ÿþ<HTML><HEAD><TITLE>Refco, Inc. - Securities Class Action</TITLE> <META NAME='DESCRIPTION' CONTENT='<b>Summary:</b> Several purported shareholder class action lawsuits have been filed against Refco and certain of its officers and directors with violations of the Securities Act and the Exchange Act. Refco provides execution and clearing services for exchange traded derivatives; and brokerage services in the fixed income and foreign exchange markets in the United States, Bermuda, and the United Kingdom. Refco went public via an initial public offering in August 2005. A mere three months later, on October 10, 2005, Refco announced that its Chief Executive Officer ("CEO") and Chairman and controlling shareholder, was being placed on a leave of absence and that the Company had discovered, purportedly through an internal review, a receivable of $430 million owed by the CEO to the Company. The Company also announced that based on the undisclosed related party transaction, its prior financial statements should not be relied upon. According to the complaint, on or about August 10, 2005, Refco filed with the SEC a Form S-1/A Registration Statement (the "Registration Statement"), for the IPO. On or about August 11, 2005, the Prospectus (the "Prospectus") with respect to the IPO, which forms part of the Registration Statement, became effective and 26.5 million of Refco's common stock were sold to the public, thereby raising approximately $583 million. According to the complaint, the Prospectus issued in connection with the IPO was materially false and misleading for several reasons. As detailed in the complaint, Refco has now admitted that those financial statements should no longer be relied upon and will likely be restated. This amounts to an admission that those financial statements were materially false and misleading when issued. In a section entitled "Certain Relationships And Related Transactions", the Prospectus purported to detail all of the related party transactions concerning its business. The Prospectus, however, failed to disclose the related-party loan of $430 million to an entity controlled by the CEO. As a result of this news, the price of Refco common stock declined precipitously falling from $28.56 per share to $15.60 per share on extremely heavy trading volume. NOTE: Refco Inc. is a non-party that is not named in this lawsuit due to its filing for bankruptcy protection under Chapter 11 of the Bankruptcy Code on October 17, 2005. On February 3, 2006, the Honorable Gerard Lynch appointed RH Capital Associates LLC ("RH Capital") and Pacific Investment Management Company LLC ("PIMCO") as Co-Lead Plaintiffs and Bernstein Litowitz Berger & Grossmann LLP and Grant & Eisenhofer, P.A. as Co-Lead Counsel for the Class in this securities fraud class action. On April 3, 2006, the Lead Plaintiffs filed a Consolidated Class Action Complaint which named a number of additional defendants, including certain officers, directors and underwriters, and additional claims. On May 5, 2006, the Lead Plaintiffs filed a First Amended Consolidated Class Action Complaint, adding Defendant BAWAG P.S.K. Bank für Arbeit und Wirtschaft und Österreichische Postsparkasse Aktiengesellschaft. On June 5, 2006, a Suggestion of Bankruptcy was filed as to Refco Managed Futures LLC, Westminster-Refco Management LLC, and Lind-Waldock Securities LLC. In July 2006, the defendants filed several motions to dismiss the First Amended Consolidated Class Action Complaint. On September 8, 2006, a motion for preliminary approval of a partial settlement with Defendant BAWAG was filed. On September 8, 2006, a Stipulation and Agreement of Settlement was filed outlining the partial settlement in the amount of $108,000,000 ( Non-Contingent Payment ), plus additional payment up to $32,000,000 ( Contingent Payment ). On January 9, 2007, the motion for preliminary approval was denied. On February 22, 2007, a notice of settlement was filed and on March 5, 2007, the Court preliminarily approved the settlement with BAWAG. On April 30, 2007, the Honorable Gerard E. Lynch issued an 87-page opinion in which the Court denied the vast majority of the ten motions to dismiss filed by a total of twenty-eight defendants. On May 31, 2007, Judge Lynch denied motions for reconsideration of that opinion. On June 29, 2007, Judge Lynch approved the class action settlement with BAWAG. On December 3, 2007, the Lead Plaintiffs filed a Second Amended Consolidated Class Action Complaint adding Mayer Brown LLP and Mayer Brown partner as named Defendants. On December 7, 2007, a motion for preliminary approval of a partial settlement with Defendant Dennis Klejna was filed. According to the motion, the settlement includes the payment of $7,600,000 in cash. Defendant Klejna further agreed to provide access to document and financial information. On December 20, 2007 and February 1, 2008, certain defendants filed motions to dismiss the Second Amended Consolidated Class Action Complaint. On January 22, 2008, Judge Lynch preliminarily approved the settlement with Defendant Klejna. On February 21, 2008, a motion for preliminary approval of a partial settlement with Defendant Joseph J. Murphy was filed. According to the motion, the settlement includes the payment of $7,900,000 in cash. The motion was granted on March 26, 2008. On August 14, 2008, the motion of Credit Suisse Securities (USA) LLC, Banc of America Securities LLC and Deutsche Bank Securities, Inc. to Dismiss Count Three of the Second Amended Consolidated Class Action Complaint against them was granted. On October 27, 2008, a motion for preliminary approval of partial settlement with Defendant Sandler O Neill Partners LP was filed. The settlement includes the payment of $3,500,000 in cash for the Settlement Class. The motion was granted on November 6, 2008. On December 2, 2008, an Order was entered regarding the Lead Underwriter Defendants' motion to reconsider the Court's Order of November 6, 2008, granting preliminary approval of a partial settlement between Lead Plaintiffs and defendant Sandler O'Neill. According to the Order, the motion is granted, but upon reconsideration, the Court reaffirms and adheres to that Order. On March 17, 2009, Judge Lynch signed the Opinion and Order. According to the Order, the Second Amended Consolidated Class Action Complaint is dismissed in its entirety as to the Mayer Brown Defendants. On March 18, 2009, the Court entered the Clerk s Judgment. On April 1, 2009, the lead plaintiffs filed a motion for partial summary judgment. On April 16, 2009, the lead plaintiffs filed a notice of appeal from the March 18th judgment. On March 26, 2010, Judge Rakoff signed the Stipulation and Order Of Partial Discontinuance. According to the Order, Counts Six, Eight, Nine, Twelve, Thirteen and Fourteen of the Complaint be, and hereby are, dismissed as against defendants Murphy and Sexton; Counts Six, Eight, Nine, Thirteen and Fourteen of the Complaint be, and hereby are, dismissed as against defendant Klejna; Counts Four, Nine, Thirteen and Fourteen of the Complaint be, and hereby are, dismissed as against defendant Sherer; and for the avoidance of doubt: Counts Three and Four of the complaint remain pending against defendants Murphy, Sexton and Klejna, and Counts Five, Six and Eight of the Complaint remain pending against defendant Sherer. Each party shall bear his or its own costs in connection with the claims dismissed herein and no party will assert that the claims were brought, prosecuted or defended in bad faith or violation of Fed. R. Civ.P.11. On April 5, 2010, a motion to preliminarily approve the settlement with the Audit Committee Defendants and The THL Defendants was filed. According to settlement documents, the settlement is for at least $130 million in cash, plus an amount equal to 50% of any additional amount that the THL Entities receive as restitution from the government in connection with their claims against Refco, up to a maximum additional amount of $10 million. On April 9, 2010, a motion to certify the class was filed. On April 20, 2010, the plaintiffs filed a motion for preliminary approval of settlement with the remaining Underwriter Defendants. According to settlement documents, the settlement is in the amount of $49.5 million in cash. On April 23, 2010, defendant Grant Thornton LLP filed a motion for summary judgment. According to a Report and Recommendation filed on May 11, 2010, the Special Master recommends that: 1. The Settlements with the THL Defendants and the Audit Committee Defendants and the Underwriter Defendants should each be preliminarily approved. 2. Settlement classes be approved for the purpose of effectuating the Settlement. 3. The proposed form and manner of notice be approved as set forth in this order. On August 2, 2010, the Court entered the Mandate from the U.S. Court of Appeals affirming the dismissal of the Mayer Brown Defendants in the March 18, 2009 Judgment. On August 3, 2010, the settlements with THL Defendants, Audit Committe Defendants, and the Underwriter Defendants were preliminarily approved. The Settlement Hearing is scheduled for October 27, 2010. According to the motion filed on October 18, 2010, a proposed settlement is pending between the Court-appointed Lead Plaintiffs RH Capital Associates LLC and Pacific Investment Management Company LLC ( Lead Plaintiffs ) and (i) defendant Grant Thornton LLP ( Grant Thornton ) and (ii) defendants Joseph J. Murphy, Dennis A. Klejna and William M. Sexton (the  Settling Officer Defendants and together with Grant Thornton the  Settling Defendants ). The settlement with Grant Thornton provides for the payment of $25,000,000 in cash for the benefit of the Settlement Class (as defined below). The settlement with the Officer Defendants provides for the payment of $300,000 in cash for the benefit of the Settlement Class. On October 19 and 20, 2010, Judge Jed S. Rakoff signed several stipulation of voluntary dismissals, dismissing the action against certain individual defendants, Refco Group Holdings, Inc., and The Phillip R. Bennett Three Year Annuity Trust. On October 29, 2010, the Court entered the Final Judgment and Order approving the settlements with defendant Sandler O'Neill & Partners, L.P., the Underwriter Defendants, and the Audit Committee Defendants. On November 15, 2010, the Court entered the amended preliminary approval order concerning the pending settlement between the plaintiffs and Grant Thornton LLP and three individual defendants. The settlement hearing was held on March 11, 2011. On March 22, 2011, the Court approved the settlements with Defendant Grant Thornton LLP and the Individual Defendants. The Court approved the plan of allocation and awarded attorneys' fees in the amount of $4,532,273.27 and $120,704.06 in reimbursement of litigation expenses.'> <META NAME='KEYWORDS' CONTENT='Refco, Inc. - Securities Class Action, Class Action, Securities'></HEAD> <BODY background='/img/bg.gif' VLINK=#660000 ALINK=#DDDDDD LINK=#330066> <TABLE WIDTH=765> <TR><TD WIDTH=151><IMG SRC='/img/frond2.gif'></TD> <TD ALIGN='left'> <table width='600' border='0' cellspacing='0' cellpadding='0'> <tr> <td height='75'><img src='/img/scac_banner_600.jpg' width='600' height='85' usemap='#MapMapMap' border='0'><map name='MapMapMap'><area shape='rect' coords='338,56,591,77' href='http://www.cornerstone.com'><area shape='rect' coords='7,4,232,36' href='http://www.law.stanford.edu/'></map></td> </tr> <tr bgcolor='#330066'> <td height='35'> <table width='600' border='0' cellspacing='6' cellpadding='0' bgcolor='#330066' height='20'> <tr bgcolor='#330066'> <td height='20' width='297'><font 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color=#330066><b><font size=1> <input type='submit' name='btnG' value='SEARCH CASE COURT FILINGS'/> </font></b></font> <input type='hidden' name='site' value='stanford'/> <input type='hidden' name='client' value='stanford'/> <input type='hidden' name='proxystylesheet' value='http://google.stanford.edu/stylesheet.xslt'/> <input type='hidden' name='output' value='xml_no_dtd'/> <input type='hidden' name='as_dt' value='i'/> <input type='hidden' name='as_sitesearch' value='http://securities.stanford.edu/1035/RFX05_01'> </form> </font></font> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> <b>Summary:</b>&nbsp;Several purported shareholder class action lawsuits have been filed against Refco and certain of its officers and directors with violations of the Securities Act and the Exchange Act. Refco provides execution and clearing services for exchange traded derivatives; and brokerage services in the fixed income and foreign exchange markets in the United States, Bermuda, and the United Kingdom. <br><br> Refco went public via an initial public offering in August 2005. A mere three months later, on October 10, 2005, Refco announced that its Chief Executive Officer ("CEO") and Chairman and controlling shareholder, was being placed on a leave of absence and that the Company had discovered, purportedly through an internal review, a receivable of $430 million owed by the CEO to the Company. The Company also announced that based on the undisclosed related party transaction, its prior financial statements should not be relied upon. <br><br> According to the complaint, on or about August 10, 2005, Refco filed with the SEC a Form S-1/A Registration Statement (the "Registration Statement"), for the IPO. On or about August 11, 2005, the Prospectus (the "Prospectus") with respect to the IPO, which forms part of the Registration Statement, became effective and 26.5 million of Refco's common stock were sold to the public, thereby raising approximately $583 million. According to the complaint, the Prospectus issued in connection with the IPO was materially false and misleading for several reasons. As detailed in the complaint, Refco has now admitted that those financial statements should no longer be relied upon and will likely be restated. This amounts to an admission that those financial statements were materially false and misleading when issued. In a section entitled "Certain Relationships And Related Transactions", the Prospectus purported to detail all of the related party transactions concerning its business. The Prospectus, however, failed to disclose the related-party loan of $430 million to an entity controlled by the CEO. <br><br> As a result of this news, the price of Refco common stock declined precipitously falling from $28.56 per share to $15.60 per share on extremely heavy trading volume. <br><br> NOTE: Refco Inc. is a non-party that is not named in this lawsuit due to its filing for bankruptcy protection under Chapter 11 of the Bankruptcy Code on October 17, 2005. <br><br> On February 3, 2006, the Honorable Gerard Lynch appointed RH Capital Associates LLC ("RH Capital") and Pacific Investment Management Company LLC ("PIMCO") as Co-Lead Plaintiffs and Bernstein Litowitz Berger & Grossmann LLP and Grant & Eisenhofer, P.A. as Co-Lead Counsel for the Class in this securities fraud class action. <br><br> On April 3, 2006, the Lead Plaintiffs filed a Consolidated Class Action Complaint which named a number of additional defendants, including certain officers, directors and underwriters, and additional claims. <br><br> On May 5, 2006, the Lead Plaintiffs filed a First Amended Consolidated Class Action Complaint, adding Defendant BAWAG P.S.K. Bank für Arbeit und Wirtschaft und Österreichische Postsparkasse Aktiengesellschaft. <br><br> On June 5, 2006, a Suggestion of Bankruptcy was filed as to Refco Managed Futures LLC, Westminster-Refco Management LLC, and Lind-Waldock Securities LLC. <br><br> In July 2006, the defendants filed several motions to dismiss the First Amended Consolidated Class Action Complaint. <br><br> On September 8, 2006, a motion for preliminary approval of a partial settlement with Defendant BAWAG was filed. On September 8, 2006, a Stipulation and Agreement of Settlement was filed outlining the partial settlement in the amount of $108,000,000 ( Non-Contingent Payment ), plus additional payment up to $32,000,000 ( Contingent Payment ). On January 9, 2007, the motion for preliminary approval was denied. On February 22, 2007, a notice of settlement was filed and on March 5, 2007, the Court preliminarily approved the settlement with BAWAG. <br><br> On April 30, 2007, the Honorable Gerard E. Lynch issued an 87-page opinion in which the Court denied the vast majority of the ten motions to dismiss filed by a total of twenty-eight defendants. On May 31, 2007, Judge Lynch denied motions for reconsideration of that opinion. <br><br> On June 29, 2007, Judge Lynch approved the class action settlement with BAWAG. <br><br> On December 3, 2007, the Lead Plaintiffs filed a Second Amended Consolidated Class Action Complaint adding Mayer Brown LLP and Mayer Brown partner as named Defendants. <br><br> On December 7, 2007, a motion for preliminary approval of a partial settlement with Defendant Dennis Klejna was filed. According to the motion, the settlement includes the payment of $7,600,000 in cash. Defendant Klejna further agreed to provide access to document and financial information. <br><br> On December 20, 2007 and February 1, 2008, certain defendants filed motions to dismiss the Second Amended Consolidated Class Action Complaint. <br><br> On January 22, 2008, Judge Lynch preliminarily approved the settlement with Defendant Klejna. <br><br> On February 21, 2008, a motion for preliminary approval of a partial settlement with Defendant Joseph J. Murphy was filed. According to the motion, the settlement includes the payment of $7,900,000 in cash. The motion was granted on March 26, 2008. <br><br> On August 14, 2008, the motion of Credit Suisse Securities (USA) LLC, Banc of America Securities LLC and Deutsche Bank Securities, Inc. to Dismiss Count Three of the Second Amended Consolidated Class Action Complaint against them was granted. <br><br> On October 27, 2008, a motion for preliminary approval of partial settlement with Defendant Sandler O Neill Partners LP was filed. The settlement includes the payment of $3,500,000 in cash for the Settlement Class. The motion was granted on November 6, 2008. <br><br> On December 2, 2008, an Order was entered regarding the Lead Underwriter Defendants' motion to reconsider the Court's Order of November 6, 2008, granting preliminary approval of a partial settlement between Lead Plaintiffs and defendant Sandler O'Neill. According to the Order, the motion is granted, but upon reconsideration, the Court reaffirms and adheres to that Order. <br><br> On March 17, 2009, Judge Lynch signed the Opinion and Order. According to the Order, the Second Amended Consolidated Class Action Complaint is dismissed in its entirety as to the Mayer Brown Defendants. On March 18, 2009, the Court entered the Clerk s Judgment. On April 1, 2009, the lead plaintiffs filed a motion for partial summary judgment. On April 16, 2009, the lead plaintiffs filed a notice of appeal from the March 18th judgment. <br><br> On March 26, 2010, Judge Rakoff signed the Stipulation and Order Of Partial Discontinuance. According to the Order, Counts Six, Eight, Nine, Twelve, Thirteen and Fourteen of the Complaint be, and hereby are, dismissed as against defendants Murphy and Sexton; Counts Six, Eight, Nine, Thirteen and Fourteen of the Complaint be, and hereby are, dismissed as against defendant Klejna; Counts Four, Nine, Thirteen and Fourteen of the Complaint be, and hereby are, dismissed as against defendant Sherer; and for the avoidance of doubt: Counts Three and Four of the complaint remain pending against defendants Murphy, Sexton and Klejna, and Counts Five, Six and Eight of the Complaint remain pending against defendant Sherer. Each party shall bear his or its own costs in connection with the claims dismissed herein and no party will assert that the claims were brought, prosecuted or defended in bad faith or violation of Fed. R. Civ.P.11. <br><br> On April 5, 2010, a motion to preliminarily approve the settlement with the Audit Committee Defendants and The THL Defendants was filed. According to settlement documents, the settlement is for at least $130 million in cash, plus an amount equal to 50% of any additional amount that the THL Entities receive as restitution from the government in connection with their claims against Refco, up to a maximum additional amount of $10 million. <br><br> On April 9, 2010, a motion to certify the class was filed. On April 20, 2010, the plaintiffs filed a motion for preliminary approval of settlement with the remaining Underwriter Defendants. According to settlement documents, the settlement is in the amount of $49.5 million in cash. <br><br> On April 23, 2010, defendant Grant Thornton LLP filed a motion for summary judgment. <br><br> According to a Report and Recommendation filed on May 11, 2010, the Special Master recommends that: 1. The Settlements with the THL Defendants and the Audit Committee Defendants and the Underwriter Defendants should each be preliminarily approved. 2. Settlement classes be approved for the purpose of effectuating the Settlement. 3. The proposed form and manner of notice be approved as set forth in this order. <br><br> On August 2, 2010, the Court entered the Mandate from the U.S. Court of Appeals affirming the dismissal of the Mayer Brown Defendants in the March 18, 2009 Judgment. On August 3, 2010, the settlements with THL Defendants, Audit Committe Defendants, and the Underwriter Defendants were preliminarily approved. The Settlement Hearing is scheduled for October 27, 2010. <br><br> According to the motion filed on October 18, 2010, a proposed settlement is pending between the Court-appointed Lead Plaintiffs RH Capital Associates LLC and Pacific Investment Management Company LLC ( Lead Plaintiffs ) and (i) defendant Grant Thornton LLP ( Grant Thornton ) and (ii) defendants Joseph J. Murphy, Dennis A. Klejna and William M. Sexton (the  Settling Officer Defendants and together with Grant Thornton the  Settling Defendants ). The settlement with Grant Thornton provides for the payment of $25,000,000 in cash for the benefit of the Settlement Class (as defined below). The settlement with the Officer Defendants provides for the payment of $300,000 in cash for the benefit of the Settlement Class. <br><br> On October 19 and 20, 2010, Judge Jed S. Rakoff signed several stipulation of voluntary dismissals, dismissing the action against certain individual defendants, Refco Group Holdings, Inc., and The Phillip R. Bennett Three Year Annuity Trust. <br><br> On October 29, 2010, the Court entered the Final Judgment and Order approving the settlements with defendant Sandler O'Neill & Partners, L.P., the Underwriter Defendants, and the Audit Committee Defendants. <br><br> On November 15, 2010, the Court entered the amended preliminary approval order concerning the pending settlement between the plaintiffs and Grant Thornton LLP and three individual defendants. The settlement hearing was held on March 11, 2011. On March 22, 2011, the Court approved the settlements with Defendant Grant Thornton LLP and the Individual Defendants. The Court approved the plan of allocation and awarded attorneys' fees in the amount of $4,532,273.27 and $120,704.06 in reimbursement of litigation expenses.<br> <HR WIDTH=50% ALIGN=left> INDUSTRY CLASSIFICATION:<br> <b>SIC Code:</b> 6200<br> <b>Sector:</b> Financial<br> <b>Industry:</b> Investment Services<br> </font><p></P><HR> <TABLE width='100%'> <TR> <TD ALIGN='left' width='30%'><font FACE=Garmond,Helvetica,Times size=1 color=#330066><B> COMPANY/ISSUER NAME:</B></font></TD> <TD ALIGN='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066><B> Refco, Inc.</B></font></TD> </TR> <TR> <TD ALIGN='left' width='30%'><font FACE=Garmond,Helvetica,Times size=1 color=#330066><B> COMPANY/ISSUER TICKER:</B></font></TD> <TD ALIGN='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066><B> RFX</B></font></TD> </TR> <TR> <TD ALIGN='left' width='30%'><font FACE=Garmond,Helvetica,Times size=1 color=#330066><B> COMPANY WEBSITE:</B></font></TD> <TD ALIGN='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066><B> <A HREF='http://www.refco.com'>http://www.refco.com</A></B></font></TD> </TR> </TABLE><HR> <TABLE BORDER=0 width=100%> <TR><TD COLSPAN = 4><B><font FACE=Garmond,Helvetica,Times size=2 color=#330066> FIRST IDENTIFIED COMPLAINT IN THE DATABASE</font></B></TD></TR> <TR><TD colspan=4 align='left' bgcolor='#330066'> <font FACE=Garmond,Helvetica,Times size=2 color=#FFFFFF><B>Joseph Mazur, et al. v. Refco, Inc., et al.</B></font></TD></TR> <TR><TD align='left' colspan='4'><div align='left'> <table width='100%' CELLPADDING='0' CELLSPACING='0' BORDER='1'> <TR><TD align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;COURT:&nbsp;<b>S.D. New York</b></font></TD> <TD ALIGN='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;DOCKET NUMBER:&nbsp;<b>05-CV-8626</b><font></font></font></TD></TR> <TR><TD align='left' colspan=2 bgcolor='#DDDDDD'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;JUDGE NAME:&nbsp;<b>Hon. Gerard E. Lynch</b></font></TD></TR> <TR><TD align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;DATE FILED:&nbsp;<b>10/11/2005</b></font></TD> <TD align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;SOURCE:&nbsp;<b>Notice of Filing<b></b></b></font></TD></TR> <TR><TD align='left' bgcolor='#DDDDDD'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;CLASS PERIOD START:&nbsp;<b>08/11/2005<b></b></b></font></td> <TD align='left' bgcolor='#DDDDDD'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;CLASS PERIOD END:&nbsp;<b>10/07/2005</b></font></TD></TR> <TR><TD align='left' colspan=2><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;TYPE OF COMPLAINT:&nbsp;<b>Complaint (Unamended and Unconsolidated)</b></font></TD></TR> <TR><TD align='left' colspan=2 bgcolor='#DDDDDD'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;PLAINTIFF FIRMS NAMED IN COMPLAINT:</font></TD></TR> <TR><TD align='left' colspan=2><font FACE=Garmond,Helvetica,Times size=2 color=#330066><LI> <A HREF='http://www.aftlaw.com/'>Abraham, Fruchter & Twersky (New York, One Pennsylvania Plaza)</A><BR>&nbsp;&nbsp;One Pennsylvania Plaza, Suite 1910, New York, NY, 10119<BR> &nbsp;&nbsp; (voice) 212.279.5050, (fax) 212.279.3655, JFruchter@FruchterTwersky.com <LI> <A HREF='http://www.bermanesq.com'>Berman DeValerio Pease Tabacco Burt & Pucillo (MA)</A><BR>&nbsp;&nbsp;One Liberty Square, Boston, MA, 2109<BR> &nbsp;&nbsp; (voice) 617.542.8300, (fax) 617.230.0903, info@bermanesq.com <LI> <A HREF='http://www.bernlieb.com/'>Bernstein Liebhard & Lifshitz, LLP (New York)</A><BR>&nbsp;&nbsp;10 E. 40th Street, 22nd Floor, New York, NY, 10016<BR> &nbsp;&nbsp; (voice) 800.217.1522, (fax) , info@bernlieb.com <LI> <A HREF='http://www.brodsky-smith.com '>Brodsky & Smith, LLC (former Pennysylvania)</A><BR>&nbsp;&nbsp;11 Bala Avenue, Suite 39, Bala Cynwyd, PA, 19004<BR> &nbsp;&nbsp; (voice) 610.668.7987, (fax) 610.660.0450, esmith@Brodsky-Smith.com <LI> <A HREF=''>Curtis V. Trinko LLP</A><BR>&nbsp;&nbsp;16 West 46th Street 7th Floor, New York, NY, 10036<BR> &nbsp;&nbsp; (voice) 212.490.9550, (fax) 212.986.0158, ctrinko@trinko.com <LI> <A HREF='http://www.dyershuman.com'>Dyer & Shuman, LLP</A><BR>&nbsp;&nbsp;801 East 17th Avenue, Denver, CO, 80218-1417<BR> &nbsp;&nbsp; (voice) 303.861.3003, (fax) 800.711.6483, info@dyershuman.com <LI> <A HREF='http://www.federmanlaw.com/'>Federman & Sherwood (Oklahoma City)</A><BR>&nbsp;&nbsp;120 North Robinson, Suite 2720, Oklahoma City, OK, 73102<BR> &nbsp;&nbsp; (voice) 405-235-1560, (fax) , wfederman@aol.com <LI> <A HREF='http://www.glancylaw.com/ '>Glancy Binkow & Goldberg LLP (Los Angeles)</A><BR>&nbsp;&nbsp;1801 Ave. of the Stars, Suite 311, Los Angeles, CA, 90067<BR> &nbsp;&nbsp; (voice) 310.201.915, (fax) 310. 201-916, info@glancylaw.com <LI> <A HREF='http://www.gelaw.com'>Grant & Eisenhofer (Wilmington)</A><BR>&nbsp;&nbsp;1201 N. Market Street, Suite 2100, Wilmington, DE, 19801<BR> &nbsp;&nbsp; (voice) 302.622.7000, (fax) 302.622.7100, lawyers@gelaw.com <LI> <A HREF=''>Law Offices of Charles J. Piven, P.A.</A><BR>&nbsp;&nbsp;World Trade Center-Baltimore,401 East Pratt Suite 2525, Baltimore, MD, 21202<BR> &nbsp;&nbsp; (voice) 410.332.0030, (fax) , pivenlaw@erols.com <LI> <A HREF='http://www.lcsr.com/'>Lerach Coughlin Stoia Geller Rudman & Robbins LLP (Melville)</A><BR>&nbsp;&nbsp;200 Broadhollow, Suite 406, Melville, NY, 11747<BR> &nbsp;&nbsp; (voice) 631.367.7100, (fax) 631.367.1173, info@lerachlaw.com <LI> <A HREF='http://www.lcsr.com/'>Lerach Coughlin Stoia Geller Rudman & Robbins LLP (San Diego)</A><BR>&nbsp;&nbsp;655 West Broadway, Suite 1900, San Diego, CA, 92101<BR> &nbsp;&nbsp; (voice) 619.231.1058, (fax) 619.231.7423, <LI> <A HREF='http://www.locklaw.com/'>Lockridge, Grindal, Nauen P.L.L.P.</A><BR>&nbsp;&nbsp;Suite 301, 660 Pennsylvania Avenue Southeast, Washington, DC, 20003-4335<BR> &nbsp;&nbsp; (voice) 202.544.9840, (fax) 202.544.9850, <LI> <A HREF='http://www.milbergweiss.com '>Milberg Weiss Bershad & Schulman LLP (New York)</A><BR>&nbsp;&nbsp;One Pennsylvania Plaza, 49th Floor, New York, NY, 10119<BR> &nbsp;&nbsp; (voice) 212.594.5300, (fax) 212.868.1229, info@milbergweiss.com <LI> <A HREF=''>Paskowitz & Associates</A><BR>&nbsp;&nbsp;60 East 42nd Street, 46th Floor, New York, NY, 10165<BR> &nbsp;&nbsp; (voice) 212.685.0969, (fax) 212.685.2306, classattorney@aol.com <LI> <A HREF='http://www.pomerantzlaw.com'>Pomerantz Haudek Block Grossman & Gross LLP (New York)</A><BR>&nbsp;&nbsp;100 Park Avenue, 26th Floor, New York, NY, 10017-5516<BR> &nbsp;&nbsp; (voice) 212.661.1100, (fax) 212.661.8665, info@pomerantzlaw.com/ <LI> <A HREF='www.sarrafgentile.com'>Sarraf Gentile LLP (former NY)</A><BR>&nbsp;&nbsp;485 Seventh Avenue, Suite 1005, New York, NY, 10018<BR> &nbsp;&nbsp; (voice) 212.868.3610, (fax) 212.918.7967, <LI> <A HREF='http://www.snlaw.net/'>Schatz & Nobel, P.C.</A><BR>&nbsp;&nbsp;330 Main Street, Hartford, CT, 06106<BR> &nbsp;&nbsp; (voice) 800.797.5499, (fax) 860.493.6290, sn06106@AOL.com <LI> <A HREF='http://www.sbclasslaw.com'>Schiffrin & Barroway LLP</A><BR>&nbsp;&nbsp;3 Bala Plaza E, Bala Cynwyd, PA, 19004<BR> &nbsp;&nbsp; (voice) 610.667.7706, (fax) 610.667.7056, info@sbclasslaw.com <LI> <A HREF='http://www.scott-scott.com/'>Scott & Scott LLC (Connecticut)</A><BR>&nbsp;&nbsp;P.O. Box 192, 108 Norwich Avenue, Colchester, CT, 06415<BR> &nbsp;&nbsp; (voice) 860.537.5537, (fax) 860.537.4432, scottlaw@scott-scott.com <LI> <A HREF='http://www.lawssb.com/'>Shalov Stone & Bonner LLP (New York)</A><BR>&nbsp;&nbsp;485 Seventh Avenue, Suite 1000, New York, NY, 10018<BR> &nbsp;&nbsp; (voice) 212.239.4340, (fax) 212.239.4310, lawyer@lawssb.com <LI> <A HREF='http//www.ssbny.com'>Stull, Stull & Brody (New York)</A><BR>&nbsp;&nbsp;6 East 45th Street, New York, NY, 10017<BR> &nbsp;&nbsp; (voice) 310.209.2468, (fax) 310.209.2087, SSBNY@aol.com <LI> <A HREF='http://www.whesq.com'>Wechsler Harwood LLP</A><BR>&nbsp;&nbsp;488 Madison Avenue 8th Floor, New York, NY, 10022<BR> &nbsp;&nbsp; (voice) 212.935.7400, (fax) , info@whhf.com <LI> <A HREF='http://www.whafh.com/'>Wolf Haldenstein Adler Freeman & Herz LLP (New York)</A><BR>&nbsp;&nbsp;270 Madison Avenue, New York, NY, 10016<BR> &nbsp;&nbsp; (voice) 212.545.4600, (fax) 212.686.0114, newyork@whafh.com <LI> <A HREF='http://www.wolfpopper.com'>Wolf Popper, LLP</A><BR>&nbsp;&nbsp;845 Third Avenue, New York, NY, 10022-6689<BR> &nbsp;&nbsp; (voice) 877.370.7703, (fax) 212.486.2093, IRRep@wolfpopper.com <BR> <font face='Garmond,Helvetica,Times' size=1 color='#330066'> _____________________________________________ </font><BR> &nbsp;TOTAL NUMBER OF PLAINTIFF FIRMS:&nbsp; <b>25</b></font></TD></tr> </table></div> </TD></TR> </TABLE> <BR> <TABLE CELLPADDING=0 CELLSPACING=0 BORDER=1 width=100%> <TR><TD COLSPAN=4 bgcolor=#330066><font FACE=Garmond,Helvetica,Times size=2 color=#FFFFFF> &nbsp;DOCUMENTS FOR THE FIRST IDENTIFIED COMPLAINT</font></TD></TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20051011_f01c_Mazur.pdf'>Class Action Complaint for Violations of Federal Securities Laws</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Complaint</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/11/2005</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20051221_f01oc_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order of Consolidation</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;12/21/2005</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200628_f01o_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;02/08/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006315_r01o_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/15/2006</font> </TD> </TR></TABLE><TABLE BORDER=0 width=100%> <TR><TD COLSPAN = 4> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <HR>REFERENCE COMPLAINT</b></font></TD></TR> <TR><TD colspan=4 align='left' bgcolor='#330066'> <font FACE=Garmond,Helvetica,Times size=2 color=#FFFFFF> <b>In Re: Refco, Inc. Securities Litigation</b></font></TD></TR> <TR><TD align='left' colspan='4'><div align='left'> <table width='100%' CELLPADDING='0' CELLSPACING='0' BORDER='1'> <TR><TD align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;COURT:&nbsp;<b>S.D. New York</b></font></TD> <TD align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;DOCKET NUMBER:&nbsp;<b>05-CV-8626</b></font></TD></TR> <TR><TD align='left' colspan=2 bgcolor='#DDDDDD'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;JUDGE NAME:&nbsp;<b>Hon. Gerard E. Lynch</b></font></TD></TR> <TR><TD align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;DATE FILED:&nbsp<b>12/03/2007</b></font></TD> <TD align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;SOURCE:&nbsp;<b>Docket</b></font></TD></TR> <TR><TD align='left' bgcolor='#DDDDDD'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;CLASS PERIOD START:&nbsp;<b>07/01/2004</b></font></TD> <TD align='left' bgcolor='#DDDDDD'><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;CLASS PERIOD END:&nbsp;<b>10/17/2005</b></font></TD></TR> <TR><TD align='left' colspan=2><font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;TYPE OF COMPLAINT:&nbsp;<b>Second Amended and Consolidated</b></font></TD></TR> <TR><TD align='left' colspan=2 bgcolor='#DDDDDD'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> &nbsp;PLAINTIFF FIRMS NAMED IN COMPLAINT:</font></TD></TR> <TR><TD align='left' colspan=2><font FACE=Garmond,Helvetica,Times size=2 color=#330066><LI> <A HREF='http://www.blbglaw.com/'>Bernstein Litowitz Berger & Grossmann LLP (New York, NY)</A><BR>&nbsp;&nbsp;1285 Avenue of the Americas, 33rd Floor, New York, NY, 10019<BR> &nbsp;&nbsp; (voice) 212.554.1400, (fax) 212.554.1444, blbg@blbglaw.com <LI> <A HREF='http://www.gelaw.com/'>Grant & Eisenhofer (New York)</A><BR>&nbsp;&nbsp;45 Rockefeller Center, 630 Fifth Avenue, New York, NY, 10111<BR> &nbsp;&nbsp; (voice) 646.722.8500, (fax) 646.722.8500, lawyers@gelaw.com <LI> <A HREF='http://www.gelaw.com'>Grant & Eisenhofer (Wilmington)</A><BR>&nbsp;&nbsp;1201 N. Market Street, Suite 2100, Wilmington, DE, 19801<BR> &nbsp;&nbsp; (voice) 302.622.7000, (fax) 302.622.7100, lawyers@gelaw.com <BR> <font face='Garmond,Helvetica,Times' size=1 color='#330066'> _____________________________________________ </font><BR> &nbsp;TOTAL NUMBER OF PLAINTIFF FIRMS:&nbsp; <b>3</b></font></TD></TR> </table></div> </TABLE><BR> <TABLE CELLPADDING=0 CELLSPACING=0 BORDER=1 width=100%> <TR><TD COLSPAN=4 bgcolor=#330066><font FACE=Garmond,Helvetica,Times size=2 color=#FFFFFF> &nbsp;DOCUMENTS FOR THE REFERENCE COMPLAINT</font></TD></TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200643_r01c_058626.pdf'>Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Complaint</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/03/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200655_r01c_058626.pdf'>First Amended Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Complaint</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/05/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006517_r01d_058626.pdf'>Declaration Of James J. Sabella</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/17/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006517_r02m_058626.pdf'>Lead Plaintiffs' Memorandum Of Law In Support Of Motion To Modify The PSLRA Stay To Permit Limited Document Discovery</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/17/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006523_r01d_058626.pdf'>Declaration Of John P. Coffey In Further Support Of Lead Plaintiffs' Motion For A Limited Modification Of The PSLRA Stay Of Discovery</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/23/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006613_r01m_058626.pdf'>Lead Plaintiffs Reply Memorandum In Further Support Of Their Motion To Modify The PSLRA Stay To Permit Limited Document Discovery</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;06/13/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006710_r02x_058626.pdf'>Answer Of Defendant Phillip R. Bennett To First Amended Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;07/10/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006710_r01x_058626.pdf'>Answer Of Defendant Refco Group Holdings, Inc. To First Amended Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;07/10/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006712_r01x_058626.pdf'>Letter to the Honorable Gerard E. Lynch</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;07/12/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006724_r01x_058626.pdf'>Answer And Affirmative Defenses Of Certain Underwriter Defendants To Lead Plaintiffs First Amended Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;07/24/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200688_r01o_058626.pdf'>Opinion and Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/08/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200697_r01s_058626.pdf'>Stipulation and Agreement of Settlement</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Settlement</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/07/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200698_r03d_058626.pdf'>Declaration Of Megan D. McIntyre In Support Of Lead Plaintiffs' Motion For (I) Preliminary Approval Of Partial Settlement With Defendant BAWAG, (II) Preliminary Certification Of Class For Purposes Of Settlement, (III) Preliminary Approval Of Form And Manner Of Notice, And Scheduling A Final Approval Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/08/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200698_r02m_058626.pdf'>Lead Plaintiffs' Memorandum Of Law In Support Of Motion For (I) Preliminary Approval Of Partial Settlement With Defendant BAWAG, (II) Preliminary Certification Of Class For Purposes Of Settlement, (III) Preliminary Approval Of Form And Manner Of Notice, And (IV) Scheduling A Final Approval Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/08/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200698_r01n_058626.pdf'>Lead Plaintiffs' Notice Of Motion For (I) Preliminary Approval Of Partial Settlement With Defendant BAWAG, (II) Preliminary Certification Of Class For Purposes Of Settlement, (III) Preliminary Approval Of Form And Manner Of Notice, And (IV) Scheduling Of A Final Approval Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/08/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200698_r04s_058626.pdf'>Stipulation And Agreement Of Settlement</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Settlement</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/08/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006914_r01d_058626.pdf'>Declaration Of John P. Coffey In Support Of Lead Plaintiffs' Opposition To Defendants' Motions To Dismiss The First Amended Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/14/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006915_r01m_058626.pdf'>Lead Plaintiffs Memorandum Of Law In Opposition To Defendants Motions To Dismiss The First Amended Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/15/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006927_r02d_058626.pdf'>Declaration Of John C. Browne In Support Of Lead Plaintiffs' Motion To Modify The PSLRA Discovery Stay For The Limited Purpose Of Service Of A Subpoena On Refco's Transfer Agent For Settlement Administration Purposes</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/27/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006927_r01m_058626.pdf'>Lead Plaintiffs Memorandum Of Law In Support Of Motion To Modify The PSLRA Discovery Stay For The Limited Purpose Of Service Of A Subpoena On Refco s Transfer Agent For Settlement Administration Purposes</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/27/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006927_r01n_058626.pdf'>Lead Plaintiffs Notice Of Motion To Modify The PSLRA Discovery Stay For The Limited Purpose Of Service Of A Subpoena On Refco s Transfer Agent For Settlement Administration Purposes</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;09/27/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2006105_r01x_058626.pdf'>Lead Plaintiffs Reply To Grant Thornton LLP s Response To Lead Plaintiffs Motion For Preliminary Approval Of The Proposed Settlement With BAWAG</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/05/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20061128_r01x_058626.pdf'>Letter to the Honorable Gerard E. Lynch</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;11/28/2006</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200715_r01x_058626.pdf'>Lead Plaintiffs Reply To The Underwriter Defendants And Grant Thornton LLP s Objections To Lead Plaintiffs Amended Motion For Preliminary Approval Of The Proposed Settlement With BAWAG</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;01/05/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200719_r01o_058626.pdf'>Opinion and Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;01/09/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007213_r01s_058626.pdf'>Stipulation and Agreement of Settlement</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Settlement</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;02/13/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007222_r01n_058626.pdf'>Lead Plaintiffs Notice Of Motion For (I) Preliminary Approval Of Partial Settlement With Defendant BAWAG, (II) Preliminary Certification Of Class For Purposes Of Settlement, (III) Preliminary Approval Of Form And Manner Of Notice, And (IV) Scheduling Of A Final Approval Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;02/22/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200735_r01o_058626.pdf'>Order Preliminarily Approving Proposed Settlement With Defendant BAWAG</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/05/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007326_r01n_058626.pdf'>Notice Of (I) Pendency And Proposed Partial Settlement Of Class Action With BAWAG, And (II) Hearing On Proposed Partial Settlement</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/26/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007430_r01o_058626.pdf'>Opinion and Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/30/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007524_r01m_058626.pdf'>Lead Plaintiffs' Memorandum Of Law In Opposition To Defendant Silverman's Motion For Partial Reconsideration</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/24/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007524_r02x_058626.pdf'>Lead Plaintiffs' Opposition To The Audit Committee Defendants' Motion For Partial Reconsideration</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/24/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007531_r01o_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/31/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007629_r01x_058626.pdf'>Judgment Approving Class Action Settlement With Bawag</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;06/29/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200783_r01o_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/03/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007101_r01c_058626.pdf'>Class Action Complaint Against Mayer Brown LLP And Joseph P. Collins</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Complaint</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/01/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007123_r01c_058626.pdf'>Second Amended Consolidated Class Action Complaint</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Complaint</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;12/03/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007127_r03m_058626.pdf'>Lead Plaintiffs' Memorandum Of Law In Support Of Motion For (I) Preliminary Approval Of Partial Settlement With Defendant Dennis A. Klejna, (II) Preliminary Certification Of Class For Purposes Of Settlement, (III) Preliminary Approval Of Form And Manner Of Notice, And (IV) Scheduling A Final Approval Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;12/07/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007127_r01t_058626.pdf'>Lead Plaintiffs' Notice Of Motion For (I) Preliminary Approval Of Partial Settlement With Defendant Dennis A Klejna, (II) Preliminary Certification Of Class For Purposes Of Settlement, (III) Preliminary Approval Of Form And Manner Of Notice, And (IV) Scheduling Of A Final Approval Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Motion</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;12/07/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007127_r02x_058626.pdf'>Letter to the Honorable Gerard E. Lynch</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;12/07/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2007127_r01s_058626.pdf'>Stipulation And Agreement Of Settlement Between Lead Plaintiffs And Defendant Dennis A. Klejna</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Settlement</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;12/07/2007</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/200814_r01m_058626.pdf'>Lead Plaintiffs' Memorandum Of Law In Response To Non-Settling Defendants' Opposition To Motion For (I) Preliminary Approval Of Partial Settlement With Defendant Dennis A. Klejna, (II) Preliminary Certification Of Class For Purposes Of Settlement, (III) Preliminary Approval Of Form And Manner Of Notice, And (IV) Scheduling A Final Approval Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;01/04/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2008122_r01o_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;01/22/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2008221_r01n_058626.pdf'>Lead Plaintiffs Notice Of Motion For Preliminary Approval Of Settlement With Defendant Joseph J. Murphy</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;02/21/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2008326_r01o_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/26/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2008814_r01o_058626.pdf'>Opinion And Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/14/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2008825_r01x_058626.pdf'>Notice Of Appeal</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice of Appeal</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/25/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20081020_r01x_05CV8626.pdf'>Notice of Appeal</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice of Appeal</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/20/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20081027_r03d_058626.pdf'>Declaration Of James J. Sabella In Support Of Motion For (I) Preliminary Approval Of Settlement With Defendant Sandler O Neill & Partners, L.P. And (II) Preliminary Certification Of Class For Purposes Of Settlement</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/27/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20081027_r02m_058626.pdf'>Lead Plaintiffs' Memorandum Of Law In Support Of Motion For (I) Preliminary Approval Of Settlement With Defendant Sandler O'Neill & Partners, L.P. And (II) Preliminary Certification Of Class For Purposes Of Settlement</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/27/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20081027_r01n_058626.pdf'>Lead Plaintiffs' Notice Of Motion For (I) Preliminary Approval Of Settlement With Defendant Sandler O'Neill Partners, L.P., And (II) Preliminary Certification Of Class For Purposes Of Settlement</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/27/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2008116_r01o_058626.pdf'>Order Preliminarily Approving Proposed Settlement With Sandler O'Neill & Partners L.P.</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;11/06/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2008122_r01o_058626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;12/02/2008</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2009129_r01o_05CV8626.pdf'>Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;01/29/2009</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2009317_r01o_058626.pdf'>Opinion And Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/17/2009</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2009317_r02o_058626.pdf'>Opinion And Order</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/17/2009</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2009416_r01x_058626.pdf'>Notice Of Appeal</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice of Appeal</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/16/2009</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2009630_r01x_05CV8626.pdf'>Stipulation of Voluntary Discontinuance</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;06/30/2009</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2010326_r01o_05CV8626.pdf'>Stipulation And Order of Partial Discontinuance</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/26/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201045_r02d_05CV8626.pdf'>Declaration Of Salvatore J. Graziano In Support Of Motion For (I) Preliminary Approval Of Settlement With The Audit Committee Defendants And The THL Defendants, (II) Preliminary Certification Of Class For Purposes Of Settlement And (III) Approval Of Notice To The Class</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/05/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201045_r03m_05CV8626.pdf'>Lead Plaintiffs' Memorandum Of Law In Support Of Motion For (I) Preliminary Approval Of Settlement With The Audit Committee Defendants And The THL Defendants, (II) Preliminary Certification Of Class For Purposes Of Settlement And (III) Approval Of Notice To The Class</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Memorandum</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/05/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201045_r02n_05CV8626.pdf'>Lead Plaintiffs' Notice Of Motion For (I) Preliminary Approval Of Settlement With The Audit Committee Defendants And The THL Defendants, (II) Preliminary Certification Of Class For Purposes Of Settlement, And (III) Approval Of Notice To The Class</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/05/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2010420_r01d_05CV8626.pdf'>Declaration Of Salvatore J. Graziano In Support Of Motion For (I) Preliminary Approval Of Settlement With Underwriter Defendants, (II) Preliminary Certification Of Class For Purposes Of Settlement And (III) Approval Of Notice To The Class</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Declaration</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/20/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2010420_r02n_05CV8626.pdf'>Lead Plaintiffs' Notice Of Motion For (I) Preliminary Approval Of Settlement With Underwriter Defendants, (II) Preliminary Certification Of Class For Purposes Of Settlement And (III) Approval Of Notice To The Class</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;04/20/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2010511_r02n_05CV8626.pdf'>Lead Plaintiffs' Notice Of Filing Of Amended Stipulation And Agreement Of Settlement With The Audit Committee And THL Defendants</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/11/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2010511_r03x_05CV8626.pdf'>Report And Recommendation of The Special Master On Motions For (I) Preliminary Approval Of Settlements With Underwriter Defendants, Audit Committee Defendants, And The THL Defendants, (II) Preliminary Certification Of The Class For Purposes Of Settlement, And (III) Approval Of Notice To The Class</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;05/11/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201082_r01x_058626.pdf'>Mandate from the U.S. Court of Appeals for the Second Circuit</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/02/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201083_r04o_05866.pdf'>Order Approving Notice Of Proposed Settlement With Sandler O'Neill & Partners L.P. And Setting Settlement Hearing</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/03/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201083_r01o_058626.pdf'>Order Preliminarily Approving Proposed Settlement With The Audit Committee And THL Defendants</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/03/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201083_r02o_058626.pdf'>Order Preliminarily Approving Proposed Settlement With The Settling Underwriter Defendants</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;08/03/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101018_r01n_05CV8626.pdf'>Lead Plaintiffs' Notice Of Motion For (I) Preliminary Approval Of Settlement With Grant Thornton LLP, (II) Preliminary Approval Of Settlement With Joseph J. Murphy, Dennis A. Klejna And William M. Sexton, (III) Preliminary Certification Of Class As Against These Settling Defendants For Purposes Of Settlement, And (IV) Approval Of Notice To The Class</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Notice</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/18/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101019_r01x_05CV8626.pdf'>Stipulation Of Voluntary Dismissal Of Defendant Robert Trosten</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/19/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101020_r03x_05CV8626.pdf'>Stipulation Of Voluntary Dismissal Of Defendant Gerald M. Sherer</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/20/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101020_r04x_05CV8626.pdf'>Stipulation Of Voluntary Dismissal of Defendant Philip Silverman</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/20/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101020_r05x_05CV8626.pdf'>Stipulation Of Voluntary Dismissal Of Defendant Santo C. Maggio</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/20/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101020_r02x_05CV8626.pdf'>Stipulation Of Voluntary Dismissal Of Defendant Tone N. Grant</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/20/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101020_r06x_05CV8626.pdf'>Stipulation Of Voluntary Dismissal Of Defendants Phillip R. Bennett, Refco Group Holdings, Inc., And The Phillip R. Bennett Three Year Annuity Trust</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/20/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101028_r03o_05CV8626.pdf'>Judgment And Order Of Dismissal With Prejudice</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/28/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101028_r01x_05CV8626.pdf'>Judgment Approving Class Action Settlement With Sandler O'Neill & Partners, L.P.</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/28/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101028_r02x_05CV8626.pdf'>Judgment Approving Class Action Settlement With The Settling Underwriter Defendants</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/28/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101028_r04x_05CV8626.pdf'>Order Awarding Attorneys' Fees And Expenses</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order Approving AF&E</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;10/28/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/20101115_r01o_05CV8626.pdf'>Amended Order Preliminarily Approving Proposed Settlement With Defendant Grant Thornton LLP And Proposed Settlement With Defendants Joseph J. Murphy, Dennis A. Klejna And Williiam M. Sexton</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;11/15/2010</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2011322_r02x_05CV8626.pdf'>Judgment Approving Class Action Settlement With Defendant Grant Thornton LLP</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/22/2011</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2011322_r03x_05CV8626.pdf'>Judgment Approving Class Action Settlement With Defendants Joseph J. Murphy, Dennis A. Klejna And William M. Sexton</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Other</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/22/2011</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2011322_r04o_05CV8626.pdf'>Order Approving Application Of Plan Of Allocation To The Additional Settlements</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/22/2011</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/2011322_r05x_05CV8626.pdf'>Order Awarding Attorneys' Fees And Expenses</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Order Approving AF&E</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/22/2011</font> </TD> </TR><TR> <TD COLSPAN=4 bgcolor=#DDDDDD><font FACE=Garmond,Helvetica,Times size=2 color=#330066><b><A HREF='/1035/RFX05_01/201045_r01k_05CV8626.html'>U.S. District Court Civil Docket</A></b></font> </TD> </TR> <TR> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Type:&nbsp;Docket</font> </TD> <TD COLSPAN=2 align='left'><font FACE=Garmond,Helvetica,Times size=2 color=#330066>Date on the document:&nbsp;03/22/2011</font> </TD> </TR></TABLE><BR> <TABLE CELLPADDING=0 CELLSPACING=0 BORDER=1 width=100%><TR><TD COLSPAN=4 bgcolor=#330066><font FACE=Garmond,Helvetica,Times size=2 color=#FFFFFF> &nbsp;OTHER DOCUMENTS</font></TD></TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051011_o02c_Frontpoint.pdf'>Class Action Complaint for Violation of Federal Securities Laws - Demand for Jury Trial</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;Frontpoint Financial Services Fund, LP, et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/11/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051012_o03c_058692.pdf'>Class Action Complaint for Violations of Federal Securities Laws - Jury Trial Demanded</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;Jonathan Glaubach, et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/12/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051012_o04c_Weiss.pdf'>Class Action Complaint for Violations of Federal Securities Laws - Jury Trial Demanded</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;Sandra E. Weiss, et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/12/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051012_o01c_051720.pdf'>Complaint</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;United States Of America, et al. v. Phillip R. Bennett, et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/12/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051014_o01c_RD.pdf'>Class Action Complaint - Jury Trial Demanded</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;RD Partners LLC, et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/14/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051014_o01c_Unknown.pdf'>Class Action Complaint for Violations of Federal Securities Laws</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;[Unknown plaintiff], et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/14/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051017_o01x_None.pdf'>Refco, Inc. Voluntary Bankruptcy Petition</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Other</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/17/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051019_o02c_Nathanson.pdf'>Class Action Complaint - Jury Trial Demanded</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;Bruce Nathanson, et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/19/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051019_o01c_Baker.pdf'>Class Action Complaint for Violations of Federal Securities Laws</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;Jacob Baker, et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/19/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/20051024_o01c_Weiss.pdf'>Class Action Complaint for Violations of Federal Securities Laws - Jury Trial Demanded</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;Todd Weiss et al. v. Refco, Inc., et al.</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Complaint</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/24/2005</font></TD> </TR><TR><TD COLSPAN=4 bgcolor=#DDDDDD> <font FACE=Garmond,Helvetica,Times size=2 color=#330066><b> <A HREF='/1035/RFX05_01/2009109_o01o_1:07md01902GEL.pdf'>Case Management Order #1</A></b></font></TD></TR> <TR><TD COLSPAN=4 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Case Name and/or Number:&nbsp;In Re: Refco, Inc. Securities Litigation</font> </TD></TR> <TR> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Type:&nbsp;Order</font></TD> <TD COLSPAN=2 align='left'> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> Date on the document:&nbsp;10/09/2009</font></TD> </TR></TABLE> <font FACE=Garmond,Helvetica,Times size=2 color=#330066> <HR><b>WARNING AND DISCLAIMER OF LIABILITY:</b><br> The information included on this Web site, whether provided by personnel employed by Stanford Law School or by third parties, is provided for research and teaching purposes only. Neither Stanford University, Stanford Law School, nor any of their employees, agents, contractors, or affiliates warrant the accuracy or completeness of the information or analyses displayed herein, and we caution all readers that inclusion of any information on this site does not constitute an endorsement of the truthfulness or accuracy of that information. 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