Notice List - Asset Servicing Group

Transcription

Case 1:09-cv-03125-RJS
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UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK
SECURITIES AND EXCHANGE COMMISSION,
Plaintiff,
-againstEDWARD T. STEIN,
Defendant,
-andDISP, LLC;
EDWARD T. STEIN ASSOCIATES, LTD.;
G&C PARTNERSHIP JOINT VENTURE;
GEMINI FUND I, L.P.;
PRIMA CAPITAL MANAGEMENT, LLC;
VIBRANT CAPITAL CORP.; and
VIBRANT CAPITAL FUNDING I LLC,
Relief Defendants.
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1:09-cv-03125-RJS
RECEIVER'S MOTION AND MEMORANDUM IN SUPPORT
OF AN ORDER APPROVING THE RETENTION OF
ENTWISTLE & CAPPUCCI AS SPECIAL COUNSEL
EXHIBIT B
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F IRM R ESUME
Florham Park, NJ New York, NY Philadelphia, PA
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Overview
Entwistle & Cappucci is a national law firm with eight offices strategically
located throughout the country to best serve our clients' diverse needs. We provide top-flight
legal representation and exceptional service to clients that include major public corporations, a
number of the nation's largest public pension funds, governmental entities, leading institutional
investors, domestic and foreign financial services companies, emerging business enterprises and
individual entrepreneurs.
The lawyers who founded this firm in 1998 did so with a fresh commitment to
excellence, integrity and creativity. Our strong reputation among clients, adversaries and the
judiciary is not inherited from prior generations. Instead, we have earned our reputation day-byday, client-by-client and matter-by-matter. Our approach to the practice of law is businessoriented, pragmatic and collegial.
As an entrepreneurial firm, we approach the issues facing our clients not merely
as lawyers but as business owners who understand the realities of the modern business
environment. We partner closely with our clients both in forging efficient solutions to the
challenges they face and in identifying the opportunities open to them. This practical approach
assists our clients in meeting their business objectives and rewards us with a loyal and expanding
client roster of which we are immensely proud.
Internally, we maintain a collegial environment that attracts and retains highly
qualified lawyers. Equipped with specialized knowledge relating to their respective areas of
expertise, our lawyers engage in a robust exchange of ideas aimed at expertly advancing and
protecting our clients' interests with the highest degree of professionalism and integrity.
Error! Unknown document property name.
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Practice Groups
We organize the firm's lawyers into a number of highly specialized practice
groups capable of responding effectively, efficiently and expeditiously to our clients'
increasingly diverse needs. Our practice groups, however, do not operate in isolation; teams of
lawyers from any number of these specialized groups often work together to provide a seamless
interdisciplinary approach that we find critical to effective problem solving.
In the following pages, we provide summaries of our approach to the law in the
principal areas of our practice:

Antitrust Litigation;

Appeals;

Bankruptcy Litigation;

Business and Commercial Litigation;

Corporate;

Corporate Governance;

Employment Litigation and Counseling;

Governmental Affairs;

Immigration;

Insurance Litigation;

Mergers, Acquisitions, Capital and Exit Strategies;

Securities Litigation; and

White Collar Criminal Defense and Internal Investigations.
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Antitrust Litigation
We have extensive experience in antitrust litigation, primarily in the areas of
price-fixing, market division, tying and monopolization. We are currently prosecuting a massive
price-fixing case involving fees charged by brokers in connection with stock loans. Our lawyers
have also litigated antitrust cases involving zoning, patents and major league baseball licensing
among many others, and can offer related counseling.
Appeals
The firm represents clients before state and federal appellate courts across the
country. Whether seeking a reversal of an adverse result or the affirmance of a favorable
outcome, clients routinely turn to our appellate lawyers for their careful assessment of the
viability of an appeal, mastery of the trial court record, well-crafted briefs and effective oral
argument.
Bankruptcy Litigation
We have substantial experience litigating complex bankruptcy matters. Among
other things, we have represented the Retired Employees Committee in the OMC bankruptcy,
equity holders in the American Bank Note bankruptcy and the State of Florida in connection
with the Enron bankruptcy. We have also served as special litigation counsel for the Global
Crossing Estate Representative in connection with the Global Crossing bankruptcy. In addition,
we represented the New York State Common Retirement Fund in the Refco, Inc. bankruptcy and
related litigations.
Business and Commercial Litigation
Our commercial litigators are devoted to the creative resolution of complex
business disputes on behalf of both corporate entities and individuals. We represent a diverse
client base in a correspondingly broad array of matters. Although the nature of these disputes
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may vary greatly, our approach to resolving them is consistent. From the outset, we
painstakingly marshal the relevant facts, objectively analyze the controlling law, assess the
underlying commercial realities and develop a strategy to achieve the client's business objectives
as efficiently and expeditiously as possible. Each of our commercial litigators understands this
strategy, which is applied to every business dispute we encounter. Our team approach
guarantees that each lawyer knows who is doing what and why they are doing it. This allows us
to staff our cases leanly from a deep bench of experienced litigators, and we can rapidly expand
or contract our litigation teams as circumstances dictate. However, from start to finish, we
maintain a core team of experienced litigators whose overriding objective is to materially
advance the client's objectives on a daily basis. "Litigation for litigation's sake" has no place in
our pragmatic and business-oriented approach. We understand firsthand that litigating complex
business issues is enormously expensive and disruptive. For this reason, we vigilantly explore
all available means short of a full-blown litigation to effect expeditious and favorable resolutions
to disputes, whether through direct negotiation with our adversaries or some means of alternative
dispute resolution, such as mediation or arbitration.
Corporate
We advise clients with respect to general legal matters relating to their business
operations, including the proper choice of entity and the formation of corporations, limited
liability companies and partnerships; negotiation and documentation of shareholder agreements,
limited liability company agreements, partnership agreements, employment agreements and
severance agreements; and partnership dissolutions and other business separations.
The firm also negotiates, structures and documents a wide variety of transactions
including consulting agreements and many other commercial agreements and contracts that are
dictated by the business needs of our clients. For matters involving intellectual property and
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information technology, we negotiate and document licenses, franchise and distributorship
arrangements, consulting agreements and related agreements.
A portion of our client base is comprised of foreign investors who buy and sell
U.S.-based assets and businesses. We understand the various challenges facing those making
cross-border investments in this country and can structure deals that maximize their opportunities
and minimize their exposure, just as we assist domestic businesses explore, develop and engage
in business transactions in foreign countries.
Finally, many of our clients have accumulated substantial assets and want to
develop comprehensive estate plans that reflect their priorities. We work with individuals and
families to integrate personal, business and philanthropic needs into estate planning.
Corporate Governance
We have extensive experience advising public and private institutional clients on
corporate governance matters, including board structure and composition, by-law and certificate
of incorporation provisions, takeover devices, management remuneration, and accounting and
reporting processes. We are well equipped to provide in-depth analyses of governance practices
and promote governance issues that best serve the long-term investment objectives of our
institutional clients.
We also litigate issues of corporate and board conduct arising from business
transactions. These matters can involve issues such as the fairness of the transaction based on
both pricing and process; the validity of take-over defenses such as poison pills and defensive
restructurings; and the fairness of executive compensation. Such cases commonly include
derivative claims alleging that the corporate entity's board of directors breached their fiduciary
duties and failed to exercise proper business judgment.
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Employment Litigation and Counseling
Our employment law group assists employers as they navigate the evolving and
expanding universe of laws affecting the workplace. One of this group's most important services
is counseling clients on designing and implementing policies and practices to avoid costly and
disruptive litigation commenced by current and former employees. It is an unfortunate business
reality that employers, regardless of size, will at some point become embroiled in disputes with
employees alleging discrimination, harassment, retaliation, wrongful discharge, wage and hour
law violations, whistleblower or any number of other employment-related claims. Our
employment litigators are experienced in investigating and assessing the workplace claims
brought against our clients and implementing a comprehensive strategy to dispose of those
claims in the least disruptive manner.
In addition to defending workplace claims, we have deep experience in
aggressively protecting our clients' confidential and proprietary business information. The firm's
litigators move quickly and decisively to pursue former employees and competitors in matters
involving breaches of restrictive covenants, misappropriation of confidential information and
trade secrets, breaches of fiduciary duty, breaches of the duty of loyalty and similar wrongdoing.
We also have extensive experience managing investigations into our clients' employment
practices commenced by regulators.
Our lawyers routinely draft employment contracts, employee handbooks,
restrictive covenants, and other documents used to memorialize the terms of the employeremployee relationship, that optimally position the employer should that relationship terminate or
turn hostile. Similarly, we help clients -- individuals and employers alike -- structure severance
packages for departing executives. We also have extensive experience advising employers as
they devise and implement plans for reductions in force.
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Governmental Affairs
Our governmental affairs practice is national in scope. We represent clients
requiring expertise in the development, management and resolution of public policy issues
before the governmental community. We work to ensure that our clients have the necessary
access to and level of advocacy before decision-makers in government.
Immigration
Immigration issues have proliferated as the global economy increases the demand
for skilled foreign workers. We routinely counsel clients in developing strategies to address
workplace immigration issues that ensure compliance with the controlling law while facilitating
competition in the global marketplace.
Insurance Litigation
We have a long history of representing insurance carriers in the negotiation and
litigation of complex coverage matters. In addition, carriers routinely look to our litigators to
handle the most challenging claims asserted against their insureds.
We also have served as counsel to the New York State Superintendent of
Insurance in his capacity as rehabilitator of troubled insurers. In that capacity, we have been
called upon to determine why those insurers failed or faltered, and prosecute actions to recover
wasted or misappropriated assets. We also have pursued actions against third parties, including
accountants and brokers, for their role in precipitating the failure of these insurers.
Mergers and Acquisitions
We help companies, boards of directors and shareholders/owners manage their
interests in mergers, acquisitions, dispositions and leveraged buy-outs. Unique issues confront
entrepreneurs and capital providers who engage the firm for its experience in venture capital
deals. These include start-up companies, emerging growth companies and mature businesses in
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a wide variety of industries -- from conventional to those that are technology-based industries.
We can represent either portfolio companies or capital providers engaged in equity, mezzanine
and/or senior debt financings.
Just as important as helping clients close a deal is helping clients choose the
proper exit from a deal which can include sales, public offerings, refinancings, recapitalizations,
restructuring or the spinning-off of businesses.
Securities Litigation
The firm fields one of the nation's premier teams of securities litigators. This
team has prosecuted a full range of securities matters on behalf of public pension funds and other
institutional investors. We represent clients in direct, or opt-out, actions; class actions alleging
securities fraud and ancillary matters relating to insolvency and foreign judicial proceedings. We
also prosecute shareholder derivative actions alleging breach of fiduciary duty, corporate waste,
and self-dealing, among other things. We seek monetary damages for investment losses
attributable to fraud as well as corporate governance remedies in the majority of these matters.
Our securities litigators have recovered more than $3 billion on behalf of
investors from some of the most significant securities fraud actions of the past five years,
including In re Royal Ahold Securities Litigation (a $1.1 billion recovery), In re BankAmerica
Securities Litigation (a $490 million recovery), In re DaimlerChrysler Securities Litigation (a
$300 million recovery), In re CMS Energy Securities Litigation (a $200 million recovery), and In
re Dollar General Securities Litigation (a $172 million recovery). Our experience and ability in
litigating securities matters is demonstrated not only by the results that we have achieved, but
also by the roster of institutional clients who seek our advice. We are proud to include a number
of the nation's largest and most sophisticated public pension funds among our clients.
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Our Securities Monitoring and Reporting Program provides our institutional
clients with the most complete information available to evaluate potential courses of action whether to pursue securities class action litigation as a lead plaintiff; whether to litigate claims
directly in a private action; or whether to forego litigation entirely. This program offers regular
review of our clients' latest securities holdings in light of emerging market conditions and
corporate developments to identify circumstances in which investment losses are likely
attributable to fraud. Using this program we calculate client losses under a variety of loss
calculation methodologies. We then prepare detailed reports describing, among other things, the
factual and legal underpinnings of potential claims; the likelihood of recovering all or a portion
of our client's losses; strategies for resolution; and any opportunities to advocate corporate
governance changes.
White Collar
Our white collar criminal defense group has decades of experience representing
corporate entities and individuals in criminal investigations and proceedings. Led by a team of
former federal and state prosecutors, this group represents our clients in every phase of a
criminal case -- from the inception of an investigation, before the grand jury, at trial and
throughout post-trial proceedings. However some of the group's most important and
sophisticated work takes place before criminal charges even materialize. Drawing on years of
front-line experience, with a credibility developed over years of working with governmental
authorities, our lawyers have had considerable success in persuading prosecutors not to pursue
criminal charges in the first place -- thus protecting the client from the legal, financial and media
fallout of a criminal prosecution.
As former prosecutors and long-time defense lawyers, members of our white
collar criminal defense group are also uniquely qualified to conduct internal corporate
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investigations into suspected wrongdoing or improprieties. Working with accountants, computer
forensic and other consultants as needed, our lawyers assist clients in taking a proactive role in
uncovering improper conduct by their employees, vendors, officers, directors and others.
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SELECTED ATTORNEY BIOGRAPHIES
Partners
Andrew J. Entwistle
Andrew J. Entwistle is a founding partner of the firm. The son of a Scottish coal
miner and an American schoolteacher, he received his undergraduate degree from the University of
Notre Dame and his law degree from the University of Syracuse College of Law. Mr. Entwistle's
practice principally involves the representation of public and private institutional investors in
complex litigation and corporate finance and transactional matters.
Over the years, Mr. Entwistle has represented clients including Fortune 100
companies, public and private institutional investors, governmental and individual clients in a
variety of corporate finance and transactional matters, and in complex business, securities, antitrust
and bankruptcy litigation throughout the United States before federal and state courts, surrogate's
and probate courts, grand juries, administrative and regulatory agencies and arbitration panels. For
example, Mr. Entwistle's recent representation of the Colorado Public Employees Retirement
Association in In re Royal Ahold N.V. Securities and ERISA Litigation led to a recovery of more
than $1.1 billion for his clients. Mr. Entwistle is also actively engaged in the defense of institutional
investors and international businesses in complex securities, antitrust, bankruptcy and corporate
finance related matters. Having spent years both litigating complex securities fraud and antitrust
cases and litigating major coverage cases for insurers and insureds, Mr. Entwistle often now finds
himself retained to litigate Directors & Officers and related coverage litigation arising out of rapidly
developing complex litigation.
Appointed by Chief Judge Lifland of the United States Bankruptcy Court for the
Southern District of New York to serve on the Court's Special Mediation Panel, Mr. Entwistle has
actively litigated a number of complex bankruptcy matters including representing the Retired
Employees Committee in the OMC Bankruptcy, equity holders in the American Bank Note
Bankruptcy and the State of Florida in connection with the Enron Bankruptcy. Mr. Entwistle is also
special litigation counsel for the Global Crossing Estate Representative in connection with the
Global Crossing Bankruptcy.
Mr. Entwistle has been named to the Martindale-Hubbell Bar Register of Preeminent
Lawyers, to the Order of International Fellowship, Who's Who In The World, Who's Who In
America, Who's Who In The East, Who's Who In American Law, Who's Who In Practicing
Attorneys, Who's Who In Emerging Leaders In America and Who's Who In Finance and Industry.
The International Biographical Centre of Cambridge, England named Mr. Entwistle as its
International Legal Professional of the Year for 2004 and inducted him into the Centre's
International Order of Merit.
Mr. Entwistle serves as a member of the Board of Directors of Hannah & Friends.
Mr. Entwistle was also named the 2003 Man of the Year by the Catholic Big Brothers for Boys and
Girls after more than a decade of service on the Board of that organization which service included
founding Sports Buddies New York, a partnership between the youth of New York City and athletes
from the New York region's professional sports teams. Mr. Entwistle has received special
commendations from the President of the United States, the Governors of the States of Georgia and
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Hawaii, and the New York State Assembly. He also serves as outside counsel to, and is now or has
previously acted as a director on several corporate, advisory and charitable boards. Mr. Entwistle is
a member of the Board of Directors of the Giuliani Center for Urban Leadership. In addition to
membership in the Federal Bar Council and various city, county, state and national bar associations,
Mr. Entwistle is a member of the National Association of Public Pension Funds Attorneys and is an
Educational Sustainer of the Council of Institutional Investors.
Mr. Entwistle also acts as Northeast Regional Editor for the Defense Research
Institute publication The Business Suit (from 1998-present), is a member of various bar and
business association committees (including speaking on Sarbanes-Oxley to the Federal Bar
Council's 2003 Annual Bench and Bar Conference and co-chairing a New York State Bar
Association Panel on Alternative Dispute Resolution for the Trial Practice Committee of the State
Bar's Commercial and Federal Litigation Section), and he has lectured extensively and has been
interviewed by print, radio and television journalists to provide commentary on a variety of general
business law, litigation, securities antitrust, bankruptcy and trial issues. In May 2009, Mr. Entwistle
was interviewed by the Insider Exclusive on the following topics: the Bernard Madoff Scandal;
Wall Street's Meltdown; the American Financial System; and, the Fight to Save Tator's Dodge. In
March 2009, Mr. Entwistle was a panelist on the American Bar Association's conference entitled
"Implied Repeals of the Antitrust Laws: How Far Are the Courts Willing to Go?"
(http://www.abanet.org/antitrust/at-bb/audio/09/03-09.shtml). Mr. Entwistle was a member on the
Federal Bar Council's 2005 Winter Bench & Bar Planning Committees, he spoke on both the Class
Action Litigation and 2008 Cross Border Issues Panels at the Federal Bar Council's 2005
Conference, and he co-chairs the 2008 Supreme Court Review Sub-Committee. Mr. Entwistle is
also the author of articles and publications on various legal and business topics, including:
"Computer Hacker Can Be Sued for Securities Fraud, Second Circuit Rules; New York Appellate
Court Reinstates Complaint Based on Adverse Interest Exception to In Pari Delicto Doctrine" The
Business Suit, DRI, January 4, 2010; "Broad Arbitration Agreement Authorizes Arbitrator to
Sanction A Party's Bad Faith Conduct; Absent Class Members Not Entitled Full Access to
Attorney's Files; Intentional Spoliation of Evidence May Form Basis for Fraud Claims," The
Business Suit, DRI, August 25, 2009; "Affiant's 'To My Knowledge' Statement Sufficient to Defeat
Summary Judgment; Class Action Waiver Clause in Arbitration Agreement is Unenforceable," The
Business Suit, DRI, April 13, 2009; "'Staehr' Hikes Burden of Proof to Place Investor on Inquiry
Notice," New York Law Journal, December 15, 2008; "Potential Securities Fraud: 'Storm
Warnings' Clarified," New York Law Journal, October 23, 2008; "'Wagoner' In Pari Delicto
Defenses Aid Outside Auditors," New York Law Journal, August 29, 2008; "Second Circuit
Clarifies Pleading Requirements for Scienter in Securities Fraud Class Actions; No Forum
Shopping in Insurance Dispute, Second Circuit Says; New York Sets Aside Verdict Imposing Alter
Ego Liability," The Business Suit, DRI, August 11, 2008; "Long-Arm Statute Does Not Confer
Jurisdiction on Foreign Libel Litigant; Crime-Fraud Exception Pierces Attorney-Client Privilege;
New York May Seek Own Separate Arbitration," The Business Suit, DRI, May 16, 2008;
"Approaches to Asset Recovery For Pension Fund Subprime Exposure," The NAPPA Report,
February 2008; "Injunction Against NHL's Transfer of Website Denied; Republic of Congo's Oil
Company Immune from RICO Charges; Discovery of Anonymous Bloggers Denied," The Business
Suit, DRI, December 20, 2007; "Ex Parte Communications with Former Employee May Not Merit
Disqualification; Accounting Firm Not Subject to Federal Jurisdiction; Statements Made by
Employer Privileged," The Business Suit, DRI, September 6, 2007; "Accounting Firm Has
Affirmative Duty; New York's Highest Court Rejects Insured's Single-Occurrence Theory," The
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Business Suit, DRI, May 2, 2007; "Imputation Doctrine No Longer Protects Auditors," The
Business Suit, DRI, August 2006; "Merchant Lacks Standing to Assert Antitrust Claims Against
Credit Card Companies for Chargeback Fees," The Business Suit, DRI, December 22, 2006;
"Thompson Memorandum's Attorneys' Fees Provision Held Unconstitutional," The Business Suit,
DRI, August 2006; "Beer Supplier and Distributor Must Arbitrate Dispute Despite New York Law
to the Contrary," The Business Suit, DRI, January 5, 2006; "Corporate Exposure and Employment
Practices Liability," Mealey's Reinsurance Conference, November 2000; "Distinguishing Valid
Fraud Claims From Trumped Up Breach of Contract Actions," The Business Suit, DRI, Winter
2000; "New York Clarifies Its "Borrowing Statute"; New Jersey's "New Business" Rule Declared
Alive and Well; Second Circuit Finds Former Corporate Executives Entitled to Fifth Amendment
Privilege," The Business Suit, DRI, January 2000; "The Fine Line Between An Auditor's
Recklessness and Intent to Deceive," The Business Suit, DRI, Summer 1999; "What a Web We
Weave . . . Jurisdiction in Web-Related Litigation," The Business Suit, DRI, Winter 1998; "Red
Light, Green Light, 1-2-3: Stop and Go Traffic on the Information Superhighway," The Business
Suit, DRI, Winter 1998; "Due Deference -- The Supreme Court Confirms the Post-Daubert
Discretion of the Trial Judge as the "Gatekeeper"," The Business Suit, DRI, Winter 1998; "The
Inevitable Disclosure Doctrine and the Economic Espionage Act: Emerging Weapons In the Battle
to Protect Trade Secrets from Theft and Misappropriation," The Business Suit, DRI, Spring 1998;
"Covenants Not to Compete and the Duty of Loyalty," (DRI Spring 1997 Conference Chicago);
"New York Business Law Update 1997," (New York State Society of CPA's); "New York Business
Law Update 1998," (New York State Society of CPA's); "Excess Insurers Late Notice and
Prejudice, American Home Puts The Issue to Rest," New York Law Journal, July 1993; and
"Managing the Risks of Accountants Liability, A Legal Perspective," New York Society of CPA's,
1993, 1995, 1997, 1998. In 2005 the Texas State Bar Association asked Mr. Entwistle to videotape
a talk on disaster related issues to assist lawyers and other professionals in the wake of Hurricane
Katrina. The videotape also received broad distribution by the State of Mississippi Governor's
office.
After a brief tenure in the District Attorney's office, Mr. Entwistle became a lead
trial and appellate attorney at Wilson Elser Moskowitz Edelman & Dicker, trying a broad variety of
commercial, securities, insurance, fraud and government-related matters. During the following
years with the Mudge Rose firm, Mr. Entwistle's trial and appellate practice also came to include
transaction-related litigation, antitrust and bankruptcy work. Mr. Entwistle's practice now focuses
on representing public and private institutional investors and financial institutions in litigation,
transactional and bankruptcy matters. Mr. Entwistle also works closely with the governors,
treasurers and attorneys general of several states. In connection with the firm's Corporate Practice,
Mr. Entwistle has acted as lead counsel on joint ventures, restructurings, venture capital placements
and a multi-billion dollar leveraged buyout.
State Bar Admissions
New York, New Jersey, Illinois, Texas, Colorado, District of Columbia, Pennsylvania
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Court Admissions
U.S. Supreme Court; U.S. Court of Appeals for the Second, Third, Fourth, Seventh and Eighth
Circuits; U.S. District Court for the Eastern and Southern Districts of New York; U.S. District
Court for the District of New Jersey; U.S. District Court for the Northern District of Illinois; U.S.
District Court for the District of Colorado; U.S. District Court for the Eastern District of
Michigan; U.S. District Court for the Western District of Texas; and state and federal courts in
the states of New York, New Jersey, Illinois, Texas, Colorado and District of Columbia.
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Vincent R. Cappucci
Vincent R. Cappucci is a founding partner of the Firm and is Head of its Securities
Litigation Practice. Throughout the years, Mr. Cappucci has served as lead counsel in many high
profile securities class action and derivative litigations as well as individual actions representing the
nation's largest public pension systems, investment advisory firms, hedge funds and proprietary
trading firms. He has a distinguished record of success in securities litigation, having prosecuted
cases in his career which have resulted in recoveries in the billions of dollars. His experience
includes a multitude of securities trials, arguments in numerous state and federal appellate courts,
appeals to the U.S. Supreme Court, and mediation and dispute resolution. Mr. Cappucci has also
been named to the Martindale-Hubbell Bar Register of Preeminent Lawyers, for his expertise in
securities litigation.
Mr. Cappucci has lectured before associations of the bar and various professional
organizations, providing expert commentary on a wide range of securities markets and corporate
governance issues. Recently, Mr. Cappucci addressed law professors and members of the
California Bar in a discussion on The Future of Securities Fraud Litigation sponsored by the RAND
Institute for Civil Justice.
Mr. Cappucci has also served as a faculty member of the National Conference on
Corporate Governance and Equity Offerings sponsored by the UCLA Anderson School of
Management and University of California Rady School of Management. He has also addressed
legal practitioners and financial professionals before the National Association of Public Pension
Fund Attorneys, Council of Institutional Investors and The American Conference Institute (Trying
and Defending Securities Class Actions), and before International Institutional Investors on
Corporate Governance and Shareholder litigation matters at annual conferences of the International
Corporate Governance Network ("ICGN"), where he also serves on the Committee on Executive
Remuneration.
Mr. Cappucci is the author of numerous articles appearing in a host of publications,
including: “Seeking Subprime Solutions: Fed Action, Legislation and Litigation Address the
Subprime Mess,” The 2007 Global Securitization Guide, May 2008; “Legislative and Regulatory
Developments in U.S. Securitizations, The 2007 Global Securitization Guide, (May 2007); “Pay,
Performance and Proxies: The Latest in Executive Compensation,” Institutional Investor Fund
Management Legal & Regulatory Report, March 2007; “Shareholder Activism and the Use of
Litigation to Accomplish Investment Goals,” Institutional Investor Fund Management Legal &
Regulatory Report, April 2006; “Corporate Governance: 2005 in Review,” Institutional Investor,
2005 Compliance Report; “Securities Class Actions: Settlements,” The Review of Securities &
Commodities Regulation, October 2003; “Hot Topics in Advertising Law: Investor Fraud,” The
Association of The Bar of the City of New York, October 22, 2003; “Did I Really Say That? The
Truth Behind the DaimlerChrysler Merger,” NAPPA Report, November 2003; “Beyond the
Sarbanes-Oxley Bill: Additional Measures to Increase Corporate Accountability and
Transparency,” NAPPA Report, September 2002; “Casino Law Is Consistent With Equal
Protection,” New York Law Journal, March 20, 2002; “Misreading ‘Gustafson’ Could Eliminate
Liability Under Section 11,” New York Law Journal, September 22, 1997; “Liability for Excessive
Executive Compensation,” The Corporate Governance Advisor, March/April 1997; “Must Reliance
Be Proven To Certify A Class?,” New York Law Journal, August 30, 1996; “Class Action Lawsuits
and Securities Fraud: A Plaintiff Lawyer’s View of the Litigation Reform Act,” Securities Industry
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News, October 7, 1996; and, “Conflicts Between Rule 23 And Securities Reform Act,” New York
Law Journal, April 2, 1996.
Mr. Cappucci received his undergraduate degree from Fordham University with a
B.S. in Accounting and his law degree from Fordham University School of Law. He is a member of
the Law Advisory Committee and the Law School Planning Committee and in 2007, was named a
Fordham Law School Centennial Founder. In addition to membership in various state and national
bar associations, Mr. Cappucci is a member of the Federal Bar Council, the New York State Bar
Association, the American Bar Association and the Association of Trial Lawyers of America.
New York
Court Admissions
U.S. Supreme Court; U.S. Court of Appeals for the Second, Fifth, Seventh, Eighth and Ninth
Circuits; U.S. District Court for the Eastern, Northern and Southern Districts of New York; U.S.
District Court of the Central District of Illinois; U.S. District Court of the Northern District of
Illinois; U.S. District Court for the Eastern District of Michigan; and all courts of the State of
New York
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William S. Gyves
William S. Gyves, chairman of the firm's Business and Commercial Litigation
Department, concentrates his practice on the litigation of complex commercial and employment
matters. In addition to defending and prosecuting claims in the traditional litigation context, Mr.
Gyves has considerable experience in successfully resolving disputes through mediation, arbitration
and direct pre-litigation negotiations.
Representing a diverse spectrum of clients -- ranging from the New York State
Superintendent of Insurance and one of the world's premier jewelers to financial institutions and
institutions of higher education -- Mr. Gyves has prosecuted and defended matters involving a
correspondingly wide array of business disputes. In his employment practice, Mr. Gyves counsels
and represents management in, among other things, restrictive covenant, breach of fiduciary duty,
harassment, discrimination and retaliation matters.
On behalf of his clients, Mr. Gyves recently:

secured summary judgment relating to a promissory note at
the heart of a complex offshore reinsurance program, based
on crucial admissions obtained during the defendant's
deposition testimony that a federal judge found to "directly
contradict" the defendant's earlier sworn testimony and
documentary evidence;

obtained the pre-discovery dismissal of a federal securities
fraud case and defeated a related application for injunctive
relief, successfully arguing that membership interests in a
limited liability company do not constitute securities under
the federal securities laws;

secured the voluntary withdrawal of a $50 million finder's
fee claim brought against a financial institution, based on
the strength of a pre-answer investigation demonstrating
the claim to be without factual or legal merit;

obtained through mediation an expedited settlement on
behalf of a group of hedge funds defrauded by a company's
misrepresentations regarding its financial condition and
prospects;

convinced a court to compel a defendant to surrender
monies shown to have been moved illegally to an offshore
haven and then traced back to the defendant's principals in
the United States;
Document 141-3
Filed 05/03/2010
Page 20 of 23

obtained injunctive relief precluding a former employee
from competing with a client, demonstrating through a
computer forensics investigation that the former employee
had pilfered the client's confidential and proprietary
materials;

secured the pre-discovery dismissal of a putative consumer
fraud class action brought against a financial institution;

secured injunctive relief halting a construction project that
had been disrupting the operations of a college campus;
and,

obtained summary judgment in favor of a financial
institution in litigation arising out of a fraudulent mortgage
scheme.
A cum laude graduate of St. John's University School of Law, Mr. Gyves was CoExecutive Notes and Comments Editor of the law review. After obtaining his undergraduate degree
from Fordham University and before attending law school, Mr. Gyves worked for six years as a
newspaper journalist, garnering a number of awards for his coverage of politics, government and
other matters.
Beyond his professional responsibilities, Mr. Gyves is active in a number of
charitable and educational organizations. Most recently, he was named to the Board of the Make-aWish Foundation of New Jersey, a non-profit organization that grants the wishes of children with
life-threatening medical conditions.
Mr. Gyves has published on a variety of legal issues, including "When Your Client
Drops the F-Bomb During a Deposition," New Jersey Law Journal, May 5, 2008; "Welcome Relief
for Lenders: Federal Truth and Lending Act Trumps New Jersey Law," New Jersey Law Journal,
October 10, 2005; "Trouble No Maw: Employers Breathing Easier As Court Clarifies the
Enforceability of Restrictive Covenants," The Metropolitan Corporate Counsel, July 2004;
"Electronic Discovery Is a Fact of Life," New Jersey Law Journal, April 29, 2002; "Counsel and
Computer Forensics Experts: Teaming Up to Get It Right on Electronic Discovery," The
Metropolitan Corporate Counsel, November 2001; "Competing With Former Employers," New
Jersey Law Journal, June 25, 2001; "The Duty to Disclose Inaccurate Deposition Testimony," New
Jersey Law Journal, September 4, 2000; "Distinguishing Valid Fraud Claims From Trumped Up
Breach of Contract Actions," The Business Suit, DRI, Winter 2000; "Navigating the Minefield of
Ex Parte Communications," New Jersey Law Journal, April 10, 2000; "The Fine Line Between An
Auditor's Recklessness and Intent to Deceive," The Business Suit, DRI, Summer 1999; and "New
York Clarifies Its "Borrowing Statute"; New Jersey's "New Business" Rule Declared Alive and
Well; Second Circuit Finds Former Corporate Executives Entitled to Fifth Amendment Privilege,"
The Business Suit, DRI, January 2000. He also has lectured on a variety of topics, including "EDiscovery in the Post-Enron Era," Bureau of National Affairs Litigation Forum: Electronic
Discovery and Document Retention, May 1, 2003, and "Defending the Deposition: Potted Plant or
Document 141-3
Filed 05/03/2010
Page 21 of 23
Savvy Litigator?" New York State Bar Association Seminar on Deposition Practice and
Practicalities in State and Federal Court, April 26, 2002.
Mr. Gyves is a member of the Federal Bar Council, American Bar Association, New
York State Bar Association, Association of the Bar of the City of New York, Northern District of
New York Federal Court Bar Association, Defense Research Institute, New Jersey Defense
Association, New Jersey State Bar Association, Association of the Federal Bar of the State of New
Jersey, National Retail and Restaurant Defense Association, the Morris County (N.J.) Bar
Association, the Bar Association of the Third Federal Circuit, the Historical Society of the United
States Court of Appeals for the Third Circuit and the Historical Society of the United States District
Court for the District of New Jersey. Mr. Gyves is a Master of the Brennan-Vanderbilt Inn of
Court. He is also an active member of the Commerce and Industry Association of New Jersey, as
well as the New Jersey Business and Industry Association.
New York and New Jersey
Court Admissions
U.S. Supreme Court; U.S. Court of Appeals for the Second and Third Circuits; U.S. District
Court for the Eastern, Northern and Southern Districts of New York; U.S. District Court for the
District of New Jersey; and all courts of the States of New York and New Jersey
Document 141-3
Filed 05/03/2010
Page 22 of 23
Ms. Rubin is a member of the American Bar Association and its Employment Rights
and Responsibilities Committee. She also is a member of the New Jersey State Bar Association as
well as the Association of the Federal Bar of the State of Jersey. She has been appointed a member
of the District V-C (Essex County -- West Essex) Ethics Committee of the Office of Attorney Ethics
of the Supreme Court of New Jersey. She served as a facilitator on the New Jersey World Trade
Center Disaster Legal Response Team, and was named 2003 Pro Bono Attorney of the Year by
Volunteer Lawyers for Justice, on whose board she currently serves as Secretary. She also serves
on the Board of the Wharton Club of New Jersey.
New York, New Jersey and Pennsylvania
Court Admissions
U.S. Supreme Court; U.S. Court of Appeals for the Second and Third Circuits; U.S. District
Court for the Eastern and Southern Districts of New York; U.S. District Court for the District of
New Jersey; and all state courts of New York, New Jersey and Pennsylvania
Richard W. Gonnello
Richard W. Gonnello specializes in the litigation of complex securities matters on
behalf of private and public institutional investors. He also has experience in conducting corporate
internal investigations, as well as litigating and arbitrating complex commercial matters.
Mr. Gonnello has co-authored the following articles: "'Staehr' Hikes Burden of
Proof to Place Investor on Inquiry Notice," New York Law Journal, December 15, 2008; and
"Potential Securities Fraud: 'Storm Warnings' Clarified," New York Law Journal, October 23,
2008.
Mr. Gonnello graduated summa cum laude from Rutgers University with a B.A. in
Classics and History, where he was named Phi Beta Kappa. He received his J.D. from UCLA
School of Law.
New York
Court Admissions
U.S. District Court for the Eastern and Southern Districts of New York; and all courts of the
State of New York
Document 141-3
Filed 05/03/2010
Page 23 of 23
Document 141-4
Filed 05/03/2010
Page 1 of 8
jC
SOUTHERN DISY
I i
JR TIES
F NEW YORK
SSION,
Plaintiff,
-against-
1:09-cv-03125-RJS
EDWARD T. STEIN,
Defendant,
-andDISP, LLC;
VIB" A NT CAPITAL CORP.; and
Relief Defendants.
EXHIBIT C
-,,v-11 11 ,
Document 141-4
Filed 05/03/2010
....w.•••n••••
Page 2 of 8
••••••••••n•••n•••n•n•.......••••
USDC SDNY
DOCUMEN 1
. ELECTRONICALLY FIL I
1 DOG g:
AIE FILED:
ARTHUR M. BRAINSON IRA R/O,
Plaintiff,
- against -
RYE SELECT BROAD MARKET FUND, LP.,
TREMONT PARTNERS, INC., TREMONT
GROUP HOLDINGS, INC,, RYE'. fNv--7sTmENT
MANAGEMENT, JIM MD
ROBERT SCHULMAN,
- 71 ants.
08 Civ. 11212 (TPG)
-I i
Document 141-4
Filed 05/03/2010
CHATEAU FIDUCIAIRE S.A., as TRUSTEE of
THE MAP TRUST, on Behalf of Itself and all
Others Similarly Situated,
Plaintiff,
Page 3 of 8
7
09 Civ. 557 (TPG)
ORDER
- against ARGUS INTERNATIONAL LIFE BERMUDA
LIMITED, 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, and TREMONT PARTNERS INC.,
Defendants.
ORDER OF CONSOLIDATIC
A number of actions have been filed in this Court which include claims
against certain "Tremont" entities, certain "Rye" entities, and other defendants,
alleging that investments were improperly made that ultimately resulted in
losses caused by Bernard Madoff.
consolidation, the Cou
In response to applications for
ined that these actions can appropriately
Ito
claims
2
ar
Document 141-4
Filed 05/03/2010
Page 4 of 8
whic s are based primarily on state law, charging imi-oper
investments by partnerships or hedge funds or similar entities (the "State Law
Actions"); and (3) cases in which the claims are based primarily on state law,
charging improper investments by insurance companies (the "Insurance
Actions").
The following are the Securities Law Actions now pending in this Court:
i)
Arthur M. Brainson IRA R/0 v. Tremont Group Holdings, Inc.,
et al., 08 Civ. 11212;
iii
Finkeistein v. Tremont Grou Ho din
1 41;
Inc. et al., 08 Civ.
Group Defined Pension Plan &Trust v. Tremont Group
Holdings, Inc., et al., 08 Civ. 11359;
iv)
Silvers, et al. v. Tremont Group Holdings, Inc., et al., 09 Civ.
1111.
The following are the State Law Actions now pending in this Court:
Lange, et al. v. Tremont Group Holdings, Inc., et al, 08 Civ.
11117;
Peshkin v. Tremont Group Holdings, Inc., et al, 08 Civ. 11183;
iii)
Keane V. Tremont Group Holdings, Inc., et al, 09 Civ. 1396;
iv)
Laborers Local 17 Pension Plan, et al. v. Tremont Group
Holdings, Inc., et al, 09 Civ. 2505.
The following are the Insurance Actions now pending in this Court:
Chateau Fiduciaire S.A. v. Tremont Group Holdings, Inc., et al,
09 Civ. 557;
ter Trust, et
3
Tremont Group
Document 141-4
Filed 05/03/2010
Page 5 of 8
Trust v. Tremont Group
The Matthew L. Klein Irrevocable Far:. Trust v. Tremont
Group Holdin • s Inc. et al, 09 Civ. 2254.
The Court has held a hearing on March 19, 2009 and a telephone
conference on March 24, 2009, both on the record, dealing with issues
regarding consolidation and the appointment of lead plaintiffs and lead
attorneys, and has rendered decisions on the record, reflected in this order.
NOW THEREFORE IT IS HEREBY ORDERED THAT:
SECURITIES LAW ACTIONS
Pursuant to Fed. R. Civ. P. 42(a) and Section 21D(a)(3)(B) of the
Securities Exchange Act of 1934 (the "Exchange Act"), 15 U.S.C. § 78u4(a)(3)(B)(ii), the Securities Law Actions, as defined above, are consolidated for
pretrial proceedings into one "Securities Action" with docket number 08 Civ.
11212.
2. Pursuant to Section 21D(a)(3)(B) of the Exchange Act, 15 U.S.C. §
78u-4(a)(3)(B), Arthur M. Brainson, Yvette Finkelstein, and Group Defined
Pension Plan & Trust are appointed Lead Plaintiffs in the Securities Action, and
the law firm of Bernstein Liebhard LLP is appointed Lead Counsel for plaintiffs
in the Securities Action.
STATE LAW ACTIONS
Pursuant to Fed. R. Civ, P. 42(a), the State Law Actions are
consolidated for pretri
edings into one "State Law Action"
number 08 Civ.
4
4,
Under tl-
Document 141-4
Filed
05/03/2010
rz;1
-----" -able to these 7
Page 6 of 8
'-he appointment of
interim lead counsel at this time or State Law Action.
Pursuant to Fed. R. Civ. P. 23(g)(2) A), the Court appoints the law firms of
Entwistle & Cappucci LLP and Hagens Berman Sobol Shapiro LLP as interim
co-lead counsel to act on behalf of the putative plaintiff class.
INSURANCE ACTIONS
Pursuant to Fed. R. Civ. P. 42(a), the Insurance Actions are
consolidated for pretrial proceedings into one "Insurance Action" with docket
number 09 Civ. 557.
6.
Under the law applicable to these actions, only the appointment of
interim lead counsel is required at this time for the Insurance Action.
Pursuant to Fed. R. Civ. P. 23(g)(2)(A), the Court appoints the law firms of Wolf
Haldenstein Adler Freeman 86 Herz LLP and Coughlin Stoia Geller Rudman 86
Robbins as interim co-lead counsel to act on behalf of the putative plaintiff
class.
MASTER DOCKET AND CAPTION
7.
The docket in 08 Civ. 11117 shall constitute the Master Docket for
the Securities Action, State Law Action and Insurance Action.
8.
Every pleading filed in the Securities Action, State Law Action, and
Insurance Action shall bear the following caption:
5
1
Document 141-4
Filed 05/03/2010
Page
7 of 487
D
This Document Relates to:
9.
The file in docket 08 Civ. 11117 shall constitute a master file for
the Securities Action, State Law Action, and Insurance Action. When a
document being filed pertains to the Securities Action, State Law Action, and
Insurance Action, the phrase "All Actions" shall appear immediately after the
phrase "This Document Relates to:".
10.
When a document applies only to one or more, but not all, of the
actions, the document shall list, immediately after the phrase "This Document
Relates to:", Securities Action, 08 Civ. 11212, and/or State Law Action, 08 Civ.
11183, and/or Insurance Action, 09 Civ. 557, as applicable.
11.
Courtesy copies of all correspondence and filings shall be provided
to the assigned judge, Judge Thomas P. Griesa.
12.
A copy of this Order shall be placed in the dockets for all the cases
listed in pages 3-4 herein. The Clerk of the Court is directed to then close each
Wan the dockets in the 5(
of tho
1121
,t at e
e In
)cket,
.
[ 1 17.
6
3
Action, 08 Civ.
-
iv. 557,
Document 141-4
---11117-TPG
13.
When a case, that
Securities Action, the State Law
Filed 05/03/2010
Page 8 of 8
Di 7
Jut
-`io n,
of the same a ter as in the
or the InsurancL, Lction, is hereinafter
filed in this Court, counsel for the plaintiff(s) in the newly-filed case shall
indicate on the civil cover sheet to which action the new case is related.
14.
If a case that arises out of the same subject matter as in the
Securities Action, the State Law Action, or the Insurance Action is hereinafter
filed in this Court or transferred to this Court from another court, but the
Clerk of the Court has not been informed that it relates to one of the
consolidated actions, counsel in any of the consolidated cases shall inform the
Clerk's Office of any related case that comes to their attention. The Clerk's
Office will then notify Judge Griesa, who shall take whatever action is deemed
appropriate.
15. As to any case accepted by Judge Griesa as related, the Clerk's
Office will consolidate that case with the Securities Action, the State Law
Action, or the Insurance Action, as designated by the judge, unless an
objection to such consolidation is duly made and is sustained by the judge.
16.
Once the newly-filed or transferred case is consolidated with the
Securities Action, the State Law Action or the Insurance Action, as applicable,
the Clerk of the Court is directed to close the docket of that newly-filed or
transferred case.
Dated: New York, Ne
March 26, 2009
7
Document 141-5
UNITED
SOUTHER
SEL
Filed 05/03/2010
Page 1 of 8
; DISTRICT (
iTRICT OF NEW YORK
2 EXCI-TANGECONIMISSION,
Plaintiff,
-against-
1:09-ev-03125-RJS
EDWARD T. STEIN,
Defendant,
-andDISP, LLC;
VIBRANT CAPITAL CORP.; and
Relief Defendants.
Document 141-5
Filed 05/03/2010
Notice List
Drder Approvin
Cappucci
Entw' _
2
tentio
7)ecial Counsel
18th Corp (Kazuko Hillyer)
1970 Asset MGT. Corp. - Trustee FBO
Rod Kutler
Aaron Jacobs Music
4
Abert, Janice
5
Accomodations In New York, Inc.
(Kazuko Hillyer)
6
Advanta Bank Corp.
7
Agruso, Joel
8
American Express
9
Amity OBG Associates, P.C.
10
Anarella, James
11
Anderson, Shelley
12
Ashley Legal Advertising Corp.
13
Aucoin, William
14
Bank 7
15
Bank of America
16
Bass, Eleanor
17
Beasley, James E.
18
Becker, Harriet
19
20
Bennett, Lwslie & Erich
Benyaminian, Benjamin
and Zoleykha Benyaminian
21
Bernstein, Joel
22
Bertini, Arlene
23
Billock, Ann
24
Boccio, Vincent & Margaret
25
Bochichio, Christine & Joseph
26
Brandes, Irene
X
27
Brienza, Catherine
28
Brooks, Harvey
29
Bures, George
30
Burke, Jose -
31
Cahill,
32
Cala
33
C
X
S.
X
thew
-.rust
of 7
Page 2 of 8
Document 141-5
Filed 05/03/2010
Notice
)rder Ap 1tentio,
End Capp,
)ecial
Entwr
35
Capi
Jne
36
Car::
,
7
38
9
zanne
Chase Bank USA
Chirigos, Bonnie Walker
Choo Revocable Trust
40
Choo, Chang Woon Huh
4
Choo, Young Bin
42
Citibank
43
CitiCard
44
Clark, Julian
45
Clark, Rita &Julian
46
Cla eman, Barry & Helen
47
Clateman, Michae
48
Cohen, Irwin
49
Cohen, Keith
50
Cohen, Shelley
5
Corcoran, Joseph
52
Corcoran, Judith
Cosola, Peter
X
54
Crandall, David
55
Cushner & Garvey, L.L.P.
56
Daly & Knudson Law Group, LLC
57
Danziger, Greg
58
Danzinger, Gary & Marcia
59
De Bello, John & Antonella
60
Deetown Entertainment
61
DeGeorge, Lana
62
Department of Taxation and Finance
63
DiM artino, Felix
64
DiM artino, Joanne
65
Diversified Resources
66
Drucker, Elaine - Irrevocable Family Trust
67
Drucker, Elaine & Bernard
68
Edwards, Ellen
69
Edwards, Philip
70
Einiger, Scott
71
Elite Entertainrr
Raymoi
X
X
X
Ellen
Page 3 of 8
Document 141-5
Filed 05/03/2010
Notice
+le Reten
as Speck
Entwistle and Capp
73
Etna, Daniel A.
74
Exxon Mobi
75
Faitelson, Jody
76
Frazzitta, Alan J.
77
Frazzitta, Mary Anne
78
Friedman, Donna
79
Friedman, Thelma
80
Fromowitz, Frank B.
8
Fundsloso, Inc. (Peter Cosola
82
Geoghegan, Robert
8
Geoghegan, Rosalie
84
Gilson, Carolyn
85
Gilsten, Judith
86
Glass, Gary
87
Gleed, Jason
88
Golden, Robert
89
Goldfarb, Morton
90
Goldman & Taynor Plans
9
Goldman, Robert & Marilyn
92
Goulian, James
9
Goulian, James - Financial Trust
94
Griswold, Evan S.
95
Guadiana, Marianne
96
Gwendolyn, Inc.
97
Hadix, Nolan R.
98
Hamilton, Edward
99
Harris, Va lerie & Phillip
100
Heiner, Gail
101
Heller, Nicki
Dale
X
X
02
Hessert, Thomas J., Sr.
0
Hickory Hill Group, LLC(Lisa La Manna
04
Hillyer, Kazuko
0
Hoffman Polland Furman PLLC
06
se
X
riilleur, Rene
istee
108
X
of 7
Page 4 of 8
Document 141-5
Filed 05/03/2010
Notice List
Appro
Entwistle and Capp
109
Hyman, Bernard
110
Internal Revenue Service
'
-ial Co
ennings, Paula
112
eong, Alexander
JP Morgan Chase
11 4
11 5
Kahn Profit Sharing Plan
116
Kahn, Gloria
117
Kahn, Jason
11 8
11 9
Kaplan, Martin P., M.D.
20
121
Kahn, Donald & Ann
Kappa Insurance Limited
Katz, Stephen
Kirby, Tobias & Theresa
22
Klaffky, Ellen
2
Klein, David & Judith
124
Klein, Fred & Marian
25
Klein, Rory
126
Kotler, Rod
27
128
29
Kroehling, Kar
Kudler, Gary
a anna, Joseph & Lisa
130
Laviano, John
132
LimoRes
133
Lombardo, Yvonne & Charles
Levy, Phillip & Ellen
34
135
36
137
ovito, Chris
owengrub, liana & Leonard
o engrub, Leonard
owengrub, Leonard - Irrevocable Family Trust
138
acklowe, Lloyd
139
acklowe, LLoyd - Trusts
140
141
42
X
arcus, Gary
Marisa Collection, LTD
Marks, Joe
Marks, Rich
Marsicovet€
X
Page 5 of 8
Document 141-5
Filed 05/03/2010
Notice List
Dra
Entwii-_
-g the Re
- : LP as Special Counsel
146
Marvel Import Industries, Inc. Retirement
Plan; c/o Joel Marks, President
147
Marx, Gerda
148
Massaro, Donna
149
Massaro, Joe
150
Mendelsohn, Frederic & Sonia
151
Meyerson, Jeffrey E.
152
Meyerson, JoeIle - Irrevocable Family Trust
153
Mindicino, Ann
154
MSP Trading
155
Mulhall, Janet
156
Nahzi, Fron
157
Nahzi, Mrika
158
Nattboy, Gloria
X
159
Nelson, Victor
160
Parcside Equity, LLC
161
Patterson, Claire
162
Petrower, Joel
163
Pollak, Shlomo & Faye
164
Pollock, Bernard
165
Pomerantz, Michael
166
Prince, Harvey M. & Margarete E.
X
167
Prince, James
X
168
Raden, Mary
X
169
Reichenbaum, Eric
X
170
Reiss, Laurence
171
Reshotnik, Adele
172
Reshotnik, John
173
Riccioli, Sabastian & Lorraine
174
Rick, Neil
175
RMK Distributors - Rory Klein
176
Rogers, Mona
177
Romano, Patricia
178
Romisher, Estelle
179
F aoftop, Inc. (Felix DiMartino)
18C
erg, Craig
181
mberg, Laura
182
X
X
X
Rosenzweig, Bruce
Roth, Patricia
Roth, PE
otF
of 7
Page 6 of 8
Document 141-5
Filed 05/03/2010
Notice List
ora
er Apprc
he Reter
Entwistle and Cappucc '._,--- as Spec:
l
86
Samak, Marta
87
Sandlofer, P
188
Sanfilippo, Charles
189
Santiago, Jamie
190
Santorelli, Leonard
91
Scheifele, Jack & Anita
92
Schneider, Seymour
193
Schwartz, Harold
94
Sidhu, Harjinder
195
Sieburgh, Jules
96
Siegel, Brooke
197
Siegel, Lauren
198
Signature
199
Signature Bank
200
Simon, Lauren
201
Simon, Lloyd
202
Singer, Carole (Chmielewski
203
Singer, Ellen
204
Sinistore, Patricia
205
Sinistore, William
206
Smith, Barbara A.
207
Stanley, Robert Michael
208
Stein, J. Ellen
209
Stein, Marc
210
Sternfeld, Cris Read
211
Sternfeld, Harold
212
Symonette, Deborrah
213
Talmadge, Dorothy
214
Taynor, Elliott
215
Theodore, Ali
216
Tower, Leonard
217
Tower, Thomas
218
Tress, Emanuel
219
Tuccillo, Robert
220
Licht J.?,
221
Vari
7
Page 7 of 8
Document 141-5
Filed 05/03/2010
4pprovin
Re
Entwistle and Cappucci L: as Special unsel
224
Weisberger, Michael - Weiss Capital
X
225
Weiss Capital Group Asset Allocation Fund
X
226
Weiss, Alan
227
Weissman, Art & Heather
228
Weissman, Heather
X
229
Wiener, Barbara
X
230
Wiener, Harvey
231
Yasinski, Barbara
232
Young, Estate of Andrew
233
Zeman, Barry &Angela
234
Zeman, Joshua
235
Zerring, Elliott
236
Ziemba, Mitchell & Janice
X
X
X
X
of 7
Page 8 of 8

Notice List - Asset Servicing Group

Transcription

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