Date Filed Docket # Case Name Defendant(s) Type of Defendants Claims Notes

Transcription

1 6/11/2009 1:09-md IN RE:, Securities Litigation 12/22/2008 1:08-cv IN RE TREMONT SECURITIES LAW, STATE LAW AND INSURANCE LITIGATION Oppenheimer Acquisition Corporation Harry Hodges RYE Select Broad Market Prime Fund, L.P RYE Select Broad Market Fund, L.P Tremont Partners, Inc Austin Capital Management GP Corporation Austin Capital Management Limited Select Spectrum Partners LLC Gary Busel Ronald Pearson AGH Argus International Life Bermuda Ltd. Tremont International Insurance Limited Tremont Capital Management Inc. Tremont (Bermuda) Ltd. Rye Select Broad Market Insurance Portfolio, LDC Sandra L. Manzke Robert Schulman Massmutual Holding LLC Ernst & Young KPMG Oppenheimerfunds, Inc. of New York Mellon Corporation BNY Alternative Investment Services, Inc. SS&C Technologies Holdings, Inc. SS&C Fund Services FutureSelect Portfolio Management, Inc. Ron Ward s Aiding and Abetting Securities Fraud Multi-District Litigation 1:08-cv :08-cv :08-cv :08-cv :08-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv Member of this litigation: 1:08-cv :08-cv :09-cv :09-cv :09-cv :09-cv :09-cv Consolidated into: 1:09-md December 2, 2009 Page 1

2 12/22/2008 1:08-cv Finkelstein et al v. Tremont Group Holdings lc., et al 12/23/2008 1:08-cv Peshkin et al v. et al Tremont Group Holdings Ernst & Young, LLP Oppenheimer Funds, Inc. KPMG, LLP Auditor Hedge Fund Holding Co. s Auditor Fraudulent Concealment Violations of NY General Business Law Consolidated into 1:08-cv which was added to 1:09-md :08-cv :09-cv :09-cv :09-cv :09-cv Related to: 1:09-cv :09-md /23/2008 1:08-cv Brainson v. Rye Select Broad Market Fund, LP. et al 3/26/2009 1:08-cv Group Defined Pension Plan & Trust v. Tremont Market Neutral Fund, L.P. et al 1/20/2009 1:09-cv Chateau Fiduciaire S.A. v. Argus International Life Bermuda Limited et al Rye Select Broad Market Fund, LP Jim Mitchell Robert Schulman Oppenheimer Funds, Inc. Ernst & Young, LLP John Does Tremont Market Neutral Fund, LP Argus International Life Bermuda Limited Argus Group Holdings Limited Massachusetts Mutual Life Insurance Co. Oppenheimer Acquisition Corporation Rye Select Broad Market Fund L.P. Rye Select Broad Market Insurance Portfolio, LDC Tremont [Bermuda] Limited Tremont Capital Management Inc. Tremont International Insurance Limited Tremont Partners, Inc General Partner Partnership Auditor Insurance Companies s s Exchange Act, 20a Aiding and Abetting 1:08-cv :08-cv :09-cv :09-cv Consolidated into: 1:09-md Consolidated into 1:08-cv which was added to 1:09-md :08-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv Consolidated into: 1:09-md-2052 December 2, 2009 Page 2

3 3/26/2009 1:09-cv Silvers v. et al Rye Select Broad Market Fund, LP Rye Select Broad Market Prime Fund, LP Rye Select Broad Market XL Fund, LP Ernst & Young, LLP KPMG, LLP, Inc. General Partner Exchange Act Fraud s Recission under Advisers Act Consolidated into 1:08-cv which was added to 1:09-md :08-cv :08-cv /19/2009 1:09-cv Keane et al v. et al 2/18/2009 1:09-cv The Geoffrey Rabie Credit Shelter Trust et al v. Argus Group Holdings Ltd et al Robert Ivan Schulman Rupert Andrew Allen Cynthia J. Nicoll Stephen Thomas Clayton MassMutual Holdings, LLC Select Spectrum Partners, LLC Gary Busel Ronald Pearson KPMG, LLP BDO Seidman, LLP Argus Group Holdings Ltd. Argus International Life Bermuda Ltd. MassMutual Holding LLC Massachusetts Mutual Life Insurance Company Rye Select Broad Market Fund, L.P. Rye Select Broad Market Insurance Portfolio LDC Tremont (Bermuda) Ltd. Tremont Capital Management Tremont International Insurance Ltd. Ernst & Young LLP Independent Accountant Insurance Companies s s s Accountants No Complaint Available Aiding and Abetting New York General Business Law 349 Gross Negligence Promissory Estoppel Injunctive Relief Consolidated into 1:08-cv which was added to 1:09-md which was added to 1:09- md December 2, 2009 Page 3

4 3/11/2009 1:09-cv The Harriet Rutter Klein Revocable Trust v. Argus International Life Bermuda Limited et al 3/11/2009 1:09-cv The Matthew L. Klein Irrevocable Family Trust v. Argus International Life Bermuda Limited et al Argus International Life Bermuda Limited Argus Group Holdings Limited Massachusetts Mutual Life Insurance Co. Oppenheimer Acquisition Corporation Rye Select Broad Market Fund L.P. Rye Select Broad Market Insurance Portfolio, LDC Tremont [Bermuda] Limited Tremont Capital Management, Inc. Tremont International Insurance Limited Ernst & Young LLP KMPG LLP Argus International Life Bermuda Limited Argus Group Holdings Limited Massachusetts Mutual Life Insurance Co. Oppenheimer Acquisition Corporation Rye Select Broad Market Fund L.P. Rye Select Broad Market Insurance Portfolio, LDC Tremont [Bermuda] Limited Tremont Capital Management, Inc. Tremont International Insurance Limited Ernst & Young LLP KMPG LLP 4/1/2009 1:09-cv Prickett v. Massachusetts Holding LLC et al Massachusetts Holding, LLC New York Life Insurance Co. New York Life Insurance & Annuity Co. Rye Select Broad Market Prime Fund, LP Rye Select Broad Market XL Fund, LP Rye Select Broad Market Insurance Portfolio, LDC Tremont Capital Management, Inc. Tremont Opportunity Fund III, LP Tremont (Bermuda), Ltd. Insurance Companies Investment Companies s s s Insurance Companies Investment Companies s s s Insurance Company Fund Administrator Aiding and Abetting Aiding and Abetting Aiding and Abetting Breach of Implied Covenant of Good Faith and Fair Dealing which was added to 1:09- md which was added to 1:09- md which was added to 1:09- md December 2, 2009 Page 4

5 6/11/2009 1:09-cv William Kretschmar Revocable Trust, et al. v. Rye Select Broad Market Fund, L.P., et al. Stephen Thomas Clayton General Partner Lynn O. Keeshan Hedge Funds Rupert Andrew Allan Harry Hodges Rye Select Broad Market Fund, L.P. MassMutual Holding LLC Massachusetts Mutual Life Insurance Company Robert Ivan Schulman s s Breach of Duty of Good Faith and Fair Dealing Originally filed in D.Mass. 09-cv /11/2009 1:09-cv Madelyn Haines, et al. v. Massachusetts Mutual Life Insurance Co., et al. Massachusetts Mutual Life Insurance Company Mass Mutual Holding Company Mass Mutual Holding Trust I Oppenheimer Acquisition Corp OppenheimerFunds, Inc. Robert I. Schulman Cynthia J. Nicoll Sandra Manzke John V. Murphy Rupert A. Allan Robert I. Schulman Cynthia J. Nicoll General Partner s s Aiding and Abetting Originally filed in D.Mass. 09-cv /8/2009 1:09-cv Family Swimmers LP v. Rye Select Broad Market Prime Fund, L.P., et al. Rye Select Broad Market Prime Fund L.P. General Partner Massmutal Holdings LLC Massachusetts Mutual Life Insurance Company Stephen T.Clayton Rupert A. Allan Suzanne Hammond Harry Hodges Lynn O. Keeshan Sandra Manzke Robert I. Schulman s s Breach of Duty of Good Faith and Fair Dealing Massachusetts Consumer Protection Act Massachusetts Uniform Securities Act Originally filed in D.Mass. 09-cv December 2, 2009 Page 5

6 10/8/2009 1:09-cv Rothschild v. Rye Select Broad Market XL Fund, L.P., et al. 4/10/2009 1:09-cv Meridian Horizon Fund, LP et al v. Tremont Group Holdings, Inc. et al 8/3/2009 1:09-cv The Lugano Trust et al v. Tremont Capital Management, Inc. et al 8/13/2009 1:09-md IN RE: Austin Capital Management, Ltd., Securities & Employee Retirement Income Security Act (ERISA) Litigation 12/23/2008 1:08-cv Peshkin et al v. et al Rye Select Broad Market XL Fund, L.P. Massmutual Holdings LLC Massachusetts Mutual Life Insurance Company BNY Alternative Investment Services of New York Mellon Rupert A. Allan Stephen T. Clayton Harry Hodges Lynn O. Keeshan Patrick Kelly Stuart Pologe Robert I. Schulman Tremont (Bermuda), Ltd. KPMG (Cayman) KPMG, LLP Tremont Capital Management, Inc. Tremont (Bermuda), Ltd., Inc. KPMG, LLP of New York Mellon Sandra L. Manzke Robert Schulman SHL Capital, Ltd. Ernst & Young, LLP Austin Capital Management GP Corp Austin Capital Management, Ltd Brent A. Martin James P. Owen Charles W. Riley The Board of Trustees of the Texas Iron Worker' Pension Fund The Texas Iron Workers' Pension Fund Oppenheimer Funds, Inc. KPMG, LLP s s Investment Adminstrators General Partner Investment Subadvisor Auditor Fund Administrator Officers Auditor Pension Funds Hedge Fund Holding Co. s Auditor Breach of Duty of Good Faith and Fair Dealing Massachusetts Consumer Protection Act Massachusetts Uniform Securities Act Fraud Negligence Aiding and Abetting 15:78m(a) Securities Exchange Act Fraudulent Concealment Violations of NY General Business Law Originally filed in D.Mass. 09-cv Consolidated into 1:08-cv which was added to 1:09- md Multi-District Litigation 1:08-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv Related to: 1:09-cv :09-md *Also membero of MDL 2052 December 2, 2009 Page 6

7 3/18/2009 1:09-cv Laborers Local 17 Pension Plan et al v. et al 4/8/2009 1:09-cv Construction Industry and Laborers Joint Pension Trust et al v. Austin Capital Management, Ltd. et al 8/13/2009 1:09-cv Pension Fund for Hospital & Health Care Employees - Philadelphia & Vicinity, et al. v. Austin Capital Management, Ltd. 8/13/2009 1:09-cv Austin Capital Management, Ltd. v. The Board of Trustees of the Texas Iron Workers' Pension Fund, et al. Oppenheimer Funds, Inc. Robert I. Schulman Jim Mitchell John V. Murphy KPMG, LLP of New York Mellon Corp BNY Alternative Investment Services, Inc. Austin Capital Management, Ltd. Austin Capital Management GP Corporation Rye Select Broad Market Fund, LP Rye Select Broad Market Prime Fund, LP Rye Select Broad Market XL Fund, LP Austin Capital Safe Harbor ERISA Dedicated Fund Austin Capital Sate Harbor Master Account, Austin Capital Management Ltd. Rothstein Kass & Company P.L.L.C. Rothstein Kass & Co. (Cayman) Charles W. Riley Brent A. Martin James P. Owen Robert Wagner David C. Brown David E. Friedman Hedge Fund Officer & Director Auditor Fund Administrator ERISA Violations Malpractice and Professional Negligence 1933 Act, 12(a)(2) s under ERISA Negligence Austin Capital Management, Ltd. Originally filed in E.D. Penn. Consolidated into 1-09-md- The Board of Trustees of the Texas Ironworkers Fund The Texas Ironworkers Pension Fund Employee Benefit Pension Plan Fund Administrators Declaratory Judgment Attorneys Fees Originally filed in W.D. Tex. Consolidated into 1-09-md /2/2009 1:09-cv Board of Trustees, Steamfitters Local 449 Retirement Security Fund, et al. v. Austin Capital Management, Ltd., et al. Austin Capital Management, Ltd. Austin Capital Management Gp Corp. Victory Capital Management KeyCorp Charles W. Riley James P. Owen Brent A. Martin David C. Brown Robert L. Wagner s Liability under ERISA of Non-Fiduciary Entities, Officers and Directors Originally filed in E.D. Penn. Consolidated into 1-09-md December 2, 2009 Page 7

8 9/14/2009 1:09-cv Laborers' District Council of Western PA. Pension Fund, et al. v. Austin Capital Management Ltd., et al. 8/12/2009 1:09-md IN RE: Meridian Funds Group Securities & Employee Retirement Income Security Act (ERISA) Litigation 4/20/2009 1:09-cv Pension Fund Trust For Operating Engineers v. Meridian Diversified Fund Management, LLC et al Austin Capital Management, Ltd. Austin Capital Management Gp Corp. Victory Capital Management KeyCorp Charles W. Riley James P. Owen Brent A. Martin David C. Brown Robert L. Wagner Meridian Diversified ERISA Fund, Ltd. Meridian Diversified Fund, Ltd. Peter M. Brown John L. Sica Timothy M. Hickey Robert J. Murphy Howard B. Fischer Laura K. Smith Peter M. Brown Does Meridian Diversified Fund Management, LLC Meridian Capital Partners, Inc. William H. Lawrence Donald J. Halldin s Liability under ERISA of Non-Fiduciary Entities, Officers and Directors 15:78m(a) Securities Exchange Act Violation 10(b) of the 1934 Act and Rule 10b-5 Violation 20(a) of the 1934 Act Violation of 12(a)(2) of the 1933 Act Breach of Fiduciary Duties and/or Aiding and Abetting Breaches of Fiduciary Duty Under New York Law Under ERISA Negligence Breaches of Contract Multi-District Litigation 1:09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv /12/2009 1:09-cv B.A.C. Local No. 3 Pension Trust Fund, et al. v. Meridian Capital Partners, Inc., et al. 8/12/2009 1:09-cv The R.W. Grand Lodge of Free & Accepted Masons of Pennsylvania v. Meridian Capital Partners, Inc., et al. Meridian Diversified ERISA Fund, Ltd. Meridian Capital Partners, Inc. Meridian Capital Partners, Inc. Meridian Diversified Fund, Ltd. Meridian Diversified Fund Management, Ltd. William H. Lawrence Ernst & Young LLP Investment Fund Violation of Section 10(b) of the Securities Exchange Act and Rule 10b-5 Violation of Section 20(a) of the Exchange Act Fraud in the Inducement Misrepresentation Negligence Aiding and Abetting Conspiracy Violations of and of the Pennsylvania Securities Act of :09-cv :09-cv :09-cv Originally filed in E.D. Penn. 1:09-cv :09-cv :09-cv /12/2009 1:09-cv Maritime Association - I.L.A. Pension Fund v. Meridian Capital Partners, Inc., et al. Meridian Capital Partners, Inc. Meridian Diversified Fund Management, LLC s Under ERISA Originally filed in S.D. Tex. 1:09-cv :09-cv :09-cv December 2, 2009 Page 8

9 10/6/2009 1:09-md- IN RE: Fairfield Greenwich Group Securities Litigation Fairfield Greenwich Group 1/7/2009 1:09-cv Anwar et al v. Fairfield Greenwich Limited et al Fairfield Greenwich Group Fairfield Greenwich Limited Fairfield Greenwich (Bermuda), Ltd. Fairfield Greenwich Advisors, LLC Walter M. Noel, Jr. Andres Piedrahita Jeffrey Tucker Brian Francouer Amit Vijayvergiya 10/6/2009 1:09-cv Headway Investment Corp. v. American Express Ltd. American Express Ltd. d/b/a Standard Chartered Private a/k/a Standard Chartered International (Americas) Limited Standard Chartered Fairfield Greenwich Group Fairfield Greenwich Limited Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Advisors LLC PricewaterhouseCoopers LLP Citgo Fund Services (Europe) B.V./ John G Dutkowski Robert Friedman Carlos Gadala-Maria Raul N Mas Walter M Noel, JR Rodolfo Pages Samuel PerruchoudAndres Piedrahita Jeffrey H Tucker Amit Vijayvergiya s Investment Management Funds Administrator Negligence Negligence Multi-District Litigation 1:09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv :09-cv Originally filed in S.D. Fla. 1:09-cv December 2, 2009 Page 9

10 1/8/2009 1:09-cv Pacific West Health Medical Center Inc. Employees Retirement Trust et al v. Fairfield Greenwich Group et al Fairfield Greenwich Group Fairfield Greenwich Limited Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Advisors LLC Walter M. Noel Jr Andres Piedrahita Jeffrey Tucker Brian Francouer Amit Vijvergiya Yanko Dellaw Schiava Philip Toub Lourdes Barreneche Cornelis Boele Matthew C. Brown Vianney D'hendecourt Harold Greisman Jacqueline Harary David Horn Richard Landsberger David Lipton Julia Luongo Mark Mckeefry Maria Teresa Pulido Mendozo Charles Murphy Santiago Reyes Andrew Smith Placement Agent Gross Negligence Imposition of Constructive Trust Order of Conveyance Mutual Mistake 3rd Party Beneficiary Claim for Promissory Estoppel 1:09-cv /12/2009 1:09-cv Inter-American Trust et al v. Fairfield Greenwich Group et al Fairfield Greenwich Group Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Limited Fairfield Greenwich Advisors LLC Fairfield Risk Services Ltd. CITGO Netherland N.V. Dublin Branch CITGO Fund Services (Europe) B.V. Walter Noel Jeffrey H. Tucker Andrew Piedrahita Placement Agent Fund Administrator Recission Under the s Act, 15 USC 80-1(b) et. seq. Gross Negligence Imposition of Constructive Trust Accounting Recission Third Party Beneficiary Claim for Negligence Related case: 1:09-cv December 2, 2009 Page 10

11 3/10/2009 1:09-cv Laor et al v. Fairfield Greenwich Group et al Fairfield Greenwich Group Fairfield Greenwich Limited Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Advisors LLC Fairfield Risk Services Ltd. Walter Noel, Jr. Jeffrey H. Tucker Andres Piedrahita Fund Management Recission Under the s Act, 15 USC 80-1(b) et. seq /11/2009 1:09-cv The Knight Services Holdings Limited et al v. Farifield Sentry Limited et al Fairfield Sentry Limited Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Limited Fairfield Greenwich Group PricewaterhouseCoopers Jeffrey Tucker Citco Fund Services [Europe] B.V. Citco Global Custody N.V. Andres Piedrahita Jan Naess Peter P. Schmid Amit Vijahyvergiya Walter M. Noel, Jr. 3/13/2009 1:09-cv Ferber v. Fairfield Greenwich Corp. et al Fairfield Greenwich Group Fairfield Greenwich Limited Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Advisors LLC Globeop Financial Services LLC Citgo Fund Services (Europe)BV Citgo (Canada) Inc. PricewaterhouseCoopers, LLC Pricewaterhouse Coopers Accountants NV/ Greenwich Sentry L.P,.Nominal Defendant Jeffery Tucker Andres Piedrahita Brian Francouer Amit Vijayvergiya Fund Placement Agent and Accountants Violation of 10(b) of the Exchange Act and Rule 10(b)-5 of the Securities and Exchange Commission Violation of 20(a) of the Exchange Act Grossly Negligent, Wilful, and Reckless Breach of Fiduciary Duties Aiding and Abetting Breach of Fiduciary Duties Professional Negligence (Malpractice) Accounting December 2, 2009 Page 11

12 3/16/2009 1:09-cv Bhatia et al v. Standard Chartered International (USA) Ltd et al Standard Chartered International USA (Ltd.) Standard Chartered PLC Fairfield Greenwich Group Fairfield Greenwich Limited Fairfield Greenwich (Bermuda) Ltd Fairfield Greenwich Advisors LLC Fairfield Sentry Ltd. Walter M. Noel, Jr. Jeffery Tucker Andres Piedrahita Brian Francouer Amit Vijayvergiya Peter Schmid Jan Naess 3/20/2009 1:09-cv Pierce et al v. Fairfield Greenwich Group et al Fairfield Greenwich Group Fairfield Greenwich (Bermuda) Ltd Fairfield Greenwich Advisors LLC Globeop Financial Services Citgo Fund Services (Europe)BV Citgo (Canada) Inc Walter M. Noel, Jr. Jeffery Tucker Andres Piedrahita Brian Francouer Amit Vijayvergiya PricewaterhouseCoopers LLP/Greenwich Sentry Partners, L.P., Nominal Defendant 4/23/2009 1:09-cv Zohar et al v. Fairfield Greenwich Group et al Fairfield Greenwich Group Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Advisors LLC Fairfield Sentry Limited Citgo Nederland N.V. Dublin Branch Citgo Global Custody N.V. Citgo Fund Services (Europe) B.V. PricewaterhouseCoopers International Limited PricewaterhouseCoopers LLP (US) PricewaterhouseCoopers Bermuda PricewaterhouseCoopers Accountants PricewaterhouseCoopers LLP Chartered Accountants Walter M. Noel, Jr. Jeffery Tucker Andres Piedrahita Brian Francouer Amit Vijayvergiya Fund Management General Partner Fund Administrator and Accountant General Partner Feeder Fund Fund Administrator and Accountant Violation of 10(b) of the Exchange Act and Rule 10(b)-5 of the Securities and Exchange Commission Violation of 20(a) of the Exchange Act Recission Under the s Act, 15 USC 80-1(b) et. seq. Gross Negligence and Constructive Trust Specific Performance Claim Conversion Grossly Negligent, Wilful, and Reckless Breach of Fiduciary Duties Aiding and Abetting Breach of Fiduciary Duties Professional Negligence (Malpractice) Accounting Grossly Negligent, Wilful, and Reckless Breach of Fiduciary Duties Aiding and Abetting Breach of Fiduciary Duties Professional Negligence (Malpractice) Accounting December 2, 2009 Page 12

13 6/19/2009 1:09-cv Fairfield Sentry Ltd. v. Fairfield Greenwich Group et al Fairfield Greenwich Group Fairfield Greenwich Limited Fairfield Greenwich (Bermuda) Ltd. Fairfield Greenwich Advisors LLC Fairfield Risk Services Ltd. CITGO Fund Services (Europe) BV CITGO Netherland N.V. Dublin Branch CITGO Global Custody N.V. PricewaterhouseCoopers, LLP PricewaterhouseCoopers Accountants N.V. PricewaterhouseCoopers International Limited Fairfield Sentry Limited Nominal Defendant Andres Piedrahita Jan Naess Peter P. Schmid Amit Vijahyvergiya Walter M. Noel, Jr. Jeffrey Tucker Brian Francoeur Feeder Fund Fund Management and Accountant Placement Agent Grossly Negligent, Wilful, and Reckless Breach of Fiduciary Duties Aiding and Abetting Breach of Fiduciary Duties Professional Negligence (Malpractice) Accounting /16/2008 1:08-cv In re J. EZRA MERKIN AND GABRIEL CAPITAL CORP. LITIGATION Ascot Partners, LP J. Ezra Merkin BDO Seidman, LLP 12/16/2008 1:08-cv Berrie et al v. Gabriel Capital, L.P. et al Gabriel Capital, LP J. Ezra Merkin BDO Seidman, LLP 3/4/2009 1:09-cv Nephrology Associates, PC Pension Plan v. Ariel Fund Ltd. et al Ariel Fund, Ltd. Gabriel Capital Corp. J. Ezra Merkin Fortis (Cayman), Ltd. Fortis Prime Solutions (Cayman), Ltd. Fortis BDO Tortuga BDO International General Partner General Partner Exchange Act Fraud Exchange Act Fraud Fraudulent Concealment Gross Negligence and Mismanagement Aiding and Abetting Lead case; filed as New York Law School v. Ascot Partners, LP, J. Ezra Merkin, and BDO Seidman, LLP 1:08-cv :09-cv :09-cv Consolidated into 1:08-cv :09-cv :09-cv Consolidated into 1:08-cv :08-cv :09-cv :09-cv /24/2009 1:09-cv Equal Investments Limited v. Merkin et al J. Ezra Merkin Gabriel Capital Corp. General Partner Consolidated into 1:08-cv :08-cv :09-cv :09-cv December 2, 2009 Page 13

14 5/7/2009 1:09-cv Finkelstein v. Ariel Fund Ltd. et al Ariel Fund, Ltd. Gabriel Capital Corp. J. Ezra Merkin Fortis (Cayman), Ltd. Fortis Prime Solutions (Cayman), Ltd. Fortis BDO Tortuga BDO International 12/23/2008 1:08-cv Newman et al v. Family Management Corporation et al Family Management Corp. Seymour Zises Andrea Tessler Andover Associates, LLC Beacon Associates, LLC Beacon Associates Management Corp. Beacon/Andover Group Maxam Absolute Return Fund, LP Maxam Capital Management, LLC Fulvio & Associates, LLC I 2/11/2009 1:09-cv IN RE: Beacon Associates Litigation Beacon Associates Management Corp. Joel Danziger Harris Markhoff Ivy Asset Management Corp. The of New York Mellon Corp. Friedberg Smith & Co., PC John Does Beacon Associates, LLC I 2/19/2009 1:09-cv Wolff Living Trust et al v. FM Multi-Strategy Investment Fund, L.P. et al FM Multi-Strategy Investment Fund, LP Family Management Corp. Seymour Zises Andrea Tessler Fulvio & Associates Feeder Funds Fraudulent Concealment Gross Negligence and Mismanagement Aiding and Abetting Professional Malpractice Gross Negligence and Mismanagement Derivative on behalf of Funds Investment Fund Fraud s Fund Administrator Gross Negligence and Mismanagement Aiding and Abetting Derivative Claims for above on behalf of Fund Investment Fund Aiding and Abetting Consolidated into 1:08-cv :08-cv :09-cv :09-cv Related to: 1:09-cv :09-cv :09-cv :09-cv :09-cv :09-cv Related to: 1:08-cv :09-cv :09-cv Related to: 1:08-cv December 2, 2009 Page 14

15 5/8/2009 1:09-cv Towsley et al v. Beacon Associates Management Corp. et al 6/5/2009 1:09-cv Ferrini et al v. Family Management Corporation et al 3/16/2009 1:09-cv Raubvogel et al v. Beacon Associates LLC I et al 4/2/2009 1:09-cv Plumbers Local 112 Health Fund v. Beacon Associates Management Corp. et al 8/5/2009 1:09-cv Beacon Associates Management Corp. v. Beacon Associates LLC I Beacon Associates Management Corp. Joel Danziger, Esq. Harris Markhoff, Esq. Ivy Asset Management LLC Beacon Associates LLC I Beacon Associates LLC II Lawrence Simon Howard Wohl Adam Geiger Jeffrey R. Lindenbaum John D. Rogers Sean D. Simon Kevin J. Bannon Steven Pisarkiewicz Robert Meschi Susan Rabinowitz Michael Singer Alan Chuang Gregory Van Inwegen Sean Cumiskey Stuart Davies Peter Rose Joseph Burns Mark Santero Peter D. Noris Farzine Hachemian Scott E. Wennerholm Jonathan Little Ronald P. O'Hanley Family Management Corp. Seymour Zises Andrea Tessler Maxam Absolute Return Fund, LP Maxam Capital Management, LLC Beacon Associates, LLC I Beacon Associates Management Corp. Beacon Associates, LLC I Beacon Associates Management Corp. Ivy Asset Management Esq. Joel Danziger Harris Markhoff of New York Mellon Corp Friedberg & Smith Co., P.C. Beacon Associates Management Corp. Esq. Joel Danziger Esq. Harris Markhoff Ivy Asset Management Corporation Beacon Associates, LLC I Beacon Associates Management Corp. Joel Danziger Harris Markhoff Employee Benefit Plan Investment Companies s Feeder Funds Officer and Director Auditor Officers ERISA Co-Fiduciary Liability Exchange Act Gross Negligence and Mismanagement Aiding and Abetting Related to: 1:08-cv :09-cv Related to: 1:08-cv Fund Manager Declaratory Judgment December 2, 2009 Page 15

16 1/12/2009 1:09-cv In re Herald, Primeo and Thema Funds Securities Litigation Herald USA Fund Herald Luxemburg Fund Austria Creditanstalt Unicredit S.A. Primeo Select Funds Pioneer Alternative Investments Thema International Fund PLC Ernst & Young LLP HSBC Holdings plc Bernard L. Madoff Bernard L. Madoff Investment Securities Medici S.A. Sonja Kohn Peter Scheithauer Feeder Funds Investment Funds s Independent Accountants Auditors Related case: 1:09-cv /5/2009 1:09-cv Leonhardt v. Madoff et al Bernard L Madoff Medici Sonja Kohn Peter Scheithauer Herald USA Fund Herald Luxemburg Fund Austria Creditanstalt Unicredit S.A. Primeo Select Fund Primeo Executive Fund Pioneer Alternative Investment Thema International Fund PLC Ernst & Young SA Ernst & Young Global Ltd. HSBC Holdings Plc HSBC Institutional Trust Services (Ireland) Ltd. HSBC Securities Services (Ireland) Ltd. HSBC Securities Services S.A. PricewaterhouseCoopers Chartered Accountants PricewaterhouseCoopers International Limited Friehling & Horowitz 4/17/2009 1:09-cv In re: J.P. Jeanneret Associates, Inc. et al. J.P. Jeanneret Associates, Inc. John P. Jeanneret Paul L. Perry Ivy Asset Management Corporation of New York Mellon Corporation Margolin, Winer & Evens LLP Feeder Funds Related case: 1:09-cv :09-cv :09-cv :09-cv December 2, 2009 Page 16

17 8/31/2009 1:09-cv Plumbers & Steamfitters Local 267 Pension Fund et al v. J.P. Jeanneret Associates, Inc. et al J.P. Jeanneret Associates, Inc. John P. Jeanneret Paul L. Perry Ivy Asset Management LLC Lawrence Simon Howard Wohl Adam L. Geiger Jeffrey R. Lindenbaum John D. Rogers Sean C. Simon Kevin J. Bannon Steven Pisarkiewicz Robert Meschi Susan Rabinowitz Michael Singer Alan Chuang Peter Rose Joseph Burns Mark Santero Peter D. Noris Farzine Hachemian Scott E. Wennerholm Jonathan Little Ronald P. O'Hanley of New York Mellon Corporation Feeder Fund Breach of Duty of Loyalty Fraud Aiding and Abetting Fraud Gross Negligence and Mismanagement Aiding and Abetting Recission under s Act 1:09-cv :09-cv :09-cv December 2, 2009 Page 17

18 9/29/2009 1:09-cv Hartman et al v. Ivy Asset Management L.L.C. et al 10/2/2009 1:09-cv Board of Trustees of The Buffalo Laborers Security Fund et al v. J.P. Jeanneret Associates, Inc. et al Ivy Asset Management, LLC of New York Mellon Corp. J.P. Jeanneret Associates, Inc. Income-Plus Investment Fund John P. Jeanneret Paul Perry Lawrence Simon Howard Wohl Adam Geiger Jeffrey Lindenbaum John Rogers Sean Simon Kevin Bannon Steven Pisarkiewicz Robert Meschi Susan Rabinowitz Michael Singer Alan Chuang Gregory Van Inwegen Sean Cumiskey Stuart Davies Peter Rose Joseph Burns Mark Santero Peter Noris Farzine Hachemian Colleen Baldwin Glenn Cummins Ivy Manager Approval Committee Ivy Investment Committee Ivy Strategic Operating Committee J.P. Jeanneret Associates, Inc. John P. Jeanneret Paul L. Perry Ivy Asset Management Corp. s ERISA Officers Breach of Duty of Loyalty Administrators Imprudent Investment of Plan Assets Management Failure to Act in Accordance with Plan Committee Prohibited Transaction Prohibition Cofiduciary Liability Disgorgement of Profits Injunctive Relief ERISA Breach of Fiduciary Duties 1:09-cv :09-cv :09-cv :09-cv :09-cv :09-cv December 2, 2009 Page 18