- 1. The D&O DiaryThe List: Madoff Investor and Feeder Fund
Litigation Updated: April 29, 2010 Table I: Federal Securities
Class Action Litigation(Current Number of Separate Actions: 19)
(Multiple Interrelated Lawsuits Listed in Table IV, below)Date
Court Defendants/Claimants Link D&O Diary Post 12/12/08
E.D.N.Y.Bernard Madoff; Bernard Madoff L. Madoff Here
HereInvestment Securities/Irwin Kellner on behalf ofall persons who
purchased securities from Madoffor BMIS. 12/15/08 C.D. Cal. The
Brighton Company; Stanley Chais; Here HereBernard Madoff; Bernard
L. MadoffInvestment Securities/ Michael Chaleff, onbehalf of all
investors who invested capitalthrough Chais and Brighton and all
investors whoinvested capital through Madoff and BMIS.
12/16/08S.D.N.Y. Ascot Partners, L.P.; J. Ezra Merkin; BDOHere
HereSeidman/New York Law School on behalfinvestors of Ascot limited
partnership interests 12/16/08S.D.N.Y. Gabriel Capital, L.P.; J.
Ezra Merkin; BDO Here HereSeidman/ Scott Berrie on behalf of all
personswho invested in Gabriel limited partnershipinterests
12/22/08S.D.N.Y. Tremont Group Holdings; OppenheimerHere
HereAcquisition Corporation; MassachusettsMutual Life Insurance
Company; Ernst &Young LLP/Yvette Finkelstein, on behalf
ofcapital investors in American Masters BroadPrime Market Fund,
L.P. 12/23/08S.D.N.Y. Family Management Corporation; Seymour Here
HereZises; Andrea Tessler; Andover AssociatesLLC; Beacon Associates
LLC; BeaconAssociates LLC; Beacon Associates MangementCorp.;
Beacon/Andover Group; MaxamAbsolute Return Fund L.P.; Maxam
CapitalManagement LLC; Fulvio & Associates,LLP/David Newman and
others on behalf ofinvestors in FM Low Volatility Fund L.P
12/23/08S.D.N.Y. Tremont Group Holdings; Tremont Partners Here
HereInc.; Rye Investment Management;Oppenheimer Acquisition
Corporation;Oppenheimer Funds Inc.; MassachusettsMutual Life
Insurance Company/RichardPeskin on behalf of investors in Spectrum
Select Copyright 2010 Kevin M. LaCroix
2. L.P. {For additional lawsuits against
relateddefendants/parties, see Table IV below} 12/30/08
S.D.N.Y.Tremont Market Neutral Fund L.P.; Tremont HereGroup
Holdings, Inc. Ernst & YoungLLP/Group Defined Pension Plan
& Trust 1/9/09 S.D.N.Y.Fairfield Greenwich Group;
FairfieldHereGreenwich Limited, Fairfield Greenwich(Bermuda) Ltd.;
Fairfield Greenwich AdvisorsLLC; Walter M. Noel Jr. and other
individualdefendants/ Pacific West Health Medical CenterInc.
Employees Retirement Trust on behalf of allpersons who owned shares
of Fairfield Sentry (Foradditional lawsuits against related parties
pleasesee below)1/12/09 S.D.N.Y.Herald USA Fund; Herald Luxemburg
Fund; Here HerePrimeo Select Fund; Medici Bank; Sonja Kohn;Perter
Schelhauer; Bank Austria Creditanstait;Unicredit S.A.; Pioneer
AlternativeManagement; Ernst & Young L.P./RepexVentures on
behalf of all persons who invested inHerald USA Fund Herald
Luxemburg Fund; andPrimeo Select Fund and Thema
InternationalFunds1/26/09S.D.Fla. Banco Santander S.A.; Banco
Santander Here HereInternational; Optimal Investment ServicesS.A.;
Pricewaterhouse Coopers; HSBCSecurities Services (Ireland) Ltd.;
individualdirectors and offices of Optimal Investment andOptimal
Fund/Inversiones Mar Ocava Limitadaon behalf of all persons who
owned shares ofOptimal Strategic US Equity Ltd pm December 10,2008
or who purchased Optimal Strategic USEquity Ltd. shares between
January 27, 2004 andDecember 10, 2008 (Case consolidated
inMultidisrict Litigation order, here) Consolidated Amended
Complaint dated 10/21/09Here1/27/09 S.D.N.Y.Beacon Associate
Management Corp.; Joel HereDanziger; Harris Markhoff; Ivy
AssetManagement Corp.; The Bank of New YorkMellon Corporation;
Friedberg Smith &Co.,PC/ John and Phyllis Cacoulidis as
Trusteesof Grand Metro Builders of NY Corp. DefinedBenefit Plan, on
behalf of all persons who investedin Beacon Associates LLC I
between August 9,2004 and the present2/19/09 S.D.N.Y.FM
Multi-Strategy Investment Fund L.P.; HereFamily Management
Corporation; SeymourZises; Andres Tessler and Fulvio andAssociates/
Wolff Living Trust on behalf of allpersons who bought limited
partnership interestsof the FM Multi-Strategy Investment Fund,
L.P4/7/09S.D.N.Y.Austin Capital Management Ltd.; individualHere
Copyright 2010 Kevin M. LaCroix 3. defendants; Rothstein Kass &
CompanyP.L.L.C.; Rothstein Kass & Co.(Cayman)/Construction
Industry and LaborersJoint Pension Trust and Plumbers and
PipefittersLocal 525 Pension Plan on behalf of all personswho held
interests in the Austin funds and whoseinterests were invested with
Madoff, with asubclass of employee benefit plan which throughtheir
fiduciaries that Austin Capital to manageinvestments and whose
funds were invested withMadoff4/20/09 S.D.N.Y.J.P. Jeanneret
Associates Inc.; John P.HereJeanneret ; Paul L. Perry ; Ivy
AssetManagement Corporation ; Bank of New YorkMellon Corporation ;
Margolin, Winer &Evens LLP/Local 73 Annuity Fund and Local
73Retirement Fund on behalf of persons whoinvested in the
Income-Plus Investment Fundbetween January 1, 1999 and the present.
NOTE: On November 16, 2009, the plaintiffs filedtheir consolidated
amended class action complaintin this action. The consolidated
amendedcomplaint can be found here.4/20/09 S.D.N.Y.Meridian
Diversified Fund Management, LLC; HereMeridan Capital Partners,
Inc.; individualdefendants/Pension Trust Fund for
OperationEngineeers on behalf of all investors who acquiredshares
in Meridian Capital Parnets fund or hedgefunds managed by Meridian
Diversified Fundsbetween January 2, 2008 and December 11, 2008
5/7/09 S.D.N.Y.Ariel Fund, Ltd.; Gabriel Capital Corporation;
HereJ. Ezra Merkin; Fortis Bank (Cayman) Ltd.;Fortis Prime
Solutions (Cayman) Ltd.; FortisBank; Fortis Prime Solutions (USA)
LLC; BDOTortuga; BDO International/Jacob E FinklesteinCGM IRA
Rollover Custodian on behalf of allpersons that invested in the
funds. 5/29/09M.D. Fla. JML Portfolio Management Ltd.; Swiss
LifeHereHolding AG; Nomura Holdings, Inc./Jeffrey S.Araj M.D. on
behalf of all persons who owned theNomura All Weather Fund on
December 10. 2008or who were sold variable annuity policies ofSwiss
Life through JML which invested in theNomura All Weather Fund from
January 3, 2006to December 10, 2008 6/5/09 S.D. Fla. Collins
Capital Low Volatility Performance HereFund II, Ltd.; Collins
Capital Low VolatilityPerformance Fund L.P., Collins
CapitalInvestments, LLC; individual defendants/WestPalm Beach
Police Pension Fund, on behalf of allshareholders of Collins
Capital Low VolatilityPerformance Fund II, Ltd. between June 1,
2007and December 11, 2008 Copyright 2010 Kevin M. LaCroix 4. Table
II: State Court LitigationDate Court Defendants/ClaimantsLink
D&O Diary Post 12/16/08 Cal. Sup. Morton D. Kurzrok/ Richard H.
Gordon {Note: Here Ct.Removed to C.D.Cal. on February 12, 2009,
CivilAction No. 09-cv-1060} 12/19/08 N.Y. Sup. Fairfield Greenwich
Group; FairfieldHere Here Ct.Greenwich Limited; Fairfield
Greenwich(Bermuda) Ltd.; Fairfield Greenwich AdvisorsLLC; Walter M.
Noel, Jr. and otherindividuals/ Pasha and Julia Anwar on behalf
ofinvestors in Greenwich Sentry L.P. {NOTE: Thiscase was removed to
federal court andconsolidated with other federal court
FairfieldGreenwich litigation, see consolidation order here}
12/23/08 N.Y. Sup. Gabriel Capital; J. Ezra Merkin; ArielHere Here
Ct.Fund/New York University 12/24/08 Cal. Sup. Stanley Chais/ Eric
Roth as Trustee for Vanessa HereCt. Productions Ltd. Profit Sharing
Plan NOTE:Removed to federal court (C.D. Cal) on February27, 2009,
Civil Action No. 2:09cv1434.12/31/08 Cal Sup.Robert Schulman and
other individualHereCt. defendants/ Tremont Parnters, Inc.;
TremontGroup Holdings, Inc; Rye Select Broad MarketFund f/k/a
American Masters Broad MarketPrime Fund L.P.; Massachusetts Mutual
LifeInsurance Co.; Oppenheimer AcquisitionCorporation; MassMutual
Holding Co.;Citibank N.A./White Trust Dated May 3, 2002and Rigdon
O. Dees III {Note: This case wasremoved to the C.D. Cal on January
30, 2009, anda separate entry on the removed case appearsbelow in
Table IV}2/3/09N.Y. Sup. Laura Blank/ Stephen Simkin Here Here
Ct.2/4/09N.Y.Tremont Partners, Inc.; Tremont Group Here
Sup.Ct.Holdings, Inc.; Rye Investment Management;KPMG LLP;
Individual Directors and Officers/Rye Select Broad Market XL Fund,
L.P.,Nominal Defendant/2005 Tomchin FamilyCharitable Trust,
derivatively on behalf of RyeSelect Broad Market XL Fund,
L.P.2/5/09N.Y. Sup. Tremont Partners, Inc. ; Tremont GroupHereCt.
Holdings, Inc.; Tremont Capital Management,Inc.; KPMG LLP; KPMG
International; FrankDipascali; Andrew Madoff; Mark Madoff;Peter
Madoff; Ruth Madoff/ Rye Select BroadMarket Prime Fund L.P.,
Nominal Defendant/Jay Wexler, derivatively on behalf of Rye Select
Copyright 2010 Kevin M. LaCroix 5. Broad Market Prime Fund,
L.P.NOTE: On October 21, 2009 the plaintiff filed an extensive
amended complaint in this action (here), adding additional
allegations and naming additional defendants, including KPMG UK; JP
Morgan Chase: The Bank of New York Mellon; Oppenheimer Acquisition
Corporation; and Massachusetts Mutual Life Insurance Company2/5/09
N.Y. Sup. Friehling & Horowitz, P.C.; Andrew Madoff; Here Ct.
Mark Madoff; Peter Madoff; Ruth Madoff; Frank DiPascali; Frank
Avellino/Daniel Ryan and Theresa Ryan, individually and on behalf
of the Lawrence J. Ryan By-pass Trust 2/13/09 Cal. Sup. The Lambeth
Company; Stanley Here Ct. Chais/Bottlebrush Investments L.P.
2/13/09 Cal. Sup. Stanley Chais/ CMG, Ltd. and The
BrightonHereCt.Company, Nominal Defendants/ Daphne Brogdon on
behalf of all persons who as of December 12, 2008 had capital
invested or indirectly with Defendant Stanley Chais 2/13/09 N.Y.
Sup. Fairfield Greewich Group; Fairfield GreenwichHereCt.Limited;
Fairfield Greenwich (Bermuda) Ltd.; Fairfield Greenwich Advisors
LLC; Globeop Financial Services LLC; Citgo Fund Services
(Europe)BV; Citgo (Canada) Inc.; individual directors and officers;
PricewaterhouseCoopers, LLC; Pricewaterhouse Coopers Accountants
NV/ Greenwich Sentry L.P., Nominal Defendant/ David Ferber SEP IRA
{NOTE: This action was removed to the Southern District of New
York, Civil Action No. 1:09-cv-02366, here} 2/17/09 N.Y. Sup.
Fairfield Greenwich Group; Fairfield HereCt.Greenwich (Bermuda)
Ltd; Fairfield Greenwich Advisors LLC; Globeop Financial Services;
Citgo Fund Services (Europe)BV; Citgo (Canada) Inc.; individual
directors and officers; PricewaterhouseCoopers LLP/Greenwich Sentry
Partners, L.P., Nominal Defendant/ Frank Pierce and Frank Pierce
IRA 2/25/09 Conn. NEPC LLC; KPMG LLP/ Retirement Program HereSup.
Ct. for Employees of the Town of Fairfield, Connecticut {NOTE: This
action was removed to the District of Connecticut on March 20,
2009, Civil Action No. 3:09-cv-506. 2/26/09 N.Y. Sup. Application
of J. Ezra Merkin and GabrielHereCt.Capital Corporation against The
Calibre Fund LLC (Order to Show Cause Why Permanent Arbitration
Stay Should Not Be Entered) 2/27/09 Cal. Sup. Brighton Investments;
Stanley Chais/ Leghorn HereCt.Investments 3/10/09 N.Y.Sup.Rye
Investment Management; Tremont HereCt.Partners, Inc.; Tremont Group
Holdings; Copyright 2010 Kevin M. LaCroix 6. KPMG LLP; Individual
defendants; Rye SelectBroad Market XL Fund L.P.,
NominalDefendant/Securion I L.P. 3/10/09 Fla. Circ. Paul J.
Koningsberg; Koningsberg, Wolf &HereCt. Co./Steven E. Leber as
Trustee of the Steven E.Leber Charitable Remainder Unitrust {Note:
OnApril 20, 2009, case removed to Southern Districtof Florida, Case
No. 09-80593} 3/13/09 Cal. Sup.Crescent Securities; Frank X.
Mantovani;Here Ct.Halpern & Mantovani; The LambethCompany;
Stanley Chais/Helen Epstein LivingTrust 3/17/09Florida Westport
National Bank; Robert L. Silverman;HereCir. Ct.PSCC Services; PSCC,
Inc./RichardAbramowitz; Howard Pomerantz as Trustees forthe
Abramowitz & Pomerantz, PA RetirmentsPlan; Robin Abramowitz,
IRA; HowardPomerantz IRA; Wendy Sager Pomerantz IRA 3/19/09 N.J.
Sup.Fiserv Investment Support Services; FiservHere Ct.Inc.; First
Trust Corporation; RetirementAccounts, Inc.; Fiserv Trust Company;
NTC &Co.; TD Ameritrade Trust Company/ StephenSquires on behalf
of all persons whose IRAinvestments in Madoff were held by Fiserv
{Note:On 4/24/09, this action was removed to D.N.J.Civil Action No.
09-cv-01960} 3/24/09 Cal. Sup.Morton D. Kurzrok/Dichter-Mad
FamilyHereCt. Parnters {Note: On May 4, 2009, case removed
toC.D.Cal. Civil Action No. 09-cv-3099} 3/24/09Sup. Ct.Beacon
Associates Management Corp.; Ivy Here N.Y. Asset Management Corp.;
Ivy AssetManagement LLC; Friedberg, Smith & Co.P.C.; Joel
Danziger; Harris Markhoff/BeaconAssociate LLC II Nominal
Defendant/JoelSacher and Susan Saher 3/30/09 Conn.Bernard L.
Madoff; Tremont Partners, Inc.;HereSup. Ct.Tremont Group Holdings,
Inc.; OppenheimerAcquisition Corp.; Maxam CapitalManagement LLC;
Maxam Capital GP LLC;Maxam Capital Management Limited;individual
defendants; Peter B. Madoff; RuthMadoff; Mark D. Madoff; Andrew H.
Madoff/Retirement Program for Employees of the TownOf Fairfield;
Retirement Program for PoliceOfficers and Firemen of the Town of
Fairfield;Town of Fairfield4/1/09 N.Y. Sup.Andover Associates
Management Corp.; IvyHere Ct.Asset Management Corp.; Ivy
AssetManagement LLC; Citrin Cooperman & Co.LLP; Margolin Winer
Evens LLP; JoelDanziger; Harris Markoff/ Andover AssociatesLLC I
Nominal Defendant/ Charles J. Hecht4/1/09Mass. Rye Select Broad
Market Prime Fund L.P.;Here Sup. Ct. Tremont Partners, Inc.;
Tremont Group Copyright 2010 Kevin M. LaCroix 7. Holdings, Inc.;
Oppenheimer AcquisitionCorp.; Massmutal Holdings LLC;Massachusetts
Mutual Life InsuranceCompany; individual defendants/FamilySwimmers
Limited Partnership on behalf of allinvestors in Rye Select Broad
Market Prime FundL.P Note: On May 13, 2009, this action wasremoved
to D. Mass (Civil Action No. 09-10784)4/6/09 N.Y. Sup.J. Ezra
Merkin; Gabriel Capital Corporation; HereCt. BDO Seidman LLP; BDO
Tortuga f/k/a BDOCayman Islands/ CRT Investments, Ltd.,Mortimer
Zuckerman4/6/09Fla. Cir. American Express Bank Ltd. d/b/a
StandardHereCt. Chartered Private Bank a/k/a StandardChartered Bank
International (Americas)Limited; Standard Chartered Bank;
individualdefendants; Fairfield Greenwich Group;Fairfield Greenwich
Limited; FairfieldGreenwich (Bermuda) Ltd.; FairfieldGreenwich
Advisors LLC; individualdefendants; PricewaterhouseCoopers
LLP;Citgo Fund Services (Europe) B.V./HeadwayInvestment Corporation
{Note:On May 22, 2009this case was removed to, the United
StatesDistrict Court for the Southern District of Florida;Civil
Action No. 1:09-cv-21395). 4/14/09 Mass.Rye Select Broad Market XL
Fund, L.P.; Here Super. Ct. Tremont Partners, Inc.; Tremont
GroupHoldings, Inc.; Oppenheimer AcquisitionCorp.; Massmutual
Holdings LLC;Massachusetts Mutual Life InsuranceCompany; BNY
Alternative InvestmentServices; Bank of New York Mellon;
individualdefendants/ Lawrence J. Rothschild on behalf ofinvestors
in the Rye Select Broad Market XL FundL.P. during the class period
{Note: This actionwas removed to the District of Massachusetts
onMay 22, 2009, refer here} 4/30/09 Del. Joanne Olian; Estate of
Howard Olian; Wintex Here Chanc. Ct. Mill Inc. (Nominal
Defendant)/Lazy RiverInvestment Company5/5/09 N.Y. Sup.Harmony
Partners Ltd.; Harmony Services, HereCt. Inc.; Harmony Services
LLC; individualdefendants/ Max Goldweber5/7/09Fla. Cir. Tremont
Group Holdings; Tremont Partners,HereCt. Inc.; Rye Select Broad
Market Fund, L.P.;Select Broad Market Prime Fund L.P.; SelectBroad
Market XI Fund, L.P.; KPMGLLP/Robert Cocchi; Penni Ellen Fromm;
PFFAssociates, Inc.; Brian Gaines; John Johnson;Dr.David
Schwarzchild; Dr. Herbert Silverberg;John Silverberg; Dr. Jerry
Weiss; Donna Weiss;the Norman Shulevitz Foundation, Inc.;
RMManagement LLC; Sande Wische; Carol Wische; Copyright 2010 Kevin
M. LaCroix 8. Paula Zitrin; Dr. Jaron Zitrin; Rachel Zitrin;
Dr.Roger Zitrin 5/12/09 N.M. Dist. Austin Capital Management/State
of NewHereCt. Mexico ex. rel. National Education Association ofNew
Mexico on behalf of the EducationalRetirement Board and the State
InvestmentCouncil {Note: On July 27, 2009, this action wasremoved
to the United States District Court for theDistrict of New Mexico,
Civil Action No. 1:09-cv-00730, refer here} 5/13/09 Cal.
Sup.Stanley Chais; The Lambeth Company; Francis HereCt. X.
Montavani; Halpern & Montovani; CrescentSecurities, Nominal
Defendant/Douglas Hall asCo-Trustee of Vivian H. Hall IRA and
derivativelyon behalf of Crescent Securities 5/13/09 Cal.
Sup.Stanley Chais; The Popham Company; FrancisHere Ct.X. Montovani;
Halpern & Montovani;Marloma Securities,
NominalDefendant/Stephen Heimoff derivatively on behalfof Marloma
Securities 5/15/09 N.Y. Kingate Management Limited; HereSup.Ct.
PricewaterhouseCoopers Bermuda;Pricewaterhouse Coopers
InternationalLimited; Citi Hedge Fund Services, Limited;individual
defendants; Kingate Global FundLimted /John Bruhl,derivatively on
behalf ofKingate Global Fund Limited 5/15/09 N.Y. Sup.Fairfield
Greenwich Group; FairfieldHereCt. Greenwich Limited; Fairfield
Greenwich(Bermuda) Ltd.; Fairfield Greenwich AdvisorsLLC; Fairfield
Risk Services Ltd.; CITGOFund Services (Europe) BV; CITGO
BankNetherland N.V., Dublin Branch; CITGOGlobal Custody N.V.;
individual defendants;PricewaterhouseCoopers,
LLP;PricewaterhouseCoopers Accountants N.V.;PricewaterhouseCoopers
InternationalLimited; Fairfield Sentry Limited NominalDefendant
/Morning Mist Holdings Limited andMiguel Lomeli derivatively on
behalf of FairfieldSentry Limited {Note: On May 28, 2009,
thisaction was removed to the S.D.N.Y., Civil ActionNo.
1:09-cv-5012} 5/29/09 N.Y. Sup.Fairfield Greenwich Group,
FairfieldHereCt. Greenwich (Bermuda) Limited; FairfieldGreenwich
Advisors LLC; FairfieldInternational Managers, Inc.;
individualdefendants/Fairfield Sentry Limited 5/27/09Mass. Rye
Select Marked Fund L.P.; TremontHere Superior Partners, Inc. ;
Tremont Group Holdings, Inc.; Ct.Oppenheimer Acquisition Corp.;
MassmutualHolding LLC; Massachusetts Mutual LifeInsurance Company;
individual defendants/Arthur S. Simons on behalf of all persons who
Copyright 2010 Kevin M. LaCroix 9. invested in Rye Select Broad
Market Funds {Note:On July 2, 2009, this action was removed to
D.Mass, see linked document}6/5/09 N.Y. Sup.J. Ezra Merkin; Gabriel
Capital Corp.; BDOHereCt. Seidman LLP/ Vadja Family Trust,
derivativelyon behalf o Ascot Partners L.P. and GabrielCapital L.P.
6/15/09 N.Y. Sup.BDO Seidman LLP; BDO Tortuga f/k/a BDOHere
Ct.Cayman Islands; BDO Global CoordinationB.V/Bart M. Schwartz as
receiver for Ariel FundLimited and Gabriel Capital, L.P. 6/16/09
N.M. Dist. Austin Capital Management; Austin Capital Here
CourtManagement GP Corporation; Victory CapitalManagement, Inc.;
KeyCorp; Berean Capital;Tremont Partners, Inc.; Tremont
CapitalManagement; Tremont Group Holdings, Inc.;Oppenheimer Funds,
Inc; individualdefendants/State of New Mexicao ex. rel. FrandFoy
and Suzanne Foy7/2/09 N.Y. Sup.Peerstate Equity Fund L.P., Robert
N. GetzHereCt. LLC, Robert Getz, Stephen Getz/Judith W.Bailey
Individually and as Executor of the Estateof Richard Bailey and as
Successor Executor tothe Estate of Suzanne Bailey7/8/09Ct.
Connecticut Community Bank, N.A., owner ofHereSuperiorWestport
National Bank/Ben R. Backus as CourtTrustee of the W.R. Johnson Co.
Pension andProfit-Sharing Plan, et al., 7/10/09 Cal. Sup.American
Express Bank Ltd.; AmericanHereCt. Express Bank International;
StandardChartered PLC; individual defendants/MariaAkriby Valladolid
7/16/09 Md. Circ.Jack Kay; Kay Management Inc.; KayHere
Ct.Investment Group LLC; individual defendants/George Wasserman and
Janice Wasserman;Goldstein Family Limited Liability Company
asgeneral partner and on behalf of various entities 7/16/09 Fla.
Circ. Merrill, Lynch, Pierce, Fenner & Smith/ HereCt. Morselife
Foundation, Inc. Note: On 8/7/09, thiscase was removed to the
Southern District ofFlorida, Civil Action No. 09-81143 (here)
8/17/09 Sup. Ct. Frank J. Avellino; Kenn Jordan Associates;Here
N.Y. Kenn Jordan Foundation; Mayfair BookeepingServices, Inc.; The
Avellino Family Foundation,Inc.; Grosvenor Partners, Ltd.;
MayfairManagement, Inc.; Mayfair Ventures G.P.;individual
defendants; Mayfair PensionPlan/Daniel C. Gascoyne; Grace G.
DeluryIrrecovable Trust; Edna Guittierez F/B/O SpecialAccount for
Gutierrez Children; TerrenceGascoyne; Margaret Gascoyne 9/10/09 Ct.
Sup. BDO Seidman, LLP/The Calibre Fund LLC Here Ct. 1022/09
Sup.Ct.Friehling & Horowitz, P.C.; KPMG, U.K.; Here Copyright
2010 Kevin M. LaCroix 10. N.Y. KPMG International; J.P. Morgan
Chase & Co.; The Bank of New York Mellon; Paul Koningsburg;
Annette Bongiorno; Frank DiPascali; Andrew Madoff; Mark Madoff;
Peter Madoff/Matthew Greenberg; Walter Greenberg; Doris Greenberg;
The Estate of Leon Greenberg 10/22/09 Sup Ct.KPMG International;
KPMG U.K.; J.P.HereN.Y. Morgan Chase; The Bank of New York Mellon;
Beacon Associates Management Corp; Ivy Asset Management Corp.; Joel
Danziger; Harris Markoff; Friedberg, Smith & Co. P.C.; Paul
Konigsburg; Annette Bongiorno; Frank Dipascali; Andrew Madoff; Mark
Madoff; Peter Madoff; Beacon Associates LLC II, Nominal Defendant;
Donna M. McBride, individually and derivatively on behalf of Beacon
Associates LLC II 11/19/09 Cal. Sup.KPMG, LLP; Tremont Capital
Management, HereCt.Inc.; Tremont Group Holdings, Inc.; Tremont
Partners, Inc.; Rye Investment Management; Rye Select Broad Market
XL Fund, L.P.; Oppenheimer Acquisition Corporation; Mass Mutual
Holding LLC; Massachusetts Mutual Life Insurance Co./Brian Faith
and Sharon Faith individually and as trustees of the Bryon L. Faith
and Sharon E. Faith Revocable Living Trust 11/19/09 Cal.
Sup.Crosswater Financial Corporation; Crosswater HereCt.Investment
Advisors, Inc.; Clark Richards; KPMG, LLP; Tremont Capital
Management; Tremont Group Holdings, Inc.; Tremont Partners, Inc.;
Rye Investment Management; Rye Select Broad Market XL Fund, L.P.;
Oppenheimer Acquisition Corporation; Mass Mutual Holding LLC;
Massachusetts Mutual Life Insurance Co./ Michael Herman and Sandra
Herman individually and as trustes of the Michael and Sandra Herman
Trust 12/19/09 Fla. Cir.Coler, Donten, Levine, Porter & Veil,
P.A. ; HereCt.Rhonda Guinazzo/Susan Markin Table III: Other
Proceeding (Please note that additional actions duplicative of
items listed in this table follow in Table IV, below) Date
ForumDefendants/ClaimantsLinkD&O DiaryPost 12/11/08
S.D.N.Y.Barnard L. Madoff and Bernard L. Madoff HereInvestment
Securities LLC/Securities andExchange Commission 12/18/08
S.D.N.Y.J. Ezra Merkin/The Calibre Fund Here(Application for
Temporary Restraining Order) 12/22/08S.E.C. Securities and Exchange
Commission/PhyllisHereMolchatsky (American Masters Broad Market
Copyright 2010 Kevin M. LaCroix 11. Fund/ L.P.)
12/30/08S.D.N.Y.Anthony, Maria and Toni Here Sciremammno/Bernard L.
Madoff1/2/09S.D.N.Y. Irving H. Picard, Trustee for the SIPAHere
(Bankruptcy Liquidation of Bernard L. MadoffCourtInvestment
Securities LLC and JP Morgan Chase Bank, N.A./ Rosenman Family
LLC1/7/09 S.D.N.Y.Irving H. Picard, Trustee (etc.) and J.P.
Here(BankruptcyMorgan Chase Bank/Hadleigh Holdings LLC.Court)
1/12/09 S.D.N.Y.United States v. Bernard L. Madoff/Order in
Here/(Criminal CourtBail Proceeding/Notice of AppealHere 1/15/09
LuxembourgUBS (Luxembourg) S.A.; Luxalpha SICA V/ Here Oddo Asset
Management S.A. 1/26/09 S.D.N.Y.Citgo Group Limited; Citgo Fund
ServicesHere (Europe) BV; PricewaterhouseCoopers LLP/ G. Phillip
Stephenson as trustee for the Philip Stephenson Revocable Living
Trust 1/30/09 Ct. SuperiorMcGladrey & Pullen LLP &
GoldsteinHereCourtGolub Kessler LLP/Maxam Absolute Return Fund L.P.
2/11/09 Office of the In the Matter of Cohmad
SecuritiesHereHereSecretary of the Corporation (Administrative
Complaint andCommonwealth Ex Parte Motion for an Order
Summarily(Massachusetts)Suspending Registration as a Broker-Dealer)
2/12/09 E. D. Pa. Austin Capital Management Ltd./ Pension Here Fund
for Hospital and Health Care Employees Philadelphia and Vicinity,
on behalf of all employee benefits funds for whom Austin acted as
investment manager and on whose behalf Austin invested plan assets
in any Madoff- related investment during the period February 12,
2005 to the present. 2/13/09 D. Conn.PSCC Services, Inc.; Westport
National Bank; TD Banknorth N.A.; Dennis P. Clark; Robert L.
Silverman/Stephen R. Levinson; Richard E. Layton; Dr. R. Layton
P.A. 401(l) Plan, on behalf of persons who were beneficiaries of
omnibus accounts at BMIS maintained in the name of Westport
National Bank 2/13/09 N.D. Fla. Arthur Nadel; Scoop Management;
Scoop Here Capital; Peg Nadel; Bernard L. Madoff; Bernard L. Madoff
Investment Securities, et al./Jonathan Lee Riches d/b/a Ervin
Antonio Lupoe {Pro Se Complaint} 2/17/09 N.D. Tex. Stanford
International Bank, Ltd.; Stanford Here Group Company; Stanford
Capital Management LLC; R. Allen Stanford; James M. Davis; Laura
Pendergest- Holt/Securities and Exchange Commission {Failure to
Disclose Losses Arising from Madoffs Funds} 2/19/09 S.D. Tex.
Stanford International Bank, Ltd.; Stanford Here Copyright 2010
Kevin M. LaCroix 12. Group Company; Stanford CapitalManagement LLC;
R. Allen Stanford;James M. Davis; Laura Pendergest-Holt/John
Cochran on behalf all purchasers ofStanford CDs or shares in
Stanford AllocationStrategy Fund {failure to disclose exposure
toMadoff-related losses} 2/24/09 D.N.J. Peter Madoff/ The
Lautenberg Foundation, HereJoshua S. Lautenberg, Ellen Lautenberg
3/16/08 E.D. Mich. Britney Spears; Kevin Federline;
SecuritiesHereand Exchange Commission/Bernard L.Madoff d/b/a
Jonathan Lee Riches a/k/a GinoRomano, Inc. 3/17/09M.D.Fla.Bernard
Madoff/Gino Romano d/b/a Michael HereScott Pesce
3/17/09S.D.N.Y.David G. Friehling/United States of
AmericaHere(Criminal Complaint) 3/18/09S.D.N.Y.Tremont Group
Holdings, Inc.; TremontHerePartners, Inc.; Rye Investment
Management(a.k.a. Rye Investments, Inc.); OppenheimerAcquisition
Corporation; OppenheimerFunds, Inc.; Massachusetts Mutual
LifeInsurance Company; individual defendants;KPMG LLP; Bank of New
York MellonCorporation; BNY Alternative InvestmentServices; Austin
Capital Management; GPCorporation; NOMINAL DEFENDANTS:Rye Select
Broad Market Fund LP; RyeSelect Broad Market Prime Fund LP;
RyeSelect Broad Market Fund XL Fund LP;Austin Capital Safe Harbor
ERISADedicated Fund Ltd.; Austin Capital SafeHarbor Master Account
G.P./Laborers Local17 Pension Plan and Daniel Jackson,derivatively
and on behalf of all employeebenefits plans that invested in Austin
SafeHarbor Funds. 3/18/09S.D.N.Y.David G. Friehling; Friehling
& Horowitz,HereCPA, P.C./ Securities and ExchangeCommission
3/25/09N.Y.Sup.Ct. Peter B. Madoff/ Andrew Ross Samuels
Here4/1/09Office of the Fairfield Greenwich Advisors LLC;Here Here
Secretary of the Fairfield Greenwich (Bermuda) Ltd./ Commonwealth
Enforcement Section of the Massachusetts (Massachusetts)Securities
Division of the Office of theSecretary of the Commonwealth4/2/09
W.D.N.Y. J.P Jeanneret Associates, Inc.; John P.HereJenneret;
Beacon Associates ManagementCorporation; Joel Danziger;
HarrisMarkoff/Patrick Morin as Trustee of theEmpire State
Carpenters Pension Fund,Empire State Carpenters Annuity Fund
andEmpire State Carpenters Welfare Fun; JamesWillis as Trustee for
Ironworkers Local No. 6 Copyright 2010 Kevin M. LaCroix 13. Pension
Fund and Ironworkers Local No 6 Medical and S.U.B. Pay Plan; and
Daniel McGraw and Theron Hogle as Trustees of the Engineers Joint
Pension Fund Local Unions 17, et al., Engineers Joint S.U.B. Fund
or Engineers Joint Training Fund, on behalf of all trustees of
multi-employer pension plans for which defendants served as an
investment manager or ERISA fiduciary and whose assets were
invested in BMIS from April 30, 1991 to the present4/6/09Sup Ct.
N.Y. J. Ezra Merkin; Gabriel Capital Here Here Corporation/ The
People of the State of New York by Andrew M. Cuomo4/9/09 S.D.N.Y
Vizcaya Partners Limited; Banque JacobHere (Bankr.)Safra
(Gibralter) Ltd. a/k/a Bank J. Safra Limited/Irving H. Picard,
Trustee for the Liquidation of Bernard L Madoff Investment
Securities LLC {In re Bernard L. Madoff Investment Securities LLC}
4/13/09 S.D.N.Y.In re Bernard L. Madoff (InvoluntaryHereBankruptcy
Bankruptcy Petition) Court 4/14/09 S. D.Fla. Madoff Securities
International Ltd.Here (Chapter 15 Bankruptcy Proceeding) 4/14/09
S.D.Fla.Peter B. Madoff/Stephen John Akers, MarkHere Richard Byers,
and Andrew Laurence Hosking as Joint Provisional Liquidators of
Madoff Securities International Limited {In re Madoff Securities
International Limited} 4/17/09 S.D.N.Y.Alvin J. Delaire, Jr./Martin
Schulman M.D.; Here Martin Schulman Individual Retirement Account;
Suzanne M. Schulman 4/17/09 S.D.N.Y.Kingate Global Fund, Ltd.;
Kingate Euro Here (Bankr.)Fund, Ltd.; Bank of Bermuda, Ltd./Irving
H. Picard, Trustee for the Liquidation of Bernard L. Madoff
Investment Securities LLC {In re: Bernard L. Madoff Investment
Securities LLC} 4/23/09 S.D.N.Y JP Morgan Chase & Co.; JP
Morgan ChaseHere Bank NA/MLSMK Investments Company5/1/09
S.D.N.Y.Stanley Chais, individually and as GeneralHere
(Bankr.)Partner in Defendants The Brighton Group; The Lambeth
Company; and the Popham Company, and as trustee for Chais childrens
trusts/Irving H. Picard Trustee for the Liquidation of Bernard L.
Madoff Investment Securities LLC {In re: Bernard L. Madoff
Investment Securities LLC}5/1/09 W.D.Tex The Board of Trustees of
the TexasHere Ironworkers Fund; The Texas Ironworkers Pension
Fund/Austin Capital Managemen, Ltd.5/4/09D.N.M. Bank of America;
Merrill Lynch & Co.; Here others/ Bernard Madoff d/b/a Jonathan
Lee Copyright 2010 Kevin M. LaCroix 14. Riches a/k/a/ Jonathan L.
Riches InvestmentSecurities LLC (Pro Se Complaint)5/5/09S.D.N.Y
Irving Picard as Trustee for the SIPAHere(Bankr.)Liquidation of
Bernard L. MadoffInvestment Securities LLC; MaxamAbsolute Return
Fund L.P./Bank of AmericaN.A.; Banc of America Securities LLC{In
re:Bernard L. Madoff Investment Securities LLC}[Interpleader
Complaint]5/6/09S.D.N.Y J. Ezra Merkin; Gabriel Capital L.P.;
ArielHere(Bankr.)Fund Ltd.; Ascot Partners L.P.; GabrielCapital
Corporation/ Irving H. PicardTrustee for the Liquidation of Bernard
L.Madoff Investment Securities LLC {In re:Bernard L. Madoff
Investment Securities LLC}5/7/09D. Conn.Bank of America, N.A./Maxam
CapitalHereManagement LLC and Maxam Absolute ReturnFund L.P.
5/7/09S.D.N.Y. Roman Igolnikov; Sheldon S. Gordon;HereMatthew
Stadtmauer; Union BancairePrivee Asset Management LLC;
UBPIHoldings, Inc.; Daniel de Picciotto; MichaelDe Picciotto; Guy
de Picciotto; ChristopheBernard/Andrea Barron on behalf of
investorsin the UBP fund 5/8/09S.D.N.Y. Beacon Associates
Management; individual Heredefendants; Ivy Asset Management
LLC;Beacon Associates LLC I and BeaconAssociates LLC II/William C.
Towsley et alTrustees of the I.B.E.W. Local 43 and
ElectralContractors Welfare Fund; John S. Kogut et alas Trustees of
the I.B.E.W. Local 43 andElectrical Contractors Welfare fund; David
J.Henderson et al as Trustees and Participantsof the Oswego County
Laborers Local 214Pension Fund; Earl Hall et al as Trustees ofthe
Oswego County Laborers Local 214Pension Fund, on behalf of all
persons whoseERISA covered benefit plan assets wereharmed as a
result of imprudent investments inthe Beacon Associates funds in
investmentsmanaged by Bernard Madoff 5/12/09 S.D.N.Y. Jeffry M.
Picower; Barbara Picower;Here (Bankr.) Capital Growth Company;
Favorite Funds;JA Primary Limited Partneship; JA SpecialLimited
Partnership; other partnerships:The Picower Foundation; The
PicowerInstitute for Medical Research/ Irving H.Picard Trustee for
the Liquidation of BernardL. Madoff Investment Securities LLC {In
re:Bernard L. Madoff Investment Securities LLC} 5/12/09 S.D.N.Y.
Harley International (Cayman) Ltd./ Irving Here (Bankr.) H. Picard
Trustee for the Liquidation ofBernard L. Madoff Investment
Securities LLC Copyright 2010 Kevin M. LaCroix 15. {In re: Bernard
L. Madoff InvestmentSecurities LLC} 5/13/09 D.N.M. J. Ezra Merkin;
Bernard Madoff; Stanley HereChais, others/ Irving Picard d/b/a
JonathanLee Riches (Pro Se Complaint) 5/18/09 S.D.N.Y. Fairfield
Sentry Limited; Greenwich SentryHere (Bankr.) L.P.; Greenwich
Sentry Partners L.P./ IrvingH. Picard Trustee for the Liquidation
ofBernard L. Madoff Investment Securities LLC{In re: Bernard L.
Madoff InvestmentSecurities LLC} 5/27/09 D. Colo. Fiserv, Inc.;
Fiserv Trust CompanyHereRetirement Accounts, Inc.; NTC & Co.
LLP;Trust Industrial Bank; Lincoln Trust Co.;Robert Beriault
Holdings, Inc.; TDAmeritrade Online Holdings Corp.; TDAmeritrade
Holding Corp./Max Rudman,Betty Smelin, Raanan Smelin, on behalf of
all -persons who had self-directed IRAs with Fiservthat were
invested in BMIS 5/29/09 E.D.Pa.Meridian Capital Partners, Inc.;
Meridian HereDiversified Fund, Ltd.; Meridian DiversifiedFund
Management, Ltd.; William H.Lawrence; Ernst & Young LLP/R.W.
GrandLodge of Free & Accepted Masons ofPennsylvania
6/5/09S.D.N.Y. Irving H. Picard/Mary Albanese;, Brow Here (Bankr.)
Family Partnership; Laurence Kaye; SuzanneKaye; Rose Less, on
behalf all persons whowere investors in Bernard L. MadoffInvestment
Securities LLC from inception untilDecember 11. 2008 {In re:
Bernard L. MadoffInvestment Securities LLC} [Class Action
forDeclaratory Judgment] 6/5/09S.D.N.Y. Family Management
Corporation; SeymourHereZises; Andrea Tessler; Maxam AbsoluteReturn
Fund L.P.; Maxam CapitalMangement LLC; Beacon Associates LLC
I;Beacon Associates Management Corp./JohnFerrini; SEP F/B/O John
Ferrini-PershingLLC 6/10/09 S.D.N.Y. Bernard L. Madoff; Kingate
Management HereLimited; Tremont (Bermuda) Limited; FIMAdvisers LLP;
CITI Hedge Fund ServicesLtd. ; individual defendants/
CriteriumCapital Funds B.V./BBF Trust/ Wall StreetSecurities S.A.;
Banca Arner, S.A./ AlvaroCastillo on behalf all share holders of
KingateGlobal Fund, Ltd and Kingate Euro Fund Ltd.as of December
11, 2008 6/10/09 S.D.N.Y. Irving H. Picard/Mary Albanese;, Brow
Here (Bankr.) Family Partnership; Laurence Kaye; SuzanneKaye; Rose
Less, on behalf all persons whowere investors in Bernard L. Madoff
Copyright 2010 Kevin M. LaCroix 16. Investment Securities LLC from
inception until December 11. 2008 {In re: Bernard L. Madoff
Investment Securities LLC} [Class Action for Declaratory Judgment]
6/10/09 D. Colo.First Trust Corporation RetirementHere Accounts,
Inc.; Fiserv Trust Company; Trust Industrial Bank; Lincoln Trust
Company; NTC & Co. LLP; TD Ameritrade Trust Company; TD
Ameritrade Online Holding Corp.; Robert Beriault Holdings/William
J. Cohen and Eleanor Cohen on behalf of all persons who had self-
directed IRAs with Fiserv that were invested with BMIS 6/11/09 E.D.
Pa.Austin Capital Management, Ltd.; Austin Here Capital Management
Gp Corp.; individual defendants; Victory Capital Management;
KeyCorp/Board of Trustees, Steamfitters Local 449 Retirement Fund;
Joseph M. Little and Regis R. Claus guardians ad litem, on behalf
of all employee benefit funds that named Austin Capital Management
as investment manager and whose assets were invested with BMIS
6/12/09 N.D. Ill. Last Atlantis Partners LLC; Last Atlantis Here
Capital Management; Irwin Berger; Stig Ostgaard/Robert C. Jenkins;
Robert C. Jenkins Living Trust; Allen Hargest 6/12/09
S.D.Fla.Standard Chartered Bank International Here (Americas)
Limited; Standard Chartered Private Bank/Jose Antonio Pujals; Rosa
Julieta A. DePujals, on behalf of all defendants customers who were
charged Fairfield Fees between June 12, 2004 and December 23, 2008
6/16/09 N.Y. Sup. Ct. Mark Madoff; Andrew Madoff/RichardHere Stahl
6/16/09 N.Y. Sup. Ct. Mark Madoff; Andrew Madoff/Reed Abend Here
6/22/09 S.D.N.Y.Cohmad Securities Corporation; Maurice J. Here
Cohn; Marcia B. Cohn; Robert M. Jaffee/Securities and Exchange
Commission 6/22/09 S.D.N.Y.Stanley Chais/Securities and Exchange
Here Commissions 6/22/09 S.D.N.Y.Cohmad Securities Corporation;
Maurice J. Here Cohn; Marcia B. Cohn; Robert M. Jaffee; other
individual defendants// Irving H. Picard Trustee for the
Liquidation of Bernard L. Madoff Investment Securities LLC {In re:
Bernard L. Madoff Investment Securities LLC} 6/22/09 M.D.Fla.Irving
H. Picard; FBI Special Agent JohnHere Sereno; Captain Richard
Conklin; Anthony Tuccinardi; Paul Tuccinardi; Angelo Tuccinardi;
Mario Tuccinardi; Tony Socci; Jennifer Telesco; Stamford Police
Copyright 2010 Kevin M. LaCroix 17. Department; Hillsborough County
Sheriffs Department; Tampa Police Department/Jonathan Lee Riches
(pro se claimant) a/k/a Bernard Madoff [habeas corpus petition]
6/25/09 E.D.Pa. Austin Capital Management, Ltd.; AustinHere Capital
Management Gp Corp.; individual defendants; Victory Capital
Management; KeyCorp/Laborers District Counsel of Western
Pennsylvania Pension Fund; Philip Ameris and; John C. Busee as
Trustees, and on behalf of all benefit plans that had named Austin
Capital Management as investment manager 6/26/09S.D.N.Y. Safra
National Bank of New York; SiamHere Capital Management Ltd.; Banque
Jacob Safra (Gibralter) Ltd.; PricewaterhouseCoopers Accounting
Services Ltd.; individual defendants/SSH Holdings Group Ltd on
behalf of persons acquiring shares of Zeus Partners Ltd between
December 1, 2004 and December 11, 2008 6/30/09S.D. Fla.Horse
Illustrated d/b/a Bow Tie Magazines, Here et al./Bernard Madoff,
Jonathan Lee Riches (pro se complaint)7/1/09 Calif. Dept. of
Stanley Chais (Desist and Refrain Order) Here Corp.7/2/09
S.D.N.Y.Gabriel Capital L.P.; Ezra Merkin; BDO Here Seidman
LLP/Croscill Inc., Florence Kahn, Weiberg Intervivos Trust; Douglas
J. Kahn 2008 Family Trust; David Kahn 2008 Family
Trust7/2/09S.D.N.Y. Union Bancaire Prive; Union BancaireHere Prive
Asset Management LLC; UBPI Holdings, Inc.; individual
defendants/Declan Farrell and Warren Pack on behalf of investors in
Selectinvest Funds and other funds offered and managed by Union
Bancaire Prive and its subsidiaries7/8/09N.Y. Sup. Ct.Gerald
McEvoy/The Guardian Life InsuranceHere Company of
America7/8/09S.D.N.Y. Barry Drogy/The Guardian Life InsuranceHere
Company of America 7/13/09S.D.Tex. The Commonwealth of Antigua
andHere Barbuda/ Joan Gale Frank; Jon A. Bell; Samuel Bukrinsky;
Jaime Alexis Arroyo Bornstein; Peggy Roif Rothstain; Juan C. Olano
and John Wade in his capacity as trustee of the Microchip ID
Systems Inc. Retirement Plan on behalf of all persons who were
customers of Stanford International Bank Ltd. [Note: This Stanford
Financial Group case contains allegations that SIBL invested with
BMIS] Copyright 2010 Kevin M. LaCroix 18. 7/13/09D. Colo.Richard A.
Guggenheimer; Cathleen A. HereLieberman; Norma Shapiro/Trust
IndustrialBank d/b/a Fiserv Investment Support Servicesand NTC
& Co. (complaint for declaratoryjudgment and for stay of class
arbitrationbrought by all persons who opened self-directed IRAs
with Fiserv that were investedwith BMIS) 7/14/09 S.D.N.Y. Herald
Fund SPC; HSBC Bank PLC; HSBC HereSecurities Services/ Irving H.
Picard Trusteefor the Liquidation of Bernard L. MadoffInvestment
Securities LLC {In re: Bernard L.Madoff Investment Securities LLC}
7/15/09 S.D.N.Y. Federal Insurance Company/Ann & Hope HereInc.;
Helen Realty Co.; Samuel N. Chase;Irwin Chase; Marjorie Chase
Alpert Torgan 7/15/09 S.D.N.Y. Alpha Prime Fund Limited; HSBC
BankHerePLC; HSBC Securities Services/ Irving H.Picard Trustee for
the Liquidation of BernardL. Madoff Investment Securities LLC {In
re:Bernard L. Madoff Investment Securities LLC} 7/15/09 S.D.N.Y.
Thybo Asset Management Fund; Thybo HereGlobal Fund Limited; Thybo
Return FundLimited; Thybo Stabel Fund Ltd. / Irving H.Picard
Trustee for the Liquidation of BernardL. Madoff Investment
Securities LLC {In re:Bernard L. Madoff Investment Securities LLC}
7/15/09 S.D.N.Y. Primeo Fund; HSBC Bank PLC; HSBC HereSecurities
Services/ Irving H. Picard Trusteefor the Liquidation of Bernard L.
MadoffInvestment Securities LLC {In re: Bernard L.Madoff Investment
Securities LLC} 7/17/09 S.D.N.Y. Anthony L.M. Inder Rieden; Dawn E.
HereDavies; Euro-Dutch Management Ltd. ;Ernst & Young [Cayman
Islands]; Ernst &Young [Bahamas]; Ernst & Young LLP;Harley
International (Cayman) Ltd.; FixAsset Management/Tradex Global
MasterFund SPC Ltd. on behalf of all persons whoowned shares of
Santa Clara I Fund 7/21/09 S.D.N.Y. Gabriel Capital L.P.; Ezra
Merkin; BDO HereSeidman L.P./Morris Fuchs Holdings LLC 7/22/09
S.D.N.Y. Kingate Management Limited; FIMHereLimited; FIM Advisers
LLP; FIM (USA)Inc.; Citi Hedge Fund Services
Ltd.;PricewaterhouseCoopers Bermuda;individual defendants/Andorra
Banc AgricReig SA, on behalf of investors in the KingateGlobal and
Kingate Euro Fund 7/29/09 S.D.N.Y. Ruth Madoff/Irving Picard
Trustee for theHereLiquidation of Bernard L. Madoff { In
Re:Liquidation of Bernard L. Madoff InvestmentSecurities LLC}8/5/09
S.D.N.Y. Beacon Associates LLC I/Beacon AssociatesHere Copyright
2010 Kevin M. LaCroix 19. Management Corp. 8/11/09 S.D.N.Y.Frank
Dipascali, Jr./Securities and ExchangeHere Commission 8/11/09
S.D.N.Y.Frank DiPascali, Jr./United States of America Here
(Criminal Information) 8/12/09Sup.Ct. N.Y. Larry Meistrich; Ari
Friedman; Andrew Here Madoff; Nehst Media Enterprises, LLC; Red
Coral LLC; Lil Nikki LLC/ Dana Offenbach 8/19/09S.D.Fla. Standard
Chartered Bank International Here (Americas) Limited; Standard
Chartered PLC; Fairfield Greenwich Group; Fairfield Greenwich
Limited; Fairfield Greewich (Bermuda) Ltd.; Fairfield Greenwich
Advisors LLC; Fairfield Sentry Ltd.; Fairfield Sigma, Ltd.; Walter
Noel, Jr.; individual defendants/Ricardo Lopez 8/20/09D.Ariz.Joe
Arpaio d/b/a Maricopa County Sheriff; Here Irving H. Picard; Frank
Dispascali; David Friehling/Bernard Madoff; Johnathan Lee Riches
8/31/09 S.D.N.Y.J.P. Jeanneret Associates, Inc.; Ivy AssetHere
Management, LLC; Bank of New York Mellon Corporation; individual
defendants/ Plumbers & Steamfitters Local 267 Pension Fund and
its trustees, on behalf of all persons who were provided with
investment advisory services by J.P. Jeanneret or Ivy Asset
Management at any time between January 1, 1996 through the present
and who suffered damages as a result of Jeanneret's or Ivys
decision to invest with BMIS 9/11/09 S.D.N.Y.Notz, Stucki
Management (Bermuda) Here Limited; Notz, Stucki & Cie, S.A.;
individual defendants; BDO Compagnie Fiduciaire, Luxembourg; UBS
(Luxembourg) S.A.; PricewaterhouseCoopers Luxembourg; Frank
DiPascali, Jr.; Peter Madoff; Andrew Madoff; Mark Madoff/Matias
Erausquin; Enrique Erausquin; Liliana Controne; and Yolanda
Freischknecht, on behalf of all persons who owned shares of Plaza
Fund on December 10, 2008 9/15/09Sup.Ct.N.Y.Fairfield Greenwich
Advisors, LLC;Here Fairfield Greenwich Limited/Aon Services
Corporation9/17/09Cal.Sup.CtStanley Chais/People of the State of
CalifoniaHere 9/24/09S.D. Fla.Standard Chartered Bank International
Here (Americas) Limited/ Maridom Limited; Caribetrans; Abbot
Capital, Inc. 10/2/09 S.D.N.Y.Peter Madoff; Mark Madoff; Andrew
Here Madoff; Shana Madoff/ Irving Picard Trustee for the
Liquidation of Bernard L. Madoff { In Re: Liquidation of Bernard L.
Madoff Copyright 2010 Kevin M. LaCroix 20. Investment Securities
LLC} 10/2/09 S.D.N.Y. J.P. Jeanneret Associates, Inc.; Ivy
AssetHereManagement Corporation; individualdefendants/Board of
Trustees of the BuffaloLaborers Security Fund, Board of Trustees
ofthe Buffalo Laborers Welfare Fund, theBuffalo Laborers Welfare
Staff Fund, onbehalf of all ERISA plans advised by
JeanneretAssociates or Ivy Asset Management to investin any
Madoff-related 10/13/09S.D.N.Y. United States of America/Phyllis
Molchatsky;HereSteven Schneider 11/11/09N.D.N.Y. Bob Mantello and
Earl N. Hall as Trustees Hereof the Bricklayers and Allied
CraftsmanLocal 2 Annuity Fund, et al./J.P. JeanneretAssociates Inc.
(individual lawsuit brought byinvestment advisor against pension
planinvestors seeking declaratory judgmentapproving method of
distribution of liquidatedassets of the Income Plus Investment
Fund,which had invested in BMIS) 11/13/09S.D.N.Y. Jerome OHara;
George Perez/Securities andHereExchange Commission 11/25/09M.D. La.
Tremont Group Holdings, Inc.; Tremont HerePartners, Inc.;
Oppenheimer AcquisitionCorporation; KPMG, LLP; Rye SelectBroad
Market Fund L.P., NominalDefendant/Municipal Employees
RetirementSystem of Louisiana Individually andDerivatively on
behalf of Rye Select BroadMarket Fund L.P. 12/11/09 E.D.Va. FAMM
a/k/a Families Against Mandatory HereMinimums, et al/Jonathan Lee
Riches, d/b/aBernard L. Madoff, a/k/a Bernie Madoff
1/4/10W.D.Okla.Bernard Madoff/Jana LeDawn Stevens; SaudHereFahd
1/6/10 D.D.C.Securities and Exchange HereCommission/Citizens for
Responsibility andEthics in Washington 1/15/10D.Colo. Readers
Digest d/b/a The Readers Digest HereAssociation, et al.,/Jonathan
Lee Riches d/b/a/Bernard L. Madoff a/k/a Bernie Madoff
1/19/10E.D.Pa. AGL Life Assurance Company/The MichaelHereS. Rulle
Family Dynasty Trust 1/21/10 S.D. Fla.EFG Capital International
Corp.; EFGHereBank f/k/a/ EFG Private Bank SA/Lorreneda Silva
Ferreira and Arlete da Silva Ferreira,on behalf of all customers of
EFG who investedwith Fairfield Sentry and who had notredeemed their
interest as of December 11,2008 2/5/10S.D.N.Y. First Frontier L.P.;
Frontier Capital HereManagement, LLC; Frontier AdvsiorsCorp. Mark
Ostroff, FNU Ostroff; Copyright 2010 Kevin M. LaCroix 21. Beacon
Associates LLC I; Beacon Associates Management Corp; Ivy Asset
Management Corp.; The Bank of New York; Mellon Corp.; Joel Danziger
Esq.; Harris Markhoff, Esq.; Anchin, Block & Anchin LLP/ Jack
Saltz as Trustee of Susan Saltz Charitable Lead Annuity Trust;
Susan Saltz Descendants Trust; Susan Saltz 2/16/10S.D.Fla. Jeffry
W. Pickower Estate; Barbara Here Picower; Capital Growth Company;
Decisions, Inc.; Favorite Funds; JA Primary Limited Partnership; JA
Special Limited Partnership; JAB Partnership; JEMW Partnership; JF
Partnership; JFM Investment Companies; JLN Partnership; JMP Limited
Partnership; Jeffry M. Picower Special Company; Jeffry M. Picower,
P.C.; Picower Foundation; The Picower Institute of Medical
Research; The Trust F/B/O Gabrielle H. Picower/ Adele Fox,
individually and on behalf of all persons who maintained customer
accounts with BMIS who are not SIPA payees and who have not
received the net account value scheduled in their BMIS accounts as
of the day before the SIPA liquidation 2/23/10D.Conn.Connecticut
Community Bank, N.A., ownerHere of Westport National Bank/Sol
Davis, Individually and as Trustee of the Sol Davis Retirement
Plan, et al. 2/24/10D.N.J. Stephen Harbeck; Armando J. Bucelo, Jr.;
Here Todd S. Farsha; William H. Heyman; William S. Jasien; David G.
Nason; Mark S. Shelton; David J. Stockton/Lissa Canavan; Leslie
Goldsmith; Judith Kalman 2/25/10 S.D.N.Y.Daniel
Bonaventre/Securities and ExchangeHere Commission 3/9/10 D.N.J. The
Goldman Sachs Group; The AycoHere Company/Jerome Goodman 4/12/10
N.D. Cal. Ivy Asset Management; The Bank of NewHere York; Mellon
Corp./Stephen C. Schott as Trustee for the Stephen C. Schott 1984
Trust 4/15/10 S.D. Fla. Safra National Bank of New York; Safra Here
Asset Management Corporation/Enrique Fefer and Dalia Fefer as
Trustees of the Enrique Usher Fefer Revocable Trust 4/19/10Ct.
Superior Westport National Bank, a division ofHere Court
Connecticut Community Bank, N.A.; PSCC Services, Inc; Robert
Silverman/Howard F. Pitkin, Banking Commissioner 4/22/10M.D. Tenn.
Dolly Parton, D/B/A Dollyworld; Jonathan Here Lee Riches/Bernard L.
Madoff Copyright 2010 Kevin M. LaCroix 22. Table IV: Additional
Lawsuits Against Related DefendantsDateForum Defendants/Claimants
Link D&O Diary Post 12/22/08S.D.N.Y.Massachusetts Mutual Life
InsuranceHere Company; Oppenheimer Acquisition Corporation; Tremont
Group Holdings, Inc.; Rye Investment Management Group; Harry
Hodges; Rye Select Broad Market Prime Fund; Rye Select Broad Market
Fund; Tremont Partner, Inc./Arthur Lange on behalf of all investors
in the Rye Funds 12/23/08S.D.N.Y.Rye Select Broad Market Fund,
L.P.; TremontHere Partners, Inc.; Tremont Group Holdings, Inc.; Rye
Investment Management; individual directors and officers of
Tremont/ Arthur Brainson IRA on behalf of limited partnership
investors in Rye Select 1/9/09S.D.N.Y.Fairfield Greenwich Group;
Fairfield Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.;
Fairfield Greenwich Advisors LLC; Walter M. Noel, Jr. and other
individuals/ Pasha and Julia Anwar on behalf of investors in
Greenwich Sentry L.P. {NOTE: This case was removed to federal court
from N.Y. Sup. Ct. and consolidated with other federal court
Fairfield Greenwich litigation, see consolidation order here}
1/12/09 S.D.N.Y.Fairfield Greenwich Group; Fairfield Here Greenwich
(Bermuda) Ltd.; Fairfield Greenwich Limited; Fairfield Greenwich
Advisors LLC; Fairfield Risk Services Ltd.; CITGO Bank Netherland
N.V. Dublin Branch; CITGO Fund Services (Europe) B.V.; Walter Noel
and other individuals/ Inter-American Trust, Elvira 1950 Trust,
Carlos Gauch, Bonaire Limited on behalf of investors in the
Fairfield Sentry Fund 1/20/2009 S.D.N.Y.Argus International Life
Bermuda Limited;Here Argus Group Holdings Limited; Massachusetts
Mutual Life Insurance Co,; Oppenheimer Acquisition Corporation; Rye
Investment Management; Rye Select Broad Market Fund L.P., Rye
Select Broad Market Insurance Portfolio, LDC; Tremont [Bermuda]
Limited; Tremont Capital Management Inc.; Tremont Group Holdings,
Inc., Tremont International Insurance Limited; Tremont Partners,
Inc./ Chateau Fiduciaire S.A. as Trustee of the Map Trust on behalf
of all persons who purchased or held variable universal life
insurance offered by Argus International Life Bermuda Limited
f.k.a. Tremont International Life Insurance Limited Copyright 2010
Kevin M. LaCroix 23. from January 2003 to the Present 1/30/09
D.Mass. Rye Select Broad Market Fund, L.P.; TremontHere Partners
Inc.; Tremont Group Holdings, Inc.; Oppenheimer Acquisition Corp.;
MassMutual Holdings LLC; Massachusetts Mutual Life Insurance
Company; individual officers and directors/ The William Kretschmar
Revocable Trust and Inch of Gold on behalf of all investors in Rye
Select Broad Market Fund, L.P. 1/30/09 C.D.Cal.Robert Schulman and
other individual Here defendants/ Tremont Parnters, Inc.; Tremont
Group Holdings, Inc; Rye Select Broad Market Fund f/k/a American
Masters Broad Market Prime Fund L.P.; Massachusetts Mutual Life
Insurance Co.; Oppenheimer Acquisition Corporation; MassMutual
Holding Co.; Citibank N.A./White Trust Dated May 3, 2002 and Rigdon
O. Dees III {Note: This case was originally filed in the Superior
Court for Los Angeles County and removed to federal court;, a
separate entry on the removed case appears above in Table II}
2/4/09S.D.N.Y.Banco Santander S.A.; Banco SantanderHere Here
International; Optimal Investment Services S.A.;
PricewaterhouseCoopers; HSBC Securities Services (Ireland) Ltd.;
HSBC Institutional Trust Services (Ireland) Ltd.; HSBC Bank USA,
N.A.; individual directors and officers/ Serol Holding Corporation
on behalf of all persons or entities who owned shares of Optimal
Strategic U.S. Equity Ltd. on December 10, 2008 2/6/09D.
Mass.Massachusetts Mutual Life InsuranceHere Company; Mass Mutual
Holding Company; Mass Mutual Holding Trust I; Oppenheimer
Acquisition Corp; OppenheimerFunds, Inc.; individual directors and
officers; Tremont Partners, Inc.; Tremont Group Holdings, Inc./
Madelyn Haines and Paul Zamrowski on behalf of limited partners in
Tremont Market Neutral Fund L.P. and Tremont Market Neutral Fund
II, L.P. 2/6/09S.D.N.Y.Tremont Group Holdings, Inc.; TremontHere
Partners, Inc.; Rye Investment Management, Inc.; Oppenheimer
Acquisition Corporation; Massachusetts Mutual Life Insurance Co.;
Rye Select Broad Market Fund, L.P. f/k/a American Masters Broad
Market Fund L.P.; Rye Select Broad Market Prime Fund L.P. f/k/ a
American Masters Broad Market Prime Fund L.P., Rye Select Broad
Market XL Fund, L.P; Ernst & Young LLP, and KPMG LLP/Eileen
Silvers and Richard J. Bronstein on behalf of all persons who
purchased limited Copyright 2010 Kevin M. LaCroix 24. partnership
interests in Rye Select Broad Market Fund L.P., Rye Select Broad
Market Prime Fund L.P. or the Rye Select Broad Market XL Fund L.P.
between December 21, 2003 through December 21, 2008. 2/17/09
S.D.N.Y.Tremont Group Holdings, Inc.; RyeHere Investment
Management; Tremont Partners, Inc.; Robert Ivan Schulman; Rupert
Andrew Allen; Cynthia J. Nicoll; Stephen Thomas Clayton;
Oppenheimer Acquisition Corporation; MassMutual Holdings LLC;
Massachusetts Mutual Life Insurance Company; Select Spectrum
Partners LLC; Gary Busel; Ronald Pearson; KPMG LLP; and BDO Seidman
LLP/John F. Keane Jr. Trustee on bhelaf of all investors who as of
December 11, 2008 in Rye Select Broad Market Prime Fund, L.P; Rye
Select Broad Market Fund L.P.; and Rye Select Broad Market XL Fund
L.P. 2/18/09 S.D.N.Y.Argus Group Holdings Ltd.; Argus Here
International Life Bermuda Ltd.; MassMutual Holding LLC;
Massachusetts Mutual Life Insurance Company; Oppenheimer
Acquisition Corp.; Rye Investment Management; Rye Select Broad
Market Fund, L.P.; Rye Select Broad Market Insurance Portfolio LDC;
Tremont (Bermuda) Ltd.; Tremont Capital Management; Tremont Group
Holdings, Inc.; Tremont International Insurance Ltd.; Tremont
Partners, Inc.; Ernst & Young LLP; KPMG, Ltd./ The Geoffrey
Rabie Credit Shelter Trust, the Joanne Brenda Rabie Credit Shelter
Trust on behalf of all persons that held policies issued by Tremont
Insurance International or Argus International and managed by
Tremont Capital Management or Rye, through December 10, 2008.
3/4/09S.D.N.Y.Ariel Fund, Ltd.; Gabriel CapitalHere Corporation; J.
Ezra Merkin; Fortis Bank (Cayman) Ltd.; Fortis Prime Solutions
(Cayman) Ltd; Fortis Bank BDO Tortuga; BDO International/
Nephrology Associates Pension Plan on behalf of all investors in
the Ariel Fund Limited who had not redeemed their interests as of
December 11, 2009 3/5/09N.D.Tex.Irving Piccard; Bernard Madoff;
PeterHere Madoff; Shana Madoff; Andrew Madoff; Banco Santander;
Manuel Echevegria; Robert Jaffe; Cohmad Securities; Fairfield
Greenwich Corp.; Optimal Investment Services; Rachel Piccoli;
Gensee Capital Corp.; Pricewaterhouse Coopers; HSBC Holding PLC;
Bank Medici/Emilo H. Chavez Jr., Chavez Esatate Copyright 2010
Kevin M. LaCroix 25. 3/5/09S.D.N.Y.Bernard L Madoff; Bank Medici;
Sonja Kohn; Here Peter Scheithauer; Herald USA Fund; Herald
Luxemburg Fund; Bank Austria Creditanstalt; Unicredit S.A.; Primeo
Select Fund; Primeo Executive Fund; Pioneer Alternative Investment;
Thema International Fund PLC; individual defendants; 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/Horst Leonhardt on behalf of those who purchased
investments in funds that were controlled or managed by Medici
between January 12, 2004 and January 12, 2009 3/11/09
S.D.N.Y.Fairfield Sentry Limited; Fairfield GreenwichHere (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./The
Knight Services Holdings Limited on behalf of all others similarly
situated 3/10/09 S.D.N.Y Fairfield Greenwich Group; Fairfield Here
Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield
Greenwich Advisors LLC; Fairfield Risk Services Ltd.; Walter Noel,
Jr.; Jeffrey H. Tucker; Andres Piedrahita/Shimon Laor, Michael
Pompan, Mandes Investment & Enterprice Ltd. on behalf of all
shareholders of Fairfield Sentry Ltd. as of December 11, 2008.
3/11/09 W.D.Wash. Tremont Group Holdings, Inc.; TremontHere
Partners, Inc.; Rye Investment Management (a.k.a. Rye Investments
Inc.); Oppenheimer Acquisition Corporation; Oppenheimer Funds,
Inc.; Massachusetts Mutual Life Insurance Company; individual
defendants; KPMG LLP; Bank of New York; Mellon Corporation; BNY
Alternative Investment Services, Inc.; Futureselect Portfolio
Management Services, Inc.; NOMINAL DEFENDANTS: Futureselect Prime
Advisor II, LLC; Rye Select Broad Market Fund LP; Rye Select Broad
Market Prime Fund LP; Rye Select Broad Market XL Fund LP/John
Dennis {NOTE: This case was voluntarily dismissed on 4/29/09, refer
here} 3/11/09 S.D.N.Y.Argus International Life Bermuda Limited;Here
Copyright 2010 Kevin M. LaCroix 26. Argus Group Holdings Limited;
Massachusetts Mutual Life Insurance Co.; Oppenheimer Acquisition
Corporation; Rye Investment Management; Rye Select Broad Market
Fund L.P.; Rye Select Broad Market Insurance Portfolio, LDC;
Tremont [Bermuda] Limited; Tremont Capital Management, Inc.;
Tremont Group Holdings, Inc.; Tremont International Insurance
Limited; Tremont Partners, Inc.; Ernst & Young LLP; KMPG LLP/
The Harriet Rutter Klein Revocable Truston behalf of persons who
purchased or held deferred variable annuities from Argus during the
period from March 2003 to the present 3/11/09 S.D.N.Y.Argus
International Life Bermuda Limited; Here Argus Group Holdings
Limited; Massachusetts Mutual Life Insurance Co.; Oppenheimer
Acquisition Corporation; Rye Investment Management; Rye Select
Broad Market Fund L.P.; Rye Select Broad Market Insurance
Portfolio, LDC; Tremont [Bermuda] Limited; Tremont Capital
Management, Inc.; Tremont Group Holdings, Inc.; Tremont
International Insurance Limited; Tremont Partners, Inc.; Ernst
& Young LLP; KMPG LLP/ The Matthew L. Klein Revocable Family
Trust on behalf of persons who purchased or held variable universal
life insurance policies from Argus during the period from March
2003 to the present 3/16/09 S.D.N.Y.Beacon Associates LLC I; Beacon
AssociatesHere Management Corporation; Ivy Asset Management; Joel
Danziger; Harris Markhoff; The Bank of New York; Mellon
Corporation; Freidberg Smith & Co. P.C./Jay Raubvogel
individually and as trustee of the M. Raubvogel Co. Trust, on
behalf of purchasers of limited company interests of Beacon
Associates LLP I between January 1, 2000 and December 11, 2008.
3/16/09 S.D.N.Y.Standard Chartered International USA (Ltd.);Here
Standard Chartered PLC; Fairfield Greenwich Group; Fairfield
Greenwich Limited; Fairfield Greenwich (Bermuda) Ltd.; Fairfield
Greenwich Advisors LLC; Fairfield Sentry Ltd.; individual
defendants; Jitendra Bhatia; Gopal Bhatia; Kishanchand Bhathia;
Jayshree Bhatia; Mandakini Gajaria 3/19/09 S.D.N.Y.Worldwide Fund
Management, Ltd.; Bank Here Austria Creditanstalt; Bank of Bermuda
(Cayman) Limited; Bank of Bermuda (Luxembourg) S.A.; Bank Medici
AG; Ernst & Copyright 2010 Kevin M. LaCroix 27. Young; Primeo
Fund; Herald Fund SPC; HSBC Holdings plc; HSBC Institutional Trust
Services (Ireland) Ltd.; HSBC Securities Services (Ireland) Ltd.;
HSBC Securities Services (Luxembourg) S.A.; Pioneer Alternative
Investment Management Limited; Pricewaterhouse Coopers; Thema
International Fund plc; Unicredit S.A.; individual defendants/
Fabian Perrone and Chia-Hung Kao 3/24/09 S.D.N.Y.J. Ezra Merkin;
Gabriel Capital Corporation/ Here Equal Investments Limited on
behalf of all persons who owned Ariel Fund Ltd. shares as of
December 11, 2008 3/25/09 S.D.N.Y.Banco Santander S.A.; Banco
SantanderHere International; Optimal Investment Services S.A.; HSBC
Securities Services (Ireland) Ltd.; individual defendants;
PricewaterhouseCoopers/Welinton David Santos; Adolfo Koblecovsky;
Alejandro C. Arroyo; Mateo Codinas Abad; Juan Martin Aparicio;
Balmica Gestion S.L. on behalf persons owning participating shares
in the Optimal Strategic U.S. Equity Series of Optimal
Multiadvosiors, Ltd. or the Optimal SUS Ireland Fund (Case
Consolidated under Multidistrict Litigation Order, here) 3/31/09
S.D.N.Y.Massachusetts Holding LLC; Massachusetts Here Mutual Life
Insurance Co.; Oppenheimer Acquisition Corp.; New York Life
Insurance Company and Annuity Corporation; Rye Investment
Management; Rye Select Broad Market Prime Fund L.P.; Rye Select
Broad Market XL Fund LP; Rye Select Broad Market Insurance
Portfolio; Tremont Capital Management; Tremont Opportunity Fund III
LP; Tremont (Bermuda) Ltd.: Tremont Group Holdings, Inc.; Tremont
Partners Inc.; individual defendants/F. Daniel Prickett
4/2/09S.D.N.Y.Beacon Associates Management Corp.; Joel Here
Danziger, Esq.; Harris Markhoff; Ivy Asset Management Corporation/
Plumbers Local 112 Health Fund on behalf of all persons who
invested in Beacon Associates funds during the period August 9,
2004 to the present 4/3/09D.Colo. Fiserv, Inc.; Fiserve Trust
Company; NTC & Here Co.; Trust Industrial Bank; Robert Beriault
Holdings, Inc.; Lincoln Trust Company; TD Ameritrade Online
Holdings Corp.; TD Ameritrade Holding Corporation/ Eric D.
Weinstein on behalf of all persons who were victims of Madoff's
fraud through pension or IRA accounts with Fiserv, Inc. et al
4/9/09S.D. Fla. Banco Santander S.A.; Banco SantanderHere Copyright
2010 Kevin M. LaCroix 28. International; Optimal Investment
Services S.A.; Optimal Multiadvisors Ltd.; Optimal Strategic U.S.
Equity Ltd.; individual defendants; HSBC Institutional Trust
Services (Ireland) Limited; and HSBC Securities Services (Ireland)
Limited/Antonio Atencia Puado on behalf of investors in Optimal
Mulitadvisors who held shares in Optimal Strategic U.S. Equity Ltd.
as of December 11, 2008 (Case consolidated under Multidistrict
Litigation Order, here) 4/10/09 S.D.N.Y.Tremont Group Holdings,
Inc.; TremontHere Partners, Inc.; Tremont (Bermuda) Limited;
Oppenheimer Acquisition Corporation; KPMG LLP; KPMG (Cayman)/
Meridian Horizon Fund L.P.; Meridian Diversified Fund L.P.;
Meridian Diversified Fund Ltd.; Meridian Diversified ERISA Fund;
Meridian Absolute Return ERISA Fund; 4/23/09 S.D.N.Y.Fairfield
Greenwich Group; Fairfield Here Greenwich (Bermuda) Ltd.; Fairfield
Greenwich Advisors LLC; Fairfield Sentry Limited; individual
defendants; Citgo Bank 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/ Nadav Zohar and Ronit Zohar on behalf of all
persons invested in Fairfield Sentry Ltd. as of 12/11/08 6/12/09
S.D.N.Y.Kingate Management Limited; FIM Limited; Here FIM Advisers
LLP; FIM (USA) Incorporated; PricewaterhouseCoopers;
PricewaterhouseCoopers Bermuda; CITI Hedge Fund Services Limited;
Bank of Bermuda Limited; individual defendants/Silvana Worldwide
Corp. on behalf of investors in Kingate Global Fund 6/24/09
S.D.N.Y.Kingate Management Limited; FIM Limited; Here FIM Advisers
LLP; FIM (USA) Incorporated; PricewaterhouseCoopers;
PricewaterhouseCoopers Bermuda; CITI Hedge Fund Services Limited;
Bank of Bermuda Limited; individual defendants/ Eithan Ephrati on
behalf of investors in Kingate Global Fund 6/26/09 S.D.N.Y.Bernard
L. Madoff; Kingate ManagementHere Limited; Tremont (Bermuda)
Limited; FIM Advisers LLP; CITI Hedge Fund Services; individual
defendants/LucienGeldzahler on behalf of persons who invested in
Kingate Global Copyright 2010 Kevin M. LaCroix 29. Fund Ltd. and
Kingate Euro Fund Ltd. 8/3/09 S.D.N.Y.Tremont Capital Management,
Inc.; Tremont HerePartners Inc.; Tremont Group Holdings,
Inc.;Tremont (Bermuda) Limited; Rye InvestmentManagement, Inc.;
Oppenheimer AcquisitionCorporation; Massachusetts Mutual
LifgeInsurance Company; KPMG LLP; Bank ofNew York Mellon; Ernst
& Young; SHLCapital, Ltd; individual defendants/TheLugano
Trust; The Hermitage Trust; TheJaybee Trust; The Conick Trust; The
SonickTrust; The Clarick Trust and other Trusts 9/17/09N.Y.Sup.Ct.
Rye Select Broad Market Fund, L.P.; Rye HereSelect Broad Market XL
Fund, L.P.; TremontPartners, Inc.; Tremont Group
Holdings;Massachusetts Mutual Life InsuranceCompany; Oppenheimer
Acquisition Corp.;Goldstein, Golub, Kessler & Company,
LLC;McGladrey & Pullen LLP; KPMG LLP; BNYAlternative Investment
Services, Inc.; TheBank of New York Mellon Corp.; Fiserv
Inc.;individual defendants/Peter A. Zutty and RobertN. Zutty1/13/10
S.D.N.Y.Tremont Partners/Trustees of the Washington HereState
Plumbing and Pipefitting Industry PensionPlan, in their capacity as
fiduciaries of the fund,individually and on behalf of all funds
governedby ERISA that invested in any commingled fundor separate
account managed by Tremont, theassets of which constitute ERISA
plan assets3/8/10S.D.Fla.Banco Santander S.A.; Banco Santander
HereInternational; Santander Bank and Trust,Ltd.; Optimal
Investment Services, S.A.;Manual Echeverria Falla; Manuel
SanchezCastillo; Ana Maria Jaureguizar/SolymarInvestments, Ltd.;
Astrolite Investments, Ltd.;Sunrays Investments Ltd.Table V:
Madoff-Related Insurance Coverage LitigationDateCourt
Defendants/Claimants Link D&O Diary Post7/14/09 Minn. Dist. St.
Paul Fire & Marine Insurance Company; Here Here Ct.Travelers
Casualty and Surety Company ofAmerica/Upshur-Smith Laboratories,
Inc.7/15/09S.D.N.Y. Federal Insurance Company/Ann & Hope
Inc.;Here HereHelen Realty Co.; Samuel N. Chase; Irwin
Chase;Marjorie Chase Alpert Torgan7/20/09 Sup. Ct. N.J. Allied
World National Assurance Company;HereWestchester Surplus Lines
InsuranceCompany; United States Fire InsuranceCompany; Axis Surplus
Lines InsuranceCompany/ Bleznack Black LLC8/10/09 Del. Chanc.
Certain Underwriters at Lloyds, London;HereCt. Continental Casualty
Company, FederalCopyright 2010 Kevin M. LaCroix 30. Insurance
Company; Twin City Insurance Company; U.S. Specialty Insurance
Company; National Union Fire Insurance Company of Pittsburgh, Pa.;
Zurich American Insurance Company; Ace American Insurance Company;
XL Specialty Insurance Company; Axis Insurance Company; RLI
Insurance Company; Great American Insurance Company; ACE USA/ACE US
Holdings, Inc./ Massachusetts Mutual Life Insurance Company;
MassMutual Holding LLC; Oppenheimer Funds, Inc.; Tremont Group
Holdings; Tremont Partners, Inc.; Tremont (Bermuda) Limited; Rye
Select Broad Market Fund, L.P.; Rye Select Broad Market Insurance
Fund, L.P.; Tremont Market Neutral Fund, L.P.; Tremont Opportunity
Fund III, L.P.; Rye Select Broad Market Portfolio Limited; Rye
Select Broad Market Prime Fund, L.P.; Rye Select Board Market XL
Fund 8/19/09S.D.N.Y. AIG International Group, Inc.; AIGHere Here
International Insurance Company of California, Inc.; AIU Holdings,
Inc.; Chartis Insurance/Robert and Harelene Horowitz on behalf of
all Madoff investors who also had homeowners insurance policies
with Fraud SafeGuard coverage 8/27/09D.Conn.The Travelers
Companies; St. Paul Mercury Here Insurance Company/Associated
Community Bancorp; Connecticut Community Bank; Westport National
Bank; Dennis Clark 12/9/09S.D.N.Y. Firemans Fund Insurance
Companies/Sharon Here Lissauer 12/21/09 S.D.N.Y. Austin Capital
Management, Ltd.; Austin Here Capital Management GP Corp.;
individual defendants; Victory Capital Management; KeyCorp/Laborers
District Council Pension and Disability Trust Fund No.2; Justin
Meighan and George Maloney, Trustees Copyright 2010 Kevin M.
LaCroix