US District Court Civil Docket as of October 4, 2019 Retrieved from the court on October 4, 2019

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

CIVIL DOCKET FOR CASE #: 1:14-cv-09438-WHP

Gross v. GFI Group, Inc. et al Assigned to: Judge William H. Pauley, III Cause: 15:78m(a) Securities Exchange Act

Date Filed: 11/26/2014 Date Terminated: 04/23/2018 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff Benjamin Gross individually and on behalf of all others similarly situated

represented by David R. Scott Scott & Scott, LLC(CT) 156 South Main Street P.O.Box 192 Colchester, CT 06415 (860)537-5537 Fax: (860)537-4432 Email: david.scott@scott-scott.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Jack I. Zwick Jack I Zwick 100 Church Street, Suite 850 New York, NY 10007 212-385-1900 Email: Jack@zwickfirm.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Joseph Peter Guglielmo Scott + Scott, L.L.P.( NYC) 230 Park Avenue 17th Floor New York, NY 10169 (212) 223-6444 Fax: (212) 223-6334 Email: jguglielmo@scott-scott.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Stephen J. Teti

ScottScott, Attorneys At Law, LLP 156 South Main Street Colchester, CT 06415 (860)-537-5537 Fax: (860)-537-4432 Email: steti@scott-scott.com TERMINATED: 08/24/2017 LEAD ATTORNEY Andrea Farah Scott & Scott, LLC(CT) 156 South Main Street P.O.Box 192 Colchester, CT 06415 (860)-531-2606 Email: afarah@scott-scott.com ATTORNEY TO BE NOTICED Jonathan M Rotter Glancy Prongay & Murray LLP 1925 Century Park East, Suite 2100 Los Angeles, CA 90067 (310)-201-9150 Email: jrotter@glancylaw.com ATTORNEY TO BE NOTICED Joseph Cohen Glancy Prongay & Murray LLP 1925 Century Park East, Suite 2100 Los Angeles, CA 90067 (310)-201-9150 Fax: (310)-201-9160 Email: JCohen@glancylaw.com TERMINATED: 11/25/2015 PRO HAC VICE

Defendant GFI Group, Inc. represented by John F. Lynch

Wachtell, Lipton, Rosen & Katz 51 West 52nd Street New York, NY 10019 (212) 403-1373 Fax: 212-403-2000 Email: jflynch@wlrk.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Paul K. Rowe Wachtell, Lipton, Rosen & Katz 51 West 52nd Street

New York, NY 10019 212-403-1210 Fax: (212) 403-2000 Email: PKRowe@wlrk.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Sameer Nitanand Advani Willkie Farr & Gallagher LLP (NY) 787 Seventh Avenue New York, NY 10019 (212) 728-8000 Email: sadvani@willkie.com TERMINATED: 06/21/2017 LEAD ATTORNEY Tariq Mundiya Willkie Farr & Gallagher LLP (NY) 787 Seventh Avenue New York, NY 10019 (212) 728-8000 Fax: (212) 728-8111 Email: maosdny@willkie.com TERMINATED: 06/21/2017 LEAD ATTORNEY Todd G. Cosenza Willkie Farr & Gallagher LLP (NY) 787 Seventh Avenue New York, NY 10019 212 - 728-8000 Fax: (212)-728-8111 Email: tcosenza@willkie.com TERMINATED: 06/21/2017 LEAD ATTORNEY Warren R. Stern Wachtell, Lipton, Rosen & Katz 51 West 52nd Street New York, NY 10019 (212)-403-1239 Fax: (212) 403-2000 Email: wrstern@wlrk.com LEAD ATTORNEY ATTORNEY TO BE NOTICED Joshua Jeffrey Card Wachtell, Lipton, Rosen & Katz 51 West 52nd Street New York, NY 10019

212-403-1198 Fax: 212-403-2198 Email: JJCard@wlrk.com ATTORNEY TO BE NOTICED Kim Bendersky Goldberg Wachtell, Lipton, Rosen & Katz New York, NY 10019 (212) 403-1177 Fax: (212) 403-2177 Email: kbgoldberg@wlrk.com TERMINATED: 04/23/2019 Michael Steven Popok Cantor Fitzgerald 110 East 59th Street New York, NY 10022 (212) 829-3578 Email: mpopok@cantor.com ATTORNEY TO BE NOTICED Nirav Sanjay Shah Cantor Fitzgerald 499 Park Avenue New York, NY 10022 212-294-7873 Fax: 212-219-3158 Email: Nirav.Shah@cantor.com ATTORNEY TO BE NOTICED

Defendant Colin Heffron represented by Sameer Nitanand Advani

(See above for address) TERMINATED: 06/21/2017 LEAD ATTORNEY Todd G. Cosenza (See above for address) TERMINATED: 06/21/2017 LEAD ATTORNEY Christopher Daniel Kercher Quinn Emanuel Urquhart & Sullivan LLP 51 Madison Avenue 22nd Floor New York, NY 10010 (212-849-7000 Fax: (212)-849-7100 Email: christopherkercher@quinnemanuel.com

ATTORNEY TO BE NOTICED Tariq Mundiya (See above for address) TERMINATED: 07/14/2016

Defendant Michael Gooch represented by Sameer Nitanand Advani

(See above for address) TERMINATED: 06/21/2017 LEAD ATTORNEY Todd G. Cosenza (See above for address) TERMINATED: 06/21/2017 LEAD ATTORNEY Christopher Daniel Kercher (See above for address) ATTORNEY TO BE NOTICED Tariq Mundiya (See above for address) TERMINATED: 07/14/2016

Defendant Nick Brown TERMINATED: 05/19/2015

represented by Sameer Nitanand Advani (See above for address) TERMINATED: 06/21/2017 LEAD ATTORNEY

Date Filed # Docket Text

11/26/2014 1 COMPLAINT against Nick Brown, GFI Group, Inc., Michael Gooch, Colin Heffron. (Filing Fee $ 350.00, Receipt Number 465401110894)Document filed by Benjamin Gross.(moh) (Entered: 12/05/2014)

11/26/2014 SUMMONS ISSUED as to Nick Brown, GFI Group, Inc., Michael Gooch, Colin Heffron. (moh) (Entered: 12/05/2014)

11/26/2014 Magistrate Judge Debra C. Freeman is so designated. (moh) (Entered: 12/05/2014)

11/26/2014 Case Designated ECF. (moh) (Entered: 12/05/2014)

11/26/2014 2 CIVIL COVER SHEET filed. (moh) (Entered: 12/05/2014)

12/16/2014 3 ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 2/20/2015 at 11:00 AM in Courtroom 20B, 500 Pearl Street, New York, NY 10007 before Judge William H. Pauley III. (See Order.) (Signed by Judge William H. Pauley, III on 12/16/2014) (ajs) (Entered: 12/16/2014)

01/08/2015 4 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10471775. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Gross. (Attachments: # 1 Califiornia Certificate of Good Standing, # 2 Rhode Island Certificate of Good Standing, # 3 Text of Proposed Order)(Cohen, Joseph) Modified on 1/8/2015 (sdi). (Entered: 01/08/2015)

01/08/2015 5 MOTION for Stephen J. Teti to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10471866. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Gross. (Attachments: # 1 Connecticut Certificate of Good Standing, # 2 Text of Proposed Order)(Teti, Stephen) (Entered: 01/08/2015)

01/08/2015 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice regarding Document No. 4 MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10471775. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): Missing Certificate of Good Standing. Missing Certificate of Good Standing from the Supreme Court of California with the Clerk of Court's signature. Re-file the document as a Corrected Motion to Appear Pro Hac Vice and attach a valid Certificate of Good Standing, issued within the past 30 days. (sdi) (Entered: 01/08/2015)

01/08/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 5 MOTION for Stephen J. Teti to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10471866. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 01/08/2015)

01/08/2015 6 SUMMONS RETURNED EXECUTED. GFI Group, Inc. served on 12/18/2014, answer due 1/8/2015. Service was accepted by Elena Boutokova. Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 01/08/2015)

01/09/2015 7 LETTER MOTION for Extension of Time to File Answer addressed to Judge William H. Pauley, III from Sameer Advani dated 1/9/2015. Document filed by Nick Brown, GFI Group, Inc., Michael Gooch, Colin Heffron.(Advani, Sameer) (Entered: 01/09/2015)

01/20/2015 8 ORDER granting 7 Letter Motion for Extension of Time to Answer. Application granted. The initial pretrial conference is adjourned to March 6, 2015 at 11:00 a.m. Nick Brown answer due 2/23/2015; GFI Group, Inc. answer due 2/23/2015; Michael Gooch answer due 2/23/2015; Colin Heffron answer due 2/23/2015. (Signed by Judge William H. Pauley, III on 1/20/2015) (mro) (Entered: 01/21/2015)

01/20/2015 Set/Reset Hearings: Initial Conference set for 3/6/2015 at 11:00 AM before Judge William H. Pauley III. (mro) (Entered: 01/21/2015)

01/20/2015 9 ORDER FOR ADMISSION PRO HAC VICE granting 5 Motion for Stephen J. Teti to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 1/20/2015) (mro) (Entered: 01/21/2015)

01/21/2015 10 AMENDED MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by

Benjamin Gross. (Attachments: # 1 California Certificate of Good Standing, # 2 Rhode Island Certificate of Good Standing, # 3 Text of Proposed Order)(Cohen, Joseph) (Entered: 01/21/2015)

01/21/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 10 AMENDED MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 01/21/2015)

01/27/2015 11 MOTION to Appoint Benjamin Gross to serve as lead plaintiff(s) ., MOTION to Appoint Counsel . Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order)(Guglielmo, Joseph) (Entered: 01/27/2015)

01/27/2015 12 MEMORANDUM OF LAW in Support re: 11 MOTION to Appoint Benjamin Gross to serve as lead plaintiff(s) . MOTION to Appoint Counsel . . Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 01/27/2015)

01/27/2015 13 DECLARATION of Joseph P. Guglielmo in Support re: 11 MOTION to Appoint Benjamin Gross to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit Published Notice, # 2 Exhibit Certification, # 3 Exhibit Loss Chart, # 4 Exhibit Scott+Scott Resume, # 5 Exhibit Zwick Resume)(Guglielmo, Joseph) (Entered: 01/27/2015)

01/29/2015 14 ACKNOWLEDGMENT OF SERVICE. All Defendants. Service was accepted by Frank M. Scaduto. Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 01/29/2015)

02/06/2015 15 ORDER FOR ADMISSION PRO HAC VICE granting 10 Motion for Joseph D. Cohen to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 2/6/2015) (mro) (Entered: 02/06/2015)

02/11/2015 16 NOTICE of Non-Opposition re: 11 MOTION to Appoint Benjamin Gross to serve as lead plaintiff(s) . MOTION to Appoint Counsel .. Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 02/11/2015)

02/19/2015 17 LETTER MOTION for Extension of Time to File Answer addressed to Judge William H. Pauley, III from Sameer Advani dated 2/19/2015. Document filed by Nick Brown, GFI Group, Inc., Michael Gooch, Colin Heffron.(Advani, Sameer) (Entered: 02/19/2015)

02/20/2015 18 ORDER granting 11 Motion to Appoint Benjamin Gross as Lead Plaintiff(s); granting 11 Motion to Appoint Counsel. Having considered the motion of Benjamin Gross for Appointment as Lead Plaintiff and for Approval of Lead Plaintiff's Selection of Lead Counsel (the "Motion"), and for good cause appearing therefore, the Court ORDERS as follows: 1. The Motion is GRANTED; 2. The Court, having considered the provisions of the Private Securities Litigation Reform Act of 1995, 15 U.S.C. § 78u-4(a)(3)(B), appoints Benjamin Gross as Lead Plaintiff; and 3. Pursuant to 15 U.S.C. § 78u-4(a)(3)(B)(v), approves Benjamin Gross's selection of the law firm of Scott+Scott, Attorneys at Law, LLP and Jack I. Zwick, Esq. to serve as Co-Lead Counsel for the putative class. SO ORDERED. (Signed by Judge William H. Pauley, III on 2/20/2015) (ajs) (Entered: 02/20/2015)

02/20/2015 19 ORDER granting 17 Letter Motion for Extension of Time to Answer re 1 Complaint. Application granted. Plaintiff shall file an Amended Complaint by March 16, 2015. The initial pretrial conference is adjourned to March 27, 2015 at 10:00 a.m. (Nick Brown answer due 3/25/2015.) (GFI Group, Inc. answer due 3/25/2015.) (Michael Gooch answer due 3/25/2015.) (Colin Heffron answer due 3/25/2015.) (Signed by Judge William H. Pauley, III on 2/20/2015) (spo) (Entered: 02/20/2015)

02/20/2015 Set/Reset Hearings: Initial Conference set for 3/27/2015 at 10:00 AM before Judge William H. Pauley III. Set/Reset Deadlines: Amended Pleadings due by 3/16/2015. (spo) (Entered: 02/20/2015)

03/10/2015 20 LETTER MOTION for Extension of Time to File Amended Complaint addressed to Judge William H. Pauley, III from Stephen Teti dated 3/10/15. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Teti, Stephen) (Entered: 03/10/2015)

03/11/2015 21 LETTER RESPONSE to Motion addressed to Judge William H. Pauley, III from Todd G. Cosenza dated 3/11/2015 re: 20 LETTER MOTION for Extension of Time to File Amended Complaint addressed to Judge William H. Pauley, III from Stephen Teti dated 3/10/15. . Document filed by Nick Brown, GFI Group, Inc., Michael Gooch, Colin Heffron. (Cosenza, Todd) (Entered: 03/11/2015)

03/13/2015 22 ORDER granting 20 Letter Motion for Extension of Time. Application granted. Lead Plaintiff shall file an Amended Complaint by May 15, 2015. Defendants shall answer or otherwise respond by June 5, 2015. The initial pretrial conference is adjourned to June 19, 2015 at 10:00 a.m. Amended Pleadings due by 5/15/2015. (Signed by Judge William H. Pauley, III on 3/13/2015) (mro) (Entered: 03/13/2015)

03/13/2015 Set/Reset Hearings: Initial Conference set for 6/19/2015 at 10:00 AM before Judge William H. Pauley III. (mro) (Entered: 03/13/2015)

05/15/2015 23 AMENDED COMPLAINT amending 1 Complaint against GFI Group, Inc., Michael Gooch, Colin Heffron with JURY DEMAND.Document filed by Benjamin Gross. Related document: 1 Complaint filed by Benjamin Gross. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14)(Cohen, Joseph) (Entered: 05/15/2015)

06/05/2015 24 LETTER MOTION for Conference Requesting A Pre-Motion Conference addressed to Judge William H. Pauley, III from Tariq Mundiya dated 6/5/2015. Document filed by GFI Group, Inc., Michael Gooch, Colin Heffron.(Mundiya, Tariq) (Entered: 06/05/2015)

06/12/2015 25 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Benjamin Gross.(Cohen, Joseph) (Entered: 06/12/2015)

06/12/2015 26 LETTER RESPONSE to Motion addressed to Judge William H. Pauley, III from Stephen Teti dated 6/12/15 re: 24 LETTER MOTION for Conference Requesting A Pre-Motion Conference addressed to Judge William H. Pauley, III from Tariq Mundiya dated 6/5/2015. . Document filed by Benjamin Gross. (Teti, Stephen) (Entered: 06/12/2015)

06/15/2015 27 ORDER granting 24 Letter Motion for Conference. Application granted. The proposed motion will be addressed at the initial pretrial conference on June 19, 2015. SO ORDERED. (Signed by Judge William H. Pauley, III on 6/15/2015) (ajs) (Entered: 06/16/2015)

06/19/2015 Minute Entry for proceedings held before Judge William H. Pauley, III: Initial Pretrial Conference & Pre Motion Conference held on 6/19/2015. (Entered: 07/09/2015)

06/22/2015 28 SCHEDULING ORDER: Lead Plaintiff shall file an Amended Complaint by 7/8/2015. Defendants shall file their motion to dismiss by 8/19/2015. Responses due by 9/30/2015; Replies due by 10/14/2015. Oral Argument set for 10/30/2015 at 11:00 AM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 6/22/2015) (tro) (Entered: 06/23/2015)

07/08/2015 29 SECOND AMENDED COMPLAINT amending 23 Amended Complaint, against GFI Group, Inc., Michael Gooch, Colin Heffron with JURY DEMAND.Document filed by Benjamin Gross. Related document: 23 Amended Complaint, filed by Benjamin Gross. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14)(Teti, Stephen) (Entered: 07/08/2015)

07/22/2015 30 TRANSCRIPT of Proceedings re: Conference held on 6/19/2015 before Judge William H. Pauley, III. Court Reporter/Transcriber: Vincent Bologna, (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 8/17/2015. Redacted Transcript Deadline set for 8/27/2015. Release of Transcript Restriction set for 10/23/2015.(Rodriguez, Somari) (Entered: 07/22/2015)

07/22/2015 31 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Conference proceeding held on 06/19/2015 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...(Rodriguez, Somari) (Entered: 07/22/2015)

08/13/2015 32 LETTER MOTION for Extension of Time to File Answer re: 29 Amended Complaint,, addressed to Judge William H. Pauley, III from Todd G. Cosenza dated 8/13/2015. Document filed by GFI Group, Inc., Michael Gooch, Colin Heffron.(Cosenza, Todd) (Entered: 08/13/2015)

08/17/2015 33 ORDER granting 32 Letter Motion for Extension of Time to Answer. Application granted. This Court adopts the parties' proposed revised schedule. Oral argument is adjourned to December 4, 2015 at 12:00 p.m. GFI Group, Inc. answer due 9/9/2015; Michael Gooch answer due 9/9/2015; Colin Heffron answer due 9/9/2015. (Signed by Judge William H. Pauley, III on 8/17/2015) (mro) (Entered: 08/18/2015)

08/17/2015 Set/Reset Deadlines: ( Responses due by 10/28/2015, Replies due by 11/11/2015.), Set/Reset Hearings:( Oral Argument set for 12/4/2015 at 12:00 PM before Judge William H. Pauley III.) (mro) (Entered: 08/18/2015)

09/09/2015 34 MOTION to Dismiss . Document filed by GFI Group, Inc..(Rowe, Paul) (Entered: 09/09/2015)

09/09/2015 35 MEMORANDUM OF LAW in Support re: 34 MOTION to Dismiss . . Document filed by GFI Group, Inc.. (Rowe, Paul) (Entered: 09/09/2015)

10/09/2015 36 MOTION for Joseph D. Cohen to Withdraw as Attorney for Lead Plaintiff Benjamin Gross. Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 10/09/2015)

10/28/2015 37 MEMORANDUM OF LAW in Opposition re: 34 MOTION to Dismiss . . Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 10/28/2015)

11/11/2015 38 REPLY MEMORANDUM OF LAW in Support re: 34 MOTION to Dismiss . . Document filed by GFI Group, Inc.. (Rowe, Paul) (Entered: 11/11/2015)

11/25/2015 39 MEMO ENDORSEMENT granting 36 Motion to Withdraw Joseph D. Cohen as Counsel. ENDORSEMENT: Application granted. Attorney Joseph Daniel Cohen terminated. (Signed by Judge William H. Pauley, III on 11/25/2015) (mro) (Entered: 11/25/2015)

12/04/2015 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 12/4/2015 re: 34 MOTION to Dismiss . filed by GFI Group, Inc., 38 Reply Memorandum of Law in Support of Motion filed by GFI Group, Inc., 37 Memorandum of Law in Opposition to Motion filed by Benjamin Gross, 35 Memorandum of Law in Support of Motion filed by GFI Group, Inc.. (Wood, Kyle) (Entered: 01/11/2016)

12/29/2015 40 TRANSCRIPT of Proceedings re: conference held on 12/4/2015 before Judge William H. Pauley, III. Court Reporter/Transcriber: Carol Ganley, (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 1/22/2016. Redacted Transcript Deadline set for 2/1/2016. Release of Transcript Restriction set for 3/31/2016.(McGuirk, Kelly) (Entered: 12/29/2015)

12/29/2015 41 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 12/4/15 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 12/29/2015)

01/06/2016 42 TRANSCRIPT of Proceedings re: CORRECTED TRANSCRIPT held on 6/19/2015 before Judge William H. Pauley, III. Court Reporter/Transcriber: Vincent Bologna, (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 2/1/2016. Redacted Transcript Deadline set for 2/11/2016. Release of Transcript Restriction set for 4/8/2016.(McGuirk, Kelly) (Entered: 01/06/2016)

01/06/2016 43 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CORRECTED TRANSCRIPT proceeding held on 6/19/15 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/06/2016)

01/06/2016 44 TRANSCRIPT of Proceedings re: CORRECTED TRANSCRIPT held on 12/4/2015 before Judge William H. Pauley, III. Court Reporter/Transcriber: Carol Ganley, (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 2/1/2016. Redacted Transcript Deadline set for 2/11/2016. Release of Transcript Restriction set for 4/8/2016.(McGuirk, Kelly) (Entered: 01/06/2016)

01/06/2016 45 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CORRECTED TRANSCRIPT proceeding held on 12/4/15 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 01/06/2016)

02/09/2016 46 MEMORANDUM & ORDER denying 34 Motion to Dismiss. For the foregoing reasons, Defendants' motion to dismiss is denied. The Clerk of Court is directed to mark the motion pending at ECF No. 34 as closed. (As further set forth in this Memorandum & Order.) (Signed by Judge William H. Pauley, III on 2/9/2016) (mro) (Entered: 02/09/2016)

02/11/2016 47 SCHEDULING ORDER: The parties are directed to submit a proposed discovery and pre-trial schedule by February 19, 2016. SO ORDERED. (Signed by Judge William H. Pauley, III on 2/11/2016) All Counsel of Record via ECF.(ama) (Entered: 02/16/2016)

02/17/2016 48 LETTER addressed to Judge William H. Pauley, III from Paul K. Rowe dated February 17, 2016 Document filed by GFI Group, Inc..(Rowe, Paul) (Entered: 02/17/2016)

02/17/2016 49 MEMO ENDORSEMENT on re: 48 Letter filed by GFI Group, Inc. ENDORSEMENT: Application granted. (Signed by Judge William H. Pauley, III on 2/17/2016) (cf) (Entered: 02/18/2016)

02/18/2016 50 LETTER addressed to Judge William H. Pauley, III from Paul K. Rowe dated February 18, 2016 Document filed by GFI Group, Inc..(Rowe, Paul) (Entered: 02/18/2016)

02/19/2016 51 MEMO ENDORSEMENT on re: 50 Letter filed by GFI Group, Inc. ENDORSEMENT: Application granted. GFI Group, Inc. answer due 3/15/2016. (Signed by Judge William H. Pauley, III on 2/19/2016) (mro) (Entered: 02/22/2016)

02/24/2016 52 INTERNET CITATION NOTE: Material from decision with Internet citation re: 46 Order on Motion to Dismiss. (vf) (Entered: 02/24/2016)

03/15/2016 53 ANSWER to 29 Amended Complaint,,. Document filed by GFI Group, Inc., Michael Gooch, Colin Heffron.(Rowe, Paul) (Entered: 03/15/2016)

03/23/2016 54 SCHEDULING ORDER NO.3: This Court has reviewed the parties' proposed discovery and pre-trial schedule and finds it too drawn-out and segmented. The parties articulate no reason for postponing class certification until after the completion of fact discovery. And initial expert disclosures can be made by the parties prior to the fact-discovery cutoff. With this in mind, this Court fixes the following schedule: All Fact Discovery due by 10/31/2016. Motions due by 9/30/2016. Responses due by 10/31/2016 Replies due by 11/15/2016. Expert Discovery due by 1/31/2017. Oral Argument set for 12/9/2016 at 10:00 AM before Judge William H. Pauley III. Final Pretrial Conference set for 3/15/2017 at 12:00 PM before Judge William H. Pauley III. Pretrial Order due by 2/28/2017.SO ORDERED. (Signed by Judge William H. Pauley, III on 3/23/2016) (ama) (Entered: 03/24/2016)

04/22/2016 55 STIPULATED CONFIDENTIALITY AGREEMENT AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (As further set forth in this Order.) (Signed by Judge William H. Pauley, III on 4/22/2016) (cf) (Entered: 04/22/2016)

07/07/2016 56 LETTER MOTION for Extension of Time of all Current Deadlines addressed to Judge William H. Pauley, III from Stephen J. Teti dated 07/07/2016. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order)(Teti, Stephen) (Entered: 07/07/2016)

07/07/2016 57 NOTICE of Substitution of Attorney. Old Attorney: Tariq Mundiya, Todd G. Cosenza, and Sameer Advani, New Attorney: Christopher D. Kercher, Address: Quinn Emanuel Urquhart & Sullivan, LLP, 51 Madison Avenue, 22nd Floor, New York, New York, 10010, (212) 849-7000. Document filed by Michael Gooch, Colin Heffron. (Cosenza, Todd) (Entered: 07/07/2016)

07/12/2016 58 ORDER granting 56 Letter Motion for Extension of Time. By Scheduling Order No. 3 dated March 23, 2016 (ECF No. 54), the Court established a schedule for various deadlines in the above-captioned action. By this Order, the Court hereby enters the following modified schedule: 1. All fact discovery shall be completed by December 30, 2016. 2. Lead Plaintiff shall file his motion for class certification by November 29, 2016. 3. Defendants shall file any opposition to the motion for class certification by December 30, 2016. 4. Lead Plaintiff shall file any reply by January 17, 2017. 5. The parties shall appear for oral argument (if there is opposition) on February 2, 2017 at 11:30 a.m. 6. The parties shall make their initial expert disclosures by December 13, 2016. 7. The parties shall serve opening expert reports by January 30, 2017. 8. The parties shall serve rebuttal expert reports by February 21, 2017. 9. The parties shall complete expert discovery by April 3, 2017. 10. The parties shall submit a joint pre-trial order by May 1, 2017. 11. The parties shall appear for a final pre-trial conference on May 12, 2017 at 11:30 a.m. Consistent with the Court's prior orders, remaining deadlines in this action can be addressed on the date of oral argument set forth above. Motions due by 11/29/2016. Pretrial Order due by 5/1/2017. (Signed by Judge William H. Pauley, III on 7/12/2016) (mro) (Entered: 07/13/2016)

07/12/2016 Set/Reset Deadlines: ( Expert Discovery due by 4/3/2017., Fact Discovery due by 12/30/2016., Responses due by 12/30/2016, Replies due by 1/17/2017.), Set/Reset Hearings:( Final Pretrial Conference set for 5/12/2017 at 11:30 AM before Judge William H. Pauley III., Oral Argument set for 2/3/2017 at 11:30 AM before Judge William H. Pauley III.) (mro) (Entered: 07/13/2016)

07/13/2016 59 NOTICE OF APPEARANCE by Christopher Daniel Kercher on behalf of Michael Gooch, Colin Heffron. (Kercher, Christopher) (Entered: 07/13/2016)

07/14/2016 60 MEMO ENDORSEMENT on re: 57 Consent to Substitution of Counsel filed by Colin Heffron, Michael Gooch. ENDORSEMENT: SO ORDERED. Attorney Todd G. Cosenza and Tariq Mundiya terminated. (Signed by Judge William H. Pauley, III on 7/14/2016) (mro) (Entered: 07/14/2016)

08/16/2016 61 NOTICE OF CHANGE OF ADDRESS by Joseph Peter Guglielmo on behalf of Benjamin Gross. New Address: Scott+Scott, Attorneys at Law, LLP, The Helmsley Building, 230 Park Avenue, 17th Floor, New York, New York, United States 10169, 212-223-6444. (Guglielmo, Joseph) (Entered: 08/16/2016)

09/13/2016 62 NOTICE OF CHANGE OF ADDRESS by Jack I. Zwick on behalf of Benjamin Gross. New Address: Jack I. Zwick, 100 Church St., Suite 850, New York, NY, 10007, (212)385-1900. (Zwick, Jack) (Entered: 09/13/2016)

11/09/2016 63 LETTER MOTION for Extension of Time of all Current Deadlines addressed to Judge William H. Pauley, III from Stephen J. Teti dated November 9, 2016. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order)(Teti, Stephen) (Entered: 11/09/2016)

11/21/2016 64 ORDER granting 63 Letter Motion for Extension of Time. By this Order, the Court hereby enters the following modified schedule: 1. All fact discovery shall be completed by May 1, 2017. 2. Lead Plaintiff shall file his motion for class certification by March 29, 2017. 3. Defendants shall file any opposition to the motion for class certification by May 1, 2017. 4. Lead Plaintiff shall file any reply by May 17, 2017. 5. The parties shall appear for oral argument (if there is opposition) on June 2, 2017 at 10:30 a.m. 6. The parties shall make their initial expert disclosures by April 12, 2017. 7. The parties shall serve opening expert reports by May 30, 2017. 8. The parties shall serve rebuttal expert reports by June 21, 2017. 9. The parties shall complete expert discovery by August 1, 2017. 10. The parties shall submit a joint pre-trial order by August 29, 2017. 11. The parties shall appear for a final pre-trial conference on September 8, 2017 at 10:00 a.m. No further extensions of time will be granted in this matter. The Clerk of Court is directed to close the motion pending at ECF No. 63. SO ORDERED. (Signed by Judge William H. Pauley, III on 11/21/2016) (kl) (Entered: 11/21/2016)

11/21/2016 Set/Reset Deadlines: ( Expert Discovery due by 8/1/2017., Fact Discovery due by 5/1/2017., Motions due by 5/29/2017., Pretrial Order due by 8/29/2017., Responses due by 5/1/2017, Replies due by 5/17/2017.), Set/Reset Hearings:( Final Pretrial Conference set for 9/8/2017 at 10:00 AM before Judge William H. Pauley III., Oral Argument set for 6/2/2017 at 10:30 AM before Judge William H. Pauley III.) (kl) (Entered: 11/21/2016)

02/14/2017 65 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-

13314253. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order, # 2 Exhibit - Certificate of Good Standing)(Cohen, Joseph) Modified on 2/14/2017 (bcu). (Entered: 02/14/2017)

02/14/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 65 MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13314253. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): Attorney Affidavit/Declaration missing. Please read local rule 1.3;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu) (Entered: 02/14/2017)

02/14/2017 66 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Jonathan M. Rotter to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13314371. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order, # 2 Exhibit - Certificate of Good Standing)(Rotter, Jonathan) Modified on 2/14/2017 (ma). (Entered: 02/14/2017)

02/14/2017 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. 66 MOTION for Jonathan M. Rotter to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-13314371. Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): MISSING AFFIDAVIT OR DECLARATION PURSUANT TO LOCAL RULE 1.3;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (ma) (Entered: 02/14/2017)

02/14/2017 67 MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit of Joesph D. Cohen, # 3 Exhibit - Certificate of Good Standing)(Cohen, Joseph) (Entered: 02/14/2017)

02/14/2017 68 MOTION for Jonathan M. Rotter to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order, # 2 Affidavit Jonathan M. Rotter, # 3 Exhibit - Certificate of Good Standing)(Rotter, Jonathan) (Entered: 02/14/2017)

02/14/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 67 MOTION for Joseph D. Cohen to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 02/14/2017)

02/14/2017 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 68 MOTION for Jonathan M. Rotter to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (ma) (Entered: 02/14/2017)

02/15/2017 69 ORDER ADMITTING JOSEPH D. COHEN PRO HAC VICE granting 67 Motion for Joseph D. Cohen to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 2/15/2017) (cla) (Entered: 02/15/2017)

02/15/2017 70 ORDER ADMITTING JONATHAN M. ROTTER PRO HAC VICE granting 68 Motion for Jonathan M. Rotter to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 2/15/2017) (cla) (Entered: 02/15/2017)

02/23/2017 71 NOTICE OF APPEARANCE by John F. Lynch on behalf of GFI Group, Inc.. (Lynch, John) (Entered: 02/23/2017)

02/23/2017 72 NOTICE OF APPEARANCE by Joshua Jeffrey Card on behalf of GFI Group, Inc.. (Card, Joshua) (Entered: 02/23/2017)

02/24/2017 73 NOTICE OF CHANGE OF ADDRESS by Joshua Jeffrey Card on behalf of GFI Group, Inc.. New Address: Wachtell, Lipton, Rosen & Katz, 51 West 52nd Street, New York, New York, 10019, 212-403-1198. (Card, Joshua) (Entered: 02/24/2017)

03/16/2017 74 LETTER MOTION for Extension of Time of all Current Deadlines addressed to Judge William H. Pauley, III from Joseph P. Guglielmo and Jack I. Zwick dated 03/16/2017. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order)(Guglielmo, Joseph) (Entered: 03/16/2017)

03/21/2017 75 ORDER granting 74 Letter Motion for Extension of Time. By Order, dated November 21, 2016 (ECF No. 64), the Court established a schedule for various deadlines in the above-captioned action. By this Order, the Court hereby enters the following modified schedule: 1. All fact discovery shall be completed by June 30, 2017. 2. Lead Plaintiff shall file his motion for class certification by May 30, 2017. 3. Defendants shall file any opposition to the motion for class certification by June 30, 2017. 4. Lead Plaintiff shall file any reply by July 17, 2017. 5. The parties shall appear for oral argument (if there is opposition) on July 28, 2017 at 11:00 a.m. 6. The parties shall make their initial expert disclosures by June 12, 2017. 7. The parties shall serve opening expert reports by July 31, 2017. 8. The parties shall serve rebuttal expert reports by August 21, 2017. 9. The parties shall complete expert discovery by October 2, 2017. 10. The parties shall submit a joint pre-trial order by October 30, 2017. 11. The parties shall appear for a final pre-trial conference on November 3, 2017 at 11:00 a.m. Consistent with the Court's prior orders, the remaining deadlines in this action can be addressed on the date of oral argument set forth above. Motions due by 5/30/2017. Pretrial Order due by 10/30/2017. (Signed by Judge William H. Pauley, III on 3/21/2017) (mro) Modified on 3/22/2017 (mro). (Entered: 03/22/2017)

03/21/2017 Set/Reset Deadlines: ( Expert Discovery due by 10/2/2017., Fact Discovery due by 6/30/2017., Responses due by 6/30/2017, Replies due by 7/17/2017.), Set/Reset Hearings:( Final Pretrial Conference set for 11/3/2017 at 11:00 AM before Judge William H. Pauley III., Oral Argument set for 7/28/2017 at 11:00 AM before Judge William H. Pauley III.) (mro) (Entered: 03/22/2017)

03/22/2017 76 NOTICE OF CHANGE OF ADDRESS by Joseph Daniel Cohen on behalf of Benjamin Gross. New Address: Glancy Prongay & Murray LLP, 1925 Century Park East, Suite 2100, Los Angeles, California, USA 90067, (310) 201-9150. (Cohen, Joseph) (Entered: 03/22/2017)

03/22/2017 77 NOTICE OF APPEARANCE by Joseph Daniel Cohen on behalf of Benjamin Gross. (Cohen, Joseph) (Entered: 03/22/2017)

05/23/2017 78 NOTICE OF APPEARANCE by Nirav Sanjay Shah on behalf of GFI Group, Inc.. (Shah, Nirav) (Entered: 05/23/2017)

05/23/2017 79 NOTICE OF APPEARANCE by Michael Steven Popok on behalf of GFI Group, Inc.. (Popok, Michael) (Entered: 05/23/2017)

05/30/2017 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel. Document filed by Benjamin Gross. Responses due by 6/30/2017 Return Date set for 7/28/2017 at 11:00 AM.(Guglielmo, Joseph) (Entered: 05/30/2017)

05/30/2017 81 MEMORANDUM OF LAW in Support re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel. . Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 05/30/2017)

05/30/2017 82 DECLARATION of Joseph P. Guglielmo in Support re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit A - Expert Report of Chad Coffman, # 2 Exhibit B - GFI Group 2014 10K Cover Page, # 3 Exhibit C - Scott+Scott Firm Resume, # 4 Exhibit D - Jack Zwick Resume)(Guglielmo, Joseph) (Entered: 05/30/2017)

05/30/2017 83 DECLARATION of Benjamin Gross in Support re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 05/30/2017)

06/05/2017 84 NOTICE OF APPEARANCE by Warren R. Stern on behalf of GFI Group, Inc.. (Stern, Warren) (Entered: 06/05/2017)

06/20/2017 85 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Tariq Mundiya to Withdraw as Attorney . Document filed by GFI Group, Inc..(Mundiya, Tariq) Modified on 6/22/2017 (db). (Entered: 06/20/2017)

06/20/2017 86 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Todd G. Cosenza to Withdraw as Attorney . Document filed by GFI Group, Inc..(Cosenza, Todd) Modified on 6/22/2017 (db). (Entered: 06/20/2017)

06/20/2017 87 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Sameer Nitanand Advani to Withdraw as Attorney . Document filed by GFI Group, Inc., Michael Gooch, Colin Heffron.(Advani, Sameer) Modified on 6/22/2017 (db). (Entered: 06/20/2017)

06/21/2017 88 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF COUNSEL. ENDORSEMENT: So ordered. Granting 85 Motion to Withdraw as Attorney. Attorney Tariq Mundiya terminated. (Signed by Judge William H. Pauley, III on 6/21/2017) (rjm) (Entered: 06/21/2017)

06/21/2017 89 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF COUNSEL. ENDORSEMENT: So ordered. Granting 86 Motion to Withdraw as Attorney. Attorney Todd G. Cosenza terminated. (Signed by Judge William H. Pauley, III on 6/21/2017) (rjm) (Entered: 06/21/2017)

06/21/2017 90 MEMO ENDORSEMENT on NOTICE OF WITHDRAWAL OF COUNSEL. ENDORSEMENT: So ordered. Granting 87 Motion to Withdraw as Attorney. Attorney Sameer Nitanand Advani terminated. (Signed by Judge William H. Pauley, III on 6/21/2017) (rjm) (Entered: 06/21/2017)

06/30/2017 91 MEMORANDUM OF LAW in Opposition re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel. Defendants' Opposition to Lead Plaintiff's Motion for Class Certification. Document filed by GFI Group, Inc., Michael Gooch, Colin Heffron. (Lynch, John) (Entered: 06/30/2017)

06/30/2017 92 DECLARATION of John F. Lynch in Support re: 91 Memorandum of Law in Opposition to Motion,. Document filed by GFI Group, Inc.. (Attachments: # 1 Exhibit - A, # 2 Exhibit - B, # 3 Exhibit - C, # 4 Exhibit - D, # 5 Exhibit - E, # 6 Exhibit - F, # 7 Exhibit - G)(Lynch, John) (Entered: 06/30/2017)

07/17/2017 93 REPLY MEMORANDUM OF LAW in Support re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel. . Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 07/17/2017)

07/17/2017 94 DECLARATION of Joseph P. Guglielmo in Support re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit 1 - Plaintiff Certification, # 2 Exhibit 2 - Excerpts of Plaintiff's Deposition, # 3 Exhibit 3 - Glancy Prongay & Murray Firm Resume, # 4 Exhibit 4 - Plaintiff's Responses to Supplmental Interrogatories)(Guglielmo, Joseph) (Entered: 07/17/2017)

07/17/2017 95 DECLARATION of Jack I. Zwick in Support re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel.. Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 07/17/2017)

07/24/2017 96 LETTER MOTION for Extension of Time of Deadlines to Serve Opening and Rebuttal Expert Reports addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated 07/24/2017. Document filed by Benjamin Gross. (Attachments: # 1 Text of Proposed Order)(Guglielmo, Joseph) (Entered: 07/24/2017)

07/25/2017 97 ORDER. By Order, dated March 21, 2017 (ECF No. 75), the Court established a schedule for various deadlines in the above-captioned action. By this Order, the Court hereby enters the following modified schedule: 1. The parties shall serve opening expert reports by August 7, 2017; and 2. The parties shall serve rebuttal expert reports by August 28, 2017. None of the other deadlines set forth in the Court's March 21, 2017 Order are impacted by this change. So ordered. Granting 96 LETTER MOTION for Extension of Time of Deadlines to Serve Opening and Rebuttal Expert Reports addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated 07/24/2017. Document filed by Benjamin Gross. (Signed by Judge William H. Pauley, III on 7/25/2017) (rjm) (Entered: 07/25/2017)

07/28/2017 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 7/28/2017 re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel. filed by Benjamin Gross. (Entered: 08/02/2017)

08/15/2017 98 TRANSCRIPT of Proceedings re: CONFERENCE held on 7/28/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Steven Greenblum, (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 9/5/2017. Redacted Transcript Deadline set for 9/15/2017. Release of Transcript Restriction set for 11/13/2017.(McGuirk, Kelly) (Entered: 08/15/2017)

08/15/2017 99 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/28/17 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 08/15/2017)

08/17/2017 100 ORDER: This Court received two letters from the parties, both dated August 14, 2017. The first letter seeks leave to file significant portions of the second letter, which raises a discovery dispute, under seal. Curiously, Defendants also seek to file portions of the parties' first letter under seal. After reviewing the letters, this Court directs that both should be filed promptly without any redactions. This Court will conduct a discovery conference with the parties on August 21, 2017 at 3:00 p.m in Courtroom 20B. (Discovery Hearing set for 8/21/2017 at 03:00 PM in Courtroom 20B, 500 Pearl Street, New York, NY 10007 before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 8/17/2017) (jwh) (Entered: 08/17/2017)

08/17/2017 101 JOINT LETTER MOTION for Discovery as per Order at ECF No. 100 addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated August 14, 2017. Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 08/17/2017)

08/17/2017 102 JOINT LETTER MOTION for Discovery as per Order at ECF No. 100 addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated August 14, 2017. Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 08/17/2017)

08/21/2017 Minute Entry for proceedings held before Judge William H. Pauley, III: Discovery Hearing held on 8/21/2017. (Entered: 09/01/2017)

08/23/2017 103 OPINION & ORDER re: 80 MOTION to Certify Class and Appointment of Class Representative and Class Counsel filed by Benjamin Gross: Plaintiff Benjamin Gross brings this securities class action on behalf of himself and similarly situated holders of Defendant GFI Group, Inc. ("GFI") stock, alleging that GFI board members made material misstatements about the benefits of a proposed merger that GFI's shareholders later rejected. Gross moves to certify a class of "all individuals and entities who sold shares of GFI common stock between July 30, 2014 and September 8, 2014." GFI opposes certification solely on the grounds that Gross is an inadequate class representative under Federal Rule of Civil Procedure 23(a)(4) because Jack Zwick, co-lead counsel for the putative class, is Gross's brother-in-law and close personal friend. For the foregoing reasons, Gross has satisfied the requirements of FRCP 23 and the putative class of "all individuals and entities who sold shares of GFI common stock between July 30, 2014 and September 8, 2014, both dates inclusive, and who were damaged thereby" is certified and Gross is appointed as class representative. The Clerk of Court is directed to terminate the motion pending at ECF No. 80. (Signed by Judge William H. Pauley, III on 8/23/2017) (jwh) (Entered: 08/23/2017)

08/23/2017 104 MOTION for Stephen J. Teti to Withdraw as Attorney . Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 08/23/2017)

08/24/2017 105 MEMO ENDORSEMENT granting 104 Motion to Withdraw as Attorney. ENDORSEMENT: SO ORDERED. (Attorney Stephen J. Teti terminated.) (Signed by Judge William H. Pauley, III on 8/24/2017) (jwh) (Entered: 08/24/2017)

09/12/2017 106 NOTICE OF APPEARANCE by Andrea Farah on behalf of Benjamin Gross. (Farah, Andrea) (Entered: 09/12/2017)

09/28/2017 107 TRANSCRIPT of Proceedings re: ARGUMENT held on 8/21/2017 before Judge William H. Pauley, III. Court Reporter/Transcriber: Khristine Sellin, (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 10/19/2017. Redacted Transcript Deadline set for 10/30/2017. Release of Transcript Restriction set for 12/27/2017.(McGuirk, Kelly) (Entered: 09/28/2017)

09/28/2017 108 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a ARGUMENT proceeding held on 8/21/17 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 09/28/2017)

10/19/2017 109 SCHEDULING ORDER: The final pre-trial conference scheduled for November 3, 2017 is adjourned to November 30, 2017 at 3:00 p.m. The parties shall submit a joint pre-trial order by November 22, 2017. (Final Pretrial Conference set for 11/30/2017 at 03:00 PM before Judge William H. Pauley III. Pretrial Order due by 11/22/2017.) (Signed by Judge William H. Pauley, III on 10/19/2017) (jwh) (Entered: 10/19/2017)

10/20/2017 110 LETTER addressed to Judge William H. Pauley, III from John F. Lynch dated October 20, 2017 re: Request for Pre-Motion Conference. Document filed by GFI Group, Inc..(Lynch, John) (Entered: 10/20/2017)

10/27/2017 111 LETTER addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated October 27, 2017 re: Response to Defendants' Letter Seeking a Pre-Motion Conference. Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 10/27/2017)

10/30/2017 112 LETTER MOTION for Extension of Time addressed to Judge William H. Pauley, III from John F. Lynch dated October 30, 2017. Document filed by GFI Group, Inc., Michael Gooch, Colin Heffron. (Attachments: # 1 Text of Proposed Order)(Lynch, John) (Entered: 10/30/2017)

10/30/2017 113 MEMO ENDORSEMENT on re: 110 Letter filed by GFI Group, Inc. ENDORSEMENT: Application granted. A pre-motion conference is not necessary. This Court adopts the following briefing schedule: The final pre-trial conference is adjourned. Defendants shall file their motion by November 21, 2017. Plaintiffs shall file any opposition papers by December 21, 2017. Defendants shall file any reply by January 8, 2018. The parties shall appear for oral argument on January 26, 2018 at

11:00 a.m. (Motions due by 11/21/2017. Responses due by 12/21/2017. Replies due by 1/8/2018. Oral Argument set for 1/26/2018 at 11:00 AM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 10/27/2017) (jwh) (Entered: 10/31/2017)

11/16/2017 114 NOTICE OF APPEARANCE by Kim Bendersky Goldberg on behalf of GFI Group, Inc.. (Goldberg, Kim) (Entered: 11/16/2017)

11/21/2017 115 MOTION for Summary Judgment . Document filed by GFI Group, Inc..(Lynch, John) (Entered: 11/21/2017)

11/21/2017 116 MEMORANDUM OF LAW in Support re: 115 MOTION for Summary Judgment . . Document filed by GFI Group, Inc.. (Lynch, John) (Entered: 11/21/2017)

11/21/2017 117 RULE 56.1 STATEMENT. Document filed by GFI Group, Inc.. (Lynch, John) (Entered: 11/21/2017)

11/21/2017 118 DECLARATION of John F. Lynch in Support re: 115 MOTION for Summary Judgment .. Document filed by GFI Group, Inc.. (Attachments: # 1 Exhibit A - July 30 Press Release, # 2 Exhibit B - SAC, # 3 Exhibit C - Opp. to Mot. to Dismiss, # 4 Exhibit D - Transcript of Hearing on Mot. to Dismiss, # 5 Exhibit E - Coffman Report, # 6 Exhibit F - Purcell Report, # 7 Exhibit G - Coffman Deposition Excerpts, # 8 Exhibit H - CME Merger Agreement, # 9 Exhibit I - Lutnick Deposition Excerpts, # 10 Exhibit J - BGC Schedule 13D, # 11 Exhibit K - Purcell Deposition Excerpts, # 12 Exhibit L - CME Form S-4 (Excerpts), # 13 Exhibit M - Gooch Deposition Excerpts, # 14 Exhibit N - Greenhill Fairness Opinion, # 15 Exhibit O - GFI stock price chart, # 16 Exhibit P - Fly on the Wall article, # 17 Exhibit Q - RTT News article, # 18 Exhibit R - Deal Pipeline article, # 19 Exhibit S - Keefe Bruyette Woods report, # 20 Exhibit T - July 30 Press Release (DJI), # 21 Exhibit U - Plaintiff certification, # 22 Exhibit V - GFI 2Q 2014 Earnings Call, # 23 Exhibit W - Heffron Deposition Excerpts, # 24 Exhibit X - July 29 Letter, # 25 Exhibit Y - September 8 Letter, # 26 Exhibit Z - WSJ article, # 27 Exhibit AA - September 9 Press Release (Newswire), # 28 Exhibit BB - September 9 Press Release (8-K), # 29 Exhibit CC - Morningstar report, # 30 Exhibit DD - 12/24/14 Proxy Statement/Prospectus (Excerpts), # 31 Exhibit EE - 1/23/15 Proxy Statement/Prospectus (Excerpts), # 32 Exhibit FF - 1/30/15 Press Release, # 33 Exhibit GG - 2/27/15 Press Release)(Lynch, John) (Entered: 11/21/2017)

11/29/2017 119 NOTICE OF CHANGE OF ADDRESS by Andrea Farah on behalf of Benjamin Gross. New Address: Scott+Scott, Attorneys at Law, LLP, 230 Park Avenue, 17th Floor, New York, New York, United States 10169, 212-223-6444. (Farah, Andrea) (Entered: 11/29/2017)

12/18/2017 120 LETTER MOTION for Leave to File Excess Pages addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated 12/18/2017. Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 12/18/2017)

12/19/2017 121 ORDER denying 120 Letter Motion for Leave to File Excess Pages. Application denied. (Signed by Judge William H. Pauley, III on 12/19/2017) (mro) (Entered: 12/20/2017)

12/21/2017 122 MEMORANDUM OF LAW in Opposition re: 115 MOTION for Summary Judgment . . Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 12/21/2017)

12/22/2017 123 COUNTER STATEMENT TO 117 Rule 56.1 Statement. Document filed by Benjamin Gross. (Guglielmo, Joseph) (Entered: 12/22/2017)

12/22/2017 124 DECLARATION of Joseph P. Guglielmo in Opposition re: 115 MOTION for Summary Judgment .. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7, # 8 Exhibit 8, # 9 Exhibit 9, # 10 Exhibit 10, # 11 Exhibit 11, # 12 Exhibit 12, # 13 Exhibit 13, # 14 Exhibit 14, # 15 Exhibit 15, # 16 Exhibit 16, # 17 Exhibit 17, # 18 Exhibit 18, # 19 Exhibit 19, # 20 Exhibit 20, # 21 Exhibit 21, # 22 Exhibit 22, # 23 Exhibit 23, # 24 Exhibit 24, # 25 Exhibit 25, # 26 Exhibit 26, # 27 Exhibit 27, # 28 Exhibit 28, # 29 Exhibit 29, # 30 Exhibit 30, # 31 Exhibit 31, # 32 Exhibit 32, # 33 Exhibit 33, # 34 Exhibit 34, # 35 Exhibit 35, # 36 Exhibit 36, # 37 Exhibit 37, # 38 Exhibit 38, # 39 Exhibit 39, # 40 Exhibit 40, # 41 Exhibit 41, # 42 Exhibit 42, # 43 Exhibit 43, # 44 Exhibit 44, # 45 Exhibit 45, # 46 Exhibit 46, # 47 Exhibit 47, # 48 Exhibit 48, # 49 Exhibit 49, # 50 Exhibit 50, # 51 Exhibit 51, # 52 Exhibit 52, # 53 Exhibit 53, # 54 Exhibit 54, # 55 Exhibit 55, # 56 Exhibit 56, # 57 Exhibit 57, # 58 Exhibit 58, # 59 Exhibit 59, # 60 Exhibit 60, # 61 Exhibit 61, # 62 Exhibit 62, # 63 Exhibit 63, # 64 Exhibit 64, # 65 Exhibit 65, # 66 Exhibit 66, # 67 Exhibit 67, # 68 Exhibit 68, # 69 Exhibit 69, # 70 Exhibit 70, # 71 Exhibit 71, # 72 Exhibit 72, # 73 Exhibit 73, # 74 Exhibit 74, # 75 Exhibit 75, # 76 Exhibit 76, # 77 Exhibit 77, # 78 Exhibit 78, # 79 Exhibit 79, # 80 Exhibit 80, # 81 Exhibit 81, # 82 Exhibit 82, # 83 Exhibit 83, # 84 Exhibit 84, # 85 Exhibit 85, # 86 Exhibit 86, # 87 Errata 87, # 88 Exhibit 88, # 89 Exhibit 89, # 90 Exhibit 90, # 91 Exhibit 91, # 92 Exhibit 92, # 93 Exhibit 93, # 94 Exhibit 94, # 95 Exhibit 95, # 96 Exhibit 96, # 97 Exhibit 97, # 98 Errata 98, # 99 Exhibit 99, # 100 Exhibit 100, # 101 Exhibit 101, # 102 Exhibit 102, # 103 Exhibit 103, # 104 Exhibit 104, # 105 Exhibit 105, # 106 Exhibit 106, # 107 Exhibit 107, # 108 Exhibit 108, # 109 Exhibit 109, # 110 Exhibit 110, # 111 Exhibit 111, # 112 Exhibit 112, # 113 Exhibit 113, # 114 Exhibit 114, # 115 Exhibit 115, # 116 Exhibit 116, # 117 Exhibit 117, # 118 Exhibit 118, # 119 Exhibit 119, # 120 Exhibit 120, # 121 Exhibit 121, # 122 Exhibit 122, # 123 Exhibit 123, # 124 Exhibit 124, # 125 Exhibit 125, # 126 Exhibit 126, # 127 Exhibit 127, # 128 Exhibit 128, # 129 Exhibit 129, # 130 Exhibit 130, # 131 Exhibit 131, # 132 Exhibit 132, # 133 Exhibit 133, # 134 Exhibit 134, # 135 Exhibit 135)(Guglielmo, Joseph) (Entered: 12/22/2017)

12/22/2017 125 LETTER MOTION to Seal Document addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated 12/22/2017. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit 13, # 2 Exhibit 21, # 3 Exhibit 74)(Guglielmo, Joseph) (Entered: 12/22/2017)

12/22/2017 126 LETTER MOTION for Extension of Time Nunc Pro Tunc addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated 12/22/2017. Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 12/22/2017)

12/22/2017 127 ORDER granting 126 Letter Motion for Extension of Time. Application granted. (Signed by Judge William H. Pauley, III on 12/22/2017) (mro) (Entered: 12/22/2017)

01/08/2018 128 AMENDED LETTER MOTION to Seal Document re 124 Declaration in Opposition to Motion addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated 1/08/2018. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit 13 - Excerpts of Lynn Transcript (redacted), # 2 Exhibit 21 - Expert Report of Gregg Jarrell (redacted), # 3 Exhibit 37 - January 7, 2015 Press Release, # 4 Exhibit 40 - January 15, 2015 Press Release, # 5 Exhibit 49 - March 19, 2014 Special Committee Meeting Minutes, # 6 Exhibit 55 - March 18, 2014 Email Exchange, # 7 Exhibit 74 - February 24, 2015 Text Message (redacted), # 8 Exhibit 76 - April 27, 2014 Email Exchange, # 9 Exhibit 131 - June 1, 2014 Email Exchange)(Guglielmo, Joseph) (Entered: 01/08/2018)

01/08/2018 129 REPLY MEMORANDUM OF LAW in Support re: 115 MOTION for Summary Judgment . . Document filed by GFI Group, Inc.. (Lynch, John) (Entered: 01/08/2018)

01/08/2018 130 RESPONSE re: 123 Counter Statement to Rule 56.1 Defendants Response to Plaintiffs Local Rule 56.1 Statement. Document filed by GFI Group, Inc.. (Lynch, John) (Entered: 01/08/2018)

01/08/2018 131 DECLARATION of John F. Lynch in Support re: 115 MOTION for Summary Judgment .. Document filed by GFI Group, Inc.. (Attachments: # 1 Exhibit HH - Letter Agreement, # 2 Exhibit II - Lutnick Deposition Excerpt, # 3 Exhibit JJ - Smith Deposition Excerpt, # 4 Exhibit KK - Fisher Deposition Excerpt, # 5 Exhibit LL - CME NDA, # 6 Exhibit MM - Purcell Deposition Excerpt, # 7 Exhibit NN - Coffman Deposition Excerpt, # 8 Exhibit OO - Jarrell Deposition Excerpt, # 9 Exhibit PP - Gooch Deposition Excerpts)(Lynch, John) (Entered: 01/08/2018)

01/08/2018 132 LETTER addressed to Judge William H. Pauley, III from John F. Lynch dated January 8, 2018 Document filed by GFI Group, Inc..(Lynch, John) (Entered: 01/08/2018)

01/09/2018 133 ORDER granting 125 Motion to Seal Document ; granting 128 Motion to Seal Document: Application granted. (Signed by Judge William H. Pauley, III on 1/9/2018) (jwh) (Entered: 01/09/2018)

01/16/2018 134 LETTER MOTION to Seal Document addressed to Judge William H. Pauley, III from John F. Lynch dated January 16, 2018. Document filed by GFI Group, Inc.. (Attachments: # 1 Exhibit 62, # 2 Exhibit 63, # 3 Exhibit 64, # 4 Exhibit 65, # 5 Exhibit 66, # 6 Exhibit 67, # 7 Exhibit 97, # 8 Exhibit 102, # 9 Exhibit 111, # 10 Exhibit 118, # 11 Exhibit 119, # 12 Exhibit 122, # 13 Exhbiit 123, # 14 Exhibit 124, # 15 Exhibit 125, # 16 Exhibit 126, # 17 Exhibit 127, # 18 Exhibit 128)(Lynch, John) (Entered: 01/16/2018)

01/16/2018 135 ORDER granting 134 LETTER MOTION to Seal Document addressed to Judge William H. Pauley, III from John F. Lynch dated January 16, 2018. Document filed by GFI Group, Inc. Application granted. So ordered. (Signed by Judge William H. Pauley, III on 1/16/2018) (rjm) (Entered: 01/16/2018)

01/16/2018 Transmission to Sealed Records Clerk. Transmitted re: 135 Order on Motion to Seal Document to the Sealed Records Clerk for the sealing or unsealing of document or case. (rjm) (Entered: 01/16/2018)

01/17/2018 136 LETTER MOTION to Seal Document 124 Declaration in Opposition to Motion,,,,,,,,,,, addressed to Judge William H. Pauley, III from Joseph P. Guglielmo dated January 17, 2018. Document filed by Benjamin Gross.(Guglielmo, Joseph) (Entered: 01/17/2018)

01/17/2018 137 ORDER granting 136 Motion to Seal Document. Application granted. (Signed by Judge William H. Pauley, III on 1/17/2018) (mro) (Entered: 01/17/2018)

01/17/2018 Transmission to Sealed Records Clerk. Transmitted re: 137 Order on Motion to Seal Document, to the Sealed Records Clerk for the sealing or unsealing of document or case. (mro) (Entered: 01/17/2018)

01/18/2018 138 LETTER addressed to Judge William H. Pauley, III from Jack I. Zwick dated January 18, 2018 re: Errata re Plaintiff's Statement of Additional Material Facts (ECF No. 123). Document filed by Benjamin Gross. (Attachments: # 1 Exhibit 136, # 2 Exhibit 137, # 3 Exhibit 138, # 4 Errata)(Zwick, Jack) (Entered: 01/18/2018)

01/22/2018 139 MOTION to Approve the Form and Manner of Class Notice . Document filed by Benjamin Gross. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Text of Proposed Order)(Zwick, Jack) (Entered: 01/22/2018)

01/25/2018 140 SCHEDULING ORDER: With consent of the parties, the oral argument scheduled for January 26, 2018 at 11:00 a.m. is advanced to January 26, 2018 at 10:30 a.m. (Oral Argument set for 1/26/2018 at 10:30 AM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 1/25/2018) (jwh) (Entered: 01/25/2018)

01/26/2018 Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 1/26/2018 re: 115 MOTION for Summary Judgment . filed by GFI Group, Inc.. (Entered: 02/02/2018)

01/31/2018 141 LETTER addressed to Judge William H. Pauley, III from Jack I. Zwick dated January 31, 2018 re: Your Honor's Instruction. Document filed by Benjamin Gross.(Zwick, Jack) (Entered: 01/31/2018)

02/02/2018 142 LETTER addressed to Judge William H. Pauley, III from John F. Lynch dated February 2, 2018 re: Plaintiffs' January 31, 2018 Letter. Document filed by GFI Group, Inc..(Lynch, John) (Entered: 02/02/2018)

02/09/2018 143 ORDER GRANTING CLASS REPRESENTATIVE'S UNOPPOSED MOTION TO APPROVE THE FORM AND MANNER OF CLASS NOTICE granting 139 Motion to Approve. IT IS HEREBY ORDERED AND ADJUDGED as follows: The Motion is GRANTED. The Notice of Pendency of Class Action ("Notice"), the Summary Notice of Pendency of Class Action ("Summary Notice") and the method and schedule for notifying the Class of the pendency of the above-captioned action ("Action") as a class action ("Notice Plan"), attached as Exhibits A, B and C to the Motion, respectively, meet the requirements of Rule 23 and of due process, constitute the best notice practicable under the circumstances, and shall constitute due and sufficient notice to all persons and entities entitled thereto. Specifically, the proposed form and content of the Notice meet the requirements of Rule 23(c)(2)(B) as it clearly and concisely states in plain and easily understood language all of the following: (a) the nature of the Action; (b) the definition of the Class certified; (c) the Class claims, issues or defenses; (d) a Class Member's right to enter an appearance through an attorney if the Class Member so desires; (e) a Class

Member's right to be excluded from the Class; (f) the time and manner for requesting exclusion; and (g) the binding effect of a class judgment on Class Members under Federal Rule of Civil Procedure 23(c)(3). 3. The Court hereby approves the form, substance and requirements of the Notice and the Summary Notice, attached as Exhibits A and B to the Motion, and the method for disseminating notice to the Class as set forth in the Notice Plan, attached as Exhibit C to the Motion. Accordingly, the Class Representative is to provide notice to the Class in substantially the form submitted as Exhibits A and B to the Motion and in accordance with the Notice Plan submitted as Exhibit C to the Motion. (Signed by Judge William H. Pauley, III on 2/9/2018) (mro) (Entered: 02/12/2018)

02/13/2018 144 TRANSCRIPT of Proceedings re: CONFERENCE held on 1/26/2018 before Judge William H. Pauley, III. Court Reporter/Transcriber: Carol Ganley, (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 3/6/2018. Redacted Transcript Deadline set for 3/16/2018. Release of Transcript Restriction set for 5/14/2018.(McGuirk, Kelly) (Entered: 02/13/2018)

02/13/2018 145 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 1/26/18 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly) (Entered: 02/13/2018)

04/20/2018 146 OPINION & ORDER re: 115 MOTION for Summary Judgment filed by GFI Group, Inc: For the foregoing reasons, Defendants' motion for summary judgment is granted. The Clerk of Court is directed to terminate all pending motions and mark this case as closed. (Signed by Judge William H. Pauley, III on 4/20/2018) (jwh) (Entered: 04/20/2018)

04/20/2018 Transmission to Judgments and Orders Clerk. Transmitted re: 146 Memorandum & Opinion to the Judgments and Orders Clerk. (jwh) (Entered: 04/20/2018)

04/23/2018 147 CLERK'S JUDGMENT re: 146 Opinion & Order in favor of GFI Group, Inc., Colin Heffron, Michael Gooch against Benjamin Gross. It is hereby ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Opinion & Order dated April 20, 2018, Defendants' motion for summary judgment is granted; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 4/23/2018) (Attachments: # 1 Right to Appeal)(km) (Entered: 04/23/2018)

04/23/2018 Terminate Transcript Deadlines (km) (Entered: 04/23/2018)

05/03/2018 148 DECLARATION of Adam D. Walter Regarding (A) Mailing of Notice; (B) Publication of Summary Notice; and (C) Report on Request for Exclusion. Document filed by Benjamin Gross. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Rotter, Jonathan) (Entered: 05/03/2018)

05/18/2018 149 NOTICE OF APPEAL from 147 Clerk's Judgment,. Document filed by Benjamin Gross. Filing fee $ 505.00, receipt number 0208-15090322. Form C and Form D are

due within 14 days to the Court of Appeals, Second Circuit. (Zwick, Jack) (Entered: 05/18/2018)

05/21/2018 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 149 Notice of Appeal. (nd) (Entered: 05/21/2018)

05/21/2018 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 149 Notice of Appeal filed by Benjamin Gross were transmitted to the U.S. Court of Appeals. (nd) (Entered: 05/21/2018)

06/01/2018 150 NOTICE OF CROSS APPEAL from 103 Memorandum & Opinion,,,,,. Document filed by GFI Group, Inc.. Filing fee $ 505.00, receipt number 0208-15142453. Form C and Form D are due within 14 days to the Court of Appeals, Second Circuit. (Lynch, John) (Entered: 06/01/2018)

06/01/2018 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 150 Notice of Cross Appeal. (tp) (Entered: 06/01/2018)

06/01/2018 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 150 Notice of Cross Appeal, filed by GFI Group, Inc. were transmitted to the U.S. Court of Appeals. (tp) (Entered: 06/01/2018)

04/18/2019 151 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by GFI Group, Inc.. (Goldberg, Kim) (Entered: 04/18/2019)

04/23/2019 152 MEMO ENDORSEMENT on re: 151 Proposed Order for Withdrawal of Attorney filed by GFI Group, Inc. ENDORSEMENT: SO ORDERED. (Attorney Kim Bendersky Goldberg terminated.) (Signed by Judge William H. Pauley, III on 4/23/2019) (jwh) (Entered: 04/23/2019)

10/04/2019 153 MANDATE of USCA (Certified Copy) as to 150 Notice of Cross Appeal, filed by GFI Group, Inc., 149 Notice of Appeal filed by Benjamin Gross. USCA Case Number 18-1527; 18-1665. UPON DUE CONSIDERATION WHEREOF, IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that the judgment entered on April 23, 2018, is AFFIRMED.. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 10/04/2019. (nd) (Entered: 10/04/2019)

10/04/2019 Transmission of USCA Mandate to the District Judge re: 153 USCA Mandate. (nd) (Entered: 10/04/2019)

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