The Capital Group Companies, Inc. : American Funds

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The Capital Group Companies, Inc. : American Funds Summary: Originally filed on July 15, 2004, related cases were consolidated and a consolidated complaint was first filed on March 28, 2005. The complaints allege that defendants engaged in an illegal kickback scheme with several brokers/dealers financed by fees and costs paid by plaintiffs and other class members who purchased American Funds mutual funds. The named funds filed a motion to dismiss on May 27, 2005 and the named individuals filed their respective motion on May 31. On December 6, 2005 the judge entered an order dismissing certain aspects of the complaint, including all named director defendants, specific claims and the named funds of which plaintiffs had no ownership. The plaintiffs were given leave to amend their complaint, which they did and re-filed a Second Consolidated Complaint on February 16, 2006. Again the various funds and individuals filed motions to dismiss on April 28, 2006. Discovery was stayed while both sides argued the matter of dismissal. An order was finally entered on January 17, 2007 dismissing the Section 48(a) claim in addition to the Section 1 of the Sherman Act and the Cartwright Act claims. Plaintiffs filed a Third Consolidated Complaint on January 30, 2007. Plaintiffs filed a Fourth Amended Complaint on May 16, 2008. The parties soon after engaged in discovery and preliminary trial proceedings. On July 28, 2009, the first day of court trial was held before Judge Gary A. Feess.

According to the Judgment After Court Trial entered on January 13, 2010, Judgment is entered for the Defendants. Plaintiffs take nothing on their claims against Defendants; and Defendants are the prevailing parties and recover from Plaintiffs the costs of suit in an amount to be taxed by the Clerk. The case has been terminated.

On February 11, 2010, the plaintiff filed a Notice of Appeal. On September 20, 2011, the Court entered Mandate from the Ninth Circuit Court of Appeals, affirming the Judgment of the District Court.

INDUSTRY CLASSIFICATION:
SIC Code:
Sector: Financial
Industry: Other (Mutual Fund)

COMPANY/ISSUER NAME:	Capital Group Companies, Inc.
COMPANY/ISSUER TICKER:
COMPANY WEBSITE:	http://www.capgroup.com/

FIRST IDENTIFIED COMPLAINT IN THE DATABASE

Nicholas J. Corbi, et al. v. Capital Group Companies, Inc., et al.

COURT: C.D. California	DOCKET NUMBER: 04-CV-05593
JUDGE NAME: Hon. R. Gary Klausner
DATE FILED: 07/15/2004	SOURCE: Notice of Filing
CLASS PERIOD START: 07/14/1999	CLASS PERIOD END: 01/09/2004
TYPE OF COMPLAINT: Complaint (Unamended and Unconsolidated)
PLAINTIFF FIRMS NAMED IN COMPLAINT:
Milberg Weiss Bershad & Schulman LLP 355 South Grand Avenue, Suite 4170, Los Angeles (Former Location), CA, 90071 (voice) 213.617.9007, (fax) 213.617.9185, info@milbergweiss.com Weiss & Lurie (Los Angeles, CA) 10940 Wilshire Blvd - 24th Floor, Los Angeles, CA, 90024 (voice) 310.208.2800, (fax) 310.209.2348, info@wyca.com _____________________________________________ TOTAL NUMBER OF PLAINTIFF FIRMS: 2

DOCUMENTS FOR THE FIRST IDENTIFIED COMPLAINT
Class Action Complaint For Excessive Fees In Violation Of Sections 35(b), 36(b) And 48(a) Of The Investment Company Act And Of Sections 206 And 215 Of The Investment Advisers Act, And For Breaches Of Fiduciary Duty – Jury Trial Demanded
Type: Complaint		Date on the document: 07/15/2004

REFERENCE COMPLAINT

In re American Mutual Funds Fee Litigation

COURT: C.D. California	DOCKET NUMBER: 04-CV-05593
JUDGE NAME:
DATE FILED: 05/16/2008	SOURCE: Docket
CLASS PERIOD START: 07/15/2003	CLASS PERIOD END: 07/15/2004
TYPE OF COMPLAINT: Fourth Amended
PLAINTIFF FIRMS NAMED IN COMPLAINT:
Milberg Weiss Bershad & Schulman LLP 355 South Grand Avenue, Suite 4170, Los Angeles (Former Location), CA, 90071 (voice) 213.617.9007, (fax) 213.617.9185, info@milbergweiss.com Weiss & Lurie (Los Angeles, CA) 10940 Wilshire Blvd - 24th Floor, Los Angeles, CA, 90024 (voice) 310.208.2800, (fax) 310.209.2348, info@wyca.com _____________________________________________ TOTAL NUMBER OF PLAINTIFF FIRMS: 2

DOCUMENTS FOR THE REFERENCE COMPLAINT
Second Amended Complaint
Type: Complaint		Date on the document: 02/16/2006
Third Amended Complaint
Type: Complaint		Date on the document: 01/31/2007
Civil Minutes-General
Type: Other		Date on the document: 04/04/2007
Fourth Amended Complaint
Type: Complaint		Date on the document: 05/16/2008
Memorandum And Order Regarding Defendants' Motion To Dismiss Consolidated Amended Complaint
Type: Order		Date on the document: 06/05/2008
Civil Minutes - Trial
Type: Other		Date on the document: 07/28/2009
Judgment After Court Trial
Type: Other		Date on the document: 01/11/2010
Notice Of Appeal To The United States Court Of Appeals For The Ninth Circuit
Type: Notice of Appeal		Date on the document: 02/11/2010
Mandate
Type: Other		Date on the document: 09/16/2011
U.S. District Court Civil Docket
Type: Docket		Date on the document: 09/16/2011

OTHER DOCUMENTS

Case Name and/or Number:
Type:		Date on the document:

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