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

US District Court Civil Docket as of September 14, 2017 Retrieved from the court on September 14, 2017

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

CIVIL DOCKET FOR CASE #: 1:09-cv-01989-PAC

In re: Barclays Bank Plc Securities Litigation Assigned to: Judge Paul A. Crotty Related Cases: 1:09-cv-02668-PAC

1:09-cv-03949-PAC

1:09-cv-03608-PAC

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

Date Filed: 03/04/2009 Date Terminated: 09/14/2017 Jury Demand: Plaintiff Nature of Suit: 850 Securities/Commodities Jurisdiction: Federal Question

Lead Plaintiff Marshall Freidus on behalf of himself and all others similarly situated

represented by Andrew J. Brown Robbins Geller Rudman & Dowd LLP (San Diego) 600 West Broadway San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew L Zivitz Kessler Topaz Meltzer & Check, LLP 280 King of Prussia Road Radnor, PA 19087 (610)-667-7706 Fax: (610)-667-7056 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Eric I. Niehaus Robbins Geller Rudman & Dowd LLP (San Diego) 655 West Broadway Suite 1900 San Diego, CA 92101 (619) 231-1058 Fax: (619) 231-7423 Email: [email protected]

LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Lucas F. Olts Robbins Geller Rudman & Dowd LLP (San Diego) 655 West Broadway Suite 1900 San Diego, CA 92101 619 213 1058 Fax: 619 231 7423 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Margaret E. Onasch Kessler Topaz Meltzer & Check, LLP 280 King of Prussia Road Radnor, PA 19087 (610) 667-7706 Fax: (610) 667-7056 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP (LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Sharan Nirmul Kessler Topaz Meltzer & Check, LLP 280 King of Prussia Road Radnor, PA 19087 (610)-667-7706 Fax: (610)-667-7056 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Catherine J. Kowalewski Robbins Geller Rudman & Dowd LLP

(San Diego) 655 West Broadway Suite 1900 San Diego, CA 92101 (619) 231-1058 Fax: (619) 231-7423 ATTORNEY TO BE NOTICED Christopher D. Stewart Robbins Geller Rudman & Dowd LLP 655 West Broadway, Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Darren J. Robbins Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 Fax: 619-231-7423 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED 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 David C. Walton Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA 92101 619-231-1058 ATTORNEY TO BE NOTICED

Erik D. Peterson Kessler Topaz Meltzer & Check, LLP (San Francisco) One Sansome St. #1850 San Francisco, CA 94104 (415) 400-3000 Fax: (415) 400-3001 Email: [email protected] TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED Joshua E. D'Ancona Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 (610) 667-7706 Fax: (610) 667-7056 Email: [email protected] PRO HAC VICE ATTORNEY TO BE NOTICED Ramzi Abadou Kessler Topaz Meltzer & Check, LLP (San Francisco) One Sansome St. #1850 San Francisco, CA 94104 (415) 400-3000 Fax: (415) 400-3001 Email: [email protected] TERMINATED: 01/08/2014 PRO HAC VICE

Lead Plaintiff Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust

represented by Andrew J. Brown (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew L Zivitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Eric I. Niehaus (See above for address) LEAD ATTORNEY PRO HAC VICE

ATTORNEY TO BE NOTICED Lucas F. Olts (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Margaret E. Onasch (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Sharan Nirmul (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Catherine J. Kowalewski (See above for address) ATTORNEY TO BE NOTICED Christopher D. Stewart (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Darren J. Robbins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED David Avi Rosenfeld (See above for address) ATTORNEY TO BE NOTICED David C. Walton (See above for address) ATTORNEY TO BE NOTICED Erik D. Peterson (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED Joshua E. D'Ancona (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Ramzi Abadou (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED Samuel Howard Rudman (See above for address) ATTORNEY TO BE NOTICED

Lead Plaintiff Dora L. Mahboubi represented by Andrew J. Brown

(See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Andrew L Zivitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Eric I. Niehaus (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Lucas F. Olts (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Margaret E. Onasch (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Sharan Nirmul (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Catherine J. Kowalewski (See above for address) ATTORNEY TO BE NOTICED Christopher D. Stewart (See above for address) PRO HAC VICE

ATTORNEY TO BE NOTICED Darren J. Robbins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED David Avi Rosenfeld (See above for address) ATTORNEY TO BE NOTICED David C. Walton (See above for address) ATTORNEY TO BE NOTICED Erik D. Peterson (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE Joshua E. D'Ancona (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Ramzi Abadou (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED Samuel Howard Rudman (See above for address) ATTORNEY TO BE NOTICED

Lead Plaintiff Dennis Askelson represented by Andrew J. Brown

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Andrew L Zivitz (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Christopher D. Stewart (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jonathan Flexer Neumann Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 (610)-667-7706 Fax: (610)-667-7056 Email: [email protected] LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Kevin S. Sciarani Robbins Geller Rudman & Dowd LLP (SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA 92101 (619) 231-1058 Fax: (619) 231-7423 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Michelle M. Newcomer Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 610 667 7706 Fax: 610 667 7056 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Sharan Nirmul (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Richard A Russo , Jr Kessler Topaz Meltzer & Check, LLP (PA) 280 King of Prussia Road Radnor, PA 19087 610 667 7706 Fax: 610 667 7056 Email: [email protected] ATTORNEY TO BE NOTICED

Consolidated Plaintiff Larry Morrison Individually and on behalf of all others similarly situated

represented by Andrew J. Brown (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Eric I. Niehaus (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Lucas F. Olts (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Samuel Howard Rudman Robbins Geller Rudman & Dowd LLP(LI) 58 South Service Road Suite 200 Melville, NY 11747 (631) 367-7100 Fax: (631) 367-1173 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Catherine J. Kowalewski (See above for address) ATTORNEY TO BE NOTICED Christopher D. Stewart (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Darren J. Robbins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED 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 David C. Walton (See above for address) ATTORNEY TO BE NOTICED Erik D. Peterson (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED Joshua E. D'Ancona (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Ramzi Abadou (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Consolidated Plaintiff Jeffrey Lefcourt on behalf of himself and all others similarly situated

represented by Joshua E. D'Ancona (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Consolidated Plaintiff Beverly Pellegrini on behalf of herself and all others similarly situated

represented by Andrew J. Brown (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Eric I. Niehaus (See above for address) LEAD ATTORNEY PRO HAC VICE ATTORNEY TO BE NOTICED Lucas F. Olts (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Samuel Howard Rudman (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Catherine J. Kowalewski (See above for address) ATTORNEY TO BE NOTICED Christopher D. Stewart (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Darren J. Robbins (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED David Avi Rosenfeld (See above for address) ATTORNEY TO BE NOTICED David C. Walton (See above for address) ATTORNEY TO BE NOTICED Erik D. Peterson (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED Joshua E. D'Ancona (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED Ramzi Abadou (See above for address) TERMINATED: 01/08/2014 PRO HAC VICE ATTORNEY TO BE NOTICED

Consolidated Plaintiff Alfred Fait on behalf of himself and all others similarly situated

represented by Christopher D. Stewart (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Kevin S. Sciarani (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Sharan Nirmul (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Joshua E. D'Ancona (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

V.

Movant Mr. Jerry Goodman represented by Russell David Paul

Berger & Montague, P.C. 1622 Locust Street Philadelphia, PA 19103 (215)875-3000 Fax: (215)875-4604 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED

Movant Mr. Martin S Ettin represented by Russell David Paul

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

Movant Mr. Jerry Goodman represented by Russell David Paul


Movant Martin S Ettin represented by Russell David Paul


V.

Defendant

Barclays Bank PLC represented by Christopher Andrew Perrin Sullivan & Cromwell, LLP (NYC) 125 Broad Street New York, NY 10004 (212) 558-4000 x1627 Fax: (212) 558-3588 Email: [email protected] TERMINATED: 05/03/2010 David Harold Braff Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 212-558-4705 Fax: 212-558-3333 Email: [email protected] ATTORNEY TO BE NOTICED Joshua John Fritsch Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-3181 Fax: (212)-558-4927 Email: [email protected] TERMINATED: 06/02/2015 Matthew Alain Peller Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212) 558-4377 Fax: (212) 558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Menachem David Possick Nelson Mullins Riley & Scarborough LLP 280 Park Ave 15 Floor West New York, NY 10017 (646) 428-2600 Fax: (646) 428-2610 Email: [email protected] TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004

(212) 558-4715 Fax: (212) 558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Thomas Charles White Sullivan & Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-3551 Fax: (212)-558-3588 Email: [email protected] ATTORNEY TO BE NOTICED Yavar Bathaee Sullivan and Cromwell, LLP(NYC) 125 Broad Street New York, NY 10004 (212)-558-3166 Fax: (212)-291-9210 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant Barclays PLC represented by Christopher Andrew Perrin

(See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address)

ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Matthew William Barrett TERMINATED: 09/15/2014

represented by Christopher Andrew Perrin (See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED

Defendant John Silvester Varley represented by Christopher Andrew Perrin

(See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address)

ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Naguib Kheraj TERMINATED: 09/15/2014

represented by Christopher Andrew Perrin (See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED

Defendant Robert Edward Diamond, Jr. represented by Christopher Andrew Perrin

(See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address)

TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Sir. Richard Broadbent represented by Christopher Andrew Perrin

(See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Richard Leigh Clifford represented by Christopher Andrew Perrin

(See above for address)

TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Dame Sandra J.N. Dawson represented by Christopher Andrew Perrin

(See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017

Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Sir. Andrew Likierman represented by Christopher Andrew Perrin


Defendant Sir. Nigel Rudd represented by Christopher Andrew Perrin

(See above for address) TERMINATED: 05/03/2010

David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Stephen George Russell represented by Christopher Andrew Perrin

(See above for address) TERMINATED: 05/03/2010 David Harold Braff (See above for address) ATTORNEY TO BE NOTICED Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017

Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant John Michael Sunderland represented by Christopher Andrew Perrin


Defendant Barclays Capital Securities Limited represented by Jay B. Kasner

Skadden, Arps, Slate, Meagher & Flom LLP (NYC) Four Times Square

New York, NY 10036 212 735 3000 Fax: 212 735 2000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Gary John Hacker Skadden, Arps, Slate, Meagher & Flom, LLP (IL) 155 North Wacker Drive Suite 2700 Chicago, IL 60606-1720 (212) 735-3605 Fax: (917)-777-3605 Email: [email protected] TERMINATED: 01/11/2016 Scott D. Musoff Skadden, Arps, Slate, Meagher & Flom LLP (NYC) Four Times Square New York, NY 10036 212-735-3000 Fax: 212-735-2000 Email: [email protected] ATTORNEY TO BE NOTICED

Defendant Citigroup Global Markets Inc. represented by Jay B. Kasner

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Gary John Hacker (See above for address) TERMINATED: 01/11/2016 Scott D. Musoff (See above for address) ATTORNEY TO BE NOTICED

Defendant Merrill Lynch, Pierce, Fenner & Smith, Incorporated

represented by Jay B. Kasner (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Gary John Hacker (See above for address)

TERMINATED: 01/11/2016 Scott D. Musoff (See above for address) ATTORNEY TO BE NOTICED

Defendant Wachovia Capital Markets, LLC represented by Jay B. Kasner


Defendant Morgan Stanley & Co. Incorporated represented by Jay B. Kasner


Defendant UBS Securities LLC represented by Jay B. Kasner


Defendant

A.G. Edwards & Sons, Inc. TERMINATED: 09/27/2013

represented by Jay B. Kasner (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Scott D. Musoff (See above for address) ATTORNEY TO BE NOTICED

Defendant BNP Paribas Securities Corp. TERMINATED: 09/27/2013


Defendant Goldman, Sachs & Co. TERMINATED: 09/27/2013


Defendant KeyBanc Capital Markets TERMINATED: 09/27/2013


Defendant RBC Dain Rauscher Inc. represented by Jay B. Kasner

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED Gary John Hacker (See above for address) TERMINATED: 01/11/2016 Scott D. Musoff

(See above for address) ATTORNEY TO BE NOTICED

Defendant Suntrust Capital Markets, Inc. TERMINATED: 09/27/2013


Defendant Wells Fargo Securities, LLC TERMINATED: 09/27/2013


Defendant Marcus Agius represented by Joshua John Fritsch

(See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant

Dr. Christopher Lucas represented by Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Gary A. Hoffman represented by Joshua John Fritsch


Defendant

Frederik Seegers represented by Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant David G. Booth represented by Joshua John Fritsch


Defendant

Fulvio Conti represented by Joshua John Fritsch (See above for address) TERMINATED: 06/02/2015 Matthew Alain Peller (See above for address) ATTORNEY TO BE NOTICED Menachem David Possick (See above for address) TERMINATED: 06/02/2017 Michael Thomas Tomaino , Jr (See above for address) ATTORNEY TO BE NOTICED Thomas Charles White (See above for address) ATTORNEY TO BE NOTICED Yavar Bathaee (See above for address) ATTORNEY TO BE NOTICED

Defendant Daniel Cronje represented by Joshua John Fritsch


Defendant

Banc of America Securities LLC represented by Jay B. Kasner Skadden, Arps, Slate, Meagher & Flom LLP (NYC) Four Times Square 42nd floor New York, NY 10036 212 735 3000 Fax: 212 735 2000 Email: [email protected] LEAD ATTORNEY ATTORNEY TO BE NOTICED Gary John Hacker (See above for address) TERMINATED: 01/11/2016 Scott D. Musoff Skadden, Arps, Slate, Meagher & Flom LLP (NYC) Four Times Square 42nd floor New York, NY 10036 212-735-3000 Fax: 212-735-2000 Email: [email protected] ATTORNEY TO BE NOTICED

Date Filed # Docket Text

03/04/2009 1 COMPLAINT against Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley. (Filing Fee $ 350.00, Receipt Number 680317)Document filed by Marshall Freidus.(ama) (ama). (Entered: 03/07/2009)

03/04/2009 SUMMONS ISSUED as to Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC, Barclays

Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley. (ama) (Entered: 03/07/2009)

03/04/2009 Magistrate Judge Kevin Nathaniel Fox is so designated. (ama) (Entered: 03/07/2009)

03/04/2009 Case Designated ECF. (ama) (Entered: 03/07/2009)

03/07/2009 ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney Samuel Howard Rudman for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document 1 Complaint,,, to: [email protected]. (ama) (Entered: 03/07/2009)

04/09/2009 2 STIPULATION AND ORDER: I. Service of the complaint filed with the Court on March 4, 2009 (the "Original Complaint") upon defendants Barclays Bank plc, Matthew William Barrett, John Silvester Varley, Naguib Kheraj, Robert Edward Diamond, Jr., Sir Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Sir Andrew Likierman, Sir Nigel Rudd, Stephen George Russell and John Michael Sunderland (collectively, the "Barclays Defendants") shall be effectuated by delivering a copy of the Original Complaint by electronic mail and overnight courier to the undersigned counsel for the Barclays Defendants at Sullivan & Cromwell LLP.2. Neither the Barclays Defendants nor any other defendant shall berequired to respond to the Original Complaint (by motion, answer or otherwise).3. Within forty-five (45) days after entry of an Order appointing LeadPlaintiff and Lead Plaintiff's Counsel, Lead Plaintiff shall either (a) file and serve an Amended Complaint (the "Amended Complaint") or (b) advise the Barclays Defendants and all other defendants that Lead Plaintiff will proceed with the Original Complaint. 4. Service of the Amended Complaint upon the Barclays Defendants shall be effectuated by delivering a copy of the Amended Complaint by electronic mail and overnight courier to the undersigned counsel for the Barclays Defendants at Sullivan & Cromwell LLP. All other provisions as set forth in this order. So Ordered. (Signed by Judge Paul A. Crotty on 4/9/09) (js) (Entered: 04/09/2009)

04/21/2009 3 NOTICE OF APPEARANCE by David Harold Braff on behalf of Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley (Braff, David) (Entered: 04/21/2009)

04/21/2009 4 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Barclays PLC.(Braff, David) (Entered: 04/21/2009)

04/21/2009 5 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Barclays PLC as Corporate Parent. Document filed by Barclays Bank PLC.(Braff, David) (Entered: 04/21/2009)

04/21/2009 6 NOTICE OF APPEARANCE by Michael Thomas Tomaino, Jr on behalf of Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley (Tomaino, Michael) (Entered: 04/21/2009)

04/21/2009 7 NOTICE OF APPEARANCE by Christopher Andrew Perrin on behalf of Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford,

Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley (Perrin, Christopher) (Entered: 04/21/2009)

05/04/2009 8 FILING ERROR DEFICIENT DOCKET ENTRY MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Text of Proposed Order)(Paul, Russell) Modified on 5/5/2009 (jar). (Entered: 05/04/2009)

05/04/2009 9 FILING ERROR DEFICIENT DOCKET ENTRY MEMORANDUM OF LAW in Support re: 8 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s).. Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Exhibit Decl. of Russell D. Paul with Exhs. A-E, # 2 Exhibit F Part 1, # 3 Exhibit F part 2)(Paul, Russell) Modified on 5/5/2009 (jar). (Entered: 05/04/2009)

05/04/2009 10 MOTION to Appoint Counsel., MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus. (Attachments: # 1 Exhibit A)(Rosenfeld, David) (Entered: 05/04/2009)

05/04/2009 11 MEMORANDUM OF LAW in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s).. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, Marshall Freidus. (Rosenfeld, David) (Entered: 05/04/2009)

05/04/2009 12 DECLARATION of David A. Rosenfeld in Support re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s).. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, Marshall Freidus. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Rosenfeld, David) (Entered: 05/04/2009)

05/04/2009 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Russell Paul to RE-FILE Document 8 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). ERROR(S):

When filing a Motion with multiple requests each specific request must be selected from the Motions menu (ex/ Appoint Lead Plaintiff(s), Appoint Counsel). (jar) (Entered: 05/05/2009)

05/04/2009 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Russell Paul to RE-FILE Document 9 Memorandum of Law in Support of Motion. ERROR(S): A document cannot be linked to a filing error. Refile and link to correctly re-filed Motion. (jar) (Entered: 05/05/2009)

05/06/2009 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s)., MOTION to Appoint Counsel. Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Text of Proposed Order)(Paul, Russell) (Entered: 05/06/2009)

05/06/2009 14 MEMORANDUM OF LAW in Support re: 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Jerry Goodman, Martin S Ettin. (Attachments: # 1 Affidavit Decl. of Russell D. Paul with Exhs. A-E, # 2 Exhibit F part 1, # 3 Exhibit F part 2)(Paul, Russell) (Entered: 05/06/2009)

05/21/2009 15 RESPONSE to Motion re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s)., 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by Jerry Goodman, Martin S Ettin. (Paul, Russell) (Entered: 05/21/2009)

05/21/2009 16 MEMORANDUM OF LAW in Opposition re: 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). MOTION to Appoint Counsel.. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus. (Rosenfeld, David) (Entered: 05/21/2009)

05/28/2009 17 NOTICE OF APPEARANCE by Jay B. Kasner on behalf of Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC (Kasner, Jay) (Entered: 05/28/2009)

05/28/2009 18 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Wells Fargo & Company, Barclays PLC, BNP Paribas, Citigroup, Inc., The Goldman Sachs Group, Inc., KeyCorp, Bank of America Corporation, Morgan Stanley, Royal Bank of Canada, SunTrust Banks, Inc. andUBS AG as Corporate Parent. Document filed by Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill

Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC.(Kasner, Jay) (Entered: 05/28/2009)

05/28/2009 19 NOTICE OF APPEARANCE by Scott D. Musoff on behalf of Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC (Musoff, Scott) (Entered: 05/28/2009)

06/01/2009 20 REPLY to Response to Motion re: 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s).. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, Marshall Freidus, Martin S Ettin. (Rosenfeld, David) (Entered: 06/01/2009)

09/01/2009 21 MOTION for Erik D. Peterson to Appear Pro Hac Vice. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus.(dle) (Entered: 09/03/2009)

09/01/2009 22 MOTION for Ramzi Abadou to Appear Pro Hac Vice. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus.(dle) (Entered: 09/03/2009)

09/08/2009 23 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting 21 Motion for Erik D. Peterson to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 9/8/2009) (tve) Modified on 9/9/2009 (tve). (Entered: 09/09/2009)

09/08/2009 24 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting 22 Motion for Ramzi Abadou to Appear Pro Hac Vice. (Signed by Judge Paul A. Crotty on 9/8/2009) (tve) (Entered: 09/09/2009)

09/09/2009 Transmission to Attorney Admissions Clerk. Transmitted re: 24 Order on Motion to Appear Pro Hac Vice, 23 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tve) (Entered: 09/09/2009)

09/11/2009 CASHIERS OFFICE REMARK on 22 Motion to Appear Pro Hac Vice, 21 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 09/01/2009, Receipt Number 698932. (jd) (Entered: 09/11/2009)

10/20/2009 Calendar Entry: Oral Argument set for 11/24/2009 at 02:00 PM in Courtroom 20-C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. Requests for adjournment will be considered only if made in writing by October 28, 2009, and otherwise in accordance with Judge Crottys Individual Practices (By: Marlon Ovalles Courtroom Deputy). (mov) (Entered: 10/20/2009)

11/20/2009 25 ENDORSED LETTER addressed to Judge Paul A. Crotty from David A. Rosenfeld dated November 19, 2009 re: While a competing motion had previously been filed by Jerry Goodman, on behalf of AKLS Capital LP (Goodman), and Martin Ethn (Ettin), Messrs. Goodman and Ettin have since acknowledged that they do not have the largest financial interest in this litigation and now support the appointment of Freidus, Thompson and Mahboubi as Lead Plaintiffs. See Docket Entry #15. In light of the foregoing, we do not believe that oral argument on the pending motions for consolidation, appointment of lead plaintiff and approval of lead counsel, which has been set for November 24, 2009 at 2:00 p.m., is necessary. The parties have also already agreed to a schedule for the filing of a consolidated amended complaint and briefing on Defendants anticipated motion to dismiss, which was approved of by the Court in an Order dated April 9, 2009. See Docket Entry #2.2 Nevertheless, if the Court would like for us to appear for the scheduled hearing next Tuesday, we are happy to do so. We have spoken with counsel for Defendants and they do not oppose this requested adjournment. ENDORSEMENT: The November 24, 2009 oral argument is adjourned. The motion for consolidation appointment of lead plaintiff and selection of counsel is approved. The lead plaintiff should submit an Order, on notice, for Courts approval. SO ORDERED. (Signed by Judge Paul A. Crotty on November 20, 2009) (mov) (Entered: 11/20/2009)

12/01/2009 26 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - NOTICE of OF PROPOSED ORDER CONSOLIDATING RELATED ACTIONS, APPOINTING LEAD PLAINTIFF AND APPROVING SELECTION OF LEAD COUNSEL. Document filed by STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST, DORA MAHBOUBI, Marshall Freidus. (Attachments: # 1 Exhibit A)(Rosenfeld, David) Modified on 12/2/2009 (kco). (Entered: 12/01/2009)

12/02/2009 ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney David Rosenfeld to E-MAIL Document No. 26 Notice of Proposed Order to [email protected]. This document is not filed via ECF. (kco) (Entered: 12/02/2009)

12/09/2009 27 ORDER CONSOLIDATING THE RELATED ACTIONS, APPOINTING LEAD PLAINTIFF AND APPROVING LEAD PLAINTIFF'S SELECTION OF LEAD COUNSEL: 1. Pursuant to FRCP 42(a), the above-captioned actions, and any subsequently filed or transferred actions on behalf of purchasers of securities issued by Barclays Bank Pic related to the claims asserted in these actions, are consolidated for all purposes; 2. This action shall be captioned "In re Barclays Bank Pic SecuritiesLitigation" and the file shall be maintained under Master File No. 09cv1989 (PAC); 3. Freidus, Thompson and Mahboubi are hereby appointed Lead Plaintiff for the Class pursuant to Section 27 of the Securities Act of 1933 (15 USC § 77z-1(a)(3)(B)); 4. Coughlin Stoia Geller Rudman & Robbins LLP and Barroway Topaz Kessler Meltzer & Check, LLP are hereby approved as Lead Counsel; 5. Lead

Counsel shall have authority to speak for, and enter into agreementson behalf of, plaintiffs in all matters regarding pretrial procedures, discovery, and settlement negotiations. Lead Counsel shall manage the prosecution of this litigation to avoid duplicative or unproductive activities. Lead Counsel shall be responsible for coordination of all activities and appearances on behalf of plaintiffs and for dissemination of notices and orders. Lead Counsel shall be responsible for communications with the Court. Lead Counsel shall maintain a master service list of all parties and counsel.Defendants' counsel may rely upon agreements made with Lead Counsel. Suchagreements shall be binding on all plaintiffs; and 6. Pursuant to the Court's April 9, 2009, Order (Docket # 2), within forty-five (45) days after entry of the instant Order, Lead Plaintiff shall file and serve a consolidated complaint (the "Consolidated Complaint"). Defendants' responses (by motion, answer or otherwise) to the Consolidated Complaint shall be due forty-five (45) days after service of the Consolidated Complaint. If any of the defendants respond to the Consolidated Complaint by motion, Lead Plaintiff's opposition to such motion shall be due forty-five (45) days after service of the motion, and the moving defendants' reply papers shall be due thirty (30) days after service of the opposition. *7. The Clerk of Court shall close: 09cv2326; 09cv2668; 09cv3608; and 09cv3949. *-As Amended by Judge Paul A. Crotty. (Signed by Judge Paul A. Crotty on 12/9/09) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(db) (Entered: 12/09/2009)

01/15/2010 28 MOTION for Lucas F. Olts to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(mbe) (Entered: 01/20/2010)

01/15/2010 29 MOTION for Eric I. Niehaus to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(mbe) (Entered: 01/20/2010)

01/15/2010 30 MOTION for Andrew J. Brown to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(mbe) (Entered: 01/20/2010)

01/21/2010 31 STIPULATION AND ORDER, that: 1. Lead Plaintiffs shall file their Consolidated Complaint on or before February 12, 2010. 2. Defendants shall answer, move or otherwise respond to the Consolidated Complaint on or before April 1, 2010. 3. In the event Defendants file motions to dismiss the Consolidated Complaint, Lead Plaintiffs shall file papers in opposition to the motions on or before May 19, 2010. 4. Defendants shall file any reply papers on or before June 21, 2010. 5. By entering into this Stipulation Defendants do not waive, and expressly reserve, any and all defense based on lack or insufficiency of service of process and lack of personal jurisdiction. (Signed by Judge Paul A. Crotty on 1/21/10). (pl) (Entered: 01/21/2010)

01/21/2010 Set/Reset Deadlines: Naguib Kheraj answer due 4/1/2010; Robert Edward Diamond, Jr answer due 4/1/2010; Richard Broadbent answer due 4/1/2010; Richard Leigh Clifford answer due 4/1/2010; Dame Sandra J.N. Dawson answer due 4/1/2010; Andrew Likierman answer due 4/1/2010; Nigel Rudd answer due 4/1/2010; Stephen George Russell answer due 4/1/2010; John Michael Sunderland answer due

4/1/2010; Barclays Capital Securities Limited answer due 4/1/2010; Citigroup Global Markets Inc. answer due 4/1/2010; Merrill Lynch, Pierce, Fenner & Smith, Incorporated answer due 4/1/2010; Wachovia Capital Markets, LLC answer due 4/1/2010; Morgan Stanley & Co. Incorporated answer due 4/1/2010; Larry Morrison answer due 4/1/2010; UBS Securities LLC answer due 4/1/2010; A.G. Edwards & Sons, Inc. answer due 4/1/2010; BNP Paribas Securities Corp. answer due 4/1/2010; Goldman, Sachs & Co. answer due 4/1/2010; KeyBanc Capital Markets answer due 4/1/2010; RBC Dain Rauscher Inc. answer due 4/1/2010; Suntrust Capital Markets, Inc. answer due 4/1/2010; Wells Fargo Securities, LLC answer due 4/1/2010; Barclays Bank PLC answer due 4/1/2010; Barclays PLC answer due 4/1/2010; Matthew William Barrett answer due 4/1/2010; John Silvester Varley answer due 4/1/2010. (pl) (Entered: 01/21/2010)

01/21/2010 32 ORDER granting (30) Motion for Andrew J. Brown to Appear Pro Hac Vice for Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus in case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 1/21/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)

01/21/2010 Transmission to Attorney Admissions Clerk. Transmitted re: (17 in 1:09-cv-03949-PAC, 32 in 1:09-cv-01989-PAC, 19 in 1:09-cv-02326-PAC, 17 in 1:09-cv-02668-PAC, 18 in 1:09-cv-03608-PAC) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)

01/21/2010 33 ORDER granting (29) Motion for Eric I. Niehaus to Appear Pro Hac Vice for Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus in case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 1/21/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)

01/21/2010 Transmission to Attorney Admissions Clerk. Transmitted re: (19 in 1:09-cv-03608-PAC, 18 in 1:09-cv-02668-PAC, 18 in 1:09-cv-03949-PAC, 20 in 1:09-cv-02326-PAC, 33 in 1:09-cv-01989-PAC) Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)

01/21/2010 34 ORDER granting (28) Motion for Lucas F. Olts to Appear Pro Hac Vice for Lucas F. Olts Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidusin case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 1/21/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jmi) (Entered: 01/22/2010)

01/27/2010 CASHIERS OFFICE REMARK on 30 Motion to Appear Pro Hac Vice, 28 Motion to Appear Pro Hac Vice, 29 Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 01/15/2010, Receipt Number 892176. (jd) (Entered: 01/27/2010)

01/28/2010 35 NOTICE OF CHANGE OF ADDRESS by Erik D. Peterson on behalf of Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus. New Address: Barroway Topaz Kessler Meltzer & Check, LLP, 580 California Street, Suite 1750, San Francisco, CA, 94104, (415) 400-3000. (Peterson, Erik) (Entered: 01/28/2010)

02/12/2010 36 CONSOLIDATED AMENDED COMPLAINT amending 1 Complaint against Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley.Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus. Related document: 1 Complaint filed by Marshall Freidus.(mbe) (Entered: 02/17/2010)

03/16/2010 37 STIPULATION AND ORDER, defendants shall answer/move to the Consolidated Complaint on or before 4/19/10. ( Motion due by 4/19/2010. Reply due by 7/9/2010. Lead plaintiffs Response due by 6/7/2010) (Signed by Judge Paul A. Crotty on 3/16/10) (cd) (Entered: 03/16/2010)

03/17/2010 38 MOTION for Joshua E. D'Ancona to Appear Pro Hac Vice. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus, Larry Morrison, Jeffrey Lefcourt, Beverly Pellegrini, Alfred Fait, Larry Morrison, Larry Morrison, Jeffrey Lefcourt, Beverly Pellegrini, Beverly Pellegrini, Alfred Fait, Alfred Fait.Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(mro) (Entered: 03/19/2010)

03/19/2010 CASHIERS OFFICE REMARK on 38 Motion to Appear Pro Hac Vice,, in the amount of $25.00, paid on 03/17/2010, Receipt Number 898152. (jd) (Entered: 03/19/2010)

03/22/2010 39 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting (38) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-01989-PAC; granting (22) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-02326-PAC; granting (20) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-02668-PAC; granting (21) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-03608-PAC; granting (20) Motion for Joshua E. D'Ancona to Appear Pro Hac Vice in case 1:09-cv-03949-PAC. (Signed by Judge Paul A. Crotty on 3/22/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jpo) (Entered: 03/22/2010)

03/25/2010 40 NOTICE of Firm Name Change. Document filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev.

Trust, Dora L. Mahboubi, Marshall Freidus. (Brown, Andrew) (Entered: 03/25/2010)

04/19/2010 41 MOTION to Dismiss Consolidated Amended Complaint. Document filed by Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary Hoffman, Frederik Seegers, David Booth, Fulvio Conti, Daniel Cronje, Sandra J.N. Dawson, John Varley, Robert E. Diamond, Jr, Leigh Clifford, Dame Sandra Dawson, Stephen Russell, John Sunderland, Gary A. Hoffman, David G. Booth. Responses due by 6/7/2010Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Braff, David) (Entered: 04/19/2010)

04/19/2010 42 MEMORANDUM OF LAW in Support re: (24 in 1:09-cv-02326-PAC, 22 in 1:09-cv-03949-PAC, 41 in 1:09-cv-01989-PAC, 22 in 1:09-cv-02668-PAC, 23 in 1:09-cv-03608-PAC) MOTION to Dismiss. the Consolidated Amended Complaint. Document filed by Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary Hoffman, Frederik Seegers, David Booth, Fulvio Conti, Daniel Cronje, Sandra J.N. Dawson, John Varley, Robert E. Diamond, Jr, Leigh Clifford, Dame Sandra Dawson, Stephen Russell, John Sunderland, Gary A. Hoffman, David G. Booth. Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Braff, David) (Entered: 04/19/2010)

04/19/2010 43 DECLARATION of Christopher A. Perrin in Support re: (22 in 1:09-cv-03949-PAC, 22 in 1:09-cv-02668-PAC, 23 in 1:09-cv-03608-PAC, 24 in 1:09-cv-02326-PAC, 41 in 1:09-cv-01989-PAC) MOTION to Dismiss.. Document filed by Naguib Kheraj, Robert Edward Diamond, Jr, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary Hoffman, Frederik Seegers, David Booth, Fulvio Conti, Daniel Cronje, Sandra J.N. Dawson, John Varley, Robert E. Diamond, Jr, Leigh Clifford, Dame Sandra Dawson, Stephen Russell, John Sunderland, Gary A. Hoffman, David G. Booth. (Attachments: # 1 Exhibit Ex. A, # 2 Exhibit Ex. B, # 3 Exhibit Ex. C, # 4 Exhibit Ex. D, # 5 Exhibit Ex. E, # 6 Exhibit Ex. F, # 7 Exhibit Ex. G, # 8 Exhibit Ex. H, # 9 Exhibit Ex. I, # 10 Exhibit Ex. J, # 11 Exhibit Ex. K, # 12 Exhibit Ex. L, # 13 Exhibit Ex. M, # 14 Exhibit Ex. N, # 15 Exhibit Ex. O, # 16 Exhibit Ex. P, # 17 Exhibit Ex. Q, # 18 Exhibit Ex. R, # 19 Exhibit Ex. S, # 20 Exhibit Ex. T, # 21 Exhibit Ex. U, # 22 Exhibit Ex. V, # 23 Exhibit Ex. W)Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Braff, David) (Entered: 04/19/2010)

04/19/2010 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint. Document filed by Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital

Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC.(Kasner, Jay) (Entered: 04/19/2010)

04/19/2010 45 MEMORANDUM OF LAW in Support re: 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint.. Document filed by Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Wachovia Capital Markets, LLC, Morgan Stanley & Co. Incorporated, UBS Securities LLC, A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC. (Kasner, Jay) (Entered: 04/19/2010)

04/19/2010 46 SUPPLEMENTAL RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Wells Fargo & Company as Corporate Parent. Document filed by Wells Fargo Securities, LLC.(Musoff, Scott) (Entered: 04/19/2010)

06/01/2010 47 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys for the Lead Plaintiffs and for Defendants, and subject to the approval of the Court, that: Lead Plaintiffs shall file papers in opposition to the motions to dismiss on or before June 25, 2010. Defendants shall file any reply papers on or before August 3, 2010. (Signed by Judge Paul A. Crotty on 6/1/2010) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(jfe) (Entered: 06/01/2010)

06/23/2010 48 ENDORSED LETTER addressed to Judge Paul A. Crotty from Erik Peterson dated 6/22/2010 re: Counsel requests permission to file a consolidated opposition memorandum 35 pages in length. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul A. Crotty on 6/23/2010) (tro) (Entered: 06/23/2010)

06/25/2010 49 RESPONSE in Opposition re: 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint., 41 MOTION to Dismiss Consolidated Amended Complaint.. Document filed by Martin S Ettin, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus. (Abadou, Ramzi) (Entered: 06/25/2010)

08/03/2010 50 REPLY MEMORANDUM OF LAW in Support re: 41 MOTION to Dismiss Consolidated Amended Complaint.. Document filed by Barclays Bank PLC, Barclays PLC, Matthew William Barrett, Richard Broadbent, Richard Leigh Clifford, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Naguib Kheraj, Andrew Likierman, Nigel Rudd, Stephen George Russell, John Michael Sunderland, John Silvester Varley, Marcus Agius, Christopher Lucas, Gary A. Hoffman, Frederik Seegers, David G. Booth, Fulvio Conti, Daniel Cronje. (Tomaino, Michael) (Entered: 08/03/2010)

08/03/2010 51 REPLY MEMORANDUM OF LAW in Support re: 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint.. Document filed by A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Barclays Capital Securities Limited, Citigroup Global Markets Inc., Goldman, Sachs & Co., KeyBanc Capital Markets, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley &

Co. Incorporated, RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Kasner, Jay) (Entered: 08/03/2010)

11/09/2010 Calendar Entry: Oral Argument set for Wednesday, December 15, 2010 at 03:00 PM in Courtroom 20-C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty, U.S.D.J. Requests for adjournment will be considered only if made in writing by Friday, December 3, 2010, and otherwise in accordance with Judge Crotty's Individual Practices (By: Marlon Ovalles - Courtroom Deputy). (mov) (Entered: 11/09/2010)

12/15/2010 Minute Entry for proceedings held before Judge Paul A. Crotty: Oral Argument held on 12/15/2010 re: 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint. See transcipt for details. (Court Reporter Eve Giniger) (mov) (Entered: 12/15/2010)

01/04/2011 52 TRANSCRIPT of proceedings held on 12/15/2010 before Judge Paul A. Crotty. (ja) (nd). (Entered: 01/04/2011)

01/05/2011 53 ORDER: For the foregoing reasons, Defendants' motion to dismiss is GRANTED in its entirety. The Clerk of Court is directed to enter judgment and to close this case. (Signed by Judge Paul A. Crotty on 1/5/2011) (jfe) (Entered: 01/05/2011)

01/07/2011 Transmission to Judgments and Orders Clerk. Transmitted re: 53 Order on Motion to Dismiss, to the Judgments and Orders Clerk. (jfe) (Entered: 01/07/2011)

01/07/2011 54 CLERK'S JUDGMENT That for the reasons stated in the Court's Order dated January 5, 2011, defendants motion to dismiss is granted in its entirety; accordingly, the case is closed. (Signed by Clerk of Court Ruby Krajick on 1/7/11) (Attachments: # 1 Notice of Right to Appeal)Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(dt) (Entered: 01/07/2011)

01/14/2011 55 MOTION for Christopher D. Stewart to Appear Pro Hac Vice. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(mbe) (Entered: 01/25/2011)

01/26/2011 56 ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, granting 55 Motion for Christopher D. Stewart to Appear Pro Hac Vice as counsel for plaintiffs. (Signed by Judge Paul A. Crotty on 1/26/2011) (lnl) (Entered: 01/26/2011)

02/01/2011 CASHIERS OFFICE REMARK on 55 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 01/14/2011, Receipt Number 925797. (jd) (Entered: 02/01/2011)

02/04/2011 57 MOTION for Reconsideration of the Court's January 5, 2011 Order. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Attachments: # 1 Text of Proposed Order)(Abadou, Ramzi) (Entered: 02/04/2011)

02/04/2011 58 MEMORANDUM OF LAW in Support re: 57 MOTION for Reconsideration of the Court's January 5, 2011 Order.. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Attachments: # 1 Exhibit 1)(Abadou, Ramzi) (Entered: 02/04/2011)

02/18/2011 59 JOINT MEMORANDUM OF LAW in Opposition re: 57 MOTION for Reconsideration of the Court's January 5, 2011 Order.. Document filed by A.G. Edwards & Sons, Inc., Marcus Agius, BNP Paribas Securities Corp., Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Goldman, Sachs & Co., Gary A. Hoffman, KeyBanc Capital Markets, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, Suntrust Capital Markets, Inc., UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Braff, David) (Entered: 02/18/2011)

02/25/2011 60 REPLY MEMORANDUM OF LAW in Support re: 57 MOTION for Reconsideration of the Court's January 5, 2011 Order.. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Abadou, Ramzi) (Entered: 02/25/2011)

05/31/2011 61 ORDER denying 57 Motion for Reconsideration (Signed by Judge Paul A. Crotty on May 31, 2011) (mov) (Entered: 05/31/2011)

06/28/2011 62 NOTICE OF APPEAL from 61 Order on Motion for Reconsideration, 53 Order on Motion to Dismiss, 54 Clerk's Judgment,. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, and named plaintiffs (Dennis Askelson, Alfred Fait and Martin Ettin). Filing fee $ 455.00, receipt number 465401010292. [This document relates to: ALL ACTIONS]. (nd) (Entered: 06/29/2011)

06/29/2011 Transmission of Notice of Appeal to the District Judge re: 62 Notice of Appeal,. (nd) (Entered: 06/29/2011)

06/29/2011 Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 62 Notice of Appeal,. (nd) (Entered: 06/29/2011)

06/29/2011 Appeal Record Sent to USCA (Electronic File). Certified Indexed record on Appeal Electronic Files for 38 MOTION for Joshua E. D'Ancona to Appear Pro Hac Vice. filed by Beverly Pellegrini, Jeffrey Lefcourt, Larry Morrison, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus, Alfred Fait, 59 Memorandum of Law in Opposition to Motion,,, filed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Goldman, Sachs & Co., Christopher Lucas, David G. Booth, Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, A.G. Edwards & Sons, Inc., KeyBanc Capital Markets, Barclays Bank PLC, Barclays Capital

Securities Limited, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Wachovia Capital Markets, LLC, Gary A. Hoffman, Daniel Cronje, Marcus Agius, Stephen George Russell, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Andrew Likierman, Dame Sandra J.N. Dawson, RBC Dain Rauscher Inc., BNP Paribas Securities Corp., Barclays PLC, Suntrust Capital Markets, Inc., Matthew William Barrett, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, Fulvio Conti, 7 Notice of Appearance, filed by Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Barclays PLC, Matthew William Barrett, John Michael Sunderland, 15 Response to Motion,, filed by Martin S Ettin, Jerry Goodman, 22 MOTION for Ramzi Abadou to Appear Pro Hac Vice. filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 25 Endorsed Letter, Terminate Hearings,,,,,,,,,, 35 Notice of Change of Address, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 10 MOTION to Appoint Counsel. MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). MOTION to Appoint MARSHALL FREIDUS, STEWART THOMPSON AND SHARON THOMPSON, TRUSTEES FOR THE S.O. THOMPSON REV. TRUST AND THE S.G. THOMPSON REV. TRUST AND DORA L. MAHBOUBI to serve as lead plaintiff(s). filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 61 Order on Motion for Reconsideration, 53 Order on Motion to Dismiss, 47 Stipulation and Order, Set Motion and R&R Deadlines/Hearings,,,, 37 Stipulation and Order, Set Deadlines/Hearings, 57 MOTION for Reconsideration of the Court's January 5, 2011 Order. filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 5 Rule 7.1 Corporate Disclosure Statement filed by Barclays Bank PLC, 11 Memorandum of Law in Support of Motion,, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, 43 Declaration in Support of Motion,,,,, filed by Sandra J.N. Dawson, Stephen Russell, Gary Hoffman, Christopher Lucas, David G. Booth, Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, David Booth, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Robert E. Diamond, Jr., Gary A. Hoffman, Leigh Clifford, Daniel Cronje, John Sunderland, Marcus Agius, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Dame Sandra Dawson, Barclays PLC, Matthew William Barrett, Frederik Seegers, John Michael Sunderland, John Varley, Fulvio Conti, 2 Stipulation and Order,,,,,, 48 Endorsed Letter, 4 Rule 7.1 Corporate Disclosure Statement filed by Barclays PLC, 20 Reply to Response to Motion,, filed by Martin S Ettin, Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, 46 Rule 7.1 Corporate Disclosure Statement filed by Wells Fargo Securities, LLC, 44 MOTION to Dismiss Counts I And II Of The Consolidated Amended Complaint. filed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Goldman, Sachs & Co., A.G. Edwards & Sons, Inc., KeyBanc Capital

Markets, Barclays Capital Securities Limited, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, BNP Paribas Securities Corp., RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC, 27 Order,,,,,,,,,, 30 MOTION for Andrew J. Brown to Appear Pro Hac Vice. filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 3 Notice of Appearance, filed by Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Barclays PLC, Matthew William Barrett, John Michael Sunderland, 6 Notice of Appearance, filed by Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Barclays PLC, Matthew William Barrett, John Michael Sunderland, 23 Order on Motion to Appear Pro Hac Vice, 14 Memorandum of Law in Support of Motion, filed by Martin S Ettin, Jerry Goodman, 28 MOTION for Lucas F. Olts to Appear Pro Hac Vice. filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 50 Reply Memorandum of Law in Support of Motion,, filed by Christopher Lucas, David G. Booth, Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Gary A. Hoffman, Daniel Cronje, Marcus Agius, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Barclays PLC, Matthew William Barrett, Frederik Seegers, John Michael Sunderland, Fulvio Conti, 18 Rule 7.1 Corporate Disclosure Statement,, filed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Goldman, Sachs & Co., A.G. Edwards & Sons, Inc., KeyBanc Capital Markets, Barclays Capital Securities Limited, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, BNP Paribas Securities Corp., RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC, 12 Declaration in Support of Motion,,, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, 40 Notice (Other) filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 62 Notice of Appeal, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 33 Order on Motion to Appear Pro Hac Vice, 32 Order on Motion to Appear Pro Hac Vice, 24 Order on Motion to Appear Pro Hac Vice, 39 Order on Motion to Appear Pro Hac Vice,, 56 Order on Motion to Appear Pro Hac Vice, 42 Memorandum of Law in Support of Motion,,, filed by Sandra J.N. Dawson, Stephen Russell, Gary Hoffman, Christopher Lucas, David G. Booth, Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, David Booth, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Robert E. Diamond, Jr., Gary A. Hoffman, Leigh Clifford, Daniel Cronje, John Sunderland, Marcus Agius, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Dame Sandra Dawson, Barclays PLC, Matthew William Barrett, Frederik Seegers, John Michael Sunderland, John Varley, Fulvio Conti, 55 MOTION for Christopher D. Stewart to Appear Pro Hac Vice. filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson

Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 36 Amended Complaint,,, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 49 Response in Opposition to Motion, filed by Martin S Ettin, Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 31 Stipulation and Order, Set Scheduling Order Deadlines,,,, 45 Memorandum of Law in Support of Motion,, filed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Goldman, Sachs & Co., A.G. Edwards & Sons, Inc., KeyBanc Capital Markets, Barclays Capital Securities Limited, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, BNP Paribas Securities Corp., RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC, 21 MOTION for Erik D. Peterson to Appear Pro Hac Vice. filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 19 Notice of Appearance, filed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Goldman, Sachs & Co., A.G. Edwards & Sons, Inc., KeyBanc Capital Markets, Barclays Capital Securities Limited, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, BNP Paribas Securities Corp., RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC, 41 MOTION to Dismiss Consolidated Amended Complaint. filed by Sandra J.N. Dawson, Stephen Russell, Gary Hoffman, Christopher Lucas, David G. Booth, Richard Leigh Clifford, Naguib Kheraj, John Silvester Varley, David Booth, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Robert E. Diamond, Jr., Gary A. Hoffman, Leigh Clifford, Daniel Cronje, John Sunderland, Marcus Agius, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Dame Sandra Dawson, Barclays PLC, Matthew William Barrett, Frederik Seegers, John Michael Sunderland, John Varley, Fulvio Conti, 1 Complaint,,, filed by Marshall Freidus, 60 Reply Memorandum of Law in Support of Motion, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 17 Notice of Appearance, filed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Goldman, Sachs & Co., A.G. Edwards & Sons, Inc., KeyBanc Capital Markets, Barclays Capital Securities Limited, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, BNP Paribas Securities Corp., RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC, 54 Clerk's Judgment, 13 MOTION to Appoint Jerry Goodman and Martin Ettin to serve as lead plaintiff(s). MOTION to Appoint Counsel. filed by Martin S Ettin, Jerry Goodman, 16 Memorandum of Law in Opposition to Motion, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 34 Order on Motion to Appear Pro Hac Vice, 58 Memorandum of Law in Support of Motion, filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 29 MOTION for Eric I. Niehaus to Appear Pro Hac Vice. filed by Marshall Freidus, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, 51 Reply Memorandum of Law in Support of Motion,, filed by Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Goldman, Sachs &

Co., A.G. Edwards & Sons, Inc., KeyBanc Capital Markets, Barclays Capital Securities Limited, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, BNP Paribas Securities Corp., RBC Dain Rauscher Inc., Suntrust Capital Markets, Inc., UBS Securities LLC were transmitted to the U.S. Court of Appeals. (nd) (Entered: 06/29/2011)

10/03/2011 ***DELETED DOCUMENT. Deleted document number 63 Stipulation and order. The document was incorrectly filed in this case. (js) (Entered: 10/04/2011)

10/03/2011 63 STIPULATION AND ORDER: Now, therefore, it is hereby stipulated and agreed by and between the undersigned attorneys for the Lead Plaintiffs and for Defendants, and subject to the approval of the Court, that the following document (a copy of which is attached hereto) will be added to the record: the February 7, 2011, e-mail from Katherine Nguyen of the Barroway Topaz firm to the Chambers of The Honorable Paul A. Crotty, with attached "redline" comparison showing the differences between Lead Plaintiffs' Consolidated Amended Complaint and Lead Plaintiffs' proposed Second Consolidated Amended Complaint. (Signed by Judge Paul A. Crotty on 10/3/2011) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(js) (Entered: 10/04/2011)

08/19/2013 64 OPINION of USCA as to 62 Notice of Appeal, filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus USCA Case Number 11-2665-cv. The judgment of the District Court dismissing the Serious 2, 3, and 4 offering claims as time-barred is affirmed. The judgment dismissing Lead Plaintiffs' Series 5 offering claims is reversed and the case is remanded to the District Court so that Lead Plaintiffs may file an amended complaint consistent with this opinion. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Certified: 8/19/2013. (nd) (Entered: 08/20/2013)

09/11/2013 65 MANDATE of USCA (Certified Copy) as to 62 Notice of Appeal, filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus USCA Case Number 11-2665. Ordered, Adjudged and Decreed that the judgment of the District Court is AFFIRMED in part, REVERSED in part, and the case is REMANDED accordance with the 64 opinion of this court. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 09/11/2013. (nd) (Entered: 09/12/2013)

09/12/2013 Transmission of USCA Mandate to the District Judge re: 65 USCA Mandate. (nd) (Entered: 09/12/2013)

09/16/2013 66 SECOND CONSOLIDATED AMENDED COMPLAINT FOR VIOLATIONS OF THE FEDERAL SECURITIES LAWS: amending 36 Amended Complaint, against A.G. Edwards & Sons, Inc., Marcus Agius, BNP Paribas Securities Corp., Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Goldman, Sachs & Co., Gary A. Hoffman, KeyBanc Capital Markets, Naguib Kheraj, Andrew Likierman,

Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, Suntrust Capital Markets, Inc., UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC with JURY DEMAND.Document filed by Marshall Freidus, Dora L. Mahboubi, Beverly Pellegrini, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Larry Morrison. Related document: 36 Amended Complaint, filed by Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust, Dora L. Mahboubi, Marshall Freidus.(ama) (sdi). (Entered: 09/17/2013)

09/25/2013 67 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - NOTICE OF VOLUNTARY DISMISSAL Pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, Suntrust Capital Markets, Inc., Wells Fargo Securities, LLC. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Brown, Andrew) Modified on 9/26/2013 (jno). (Entered: 09/25/2013)

09/26/2013 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Andrew Brown Document 67 Notice of Voluntary Dismissal, was referred to Judge Paul A. Crotty for approval. (jno) (Entered: 09/26/2013)

09/27/2013 68 NOTICE OF VOLUNTARY DISMISSAL: Pursuant to Rule 41(a)(1)(A)(i) plaintiffs hereby dismiss with prejudice all claims asserted in the above-captioned action against defendants A.G. Edwards & Sons, Inc., BNP Paribas Securities Corp., Goldman, Sachs & Co., KeyBanc Capital Markets, SunTrust Capital Markets, Inc. and Wells Fargo Securities LLC. No opposing party has filed either an answer or a motion for summary judgment. (Signed by Judge Paul A. Crotty on 9/27/2013) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(rsh) (Entered: 09/27/2013)

10/03/2013 69 NOTICE OF APPEARANCE by Menachem David Possick on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Possick, Menachem) (Entered: 10/03/2013)

10/08/2013 70 STIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the attorneys for the undersigned parties, subject to the approval of the Court, as follows: Defendants shall have until November 4, 2013 to answer, move or otherwise respond to the Second Amended Complaint. Marcus Agius answer due 11/4/2013; Banc of America Securities LLC answer due 11/4/2013; Barclays Bank PLC answer due 11/4/2013; Barclays Capital Securities Limited answer due 11/4/2013; Barclays PLC answer due 11/4/2013;

Matthew William Barrett answer due 11/4/2013; David G. Booth answer due 11/4/2013; Richard Broadbent answer due 11/4/2013; Citigroup Global Markets Inc. answer due 11/4/2013; Richard Leigh Clifford answer due 11/4/2013; Fulvio Conti answer due 11/4/2013; Daniel Cronje answer due 11/4/2013; Dame Sandra J.N. Dawson answer due 11/4/2013; Robert Edward Diamond, Jr answer due 11/4/2013; Goldman, Sachs & Co. answer due 11/4/2013; Gary A. Hoffman answer due 11/4/2013; KeyBanc Capital Markets answer due 11/4/2013; Naguib Kheraj answer due 11/4/2013; Andrew Likierman answer due 11/4/2013; Christopher Lucas answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith, Incorporated answer due 11/4/2013; Morgan Stanley & Co. Incorporated answer due 11/4/2013; RBC Dain Rauscher Inc. answer due 11/4/2013; Nigel Rudd answer due 11/4/2013; Stephen George Russell answer due 11/4/2013; Frederik Seegers answer due 11/4/2013; John Michael Sunderland answer due 11/4/2013; Suntrust Capital Markets, Inc. answer due 11/4/2013; UBS Securities LLC answer due 11/4/2013; John Silvester Varley answer due 11/4/2013; Wachovia Capital Markets, LLC answer due 11/4/2013; Wells Fargo Securities, LLC answer due 11/4/2013; Banc of America Securities, LLC answer due 11/4/2013; Barclays Capital, Inc. answer due 11/4/2013; David Booth answer due 11/4/2013; Citigroup Global Markets, Incorporated answer due 11/4/2013; Leigh Clifford answer due 11/4/2013; Dame Sandra Dawson answer due 11/4/2013; Deutsche Bank Securities, Incorporated answer due 11/4/2013; Robert E. Diamond, Jr answer due 11/4/2013; Gary Hoffman answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith, Incorporated answer due 11/4/2013; Morgan Stanley & Co., Incorporated answer due 11/4/2013; RBC Capital Markets Corporation answer due 11/4/2013; Stephen Russell answer due 11/4/2013; Sun Trust Robinson Humphrey answer due 11/4/2013; John Sunderland answer due 11/4/2013; UBS Securities, LLC answer due 11/4/2013; John Varley answer due 11/4/2013; Ernst & Young LLP answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 11/4/2013; Pricewatherhouse Coopers answer due 11/4/2013; RBC Dain Rauscher answer due 11/4/2013; Banc of America Securities LLC answer due 11/4/2013; Citigroup Global Markets, Inc. answer due 11/4/2013; PricewaterhouseCoopers, LLP answer due 11/4/2013; RBC Dain Rauscher, Inc. answer due 11/4/2013; Sandra J.N. Dawson answer due 11/4/2013; Merrill Lynch, Pierce, Fenner & Smith Incorporated answer due 11/4/2013; UBS Securities L.L.C. answer due 11/4/2013; Wachovia Capital Markets, L.L.C. answer due 11/4/2013. (Signed by Judge Paul A. Crotty on 10/8/2013) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(rsh) (Entered: 10/08/2013)

10/30/2013 71 STIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the attorneys for the undersigned parties, subject to the approval of the Court, as follows: Defendants shall move to dismiss or otherwise respond to the Second Amended Complaint on or before November 4, 2013. Plaintiffs shall serve and file their oppositions to the motions on or before December 20, 2013. Defendants shall serve and file their reply on or before January 13, 2014. Due to the parties' agreement to the above briefing schedule for Defendants' motions to dismiss the Second Amended Complaint, the parties further agree, subject to the approval of the Court, to dispense with pre-motion letters and a pre-motion conference. (Motions due by 11/4/2013., Responses due by 12/20/2013, Replies due by 1/13/2014.) (Signed by Judge Paul A. Crotty on 10/30/2013) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC,

1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(rsh) (Entered: 10/30/2013)

11/04/2013 72 MOTION to Dismiss the Second Consolidated Amended Complaint. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. Responses due by 12/20/2013(Possick, Menachem) (Entered: 11/04/2013)

11/04/2013 73 MEMORANDUM OF LAW in Support re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Possick, Menachem) (Entered: 11/04/2013)

11/04/2013 74 DECLARATION of M. David Possick in Support re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F)(Possick, Menachem) (Entered: 11/04/2013)

12/13/2013 75 MOTION for Andrew L. Zivitz to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9172280. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Zivitz, Andrew) (Entered: 12/13/2013)

12/13/2013 76 MOTION for Margaret E. Onasch to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9172431. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Onasch, Margaret) (Entered: 12/13/2013)

12/13/2013 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 75 MOTION for Andrew L. Zivitz to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9172280. Motion and supporting papers to be reviewed by Clerk's Office staff., 76 MOTION for Margaret E. Onasch to Appear Pro Hac Vice. Filing fee $ 200.00, receipt number 0208-9172431. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 12/13/2013)

12/13/2013 77 ORDER granting 75 Motion for Andrew L. Zivitz to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 12/13/2013)

12/13/2013 78 ORDER granting 76 Motion for Margaret E. Onasch to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 12/13/2013)

12/20/2013 79 NOTICE OF APPEARANCE by Sharan Nirmul on behalf of Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Nirmul, Sharan) (Entered: 12/20/2013)

12/20/2013 80 MEMORANDUM OF LAW in Opposition re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Zivitz, Andrew) (Entered: 12/20/2013)

01/07/2014 81 MOTION for Ramzi Abadou and Erik D. Peterson to Withdraw as Attorney s. Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Nirmul, Sharan) (Entered: 01/07/2014)

01/08/2014 82 ORDER granting 81 Motion to Withdraw as Attorney. Attorney Ramzi Abadou and Erik D. Peterson terminated (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 01/08/2014)

01/13/2014 83 REPLY MEMORANDUM OF LAW in Support re: 72 MOTION to Dismiss the Second Consolidated Amended Complaint.. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Possick, Menachem) (Entered: 01/13/2014)

06/02/2014 84 ORDER denying 72 Motion to Dismiss: Accordingly, the Barclays and Underwriter Defendants' motion to dismiss the Second Consolidated Amended Complaint is DENIED. Since all class members were previously given notice of the opportunity to move for appointment as lead plaintiff, there is no need for the Court to re-open

the process by ordering a new notice period. See In re NYSE Specialists Sec. Litig., 240 F.R.D. 128, 143 (S.D.N.Y. 2007). Plaintiffs Askelson and Fait, however, should move to be appointed lead plaintiffs, and for withdrawal of the remaining Lead Plaintiffs, by June 13, 2014. Defendants' opposition should be filed by June 27, 2014, and Plaintiffs' reply by July 3,2013. Briefing should be limited to 5 pages for the motion and opposition, and 3 pages for the reply. (Signed by Judge Paul A. Crotty on 5/30/2014) (tn) (Entered: 06/02/2014)

06/02/2014 Set/Reset Deadlines: Motions due by 6/13/2014. Responses due by 6/27/2014. Replies due by 7/3/2014. (tn) (Entered: 06/02/2014)

06/13/2014 85 MOTION to Modify December 9, 2009 Order . Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust.(Brown, Andrew) (Entered: 06/13/2014)

06/13/2014 86 MEMORANDUM OF LAW in Support re: 85 MOTION to Modify December 9, 2009 Order . . Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Brown, Andrew) (Entered: 06/13/2014)

06/17/2014 87 STIPULATION AND ORDER: that the time for Defendants to serve and filed their Answers to the Second Amended Complaint is extended through and including 7/21/2014. By entering into this Stipulation, the Parties do not waive, and expressly preserve, all rights, claims and defenses in this Action, including with respect to issues addressed in the June 2 Order. Marcus Agius answer due 7/21/2014; Barclays Bank PLC answer due 7/21/2014; Barclays Capital Securities Limited answer due 7/21/2014; Barclays PLC answer due 7/21/2014; Matthew William Barrett answer due 7/21/2014; David G. Booth answer due 7/21/2014; Richard Broadbent answer due 7/21/2014; Citigroup Global Markets Inc. answer due 7/21/2014; Richard Leigh Clifford answer due 7/21/2014; Fulvio Conti answer due 7/21/2014; Daniel Cronje answer due 7/21/2014; Dame Sandra J.N. Dawson answer due 7/21/2014; Robert Edward Diamond, Jr answer due 7/21/2014; Gary A. Hoffman answer due 7/21/2014; Naguib Kheraj answer due 7/21/2014; Andrew Likierman answer due 7/21/2014; Christopher Lucas answer due 7/21/2014; Merrill Lynch, Pierce, Fenner & Smith, Incorporated answer due 7/21/2014; Morgan Stanley & Co. Incorporated answer due 7/21/2014; RBC Dain Rauscher Inc. answer due 7/21/2014; Nigel Rudd answer due 7/21/2014; Stephen George Russell answer due 7/21/2014; Frederik Seegers answer due 7/21/2014; John Michael Sunderland answer due 7/21/2014; UBS Securities LLC answer due 7/21/2014; John Silvester Varley answer due 7/21/2014; Wachovia Capital Markets, LLC answer due 7/21/2014. (Signed by Judge Paul A. Crotty on 6/17/2014) (tn) (Entered: 06/17/2014)

06/27/2014 88 RESPONSE to Motion re: 85 MOTION to Modify December 9, 2009 Order . Defendants' Response to Plaintiffs' Motion to Modify December 9, 2009 Order by Appointing and Withdrawing Lead Plaintiffs. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Fritsch, Joshua) (Entered: 06/27/2014)

06/27/2014 89 NOTICE OF APPEARANCE by Joshua John Fritsch on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(Fritsch, Joshua) (Entered: 06/27/2014)

07/03/2014 90 REPLY MEMORANDUM OF LAW in Support re: 85 MOTION to Modify December 9, 2009 Order . . Document filed by Marshall Freidus, Dora L. Mahboubi, Stewart Thompson and Sharon Thompson, Trustees for the S.O. Thompson Rev. Trust and the S.G. Thompson Rev. Trust. (Brown, Andrew) (Entered: 07/03/2014)

07/09/2014 91 ORDER granting 85 Motion: The Court GRANTS the request and ORDERS that Plaintiffs Dennis Askelson and Alfred Fait be appointed lead plaintiffs and that Freidus, Thompson, and Mahboui be removed as lead plaintiffs. (Signed by Judge Paul A. Crotty on 7/9/2014) (tn) (Entered: 07/09/2014)

07/21/2014 92 ANSWER to 66 Amended Complaint,,,,,. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Kasner, Jay) (Entered: 07/21/2014)

07/25/2014 93 ANSWER to 66 Amended Complaint,,,,,. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Fritsch, Joshua) (Entered: 07/25/2014)

09/11/2014 94 FILING ERROR - DEFICIENT DOCKET ENTRY - FILER ERROR - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, Prejudice prejudice against the defendant(s) All Parties and Without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Barclays PLC, Stephen George Russell, Daniel Cronje, Christopher Lucas, John Michael Sunderland, Nigel Rudd, Dame Sandra J.N. Dawson, Naguib Kheraj, Robert Edward Diamond, Jr, Gary A. Hoffman, Marcus Agius, Richard Leigh Clifford, Frederik Seegers, Barclays Bank PLC, John Silvester Varley, Richard Broadbent, Andrew Likierman, Matthew William Barrett, David G. Booth, Fulvio Conti.(Fritsch, Joshua) Modified on 9/11/2014 (kj). (Entered: 09/11/2014)

09/11/2014 95 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) Naguib Kheraj, Matthew William Barrett and without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Naguib

Kheraj, Matthew William Barrett.(Fritsch, Joshua) Modified on 9/12/2014 (km). (Entered: 09/11/2014)

09/12/2014 ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney Joshua Fritsch Document 95 Stipulation of Voluntary Dismissal was referred to Judge Paul A. Crotty for approval. (km) (Entered: 09/12/2014)

09/15/2014 96 STIPULATION OF DISMISSAL WITH PREJUDICE AS TO: BARRETT AND KHERAJ: IT IS HEREBY STIPULATED AND AGREED by and between the attorneys for the undersigned Parties that any and all claims asserted against defendants Matthew William Barrett and Naguib Kheraj in the Action are hereby voluntarily dismissed, with prejudice, and without costs to any Party., Matthew William Barrett and Naguib Kheraj terminated. (Signed by Judge Paul A. Crotty on 9/15/2014) (lmb) (Entered: 09/15/2014)

10/21/2014 97 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. § 636(c). This case is to be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is: four weeks. Motions due by 3/6/2015. Deposition due by 9/18/2015. Fact Discovery due by 9/18/2015. Expert Discovery due by 2/23/2016. Status Conference set for 2/10/2015 at 04:00 PM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. (Signed by Judge Paul A. Crotty on 10/21/2014) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC(lmb) (Entered: 10/21/2014)

02/03/2015 CALENDAR ENTRY **Reminder**: Pretrial Conference scheduled to go forward on: Tuesday, February 10, 2015 @ 04:00 PM, Courtroom 14C, 500 Pearl St, NY, NY before Judge Paul A. Crotty, U.S.D.J. In the event both parties deem the conference unnecessary, either party can e-mail the Courtroom Deputy at: [email protected] ----- A PDF IS NOT ATTACHED TO THIS ENTRY --- (By: Marlon Ovalles - Courtroom Deputy)(mov) (Entered: 02/03/2015)

02/03/2015 98 STIPULATION AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Paul A. Crotty on 2/3/2015) (lmb) (Entered: 02/03/2015)

02/03/2015 99 STIPULATION AND ORDER REGARDING ESI PROTOCOL: This Stipulation and Order Regarding the Format of Document Productions ("ESI Protocol") shall govern the parties in the above-captioned action (the "Action"). This ESI Protocol governs only the form of production. The parties agree to meet and confer and reach an agreement for a separate protocol regarding (1) sources of discoverable information; (2) search methodology; and (3) any other culling methods. If there is an objection based upon undue burden, the parties agree that the grounds for such objection should be supported by specific information. The parties will not seek court intervention without first attempting to resolve any disagreements in good faith, based upon all available information as further set forth in this order. (Signed by Judge Paul A. Crotty on 2/3/2015) (lmb) (Entered: 02/03/2015)

02/06/2015 CALENDAR ENTRY: The Pretrial Conference scheduled to go forward on: Tuesday, February 10, 2015 @ 04:00 PM is marked off the calendar. Reason for

adjournment: all parties deemed a conference unnecessary at this time ----- A PDF IS NOT ATTACHED TO THIS ENTRY --- (reset via e-mail y: Marlon Ovalles - Courtroom Deputy) (mov) (Entered: 02/06/2015)

02/18/2015 100 MOTION for Jonathan F. Neumann to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10606637. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Neumann, Jonathan) (Entered: 02/18/2015)

02/18/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 100 MOTION for Jonathan F. Neumann to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10606637. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 02/18/2015)

02/18/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 100 MOTION for Jonathan F. Neumann to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-10606637. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) (Entered: 02/18/2015)

02/23/2015 101 ORDER granting 100 Motion for Jonathan F. Neumann to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 02/23/2015)

03/06/2015 102 MOTION to Certify Class . Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Text of Proposed Order)(Stewart, Christopher) (Entered: 03/06/2015)

03/06/2015 103 MEMORANDUM OF LAW in Support re: 102 MOTION to Certify Class . . Document filed by Dennis Askelson, Alfred Fait. (Stewart, Christopher) (Entered: 03/06/2015)

03/06/2015 104 DECLARATION of Christopher D. Stewart in Support re: 102 MOTION to Certify Class .. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Stewart, Christopher) (Entered: 03/06/2015)

03/09/2015 105 NOTICE OF APPEARANCE by Gary John Hacker on behalf of Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Hacker, Gary) (Entered: 03/09/2015)

04/15/2015 106 MOTION to Appear Pro Hac Vice for Michelle M. Newcomer. Filing fee $ 200.00, receipt number 0208-10817694. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Newcomer, Michelle) (Entered: 04/15/2015)

04/15/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 106 MOTION to Appear Pro Hac Vice for Michelle M. Newcomer. Filing fee $ 200.00, receipt number 0208-10817694. Motion and supporting papers to

be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) (Entered: 04/15/2015)

04/16/2015 107 ORDER granting 106 Motion for Michelle M. Newcomer to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 04/16/2015)

05/05/2015 108 LETTER MOTION for Conference addressed to Judge Paul A. Crotty from Sharan Nirmul dated May 5, 2015. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Text of Proposed Order)(Nirmul, Sharan) (Entered: 05/05/2015)

05/08/2015 109 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. and Jay B. Kasner dated May 8, 2015 re: Response to Plaintiffs' Letter dated May 5, 2015. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC.(Tomaino, Michael) (Entered: 05/08/2015)

05/13/2015 110 ENDORSED LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino and Jay B. Kasner dated May 8, 2015 re: response to 5-5-15 letter. ENDORSEMENT: The Court directs that the parties proceed as follows: (1) plaintiff should move to add Mr. Spindel as a party - plaintiff; (2) the parties should meet and confer on a motion schedule (along the lines suggested at pg 3*); (3) when this issue is decided, the plaintiff may move for class certification. So Ordered. (Signed by Judge Paul A. Crotty on 5-13-15) (mov) (Entered: 05/13/2015)

05/15/2015 111 MOTION for Kevin S. Sciarani to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Certificate of Good Standing, # 2 Order)(Sciarani, Kevin) (Entered: 05/15/2015)

05/15/2015 Pro Hac Vice Fee Payment: for 111 MOTION for Kevin S. Sciarani to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Filing fee $ 200.00, receipt number 0208-10926933.(Sciarani, Kevin) (Entered: 05/15/2015)

05/15/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 111 MOTION for Kevin S. Sciarani 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. (sdi) (Entered: 05/15/2015)

05/18/2015 112 ORDER granting 111 Motion for Kevin S. Sciarani to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 05/18/2015)

05/19/2015 113 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys for the parties, subject to the approval of the Court, that: 1. Plaintiff shall have until May 22, 2015 to move to add Mr. Spindel as

a party-plaintiff to this action; 2. Defendants shall have until June 5, 2015 to oppose or otherwise respond to plaintiffs' motion; and 3. Plaintiff shall have until June 12, 2015 to reply or otherwise respond to defendants' opposition., ( Motions due by 5/22/2015., Responses due by 6/5/2015., Replies due by 6/12/2015.) (Signed by Judge Paul A. Crotty on 5/19/2015) (lmb) (Entered: 05/19/2015)

05/22/2015 114 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Add Paul Spindel as a Named Plaintiff. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Declaration of Sharan Nirmul in Support of Lead Plaintiffs' Motion to Add Paul Spindel as a Named Plaintiff, # 2 Exhibit A, # 3 Exhibit B)(Nirmul, Sharan) Modified on 5/25/2015 (db). (Entered: 05/22/2015)

05/25/2015 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Sharan Nirmul to RE-FILE Document 114 MOTION to Add Paul Spindel as a Named Plaintiff. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db) (Entered: 05/25/2015)

05/26/2015 115 MOTION to Add Paul Spindel as a Named Plaintiff. Document filed by Dennis Askelson, Alfred Fait.(Nirmul, Sharan) (Entered: 05/26/2015)

05/26/2015 116 DECLARATION in Support re: 115 MOTION to Add Paul Spindel as a Named Plaintiff.. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Nirmul, Sharan) (Entered: 05/26/2015)

06/01/2015 117 MOTION for Joshua J. Fritsch to Withdraw as Attorney . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 06/01/2015)

06/02/2015 118 MEMO ENDORSEMENT granting (117) Motion to Withdraw as Attorney. SO ORDERED. Attorney Joshua John Fritsch terminated in case 1:09-cv-01989-PAC. (Signed by Judge Paul A. Crotty on 6/2/2015) Filed In Associated Cases: 1:09-cv-01989-PAC, 1:09-cv-02326-PAC, 1:09-cv-02668-PAC, 1:09-cv-03608-PAC, 1:09-cv-03949-PAC (kko) (Entered: 06/02/2015)

06/05/2015 119 JOINT MEMORANDUM OF LAW in Opposition re: 115 MOTION to Add Paul Spindel as a Named Plaintiff. . Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Tomaino, Michael) (Entered: 06/05/2015)

06/12/2015 120 REPLY MEMORANDUM OF LAW in Support re: 115 MOTION to Add Paul Spindel as a Named Plaintiff. . Document filed by Dennis Askelson, Alfred Fait. (Stewart, Christopher) (Entered: 06/12/2015)

06/15/2015 121 NOTICE OF APPEARANCE by Matthew Alain Peller on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Peller, Matthew) (Entered: 06/15/2015)

06/15/2015 122 NOTICE OF APPEARANCE by Thomas Charles White on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (White, Thomas) (Entered: 06/15/2015)

06/15/2015 123 NOTICE OF APPEARANCE by Yavar Bathaee on behalf of Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Bathaee, Yavar) (Entered: 06/15/2015)

07/07/2015 124 STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between the parties to the above-captioned action, through their undersigned counsel, subject to approval of the Court, that the following limitations shall govern the depositions of fact witnesses in this action: 1. Plaintiffs shall be permitted to take no more than a total of 25 depositions of the following: (i) defendants; (ii) current or former employees or directors of defendants; and (iii) third parties. 2. Defendants shall be permitted to take no more than a total of 25 depositions of the following: (i) plaintiffs; and (ii) third parties. 3. The parties do not waive their right to seek leave of the Court to take additional depositions. (Signed by Judge Paul A. Crotty on 7/7/2015) (lmb) Modified on 7/8/2015 (lmb). (Entered: 07/07/2015)

08/04/2015 125 LETTER addressed to Judge Paul A. Crotty from Andrew J. Brown dated August 4, 2015 re: Revised Scheduling Order. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Text of Proposed Order [Proposed] Revised Scheduling Order)(Brown, Andrew) (Entered: 08/04/2015)

08/05/2015 126 REVISED SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S. C. §636(c). This case is to be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is: four (4) weeks. Deposition due by 11/17/2015. Fact Discovery due by 11/17/2015. Expert Discovery due by 4/25/2016. Status Conference set for 4/14/2016 at 03:00 PM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Paul A. Crotty. (Signed by Judge Paul A. Crotty on 8/5/2015) (lmb) (Entered: 08/05/2015)

08/17/2015 127 MOTION for Richard A. Russo, Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11285147. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Text of Proposed Order)(Russo, Richard) (Entered: 08/17/2015)

08/17/2015 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. 127 MOTION for Richard A. Russo, Jr. to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-11285147. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi) (Entered: 08/17/2015)

08/17/2015 128 ORDER granting 127 Motion for Richard A. Russo, Jr to Appear Pro Hac Vice (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 08/17/2015)

09/08/2015 129 LETTER addressed to Judge Paul A. Crotty from Lucas F. Olts dated September 8, 2015 re: Pre-Motion Conference. Document filed by Dennis Askelson, Alfred Fait. (Attachments: # 1 Exhibit A)(Olts, Lucas) (Entered: 09/08/2015)

09/10/2015 130 SEALED DOCUMENT placed in vault.(rz) (Entered: 09/10/2015)

09/11/2015 131 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated September 11, 2015 re: Plaintiffs' September 8, 2015 Letter. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 09/11/2015)

09/15/2015 132 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated September 15, 2015 re: Plaintiffs' September 10, 2015 Letter. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 09/15/2015)

09/17/2015 133 MEMO ENDORSEMENT on re: 129 Letter filed by Dennis Askelson, Alfred Fait. ENDORSEMENT: The request for a pre-motion conference is DENIED, in light of defendants' letter of 9/11/2015. The 10 requested depositions have been or will be produced and the exhibits need to be produced only to the extent relevant, without prejudice to providing if need can be shown. (Signed by Judge Paul A. Crotty on 9/16/2015) (lmb) (Entered: 09/17/2015)

09/17/2015 134 ENDORSED LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul dated 9/10/2015 re: We write on behalf of Lead Plaintiffs ("Plaintiffs") pursuant to Rule 3.C of Your Honor's Individual Practices and FED. R. CIV. P. 26(b), to request a pre-motion conference or for leave to file a motion to compel Barclays to produce documents responsive to Lead Plaintiffs' First and Second Requests for Production (the "Document Requests"), from the files of seven Barclays employees (the "New Custodians"). ENDORSEMENT: This letter application will be considered as a motion to compel further discovery. It is DENIED as untimely, inappropriate (the 60 day extension was granted finish depositions not to embark on a new document discovery exercise) and burdensome in light of the massive document process in this 6 year old case. (Signed by Judge Paul A. Crotty on 9/16/2015) (lmb) (Entered: 09/17/2015)

11/04/2015 135 SEALED DOCUMENT placed in vault.(mps) (Entered: 11/04/2015)

11/09/2015 136 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated November 9, 2015 re: Plaintiffs November 4, 2015 Letter. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) Modified on 11/13/2015 (db). Modified on 11/13/2015 (db). (Entered: 11/09/2015)

11/09/2015 137 LETTER addressed to Judge Paul A. Crotty from Scott D. Musoff dated November 9, 2015 re: Plaintiffs' November 4, 2015 Letter. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC.(Musoff, Scott) (Entered: 11/09/2015)

11/17/2015 138 ENDORSED LETTER addressed to Judge Paul A. Crotty from Sharen Nimul dated 11-4-15 re: pre-motion conference request or leave to file a motion for issuance of a letter requesting judicial assistance pursuant to the Hague Convention. ENDORSEMENT: The Court will treat this request as an application for the issuance of a letter requesting judicial assistance. The request is denied as untimely and it smacks of last minute gamesmanship in light of the 11/17 discovery cutoff. So Ordered. (Signed by Judge Paul A. Crotty on 11-17-15) (mov) (Entered: 11/17/2015)

11/18/2015 139 SUGGESTION OF DEATH upon the record as to Alfred Fait Under Fed. R. Civ. P. 25(a)(1). Document filed by Dennis Askelson(Sciarani, Kevin) (Entered: 11/18/2015)

11/19/2015 140 OPINION & ORDER re: 115 MOTION to Add Paul Spindel as a Named Plaintiff. filed by Dennis Askelson, Alfred Fait. Lead Plaintiffs' motion to add Paul Spindel as a named plaintiff is DENIED. Lead Plaintiff Askelson may move for class certification in accordance with the procedures as set forth in the Revised Scheduling Order. See Dkt. 126 at 8. The Clerk is directed to terminate the motion at Docket 115. (As further set forth in this Order) (Signed by Judge Paul A. Crotty on 11/19/2015) (lmb) Modified on 11/19/2015 (lmb). (Entered: 11/19/2015)

12/09/2015 141 MOTION to Certify Class . Document filed by Dennis Askelson. (Attachments: # 1 Text of Proposed Order)(Zivitz, Andrew) (Entered: 12/09/2015)

12/09/2015 142 MEMORANDUM OF LAW in Support re: 141 MOTION to Certify Class . Redacted. Document filed by Dennis Askelson. (Zivitz, Andrew) (Entered: 12/09/2015)

12/09/2015 143 DECLARATION of Richard A. Russo, Jr. in Support re: 141 MOTION to Certify Class .. Document filed by Dennis Askelson. (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)(Russo, Richard) (Entered: 12/09/2015)


01/07/2016 145 NOTICE of Withdrawal of Appearance of Gary J. Hacker as Counsel. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Hacker, Gary) (Entered: 01/07/2016)

01/11/2016 146 STIPULATION AND ORDER: Defendants shall have until February 19, 2016 to oppose or otherwise respond to Lead Plaintiff's Motion for Class Certification [Dkt. No. 141); and Lead Plaintiff shall have until April 4, 2016 to reply or otherwise respond to Defendants' opposition. Set Deadlines/Hearing as to 141 MOTION to Certify Class: Responses due by 2/19/2016, Replies due by 4/4/2016. (Signed by Judge Paul A. Crotty on 1/11/2016) (tn) (Entered: 01/11/2016)

01/11/2016 147 MEMO ENDORSEMENT on re: 145 Notice (Other), filed by Wachovia Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, Banc of America Securities LLC, RBC Dain Rauscher Inc., UBS Securities LLC, Barclays Capital Securities Limited. ENDORSEMENT: Application granted. The Clerk of Court is directed to update the case & docket accordingly. Attorney Gary John Hacker terminated. (Signed by Judge Paul A. Crotty on 1/11/2016) ***As per chambers, filed in 09cv1989 only. (tn) (Entered: 01/11/2016)

02/19/2016 148 JOINT MEMORANDUM OF LAW in Opposition re: 141 MOTION to Certify Class . . Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (Tomaino, Michael) (Entered: 02/19/2016)

02/19/2016 149 DECLARATION of Thomas C. White in Opposition re: 141 MOTION to Certify Class .. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC, Wells Fargo Securities, LLC. (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)(White, Thomas) (Entered: 02/19/2016)

03/23/2016 150 LETTER addressed to Judge Paul A. Crotty from Andrew L. Zivitz dated March 23, 2016 re: Scheduling. Document filed by Dennis Askelson.(Zivitz, Andrew) (Entered: 03/23/2016)

03/24/2016 151 MEMO ENDORSEMENT on re: 150 Letter filed by Dennis Askelson. ENDORSEMENT: Application GRANTED. SO ORDERED. (Signed by Judge Paul A. Crotty on 3/24/2016) (cf) (Entered: 03/24/2016)

04/04/2016 152 REPLY MEMORANDUM OF LAW in Support re: 141 MOTION to Certify Class . . Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 04/04/2016)

04/04/2016 153 DECLARATION of Sharan Nirmul in Support re: 141 MOTION to Certify Class .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit Exhibit A)(Nirmul, Sharan) (Entered: 04/04/2016)

04/08/2016 154 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated April 8, 2016 re: Defendants' Request to File Sur-Reply. Document filed by Barclays Bank PLC, Barclays PLC, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 04/08/2016)

04/11/2016 155 LETTER addressed to Judge Paul A. Crotty from Andrew L. Zivitz dated April 11, 2016 re: Defendant's April 8, 2016 Letter. Document filed by Dennis Askelson.(Zivitz, Andrew) (Entered: 04/11/2016)

04/12/2016 156 MEMO ENDORSEMENT on re: 154 Letter, filed by Christopher Lucas, Stephen George Russell, Andrew Likierman, Dame Sandra J.N. Dawson, Barclays PLC, Richard Leigh Clifford, John Silvester Varley, John Michael Sunderland, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Fulvio Conti, Nigel Rudd. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul A. Crotty on 4/12/2016) (tn) (Entered: 04/12/2016)

04/14/2016 157 RESPONSE in Opposition to Motion re: 141 MOTION to Certify Class . . Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Tomaino, Michael) (Entered: 04/14/2016)

04/14/2016 158 DECLARATION of Matthew A. Peller in Opposition re: 141 MOTION to Certify Class .. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael

Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1)(Peller, Matthew) (Entered: 04/14/2016)

04/22/2016 CALENDAR ENTRY: Oral Argument on the pending motion will go forward on: Tuesday, May 17, 2016 @ 10:15 AM, 500 Pearl Street, Courtroom 14-C @ 500 Pearl St before Judge Paul A. Crotty, U.S.D.J. If the date is not convenient, either party can e-mail three (3) mutually convenient dates to the Courtroom Deputy at: [email protected]. The parties should note that Judge Crotty is unavailable May 23 through May 31, 2016. A PDF IS NOT ATTACHED TO THIS ENTRY (By: Marlon Ovalles - Courtroom Deputy). (mov) (Entered: 04/22/2016)

05/16/2016 159 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE 160 Letter) - LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated May 16, 2016 re: U.S. Supreme Court Decision in Spokeo, Inc. v. Robins. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, Matthew William Barrett, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Naguib Kheraj, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit Supreme Court Opinion - Spokeo, Inc. v Robbins)(Tomaino, Michael) Modified on 5/16/2016 (db). (Entered: 05/16/2016)

05/16/2016 160 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated May 16, 2016 re: Suprme Court Opinion - Spokeo, Inc. v Robins. Document filed by Barclays Bank PLC, Barclays PLC, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit Supreme Court Opinion - Spokeo, Inc. v Robins)(Tomaino, Michael) (Entered: 05/16/2016)

05/17/2016 Minute Entry for proceedings held before Judge Paul A. Crotty: Oral Argument held on 5/17/2016 re: 141 MOTION to Certify Class . filed by Dennis Askelson. (Court Reporter Lisa Fellis) (mov) (Entered: 05/17/2016)

05/26/2016 161 TRANSCRIPT of Proceedings re: conference corrected held on 5/17/2016 before Judge Paul A. Crotty. Court Reporter/Transcriber: Lisa Picciano Fellis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/20/2016. Redacted Transcript Deadline set for 6/30/2016. Release of Transcript Restriction set for 8/29/2016.(McGuirk, Kelly) (Entered: 05/26/2016)

05/26/2016 162 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference corrected proceeding held on 5/17/2016 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: 05/26/2016)

06/02/2016 163 TRANSCRIPT of Proceedings re: conference corrected held on 5/17/2016 before Judge Paul A. Crotty. Court Reporter/Transcriber: Lisa Picciano Fellis, (212) 805-

0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/27/2016. Redacted Transcript Deadline set for 7/8/2016. Release of Transcript Restriction set for 9/5/2016.(McGuirk, Kelly) (Entered: 06/02/2016)

06/02/2016 164 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference corrected proceeding held on 5/17/16 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: 06/02/2016)

06/09/2016 165 OPINION & ORDER re: 141 MOTION to Certify Class . filed by Dennis Askelson. The Court grants the motion for class certification, appoints Dennis Askelson to represent the class, and appoints Kessler Topaz and Robbins Geller as co-class counsel. Along with the issuance of this Opinion & Order, the Court will endorse the proposed order (Dkt. 141, Ex. 1). The parties are directed to appear at a status conference on July 27, 2016 at 11:15 am. The Clerk is directed to terminate the motion at Docket 141. (As further set forth in this order) (Signed by Judge Paul A. Crotty on 6/9/2016) (lmb) (Entered: 06/09/2016)

06/09/2016 Set/Reset Hearings: Status Conference set for 7/27/2016 at 11:15 AM before Judge Paul A. Crotty. (lmb) (Entered: 06/09/2016)

06/09/2016 166 ORDER GRANTING LEAD PLAINTIFFS' MOTION FOR CLASS CERTIFICATION re: 141 MOTION to Certify Class . filed by Dennis Askelson. IT IS HEREBY ORDERED that this matter is certified as a Class action, plaintiff Askelson is appointed as class representative to represent the Class defined above, and Kessler Topaz and Robbins Geller are appointed co-class counsel. (Signed by Judge Paul A. Crotty on 6/9/2016) (lmb) (Entered: 06/09/2016)

07/27/2016 167 AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. This case is to be tried to a jury. Counsel for the parties have conferred and their best estimate of the length of the trial is: four (4) weeks. Motions due by 9/30/2016. Responses due by 11/23/2016. Replies due by 12/21/2016. (Signed by Judge Paul A. Crotty on 7/27/2016) (lmb) (Entered: 07/27/2016)

07/27/2016 Minute Entry for proceedings held before Judge Paul A. Crotty: Interim Pretrial Conference held on 7/27/2016. REMARK: The proposed scheduling order was "so ordered" by the Court. The next PTC will take place in early January or shortly after the SJ motion is decided. See transcript for details. (Court Reporter Patricia Nilsen) (mov) (Entered: 08/02/2016)

08/19/2016 168 TRANSCRIPT of Proceedings re: CONFERENCE held on 7/27/2016 before Judge Paul A. Crotty. Court Reporter/Transcriber: Patricia Nilsen, (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

9/12/2016. Redacted Transcript Deadline set for 9/22/2016. Release of Transcript Restriction set for 11/21/2016.(McGuirk, Kelly) (Entered: 08/19/2016)

08/19/2016 169 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/27/16 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: 08/19/2016)

09/15/2016 170 CONSENT LETTER MOTION for Extension of Time re: Summary Judgment Briefing addressed to Judge Paul A. Crotty from Scott D. Musoff dated September 15, 2016. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Musoff, Scott) (Entered: 09/15/2016)

09/16/2016 171 ORDER granting 170 Letter Motion for Extension of Time. Motions for summary due by 10/21/2016. Briefs in opposition to the motions for summary judgment due by: 12/14/2016. Reply briefs in support of motions for summary judgment due by: 1/11/2017. The footnote in re Daubert motions is also adopted. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 09/16/2016)

10/04/2016 172 LETTER MOTION for Leave to File Excess Pages re: Summary Judgment Briefing addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated October 4, 2016. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 10/04/2016)

10/05/2016 173 ORDER granting 172 Letter Motion for Leave to File Excess Pages (Signed by Judge Paul A. Crotty on 10-5-16) (Crotty, Paul) (Entered: 10/05/2016)


10/21/2016 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . Document filed by Dennis Askelson.(Brown, Andrew) (Entered: 10/21/2016)

10/21/2016 176 MOTION to Preclude Expert Report and Testimony of John C. Coates IV. Document filed by Dennis Askelson.(Nirmul, Sharan) (Entered: 10/21/2016)

10/21/2016 177 MEMORANDUM OF LAW in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . . Document filed by Dennis Askelson. (Brown, Andrew) (Entered: 10/21/2016)

10/21/2016 178 MEMORANDUM OF LAW in Support re: 176 MOTION to Preclude Expert Report and Testimony of John C. Coates IV. Redacted Public Version. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 10/21/2016)

10/21/2016 179 DECLARATION of Andrew J. Brown in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A - filed under seal, # 2 Exhibit B -filed under seal, # 3 Exhibit C - filed under seal, # 4 Exhibit D - filed under seal, # 5 Exhibit E - filed under seal)(Brown, Andrew) (Entered: 10/21/2016)

10/21/2016 180 DECLARATION of Sharan Nirmul in Support re: 176 MOTION to Preclude Expert Report and Testimony of John C. Coates IV.. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A (Filed Under Seal), # 2 Exhibit B (Filed Under Seal), # 3 Exhibit C (Filed Under Seal), # 4 Exhibit D (Filed Under Seal), # 5 Exhibit E (Filed Under Seal), # 6 Exhibit F (Filed Under Seal))(Nirmul, Sharan) (Entered: 10/21/2016)

10/21/2016 181 MOTION for Summary Judgment . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 10/21/2016)

10/21/2016 182 RULE 56.1 STATEMENT. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 10/21/2016)

10/21/2016 183 MOTION for Summary Judgment . Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 184 DECLARATION of Scott D. Musoff in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 (Filed Under Seal), # 2 Exhibit 2 (Filed Under Seal), # 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)(Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 185 DECLARATION of Richard Doyle in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 8 (Filed under Seal))(Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 186 DECLARATION of Ken Harris in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital

Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 187 DECLARATION of Carolyn Coan Hurley in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 9 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 188 DECLARATION of Andrew R. Karp in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 189 MEMORANDUM OF LAW in Support re: 183 MOTION for Summary Judgment . (Redacted). Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 190 RULE 56.1 STATEMENT. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 191 DECLARATION of David Ludwick, Esq in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 192 DECLARATION of Kathryn McLeland in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 193 DECLARATION of Jack D. McSpadden in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc.,

UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 59 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 194 MEMORANDUM OF LAW in Support re: 181 MOTION for Summary Judgment . . Document filed by Marcus Agius, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, Robert Edward Diamond, Jr, Stephen George Russell, John Silvester Varley. (White, Thomas) (Entered: 10/21/2016)

10/21/2016 195 DECLARATION of Yurij Slyz in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 5 (Filed Under Seal))(Musoff, Scott) (Entered: 10/21/2016)

10/21/2016 196 DECLARATION of Sophia Vonta in Support re: 183 MOTION for Summary Judgment .. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Attachments: # 1 Exhibit 1 Through 5 (Filed Under Seal))(Musoff, Scott) (Entered: 10/22/2016)




10/22/2016 197 DECLARATION of Thomas C White in Support re: 181 MOTION for Summary Judgment .. Document filed by Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit 1A, # 2 Exhibit 1B, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5, # 7 Exhibit 6, # 8 Exhibit 7, # 9 Exhibit 8, # 10 Exhibit 9, # 11 Exhibit 10, # 12 Exhibit 11, # 13 Exhibit 12, # 14 Exhibit 13, # 15 Exhibit 14, # 16 Exhibit 15, # 17 Exhibit 16, # 18 Exhibit 17, # 19 Exhibit 18, # 20 Exhibit 19, # 21 Exhibit 20, # 22 Exhibit 21, # 23 Exhibit 22, # 24 Exhibit 23, # 25 Exhibit 24, # 26 Exhibit 25, # 27 Exhibit 26, # 28 Exhibit 27, # 29 Exhibit 28, # 30 Exhibit 29, # 31 Exhibit 30A, # 32 Exhibit 30B, # 33 Exhibit 31, # 34 Exhibit 32, # 35 Exhibit 33, # 36 Exhibit 34, # 37 Exhibit 35, # 38 Exhibit 36, # 39 Exhibit 37, # 40 Exhibit 38, # 41 Exhibit 39, # 42 Exhibit 40, # 43 Exhibit 41, # 44 Exhibit 42, # 45 Exhibit 43, # 46 Exhibit 44, # 47 Exhibit 45, # 48 Exhibit 46, # 49 Exhibit 47, # 50 Exhibit 48, # 51 Exhibit 49, # 52 Exhibit 50, # 53 Exhibit 51, # 54 Exhibit 52, # 55 Exhibit 53, # 56 Exhibit 54, # 57 Exhibit 55, # 58 Exhibit 56, # 59 Exhibit 57, # 60 Exhibit 58, # 61 Exhibit 59, # 62 Exhibit 60, # 63 Exhibit 61)(Tomaino, Michael) (Entered: 10/22/2016)

11/22/2016 201 MANDATE of USCA (Certified Copy) USCA Case Number 16-2276.. Petitioners move pursuant to Federal Rule of Civil Procedure 23(f) for leave to appeal the district court's order granting Respondents motion for class certification. Petitioners also request leave to file a reply in further support of their Rule 23(f) petition. Upon due consideration, it is hereby ORDERED that the request to file a reply is

GRANTED, and the proposed reply has been considered, but the Rule 23(f) petition is DENIED because an immediate appeal is unwarranted. See Sumitomo Copper Litig. v. Credit Lyonnais Rouse, Ltd., 262 F.3d 134, 139-40 (2d Cir. 2001).. Catherine O'Hagan Wolfe, Clerk USCA for the Second Circuit. Issued As Mandate: 11/22/2016. (nd) (Entered: 11/22/2016)

11/29/2016 202 JOINT LETTER addressed to Judge Paul A. Crotty from All Counsel dated 11/29/2016 re: Agreement to Withdraw Without Prejudice Pending Motion to Preclude Expert Report and Testimony of John C. Coates IV [Dkt. No. 176]. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 11/29/2016)

11/30/2016 203 MEMO ENDORSEMENT on re: 202 Joint Letter withdrawing 176 Motion to Preclude. ENDORSEMENT: SO ORDERED. (Signed by Judge Paul A. Crotty on 11/30/2016) (kl) (Entered: 11/30/2016)

12/01/2016 204 NOTICE of Withdrawal Without Prejudice of Lead Plaintiff's Motion to Exclude the Expert Report and Testimony of John C. Coates IV re: 176 MOTION to Preclude Expert Report and Testimony of John C. Coates IV.. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/01/2016)

12/14/2016 205 MEMORANDUM OF LAW in Opposition re: 181 MOTION for Summary Judgment . (Redacted). Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/14/2016)

12/14/2016 206 DECLARATION of Thomas C. White in Opposition re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3 (FILED UNDER SEAL), # 4 Exhibit 4 (FILED UNDER SEAL), # 5 Exhibit 5 (FILED UNDER SEAL), # 6 Exhibit 6 (FILED UNDER SEAL))(Tomaino, Michael) (Entered: 12/14/2016)

12/14/2016 207 MEMORANDUM OF LAW in Opposition re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 12/14/2016)

12/14/2016 208 DECLARATION of Allan W. Kleidon, Ph.D. in Opposition re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N.

Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 12/14/2016)

12/14/2016 209 MEMORANDUM OF LAW in Opposition re: 183 MOTION for Summary Judgment . Plaintiff's Memorandum of Law in Opposition to the Underwriter Defendants' Motion for Summary Judgment [Redacted]. Document filed by Dennis Askelson. (Brown, Andrew) (Entered: 12/14/2016)

12/14/2016 210 RULE 56.1 STATEMENT. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/14/2016)

12/14/2016 211 DECLARATION of Andrew J. Brown in Opposition re: 183 MOTION for Summary Judgment .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5 - 70 [Filed Under Seal])(Brown, Andrew) (Entered: 12/14/2016)

12/14/2016 212 DECLARATION of Sharan Nirmul in Opposition re: 181 MOTION for Summary Judgment .. Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 12/14/2016)

12/14/2016 213 RULE 56.1 STATEMENT. Document filed by Dennis Askelson. (Brown, Andrew) (Entered: 12/15/2016)



12/15/2016 214 DECLARATION of Sharan Nirmul in Opposition re: 181 MOTION for Summary Judgment .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2 (Filed Under Seal), # 3 Exhibit 3, # 4 Exhibit 4 (Filed Under Seal), # 5 Exhibit 5 Part 1, # 6 Exhibit 5 Part 2, # 7 Exhibit 6 (Filed Under Seal), # 8 Exhibit 7, # 9 Exhibit 8, # 10 Exhibit 9-36 (Filed Under Seal), # 11 Exhibit 37, # 12 Exhibit 38 (Filed Under Seal), # 13 Exhibit 39, # 14 Exhibit 40, # 15 Exhibits 41-49 (Filed Under Seal), # 16 Exhibit 50, # 17 Exhibits 51-52 (Filed Under Seal), # 18 Exhibit 53, # 19 Exhibit 54 (Filed Under Seal), # 20 Exhibit 55, # 21 Exhibit 56, # 22 Exhibit 57, # 23 Exhibit 58, # 24 Exhibits 59-63 (Filed Under Seal), # 25 Exhibit 64, # 26 Exhibit 65, # 27 Exhibit 66 (Filed Under Seal), # 28 Exhibit 67, # 29 Exhibits 68-70 (Filed Under Seal), # 30 Exhibit 71, # 31 Exhibits 72-82 (Filed Under Seal), # 32 Exhibit 83, # 33 Exhibit 84, # 34 Exhibit 85, # 35 Exhibit 86 Part 1, # 36 Exhibit 86 Part 2, # 37 Exhibit 86 Part 3, # 38 Exhibit 87, # 39 Exhibit 88, # 40 Exhibit 89, # 41 Exhibit 90, # 42 Exhibits 91-99 (Filed Under Seal), # 43 Exhibit 100, # 44 Exhibit 101, # 45 Exhibit 102, # 46 Exhibits 103-167 (Filed Under Seal), # 47 Exhibit 168, # 48 Exhibit 169, # 49 Exhibit 170 (Filed Under Seal), # 50 Exhibit 171, # 51 Exhibit 172, # 52 Exhibit 173, # 53 Exhibit 174, # 54 Exhibit 175 (Filed Under Seal), # 55 Exhibit 176, # 56 Exhibit 177, # 57 Exhibit 178, # 58 Exhibit 179, # 59 Exhibit 180, # 60 Exhibit 181, # 61 Exhibit 182, # 62 Exhibit 183, # 63 Exhibit 184, # 64 Exhibit 185, # 65 Exhibit 186, # 66 Exhibit 187, # 67 Exhibit 188, # 68 Exhibit 189, # 69 Exhibit 190, # 70 Exhibit 191, # 71 Exhibit 192, # 72 Exhibit 193, # 73 Exhibit 194, # 74 Exhibit 195, # 75 Exhibit 196, # 76 Exhibit 197, # 77 Exhibit 198, # 78 Exhibit 199, # 79 Exhibit 200, # 80 Exhibit 201, # 81 Exhibit 202, # 82 Exhibit 203, # 83 Exhibit 204, # 84 Exhibit 205, # 85 Exhibit 206, # 86 Exhibit 207,

# 87 Exhibit 208, # 88 Exhibit 209, # 89 Exhibit 210, # 90 Exhibit 211, # 91 Exhibit 212, # 92 Exhibit 213, # 93 Exhibit 214, # 94 Exhibit 215, # 95 Exhibit 216 (Filed Under Seal), # 96 Exhibit 217, # 97 Exhibit 218, # 98 Exhibit 219, # 99 Exhibit 220, # 100 Exhibit 221, # 101 Exhibit 222, # 102 Exhibit 223-224 (Filed Under Seal), # 103 Exhibit 225, # 104 Exhibit 226 (Filed Under Seal), # 105 Exhibit 227, # 106 Exhibit 228-231 (Filed Under Seal), # 107 Exhibit 232, # 108 Exhibit 233-234 (Filed Under Seal))(Nirmul, Sharan) (Entered: 12/15/2016)


12/23/2016 218 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Conference addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated December 23, 2016. Document filed by Dennis Askelson.(Brown, Andrew) Modified on 12/27/2016 (db). (Entered: 12/23/2016)

12/27/2016 ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Andrew J. Brown to RE-FILE Document 218 LETTER MOTION for Conference addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated December 23, 2016. Use the event type Letter found under the event list Other Documents. (db) (Entered: 12/27/2016)

12/27/2016 219 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated December 23, 2016 re: plaintiff's intention to move to strike the Declaration of Allan W. Kleidon, Ph.D.. Document filed by Dennis Askelson.(Brown, Andrew) (Entered: 12/27/2016)

12/29/2016 220 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated December 29, 2016 re: Plaintiff's December 23, 2016 Letter. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 12/29/2016)

01/03/2017 221 MEMO ENDORSEMENT on re: 219 Letter filed by Dennis Askelson. ENDORSEMENT: Filing a motion to strike a 4 page declaration in a battle that has been going on for 7 years does not seem to be a wise expenditure of resources. Plaintiff will have an opportunity to rebut Kleidon's declaration in plaintiffs forthcoming reply brief in the Daubert Motion. The application is denied. So Ordered. (Signed by Judge Paul A. Crotty on 1/3/2017) (mov) (Entered: 01/03/2017)

01/11/2017 222 REPLY MEMORANDUM OF LAW in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. . . Document filed by Dennis Askelson. (Nirmul, Sharan) (Entered: 01/11/2017)

01/11/2017 223 REPLY MEMORANDUM OF LAW in Support re: 183 MOTION for Summary Judgment . (Redacted). Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 01/11/2017)

01/11/2017 224 DECLARATION of Sharan Nirmul, dated January 11, 2017 in Support re: 175 MOTION to Exclude Expert Opinions and Testimony of Allan W. Kleidon, Ph.D. .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B)(Nirmul, Sharan) (Entered: 01/11/2017)

01/11/2017 225 REPLY re: 213 Rule 56.1 Statement (Redacted). Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC. (Musoff, Scott) (Entered: 01/11/2017)

01/11/2017 226 DECLARATION of Matthew A. Peller in Support re: 181 MOTION for Summary Judgment .. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Tomaino, Michael) (Entered: 01/11/2017)

01/11/2017 227 RULE 56.1 STATEMENT. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 01/11/2017)

01/11/2017 228 REPLY MEMORANDUM OF LAW in Support re: 181 MOTION for Summary Judgment . . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Tomaino, Michael) (Entered: 01/11/2017)



02/02/2017 231 MOTION to Approve Form and Manner of Class Notice . Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Text of Proposed Order)(Zivitz, Andrew) (Entered: 02/02/2017)

02/02/2017 232 JOINT LETTER addressed to Judge Paul A. Crotty from Counsel for all parties dated February 2, 2017 re: Class Notice. Document filed by Dennis Askelson.(Zivitz, Andrew) (Entered: 02/02/2017)

03/13/2017 233 LETTER MOTION for Extension of Time re: Stipulation and Protective Order addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated 3/13/2017. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik

Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 03/13/2017)

03/13/2017 234 ORDER granting 233 Letter Motion for Extension of Time. REMARK: The extension to 4/4/2017 is granted. SO ORDERED. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 03/13/2017)

04/04/2017 235 LETTER MOTION for Extension of Time re: Stipulation and Protective Order addressed to Judge Paul A. Crotty from Scott D. Musoff dated 04/04/2017. Document filed by Banc of America Securities LLC, Barclays Capital Securities Limited, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., UBS Securities LLC, Wachovia Capital Markets, LLC.(Musoff, Scott) (Entered: 04/04/2017)

04/05/2017 236 ORDER granting 235 Letter Motion for Extension of Time. REMARK: Extension to 4/18/2017 is granted. SO ORDERED. (HEREBY ORDERED by Judge Paul A. Crotty)(Text Only Order) (Crotty, Paul) (Entered: 04/05/2017)

04/24/2017 237 ORDER GRANTING LEAD PLAINTIFF'S UNOPPOSED MOTION TO APPROVE THE FORM AND MANNER OF CLASS NOTICE granting 231 Motion to Approve. IT IS HEREBY ORDERED that the Motion is granted. The Court hereby amends the definition of the Class certified by the Order Granting Lead Plaintiffs' Motion for Class Certification dated June 9, 2016 (ECF No. 166) to exclude certain persons and entities. Accordingly, the Class is defined as: All persons or entities who purchased or otherwise acquired American Depositary Shares, Series 5, representing non-cumulative callable, dollar preference shares of Barclays, Series 5, pursuant or traceable to the public offering that commenced on or about April 8, 2008; and as further set forth herein. IT IS SO ORDERED. (Signed by Judge Paul A. Crotty on 4/24/2017) (anc) Modified on 4/26/2017 (anc). (Entered: 04/25/2017)

05/12/2017 238 STIPULATION AND ORDER: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, by and between the undersigned attorneys for the Parties, subject to the approval of the Court, that: 1. The MSJ Documents, which are listed below in paragraph 2, shall no longer be maintained under seal in the Court files; and 2. The Clerk of the Court is directed to unseal the MSJ Documents, as further set forth in this order. (Signed by Judge Paul A. Crotty on 5/12/2017) (ap) (Entered: 05/12/2017)

05/12/2017 Transmission to Sealed Records Clerk. Transmitted re: 238 Stipulation and Order to the Sealed Records Clerk for the sealing or unsealing of document or case. (ap) (Entered: 05/12/2017)

05/12/2017 239 THE BARCLAYS DEFENDANTS' LOCAL RULE 56.1 STATEMENT OF MATERIAL FACTS AS TO WHICH THERE IS NO GENUINE ISSUE TO BE TRIED. This document was previously filed under seal in envelope doc. no. 198. Entry in this case only, as per Chambers. (rjm). (Entered: 05/22/2017)

05/12/2017 240 DECLARATION OF THOMAS C. WHITE. This document was previously filed under seal in envelope doc. no. 198. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 242 PLAINTIFF'S MEMORANDUM OF LAW IN OPPOSITION TO THE BARCLAYS DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 215. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 243 PLAINTIFF'S RESPONSE TO THE BARCLAYS DEFENDANTS' LOCAL RULE 56.1 STATEMENT AND COUNTERSTATEMENT OF ADDITIONAL MATERIAL FACTS. This document was previously filed under seal in envelope doc. no. 215. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 244 PLAINTIFF'S RESPONSE TO UNDERWRITER DEFENDANTS' LOCAL RULE 56.1 STATEMENT; FURTHER STATEMENT OF UNDISPUTED FACTS IN OPPOSITION TO THE UNDERWRITER DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 216. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 245 DECLARATION OF ANDREW J. BROWN IN SUPPORT OF PLAINTIFF'S OPPOSITION TO UNDERWRITER DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 216. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 246 PLAINTIFF'S MEMORANDUM OF LAW IN OPPOSITION TO THE UNDERWRITER DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 216. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 247 THE UNDERWRITER DEFENDANTS' REPLY TO PLAINTIFF'S RESPONSES TO THEIR LOCAL RULE 56.1 STATEMENT AND RESPONSE TO PLAINTIFF'S ADDITIONAL STATEMENT OF FACTS. This document was previously filed under seal in envelope doc. no. 229. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 248 REPLY MEMORANDUM IN FURTHER SUPPORT OF THE BARCLAYS DEFENDANTS MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 230. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/12/2017 249 THE BARCLAYS DEFENDANTS' REPLY AND OBJECTIONS TO "PLAINTIFF'S RESPONSE TO THE BARCLAYS DEFENDANTS' LOCAL RULE 56.1 STATEMENT AND COUNTERSTATEMENT OF ADDITIONAL MATERIAL FACTS." This document was previously filed under seal in envelope doc. no. 230. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/22/2017 241 MEMORANDUM OF LAW IN SUPPORT OF THE BARCLAYS DEFENDANTS' MOTION FOR SUMMARY JUDGMENT. This document was previously filed under seal in envelope doc. no. 198. Entry in this case only, as per Chambers. (rjm) (Entered: 05/22/2017)

05/30/2017 250 MOTION for Menachem David Possick to Withdraw as Attorney . Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman,

Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley.(Tomaino, Michael) (Entered: 05/30/2017)

06/02/2017 251 MEMO ENDORSED ORDER granting 250 Motion to Withdraw as Attorney. ENDORSEMENT: Request granted. SO ORDERED. (Attorney Menachem David Possick terminated.) (Signed by Judge Paul A. Crotty on 6/2/17) (yv) (Entered: 06/02/2017)

06/06/2017 252 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul dated June 6, 2017 re: Class Notice opt-out deadline. Document filed by Dennis Askelson.(Nirmul, Sharan) (Entered: 06/06/2017)

06/27/2017 253 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. dated June 27, 2017 re: 6/21/2017 2d Cir. decision in Stadnick v. Vivint Solar, Inc.. Document filed by Marcus Agius, Barclays Bank PLC, Barclays PLC, David G. Booth, Richard Broadbent, Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, John Silvester Varley. (Attachments: # 1 Exhibit Stadnick v. Vivint Solar, Inc.)(Tomaino, Michael) (Entered: 06/27/2017)

07/05/2017 254 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated July 5, 2017 re: response to defendants' June 27, 2017 letter re 2d Cir. decision in Vivent. Document filed by Dennis Askelson.(Brown, Andrew) (Entered: 07/05/2017)

07/31/2017 255 DECLARATION of Carole K. Sylvester, on Behalf of Gilardi & Co. LLC in Support re: 231 MOTION to Approve Form and Manner of Class Notice .. Document filed by Dennis Askelson. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)(Niehaus, Eric) (Entered: 07/31/2017)

08/01/2017 256 LETTER addressed to Judge Paul A. Crotty from Sharan Nirmul and Andrew J. Brown dated August 1, 2017 re: 7/7/2017 2d Cir. decision in In re Petrobras.. Document filed by Dennis Askelson.(Nirmul, Sharan) (Entered: 08/01/2017)

08/03/2017 257 LETTER addressed to Judge Paul A. Crotty from Michael T. Tomaino, Jr. and Jay B. Kasner dated August 3, 2017 re: Plaintiff's August 1, 2017 Letter. Document filed by Marcus Agius, Banc of America Securities LLC, Barclays Bank PLC, Barclays Capital Securities Limited, Barclays PLC, David G. Booth, Richard Broadbent, Citigroup Global Markets Inc., Richard Leigh Clifford, Fulvio Conti, Daniel Cronje, Dame Sandra J.N. Dawson, Robert Edward Diamond, Jr, Gary A. Hoffman, Andrew Likierman, Christopher Lucas, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Morgan Stanley & Co. Incorporated, RBC Dain Rauscher Inc., Nigel Rudd, Stephen George Russell, Frederik Seegers, John Michael Sunderland, UBS Securities LLC, John Silvester Varley, Wachovia Capital Markets, LLC.(Tomaino, Michael) (Entered: 08/03/2017)

09/13/2017 258 OPINION & ORDER re: 183 MOTION for Summary Judgment . filed by Wachovia Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Citigroup Global Markets Inc., Morgan Stanley & Co. Incorporated, Banc of America Securities LLC, RBC Dain Rauscher Inc., UBS Securities LLC, Barclays Capital Securities Limited, 175 MOTION to Exclude Expert Opinions and

Testimony of Allan W. Kleidon, Ph.D. . filed by Dennis Askelson, 181 MOTION for Summary Judgment . filed by Christopher Lucas, David G. Booth, Richard Leigh Clifford, John Silvester Varley, Barclays Bank PLC, Richard Broadbent, Robert Edward Diamond, Jr., Nigel Rudd, Gary A. Hoffman, Daniel Cronje, Stephen George Russell, Marcus Agius, Dame Sandra J.N. Dawson, Andrew Likierman, Barclays PLC, John Michael Sunderland, Frederik Seegers, Fulvio Conti. The Court GRANTS Barclays' and Underwriters' motions for summary judgment (ECF 181 and ECF 183); and DENIES Plaintiff's motion to exclude expert the opinions of Allan W. Kleidon, Ph.D. (ECF 175). The Clerk of Court is directed to enter judgment in favor of Defendants, terminate all open motions, and close this action. (Signed by Judge Paul A. Crotty on 9/13/2017) (kgo) (Entered: 09/13/2017)

09/13/2017 Transmission to Judgments and Orders Clerk. Transmitted re: 258 Memorandum & Opinion,,,,,, to the Judgments and Orders Clerk. (kgo) (Entered: 09/13/2017)

09/14/2017 259 CLERK'S JUDGMENT: That for the reasons stated in the Court's Opinion and Order dated July 13, 2017, Barclays' and Underwriters' motions for summary judgment is granted and Plaintiff's motion to exclude expert the opinion of Allan W. Kleindon, PhD is denied; judgment is hereby entered in favor of Defendants and this action is closed. (Signed by Clerk of Court Ruby Krajick on 09/14/2017) (Attachments: # 1 Notice of Right to Appeal, # 2 Notice of Right to Appeal)(dt) (Entered: 09/14/2017)

09/14/2017 Terminate Transcript Deadlines (dt) (Entered: 09/14/2017)

Note: Links in this docket are stored in the PACER system (Public Access to Court Electronic Records). PACER is a service of United States Judiciary. To view and retrieve the linked documents from PACER, you must be a registered user. To register, fill out one of the registration forms available on the PACER site. The United States Congress has given the Judicial Conference of the United States, the judicial governing body of the U.S. Federal Courts, authority to impose user fees for electronic access to case information. For more information visit the PACER site at http://pacer.psc.uscourts.gov/pacerdesc.html

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

Documents

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