiffs in 1:09-cv-08278-CM (Williams-Derry, Amy) (Entered: 12/17/2009)

NOTICE OF APPEARANCE by Havila C. Unrein on behalf of All Plaintiffs in 1:09- cv-08278-CM (Unrein, Havila) (Entered: 12/17/2009)

NOTICE OF APPEARANCE by David Steven Preminger on behalf of All Plaintiffs in 1:09-cv-08278-CM (Preminger, David) (Entered: 12/17/2009)

12/17/2009 49 NOTICE OF APPEARANCE by David Steven Preminger on behalf of All Plaintiffs in 1:09-cv-08278-CM (Preminger, David) (Entered: 12/17/2009)

12/17/2009 50 PLAINTIFFS' FIRST AMENDED COMPLAINT FOR VIOLATIONS OF THE EMPLOYEE RETIREMENT INCOME SECURITY ACT (ERISA) amending 1 Complaint, against Ivy Asset Management L.L.C., Bank of New York Mellon Corporation, J.P. Jeanneret Associates, Inc., Income-Plus Investment Fund, John P. Jeanneret, Paul Perry, Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Peter Rose, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Ivy Manager Approval Committee, Ivy Investment Committee, Ivy Strategic Operating Committee, Frank Biondi, Jr, Nicholas Donofrio, Edmund Kelly, Michael Kowalski, John Jr. Luke, Paul Myners, Mark Nordenberg, Catherine Rein, William Richardson, Brian Roberts, Samuel Scott, III, Richard Vaughan, Wesley Von Schack, Bank of New York Mellon Corporation Risk Committee, Paul L. Perry, Ivy Asset Management Corporation, Margolin, Winer & Evens LLP.Document filed by Board of Trustees of The Buffalo Laborers Security Fund, Ernest A. Hartman, Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Michael Talarski, Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Thomas R. Lostracco, George Kennedy, Rodney Malarchik, Irving Wood, James Rounds, Lyle D. Fassett, Rockne Burns, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Earl R. Hall, Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Local 73 Annuity Fund and Local 79 Retirement Fund. Related document: 1 Complaint, filed by Local 73 Annuity Fund anf Local 79 Retirement Fund.(mbe) (Entered: 01/04/2010)

01/06/2010 51 CERTIFICATE OF SERVICE of Summons and Amended Complaint,,,,,,,,,,,. Income- Plus Investment Fund served on 12/20/2009, answer due 1/11/2010; Paul Perry served on 12/20/2009, answer due 1/11/2010; Lawrence Simon served on 12/20/2009, answer due 1/11/2010; Howard Wohl served on 12/20/2009, answer due 1/11/2010; Adam Geiger served on 12/20/2009, answer due 1/11/2010; Jeffrey Lindenbaum served on 12/20/2009, answer due 1/11/2010; John Rogers served on 12/20/2009, answer due 1/11/2010; Sean Simon served on 12/20/2009, answer due 1/11/2010; Kevin Bannon served on 12/20/2009, answer due 1/11/2010; Steven Pisarkiewicz served on 12/20/2009, answer due 1/11/2010; Robert Meschi served on 12/20/2009, answer due 1/11/2010; Michael Singer served on 12/20/2009, answer due 1/11/2010; Alan Chuang

served on 12/20/2009, answer due 1/11/2010; Gregory Van Inwegen served on 12/20/2009, answer due 1/11/2010; Sean Cumiskey served on 12/20/2009, answer due 1/11/2010; Stuart Davies served on 12/20/2009, answer due 1/11/2010; Joseph Burns served on 12/20/2009, answer due 1/11/2010; Mark Santero served on 12/20/2009, answer due 1/11/2010; Peter Noris served on 12/20/2009, answer due 1/11/2010; Farzine Hachemian served on 12/20/2009, answer due 1/11/2010; Colleen Baldwin served on 12/20/2009, answer due 1/11/2010; Glenn Cummins served on 12/20/2009, answer due 1/11/2010; J.P. Jeanneret Associates, Inc. served on 12/20/2009, answer due 1/11/2010; John P. Jeanneret served on 12/20/2009, answer due 1/11/2010; Ivy Asset Management Corporation served on 12/20/2009, answer due 1/11/2010; Bank of New York Mellon Corporation served on 12/20/2009, answer due 1/11/2010. Service was made by MAIL. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Preminger, David) (Entered: 01/06/2010)

01/06/2010 52 MOTION for Carolyn A. Marcotte to Appear Pro Hac Vice. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry.(mro) (Entered: 01/07/2010)

01/07/2010 53 ACKNOWLEDGMENT OF SERVICE. Lawrence Simon served on 1/6/2010, answer due 1/27/2010; Howard Wohl served on 1/6/2010, answer due 1/27/2010; Adam Geiger served on 1/6/2010, answer due 1/27/2010; Jeffrey Lindenbaum served on 1/6/2010, answer due 1/27/2010; John Rogers served on 1/6/2010, answer due 1/27/2010; Sean Simon served on 1/6/2010, answer due 1/27/2010; Steven Pisarkiewicz served on 1/6/2010, answer due 1/27/2010; Robert Meschi served on 1/6/2010, answer due 1/27/2010; Susan Rabinowitz served on 1/6/2010, answer due 1/27/2010; Alan Chuang served on 1/6/2010, answer due 1/27/2010; Gregory Van Inwegen served on 1/6/2010, answer due 1/27/2010; Sean Cumiskey served on 1/6/2010, answer due 1/27/2010; Peter Noris served on 1/6/2010, answer due 1/27/2010; Farzine Hachemian served on 1/6/2010, answer due 1/27/2010; Colleen Baldwin served on 1/6/2010, answer due 1/27/2010; Glenn Cummins served on 1/6/2010, answer due 1/27/2010. Service was accepted by Jeffrey A. Rosenthal, Counsel. Document filed by Board of Trustees of The Buffalo Laborers Security Fund.

(Silberstein, Milo) (Entered: 01/07/2010)

01/07/2010 54 ACKNOWLEDGMENT OF SERVICE. Paul Perry served on 12/29/2009, answer due 1/19/2010; J.P. Jeanneret Associates, Inc. served on 12/29/2009, answer due 1/19/2010; John P. Jeanneret served on 12/29/2009, answer due 1/19/2010. Service was accepted by Brian E. Whiteley, Esq., Counsel. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Silberstein, Milo) (Entered: 01/07/2010)

01/08/2010 55 ORDER granting 52 Motion for Carolyn A. Marcotte to Appear Pro Hac Vice. (Signed by Judge Colleen McMahon on 1/8/2010) (js) (Entered: 01/08/2010)

01/08/2010 Transmission to Attorney Admissions Clerk. Transmitted re: 55 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (js) (Entered: 01/08/2010)


01/12/2010 56 CALENDAR NOTICE: Please take notice that the above captioned matter has been scheduled for a : Pre-trial Conference before the Honorable Colleen McMahon, United States District Judge, on Friday, January 15, 2010 at 11:45 A.M. in Courtroom 14C, U.S. District Court, 500 Pearl Street, New York, New York 10007. Any scheduling difficulties must be brought to the attention of the Court in writing and faxed to Chambers at (212) 805-6326. (Signed by Judge Colleen McMahon on 1/12/2010) (jfe) (Entered: 01/12/2010)

01/14/2010 57 NOTICE OF APPEARANCE by Evan Glassman on behalf of Custodial Trust Company (Glassman, Evan) (Entered: 01/14/2010)

01/15/2010 58 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying J.P. Morgan Chase & Co. as Corporate Parent. Document filed by Custodial Trust Company.(Glassman, Evan) (Entered: 01/15/2010)

01/15/2010 Minute Entry for proceedings held before Judge Colleen McMahon: Status Conference held on 1/15/2010. Decision: Status Conference held as reflected in the Court's order dated today, Defendants' motions to dismiss the consolidated amended class-action complaints shall proceed on the same schedule set forth in the Court's order dated 11/6/09. No one is obligated to respond to the HArtman plaintiffs' amended complaint until 20 days after the motions to dismiss are decided. (Submitted by George Turner). (mde) (Entered: 01/15/2010)

01/15/2010 59 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. no Corporate Parent. Document filed by Margolin, Winer & Evens LLP.(Kossove, Scott) (Entered: 01/15/2010)

01/15/2010 60 MOTION to Dismiss. Document filed by Custodial Trust Company. (Attachments: # 1 Affidavit of Evan Glassman, # 2 Exhibit 1, # 3 Exhibit 1-A, part 1, # 4 Exhibit 1A, part 2, # 5 Exhibit 1B, # 6 Exhibit 1C, # 7 Exhibit 2, # 8 Exhibit 2A, part 1, # 9 Exhibit 2A, part 2, # 10 Exhibit 2B, # 11 Exhibit 2C)(Glassman, Evan) (Entered: 01/15/2010)

01/15/2010 61 MOTION to Dismiss consolidated amended class action complaint. Document filed by Margolin, Winer & Evens LLP. Responses due by 2/19/2010 (Attachments: # 1

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Affidavit in support of motion to dismiss, # 2 Exhibit A (part 1 of 6), # 3 Exhibit A (part 2 of 6), # 4 Exhibit A (part 3 of 6), # 5 Exhibit A (part 4 of 6), # 6 Exhibit A (part 5 of 6), # 7 Exhibit A (part 6 of 6))(Kossove, Scott) (Entered: 01/15/2010)

CERTIFICATE OF SERVICE of Motion to Dismiss served on All Parties on 1/15/10. Document filed by Margolin, Winer & Evens LLP. (Kossove, Scott) (Entered: 01/15/2010)

MEMORANDUM OF LAW in Support re: 61 MOTION to Dismiss consolidated amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Attachments: # 1 Part 2 of Memorandum of Law)(Kossove, Scott) (Entered: 01/15/2010)

CERTIFICATE OF SERVICE of memorandum of law in support of motion to dismiss served on all parties on 1/15/10. Document filed by Margolin, Winer & Evens LLP. (Kossove, Scott) (Entered: 01/15/2010)

MEMORANDUM OF LAW in Support re: 60 MOTION to Dismiss.. Document filed by Custodial Trust Company. (Glassman, Evan) (Entered: 01/15/2010)

ORDER: Defendants' motions to dismiss the consolidated amended class-action complaints shall proceed on the schedule set forth in the Court's Order dated November 6, 2009: Defendants' motions to dismiss are due today, January 15, 2010; Plaintiffs' oppositions are due by February 19, 2010; Defendants' replies are due by March 5, 2010; and none of the briefs will be subject to the 25-page limit specified in the Judge's Individual Practices. Any and all Defendants' obligation to respond to the Hartman plaintiffs' amended complaint is stayed until 20 days after the Court decides those motions to dismiss. (Signed by Judge Colleen McMahon on 1/15/10) (db) (Entered: 01/15/2010)

MOTION to Dismiss. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry.(Cook, John) (Entered: 01/15/2010)

MEMORANDUM OF LAW in Support re: 67 MOTION to Dismiss.. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Cook, John) (Entered: 01/15/2010)

DECLARATION of John D. Cook in Support re: 67 MOTION to Dismiss.. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Attachments: # 1 Exhibit A-1, # 2 Exhibit A-2, # 3 Exhibit B-1, # 4 Exhibit B-2, # 5 Exhibit B-3, # 6 Exhibit C-1, # 7 Exhibit C-2, # 8 Exhibit D, # 9 Exhibit E, # 10 Exhibit F, # 11 Exhibit G, # 12 Exhibit H, # 13 Exhibit I, # 14 Exhibit J, # 15 Exhibit K, # 16 Exhibit L)(Cook, John) (Entered: 01/15/2010)

ANSWER to Complaint. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry.(Cook, John) (Entered: 01/15/2010)

NOTICE OF APPEARANCE by Andrew Lah on behalf of Ernest A. Hartman, Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust

Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Michael Talarski, Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Thomas R. Lostracco, George Kennedy, Rodney Malarchik, Irving Wood, James Rounds, Lyle D. Fassett, Rockne Burns, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Earl R. Hall, Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund) (Lah, Andrew) (Entered: 01/15/2010)

01/15/2010 72 NOTICE OF APPEARANCE by Andrew Lah on behalf of Ernest A. Hartman, Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Michael Talarski, Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Thomas R. Lostracco, George Kennedy, Rodney Malarchik, Irving Wood, James Rounds, Lyle D. Fassett, Rockne Burns, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Earl R. Hall, Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund) (Lah, Andrew) (Entered: 01/15/2010)

01/15/2010 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint . Document filed by Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Ivy Asset Management Corporation, Bank of New York Mellon Corporation.(Rosenthal, Jeffrey) (Entered: 01/15/2010)

01/15/2010 74 JOINT MEMORANDUM OF LAW in Support re: 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint .. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns,

01/15/2010 75

01/15/2010 76

01/19/2010 77

01/19/2010 78

01/19/2010 79

01/19/2010 80

Mark Santero, Peter Noris, Farzine Hachemian, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 01/15/2010)

DECLARATION of Jeffrey A. Rosenthal in Support re: 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint .. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (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)(Rosenthal, Jeffrey) (Entered: 01/15/2010)

CERTIFICATE OF SERVICE. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 01/15/2010)

DECLARATION of Evan Glassman in Support re: 60 MOTION to Dismiss.. Document filed by Custodial Trust Company. (Attachments: # 1 Exhibit 1, # 2 Exhibit 1-A, part 1 of 2, # 3 Exhibit 1-A, part 2 of 2, # 4 Exhibit 1-B, # 5 Exhibit 1-C, # 6 Exhibit 2, # 7 Exhibit 2-A, part 1 of 2, # 8 Exhibit 2-a, part 2 of 2, # 9 Exhibit 2-B, # 10 Exhibit 2-C)(Glassman, Evan) (Entered: 01/19/2010)

AFFIDAVIT of Scott Kossove in Support re: 61 MOTION to Dismiss consolidated amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Attachments: # 1 Exhibit A (part 1 of 6), # 2 Exhibit A (part 2 of 6), # 3 Exhibit A (part 3 of 6), # 4 Exhibit A (part 4 of 6), # 5 Exhibit A (part 5 of 6), # 6 Exhibit A (part 6 of 6))(Kossove, Scott) (Entered: 01/19/2010)

AMENDED MOTION to Dismiss. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation.(Rosenthal, Jeffrey) (Entered: 01/19/2010)

DECLARATION of Jeffrey A. Rosenthal in Support re: 79 AMENDED MOTION to Dismiss.. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 01/19/2010)

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01/19/2010 82

01/28/2010 83

CERTIFICATE OF SERVICE. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 01/19/2010)

NOTICE OF APPEARANCE by Ron Kilgard on behalf of Ernest A. Hartman (Kilgard, Ron) (Entered: 01/19/2010)

WAIVER OF SERVICE RETURNED EXECUTED. Frank Biondi, Jr waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 84 WAIVER OF SERVICE RETURNED EXECUTED. Nicholas Donofrio waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as

Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund); Joseph Burns. (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 85 WAIVER OF SERVICE RETURNED EXECUTED. Edmund Kelly waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 86 WAIVER OF SERVICE RETURNED EXECUTED. Michael Kowalski waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 87 WAIVER OF SERVICE RETURNED EXECUTED. John Jr. Luke waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 88 WAIVER OF SERVICE RETURNED EXECUTED. Mark Nordenberg waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 89 WAIVER OF SERVICE RETURNED EXECUTED. Catherine Rein waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local

325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 90 WAIVER OF SERVICE RETURNED EXECUTED. William Richardson waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 91 WAIVER OF SERVICE RETURNED EXECUTED. Brian Roberts waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A.

Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 92 WAIVER OF SERVICE RETURNED EXECUTED. Samuel Scott, III waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 93 WAIVER OF SERVICE RETURNED EXECUTED. Richard Vaughan waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A.

Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 94 WAIVER OF SERVICE RETURNED EXECUTED. Wesley Von Schack waiver sent on 12/18/2009, answer due 2/16/2010. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 95 AFFIDAVIT OF SERVICE. Service was accepted by Antonyo Anghel, Doorman for Susan Rabinowitz. Document filed by Ernest A. Hartman, Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Michael Talarski, Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Thomas R. Lostracco, George Kennedy, Rodney Malarchik, Irving Wood, James Rounds, Lyle D. Fassett, Rockne Burns, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Earl R. Hall, Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as

Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 96 AFFIDAVIT OF SERVICE. Ivy Investment Committee served on 1/7/2010, answer due 1/28/2010. Service was accepted by Anne Wynne, Senior Counsel. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 97 AFFIDAVIT OF SERVICE. Ivy Manager Approval Committee served on 1/7/2010, answer due 1/28/2010. Service was accepted by Anne Wynne, Senior Counsel. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 98 AFFIDAVIT OF SERVICE. Ivy Strategic Operating Committee served on 1/7/2010,

answer due 1/28/2010. Service was accepted by Anne Wynne, Senior Counsel. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/28/2010)

01/28/2010 101 MOTION for Cheri R. Tolin to Appear Pro Hac Vice. Document filed by Board of Trustees of The Buffalo Laborers Security Fund.(mro) (Entered: 02/04/2010)

01/29/2010 99 AFFIDAVIT OF SERVICE. Peter Rose served on 1/21/2010, answer due 2/11/2010. Service was accepted by Peter Rose. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 01/29/2010)

02/02/2010 100 AFFIDAVIT OF SERVICE. Service was accepted by Peter Rose. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (LeVan, Peter) (Entered: 02/02/2010)


02/08/2010 102 ORDER GRANTING MOTION FOR PRO HAC VICE FOR ATTORNEY CHERI R. TOLIN: granting 101 Motion for Cheri R. Tolin to Appear Pro Hac Vice. (Signed by Judge Colleen McMahon on 2/8/2010) (tve) (Entered: 02/08/2010)

02/16/2010 103 MOTION for Patrick F. Linehan to Appear Pro Hac Vice for defendant Custodial Trust Company. Document filed by Custodial Trust Company.(cd) (cd). (Entered: 02/17/2010)

02/16/2010 104 MOTION for Paul J. Ondrasik, Jr. to Appear Pro Hac Vice for defendant Custodial Trust Company. Document filed by Custodial Trust Company.(cd) (cd). (Entered: 02/17/2010)

02/18/2010 105 ORDER FOR ADMISSION PRO HAC VICE: It is hereby ordered that Paul J. Ondrasik is admitted pro hac vice in this action. (Signed by Judge Colleen McMahon on 2/18/2010) (jpo) (Entered: 02/18/2010)

02/18/2010 106 ORDER FOR ADMISSION PRO HAC VICE granting 103 Motion for Patrick F. Linehan to Appear Pro Hac Vice. (Signed by Judge Colleen McMahon on 2/18/2010) (jpo) (Entered: 02/18/2010)

02/19/2010 107 MEMORANDUM OF LAW in Opposition re: 79 AMENDED MOTION to Dismiss.. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (LeVan, Peter) (Entered: 02/19/2010)

02/19/2010 CASHIERS OFFICE REMARK on 103 Motion to Appear Pro Hac Vice, 104 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 02/16/2010, Receipt Number 894183. (jd) (Entered: 02/19/2010)

02/19/2010 108 MEMORANDUM OF LAW in Opposition re: 60 MOTION to Dismiss., 79 AMENDED MOTION to Dismiss., 67 MOTION to Dismiss., 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint .. Document filed by Local 267 Pension Fund, Local 267 Insurance Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Attachments: # 1 Certificate of Service)(Hart, Barbara) (Entered: 02/19/2010)

02/19/2010 109 MEMORANDUM OF LAW in Opposition re: 60 MOTION to Dismiss., 79 AMENDED MOTION to Dismiss., 67 MOTION to Dismiss., 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint . PART TWO . Document filed by Local 73 Annuity Fund, Local 73 Retirement Fund, Local 267 Pension Fund, Local 267 Insurance Fund. (Attachments: # 1 Certificate of Service)(Hart, Barbara) (Entered: 02/19/2010)

02/19/2010 110 MEMORANDUM OF LAW in Opposition re: 61 MOTION to Dismiss consolidated amended class action complaint.. Document filed by Local 73 Annuity Fund, Local 73 Retirement Fund, Local 267 Pension Fund, Local 267 Insurance Fund. (Attachments: # 1 Certificate of Service)(Hart, Barbara) (Entered: 02/19/2010)

02/19/2010 111 DECLARATION of Barbara J. Hart in Opposition re: 61 MOTION to Dismiss consolidated amended class action complaint., 60 MOTION to Dismiss., 79 AMENDED MOTION to Dismiss., 67 MOTION to Dismiss., 73 MOTION to Dismiss

the Consolidated Amended Class Action Complaint .. Document filed by Local 73 Annuity Fund, Local 73 Retirement Fund, Local 267 Pension Fund, Local 267 Insurance Fund. (Attachments: # 1 Exhibit Exhibit A - SEC Press Release, # 2 Exhibit Markopolos letter, # 3 Exhibit South Cherry complaint, # 4 Exhibit Exhibit D - Merkin Decision, # 5 Exhibit E - Baker complaint, # 6 Exhibit F - Income Plus Audited Statements, # 7 Exhibit G - Capital Acct. Reports, # 8 Exhibit H - Written Testimony SEC Ins. Gen., # 9 Certificate of Service)(Hart, Barbara) (Entered: 02/19/2010)

02/22/2010 112 ORDER EXTENDING TIME TO RESPOND, Peter Rose answer due 3/19/2010. (Signed by Judge Colleen McMahon on 2/22/10) (cd) (Entered: 02/22/2010)

03/02/2010 113 MOTION TO ADMIT COUNSEL PRO HAC VICE, for an order for Jeffrey E. McFadden to Appear Pro Hac Vice, w/ attch. Declaration in support. Document filed by Custodial Trust Company.(pl) (Entered: 03/04/2010)

03/05/2010 114 NOTICE OF CHANGE OF ADDRESS by Carolyn Anne Marcotte on behalf of J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. New Address: Hiscock & Barclay, LLP, One International Place, 26th Floor, Boston, MA, 02110, 617-274- 2900. (Marcotte, Carolyn) (Entered: 03/05/2010)

03/05/2010 115 NOTICE OF CHANGE OF ADDRESS by Brian E. Whiteley on behalf of J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. New Address: Hiscock & Barclay, LLP, One International Place, 26th Floor, Boston, MA, 02110, 617-274- 2900. (Whiteley, Brian) (Entered: 03/05/2010)


03/05/2010 116 REPLY AFFIDAVIT of Scott E. Kossove in Support re: 61 MOTION to Dismiss consolidated amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Kossove, Scott) (Entered: 03/05/2010)

03/05/2010 117 CERTIFICATE OF SERVICE of reply affidavit served on all parties on 3/5/10. Document filed by Margolin, Winer & Evens LLP. (Kossove, Scott) (Entered: 03/05/2010)

03/05/2010 118 REPLY MEMORANDUM OF LAW in Support re: 61 MOTION to Dismiss consolidated amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Attachments: # 1 part 2 of reply memorandum of law)(Kossove, Scott) (Entered: 03/05/2010)

03/05/2010 119 CERTIFICATE OF SERVICE of reply memorandum of law served on all parties on 3/5/10. Document filed by Margolin, Winer & Evens LLP. (Kossove, Scott) (Entered: 03/05/2010)

03/05/2010 120 REPLY to Response to Motion re: 60 MOTION to Dismiss.. Document filed by Custodial Trust Company. (Ondrasik, Paul) (Entered: 03/05/2010)

03/05/2010 121 REPLY MEMORANDUM OF LAW in Support re: 67 MOTION to Dismiss.. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Whiteley, Brian) (Entered: 03/05/2010)

03/05/2010 122 REPLY MEMORANDUM OF LAW in Support re: 79 AMENDED MOTION to

Dismiss.. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 03/05/2010)

CERTIFICATE OF SERVICE. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 03/05/2010)

ORDER FOR ADMISSION PRO HAC VICE, that said motion is GRANTED, and Jeffrey E. McFadden shall be permitted to appear pro hac vice in this matter as counsel for Custodial Trust Company. (Signed by Judge Colleen McMahon on 3/8/10) (pl) (Entered: 03/08/2010)

AFFIDAVIT OF SERVICE. Bank of New York Mellon Corporation Risk Committee served on 1/8/2010, answer due 1/29/2010. Service was accepted by Registered Agent Corporation Trust Company, Scott LaScala. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 03/12/2010)

03/19/2010 126 NOTICE OF APPEARANCE by Lewis J. Liman on behalf of Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Peter Rose, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn

03/05/2010 123

03/08/2010 124

03/12/2010 125

Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation (Attachments: # 1 Certificate of Service)(Liman, Lewis) (Entered: 03/19/2010)

03/19/2010 127 MOTION to Dismiss. Document filed by Peter Rose.(Liman, Lewis) (Entered: 03/19/2010)

03/19/2010 128 MEMORANDUM OF LAW in Support re: 127 MOTION to Dismiss.. Document filed by Peter Rose. (Liman, Lewis) (Entered: 03/19/2010)

03/19/2010 129 DECLARATION of Peter Rose in Support re: 127 MOTION to Dismiss.. Document filed by Peter Rose. (Liman, Lewis) (Entered: 03/19/2010)

03/19/2010 130 DECLARATION of Lewis J. Liman in Support re: 127 MOTION to Dismiss.. Document filed by Peter Rose. (Attachments: # 1 Exhibit A)(Liman, Lewis) (Entered: 03/19/2010)

03/19/2010 131 CERTIFICATE OF SERVICE. Document filed by Peter Rose. (Liman, Lewis) (Entered: 03/19/2010)

04/01/2010 132 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, without prejudice against the defendant(s) Peter Rose. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (LeVan, Peter) Modified on 4/2/2010 (ml). (Entered: 04/01/2010)

04/02/2010 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Peter LeVan Document 132 Notice of Voluntary Dismissal, was referred to Judge Colleen McMahon for approval. (ml) (Entered: 04/02/2010)

04/05/2010 133 NOTICE OF VOLUNTARY DISMISSAL WITHOUT PREJUDICE OF CLAIMS AGAINST PETER ROSE ONLY: Pursuant to Rule 41(a)(1) of the Federal Rules of Civil Procedure, Plaintiffs hereby voluntarily dismiss this action as against Defendant Peter Rose without prejudice. This will not affect any other claims the Plaintiffs have against any other party. (Signed by Judge Colleen McMahon on 4/5/2010) (jfe) (Entered: 04/05/2010)

05/13/2010 134 ENDORSED LETTER addressed to Counsel from Judge Colleen McMahon dated 5/13/2010 re: Your correspondence. ENDORSEMENT: I was expecting to hear from you. Of course I would not consider the Attorney General's complaint in connection with my evaluation of the Amended Class and Amended ERISA Class complaints. However, there is no way that I would deny motions for leave to amend, either. So please don't bother to move. Just amend both complaints within ten days (i.e., by 5/21/2010). The pending motions are denied as moot in view of the amendment of the complaints. New motions to dismiss should be filed by June 30, with responsive papers due July 23 and replies July 30. Understand: I expect defendants to edit their existing motions papers to deal with the new fact allegations, and I don't think they will need to do much in order to accomplish that. But I am giving you some time to get it done. I will not grant any extensions of this schedule, as I want to get this case moving this fall. (Motions due by 6/30/2010. Responses due by 7/23/2010. Replies

due by 7/30/2010.) Motions terminated: 79 AMENDED MOTION to Dismiss, 61 MOTION to Dismiss consolidated amended class action complaint, 60 MOTION to Dismiss, 67 MOTION to Dismiss, 127 MOTION to Dismiss, 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint . (Signed by Judge Colleen McMahon on 5/13/2010) (tro) Modified on 5/14/2010 (tro). (Entered: 05/13/2010)

05/13/2010 135 ENDORSED LETTER addressed to Judge Colleen McMahon from Barbara J. Hart dated 5/11/2010 re: We intend to file a motion seeking Your Honor's leave to amend the complaint. ENDORSEMENT: Don't bother the move - just file an amended complaint in 10 days - Pending motion to dismiss denied as moot - new motion by June 30. (Signed by Judge Colleen McMahon on 5/13/2010) (jpo) (Entered: 05/14/2010)

05/13/2010 Set Deadlines/Hearings: Amended Pleadings due by 5/21/2010. (tro) (Entered: 05/14/2010)

05/21/2010 136 CERTIFICATE OF SERVICE of First Amended Consolidated Class Action Complaint served on Brian E. Whiteley on 05/21/10. Service was made by Mail. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Silberstein, Milo) (Entered: 05/21/2010)

05/21/2010 137 CERTIFICATE OF SERVICE of First Amended Consolidated Class Action Complaint served on Jeffrey Rosenthal on 05/21/10. Service was made by Mail. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Silberstein, Milo) (Entered: 05/21/2010)

05/21/2010 138 AMENDED COMPLAINT amending 1 Complaint, against Income-Plus Investment Fund, Paul Perry, Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Ivy Manager Approval Committee, Ivy Investment Committee, Ivy Strategic Operating Committee, Frank Biondi, Jr, Nicholas Donofrio, Edmund Kelly, Michael Kowalski, John Jr. Luke, Paul Myners, Mark Nordenberg, Catherine Rein, William Richardson, Brian Roberts, Samuel Scott, III, Richard Vaughan, Wesley Von Schack, Bank of New York Mellon Corporation Risk Committee, Custodial Trust Company, J.P. Jeanneret Associates, Inc., Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, John P. Jeanneret, Paul L. Perry, Ivy Asset Management Corporation, Bank of New York Mellon Corporation, Margolin, Winer & Evens LLP.Document filed by Board of Trustees of The Buffalo Laborers Security Fund. Related document: 1 Complaint, filed by Local 73 Annuity Fund. (Attachments: # 1 Supplement, # 2 Supplement, # 3 Supplement)(rdz) (Entered: 05/25/2010)

05/21/2010 139 SECOND AMENDED COMPLAINT amending 50 Complaint, against Income-Plus Investment Fund, Paul Perry, Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Michael Singer, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Ivy Manager Approval Committee, Ivy Investment Committee, Ivy Strategic Operating Committee, Frank Biondi, Jr, Nicholas Donofrio, Edmund Kelly, Michael Kowalski, John Jr. Luke, Paul Myners,

Mark Nordenberg, Catherine Rein, William Richardson, Brian Roberts, Samuel Scott, III, Richard Vaughan, Wesley Von Schack, Bank of New York Mellon Corporation Risk Committee, Custodial Trust Company, J.P. Jeanneret Associates, Inc., Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, John P. Jeanneret, Paul L. Perry, Ivy Asset Management Corporation, Bank of New York Mellon Corporation, Margolin, Winer & Evens LLP.Document filed by Kimberly A. Bautista, Rockne Burns, Elizabeth F. Cassada, James F. Collins, Lyle D. Fasset, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Frank Spencer, James Rounds, Carmen, A. Serrett, Dale Stulmiller, Micahel Talarski, James A. Williams, Irving Wood . Related document: 50 Complaint, filed by Kimberly A. Bautista, Rockne Burns, Elizabeth F. Cassada, James F. Collins, Lyle D. Fasset, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Frank Spencer, James Rounds, Carmen, A. Serrett, Dale Stulmiller, Micahel Talarski, James A. Williams, Irving Wood .(rdz) (ama). Modified on 6/1/2010 (rdz). Modified on 6/8/2010 (rdz). Modified on 6/8/2010 (rdz). (Additional attachment(s) added on 7/23/2010: # 1 Main Document, # 2 Affidavit) (rdz). (Additional attachment(s) added on 8/5/2010: # 1 Exhibit, # 2 Exhibit) (rdz). (Additional attachment(s) added on 9/14/2010: # 3 Main Document) (ae). (Attachment 2 replaced on 9/14/2010) (ama). (ama). (Additional attachment(s) added on 9/14/2010: # 1 Certificte of Service) (ama). (Entered: 05/25/2010)

05/21/2010 140 THIRD AMENDED COMPLAINT amending 1 Complaint, against Paul Perry, Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Colleen Baldwin, Glenn Cummins, J.P. Jeanneret Associates, Inc., John P. Jeanneret, Ivy Asset Management Corporation, Bank of New York Mellon Corporation.Document filed by Ernest A. Hartman, Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Michael Talarski, Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Thomas R. Lostracco, George Kennedy, Rodney Malarchik, Irving Wood, Lyle D. Fassett, Rockne Burns, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Earl R. Hall, Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Local 267 Insurance Fund. Related document: 1 Complaint, filed by Local 73 Annuity Fund.(rdz) (Entered: 05/25/2010)

05/25/2010 141 AFFIDAVIT OF SERVICE. Paul Myners served on 4/30/2010, answer due 5/21/2010. Service was accepted by Paul Myners. Document filed by Ernest A. Hartman; Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Pension Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund); James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund); Kimberly A. Bautista(as Trustees of the IBEW Local

325 Annuity Fund); James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund); Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund); Michael Talarski; Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund); Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund); James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund); Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund); James A. Williams(as Trustee of the IBEW Local 910 Pension Fund); Thomas R. Lostracco; George Kennedy; Rodney Malarchik; Irving Wood; James Rounds; Lyle D. Fassett; Rockne Burns; Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund); Earl R. Hall; Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Pension Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund); Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund); Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund); Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund); Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund). (Williams-Derry, Amy) (Entered: 05/25/2010)

06/04/2010 ***REJECTION OF ATTEMPTED PAPER FILING IN ECF CASE. The following document(s) Certificate Of Service John I. Khalil, was rejected by the Clerk's Office and must be FILED ELECTRONICALLY on the Court's ECF System. (jab) (Entered: 06/04/2010)

06/16/2010 142 AFFIDAVIT OF SERVICE of Summons and Amended Complaint,,,,,,,. Lawrence Simon served on 1/6/2010, answer due 6/11/2010; Howard Wohl served on 1/6/2010, answer due 6/11/2010; Adam Geiger served on 1/6/2010, answer due 6/11/2010; John Rogers served on 1/6/2010, answer due 6/11/2010; Sean Simon served on 1/6/2010, answer due 6/11/2010; Steven Pisarkiewicz served on 1/6/2010, answer due 6/11/2010; Robert Meschi served on 1/6/2010, answer due 6/11/2010; Susan Rabinowitz served on 1/6/2010, answer due 6/11/2010; Gregory Van Inwegen served on 1/6/2010, answer due 6/11/2010; Mark Santero served on 12/20/2009, answer due 6/11/2010; Peter Noris served on 1/6/2010, answer due 6/11/2010; Catherine Rein served on 12/18/2009, answer due 6/11/2010; William Richardson served on 12/18/2009, answer due 6/11/2010; Brian Roberts served on 12/18/2009, answer due 6/11/2010; Samuel Scott, III served on 12/18/2009, answer due 6/11/2010; Richard Vaughan served on 12/18/2009, answer due 6/11/2010; Wesley Von Schack served on 12/18/2009, answer due 6/11/2010; J.P. Jeanneret Associates, Inc. served on 4/28/2009, answer due 6/11/2010; Scott E. Wennerholm answer due 6/11/2010; Ronald P. O'Hanley answer due 6/11/2010; John P. Jeanneret served on 5/1/2009, answer due 6/11/2010; Paul L. Perry served on 4/28/2009, answer due 6/11/2010; Ivy Asset Management Corporation served on 4/23/2009, answer due 6/11/2010; Bank of New York Mellon Corporation served on 4/23/2009, answer due 6/11/2010; Margolin, Winer & Evens LLP served on 4/27/2009, answer due 6/11/2010. Service was made by Mail. Document filed by Local 73 Annuity Fund; Local 73 Retirement Fund; Local 267 Pension Fund. (Hart, Barbara) (Entered: 06/16/2010)

06/30/2010 143 MOTION to Dismiss second amended class action complaint . Document filed by Margolin, Winer & Evens LLP. Responses due by 7/23/2010(Kossove, Scott) (Entered: 06/30/2010)

06/30/2010 144 CERTIFICATE OF SERVICE of Motion to Dismiss. Document filed by Margolin, Winer & Evens LLP. (Kossove, Scott) (Entered: 06/30/2010)

06/30/2010 145 AFFIDAVIT of Scott E. Kossove in Support re: 143 MOTION to Dismiss second amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Attachments: # 1 Exhibit A (Part 1 of 7), # 2 Exhibit A (Part 2 of 7), # 3 Exhibit A (Part 3 of 7), # 4 Exhibit A (Part 4 of 7), # 5 Exhibit A (Part 5 of 7), # 6 Exhibit A (Part 6 of 7), # 7 Exhibit A (Part 7 of 7))(Kossove, Scott) (Entered: 06/30/2010)

06/30/2010 146 MEMORANDUM OF LAW in Support re: 143 MOTION to Dismiss second amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Attachments: # 1 Part 2 of Memorandum of law)(Kossove, Scott) (Entered: 06/30/2010)

06/30/2010 147 CERTIFICATE OF SERVICE of memorandum of law in support of motion to dismiss. Document filed by Margolin, Winer & Evens LLP. (Kossove, Scott) (Entered: 06/30/2010)

06/30/2010 148 MOTION to Dismiss Second Amended Class Action Complaint . Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry.(Whiteley, Brian) (Entered: 06/30/2010)

06/30/2010 149 MEMORANDUM OF LAW in Support re: 148 MOTION to Dismiss Second Amended Class Action Complaint .. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Whiteley, Brian) (Entered: 06/30/2010)

06/30/2010 150 DECLARATION of Brian E. Whiteley in Support re: 148 MOTION to Dismiss Second Amended Class Action Complaint .. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Attachments: # 1 Exhibit A-1, # 2 Exhibit A-2, # 3 Exhibit B-1, # 4 Exhibit B-2, # 5 Exhibit B-3, # 6 Exhibit C-1, # 7 Exhibit C-2, # 8 Exhibit D, # 9 Exhibit E, # 10 Exhibit F, # 11 Exhibit G, # 12 Exhibit H, # 13 Exhibit I, # 14 Exhibit J, # 15 Exhibit K, # 16 Exhibit L, # 17 Exhibit M, # 18 Exhibit N, # 19 Exhibit O)(Whiteley, Brian) (Entered: 06/30/2010)

06/30/2010 151 ANSWER to Amended Complaint. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. Related document: 138 Amended Complaint,,,, filed by Board of Trustees of The Buffalo Laborers Security Fund.(Whiteley, Brian) (Entered: 06/30/2010)

06/30/2010 152 MOTION to Dismiss. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation.(Rosenthal, Jeffrey) (Entered: 06/30/2010)

06/30/2010 153 MEMORANDUM OF LAW in Support re: 152 MOTION to Dismiss.. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 06/30/2010)

06/30/2010 154 DECLARATION of Jeffrey A. Rosenthal in Support re: 152 MOTION to Dismiss.. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G, # 8 Exhibit H, # 9 Exhibit I, # 10 Exhibit J, # 11 Exhibit K, # 12 Exhibit L, # 13 Exhibit M, # 14 Exhibit N, # 15 Exhibit O, # 16 Exhibit P, # 17 Exhibit Q - Part I, # 18 Exhibit Q - Part II)(Rosenthal, Jeffrey) (Entered: 06/30/2010)

CERTIFICATE OF SERVICE. Document filed by Lawrence Simon, Howard Wohl, Adam Geiger, Jeffrey Lindenbaum, John Rogers, Sean Simon, Kevin Bannon, Steven Pisarkiewicz, Robert Meschi, Susan Rabinowitz, Alan Chuang, Gregory Van Inwegen, Sean Cumiskey, Stuart Davies, Joseph Burns, Mark Santero, Peter Noris, Farzine Hachemian, Colleen Baldwin, Glenn Cummins, Scott E. Wennerholm, Jonathan Little, Ronald P. O'Hanley, Ivy Asset Management Corporation, Bank of New York Mellon Corporation. (Rosenthal, Jeffrey) (Entered: 06/30/2010)

MEMORANDUM OF LAW in Opposition re: 152 MOTION to Dismiss.. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (LeVan, Peter) (Entered: 07/23/2010)

FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Amend/Correct Scheduling Order. Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. (Attachments: # 1 Affidavit Declaration of Amy Williams-Derry in Support of Motion to Amend Scheduling Order, # 2 Exhibit A to Declaration of AWD, # 3 Exhibit B to Declaration of AWD, # 4 Certificate of

06/30/2010 155

07/23/2010 156

07/23/2010 157

Service)(Preminger, David) Modified on 7/26/2010 (db). (Entered: 07/23/2010)

07/23/2010 158 MEMORANDUM OF LAW in Opposition re: 152 MOTION to Dismiss. 148 MOTION to Dismiss Second Amended Class Action Complaint . Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Hart, Barbara) Modified on 7/26/2010 (db). Modified on 7/26/2010 (db). (Entered: 07/23/2010)

07/23/2010 159 MEMORANDUM OF LAW in Opposition re: 143 MOTION to Dismiss second amended class action complaint.. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Hart, Barbara) (Entered: 07/23/2010)

07/23/2010 160 DECLARATION of Barbara J. Hart in Opposition re: 152 MOTION to Dismiss., 143 MOTION to Dismiss second amended class action complaint ., 148 MOTION to Dismiss Second Amended Class Action Complaint .. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (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)(Hart, Barbara) (Entered: 07/23/2010)

07/23/2010 161 CERTIFICATE OF SERVICE. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Hart, Barbara) (Entered: 07/23/2010)

07/23/2010 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney David Steven Preminger to RE-FILE Document 157 MOTION to Amend/Correct Scheduling Order. ERROR(S): Supporting Documents are filed separately, each getting there own Document #. ***REMINDER*** - First Re-File Motion, then file and link any supporting documents. (db) (Entered: 07/26/2010)

07/26/2010 162 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Amend/Correct Scheduling Order. Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State

Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood.(Preminger, David) Modified on 7/28/2010 (db). (Entered: 07/26/2010)

07/26/2010 163 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Amy Williams-Derry in Support re: 162 MOTION to Amend/Correct Scheduling Order . Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Preminger, David) Modified on 7/28/2010 (db). (Entered: 07/26/2010)

07/26/2010 164 CERTIFICATE OF SERVICE. Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of

Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. (Preminger, David) (Entered: 07/26/2010)

07/26/2010 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney David Steven Preminger to RE-FILE Document 162 MOTION to Amend/Correct Scheduling Order. ERROR(S): Supporting Documents (Memorandum in Support) are filed separately, each getting there own Document #. ***REMINDER*** - First Re-File Motion, then file and link any supporting documents. (db) (Entered: 07/28/2010)

07/26/2010 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney David Steven Preminger to RE-FILE Document 163 Declaration in Support of Motion. ERROR(S): Supporting Documents must be linked to the correct motion. (db) (Entered: 07/28/2010)

07/28/2010 165 MOTION to Amend/Correct Scheduling Order. Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood.(Preminger, David) (Entered: 07/28/2010)

07/28/2010 166 MEMORANDUM OF LAW in Support re: 165 MOTION to Amend/Correct Scheduling Order.. Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F.

Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. (Preminger, David) (Entered: 07/28/2010)

07/28/2010 167 DECLARATION of Amy Williams-Derry in Support re: 165 MOTION to Amend/Correct Scheduling Order.. Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Preminger, David) (Entered: 07/28/2010)

07/28/2010 168 CERTIFICATE OF SERVICE. Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as

Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. (Preminger, David) (Entered: 07/28/2010)

07/29/2010 169 (VACATED as per doc. #175): ORDER DISPOSING OF MOTION TO AMEND SCHEDULING ORDER, The motion is granted to the following extent: I am vacating that portion of the January 15, 2010 order that stays defendants' obligation to respond to the ERISA complaint until after I decide the securities motions to dismiss. Since we know that there will not be an answer, but rather a motion to dismiss, in the ERISA case as well, the parties should get together and set a briefing schedule for the ERISA dismissal motions, which should follow hard on the end of briefing on the securities motions. Do not set a schedule that ties briefing on the ERISA motions to the decision on the securities motions. The Clerk of the Court is directed to strike the "motion to amend scheduling order" (Docket # 165) from the Court's calendar of open motions. In the futures PLEASE do not use motions to deal with scheduling issues.. (Signed by Judge Colleen McMahon on 7/29/2010) BY ECF TO ALL COUNSEL(ae) . (Entered: 07/29/2010)

NOTICE of SUPPLEMENTAL AUTHORITY re: 158 Memorandum of Law in Opposition to Motion, 159 Memorandum of Law in Opposition to Motion. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Attachments: # 1 Exhibit 1)(Hart, Barbara) (Entered: 07/30/2010)

REPLY MEMORANDUM OF LAW in Support re: 143 MOTION to Dismiss second amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Attachments: # 1 part 2 of Reply Memorandum of Law, # 2 Affidavit Certificate of Service)(Kossove, Scott) (Entered: 07/30/2010)

REPLY MEMORANDUM OF LAW in Support re: 148 MOTION to Dismiss Second Amended Class Action Complaint .. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Whiteley, Brian) (Entered: 07/30/2010)

REPLY MEMORANDUM OF LAW in Support re: 152 MOTION to Dismiss.. Document filed by Colleen Baldwin, Bank of New York Mellon Corporation, Kevin Bannon, Joseph Burns, Alan Chuang, Sean Cumiskey, Glenn Cummins, Stuart Davies, Adam Geiger, Farzine Hachemian, Ivy Asset Management Corporation, Jeffrey Lindenbaum, Jonathan Little, Robert Meschi, Peter Noris, Ronald P. O'Hanley, Steven Pisarkiewicz, Susan Rabinowitz, John Rogers, Mark Santero, Lawrence Simon, Sean Simon, Gregory Van Inwegen, Scott E. Wennerholm, Howard Wohl. (Rosenthal,

07/30/2010 170

07/30/2010 171

07/30/2010 172

07/30/2010 173

Jeffrey) (Entered: 07/30/2010)

07/30/2010 174 CERTIFICATE OF SERVICE. Document filed by Colleen Baldwin, Bank of New York Mellon Corporation, Kevin Bannon, Joseph Burns, Alan Chuang, Sean Cumiskey, Glenn Cummins, Stuart Davies, Adam Geiger, Farzine Hachemian, Ivy Asset Management Corporation, Jeffrey Lindenbaum, Jonathan Little, Robert Meschi, Peter Noris, Ronald P. O'Hanley, Steven Pisarkiewicz, Susan Rabinowitz, John Rogers, Mark Santero, Lawrence Simon, Sean Simon, Gregory Van Inwegen, Scott E. Wennerholm, Howard Wohl. (Rosenthal, Jeffrey) (Entered: 07/30/2010)

08/02/2010 175 ORDER VACATING ORDER FILED JULY 29, 2010 AND REINSTATING SCHEDULING ORDER OF JANUARY 15, 2010... (Signed by Judge Colleen McMahon on 8/2/2010). (mde) (Entered: 08/02/2010)

08/17/2010 176 MOTION for Cheri R. Tolin to Withdraw as Attorney. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Attachments: # 1 Text of Proposed

i Order)(LeVan, Peter) (Entered: 08/17/2010)

08/19/2010 177 NOTICE of Supplemental Authority re: 158 Memorandum of Law in Opposition to Motion, 159 Memorandum of Law in Opposition to Motion. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Attachments: # 1 Attachment)(Hart, Barbara) (Entered: 08/19/2010)

08/24/2010 178 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENTS - MOTION for Leave to Appear Pro Hac Vice for Attorneys Shannon O. Lack and Tyler S. Graden. Document filed by Board of Trustees of The Buffalo Laborers Security Fund.(Silberstein, Milo) Modified on 8/25/2010 (db). (Entered: 08/24/2010)

08/24/2010 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Milo Silberstein to MANUALLY RE-FILE Document No. 178 Motion Pro Hac Vice. This document is not filed via ECF. (db) (Entered: 08/25/2010)

08/24/2010 179 MOTION for Shannon O. Lack and Tyler S. Graden to Appear Pro Hac Vice. Document filed by Board of Trustees of The Buffalo Laborers Security Fund (mbe) Modified on 8/26/2010 (tro). (Entered: 08/25/2010)

08/26/2010 180 ORDER granting 179 Motion for Shannon O. Lack and Tyler S. Graden to Appear Pro Hac Vice. So Ordered. (Signed by Judge Colleen McMahon on 8/26/2010) (js)

i (Entered: 08/26/2010)

08/27/2010 181 NOTICE OF CHANGE OF ADDRESS by Margaret E. Hasselman on behalf of Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik,

Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. New Address: 476 - 9th Street, Oakland, CA, USA 94607,. (Hasselman, Margaret) (Entered: 08/27/2010)

08/27/2010 182 NOTICE OF CHANGE OF ADDRESS by Andrew Lah on behalf of Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. New Address: 476 - 9th Street, Oakland, CA, USA 94607,. (Lah, Andrew) (Entered: 08/27/2010)

08/27/2010 183 NOTICE OF CHANGE OF ADDRESS by Catha Worthman on behalf of Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest

A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. New Address: 476 - 9th Street, Oakland, CA, 94607,. (Worthman, Catha) (Entered: 08/27/2010)

08/27/2010 184 NOTICE OF CHANGE OF ADDRESS by Jeffrey G Lewis on behalf of Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Pension Fund), Lyle D. Fassett, Earl R. Hall, Ernest A. Hartman, George Kennedy, Thomas R. Lostracco, Rodney Malarchik, Patrick Morin(as Trustees of Empire State Carpenters Pension Fund), Patrick Morin(as Trustees of the Empire State Carpenters Welfare Fund), Patrick Morin(as Trustees of Empire State Carpenters Annuity Fund), James Rounds, Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Michael Talarski, James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Irving Wood. New Address: 476 - 9th Street, Oakland, CA, 94607,. (Lewis, Jeffrey) (Entered: 08/27/2010)


10/05/2010 185 NOTICE of SUPPLEMENTAL AUTHORITY re: 158 Memorandum of Law in Opposition to Motion, 159 Memorandum of Law in Opposition to Motion. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Attachments: # 1 Attachment)(Hart, Barbara) (Entered: 10/05/2010)

10/06/2010 186 NOTICE of Supplemental Authority re: 156 Memorandum of Law in Opposition to Motion. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Attachments: # 1 Exhibit, # 2 Exhibit)(LeVan, Peter) (Entered: 10/06/2010)

10/08/2010 187 ORDER granting 176 Motion to Withdraw as Attorney. Attorney Cheri R. Tolin terminated. (Signed by Judge Colleen McMahon on 10/8/10) (cd) (Entered: 10/08/2010)

10/15/2010 188 ORDER SEEKING COMMENT York Times, you will understand that I have been otherwise occupied. I have, however, taken the time to read Judge Sand's recent opinion, which you kindly sent me. I know that it does not bind me. Nonetheless, before I do further work on your motions, I want to give counsel for the defendants a chance to file short (no more than five or six pages) briefs, explaining why the situation before this court is different. Understand, I don't want your critique of why Judge Sand's decision is wrong - I only want to know whether there is something about the allegations against your clients in this case that makes my colleague's decision irrelevant, or only marginally relevant, to your pending motions to dismiss. I will of course allow plaintiffs to file an equally brief response. If defendants could get me something by next Friday, and plaintiffs by the Wednesday after that, I would greatly appreciate it. Many thanks. (Signed by Judge Colleen McMahon on 10/15/2010) (jmi) (Entered: 10/15/2010)

NOTICE OF APPEARANCE by Stephen Aaron Silverman on behalf of Secretary of Labor, U.S. Dept. of Labor (Silverman, Stephen) (Entered: 10/15/2010)

MOTION for Leave to File Amicus Brief. Document filed by Secretary of Labor, U.S. Dept. of Labor. (Attachments: # 1 Secretary of Labor's Amicus Brief)(Silverman, Stephen) (Entered: 10/18/2010)

MEMORANDUM ENDORSEMENT re: 190 MOTION OF THE SECRETARY OF LABOR FOR LEAVE TO FILE INSTANTER A BRIEF AS AMICUS CURIAE IN SUPPORT OF PLAINTIFFS' MEMORANDA IN OPPOSITION TO DEFENDANTS' MOTIONS TO DISMISS. ORDER granting 190 Motion for Leave to File Document. ENDORSEMENT: The motion is granted. (Signed by Judge Colleen McMahon on 10/18/10) (db) Modified on 10/28/2010 (db). (Entered: 10/19/2010)

SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 61 MOTION to Dismiss consolidated amended class action complaint.. Document filed by Margolin, Winer & Evens LLP. (Attachments: # 1 Affidavit Certificate of Service)(Kossove, Scott) (Entered: 10/22/2010)

RESPONSE in Support re: 148 MOTION to Dismiss Second Amended Class Action Complaint . and to the Court's October 15, 2010 Order Seeking Comment. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. (Whiteley, Brian) (Entered: 10/22/2010)

SUPPLEMENTAL MEMORANDUM OF LAW in Support re: 152 MOTION to Dismiss.. Document filed by Colleen Baldwin, Bank of New York Mellon Corporation, Kevin Bannon, Joseph Burns, Alan Chuang, Sean Cumiskey, Glenn Cummins, Stuart Davies, Adam Geiger, Farzine Hachemian, Ivy Asset Management Corporation, Jeffrey Lindenbaum, Jonathan Little, Robert Meschi, Peter Noris, Ronald P. O'Hanley, Steven Pisarkiewicz, Susan Rabinowitz, John Rogers, Mark Santero, Lawrence Simon, Sean Simon, Gregory Van Inwegen, Scott E. Wennerholm, Howard

10/15/2010 189

10/18/2010 190

10/19/2010 191

10/22/2010 192

10/22/2010 193

10/22/2010 194

Wohl. (Liman, Lewis) (Entered: 10/22/2010)

10/22/2010 195 DECLARATION of Shiwon Choe in Support re: 152 MOTION to Dismiss.. Document filed by Colleen Baldwin, Bank of New York Mellon Corporation, Kevin Bannon, Joseph Burns, Alan Chuang, Sean Cumiskey, Glenn Cummins, Stuart Davies, Adam Geiger, Farzine Hachemian, Ivy Asset Management Corporation, Jeffrey Lindenbaum, Jonathan Little, Robert Meschi, Peter Noris, Ronald P. O'Hanley, Steven Pisarkiewicz, Susan Rabinowitz, John Rogers, Mark Santero, Lawrence Simon, Sean Simon, Gregory Van Inwegen, Scott E. Wennerholm, Howard Wohl. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Liman, Lewis) (Entered: 10/22/2010)

10/22/2010 196 CERTIFICATE OF SERVICE. Document filed by Colleen Baldwin, Bank of New York Mellon Corporation, Kevin Bannon, Joseph Burns, Alan Chuang, Sean Cumiskey, Glenn Cummins, Stuart Davies, Adam Geiger, Farzine Hachemian, Ivy Asset Management Corporation, Jeffrey Lindenbaum, Jonathan Little, Robert Meschi, Peter Noris, Ronald P. O'Hanley, Steven Pisarkiewicz, Susan Rabinowitz, John Rogers, Mark Santero, Lawrence Simon, Sean Simon, Gregory Van Inwegen, Scott E. Wennerholm, Howard Wohl. (Liman, Lewis) (Entered: 10/22/2010)

10/27/2010 197 RESPONSE in Opposition re: 61 MOTION to Dismiss consolidated amended class action complaint., 152 MOTION to Dismiss., 79 AMENDED MOTION to Dismiss., 67 MOTION to Dismiss., 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint .. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Hart, Barbara) (Entered: 10/27/2010)

10/27/2010 198 RESPONSE in Opposition re: 152 MOTION to Dismiss., 79 AMENDED MOTION to Dismiss., 73 MOTION to Dismiss the Consolidated Amended Class Action Complaint.. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (LeVan, Peter) (Entered: 10/27/2010)

11/11/2010 199 NOTICE OF APPEARANCE by Todd Seth Garber on behalf of Local 73 Annuity Fund, Local 73 Retirement Fund (Garber, Todd) (Entered: 11/11/2010)

11/15/2010 200 NOTICE OF APPEARANCE by Deborah A. Rogozinski on behalf of Local 73 Annuity Fund, Local 73 Retirement Fund (Rogozinski, Deborah) (Entered: 11/15/2010)

11/24/2010 201 NOTICE of SUPPLEMENTAL AUTHORITY re: 158 Memorandum of Law in Opposition to Motion,. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Attachments: # 1 Exhibit 1)(Hart, Barbara) (Entered: 11/24/2010)

12/07/2010 202 ENDORSED LETTER addressed to Counsel from Judge Colleen McMahon dated 12/7/10 re: I have not forgotten you. Your case is the deep background of my professional life. Unfortunately, it keeps getting interrupted by other matters.I am deeply enough into my work on your motions to realize that I need to bring you in, so that I can ask you some questions. I don't particularly want to hear "oral argument" in the traditional sense - I know what PIMCO holds; I appreciate how plaintiffs have cast their arguments to take themselves out of it; I have read Judge Sand's opinion over and over. But as I slog through these papers, I am making a list of questions and issues that need to be discussed can you figure out some times next week that work for all of

you and communicate them to Mariela de Jesus, my Deputy Clerk, so she can find a spot on our calendar. I should not think it would take more than an hour. Many thanks. (Signed by Judge Colleen McMahon on 12/7/10) (db) (Entered: 12/07/2010)

NOTICE of SUPPLEMENTAL AUTHORITY re: 158 Memorandum of Law in Opposition to Motion,. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund. (Attachments: # 1 Exhibit 1)(Hart, Barbara) (Entered: 12/07/2010)

NOTICE of Supplemental Authority re: 156 Memorandum of Law in Opposition to Motion. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (Attachments: # 1 Exhibit 1)(LeVan, Peter) (Entered: 12/07/2010)

TRANSCRIPT of proceedings held on December 14, 2010 2:00 p.m. before Judge Colleen McMahon. (ajc) (Entered: 12/21/2010)

ORDER: The court has received a letter from the Secretary of Labor, dated December 17, 2010, alerting me to the fact that the Secretary has filed a lawsuit under ERISA against the Jeanneret and Ivy Defendants in this action. The claims asserted related both to the investment by certain ERISA plans in Beacon Associates (the subject of litigation before Judge Sand) and Income Plus and direct accounts (the subject of litigation before this court). The Secretary's action was filed as a "related case" to Judge Sand's action - which it certainly is. It is also related to the cases pending before me. However, all the parties to the Secretary's action are presently before Judge Sand, whereas the Beacon defendants are not parties to the cases pending before me. The Secretary has asked that all the ERISA claims relating to Ivy and Jeanneret whether relating to Beacon Associates, Income Plus or direct investors - be heard in a single forum. I agree that it would be prudent to move all of the ERISA litigation to one judge. I will coordinate with Judge Sand and we will figure out a way of moving forward. In the event that Judge Sand agrees to take on the ERISA actions pending before this court, I will nonetheless finish work on the pending motions to dismiss; I have no intention of burdening a colleague with another round of motions. As of this moment, however, the likelihood that I will dismiss the ERISA claims as against any defendant is virtually non-existent. (Signed by Judge Colleen McMahon on 12/22/2010) (lnl) (Entered: 12/22/2010)

01/04/2011 207 ORDER SEVERING ERISA CASE (09 Civ. 8278) AND TRANSFERRING SAME TO THE DOCKET OF THE HON. LEONARD B. SAND FOR CONSOLIDATION WITH ERISA CLAIM PENDING IN IN RE BEACON ASSOCIATES (09 Civ. 777) and SOLIS v, BEACON ASSOCIATES MANAGEMENT CORP. (10 Civ. 8000): After consultation with my colleague, The Hon. Leonard B. Sand, the court sees no reason not to grant the request of the Secretary of Labor to consolidate all ERISA-related claims against the Jeanneret and Ivy Defendants before one judge. Since the Secretary's case is pending before Judge Sand, he has graciously agreed to accept the ERISA claims from the cases pending in my court. Accordingly, I direct the Clerk of the Court to sever the ERISA class claims (originally filed under Docket No. 09 Civ. 8278) from the other claims in suit under this consolidated docket number and transfer those claims to the Hon. Leonard B. Sand. The operative pleading is the First Consolidated Amended ERISA Class Action Complaint, which was filed on May 21, 2010. For the reasons set forth by Judge Sand in his October 5, 2010 opinion in In Re Beacon Associates, this court disposes of the pending motions to dismiss the ERISA claims as follows: The BONY Defendants' motion to dismiss all ERISA claims

12/07/2010 203

12/07/2010 204

12/20/2010 205

12/22/2010 206

asserted against them (Counts I, II and IV) is GRANTED. (2) The Individual Ivy Defendants' motion to dismiss the ERISA claims asserted against them (Counts I, II, IV and V) is GRANTED as to all individual defendants other than defendants Simon, Wohl and Geiger. All other motions relating to the First Consolidated Amended ERISA Complaint are DENIED. The defendants who have not been dismissed from the ERISA action shall answer the First Amended Consolidated Complaint twenty-one days from the date of this order. Although I have disposed of all the ERISA-related motions to dismiss, the defendants did not move separately to dismiss the First Amended Consolidated ERISA Complaint and the Second Amended Consolidated Complaint (relating to Federal Securities Claims and other non ERISA claims). As a result, there has been no final disposition of the motions at Docket Nos. 143, 148 and 152, filed under Civil Case Number 09 Civ. 3907. However, as I am keeping the non-ERISA claims presently pending before me, the Clerk of the Court is directed NOT to transfer any of those motions to Judge Sand. I will close them out when I finish my decision on the motions to dismiss the Second Amended Consolidated Complaint under Docket No. 09 Civ. 3907. That decision will be handed down by the end of this month. (Signed by Judge Colleen McMahon on 1/4/2011) (jfe) (Entered: 01/04/2011)

01/05/2011 208 ORDER OF REFERENCE TO A 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 Andrew J. Peck. Motions referred to Andrew J. Peck. (Signed by Judge Leonard B. Sand on 1/5/2011) (lnl) (Entered: 01/05/2011)

01/05/2011 209 ORDER TRANSFERRING CASE TO THE DOCKET OF THE HONORABLE LEONARD B. SAND:The Clerk is directed to transfer the case legended Hartman v. Ivy Asset Management L.L.C., No. 09 Civ 8362, to the docket of the Honorable Leonard B. Sand. With that transfer, all ERISA claims relating to Jeanneret and Ivy Asset Management should be consolidated before Judge Sand. So Ordered (Signed by Judge Colleen McMahon on 1/5/2011) (js) (Entered: 01/05/2011)

01/05/2011 211 MOTION for Steven J. Kaiser to Appear Pro Hac Vice. Document filed by Bank of New York Mellon Corporation, Ivy Asset Management Corporation.(mro) (Entered: 01/07/2011)

01/05/2011 212 MOTION for Nowell D. Bamberger to Appear Pro Hac Vice. Document filed by Bank of New York Mellon Corporation, Ivy Asset Management Corporation.(mro) (Entered: 01/07/2011)

01/06/2011 210 TRANSCRIPT of proceedings held on 12/14/2010 before Judge Colleen McMahon. (ja) (Entered: 01/06/2011)

01/10/2011 CONSOLIDATED MEMBER CASE: Create association to 1:09-cv-00777-LBS -AJP. (db) (Entered: 01/10/2011)

01/10/2011 216 ORDER: ERISA cases 09cv3907, 09cv8278 and 09cv8362, as transferred by Judge McMahon to Judge Sand, are consolidated with master case 09 civ. 0777 for discovery and other pretrial management purposes. Counsel on these cases are to appear at the January 13, 2011 at 2:00 pm conference, previously scheduled in the Beacon 09cv0777 case. (Signed by Magistrate Judge Andrew J. Peck on 1/10/11) (db) (Entered: 02/01/2011)

01/11/2011 213 ORDER ON MOTION TO ADMIT NOWELL D. BAMBERGER AS COUNSEL

PRO HAC VICE. ORDER granting 212 Motion for Nowell D. Bamberger to Appear Pro Hac Vice for Bank of New York Mellon Corporation, Ivy Asset Management Corporation. (Signed by Judge Colleen McMahon on 1/11/11) (db) (Entered: 01/11/2011)

01/11/2011 214 ORDER ON MOTION TO ADMIT STEVEN J. KAISER AS COUNSEL PRO HAC VICE. ORDER granting 211 Motion for Steven J. Kaiser to Appear Pro Hac Vice for Bank of New York Mellon Corporation, Ivy Asset Management Corporation. (Signed by Judge Colleen McMahon on 1/11/11) (db) (Entered: 01/11/2011)

01/11/2011 CASHIERS OFFICE REMARK on 211 Motion to Appear Pro Hac Vice, 212 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 01/05/2011, Receipt Number 924966. (jd) (Entered: 01/11/2011)

01/13/2011 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 1/13/2011. Status Conference set for 3/2/2010 at 03:00 PM before Magistrate Judge Andrew J. Peck. Associated Cases: 1:09-cv-00777-LBS -AJP, 1:09- cv-03907-CM -AJP, 1:09-cv-08278-CM, 1:09-cv-08362-LBS(mro) (Entered: 01/18/2011)

01/31/2011 215 DECISION AND ORDER GRANTING IN PART AND DENYING IN PART DEFENDANTS' MOTIONS TO DISMISS THE SECOND AMENDED CLASS ACTION COMPLAINT: The various motions to dismiss are disposed of as set forth in this Order. The Clerk of Court is directed to close out the motions at Docket Nos. #143, 148 and 152, and remove same from the Court list of active motions. (Signed by Judge Colleen McMahon on 1/31/2011) (jpo) (Entered: 01/31/2011)

02/11/2011 217 CERTIFICATE OF SERVICE. All Defendants. Service was made by email. Document filed by Local 73 Annuity Fund, Local 73 Retirement Fund. (Hart, Barbara) (Entered: 02/11/2011)

02/14/2011 218 STIPULATION AND ORDER the date by which the Management Defendants shall file and serve their answer or response to the cross-claims of the Beacon Fund shall be on or before 3/25/11. (Signed by Magistrate Judge Andrew J. Peck on 2/14/11) Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al. Copies sent by ECF(cd) (Entered: 02/14/2011)

02/14/2011 219 ENDORSED LETTER addressed to Judge Colleen McMahon from Barbara Hart, dated 2/11/2011, re: Counsel for Lead Securities writes to request that Your Honor refer this matter to Magistrate Judge Peck for coordinated pre-trial purposes with the Beacon matter (which also encompasses the ERISA claims asserted by DOL and private plaintiffs relating to Income Plus). ENDORSEMENT: I thought I had already so referred the matter - if not, I shall do so promptly. (Signed by Judge Colleen McMahon on 2/14/2011) (lnl) (Entered: 02/14/2011)

02/14/2011 220 ORDER OF REFERENCE TO A 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 Andrew J. Peck. (Signed by Judge Colleen McMahon on 2/14/2011) (lnl) (Entered: 02/14/2011)

02/14/2011 227 AMENDED COMPLAINT amending 140 Amended Complaint, against Colleen Baldwin, Bank of New York Mellon Corporation, Bank of New York Mellon

Corporation Risk Committee, Kevin Bannon, Frank Biondi, Jr, Joseph Burns, Alan Chuang, Sean Cumiskey, Glenn Cummins, Custodial Trust Company, Stuart Davies, Nicholas Donofrio, Adam Geiger, Farzine Hachemian, Income-Plus Investment Fund, Ivy Asset Management Corporation, Ivy Investment Committee, Ivy Manager Approval Committee, Ivy Strategic Operating Committee, J.P. Jeanneret Associates, Inc., John P. Jeanneret, Edmund Kelly, Michael Kowalski, Jeffrey Lindenbaum, Jonathan Little, John Jr. Luke, Robert Meschi, Paul Myners, Peter Noris, Paul Perry, Paul L. Perry, Steven Pisarkiewicz, Susan Rabinowitz, Catherine Rein, William Richardson, Brian Roberts, John Rogers, Mark Santero, Samuel Scott, III, Lawrence Simon, Sean Simon, Michael Singer, Gregory Van Inwegen, Richard Vaughan, Wesley Von Schack, Scott E. Wennerholm, Howard Wohl with JURY DEMAND.Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), Rockne Burns, Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Lyle D. Fassett, Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Local 73 Annuity Fund, Irving Wood, Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), George Kennedy, Earl R. Hall, Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Michael Talarski, James Rounds, Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), Rodney Malarchik, Thomas R. Lostracco, Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Local 73 Retirement Fund, Ernest A. Hartman, Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Board of Trustees of The Buffalo Laborers Security Fund, James F. Collins(as Trustees of the IBEW Local 325 Pension Fund). Related document: 140 Amended Complaint,,,,,,, filed by Carmen A. Serrett, George Kennedy, Dale Stuhlmiller, James A. Williams, Earl R. Hall, Thomas R. Lostracco, Lyle D. Fassett, James F. Collins, Irving Wood, Ernest A. Hartman, Rockne Burns, Local 267 Insurance Fund, Kimberly A. Bautista, Michael Talarski, Elizabeth F. Cassada, Rodney Malarchik.(rdz) (Entered: 04/01/2011)

02/15/2011 221 ENDORSED LETTER addressed to Judge Colleen McMahon from Scott B. Kossove dated 2/14/11 re: counsel for defendant Margolin, Winer & Evens LLP. ENDORSEMENT: You are probably wasting your time, but you do have rights. No response need be filed until I have reviewed your papers and decided whether I will deny the motion sue Sponte. (Signed by Judge Colleen McMahon on 2/15/11) (pl) (Entered: 02/16/2011)

03/28/2011 222 STIPULATION AND ORDER REGARDING TIME TO RESPOND TO CROSS-CLAIMS. The date by which the Management Defendants shall file and serve their answer or response to the cross-claims of the Beacon Fund shall be on or before April 8, 2011; This Stipulation my be executed in counterparts, and electronic or facsimile signatures shall be deemed to be original signatures. Beacon Associates Management Corp. answer due 4/8/2011; Joel Danziger answer due 4/8/2011; Harris Markhoff

answer due 4/8/2011. (Signed by Magistrate Judge Andrew J. Peck on 3/25/11) Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(rjm) (Entered: 03/28/2011)

03/28/2011 223 NOTICE OF APPEARANCE by Paul A. Straus on behalf of Robert Meschi (Straus, Paul) (Entered: 03/28/2011)

03/28/2011 224 STIPULATION AND ORDER, 1. The rulings in the January 31 Order dismissing claims asserted in the SAC are deemed applicable to the corresponding claims in the TAC. 2. All rights of the parties, including appellate rights and the right to respond to the claims asserted in the TAC by answer or motion, shall be preserved. 3. Defendants shall answer or otherwise respond to the remaining Claims in the TAC by April 8, 2011. 4. The filing of any motion to dismiss the TAC shall not stay discovery under the Private Securities Litigation Reform Act, or otherwise. 5. This Stipulation may be executed by facsimile or electronic mail, and an electronic signature shall have the same force and effect as an original. ENDORSEMENT: I do not recall giving plaintiff leave to file a Third Amended Complaint. Rule 15(c) only give a party one "as of course." However, as long as discovery is not delayed - SO ORDERED. All Defendants answer due 4/8/2011. (Signed by Judge Colleen McMahon on 3/24/2011) (lnl) (Entered: 03/28/2011)

ENDORSED LETTER addressed to Judge Colleen McMahon from Paul A. Straus, dated 3/28/2011, re: Counsel for defendant Robert Meschi writes to ask the Court to dismiss plaintiffs' claim against Mr. Meschi sua sponte. ENDORSEMENT: I expect a response from plaintiffs' counsel within 48 hours. (Signed by Judge Colleen McMahon on 3/28/2011) (lnl) (Entered: 03/28/2011)

ENDORSED LETTER addressed to Judge Colleen McMahon from Paul A. Straus dated 3/31/2011 re: Requesting that the Court dismiss plaintiffs' claim against Mr. Meschi sua sponte. ENDORSEMENT: I will not dismiss sua sponte. I expect a motion. Whether I will award sanctions against plaintiffs' counsel for not dropping the case against Mr. Meschi is a matter that must abide - decision on the motion. I WILL NOT PERMIT ANY FURTHER AMENDMENT OF PLEADINGS. (Signed by Judge Colleen McMahon on 3/31/2011) (jpo) (Entered: 03/31/2011)

Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 4/4/2011. (Status Conference set for 5/17/2011 at 10:30 AM before Magistrate Judge Andrew J. Peck) Associated Cases: 1:09-cv-00777-LBS -AJP et al. (lnl) (Entered: 04/08/2011)

STIPULATION OF DISMISSAL AS TO DEFENDANT ROBERT MESCHI: Pursuant to Rule 41(a)(2) of the Federal Rules of Civil Procedure, any and all claims of the Plaintiffs against Meschi in the above referenced action, direct or derivative, are hereby dismissed with prejudice. So Ordered (Signed by Judge Colleen McMahon on 4/6/2011) (js) (Entered: 04/07/2011)

ANSWER to Amended Complaint. Document filed by Lawrence Simon. Related document: 227 Amended Complaint,,,,,,,,,,,, filed by Carmen A. Serrett, Local 73 Retirement Fund, George Kennedy, Dale Stuhlmiller, James Rounds, James A. Williams, Board of Trustees of The Buffalo Laborers Security Fund, Local 73 Annuity Fund, Earl R. Hall, Thomas R. Lostracco, Lyle D. Fassett, James F. Collins, Irving Wood, Ernest A. Hartman, Frank Spencer, Rockne Burns, Kimberly A. Bautista, Michael Talarski, Elizabeth F. Cassada, Rodney Malarchik.(Liman, Lewis) (Entered:

03/28/2011 225

03/31/2011 226

04/04/2011

04/07/2011 228

04/08/2011 229

04/08/2011)

04/08/2011 230 ANSWER to Amended Complaint. Document filed by Howard Wohl. Related document: 227 Amended Complaint,,,,,,,,,,,, filed by Carmen A. Serrett, Local 73 Retirement Fund, George Kennedy, Dale Stuhlmiller, James Rounds, James A. Williams, Board of Trustees of The Buffalo Laborers Security Fund, Local 73 Annuity Fund, Earl R. Hall, Thomas R. Lostracco, Lyle D. Fassett, James F. Collins, Irving Wood, Ernest A. Hartman, Frank Spencer, Rockne Burns, Kimberly A. Bautista, Michael Talarski, Elizabeth F. Cassada, Rodney Malarchik.(Liman, Lewis) (Entered: 04/08/2011)

04/08/2011 231 ANSWER to Amended Complaint. Document filed by Adam Geiger. Related document: 227 Amended Complaint,,,,,,,,,,,, filed by Carmen A. Serrett, Local 73 Retirement Fund, George Kennedy, Dale Stuhlmiller, James Rounds, James A. Williams, Board of Trustees of The Buffalo Laborers Security Fund, Local 73 Annuity Fund, Earl R. Hall, Thomas R. Lostracco, Lyle D. Fassett, James F. Collins, Irving Wood, Ernest A. Hartman, Frank Spencer, Rockne Burns, Kimberly A. Bautista, Michael Talarski, Elizabeth F. Cassada, Rodney Malarchik.(Liman, Lewis) (Entered: 04/08/2011)

04/08/2011 232 ANSWER to Amended Complaint. Document filed by Ivy Asset Management Corporation. Related document: 227 Amended Complaint,,,,,,,,,,,, filed by Carmen A. Serrett, Local 73 Retirement Fund, George Kennedy, Dale Stuhlmiller, James Rounds, James A. Williams, Board of Trustees of The Buffalo Laborers Security Fund, Local 73 Annuity Fund, Earl R. Hall, Thomas R. Lostracco, Lyle D. Fassett, James F. Collins, Irving Wood, Ernest A. Hartman, Frank Spencer, Rockne Burns, Kimberly A. Bautista, Michael Talarski, Elizabeth F. Cassada, Rodney Malarchik.(Liman, Lewis) (Entered: 04/08/2011)

04/08/2011 233 ANSWER to Amended Complaint with JURY DEMAND. Document filed by J.P. Jeanneret Associates, Inc., John P. Jeanneret, Paul L. Perry. Related document: 227 Amended Complaint,,,,,,,,,,,, filed by Carmen A. Serrett, Local 73 Retirement Fund, George Kennedy, Dale Stuhlmiller, James Rounds, James A. Williams, Board of Trustees of The Buffalo Laborers Security Fund, Local 73 Annuity Fund, Earl R. Hall, Thomas R. Lostracco, Lyle D. Fassett, James F. Collins, Irving Wood, Ernest A. Hartman, Frank Spencer, Rockne Burns, Kimberly A. Bautista, Michael Talarski, Elizabeth F. Cassada, Rodney Malarchik.(Whiteley, Brian) (Entered: 04/08/2011)

04/11/2011 234 ORDER ON MOTION TO ADMIT STEVEN J. KAISER AS COUNSEL PRO HAC VICE in case 1:09-cv-00777-LBS -AJP; Granting (48) Motion for Steven J. Kaiser to Appear Pro Hac Vice in case 1:09-cv-07584-CM; Granting (61) Motion for Steven J. Kaiser to Appear Pro Hac Vice in case 1:09-cv-08278-CM; Granting (18) Motion for Steven J. Kaiser to Appear Pro Hac Vice in case 1:09-cv-08362-LBS. (Signed by Judge Colleen McMahon on 4/11/11) Filed In Associated Cases: 1:09-cv-00777-LBS - AJP et al.(rjm) (Entered: 04/11/2011)

04/11/2011 235 ORDER ON MOTION TO ADMIT NOWELL D. BAMBERGER AS COUNSEL PRO HAC VICE in case 1:09-cv-00777-LBS -AJP; Granting (72) Motion for Nowell D. Bamberger to Appear Pro Hac Vice in case 1:09-cv-02401-LBS; Granting (51) Motion for Nowell D. Bamberger to Appear Pro Hac Vice in case 1:09-cv-03202- LBS; Granting (49) Motion for Nowell D. Bamberger to Appear Pro Hac Vice in case 1:09-cv-07584-CM; Granting (62) Motion for Nowell D. Bamberger to Appear Pro

Hac Vice in case 1:09-cv-08278-CM; Granting (19) Motion for Nowell D. Bamberger to Appear Pro Hac Vice in case 1:09-cv-08362-LBS. (Signed by Judge Colleen McMahon on 4/11/11) Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(rjm) (Entered: 04/11/2011)

04/11/2011 236 CERTIFICATE OF SERVICE of Richard V. Conza, dated April 11, 2011 229 230 231 232 . Document filed by Adam Geiger, Ivy Asset Management Corporation, Lawrence Simon, Howard Wohl. (Liman, Lewis) (Entered: 04/11/2011)

05/06/2011 237 MEMORANDUM OF LAW in Opposition re: (25 in 1:09-cv-08362-LBS, 245 in 1:09-cv-00777-LBS -AJP) MOTION for Reconsideration Dated February 16, 2011.. Document filed by Board of Trustees of the Buffalo Laborers Security Fund, Board of Trustees of the Buffalo Laborers Welfare Fund, Board of Trustees of the Buffalo Laborers Welfare Staff Fund, in their capacity as fidu, Board Of Trustees of The Buffalo Laborers Welfare Staff Fund, Board Of Trustees of The Buffalo Laborers Welfare Staff Fund, Board of Trustees of The Buffalo Laborers Security Fund, Board of Trustees of The Buffalo Laborers Security Fund, Board of Trustees of The Buffalo Laborers Welfare Fund, Board of Trustees of The Buffalo Laborers Welfare Fund, Board of Trustees of The Buffalo Laborers Security Fund. Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(LeVan, Peter) (Entered: 05/06/2011)

05/06/2011 238 DECLARATION of Peter H. LeVan, Jr. in Opposition re: (25 in 1:09-cv-08362-LBS, 245 in 1:09-cv-00777-LBS -AJP) MOTION for Reconsideration Dated February 16, 2011 .. Document filed by Board of Trustees of the Buffalo Laborers Security Fund, Board of Trustees of the Buffalo Laborers Welfare Fund, Board of Trustees of the Buffalo Laborers Welfare Staff Fund, in their capacity as fidu, Board Of Trustees of The Buffalo Laborers Welfare Staff Fund, Board Of Trustees of The Buffalo Laborers Welfare Staff Fund, Board of Trustees of The Buffalo Laborers Security Fund, Board of Trustees of The Buffalo Laborers Security Fund, Board of Trustees of The Buffalo Laborers Welfare Fund, Board of Trustees of The Buffalo Laborers Welfare Fund, Board of Trustees of The Buffalo Laborers Security Fund. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(LeVan, Peter) (Entered: 05/06/2011)

ORDER, that after considering the parties' submissions, the Court sets the deadline for the motion(s) for class certification in all of these cases, including In re Jeanneret, for September 15, 2011. Counsel should work out the rest of the briefing schedule and submit a stipulation (or, if there is no agreement, two proposals for my consideration) as to the briefing schedule (and any other issues that may impact the class certification motion). ( Motions due by 9/15/2011.) (Signed by Magistrate Judge Andrew J. Peck on 5/25/11) Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al. Copies Sent By Chambers. (pl) (Entered: 05/25/2011)

PROTECTIVE ORDER regarding procedures to be followed that shall govern the handling of confidential material. (Signed by Magistrate Judge Andrew J. Peck on 5/27/11) Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al. Copies Sent By Chambers via ECF. (rjm) (Entered: 05/27/2011)

NOTICE of Firm Name Change. Document filed by Board of Trustees of The Buffalo Laborers Security Fund. (LeVan, Peter) (Entered: 06/02/2011)

ORDER PERMITTING TODD S. GARBER TO WITHDRAW AS COUNSEL FOR

05/25/2011 239

05/27/2011 240

06/02/2011 241

06/03/2011 242

PLAINTIFFS: The Motion to Withdraw Todd S. Garber as Counsel for Plaintiffs, having been duly considered, it is so ORDERED that the Motion is granted and Todd S. Garber, individually, is permitted to withdraw from the above-captioned matter. Attorney Todd Seth Garber terminated. (Signed by Magistrate Judge Andrew J. Peck on 6/3/2011) Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(lnl) (Entered: 06/03/2011)

06/03/2011 243 ORDER PERMITTING TODD S. GARBER TO WITHDRAW AS COUNSEL FOR PLAINTIFFS: The Motion to Withdraw Todd S. Garber as Counsel for Plaintiffs, having been duly considered, it is so ORDERED that the Motion is granted and Todd S. Garber, individually, is permitted to withdraw as counsel in the above-captioned matter. SO ORDERED. (Signed by Magistrate Judge Andrew J. Peck on 6/3/2011) (lnl) (Entered: 06/03/2011)

06/17/2011 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 6/17/2011 Re: Class certification. Plaintiffs' don't get deposition of defendant without specifying what they want it to show. Magistrate Judge Andrew J. Peck rejects plaintiff's list of keywords and tells parties to coordinate/cooperate and test keywords. Associated Cases: 1:09-cv-00777-LBS -AJP et al. (ft) (Entered: 06/20/2011)

06/24/2011 244 THIRD AMENDED COMPLAINT amending 139 Amended Complaint against Colleen Baldwin, Bank of New York Mellon Corporation, Bank of New York Mellon Corporation Risk Committee, Kevin Bannon, Frank Biondi, Jr, Joseph Burns, Alan Chuang, Sean Cumiskey, Glenn Cummins, Custodial Trust Company, Stuart Davies, Nicholas Donofrio, Adam Geiger, Farzine Hachemian, Income-Plus Investment Fund, Ivy Asset Management Corporation, Ivy Investment Committee, Ivy Manager Approval Committee, Ivy Strategic Operating Committee, J.P. Jeanneret Associates, Inc., John P. Jeanneret, Edmund Kelly, Michael Kowalski, Jeffrey Lindenbaum, Jonathan Little, John Jr. Luke, Margolin, Winer & Evens LLP, Paul Myners, Mark Nordenberg, Peter Noris, Ronald P. O'Hanley, Paul Perry, Paul L. Perry, Steven Pisarkiewicz, Susan Rabinowitz, Catherine Rein, William Richardson, Brian Roberts, John Rogers, Mark Santero, Samuel Scott, III, Lawrence Simon, Sean Simon, Michael Singer, Gregory Van Inwegen, Richard Vaughan, Wesley Von Schack, Scott E. Wennerholm, Howard Wohl.Document filed by Kimberly A. Bautista(as Trustees of the IBEW Local 139 Pension Fund), James A. Williams(as Trustees of the IBEW Local 910 Annuity Fund), Elizabeth F. Cassada(as Trustees of the IBEW Local 910 Annuity Fund), Carmen A. Serrett(as Trustees of the Laborers' Local 103 Annuity Fund), James A. Williams(as Trustee of the IBEW Local 910 Pension Fund), Dale Stuhlmiller(as Trustees of Empire State Carpenters Pension Fund), James F. Collins(as Trustees of the IBEW Local 325 Joint Trust Fund), Kimberly A. Bautista(as Trustees of the IBEW Local 325 Annuity Fund), Frank Spencer(as Trustees of Empire State Carpenters Annuity Fund), James F. Collins(as Trustees of the IBEW Local 325 Annuity Fund), Frank Spencer(as Trustees of the Empire State Carpenters Welfare Fund ), Dale Stuhlmiller(as Trustees of the Empire State Carpenters Welfare Fund), Lyle D. Fassett, Frank Spencer(as Trustees of Empire State Carpenters Pension Fund), Local 73 Annuity Fund, Irving Wood, Carmen A. Serrett(as Trustee of the Laborers' Local 103 Pension Fund), George Kennedy, Earl R. Hall, Kimberly A. Bautista(as Trustees of the IBEW Local 325 Pension Fund), Kimberly A. Bautista(as Trustee of the IBEW Local 241 Pension Fund), Michael Talarski, James Rounds, Elizabeth F. Cassada(as Trustee of the IBEW Local 910 Pension Fund), Rodney Malarchik,

Thomas R. Lostracco, Kimberly A. Bautista(as Trustees of the IBEW Local 325 Joint Trust Fund), Local 73 Retirement Fund, Ernest A. Hartman, Dale Stuhlmiller(as Trustees of Empire State Carpenters Annuity Fund), Board of Trustees of The Buffalo Laborers Security Fund, James F. Collins(as Trustees of the IBEW Local 325 Pension Fund). Related document: 139 Amended Complaint filed by Carmen A. Serrett, George Kennedy, Dale Stuhlmiller, James Rounds, James A. Williams, Earl R. Hall, Thomas R. Lostracco, Lyle D. Fassett, James F. Collins, Irving Wood, Ernest A. Hartman, Frank Spencer, Rockne Burns, Kimberly A. Bautista, Michael Talarski, Elizabeth F. Cassada, Rodney Malarchik.(mbe) (Entered: 06/24/2011)

06/28/2011 245 ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Barbara Hart dated 6/23/2011 re: Counsel requests an extension of fact discovery until 4/16/2012. Should Your Honor approve Plaintiffs' request for an extension of fact discovery, the dates in paragraphs 8, 10, and 11 of the 12/8/2010 Pre-Trial Scheduling Order (Dkt. No. 208) should be extended correspondingly. Assuming the extension is approved, the parties have agreed to a class certification briefing schedule as follows: Plaintiffs to file all motions for class certification by 9/15/2011. Defendants to file oppositions to motions for class certification on or before 10/28/2011. Plaintiffs to file their replies on or before 11/23/2011. Depositions will continue until on or before 10/14/2011. ENDORSEMENT: Extensions approved. ( Deposition due by 10/14/2011. Discovery due by 4/16/2012. Motions due by 9/15/2011. Responses due by 10/28/2011, Replies due by 11/23/2011.) (Signed by Magistrate Judge Andrew J. Peck on 6/28/2011) (tro) (Entered: 06/28/2011)

07/29/2011 246 REPLY to Response to Motion re: (68 in 1:10-cv-08000-LBS -AJP) MOTION to Stay Magistrate Peck's June 28, 2011 Order Requiring Disclosure of documents from Other Investigations and Objections to that Order.. Document filed by Hilda L. Solis. (Attachments: # 1 Exhibit Declaration of Thomas Tso)Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(Hartman, Michael) (Entered: 07/29/2011)

08/12/2011 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 8/12/2011. (Status Conference set for 9/9/2011 at 09:30 AM before Magistrate Judge Andrew J. Peck.) Associated Cases: 1:09-cv-00777-LBS -AJP et al.(ft) (Entered: 08/22/2011)

09/09/2011 Minute Entry for proceedings held before Magistrate Judge Andrew J. Peck: Status Conference held on 9/9/2011. (Status Conference set for 10/4/2011 at 09:00 AM before Magistrate Judge Andrew J. Peck.) Associated Cases: 1:09-cv-00777-LBS -AJP et al.(ft) (Entered: 09/13/2011)

09/20/2011 247 TRANSCRIPT of Proceedings re: Conference held on 9/9/2011 before Magistrate Judge Andrew J. Peck. Court Reporter/Transcriber: Jerry Harrison, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 10/14/2011. Redacted Transcript Deadline set for 10/24/2011. Release of Transcript Restriction set for 12/22/2011.Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(McGuirk, Kelly) (Entered: 09/20/2011)

09/20/2011 248 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 9/9/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7)

calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(McGuirk, Kelly) (Entered: 09/20/2011)

09/27/2011 249 MOTION to Certify Class. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Retirement Fund, Local 73 Health & Welfare Fund.(Hart, Barbara) (Entered: 09/27/2011)

09/27/2011 250 MEMORANDUM OF LAW in Support re: 249 MOTION to Certify Class.. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Health & Welfare Fund, Local 73 Retirement Fund. (Hart, Barbara) (Entered: 09/27/2011)

09/27/2011 251 DECLARATION of Barbara J. Hart in Support re: 249 MOTION to Certify Class.. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Health & Welfare Fund, Local 73 Retirement Fund. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2-10, # 3 Exhibit Exhibit 11 (Part I), # 4 Exhibit Exhibit 11 (Part II), # 5 Exhibit Exhibit 12-33, # 6 Exhibit Exhibit 34-41, # 7 Exhibit Exhibit 42-46, # 8 Exhibit Exhibit 47-56, # 9 Exhibit Exhibit 57, # 10 Exhibit Exhibit 58 (part I), # 11 Exhibit Exhibit 58 (part II), # 12 Exhibit Exhibit 59, # 13 Exhibit Exhibit 60-61)(Hart, Barbara) (Entered: 09/27/2011)

09/27/2011 252 DECLARATION of Patrick Carroll in Support re: 249 MOTION to Certify Class.. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Health & Welfare Fund, Local 73 Retirement Fund. (Attachments: # 1 Exhibit Exhibit 1-2, # 2 Exhibit Exhibit 3-7)(Hart, Barbara) (Entered: 09/27/2011)

09/27/2011 253 DECLARATION of Patrick Carroll in Support re: 249 MOTION to Certify Class.. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Health & Welfare Fund, Local 73 Retirement Fund. (Attachments: # 1 Exhibit Exhibit 1-2, # 2 Exhibit Exhibit 3-5)(Hart, Barbara) (Entered: 09/27/2011)

09/27/2011 254 DECLARATION of Gregory Lancette in Support re: 249 MOTION to Certify Class.. Document filed by Local 267 Insurance Fund, Local 267 Pension Fund, Local 73 Annuity Fund, Local 73 Health & Welfare Fund, Local 73 Retirement Fund. (Attachments: # 1 Exhibit Exhibit 1, # 2 Exhibit Exhibit 2, # 3 Exhibit Exhibit 3- 7)(Hart, Barbara) (Entered: 09/27/2011)

10/03/2011 255 ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Barbara Hart dated 9/29/2011 re: Counsel writes at several status conferences you have suggested that you have names of several special discovery masters to help the parties with their disputes regarding the privilege logs. Counsel respectfully requests that Your law clerk call or e-mail us with the names you had in mind, so that we can make headway with these issues. ENDORSEMENT: In no order: 1. Former Magistrate Judge Ron Hedges. 2. Craig Ball. 3. Former Magistrate Judge John Hughes(JAMS). 4. Former Magistrate Judge Kathleen Roberts (JAMS). 5. Jonathan Redgrave.Copies by ECF to All Counsel (Signed by Magistrate Judge Andrew J. Peck on 10/3/2011) Filed In Associated Cases: 1:09-cv-00777-LBS -AJP, 1:09-cv-03907-CM -AJP, 1:09-cv-

10/11/2011 256

10/11/2011 257

10/26/2011 258

10/26/2011 259

10/31/2011 260

11/08/2011 261

11/09/2011 262

11/09/2011

11/14/2011 263

08278-LBS, 1:09-cv-08362-LBS, 1:10-cv-08000-LBS -AJP(js) (Entered: 10/03/2011)

TRANSCRIPT of Proceedings re: Conference held on 10/4/2011 before Magistrate Judge Andrew J. Peck. Court Reporter/Transcriber: Andrew Walker, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 11/4/2011. Redacted Transcript Deadline set for 11/14/2011. Release of Transcript Restriction set for 1/12/2012.Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(McGuirk, Kelly) (Entered: 10/11/2011)

NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 10/4/11 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...Filed In Associated Cases: 1:09-cv-00777-LBS -AJP et al.(McGuirk, Kelly) (Entered: 10/11/2011)

NOTICE OF APPEARANCE by John B. Harris on behalf of Lawrence Simon (Harris, John) (Entered: 10/26/2011)

NOTICE OF APPEARANCE by Daniel V. Shapiro on behalf of Lawrence Simon (Shapiro, Daniel) (Entered: 10/26/2011)

NOTICE OF APPEARANCE by Paul Lewis Shechtman on behalf of Lawrence Simon (Shechtman, Paul) (Entered: 10/31/2011)

ORDER FOR ADMISSION PRO HAC VICE: Peter A. Muhic a Partner with Kessler Topaz Meltzer & Check, LLP, is admitted to practice pro hac vice as counsel for Plaintiffs Board of Trustees of The Buffalo Laborers Security Fund, Board of Trustees of The Buffalo Laborers Welfare Fund and Board of Trustees of The Buffalo Laborers Welfare Staff Fund, in this case in the United States District Court for the Southern District of New York. (Signed by Judge Leonard B. Sand on 11/8/2011) (ft) (Entered: 11/08/2011)

ENDORSED LETTER addressed to Judge Colleen McMahon from Barbara Hart dated 11/8/2011 re: Lead Securities counsel writes to request that the current schedule be reconsidered and that the class briefing schedule be stayed. ENDORSEMENT: I fail to see how altering the already adjourned schedule will facilitate resolution of this action-especially of the FEDERAL claims in this action. You are, after all, in FEDERAL court by choice-your state claims are mere appendages. So no stay. If we later have to modify any class that may be certified, so be it. If the Court of Appeals does not uphold Martin Act preemption as there is no claim certified. I may sever state law claims and let you take them across the street. (Signed by Judge Colleen McMahon on 11/9/2011) (ft) (Entered: 11/10/2011)

***DELETED DOCUMENT. Deleted document number 264 ENDORSED LETTER. The document was incorrectly filed in this case. (rjm) (Entered: 11/16/2011)

ORDER FOR ADMISSION PRO HAC VICE: IT IS HEREBY ORDERED that Peter A. Muhic a Partner with Kessler Topaz Meltzer & Check, LLP, 280 King of Prussia

Road, Radnor, PA 19087, (610) 667-7706 / (610) 667-7056 is admitted to practice pro hac vice as counsel for Plaintiffs Board of Trustees of The Buffalo Laborers Security Fund, Board of Trustees of The Buffalo Laborers Welfare Fund and Board of Trustees of The Buffalo Laborers Welfare Staff Fund, in the above-captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Leonard B. Sand on 11/11/2011) (rdz) (Entered: 11/14/2011)

11/21/2011 264 ENDORSED LETTER addressed to Magistrate Judge Andrew J. Peck from Thomas M. Skelton dated 11/18/2011 re: We write to report that the Honorable John Hughes has agreed to serve as Special Master in the above actions and the parties are continuing to discuss the scope of a referral order. With Your Honor's approval, we would provide our respective positions to the Court on Monday with respect to any remaining areas of disagreement. ENDORSEMENT: Approved. So ordered. (Signed by Magistrate Judge Andrew J. Peck on 11/21/2011) Copies Sent By Chambers via ECF. (rjm) (Entered: 11/21/2011)

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