U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:12-cv RWS

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1 US District Court Civil Docket as of August 20, 2012 Retrieved from the court on September 25, 2012 U.S. District Court Southern District of New York (Foley Square) CIVIL DOCKET FOR CASE #: 1:12-cv RWS First New York Securities LLC et al v. Nasdaq OMX Group Inc. Date Filed: 07/23/2012 et al Jury Demand: Plaintiff Assigned to: Judge Robert W. Sweet Nature of Suit: 850 Related Case: 1:12-cv RWS Securities/Commodities Cause: 15:78m(a) Securities Exchange Act Jurisdiction: Federal Question Plaintiff First New York Securities LLC represented by Andrew J Entwistle Entwistle & Cappucci LLP (NYC) 280 Park Avenue 26th Floor West Fax: aentwistle@entwistle-law.com Jordan Abraham Cortez Entwistle & Cappucci LLP (NYC) 280 Park Avenue 26th Floor West (212) Fax: (212) jcortez@entwistle-law.com 280 Park Avenue 26th Floor West (212) Fax: (212) PRO HAC VICE Robert N Cappucci Entwistle & Cappucci LLP(NJ) 30 Columbia Turnpike Florham Park, NJ 07932

2 Fax: Vincent Roger Cappucci Entwistle & Cappucci LLP (NYC) 280 Park Avenue 26th Floor West (212) Fax: (212) Plaintiff T3 Trading Group LLC represented by Andrew J Entwistle Jordan Abraham Cortez PRO HAC VICE Robert N Cappucci Vincent Roger Cappucci Plaintiff Avatar Securities LLC represented by Andrew J Entwistle Jordan Abraham Cortez

3 PRO HAC VICE Robert N Cappucci Vincent Roger Cappucci V. Defendant Nasdaq OMX Group Inc. Defendant The NASDAQ Stock Market LLC. Date Filed # Docket Text 07/23/ COMPLAINT against Nasdaq OMX Group Inc., The NASDAQ Stock Market LLC. (Filing Fee $ , Receipt Number )Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC.(js) (Additional attachment(s) added on 8/1/2012: # 1 Part 2, # 2 Part 3, # 3 Part 4) (js). (Entered: 07/31/2012) 07/23/ /23/ /23/ SUMMONS ISSUED as to Nasdaq OMX Group Inc., The NASDAQ Stock Market LLC. (js) (Entered: 07/31/2012) CASE REFERRED TO Judge Robert W. Sweet as possibly related to 12-cv (js) (Entered: 07/31/2012) STANDING ORDER IN RE PILOT PROJECT REGARDING CASE MANAGEMENT TECHNIQUES FOR COMPLEX CIVIL CASES IN THE SOUTHERN DISTRICT OF NEW YORK (See M Order filed November 1, 2011). This case is hereby designated for inclusion in the Pilot Project Regarding Case Management Techniques for Complex Civil Cases in the Southern District of New York (the Pilot Project), unless the judge to whom this case is assigned determines otherwise. This case is designated for inclusion in the Pilot Project because it is a class action, an MDL action, or is in one of the following Nature of Suit categories: 160, 245, 315, 355, 365, 385, 410, 830, 840, 850, 893, or 950. The presiding judge in a case that does not otherwise qualify for inclusion in the Pilot Project may nevertheless designate the case for inclusion in the Pilot Project by issuing an order directing that the case be included in the Pilot Project. The description of the Pilot Project, including procedures to be followed, is attached to this Order. (Signed by Judge Loretta A. Preska on 10/31/2012) (js) (Entered: 07/31/2012)

07/23/2012 3 STATEMENT OF RELATEDNESS PURSUANT TO LOCAL RULE 1.6 re: that this action be filed as related to 12-cv-4081.

4 07/23/ STATEMENT OF RELATEDNESS PURSUANT TO LOCAL RULE 1.6 re: that this action be filed as related to 12-cv Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC.(js) (js). (Entered: 08/01/2012) 08/03/ AFFIDAVIT OF SERVICE. Nasdaq OMX Group Inc. served on 7/24/2012, answer due 8/14/2012. Service was accepted by Maryann Kang. Document filed by Avatar Securities LLC; First New York Securities LLC; T3 Trading Group LLC. (Cappucci, Vincent) (Entered: 08/03/2012) 08/03/ AFFIDAVIT OF SERVICE. The NASDAQ Stock Market LLC. served on 7/24/2012, answer due 8/14/2012. Service was accepted by Maryann Kang. Document filed by Avatar Securities LLC; First New York Securities LLC; T3 Trading Group LLC. (Cappucci, Vincent) (Entered: 08/03/2012) 08/03/ MOTION to Appoint First New York Securities L.L.C., T3 Trading Group, LLC and Avatar Securities, LLC to serve as lead plaintiff(s) Notice of Motion and Motion of Institutional Investor Group For Appointment As Lead Plaintiff and Approval of Lead Counsel. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC.(Cappucci, Vincent) (Entered: 08/03/2012) 08/03/ MEMORANDUM OF LAW in Support re: 6 MOTION to Appoint First New York Securities L.L.C., T3 Trading Group, LLC and Avatar Securities, LLC to serve as lead plaintiff(s) Notice of Motion and Motion of Institutional Investor Group For Appointment As Lead Plaintiff and Approval of Lead Co MOTION to Appoint First New York Securities L.L.C., T3 Trading Group, LLC and Avatar Securities, LLC to serve as Appointment As Lead Plaintiff and Approval of Lead Co Memorandum of Law In Support of the Institutional Investor Group's Motion for Appointment As Lead Plaintiff and Approval of Lead Counsel. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC. (Cappucci, Vincent) (Entered: 08/03/2012) 08/03/ DECLARATION of Vincent R. Cappucci in Support re: 6 MOTION to Appoint First New York Securities L.L.C., T3 Trading Group, LLC and Avatar Securities, LLC to For Appointment As Lead Plaintiff and Approval of Lead Co MOTION to Appoint First New York Securities L.L.C., T3 Trading Group, LLC and Avatar Securities, LLC to For Appointment As Lead Plaintiff and Approval of Lead Co. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Cappucci, Vincent) (Entered: 08/03/2012) 08/03/ MOTION to Appoint First New York Securities, L.L.C., T3 Trading Group, LLC, and Avatar Securities, LLC to serve as lead plaintiff(s) Notice of Motion and Motion of Institutional Investor Group For Appointment As Lead Plaintiff And Approval of Lead Counsel. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC.(Cappucci, Vincent) (Entered: 08/03/2012) 08/03/ MEMORANDUM OF LAW in Support re: 9 MOTION to Appoint First New York Securities, L.L.C., T3 Trading Group, LLC, and Avatar Securities, LLC to serve as lead plaintiff(s) Notice of Motion and Motion of Institutional Investor Group For

5 Appointment As Lead Plaintiff And Approval of Lead MOTION to Appoint First New York Securities, L.L.C., T3 Trading Group, LLC, and Avatar Securities, LLC to serve as Appointment As Lead Plaintiff And Approval of Lead Memorandum of Law In Support of the Institutional Group's Motion for Appointment as Lead Plaintiff and Approval of Lead Counsel. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC. (Cappucci, Vincent) (Entered: 08/03/2012) DECLARATION of Vincent R. Cappucci in Support re: 9 MOTION to Appoint First For Appointment As Lead Plaintiff And Approval of Lead MOTION to Appoint First For Appointment As Lead Plaintiff And Approval of Lead. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E)(Cappucci, Vincent) (Entered: 08/03/2012) 08/03/ NOTICE OF APPEARANCE by Andrew J Entwistle on behalf of Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC (Entwistle, Andrew) (Entered: 08/03/2012) 08/03/ MOTION to Consolidate Cases 1:12-cv-04054, 1:12-cv-04200, 1:12-cv-04201, 1:12- cv-04315, 1:12-cv-04403, 1:12-cv-04600, 1:12-cv-04716, 1:12-cv Notice of Motion and Motion of NASDAQ Claimant Group For Consolidation of the NASDAQ Actions. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC.(Entwistle, Andrew) (Entered: 08/03/2012) 08/03/ MEMORANDUM OF LAW in Support re: 13 MOTION to Consolidate Cases 1:12-cv , 1:12-cv-04200, 1:12-cv-04201, 1:12-cv-04315, 1:12-cv-04403, 1:12-cv-04600, 1:12-cv-04716, 1:12-cv Notice of Motion and Motion of NASDAQ Claimant Group For Consolidation of the NASDAQ Actions. Memorandum of Law In Support of the NASDAQ Claimant Groups Motion For Consolidation of the NASDAQ Actions. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC. (Entwistle, Andrew) (Entered: 08/03/2012) 08/03/ AMENDED COMPLAINT amending 1 Amended Complaint, against Nasdaq OMX Group Inc., The NASDAQ Stock Market LLC. with JURY DEMAND.Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC. Related document: 20 Amended Complaint, filed by Avatar Securities LLC, T3 Trading Group LLC, First New York Securities LLC. (Attachments: # 1 Exhibit a, # 2 Supplement Schedule a, # 3 Supplement Schedule a, # 4 Supplement Schedule A )(pl) Modified on 8/14/2012 (laq). (Entered: 08/10/2012) 08/03/2012 ***DELETED DOCUMENT. Deleted document number 20 Amended Complaint. The document was incorrectly filed in this case. (laq) (Entered: 08/14/2012) 08/08/ RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent NASDAQ OMX Group, Inc. for The NASDAQ Stock Market LLC.. Document filed by Nasdaq OMX Group Inc., The NASDAQ Stock Market LLC..(Jacobs, Hara) (Entered: 08/08/2012)

08/08/2012 16 CERTIFICATE OF SERVICE of Rule 7.1 Disclosure Statement served on Plaintiffs' Counsel on August 8, 2012. Service was made by Mail. Document filed by Nasdaq OMX Group Inc.

6 08/08/ CERTIFICATE OF SERVICE of Rule 7.1 Disclosure Statement served on Plaintiffs' Counsel on August 8, Service was made by Mail. Document filed by Nasdaq OMX Group Inc., The NASDAQ Stock Market LLC.. (Jacobs, Hara) (Entered: 08/08/2012) 08/08/ MEMORANDUM OF LAW in Support re: 13 MOTION to Consolidate Cases 1:12-cv , 1:12-cv-04200, 1:12-cv-04201, 1:12-cv-04315, 1:12-cv-04403, 1:12-cv-04600, 1:12-cv-04716, 1:12-cv Notice of Motion and Motion of NASDAQ Claimant Group For Consolidation of the NASDAQ Actions.. Document filed by Nasdaq OMX Group Inc., The NASDAQ Stock Market LLC.. (Jacobs, Hara) (Entered: 08/08/2012) 08/08/ CERTIFICATE OF SERVICE of Response of Defendants the NASDAQ OMX Group, Inc. and the Nasdaq Stock Market LLC to Motion to Consolidate served on Plaintiffs' Counsel on August 8, Service was made by Mail. Document filed by Nasdaq OMX Group Inc., The NASDAQ Stock Market LLC.. (Jacobs, Hara) (Entered: 08/08/2012) 08/09/ OPPOSITION BRIEF Memorandum of Law of the NASDAQ Claimant Group in Opposition to the Goldberg Plaintiffs Motion for Appointment of their Counsel as Interim Class Counsel in the NASDAQ Actions. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC.(Entwistle, Andrew) (Entered: 08/09/2012) 08/13/ STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINT PENDING RESOLUTION OF MOTION FOR CONSOLIDATION: NOW, THEREFORE, IT IS HEREBY STIPULATED AND AGREED, subject to approval of the Court, that the time for defendants to respond to the complaint in the abovecaptioned case is hereby extended pending the Court's ruling on the Consolidation Motion. (Signed by Judge Robert W. Sweet on 8/9/2012) (djc) Modified on 8/14/2012 (djc). (Entered: 08/13/2012) 08/14/2012 CASE ACCEPTED AS RELATED. Create association to 1:12-cv RWS. Notice of Assignment to follow. (pgu) (Entered: 08/14/2012) 08/14/ NOTICE OF CASE ASSIGNMENT to Judge Robert W. Sweet. Judge Unassigned is no longer assigned to the case. (pgu) (Entered: 08/14/2012) 08/14/2012 Magistrate Judge Gabriel W. Gorenstein is so designated. (pgu) (Entered: 08/14/2012) 08/14/2012 Mailed notice re: 23 Notice of Case Assignment/Reassignment to the attorney(s) of record. (pgu) (Entered: 08/14/2012) 08/20/ REPLY MEMORANDUM OF LAW in Support re: 6 MOTION to Appoint First New York Securities L.L.C., T3 Trading Group, LLC and Avatar Securities, LLC to serve as Appointment As Lead Plaintiff and Approval of Lead Co MOTION to Appoint First New York Securities L.L.C., T3 Trading Group, LLC and Avatar Securities, LLC to serve as Appointment As Lead Plaintiff and Approval of Lead Co, 9 MOTION to Appoint First For Appointment As Lead Plaintiff And Approval of Lead MOTION to Appoint First

7 For Appointment As Lead Plaintiff And Approval of Lead. Document filed by Avatar Securities LLC, First New York Securities LLC, T3 Trading Group LLC. (Entwistle, Andrew) (Entered: 08/20/2012) 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

U.S. District Court Western District of Texas (San Antonio) CIVIL DOCKET FOR CASE #: 98-CV-324

US District Court Civil Docket as of 12/29/99 Retrieved from the court on Tuesday, April 18, 2006 U.S. District Court Western District of Texas (San Antonio) CIVIL DOCKET FOR CASE #: 98-CV-324 Madison