U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:09-cv SHS. Parties and Attorneys

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1 US District Court Civil Docket as of 05/07/2009 Retrieved from the court on Monday, May 11, 2009 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:09-cv SHS Chen et al v. CitiGroup, Inc. et al Date Filed: Mar. 16, 2009 Nature of suit: 850 Securities/Commodities Assigned to: Judge Sidney H. Stein Cause: 15:78m(a) Securities Exchange Act Jurisdiction: Federal Question Jury demand: Lead case: 1:08-cv SHS Member cases: 1:08-cv SHS 1:09-cv SHS 1:09-cv SHS Related cases: 1:07-cv SHS Jen Chen Individually Parties and Attorneys Attorneys and Firms Darren J. Robbins Coughlin Stoia Geller Rudman & Robbins LLP 655 West Broadway, Suite 1900 San Diego, CA (619) Fax: (619) Matthew Montgomery Coughlin Stoia, Geller, Rudman & Robbins, LLP(SANDIEGO) 655 West Broadway Suite 1900 San Diego, CA (619) Fax: (619)

2 Samuel Howard Rudman Coughlin Stoia Geller Rudman & Robbins, LLP (LI) 58 South Service Road Suite 200 Melville, NY (631) Fax: (631) Jen Chen and on behalf of all others similarly situated Attorneys and Firms Darren J. Robbins Matthew Montgomery Samuel Howard Rudman CitiGroup, Inc. Sir Win Bischoff Vikram S. Pandit Gary L. Crittenden Charles O. Prince, III Sallie L. Krawcheck

3 John C. Gerspach Sanford I. Weill C. Michael Armstrong Alain J.P. Belda George David Kenneth T. Derr John M. Deutch Roberto Hernandez Ramirez Ann Dibble Jordan Klaus Kleinfeld Andrew N. Liveris Dudley C. Mecum Anne M. Mulcahy Richard D. Parsons

4 Dr. Judith Rodin Robert E. Rubin Franklin A. Thomas Saul Rosen Citigroup Global Markets, Inc. Merrill Lynch, Pierce, Fenner & Smith Incorporated Morgan Stanley & Co. Incorporated UBS Securities, LLC Wachovia Capital Markets, LLC Banc of America Securities, LLC RBC Capital Markets Corporation KPMG, LLP Docket ProceedingsReverse Proceedings Req # Filed # Docket Text MANUALLY-COLLECTED COMPLAINT 1 Mar. 16, COMPLAINT against Win Bischoff, Vikram S. Pandit, Gary L. Crittenden, Charles O. Prince, III, Sallie L. Krawcheck, John C. Gerspach, Sanford I. Weill, C. Michael Armstrong, Alain J.P. Belda, George David, Kenneth T.

5 Req # Filed # Docket Text Derr, John M. Deutch, Roberto Hernandez Ramirez, Ann Dibble Jordan, Klaus Kleinfeld, Andrew N. Liveris, Dudley C. Mecum, Anne M. Mulcahy, Richard D. Parsons, Judith Rodin, Robert E. Rubin, Franklin A. Thomas, Saul Rosen, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities, LLC, Wachovia Capital Markets, LLC, Banc of America Securities, LLC, RBC Capital Markets Corporation, KPMG, LLP, CitiGroup, Inc.. (Filing Fee $ , Receipt Number )Document filed by Jen Chen(Individually), Jen Chen(and on behalf of all others similarly situated).(tro) (Entered: 03/18/2009) 2 Mar. 16, 2009 SUMMONS ISSUED as to Win Bischoff, Vikram S. Pandit, Gary L. Crittenden, Charles O. Prince, III, Sallie L. Krawcheck, John C. Gerspach, Sanford I. Weill, C. Michael Armstrong, Alain J.P. Belda, George David, Kenneth T. Derr, John M. Deutch, Roberto Hernandez Ramirez, Ann Dibble Jordan, Klaus Kleinfeld, Andrew N. Liveris, Dudley C. Mecum, Anne M. Mulcahy, Richard D. Parsons, Judith Rodin, Robert E. Rubin, Franklin A. Thomas, Saul Rosen, Citigroup Global Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, UBS Securities, LLC, Wachovia Capital Markets, LLC, Banc of America Securities, LLC, RBC Capital Markets Corporation, KPMG, LLP, CitiGroup, Inc. (tro) (Entered: 03/18/2009) 3 Mar. 16, 2009 CASE REFERRED TO Judge Sidney H. Stein as possibly related to 1:07- cv (tro) (Entered: 03/18/2009) 4 Mar. 16, 2009 Case Designated ECF. (tro) (Entered: 03/18/2009) 5 Mar. 18, 2009 ***NOTE TO ATTORNEY TO PDF. Note to Attorney Darren J. Robbins, Matthew Montgomery or Samuel Howard Rudman for noncompliance with Section (14.3) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. the PDF for Document 1 Complaint, to: case_openings@nysd.uscourts.gov. (tro) (Entered: 03/18/2009) 6 Apr. 03, 2009 CASE ACCEPTED AS RELATED. Create association to 1:07-cv SHS. Notice of Assignment to follow. (ama) (Entered: 04/06/2009) 7 Apr. 03, NOTICE OF CASE ASSIGNMENT to Judge Sidney H. Stein. (ama) (Entered: 04/06/2009) 8 Apr. 03, 2009 Magistrate Judge Frank Maas is so designated. (ama) (Entered: 04/06/2009) 9 May 07, 2009 CONSOLIDATED MEMBER CASE: Create association to 1:08-cv SHS. (js) (Entered: 05/07/2009) 10 May 07, ORDER: THEREFORE, IT IS HEREBY ORDERED as follows: 1. The Buckingham and Chen Actions shall be consolidated with the Bond Action for all purposes, and shall be subject to the authority of Lead s and Lead Counsel in the Consolidated Action. All documents in these actions shall be filed in the Master File and noted on the Master Docket. No further docket entries need to be made. So Ordered. (Signed by Judge Sidney H. Stein on 5/7/09) Filed In Associated Cases: 1:08-cv SHS, 1:09-cv SHS, 1:09-cv SHS(js) (Entered: 05/07/2009)