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

US District Court Civil Docket as of June 10, 2014 Retrieved from the court on June 11, 2014

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

CIVIL DOCKET FOR CASE #: 1:12-cv-04191-LTS

In re: TVIX Securities Litigation Date Filed: 05/25/2012 Assigned to: Judge Laura Taylor Swain Date Terminated: 06/10/2014 Related Cases: 1:12-cv-04756-LTS Jury Demand: Plaintiff

1:12-cv-05475-LTS Nature of Suit: 850

Cause: 15:78m(a) Securities Exchange Act Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff

Elite Aviation LLC represented by Giti Baghban 11 Camelia Court Lawrenceville, NJ 08648 (212) 545-4747 Fax: (212) 545-4653 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Mark C. Rifkin Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10016 212-545-4600 Fax: 212 545-4653 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Matthew Moylan Guiney Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10016 (212)-545-4761 Fax: (212)-545-4758 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Gregory Mark Nespole

Wolf Haldenstein Adler Freeman & Herz LLP 270 Madison Avenue New York, NY 10017 212-545-4657 Fax: (212) 545-4693 Email: [email protected] ATTORNEY TO BE NOTICED

Lead Plaintiff

Endless H3 represented by Giti Baghban (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Mark C. Rifkin (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Matthew Moylan Guiney (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Gregory Mark Nespole (See above for address) ATTORNEY TO BE NOTICED

Plaintiff

David Schottenstein represented by Gregory Mark Nespole Individually and on behalf of all others

(See above for address)

similarly situated

ATTORNEY TO BE NOTICED

Matthew Moylan Guiney (See above for address) ATTORNEY TO BE NOTICED

V.

Consolidated Plaintiff

William Bostedo Individually and on Behalf of All others Similarly Situated

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

ATTORNEY TO BE NOTICED

Deborah R Gross Law Offices Bernard M Gross, P.C. Suite 450, 100 Penn Square East Philadelphia, PA 19107 (215) 561-3600 Fax: (215) 561-3000 Email: [email protected] ATTORNEY TO BE NOTICED


Grace Trading, LLC represented by David J. Guin Donaldson, Guin & Slate, L.L.C. The Morgan Keegan Center 2900 Highway 280 Birmingham, Al 35223 (205) 879-9994 ATTORNEY TO BE NOTICED




Ann Nicolosi Individually and on behalf of all other similarly situated

represented by David J Guin Donaldson, Guin & Slate, L.L.C. The Morgan Keegan Center 2900 Hightway 280 Birmingham, AL 35223 (205) 879-9994 ATTORNEY TO BE NOTICED



V.

Movant

Mountain Vista, LLC represented by Ethan David Wohl

Wohl & Fruchter LLP 570 Lexington Avenue, 16th Floor New York, NY 10022 (212) 758-4000 Fax: (212) 758-4004 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant

Yohanna Marini

represented by Ethan David Wohl (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Ethan David Wohl (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Brian C. Kerr Brower Piven, A Professional Corporation 488 Madison Avenue, Eight Floor New York, NY xxxxx (212) 501-9000 Fax: (212) 501-0300 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

represented by Brian C. Kerr (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Movant

Ram Sinai

Movant

DRHP, Inc.

Movant

Md. Mostofa Afzal Momen

Movant

Rick L. Colyer

Movant

Jorge Bitar Naim

Movant

Elias Antonio Khouri Makl

Movant

William Mathers

Movant

Brian Vandiver

Movant

Farid Rahimi

Movant

Robert Kovaks

V.

Defendant

Credit Suisse AG


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




represented by James H.R. Windels Davis Polk & Wardwell L.L.P. 450 Lexington Avenue New York, NY 10017 (212) 450-4000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Emmet Patrick Ong Davis Polk & Wardwell L.L.P. 450 Lexington Avenue New York, NY 10017 (212)-450-4902 Fax: (212)-450-3902 Email: [email protected] ATTORNEY TO BE NOTICED

Melissa Carrie King Davis Polk & Wardwell LLP

450 Lexington Avenue New York, NY 10017 (212)-450-3004 Fax: (212)-701-6004 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant

Credit Suisse Securities (USA) LLC

represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Emmet Patrick Ong (See above for address) ATTORNEY TO BE NOTICED

Melissa Carrie King (See above for address) ATTORNEY TO BE NOTICED

Defendant

Brady W. Dougan represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Renato Fassbind




Defendant

D. Neil Radey represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Paul J. O'Keefe

Defendant

Walter B. Kielholz represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Hans-Ulrich Doerig represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Peter Brabeck-Letmathe represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Thomas W. Bechtler represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Robert H. Benmosche represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Noreen Doyle represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Jean Lanier represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Anton Van Rossum represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Aziz R.D. Syriani represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

David W. Syz represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Emmet Patrick Ong

(See above for address) ATTORNEY TO BE NOTICED


Defendant

Ernst Tanner represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Richard E. Thornburgh represented by James H.R. Windels (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED



Defendant

Peter F. Weibel




V.

Consolidated Defendant

Nicholas Cherney


Richard Hoge


VLS Securities LLC


Velocityshares LLC

ADR Provider

Endless H3

ADR Provider

Abram Shalelashvili represented by Nicholas Ian Porritt Levi & Korsinsky LLP (DC) 1101 30th, Street, NW Washington, DC 20007 (202) 524-4290 Fax: (202) 333-2121 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed # Docket Text

05/25/2012 1 COMPLAINT against Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck- Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, Paul J. O'Keefe, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Filing Fee $ 350.00, Receipt Number 1039360)Document filed by David Schottenstein.(mro) (Entered: 05/29/2012)

05/25/2012 SUMMONS ISSUED as to Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck- Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, Paul J. O'Keefe, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (mro) (Entered: 05/29/2012)

05/25/2012 Magistrate Judge Ronald L. Ellis is so designated. (mro) (Entered: 05/29/2012)

05/25/2012 Case Designated ECF. (mro) (Entered: 05/29/2012)

05/25/2012 2 STANDING ORDER IN RE PILOT PROJECT REGARDING CASE

MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M-10-468 Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2011) (mro) (Entered: 05/29/2012)

06/14/2012 3 INITIAL CONFERENCE ORDER: Initial Conference set for 8/14/2012 at 11:00 AM in Courtroom 11C, 500 Pearl Street, New York, NY 10007 before Judge Laura Taylor Swain. It is further ORDERED that counsel for Plaintiff(s) must serve a copy of this Initial Conference Order within fourteen (14) calendar days following the date of this order, on each Defendant that has already been served with the summons and complaint, that a copy of this Initial Conference Order must be served with any subsequent process that brings in additional parties, and that proof of such service must be filed promptly with the Court. It is further ORDERED that counsel for the parties confer preliminarily at least twenty-one (21) days prior to the date set forth in paragraph 1 above to discuss the matters that are set forth in this Order. Additional relief as set forth in this Order. (Signed by Judge Laura Taylor Swain on 6/13/2012) (pl) (Entered: 06/14/2012)

06/19/2012 4 STIPULATION AND ORDER AS TO ACCEPTANCE OF SERVICE AND SCHEDULING: Counsel for defendants accepts service of the Complaint, dated May 25, 2012, on behalf of all defendants in this action, such service being effective as of the date the parties execute this stipulation. The time for all defendants to move, answer or otherwise respond to the Complaint is extended through and including forty-five (45) days after an order of the Court appointing one or more lead plaintiffs and approving the selection of counsel by lead plaintiff(s). (Signed by Judge Laura Taylor Swain on 6/19/2012) (jar) (Entered: 06/19/2012)

06/25/2012 5 ENDORSED LETTER addressed to Judge Laura Taylor Swain from Matthew M. Guiney dated 6/20/2012 re: Counsel for plaintiff writes to request an adjournment of the pretrial conference currently scheduled for August 14, 2012. ENDORSEMENT: The conference is adjourned to November 2, 2012 at 10am and the related deadlines are modified accordingly., ( Initial Conference set for 11/2/2012 at 10:00 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 6/22/2012) (pl) (Entered: 06/25/2012)

07/24/2012 6 MOTION to Appoint Counsel - Wolf Haldenstein Adler Freeman & Herz LLP as Lead Counsel., MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s)., MOTION to Consolidate Cases 12-cv-4191, 12-cv-4756, 12-cv-5475. Document filed by Elite Aviation LLC, Endless H3.(Guiney, Matthew) (Entered: 07/24/2012)

07/24/2012 7 MEMORANDUM OF LAW in Support re: 6 MOTION to Appoint Counsel - Wolf Haldenstein Adler Freeman & Herz LLP as Lead Counsel . MOTION to Appoint Elite

Aviation LLC and Endless H3 to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-cv-4191, 12-cv-4756, 12-cv-5475. MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s).. Document filed by Elite Aviation LLC, Endless H3. (Guiney, Matthew) (Entered: 07/24/2012)

07/24/2012 8 DECLARATION of Matthew M. Guiney in Support re: 6 MOTION to Appoint Counsel - Wolf Haldenstein Adler Freeman & Herz LLP as Lead Counsel . MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-cv-4191, 12-cv-4756, 12-cv-5475. MOTION to Appoint Elite Aviation LLC and Endless H3 to serve as lead plaintiff(s).. Document filed by Elite Aviation LLC, Endless H3. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6, # 7 Exhibit 7)(Guiney, Matthew) (Entered: 07/24/2012)

07/24/2012 9 MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s) , consolidate the actions and appoint lead counsel. Document filed by Abram Shalelashvili. (Attachments: # 1 Text of Proposed Order)(Porritt, Nicholas) (Entered: 07/24/2012)

07/24/2012 10 MEMORANDUM OF LAW in Support re: 9 MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s) , consolidate the actions and appoint lead counsel .. Document filed by Abram Shalelashvili. (Porritt, Nicholas) (Entered: 07/24/2012)

07/24/2012 11 DECLARATION of Nicholas I. Porritt in Support re: 9 MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s) , consolidate the actions and appoint lead counsel .. Document filed by Abram Shalelashvili. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Porritt, Nicholas) (Entered: 07/24/2012)

07/24/2012 12 MOTION to Consolidate Cases 12-cv-4756., MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Mountain Vista, LLC, Ram Sinai, DRHP, Inc.. (Attachments: # 1 Text of Proposed Order)(Wohl, Ethan) (Entered: 07/24/2012)

07/24/2012 13 DECLARATION of J. Elazar Fruchter in Support re: 12 MOTION to Consolidate Cases 12-cv-4756. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s).. Document filed by DRHP, Inc., Mountain Vista, LLC, Ram Sinai. (Attachments: # 1 Exhibit A-D)(Wohl, Ethan) (Entered: 07/24/2012)

07/24/2012 14 MEMORANDUM OF LAW in Support re: 12 MOTION to Consolidate Cases 12-cv-4756. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s).. Document filed by DRHP, Inc., Mountain Vista, LLC, Ram Sinai. (Wohl, Ethan) (Entered: 07/24/2012)

07/24/2012 15 MOTION to Appoint Counsel., MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s)., MOTION to Consolidate Cases 12-4765. Document filed by Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, Elias Antonio Khouri Makl.(Kerr, Brian) (Entered: 07/24/2012)

07/24/2012 16 MEMORANDUM OF LAW in Support re: 15 MOTION to Appoint Counsel.

MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-4765. MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s).. Document filed by Elias Antonio Khouri Makl, Yohanna Marini, Md. Mostofa Afzal Momen, Mountain Vista, LLC, Jorge Bitar Naim. (Kerr, Brian) (Entered: 07/24/2012)

07/24/2012 17 DECLARATION of Kenneth G. Gilman in Support re: 15 MOTION to Appoint Counsel. MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-4765. MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s).. Document filed by Elias Antonio Khouri Makl, Yohanna Marini, Md. Mostofa Afzal Momen, Mountain Vista, LLC, Jorge Bitar Naim. (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)(Kerr, Brian) (Entered: 07/24/2012)

07/24/2012 18 MOTION to Appoint Counsel., MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s)., MOTION to Consolidate Cases 12-4191, 12-4756, 12-5475. Document filed by William Mathers, Brian Vandiver, Farid Rahimi, Robert Kovaks. (Attachments: # 1 Exhibit A)(Rosenfeld, David) (Entered: 07/24/2012)

07/24/2012 19 MEMORANDUM OF LAW in Support re: 18 MOTION to Appoint Counsel. MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-4191, 12-4756, 12-5475. MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s).. Document filed by Robert Kovaks, William Mathers, Farid Rahimi, Brian Vandiver. (Rosenfeld, David) (Entered: 07/24/2012)

07/24/2012 20 DECLARATION of David A. Rosenfeld in Support re: 18 MOTION to Appoint Counsel. MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-4191, 12-4756, 12-5475. MOTION to Appoint William Mathers, Brian Vandiver, Farid A. Rahimi and Robert Kovacs to serve as lead plaintiff(s).. Document filed by Robert Kovaks, William Mathers, Farid Rahimi, Brian Vandiver. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Rosenfeld, David) (Entered: 07/24/2012)

08/06/2012 21 NOTICE of of Withdrawal of Lead Plaintiff Motion by Abram Shalelashvili re: 9 MOTION to Appoint Abram Shalelashvili to serve as lead plaintiff(s) , consolidate the actions and appoint lead counsel.. Document filed by Abram Shalelashvili. (Porritt, Nicholas) (Entered: 08/06/2012)

08/07/2012 22 NOTICE of Withdrawal of Motion for Consolidation, Appointment as Lead Plaintiff, and Approval of Selection of Lead Counsel re: 12 MOTION to Consolidate Cases 12- cv-4756. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s). MOTION to Appoint Counsel. MOTION to Appoint Mountain Vista, LLC, Ram Sinai, and DRHP, Inc. to serve as lead plaintiff(s)..

Document filed by DRHP, Inc., Mountain Vista, LLC, Ram Sinai. (Wohl, Ethan) (Entered: 08/07/2012)

08/09/2012 23 NOTICE of Withdrawal of Motion re: 15 MOTION to Appoint Counsel. MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s). MOTION to Consolidate Cases 12-4765. MOTION to Appoint Md. Mostofa Afzal Momen, Rick L. Colyer, Yohanna Marini, Jorge Bitar Naim, and Elias Antonio Khouri Makl to serve as lead plaintiff(s).. Document filed by Rick L. Colyer, Elias Antonio Khouri Makl, Yohanna Marini, Md. Mostofa Afzal Momen, Jorge Bitar Naim. (Kerr, Brian) (Entered: 08/09/2012)

08/10/2012 24 NOTICE of Non-Opposition. Document filed by William Mathers, Farid Rahimi, Brian Vandiver. (Rosenfeld, David) (Entered: 08/10/2012)

08/24/2012 25 ORDER APPOINTING LEAD PLAINTIFFS AND APPROVING LEAD PLAINTIFFS' SELECTION OF LEAD COUNSEL: granting (6) Motion to Appoint Counsel ; granting (6) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (6) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv-04191-LTS; granting (7) Motion to Appoint Counsel ; granting (7) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (7) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv-04756-LTS; granting (3) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (3) Motion to Appoint Counsel ; granting (3) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv-05475-LTS; granting (4) Motion to Appoint Counsel ; granting (4) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (4) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475; granting (3) Motion to Appoint Counsel ; granting (3) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (3) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475 in case 1:12-cv-05475-LTS; granting (8) Motion to Appoint Counsel ; granting (8) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (8) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756,12cv5475; granting (7) Motion to Appoint Elite Aviation LLC, Endless H3 as Lead Plaintiff(s); granting (7) Motion to Appoint Counsel; granting (7) Motion to Consolidate Cases 12cv4191 (as Lead Case) with 12cv4756, 12cv5475 in case 1:12-cv-04756-LTS. The Court hereby appoints Movants as lead plaintiffs for the Class of purchasers of VelocityShares Daily 2x VIX Short Term Exchange Traded Notes ("TVIX ETNs") issued by Credit Suisse Securities (USA) LLC. Movants satisfy all of the requirements for lead plaintiffs pursuant to the Private Securities Litigation Reform Act of 1995 ("PSLRA"). Pursuant to the PLSRA, Movants have selected and retained the law firm of Wolf Haldenstein Adler Freeman & Herz LLP ("Wolf Haldenstein") as lead counsel in this action. The Court approves the selection of Wolf Haldenstein as lead counsel for the Class. The above-captioned action and any action arising out of the same operative facts and alleging causes of action under the PSLRA now or hereafter filed in or transferred to this Court (the "Actions") are hereby consolidated pursuant to Fed. R. Civ. P. 42(a). The Actions shall be referred to as In re TVIX Securities Litigation, Master File No. 12-cv-4191-LTS. I 0. Every pleading in the Actions shall bear the following caption as set forth herein. The Court hereby orders that lead plaintiffs are pennitted to file an amended class action complaint within 45 days from the date of this Order. (Signed by Judge Laura Taylor Swain on

8/24/2012) Filed In Associated Cases: 1:12-cv-04191-LTS, 1:12-cv-04756-LTS, 1:12- cv-05475-LTS(djc) Modified on 8/24/2012 (djc). (Entered: 08/24/2012)

10/09/2012 36 CONSOLIDATED AMENDED CLASS ACTION COMPLAINT amending 1 Complaint, against Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel with JURY DEMAND.Document filed by David Schottenstein, Endless H3, Elite Aviation LLC. Related document: 1 Complaint, filed by David Schottenstein.(lmb) (mt). (Entered: 11/29/2012)

10/22/2012 26 NOTICE OF APPEARANCE by Giti Baghban on behalf of Elite Aviation LLC, Endless H3 (Baghban, Giti) (Entered: 10/22/2012)

10/23/2012 27 ENDORSED LETTER addressed to Judge Laura Taylor Swain from James H.R. Windels dated 10/18/2012 re: We are counsel for defendants in the above-referenced action, and we are writing pursuant to Your Honor's Individual Practices to respectfully request an adjournment of the initial pretrial conference currently scheduled for November 2, 2012. ENDORSEMENT: The initial conference is adjourned to April 26, 2013, at 10:15 AM., ( Initial Conference set for 4/26/2013 at 10:15 AM before Judge Laura Taylor Swain.) (Signed by Judge Laura Taylor Swain on 10/22/2012) (lmb) (Entered: 10/23/2012)

10/25/2012 28 NOTICE OF CHANGE OF ADDRESS by Giti Baghban on behalf of Elite Aviation LLC, Endless H3. New Address: Wolf Haldenstein Adler Freeman & Herz LLP, 270 Madison Avenue, New York, NY, United States 10016, 212-545-4747. (Baghban, Giti) (Entered: 10/25/2012)

11/16/2012 29 ENDORSED LETTER: addressed to Judge Laura Taylor Swain from James H.R. Windels dated 11/13/2012 re: Counsel for defendants write on behalf of all parties to respectfully request an enlargement of the page limitations for the memoranda of law to be filed in connection with defendants' motion to dismiss the Consolidated Amended Class Action Complaint. We would request that the limits for defendants' initial memorandum and plaintiffs' opposition memorandum be increased from 25 to 40 pages each and the limit for defendants' reply memorandum be increased from 10 to 20 pages. The parties will make every effort to draft the memoranda as concisely as possible, but in order to brief fully the issues for the Court we submit it would be appropriate to exceed the page limitations set forth in Your Honor's Individual Practices. ENDORSEMENT: The request is granted. So Ordered. (Signed by Judge Laura Taylor Swain on 11/16/2012) (js) (Entered: 11/19/2012)

11/26/2012 30 NOTICE OF APPEARANCE by Melissa Carrie King on behalf of Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel (King, Melissa) (Entered: 11/26/2012)

11/26/2012 31 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Other Affiliate Credit Suisse Group AG, Other Affiliate Credit Suisse (USA), Inc., Other Affiliate Credit Suisse Holdings (USA), Inc. for Credit Suisse AG, Credit Suisse Securities

(USA) LLC. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 11/26/2012)

11/26/2012 32 NOTICE OF APPEARANCE by Emmet Patrick Ong on behalf of Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel (Ong, Emmet) (Entered: 11/26/2012)

11/26/2012 33 MOTION to Dismiss the Consolidated Amended Class Action Complaint . Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 11/26/2012)

11/26/2012 34 MEMORANDUM OF LAW in Support re: 33 MOTION to Dismiss the Consolidated Amended Class Action Complaint .. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Windels, James) (Entered: 11/26/2012)

11/26/2012 35 DECLARATION of James H.R. Windels in Support re: 33 MOTION to Dismiss the Consolidated Amended Class Action Complaint .. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5, # 6 Exhibit 6)(Windels, James) (Entered: 11/26/2012)

01/14/2013 37 MEMORANDUM OF LAW in Opposition re: (33 in 1:12-cv-04191-LTS) MOTION to Dismiss the Consolidated Amended Class Action Complaint .. Document filed by Elite Aviation LLC, Endless H3, David Schottenstein. Filed In Associated Cases: 1:12-cv-04191-LTS, 1:12-cv-04756-LTS, 1:12-cv-05475-LTS(Guiney, Matthew) (Entered: 01/14/2013)

01/15/2013 38 NOTICE OF APPEARANCE by Mark C. Rifkin on behalf of Elite Aviation LLC, Endless H3 (Rifkin, Mark) (Entered: 01/15/2013)

01/29/2013 39 NOTICE of of Supplemental Authority. Document filed by Elite Aviation LLC, Endless H3. (Attachments: # 1 Exhibit A)Filed In Associated Cases: 1:12-cv-04191- LTS, 1:12-cv-04756-LTS, 1:12-cv-05475-LTS(Guiney, Matthew) (Entered: 01/29/2013)

02/19/2013 40 REPLY MEMORANDUM OF LAW in Support re: 33 MOTION to Dismiss the

Consolidated Amended Class Action Complaint .. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel. (Windels, James) (Entered: 02/19/2013)

04/12/2013

04/12/2013

07/29/2013

41 ENDORSED LETTER addressed to Judge Laura Taylor Swain from James H.R. Windels dated 4/10/2013 re: We are counsel for defendants in the above-referenced action, and we are writing pursuant to Your Honor's Individual Practices to respectfully request an adjournment of the initial pretrial conference currently scheduled for April 26, 2013. This is the third request for an adjournment of the conference. Plaintiffs' counsel consents to and joins in this request. ENDORSEMENT: In light of the pending motion, the conference is adjourned to September 20, 2013, at 10:00 AM and the related deadlines are modified accordingly. (Signed by Judge Laura Taylor Swain on 4/12/2013) (ft) (Entered: 04/12/2013)

Set/Reset Hearings: Initial Conference set for 9/20/2013 at 10:00 AM before Judge Laura Taylor Swain. (ft) (Entered: 04/12/2013)

42 LETTER addressed to Judge Laura Taylor Swain from James H. R. Windels dated 7/25/2013 re: Defendants respectfully submit that the Second Circuit's decision in In re ProShares further supports dismissal of the complaint in In re TVIX. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, Paul J. O'Keefe, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(ft) (Entered: 07/29/2013)

08/05/2013 43 LETTER addressed to Judge Laura Taylor Swain from Mark C. Rifkin dated 8/1/2013 re: We are counsel for the Lead Plaintiffs in the above-captioned securities class action and write in response to defendants' July 25, 2013, letter concerning the Second Circuit's In re ProShares Trust Securities Litigation, No. 12-3981, 2013 U.S. App. LEXIS 14764 (2d Cir. 2013) opinion affirming the district court's dismissal of In re ProShares Trust Securities Litigation, No. 09 Civ. 6935 (JGK), 2012 U.S. Dist. LEXIS 128542 (S.D.N.Y. Sept. 7, 2012)...For all these reasons, Lead Plaintiffs respectfully submit that the decision in ProShares should have no bearing on the Court's consideration of the pending motion to dismiss. (tn) (Entered: 08/05/2013)

09/04/2013 44 LETTER MOTION to Adjourn Conference scheduled for September 20, 2013 addressed to Judge Laura Taylor Swain from James H.R. Windels dated 09/04/2013. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 09/04/2013)

09/11/2013 45 ORDER granting 44 Letter Motion to Adjourn Conference. Initial Conference reset for 12/6/2013 at 10:15 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 9/11/2013) (cd) (Entered: 09/12/2013)

09/13/2013 46 NOTICE OF MOTION AND MOTION TO JOIN & INTERVENE TO ADD AN

ADDITIONAL PLAINTIFF SANDRA JOY LASHBROOK TO CONSOLIDATED AMENDED CLASS ACTION COMPLAINT(DOC 36).(sc) Modified on 9/16/2013 (sc). (Entered: 09/16/2013)

09/23/2013 47 MEMORANDUM OF LAW in Opposition re: 46 MOTION to Intervene.. Document filed by Elite Aviation LLC, Endless H3, David Schottenstein. (Guiney, Matthew) (Entered: 09/23/2013)

11/25/2013 48 LETTER MOTION to Adjourn Conference Scheduled for December 6, 2013 addressed to Judge Laura Taylor Swain from James H.R. Windels dated November 25, 2013. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 11/25/2013)

11/27/2013 49 ORDER granting 48 Letter Motion to Adjourn Conference.The conference is adjourned to 3/14/2014, at 10:00 AM. Initial Conference reset for 3/14/2014 at 10:00 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 11/26/2013) (cd) (Entered: 11/27/2013)

03/07/2014 50 LETTER MOTION to Adjourn Conference addressed to Judge Laura Taylor Swain from Matthew M. Guiney dated March 7, 2014. Document filed by Elite Aviation LLC, Endless H3.(Guiney, Matthew) (Entered: 03/07/2014)

03/10/2014 51 ORDER granting 50 Letter Motion to Adjourn Conference. The conference is adjourned to May 16, 2014, at 10:45 AM and the related deadlines are modified accordingly. The Court will inform the parties if oral argument is desired. Initial Conference set for 5/16/2014 at 10:45 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 3/7/2014) (lmb) (Entered: 03/10/2014)

05/08/2014 52 LETTER MOTION to Adjourn Conference Scheduled for May 16, 2014 addressed to Judge Laura Taylor Swain from James H.R. Windels dated May 8, 2014. Document filed by Thomas W. Bechtler, Robert H. Benmosche, Peter Brabeck-Letmathe, Credit Suisse AG, Credit Suisse Securities (USA) LLC, Hans-Ulrich Doerig, Brady W. Dougan, Noreen Doyle, Renato Fassbind, Walter B. Kielholz, Jean Lanier, D. Neil Radey, Aziz R.D. Syriani, David W. Syz, Ernst Tanner, Richard E. Thornburgh, Anton Van Rossum, Peter F. Weibel.(Windels, James) (Entered: 05/08/2014)

05/14/2014 53 ORDER granting 52 Letter Motion to Adjourn Conference. The conference is adjourned to July 11, 2014, at 10:30 AM. Docket entry #52 resolved. Initial Conference set for 7/11/2014 at 10:30 AM before Judge Laura Taylor Swain. (Signed by Judge Laura Taylor Swain on 5/13/2014) (lmb) (Entered: 05/14/2014)

06/06/2014 54 MOTION for Deborah R. Gross to Withdraw as Attorney . Document filed by William Bostedo. (Attachments: # 1 Certificate of Service)(Gross, Deborah) (Entered: 06/06/2014)

06/09/2014 55 OPINION AND ORDER. For the reasons in this Opinion and Order, Defendants' motion to dismiss the CCAC is granted in its entirety. This Memorandum Order resolves docket entry number 33. As this case is dismissed, the pending motion to intervene (docket entry no. 46) is hereby terminated. The Clerk's Office is respectfully requested to enter judgment dismissing Plaintiffs' Consolidated Class Action Complaint

and to close this case and cases 12 civ. 4756 and 12 civ. 5475. re: (33 in 1:12-cv-04191- LTS) MOTION to Dismiss the Consolidated Amended Class Action Complaint filed by Peter Brabeck-Letmathe, Jean Lanier, Ernst Tanner, Credit Suisse AG, Robert H. Benmosche, Aziz R.D. Syriani, Credit Suisse Securities (USA) LLC, Thomas W. Bechtler, Noreen Doyle, Hans-Ulrich Doerig, Walter B. Kielholz, Peter F. Weibel, D. Neil Radey, Richard E. Thornburgh, Anton Van Rossum, David W. Syz, Brady W. Dougan, Renato Fassbind, (46 in 1:12-cv-04191-LTS) MOTION to Intervene. (Signed by Judge Laura Taylor Swain on 6/9/2014) Filed In Associated Cases: 1:12-cv-04191- LTS, 1:12-cv-04756-LTS, 1:12-cv-05475-LTS (rjm) Modified on 6/9/2014 (rjm). (Entered: 06/09/2014)

06/09/2014 Transmission to Judgments and Orders Clerk. Transmitted re: 55 Memorandum & Opinion to the Judgments and Orders Clerk. (rjm) (Entered: 06/09/2014)

06/10/2014 56 CLERK'S JUDGMENT: That for the reasons stated in the Court's Opinion and Order dated June 9, 2014, Defendants' motion to dismiss the CCAC is granted in its entirety and the CCAC is dismissed; accordingly, these cases 12 Civ. 4191, 12 Civ 4756 and 12 Civ. 5475 are closed. (Signed by Clerk of Court Ruby Krajick on 6/10/2014) (Attachments: # 1 Notice of Right to Appeal, # 2 Notice of Right to Appeal)Filed In Associated Cases: 1:12-cv-04191-LTS, 1:12-cv-04756-LTS, 1:12-cv-05475-LTS(dt) Modified on 6/10/2014 (dt). (Entered: 06/10/2014)

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