ÿþ<HTML><HEAD><TITLE>Refco, Inc. - Securities Class Action</TITLE> <META NAME='DESCRIPTION' CONTENT='<b>Summary:</b> A press release dated on August 07, 2008 stated that a lawsuit claiming Grant Thornton LLP is responsible for an investment firm's massive losses in connection with the collapse of Refco Inc. was partially thrown out Wednesday. A federal judge tossed Thomas H. Lee Equity Fund V LP's claims of negligent misrepresentation and professional malpractice but allowed a claim of aiding and abetting fraud to go forward against the auditing and consulting firm. Judge Gerard E. Lynch ruled Wednesday that  defendant's motion to dismiss is granted with respect to plaintiffs' negligent misrepresentation and professional malpractice claims, and denied as to all other claims. Lynch's ruling says the complaint failed to prove that Grant Thornton had  any duty of reasonable care to make sure the plaintiff knew about the fraudulent loans because, among other things, the audits were not performed with Thomas H. Lee's specific investment plan in mind. However, the judge, in upholding parts of the case, ruled that Thomas H. Lee was right in asserting that Grant Thornton was aware that Refco was making the now-infamous round-trip loans and that the auditors knew the loans were  suspicious. According to a press release dated December 10, 2007, the latest casualty of the $430 million fraud scandal at bankrupt Refco Inc. is the company's general counsel, Dennis Klejna, who has reached a $7.6 million settlement with shareholders that accused him of complicity in the scheme that felled the futures broker. On Friday, lead plaintiffs in the massive putative shareholder class action against Refco and several top executives filed a motion for preliminary approval in the U.S. District Court for the Southern District of New York, outlining the terms of a settlement to which they said Klejna had agreed.  Lead plaintiffs believe the partial settlement is fair, reasonable and adequate, and in the best interests of the settlement class," the plaintiffs said. "In light of the benefits achieved, the cost and risk of continuing the litigation against Klejna through trial and appeals, and the arm s-length negotiation and approval of the partial settlement by the court-appointed institutional investor lead plaintiffs, the partial settlement warrants the court s preliminary approval as within the range of possible final approval." On December 3, 2007, Lead Plaintiffs filed a Second Amended Consolidated Class Action Complaint. In a press release dated July 3, 2007, a federal judge approved a $140 million settlement between the Austrian bank that helped fund Refco Inc. and investors in the collapsed futures broker. Judge Gerald Lynch in U.S. District Court for the Southern District of New York in Manhattan approved the partial agreement on June 29 between Austria's Bawag PSK and notes and stockholders, documents show. The settlement is between Bawag and entities that bought common stock in Refco Inc. or 9% senior subordinated notes due 2012 in Refco Group Ltd./Refco Finance Inc., records said. The purchase period runs from Aug. 5, 2004, through Oct. 17, 2005. Bondholder Pacific Investment Management Co. LLC and equity purchaser RH Capital Associates LLC are lead plaintiffs in the class-action securities litigation. The suit will continue against other Refco defendants. In a press release dated May 31, 2007, the shareholders and bondholders sued Refco for violations §§11 and 12 of the Securities Act of 1933 and §§10(b) and 20(a), and Rule 10b-5 of the Securities Exchange Act of 1934. The defendants moved to dismiss. Nonpublic bond offerings not subject to Securities Act. A private offering that is registered to the SEC under Rule 144A is not subject to the Securities Act. The district court dismissed the claims under the Securities Act as they related to the bonds offered by Refco. The district court dismissed the claims based on the issuance of the private bonds against the bond underwriters. The district court partially dismissed some of the claims against Refco and individual officers, including Bennett, but sustained the §§10(b) and 20(a) claims against them. On March 5, 2007, the Honorable Gerard E. Lynch granted preliminary approval to the partial settlement reached between Lead Plaintiffs and defendant BAWAG and scheduled a hearing (the  Settlement Hearing ) to take place on June 29, 2007. In a press release also dated June 5, 2006, RH Capital Associates LLC and Pacific Investment Management Company LLC, the institutional investors appointed by U.S. District Judge Gerard E. Lynch to serve as Lead Plaintiffs on behalf of investors victimized by the Refco debacle (NYSE: RFXCQ) announced that they have signed a settlement agreement with BAWAG P.S.K. Bank für Arbeit und Wirtschaft und Österreichische Postsparkasse Aktiengesellschaft, an Austrian bank that had been sued for securities fraud by Lead Plaintiffs. Pursuant to the agreement, BAWAG has agreed to pay to Lead Plaintiffs, on behalf of the Class, at least $108 million in cash, with the possibility of an additional payment of up to $32 million when BAWAG is sold in the coming twelve months. In addition to the cash payment(s), BAWAG has pledged to cooperate with Lead Plaintiffs as they pursue the Class's claims against other current (and prospective) defendants in the consolidated securities class action, In re Refco, Inc. Securities Litigation, 05 Civ. 8626 (GEL) (S.D.N.Y.). Indeed, BAWAG began to assist Lead Plaintiffs before the settlement agreement was signed, making available for Lead Counsel's review a large volume of documents referring to the various roles played by Refco insiders and Refco's bankers, lawyers, and auditors. 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.'> <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;A press release dated on August 07, 2008 stated that a lawsuit claiming Grant Thornton LLP is responsible for an investment firm's massive losses in connection with the collapse of Refco Inc. was partially thrown out Wednesday. A federal judge tossed Thomas H. Lee Equity Fund V LP's claims of negligent misrepresentation and professional malpractice but allowed a claim of aiding and abetting fraud to go forward against the auditing and consulting firm. Judge Gerard E. Lynch ruled Wednesday that  defendant's motion to dismiss is granted with respect to plaintiffs' negligent misrepresentation and professional malpractice claims, and denied as to all other claims. Lynch's ruling says the complaint failed to prove that Grant Thornton had  any duty of reasonable care to make sure the plaintiff knew about the fraudulent loans because, among other things, the audits were not performed with Thomas H. Lee's specific investment plan in mind. However, the judge, in upholding parts of the case, ruled that Thomas H. Lee was right in asserting that Grant Thornton was aware that Refco was making the now-infamous round-trip loans and that the auditors knew the loans were  suspicious. <br><br> According to a press release dated December 10, 2007, the latest casualty of the $430 million fraud scandal at bankrupt Refco Inc. is the company's general counsel, Dennis Klejna, who has reached a $7.6 million settlement with shareholders that accused him of complicity in the scheme that felled the futures broker. On Friday, lead plaintiffs in the massive putative shareholder class action against Refco and several top executives filed a motion for preliminary approval in the U.S. District Court for the Southern District of New York, outlining the terms of a settlement to which they said Klejna had agreed.  Lead plaintiffs believe the partial settlement is fair, reasonable and adequate, and in the best interests of the settlement class," the plaintiffs said. "In light of the benefits achieved, the cost and risk of continuing the litigation against Klejna through trial and appeals, and the arm s-length negotiation and approval of the partial settlement by the court-appointed institutional investor lead plaintiffs, the partial settlement warrants the court s preliminary approval as within the range of possible final approval." <br><br> On December 3, 2007, Lead Plaintiffs filed a Second Amended Consolidated Class Action Complaint. <br><br> In a press release dated July 3, 2007, a federal judge approved a $140 million settlement between the Austrian bank that helped fund Refco Inc. and investors in the collapsed futures broker. Judge Gerald Lynch in U.S. District Court for the Southern District of New York in Manhattan approved the partial agreement on June 29 between Austria's Bawag PSK and notes and stockholders, documents show. The settlement is between Bawag and entities that bought common stock in Refco Inc. or 9% senior subordinated notes due 2012 in Refco Group Ltd./Refco Finance Inc., records said. The purchase period runs from Aug. 5, 2004, through Oct. 17, 2005. Bondholder Pacific Investment Management Co. LLC and equity purchaser RH Capital Associates LLC are lead plaintiffs in the class-action securities litigation. The suit will continue against other Refco defendants. <br><br> In a press release dated May 31, 2007, the shareholders and bondholders sued Refco for violations §§11 and 12 of the Securities Act of 1933 and §§10(b) and 20(a), and Rule 10b-5 of the Securities Exchange Act of 1934. The defendants moved to dismiss. Nonpublic bond offerings not subject to Securities Act. A private offering that is registered to the SEC under Rule 144A is not subject to the Securities Act. The district court dismissed the claims under the Securities Act as they related to the bonds offered by Refco. The district court dismissed the claims based on the issuance of the private bonds against the bond underwriters. The district court partially dismissed some of the claims against Refco and individual officers, including Bennett, but sustained the §§10(b) and 20(a) claims against them. <br><br> On March 5, 2007, the Honorable Gerard E. Lynch granted preliminary approval to the partial settlement reached between Lead Plaintiffs and defendant BAWAG and scheduled a hearing (the  Settlement Hearing ) to take place on June 29, 2007. <br><br> In a press release also dated June 5, 2006, RH Capital Associates LLC and Pacific Investment Management Company LLC, the institutional investors appointed by U.S. District Judge Gerard E. Lynch to serve as Lead Plaintiffs on behalf of investors victimized by the Refco debacle (NYSE: RFXCQ) announced that they have signed a settlement agreement with BAWAG P.S.K. Bank für Arbeit und Wirtschaft und Österreichische Postsparkasse Aktiengesellschaft, an Austrian bank that had been sued for securities fraud by Lead Plaintiffs. Pursuant to the agreement, BAWAG has agreed to pay to Lead Plaintiffs, on behalf of the Class, at least $108 million in cash, with the possibility of an additional payment of up to $32 million when BAWAG is sold in the coming twelve months. In addition to the cash payment(s), BAWAG has pledged to cooperate with Lead Plaintiffs as they pursue the Class's claims against other current (and prospective) defendants in the consolidated securities class action, In re Refco, Inc. Securities Litigation, 05 Civ. 8626 (GEL) (S.D.N.Y.). Indeed, BAWAG began to assist Lead Plaintiffs before the settlement agreement was signed, making available for Lead Counsel's review a large volume of documents referring to the various roles played by Refco insiders and Refco's bankers, lawyers, and auditors. <br><br> 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> <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>8/11/2005<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>10/7/2005</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</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, NY)</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 (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</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 PA</A><BR>&nbsp;&nbsp;1201 N. Market Street, Suite 2100, Wilmington, DE, 19801<BR> &nbsp;&nbsp; (voice) 302.622.7000, (fax) 302.622.7100, info@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, 10017-5516ven<BR> &nbsp;&nbsp; (voice) 212.661.1100, (fax) 212.661.8665, info@pomerantzlaw.com/ <LI> <A HREF='www.sarrafgentile.com'>Sarraf Gentile LLP</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</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, 10022-6689Ave<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_01/200628_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></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>12/3/2007</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>7/1/2004</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 PA</A><BR>&nbsp;&nbsp;1201 N. Market Street, Suite 2100, Wilmington, DE, 19801<BR> &nbsp;&nbsp; (voice) 302.622.7000, (fax) 302.622.7100, info@gelaw.com <BR> <font face='Garmond,Helvetica,Times' size=1 color='#330066'> _____________________________________________ </font><BR> &nbsp;TOTAL NUMBER OF PLAINTIFF FIRMS:&nbsp; <b>2</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_01/2006315_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><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_01/2006914_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_01/2007101_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_01/2008731_r01k_058626.pdf'>US 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;7/31/2008</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